[Federal Register Volume 64, Number 195 (Friday, October 8, 1999)]
[Notices]
[Pages 54930-54934]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 99-26231]


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OFFICE OF PERSONNEL MANAGEMENT


Privacy Act of 1974; Amendment to a System of Records

AGENCY: Office of Personnel Management (OPM).


[[Page 54931]]


ACTION: Notice to amend a system of records.

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SUMMARY: This notice proposes to add a new routine use to an existing 
Internal System of Records.

DATE: The changes will be effected without further notice on November 
17, 1999, unless comments are received that would result in a contrary 
determination.

ADDRESSES: Send written comments to Office of Personnel Management, 
ATTN: Mary Beth Smith-Toomey, Office of the Chief Information Officer, 
1900 E Street NW., Room 5415, Washington, DC 20415-7900.

FOR FURTHER INFORMATION CONTACT: Mary Beth Smith-Toomey, (202) 606-
8358.

SUPPLEMENTARY INFORMATION: The new routine use involves the 
implementation of a new financial management system, pursuant to the 
Debt Collection Improvement Act of 1996. This Act requires agencies to 
turn over all receivables more than 180 days past due to the Department 
of the Treasury for further collection activity. The system uses the 
Social Security Number as part of the identifying information in the 
record.
U.S. Office of Personnel Management.
Janice R. Lachance,
 Director.
OPM/CENTRAL-1

SYSTEM NAME:
    Civil Service Retirement and Insurance Records.

SYSTEM LOCATION:
    Associate Director, for Retirement and Insurance Service, Office of 
Personnel Management, 1900 E Street NW., Washington, DC 20415-0001. 
Certain records pertaining to State income tax withholdings from 
annuitant payments are located with State Taxing Offices. Certain 
information concerning enrollment/change in enrollment in a health plan 
under the Federal Employee Health Benefits Program may be located at 
other agencies. Certain records pertaining to overpayments must be 
forwarded to the Department of the Treasury for collection activity. 
Certain records pertaining to enrollment in a Preauthorized Debit 
Program (PAD) for sending recurring remittances to OPM for service 
credit and voluntary contributions accounts are maintained with a 
lockbox bank which operates the PAD program for OPM.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    a. Former Federal employees and members of Congress who performed 
service subject to the Civil Service Retirement (CSR) or Federal 
Employees Retirement (FER) system.
    b. Current Federal employees who have:
    (1) Performed Federal service subject to the CSR system other than 
with their present agency; or
    (2) Filed a designation of beneficiary for benefits payable under 
the CSR system; or
    (3) Requested OPM to review claim for health benefits made under 
the Federal Employees Benefits Program; or
    (4) Enrolled/changed enrollment in a plan under the Federal 
Employees Health Benefits Program; or
     (5) Filed a service credit application in connection with former 
Federal service; or
     (6) Filed an application for disability retirement with OPM and 
are waiting final decision, or whose disability retirement application 
has been disapproved by OPM.
    c. Former Federal employees who died subject to or who retired 
under the CSR or FER system, or their surviving spouses, and/or 
children who have received or are receiving CSR or FER benefits and/or 
Federal Employees Group Life Insurance benefits, or Federal Employees 
Health Benefits.
    d. Former Federal employees who died subject to or who retired 
under a Federal Government retirement system other than CSR or FER 
system, or their surviving spouses and/or children, who have received 
or are receiving Federal Employees Group Life Insurance benefits and/or 
Federal Employees Health Benefits.
    e. Applicants for Federal employment found unsuitable for 
employment on medical grounds.
    f. Former spouses of Federal employees who have received or are 
receiving CSR or FER benefits, or who have filed a court order awarding 
future benefits.

