[Federal Register Volume 63, Number 67 (Wednesday, April 8, 1998)]
[Rules and Regulations]
[Pages 17049-17050]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 98-9134]



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 Rules and Regulations
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  Federal Register / Vol. 63, No. 67 / Wednesday, April 8, 1998 / Rules 
and Regulations  

[[Page 17049]]


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OFFICE OF PERSONNEL MANAGEMENT

5 CFR Parts 831 and 844

RIN 3206-AH68


Revised Application Procedures for Disability Retirement Under 
CSRS and FERS

AGENCY: Office of Personnel Management.

ACTION: Final rule.

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SUMMARY: The Office of Personnel Management (OPM) is issuing final 
regulations to establish uniformity in the application procedures for 
disability retirement under the Civil Service Retirement System (CSRS) 
and the Federal Employees Retirement System (FERS). The regulations 
allow employees to meet the filing deadline for disability retirement 
by submitting applications directly to their employing agencies prior 
to separation, or to either their former employing agencies or OPM 
within 1 year after separation.

EFFECTIVE DATE: May 8, 1998.

FOR FURTHER INFORMATION CONTACT: Robert J. Girouard, (202) 606-0299.

SUPPLEMENTARY INFORMATION: On January 16, 1997, we published (at 62 FR 
2323) proposed regulations to revise the application requirements for 
disability retirement under the Civil Service Retirement System (CSRS) 
and the Federal Employees Retirement System (FERS).
    The revised rules allow OPM to accept a CSRS or FERS disability 
application filed with an employee's agency prior to separation, or 
with either the former employing agency or OPM within 1 year after 
separation. This revision constitutes a delegation of function by the 
Director of OPM under section 1104(a)(2) of title 5, United States 
Code.
    The revised rules establish uniformity between CSRS and FERS with 
respect to OPM-prescribed disability retirement forms and informal 
claims. The revised rules also establish standards for determining the 
date on which an application for disability retirement has been filed.
    OPM received comments from one Government agency. The commenter 
recommended including a reference to former employing agencies in 
sections 831.1204(a) and 844.201(a)(1), to meet the regulations' intent 
of allowing former employees to file applications for disability 
retirement with their former employing agencies within one year of 
separation. The commenter also recommended including a reference to 
former employing agencies in sections 831.1204(b) and 844.201(a)(2), to 
ensure that procedures for determining the date on which a disability 
retirement application is filed apply equally in all filing situations. 
The commenter further recommended replacing a confusing term in 
proposed section 831.1204(b) with a more clear term used in proposed 
section 844.201(a)(2). Finally, the commenter recommended revising the 
basic requirements for disability retirement in section 831.1203(a)(5) 
to conform with the changes made by these regulations to the filing 
rules for disability retirement applications in section 831.1204.
    OPM has adopted all of these recommendations, as they improve the 
clarity of the regulations and reduce the likelihood of administrative 
error.

Regulatory Flexibility Act

    I certify that this regulation will not have a significant economic 
impact on a substantial number of small entities because the regulation 
will only affect retirement and insurance benefits of retired 
Government employees and their survivors.

List of Subjects in 5 CFR Parts 831 and 844

    Administrative practice and procedure, Air traffic controllers, 
Alimony, Claims, Disability benefits, Firefighters, Government 
employees, Income taxes, Intergovernmental relations, Law enforcement 
officers, Pensions, Retirement.

Office of Personnel Management.
Janice R. Lachance,
Director.

    Accordingly, OPM is amending 5 CFR parts 831 and 844 as follows:

PART 831--RETIREMENT

    1. The authority citation for part 831 is revised to read as 
follows:

    Authority: 5 U.S.C. 8347; Sec. 831.102 also issued under 5 
U.S.C. 8334; Sec. 831.106 also issued under 5 U.S.C. 552a; 
Sec. 831.108 also issued under 5 U.S.C. 8336(d)(2); 
Sec. 831.201(b)(1) also issued under 5 U.S.C. 8347(g); 
Sec. 831.201(b)(6) also issued under 5 U.S.C. 7701(b)(2); 
Sec. 831.201(g) also issued under sections 11202(f), 11232(e), and 
11246(b) of Pub. L. 105-33, 111 Stat. 251; Sec. 831.204 also issued 
under section 102(e) of Pub. L. 104-8, 109 Stat. 102, as amended by 
section 153 of Pub. L. 104-134, 110 Stat. 1321; Sec. 831.303 also 
issued under 5 U.S.C. 8334(d)(2); Sec. 831.502 also issued under 5 
U.S.C. 8337; Sec. 831.502 also issued under section 1(3), E.O. 
11228, 3 CFR 1964-1965 Comp.; Sec. 831.663 also issued under 5 
U.S.C. 8339(j) and (k)(2); Secs. 831.663 and 831.664 also issued 
under section 11004(c)(2) of Pub. L. 103-66, 107 Stat. 412; 
Sec. 831.682 also issued under section 201(d) of Pub. L. 99-251, 100 
Stat. 23; Secs. 831.1203 and 831.1204 also issued under 5 U.S.C. 
1104; subpart S also issued under 5 U.S.C. 8345(k); subpart V also 
issued under 5 U.S.C. 8343a and section 6001 of Pub. L. 100-203, 101 
Stat. 1330-275; Sec. 831.2203 also issued under section 7001(a)(4) 
of Pub. L. 101-508, 104 Stat. 1388-328.

