[Privacy Act Issuances (2003)]
[From the U.S. Government Publishing Office, www.gpo.gov]
RAILROAD RETIREMENT BOARD
Systems of Records
RRB-1--Social Security Benefit Vouchering System
RRB-3--Medicare, Part B (Supplementary Medical Insurance Payment
System--Contracted to a United Health Care Insurance)
Company
RRB-4--Microfiche of Estimated Annuity, Total Compensation and
Residual Amount File
RRB-5--Master File of Creditable Service and Compensation of Railroad
Employees
RRB-6--Unemployment Insurance Record File
RRB-7--Applications for Unemployment Benefits and Placement Service
Under the Railroad Unemployment Insurance Act
RRB-8--Railroad Retirement Reconciliation System (Employee
Representatives)
RRB-10--Legal Opinion Files
RRB-11--Files on Concluded Litigation
RRB-12--Railroad Employees' Registration File
RRB-16--Social Security Administration Master Earnings File
RRB-17--Appeal Decisions From Initial Denials for Benefits Under the
Provisions of the Railroad Retirement Act or the Railroad
Unemployment Insurance Act.
RRB-18--Travel and Miscellaneous Voucher Examining System
RRB-19--Payroll Record System
RRB-20--Health Insurance and Supplementary Medical Insurance
Enrollment and Premium Payment System (MEDICARE)
RRB-21--Railroad Unemployment and Sickness Insurance Benefit System
RRB-22--Railroad Retirement, Survivor, and Pensioner Benefit System
RRB-26--Payment, Rate and Entitlement History File
RRB-27--Railroad Retirement Board--Social Security Administration
Financial Interchange System
RRB-28--One Percent Historical File of Railroad Unemployment and
Sickness Beneficiaries
RRB-29--Railroad Employees' Cumulative Gross Earnings Master File
RRB-33--Federal Employee Incentive Awards System
RRB-34--Employee Personnel Management Files
RRB-37--Medical Records on Railroad Retirement Board EmployeesSystem
RRB-42--Benefit Overpayment Accounts.
RRB-43--Investigation Files.
RRB-44--Employee Test Score File.
RRB-45--Employee Tuition Reimbursement Files.
RRB-46--Personnel Security Files.
RRB-48--Employee Identification Card Files (Building Passes).
RRB-49--Telephone Call Detail Records.
RRB-50--Child Care Tuition Assistance Program.
RRB-51--Railroad Retirement Board's Customer PIN/Password (PPW)
Master File System.
Appendix I--Offices of the U.S. Railroad Retirement Board
Appendix II--Medicare Part B Field Offices
RRB-1
System name: Social Security Benefit Vouchering System--RRB.
System location: U.S. Railroad Retirement Board, 844 Rush Street,
Chicago, Illinois 60611
Categories of individuals covered by the system: Applicants after
December 31, 1974, for benefits under Title II of the Social Security
Act who have completed ten years of creditable service in the
railroad industry, the spouse and/or divorced spouse or survivor of
such an individual.
Categories of records in the system: Name, address, social security
number, RRB claim number, type and amount of benefit, suspension and
termination information.
Authority for maintenance of the system: Section 7(b)(2) of the
Railroad Retirement Act of 1974 (45 U.S.C. 231f(b)(2)).
Purpose(s):
Records in the Social Security Vouchering System are maintained
to administer Title II of the Social Security Act with respect to
payment of benefits to individuals with 10 or more years of railroad
service and their families.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
a. Benefit rate information may be disclosed to primary
beneficiaries regarding secondary beneficiaries (or vice versa) when
the addition of such beneficiary affects either the entitlement or
benefit payment.
b. In the event the Board has determined to designate a person to
be the representative payee of an incompetent beneficiary, disclosure
of information concerning the benefit amount and other similar
information may be made to the representative payee from the record
of the individual.
c. Benefit rates, names and addresses may be released to the
Department of Treasury to control for reclamation and return of
outstanding benefit payments, to issue benefit payments, act on
reports of non-receipt, to insure delivery of payments to the correct
address of the beneficiary or representative payee or to proper
financial organization, and to investigate alleged forgery, theft or
unlawful negotiation of railroad retirement for social security
benefit checks or improper diversion of payments directed to a
financial organization.
d. Beneficiary's name, address, check rate and date plus
supporting evidence may be released to the U.S. Postal Service for
investigation of alleged forgery or theft of railroad retirement or
social security benefit checks.
e. Beneficiary identifying information, effective date, benefit
rates, and months paid may be furnished to the Department of Veterans
Affairs for the purpose of assisting that agency in determining
eligibility for benefits or verifying continued entitlement to and
the correct amount of benefits payable under programs which it
administers.
f. Benefit rates and effective dates may be disclosed to the
Social Security Administration, Bureau of Supplemental Security
Income, to Federal, State and local welfare or public aid agencies to
assist them in processing applications for benefits under their
respective programs.
g. Last addresses information may be disclosed to the Department
of Health and Human Services in conjunction with the Parent Locator
Service.
h. Benefit rates, entitlement and other necessary information may
be released to the Department of Labor in conjunction with payment of
benefits under the Federal Coal Mine and Safety Act.
i. Pursuant to a request from an employer covered by the Railroad
Retirement Act or the Railroad Unemployment Insurance Act or from an
organization under contract to an employer or employers, information
regarding the Board's payment of benefits, the methods by which such
benefits are calculated, entitlement data and present address may be
released to the requesting employer or the organization under
contract to the employer or employers for the purposes of determining
entitlement to and the rates of private supplemental pension benefits
and to calculate estimated benefits due.
j. If a request for information pertaining to an individual is
made by an official of a labor organization of which the individual
is a member and the request is made on behalf of the individual,
information from the record of the individual concerning his benefit
or anticipated benefit and concerning the method of calculating that
benefit may be disclosed to the labor organization official.
k. Disclosure may be made to a congressional office from the
record of an individual in response to an inquiry from the
congressional office made at the request of that individual.
l. Information may be released to contractors to fulfill contract
requirements pertaining to specific activities related to the
Railroad Retirement Act.
m. Records may be disclosed to the General Accounting Office for
auditing purposes and for collection of debts arising from
overpayments under Title II of the Social Security Act, as amended.
n. Records may be disclosed in a court proceeding relating to any
claims for benefits by the beneficiary under the Railroad Retirement
Act and may be disclosed during the course of an administrative
appeal to individuals who need the records to prosecute or decide the
appeal or to individuals who are requested to provide information
relative to an issue involved in the appeal.
o. In the event that this system of records, maintained by the
Railroad Retirement Board to carry out its functions, indicates a
violation or potential violation of law, whether civil, criminal or
regulatory in nature, and whether arising by general statute or
particular program statute, or by regulation, rule or order issued
pursuant thereto, the relevant records in this system of record may
be referred, as a routine use, to the appropriate agency, whether
federal, state, local or foreign, charged with the responsibility of
investigating or prosecuting such violation or charged with enforcing
or implementing the statute, rule, regulation or order issued
pursuant thereto, provided that disclosure would be to an agency
engaged in functions related to the Railroad Retirement Act or
provided that disclosure would be clearly in the furtherance of the
interest of the subject individual.
p. Information in this system of records may be released to the
attorney representing an individual in connection with that
individual's claim for benefits under the Railroad Retirement Act or
Title II of the Social Security Act, as amended, upon receipt of a
written letter or declaration stating the fact of representation
subject to the same procedures and regulatory prohibitions as the
subject individual.
q. For payments made after December 31, 1983, beneficiary
identifying information, address, amounts of benefits paid and
repaid, beneficiary withholding instructions, and amounts withheld by
the RRB for tax purposes may be furnished to the Internal Revenue
Service for tax administration.
r. Beneficiary identifying information, entitlement data, and
benefit rates may be released to the Department of State and embassy
and consular officials, to the American Institute on Taiwan, and to
the Department of Veterans Affairs Regional Office, Philippines, to
aid in insuring the continued payment of beneficiaries living abroad.
s. Relevant information may be furnished to the Office of the
President for responding to an individual pursuant to an inquiry from
that individual or a third party in his/her behalf.
t. Entitlement data and benefit rates may be released to any
court, state, agency, or interested party, or to the representative
of such court, state agency, or interested party, in connection with
contemplated or actual legal or administrative proceeding concerning
domestic relations and support matters.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage: Paper, magnetic tape and microforms.
Retrievability: Social security account number, full name.
Safeguards: Records are maintained in areas not accessible to the
public; buildings are secured (guard service).
Retention and disposal:
Paper: Individual claim folders with records of all actions
pertaining to the payment of claims are transferred to the Federal
Records Center, Chicago, Illinois 5 years after the date of last
payment or denial activity if all benefits have been paid, no future
eligibility is apparent and no erroneous payments are outstanding.
The claim folder is destroyed 25 years after the date it is received
in the center. Accounts receivable listings and checkwriting
operations daily activity listings are transferred to the Federal
Records Center 1 year after date of issue and are destroyed 6 years
and 3 months after receipt at the center. Other paper listings are
destroyed 1 year after the date of issue. Changes of address source
documents are destroyed after 1 year. Magnetic tape: Tapes are
updated at least monthly. For disaster recovery purposes, certain
tapes are stored for 12-18 month periods. Microforms: Originals are
kept for 3 years, transferred to the Federal Records Center and
destroyed when 8 years old. One duplicate copy is kept 2 years and
destroyed by shredding. All other duplicate copies are kept 1 year
and destroyed by shredding.
System manager(s) and address: Office of Programs--Director of
Policy and Systems, Railroad Retirement Board, 844 Rush Street,
Chicago, Illinois 606112092.
Notification procedure: Requests for information regarding an
individual's records should be in writing, including full name,
social security number and railroad retirement claim number (if any)
of the individual. Before any information about any record will be
released, the individual may be required to provide proof of
identity, or authorization from the individual to permit release of
information. Such requests should be sent to: Office of Programs--
Director of Operations, Railroad Retirement Board, 844 Rush Street,
Chicago, Illinois 60611-2092.
Record access procedures: See Notification section above.
Contesting record procedures: See Notification section above.
Record source categories: Individual applicant or his or her
authorized representative, the Social Security Administration, other
record systems maintained by the Railroad Retirement Board.
RRB-3
System name: Medicare: Part B (Supplementary Medical Insurance
Payment System--Contracted to a United Health Care) Company--RRB.
System location:
Palmetto Government Benefit Administrators, 17 Technology Circle,
columbia, South Carolina 29203-9591; Regional Office; PO Box 10066,
Augusta, Georgia 30999.
Categories of individuals covered by the system: Qualified railroad
retirement beneficiaries covered by MEDICARE, Part B, who file claims
under the medical insurance program.
Categories of records in the system: Name, health insurance claim
number, address, date of birth, telephone number, description of
illness and treatment pertaining to claim, indication of other health
insurance or medical assistance pertinent to claim, date(s) and
place(s) of physician service, description of medical procedures,
services or supplies furnished, nature of illness(es), medical
charges, name, address and telephone of physician, identifying number
of provider, designation of payee, Part B entitlement date, Part B
deductible status and amount of payment to beneficiary or payee.
Authority for maintenance of the system: Section 7(d) of the
Railroad Retirement Act of 1974 (45 U.S.C. 231f(d)).
Purpose(s):
Records in this system are maintained to administer the
supplementary medical insurance (Part B) portion of Medicare under
Title XVIII of the Social Security Act for qualified railroad
retirement beneficiaries.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
a. In the event the Board has determined to designate a person to
be the representative payee of an incompetent beneficiary, disclosure
of information concerning the benefit amount and other similar
information may be made to the representative payee from the record
of the individual.
b. Information regarding payments and deductibles may be released
to the Department of Health and Human Services for use in
administering Title XVII of the Social Security Act, as amended, and
to establish, audit, and maintain account and vouchering records.
c. Records may be disclosed in a court proceeding relating to any
claims for benefits under Title XVIII of the Social Security Act and
may be disclosed during the course of an administrative appeal
hearing to individuals who need the records to prosecute or decide
the appeal or to individuals who are requested to provide information
relative to an issue involved in the appeal.
d. Records may be disclosed to the General Accounting Office for
auditing purposes and for collection of debts arising from
overpayments under Title XVIII of the Social Security Act.
e. Disclosure may be made to a congressional office from the
record of an individual in response to an inquiry from the
congressional office made at the request of that individual.
f. Pursuant to a request from an employer covered by the Railroad
Retirement Act or the Railroad Unemployment Insurance Act,
information regarding the status of a qualified railroad retirement
beneficiary's enrollment in Medicare and premium payment status may
be released to the requesting employer for the purposes of
coordinating employee supplemental welfare benefits.
g. If a request for information pertaining to an individual is
made by an official of a labor organization of which the individual
is a member and the request is made on behalf of the individual,
information from the record of the individual concerning his
entitlement and premium status may be disclosed to the labor
organization official.
h. In the event that this system of records maintained by the
Railroad Retirement Board to carry out its functions, indicates a
violation or potential violation of law, whether civil, criminal or
regulatory in nature, and whether arising by general statute or
particular program statute, or by regulation, rule or order issued
pursuant thereto, the relevant records in this system of records may
be referred, as a routine use, to the appropriate agency, whether
Federal, State, local, or foreign, charged with the responsibility of
investigating or prosecuting such violation or charged with enforcing
or implementing the statute, rule, regulation, or order issued
pursuant thereto, provided that disclosure would be to an agency
engaged in functions related to the Railroad Retirement Act or
provided that disclosure would be clearly in the furtherance of the
interest of the subject individual.
i. Information in this system of records may be released to the
attorney representing an individual in connection with that
individual's claim for benefits under the Railroad Retirement Act or
Title XVIII of the Social Security Act, as amended, under receipt of
a written letter or declaration stating the fact of representation,
subject to the same procedures and regulatory prohibitions as the
subject individual.
j. Information may be furnished to the U.S. Postal Service and to
State and local police authorities for investigtion of the loss,
theft, and/or forgery of Medicare checks.
k. Information may be furnished to the State licensing boards for
review of unethical practices or nonprofessional conduct. When such
information has been disclosed to a State licensing board, it may
also be disclosed when requested to State agencies investigating such
conduct under Titles V and XIX and to the CHAMPUS (Civilian Health
and Medical Program of the Uniformed Services) organization and to
CHAMPUS contractors that are not also Medicare contractors.
l. General guidelines dealing with length of stay, diagnosis and
other criteria used in the claims process to establish the basis for
payment may be disclosed to the requester. Information regarding
physicians' prevailing or customary charges may be furnished.
m. The following general types of information may be disclosed to
Title XIX agencies (to a state agency or to a carrier acting for a
State agency charged with administration of a program under Title
XIX): Physician, other practitioner and supplier identification
numbers, and charges of physicians or other practitioners or
suppliers for services furnished to beneficiaries.
n. Information on such matters as entitlement, benefit payment,
or benefit utilization relating to an individual may be disclosed to
any State agency or to a carrier acting for a State agency charged
with the administration of a program under Title XIX.
Note: Disclosure to State agencies administering other Federal
grants-in-aid programs requires the authorization of the beneficiary
or his/her legal representative.
o. Relevant information may be disclosed to the Office of the
President for responding to an individual pursuant to an inquiry from
that individual or from a third party in his/her behalf.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage: Paper, magnetic tape and microforms.
Retrievability: Health insurance claim number, name.
Safeguards: The insurance company is bound by the contract set
forth by the Railroad Retirement Board which contains specific
instruction regarding its responsibility in claim information handled
and released. It is also bound by the same regulations regarding
disclosure and security of information as the Board itself.
Retention and disposal: Records are maintained by the insurance
company office for 27 months. At the end of 27 months the material is
sent to the storage areas maintained by the insurance company.
Records are retained and stored in accordance with guidelines issued
by HCFA.
System manager(s) and address:
Office of Programs--Director of Policy and Systems, Railroad
Retirement Board, 844 Rush Street, Chicago, Illinois 60611-2092
Notification procedure: Requests for information regarding an
individual's record should be in writing, including the full name,
social security number and railroad retirement claim (if any) of the
individual. Before information about any record will be released, the
individual may be required to provide proof of identity, or
authorization from the individual to permit release of information.
Such requests should be sent to: Office of Programs--Director of
Operations, Railroad Retirement Board, 844 Rush Street, Chicago,
Illinois 60611-2092.
Record access procedures: See Notification section above.
Contesting record procedures: See Notification section above.
Record source categories: Claimant, his/her authorized
representative or his/her survivors, the Social Security
Administration, the Health Care Financing Administration and its
contractors, physicians, and hospitals.
Appendix II: Railroad Part B Regional Offices
Regions, and States and Territories in Region
Southeastern
PO Box 10066
Augusta, GA 30903
Phone (404) 736-4451
Alabama, District of Columbia, Florida, Georgia, Kentucky,
Maryland, Mississippi, North Carolina, Puerto Rico, South Carolina,
Tennessee, Virgin Islands, Virgina, and West Virginia
Northeastern
PO Box 395
Albany, NY 12201
Phone (518) 459-8900
Connecticut, Delaware, Maine, Massachusetts, New Hampshire, New
Jersey, New York, Pennsylvania, Rhode Island, and Vermont.
North Central
2200 East 170th Street
Lansing, Il 60438
Phone (312) 895-0700
Illinois, Indiana, Iowa, Michigan, Minnesota, North Dakota, Ohio,
South Dakota, and Wisconsin.
South Central
PO Box 5493
Dallas, TX 75222
Phone (214) 272-6560
Arkansas, Colorado, Kansas, Louisiana, Missouri, Nebraska, New
Mexico, Oklahoma, and Texas
Western
PO Box 30050
Salt Lake City, UT 84125
Phone (801) 486-3161
Alaska, Arizona, California, Hawaii, Idaho, Montana, Nevada,
Oregon, Utah, Washington, and Wyoming.
RRB-4
System name: Microfiche of Estimated Annuity, Total Compensation
and Residual Amount File--RRB.
System location:
U.S. Railroad Retirement Board, 844 Rush Street, Chicago,
Illinois 60611-2092.
Categories of individuals covered by the system: Railroad employees
who never filed an application for an annuity, have not been reported
to be deceased and who either worked in the current reporting year or
have at least 120 months of creditable service.
Categories of records in the system: For employees with less than
120 months of service: SSN, name, date of birth, sex, cumulative
service, cumulative tier 1 compensation, daily pay rate, employer
number, gross residual, year last worked, number and pattern of
months worked in year last worked, tier 1 compensation for year last
worked, tier 2 compensation for year last worked. For railroad
employees with 120 or more months of service; all of the above
information plus estimated annuity data and SSA data.
Authority for maintenance of the system: Section 7(b)(6) of the
Railroad Retirement Act of 1974 (45 U.S.C. 231f(b)(6)).
Purpose(s):
The primary purposes of the system is to provide field offices
with the capability of furnishing annuity estimates to prospective
beneficiaries. The system is also used by field offices to provide
temporary annuity rates that the Division of Operations may issue to
applicants for employee and spouse benefits.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
a. Entitlement information may be disclosed to primary
beneficiaries regarding secondary beneficiaries (or vice versa) when
the addition of such beneficiary affects either the entitlement or
benefit payment.
b. Information may be disclosed to contractors to fulfill
contract requirements pertaining to specific activities related to
the Railroad Retirement Act or the Railroad Unemployment Insurance
Act.
c. Disclosure may be made to a congressional office from the
record of an individual in response to an inquiry from the
congressional office made at the request of that individual.
d. Pursuant to a request from an employer covered by the Railroad
Retirement Act or the Railroad Unemployment Insurance Act,
information regarding the Board's estimated payment of unemployment,
sickness or retirement benefits, the methods by which such benefits
are calculated and entitlement data may be released to the requesting
employer for the purposes of determining entitlement to and the rates
of private supplemental pensions, sickness or unemployment benefits
and to calculate estimated benefits due.
e. If a request for information pertaining to an individual is
made by an official of a labor organization of which the individual
is a member and the request is made on behalf of the individual,
information from the record of the individual concerning his
anticipated benefit and concerning the method of calculating that
benefit may be disclosed to the labor organization official.
f. Information in this system of records may be released to the
attorney representing an individual in connection with that
individual's claim for benefits under the Railroad Retirement Act or
the Railroad Unemployment Insurance Act, upon receipt of a written
letter or declaration stating the fact of representation, subject to
the same procedures and regulatory prohibitions as the subject
individual.
g. Relevant information may be furnished to the Office of the
President for responding to an individual pursuant to an inquiry from
that individual or a third party in his/her behalf.
h. Annuity estimates may be released to any court, state agency,
or interested party, or the representative of such court, state
agency, or interested party, in connection with contemplated or
actual legal or administrative proceeding concerning domestic
relations and support matters.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage: On-line mainfram system.
Retrievability: Social security number.
Safeguards: Only authorized personnel have access to these records.
Access is determined by internal computer system security levels.
Retention and disposal: A maximum of two sets of MARC records (the
current and prior MARC) are maintained on-line with the oldest set
deleted when a new MARC is produced.
System manager(s) and address: Office of Programs--Director of
Policy and Systems, Railroad Retirement Board, 844 Rush Street,
Chicago, Illinois 60611-9092.
Notification procedure: Request for information regarding an
individual's record should be in writing, including the full name,
social security number and railroad retirement claim number (if any)
of the individual. Before information about any record will be
released, the individual may be required to provide proof of
identity, authorization from the individual to permit release of
information. Such requests should be sent to: Office of Programs--
Director of Operations, Railroad Retirement Board, 844 Rush Street,
Chicago, Illinois 60611-2092.
Record access procedures: See Notification section above.
Contesting record procedures: See Notification section above.
Record source categories: Information which is secured from the
original master records is made available to all authorized
headquarters and field service users.
RRB-5
System name: Master File of Creditable Service and Compensation
of Railroad Employees--RRB.
System location: U.S. Railroad Retirement Board, 844 Rush Street,
Chicago, Illinois 60611.
Categories of individuals covered by the system: All individuals
with creditable service under the Railroad Retirement and Railroad
Unemployment Insurance Acts.
Categories of records in the system: Individual name, social
security number, claim number, annuity beginning date, date of birth,
sex, race, last employer identification number, amount of daily
payrate if under $100, ICC occupation code, creditable service and
compensation from 1937 to date, home address, and date of death.
Authority for maintenance of the system: Section 7(b)(6) of the
Railroad Retirement Act of 1974 (45 U.S.C. 231f(b)(6)) and section
12(1) of the Railroad Unemployment Insurance Act (45 U.S.C. 362(1)).
