RRB-21, Railroad Unemployment and Sickness Insurance Benefit System.

Railroad Retirement Board RRB . https://www.govinfo.gov/content/pkg/FR-2025-12-05/pdf/2025-22047.pdf RRB-21, Railroad Unemployment and Sickness Insurance Benefit System. https://www.govinfo.gov/content/pkg/FR-2025-12-05/pdf/2025-22048.pdf RRB–22, Railroad Retirement, Survivor, and Pensioner Benefit System. https://www.govinfo.gov/content/pkg/FR-2025-12-05/pdf/2025-22049.pdf RRB-42, Overpayment Accounts. https://www.govinfo.gov/content/pkg/FR-2025-12-05/pdf/2025-22051.pdf RRB-1, Social Security Benefit Vouchering System. https://www.govinfo.gov/content/pkg/FR-2025-12-05/pdf/2025-22052.pdf RRB-6, Unemployment Insurance Record File. https://www.govinfo.gov/content/pkg/FR-2025-12-05/pdf/2025-22053.pdf RRB-7, Applications for Unemployment Benefits and Placement Service under the Railroad Unemployment Insurance Act. https://www.govinfo.gov/content/pkg/FR-2025-12-05/pdf/2025-22054.pdf RRB-18, Miscellaneous Payments. https://www.govinfo.gov/content/pkg/FR-2025-12-17/pdf/2025-23137.pdf Privacy Act; Matching Program.

PREFATORY STATEMENT CONCERNING RRB STANDARD DISCLOSURES:

Beside those disclosures provided under 5 U.S.C. 552a(b) of The Privacy Act which pertain generally to all of the RRB systems of records, the RRB implemented in their 2007 Federal Register notice, certain standard disclosures which apply to all systems of records, unless specifically excluded in a system notice. These standard disclosures are in addition to the particular routine uses listed under each system of records, as follows:

Standard Disclosure 1.—Congressional. 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 if that individual would not be denied access to the information.

Standard Disclosure 2.—Presidential. Disclosure of relevant information from the record of an individual may be made to the Office of the President in response to an inquiry from that office made at the request of that individual or a third party on the individual’s behalf if that individual would not be denied access to the information.

Standard Disclosure 3.—Contractors working for Federal Government. Disclosure may be made to contractors, grantees, experts, consultants, students, and others performing or working on a contract, service, grant, cooperative agreement, or other assignment for the Federal government, to the extent necessary to accomplish an RRB function related to that system of records.

Standard Disclosure 4.—Law Enforcement. Disclosure may be made to the appropriate agency, whether Federal, State, local, or foreign, charged with the responsibility of investigating, enforcing, or prosecuting 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, or charged with enforcing or implementing the statute, rule, regulation, or order issued pursuant thereto, if the disclosure would be to an agency engaged in functions related to the Railroad Retirement Act or the Railroad Unemployment Insurance Act, or if disclosure would be clearly in the furtherance of the interest of the subject individual.

Standard Disclosure 5.—Breach Notification. Disclosure may be made, to appropriate agencies, entities, and persons when (1) the Railroad Retirement Board suspects or has confirmed that the security or confidentiality of information in the system of records has been compromised; (2) the Railroad Retirement Board has determined that as a result of the suspected or confirmed compromise there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this system or other systems or programs (whether maintained by the Railroad Retirement Board or another agency or entity) that rely upon the compromised information; and (3) the disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with the Railroad Retirement Board’s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.

Standard Disclosure 6.— National Archives. Disclosure may be made to the National Archives and Records Administration or other Federal government agencies for records management inspections being conducted under the authority of 44 U.S.C. 2904 and 2906.

Standard Disclosure 7.—Attorney Representative. Disclosure of non-medical information in this system of records may be made to the attorney representing such individual upon receipt of a written letter or declaration stating the fact of representation, if that individual would not be denied access to the information. Medical information may be released to an attorney when such records are requested for the purpose of contesting a determination either administratively or judicially.

-1 Social Security Benefit Vouchering System.

Unclassified.

U.S. Railroad Retirement Board, 844 North Rush Street, Chicago, Illinois 60611-1275.

Office of Programs--Director of Policy and Systems, U.S. Railroad Retirement Board, 844 North Rush Street, Chicago, Illinois 60611-1275.

Section 7(b)(2) of the Railroad Retirement Act of 1974 (45 U.S.C. 231f(b)(2)).

Records in the Social Security Vouchering System are maintained to administer Title II of the Social Security Act with respect to payment of benefits to individuals with 10 or more years or at least five years after 1995 of railroad service and their families.

Applicants after December 31, 1974, for benefits under Title II of the Social Security Act who have completed ten years or at least five years after 1995 of creditable service in the railroad industry, the spouse and/or divorced spouse or survivor of such an individual.

Name, address, Social Security number, claim number, type and amount of benefit, suspension and termination information, and electronic mail address.

Individual applicant or his or her authorized representative, the Social Security Administration, other record systems maintained by the U.S. Railroad Retirement Board.

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 if that individual would not be denied access to the information.

b. Disclosure may be made to contractors, grantees, experts, consultants, students, and others performing or working on a contract, service, grant, cooperative agreement, or other assignment for RRB, to the extent necessary to accomplish an RRB function related to this system of records.

c. Disclosure may be made to the appropriate agency, whether federal, state, local, or foreign, charged with the responsibility of investigating, enforcing, or prosecuting 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, or charged with enforcing or implementing the statute, rule, regulation, or order issued pursuant thereto, if the disclosure would be to an agency engaged in functions related to the Railroad Retirement Act or the Railroad Unemployment Insurance Act, or if disclosure would be clearly in the furtherance of the interest of the subject individual.

d. To another federal agency or federal entity, when the U.S. Railroad Retirement Board determines that information from this system of records is reasonably necessary to assist the recipient agency or entity in (1) responding to a suspected or confirmed breach or (2) preventing, minimizing, or remedying the risk of harm to individuals, the recipient agency or entity (including its information systems, programs, and operations), the federal government, or national security, resulting from a suspected or confirmed breach.

e. To appropriate agencies, entities, and persons when (1) the U.S. Railroad Retirement Board suspects or has confirmed that there has been a breach of the system of records; (2) the U.S. Railroad Retirement Board has determined that as a result of the suspected or confirmed breach there is a risk of harm to individuals, the U.S. Railroad Retirement Board (including its information systems, programs, and operations), the federal government, or national security; and (3) the disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with the U.S. Railroad Retirement Board’s efforts to respond to the suspected or confirmed breach or to prevent, minimize, or remedy such harm.

f. Disclosure may be made to the National Archives and Records Administration or other federal government agencies for records management inspections being conducted under the authority of 44 U.S.C. 2904 and 2906.

g. Disclosure of non-medical information in this system of records may be made to the attorney representing such individuals upon receipt of a written letter or declaration stating the fact of representation, if that individual would not be denied access to the information. Medical information may be released to an attorney when such records are requested for the purpose of contesting a determination either administratively or judicially.

h. 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.

i. 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.

j. 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 ensure 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.

k. 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.

l. Beneficiary identifying information, effective date, benefit rates, and months paid may be furnished to the Veterans Benefits Administration 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.

m. Benefit rates and effective dates 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.

n. Last addresses information may be disclosed to the Department of Health and Human Services in conjunction with the Parent Locator Service.

o. 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.

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 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.

q. Information from the record of the individual concerning their benefit or anticipated benefit and concerning the method of calculating that benefit may be disclosed to an official of a labor organization of which the individual is a member, if the disclosure is made at the request of, and on behalf of, the individual.

r. Records deemed relevant and necessary 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 an administrative appeal to individuals who need the records to prosecute or decide the appeal or to individuals who are requested to provide information relative to an issue involved in the appeal.

s. 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.

t. Beneficiary identifying information, entitlement data, and benefit rates relevant and necessary may be released to the Department of State and embassy and consular officials, to the American Institute in Taiwan, and to the Veterans Benefits Administration Regional Office, Philippines, to aid in ensuring the continued payment of beneficiaries living abroad.

u. Entitlement data and benefit rates relevant and necessary 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.

v. Records may be disclosed to the U.S. Department of the Treasury when disclosure of the information is relevant to review payment and award eligibility through the Do Not Pay Working System for the purposes of identifying, preventing, or recouping improper payments to an applicant for, or recipient of, Federal funds, including funds disbursed by a state (meaning a state of the United States, the District of Columbia, a territory or possession of the United States, or a federally recognized Indian tribe) in a state-administered, federally funded program.

Paper records will be stored in file cabinets or at approved National Archives and Records Administration records centers. Electronic records are maintained on computer servers, computer hard drives, electronic databases, email, and FedRAMP approved cloud information systems.

Information from the system will be retrievable by Social Security number and name.

RECORDS:

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 date of issue and are destroyed 6 years and 3 months after receipt at the center. Other paper listings are destroyed 1 year after the date of issue. Changes of address source documents are destroyed after 1 year.

Electronic media: Storage drives and IBM zCloud storage: Continually updated and permanently retained. When storage drives and IBM zCloud storage or other electronic media are no longer serviceable, they are sanitized in accordance with NIST guidelines.

Paper: Maintained in areas not accessible to the public in locking filing cabinets. Offices are locked during non-business hours. The building has 24-hour on-site security officers, closed circuit television monitoring and intrusion detection systems.

Electronic media: Computer, computer storage rooms and IBM zCloud storage are restricted to authorized personnel; on-line query safeguards include a lock/unlock password system, a terminal oriented transaction matrix, role-based access controls and audit trail. For computerized records electronically transmitted between headquarters and field office locations, system securities are established in accordance with the National Institute of Standards and Technology (NIST) guidelines, including network monitoring, defenses in-depth, incident response and forensics. In addition to the on-line query safeguards, they include encryption of all data transmitted and exclusive use of leased telephone lines.

1. Your identifying information

2. A description of the record you wish to access

The RRB may request proof of identity. To correct a record, specify the change and provide justification. If denied, you can submit a statement of disagreement to be included with the record.

For additional instructions, see the Record Access Procedures and Notification Procedures sections.

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.

None.

System of Records Notice revision from previous September 30, 2014 Federal Register notice 79 FR 58886.

-3 Medicare: Part B (Supplementary Medical Insurance Payment System--Contracted to Palmetto Government Benefits Administrators).

Deletion: Covered by Medicare Multi-Carrier Claims System (MCS), Department of Health and Human Services (HHS), Centers for Medicare & Medicaid Services (CMS), System Number 09-70-0501, see their Federal Register notice at 71 FR 64968, November 6, 2006.

-4 Estimated Annuity, Total Compensation and Residual Amount File.

U.S. Railroad Retirement Board, 844 Rush Street, Chicago, Illinois 60611-2092.

None.

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 railroad service or have at least 60 months of creditable railroad service after 1995.

For employees with less than 120 months of creditable railroad service, or less than 60 months of creditable railroad service after 1995: Social Security Number (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 creditable railroad service and for employees with at least 60 months of creditable railroad service after 1995; all of the above information plus estimated annuity data and SSA data.

Section 7(b)(6) of the Railroad Retirement Act of 1974 (45 U.S.C. 231f(b)(6)).

The primary purpose of the system is to provide field offices with the capability of furnishing annuity estimates to prospective beneficiaries. The system is also used by field offices to provide temporary annuity rates that the Division of Operations may issue to applicants for employee and spouse benefits.

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. 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.

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 anticipated benefit and concerning the method of calculating that benefit may be disclosed to the labor organization official.

d. 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.

Disclosure to consumer reporting agencies:

None.

Storage:

On-line mainframe system.

Social security number.

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, role based access controls and audit trail. For electronic records, system securities are established in accordance with National Institute of Standards and Technology (NIST) guidelines, including network monitoring, defenses in-depth, incident response and forensics. In addition to the on-line query safeguards, they include encryption of all data transmitted and exclusive use of leased telephone lines.

A maximum of three sets of records (the current and prior two sets) are maintained on-line with the oldest set purged when a new set is produced. When magnetic disk or other electronic media is no longer required or servicable, it is sanitized in accordance with NIST guidelines.

Office of Programs--Director of Policy and Systems, Railroad Retirement Board, 844 Rush Street, Chicago, Illinois 60611-2092.

Request for information regarding an individual's record should be in writing, including the full name, social security number and railroad retirement claim number (if any) of the individual. Before information about any record will be released, the individual may be required to provide proof of identity, authorization from the individual to permit release of information. Such requests should be sent to: Office of Programs--Director of Operations, Railroad Retirement Board, 844 Rush Street, Chicago, Illinois 60611-2092.

See Notification section above.

Information which is secured from the original master records is made available to all authorized headquarters and field service users.

None.

-5 Master File of Creditable Service and Compensation of Railroad Employees.

U.S. Railroad Retirement Board, 844 Rush Street, Chicago, Illinois 60611

None.

All individuals with creditable service under the Railroad Retirement and Railroad Unemployment Insurance Acts.

Name, social security number, RRB claim number, annuity beginning date, date of birth, sex, last employer identification number, amount of daily payrate, separation allowance or severance payment, creditable service and compensation after 1937, home address, and date of death.

Section 7(b)(6) of the Railroad Retirement Act of 1974 (45 U.S.C. 231f(b)(6)) and section 12(l) of the Railroad Unemployment Insurance Act (45 U.S.C. 362(l)).

The purpose of this system is to store railroad earnings of railroad employees which are used to determine entitlement to and amount of benefits payable under the Railroad Retirement Act, the Railroad Unemployment Insurance Act and the Social Security Act, if applicable. The records are updated daily based on earnings reports received from railroad employers and the Social Security Administration and are stored in the Employment Data Maintenance Application database and the Separation Allowance Lump Sum Award (SALSA) Master File.

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. 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.

e. 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.

f. The last employer information may be disclosed to the Department of Health and Human Services in conjunction with the Parent Locator Service.

g. 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.

h. 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.

i. Records may be disclosed in a court proceeding relating to any claims for benefits by the beneficiary under the Railroad Retirement Act or the Railroad Unemployment Insurance Act and may be disclosed during the course of an administrative appeal to individuals who need the records to prosecute or decide the appeal or to individuals who are requested to provide information relative to an issue involved in the appeal.

j. All records may be disclosed to the Social Security Administration for purposes of administration of the Social Security Act.

k. 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.

l. The name, address and gender of a railroad worker may be released to a Member of Congress when the Member requests it in order that he or she may communicate with the worker about legislation which affects the railroad retirement or railroad unemployment and sickness insurance program.

m. The service history of an employee (such as whether the employee had service before a certain date and whether the employee had at least a given number of years of service) may be disclosed to AMTRAK when such information would be needed by AMTRAK to make a determination whether to award a travel pass to either the employee or the employee’s widow.

n. Records may be released to the Internal Revenue Service for the sole purpose of computing the additional Medicare tax shortfall amount. Records released will include the Social Security Number (SSN), employer name and Employer Identification Number (EIN). Records provided shall not be used for IRS audits or any other unauthorized purposes.

