[Privacy Act Issuances (1995)]
[From the U.S. Government Publishing Office, www.gpo.gov]
RAILROAD RETIREMENT BOARD
Systems of Records
RRB-1--Social Security Benefit Vouchering System
RRB-2--Medical Examiner's Index
RRB-3--Medicare, Part B (Supplementary Medical Insurance Payment
System--Contracted to The Travelers 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 Tax Reconciliation System
RRB-9--Protest and Appeals under the Railroad Unemployment Insurance Act
RRB-10--Legal Opinion Files
RRB-11--Files on Concluded Litigation
RRB-12--Railroad Employees' Registration File
RRB-13--Disclosure of Information Files
RRB-14--Freedom of Information Act Register
RRB-15--Covered Abandoned Railroad Employers' Payroll Recordss
RRB-16--Social Security Administration Summary Earnings File
RRB-17--Appeal Decisions From Initial Denials for Benefits Under the
Provisions of the Railroad Retirement 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-23--Four Percent Wage History of Railroad Workers
RRB-24--Research Master Record for Lump-Sum and Residual Awards Under
the Railroad Retirement Act
RRB-25--Research Master Record for Survivor Beneficiaries Under the
Railroad Retirement Act
RRB-26--Research Master Record for Retired Railroad Employees and their
Dependents
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-35--Employee Skills File
RRB-36--Complaint, Grievance, Disciplinary and Adverse Action File
RRB-37--Medical Records on Railroad Retirement Board Employees
RRB-38--Regional Rail Reorganization Act Reimbursement System
RRB-39--Milwaukee Railroad Restructuring Act Benefit System
RRB-40--Regional Rail Reorganization Act Title VII Benefit System
RRB-41--Rock Island Railroad Transition and Employee Assistance Act
Benefit System
RRB-42--Uncollectible 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-47--Motor Vehicle Operator Records.
RRB-48--Employee Identification Card Files (Building Passes).
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, 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)).
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
hearing in which such records are relevant to the issue.
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 transferred
to the Federal Records Center 6 months after the date of completion
and are destroyed 4 years and 6 months after receipt at the center.
Magnetic tape: Tapes are updated at least monthly, writing over
obsolete data. Microforms: Originals are kept for 3 months after
receipt at the center. 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: Director of Retirement and Survivor, 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: Individual applicant or his or her authorized
representative, the Social Security Administration, other record
systems maintained by the Railroad Retirement Board.
RRB-2
System name: Medical Examiner's Index--Index--RRB.
System location: District Offices: See Appendix I for addresses.
Categories of individuals covered by the system: Physicians who have
agreed to examine applicants.
Categories of records in the system: Physician's name address, telephone
number, medical field and specialities, special equipment available,
fees, names of those examined and dates of examinations.
Authority for maintenance of the system: Section 7(b)(6) of the Railroad
Retirement Act of 1974 (45 U.S.C. 231f(b)(6)); section 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: 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.
Retrievability: Name of physician.
Safeguards: Kept in a special, separate file in an area of the office
accessible only to district office employees. The office is locked
during non-business hours.
Retention and disposal: Maintained indefinitely; cards will be removed
and destroyed upon request of the doctor. If the physician's service
has proved to be too slow or otherwise unsatisfactory, the record is
destroyed by shredding.
System manager(s) and address:
Director of Disabiltiy and Medicare Operations, U.S. Railroad
Retirement Board, 44 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 account 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: Physician.
RRB-3
System name: MEDICARE: Part B (Supplementary Medical Insurance)
System--Contracted to the Travelers Insurance Company--RRB.
System location:
Main Office: The Travelers Insurance Company
One Tower Square
Hartford, Connecticut 06115
Regional Offices: See Appendix II for addresses.
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, 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, Part B entitlement date, Part B
deductible status and amount of payment to beneficiary.
Authority for maintenance of the system: Section 7(d) of the Railroad
Retirement Act of 1974 (45 U.S.C. 231f(d)).
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, as
amended and may be disclosed during the course of an appeal hearing.
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 Travelers 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: Each Travelers' office retains material for 27
months. At the end of 27 months the material is sent to the Federal
Records Center. After 2 years the Federal Records Center destroys
the material.
System manager(s) and address:
Director of Disability and Medicare Operations, 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: Claimant, his authorized representative or
his/her survivors, the Social Security Administration, physicians,
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 District Offices: See Appendix I for
addresses.
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)).
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: Microfiche.
Retrievability: Social security number.
Safeguards: Only authorized personnel have access to these records.
Fiche are kept in offices locked at the close of business each day
until start of business the next day.
Retention and disposal: Shredded upon receipt of annual updated
microfiche.
System manager(s) and address: Director of Field Service, U.S.Railroad
Retirement Board, 844 Rush Street, Chicago, Illinois 60611
Notification procedure: Request 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: Furnished to district offices by headquarters
who secured the information from the original master records.
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
account number, claim number, date of birth, sex, race, last
employer identification number, amount of daily payrate if under 100
dollars, ICC occupation code, and creditable service and
compensation from 1937 to date.
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)).
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 hearing in which such
records are relevant to the issue.
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.
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: Director of Research and Employment
Accounts, 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. 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 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))
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
nondelivery, and to insure delivery of check to the correct address of
the beneficiary or representative payee.
c. Beneficiary's name, address, check 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 checks.