Purpose(s):
The purpose of this system is to store railroad earnings of
railroad employees which are used to determine entitlement to and
amount of benefits payable under the Railroad Retirement Act, the
Railroad Unemployment Insurance Act and the Social Security Act, if
applicable. The records are updated daily based on earnings reports
received from railroad employers and the Social Security
Administration and are stored in the Employment Data Maintenance
Application database.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses: a. Records may be
transferred to the Social Security Administration to correlate
disability freeze actions and in the cases where the railroad
employees do not acquire 120 creditable service months before
retirement or death or have no current connection with the railroad
industry, to enable SSA to credit the employee with the compensation
and to pay or deny benefits.
b. Yearly service months, cumulative service months, yearly
creditable compensation and cumulative creditable compensation may be
released to the employees directly or through their respective
employer.
c. Service months and earnings may be released to employers or
former employers for correcting or reconstructing earnings records
for railroad employees.
d. Information may be released to contractors to fulfill contract
requirements pertaining to specific activities related to the
Railroad Retirement Act and/or the Railroad Unemployment Insurance
Act.
e. Employee identification and potential entitlement may be
furnished to the Social Security Administration, Bureau of
Supplemental Security Income, to Federal, State, and local welfare or
public aid agencies to assist them in processing application for
benefits under their respective programs.
f. Employee identification and other pertinent information may be
released to the Department of Labor in conjunction with payment of
benefits under the Federal Coal Mine and Safety Act.
g. The last employer information may be disclosed to the
Department of Health and Human Services in conjunction with the
Parent Locator Service.
h. Disclosure may be made to a congressional office from the
record of an individual in response to an inquiry from the
congressional office made at the request of that individual.
i. Pursuant to a request from an employer covered by the Railroad
Retirement Act or the Railroad Unemployment Insurance Act,
information, regarding the employee's potential eligibility for
unemployment, sickness or retirement benefits may be released to the
requesting employer for the purpose of determining entitlement to and
the rates of private supplemental pension, sickness or unemployment
benefits and to calculate estimated benefits due from the employer.
j. If a request for information pertaining to an individual is
made by an official of a labor organization of which the individual
is a member and the request is made on behalf of the individual,
information from the record of the individual concerning his
anticipated benefit may be disclosed to the labor organization
official.
k. Records may be disclosed in a court proceeding relating to any
claims for benefits by the beneficiary under the Railroad Retirement
Act or the Railroad Unemployment Insurance act and may be disclosed
during the course of an administrative appeal to individuals who need
the records to prosecute or decide the appeal or to individuals who
are requested to provide information relative to an issue involved in
the appeal.
l. In the event that this system of records, maintained by the
Railroad Retirement Board to carry out its functions, indicates a
violation or potential violation of law, whether civil, criminal, or
regulatory in nature, and whether arising by general statute or
particular program statute, or by regulation, rule or order issued
pursuant thereto, the relevant records in this system of records may
be referred, as a routine use, to the appropriate agency, whether
federal, state, local or foreign charged with the responsibility of
investigating or prosecuting such violation or charged with enforcing
or implementing the statute, rule, regulation or order issued
pursuant thereto, provided that disclosure would be to an agency
engaged in functions related to the Railroad Retirement Act or the
Railroad Unemployment Insurance Act or provided that disclosure would
be clearly in the furtherance of the interest of the subject
individual.
m. Information in this system of records may be released to the
attorney representing an individual in connection with that
individual's claim for benefits under the Railroad Retirement Act or
the Railroad Unemployment Insurance Act, upon receipt of a written
letter or declaration stating the fact of representation, subject to
the same procedures and regulatory prohibitions as the subject
individual.
n. All records may be disclosed to the Social Security
Administration for purposes of administration of the Social Security
Act.
o. Service and compensation and last employer information may be
furnished, upon request, to state agencies operating unemployment or
sickness insurance programs for the purposes of their administering
such programs.
p. Relevant information may be furnished to the Office of the
President for responding to an individual pursuant to an inquiry from
that individual or a third party in his/her behalf.
q. The name, address and gender of a railroad worker may be
released to a Member of Congress when the Member requests it in order
that he or she may communicate with the worker about legislation
which affects the railroad retirement or railroad unemployment and
sickness insurance program.
r. The service history of an employee (such as whether the
employee had service before a certain date and whether the employee
had at least a given number of years of service) may be disclosed to
AMTRAK when such information would be needed by AMTRAK to make a
determination whether to award a travel pass to either the employee
or the employee's widow.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage: Magnetic tape, magnetic disk and paper.
Retrievability: Social security number, claim number and name.
Safeguards: Magnetic tape and magnetic disk: Computer and computer
storage rooms are restricted to authorized personnel; on-line query
safeguards include a lock/unlock password system, a terminal oriented
transaction matrix and an audit trail. Paper: Bound in hard covers
and stored on steel shelving accessible to only authorized personnel.
Retention and disposal: Magnetic tape and magnetic disk: Permanent
retention; updated annually. Paper: Retained five years and destroyed
last year ledger put in storage when current year ledger complete.
System manager(s) and address: Office of Programs--Director of
Policy and Systems, Railroad Retirement Board, 844 Rush Street,
Chicago, Illinois 60611-2092.
Notification procedure: Requests for information regarding an
individual's record should be in writing, including the full name,
social security number and railroad retirement claim number (if any)
of the individual. Before any information about any record will be
released, the individual may be required to provide proof of
identity, or authorization from the individual to permit release of
information. Such requests should be sent to: Office of Programs--
Assessment & Training, Chief of Employer Service and Training Center,
Railroad Retirement Board, 844 Rush Street, Chicago, Illinois 60611-
2092.
Record access procedures: See Notification section above.
Contesting record procedures: See Notification section above.
Record source categories: Railroad employer.
RRB-6
System name: Unemployment Insurance Record File--RRB.
System location: District Offices: See Appendix I for addresses.
Categories of individuals covered by the system: Claimants for
unemployment benefits under the Railroad Unemployment Insurance Act
and their respective employers.
Categories of records in the system: Development file containing
letters from claimants, report of Railroad Unemployment Insurance Act
fraud investigations and supporting evidence, erroneous payment
investigations, protest and appeal requests and responses.
Authority for maintenance of the system: Section 12(1) of the
Railroad Umemployment Insurance Act (45 U.S.C. 362(1))
Purpose(s):
This sytem of records is used for filing general information
about applicants for RUIA benefits. If an applicant files for UI
benefits, some of the information in this file will be also placed in
the claimants UI file.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
a. Beneficiary identifying information may be released to third
party contacts to determine if incapacity of the beneficiary or
potential beneficiary to understand or use benefits exists, and to
determine the suitability of a proposed representative payee.
b. Benefit rate, name and address may be referred to the Treasury
Department to control for reclamation and return of outstanding
benefit checks, to issue benefit checks, reconcile reports of non-
delivery, and to insure delivery of payments to the correct address
or account of the beneficiary or representative payee.
c. Beneficiary's name, address, payment rate, date and number,
plus supporting evidence may be released to the U.S. Postal Service
for investigation of alleged forgery or theft of railroad
unemployment or sickness benefit payments.
d. Identifying information such as full name, address, date of
birth, social security number, employee identification number, and
date last worked, may be released to any last employer to verify
entitlement for benefits under the Railroad Unemployment Insurance
Act.
e. Pursuant to a request from an employer covered by the Railroad
Retirement Act or the Railroad Unemployment Insurance Act,
information regarding the Board's payment of unemployment or sickness
benefits, the methods by which such benefits are calculated,
entitlement data and present address may be released to the
requesting employer for the purposes of determining entitlement to
and rates of private supplemental pension, sickness or unemployment
benefits and to calculate estimated benefits due.
f. Benefit rates and effective dates may be released to the
Social Security Administration, Bureau of Supplemental Security
Income, to Federal, State and local welfare or public aid agencies to
assist them in processing applications for benefits under their
respective programs.
g. In the event the Board has determined to designate a person to
be the representative payee of an incompetent beneficiary, disclosure
of information concerning the benefit amount and other similar
information may be made to the representative payee from the record
of the individual.
h. Records may be disclosed to the General Accounting Office for
auditing purposes and for collection of debts arising from
overpayments under the Railroad Unemployment Insurance Act, as
amended.
i. The last addresses and employer information may be disclosed
to the Department of Health and Human Services in conjunction with
the Parent Locator Service.
j. Disclosure may be made to a congressional office from the
record of the individual in response to an inquiry from the
congressional office made at the request of that individual.
k. If a request for information pertaining to an individual is
made by an official of a labor organization of which the individual
is a member and the request is made on behalf of the individual,
information from the record of the individual concerning this benefit
or anticipated benefit may be disclosed to the labor organization
official.
l. Records may be disclosed in a court proceeding relating to any
claims for benefits by the beneficiary under the Railroad
Unemployment Insurance Act and may be disclosed during the course of
an administrative appeal to individuals who need the records to
prosecute or decide the appeal or to individuals who are requested to
provide information relative to an issue involved in the appeal.
m. In the event that this system of records, maintained by the
Railroad Retirement Board to carry out its functions, indicates a
violation or potential violation of law, whether civil, criminal or
regulatory in nature, and whether arising by general statute or
particular program statute, or by regulation, rule or order issued
pursuant thereto, the relevant records in the system of records may
be referred, as a routine use, to the appropriate agency, whether
Federal, State, local or foreign, charged with the responsibility of
investigating or prosecuting such violation or charged with enforcing
or implementing the statute, rule, regulation or order issued
pursuant thereto, provided that disclosure would be to an agency
engaged in functions related to the Railroad Unemployment Insurance
Act or provided that disclosure would be clearly in the furtherance
of the interest of the subject individual.
n. Non-medical information in this system of records may be
released to the attorney representing such individual upon receipt of
a written letter or declaration stating the fact of representation,
subject to the same procedures and regulatory prohibitions as the
subject individual. Medical information may be released to an
attorney when such records are requested for the purpose of
contesting a determination either administratively or judicially.
o. Beneficiary identifying and claim period information may be
furnished to states for the purpose of their notifying the RRB
whether claimants were paid state unemployment or sickness benefits
and also whether wages were reported for them. For claimants that a
state identifies as having received state unemployment benefits, RRB
benefit information may be furnished the state for the purpose of
recovery of the amount of the duplicate payments which is made.
p. Relevant information may be furnished to the Office of the
President for responding to an individual pursuant to an inquiry from
that individual or a third party in his/her behalf.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage: Paper.
Retrievability: Name, social security number.
Safeguards: Kept in steel file cabinets away from the general
public and are available only to district office and regional office
personnel.
Retention and disposal: Shredded five years after end of benefit
year in which originated.
System manager(s) and address:
Office of Programs--Director of Policy and Systems, Railroad
Retirement Board, 844 Rush Street, Chicago, Illinois 60611-2052.
Notification procedure: Requests for information regarding an
individual's record should be in writing addressed to the System
Manager identified above, including the full name and social security
number and claim number of the individual. Before information about
any record will be released, the System Manager may require the
individual to provide proof of identity or require the requester to
furnish an authorization from the individual to permit release of
information.
Record access procedures: See Notification section above.
Contesting record procedures: See Notification section above.
Record source categories: Individual claimant or his authorized
representative, employers, State employment and unemployment claims
records, Federal, and Social Security Administration employer
compensation reports.
RRB-7
System name: Applications for Unemployment Benefits and
Placement Service under the Railroad Unemployment Insurance Act--
RRB.
System location: District Offices: See Appendix I for addresses.
Categories of individuals covered by the system: Individuals who
have made application for unemployment benefits and employment
service.
Categories of records in the system: Name, address, account number,
age, sex, education, employer, occupation, rate of pay, reason not
working and last date worked, personal interview record, results of
investigations.
Authority for maintenance of the system: Section 12(1) of the
Railroad Unemployment Insurance Act (45 U.S.C. 362(1)).
Purpose(s):
The purpose of this system of records is to be used as an
indivudal's UI file. The records contained in the file are pertinent
to the individual's claim for unemployment benefits under the UIA.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
a. Selected information may be disclosed to prospective employers
for potential job placement.
b. In the event the Board has determined to designate a person to
be the representative payee of an incompetent beneficiary, disclosure
of information concerning the benefit amount and other similar
information may be made to the representative payee from the record
of the individual.
c. Beneficiary identification and entitlement information may be
released to third party contacts to determine if incapacity of the
beneficiary or potential beneficiary to understand or use benefits
exists, and to determine the suitability of a proposed representative
payee.
d. A record from this system of records may be disclosed to a
Federal agency, in response to its request, in connection with the
hiring or retention of an employee, the issuance of a security
clearance, the reporting of an investigation of an employee, the
letting of a contract, or the issuance of a license, grant, or other
benefit by the requesting agency, to the extent that the information
is relevant and necessary to the requesting agency's decision on the
matter, provided that disclosure would be clearly in the furtherance
of the interest of the subject individual.
e. Beneficiary identification, entitlement, and benefit rate
information may be released to the Treasury Department to control for
reclamation and return of outstanding benefit payments, to issue
benefit payments, reconcile reports of non-delivery and to insure
delivery of paymentsk to the correct address or account of the
benefiticary or representative payee.
f. Information may be referred to the U.S. Postal Service for
investigation of alleged forgery or theft of railroad unemployment or
sickness benefit checks.
g. Beneficiary identification, entitlement, and benefit rate
information may be released to the Social Security Administration,
Bureau of Supplemental Security Income, to Federal, State, and local
welfare or public aid agencies to assist them in processing
applications for benefits under their respective programs.
h. The last addresses and employer information may be disclosed
to Department of Health and Human Services in conjunction with the
Parent Locator Service.
i. Information may be released to contractors to fulfill contract
requirements pertaining to specific activities related to the
Railroad Unemployment Insurance Act.
j. Records may be disclosed to the General Accounting Office for
auditing purposes and for collection of debts arising from
overpayments under the Railroad Unemployment Insurance Act, as
amended.
k. Identifying information such as full name, address, date of
birth, social security number, employee identification number, and
date last worked, may be released to any last employer to verify
entitlement for benefits under the Railroad Unemployment Insurance
Act.
l. Disclosure may be made to a congressional office from the
record of an individual in response to an inquiry from the
congressional office made at the request of that individual.
m. Pursuant to a request from an employer covered by the Railroad
Retirement Act or the Railroad Unemployment Insurance Act,
information regarding the Board's payment of unemployment or sickness
benefits, the methods by which such benefits are calculated,
entitlement data and present address will be released to the
requesting employer for the purposes of determining entitlement to
and rates of private supplemental pension, sickness or unemployment
benefits and to calculate estimated benefits due.
n. If a request for information pertaining to an individual is
made by an official of a labor organization of which the individual
is a member and the request is made on behalf of the individual
information from the record of the individual concerning his benefit
or anticipated benefit and concerning the method of calculating that
benefit may be disclosed to the labor organization official.
o. Records may be disclosed in a court proceeding relating to any
claims for benefits by the beneficiary under the Railroad
Unemployment Insurance Act and may be disclosed during the course of
an administrative appeal to individuals who need the records to
prosecute or decide the appeal or to individuals who are requested to
provide information relative to an issue involved in the appeal.
p. In the event that this system of records, maintained by the
Railroad Retirement Board to carry out its functions, indicates a
violation or potential violation of law, whether civil, criminal or
regulatory in nature, and whether arising by general statute or
particular program statute, or by regulation, rule or order issued
pursuant thereto, the relevant records in the system may be referred,
as a routine use, to the appropriate agency, whether Federal, State,
local or foreign, charged with the responsibility of investigating or
prosecuting such violation or charged with enforcing or implementing
the statute, rule, regulation or order issued pursuant thereto,
provided that disclosure would be to an agency engaged in functions
related to the Railroad Unemployment Act or provided that disclosure
would be clearly in the furtherance of the interest of the subject
individual.
q. Non-medical information in this system of records may be
released to the attorney representing such individual upon receipt of
a written letter or declaration stating the fact of representation,
subject to the same procedures and regulatory prohibitions as the
subject individual. Medical information may be released to an
attorney when such records are requested for the purpose of
contesting a determination either administratively or judicially.
r. Relevant information may be furnished to the Office of the
President for responding to an individual pursuant to an inquiry from
that individual or a third party in his/her behalf.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage: Paper.
Retrievability: Social security number.
Safeguards: Only authorized personnel have access to the records;
offices locked during nonbusiness hours.
Retention and disposal: In routine cases, held for three years
after end of benefit year in which originated. In those with adverse
activities (claims denied), held for five years after end of benefit
year in which originated. At end of both periods, files are shredded.
System manager(s) and address:
Office of Programs--Director of Policy and Systems, Railroad
Retirement Board, 844 Rush Street, Chicago, Illinois 60611-2092
Notification procedure: Requests for information regarding an
individual's record should be in writing, including the full name,
social security number and railroad retirement claim number(if any)
of the individual. Before information about any record will be
released, the individual may be required to provide proof of
identity, or authorization from the individual to permit release of
information. such requests should be sent to: office of Programs--
Director of Operations, Railroad Retirement Board, 844 Rush Street,
Chicago, Illinois 60611-2092.
Record access procedures: See Notification section above.
Contesting record procedures: See Notification section above.
Record source categories: Individual applicant or his authorized
representative, present and former employers, State and Federal
departments of employment security, Social Security Administration
and labor organizations.
RRB-8
System name: Railroad Retirement Reconciliation System (Employee
Representatives),--RRB.
System location:
U.S. Railroad Retirement Board
844 Rush Street
Chicago, Illinois 60611
Categories of individuals covered by the system: Railroad employee
representatives covered under the Railroad Retirement Act.
Categories of records in the system: Employee quarterly or annual
railroad tax return.
Authority for maintenance of the system: Section 15 of the Railroad
Retirement Act of 1974 (45 U.S.C. 231n)
Purpose:
The purpose of this system is to ensure that the earnings of
employee representatives reported to the Internal Revenue Service for
tax purposes agree with earnings reported to the RRB for benefit
payment purposes.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
a. Service and earnings information may be released to the
Internal Revenue Service and the Treasury Department to refund excess
taxes.
b. Records may be disclosed to the General Accounting Office for
auditing purposes.
c. Service and earnings information may be released to employers
or former employers for correcting or reconstructing earnings records
for railroad retirement, supplemental or unemployment/sickness
employment tax purposes only, not to be construed as an extension of
the statutory time limitation to amend such records.
d. In the event that this system of records maintained by the
Railroad Retirement Board to carry out its functions, indicates a
violation or potential violation of law, whether civil, criminal or
regulatory in nature, and whether arising by general statute or
particular program statute, or by regulation, rule or order issued
pursuant thereto, the relevant records in the system of records may
be referred, as a routine use, to the appropriate agency, whether
federal, state, local or foreign, charged with the responsibility of
investigating or prosecuting such violation or charged with enforcing
or implementing the statute, rule, regulation or order issued
pursuant thereto, provided that disclosure would be to an agency
engaged in functions related to the Railroad Retirement Act or
provided that disclosure would be clearly in the furtherance of the
interest of the subject individual.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage: Paper.
Retrievability: Name.
Safeguards: Records are maintained in areas not accessible to the
public and are not permitted to be removed without authorization;
secured building.
Retention and disposal: Employee's representatives' quarterly tax
returns and tax reporting reconciliation file are retained for 6
years and 3 months after the period covered by the records and then
are destroyed by shredding.
System manager(s) and address:
Chief, Financial Officer, U.S. Railroad Retirement Board, 844
Rush Street, Chicago, Illinois 60611-2092.
Notification procedure: Requests for information regarding an
individual's record should be in writing addressed to the System
Manager identified above, including the full name and social security
number. Before information about any record is released, the System
Manager may require the individual to provide proof of identity or
require the requester to furnish an authorization from the individual
to permit release of information.
Record access procedures: See Notification section above.
Contesting record procedures: See Notification section above.
Record source categories: Railroad tax reports, creditable and
taxable compensation.
RRB-10
System name: Legal Opinion Files--RRB.
System location:
U.S. Railroad Retirement Board
844 Rush Street
Chicago, Illinois 60611
Categories of individuals covered by the system: Applicants for
benefits under the Railroad Retirement Act or the Railroad
Unemployment Insurance Act.
Categories of records in the system: The files include a copy of
the question submitted to the Bureau of Law for an opinion and a copy
of the legal opinion rendered by the Bureau of Law. There may be
copies of any correspondence between the Board and the individual or
his employer concerning the question presented.
Authority for maintenance of the system: Section 7(b)(6) of the
Railroad Retirement Act of 1974 (45 U.S.C. 231f(b)(6)) and section
12(1) of the Railroad Unemployment Insurance Act (45 U.S.C. 362(1)).
Purpose(s):
The RRB needs to collect and maintain information contained in
this system of records in order to make decisions regarding the
claims for benefits of individual under various Acts administered by
the RRB.I08Routine uses of records maintained in the system,
including categories of users and the purposes of such uses: In the
event that this system of records, maintained by the Railroad
Retirement Board to carry out its functions, indicates a violation or
potential violation of law, whether civil, criminal or regulatory in
nature, and whether arising by general statute or particular program
statute, or by regulation, rule or order issued pursuant thereto, the
relevant records in this system of records may be referred, as
routine use, to the appropriate agency, whether federal, state, local
or foreign, charged with the responsibility of investigating or
prosecuting such violation or charged with enforcing or implementing
the statute, rule, regulation or order issued pursuant thereto,
provided that disclosure would be to an agency engaged in functions
related to the Railroad Retirement Act, the Railroad Unemployment
Insurance Act, the Milwaukee Railroad Restructuring Act, the Rock
Island Railroad Transition and Employee Assistance Act or that
disclosure would be clearly in the furtherance of the interest of the
subject individual.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage: Paper.
Retrievability: Name.
Safeguards: Stored in areas not accessible to the public in offices
locked during non-business hours; access to these files is restricted
to attorneys and other authorized Board employees.
Retention and disposal:
Opinions of precedential interest or otherwise of lasting
significance, and correspondence related to these opinions are
retained permanently. Opinions of limited significance beyond the
particular case, and correspondence related to these opinions, are
retained in the individual's claim folder, if any, established under
the Railroad Retirement Act. When no folder exists, these opinions,
are destroyed by shredding 2 years after the date of the last action
taken by the Bureau of Law on the matter.
System manager(s) and address: Deputy General Counsel, U.S.
Railroad Retirement Board, 844 Rush Street, Chicago, Illinois 60611
Notification procedure: Requests for information regarding an
individual's record should be in writing addressed to the System
Manager identified above, including the full name, social security
number and claim number of the individual. Before information about
any record will be released, the System Manager may require the
individual to provide proof of identity or require the requester to
furnish an authorization from the individual to permit release of
information.
Record access procedures: See Notification section above.
Contesting record procedures: See Notification section above.
Record source categories: The subject person's authorized
representative, other record systems maintained by the Railroad
Retirement Board, employers.
RRB--11
System name: Files on Concluded Litigation-RRB.
System location: U.S. Railroad Retirement Board, 844 Rush Street,
Chicago, Illinois 60611.
Categories of individuals covered by the system: Railroad
employees, retired railroad employees, and individuals with some
creditable railroad service who are involved in litigation in which
the Railroad Retirement Board has some interest as a party or
otherwise.
Categories of records in the system: Legal briefs, reports on legal
or factual issues involving copies of subpoenas which may have been
issued, copies of any motions filed, transcripts of any depositions
taken, garnishment process, correspondence received and copies of any
correspondence released by the Board pertaining to the case, copies
of any court rulings, and copies of the final decision in the case.
Authority for maintenance of the system: Section 7(b)(6) of the
Railroad Retirement Act of 1974 (45 U.S.C. 231f(b)(6)) and section
12(1) of the Railroad Unemployment Insurance Act (45 U.S.C. 362(1)).
Purpose(s):
The RRB needs to collect and maintain records of concluded
litigation to which the RRB was a party.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses: In the event that
this system of records, maintained by the Railroad Retirement Board
to carry out its functions, indicates a violation or potential
violation of law, whether civil, criminal or regulatory in nature,
and whether arising by general statute or particular program statute,
or by regulation, rule or order issued pursuant thereto, the relevant
records in this system of records may be referred, as a routine use,
to the appropriate agency, whether federal, state, local or foreign,
charged with the responsibility of investigating or prosecuting such
violation or charged with enforcing or implementing the statute,
rule, regulation or order issued pursuant thereto, provided that
disclosure would be to an agency engaged in functions related to the
Railroad Retriement Act, the Railroad Unemployment Insurance Act, the
Milwaukee Railroad Restructuring Act, or the Rock Island Railroad
Transition and Employee Assistance Act or provided that disclosure
would be clearly in the furtherance of the interest of the subject
individual.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage: Paper.