Subpart L--Disability Retirement

    2. In section 831.1203, paragraph (a)(5) is revised to read as 
follows:


Sec. 831.1203  Basic requirements for disability retirement.

    (a) * * *
    (5) An application for disability retirement must be filed with the 
employing agency before the employee or Member separates from service, 
or with the former employing agency or the Office of Personnel 
Management (OPM) within 1 year thereafter. This time limit can be 
waived only in certain instances explained in Sec. 831.1204.
* * * * *
    3. Section 831.1204 is revised to read as follows:


Sec. 831.1204  Filing disability retirement applications: General.

    (a) Except as provided in paragraphs (c) and (d) of this section, 
an application for disability retirement is timely only if it is filed 
with the employing agency before the employee or Member separates from 
service, or with the former employing agency or OPM within 1 year 
thereafter.
    (b) An application for disability retirement that is filed with 
OPM, an

[[Page 17050]]

employing agency or former employing agency by personal delivery is 
considered filed on the date on which OPM, the employing agency or 
former employing agency receives it. The date of filing by facsimile is 
the date of the facsimile. The date of filing by mail is determined by 
the postmark date; if no legible postmark date appears on the mailing, 
the application is presumed to have been mailed 5 days before its 
receipt, excluding days on which OPM, the employing agency or former 
employing agency, as appropriate, is closed for business. The date of 
filing by commercial overnight delivery is the date the application is 
given to the overnight delivery service.
    (c) An application for disability retirement that is filed with OPM 
or the applicant's former employing agency within 1 year after the 
employee's separation, and that is incompletely executed or submitted 
in a letter or other form not prescribed by OPM, is deemed timely 
filed. OPM will not adjudicate the application or make payment until 
the application is filed on a form prescribed by OPM.
    (d) OPM may waive the 1-year time limit if the employee or Member 
is mentally incompetent on the date of separation or within 1 year 
thereafter, in which case the individual or his or her representative 
must file the application with the former employing agency or OPM 
within 1 year after the date the individual regains competency or a 
court appoints a fiduciary, whichever is earlier.
    (e) An agency may consider the existence of a pending disability 
retirement application when deciding whether and when to take other 
personnel actions. An employee's filing for disability retirement does 
not require the agency to delay any appropriate personnel action.

PART 844--FEDERAL EMPLOYEES RETIREMENT SYSTEM--DISABILITY 
RETIREMENT

    4. The authority citation for part 844 is revised to read as 
follows:

    Authority: 5 U.S.C. 8461; Sec. 844.201 also issued under 5 
U.S.C. 1104.

Subpart A--General Provisions

    5. In Sec. 844.201, paragraphs (a) and (c) are revised to read as 
follows:


Sec. 844.201  General requirements.

    (a)(1) Except as provided in paragraphs (a)(3) and (a)(4) of this 
section, an application for disability retirement is timely only if it 
is filed with the employing agency before the employee or Member 
separates from service, or with the former employing agency or OPM 
within 1 year thereafter.
    (2) An application for disability retirement that is filed with 
OPM, an employing agency or former employing agency by personal 
delivery is considered filed on the date on which OPM, the employing 
agency or former employing agency receives it. The date of filing by 
facsimile is the date of the facsimile. The date of filing by mail is 
determined by the postmark date; if no legible postmark date appears on 
the mailing, the application is presumed to have been mailed 5 days 
before its receipt, excluding days on which OPM, the employing agency 
or former employing agency, as appropriate, is closed for business. The 
date of filing by commercial overnight delivery is the date the 
application is given to the overnight delivery service.
    (3) An application for disability retirement that is filed with OPM 
or the applicant's former employing agency within 1 year after the 
employee's separation, and that is incompletely executed or submitted 
in a letter or other form not prescribed by OPM, is deemed timely 
filed. OPM will not adjudicate the application or make payment until 
the application is filed on a form prescribed by OPM.
    (4) OPM may waive the 1-year time limit if the employee or Member 
is mentally incompetent on the date of separation or within 1 year 
thereafter, in which case the individual or his or her representative 
must file the application with the former employing agency or OPM 
within 1 year after the date the individual regains competency or a 
court appoints a fiduciary, whichever is earlier.
* * * * *
    (c) An agency may consider the existence of a pending disability 
retirement application when deciding whether and when to take other 
personnel actions. An employee's filing for disability retirement does 
not require the agency to delay any appropriate personnel action.

[FR Doc. 98-9134 Filed 4-7-98; 8:45 am]
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