CATEGORIES OF RECORDS IN THE SYSTEM:
    This system comprises those retirement service history records of 
employee's service in the Federal Government other than for the agency 
in which they may presently be employed. Also included in the system 
are current personnel data pertaining to active United States Postal 
Service employees who, by virtue of the provisions set forth in 5 
U.S.C. 2105(e), are not considered civil service employees. It also 
contains information concerning health benefit enrollment/change in 
enrollment, and information developed in support of claims for benefits 
made under the retirement, health benefits, and life insurance programs 
for Federal employees that OPM administers. Also included are medical 
records and supporting evidence on those individuals whose application 
for disability retirement has been rejected. Consent forms and other 
records related to the withholding of State income tax from annuitant 
payments, whether physically maintained by the State or OPM; are 
included in this system. Consent forms and other records related to 
enrollment in the Preauthorized Debit Program, whether physically 
maintained by the authorized lockbox bank or OPM, are included in the 
system. These records contain the following information:
    a. Documentation of Federal service subject to the CSR or FER 
system.
    b. Documentation of service credit and refund claims made under the 
CSR or FER system.
    c. Documentation of voluntary contributions made by eligible 
individuals.
    d. Retirement and death claims files, including documents 
supporting the retirement application, health benefits, and life 
insurance eligibility, medical records supporting disability claims 
(after receipt by OPM), and designations of beneficiary.
    e. Claim review files pertaining to requests that claims made under 
the Federal Employee Health Benefits Program be reviewed by OPM.
    f. Enrollment and change in enrollment information under the 
Federal Employees Health Benefits Program.
    g. Documentation of continuing coverage for life insurance and 
health benefits for annuitants and their survivors under a Federal 
Government retirement system other than the CSR or FER system, or for 
compensationers and their survivors under the Office of Workers 
Compensation programs.
    h. The system also maintains a file of court orders submitted by 
former spouses of Federal employees. These court orders are submitted 
to support claims to apportion funds/benefits due to a Federal employee 
at some point in the future.
    i. Records relating to overpayments made to annuitants, survivor 
annuitants, spouses and/or dependents. These records may be retained in 
OPM or provided to the Department of the Treasury, pursuant to the Debt 
Collection Act of 1996. There are two different systems applicable to 
overpayments. First, OPM has installed a new financial management 
system. The system uses the Social Security Number as part of the 
identifying information in the record. The Debt Collection Act of 1996 
requires agencies

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to turn over all receivables more than 180 days past due to the 
Department of the Treasury for all further collection activity. The 
Social Security Number is one of the required fields for transferring 
the record to the Department of the Treasury. OPM may obtain the SSN 
from case files or requests made to credit bureaus.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    Includes the following with any revisions or amendments:
    Section 3301 and chapters 83, 84, 87, 89 of title 5, United States 
Code, Pub. L. 83-598, 84-356, 86-724, and 94-455; and Executive Order 
9397.