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 hearing in which such records are relevant to
the issue.
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:
Director of Unemployment and Sickness Insurance
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: 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, height, weight, veteran status, 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)).
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 checks, to issue benefit
checks, reconcile reports of nondelivery and to insure delivery of
check to the correct address 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 hearing in which such records are relevant to
the issue.
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:
Director of Unemployment and Sickness Insurance
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: 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 Tax Reconciliation System--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: Employers' quarterly or annual
railroad retirement report of compensation and taxes.
Authority for maintenance of the system: Section 15 of the Railroad
Retirement Act of 1974 (45 U.S.C. 231n)
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, punch cards.
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: Employer and employee representative quarterly
tax returns and tax reporting reconciliation file are destroyed by
shredding.
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 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 tax reports, creditable and taxable
compensation.
RRB-9
System name: Protest and Appeals under the Railroad Unemployment
Insurance Act--RRB.
System location: Regional Offices: See Appendix I for addresses.
Categories of individuals covered by the system: Railroad employees.
Categories of records in the system: Name, address, social security
number, employment data, record of investigation on adverse action.
Authority for maintenance of the system: Section 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: 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. 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.
c. Beneficiary identification, entitlement and benefit rates 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.
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. Pursuant to a request from an employer covered by 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. If a request for information pertaining to an individual is made by
an official of a labor organization of the individual concerning his
benefit or anticipated benefit may be disclosed to the labor
organization official.
g. 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 hearing in which such records are relevant to
the issue.
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 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. 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.
j. 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: 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 remain so until start of business the next day.
Retention and disposal: Decisions are retained for a period of 15 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: Employee, employer and district office
records.
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)).
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
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 locking file cabinets; access to these files is
restricted to attorneys, other employees in the Bureau of Law, and
other Board employees with express permission of the head of the
clerical section of the Bureau of Law.
Retention and disposal: Permanent retention.
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 individual or his or her 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, correspondence received and copies of any correspondence
released by the Board pertaining to the case, copies of any court
rulings on motions, 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)).
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 locked file cabinets; access to these files is
restricted to attorneys, other employees in the Bureau of Law, and
other Board employees with express permission of the head of the
clerical section of the Bureau of Law.
Retention and disposal: Files are retained for 5 years after the case is
closed, then shredded.
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 1938 and before 1981. (Use
of the registration for claim was discontinued January 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)).
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
a. 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 Railroad Unemployment Insurance Act and may be disclosed
during the course of an administrative appeal hearing in which such
records are relevant to the issue.
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: Director of Research and Employment
Accounts, 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: Railroad employee and employer.
RRB-13
System name: Disclosure of Information Files--RRB.
System location:
U.S. Railroad Retirement Board
844 Rush Street
Chicago, Illinois 60611
Categories of individuals covered by the system: Railroad employees,
railroad retirement annuitants, and other individuals with some
creditable railroad employment on whose records a request for
information, in the form of a subpoena or otherwise, has been
received by the Board.
Categories of records in the system: Copies of the request or subpoena
and any related correspondence received or released by the Board.
Reports on and copies of any motions filed to quash a subpoena.
Copies of any records which may have been disclosed.
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)).
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: Last name.
Safeguards: Stored in locking file cabinets in the Bureau of Law. Access
to these files is restricted to attorneys, other employees in the
Bureau of Law, and other Board employees with express permission of
the head of the clerical section of the Bureau.
Retention and disposal: Retained permanently.
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: Individual himself, person(s) seeking
information about the individual, and other records systems
maintained by the Board.
RRB-14
System name: Freedom of Information Act Register--RRB.
System location:
U.S. Railroad Retirement Board
844 Rush Street
Chicago, Illinois 60611--Regional Offices: See Appendix I for
addresses.
Categories of individuals covered by the system: Individuals whose
requests for records fall within the scope of the Freedom of
Information Act.
Categories of records in the system: Lists inquiries which fall within
the scope of the Freedom of Information Act. Also shows the action
taken in handling the inquiry.
Authority for maintenance of the system: 5 U.S.C. 552, Pub. L. 93-502.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses: Information may be furnished
to the Freedom of Information Committee, the Department of Justice
and to the Office of Management and Budget in fulfilling their
requirements under this Act.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage: Paper.
Retrievability: Claim number and name.
Safeguards: Records are maintained in areas unaccessible to the general
public; only authorized personnel have access to these records.
Retention and disposal: Destroyed by shredding five years after the
annual report is furnished to Congress.
System manager(s) and address:
Chief Executive 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: Inquirer.
RRB-15
System name: Covered Abandoned Railroad Employers' Payroll
Records--RRB.
System location:
U.S. Railroad Retirement Board
844 Rush Street
Chicago, Illinois 60611
Categories of individuals covered by the system: Railroad employees.
Categories of records in the system: Service and compensation records of
employees of abandoned railroads prior to 1937.
Authority for maintenance of the system: Section 7(b)(6) of the Railroad
Retirement Act of 1974 (45 U.S.C. 231f(b)(6)).
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
a. Records may be disclosed in a court proceeding relating to any
claims for benefits by the beneficiary under the Railroad Retirement
Act, or Railroad Unemployment Insurance Act and may be disclosed
during the course of an administrative appeal hearing in which such
records are relevant to the issue.
b. 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.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage: Paper.