Disclosure to consumer reporting agencies:

None.

Storage:

Paper, Magnetic tape and Magnetic disk.

Social security number, claim number and name.

Paper: Maintained in areas not accessible to the public in metal filing cabinents. Offices are locked during non-business hours. Building has 24 hour on-site security officers, closed circuit television monitoring and intrusion detection systems.

Paper: Retained five years and destroyed in accordance with NIST guidelines. Previous years ledger put in storage when current year ledger is complete.

Magnetic tape: Magnetic tape records are retained for 90 days and then written over following NIST guidelines. For disaster recovery purposes certain tapes are stored 12-18 months.

Magnetic disk: Continually updated and permanently retained. When magnetic disk or other electronic media is no longer servicable, it is sanitized in accordance with NIST guidelines.

Office of Programs--Director of Policy and Systems, Railroad Retirement Board, 844 Rush Street, Chicago, Illinois 60611-2092.

Requests for information regarding an individual's record should be in writing, including the full name, social security number and railroad retirement claim number (if any) of the individual. Before any information about any record will be released, the individual may be required to provide proof of identity, or authorization from the individual to permit release of information. Requests should be sent to the Office of Programs - Policy & Systems, Chief of Employer Service and Training Center, U.S. Railroad Retirement Board, 844 North Rush Street, Chicago, Illinois 60611- 2092.

See Notification section above.

Railroad employer.

None.

-6 Unemployment Insurance Record File.

Unclassified.

U.S. Railroad Retirement Board, 844 North Rush Street, Chicago, Illinois 60611-1275.

Office of Programs--Director of Policy and Systems, U.S. Railroad Retirement Board, 844 North Rush Street, Chicago, Illinois 60611-1275.

Section 12(l) of the Railroad Unemployment Insurance Act (45 U.S.C. 362(l)).

This system of records is used for filing general information about applicants for RUIA benefits. If an applicant files for unemployment insurance (UI) benefits, some of the information in this file will be also placed in the claimants UI file.

Claimants for unemployment benefits under the Railroad Unemployment Insurance Act (RUIA) and their respective employers.

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 and electronic mail address.

Individual claimant or their authorized representative, employers, State employment and unemployment claims records, federal, and Social Security Administration employer compensation reports.

h. Beneficiary identifying information may be released to third party contacts to determine if the inability of the beneficiary or potential beneficiary to understand or use benefits exists, and to determine the suitability of a proposed representative payee.

i. Benefit rate, name and address may be released to the Treasury Department to control for reclamation and return of outstanding benefit checks, to issue benefit checks, reconcile reports of non-delivery, and to ensure delivery of payments to the correct address or account of the beneficiary or representative payee.

j. Beneficiary's name, address, payment rate, date and number, plus supporting evidence may be released to the U.S. Postal Service for investigation of alleged forgery or theft of railroad unemployment or sickness benefit payments.

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. 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.

m. Benefit rates and effective dates may be released 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.

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 individual record.

o. The last addresses and employer information may be disclosed to the Department of Health and Human Services in conjunction with the Parent Locator Service.

p. Information from the record of the individual concerning their benefit or anticipated benefit and concerning the method of calculating that benefit may be disclosed to an official of a labor organization of which the individual is a member, if the disclosure is made at the request of, and on behalf of, the individual.

q. Records deemed relevant and necessary 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 an administrative appeal to individuals who need the records to prosecute or decide the appeal or to individuals who are requested to provide information related to an issue involved in the appeal.

r. Beneficiary identifying and claim period information may be furnished to states for the purpose of notifying the RRB whether claimants were paid state unemployment or sickness benefits and whether wages were reported for them.

s. Records may be disclosed to the U.S. Department of the Treasury when disclosure of the information is relevant to review payment and award eligibility through the Do Not Pay Working System for the

purposes of identifying, preventing, or recouping improper payments to an applicant for, or recipient of, Federal funds, including funds disbursed by a state (meaning a state of the United States, the District of Columbia, a territory or possession of the United States, or a federally recognized Indian tribe) in a state-administered, federally funded program.

Information from the system will be retrievable by Social Security number and name.

RECORDS:

Paper: Destroy 90 days after the date scanned into the imaging system or after completion of the quality assurance process, whichever is later.

Paper: Maintained in areas not accessible to the public in steel filing cabinets and are available only to authorized district office and regional office personnel. Offices are locked during non-business hours. The building has 24-hour on-site security officers, closed circuit television monitoring and intrusion detection systems.

Electronic media: Computer, computer storage rooms and IBM zCloud storage are restricted to authorized personnel; on-line query safeguards include a lock/unlock password system, a terminal oriented transaction matrix, role-based access controls and audit trail. For computerized records electronically transmitted between headquarters and field office locations, system securities are established in accordance with National Institute of Standards and Technology (NIST) guidelines, including network monitoring, defenses in-depth, incident response and forensics. In addition to the on-line query safeguards, they include encryption of all data transmitted and exclusive use of leased telephone lines.

Under 5 U.S.C. § 552a (Privacy Act of 1974), individuals have the right to access and contest records maintained about them. To access or amend your records, submit a written request to the Railroad Retirement Board (RRB) with: 1. Your identifying information 2. A description of the record you wish to access The RRB may request proof of identity. To correct a record, specify the change and provide justification. If denied, you can submit a statement of disagreement to be included with the record.

For additional instructions, see the Record Access Procedures and Notification Procedures sections.

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 is released, the System Manager may require the individual to provide proof of identity or require the requester to furnish an authorization from the individual to permit release of information.

None.

System of Records Notice revision from previous September 30, 2014 Federal Register notice 79 FR 58879.

-7 Applications for Unemployment Benefits and Placement Service under the Railroad Unemployment Insurance Act.

Unclassified.

U.S. Railroad Retirement Board, 844 North Rush Street, Chicago, Illinois 60611-1275.

Office of Programs--Director of Policy and Systems,

U.S. Railroad Retirement Board, 844 North Rush Street, Chicago, Illinois 60611-1275.

Section 12(l) of the Railroad Unemployment Insurance Act (45 U.S.C. § 362(l)).

The purpose of this system of records is to be used as an individual’s UI file. The records contained in the file are pertinent to the individual's claim for unemployment benefits under the RUIA.

Individuals who have applied for unemployment benefits and employment service.

Name, address, account number, age, sex, education, employer, occupation, rate of pay, reason not working and last date worked, personal interview record, results of investigations, and electronic mail address.

Individual applicant or their authorized representative, present and former employers, state and federal departments of employment security, Social Security Administration, and labor organizations.

e. To appropriate agencies, entities, and persons when (1) the U.S. Railroad Retirement Board suspects or has confirmed that there has been a breach of the system of records; (2) the U.S. Railroad Retirement Board has determined that because of the suspected or confirmed breach there is a risk of harm to individuals, the U.S. Railroad Retirement Board (including its information systems, programs, and operations), the federal government, or national security; and (3) the disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with the U.S. Railroad Retirement Board’s efforts to respond to the suspected or confirmed breach or to prevent, minimize, or remedy such harm.

g. Disclosure of non-medical information in this system of records may be made to the attorney representing such individual upon receipt of a written letter or declaration stating the fact of representation, if that individual would not be denied access to the information. Medical information may be released to an attorney when such records are requested for the purpose of contesting a determination either administratively or judicially.

h. Selected information may be disclosed to prospective employers for potential job placement.

j. Beneficiary identification and entitlement information may be released to third party contacts to determine if the inability of the beneficiary or potential beneficiary to understand or use benefits exists, and to determine the suitability of a proposed representative payee.

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, 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.

l. Beneficiary identification, entitlement, and benefit rate information may be released to the Treasury Department to control for reclamation and return of outstanding benefit payments, to issue benefit payments, reconcile reports of non-delivery and to ensure delivery of payments to the correct address or account of the beneficiary or representative payee.

m. Information may be referred to the U.S. Postal Service for investigation of alleged forgery or theft of railroad unemployment or sickness benefit checks.

n. Beneficiary identification, entitlement, and benefit rate information may be released 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.

o. The last addresses and employer information may be disclosed to Department of Health and Human Services in conjunction with the Parent Locator Service.

p. 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.

q. 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.

r. Information from the record of the individual concerning their benefit or anticipated benefit and concerning the method of calculating that benefit may be disclosed to an official of a labor organization of which the individual is a member, if the disclosure is made at the request of, and on behalf of, the individual.

s. 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 an administrative appeal to individuals who need the records to prosecute or decide the appeal or to individuals who are requested to provide information related to an issue involved in the appeal.

t. Records may be disclosed to the U.S. Department of the Treasury when

disclosure of the information is relevant to review payment and award

eligibility through the Do Not Pay Working System for the purposes of identifying, preventing, or recouping improper payments to an applicant for, or recipient of, Federal funds, including funds disbursed by a state (meaning a state of the United States, the District of Columbia, a territory or possession of the United States, or a federally recognized Indian tribe) in a state-administered, federally funded program.

Information from the system will be retrievable by Social Security number.

RECORDS:

In routine cases, held for three years after the end of the benefit year in which it 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 destroyed in accordance with NIST guidance.

Paper: Destroy 180 days after it is scanned into the system or after completion of the quality assurance process, whichever is later.

Electronic media: Computer, computer storage rooms and IBM zCloud storage are restricted to authorized personnel; on-line query safeguards include a lock/unlock password system, a terminal oriented transaction matrix, role-based access controls and audit trail. For electronic records, system securities are established in accordance with National Institute of Standards and Technology (NIST) guidelines, including network monitoring, defenses in depth, incident response and forensics. In addition to the on-line query safeguards, they include encryption of all data transmitted and exclusive use of leased telephone lines.

1. Your identifying information

2. A description of the record you wish to access The RRB may request proof of identity. To correct a record, specify the change and provide justification. If denied, you can submit a statement of disagreement to be included with the record.

For additional instructions, see the Record Access Procedures and Notification Procedures sections.

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 is released, the System Manager may require the individual to provide proof of identity or require the requester to furnish an authorization from the individual to permit release of information.

None.

System of Records Notice revision from previous September 30, 2014 Federal Register notice 79 FR 58880.

-8 Railroad Retirement Tax Reconciliation System (Employee Representatives).

U.S. Railroad Retirement Board, 844 Rush Street, Chicago, Illinois 60611-2092

None.

Railroad employee representatives covered under the Railroad Retirement Act.

Form CT-2 Employee Representative’s Quarterly Railroad Tax Return.

Section 15 of the Railroad Retirement Act of 1974 (45 U.S.C. 231n)

The purpose of this system is to ensure that the earnings of employee representatives reported to the Internal Revenue Service for tax purposes agree with earnings reported to the RRB for benefit payment purposes.

a. 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 Government Accountability Office for auditing purposes.

c. 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.

Disclosure to consumer reporting agencies:

None.

Storage:

Paper.

Name.

Maintained in areas not accessible to the public in metal filing cabinents. Access is limited to authorizied RRB employees. Offices are locked during non-business hours. Building has 24 hour on-site security officers, closed circuit television monitoring and intrusion detection systems.

Employee's representatives' quarterly tax returns and tax reporting reconciliation file are retained for 6 years and 3 months after the period covered by the records and then are destroyed by shredding in accordance with NIST guidelines.

Chief Financial Officer, U.S. Railroad Retirement Board, 844 Rush Street, Chicago, Illinois 60611-2092.

Requests for information regarding an individual's record should be in writing addressed to the System Manager identified above, including the full name and social security number. Before information about any record is released, the System Manager may require the individual to provide proof of identity or require the requester to furnish an authorization from the individual to permit release of information.

See Notification section above.

Railroad tax reports, creditable and taxable compensation.

None.

-10 Legal Opinion and Correspondence Files.

U.S. Railroad Retirement Board, 844 Rush Street, Chicago, Illinois 60611

None.

Applicants for benefits under the Railroad Retirement Act or the Railroad Unemployment Insurance Act.

The files include a copy of the question submitted to the legal department for an opinion and a copy of the response released. Responses may be a formal legal opinion, a letter, or a memorandum. There may be copies of any correspondence between the agency and the individual or his/her employer concerning the question presented.

Section 7(b)(6) of the Railroad Retirement Act of 1974 (45 U.S.C. 231f(b)(6)) and section 12(l) of the Railroad Unemployment Insurance Act (45 U.S.C. 362(l)).

The RRB needs to collect and maintain information contained in this system of records in order to make decisions regarding the claims for benefits of individuals under various Acts administered by the RRB.

Disclosure to consumer reporting agencies:

None.

Storage:

Paper.

Name.

Maintained in areas not accessible to the public in metal filing cabinents. Offices are locked during non-business hours. Access to files is restricted to RRB attorneys and other authorized Board employees. Building has 24 hour on-site security officers, closed circuit television monitoring and intrusion detection systems.

Opinions of precedential interest or otherwise of lasting significance, and correspondence related to these opinions are retained permanently. Opinions of limited significance beyond the particular case, and correspondence related to these opinions, are retained in the individual's claim folder, if any, established under the Railroad Retirement Act. When no folder exists, these opinions, are destroyed by shredding 2 years after the date of the last action taken by the Bureau of Law on the matter. Decision documents are scanned and stored in the RRB Imaging System. Imaged documents are destroyed/purges for individual claimant’s 7 years after the close of the fiscal year that they are determined to be inactive. Imaged documents and digest cards are stored in the retention and archival Legal Opinion Digitization System. Destruction is performed in accordance with NIST guidelines.

General Counsel, U.S. Railroad Retirement Board, 844 Rush Street, Chicago, Illinois 60611

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.

See Notification section above.

The subject person's authorized representative, other record systems maintained by the Railroad Retirement Board, employers.

None.

-11 Files on Concluded Litigation.

U.S. Railroad Retirement Board, 844 Rush Street, Chicago, Illinois 60611.

None.

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.

Legal briefs, reports on legal or factual issues involving copies of subpoenas which may have been issued, copies of any motions filed, transcripts of any depositions taken, garnishment process, correspondence received and copies of any correspondence released by the Board pertaining to the case, copies of any court rulings, and copies of the final decision in the case.