Purpose(s):
    These records provide information and verification on which to base 
entitlement and computation of CSR and FER and survivors' Benefits, 
Federal Employees Health Benefits and Enrollments, and Federal 
Employees Group Life Insurance benefits, and to withhold State income 
taxes from annuitant payments. These records also serve to review 
rejection of applicants for Federal employment on medical suitability 
grounds. These records also may be used to locate individuals for 
personnel research. These records also provide information and 
verification concerning enrollment/change in enrollment in a plan under 
the Federal Employees Health Benefit Program.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND THE PURPOSES OF SUCH USES:
    Routine uses 1 through 10 of the Prefatory Statement at the 
beginning of OPM's system notices (60 FR 63075, effective January 17, 
1996) apply to the records maintained within this system. The routine 
uses listed below are specific to this system of records only:
    a. To disclose, to the following recipients, information needed to 
adjudicate a claim for benefits under OPM's or the recipient's benefits 
program(s), or information needed to conduct an analytical study of 
benefits being paid under such programs: Office of Workers Compensation 
Programs; Department of Veterans Affairs Pension Benefit Program; 
Social Security Administration's Old Age, Survivor and Disability 
Insurance and Medical Programs, Health Care Financing Administration, 
and Supplemental Security Income Program; military retired pay 
programs; Federal civilian employee retirement programs (other than the 
CSR or FER system); or other national, State, county, municipal, or 
other publicly recognized charitable or social security administrative 
agency;
    b. To disclose to the Federal Employees Group Life Insurance Office 
information necessary to verify the election, declination, or waiver of 
regular and/or optional life insurance coverage or eligibility for 
payment of a claim for life insurance.
    c. To disclose to health insurance carriers contracting with OPM to 
provide a health benefits plan under the Federal Employees Health 
Benefits Program, Social Security Numbers and other information 
necessary to identify enrollment in a plan, to verify eligibility for 
payment of a claim for health benefits, or to carry out the 
coordination for benefits provisions of such contracts.
    d. To disclose to any inquirer, if sufficient information is 
provided to assure positive identification of an individual on whom a 
department or agency maintains retirement or insurance records, the 
fact that an individual is or is not on the retirement rolls, and if 
so, the type of annuity (employment or survivor, but not retirement on 
disability) being paid, or if not, whether a refund has been paid.
    e. When an individual to whom a record pertains dies, to disclose 
to any person possibly entitled in the order of precedence for lump-sum 
benefits, information in the individual's record that might properly be 
disclosed to the individual, and the name and relationship of any other 
person whose claim for benefits takes precedence or who is entitled to 
share the benefits payable. When a representative of the estate has not 
been appointed, the individual's next of kin may be recognized as the 
representative of the estate.
    f. To disclose to the Internal Revenue Service, Department of the 
Treasury, information as required by the Internal Revenue Code of 1954, 
as amended.
    g. To disclose to the Department of Treasury information necessary 
to issue benefit checks or savings bonds.
    h. To disclose information to any person who is responsible for the 
care of the individual to whom a record pertains, and who is found by a 
court or OPM Medical Officers to be incompetent or under other legal 
disability, information necessary to assure payment of benefits to 
which the individual is entitled.
    i. To disclose to the Parent Locator Service of the Department of 
Health and Human Services, upon its request, the present address of an 
annuitant, or former employee, for enforcing child support obligations 
against such individual.
    j. In connection with an examination ordered by the agency under
    (1) Medical examination procedures; or
    (2) Agency-filed disability retirement procedures.
    To disclose to the agency-appointed representative of an employee 
all notices, decisions, other written communications, or any pertinent 
medical evidence other than medical evidence that a prudent physician 
would hesitate to inform the individual of; such medical evidence will 
be disclosed only to a licensed physician, designated in writing for 
that purpose by the individual or his or her representative.
    k. To disclose information to any source from which additional 
information is requested relevant to OPM determination on an 
individual's eligibility for or entitlement to coverage under the 
retirement, life insurance, and health benefits program, to the extent 
necessary to identify the individual and the type of information 
requested.
    l. To disclose information to the Office of Management and Budget 
at any stage of the legislative coordination and clearance process in 
connection with private relief legislation as set forth in OMB circular 
No. A-19.
    m. To provide an official of another Federal agency information 
needed in the performance of official duties related to reconciling or 
reconstructing data files, compiling descriptive statistics, and making 
analytical studies to support the function for which the records were 
collected and maintained.
    n. To disclose to a Federal agency, in response to its request, the 
address of any annuitant or applicant for refund of retirement 
deductions, if the agency requires that information to provide 
consideration in connection with the collection of a debt due the 
United States.
    o. To disclose to an allottee, as defined in 5 CFR 831.1501, the 
name, address, and the amount withheld from an annuitant's benefits, 
pursuant to 5 CFR 831.1501 et seq. as an allotment to that allottee to 
implement the program of voluntary allotments authorized by 5 U.S.C. 
8345(h) or 8465.
    p. To disclose to a Federal agency, in response to its request, 
information in connection with the hiring, retention, separation, or 
retirement of an employee; the issuance of a security clearance; the 
reporting of an investigation of an employee; the letting of a 
contract; the classification of a job; or the issuance of a license, 
grant, or other benefit by the requesting agency, to the extent that 
OPM determines that the information is relevant and necessary to the 
requesting party's decision on the matter.

[[Page 54933]]