Retrievability: Name.
Safeguards: Stored in areas not accessible to the public in offices
locked during non-business hours; access to these files is restricted
to attorneys and other authorized Board employees.
Retention and disposal:
Files relating to cases of precedential interest are retained
permanently. Files of cases involving routine matters, other than
garnishments, are retained for 5 years after the case is closed, then
shredded. Files relating to garnishment of benefits are retained
until 2 years after the date garnishment terminates, then destroyed.
System manager(s) and address: Deputy General Counsel, U.S.
Railroad Retirement Board, 844 Rush Street, Chicago, Illinois 60611.
Notification procedure: Requests for information regarding an
individual's record should be in writing addressed to the System
Manager identified above, including the full name and social security
number and claim number of the individual. Before information about
any record will be released, the System Manager may require the
individual to provide proof of identity or require the requester to
furnish an authorization from the individual to permit release of
information.
Record access procedures: See Notification section above.
Contesting record procedures: See Notification section above.
Record source categories: The individual himself or his authorized
representative, other record systems maintained by the Railroad
Retirement Board, employers, the Social Security Administration.
RRB-12
System name: Railroad Employees' Registration File--RRB.
System location:
U.S. Railroad Retirement Board
844 Rush Street
Chicago, Illinois 60611
Categories of individuals covered by the system: Individuals who
had any employment for a railroad employer after 1936 who were
assigned Social Security Numbers beginning with 700 through 728. (Use
of the registration form was discontinued January 1, 1981.)
Categories of records in the system: Railroad employee's name,
address, social security number, date of birth, place of birth,
mother's and father's names, sex, occupation and employer.
Authority for maintenance of the system: Section 7(b)(6) of the
Railroad Retirement Act of 1974 (45 U.S.C. 231f(b)(6)).
Purpose(s):
The purpose of the system is to provide information on railroad
employees who completed Carrier Employee Registration forms (CER) to
apply for a Social Security number (SSN). The information on these
CERA-1 forms was available only at the Railroad Retirement Board.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
a. Records which consist of Name, date and place of birth, social
security number, and parents' names may be disclosed to the Social
Security Administration to verify social security number and date of
birth.
b. Records may be disclosed in a court proceeding relating to any
claims for benefits by the beneficiary under the Railroad Retirement
Act, or Unemployment Insurance Act and may be disclosed during the
course of an administrative appeal to individuals who need the
records to prosecute or decide the appeal or to individuals who are
requested to provide information relative to an issue involved in the
appeal.
c. Records may be released to contractors to fulfill contract
requirements pertaining to specific activities related to the
Railroad Retirement Act and/or the Railroad Unemployment Insurance
Act.
d. Information in this system of records may be released to the
attorney representing such individual in connection with the
individual's claim for benefits under the Railroad Retirement Act or
the Railroad Unemployment Insurance Act, upon receipt of a written
letter or declaration stating the fact of representation, subject to
the same procedures and regulatory prohibitions as the subject
individual.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage: Microfiche.
Retrievability: Social security number.
Safeguards: Stored in steel cabinets; available to authorized unit
personnel.
Retention and disposal: Permanent retention.
System manager(s) and address: Office of Programs--Director of
Policy and Systems, Railroad Retirement Board, 844 Rush Street,
Chicago, Illinois 60611-2092.
Notification procedure: Requests for information regarding an
individual's record should be in writing addressed to the System
Manager identified above, including the full name and social security
number and claim number of the individual. Before information about
any record will be released, the System Manager may require the
individual to provide proof of identity or require the requester to
furnish an authorization from the individual to permit release of
information.
Record access procedures: See Notification section above.
Contesting record procedures: See Notification section above.
Record source categories: Railroad employee and employer.
RRB-16
System name: Social Security Administration Master Earnings
File--RRB.
System location:
U.S. Railroad Retirement Board
844 Rush Street
Chicago, Illinois 60611
Categories of individuals covered by the system:
Employees who have at least 108 creditable service months under
the Railroad Retirement Act (RRA) or who attain eligibility for RRA
benefits when military service is included as creditable railroad
service.
Categories of records in the system: Social security account
number, name, date of birth, gender, social security claim status,
details of earnings and periods of employment that are creditable
under the Social Security Act for years after 1936.
Authority for maintenance of the system: Section 7(b)(6) of the
Railroad Retirement Act of 1974 (45 U.S.C. 231(b)(6)).
Purpose(s):
The purpose of this system of records is to have Social Security
Act earnings information available to RRB benefit programs for
determinations related to RRA benefit entitlement and amount. The
records are stored in the Employment Data Maintenance database.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses: Internal use only.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage: Mainframe computer database.
Retrievability: Social security account number and name.
Safeguards: Mainframe computer database; computer and computer
storage rooms are restricted to authorized personnel; on-line query
safeguards include a lock/unlock password system; a terminal oriented
transaction matrix; and an audit trail.
Retention and disposal: Updates are made to database weekly using
files transmitted to RRB from SSA over telephone lines.
System manager(s) and address: Office of Programs--Director of
Policy and Systems, Railroad Retirement Board, 844 Rush Street,
Chicago, Illinois 60611-2092.
Notification procedure: Requests for information regarding an
individual's record should be in writing, including the full name,
social security number and railroad retirement claim number(if any)
of the individual. Before information about any record will be
released, the individual may be required to provide proof of
identity, or authorization from the individual to permit release of
information. Such requests should be sent to: Office of Programs--
Assessment and Training, Chief of Employer Service and Training
Center, Railroad Retirement Board, 844 Rush Street, Chicago, Illinois
60611-2092.
Record access procedures: See Notification section above.
Contesting record procedures: See Notification section above.
Record source categories: Social Security Administration.
RRB-17
System name: Appeal Decisions from Initial Denials for Benefits
Under the Provisions of the Railroad Retirement Act or the
Railroad Unemployment Insurance Act.
System location:
U.S. Railroad Retirement Board
844 Rush Street
Chicago, Illinois 60611
Categories of individuals covered by the system: Appellants under
the provisions of the Railroad Retirement Act and the Railroad
Unemployment Insurance Act.
Categories of records in the system: Narrative of the facts and law
pertinent to the decision made by the appeals referee.
Authority for maintenance of the system: Section 7(b)(6) of the
Railroad Retirement Act of 1974 (45 U.S.C. 231f(b)(6); sec. 12(1) of
the Railroad Unemployment Insurance Act (45 U.S.C. 362(1)).
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
a. Disclosure may be made to a congressional office from the
record of an individual in response to an inquiry from the
congressional office made at the request of that individual.
b. Pursuant to a request from an employer covered by the Railroad
Retirement Act, information regarding the Board's payment of
benefits, the methods by which such benefits are calculated,
entitlement data and present address may be released to the
requesting employer for the purposes of determining entitlement to
and rates of private supplemental pension, sickness or unemployment
benefits and to calculate estimated benefits due.
c. If a request for information pertaining to an individual is
made by an official of a labor organization of which the individual
is a member and the request is made on behalf of the individual,
information from the record of the individual concerning his benefit
or anticipated benefit and concerning the method of calculating that
benefit may be disclosed to the labor organization official.
d. Records may be disclosed in a court proceeding relating to any
claims for benefits by the beneficiary under the Railroad Retirement
Act and may be disclosed during the course of an administrative
appeal to individuals who need the records to prosecute or decide the
appeal or to individuals who are requested to provide information
relative to an issue involved in the appeal.
e. In the event that this system of records, maintained by the
Railroad Retirement Board to carry out its functions, indicates a
violation or potential violation of law, whether civil, criminal or
regulatory in nature, and whether arising by general statute or
particular program statute, or by regulation, rule or order issued
pursuant thereto, the relevant records in this system of records may
be referred, as a routine use, to the appropriate agency, whether
federal, state, local or foreign, charged with the responsibility of
investigating or prosecuting such violation or charged with enforcing
or implementing the statute, rule, regulation or order issued
pursuant thereto, provided that disclosure would be to an agency
engaged in functions related to the Railroad Retirement Act or that
disclosure would be clearly in the furtherance of interest of the
subject individual.
f. Non-medical information in this system of records may be
released to the attorney representing such individual upon receipt of
a written letter or declaration stating the fact of representation,
subject to the same procedures and regulatory prohibitions as the
subject individual. Medical information may be released to an
attorney when such records are requested for the purpose of
contesting a determination either administratively or judically.
g. Relevant information may be furnished to the Office of the
President for responding to an individual pursuant to an inquiry from
that individual or a third party in his/her behalf.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage: Paper.
Retrievability: Claim number or social security number, Bureau of
Hearings and Appeals appeal number, or Bureau of Hearings and Appeal
decision number.
Safeguards: Only authorized personnel have access to these records
which are kept in an office that is locked at the close of business
each day and remains so until start of business the next day.
Retention and disposal: The decisions are retained for a period of
2 years and then destroyed by shredding.
System manager(s) and address:
Director of Hearings and Appeals
U.S. Railroad Retirement Board
844 Rush Street
Chicago, Illinois 60611
Notification procedure: Requests for information regarding an
individual's record should be in writing addressed to the System
Manager identified above, including the full name and social security
number and claim number of the individual. Before information about
any record will be released, the System Manager may require the
individual to provide proof of identity or require the requester to
furnish an authorization from the individual to permit release of
information.
Record access procedures: See Notification section above.
Contesting record procedures: See Notification section above.
Record source categories: Information furnished by the appellant or
his/her authorized representative, information developed by the
hearings officer relevant to the appeal, and information contained in
othere record systems maintained by the Railroad Retirement Board.
RRB-18
System name: Travel and Miscellaneous Voucher Examining System--
RRB.
System location:
U.S. Railroad Retirement Board
844 Rush Street
Chicago, Illinois 60611
Categories of individuals covered by the system: Railroad
Retirement Board employees.
Categories of records in the system: Travel vouchers, miscellaneous
reimbursement vouchers.
Authority for maintenance of the system: Section 7(b)(6) of the
Railroad Retirement Act of 1974 (45 U.S.C. 231f(b)(6)) and Section
12(1) of the Railroad Unemployment Insurance Act (45 U.S.C. 362(1)).
Purpose(s);
The system is used to pay the operating expenses of the agency
excluding payroll. Payment is made to vendors for goods and services.
Employees are reimbursed for travel expenses related to the
performance of their jobs. Payments are made within Federal limits
and applicable guidelines.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
a. Identifying information and check amount may be released to
the Treasury Department to issue checks.
b. Records may be disclosed to the General Accounting Office for
auditing purposes.
c. Identifying information, check number, date and amount may be
released to the U.S. Postal Service for investigation of alleged
forgery or theft of reimbursement checks.
d. In the event that this system of records, maintained by the
Railroad Retirement Board to carry out its functions, indicates a
violation or potential violation of law, whether civil, criminal or
regulatory in nature, and whether arising by general statute or
particular program statute, or by regulation, rule or order issued
pursuant thereto, the relevant records in this system of records may
be referred, as a routine use, to the appropriate agency, whether
federal, state, local or foreign, charged with the responsibility of
investigating or prosecuting such violation or charged with enforcing
or implementing the statute, rule, regulation or order issued
pursuant thereto.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage: Paper and microfiche.
Retrievability: Name.
Safeguards: Records are maintained in areas not accessible to the
public and are not permitted to be removed without authorization;
secured building.
Retention and disposal: Retain at headquarters for two years then
to Chicago Federal Records Center--GSA will destroy when authorized
by General Accounting Office.
System manager(s) and address:
Chief Financial Officer, U.S. Railroad Retirement Board, 844
Rush Street, Chicago, Illinois 60611-2092
Notification procedure: Requests for information regarding an
individual's record should be in writing addressed to the System
Manager identified above, including the full name and social security
number and claim number of the individual. Before information about
any record will be released, the System Manager may require the
individual to provide proof of identity or require the requester to
furnish an authorization from the individual to permit release of
information.
Record access procedures: See Notification section above.
Contesting record procedures: See Notification section above.
Record source categories: Employees travel records, memoranda from
Regional Directors, and purchase orders.
RRB-19
System name: Payroll Record System-RRB.
System location: U.S. Railroad Retirement Board, 844 Rush Street,
Chicago, Illinois 60611.
Categories of individuals covered by the system: Railroad
Retirement Board employees.
Categories of records in the system: Time, leave, payroll
information, and supporting documentation relating to participation
in the agency's transit benefit program.
Authority for maintenance of the system: Pay Acts as amended.
Purpose(s):
The purpose of this system is to maintain employee data related
to earnings. This includes hours worked, time off, and premium pay.
It is also used to calculate employee gross to net pay based on
mandatory and elective deductions. Earnings data is accumulated and
reported to Federal, State, and local taxing authorities. Employee
benefit data is reported to the Office of Personnel Management to
ensure accuracy and proper coverage.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
a. Salary and tax information may be disclosed to the Internal
Revenue Service, the Social Security Administration, and state and
city taxing authorities for tax purposes.
b. Service history including pay, benefits, salary deductions for
retirement, and other information necessary may be disclosed to the
Office of Personnel Management for use in the computation of civil
service annuities and to carry out its Government-wide personnel
management functions.
c. Computer payment information may be released to the Department
of Treasury for issuance of salary payments.
d. Identification information, check number, data and amount,
plus other supporting evidence may be forwarded to the U.S. Postal
Service for investigation of alleged forgery or theft of salary
checks.
e. The last known address and employer information may be
released to Department of Health and Human Services in conjunction
with the Parent Locator Service.
f. Records may be disclosed to the General Accounting Office for
auditing purposes.
g. In the event that this system of records, maintained by the
Railroad Retirement Board to carry out its functions, indicates a
violation or potential violation of law, whether civil, criminal or
regulatory in nature, and whether arising by general statute or
particular program statute, or by regulation, rule or order issued
pursuant thereto, the relevant records in the system of records may
be referred, as a routine use, to the appropriate agency, whether
federal, state, local or foreign, charged with the responsibility of
investigating or prosecuting such violation or charged with enforcing
or implementing the statute, rule, regulation or order issued
pursuant thereto.
h. A copy of the employee's Form W-2, Wage and Tax Statement, or
other similar form containing the name, social security number,
taxable earnings and amounts withheld, may be released to the state,
city or other local jurisdiction which is authorized to tax the
employee's compensation in accordance with a withholding agreement
between the state, city or other local jurisdiction, and the
Department of the Treasury or the Social Security Administration, or
in absence thereof, in response to a written request from an
appropriate official of the taxing jurisdiction to the Director of
Budget and Fiscal Operations, U.S. Railroad Retirement Board, 844
Rush Street, Chicago, Illinois, 60611.
i. For employees identified as having defaulted in the repayment
of an obligation incurred under any statutory authority except the
Internal Revenue Code, the Social Security Act or the U.S. tariff
laws, pertinent payroll information, including home address
information, may be disclosed to other Federal agencies for the
purpose of collecting debts owed to those agencies or the RRB.
k. Transit benefit program documentation may be furnished to the
Internal Revenue Service for tax administration purposes.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Paper, tape and microfiche.
Retrievability:
Social security number and name.
Safeguards:
Housed in security building and maintained in areas not
accessible to the public; information released only at employee's
request or to approved federal and local authorities.
Retention and disposal:
Consolidated pay tapes, first two master tapes, and last two
master tapes for each year: Destroyed by erasing 3 years after close
of calendar year in which prepared. Security record-current check
issue tape: Destroyed by erasing when National Personnel Records
Center receives second subsequent document covering same type of
document. Paper: Destroyed by shredding after 3 years. Microfilm:
Retained until replaced by a new record, usually within 1 year.
Obsolete microfiche is destroyed by shredding.
System manager(s) and address: Chief Financial Officer, U.S.
Railroad Retirement Board, 844 Rush Street, Chicago, Illinois. 60611-
2092.
Notification procedure: Requests for information regarding an
individual's record should be in writing addressed to the System
Manager identified above, including the full name and social security
number of the individual. Before information about any record will be
released, the System Manager may require the individual to provide
proof of identity or require the requester to furnish an
authorization from the individual to permit release of information.
Record access procedures: See Notification section above.
Contesting record procedures: See Notification section above.
Record source categories: Railroad Retirement Board employees
personnel action, time and attendance reports, deduction
authorizations.
RRB-20
System name: Health Insurance and Supplementary Medical
Insurance Enrollment and Premium Payment System (MEDICARE)-RRB.
System location: U.S. Railroad Retirement Board, 844 Rush Street,
Chicago, Illinois 60611.
District and Regional Offices: See Appendix I for addresses.
Categories of individuals covered by the system: Qualified Railroad
Retirement beneficiaries who are eligible for medicare coverage,
attending physicians, chiropractors and physical therapists.
Categories of records in the system: Claim number, social security
number, name, address, type of beneficiary under the Railroad
Retirement Act, date of birth, method of Supplementary Medical
Insurance premium payment, enrollment status, amount of premium,
paid-thru date, third party premium payment information, coverage
jurisdiction determination, direct premium billing and premium refund
accounting, correspondence from beneficiaries, physicians suspected
of overutilization and those suspended from payment by Medicare.
Authority for maintenance of the system: Section 7(d) of the
Railroad Retirement Act of 1974 (45 U.S.C. 231f(d)).
Purpose(s):
Records in this sytem are maintained to adminster Title XVIII of
the Social Security Act for qualified railroad retirement
beneficiaries.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses: a. Beneficiary
identification, enrollment status and premium deductions information
may be released to the Social Security Administration and the Health
Care Financing Administration to correlate actions with the
administration of Title II and Title XVIII (MEDICARE) of the Social
Security Act.
b. Beneficiary identification may be disclosed to third party
contacts to determine if incapacity of the beneficiary or potential
beneficiary to understand or use benefits exists, and to determine
the suitability of a proposed representative payee.
c. In the event the Board has determined to designate a person to
be the representative payee of an incompetent beneficiary, disclosure
of information concerning the benefit amount and other similar
information may be made from the record of the individual to the
representative payee.
d. Data may be disclosed to Department of Health and Human
Services for reimbursement for work done under reimbursement
provisions of Title XVIII of the Social Security Act, as amended.
e. Jurisdictional clearance, premium rates, coverage election,
paid-through date, and amounts of payments in arrears may be released
to the Social Security Administration and the Health Care Financing
Administration to assist those agencies in administering Title XVIII
of the Social Security Act, as amended.
f. Beneficiary identifying information, date of birth, sex,
premium rate paid thru date, and Medicare Part A and Part B
entitlement date/end date may be disclosed to ffect state buy-in and
third party premium payments.
g. Payment data may be disclosed to consultants to determine
reasonable charges for hospital insurance payments in Canada.
h. Entitlement data may be disclosed to primary beneficiaries
regarding secondary beneficiaries (or vice versa) when the addition
of such beneficiary affects entitlement.
i. Records may be released to contractors to fulfill contract
requirements pertaining to specific activities related to the
Railroad Retirement Act and Social Security Act, as amended.
j. Beneficiary last address information may be disclosed to
Department of Health and Human Services in conjunction with the
Parent Locator Service.
k. Beneficiary identification, entitlement data and rate
information may be released to the Department of State and embassy
officials, to the American Institute on Taiwan, and to the Department
of Veterans Affairs Regional Office, Philippines, to aid in the
development of applications, supporting evidence and the continued
eligibility of beneficiaries and potential beneficiaries living
abroad.
l. Records may be released to the General Accounting Office for
auditing purposes and for collection of debts arising from
overpayments under Title XVIII of the Social Security Act, as
amended.
m. Disclosure may be made to a congressional office from the
record of an individual in response to an inquiry from the
congressional office made at the request of that individual.
n. Pursuant to a request from an employer covered by the Railroad
Retirement Act or the Railroad Unemployment Insurance Act, or from an
insurance company acting as an agent orof an employer, information
regarding the RRB's determination of Medicare entitlement,
entitlement data, and present address may be released to the
requesting employer or insurance company acting as its agent for the
purposes of either determining entitlement to and rates of
supplemental benefits under private employer welfare benefit plans or
complying with requirements of law covering the Medicare program..
o. If a request for information pertaining to an individual is
made by an official of a labor organization of which the individual
is a member and the request is made on behalf of the individual,
information from the record of the individual concerning his or her
entitlement to Medicare may be disclosed to the labor organization
official.
p. Records may be disclosed in a court proceeding relating to any
claims for benefits by the beneficiary under the Railroad Retirement
Act, or Social Security Act and may be disclosed during the course of
an administrative appeal to individuals who need the records to
prosecute or decide the appeal or to individuals who are requested to
provide information relative to an issue involved in the appeal.
q. In the event that this system of records, maintained by the
Railroad Retirement Board to carry out its functions, indicates a
violation or potential violation of law, whether civil, criminal or
regulatory in nature, and whether arising by general statute or
particular program statute, or by regulation, rule or order issued
pursuant thereto, the relevant records in this system of records may
be referred, as a routine use, to the appropriate agency, whether
federal, state, local or foreign, charged with the responsibility of
investigating or prosecuting such violation or charged with enforcing
or implementing the statute, rule, regulation or order issued
pursuant thereto, provided that disclosure would be to an agency
engaged in functions related to the Railroad Retirement Act or
provided that disclosure would be clearly in the furtherance of the
interest of the subject individual.
r. Information in this system of records may be released to the
attorney representing such individual in connection with the
individual's claim for benefits under the Railroad Retirement Act and
Title XVIII of the Social Security Act, as amended, upon receipt of a
written letter or declaration stating the fact of representation,
subject to the same procedures and regulatory prohibitions as the
subject individual.
s. Information may be disclosed to the Department of the Treasury
for the purpose of investigating alleged forgery or theft of Medicare
reimbursement checks.
t. Information may be disclosed to the U.S. Postal Service for
investigating alleged forgery or theft of Medicare checks.
u. Relevant information may be disclosed to the Office of the
President for responding to an individual pursuant to an inquiry from
that individual for a third party in his/her behalf.
v. Identifying information about Medicare-entitled beneficiaries
who may be working may be disclosed to the Health Care Financing
Administration for the purposes of determining whether Medicare
should be the secondary payer of benefits for such individuals.
w. Whether a qualified railroad retirement beneficiary is
enrolled in Medicare part A or part B, and if so, the effective
date(s) of such enrollment may be disclosed to a legitimate health
care provider, in response to its request, when such information is
needed to verify Medicare enrollment.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage: Paper, magnetic tape and microfilm.
Retrievability: Claim number, social security number, full name.
Safeguards: Records are maintained in areas not accessible by the
public and are not permitted to be removed from headquarters without
authorization.
Retention and disposal:
Paper: Computer printouts, including daily and monthly
statistics, premium payment listings, state-buy-in listings and
voucher listings are kept for 2 years, transferred tot he Federal
Records Center, and destroyed when 5 years old. Other copies of
computer printouts are maintained for 1 year, then shredded.
Applications material in individual claim folders with records of all
actions pertaining to the payment or denial or claims are transferred
tot he Federal Record Center, Chicago, Illinois 5 years after the
date of last payment or denial activity if all benefits have been
paid, no future eligibility is apparent and no erroneous payments are
outstanding. The claim folder is destroyed 25 years after the date it
is received in the center.