Retrievability: Name, payroll number.
Safeguards: Available only to authorized unit personnel; building
secured.
Retention and disposal: Permanent retention.
System manager(s) and address: Director of Research and Employment
Accounts, 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: Railroad employer.
RRB-16
System name: Social Security Administration Summary Earnings
File--RRB.
System location:
U.S. Railroad Retirement Board
844 Rush Street
Chicago, Illinois 60611
Categories of individuals covered by the system: Railroad employees and
their auxiliary beneficiaries.
Categories of records in the system: Social security account number,
name, date of birth, sex, social security claim status, creditable
earnings from 1937 to date.
Authority for maintenance of the system: Section 7(b)(6) of the Railroad
Retirement Act of 1974 (45 U.S.C. 231(b)(6)).
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: Magnetic tape and magnetic disk.
Retrievability: Social security account 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.
Retention and disposal: Magnetic tape and magnetic disk: Permanent
retention; updated annually.
System manager(s) and address: Director of Research and Employment
Accounts, 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
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: Social Security Administration.
RRB-17
System name: Appeal Decisions from Initial Denials for Benefits
Under the Provisions of the Railroad Retirement Act--RRB.
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.
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)).
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
hearing in which such records are relevant to the issue.
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. 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 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.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage: Paper.
Retrievability: Claim number or social security number.
Safeguards: Decision books are limited to review by authorized Board
personnel.
Retention and disposal: Decisions are retained for a period of 15 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 contained in the claim folder of
an individual consisting of evidence furnished by doctors on the
appellant's behalf, and Board-designated doctors as well as any and
all information the appellant desires to submit, Social Security
Administration, Department of Veterans Affairs.
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)).
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.
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
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, and payroll
information.
Authority for maintenance of the system: Pay Acts as amended.
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 Civil
Service Commission for use in computation of civil service annuities
and to carry out its Government-wide personnel management functions.
c. Computer check issue tapes may be released to the Department of
Treasury for issuance of salary checks.
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 addresses 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.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Paper, tape and microfilm.
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 three 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 payment.
Paper: Destroyed by shredding after three years. Microfilm: Retained
until replaced by a new record, usually within one year. Obsolete
microfilm is destroyed by shredding.
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 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)).
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 identification, premium rate and paid-thru date may be
released to effect 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 contracts to fulfill contract
requirements pertaining to specific activities related to the Railroad
Retirement Act and Social Security Act, as amended.
j. Last addresses 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
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 hearing which such records are relevant to
the issue.
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.
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 are maintained for 1
year, then shredded. Applications material in individual claim
folders with records of all actions pertaining to the payment or
denial 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.
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. Duplicate copies are destroyed by shredding
after 18 months.
System manager(s) and address: Director of Disability and Medicare
Operations, 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 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: Applicant (the qualified railroad
beneficiary), his/her representative, Social Security
Administration, Health Care Financing Administration, The Travelers
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.).
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 checks, to issue benefit
checks, respond to reports of non-delivery and to insure delivery of
check to the correct address of the beneficiary or representative
payee.
d. Beneficiary identifying information, address, check 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 checks.
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 hearing in which such records are relevant to
the issue.
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.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage: Paper, magnetic tape and microforms.
Retrievability: Social Security number (claim number) and name.
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: Paper-transferred to the Chicago Federal Records
Center one year after the end of the benefit year during which the
case was closed. Destroyed by the General Services Administration
five years after the end of the benefit year. In appeal cases,
retention is permanent. 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 five years after
recovery has been completed. Magnetic tape-destroyed ten years after
the end of the benefit year. Microforms-destroyed ten years after
the end of the benefit year.
System manager(s) and address: Director of Unemployment and Sickness
Insurance, 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: Applicant, claimant or his representative,
physicians, employers, unemployment claims agents, 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)).
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. Benefit rates, names, and addresses 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 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 or social security 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, 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 hearing in which such records are relevant to the issue.
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 and address 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,
SSA 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.
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. Accounts receivable listings and check writing 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 date of issue. Change of address source documents are
transferred to the Federal Records Center 6 months after date of
completion and are destroyed 4 years and 6 months after receipt at the
center. Microforms: 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 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. Magnetic disk: Continually updated and permanently
retained.
System manager(s) and address: Director of Retirement and Survivor
Programs, 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
the full name and social security number and claim number of the
individual. Before information about any records 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 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-23
System name: Four Percent Wage History of Railroad Workers--RRB.
System location: U.S. Railroad Retirement Board
844 Rush Street
Chicago, Illinois 60611
Categories of individuals covered by the system: Individuals with
service creditable under the Railroad Retirement Act having a social
security number ending 30, 35, 80 or 85.
Categories of records in the system: Service earnings and retirement and
death data for these selected individuals.
Authority for maintenance of the system: Section 7(b)(6) of the Railroad
Retirement Act of 1974 (45 U.S.C. 231f(b)(6)).
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.
Retrievability: Social Security account number.
Safeguards: Secured building.
Retention and disposal: Permanent retention.
System manager(s) and address:
Director of Research
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: Data is secured from reports to the Board by
railroad employers.
RRB-24
System name: Research Master Record for Lump Sum and Residual
Awards Under the Railroad Retirement Act--RRB.