    q. To disclose to a State agency responsible for the collection of 
State income taxes the information required by an Agreement to 
Implement State Income Tax Withholdings from Civil Service Annuities 
entered pursuant to section 1705 of Pub. L. 97-35 or 5 U.S.C. 8469 to 
implement the program of voluntary State income tax withholding 
required by 5 U.S.C. 8345(k) or 8469.
    r. To disclose to the Social Security Administration the Social 
Security Numbers of civil service annuitants to determine (1) their 
vital status as shown in the Social Security Master Records; (2) 
whether recipients of the minimum annuity are receiving at least the 
Special Primary Insurance Amount benefit from the Social Security 
Administration; and (3) whether civil service retirees with post-1956 
military service credit are receiving benefits from the Social Security 
Administration.
    s. To disclose information contained in the Retirement Annuity 
Master File; including the name, Social Security Number, date of birth, 
sex, OPM's claim number, health benefit enrollment code, retirement 
date, retirement code (type of retirement), annuity rate, pay status of 
case, correspondence address, and ZIP code, of all Federal retirees and 
their survivors to requesting Federal agencies and States to help 
eliminate fraud and abuse in the benefit programs administered by the 
Federal agencies and States (and those States to local governments) and 
to collect debts and overpayments owed to the Federal Government, and 
to State governments and their components.
    t. To disclose to a Federal agency, a person or an organization 
contracting with a Federal agency for rendering collection services 
within the purview of section 13 of the Debt Collection Act of 1982, in 
response to a written request from the head of the agency or his other 
designee, or from the debt collection contractor, the following data 
concerning an individual owing a debt to the Federal Government: (1) 
The debtor's name, address, Social Security Number, and other 
information necessary to establish the identity of the individual; (2) 
the amount, status, and history of the claim; and (3) the agency or 
program under which the claim arose.
    u. To disclose information contained in the Retirement Annuity 
Master File, upon written request, to state tax administration 
agencies, for the express purpose of ensuring compliance with state tax 
obligations by persons receiving benefits under the Civil Service 
Retirement System or the Federal Employees Retirement System, and to 
prevent fraud and abuse, but only the following data elements: name, 
correspondence address, date of birth, sex, Social Security Account 
Number, annuity rate, commencing date of benefits, and retirement code 
(type of retirement).
    v. To disclose information to a State court or administrative 
agency in connection with a garnishment, attachment, or similar 
proceeding to enforce an alimony or child support obligation.
    w. To disclose to a former spouse when necessary to explain how 
that former spouse's benefit under 5 U.S.C. 8341(h), 8345(j), 8445, or 
8467 was computed.
    x. To disclose to a Federal or State agency (or its agent) when 
necessary to locate individuals who are owed money or property either 
by a Federal agency, state or local agency, or by a financial 
institution or similar institution.
    y. To disclose to a health plan participating in the Federal 
Employees Health Benefits Program (FEHBP) and to an FEHBP enrollee or 
covered family member or an enrollee or covered family member's 
authorized representative, in connection with the review of a disputed 
claim for health benefits, from information maintained within this 
system of records, the decision of OPM regarding the disputed claim 
review.
    z. To disclose to a State or local government, or private 
individual or association engaged in volunteer work, identifying and 
address information and other pertinent facts, for the purpose of 
developing an application as representative payee for an annuitant or 
survivor annuitant who is mentally incompetent or under other legal 
disability.
    aa. To disclose on request to a spouse or dependent child (or 
court-appointed guardian thereof) of a CSR or FER system annuitant or 
an annuitant of any other Federal retirement system enrolled in the 
Federal Employees Health Benefits Program whether the annuitant has 
changed from a self-and-family to a self-only health benefits 
enrollment.
    bb. To the Defense Manpower Data Center, Department of Defense, and 
the U.S. Postal Service to conduct computer matching programs for the 
purpose of identifying and locating individuals who are receiving 
Federal salaries or benefit payments and are past due in their 
repayment of debts owed to the U.S. Government under certain programs 
administered by the Office of Personnel Management 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.
    cc. To any other Federal agency for the purpose of effecting 
administrative or salary offset procedures against a person employed by 
that agency or receiving or eligible to receive some benefit payments 
from the agency when the Office of Personnel Management as a creditor 
has a claim against that person.
    dd. To disclose information concerning past due receivables to the 
U.S. Department of the Treasury, Financial Management Service, and to 
any other debt collection center designated by the Secretary of the 
Treasury, or any debt collection contractor for the purpose of 
collecting the receivable by cross servicing in accordance with 31 
U.S.C. 3711(M).
    ee. To disclose information concerning past due receivables to the 
Department of the Justice for the purpose of litigating to enforce 
collection of a past due account or to obtain the Department of 
Justice's concurrence in a decision to compromise, suspend, or 
terminate collection action on an overpayment with the principal amount 
in excess of $100,000 or such higher amount as the Attorney General 
may, from time to time, prescribe in accordance with 31 U.S.C. 3711(a).
    ff. To disclose information concerning past due receivables to the 
U.S. Department of the Treasury, Financial Management Service, or to 
any other debt collection center designated by the Secretary of the 
Treasury, or any other Federal agency for the purpose of collecting the 
receivable through offset under 31 U.S.C. 3716 (administrative offset), 
31 U.S.C. 3720A (Tax refund offset), 5 U.S.C. 5514 (Salary offset), or 
offset under any other statutory or common law authority.
    gg. To disclose information concerning overpayees in arrears to 
other Federal agencies for the purpose of implementing 31 U.S.C. 3720B, 
which prohibits persons who are past due on Federal debts from 
obtaining Federal financial assistance in the form of loans or loan 
insurance or guaranties.
    hh. To disclose information concerning past due receivables to any 
employer of the debtor for the purpose of conducting administrative 
wage garnishment pursuant to 31 U.S.C. 3720D.
    ii. To disclose information or publicly disseminate information 
concerning overpayees in arrears and the debt to the public for the 
purpose of publicly disseminating information regarding the identity of 
the debtor pursuant to 31 U.S.C. 3720B.