Magnetic tape: Updated weekly. Obsolete tape is written over.
Microfilm: Originals are kept for 3 years, transferred to the
Federal Records Center and destroyed 3 years and 3 months after
receipt at the center. One copy is kept 3 years then destroyed when 6
months old or no longer needed for administrative use, whichever is
sooner.
System manager(s) and address: Office of Programs--Director of
Policy and Systems, Railroad Retirement Board, 844 Rush Street,
Chicago, Illinois 60611-2092.
Notification procedure: Requests for information regarding an
individual's records should be in writing, including the full name,
social security number and railroad retirement claim number (if any)
of the individual. Before information about any record will be
released, the individual may be required to provide proof of
identity, or authorization from the individual to permit release of
information. Such requests should be sent to: Office of Programs--
Director of Operations, Railroad Retirement Board, 844 Rush Street,
Chicago, Illinois 60611-2092.
Record access procedures: See Notification section above.
Contesting record procedures: See Notification section above.
Record source categories: Applicant (the qualified railroad
beneficiary), his/her representative, Social Security Administration,
Health Care Financing Administration, United Health Care Insurance
Company, Federal, State or local agencies, their party premium
payers, all other Railroad Retirement Board files, physicians.
RRB-21
System name: Railroad Unemployment and Sickness Insurance
Benefit System-RRB.
System location: U.S. Railroad Retirement Board, 844 Rush Street,
Chicago, Illinois 60611.
Regional and District Offices: See Appendix I for addresses.
Categories of individuals covered by the system: Applicants and
claimants for unemployment and sickness (including maternity)
benefits under the Railroad Unemployment Insurance Act: Some railroad
employees injured at work who did not apply for Railroad Unemployment
Insurance Act benefits; all railroad employees paid separation
allowances.
Categories of records in the system:
Information pertaining to payment or denial of an individual's
claim for benefits under the Railroad Unemployment Insurance Act:
Name, address, sex, social security number, date of birth, total
months of railroad service (including creditable military service),
total creditable compensation for base year, last employer and date
last worked before applying for benefits, last rate of pay in base
year, reason not working, applications and claims filed, benefit
information for each claim filed, disqualification periods and
reasons for disqualification, entitlement to benefits under other
laws, benefit recovery information about personal injury claims and
pay for time not worked, medical reports, placement data,
correspondence and telephone inquiries to and about the claimant,
record of protest or appeal by claimant of adverse determinations
made on his claims.
Authority for maintenance of the system: Section 12(1) of the
Railroad Unemployment Insurance Act (45 U.S.C. 351, et. seq.).
Purpose(s):
The purpose of this system of records is to carry out the
function of collecting and storing information in order to adminster
the benefit program under the Railroad Unemployment Insurance Act.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
a. Beneficiary identifying information may be disclosed to third
party contacts to determine if incapacity of the beneficiary or
potential beneficiary to understand or use benefits exists, and to
determine the suitability of a proposed representative payee.
b. In the event the Board has determined to designate a person to
be the representative payee of an incompetent beneficiary, disclosure
of information concerning the benefit amount and other similar
information may be made to the representative payee from the record
of the individual.
c. Beneficiary identifying information, address, check rate, date
and number may be released to the Treasury Department to control for
reclamation and return outstanding benefit payments, to issue benefit
payments, respond to reports of non-delivery and to insure delivery
of check to the correct address or account of the beneficiary or
representative payee.
d. Beneficiary identifying information, address, payment rate,
date and number, plus other necessary supporting evidence may be
released to the U.S. Postal Service for investigation of alleged
forgery or theft of railroad unemployment/sickness benefit payments.
e. A record from this system of records may be disclosed to a
Federal agency, in response to its request, in connection with the
hiring or retention of an employee, the issuance of a security
clearance, the reporting of an investigation of an employee, the
letting of a contract, the issuance of a license, grant, or other
benefit by the requesting agency, to the extent that the information
is relevant and necessary to the requesting agency's decision in the
matter, provided that disclosure would be clearly in the furtherance
of the interest of the subject individual.
f. Under Section 2(f), the Railroad Retirement Board has the
right to recover benefits paid to an employee who later receives
remuneration for the same period, therefore, the Railroad Retirement
Board may notify the person or company paying the remuneration of the
Board's right to recovery and the amount of benefits to be refunded.
g. Under Section 12(o), the Railroad Retirement Board is entitled
to reimbursement of sickness benefits paid on account of the
infirmity for which damages are paid, consequently, the Railroad
Retirement Board may send a notice of lien to the liable party, and,
upon request by the liable party, advise the amount of benefits
subject to reimbursement.
h. Records may be disclosed to contractors to fulfill contract
requirements pertaining to specific activities related to the
Railroad Unemployment Insurance Act.
i. Beneficiary identifying information, rate and entitlement data
may be released to the Social Security Administration to correlate
actions with the administration of the Social Security Act.
j. The last addresses and employer information may be released to
Department of Health and Human Services in conjunction with the
Parent Locator Service.
k. Benefit rate, entitlement and periods paid may be disclosed to
the Social Security Administration, Bureau of Supplemental Security
Income to federal, state and local welfare or public aid agencies to
assist them in processing applications for benefits under their
respective programs.
l. Beneficiary identifying information, entitlement, rate and
other pertinent data may be released to the Department of Labor in
conjunction with payment of benefits under the Federal Coal Mine and
Safety Act.
m.[Reserved]
n. Records may be referred to the General Accounting Office for
auditing purposes and for collection of debts arising from
overpayments under the Railroad Unemployment Insurance Act.
o. If a request for information pertaining to an individual is
made by an official of a labor organization, of which the individual
is a member, information from the record of the individual concerning
his benefit or anticipated benefit and concerning the method of
calculating that benefit may be disclosed to the labor organization
official.
p. Pursuant to a request from an employer covered by the Railroad
Retirement Act or the Railroad Unemployment Insurance Act, or from an
organization under contract to an employer or employers, information
regarding the Board's payment of unemployment or sickness benefits,
the methods by which such benefits are calculated, entitlement data
and present address may be released to the requesting employer or the
organization under contract to an employer or employers for the
purposes of determining entitlement to and rates of private
supplemental pension, sickness or unemployment benefits and to
calculate estimated benefits due.
q. Disclosure may be made to a congressional office from the
record of an individual in response to an inquiry from the
congressional office made at the request of that individual.
r. Records may be disclosed in a court proceeding relating to any
claims for benefits by the beneficiary under the Railroad
Unemployment Insurance Act and may be disclosed during the course of
an administrative appeal to individuals who need the records to
prosecute or decide the appeal or to individuals who are requested to
provide information relative to an issue involved in the appeal.
s. In the event that this system of records, maintained by the
Railroad Retirement Board to carry out its function, indicates a
violation, or potential violation of law, whether civil, criminal or
regulatory in nature, and whether arising by general statute or
particular program statute, or by regulation, rule or order issued
pursuant thereto, the relevant records in the system of records may
be referred, as a routine use, to the appropriate agency, whether
federal, state, local or foreign, charged with the responsibility of
investigating or prosecuting such violation or charged with enforcing
or implementing the statute, rule, regulation or order issued
pursuant thereto, provided that disclosure would be to an agency
engaged in functions related to the Railroad Retirement Act or the
Railroad Unemployment Insurance Act or provided that disclosure would
be clearly in the furtherance of the interest of the subject
individual.
t. Non-medical information in this system of records may be
released to the attorney representing such individual upon receipt of
a written letter or declaration stating that fact of representation,
subject to the same procedures and regulatory prohibitions as the
subject individual. Medical information may be released to an
attorney when such records are requested for the purpose of
contesting a determination either administratively or judicially.
u. Beneficiary identifying information, entitlement data, benefit
rates and periods paid may be released to the Department of Veterans
Affairs to verify continued entitlement to benefits.
v. Identifying information such as full name, social security
number, employee identification number, date last worked, occupation,
and location last worked may be released to any last employer to
verify entitlement for benefits under the Railroad Unemployment
Insurance Act.
w. The amount of unemployment benefits paid, if 10 dollars or
more in a calendar year, and claimant identifying information, may be
furnished to the Internal Revenue Service for tax administration
purposes.
x. The name and address of a claimant may be released to a Member
of Congress when the Member requests it in order that he or she may
communicate with the claimant about legislation which affects the
railroad unemployment insurance system.
y. Beneficiary identifying and claim period information may be
furnished to states for the purposes of their notifying the RRB
whether claimants were paid state unemployment or sickness benefits
and also whether wages were reported for them. For claimants that a
state identifies as having received state unemployment or sickness
benefits, RRB benefit information may be furnished the state for the
purpose of recovery of the amount of the duplicate payments which is
made.
z. The amount of each sickness benefit that is subject to a tier
1 railroad retirement tax and the amount of the tier 1 tax withheld
may be disclosed to the claimant's last railroad employer to enable
that employer to compute its tax liability under the Railroad
Retirement Tax Act.
aa. Relevant information may be furnished to the Office of the
President for responding to an individual pursuant to an inquiry from
that individual or a third party in his/her behalf.
bb. The amount of sickness benefits paid and claimant identifying
information, except for sickness benefits paid for an on-the-job
injury, may be furnished to the Internal Revenue Service for tax
administration purposes.
cc. Entitlement data and benefit rates may be released to any
court, state agency, or interested party, or to the representative of
such court, state agency, or interested party in connection with
contemplated or actual legal or administrative proceedings concerning
domestic relations and support matters.
dd. Identifying information and information about a claim for
benefits filed may be disclosed to an employee's base-year railroad
employer and the employee's most recent railroad employee's most
recent railroad employer, if different, in order to afford that
employer or those employers the opportunity to submit information
concerning the claim. In addition, after the claim has been paid, if
the base-year railroad employer appeals the decision awarding
benefits, all information regarding the claim may be disclosed to
such base-year railroad employer that is necessary and appropriate
for it to fully exercise its rights of appeal.
ee. Non-medical information relating to the determination of
sickness benefits may be disclosed to an insurance company
administering a medical insurance program for railroad workers for
purposes of determining entitlement to benefits under that program.
ff. Scrambled Social Security Number and complete home address
nformation of unemployment claimants may be furnished to the Bureau
of Labor Statistics for use in its Local Area Unemployment Statistics
(LAUS) program.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage: Paper, magnetic and optical media, and microforms.
Retrievability: Social Security number (claim number) and name.
Safeguards:
Paper and microforms: Maintained in areas not accessible to the
public; offices are locked during non-business hours. Magnetic tape
and magnetic disk; computer and computer storage rooms are restricted
to authorized personnel; on-line query safeguards include a lock/
unlock password system, a terminal oriented transaction matrix and an
audit trail; for computerized records electronically trransmitted
between headquarters and field office locations, systems securities
are established din accordance with National Bureau of Standards
guidelines. In addition to the online query safeguards, they include
encryption of all data transmitted and exclusive use of leased
telephone lines.
Retention and disposal:
Paper-Transferred to the Chicago Federal Records Center 1 year
after the end of the benefit year during which the case was closed
and then destroyed by shredding 6 years and 3 months after the end of
the benefit year. In benefit recovery cases, the file is transferred
to the Federal Records Center if there has been no recent activity;
the file is not destroyed until 6 years and 3 months after recovery
has been completed.
Magnetic tape-Destroyed by shredding and compacting 10 years
after the end of the benefit year. Microform-Destroyed by shredding
andcompacting 10 years after the end of the benefit year. Optical
media--Destroyed by compacting 10 years after the end of the benefit
year.
System manager(s) and address: Office of Programs--Director of
Policy and Systems, Railroad Retirement Board, 844 Rush Street,
Chicago, Illinois 60611-2092.
Notification procedure: Requests for information regarding an
individual's record should be in writing, including the full name,
social security number and railroad retirement claim number (if any)
of the individual. Before information about any record will be
released, the individual may be required to provide proof of
identity, or authorization from the individual to permit release of
information. Such requests should be sent to: Office of Programs--
Director of Operations, Railroad Retirement Board, 844 Rush Street,
chicago, Illinois 60611.
Record access procedures: See Notification section above.
Contesting record procedures: See Notification section above.
Record source categories: Applicant, claimant or his or her
representative, physicians, employers, labor organizations, federal,
state, and local government agencies, all Railroad Retirement Board
files, insurance companies, attorneys, Congressmen, liable parties
(in personal injury cases), funeral homes and survivors (for payment
of death benefits).
RRB-22
System name: Railroad Retirement, Survivor, and Pensioner
Benefit System--RRB.
System location: U.S. Railroad Retirement Board,844 Rush Street,
Chicago, Illinois 60611
Regional and District Offices: See Appendix I for addresses.
Categories of individuals covered by the system: Applicants for
retirement and survivor benefits, their dependents (spouses, divorced
spouses, children, parents, grandchildren), individuals who filed for
lump-sum death benefits and/or residual payments.
Categories of records in the system:
Information pertaining to the payment or denial of an
individual's claim for benefits under the Railroad Retirement Act:
Name, address, social security number, claim number, proofs of age,
marriage, relationship, military service, creditable earnings and
service months (including military service), entitlement to benefits
under the Social Security Act, programs administered by the
Department of Veterans Affairs, or other benefit systems, rates,
effective dates, medical reports, correspondence and telephone
inquiries to and about the beneficiary, suspension and termination
dates, health insurance effective date, option, premium rate and
deduction, direct deposit data, employer pension information,
citizenship status and legal residency status (for annuitants living
outside the United States), and tax withholding information
(instructions of annuitants regarding number of exemptions claimed
and additional amounts to be withheld, as well as actual amounts
withheld for tax purposes).
Authority for maintenance of the system:
Section 7(b)(6) of the Railroad Retirement Act of 1974 (U.S.C.
231f(b)(6)).
Purpose(s):
Records in this system of records are maintained to administer
the benefit provisions of the Railroad Retirement Act, sections of
the Internal Revenue Code related to the taxation of railroad
retirement benefits, and Title XVIII of the Social Security Act as it
pertains to Medicare coverage for railroad retirement beneficiaries.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses: a. Beneficiary
identifying information may be disclosed to third party contacts to
determine if incapacity of the beneficiary or potential beneficiary
to understand or use benefits exists, and to determine the
suitability of a proposed representative payee.
b. In the event the Board has determined to designate a person to
be the representative payee of an incompetent beneficiary, disclosure
of information concerning the benefit amount and other similar
information may be made to the representative payee from the record
of the individual.
c. Entitlement and benefit rates may be released to primary
beneficiaries regarding secondary beneficiaries (or vice versa) when
the addition of such beneficiary affects either the entitlement or
benefit payment.
d. Identifying information such as full name, address, date of
birth, social security number, employee identification number, and
date last worked, may be released to any last employer to verify
entitlement for benefits under the Railroad Retirement Act.
e. Beneficiary identifying information, address, check rates,
number and date may be released to the Department of the Treasury to
control for reclamation and return of outstanding benefit payments,
to issue benefit payments, act on report of non-receipt, to insure
delivery of payments to the correct address of the beneficiary or
representative payee or to the proper financial organization, and to
investigate alleged forgery, theft or unlawful negotiation of
railroad retirement benefit checks or improper diversion of payments
directed to a financial organization.
f. Beneficiary identifying information, address, check rate,
date, number and other supporting evidence may be released to the
U.S. Postal Service for investigation of alleged forgery or theft of
railroad retirement or social security benefit checks.
g. Beneficiary identifying information, entitlement data, medical
evidence and related evaluatory data and benefit rate may be released
to the Social Security Administration and the Health Care Financing
Administration to correlate actions with the administration of Title
II and Title XVIII of the Social Security Act, as amended.
h. Beneficiary identifying information, including social security
account number, and supplemental annuity amounts may be released to
the Internal Revenue Service, State and local taxing authorities for
tax purposes (Form G-1099, for those annuitants receiving
supplemental annuities).
i. Beneficiary identifying information, entitlement, benefit
rates, medical evidence and related evaluatory data, and months paid
may be furnished to the Department of Veterans Affairs for the
purpose of assisting that agency in determining eligibility for
benefits or verifying continued entitlement to and the correct amount
of benefits payable under programs which it administers.
j. Beneficiary identifying information, entitlement data and
benefit rates may be released to the Department of State and embassy
and consular officials, the American Institute on Taiwan, and to the
Department of Veterans Affairs Regional Office, Philippines, to aid
in the development of applications, supporting evidence, and the
continued eligibility of beneficiaries and potential beneficiaries
living abroad.
k. Beneficiary identifying information, entitlement, benefit
rates and months paid may be released to the Social Security
Administration (Bureau of Supplemental Security Income) the Health
Care Financing Administration, to federal, state and local welfare or
public aid agencies to assist them in processing applications for
benefits under their respective programs.
l. The last addresses and employer information may be released to
the Department of Health and Human Services in conjunction with the
Parent Locator Service.
m. Beneficiary identifying information, entitlement, rate and
other pertinent data may be released to the Department of Labor in
conjunction with payment of benefits under the Federal Coal Mine and
Safety Act.
n. [Reserved]
o. Medical evidence may be released to Board-appointed medical
examiners to carry out their functions.
p. Information obtained in the administration of Title XVIII
(Medicare) which may indicate unethical or unprofessional conduct of
a physician or practitioner providing services to beneficiaries may
be released to Professional Standards Review Organizations and State
Licensing Boards.
q. Information necessary to study the relationship between
benefits paid by the Railroad Retirement Board and civil service
annunities may be released to the Office of Personnel Management.
r. Records may be disclosed to the General Accounting Office for
auditing purposes and for collection of debts arising from
overpayments under Title II and Title XVIII of the Social Security
Act, as amended, or the Railroad Retirement Act.
s. Records may be released to contractors to fulfull contract
requirements pertaining to specific activities related to the
Railroad Retirement Act.
t. Disclosure may be made to a congressional office from the
record of an individual in response to an inquiry from the
congressional office made at the request of that individual.
u. Pursuant to a request from an employer covered by the Railroad
Retirement Act or the Railroad Unemployment Insurance Act, or from an
organization under contract to an employer or employers, information
regarding the Board's payment of retirement benefits, the methods by
which such benefits are calculated, entitlement data and present
address may be released to the requesting employer or the
organization under contract to an employer or employers for the
purposes of determining entitlement to and rates of private
supplemental pension, sickness or unemployment benefits and to
calculate estimated benefits due.
v. If a request for information pertaining to an individual is
made by an official of a labor organization of which the individual
is a member and the request is made on behalf of the individual,
information from the record of the individual concerning his benefit
or anticipated benefit and concerning the method of calculating that
benefit may be disclosed to the labor organization official.
w. Records may be disclosed in a court proceeding relating to any
claims for benefits by the beneficiary under the Railroad Retirement
Act, and may be disclosed during the course of an administrative
appeal to individuals who need the records to prosecute or decide the
appeal or to individuals who are requested to provide information
relative to an issue involved in the appeal.
x. In the event that this system of records, maintained by the
Railroad Retirement Board to carry out its functions, indicates a
violation or potential violation of law, whether civil, criminal, or
regulatory in nature, and whether arising by general statute or
particular program statute, or by regulation, rule or order issued
pursuant thereto, the relevant records in the system of records may
be referred, as a routine use, to the appropriate agency, whether
federal, state, local or foreign, charged with the responsibility of
investigating or prosecuting such violation or charged with enforcing
or implementing the statute, rule, regulation or order issued
pursuant thereto, provided that disclosure would be to an agency
engaged in functions related to the Railroad Retirement Act or
provided that disclosure would be clearly in the furtherance of the
interest of the subject individual.
y. Information in this system of records may be released to the
attorney representing such individual in connection with the
individual's claim for benefits under the Railroad Retirement Act,
upon receipt of a written letter or declaration stating the fact of
representation, subject to the same procedures and regulatory
prohibitions as the subject individual.
z. The amount of a residual lump-sum payment and the identity of
the payee may be released to the Internal Revenue Service for tax
audit purposes.
aa. The amount of any death benefit or annuities accrued but
unpaid at death and the identity of such payee may be released to the
appropriate state taxing authorities for tax assessment and auditing
purposes.
bb. Beneficiary identifying information, including but not
limited to name, address, social security account number, payroll
number and occupation, the fact of entitlement and benefit rate may
be released to the Pension Benefit Guaranty Corporation to enable
that agency to determine and pay supplemental pensions to qualified
railroad retirees.
cc. Medical records may be disclosed to vocational consultants in
administrative proceedings.
dd. Date employee filed application for annuity to the last
employer under the Railroad Retirement Act for use in determining
entitlement to continued major medical benefits under insurance
programs negotiated with labor organizations.
ee. Information regarding the determination and recovery of an
overpayment made to an individual may be released to any other
individual from whom any portion of the overpayment is being
recovered.
ff. The name, address, and gender of an annuitant may be released
to a Member of Congress when the Member requests it in order that he
or she may communicate with the annuitant about legislation which
affects the railroad retirement system.
gg. Certain identifying information about annuitants, such as
name, social security number, RRB claim number, and date of birth, as
well as address, year and month last worked for a railroad, last
railroad occupation, application filing date, annuity beginning date,
identity of last railroad employer, total months of railroad service,
sex, disability onset date, disability freeze onset date, and cause
and effective date of annuity termination may be furnished to
insurance companies for administering group life and medical
insurance plans negotiated between certain participating railroad
employers and railway labor organizations.
hh. For payments made after December 31, 1983, beneficiary
identifying information, address, amounts of benefits paid and
repaid, beneficiary withholding instructions, and amounts withheld by
the RRB for tax purposes may be furnished to the Internal Revenue
Service for tax administration purposes.
ii. Relevant information may be disclosed to the Office of the
President for responding to an individual pursuant to an inquiry from
that individual or from a third party in his/her behalf.
jj. Last address and beneficiary identifying information may be
furnished to railroad employers for the purpose of mailing railroad
passes to retired employees and their families.
kk. Entitlement data and benefits rates may be released to any
court, state agency, or interested party, or to the representative of
such court, state agency, or interested party, in connection with
contemplated or actual legal or administrative proceedings concerning
domestic relations and support matters.
ll. Identifying information about annuitants and applicants may
be furnished to agencies and/or companies from which such annuitants
and applicants are receiving or may receive worker's compensation,
public pension, or public disability benefits in order to verify the
amount by which Railroad Retirement Act benefits must be reduced,
where applicable.
mm. Disability annuitant identifying information may be furnished
to state employment agencies for the purpose of determining whether
such annuitants were employed during times they receive disability
benefits.
nn. Identifying information about Medicare-entitled beneficiaries
who may be working may be disclosed to the Health Care Financing
Administration for the purposes of determining whether Medicare
should be the secondary payer of benefits for such individuals.
oo. Disclosure of information in claim folders is authorized for
bonafide researchers doing epidemiological/mortality studies approved
by the RRB who agree to record only information pertaining to
deceased beneficiaries.
pp. Identifying information for beneficiaries, such as name, SSN,
and date of birth, may be furnished to the Social Security
Administration and to any State for the purpose of enabling the
Social Security Administration or State through a computer or manual
matching program to assist the RRB in identifying female
beneficiaries who remarried but who may not have notified the RRB of
their remarriage.
qq. An employee's date last worked, annuity filing date, annuity
beginning date, and the month and year of death may be furnished to
AMTRAK when such information is needed by AMTRAK to make a
determination whether to award a travel pass to either the employee
of the employee's widow.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage: Paper, microforms, magnetic tape and magnetic disk.