System location:
U.S. Railroad Retirement Board
844 Rush Street
Chicago, Illinois 60611
Categories of individuals covered by the system: A lump-sum is paid to
widow or payer of burial expenses when there is no person eligible
for a monthly insurance benefit. Residual payment is made to a
designated beneficiary whenever entitlement to all other types of
benefits has ended, provided the gross residual amount has not been
exhausted by other payments.
Categories of records in the system: Master benefit file contains
beneficiary characteristics, payment and administrative data for
deceased employees with respect to whom lump-sum and/or residual
benefits were paid.
Authority for maintenance of the system: Section 7(b)(6) of the Railroad
Retirement Act of 1974 (45 U.S.C. 231f(b)(6))
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.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage: Magnetic tape and microfilm.
Retrievability: By claim number.
Safeguards: Magnetic tape and microfilm available to authorized
personnel only.
Retention and disposal: Magnetic tape retained for two years then
written over. Microfilm retained for one year and shredded.
System manager(s) and address:
Director of Research and Employment Accounts, 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: Data entered from benefit award forms and
application.
RRB-25
System name: Research Master Record for Survivor Beneficiaries
Under the Railroad Retirement Act--RRB.
System location:
U.S. Railroad Retirement Board
844 Rush Street
Chicago, Illinois 60611
Categories of individuals covered by the system: Widowed mothers, aged
and disabled widow(er)s, children and parents, survivor option
annuitants.
Categories of records in the system: Survivor master benefit file
contains historical, computational and statistical benefit data in
numerical sequence by claim number.
Authority for maintenance of the system: Section 7(b)(6) of the Railroad
Retirement Act of 1974 (45 U.S.C. 231f(b)(6))
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. 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 secondarypayer of benefits for such individuals.
e. 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 microfilm.
Retrievability: By claim number.
Safeguards: Magnetic tape and microfilm available to authorized
personnel only.
Retention and disposal: Magnetic tape retained for two years then
written over. Microfilm retained for one year and shredded.
System manager(s) and address:
Director of Research and Employment Accounts, 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: Application, benefit award forms, disability
determinations and Social Security Administration.
RRB-26
System name: Research Master Record for Retired Railroad
Employees and their Dependents--RRB.
System location:
U.S. Railroad Retirement Board
844 Rush Street
Chicago, Illinois 60611
Categories of individuals covered by the system: Retirement and pension
annuitants, spouse and ineligible person (IPI) included in benefit
paid.
Categories of records in the system: Retirement master benefit file
contains historical, computational and statistical benefit 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))
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 microfilm.
Retrievability: By claim number.
Safeguards: Magnetic and microfilm available to authorized personnel
only.
Retention and disposal: Magnetic tape retained for two years then
written over. Microfilm retained for one year and shredded.
System manager(s) and address:
Director of Research and Employment Accounts, 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: Benefit award forms, Social Security
Administration, application, disability rating and freeze
determinations, and other Railroad Retirement Board files.
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))
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:
Director of Research and Employment, 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 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)).
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:
Director of Research of Employment, 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 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.
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 and quality increase
recommendations.
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.
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 hearing in which such
records are relevant to the issue.
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-35
System name: Employee Skills File--RRB.
System location:
U.S. Railroad Retirement Board
844 Rush Street
Chicago, Illinois 60611
Categories of individuals covered by the system: Current Railroad
Retirement Board employees excluding: (1) All employees who occupy
positions at the GS-14 level and above; (2) district managers, GS-
13; (3) Board appointees; and (4) medical personnel, attorneys and
actuaries.
Categories of records in the system: Board seniority date; performance
rating and plan; merit pay performance appraisal rating; and an
extract from the official personnel folder showing experience,
education, special skills, and a synopsis of unsatisfactory or
outstanding performance rating memoranda, denials of within-grade
increases, letters of commendation, work-related awards, and
disciplinary action memoranda and warning notice.
Authority for maintenance of the system: Railroad Retirement Board Order
75-3, written in accordance with section 7(b)(9) of the Railroad
Retirement Act of 1974 (45 U.S.C. 231f(b)(9))
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
a. 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.
b. 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.
c. Records may be disclosed in a court proceeding and may be disclosed
during the course of an administrative appeal hearing in which such
records are relevant to the issue.
d. Information in this system of records regarding an individual's
work performance for the Railroad Retirement Board 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.
e. 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 in a secured building, with
access limited to authorized personnel.
Retention and disposal: Retained until the employee terminates
employment with the Board or enters into one of the positions
exempted under ``Categories of individuals'' above. The material is
updated as new information is received. Superseded materials are
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. 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 it applies, his
official personnel folder and supervisory 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 4303,
7121, 7503, 7513, and Pub. L. 95-454.
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)).
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-38
System name: Regional Rail Reorganization Act Reimbursement
System--RRB.
System location:
U.S. Railroad Retirement Board
844 Rush Street
Chicago, Illinois 60611
Categories of individuals covered by the system: Any railroad employee
who may be eligible for displacement, separation, termination or
moving expense payments under Title V of the Regional Rail
Reorganization Act of 1973 (45 U.S.C. 771-779).
Categories of records in the system: Information as to the amount of
displacement, separation, termination or moving expenses paid by the
employer to the employee, the basis for the payment, the kind of
payment made, and if applicable, the period for which payment was
made, RUIA benefits paid and recovered, railroad retirement taxes
paid on payments covered under Regional Rail Reorganization Act
Reimbursement System, RUIA contributions paid, hours worked in
railroad service, effective date of separation, health/welfare
premiums, FICA contributions, moving and related expenses.