Section 7(b)(6) of the Railroad Retirement Act of 1974 (45 U.S.C. 231f(b)(6)) and section 12(l) of the Railroad Unemployment Insurance Act (45 U.S.C. 362(l)).

The RRB needs to collect and maintain records of concluded litigation to which the RRB was a party.

Disclosure to consumer reporting agencies:

None.

Storage:

Paper.

Name.

Files relating to cases of precedential interest are retained permanently. Files of cases involving routine matters, other than garnishments, are retained for 5 years after the case is closed, then shredded. Files relating to garnishment of benefits are retained until 2 years after the date garnishment terminates, then destroyed. Destruction is performed in accordance with NIST guidelines.

General Counsel, U.S. Railroad Retirement Board, 844 Rush Street, Chicago, Illinois 60611.

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.

See Notification section above.

The individual himself or his authorized representative, other record systems maintained by the Railroad Retirement Board, employers, the Social Security Administration.

None.

-12 Railroad Employees' Registration File.

U.S. Railroad Retirement Board, 844 Rush Street, Chicago, Illinois 60611

None.

Individuals who had any employment for a railroad employer after 1936 who were assigned Social Security Numbers beginning with 700 through 728. (Use of the registration form was discontinued January 1, 1981.)

Railroad employee's name, address, social security number, date of birth, place of birth, mother's and father's names, sex, occupation and employer.

Section 7(b)(6) of the Railroad Retirement Act of 1974 (45 U.S.C. 231f(b)(6)).

The purpose of the system is to provide information on railroad employees who completed Carrier Employee Registration forms (CER-1) to apply for a Social Security number (SSN). The information on these CER-1 forms was available only at the Railroad Retirement Board.

a. Records which consist of name, date and place of birth, social security number, and parents' names may be disclosed to the Social Security Administration to verify social security number and date of birth.

b. Records may be disclosed in a court proceeding relating to any claims for benefits by the beneficiary under the Railroad Retirement Act, or Unemployment Insurance Act and may be disclosed during the course of an administrative appeal to individuals who need the records to prosecute or decide the appeal or to individuals who are requested to provide information relative to an issue involved in the appeal.

Disclosure to consumer reporting agencies:

None.

Storage:

Microfiche.

Social security number.

Permanent retention.

Office of Programs--Director of Policy and Systems, Railroad Retirement Board, 844 Rush Street, Chicago, Illinois 60611-2092.

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.

See Notification section above.

Railroad employee and employer.

None.

-16 Social Security Administration Master Earnings File.

U.S. Railroad Retirement Board, 844 Rush Street, Chicago, Illinois 60611

None.

Employees who have at least 48 creditable service months under the Railroad Retirement Act (RRA) or who attain eligibility for RRA benefits when military service is included as creditable railroad service.

Social security account number, name, date of birth, gender, social security claim status, details of earnings and periods of employment that are creditable under the Social Security Act for years after 1936.

Section 7(b)(6) of the Railroad Retirement Act of 1974 (45 U.S.C. 231(b)(6))

The purpose of this system of records is to have Social Security Act earnings information available to RRB benefit programs for determinations related to RRA benefit entitlement and amount. The records are stored in the Employment Data Maintenance database.

Internal RRB Use

Disclosure to consumer reporting agencies:

None.

Storage:

Mainframe computer database.

Social security account number and name.

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, role based access controls and audit trail. For electronic records, system securities are established in accordance with National Institute of Standards and Technology (NIST) guidelines, including network monitoring, defenses in-depth, incident response and forensics. In addition to the on-line query safeguards, they include encryption of all data transmitted and exclusive use of leased telephone lines.

Updates are made to database weekly using files transmitted to RRB from SSA over encrypted, exclusively leased telephone lines.

Magnetic tape: Magnetic tape records are retained for 90 days and then written over following NIST guidelines. For disaster recovery purposes certain tapes are stored 12-18 months.

Magnetic disk: Continually updated and permanently retained. When magnetic disk or other electronic media is no longer required or serviceable, it is sanitized in accordance with NIST guidelines.

Office of Programs--Director of Policy and Systems, Railroad Retirement Board, 844 Rush Street, Chicago, Illinois 60611-2092.

Requests for information regarding an individual's record should be in writing, including the full name, social security number and railroad retirement claim number(if any) of the individual. Before information about any record will be released, the individual may be required to provide proof of identity, or authorization from the individual to permit release of information. Such requests should be sent to: Office of Programs--Policy & Systems, Chief of Compensation & Employer Services , Railroad Retirement Board, 844 Rush Street, Chicago, Illinois 60611-2092.

See Notification section above.

Social Security Administration.

None.

-17 Appeal Decisions from Reconsideration Denials for Benefits Under the Provisions of the Railroad Retirement Act or the Railroad Unemployment Insurance Act.

U.S. Railroad Retirement Board, 844 Rush Street, Chicago, Illinois 60611

None.

Appellants under the provisions of the Railroad Retirement Act and the Railroad Unemployment Insurance Act.

Name, address, social security number, date of birth of appellant, decision of the hearings officer.

Section 7(b)(6) of the Railroad Retirement Act of 1974 (45 U.S.C. 231f(b)(6); sec. 12(l) of the Railroad Unemployment Insurance Act (45 U.S.C. 362(l)).

Records are maintained to record appeals decisions issued by the Bureau of Hearings and Appeals regarding entitlement to benefits, waiver of overpayments, and issues of law under the Railroad Retirement Act and Railroad Unemployment Insurance Act.

a. 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.

b. Records may be disclosed in a court proceeding relating to any claims for benefits by the beneficiary under the Railroad Retirement Act and Railroad Unemployment Insurance Act.

c. Records may be disclosed during the course of an administrative appeal to individuals who need the records to prosecute or decide the appeal or to individuals who are requested to provide information relative to an issue involved in the appeal, such as the attorney or representative of the appellant, a vocational expert, or medical professionals.

Disclosure to consumer reporting agencies:

None.

Storage:

Paper, magnetic tape and disk.

Claim number or social security number, Bureau of Hearings and Appeals appeal number, or Bureau of Hearings and Appeal decision number.

Paper: Maintained in areas not accessible to the public in metal filing cabinents. Access is limited to authorizied RRB employees. Offices are locked during non-business hours. Building has 24 hour on-site security officers, closed circuit television monitoring and intrusion detection systems.

The decisions maintained in the Bureau of Hearings and Appeals are retained for a period of 2 years and then destroyed by shredding in accordance with NIST guidelines. Decision documents are scanned and stored in the RRB Imaging System. Imaged documents are destroyed/purged for individual claimant’s 7 years after the close of the fiscal year that they are determined to be inactive.

Assistant General Counsel/Director of Hearings and Appeals, U.S. Railroad Retirement Board, 844 Rush Street, Chicago, Illinois 60611

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.

See Notification section above.

Information furnished by the appellant or his/her authorized representative, information developed by the hearings officer relevant to the appeal, and information contained in other record systems maintained by the Railroad Retirement Board.

None.

-18 Miscellaneous Payments.

Unclassified.

U.S. Railroad Retirement Board, 844 North Rush Street, Chicago, Illinois 60611-1275.

Chief Financial Officer, U.S. Railroad Retirement Board, 844 North Rush Street, Chicago, Illinois 60611-1275.

Section 7(b)(6) of the Railroad Retirement Act of 1974 (45 U.S.C. § 231f(b)(6)); sec. 12(l) of the Railroad Unemployment Insurance Act (45 U.S.C. § 362(l)).

The system is used to pay the operating expenses of the agency to vendors for goods and services. Employees are reimbursed for travel expenses and miscellaneous expenses related to the performance of their jobs. Payments are made within federal limits and applicable guidelines.

Vendors who supply goods and services to the U.S. Railroad Retirement Board and employees of the agency who are reimbursed for travel and miscellaneous expenses.

Vendor invoice payments, travel vouchers, miscellaneous reimbursement vouchers, and electronic mail address.

Employees travel records, memoranda from bureau directors and office heads. Form G-409 Request for Reimbursement of Commuting Expenses and Form G-753 Application for Reimbursement of Medical and/or Eye Examination Fees. Vendor invoice records.

h. Identifying information and check amount may be released to the Treasury Department to issue checks.

i. 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.

j. To the U.S. Department of the Treasury when disclosure of the information is relevant to review payment and award eligibility through the Do Not Pay Working System for the purposes of identifying, preventing, or recouping improper payments to an applicant for, or recipient of, Federal funds, including funds disbursed by a state (meaning a state of the United States, the District of Columbia, a territory or possession of the United States, or a federally recognized Indian tribe) in a state-administered, federally funded program.

Information from the system will be retrievable by name.

RECORDS:

Paper: Retain at headquarters for two years then transferred to National Archives and Records Administration (NARA), Great Lakes Federal Records Center. The General Services Administration will destroy the records when authorized by the Government Accountability Office.

Electronic media: Computer, computer storage rooms and IBM zCloud storage are restricted to authorized personnel; on-line query safeguards include a lock/unlock password system, a terminal oriented transaction matrix, role-based access controls and audit trail. For computerized records electronically transmitted between headquarters and field office locations, system securities are established in accordance with National Institute of Standards and Technology (NIST) guidelines, including network monitoring, defenses in-depth, incident response and forensics. In addition to the on-line query safeguards, they include encryption of all data transmitted and exclusive use of leased telephone lines.

1. Your identifying information

For additional instructions, see the Record Access Procedures and Notification Procedures sections.

Requests for information regarding an individual's record should be addressed in writing 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.

None.

System of Records Notice revision from previous September 30, 2014 Federal Register notice 79 FR 58885.

-19 Transit Benefit Program Records System.

U.S. Railroad Retirement Board, 844 Rush Street, Chicago, Illinois 60611.

None.

Railroad Retirement Board employees.

Supporting documentation relating to participation in the agency's transit benefit program.

5 U.S.C. 301, 1302; 26 U.S.C. 132(f); and Executive Order 9397.

The purpose of this system is to maintain employee data related to eligibility and participation in the agency’s transit benefit program.

Transit benefit program documentation may be furnished to the Internal Revenue Service for tax administration purposes.

Disclosure to consumer reporting agencies:

None.

Storage:

Paper.

Name.

Maintained in areas not accessible to the public in metal filing cabinents. Access is limited to authorizied RRB employees. Information released only at employee's request or to approved federal authorities. Offices are locked during non-business hours. Building has 24 hour on-site security officers, closed circuit television monitoring and intrusion detection systems.

Retained for three years and then destroyed by shredding in accordance with NIST guidelines.

Chief Financial Officer, U.S. Railroad Retirement Board, 844 Rush Street, Chicago, Illinois. 60611- 2092.

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.

See Notification section above.

Form G-409 Railroad Retirement Board Request for Reimbursement of Commuting Expenses and Form G-410, Railroad Retirement Board Transportation Benefit Program Application.

None.

-20 Health Insurance and Supplementary Medical Insurance Enrollment and Premium Payment System (MEDICARE).

U.S. Railroad Retirement Board, 844 Rush Street, Chicago, Illinois 60611.

District and Regional Offices: See Appendix I for addresses.

None

Qualified Railroad Retirement beneficiaries who are eligible for Medicare coverage.

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.

Section 7(d) of the Railroad Retirement Act of 1974 (45 U.S.C. 231f(d))

Records in this system are maintained to administer Title XVIII of the Social Security Act for qualified railroad retirement beneficiaries.

a. Beneficiary identification, enrollment status and premium deductions information may be released to the Social Security Administration and the Centers for Medicare & Medicaid Services 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 Centers for Medicare & Medicaid Services to assist those agencies in administering Title XVIII of the Social Security Act, as amended.

f. Beneficiary identifying information, date of birth, sex, premium rate paid thru date, and Medicare Part A and Part B entitlement date/end date may be disclosed to 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. Beneficiary last address information may be disclosed to Department of Health and Human Services in conjunction with the Parent Locator Service.

j. 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 Veterans Administration Regional Office, Philippines, to aid in the development of applications, supporting evidence and the continued eligibility of beneficiaries and potential beneficiaries living abroad.

k. Records may be released to the General Accountability Office for auditing purposes and for collection of debts arising from overpayments under Title XVIII of the Social Security Act, as amended.

l. 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 of 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.

m. If a request for information pertaining to an individual is made by an official of a labor organization of which the individual is a member and the request is made on behalf of the individual, information from the record of the individual concerning his or her entitlement to Medicare may be disclosed to the labor organization official.

n. Records may be disclosed in a court proceeding relating to any claims for benefits by the beneficiary under the Railroad Retirement Act, or Social Security Act and may be disclosed during the course of an administrative appeal to individuals who need the records to prosecute or decide the appeal or to individuals who are requested to provide information relative to an issue involved in the appeal.

o. Information may be disclosed to the Department of the Treasury for the purpose of investigating alleged forgery or theft of Medicare reimbursement checks.

p. Information may be disclosed to the U.S. Postal Service for investigating alleged forgery or theft of Medicare checks.

q. Identifying information about Medicare-entitled beneficiaries who may be working may be disclosed to the Centers for Medicare & Medicaid Services for the purposes of determining whether Medicare should be the secondary payer of benefits for such individuals.

r. Whether a qualified railroad retirement beneficiary is enrolled in Medicare Part A or Part B, and if so, the effective date(s) of such enrollment may be disclosed to a legitimate health care provider, in response to its request, when such information is needed to verify Medicare enrollment.

Disclosure to consumer reporting agencies:

None.

Storage:

Paper, Microfilm, Optical, Magnetic tape and Magnetic disk.

Claim number, social security number, full name.

Paper, Microforms and Optical: Maintained in areas not accessible to the public in metal filing cabinents. Access is limited to authorizied RRB employees. Offices are locked during non-business hours. Building has 24 hour on-site security officers, closed circuit television monitoring and intrusion detection systems.

Magnetic tape and 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, role based access controls and audit trail. For electronic records, system securities are established in accordance with National Institute of Standards and Technology (NIST) guidelines, including network monitoring, defenses in-depth, incident response and forensics. In addition to the on-line query safeguards, they include encryption of all data transmitted and exclusive use of leased telephone lines.

Paper: Computer printouts, including daily and monthly statistics, premium payment listings, state-buy-in listings and voucher listings are kept for 2 years, transferred to the Federal Records Center, and destroyed when 5 years old. Other copies of computer printouts are maintained for 1 year, then shredded. Applications material in individual claim folders with records of all actions pertaining to the payment or denial or claims are transferred to the Federal Record Center, Chicago, Illinois 5 years after the date of last payment or denial activity if all benefits have been paid, no future eligibility is apparent and no erroneous payments are outstanding. The claim folder is destroyed 25 years after the date it is received in the center. Destruction is in accordance with NIST guidelines.