Retrievability:
Claim number, social security number and full name.
Safeguards: Papers and microforms: Maintained in areas not
accessible to the public, offices are locked during non-business
hours. Magnetic tape and magnetic disk: Computer and computer storage
rooms are restricted to authorized personnel; on-line query
safeguards include a lock/unlock password system, a terminal oriented
transaction matrix and an audit trail; for computerized records
electronically transmitted between headquarters and field office
locations, system securities are established in accordance with
National Bureau of Standards guidelines. In addition to the on-line
query safeguards, they include encryption of all data transmitted and
exclusive use of leased telephone lines.
Retention and disposal:
Paper: Individual claim folders with records of all actions
pertaining to the payment of claims are transferred to the Federal
Records Center, Chicago, Illinois 5 years after the date of last
payment or denial activity if all benefits have been paid, no future
eligibility is apparent and no erroneous payments are outstanding.
The claim folder is destroyed 25 years after the date it is received
in the center. Account receivable listings and checkwriting
operations daily activity listings are transferred to the Federal
Records Center 1 year after the date of issue and are destroyed 6
years and 3 months after receipt at the center. Other paper listings
are destroyed 1 year after the date of issue. Change of address
source documents are destroyed 1 year.
Microforms-- Originals are kept for 3 years, transferred to the
Federal Records Center, and destroyed when 8 years old. One duplicate
copy is kept 2 years and destroyed by shredding. All other duplicate
copies are kept 1 year and destroyed by shredding. Magnetic tape:
Magnetic tape records are used to daily update the disk file, are
retained for 90 days and then written over. For disaster recovery
purposes certain tapes are stored 12-18 months. Magnetic disk:
Continually updated and permanently retained.
System manager(s) and address: Office of Programs--Director of
Policy and Systems, Railroad Retirement Board, 844 Rush Street,
Chicago, Illinois 60611-2092
Notification procedure:
Requests for information regarding an individual's records should
be in writing, including the full name, social security number and
railroad retirement claim number(if any) of the individual. Before
information about any records will be released, the individual may be
required to provide proof of identity, or authorization from the
individual to permit release of information. Such requests should be
sent to: Office of Programs--Director of Operations, Railroad
Retirement Board, 844 Rush Street, Chicago, Illinois 60621-2092.
Record access procedures:
See Notification section above.
Contesting record procedures:
See Notification section above.
Record source categories:
Individual applicants or their representatives, railroad
employers, other employers, physicians, labor organizations, federal,
state and local government agencies, attorneys, funeral homes,
congressmen, schools, foreign government.
RRB-26
System name: Payment, Rate and Entitlement History File--RRB.
System location:
U.S. Railroad Retirement Board
844 Rush Street
Chicago, Illinois 60611
Categories of individuals covered by the system: Individuals who
have received or are receiving benefits under the Railroad Retirement
Act or the Social Security Act. These individuals included retired
and disabled railroad employees, their qualified spouses, dependents,
and survivors, and recipients of other, non-recurring benefits.
Categories of records in the system: Data supporting the benefits
and historical data recording the benefits paid to the above
categories of individuals under the Railroad Retirement and Social
Security Acts.
Authority for maintenance of the system: Section 7(b)(6) of the
Railroad Retirement Act of 1974 (45 U.S.C. 231f(b)(6))
Purpose(s);
The purpose of this system is to record in one file all data
concerning payment, rate, and entitlement history for recipients of
Railraod Retirement benefits.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
a. Records may be released to contractors to fulfill contract
requirements pertaining to specific activities related to the
Railroad Retirement Act.
b. Records may be released to the Internal Revenue Service for
the purpose of their checking amounts shown on individual tax returns
as pensions and annuities received under the Railroad Retirement Act.
c. Benefit data regarding persons who, it is determined, are both
RRB and VA beneficiaries may be furnished to the Department of
Veterans Affairs for the purpose of assisting the VA in the
administration of its income dependent benefit programs.
d. Disability annuitant identifying information may be furnished
to state employment agencies for the purpose of determining whether
such annuitants were employed during times they receive disability
benefits.
e. Identifying information about Medicare-entitled beneficiaries
who may be working may be disclosed to the Health Care Financing
Administration for the purposes of determining whether Medicare
should be the secondary payer of benefits for such individuals.
f. Benefit information may be furnished to state agencies for the
purposes of determining entitlement or continued entitlement to state
income-dependent benefits and, if entitled, to adjusting such
benefits to the amount to which the individual is entitled under
state law, provided the state agency furnishes identifying
information for the individuals for whom it wants the RRB benefit
information.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage: Magnetic tape and magnetic disk.
Retrievability: By claim number or beneficiary's Social Security
number.
Safeguards: Access is limited to authorized personnel only.
Retention and disposal: Magnetic tapes are retained for 2 years
then written over; magnetic disk files are retained permanently.
System manager(s) and address:
Supervisory Statistical Officer, Bureau of Information Services,
Information Management Division, U.S. Railroad Retirement Board, 844
Rush Street, Chicago, Illinois 60611-2092.
Notification procedure: Requests for information regarding an
individual's record should be in writing addressed to the System
Manager identified above, including the full name and social security
number and claim number of the individual. Before information about
any record will be released, the System Manager may require the
individual to provide proof of identity or require the requester to
furnish an authorization from the individual to permit release of
information.
Record access procedures: See Notification section above.
Contesting record procedures: See Notification section above.
Record source categories: Transmissions from the following
computerized systems: Railriad Retirement Act benefit payment; Social
Security benefit payment; disability rating decisions; and primary
insurance amount calculations.
RRB-27
System name: Railroad Retirement Board-Social Security
Administration Financial Interchange System--RRB.
System location:
U.S. Railroad Retirement Board
844 Rush Street
Chicago, Illinois 60611
Categories of individuals covered by the system: One-percent sample
of present and former railroad employees and members of their
families who would have been eligible for social security benefits if
railroad employment had been covered by the social security system.
Categories of records in the system: Claim number, social security
number, date of birth, and administrative cost and payment data on
imputed and actual social security benefits.
Authority for maintenance of the system: Section 7(c)(2) of the
Railroad Retirement Act of 1974 (45 U.S.C. 231f(c)(2))
Purpose(s):
The purpose of this system is to calculate benefit amounts
required to determine the financial interchange transfer amounts each
year.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
a. Findings, including individual records, may be released to the
Social Security Administration, determining amounts which, if added
to or subtracted from the OASDI Trust Funds, would place the Social
Security Administration in the position it would have been if
employment covered by the Railroad Retirement Act had been covered by
the Social Security Insurance Contributions Acts.
b. Information may be released to the General Accounting Office
for auditing purposes.
c. Records may be released to contractors to fulfill contract
requirements pertaining to specific activities related to the
Railroad Retirement Act and the Railroad Unemployment Insurance Act.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage: Magnetic tape and paper.
Retrievability: Claim and social security account numbers.
Safeguards: Records are maintained in areas not accessible to the
public and are not permitted to be removed.
Retention and disposal: Retained indefinitely, except that
periodically, inactive materials are sent to the Federal Records
Center to be retained for ten years, then destroyed by the General
Services Administration.
System manager(s) and address:
Chief Actuary, U.S. Railroad Retirement Board, 844 Rush Street,
Chicago, Illinois 60611-2092
Notification procedure: Requests for information regarding an
individual's record should be in writing addressed to the System
Manager identified above, including the full name and social security
account number and claim number of the individual. Before information
about any record will be released, the System Manager may require the
individual to provide proof of identity or require the requester to
furnish an authorization from the individual to permit release of
information.
Record access procedures: See Notification section above.
Contesting record procedures: See Notification section above.
Record source categories: Annuitants, the Social Security
Administration, and other Railroad Retirement Board files.
RRB-29
System name: Railroad Employees' Cumulative Gross Earnings
Master File--RRB.
System location:
U.S. Railroad Retirement Board
844 Rush Street
Chicago, Illinois 60611
Categories of individuals covered by the system: Railroad workers
whose social security account number ends in ``30'' who have worked
in the railroad industry from 1951 through the present.
Categories of records in the system: Gross earnings by individual
by month, quarter or year.
Authority for maintenance of the system: Section 7(c) of the
Railroad Retirement Act of 1974 (45 U.S.C. 231f(c)).
Purpose(s):
The purpose of this system is to maintain gross earnings reports
for Financial Interchange sample employees for use in the calculation
of benefits amounts used in the financial interchange determinations.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses: Records may be
released to contractors to fulfill contract requirements pertaining
to specific activities related to the Railroad Retirement Act and the
Railroad Unemployment Insurance Act.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage: Magnetic tape, paper listings, punch cards.
Retrievability: Social security account number.
Safeguards: Records are maintained in areas not accessible to the
public and are not permitted to be removed; secured building.
Retention and disposal: Paper and punch cards are kept for 10
years, then disposed of by the Federal Records Center. Updated
historical magnetic tape is kept permanently.
System manager(s) and address:
Chief Actuary, U.S. Railroad Retirement Board, 844 Rush Street,
Chicago, Illinois 60611-2092
Notification procedure: Requests for information regarding an
individual's record should be in writing addressed to the System
Manager identified above, including the full name and social security
account number and claim number of the individual. Before information
about any record will be released, the System Manager may require the
individual to provide proof of identity or require the requester to
furnish an authorization from the individual to permit release of
information.
Record access procedures: See Notification section above.
Contesting record procedures: See Notification section above.
RRB-33
System name: Federal Employee Incentive Awards System--RRB.
System location:
U.S. Railroad Retirement Board
844 Rush Street
Chicago, Illinois 60611
Categories of individuals covered by the system: Railroad
Retirement Board employees who have submitted suggestions or have
been nominated for awards.
Categories of records in the system: Employee suggestions, special
achievement awards, quality increase awards, public service awards,
government-sponsored awards.
Authority for maintenance of the system: Chapter 45, Title 5, U.S.
Code.
Purpose(s):
Past suggestion and award nominations and awards presented are
maintained to provide historical and statistical records. -
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
a. Information may be released to the public media for public
relations purposes.
b. Records may be disclosed to the General Accounting Office for
auditing purposes.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage: Paper.
Retrievability: System indexed by number assigned when suggestion
or nomination is received. Suggestions are cross-referenced by name
of suggester and subject of suggestion.
Safeguards: Only authorized staff has access to the files.
Retention and disposal: Denied suggestions are purged and destroyed
five years after denial date. Adopted suggestions are retained
permanently as are all special achievement awards, quality increase
and public service awards, RRB Award for Excellence, and government-
sponsored awards.
System manager(s) and address:
Chairman, Incentive Awards Committee
U.S. Railroad Retirement Board
844 Rush Street
Chicago, Illinois 60611
Notification procedure: Requests for information regarding an
individual's record should be in writing addressed to the System
Manager identified above, including the full name and social security
number of the individual. Before information about any record will be
released, the System Manager may require the individual to provide
proof of identity or require the requester to furnish an
authorization from the individual to permit release of information.
Record access procedures: See Notification section above.
Contesting record procedures: See Notification section above.
Record source categories: Suggestion or award submitted by
suggester or nominator. Suggestions submitted by employees;
recommendations for award submitted by supervisory personnel.
RRB-34
System name: Employee Personnel Management Files--RRB.
System location:
U.S. Railroad Retirement Board
844 Rush Street
Chicago, Illinois 60611
Regional and District Offices:
See Appendix I of publication for addresses.
Categories of individuals covered by the system: Current employees
of the U.S. Railroad Retirement Board.
Categories of records in the system: Name, address and phone number
of the person to notify in case of emergency and personal physician;
copies of (1) pay change slip, (2) bi-weekly statement of earnings
and leave, (3) SF-52, Request for Personnel Action, (4) SF-50,
Personnel Action, (5) service computation date form, (6) written
requests for leave, (7) performance ratings, (8) incentive awards
program suggestions and awards, (9) other awards and nominations for
recognition, (10) supervisory informal and formal written notes,
memorandums, etc., relative to admonishment, caution, warnings,
reprimand or similar notices, (11) within-grade increase materials,
(12) SF-171, Employment Application, (13) credit or debt
correspondence, (14) letters of commendation, (15) official position
descriptions, (16) probationary letters, (17) performance plans, (18)
information concerning training received and seminars attended, and
(19) miscellaneous correspondence.
Authority for maintenance of the system: Section 7(b)(9) of the
Railroad Retirement Act of 1974 (45 U.S.C. 231f(b)(9)) and the
Federal Personnel Manual 293-31--Subchapter S-8.
Purpose(s):
The system is maintained to provide information to managers and
supervisors to assist in their work.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
a. Disclosure may be made to a congressional office from the
record of an individual in response to an inquiry from the
congressional office made at the request of that individual.
b. Records may be disclosed in a court proceeding and may be
disclosed during the course of an administrative appeal to
individuals who need the records to prosecute or decide the appeal or
to individuals who are requested to provide information relative to
an issue involved in the appeal.
c. A record from this system of records may be disclosed to a
federal agency, in response to its request, in connection with the
hiring or retention of an employee, the issuance of a security
clearance, the reporting of an investigation of an employee, the
letter of a contract, or the issuance of a license, grant, or other
benefit by the requesting agency, to the extent that the information
is relevant and necessary to the requesting agency's decision on the
matter.
d. In the event that this system of records, maintained by the
Railroad Retirement Board to carry out its functions, indicates a
violation or potential violation of law, whether civil, criminal or
regulatory in nature, and whether arising by general statute or
particular program statute, or by regulation, rule, or order issued
pursuant thereto, the relevant records in this system of records may
be referred, as a routine use, to the appropriate agency, whether
federal, state, local or foreign, charged with the responsibility of
investigating or prosecuting such violation or charged with enforcing
or implementing the statute, rule, regulation or order issued
pursuant thereto.
e. Information in this system of records may be released to the
attorney representing such individual, upon receipt of a written
letter or declaration stating the fact of representation, subject to
the same procedures and regulatory prohibitions as the subject
individual.
f. Relevant information may be furnished to the Office of the
President for responding to an individual pursuant to an inquiry from
that individual or a third party in his/her behalf.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage: File folders.
Retrievability: Name of employee.
Safeguards: Kept in lockable file cabinets or lockable desks in
secured building, with access limited to authorized personnel.
Retention and disposal: The folder and its contents will be
destroyed by hand-shredding within 30 days after the employee leaves
the bureau or region. Specific materials in these files are disposed
of in accordance with applicable Civil Service Commission and GSA
instructions or regulations and/or applicable internal administrative
directives.
System manager(s) and address: The system managers are listed
below.
For departmental employees:
Director of Personnel
U.S. Railroad Retirement Board
844 Rush Street
Chicago, Illinois 60611
For field employees:
Regional Director of region where person is employed
(See Appendix I of publication for addresses).
Notification procedure: Requests for information regarding an
individual's record should be addressed to the System Manager
identified above, including the full name and social security number
of the individual. Before information about any record will be
released, the System Manager may require the individual to provide
proof of identity or require the requester to furnish an
authorization from the individual to permit release of information.
Record access procedures: See Notification procedure above.
Contesting record procedures: See Notification procedure above.
Record source categories: Employee, agency officials and management
personnel.
RRB-36
System name: Complaint, Grievance, Disciplinary and Adverse
Action Files--RRB.
System location:
U.S. Railroad Retirement Board
844 Rush Street
Chicago, Illinois 60611
Categories of individuals covered by the system: Railroad
Retirement Board employees who are the subjects of disciplinary or
adverse actions or who have filed a complaint or grievance.
Categories of records in the system: Information relating to
proposals and decisions in cases of discipline and adverse actions;
including supporting documents; information relating to grievances
filed under the agency and negotiated grievance procedures, including
the grievance, final decision and any evidence submitted by the
employee and/or the agency in support of or contesting the grievance.
Authority for maintenance of the system: Title 5 USC sections
7503(c), 7513(e), 7543(e).
Purpose(s):
The purpose of this system of records is to maintain information
related to grievances, disciplinary actions, and adverse actions in
order to furnish information to arbitrators, EEO investigators, the
Merit Systems protection Board, the Federal Labor Relations
Authority, and the Courts, as necessary. The information is also used
for statistical purposes, as needed.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
a. Disclosure may be made to a congressional office from the
record of an individual in response to an inquiry from the
congressional office made at the request of that individual.
b. Information in this system of records may be released to the
attorney representing such individual, upon receipt of a written
letter or declaration stating the fact of representation, subject to
the same procedures and regulatory prohibitions as the subject
individual.
c. Records may be disclosed to the Merit Systems Protection Board
or an arbitrator to adjudicate an appeal, complaint, or grievance.
d. Relevant information may be furnished to the Office of the
President for responding to an individual pursuant to an inquiry from
that individual or a third party in his/her behalf.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage: Paper.
Retrievability: Name of employee.
Safeguards: Maintained in locked file cabinets in an area not
accessible to the public.
Retention and disposal: Maintained for four years, then destroyed
by shredding.
System manager(s) and address:
Director of Personnel
U.S. Railroad Retirement Board
844 Rush Street
Chicago, Illinois 60611
Notification procedure: Requests for information regarding an
individual's record should be addressed to the System Manager
identified above and should include the name and social security
number of the individual involved. Before information about any
record will be released, the System Manager may require the
individual to provide proof of identity or require the requester to
furnish an authorization from the individual to permit release of
information.
Record access procedures: See Notification section above.
Contesting record procedures: See Notification section above.
Record source categories: The Railroad Retirement Board employee,
the employee's supervisor, bureau or regional director, the executive
director, or the employee's representative.
RRB-37
System name: Medical Records on Railroad Retirement Board
Employees-RRB.
System location: U.S. Railroad Retirement Board, 844 Rush Street,
Chicago, Illinois 60611.
Categories of individuals covered by the system: All Board
employees who utilize the Medical Service section and any building
employee involved in a medical emergency requiring medical treatment.
Categories of records in the system: Name, date of examination,
date of birth, brief narrative statement of the employee's general
health and significant medical problem, chief complaint, physical
findings and recommended action.
Authority for maintenance of the system: Railroad Retirement Board
Order 75-6, written in accordance with section 7(b)(9) of the
Railroad Retirement Act of 1974 (45 U.S.C. 231f(b)(9)).
Purpose(s):
To maintain private records for employees regarding their medical
history and other pertinent information such as results of screenings
for medical conditions, immunization records, and workplace incidents
or injuries.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses: For internal Board
use only.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage: Paper.
Retrievability: Name.
Safeguards: Locked filing cabinets, only authorized personnel are
permitted to access.
Retention and disposal: Maintained until 1 year after the
termination of employment, then shredded.
System manager(s) and address: Medical Service Section Nurse, U.S.
Railroad Retirement Board, 844 Rush Street, Chicago, Illinois 60611.
Notification procedure: Requests for information regarding an
individual's records should be in writing addressed to the System
Manager identified above, including full name and social security
number of the individual. Before any information about any record
will be released, the System Manager may require the individual to
provide proof of identity or require the requester to furnish an
authorization from the individual to permit release of information.
Record access procedures: See Notification section above.
Contesting record procedures: See Notification section above.
Record source categories: Physician, medical personnel, Railroad
Retirement Board employee.
RRB-42
System name: Benefit Overpayment Accounts.
System location:
U.S. Railroad Retirement Board, 844 Rush Street, Chicago,
Illinois 60611.
Categories of individuals covered by the system:
Individuals who were overpaid in the benefits they received from
the Railroad Retirement Board. Benefits overpaid are further
delineated in the following three categories.
--Individuals receiving the following types of annuities, payable
under the Railroad Retirement Act: Railroad retirement, disability,
supplemental, and survivor.
--Individuals receiving unemployment or sickness insurance
benefits payable under the Railroad Unemployment Insurance Act.
--Individuals receiving benefits under section 701 of the
Regional Rail Reorganization Act of 1973.
Categories of records in the system:
Name, address, Social Security number, Railroad Retirement claim
number, type of benefit previously paid, amount of overpayment, debt
identification number, cause of overpayment, source of overpayment,
original debt amount, current balance of debt, installment repayment
history, recurring accounts receivable administrative offset history,
waiver, reconsideration and debt appeal status, general billing,
dunning, referral, collection, and payment case history, amount of
interest and penalties assessed and collected, name and address of
debt colledtion agency or Federal agency to which account is referred
for collection, date of such referral, amount collected, and name and
address of consumer reporting agencies to which debt information is
disclosed and date of such referral.
Authority for maintenance of the system:
Sec. 7(b)(6) of the Railroad Retirement Act of 1974 (45 U.S.C.
231f(b)(6)); sec. 12(1) of the Railroad Unemployment Insurance Act
(45 U.S.C. 362(1)); Pub. L. 97-92, Joint Resolution; Pub. L. 97-365
(Debt Collection Act of 1982); Federal Claims Collection Act (31
U.S.C. 3701 et. seq.);Pub. L. 104-134 (Debt Collection Improvement
Act of 1996).
Purpose(s):
The records in this system are created, monitored and maintained
to enable the Railroad Retirement Board to fulfill regulatory and
statutory fiduciary responsibilities to its trust funds, the
individuals to whom it pays benefits and the Federal Government as
directed under the Railroad Retirement Act, Railroad Unemployment
Insurance Act, Debt Collection Act of 1982, Federal Claims Collection
Improvement Act of 1998. These responsibilities include: accurate and
timely determination of debt; sending timely, accurate notice of the
debt with correct repayment and rights options; taking correct and
timely action when rights/appeals have been requested; assessing
appropriate charges; using all appropriate collection tools,
releasing required, accurate reminder notices; and correctly and
timely entering all recovery, write-off and waiver offsets to debts.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
a. Benefit overpayment amounts, history of collectible, history
of collection efforts and identification information (name, address--
including IRS address information--Social Security number, Railroad
Retirement claim number, type of benefit) may be disclosed to private
collection agencies for the purpose of recovering benefit
overpayments.
b. Records may be disclosed to the General Accounting Office for
auditing purposes.
c. For information related to overpayments of benefits paid under
section 701 of the Regional Rail Reorganization Act of 1973, in the
event that this system of records, maintained by the Railroad
Retirement Board to carry out its functions, indicates a violation or
potential violation of law, whether civil, criminal or regulatory in
nature, and whether arising by general statute or particular program
statute, and whether arising by general statute or particular program
sltatute, or by regulation, rule or order issued pursuant thereto,
the relevant records in the system of records may be referred, as a
routine use, to the appropriate agency, whether Federal, State, local
or foreign, charged with the responsibility of investigating or
prosecuting such violation or charged with enforcing or implementing
the statute, rule, regulation or order issued pursuant thereto; for
information related to uncollectible overpayments paid under any
other Act administered by the Railroad Retirement Board, in the event
that this system maintained by the Railroad Retirement Board to carry
out its functions, indicates a violation or potential violation of
law, whether civil, criminal, or regulatory in nature, and whether
arising by general statute, or by regulation, rule or order issued
pursuant thereto, the relevant records may be referred, as a routine
use, to the appropriate agency, whether Federal, State, local or
foreign, charged with the responsibility of investigating or
prosecuting such violation or charged with enforcing or implementing
the statute, rule, regulation, or order issued pursuant thereto,
provided that disclosure would be to an agency engaged in functions
related to the Railroad Retirement Act, or the Railroad Unemployment
Insurance Act or provided that disclosure would be clearly in the
furtherance of the interest of the subject individual.
d. Disclosure may be made to a congressional office from the
record of an individual in response to an inquiry from the
congressional office made at the request of that individual.
e. If a request for information pertaining to an individual is
made by an official of a labor organization of which the individual
is a member and the request is made on behalf of the individual,
information from the record of the individual concerning his
overpayment may be disclosed to the labor organization official.
f. Relevant information may be furnished to the Office of the
President for responding to an individual pursuant to an inquiry from
that individual or a third party in his/her behalf.
g. Debtors' names, Social Security Numbers, Railroad Retirement
claim numbers, and the amounts of debts owed may be disclosed to the
Defense Manpower Data Center of the Department of Defense, to the
Office of Personnel Management, and to the Postal Service to conduct
computer matching programs for the purpose of identifying and
locating individuals who are receiving Federal salaries or benefit
payments and delinquent in their repayment of debts owed to the U.S.