Identifying information includes the name of the employee, his
social security account number, his employee identification number,
job and employer code.
Authority for maintenance of the system: Title V, Section 509 of the
Regional Rail Reorganization Act of 1973 (45 U.S.C. 779).
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
a. Information received from sources other than the employer which
conflicts with information furnished by the employer in support of its
reimbursement claims may be released to the employer to the extent
needed to resolve the conflict.
b. A list of RUIA benefit claimants, amounts paid and periods covered,
plus identifying information, may be disclosed to any employer
requesting reimbursement for displacement, separation, termination or
moving expenses for which a reimbursement set-off must be made.
c. If a request for information pertaining to an employee is made by
an official of a labor organization of which the employee is a member
and the request is made on behalf of the employee, information may be
released to the extent needed to respond to the inquiry.
d. Disclosure may be made to a congressional office from the
employee's record in response to an inquiry from the congressional
office made at the request of the employee.
e. Information in this system of records regarding a reimbursement
claim pertaining to an employee may be released to the attorney
representing such employee, with respect to such claim, upon receipt
of a written letter or declaration stating the fact of representation,
subject to the same procedures and regulatory prohibitions as the
subject employee.
f. Information may be released to private contractors to the extent
needed to fulfill contract requirements.
g. Information may be released to the General Accounting Office for
auditing purposes and for collection of debts arising from
overpayments under the Regional Rail Reorganization Act of 1973 or the
Railroad Unemployment Insurance Act (45 U.S.C. 351 et seq.).
h. Information may be released to the Department of Justice and to
courts of competent jurisdiction in response to properly issued
subpoenas, provided that disclosure would be for a purpose related to
enforcement of the Regional Rail Reorganization Act or provided that
disclosure would be clearly in the furtherance of the interest of the
subject individual.
i. 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, or
local or foreign, charged with the responsibility of investigating or
prosecuting such violation or charged with enforcing or implementing
the statute, or rule, regulation or order issued pursuant thereto.
j. 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, magnetic tape and microforms.
Retrievability: Social security number and name.
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: Upon receipt of authorization from the General
Accounting Office to destroy records, magnetic tape will be written
over and microform records will be shredded.
System manager(s) and address:
Director of Unemployment and Sickness Insurance
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. 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: Employee or his representative, employers,
unemployment claims agents, labor organizations, and all Railroad
Retirement Board files.
RRB--39
System name: Milwaukee Railroad Restructuring Act Benefit
System.
System location: U.S. Railroad Retirement Board, 844 Rush Street,
Chicago, Illinois 60611
Categories of individuals covered by the system:
Any employee of the Milwaukee Railroad who may be eligible for
supplementary unemployment insurance, new career training assistance,
or employee protection benefits under the Milwaukee Railroad
Restructuring Act (45 U.S.C. 901-922).
Categories of records in the system:
Identifying information includes the name of the employee, his social
security account number, his address, his date of birth, his
occupation code, and employer code. For individuals eligible for
supplementary unemployment insurance benefits, information as to
qualifications for benefits; railroad earnings during the period from
June 1977 through November 1979; monthly benefit rate; month and year
of benefit claim; reason not working; amounts deducted for Railroad
Unemployment Insurance Act benefits, state unemployment benefits,
earnings from all employment and self-employment; amounts paid and
dates of payments for benefit claims; verifying information from
employers and governmental agencies; amounts owed and the reasons for
the indebtedness; amounts recovered and the sources of repayments. For
individuals eligible for new career training assistance, information
as to qualifications for benefits; schools attended and courses taken;
proof of payment for tuition, room, board, fees, and educational
materials; amounts paid and dates of payments; amounts owed and the
reasons for the indebtedness; amounts recovered and the sources of
repayments. For individuals eligible for employee protection payments,
information as to the amount of relocation incentive compensation,
interim employee assistance, separation allowance, and moving expenses
to be paid by the employer to the employee; and kind of payment due
the employee and, if applicable, the period for which payment is to be
made; Railroad Unemployment Insurance Act benefits, state unemployment
benefits, earnings from employment; if applicable, market value of
home, sale price of home, moving and related expenses.
Authority for maintenance of the system:
Sections 9, 10, 11, and 12 of the Milwaukee Railroad Restructuring Act
(45 U.S.C. 908-11).
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
a. Information received from the employee may be released to his
employer, the Social Security Administration, the Department of Labor,
the Department of Veterans Affairs, state unemployment compensation
agencies, and other similar governmental agencies to the extent needed
to verify the employee's claim and to resolve conflicts in
information.
b. Identifying information, address and check amount may be released
to the Treasury Department or the Milwaukee Railroad, if applicable,
to issue benefit checks, to control for reclamation and return of
checks to respond to the reports of non-delivery of checks, and to
ensure delivery of checks to the correct address of the beneficiary.
c. Identifying information, address, check amount, and necessary
supporting evidence may be released to the U.S. Postal Service or the
Treasury Department for investigation of alleged forgery or theft of
benefit checks.
d. Records may be referred to the General Accounting Office for
auditing purposes and for collection of debts arising under the
Milwaukee Railroad Restructuring Act.