Microfilm and Optical Media: Originals are kept for 3 years, transferred to the Federal Records Center and destroyed 3 years and 3 months after receipt at the center. One copy is kept 3 years then destroyed when 6 months old or no longer needed for administrative use, whichever is sooner. Destruction is in accordance with NIST guidelines.

Magnetic tape: Records are retained for 90 days and then written over following NIST guidelines. For disaster recovery purposes certain tapes are stored 12-18 months.

Magnetic disk: Continually updated and retained for at least 7 but not more than 10 years after the close of the benefit year. When magnetic disk or other electronic media is no longer required or servicable, it is sanitized in accordance with NIST guidelines.

Office of Programs--Director of Policy and Systems, Railroad Retirement Board, 844 Rush Street, Chicago, Illinois 60611-2092.

Requests for information regarding an individual's records should be in writing, including the full name, social security number and railroad retirement claim number (if any) of the individual. Before information about any record will be released, the individual may be required to provide proof of identity, or authorization from the individual to permit release of information. Such requests should be sent to: Director of Unemployment & Programs Support Division, Railroad Retirement Board, 844 Rush Street, Chicago, Illinois 60611-2092.

See Notification section above.

Applicant (the qualified railroad beneficiary), his/her representative, Social Security Administration, Centers for Medicare & Medicaid Services, Federal, State or local agencies, third party premium payers, all other Railroad Retirement Board files, physicians.

None.

-21 Railroad Unemployment and Sickness Insurance Benefit System.

U.S. Railroad Retirement Board, 844 North Rush Street, Chicago, Illinois 60611-1275.

Unclassified.

Office of Programs--Director of Policy and Systems, U.S. Railroad Retirement Board, 844 North Rush Street, Chicago, Illinois 60611-1275.

Section 12(l) of the Railroad Unemployment Insurance Act (45 U.S.C. 351, et. seq.).

The purpose of this system of records is to carry out the function of collecting and storing information to administer the benefit program under the Railroad Unemployment Insurance Act.

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.

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 their claims, and electronic mail address.

Applicant, claimant or his or her representative, physicians, employers, labor organizations, federal, state, and local government agencies, all U.S. Railroad Retirement Board files, insurance companies, attorneys, Congressmen, liable parties (in personal injury cases), funeral homes and survivors (for payment of death benefits).

In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, all or a portion of the records or information contained in this system may be disclosed to authorized entities, as is determined to be relevant and necessary, outside RRB as a routine use pursuant to 5 U.S.C. 552a(b)(3) as follows: 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 if that individual would not be denied access to the information. Disclosure may be made to contractors, grantees, experts, consultants, students, and others performing or working on a contract, service, grant, cooperative agreement, or other assignment for RRB, to the extent necessary to accomplish an RRB function related to this system of records. Disclosure may be made to the appropriate agency, whether federal, state, local, or foreign, charged with the responsibility of investigating, enforcing, or prosecuting 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, or charged with enforcing or implementing the statute, rule, regulation, or order issued pursuant thereto, if the disclosure would be to an agency engaged in functions related to the Railroad Retirement Act or the Railroad Unemployment Insurance Act, or if disclosure would be clearly in the furtherance of the interest of the subject individual. To another federal agency or federal entity, when the U.S. Railroad Retirement Board determines that information from this system of records is reasonably necessary to assist the recipient agency or entity in (1) responding to a suspected or confirmed breach or (2) preventing, minimizing, or remedying the risk of harm to individuals, the recipient agency or entity (including its information systems, programs, and operations), the federal government, or national security, resulting from a suspected or confirmed breach. To appropriate agencies, entities, and persons when (1) the U.S. Railroad Retirement Board suspects or has confirmed that there has been a breach of the system of records; (2) the U.S. Railroad Retirement Board has determined that as a result of the suspected or confirmed breach there is a risk of harm to individuals, the U.S. Railroad Retirement Board (including its information systems, programs, and operations), the federal government, or national security; and (3) the disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with the U.S. Railroad Retirement Board’s efforts to respond to the suspected or confirmed breach or to prevent, minimize, or remedy such harm. Disclosure may be made to the National Archives and Records Administration or other federal government agencies for records management inspections being conducted under the authority of 44 U.S.C. 2904 and 2906. Disclosure of non-medical information in this system of records may be made to the attorney representing such individual upon receipt of a written letter or declaration stating the fact of representation, if that individual would not be denied access to the information. Medical information may be released to an attorney when such records are requested for the purpose of contesting a determination either administratively or judicially. 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. 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. Beneficiary identifying information, address, check rate, date and number may be released to the Treasury Department to control for reclamation and return outstanding benefit payments, to issue benefit payments, respond to reports of non-delivery and to insure delivery of check to the correct address or account of the beneficiary or representative payee. Beneficiary identifying information, address, payment rate, date and number, plus other necessary supporting evidence may be released to the U.S. Postal Service for investigation of alleged forgery or theft of railroad unemployment/sickness benefit payments. 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. Under Section 2(f), the U.S. Railroad Retirement Board has the right to recover benefits paid to an employee who later receives remuneration for the same period, therefore, the U.S. 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. Under Section 12(o), the U.S. Railroad Retirement Board is entitled to reimbursement of sickness benefits paid on account of the infirmity for which damages are paid, consequently, the U.S. 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. 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. The last addresses and employer information may be released to Department of Health and Human Services in conjunction with the Parent Locator Service. 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. 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. s. Information from the record of the individual concerning their benefit or anticipated benefit and concerning the method of calculating that benefit may be disclosed to an official of a labor organization of which the individual is a member, if the disclosure is made at the request of, the individual. 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. Records deemed relevant and necessary 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 an administrative appeal to individuals who need the records to prosecute or decide the appeal or to individuals who are requested to provide information relative to an issue involved in the appeal. Beneficiary identifying information, entitlement data, benefit rates and periods paid may be released to the Veterans Benefits Administration to verify continued entitlement to benefits. 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. 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. 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 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. 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. 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. Entitlement data and benefit rates relevant and necessary 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. 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 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. 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. Scrambled Social Security number and complete home address information of unemployment claimants may be furnished to the Bureau of Labor Statistics for use in its Local Area Unemployment Statistics (LAUS) program. Records may be disclosed to the U.S. Department of the Treasury when disclosure of the information is relevant to review payment and award eligibility through the Do Not Pay Working System for the purposes of identifying, preventing, or recouping improper payments to an applicant for, or recipient of, Federal funds, including funds disbursed by a state (meaning a state of the United States, the District of Columbia, a territory or possession of the United States, or a federally recognized Indian tribe) in a state-administered, federally funded program.

Information from the system will be retrievable by Social Security number, claim number and name.

Paper: Destroyed by shredding in accordance with NIST standards, no sooner than 7 years and no later than 10 years after the close of the benefit year. Electronic media: Storage drives and IBM zCloud storage: Continually updated and permanently retained. When storage drives and IBM zCloud storage or other electronic media are no longer serviceable, they are sanitized in accordance with NIST guidelines.

Paper: Maintained in areas not accessible to the public in locking filing cabinets. Access is limited to authorized RRB employees. Offices are locked during non-business hours. The building has 24-hour on-site security officers, closed circuit television monitoring and intrusion detection systems. Electronic media: 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, role-based access controls and audit trail. For electronic records, system securities are established in accordance with National Institute of Standards and Technology (NIST) guidelines, including network monitoring, defenses in-depth, incident response and forensics. In addition to the on-line query safeguards, they include encryption of all data transmitted and exclusive use of leased telephone lines.

1. Your identifying information

For additional instructions, see the Record Access Procedures and Notification Procedures sections.

None.

System of Records Notice revision from previous May 15, 2015 Federal Register notice 80 FR 28016.

-22 Railroad Retirement, Survivor, and Pensioner Benefit System.

Unclassified.

U.S. Railroad Retirement Board, 844 North Rush Street, Chicago, Illinois 60611-1275.

Office of Programs--Director of Policy and Systems,

U.S. Railroad Retirement Board, 844 North Rush Street, Chicago, Illinois 60611-1275.

Section 7(b)(6) of the Railroad Retirement Act of 1974 (U.S.C. 231f(b)(6)).

Records in this system of records are maintained to administer the benefit provisions of the Railroad Retirement Act, sections of the Internal Revenue Code related to the taxation of railroad retirement benefits, and Title XVIII of the Social Security Act as it pertains to Medicare coverage for railroad retirement beneficiaries.

retirement and survivor benefits, (spouses, divorced spouses, widows, surviving divorced spouses, children, students, parents, grandchildren), and individuals who filed for lump-sum death benefits and/or residual payments.

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, death, military service, creditable earnings and service months (including military service), entitlement to benefits under the Social Security Act, programs administered by the Veterans Benefits Administration, 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), electronic mail address, and tax withholding information (instructions of annuitants regarding number of tax withholding exemptions claimed and additional amounts to be withheld, as well as actual amounts withheld for tax purposes).

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.

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 if that individual would not be denied access to the information.

Disclosure may be made to contractors, grantees, experts, consultants, students, and others performing or working on a contract, service, grant, cooperative agreement, or other assignment for RRB, to the extent necessary to accomplish an RRB function related to this system of records.

Disclosure may be made to the appropriate agency, whether federal, state, local, or foreign, charged with the responsibility of investigating, enforcing, or prosecuting 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, or charged with enforcing or implementing the statute, rule, regulation, or order issued pursuant thereto, if the disclosure would be to an agency engaged in functions related to the Railroad Retirement Act or the Railroad Unemployment Insurance Act, or if disclosure would be clearly in the furtherance of the interest of the subject individual.

To another federal agency or federal entity, when the U.S. Railroad Retirement Board determines that information from this system of records is reasonably necessary to assist the recipient agency or entity in (1) responding to a suspected or confirmed breach or (2) preventing, minimizing, or remedying the risk of harm to individuals, the recipient agency or entity (including its information systems, programs, and operations), the federal government, or national security, resulting from a suspected or confirmed breach.

To appropriate agencies, entities, and persons when (1) the U.S. Railroad Retirement Board suspects or has confirmed that there has been a breach of the system of records; (2) the U.S. Railroad Retirement Board has determined that as a result of the suspected or confirmed breach there is a risk of harm to individuals, the U.S. Railroad Retirement Board (including its information systems, programs, and operations), the federal government, or national security; and (3) the disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with the U.S. Railroad Retirement Board’s efforts to respond to the suspected or confirmed breach or to prevent, minimize, or remedy such harm.

Disclosure may be made to the National Archives and Records Administration or other federal government agencies for records management inspections being conducted under the authority of 44 U.S.C. 2904 and 2906.

Disclosure of non-medical information in this system of records may be made to the attorney representing such individuals upon receipt of a written letter or declaration stating the fact of representation, if that individual would not be denied access to the information. Medical information may be released to an attorney when such records are requested for the purpose of contesting a determination either administratively or judicially.

Beneficiary identifying information may be disclosed to third party contacts to determine if the inability of the beneficiary or potential beneficiary to understand or use benefits exists, and to determine the suitability of a proposed representative payee.

In the event the Board has decided 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 individual record.

Entitlement and benefit rates relevant and necessary may be released to primary beneficiaries regarding secondary beneficiaries (or vice versa) when the addition of such beneficiary affects either entitlement or benefit payment.

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.

Beneficiary identifying information, address, check rates, number and

date may be released to the Department of the Treasury to control for reclamation and return of outstanding benefit payments, to issue benefit payments, act on report of non-receipt, to ensure delivery of payments to the correct address of the beneficiary or representative payee or to the proper financial organization, and to investigate alleged forgery, theft or unlawful negotiation of railroad retirement benefit checks or improper diversion of payments directed to a financial organization.

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.

Beneficiary identifying information, entitlement data, medical evidence and related evaluatory data and benefit rate may be released to the Social Security Administration and the Centers for Medicare & Medicaid Services to correlate actions with the administration of Title II and Title XVIII of the Social Security Act, as amended.

Beneficiary identifying information, including Social Security number, and supplemental annuity amounts may be released to the Internal Revenue Service, for tax purposes.

Beneficiary identifying information, entitlement, benefit rates, medical evidence and related evaluatory data, and months paid may be furnished to the Veterans Benefits Administration 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.

Beneficiary identifying information, entitlement data and benefit rates relevant and necessary may be released to the Department of State and embassy and consular officials, the American Institute in Taiwan, and to the Veterans Benefits Administration Regional Office, Philippines, to aid in the development of applications, supporting evidence, and the continued eligibility of beneficiaries and potential beneficiaries living abroad.

Beneficiary identifying information, entitlement, benefit rates and months paid may be released to the Social Security Administration (Bureau of Supplemental Security Income), the Centers for Medicare & Medicaid Services, to federal, state and local welfare or public aid agencies to assist them in processing applications for benefits under their respective programs.

The last addresses and employer information may be released to the Department of Health and Human Services in conjunction with the Parent

Locator Service.

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.

Medical evidence may be released to Board-appointed medical examiners to carry out their functions.

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.

Information necessary to study the relationship between benefits paid

by the U.S. Railroad Retirement Board and civil service annuities may be released to the Office of Personnel Management.

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.

Information from the record of the individual concerning their benefit or anticipated benefit and concerning the method of calculating that benefit may be disclosed to an official of a labor organization of which the individual is a member, if the disclosure is made at the request of, and on behalf of, the individual.

Records deemed relevant and necessary 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 an administrative appeal to individuals who need the records to prosecute or decide the appeal or to individuals who are requested to provide information relative to an issue involved in the appeal.

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.

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.

Beneficiary identifying information, including but not limited to name, address, Social Security 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.

Medical records may be disclosed to vocational consultants in administrative proceedings.

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.

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.

Certain identifying information about annuitants, such as name, Social Security number, 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.

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.

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.

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.

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 to verify the amount by which Railroad Retirement Act benefits must be reduced, where applicable.

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.

Identifying information about Medicare-entitled beneficiaries who may be working may be disclosed to the Centers for Medicare & Medicaid Services for the purposes of determining whether Medicare should be the secondary payer of benefits for such individuals.

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.

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.

An employee’s date last worked, annuity filing date, annuity beginning date, and the month and year of death may be furnished to AMTRAK when such information is needed by AMTRAK to decide whether to award a travel pass to either the employee or the employee’s widow.