Government under certain programs administered by the Railroad
Retirement Board in order to collect the debts under the provisions
of the Debt Collection Act of 1982 (Pub. L. 97-365) by voluntary
repayment, or by administrative or salary offset procedures.
h. Debtors' names, Social Security Numbers, the amounts of debts
owed, and the history of the debts, may be released to any Federal
agency for the purpose of enabling such agency to collect debts on
RRB's behalf by administrative or salary offset under the provisions
of the Debt Collection Act of 1982 (Pub. L. 97-365).
I. Debtors names, Social Security Numbers, Railroad Retirement
claims numbers, accounts of debts, history of the debts, and other
relevant and necessary information may be disclosed to the Financial
Management Service, Department of the Treasury, for the purpose of
recivery of debts under the provisions of the Debt Collection
Improvement Act of 1996.
j. The names, social security numbers, home addresses, dates of
birth, dates of hire, quarterly earnings, employer identifying
information, and State of hire of employees may be disclosed to the
Office of Child Support Enforcement, Administration for Children and
Families, Department of Health and Human Services for the purpose of
locating individuals to establish paternity, establishing and
modifying orders of child support, identifying sources of income, and
for other child support enforcement actions as required by the
Personal Responsibility and Work Opportunity Reconciliation Act
(Welfare Reform Act, Pub. L. 104-193).
Disclosure to consumer reporting agencies:
Disclosures pursuant to 5 U.S.C. 552a(b)(12): Disclosures may be
made from this system to ``consumer reporting agencies'' as defined
in the Fair Credit Reporting Act (15 U.S.C. 1681a(f) or the Federal
Claims Collection Act of 1966 (31 U.S.C. 3701(a)(3)) but only of
information relating to debts incurred under Title VII of the
Regional Rail Reorganization Act of 1973.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Paper, magnetic tape, and magnetic disk.
Retrievability:
Social Security number, Railroad Retirement claim number, and
name.
Safeguards:
All records are maintained in a secured building in areas not
accessible to the public and are restricted to personnel whose
official duties require access. Paper: Records are stored in locked
file cabinets. Magnetic tape and magnetic disk: Computer and computer
storage rooms are restricted to authorized personnel; on-line query
safeguards include a lock/unlock password system, terminal oriented
transaction matrix, and an audit trail.
Retention and disposal:
Records of the receivable accounts are maintained in an on-line
electronic database and remain in the database even after waiver,
reversal, recorvery or write-off until 5 years after the debt is
closed. After that time all records are removed from the on-line
electronic database, and a microfilm copy is kept only of case
history general activity. An uncollectible debt written off the
active receivable database is stored on magnetic tape for possible
future action. Most paper document that are not immediatley shredded
are filed in claim folders that are covered by Privacy Act Systems of
Records RRB-21, Railroad Retirement, Survivor, and Pensioner Benefit
System. These paper documents are mostly correspondence. Paper
documents that relate to multiple accounts are kept for 6 years in
folders established for the purpose.
System manager(s) and address:
Chief Financial Officer, U.S. Railroad Retirement Board, 844 Rush
Street, Chicago, Illinois 60611.
Notification procedure:
Requests for information regarding an individual's record should
be in writing addressed to the System Manager identified above,
including the full name, claim number, and social security number of
the individual. Before information about any record will be released,
the System Manager may require the individual to provide proof of
identity or require the requester to furnish an authorization from
the individual to permit release of information.
Record access procedures:
See Notification section above.
Contesting record procedures:
See Notification section above.
Record source categories:
Railroad Retirement Board beneficiaries' claim folders, the
overpaid individuals, other Board systems of records, and debt
collection agencies.
RRB-43
System name: Office of Investigation Files.
System location:
Office of Inspector General, U.S. Railroad Retirement Board, 844
Rush Street, Chicago, Illinois 60611.
Categories of individuals covered by the system:
Any of the following categories of individuals on whom a
complaint is made alleging a violation of law, regulation, or rule
pertinent to the administration of programs by the RRB, or, with
respect to RRB employees, alleging misconduct or conflict of interest
in the discharge of their official duties: Current and former
employees of the Retirement Railroad Board; contractors;
subcontractors; consultants, applicants for, and current and former
recipients of, benefits under the programs administered by the
Railroad Retirement Board; officials and agents of railroad
employers; members of the public who are alleged to have stolen or
unlawfully received RRB benefit or salary or assisted in such
activity; and others who furnish information, products, or services
to the RRB.
Categories of records in the system:
Letters, memoranda, and other documents alleging a violation of
law, regulation or rule, or alleging misconduct, or conflict of
interest; reports of investigations to resolve allegations with
related exhibits, statements, affidavits or records obtained during
the investigation; recommendations on actions to be taken;
transcripts of, and documentation concerning requests and approval
for, consensual monitoring of communications; photographs, video and
audit recordings made as part of the investigation; reports from law
enforcement bodies; prior criminal or noncriminal records as they
relate to the investigation; reports of actions taken by management
personnel regarding misconduct; reports of legal actions resulting
from violations referred to the Department of Justice or other law
enforcement agencies for prosecution.
Authority for maintenance of the system:
Inspector General Act of 1978; Pub. L. 95-452, 5 U.S.C. App., as
amended.
Purpose(s):
The Office of Inspector General maintains this system of records
to carry out its statutory responsibilities under the Inspector
General Act. These responsibilities include a mandate to investigate
allegations of fraud, waste, land abuse related to the programs and
operations of the RRB and to refer such matters to the Department of
Justice for prosecution.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
a. Records may be disclosed to the Department of Justice or other
law enforcement authorities in connection with actual or potential
criminal prosecution or civil litigation initiated by the RRB, or in
connection with requests by RRB for legal advice.
b. Records may be disclosed to a Federal agency which has
requested information relevant or necessary to its hiring or
retention of an employee or the issuance of a security clearance,
provided that the subject individual is not an individual on whom the
RRB has obtained information in conjunction with its administration
of the Railroad Retirement Act, the Railroad Unemployment Act, the
Milwaukee Railroad Restructuring Act, or the Rock Island Railroad
Transition and Employee Assistance Act.
c. Disclosure may be made to a congressional office from the
record of an individual in response to an inquiry for the
congresssional office made at the request of that individual would
not be denied access to the requested information.
d. Disclosure may be made to an attorney representing the subject
individual upon receipt of a written letter or declaration stating
the fact of representation, provided that the subject individual
would not be denied access to the requested information.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Paper and electronic media.
Retrievability:
Name, SSN, RRB Clain Number, and assigned, all of which are
cross-referenced to the other information.
Safeguards:
General access is restricted to the Inspector General and members
of his staff; disclosure within the agency is on a limited need-to-
know basis; files and paper documents are maintained in locked file
cabinets located in areas not accessible to the public. Office is
locked during non-business hours. Access to computers which store the
electronic index is restricted to authorized personnel, and on-line
query safeguards include a password unlock system.
Retention and disposal:
Paper files are retained for 10 years before they are destroyed
by shredding. They are destroyed by shredding in the fiscal year
following the expiration of the 10-year retention period. The
electronic index records are retained until no longer required for
any operational or administrative purposes.
System manager(s) and address:
Assistant Inspector General, Office of Inspector General, U.S.
Railroad Retirement Board, 844 Rush Street, Chicago, Illinois 60611.
Notification procedure:
Requests for information regarding an individual`s record should
be in writing addressed to the System Manager identified above,
including the full name, claim number, and social security number of
the individual. Before information about any record will be released,
the System Manager may require the individual to provide proof of
identity or require the requester to furnish an authorization from
the individual to permit release of information. Many records in this
system are exempt from the notification requirements under 5 U.S.C.
552a(k). To the extent that records in this system of records are not
subject to exemption, they are subject to notification. A
determination whether an exemption applies shall be made at the time
a request for notification is received.
Record access procedure:
Requests for access to the record of an individual and requests
to contest such a record should be in writing addressed to the System
Manager identified above, including the full name, claim number, and
social security number of the individual. Before information about
any record will be released, the System Manager may require the
individual to provide proof of identity or require the requester to
furnish an authorization from the individual to permit release of
information. Many records in this system are exempt from the records
access and contesting requirements under 5 U.S.C. 552a(k). To the
extent that records in this system of records are not subject to
exemption, they are subject to access and contest requirements. A
determination as to whether an exemption applies shall be made at the
time a request for access or contest is received.
Contesting record procedure:
See notification section above.
Record source categories:
The subject; the complainant; third parties, including but not
limited to employers and financial institutions; local, state, and
federal agencies; and other RRB record systems.
Systems exempted from certain provisions of the Act:
Pursuant to 5 U.S.C. 552a(j)(2) records in this system of records
which are compiled for the purposes of criminal investigations are
exempted from the requirements under 5 U.S.C. 552a(c)(3) and (4)
(Accounting of Certain Disclosures), (d) (Access to Records), (e)(1),
(2), (3), (4), (G), (H), and (I), (5) and (8) (Agency Requirements),
(f) (Agency Rules), and (g) (Civil Remedies) of 5 U.S.C. 552a.
Pursuant to 5 U.S.C. 552a(k)(2) records in this system of records
which consist of investigatory material compiled for law enforcement
purposes are exempted from the notice, access and contest
requirements under 5 U.S.C. 552a(c)(3), (d) (e)(1), (e)(4)(G), (H),
and (I) and (f); however, if any individual is denied any right,
privilege, or benefit to which the individual would otherwise be
eligible as a result of the maintenance of such material, such
material shall be provided to such individual except to the extent
that 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.
The reasons why the head of the Railroad Retirement Board decided
to exempt this system of records under 5 U.S.C. 552a(k) are given in
a rule published elsewhere in this Federal Register.
RRB-44
System name: Employee Test Score File.
System location:
U.S. Railroad Retirement Board, 844 Rush Street, Chicago,
Illinois 60611.
Categories of individuals covered by the system:
All Railroad Retirement Board employees who have taken one or
more tests in voluntary competition for posted positions under the
Board's Merit Promotion Plan.
Categories of records in the system:
Employee's name, social security account number, test score, type
of test taken, date test taken.
Authority for maintenance of the system:
5 U.S.C. 335.103.
Purpose(s):
Test scores are stored for use int he Agency's merit promotion
program. Agency's merit promotion program. Scores are forwarded by
the Bureau of Personnel to merit promotion panels for use in ranking
candidates for selection for promotion.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
a. Records may be disclosed to the Office of Personnel Management
in carrying out its functions.
b. Records may be disclosed to an agency in the executive,
legislative, or judicial branch, or the District of Columbia
Government, in response to its request, in connection with the hiring
or retention of an employee, the issuance of a security clearance,
the classifying of jobs, the letting of a contract, or the issuance
of a license, grant or other benefit by the requesting agency, to the
extent that the information is relevant and necessary to the
requesting agency's decision on the matter.
c. Disclosure may be made to a congressional office from the
record of an individual in response to an inquiry from the
congressional office made at the request of that individual.
d. Disclosure may be made to the Office of the President from the
record of an individual in response to an inquiry from the Office of
the President made at the request of that individual.
e. In the event of litigation where one of the parties is (a) the
Board, any component of the Board, or any employee of the Board in
his or her official capacity; (b) the United States where the Board
determines that the claim, if successful, is likely to directly
affect the operations of the Board or any of its components; or (c)
any Board employee in his or her individual capacity where the
Justice Department has agreed to represent such employees, the Board
may disclose such records as it deems desirable or necessary to the
Department of Justice to enable that Department to effectively
represent such party, provided such disclosure is compatible with the
purpose for which the records were collected.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Paper, word processing diskettes.
Retrievability:
Name.
Safeguards:
Paper and diskettes are maintained in a locked box. A password is
required to access the scores on the personal computer.
Retention and disposal:
Paper records are destroyed by shredding after 3 years. The test
score file on the personal computer is updated when each test is
given. A test score that is over 3 years old will be replaced when
the test is retaken, or removed if the test has not been retaken. A
back-up disk is made each tinme a record is changed or added; it is
retained until the next back up is made.
System manager(s) and address:
Director of Personnel, U.S. Railroad Retirement Board, 844 Rush
Street, Chicago, Illinois 60611.
Notification procedure:
Requests for information regarding an individual's record should
be in writing addressed to the System Manager identified above,
including the full name and social security number of the individual.
Before information about any record will be released, the System
Manager may require the individual to provide proof of identity or
require the requester to furnish an authorization from the individual
to permit release of information.
Record access procedures:
See Notification section above.
Contesting record procedures:
See Notification section above.
Record source categories:
Employees who have taken the tests, bureau of personnel.
RRB-45
System name: Employee Tuition Reimbursement File.
System location:
U.S. Railroad Retirement Board, 844 Rush Street, Chicago,
Illinois 60611.
Categories of individuals covered by the system:
All Railroad Retirement Board employees who have applied for
tuition reimbursement for educational courses taken pursuant to an
agreement between them and the agency.
Categories of records in the system:
Employee's name; copies of memoranda written by requesting
reimbursement, and approval actions which include the title of the
course(s) taken; the school at which it was taken; the final grade,
the tuition cost and the employee's written evaluation on the
training received.
Authority for maintenance of the system:
Section 4103 of Title 5, United States Code and Federal Personnel
Manual 410 section 1-l0a (11).
Purpose(s):
The purpose of this system of records is to serve as a repository
for the records (i.e. passing grade, receipts for books, fees and
tuition and application with proper agency approval) for each course
for each individual.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
a. Records may be disclosed to the Office of Personnel Management
in carrying out its functions.
b. Records may be disclosed to an agency in the executive,
legislative, or judicial branch, or the District of Columbia
Government, in response to its request, in connection with the hiring
or retention of an employee, the issuance of a security clearance,
the conducting of a security or suitability investigation of an
individual, the classifying of jobs, the letting of a contract, or
the issuance of a license, grant or other benefit by the requesting
agency, to the extent that the information is relevant and necessary
to the requesting agency's decision on the matter.
c. Disclosure may be made to a congressional office from the
record of an individual in response to an inquiry from the
congressional office made at the request of that individual.
d. Disclosure may be made to the Office of the President from the
record of an individual in response to an inquiry from the Office of
the President made at the request of that individual.
e. In the event of litigation where one of the parties is (a) the
Board, any component of the Board, or any employee of the Board in
his or her official capacity; (b) the United States where the Board
determines that the claim, if successful, is likely to directly
affect the operations of the Board or any of its components; or (c)
any Board employee in his or her individual capacity where the
Justice Department has agreed to represent such employees, the Board
may disclose such records as it deems desirable or necessary to the
Department of Justice to enable that Department to effectively
represent such party, provided such disclosure is compatible with the
purpose for which the records were collected.
f. In the event that this system of records indicates a violation
or potential violation of law, whether civil, criminal, or regulatory
in nature, and whether arising by general statute or particular
program statute, or by regulation, rule or order issued pursuant
thereto, the relevant records in the system of records may be
referred, as a routine use, to the appropriate agency, whether
Federal, State, local or foreign, charged with the responsibility of
investigating or prosecuting such violation or charged with enforcing
or implementing the statute, rule, or regulation or order issued
pursuant thereto.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
File folders.
Retrievability:
Name of employee.
Safeguards:
Kept in file cabinets in secured building with access limited to
authorized personnel.
Retention and disposal:
The folder and its contents are destroyed within 1 year after the
employee leaves the agency.
System manager(s) and address:
Director of Personnel, U.S. Railroad Retirement Board, 844 Rush
Street, Chicago, Illinois 60611.
Notification procedure:
Requests for information regarding an individual's record should
be in writing addressed to the System Manager identified above,
including the full name and social security number of the individual.
Before information about any record will be released, the System
Manager may require the individual to provide proof of identity or
require the requester to furnish an authorization from the individual
to permit release of information.
Record access procedures:
See Notification section above.
Contesting record procedures:
See Notification section above.
Record source categories:
Employees who request tuition reimbursement; school at which
courses were taken.
RRB-46
System name: Personnel Security Files--RRB.
System location:
U.S. Railroad Retirement Board, 844 Rush Street, Chicago,
Illinois 60611.
Categories of individuals covered by the system:
Current and former Railroad Retirement Board employees and
individuals being considered for possible employment by the Board.
Categories of records in the system:
Records of actions taken by the Railroad Retirement Board in a
personnel security investigation. If the action is favorable, the
information will include identifying information and the action
taken; if the action is unfavorable, the information will include the
basis of the action which may be a summary of, or a selection, of
information contained in an OPM investigation report. Information in
an OPM investigation report may include: Date and place of birth,
marital status, dates and places of residence, education, information
on treatment for a mental condition, dates and places of employment,
foreign countries visited, membership in organizations, birth date
and place of birth of relatives, arrest records, prior employment
reports, dates and levels of clearances, and names of agencies and
dates when, and reasons why, they were provided clearance information
on Board employees.
Note.--This system of records does not include the OPM
investigation report itself, even though it is in possession of the
Railroad Retirement Board. The report is covered under system of
records OPM Central-9. Access to the report is governed by OPM.
Authority for maintenance of the system:
Executive Order 10450 and OMB Circular A-130 dated December 15,
1985.
Purpose(s):
The purpose of this system of records is to maintain files
documenting the processing of investigations on RRB employees and
applicants for employment used in making security/suitability
determinations.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
a. Records may be disclosed to the Office of Personnel Management
in carrying out its functions.
b. Records may be disclosed to an agency in the executive,
legislative, or judicial branch, or the District of Columbia
Government, in response to its request, in connection with the hiring
or retention of an employee, the issuance of a security clearance,
the conducting of a security or suitability investigation of an
individual, the classifying of jobs, the letting of a contract, or
the issuance of a license, grant or other benefit by the requesting
agency, to the extent that the information is relevant and necessary
to the requesting agency's decision on the matter.
c. Disclosure may be made to a congressional office from the
record of an individual in response to an inquiry from the
congressional office made at the request of that individual.
d. Disclosure may be made to the Office of the President from the
record of an individual in response to an inquiry from the Office of
the President made at the request of that individual.
e. In the event of litigation where one of the parties is (a) the
Board, any component of the Board, or any employee of the Board in
his or her official capacity; (b) the United States where the Board
determines that the claim, if successful, is likely to directly
affect the operations of the Board or any of its components; or (c)
any Board employee in his or her individual capacity where the
Justice Department has agreed to represent such employees, the Board
may disclose such records as it deems desirable or necessary to the
Department of Justice to enable that Department to effectively
represent such party, provided such disclosure is compatible with the
purpose for which the records were collected.
f. In the event that this system of records indicates a violation
or potential violation of law, whether civil, criminal, or regulatory
in nature, and whether arising by general statute or particular
program statute, or by regulation, rule or order issued pursuant
thereto, the relevant records in the system of records may be
referred, as a routine use, to the appropriate agency, whether
Federal, State, local or foreign, charged with the responsibility of
investigating or prosecuting such violation or charged with enforcing
or implementing the statute, rule, regulation or order issued
pursuant thereto.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Paper.
Retrievability:
Name.
Safeguards:
Records are kept in a lockable file cabinet; onlu authorized
persons are permitted access.
Retention and disposal:
Records are destroyed upon notification of death or not later
than 5 years after separation or transfer of employee.
System manager(s) and address:
Personnel Security Officer, U.S. Railroad Retirement Board, 844
Rush Street, Chicago, Illinois 60611.
Notification procedure:
Requests for information regarding an individual's record should
be in writing addressed to the System Manager identified above,
including the full name and social security number and claim number
of the individual. Before information about any record will be
released, the System Manager may require the individual to provide
proof of identity or require the requester to furnish an
authorization from the individual to permit release of information.
Record access procedures:
See Notification section above.
Contesting record procedures:
See Notification section above.
Record source categories:
The individual to whom the information applies, the Railroad
Retirement Board, the Office of Personnel Management, the FBI and
other law enforcement agencies, and other third parties.
RRB-48
System name: Employee Identification Card Files (Building
Passes).
System location:
U.S. Railroad Retirement Board, 844 Rush Street, Chicago,
Illinois 60611.
Categories of individuals covered by the system:
All headquarters Railroad Retirement Board employees. Non-
Railroad Retirement Board employees who require continuous access to
the Board's headquarters building (e.g., employees of vendors and
contractors).
Categories of records in the system:
Name, social security number, color code for type of pass.
Authority for maintenance of the system:
Federal Property Management Regulations, 41 CFR 101-20.301.
Purpose(s):
The purpose of this system of records is to validate employees
who have been given access to the building.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Internal use only.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Paper.
Retrievability:
Name. Identification cards are used for admission to the
headquarters building; the application forms verify prior issuance in
the event of loss or theft of card.
Safeguards:
Records are maintained in areas not accessible to the public and
are not permitted to be removed from headquarters without
authorization.
Retention and disposal:
Application forms are retained until the person ceases to be
employed by the Board at its headquarters office, or in the case of
non-Railroad Retirement employees, until the building pass is
withdrawn.
System manager(s) and address:
Director of Personnel, U.S. Railroad Retirement Board, 844 Rush
Street, Chicago, Illinois 60611.
Notification procedure:
Requests for information regarding an individual's record should
be in writing addressed to the System Manager identified above,
including the full name and social security number of the individual.
Before information about any record will be released, the System
Manager may require the individual to provide proof of identity or
require the requester to furnish an authorization from the individual
to permit release of information.
Record access procedures:
See Notification section above.
Contesting record procedures:
See Notification section above.
Record source categories:
Individuals to whom building passes are issued.
RRB--49
System name:
Telephone Call Detail Records.
System location:
U.S. Railroad Retirement Board, 844 North Rush Street, Chicago,
Illinois 60611-2092.
Categories of individuals covered by the system:
Individuals (generally agency employees and contractor personnel)
who make or receive telephone calls from agency owned telephones at
the agency's 844 North Rush Street headquarters building.
Categories of records in the system:
Name of employee, telephone number, location of telephone, date
and time phone call made or received, duration of call, telephone
number called from agency telephone, city and state of telephone
number called, cost of call made on agency phone.
Authority for maintenance of the system:
31 U.S.C. 1348(b)
Purpose(s):
The purpose of this system of records are to verify the
correctness of telephone service billing and to detect and deter
possible improper use of agency telephones by agency employees and
contractors.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
a. Records may be released to agency employees on a need to know
basis.
b. Relevant records may be released to a telecommunications
company providing support to permit servicing the account.
c. Relevant records relating to an individual may be disclosed to
a Congressional office in response to an inquiry from the
Congressional office made at the request of that individual.
d. Relevant information may be disclosed to the Office of the
President for responding to an individual pursuant to an inquiry from
that individual or from a third party on his/her behalf.