e. Records may be disclosed in a court proceeding relating to any
claims for benefits under the Milwaukee Railroad Restructuring Act and
may be disclosed during the course of an administrative appeal hearing
in which such records are relevant to the issue.
f. Disclosure may be made to a congressional office from the
individual's record in response to an inquiry from the congressional
office made at the request of the individual.
g. Disclosure may be made to an official of a labor organization of
which the individual is a member in response to an inquiry from the
labor organization official on behalf of or at the request of the
individual.
h. Disclosure may be made to the attorney representing such individual
upon receipt of a letter or written declaration stating the fact of
representation, subject to the same procedures and regulatory
prohibitions as the subject individual.
i. 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 on the matter, provided
that disclosure would be clearly in the furtherance of the interest of
the subject individual.
j. Records may be disclosed to contractors to fulfull contract
requirements pertaining to specific activities related to the
Milwaukee Railroad Restructuring Act.
k. The last addresses and employer information may be released to
Department of Health and Human Services in conjunction with the Parent
Locator Service.
l. Benefit rate, entitlement, and periods paid may be disclosed to the
Social Security Administration, Bureau of Supplemental Security
Income, and to federal, state, and local welfare or public aid
agencies to assist them in processing applications for benefits under
their respective programs.
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. 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 charges 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 Milwaukee Railroad Restructuring Act or
provided that disclosure would be clearly in the furtherance of the
interest of the subject individual.
o. Information may be released to the Department of Justice and to
courts of competent jurisdiction in response to properly issued
subpoenas, provided that disclosure would be for a purpose related to
the enforcement of the Milwaukee Railroad Restructuring Act or
provided that dislosure would be clearly in the furtherance of the
interest of the subject individual.
p. The amount of supplementary unemployment insurance 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.
q. 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, magnetic tape, magnetic disk and microforms.
Retrievability:
Social security number and name.
Safeguards:
Paper and microforms are maintained in areas not accessible to the
public; offices are locked during the non-business hours. Magnetic
tape and magnetic disks: 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, systems
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 transmittted and exclusive use of
leased telephone lines.
Retention and disposal:
All records will be retained until January 1990, which is 5 years
after the end of the benefit programs. Paper and microforms will be
destroyed by shredding. Information on magnetic tapes and disks will
be erased.
System manager(s) and address:
Director of Unemployment and Sickness Insurance, 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. 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:
Employee or his representative, employers, labor organizations,
governmental agencies, real estate appraisers, and all Railroad
Retirement Board files.
RRB-40
System name: Regional Rail Reorganization Act Title VII Benefit
System-RRB.
Categories of individuals covered by the system:
Persons eligible for separation allowances, reimbursement for moving
expenses, reimbursement for new career training expenses, health and
welfare insurance coverage and daily subsistence allowances under
Title VII of the Regional Reorganization Act of 1973.
Categories of records in the system:
Identifying information such as name, address, social security number,
date of birth, occupational code and employer code; information
pertaining to the payment or denial of a claim under Title VII of the
Regional Rail Reorganization Act, last rate of pay, reason not
working, application and claims filed, information as to the amount of
separation allowance, subsistence allowance, health-welfare premiums,
moving expenses, new career training assistance and dates paid,
erroneous payment investigations and benefit recovery information; the
amount of income taxes deducted and remitted to the Internal Revenue
Service; for new career assistance, information as to schools
attended, courses taken and proof of payment of expenses; for moving
expenses, if applicable, market value of residence and sale price of
residence.
Authority for maintenance of the system:
Pub. L. 97-92, Joint Resolution.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
a. Identifying information such as full name, social security number,
employee identification number, occupation, location and date last
worked and reason not working may be released to ConRail or the last
employer to verify entitlement for benefits under Title VII of the
Regional Rail Reorganization Act of 1973.
b. Information may be released to the General Accounting Office for
auditing purposes and for collection of debts arising from
overpayments under Title VII of the Regional Rail Reorganization Act
(45 U.S.C. 701).
c. Name, social security number, address, coverage election, premium
payments and paid-through date may be released to the health-welfare
insurer to correlate insurance coverage.
d. Name and address may be released to real estate agencies for the
purpose of determining fair market value of homestead property.
e. Records may be disclosed in a court proceeding relating to any
claims for benefits by the beneficiary under Title VII of the Regional
Rail Reorganization Act of 1973 and may be disclosed during the course
of an administrative appeal hearing in which such records are relevant
to the issue.
f. If a request for information pertaining to an employee is made by
an official of a labor organization of which the employee is a member
and the request is made on behalf of the employee, information may be
released to the extent needed to respond to the inquiry.
g. Disclosure may be made to a congressional office from the
employee's record in response to an inquiry from the congressional
office made at the request of the employee.
h. Information in this system of records pertaining to an employee may
be released to the attorney representing such employee, with respect
to his claim, upon receipt of a written letter or declaration stating
the fact of representation, subject to the same procedures and
regulatory prohibition as the subject employee.
i. Information may be released to private contractors to the extent
needed to fulfill contract requirements.
j. The last addresses and employer information may be released to the
Department of Health and Human Services in conjunction with the Parent
Locator Service.
k. Beneficiary identifying information, address, check rate, date and
number may be released to the Treasury Department to control for
reclamation and return of outstanding benefit checks, to issue benefit
checks, respond to reports of non-delivery and to insure delivery of
checks to the correct address of the beneficiary or representative
payee.