The employee’s Social Security number may be disclosed to an individual eligible for railroad retirement benefits on the employee’s earnings record when the employee’s Social Security number would be contained in the railroad retirement claim number.

Records may be disclosed to the U.S. Department of the Treasury when disclosure of the information is relevant to review payment and award eligibility through the Do Not Pay Working System for the purposes of identifying, preventing, or recouping improper payments to an applicant for, or recipient of, Federal funds, including funds disbursed by a state (meaning a state of the United States, the District of Columbia, a territory or possession of the United States, or a federally recognized Indian tribe) in a state-administered, federally funded program.

Information from the system will be retrievable by Social Security number, claim number and name.

RECORDS:

Paper: Destroyed by shredding in accordance with NIST standards, no sooner than 7 years and no later than 10 years after the close of the benefit year.

Electronic media: 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, role-based access controls and audit trail. For electronic records, system securities are established in accordance with the National Institute of Standards and Technology (NIST) guidelines, including network monitoring, defenses in-depth, incident response and forensics. In addition to the on-line query safeguards, they include encryption of all data transmitted and exclusive use of leased telephone lines.

Under 5 U.S.C. § 552a (Privacy Act of

1974), individuals have the right to access and contest records maintained about

them. To access or amend your records, submit a written request to the Railroad

Retirement Board (RRB) with:

1. Your identifying information

2. A description of the record you wish to access.

The RRB may request proof of identity. To correct a record, specify the change and provide justification. If denied, you can submit a statement of disagreement to be included with the record.

For additional instructions, see the Record Access Procedures and Notification Procedures sections.

None.

System of Records Notice revision from previous May 15, 2015 Federal Register notice 80 FR 28018.

-26 Payment, Rate and Entitlement History File.

U.S. Railroad Retirement Board, 844 Rush Street, Chicago, Illinois 60611

None

Individuals who have received or are receiving benefits under the Railroad Retirement Act or the Social Security Act, including retired and disabled railroad employees, their qualified spouses, dependents, and survivors, and recipients of other, non-recurring benefits.

Data supporting the benefits and historical data recording the benefits paid to the above categories of individuals under the Railroad Retirement and Social Security Acts. Includes name, address, social security number, claim number, date of birth, dates of military service, creditable service months, amounts of benefits received under the Social Security Act, components of and final rates payable under the Railroad Retirement Act, health insurance premium deduction, direct deposit data, employer pension information and tax withholding information (actual amounts withheld for tax purposes).

Section 7(b)(6) of the Railroad Retirement Act of 1974 (45 U.S.C. 231f(b)(6))

The purpose of this system is to record in one file all data concerning payment, rate, and entitlement history for recipients of Railroad Retirement benefits.

a. 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.

b. Benefit data regarding persons who, it is determined, are both RRB and VA beneficiaries may be furnished to the Veterans Administration for the purpose of assisting the VA in the administration of its income dependent benefit programs.

c. 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.

d. Identifying information about Medicare-entitled beneficiaries who may be working may be disclosed to the Centers for Medicare & Medicaid Services for the purposes of determining whether Medicare should be the secondary payer 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.

Disclosure to consumer reporting agencies:

None.

Storage:

Magnetic tape and magnetic disk.

By claim number or beneficiary's Social Security number.

Magnetic tape: Magnetic tape records are retained for six months. Activity record tapes are maintained for 15 months. For disaster recovery purposes certain tapes are stored for three years. When no longer needed, they are over-written following NIST guidelines.

Magnetic disk: Non-Generational (unique) datasets are updated and permanently retained. Generational datasets are maintained in a rolling archive as they are created with the oldest dataset being replaced by the newest one. Normal lifespan for a generational dataset is 6-8 months, at which point it is over-written. When magnetic disk or other electronic media is no longer required or servicable, it is sanitized in accordance with NIST guidelines.

Office of Programs--Director of Policy and Systems, U.S. Railroad Retirement Board, 844 North Rush Street, Chicago, Illinois 60611-2092,

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.

See Notification section above.

Transmissions from the following computerized systems: Railroad Retirement Act benefit payment; Social Security benefit payment; disability rating decisions; and primary insurance amount calculations.

None.

-27 Railroad Retirement Board-Social Security Administration Financial Interchange System.

U.S. Railroad Retirement Board, 844 Rush Street, Chicago, Illinois 60611

None.

One-percent sample of 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.

Claim number, social security number, date of birth, and administrative cost and payment data on imputed and actual social security benefits.

Section 7(c)(2) of the Railroad Retirement Act of 1974 (45 U.S.C. 231f(c)(2))

The purpose of this system is to calculate benefit amounts required to determine the financial interchange transfer amounts each year.

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 and Federal Insurance Contributions Acts.

b. Information may be released to the Government Accountability Office for auditing purposes.

Disclosure to consumer reporting agencies:

None.

Storage:

Paper, Magnetic tape and Magnetic disk.

Claim and social security account numbers.

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 in accordance with NIST guidance.

Chief, Financial Interchange Division, Bureau of the Actuary, U.S. Railroad Retirement Board, 844 North Rush Street, Chicago, Illinois 60611-2092

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.

See Notification section above.

The Social Security Administration and other Railroad Retirement Board files.

None.

-29 Railroad Employees' Annual Gross Earnings Master File.

U.S. Railroad Retirement Board, 844 Rush Street, Chicago, Illinois 60611

None.

Railroad workers whose social security account number ends in "30''.

Gross earnings by individual by month, quarter or year.

Section 7(c)(2) of the Railroad Retirement Act of 1974 (45 U.S.C. 231f(c)(2))

The purpose of this system is to maintain gross earnings reports for Financial Interchange sample employees for use in the calculation of payroll tax amounts used in the financial interchange determinations.

a. Records may be released to the Internal Revenue Service for the sole purpose of computing the additional Medicare tax shortfall amount. Records released will include the Social Security Number (SSN), employer name, Employer Identification Number (EIN) and gross earnings for a 1-percent sample of active railroad employees in the reference year (per 20 CFR 209.13). Records provided shall not be used for IRS audits or any other unauthorized purposes.

Disclosure to consumer reporting agencies:

None.

Storage:

Paper, Magnetic tape and Magnetic disk.

Social security account number.

Paper: Original reports are retained for 2½ years and work files are retained for three years. Financial interchange tabulations are retained indefinitely, and all other tabulations are retained for two years, After the appropriate retention periods, items are destroyed in accordance with NIST guidelines.

Magnetic tape: Original reports on magnetic tape are retained for 2½ years and work files are retained for one year. The final summarized file is retained for two years. After the appropriate retention periods, original reports are returned to employers and all other magnetic tapes are written over following NIST guidelines.

Magnetic disk and electronic media: Original reports are retained for 2½ years, and work files are retained for three years. The final summarized file is retained for five years. Financial interchange tabulations are retained indefinitely. When magnetic disk or other electronic media is no longer required or serviceable, it is sanitized in accordance with NIST guidelines.

Chief of Benefit and Employment Analysis, Bureau of the Actuary, U.S. Railroad Retirement Board, 844 N. Rush Street, Chicago, Illinois 60611-2092.

See Notification section above.

Railroad employers.

None.

-33 Federal Employee Incentive Awards System.

U.S. Railroad Retirement Board, 844 Rush Street, Chicago, Illinois 60611

None.

Railroad Retirement Board employees who have submitted suggestions or have been nominated for awards.

Employee suggestions, special achievement awards, quality increase awards, public service awards, government-sponsored awards, performance awards, and time off awards.

Chapter 45, Title 5, U.S. Code.

Past suggestion and award nominations and awards presented are maintained to provide historical and statistical records.

a. Information may be released to the public media for public relations purposes.

b. Records may be disclosed to the General Accountability Office for auditing purposes.

Disclosure to consumer reporting agencies:

None.

Storage:

Paper.

System indexed by number assigned when suggestion or nomination is received. Suggestions are cross-referenced by name of suggester and subject of suggestion.

Denied suggestions are purged and destroyed five years after denial date in accordance with NIST guidelines. Adopted suggestions are retained permanently as are all special achievement awards, quality increase and public service awards, RRB Award for Excellence, and government-sponsored awards.

Director of Human Resources, U.S. Railroad Retirement Board, 844 Rush Street, Chicago, Illinois 60611

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.

See Notification section above.

Suggestion or award submitted by suggester or nominator. Suggestions submitted by employees; recommendations for award submitted by supervisory personnel.

None.

-34 Employee Personnel Management Files.

U.S. Railroad Retirement Board, 844 Rush Street, Chicago, Illinois 60611

None.

Current employees of the U.S. Railroad Retirement Board.

Name, address and phone number of the person to notify in case of emergency and personal physician; copies of SF-52, Request for Personnel Action, SF-50, Personnel Action, service computation date form, performance ratings, other awards and nominations for recognition, supervisory informal and formal written notes, memorandums, etc., relative to admonishment, caution, warnings, reprimand or similar notices, within-grade increase materials, SF-171, Employment Application, official position descriptions, task lists and performance plans, information concerning training received and seminars attended, and miscellaneous correspondence.

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.

The system is maintained to provide information to managers and supervisors to assist in their work, and meet OPM regulations.

a. Records may be disclosed in a court proceeding and may be disclosed during the course of an administrative appeal to individuals who need the records to prosecute or decide the appeal or to individuals who are requested to provide information relative to an issue involved in the appeal.

b. 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.

c. 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.

Disclosure to consumer reporting agencies:

None.

Storage:

Paper and General Services Administration (GSA) Comprehensive Human Resources Integrated System (CHRIS) information system.

Name of employee.

GSA CHRIS: The General Services Administration (GSA) is responsible for and provides safeguards in accordance with Federal guidelines for this information system.

The paper folder is maintained for the period of the employee's service in the agency and is then transferred to the National Personnel Records Center for storage or, to the next employing Federal agency. Other records are either retained at the agency for various lengths of time in accordance with the National Archives and Records Administration records schedules or destroyed, in accordance with NIST guidelines, when they have served their purpose or when the employee leaves the agency.

Director of Human Resources, U.S. Railroad Retirement Board

844 Rush Street

Chicago, Illinois 60611

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.

See Notification section above.

Employee, agency officials and management personnel.

None.

-36 Complaint, Grievance, Disciplinary and Adverse Action Files.

U.S. Railroad Retirement Board, 844 Rush Street, Chicago, Illinois 60611

None.

Railroad Retirement Board employees who are the subjects of disciplinary or adverse actions or who have filed a complaint or grievance.

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.

Title 5 U.S.C. sections 7503(c), 7513(e), 7543(e).

The purpose of this system of records is to maintain information related to grievances, disciplinary actions, and adverse actions in order to furnish information to arbitrators, EEO investigators, the Merit Systems protection Board, the Federal Labor Relations Authority, and the Courts, as necessary. The information is also used for statistical purposes, as needed.

a. 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.

b. Records may be disclosed to the Merit Systems Protection Board or an arbitrator to adjudicate an appeal, complaint, or grievance.

Disclosure to consumer reporting agencies:

None.

Storage:

Paper.

Name of employee.

Maintained for four years, then destroyed in accordance with NIST guidance.

Director of Human Resources, U.S. Railroad Retirement Board, 844 Rush Street, Chicago, Illinois 60611

Requests for information regarding an individual's record should be addressed to the System Manager identified above and should include the name 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.

See Notification section above.

The Railroad Retirement Board employee, the employee's supervisor, bureau or network director, the executive director, or the employee's representative.

None.

-42 Overpayment Accounts.

Unclassified.

U.S. Railroad Retirement Board, 844 North Rush Street, Chicago, Illinois 60611-1275.

Salary overpayments: Director, General Services Administration National Payroll Center, Attention: 6BCY, 1500 Bannister Road, Kansas City, Missouri 64131-3088.

Benefit overpayments: Chief Financial Officer, U.S. Railroad Retirement Board, 844 North Rush Street, Chicago, Illinois 60611-1275.

Section 7(b)(6) of the Railroad Retirement Act of 1974 (45 U.S.C. § 231f(b)(6)); Section 12(l) of the Railroad Unemployment Insurance Act (45 U.S.C. § 362(l)); Public Law 97-92 (Joint Resolution); Public Law 97-365 (Debt Collection Act of 1982); Federal Claims Collection Act (31 U.S.C. § 3701 et. seq.); Public Law 104-134 (Debt Collection Improvement Act of 1996); Public Law 111-204 (Improper Payments Elimination and Recovery Act); Public Law 113–101 (The Digital Accountability and Transparency Act); 5 U.S.C. § 5514, and 20 CFR § 361.

The records in this system are created, monitored and maintained to enable the Railroad Retirement Board to fulfill regulatory and statutory fiduciary responsibilities to its trust funds, the individuals to whom it pays salaries or benefits and the federal government as directed under the Railroad Retirement Act, Railroad Unemployment Insurance Act, Debt Collection Act of 1982, the Debt Collection Improvement Act of 1996, and the Digital and Transparency Act of 2014. These responsibilities include accurate and timely determination of debt; sending timely, accurate notice of the debt with correct repayment and rights options; taking correct and timely action when rights/appeals have been requested; assessing appropriate charges; using all appropriate collection tools, releasing required, accurate reminder notices; and correctly and timely entering all recovery, write-off, and waiver offsets to debts.

Individuals or businesses who were overpaid in the salaries or benefits they received from the Railroad Retirement Board. Benefits overpaid are further delineated in the following two categories:

--Individuals or businesses overpaid the following types of annuities or benefits payable under the Railroad Retirement Act: retirement, disability, supplemental, and survivor.

--Individuals overpaid unemployment or sickness insurance benefits payable under the Railroad Unemployment Insurance Act.

Name, address, Social Security number, claim number, electronic mail address, whether salary or benefit and if benefit type of benefit previously paid, amount of overpayment, debt identification number, cause of overpayment, source of overpayment, original debt amount, current balance of debt, installment repayment history,recurring accounts receivable administrative offset history, waiver, reconsideration and debt appeal status, general billing, dunning, referral, collection, and payment history, amount of interest and penalties assessed and collected, name of federal agency to which account is referred for collection, date of such referral and amount collected.