3. Relevant records may be disclosed to representatives of the
General Services Administration or the National Archives and Records
Administration who are conducting records management inspections
under the authority of 44 U.S.C. 2904 and 2906.
f. Records may be disclosed in response to a request for
discovery or for the appearance of a witness, to the extent that what
is disclosed is relevant to the subject matter involved in a pending
judicial or administrative proceeding.
g. Records may be disclosed in a proceeding before a court or
adjudicative body to the extent that they are relevant and necessary
to the proceeding.
h. In the event that material in this system indicates a
violation of law, whether civil, criminal, or regulatory in nature,
and whether arising by general statute, or by regulation, rule, or
order issued pursuant thereto, the relevant records may be disclosed
to the appropriate agency, whether Federal, State, local or foreign,
charged with the responsibility of investigating or prosecuting such
violation or charged with enforcing or implementing the statute,
rule, regulation, or order, issued pursuant thereto.
i. Relevant records may be disclosed to respond to a Federal
agency's request made in connection with the hiring or retention of
an employee, the letting of a contract or issuance of a grant,
license or other benefit by the requesting agency, but only to the
extent that the information disclosed is relevant and necessary to
the requesting agency's decision on the matter.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Paper and computer hard disk, cartridge, and tape.
Retrievability:
Name, telephone extension, number dialed.
Safeguards:
Only designated personnel in the Bureau of Supply and Service
have access to the computerized records. Access to the PC database
containing call detail information is password protected. An
additional password is required for access to the personal computer
on which the database is housed.
Retention and disposal:
Computerized records are retained for approximately 180 days and
then are written over by more current call detail information. Paper
reports, when issued, are disposed of as provided in National
Archives and Records Administration General Records Schedule 12.
System manager(s) and address:
Director of Supply and Service, U.S. Railroad Retirement Board,
844 North Rush Street, Chicago, Illinois 60611-2092.
Notification procedure:
Requests for information regarding an individual's record should
be in writing addressed to the Systems Manager identified above,
including the full name and social security number of the individual.
Before information about any record will be released, the System
Manager may require the individual to provide proof of identity or
require the requester to furnish an authorization from the individual
to permit release of information.
Record access procedures:
See Notification section above.
Contesting record procedures:
See Notification section above.
Record source categories:
Telephone assignment records; computer software that captures
telephone call information and permits query and reports generation.
Systems exempted from certain provisions of the act:
None.
RRB-50
System name:
RRB-50, Child Care Tuition Assistance Program.
System location:
U.S. Railroad Retirement Board, 844 North Rush Street, Chicago,
Illinois 60611-2092.
Categories of individuals covered by the system:
Current and former Railroad Retirement Board employees who
voluntarily applied for child care tuition assistance, the employee's
spouse, the employee's children and their child care providers.
Categories of records in the system:
Employee (parent) name, Social Security Number, pay grade, home
and work numbers, addresses, total family income, spouse employment
information, names of children on whose behalf the employee parent is
applying for tuition assistance, each applicable child's date of
birth, information on child care providers used (including name,
address, provider license number and state where issued, tuition
cost, and provided tax identification number), and copies of IRS Form
1040 and 1040A for verification purposes. Other records may include
the child's social security number, weekly expense, pay statements,
records relating to direct deposits, verification of qualification
and administration for child care assistance.
Authority for maintenance of the system:
Pub. L. 106-58, section 643 and E.O. 9397.
Purpose(s):
The purpose of the system is to determine eligibility for, and
the amount of, the child care tuition assistance for lower income RRB
employees.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
a. Records may be released to agency employees on a need to know
basis.
b. Relevant records relating to an individual may be disclosed to
a congressional office in response to an inquiry from the
Congressional office made at the request of that individual.
c. Relevant information may be disclosed to the Office of the
President for responding to an individual pursuant to an inquiry from
that individual or from a third party in his/her behalf.
d. Relevant records may be disclosed to representatives of the
General Services Administration or the National Archives and Records
Administration who are conducting records management inspections
under the authority of 44 U.S.C. 2904 and 2906.
e. Records may be disclosed in response to a request for
discovery or for the appearance or a witness, to the extent that what
is disclosed is relevant to the subject matter involved in a pending
judicial or administrative proceeding.
f. Records may be disclosed in a proceeding before a court or
adjudicative body to the extent that they are relevant and necessary
to the proceeding.
g. In the event that material in this system indicates a
violation of law, whether civil, criminal, or regulatory in nature,
and whether arising by general statute, or by regulation, rule, or
order issued pursuant thereto, the relevant records may be disclosed
to the appropriate agency, whether Federal, State, local or foreign,
charged with the responsibility of investigating or prosecuting such
violation or charged with enforcing or implementing the statute,
rule, regulation, or order, issued pursuant thereto.
h. Relevant records may be disclosed to respond to a Federal
agency's request made in connection with the hiring or retention of
an employee, the letting of a contract or issuance of a grant,
license or other benefit by the requesting agency, but only to the
extent that the information disclosed is relevant and necessary to
the requesting agency's decision on the matter.
i. Relevant records may be disclosed to the Office of Personnel
Management or the General Accounting Office when the information is
required for evaluation of the subsidy program.
j. Records may be disclosed to an expert, consultant, or
contractor of RRB (including employees of the contractor) if the RRB
decides to contract with a private firm for the implementation of any
part of the program.
k. Relevant records may be disclosed to child care providers to
verify a covered child's dates of attendance at the provider's
facility.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Paper and computer hard disk, cartridge, and tape.
Retrievability:
Name, Social Security Number.
Safeguards:
When not in use by an authorized person, paper records are stored
in lockable cabinets in a building with security cameras and 24-hour
security guards. Access to electronic records require the use of
restricted passwords.
Retention and disposal:
These records will be maintained permanently until their official
retention period is established.
System manager(s) and address:
Director of Human Resources, U.S. Railroad Retirement Board, 844
North Rush Street, Chicago, Illinois 60611-2092.
Notification procedure:
Requests for information regarding an individual's record should
be in writing addressed to the Systems Manager identified above,
including the full name and social security number of the individual.
Before information about any record will be released, the System
Manager may require the individual to provide proof of identity or
require the requester to furnish an authorization from the individual
to permit release of information.
Record access procedures:
See Notification section above.
Contesting record procedures:
See Notification section above.
Record source categories:
Applications for child care tuition assistance submitted
voluntarily by RRB employees; forms completed by child care
providers.
Systems exempted from certain provisions of the act:
None.
RRB-51
System name:
RRB-51, Railroad Retirement Board's Customer PIN/Password (PPW)
Master File System.
System location:
U.S. Railroad Retirement Board, 844 North Rush Street, Chicago,
Illinois 60611-2092.
Categories of individuals covered by the system:
All RRB customers (applicants, claimants, annuitants and other
customers) who elect to conduct transactions with RRB in an
electronic business environment that requires the PPW infrastructure,
as well as those customers who elect to block PPW access to RRB
electronic transactions by requesting RRB to disable their PPW
capabilities.
Categories of records in the system:
The information includes identifying information such as the
customer's name, Social Security number (which functions as the
individual's personal identification number (PIN)) and mailing
address. The system also maintains the customer's Password Request
Code (PRC), the password itself, and the authorization level and
associated data (e.g. effective date of authorization).
Authority for maintenance of the system:
Sec. 2(b)(6) of the Railroad Retirement Act, 45 U.S.C.
231f(b)(6); and the Government Paperwork Elimination Act.
Purpose(s):
The purpose of this system is to enable RRB customers who wish to
conduct business with the RRB to do so in a secure environment.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
a. Records may be released to agency employees on a need to know
basis.
b. Relevant records relating to an individual may be disclosed to
a congressional office in response to an inquiry from the
congressional office made at the request of that individual.
c. Relevant information may be disclosed to the Office of the
President for responding to an individual pursuant to an inquiry from
that individual or from a third party in his/her behalf.
d. Relevant records may be disclosed to representatives of the
General Services Administration or the National Archives and Records
Administration who are conducting records management inspections
under the authority of 44 U.S.C. 2904 and 2906.
e. Records may be disclosed in response to a request for
discovery or for the appearance of a witness, to the extent that what
is disclosed is relevant to the subject matter involved in a pending
judicial or administrative proceeding and provided that the
disclosure would be clearly in the furtherance of the interest of the
subject individual.
f. Records may be disclosed in a proceeding before a court or
adjudicative body to the extent that they are relevant and necessary
to the proceeding and provided that the disclosure would be clearly
in the furtherance of the interest of the subject individual.
g. In the event that material in this system indicates a
violation of law, whether civil, criminal, or regulatory in nature,
and whether arising by general statute, or by regulation, rule, or
order issued pursuant thereto, the relevant records may be disclosed
to the appropriate agency, whether Federal, State, local or foreign,
charged with the responsibility of investigating or prosecuting such
violation or charged with enforcing or implementing the statue, rule,
regulation, or order issued pursuant thereto, provided that
disclosure would be to an agency engaged in functions related to the
administration of the Railroad Retirement Act or the Railroad
Unemployment Insurance Act or provided that disclosure would be
clearly in the furtherance of the interest of the subject individual.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Electronic and paper form.
Retrievability:
Name and Social Security number (which acts as the individual's
PIN).
Safeguards:
When not in use by an authorized person, paper records are stored
in lockable cabinets in a building with security cameras and 24-hour
security guards. Access to electronic records requires the use of
restricted passwords.
Retention and disposal:
These records will be maintained permanently until their official
retention period is established.
System manager(s) and address:
Office of Programs--Director of Policy and Systems, U.S. Railroad
Retirement Board, 844 North Rush Street, Chicago, Illinois 60611-
2092.
Notification procedure:
Requests for information regarding an individual's record should
be in writing addressed to the Systems Manager identified above,
including the full name and social security number of the individual.
Before information about any record will be released, the System
Manager may require the individual to provide proof of identity or
require the requester to furnish an authorization from the individual
to permit release of information.
Record access procedures:
See Notification section above.
Contesting record procedures:
See Notification section above.
Record source categories:
Data for the system are obtained primarily from the individuals
to whom the record pertains.
Systems exempted from certain provisions of the act:
None.
Appendix I.--Offices of the U.S. Railroad Retirement Board
A. Regional Offices
Region 1--101 Marietta Street, Suite 2304, Atlanta, Georgia
30303
Region 2--Federal Building, Room 3415, 26 Federal Plaza, New
York, New York 10278
Region 3--Anthony J. Celebrezze Federal Building, Room 493,
1240 E. 9th Street, Cleveland, Ohio 44199
Region 4--Federal Building, Room 257, 601 East 12th Street,
Kansas City, Missouri 64106
Region 5--Federal Building, Room 7419, 450 Golden Gate Avenue,
Box 36043, San Francisco, California 94102
B. District Offices
Alabama
2121 Building, Room 1532, 2121--8th Avenue North, Birmingham, Alabama
35203
951 Government Street, Room 122, Mobile, Alabama 36604
Arizona--301 West Congress, Room 4-M, Box FB-40, Tuscon,
Arizona 85701
Arkansas--Gannett Communications Center, Room 308, 201 West 3rd
Street, Little Rock, Arkansas 72201
California
Bank of California Building, 2110 Merced Street, Box 752, Fresno,
California 93712
U.S. Courthouse Building, Room 1507, 312 North Spring Street, Los
Angeles, California 90012
George P. Miller Federal Building, 1515 Clay Street, Oakland,
California 94612
Federal Building, Room E-1821, 2800 Cottage Way, Sacramento,
California 95825
568 N. Mountain View, San Bernardino, California 92401
Federal Building, Room 1423, 450 Golden Gate Avenue, Box 36045, San
Francisco, California 94102
Colorado--183 Custom House, 20th & Stout Streets, PO Box 8869,
Denver, Colorado 80201
Connecticut--Federal Building, 150 Court Street, New Haven,
Connecticut 06510
District of Columbia--1925 L. Street, NW, Washington, DC 20036
Florida
299 E. Broward Blvd., Room 304, Fort Lauderdale, Florida 33301
400 West Bay Street, Room 244, Box 35026, Jacksonville, Florida 32202
700 Twiggs Street, Room 707, Tampa, Florida 33602
Georgia
101 Marietta Street, Suite 2306, Atlanta, Georgia 30303
415 W. Broughton Street, Suite 101, Savannah, Georgia 31401
Idaho--Federal Building, U.S. Courthouse, Room 179, 250 South
4th Avenue, Pocatello, Idaho 83201
Illinois
Federal Building, Room 3162, 230 South Dearborn, Chicago, Illinois
60604
132 South Water Street, Suite 517, PO Box 1291, Decatur, Illinois
62525
Des Plaines Civic Center, 1420 Miner Street, Des Plaines, Illinois
60016
1310 21st Street, Granite City, Illinois 62040
101 North Joliet Street, Joliet, Illinois 60431
U.S.P.S. Building, 211 Nineteenth, Rock Island, Illinois 61201
Indiana
Federal Building and Courthouse, Room 333, 1300 S. Harrison Street,
Fort Wayne, Indiana 46802
Federal Building, Room 105, 575 North Pennsylvania Street,
Indianapolis, Indiana 46204
Iowa--Federal Building, Room 709, 210 Walnut Street, Des
Moines, Iowa 50309
Kansas
Federal Building, Room 303, 444 SE Quincy, Topeka, Kansas 66683
The Litwin Building, Suite 100-A, 110 North Market Street, Wichita,
Kansas 67202
Kentucky--Federal Building, Room 377A, 600 Federal Place, PO
Box 3702, Louisville, Kentucky 40201
Louisiana
Hale Boggs Federal Building, Room 925, 500 Camp Street, New Orleans,
Louisiana 70130
Federal Building, U.S. Courthouse, 500 Fannin Street, Room 3B04,
Shreveport, Louisiana 71101
Maine--Federal Building, PO Box 3590, Room 2041, 151 Forest
Avenue, Portland, Maine 04101
Maryland--George H. Fallon Federal Office Building; Room 1029,
31 Hopkins Plaza, Baltimore, Maryland 21201
Massachusetts
U.S. Post Office and Courthouse Building, Room 408, PO Box 2448,
Boston, Massachusetts 02208
Federal Building and Courthouse, Room 411, 436 Dwight Street,
Springfield, Massachusetts 01103
Michigan
2805 North Lincoln Road, PO Box 692, Escanaba, Michigan 49829
P. V. McNamara Federal Building, 477 West Michigan Avenue, Suite
1990, Detroit, Michigan 48226
Riverview Center Building, Room 420, 678 Front Street, NW, Grand
Rapids, Michigan 49504
Minnesota
Federal Building, Room 135, 515 West First Street, Duluth, Minnesota
55802
910 Bremer Towers, 82 East 7th Street, St. Paul, Minnesota 55101
Mississippi--Federal Building, Room 1007, 100 W. Capital
Street, Jackson, Mississippi 39201
Missouri
Federal Building, Room 258, 601 East 12th Street, Kansas City,
Missouri 64106
Federal Building, Room 204, 201 East 4th Street, Sedalia, Missouri
65301
1430 Olive Street, Room 203, St. Louis, Missouri 63103
Bank of Springfield Office Center, Room 612, 300 South Jefferson,
Springfield, Missouri 65806
Montana--Federal Building, Room 1445, 316 North 26th Street, PO
Box 1351, Billings, Montana 59103
Nebraska
USPO Courthouse, 300 East Third Street, PO Box 1103, North Platte,
Nebraska 69101
Federal Office Building, Room 1011, 106 South 15th, Omaha, Nebraska
68102
New Jersey--New Federal Building, Room 707, 970 Broad Street,
Newark, New Jersey 07102
New Mexico
Rosenwald Building, Suite 13, 320 Central, SW, Albuquerque, New
Mexico 87102
Federal Building, Hill Avenue, and Third Street, Room 130, PO Box
910, Gallup, New Mexico 87301
New York
Leo W. O'Brien Federal Building, Room 264, Clinton Avenue and North
Pearl Streets, Albany, New York 12207
Federal Building, Room 1106, 111 West Huron Street, Buffalo, New York
14202
Mark Twain Building, 168 North Main Street, Elmira, New York 14901
183 South Broadway, Third Floor, Room 310, Hicksville, New York 11801
Federal Building, Room 3404, 26 Federal Plaza, New York, New York
10278
U.S. Courthouse and Federal Building, 100 South Clinton Street, Room
525, Syracuse, New York 13260
North Carolina
Mart Office Building, Room BB-503, 800 Briar Creek Road (at
Independence), Charlotte, North Carolina 28205
Federal Building, Room 238, 310 New Bern Avenue, Raleigh, North
Carolina 27611
North Dakota--USPO Building, Room 219, 657 Second Avenue,
North, PO Box 383, Fargo, North Dakota 58107
Ohio
Federal Building, Room 1030, 550 Main Street, Cincinnati, Ohio 45202
Anthony J. Celebrezze Federal Building, Room 401, 1240 East 9th
Street, Cleveland, Ohio 44199
Federal Building, U.S. Courthouse, Room 216, 85 Marconi Boulevard,
Columbus, Ohio 43215
Federal Building, Room 321, 234 Summit Street, Toledo, Ohio 43604
Dollar Bank Building, Room 601, Central Square, Youngstown, Ohio
44503
Oklahoma
146 Post Office Building, North Robinson and Dean A. McGee Avenue,
Oklahoma City, Oklahoma 73102
333 West Fourth Street, Room 3339, Tulsa, Oklahoma 74103
Oregon--Suite 650, 111 SW Columbia, Portland, Oregon 97201
Pennsylvania
615 Howard Avenue, Room 10, PO Box 990, Altoona, Pennsylvania 16603
Federal Building, Room 504, 228 Walnut Street, Box B, Harrisburg,
Pennsylvania 17108
William J. Green, Jr. Federal Building, Room 7224, 600 Arch Street,
Philadephia, Pennsylvania 19106
Park Building, Room 1327, 355 Fifth Avenue, Pittsburgh, Pennsylvania
15222
USPO and Courthouse, Washington Avenue and Linden Street, Room 301,
Scranton, Pennsylvania 18503
Tennessee
1111 Northshore Drive, Building 1, Room 237, Drawer 139, Knoxville,
Tennessee 37919
Clifford Davis Federal Building, Room 9, 167 North Main Street,
Memphis, Tennessee 38103
108 Federal Building, U.S. Courthouse, 801 Broadway, Nashville,
Tennessee 37203
Texas
Federal Building and U.S. Courthouse, Room 118, 205 East 5th Street,
Amarillo, Texas 79101
1100 Commerce Street, Room 3 D 14, Dallas, Texas 75242
First National Building, 109 North Oregon, Room 815, PO Box 5311, El
Paso, Texas 79954
819 Taylor Street, Room 10 A 36, Fort Worth, Texas 76102
Federal Office Building, Room 2615, 515 Rusk Street, PO Box 61166,
Houston, Texas 77208
Federal Building, Room A 417, 727 East Durango, San Antonio, Texas
78206
Utah--IRS Building, Suite 102, 469 South 400 East, Salt Lake
City, Utah 84111
Virginia
Federal Building, Room 801, 200 Granby Mall, Norfolk, Virginia 23510
Federal Office Building, Room 1207, 400 North Eighth Street, PO Box
10006, Richmond, Virginia 23240
Richard Poff Federal Building, Room 739, 210 Franklin Road, SW, PO
Box 270, Roanoke, Virginia 24011
Washington
Federal Building, Room 3210, 915 Second Avenue, Seattle, Washington
98174
U.S. Courthouse, Room 492, West 920 Riverside Avenue, Spokane,
Washington 99201
West Virginia--1415 6th Avenue, PO Box 2153, Huntington, West
Virginia 25721
Wisconsin
Federal Building, Room 19, 500 South Barstow Street, Eau Claire,
Wisconsin 54701
Lewis Center Building, Room 410, 615 East Michigan Street, Milwaukee,
Wisconsin 53202
Appendix II.--Medicare Part B Field Offices
Southeastern--PO Box 10066, Augusta, Georgia 30999
Northeastern--PO Box 395, Albany, New York 12201
North Central--220 East 170th Street, Lansing, Illinois 60438
South Central--PO Box 225493, Dallas, Texas 75265
Western--PO Box 30050, Salt Lake City, Utah 84130
RAILROAD RETIREMENT BOARD
Title 20-Employees' Benefits
Chapter II-Railroad Retirement Board
PART 200--PROCEDURES AND FORMS
Sec.
200.5 Protection of privacy of records maintained on individuals.
Sec. 200.5 Protection of privacy of records maintained on
individuals.
(a) Purpose and scope. The purpose of this section is to establish
specific procedures necessary for compliance with the Privacy Act of
1974 (Pub. L. 93-579). These regulations apply to all record systems
containing information of a personal or private nature maintained by the
Railroad Retirement Board that are indexed and retrieved by personal
identifier.
(b) Definitions--(1) Individual. The term ``individual'' pertains to a
natural person who is a citizen of the United States or an alien
lawfully admitted for permanent residence and not to a company or
corporation.
(2) System of records. For the purposes of this section, the term
``system of records'' pertains to only those records that can be
retrieved by an individual identifier.
(3) Railroad Retirement Board. For purposes of this section, the term
``Railroad Retirement Board'' refers to the United States Railroad
Retirement Board, an independent agency in the executive branch of the
United States Government.
(4) Board. For purposes of this section the term ``Board'' refers to
the three member governing body of the United States Railroad Retirement
Board.
(c) Procedure for requesting the existence of personally identifiable
records in a record system. An individual can determine if a particular
record system maintained by the Railroad Retirement Board contains any
record pertaining to him by submitting a written request for such
information to the system manager of that record system as described in
the annual notice published in the Federal Register. A current copy of
the system notices, published in accordance with paragraph (i) of this
section, is available for inspection at all regional and district
offices of the Board. If necessary, Board personnel will aid requesters
in determining what system(s) of records they wish to review and will
forward any requests for information to the appropriate system manager.
Also, requests for personal information may be submitted either by mail
or in person to the system manager at the headquarters of the Railroad
Retirement Board, 844 Rush Street, Chicago, Illinois 60611. Prior to
responding to a request for information under this subsection, the
system manager shall require the individual requesting such information
to provide identifying data, such as his full name, date of birth, and
social security number. The system manager shall respond to a request
under this subsection within a reasonable time by stating that a record
on the individual either is or is not contained in the system.
(d) Disclosure of requested information to individuals. (1) Upon
request, an individual shall be granted access to records pertaining to
himself, other than medical records and records compiled in anticipation
of a civil or criminal action or proceeding against him, which are
indexed by individual identifier in a particular system of records.
Requests for access must be in writing and should be addressed to the
system manager of that record system as described in the annual notice
published in the Federal Register. Requests under this subsection may be
submitted either by mail or in person at the headquarters offices of the
Railroad Retirement Board, 844 Rush Street, Chicago, Illinois 60611.
(2) The system manager shall, within ten working days following the
date on which the request is received in his office, render a decision
either granting or denying access and shall promptly notify the
individual of his decision. If the request is denied, the notification
shall inform the individual of his right to appeal the denial to the
Board. An individual whose request for access under this subsection has
been denied by the system manager may appeal that determination to the
Board by filing a written appeal with the Secretary of the Board,
Railroad Retirement Board, 844 Rush Street, Chicago, Illinois 60611
within twenty working days following receipt of the notice of denial.
The Board shall render a decision on an appeal within thirty working
days following the date on which the appeal is received in the office of
the Secretary of the Board. The individual shall promptly be notified of
the Board's decision.