l. 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.
m. Beneficiary identifying information, address, check 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 Title VII benefit checks.
n. 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 on the matter.
o. Information may be released to the Department of Justice and to
courts of competent jurisdiction in response to properly issued
subpoenas.
p. 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.
q. 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.
r. Any information in this system of records may be disclosed to the
Department of Transportation for the purpose of auditing the RRB's
administration of the benefit program.
s. Name, SSN, address, benefits paid, and amounts withheld from
benefit payments for tax purposes may be reported to the Internal
Revenue Service for purposes of tax administration.
t. Name, SSN, address, and benefits paid may be furnished to state and
local taxing authorities for the purposes of tax administration.
u. Relevant information may be furnished to the Office of the
President for responding to an individual pursuant to an inquiry from
that individual or 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, magnetic disk and microforms.
Retrievability:
Social security number.
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 transmitted
between headquarters and field office locations, systems 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:
All records will be retained for 5 years following the year in which
the case was closed.
System manager(s) and address:
Director of Unemployment and Sickness Insurance, 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 information in this system of records is obtained from the
railroad employee or his representative, employers, labor
organizations, other Railroad Retirement Board files, real estate
agencies (for payment of moving expenses), and educational
institutions (for payment of new career training expenses).
RRB-41
System name: Rock Island Railroad Transition and Employee
Assistance Act Benefit System--RRB.
System location:
U.S. Railroad Retirement Board, 844 North Rush Street, Chicago,
Illinois 60611.
Categories of individuals covered by the system:
Any employee of the Chicago, Rock Island and Pacific Railroad Company
who may be eligible for a lump-sum reimbursement or a retroactive
unemployment subsistence allowance under the Rock Island Railroad
Transition and Employee Assistance Act.
Categories of records in the system:
Identifying information such as name, address, social security number,
date of birth, and employee identification number; information
relating to employment with the Rock Island Railroad and the estate of
the railroad including occupation, date last worked, work location,
and reason not working; information as to creditable railroad service
and creditable military service; information as to offers of permanent
employment made by railroads acquiring portions of the Rock Island
Railroad; information as to schools attended, courses taken and proof
of payment of retraining expenses; information as to the payment of
Railroad Unemployment Insurance Act benefits; and information as to
the amount of lump-sum reimbursement and retroactive unemployment
subsistence allowance and dates paid, erroneous payment investigations
and benefit recovery information.
Authority for maintenance of the system:
Sections 106 and 114 of the Rock Island Railroad Transition and
Employee Assistance Act (45 U.S.C. 1005 and 45 U.S.C. 1011).
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
a. Identifying information such as full name, social security number,
employee identification number, occupation, location and date last
worked and reason not working may be released to the Trustee of the
Chicago, Rock Island, and Pacific Railroad Company, an acquiring
carrier, or an educational institution to verify entitlement to
benefits under the Rock Island Railroad Transition and Employee
Assistance Act.
b. Information may be released to the General Accounting Office for
auditing purposes and for collection of debts arising from
overpayments under the Rock Island Railroad Transition and Employee
Assistance Act.
c. If a request for information pertaining to an employee is made by
an official of a labor organization of which the employee is a member
and the request is made on behalf of the employee, information may be
released to the extent needed to respond to the inquiry.
d. Disclosure may be made to a congressional office from the
employee's record in response to an inquiry from the congressional
office made at the request of the employee.
e. Information in this system of records pertaining to an employee may
be released to the attorney representing such employee with respect to
his claim, upon receipt of a written letter or declaration stating the
fact of representation, subject to the same procedures and regulatory
prohibition as the subject employee.
f. Records may be disclosed to contractors to fulfill contract
requirements pertaining to specific activities relating to the Rock
Island Railroad Transition and Employee Assistance Act.
g. The last addresses and employer information may be released to the
Department of Health and Human Services in conjunction with the Parent
Locator Service.
h. Beneficiary identifying information, address, check rate, date and
number may be released to the Treasury Department to control for
reclamation and return of outstanding benefit checks, to issue benefit
checks, respond to reports of non-delivery and to insure delivery of
checks to the correct address of the beneficiary or representative
payee.
i. 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 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.
j. Beneficiary identifying information, address, check 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 benefit checks.
k. 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 on the matter, provided
that disclosure is clearly in the furtherance of the interest of the
subject individual.
l. Information may be released to the Department of Justice and to
courts of competent jurisdiction in response to properly issued
subpoenas.
m. 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.
n. 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.
o. Records may be disclosed in a court proceeding relating to any
claims for benefits under the Rock Island Railroad Transition and
Employee Assistance Act and may be disclosed during the course of an
administrative appeal hearing in which such records are relevant to
the issue.
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, magnetic tape, microforms.
Retrievability:
Social security number.
Safeguards:
Records are maintained in areas not accessible to the public and are
not permitted to be removed from headquarters without authorization.
Magnetic tape is maintained in computer and computer storage rooms
which are restricted to authorized personnel.
Retention and disposal:
All records will be retained for five years following the ending date
of the benefit program, after which they will be destroyed. Paper
documents and microforms will be destroyed by shredding; magnetic tape
records will be written over.
System manager(s) and address:
Director of Unemployment and Sickness Insurance, Railroad Retirement
Board, 844 Rush Street, Chicago, Illinois 60611.