Salary overpayments: General Services Administration maintains RRB salary records, including records of amounts overpaid to U.S. Railroad Retirement. The RRB also maintains salary overpayment records in folders and other RRB systems of records. Benefit overpayments: U.S. Railroad Retirement Board beneficiaries' overpayment records are contained in claim folders, the RRB’s accounts receivable system, and other RRB systems of records.

h. Benefit overpayment amounts, history of collection actions and efforts, and personally identifiable information (name, address, Social Security number, railroad retirement claim number, etc.) may be disclosed to agencies of the federal government for the purpose of recovering delinquent debts.

i. Federal salary overpayment amounts, history of collection actions and efforts, and personally identifiable information (name, address, Social Security number, etc.) may be disclosed to agencies of the federal government for the purpose of recovering delinquent debts.

j. Personally identifiable information pertaining to delinquent benefit and federal salary overpayments may be disclosed to the Department of the Treasury, Financial Management Service (FMS), for the purpose of collecting through cross-servicing and offset of federal payments. FMS may disclose this personally identifiable information to other agencies to conduct computer matching programs to identify and locate delinquent debtors who are receiving federal salaries or benefit payments. FMS may refer these delinquent accounts and disclose pertinent information to other federal agencies and private collection agencies for the purpose of collection.

k. Personally identifiable information may be released to any federal agency for the purpose of enabling such agency to collect debts on the RRB’s behalf.

l. Information from the record of the individual concerning their benefit or anticipated benefit and concerning the method of calculating that benefit may be disclosed to an official of a labor organization of which the individual is a member, if the disclosure is made at the request of, and on behalf of, the individual.

m. Records may be disclosed to the U.S. Department of the Treasury when disclosure of the information is relevant to review payment and award eligibility through the Do Not Pay Working System for the purposes of identifying, preventing, or recouping improper payments to an applicant for, or recipient of, Federal funds, including funds disbursed by a state (meaning a state of the United States, the District of Columbia, a territory or possession of the United States, or a federally recognized Indian tribe) in a state-administered, federally funded program.

Salary overpayments retrievable by Social Security number and name. Benefit overpayments retrievable by Social Security number, Railroad Retirement claim number, name, and debt identification number.

RECORDS:

Paper: Documents, with benefit overpayment data, are shredded three years after receipt. These records are identified and destroyed annually.

Salary overpayment records are maintained at the General Services Administrationunder safeguards equal to those of the U.S. Railroad Retirement Board (see GSA Systems of Records Notice: GSA-PPFM-9).

Benefit overpayment records:

1. Your identifying information

For additional instructions, see the Record Access Procedures and Notification Procedures sections.

Requests for information regarding an

individual’s salary overpayment record should be in writing addressed to theDirector, General Services Administration National Payroll Center at the address above. Requests for information regarding an individual's or business’ benefit overpayment 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 is released, the System Manager may require the individual to provide proof of identity or require the requester to furnish an authorization from the individual to permit release ofinformation.

None.

System of Records Notice revision from previous September 30, 2014 Federal Register notice 79 FR 58896.

-43 Investigation Files.

Office of Inspector General, U.S. Railroad Retirement Board, 844 N Rush Street, Chicago, Illinois 60611.

Controlled Unclassified Information (CUI).

Any of the following categories of individuals on whom a complaint is made alleging a violation of law, regulation, or rule pertinent to the administration of programs by the RRB, or, with respect to RRB employees, alleging misconduct or conflict of interest in the discharge of their official duties: Current and former employees of the Retirement Railroad Board; contractors; subcontractors; consultants, applicants for, and current and former recipients of, benefits under the programs administered by the Railroad Retirement Board; officials and agents of railroad employers; members of the public who are alleged to have stolen or unlawfully received RRB benefit or salary or assisted in such activity; and others who furnish information, products, or services to the RRB.

Letters, memoranda, and other documents alleging a violation of law, regulation or rule, or alleging misconduct, or conflict of interest; reports of investigations to resolve allegations with related exhibits, statements, affidavits or records obtained during the investigation; recommendations on actions to be taken; transcripts of, and documentation concerning requests and approval for, consensual monitoring of communications; photographs, video and audio recordings made as part of the investigation; reports from law enforcement agencies; prior criminal or noncriminal records as they relate to the investigation; reports of actions taken by management personnel regarding misconduct; reports of legal actions resulting from violations referred to the Department of Justice or other law enforcement agencies for prosecution.

Inspector General Act of 1978; Public Law 95-452, 5 U.S.C. App., as amended

The Office of Inspector General maintains this system of records to carry out its statutory responsibilities under the Inspector General Act. These responsibilities include a mandate to investigate allegations of fraud, waste, and abuse related to the programs and operations of the RRB and to refer such matters to the Department of Justice for prosecution.

a. Records may be disclosed to the Department of Justice or other law enforcement authorities in connection with actual or potential criminal prosecution or civil litigation initiated by the RRB, or in connection with requests by RRB for legal advice.

b. Records may be disclosed to a Federal agency which has requested information relevant or necessary to its hiring or retention of an employee or the issuance of a security clearance, provided that the subject individual is not an individual on whom the RRB has obtained information in conjunction with its administration of the Railroad Retirement Act, the Railroad Unemployment Act, the Milwaukee Railroad Restructuring Act, or the Rock Island Railroad Transition and Employee Assistance Act.

c. Records may be disclosed to members of the Council of Inspectors General for Integrity and Efficiency for the preparation of reports to the President and Congress on the activities of the Inspectors General.

d. Records may be disclosed to members of the Council of Inspectors General for Integrity and Efficiency, or the Department of Justice, as necessary, for the purpose of conducting qualitative assessment reviews of the investigative operations of RRB-OIG to ensure that adequate internal safeguards and management procedures are maintained.

Disclosure to consumer reporting agencies:

None.

Storage:

Paper, Magnetic tape and Magnetic disk.

Name, SSN, RRB Claim Number, and assigned number, all of which are cross-referenced to the other information.

General access is restricted to the Inspector General and members of his staff; disclosure within the agency is on a limited need-to-know basis.

Paper: Retained for 10 years after the investigation has been closed. They are destroyed in accordance with NIST guidlines, in the fiscal year following the expiration of the 10-year retention period.

Magnetic tape: Magnetic tape records are retained for 90 days and then written over following NIST guidelines. For disaster recovery purposes certain tapes are stored 12-18 months.

Magnetic disk: Retained until no longer required for any operational or administrative purposes When magnetic disk or other electronic media is no longer required or servicable, it is sanitized in accordance with NIST guidelines.

Assistant Inspector General, Office of Inspector General, U.S. Railroad Retirement Board, 844 Rush Street, Chicago, Illinois 60611.

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.

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.

See notification section above.

The subject; the complainant; third parties, including but not limited to employers and financial institutions; local, state, and federal agencies; and other RRB record systems.

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 20 CFR 200(f) and (g).

-46 Personnel Security Files.

U.S. Railroad Retirement Board, 844 North Rush Street .Chicago, Illinois 60611-2092

None.

Current and former Railroad Retirement Board (RRB) employees and individuals being considered for possible employment, or contractor work, by the RRB.

Completed and signed suitability investigation requests (investigations submitted through the automated system, eQIP, will not have a completed and signed investigation request form as this would be filled out via the web-based system); information concerning identity source documents; results of applicable background checks; copies of relevant material used to validate applicant’s identity, including photos and fingerprint impressions. 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 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 the System of Records OPM Central-9. Access to the report is governed by OPM.

Executive Order 10450, OMB Circular A-130 dated December 15, 1985, and Homeland Security Presidential Directive 12.

The purpose of this system of records is to maintain files documenting the processing of investigations on RRB employees and applicants for employment or contract work used in making security/suitability determinations.

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. In the event of litigation where one of the parties is (1) the Board, any component of the Board, or any employee of the Board in his or her official capacity; (2) 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 (3) 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.

d. Disclosure may be made to the PIV card applicant’s representative at the request of the individual who is applying for a PIV card with the RRB.

Disclosure to consumer reporting agencies:

None.

Storage:

Paper and Electronic.

Name.

The records are kept in secure storage, in a locked room. Access to RRB paper and electronic personnel security files is limited to the Director of Human Resources (Personnel Security Officer) and the Chief of Human Services and Labor Relations. Access to contractor personnel security files is limited to the Director of Administration. Access to OIG personnel security files is limited to the Assistant Inspector General for Investigations. Offices are locked during non-business hours. Building has 24 hour on-site security officers, closed circuit television monitoring and intrusion detection systems.

Destroy upon notification of death or not later than 5 years after separation or transfer of employee, whichever is applicable. Destruction is in accordance with NIST guidelines.

For RRB Employees: Human Resources Security Officer, U.S. Railroad Retirement Board, 844 North Rush Street, Chicago, Illinois 60611-2092

For RRB OIG Employees: Assistant Inspector General for Investigations, U.S. Railroad Retirement Board, 844 North Rush Street, Chicago, Illinois 60611-2092

For Contractors: Director of Administration, U.S. Railroad Retirement Board, 844 North Rush Street, Chicago, Illinois 60611-2092

Requests for information regarding an individual's record should be in writing addressed to the System Manager identified above, including the full name and 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.

See Notification section above.

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.

None.

-48 Physical Access Management System.

U.S. Railroad Retirement Board, 844 North Rush Street, Chicago, Illinois 60611-2092

None.

All Railroad Retirement Board employees, contractors, Federal agency tenant employees, and other persons assigned responsibilities that require the issuance of credentials for identification and/or access privileges to secure locations within the agency’s headquarters facility.

Records of completed and signed RRB key card and personal identity verification (PIV) requests; name, photograph, signature, social security account number, date of birth, ID badge serial number, date and time of requests for access, system record of access granted and/or allowed.

Homeland Security Presidential Directive 12; Federal Information Processing Standards 201; Federal Property and Administrative Act of 1949, as amended.

The purpose of this system of records is to validate individuals who have been given credentials to access federally controlled property, secured areas or information systems.

a. Records may be disclosed to another Federal agency or to a court when the government is party to a judicial proceeding before the court.

b. Records may be disclosed to a Federal agency, on request, in connection with the hiring and/or retention of an employee.

c. Records may be disclosed to officials of the Merit Systems Protection Board, including the Office of Special Counsel; the Federal Labor Relations Authority and its General Counsel; or the Equal Employment Opportunity Commission when requested in the performance of their authorized duties.

d. Records may be disclosed to an authorized appeal or grievance examiner, formal complaints examiner, equal employment opportunity investigator, arbitrator, or other duly authorized official engaged in investigation or settlement of a grievance, complaint, or appeal filed by an employee to whom the information pertains.

e. Records may be disclosed to the agency’s Office of Inspector General for any official investigation or review related to the programs and operations of the RRB.

f. Records may be disclosed to agency officials for any official investigation or review related to the programs and operations of the RRB.

Disclosure to consumer reporting agencies:

None.

Storage:

Electronic records.

Name, badge serial number.

The records are secured in a locked room. Access to records of completed and signed personal identity verification requests of RRB employees is limited to the Director of Human Resources. Access to all other records is limited to the Assistant to the Director of Administration. Access to the electronic records is limited to RRB employees and official designated as registrars, deputy-registrars and issuers; it is also controlled through a user id and password security process. The security mechanism also limits access to data based on a user’s role needs for accessing the data.

Destroy 5 years after final entry or 5 years after date of document, as appropriate, in accordance with NIST guidelines.

Director of Human Resources, U.S. Railroad Retirement Board, 844 North Rush Street, Chicago, Illinois 60611-2092

Assistant to the Director of Administration, U.S. Railroad Retirement Board, 844 North Rush Street, Chicago, Illinois 60611-2092

Requests for information regarding an individual’s record(s) should be in writing to the System Manager(s) identified above, and must include the full name. Before information about any record will be released, the System Manager(s) may require the individual to provide proof of identity or require the requestor to furnish an authorization from the individual to permit release of information.

See Notification section above.

Individuals to whom building passes are issued.

None.

-49 Telephone Call Detail Records.

U.S. Railroad Retirement Board, 844 North Rush Street, Chicago, Illinois 60611-2092.

None.

Individuals (generally agency employees and contractor personnel) who make or receive telephone calls from agency owned telephones at the agency's 844 North Rush Street headquarters building.

Name of employee, telephone number, location of telephone, date and time phone call made or received, duration of call, telephone number called from agency telephone, city and state of telephone number called, cost of call made on agency phone.

31 U.S.C. 1348(b)

The purpose of this system of records are to verify the correctness of telephone service billing and to detect and deter possible improper use of agency telephones by agency employees and contractors.

a. Relevant records may be released to a telecommunications company providing support to permit servicing the account.

b. Relevant records may be disclosed to representatives of the General Services Administration or the National Archives and Records Administration who are conducting records management inspections under the authority of 44 U.S.C. 2904 and 2906.

c. Records may be disclosed in response to a request for discovery or for the appearance of a witness, to the extent that what is disclosed is relevant to the subject matter involved in a pending judicial or administrative proceeding.

d. Records may be disclosed in a proceeding before a court or adjudicative body to the extent that they are relevant and necessary to the proceeding.

e. Relevant records may be disclosed to respond to a Federal agency's request made in connection with the hiring or retention of an employee, the letting of a contract or issuance of a grant, license or other benefit by the requesting agency, but only to the extent that the information disclosed is relevant and necessary to the requesting agency's decision on the matter.

Disclosure to consumer reporting agencies:

None.

Storage:

Paper and Magnetic disk.

Name, telephone extension, number dialed.

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, role based access controls and audit trail. System securities are established in accordance with National Institute of Standards and Technology (NIST) guidelines, including network monitoring, defenses in-depth, incident response and forensics.

Paper. Reports, when issued, are disposed of as provided in National Archives and Records Administration General Records Schedule 12 - Destroy when 3 years old. Initial reports may be destroyed earlier if the information needed to identify abuse has been captured in other records.

Magnetic disk: Maintained for approximately 180 days and then overwritten, following NIST guidelines. When magnetic disk or other electronic media is no longer required or servicable, it is sanitized in accordance with NIST guidelines.

Director of Administration, U.S. Railroad Retirement Board, 844 North Rush Street, Chicago, Illinois 60611-2092.

Requests for information regarding an individual's record should be in writing addressed to the Systems Manager identified above, including the full name.

See Notification section above.

Telephone assignment records; computer software that captures telephone call information and permits query and reports generation.

None.

-50 Child Care Tuition Assistance Program.

U.S. Railroad Retirement Board, 844 North Rush Street, Chicago, Illinois 60611-2092.

None.

Current and former Railroad Retirement Board employees who voluntarily applied for child care tuition assistance, the employee's spouse, the employee's children and their child care providers.