(3) In cases where an individual has been granted access to his
records, the system manager shall, prior to releasing such records,
require the individual to produce identifying data such as his name,
date of birth, and social security number.
(4) Disclosure to an individual of his record may be made by providing
him, upon written request therefor, a copy of the record or portion
thereof which he reasonably describes in his request.
(5) An individual, and if such individual so desires, one other person
of his choosing, may review and have a copy made of his record (in a
form comprehensible to him) during regular business hours at the
location described as the repository of the record system containing
such records in the annual notice published in the Federal Register or
at such other location convenient to the individual as specified by the
system manager. If an individual is accompanied by another person, the
system manager may require written authorizations for disclosure in the
presence of the other person from the individual before any record or
portion thereof is released.
(e) Special procedures--medical records. (1) An individual concerning
whom the Railroad Retirement Board maintains medical records in a system
of records shall, upon written request, be permitted to review such
medical records or be furnished copies of such records if the system
manager of the system containing the requested records determines that
disclosure of the records or any portion thereof would not be harmful to
the individual's mental or physical health.
(2) If, upon review of the medical records requested, the system
manager determines that disclosure of such records or any portion
thereof might be harmful to the individual's mental or physical health,
he shall inform the individual that copies of the records may be
furnished to a physician of the individual's own choosing. If the
individual should select a physician to conduct such a review and direct
the Board to permit the physician to review the records, The system
manger shall promptly forward copies of the records in question to that
physician. The system manger shall inform the physician that the records
are being provided to him or her for the purpose of making an
independent determination as to whether release or the records directly
to the individual who has requested them might be harmful to that
individual. The physician shall be informed that if, in his or her
opinion, direct disclosure of the records would not be harmful the the
individual's mental or physical health, he or she may then provide the
copies to the individual. The physician shall further be informed that
should he or she determine that disclosure of the records in question
might be harmful to the individual, such records shall not be disclosed
and should be returned to the Board, but the physician may summarize and
discuss the contents of the records with the individual.
(3) The special procedure established by paragraph (e) of this section
to permit an individual access to medical records pertaining to himself
or herself shall not be construed as authorizing the individual to
direct the Board to disclose such medical records to any third parties,
other than to a physician in accordance with paragraph (e)(2) of this
section. Medical records shall not be disclosed by the Board to any
entities or persons other than the individual to whom the record
pertains or his or her authorized physician regardless of consent,
except as permissible under paragraphs(j)(1)(iii) and (viii) of this
section and as provided under paragraph (e)(4) of this section.
(4) Notwithstanding the provisions of paragraphs (e)(1), (2) and (3)
of this section and of paragraph (d) of this section, if a determination
made with respect to an individual's claim for benefits under the
Railroad Retirement Act of the Railroad Unemployment Insurance Act is
based in whole or in part on mediacl records, disclosure of or access to
such medical records shall be granted to such individual or to such
individual's representative when such records are requested for the
purpose of contesting such determination either administratively of
judicially. (5) The procedures for access to medical records set forth
in paragraph (e) of this section shall not apply with respect to
requests for access to an individual's disability decision sheet or
similar adjudicatory documents, access to which is governed solely by
paragraph (d) of this section.
(f) General exemptions--(1) Systems of records subject to
investigatory material exemption under 5 U.S.C. 552a(j)(2). RRB-43,
Investigation Files, a system containing information concerning alleged
violations of law, regulation, or rule pertinent to the administration
of programs by the RRB or alleging misconduct or conflict of interest on
the part of RRB employees in the discharge of their official duties.
(2) Scope of exemption.(i) The system of records identified in this
paragraph is maintained by the Office of Investigations (OI) of the
Office of Inspector General (OIG), a component of the Board which
performs as its principal function activities pertaining to the
enforcement of criminal laws. Authority for the criminal law enforcement
activities of the OIG's OI is the Inspector General Act of 1978, 5
U.S.C. app.
(ii) Applicable information in the system of records described in this
paragraph is exempt from subsections (c)(3) and (4) (Accounting of
Certain Disclosures), (d) (Access to Records), (e)(1), (2), (3), (4)(G),
(H), and (I), (5), and (8), (Agency Requirements), (f) (Agency Rules)
and (g) (Civil Remedies) of 5 U.S.C. 552a.
(iii) To the extent that information in this system of records does
not fall within the scope of this general exemption under 5 U.S.C.
552(j)(2) for any reason, the specific exemption under 5 U.S.C.
552(k)(2) is claimed for such information. (See paragraph (g) of this
section.)
(3) Reasons for exemptions. The system of records described in this
section is exempt for one or more of the following reasons:
(i) 5 U.S.C. 552a(c)(3) requires an agency to make available to the
individual named in the records, at his or her request, an accounting of
each disclosure of records. This accounting must state the date, nature,
and purpose of each disclosure of a record and the name and address of
the recipient. Accounting of each disclosure would alert the subjects of
an investigation to the existence of the investigation and the fact that
they are subjects of an investigation. The release of such information
to the subjects of an investigation would provide them with significant
information concerning the nature of the investigation, and could
seriously impede or compromise the investigation and lead to the
improper influencing of witnesses, the destruction of evidence, or the
fabrication of testimony.
(ii) 5 U.S.C. 552a(c)(4) requires an agency to inform any person or
other agency about any correction or notation of dispute made by the
agency in accordance with subsection (d) of the Act. Since the RRB is
claiming that this system of records is exempt from subsection (d) of
the Act, concerning access to records, this section is inapplicable and
is exempted to the extent that this system of records is exempted from
subsection (d) of the Act.
(iii) 5 U.S.C. 552a(d) requires an agency to permit an individual to
gain access to records pertaining to him or her, to request amendment of
such records, to request a review of an agency decision not to amend
such records, and to contest the information contained in such records.
Granting access to records in this system of records could inform the
subject of the investigation of an actual or potential criminal
violation of the existence of that investigation, of the nature and
scope of the information and evidence obtained as to his or her
activities, of the identity of confidential sources, witnesses, and law
enforcement personnel, and could provide information to enable the
subject to avoid detection or apprehension. Granting access to such
information could seriously impede or compromise an investigation, lead
to the improper influencing of witnesses, the destruction of evidence,
or the fabrication of testimony, and disclose investigative techniques
and procedures.
(iv) 5 U.S.C. 552a(e)(1) requires each agency to maintain in its
records only such information about an individual as is relevant and
necessary to accomplish a purpose required by statute or executive order
of the President. The application of this provision could impair
investigations and law enforcement, because it is not always possible to
detect the relevance or necessity of specific information in the early
stages of an investigation. Relevance and necessity are often questions
of judgment and timing, and it is only after the information is
evaluated that the relevance and necessity of such information can be
established.
(v) 5 U.S.C. 552a(e)(2) requires an agency to collect information to
the greatest extent practicable directly from the subject individual
when the information may result in adverse determinations about an
individual's rights, benefits, and privileges under Federal programs.
The application of this provision could impair investigations and law
enforcement by alerting the subject of an investigation of the existence
of the investigation, enabling the subject to avoid detection or
apprehension, to influence witnesses improperly, to destroy evidence, or
to fabricate testimony. Moreover, in certain circumstances the subject
of an investigation cannot be required to provide information to
investigators, and information must be collected from other sources.
Furthermore, it is often necessary to collect information from sources
other than the subject of the investigation to verify the accuracy of
the evidence collected.
(vi) 5 U.S.C. 552a(e)(3) requires an agency to inform each person whom
it asks to supply information, on a form that can be retained by the
person, of the authority under which the information is sought and
whether disclosure is mandatory or voluntary; of the principal purposes
for which the information is intended to be used; of the routine uses
which may be made of the information; and of the effects on the person,
if any, of not providing all or any part of the requested information.
The application of this provision could provide the subject of an
investigation with substantial information about the nature of that
investigation.
(vii) 5 U.S.C. 552a(e)(4) (G) and (H) require an agency to publish a
Federal Register notice concerning its procedures for notifying an
individual at his request if the system of records contains a record
pertaining to him or her, how he or she can gain access to such a
record, and how he or she can contest its contents. Since the RRB is
claiming that the system of records is exempt from subsection (f) of the
Act, concerning agency rules, and subsection (d) of the Act, concerning
access to records, these requirements are inapplicable and are exempted
to the extent that these systems of records are exempted from
subsections (f) and (d) of the Act. Although the RRB is claiming
exemption from these requirements, RRB has published such a notice
concerning its notification, access, and contest procedures because,
under certain circumstances, RRB might decide it is appropriate for an
individual to have access to all or a portion of his or her records in
this system of records.
(viii) 5 U.S.C. 552a(e)(4)(I) requires an agency to publish in the
Federal Register notice concerning the categories of sources or records
in the system of records. Exemption from this provision is necessary to
protect the confidentiality of the sources of information, to protect
the privacy of confidential sources and witnesses, and to avoid the
disclosure of investigative techniques and procedures. Although RRB is
claiming exemption from this requirement, RRB has published such a
notice in broad generic terms in the belief that this is all subsection
(e)(4)(I) of the Act requires.
(ix) 5 U.S.C. 552a(e)(5) requires an agency to maintain its records
with such accuracy, relevance, timeliness, and completeness as is
reasonably necessary to assure fairness to the individual in making any
determination about the individual. Since the Act defines ``maintain''
to include the collection of information, complying with this provision
would prevent the collection of any data not shown to be accurate,
relevant, timely, and complete at the moment it is collected. In
collecting information for criminal law enforcement purposes, it is not
possible to determine in advance what information is accurate, relevant,
timely, and complete. Facts are first gathered and then placed into a
logical order to prove or disprove objectively the criminal behavior of
an individual. Material which may seem unrelated, irrelevant, or
incomplete when collected may take on added meaning or significance as
the investigation progresses. The restrictions of this provision could
interfere with the preparation of a complete investigative report,
thereby impending effective law enforcement.
(x) 5 U.S.C. 552a(e)(8) requires an agency to make reasonable efforts
to serve notice on an individual when any record on such individual is
made available to any person under compulsory legal process when such
process becomes a matter of public record. Complying with this provision
could prematurely reveal an ongoing criminal investigation to the
subject of the investigation.
(xi) 5 U.S.C. 552a(f)(1) requires an agency to promulgate rules which
shall establish procedures whereby an individual can be notified in
response to his or her request if any system of records named by the
individual contains a record pertaining to him or her. The application
of this provision could impede or compromise an investigation or
prosecution if the subject of an investigation was able to use such
rules to learn of the existence of an investigation before it could be
completed. In addition, mere notice of the fact of an investigation
could inform the subject or others that their activities are under or
may become the subject of an investigation and could enable the subjects
to avoid detection or apprehension, to influence witnesses improperly,
to destroy evidence, or to fabricate testimony. Since the RRB is
claiming that these systems of records are exempt from subsection (d) of
the Act, concerning access to records, the requirements of subsections
(f)(2) through (5) of the Act, concerning agency rules for obtaining
access to such records, are inapplicable and are exempted to the extent
that this system of records is exempted from subsection (d) of the Act.
Although RRB is claiming exemption from the requirements of subsection
(f) of the Act, RRB has promulgated rules which establish Agency
procedures because, under certain circumstances, it might be appropriate
for an individual to have access to all or a portion of his or her
records in this system of records. These procedures are described
elsewhere in this part.
(xii) 5 U.S.C. 552a(g) provides for civil remedies if an agency fails
to comply with the requirements concerning access to records under
subsections (d)(1) and (3) of the Act; maintenance of records under
subsection (e)(5) of the Act; and any rule promulgated thereunder, in
such a way as to have an adverse effect on an individual. Since the RRB
is claiming that this system of records is exempt from subsections
(c)(3) and (4), (d), (e)(1), (2), (3), (4)(G), (H), and (I), (5), and
(8), and (f) of the Act, the provisions of subsection (g) of the Act are
inapplicable and are exempted to the extent that this system or records
is exempted from those subsections of the Act.
(g) Specific exemptions--(1) Systems of records subject to
investigatory material exemption under 5 U.S.C. 552a(k)(2). RRB-43,
Investigation Files, a system containing information concerning alleged
violations of law, regulation, or rule pertinent to the administration
of programs by the RRB or alleging misconduct or conflict of interest on
the part of RRB employees in the discharge of their official duties.
(2) Privacy Act provisions from which exempt. The system of records
described in this paragraph is exempt from subsections (c)(3)
(Accounting of Certain Disclosures), (d) (Access to Records), (e)(1),
4G, H, and I (Agency Requirements), and (f) (Agency Rules) of 5 U.S.C.
552a.
(3) Reasons for exemptions. The system of records described in this
section is exempt for one or more of the following reasons:
(i) To prevent the subject of the investigations from frustrating the
investigatory process.
(ii) To protect investigatory material compiled for law enforcement
purposes.
(iii) To fulfill commitments made to protect the confidentiality of
sources and to maintain access to necessary sources of information.
(iv) To prevent interference with law enforcement proceedings.
(h) Request for amendment of a record. (1) An individual may request
that a record pertaining to himself be amended by submitting a written
request for such amendment to the system manager as described in the
annual notice published in the Federal Register. Requests under this
subsection may be made either by mail or in person at the headquarters
offices of the Railroad Retirement Board, 844 Rush Street, Chicago,
Illinois 60611. Such a request should include a statement of the
information in the record which the individual believes is incorrect, a
statement of any information not in the record which the individual
believes would correct the record, if included, and a statement of any
evidence which substantiates the individual's belief concerning the
inaccuracy of the information presently contained in the record.
(2) Prior to rendering a determination in response to a request under
this subsection, the system manager shall require that the individual
provide identifying data such as his name, date of birth, and social
security number.
(3) The system manager responsible for the system of records which
contains the challenged record shall acknowledge receipt of the request
in writing within ten working days following the date on which the
request for amendment was received in his office and shall promptly
render a decision either granting or denying the request.
(i) If the system manager grants the individual's request to amend his
record, the system manager shall amend the record accordingly, advise
the individual in writing that the requested amendment has been made and
where an accounting of disclosures has been made, advise all previous
recipients of the record to whom disclosure of such record was made and
accounted for of the fact that the amendment was made and the substance
of the amendment.
(ii) If the system manager denies the individual's request to amend
his record, the system manager shall inform the individual that the
request has been denied in whole or in part, the reason for the denial
and the procedure regarding the individual's right to appeal the denial
to the Board.
(i) Appeal of initial adverse determination on amendment. (1) An
individual, whose request for amendment of a record pertaining to him is
denied, may appeal that determination to the Board by filing a written
appeal with the Secretary of the Board, Railroad Retirement Board, 844
Rush Street, Chicago, Illinois 60611. The written notice of appeal
should include a statement of the information in the record which the
individual believes is correct, a statement of any information not in
the record which the individual believes would correct the record, if
included, and a statement of any evidence which substantiates the
individual's belief concerning the inaccuracy of the information
presently contained in the record.
(2) The Board shall consider the appeal and render a final decision
thereon within thirty working days following the date on which the
appeal is received in the office of the Secretary of the Board. An
extension of the thirty day response period is permitted for a good
cause upon notification of such to the requester.
(3) If, upon consideration of the appeal, the Board upholds the
denial, the appellant shall be so informed in writing. The appellant
shall be advised that he may file a concise statement with the Board
setting forth his reasons for disagreeing with the Board's decision and
the procedures to be followed in filing such a statement of
disagreement. The individual shall also be informed of his right to
judicial review as provided under section 552a(g)(1)(A) of Title 5 of
the United States Code. If disclosure has or will be made of a record
containing information about which an individual has filed a statement
of disagreement, that contested information will be annotated and a copy
of the statement of disagreement will be provided to past and future
recipients of the information along with which the Board may include a
statement of its reasons for not amending the record in question.
(4) If, upon consideration of the appeal, the Board reverses the
denial, the Board shall amend the record, advise the appellant in
writing that such amendment has been made, and where an accounting of
disclosures has been made, advise all previous recipients of the record
to whom disclosure of such was made and accounted for, of the fact that
the amendment was made and the substance of the amendment.
(j) Disclosure of record to person other than the individual to whom
it pertains. (1) Records collected and maintained by the Railroad
Retirement Board in the administration of the Railroad Retirement Act
and the Railroad Unemployment Insurance Act which contain information of
a personal or private nature shall not be disclosed to any person or to
another agency without the express written consent of the individual to
whom the record pertains. Such written consent shall not be required if
the disclosure is not otherwise prohibited by law or regulation and is:
(i) To officers or employees of the Railroad Retirement Board who, in
the performance of their official duties, have a need for the record;
(ii) Required under section 552 of title 5 of the United States Code;
(iii) For a routine use of such record as published in the annual
notice in the Federal Register;
(iv) To the Bureau of the Census for uses pursuant to the provisions
of title 13 of the United States Code;
(v) To a recipient who has provided the Board with advance written
assurance that the record will be used solely as a statistical or
research record, and the record is to be transferred in a form that is
not individually identifiable;
(vi) To the National Archives of the United States as a record which
has sufficient historical or other value to warrant its continued
preservation by the United States Government or for evaluation by the
administrator of General Services or his designee to determine whether
the record has such value;
(vii) To another agency or to an instrumentality of any governmental
jurisidiction within or under the control of the United States for a
civil or criminal law enforcement activity if the activity is authorized
by law, and if the head of the agency or instrumentality has made a
written request to the agency which maintains the record specifying the
particular portion desired and the law enforcement activity for which
the record is sought;
(viii) To a person pursuant to a showing of compelling circumstances
affecting the health or safety of an individual if, upon such
disclosure, notification is transmitted to the last known address of
such individual;
(ix) To either House of Congress, or, to the extent of matter within
its jurisdiction, any committee or subcommittee thereof, any joint
committee of Congress or subcommittee of any such joint committee;
(x) To the Comptroller General, or any of his authorized
representatives, in the course of the performance of the duties of the
General Accounting Office; or
(xi) Pursuant to the order of a court of competent jurisdiction.
(2) The Railroad Retirement Board shall maintain an accounting of all
disclosures of records made under paragraph (j)(1) of this section,
except those made under paragraphs (j)(1) (i) and (ii) of this section.
This accounting will include:
(i) Date of disclosure;
(ii) Specific subject matter of disclosure;
(iii) Purpose of disclosure; and
(iv) Name and address of the person or agency to whom the information
has been released.
The Railroad Retirement Board shall maintain the accounting for five
years or the life of the system of records, whichever is longer, and
make such accounting, with the exception of disclosures made under
paragraph (j)(1)(vii) of this section, available to the individual to
whom the record pertains upon his request. If, subsequent to disclosure
of a record for which disclosure an accounting has been made pursuant to
this subsection, an amendment is made to that record or an individual
has filed a statement of disagreement concerning that record, the person
or agency to whom such disclosure was made shall be notified of the
amendment or statement of disagreement.
(k) Annual notice of systems of records. The Railroad Retirement Board
shall publish in the Federal Register on an annual basis a listing of
the various systems of records which it maintains by individual
identifier. That notice shall provide the following for each system:
(1) The name and location of the system;
(2) The categories of individuals on whom records are maintained in
the system;
(3) The routine uses of the system;
(4) The methods of storage, disposal, retention, access controls and
retrievability of the system;
(5) The title and business address of the individual who is
responsible for the system;
(6) The procedure whereby an individual can be notified at his request
whether or not the system contains a record pertaining to him;
(7) The procedure whereby the individual can be notified at his
request how he can gain access to any record pertaining to him which is
contained in the system;
(8) How the individual can contest the contents of such a record; and
(9) The categories of sources of records in the system.
(l) Collection of information and maintenance of records. With respect
to each system of records indexed by individual identifer which is
maintained by the Railroad Retirement Board, the Railroad Retirement
Board shall:
(1) Maintain in each system only such information about an individual
as is relevant and necessary in accomplishing the purposes for which the
system is kept;
(2) To the greatest extent practicable, collect information directly
from the individual when that information may result in an adverse
determination about such individual's rights, benefits or privileges
under programs administered by the Railroad Retirement Board;
(3) Inform each individual who is asked to supply information:
(i) The authority under which the solicitation of such information is
carried out;
(ii) Whether disclosure of the requested information is mandatory or
voluntary and any penalties for failure to furnish such information;
(iii) The principal purposes for which the information will be used;
(iv) The routine uses and transfers of such information; and
(v) The possible effects on such individual if he fails to provide the
requested information;
(4) Maintain all records which are used by the Railroad Retirement
Board in making any determination about any individual with such
accuracy, relevance, timeliness and completeness as is reasonably
necessary to assure fairness to the individual in the determination;
(5) Prior to disseminating any record about an individual to any
person other than an agency, unless the dissemination is made pursuant
to paragraph (j)(1)(ii) of this section, make reasonable efforts to
assure that such records are accurate, complete, timely and relevant for
purposes of the administration of the Railroad Retirement Act and the
Railroad Unemployment Insurance Act;
(6) Maintain no record describing how any individual exercises rights
guaranteed by the First Amendment unless expressly authorized by statute
or by the individual to whom the record pertains or unless pertinent to
and within the scope of an authorized law enforcement activity;
(7) Make reasonable efforts to serve notice on an individual when any
record on such individual is made available to any person under
compulsory legal process when such process becomes a matter of public
record; and
(8) At least thirty days prior to publication of information under
paragraph (i) of this section, publish in the Federal Register notice of
any new use or intended use of the information in the system and provide
an opportunity for interested persons to submit written data, views or
arguments to the Railroad Retirement Board.
(m) Fees. The Railroad Retirement Board may assess a fee for copies of
any records furnished to an individual under paragraph (d) of this
section. The fees for copies shall be $0.10 per copy per page, not to
exceed the actual cost of reproduction, and should be paid to the
Director of Budget and Fiscal Operations for deposit to the Railroad
Retirement Account. If payment is made by check, the check should be
payable to the order of the Railroad Retirement Board. Any fee of less
than $10 may be waived by the system manager if he determines that it is
in the public interest to do so.
(n) Government contractors. When the Railroad Retirement Board
provides by a contract or by a subcontract subject to its approval for
the operation by or on behalf of the Railroad Retirement Board of a
system of records to accomplish an agency function, the Railroad
Retirement Board shall, consistent with its authority, cause the
requirements of section 552a of Title 5 of the United States Code to be
applied to such system. In each such contract or subcontract for the
operation of a system of records, entered into on or after September 27,
1975, the Railroad Retirement Board shall cause to be included a
provision stating that the contractors or subcontractors and their
employees shall be considered employees of the Railroad Retirement Board
for purposes of the civil and criminal penalties provided in sections
(g) and (i) of the Privacy Act of 1974 (5 U.S.C. 552a (g) and (i)).
(o) Mailing lists. The Railroad Retirement Board shall neither sell
nor rent information containing any individual's name or address, unless
authorized by statute.
(p) Disclosure of social security account numbers. Whenever an
individual is requested by the Railroad Retirement Board to disclose his
social security account number he shall be informed as to whether such
disclosure is mandatory or voluntary. If disclosure of the individual's
social security account number is mandatory, he shall be informed of the
statutory authority requiring such disclosure.
(5 U.S.C. 552a)
[41 FR 20580, May 19, 1976, as amended at 43 FR 17468, Apr. 25, 1978; 50
FR 27222, Jul. 2, 1985. Redesignated at 52 FR 11010, Apr. 6, 1987 and
further amended at 53 FR 3198, Feb. 4, 1988; 54 FR 43055, Oct. 20, 1989]