Notification procedure:
Request 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 individual to permit
release of information.
Record access procedures:
See Notification section above.
Contesting record procedures:
See Notification section above.
Record source categories:
The information in this system of records is obtained from the
railroad employee or his representative, employers, labor
organizations, other Railroad Retirement Board files, and educational
institutions (for payment of new career training expenses).
RRB-42
System name: Uncollectible 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 and whose overpayment amounts have been
determined uncollectible after normal recovery efforts have been made.
Benefits overpaid are further delineated in the following five
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.
--Individuals receiving benefits under section 106 of the Rock Island
Railroad Transition and Employee Assistance Act.
--Individuals receiving benefits under sections 10 & 12 of the
Milwaukee Railroad Restructuring Act.
Categories of records in the system:
Name, address, Social Security number, Railroad Retirement claim
number, type of benefit previously paid, amount of overpayment
determined to be uncollectible, amount of interest and penalties
assessed and collected, name and address of debt collection agency to
which uncollectible account is referred for collection, date of such
referral, amount collected by the debt collection agency, 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:
Section 7(b)(6) of the Railroad Retirement Act of 1974 (45 U.S.C.
231f(b)(6)); section 12(1) of the Railroad Unemployment Insurance Act
(45 U.S.C. 362(1)); Pub. L. 97-92, Joint Resolution; sections 106 and
114 of the Rock Island Railroad Transition and Employee Assistance Act
(45 U.S.C. 1005 and 45 U.S.C. 1011); sections 9, 10, 11, and 12 of the
Milwaukee Railroad Restructuring Act (45 U.S.C. 908-11); Pub. L. 97-
365 (Debt Collection Act of 1982); Federal Claims Collection Act (31
U.S.C. 3701 et seq.).
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
a. Benefit overpayment amounts determined to be uncollectible, 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 uncollectible 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, 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 of
benefits 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 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, the Railroad Unemployment Insurance Act, the Rock
Island Railroad Transition and Employee Assistance Act, or the
Milwaukee Railroad Restructuring 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).
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:
The RRB will maintain two types of overpayment records. One type will
be maintained for a period of 6 years from the date the overpayment
record is first entered into the EDP system. These records will be
purged after the 6 year time frame. Tape records will be deleted after
the 6 year time frame. Paper records will be destroyed by shredding.
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: Investigation Files.
System location:
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 cashed RRB benefit
or payroll checks 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
telephone monitoring; 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 for prosecution.
Authority for maintenance of the system:
Inspector General Act of 1978; Pub. L. 95-452, 5 U.S.C. App., as
amended by the Railroad Solvency Act, Pub. L. 98-76; Railroad
Unemployment Insurance Act, as amended, Sec. 9 (a), (b) and (c), and
Sec. 12(a); Railroad Retirement Act of 1974, as amended, Sec. 7(b)(3)
and (6) and Sec. 13(a).
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 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, word processing and/or personal computer diskette.
Retrievability:
Name, assigned case number cross-referenced to name of subject of
investigation.
Safeguards:
General access is restricted to the director of Audit and
Investigation and members of the director`s investigatory staff;
disclosure within the agency is on a limited need-to-know basis;
records are maintained in locked file cabinets.
Retention and disposal:
Retention period and disposal instructions have not yet been
officially established.
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 individual, the complainant, other third parties,
including employers and 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.
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:
Records are stored in locked file cabinets in a secure building.
Retention and disposal:
Retention period and disposal instructions have not yet been
officially established.
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).
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.
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:
The records are kept in a lockable file cabinet, the combination of
which is known only by the security officer and that officer's
secretary.
Retention and disposal:
Permanent retention.
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-47
System name: Motor Vehicle Operator Records.
System location:
U.S. Railroad Retirement Board, 844 Rush Street, Chicago, Illinois
60611.
Categories of individuals covered by the system:
All Board employees who are required to operate motor vehicles
regularly or incidentally in carrying out their official duties.
Categories of records in the system:
The RRB Motor Vehicle Operator Records System consists of a variety of
records related to the issuance of a Government Motor Vehicle
Operator's permit. In addition to the name of the employee, the system
includes information about the employee's birthplace, SSN, employing
organization, number of years driven, type of vehicles operated,
current driver's license number, the state issuing driver's license,
date license expires, restrictions of state license, sex, date of
birth, color of hair, color of eyes, weight, height, record of traffic
violations, and record of accidents. These records also include
expiration dates of Motor Vehicle Operator permit, any limitations
imposed on its use and the results of the annual review of each
driving record.
Authority for maintenance of the system:
40 U.S.C. 471.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
a. Information 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.
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:
Paper.
Retrievability:
Name.
Safeguards:
Access to and use of these records are limited to personnel whose
official duties require such access and use. Records are maintained in
a secure building.
Retention and disposal:
Records are retained for 3 years after the individual's government
motor vehicle operator's permit expires, or the individual leaves the
Board, and are then destroyed by shredding.
System manager(s) and address:
Director of Supply and Service, U.S. Railroad Retirement Board, 844
Rush Street, Chicago, IL 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:
Information contained in this system of records is obtained: (1) From
information supplied by the individual, or (2) derived from
information supplied by the individual, or (3) from information
supplied by officials of the Board.
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.
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.
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
PRIVACY ACT RULES
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]