Employee (parent) name, Social Security Number, pay grade, home and work numbers, addresses, total family income, spouse employment information, names of children on whose behalf the employee parent is applying for tuition assistance, each applicable child's date of birth, information on child care providers used (including name, address, provider license number and state where issued, tuition cost, and provided tax identification number), and copies of IRS Form 1040 and 1040A for verification purposes. Other records may include the child's social security number, weekly expense, pay statements, records relating to direct deposits, verification of qualification and administration for child care assistance.

Public Law 107-67, section 630 and E.O. 9397.

The purpose of the system is to determine eligibility for, and the amount of, the child care tuition assistance for lower income RRB employees.

a. Records may be disclosed in response to a request for discovery or for the appearance or a witness, to the extent that what is disclosed is relevant to the subject matter involved in a pending judicial or administrative proceeding.

b. Records may be disclosed in a proceeding before a court or adjudicative body to the extent that they are relevant and necessary to the proceeding.

c. Relevant records may be disclosed to respond to a Federal agency's request made in connection with the hiring or retention of an employee, the letting of a contract or issuance of a grant, license or other benefit by the requesting agency, but only to the extent that the information disclosed is relevant and necessary to the requesting agency's decision on the matter.

d. Relevant records may be disclosed to the Office of Personnel Management or the General Accountability Office when the information is required for evaluation of the subsidy program.

e. Relevant records may be disclosed to child care providers to verify a covered child's dates of attendance at the provider's facility.

Disclosure to consumer reporting agencies:

None.

Storage:

Paper, Magnetic tape and Magnetic disk.

Name, Social Security Number.

Paper: Maintained in areas not accessible to the public in locking filing cabinents until shipment to the Federal facility that is responsible for the Federal Employees Education and Assistance Fund (FEEA). Access is limited to authorizied Federal employees. Offices are locked during non-business hours. Building has 24 hour on-site security officers, closed circuit television monitoring and intrusion detection systems.

These records will be maintained permanently at FEEA until their official retention period is established by the National Archives and Records Administration (NARA).

Director of Human Resources, U.S. Railroad Retirement Board, 844 North Rush Street, Chicago, Illinois 60611-2092.

Requests for information regarding an individual's record should be in writing addressed to the Systems Manager identified above, including the full name and social security number of the individual. Before information about any record will be released, the System Manager may require the individual to provide proof of identity or require the requester to furnish an authorization from the individual to permit release of information.

See Notification section above.

Applications for child care tuition assistance submitted voluntarily by RRB employees; forms completed by child care providers.

None.

-51 Railroad Retirement Board's Customer PIN/Password (PPW) Master File System.

U.S. Railroad Retirement Board, 844 North Rush Street, Chicago, Illinois 60611-2092.

None.

All RRB customers (applicants, claimants, annuitants and other customers) who elect to conduct transactions with RRB in an electronic business environment that requires the PPW infrastructure, as well as those customers who elect to block PPW access to RRB electronic transactions by requesting RRB to disable their PPW capabilities.

The information includes identifying information such as the customer's name, Social Security number, personal identification number (PIN)) and mailing address. The system also maintains the customer's Password Request Code (PRC), the password itself, and the authorization level and associated data (e.g. effective date of authorization).

Sec. 2(b)(6) of the Railroad Retirement Act, 45 U.S.C. 231f(b)(6); and the Government Paperwork Elimination Act.

The purpose of this system is to enable RRB customers who wish to conduct business with the RRB to do so in a secure environment.

a. Records may be disclosed in response to a request for discovery or for the appearance of a witness, to the extent that what is disclosed is relevant to the subject matter involved in a pending judicial or administrative proceeding and provided that the disclosure would be clearly in the furtherance of the interest of the subject individual.

b. Records may be disclosed in a proceeding before a court or adjudicative body to the extent that they are relevant and necessary to the proceeding and provided that the disclosure would be clearly in the furtherance of the interest of the subject individual.

Disclosure to consumer reporting agencies:

None.

Storage:

Paper, and Magnetic disk.

Name and Social Security number.

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, role based access controls and audit trail. For electronic records, system securities are established in accordance with National Institute of Standards and Technology (NIST) guidelines, including network monitoring, defenses in-depth, incident response and forensics. In addition to the on-line query safeguards, they include encryption of all data transmitted and exclusive use of leased telephone lines.

These records will be maintained permanently until their official retention period is established by the National Archives and Records Administration (NARA).

Office of Programs--Director of Policy and Systems, U.S. Railroad Retirement Board, 844 North Rush Street, Chicago, Illinois 60611- 2092.

See Notification section above.

Data for the system are obtained primarily from the individuals to whom the record pertains.

None .

-52 Board Orders .

U.S. Railroad Retirement Board, 844 North Rush Street, Chicago, Illinois 60611-2092.

None

Appellants for benefits under the Railroad Retirement or Railroad Unemployment Insurance Acts

Appellant name, social security number, railroad retirement board claim number, address, date of birth, sex, medical records, marriage or relationship records, military service, creditable earnings and service months, benefit payment history, work history, citizenship and legal residency status, correspondence and inquiries, and appeals of adverse determinations.

Section 7(b)(6) of the Railroad Retirement Act of 1974 (45 U.S.C. 231f(b)(6); sec. 12(l) of the Railroad Unemployment Insurance Act (45 U.S.C. 362(l)).

Record decisions of The Board in benefit appeals cases.

b. Records may be disclosed in a court proceeding relating to any claims for benefits by the beneficiary under the Railroad Retirement Act and may be disclosed during the course of an administrative appeal to individuals who need the records to prosecute or decide the appeal or to individuals who are requested to provide information relative to an issue involved in the appeal.

Disclosure to consumer reporting agencies:

None.

Storage:

Paper, Magnetic tape and Magnetic disk.

Name, railroad retirement claim number, social security account number, board order number, docket number.

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, role based access controls and audit trail. System securities are established in accordance with National Institute of Standards and Technology (NIST) guidelines, including network monitoring, defenses in-depth, incident response and forensics.

No records from this system will be disposed of pending a record schedule determination by the National Archives and Records Administration (NARA).

Secretary of the Board, U.S. Railroad Retirement Board, 844 N. Rush Street, Chicago, Illinois 60611-2092

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.

See Notification section.

Applications for benefits and appeal of decisions.

None.

-53 Employee Medical and Eye Examination Reimbursement Program.

U.S. Railroad Retirement Board, 844 N. Rush Street, Chicago, IL 60611-2092

None

Any RRB employees that request co-payment reimbursement for either eye or physical examinations.

RRB employee name and medical documentation including receipts for the physical exam co-pay and payment of the eye examination. Records prior to October 1, 2009 also contain the employee Social Security Number.

Section 7(b)(6) of the Railroad Retirement Act of 1974 (45 U.S.C. 231f(b)(6)) and Section 12(l) of the Railroad Unemployment Insurance Act (45 U.S.C. 362(1)). Negotiated Labor Management Agreement between the U.S. Railroad Retirement Board and the Council of American Federation of Government Employees (AFGE), Locals in the Railroad Retirement Board.

To provide reimbursement for and maintain the records of the RRB’s physical and eye examination program. For purposes of adjudicating the claim and approving reimbursement of co-payment fees related to RRB employee physical and eye examinations.

Internal RRB Use

Disclosure to consumer reporting agencies:

None.

Storage:

Paper, Magnetic disk.

Full name. Social security account number (for records prior to October 1, 2009).

These records will be maintained permanently until their official retention period is established by the National Archives and Records Administration (NARA).

Employee Health Services, U.S. Railroad Retirement Board, 844 N. Rush Street, Chicago, Illinois 60611-2092

Requests for information regarding an individual's record should be in writing addressed to the System Manager identified above, including the full name 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.

See Notification section.

Employee reimbursement claim and proofs.

None.

-54 Virtual Private Network (VPN) Access Management.

U.S. Railroad Retirement Board, 844 N. Rush Street, Chicago, Illinois 60611-2092

None

RRB and other federal employees and contractors who are authorized to remotely access internal RRB information systems.

Name, home telephone number, work telephone number, authentication information, group name, source IP address, remote computer name, home address, software serial numbers, access levels.

Section 7(b)(6) of the Railroad Retirement Act of 1974 (45 U.S.C. 231f(b)(6)) and Section 12(l) of the Railroad Unemployment Insurance Act (45 U.S.C. 362(l)).

Manage employee and contractor remote access to internal RRB information systems for official business.

a. Records may be disclosed to another Federal agency or to a court when the government is party to a judicial proceeding before the court.

b. Records may be disclosed to a Federal agency, on request, in connection with the hiring and/or retention of an employee.

e. Records may be disclosed to the agency’s Office of Inspector General for any official investigation or review related to the programs and operations of the RRB.

f. Records may be disclosed to agency officials for any official investigation or review related to the programs and operations of the RRB.

Disclosure to consumer reporting agencies:

None.

Storage:

Paper, Magnetic tape and Magnetic disk.

Name, email address.

Records requiring special accountability (access request, authorization, and profiles) or for investigative purposes are retained and then destroyed six years after the VPN account is terminated or no longer needed for investigative or security purposes.

Routine system access and monitoring records are retained and then destroyed one year after creation, unless needed for investigative or security purposes.

Chief of Infrastructure Services, U.S. Railroad Retirement Board, 844 N. Rush Street, Chicago, Illinois 60611-2092

Requests for information regarding an individual's record should be in writing addressed to the System Manager identified above, including the full name and enrolled email address 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.

See Notification procedure above.

VPN access application Form G-68, and infrastructure profiles.

None.

-55 Contact Log.

U.S. Railroad Retirement Board, 844 North Rush Street, Chicago, Illinois 60611-2092

None.

Annuitants, their representatives and other recipients of railroad retirement, survivor, disability, Medicare and supplemental annuities payable under the Railroad Retirement Act (RRA) and individuals receiving or applying for unemployment or sickness insurance benefits payable under the Railroad Unemployment Insurance Act (RUIA).

The Railroad Retirement Board (RRB) claim number, social security number of the annuitant/claimant, annuitant’s name, contact name (if different from the annuitant), telephone number of the contact, name and office code of the RRB employee who submitted the contact, and the entered contact record.

Section 7(b)(6) of the Railroad Retirement Act (RRA) of 1974 (45 U.S.C. 231f(b)(6); and Section 12(l) of the Railroad Unemployment Insurance Act (RUIA) (45 U.S.C. 362(1))

The Contact Log records, maintains and displays RRA and RUIA activities associated with customer initiated contacts with the RRB.

a. Disclosure of information concerning the annuitant/claimant may be made to the representative payee on the record for the annuitant.

b. Beneficiary identifying information may be disclosed to third party contacts to determine whether the beneficiary or potential beneficiary is capable of understanding and managing their benefit payments in their own best interest and to determine the suitability of a proposed representative payee.

c. Records may be disclosed in response to a request for discovery or for the appearance of a witness, to the extent what is disclosed is relevant to the subject matter involved in a pending judicial or administrative proceeding and provided the disclosure would be clearly in the furtherance of the interest of the subject individual.

d. Records may be disclosed in a proceeding before a court or adjudicative body to the extent they are relevant and necessary to the proceeding and provided the disclosure would be clearly in the furtherance of the interest of the subject individual.

e. Disclosure of records concerning the annuitant/claimant may be made to the attorney representing the annuitant/claimant, upon receipt of a written letter or declaration of representation.

f. Records may be disclosed to the annuitant/claimant’s railroad union representative(s) to the extent what is disclosed is relevant to the subject matter involved in the union issue or proceeding and provided the disclosure would be clearly in the furtherance of the interest of the subject individual.

Disclosure to consumer reporting agencies:

None.

Storage:

Magnetic tape and Magnetic disk.

RRB claim number or social security account number.

These records will be maintained permanently until their official retention period is established by the National Archives and Records Administration (NARA).

Office of Programs—Director of Policy and Systems, U.S. Railroad Retirement Board, 844 North Rush Street, Chicago, Illinois 60611-2092.

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. Before information about any record is released, the System Manager will require the individual to provide proof of identity or require the requester to furnish an authorization from the individual to permit release of information.

See Notification section above.

Contact Log information is obtained from members of the public who contacted the RRB and to whom the record pertains.

None.

-56 Employee Service and Railroad Employer Coverage Determination Files.

U.S. Railroad Retirement Board, 844 N. Rush Street, Chicago, Illinois 60611-2092

None

Railroad employees; individuals claiming railroad service; entities being considered as covered employers.

Individuals: Name, address, social security number, employment history.

Employers: Name, Bureau of Accounts (B.A.) number, incorporation date, corporate structure, number of employees, services provided.

Section 7(b)(6) of the Railroad Retirement Act of 1974 (45 U.S.C. 231f(b)(6)); section 12(l) of the Railroad Retirement Unemployment Insurance Act (45 U.S.C. 362(l)); 20 CFR 259.

Records in this system or records are maintained to (1) record Board decisions as to who is an eligible employee of a covered entity for the purposes of benefit entitlement and (2) to record determinations as to who is an employer under the Railroad Retirement Act, for the purpose of a) crediting compensation and service months to employees for the purpose of benefits entitlement and b) assessment of appropriate taxes.

a. 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 current or former employer to verify entitlement for benefits under the Railroad Retirement Act.

b. Certain identifying information about annuitants, such as name, social security number, RRB claim number, as well as address, year and month last worked for a railroad, last railroad occupation, identity of last railroad employer, and total months of railroad service may be furnished to railroad employers for purpose of determining whether annuitant has performed employee service for that employer, and therefore is entitled to benefits under the Railroad Retirement Act.

c. Certain information about annuitants such as year and month last worked for a railroad, the name(s) of railroad employer(s) the annuitant worked for, last railroad occupation, and total months of railroad service may be furnished to bonafide genealogical requests.

d. Board determinations regarding employer status are furnished to the Internal Revenue Service (IRS) as the administrator of the Railroad Retirement Tax Act (RRTA).

Disclosure to consumer reporting agencies:

None.

Storage:

Paper, Magnetic tape and Magnetic disk.

Name, email address.

Paper: For employee service records: Maintained for 90 days after imaging is completed, then destroyed. For employer coverage records: Maintained for 10 years after coverage is terminated, then destroyed in accordance with NIST guidelines.

Magnetic tape: Magnetic tape records are used to daily update the disk file, are retained for 90 days and then written over following NIST guidelines. For disaster recovery purposes certain tapes are stored 12-18 months.

Magnetic disk: Continually updated and permanently retained. When magnetic disk or other electronic media is no longer servicable, it is sanitized in accordance with NIST guidelines.