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    jj. To disclose information concerning past due receivables to 
State and local governments in an effort to collect monies owed the 
Federal government.
    kk. To disclose information concerning past due receivables to the 
Internal Revenue Service for the purpose of: Effecting an 
administrative offset against the individual's income tax refund to 
recover monies owed the Federal government by the individual, or 
obtaining the mailing address of a taxpayer in order to locate the 
individual to collect or compromise a Federal receivable against the 
taxpayer in accordance with 31 U.S.C. 3711, 3717, 3728, and 3718 and 26 
U.S.C. 6103(m)(2) and 6402.
    ll. To disclose information concerning past due receivables to any 
person or for any debt collection purpose authorized by statue not 
specifically enumerated here.

Disclosures 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)).

POLICIES AND PRACTICES OF STORING, RETRIEVING, SAFEGUARDING, RETAINING 
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
    These records are maintained on magnetic tapes, disks, microfiche, 
and in folders.

RETRIEVABILITY:
    These records are retrieved by the name, Social Security Number, 
date of birth and/or claim number of the individual to whom they 
pertain.

SAFEGUARDS:
    Records are kept in lockable metal file cabinets or in a secured 
facility with access limited to those whose official duties require 
access. Personnel screening is employed to prevent unauthorized 
disclosure.

RETENTION AND DISPOSAL:
    All records on a claim for retirement, life insurance, health 
benefits, and tax withholdings are maintained permanently. Medical 
suitability records are maintained for 18 months. Requests for review 
of health benefits claims are maintained up to 3 years. Disposal of 
manual records is by shredding or burning; magnetic tapes and discs are 
erased.

SYSTEM MANAGER(S) AND ADDRESS:
    Associate Director, Retirement and Insurance Service, Office of 
Personnel Management, 1900 E Street NW., Washington, DC 20415-0001.

NOTIFICATION PROCEDURE:
    Individuals wishing to inquire if this system contains information 
about them should contact the system manager. Individuals must furnish 
the following information for their records to be located and 
identified:
    a. Name, including all former names.
    b. Date of birth.
    c. Social Security Number.
    d. Name and address of office in which currently and/or formerly 
employed in the Federal service.

RECORD ACCESS PROCEDURE:
    Individuals wishing to request access to their records in this 
system should contact the system manager. Individuals must furnish the 
following information for their records to be located and identified:
    a. Name, including all former names.
    b. Date of birth.
    c. Social Security Number.
    d. Name and address of office in which currently and/or formerly 
employed in the Federal service.
    e. Annuity, service credit, or voluntary contributions account 
number, if assigned.
    Individuals requesting access must also follow OPM's Privacy Act 
regulations on verification of identity and access to records (5 CFR 
part 297).

CONTESTING RECORD PROCEDURE:
    Individuals wishing to request amendment of their records in this 
system should contact the system manager. Individuals must furnish the 
following information for their records to be located and identified:
    a. Name, including all former names.
    b. Date of birth.
    c. Social Security Number.
    d. Name and address of office in which currently and/or formerly 
employed in the Federal service.
    e. Annuity, service credit, or voluntary contributions account 
number, if assigned.
    Individuals requesting amendment of their records must also follow 
OPM's Privacy Act regulations regarding verification of identity and 
amendment of records (5 CFR part 297).

RECORD SOURCE CATEGORIES:
    The information in this system is obtained from:
    a. The individual to whom the information pertains.
    b. Agency pay, leave, and allowance records.
    c. National Personnel Records Center.
    d. Federal civilian retirement systems other than the CSR/FER 
systems.
    e. Military retired pay system records.
    f. Office of Workers' Compensation Benefits Program.
    g. Veteran's Administration Pension Benefits Program.
    h. Social Security Old Age, Survivor, and Disability Insurance and 
Medicare Programs.
    i. Health insurance carriers and plans participating in the Federal 
Employee Health Benefits Programs.
    j. The Office of Federal Employees Group Life Insurance.
    k. Official Personnel Folders.
    l. The individual's co-workers and supervisors.
    m. Physicians who have examined or treated the individual.
    n. Former spouse of the individual.
    o. State courts or support enforcement agencies.
    p. Credit bureaus.

[FR Doc. 99-26231 Filed 10-7-99; 8:45 am]
BILLING CODE 6325-01-U