Office of the General Counsel, U.S. Railroad Retirement Board, 844 North Rush Street, Chicago, Illinois, 60611-2092

Requests for information regarding an individual's records should be in writing, including the full name, social security number and railroad retirement claim number(if any) of the individual. Before information about any records will be released, the individual may be required to provide proof of identity, or authorization from the individual to permit release of information. Requests should be sent to the Office of the General Counsel, U.S. Railroad Retirement Board, 844 North Rush Street, Chicago, Illinois 60611-2092.

Requests for information regarding a railroad employer's records should be in writing, including the full corporate name, address, B.A. number(if any) of the company. Requests should be sent to the Office of the General Counsel, U.S. Railroad Retirement Board, 844 North Rush Street, Chicago, Illinois 60611-2092.

See Notification procedure above.

Individual applicants or their representatives, railroad and other employers.

None.

-57 Employee Emergency Notification System.

U.S. Railroad Retirement Board, 844 Rush Street, Chicago, Illinois 60611

None.

RRB Employees and Contractors.

The emergency notification system will contain both public and personal contact information for RRB employees and contractors.

PUBLIC INFORMATION STORED IN THIS SYSTEM INCLUDES:

a. Employee name and organizational unit; Contractor name and organization.

PERSONAL INFORMATION STORED IN THIS SYSTEM MAY INCLUDE:

a. Work telephone, cellular, fax number(s) and email address(es)

b. Identifying technical information for work issued Personal Digital Assistants (PDAs), cellular telephones, or other electronic devices, such as Serial Numbers, Electronic Serial Numbers, etc.

c. Home telephone, cellular number(s), personal email address(es) and Zip code of residence.

a. 5 U.S.C. 301, Department Regulations.

b. Executive Order (EO) 12656, Assignment of emergency preparedness responsibilities, November 18, 1988.

c. Homeland Security Presidential Directive (HSPD) - 20, National Continuity Policy, May 9, 2007

The purpose of this system of records is to maintain emergency contact information for employees and select contractors of the U.S. Railroad Retirement Board (RRB). The system provides for multiple communication device notification via telephonic, fax, text and electronic mail message delivery to registered RRB personnel in response to threat alerts issued by the Department of Homeland Security, activation of the Continuity of Operations Plan (COOP), weather related emergencies or other critical situations that may disrupt the operations and accessibility of the agency. The system also provides for the receipt of real-time message acknowledgements and related management reports.

In addition to the conditions of disclosure listed in 5 U.S.C. 552a(b) of the Privacy Act and the RRB’s Standard Disclosures, the RRB may release these records to any Federal government authority for the purpose of coordinating and reviewing agency continuity of operations plans or emergency contingency plans developed for responding to Department of Homeland Security threat alerts, weather related emergencies or other critical situations.

Disclosure to consumer reporting agencies:

None.

Storage:

Paper, magnetic tape, magnetic disk.

Name, Organizational Unit, Telephone, Fax or Cellular number, serial or electronic serial number or other unique identifier (work issued devices only), E-mail address, or Residence Zip Code.

1. Paper: Maintained in areas not accessible to the public in metal filing cabinets at the RRB. Access is limited to authorized RRB employees. Records are stored in an office that has electronic access controlled doors. Building has 24 hour on-site security officers, closed circuit television monitoring and intrusion detection systems.

2. Magnetic tape and disks: Located at off-site commercial vendor data center. Computer and computer storage rooms are restricted to authorized personnel, have electronic access controlled doors. On-line query safeguards include a lock/unlock password system, a terminal oriented transaction matrix, role based access controls and audit trail. For electronic records, system securities are established in accordance with National Institute of Standards and Technology (NIST) guidelines, including network monitoring, defenses in-depth, incident response and forensics. In addition to the on-line query safeguards, they include encryption of data both at rest and in-transit.

1. Emergency Contract Information.

a. General. Records are maintained as long as the employee or contractor is working for or on the behalf of the RRB.

b. Paper Records. Destroy 90 days after the date entered into the system or after completion of the quality assurance process, whichever is later.

c. Electronic Records. Destroy within 90 days after the employee/contractor ceases employment/contract with the RRB.

2. Operational Data.

a. Actual messages, results and data. Cut off at end of fiscal year, destroyed at the end of the following fiscal year.

b. Test messages, results and data. Cut off at end of fiscal year, destroyed at the end of the following fiscal year.

3. Reports. Retained and disposal in accordance with National Archives and Records Administration (NARA), General Record Schedule (GRS), items 12 (Downloaded and derived data) and 16 (Hard copy print outs).

Office of Administration, U.S. Railroad Retirement Board, 844 North Rush Street, Chicago, Illinois, 60611-2092

See Notification section above.

RRB employees or supporting contractors.

No exemption is claimed for public information listed in this system of records.

Personal information listed in this system of records is exempted from disclosure to third parties under the Freedom of Information Act (FOIA) under the 5 U.S.C. 552a(b)(6), Personal Privacy rule. Additionally, personal information of law enforcement employees is protected from disclosure under 5 U.S.C. 552a(b)(7)C, Law Enforcement Records rule.

-58 Employee Tuition Assistance Program (TAP).

U.S. Railroad Retirement Board, 844 Rush Street, Chicago, Illinois 60611

None.

RRB Employees.

Employee name, grade, job title, business unit, course title, school name, class dates, number of hours per week, cost of tuition, estimated cost of textbooks/fees and claim tracking information (dates and amount paid).

a. 5 U.S.C. 4101 to 4118, Government Employees Training Act.

b. 5 CFR part 410, Office of Personnel Management-Training.

c. Executive Order 11348, Providing for the further training of Government employees, April 20, 1967.

d. Executive Order 12107, Relating to the Civil Service Commission and labor management in the Federal Service, January 1, 1979.

The purpose of this system of records is to maintain employee Tuition Assistance Program (TAP) training history, to forecast future training needs and for audit and budgetary records and projections.

In addition to the conditions of disclosure listed in 5U.S.C. 552a(b) of the Privacy Act and the RRB's Standard Disclosures, the RRB may release these records to:

a. Federal agencies for screening and selecting candidates for training or developmental programs sponsored by the agency.

b. Federal oversight agencies for investigating, reviewing, resolving, negotiating, settling, or hearing complaints, grievances, or other matters under their authority.

Disclosure to consumer reporting agencies:

None.

Storage:

Paper, magnetic tape, magnetic disk.

Employee name, grade, job title, business unit and claim tracking information (dates and amount paid).

2. Magnetic tape and disks: Computer and computer storage rooms are restricted to authorized personnel, have electronic access controlled doors. On-line query safeguards include a lock/unlock password system, a terminal oriented transaction matrix, role based access controls and audit trail. For electronic records, system securities are established in accordance with National Institute of Standards and Technology (NIST) guidelines, including network monitoring, defenses in-depth, incident response and forensics.

Retained and disposal in accordance with National Archives and Records Administration (NARA), General Record Schedule, GRS-1, Item #29, Employee Training Records, Destroy when 5 years old or when superseded or obsolete, whichever is sooner.

Director of Human Resources, Office of Administration, U.S. Railroad Retirement Board, 844 North Rush Street, Chicago, Illinois, 60611-2092.

See Notification section above.

RRB employees.

None.

-59 Electronic Information Systems Activity and Access Records.

U.S. Railroad Retirement Board, 844 Rush Street, Chicago, Illinois 60611

Controlled Unclassified Information (CUI).

Individuals (authorized or unauthorized) who attempt to or access RRB electronic information systems (stand-alone or network based). This includes individuals who send or receive electronic communications, access the internet/intranet, system databases, files or applications or pass electronic traffic through our network infrastructure, to include remote access.

Records in this system of records may include:

1. Electronic logs or reports from:

a. End user information systems,

b. Network servers or mainframe computer,

c. Network infrastructure devices,

d. Network security and management devices, and

e. Information systems performing contracted services for the agency.

2. Specific data collected may include information about the source, destination or intermediate connections that may contain:

a. Internet Protocol (IP) address,

b. Uniform Resource Locator (URL),

c. Date/Time of attempted or actual log-on,

d. Date/Time of log-off,

e. Duration of connection,

f. Size (amount) and type of data transferred,

g. Keyword(s) used in internet related searches,

h. Information system name,

i. Information system Media Access Control (MAC) address,

j. Electronic mail addresses and subject,

k. Files/Applications accessed,

l. User logon name and passwords, or password hashes, titles, or agency, or

m. Any other information that is necessary for information systems to connect, authenticate and transfer data.

3. Network security and management devices may capture additional information that is required for them to perform their mission to include complete network monitoring.

4. RRB information system logs generally do not contain personally identifiable information (PII), however incidental collection is possible during system monitoring or other official government purposes.

5. It is possible that during the course of official government business purposes, investigations or monitoring that an individual's name may be associated with an information system or its IP address.

a. 5 U.S.C. 302, Delegation of Authority to Federal Agencies,

b. 44 U.S.C. 3544, Federal Agency Responsibilities, and

c. 45 U.S.C. 231f(b)(6) and 45 U.S.C. 362(l), Duties and Powers of the Railroad Retirement Board

Information in this system of records may be used by any authorized staff member, in the performance of their official duties to assist in the planning, management, troubleshooting, security and investigations of our Federal information systems and supporting network.

Authorized managers or system security staff may use these records to assist them to investigate any potential or actual inappropriate use or any other improper activity by an employee, contractor, or other individual with our information systems. This information may be used to initiate disciplinary, administrative, or civil action. If investigation of the records appears to indicate a violation or potential violation of law, those and any supporting records may be referred to appropriate law enforcement officials for criminal investigation and possible prosecution.

In addition to the conditions of disclosure listed in 5 U.S.C. 552a(b) of the Privacy Act and the RRB's Standard Disclosures, the RRB may release these records:

a. To provide information to any authorized person(s) to assist in any official investigation involving the unauthorized, or inappropriate use of any RRB information system(s);

b. To an actual or potential party or his or her representative for the purpose of negotiation or discussion of such matters as settlement of the case or matter, or informal discovery proceedings;

c. To any Federal, State, local, or tribal law enforcement agency if information in this system of records may indicate a potential or actual violation of statute, regulation, rule or order issued by their respective governmental agency, and

d. To other government agencies where required by law.

Disclosure to consumer reporting agencies:

None.

Storage:

Magnetic disk, magnetic tape, optical or paper media as necessary for official business.

Records can typically be retrieved by any of the data elements below:

a. Internet Protocol (IP) address,

b. Uniform Resource Locator (URL),

c. Date/Time of attempted or actual log-on,

d. Date/Time of log-off,

e. Duration of connection,

f. Size (amount) of data transferred,

g. Keywords used in internet related searches,

h. Information system name,

i. Information system Media Access Control (MAC) address,

j. Electronic mail addresses and subject,

k. Files/Applications accessed,

l. User logon name and passwords, or password hashes, titles, or agency.

We do not typically connect any of the above data with a specific person; however, in some instances conducting official governmental business, a person's name may be connected to any of these data elements.

Paper or Optical Media: Maintained in areas not accessible to the public in locking filing cabinets at the RRB. Access is limited to authorized RRB employees. Information that is related to an investigation is secured inside locking safes. Building has 24 hour on-site security officers, closed circuit television monitoring and intrusion detection systems.

Magnetic tape and disks: Computer and computer storage rooms are restricted to authorized personnel and have electronic access controlled doors. On-line query safeguards include a lock/unlock password system, a terminal oriented transaction matrix, role based access controls and audit trail. For electronic records, system securities are established in accordance with National Institute of Standards and Technology (NIST) guidelines, including network monitoring, defenses in-depth, incident response and forensics.

a. General System/Log Files:

Delete/destroy when one year old or when no longer needed for administrative, legal, audit or other operational purposes.

b. Investigative Files:

(1) Computer Security Incident Handling, Reporting, Follow-up Records, and Investigative Documents. Destroy/delete three years after after all follow up actions are completed.

(2) RRB Criminal Investigations. Maintained by RRB Office of Inspector General (Investigations). RRB Records Disposition Schedule 17, Item # 17-3: Place in inactive files when case is closed. Cutoff inactive files at end of the fiscal year. Destroy 10 years after cutoff.

(3) Other Criminal Investigations. Maintained in accordance with that Law Enforcement Agencies schedule.

Chief of Information Resources Management, Bureau of Information Services, U.S. Railroad Retirement Board, 844 North Rush Street, Chicago, Illinois, 60611-2092.

To the extent permitted under the Privacy Act of 1974, (5 U.S.C. 552a) this system of records is exempted from access, notification and correction provisions. The exemption claimed is 5 U.S.C. 552a(k)(2), investigatory material compiled for law enforcement purposes. Additionally, law enforcement investigative material falls under RRB Privacy Act Systems of Records RRB-43 and is generally exempt from release under the reasons stated in that notice.

Information in this Privacy Act System of Records is generally not releasable under a Freedom of Information Act (FOIA), 5 U.S.C. 552 exemptions: (b)(2) Risk of Circumvention, (b)(6) Personal Privacy, or (b)(7) Law Enforcement.

Individuals (authorized or unauthorized) attempting to access an RRB information system are provided a warning notification that this is an official U.S. Government information system and that they have no expectation of privacy, the system may be monitored and that records of their activity may be used for adverse administrative, civil or criminal action. The individual must acknowledge and accept these conditions via a warning banner when they attempt to log onto the network. Individuals who circumvent or are not provided a log-on banner for whatever reason, are still subject to these provisions.

See Notification section above.

Most records are automatically generated electronically by RRB information systems, or by management officials during the course of official business.

Yes, this is an exempted system. See notification procedures above.

-60

RRB-60, Religious and Reasonable Accommodation Records.

Controlled Unclassified Information (CUI).

U.S. Railroad Retirement Board, 844 Rush Street, Chicago, Illinois 60611

Director of Human Resources, Office of Administration, U.S. Railroad Retirement Board, 844 North Rush Street, Chicago, Illinois, 60611-2092.

a. 45 U.S.C. 231f(b)(9), Railroad Retirement Board Powers and Duties,

b. 29 U.S.C. 791, The Rehabilitation Act of 1973,

c. 42 U.S.C. 2000e et seq., Title VII of the Civil Rights Act of 1964,

d. 29 CFR 1605, Guidelines on Discrimination Because of Religion,

e. 29 CFR 1614, Federal Sector Equal Employment Opportunity,

f. Executive Order 13164, Requiring Federal Agencies to Establish

Procedures to Facilitate the Provision of Reasonable Accommodation,

g. Executive Order 13548, Increasing Federal Employment of Individuals with Disabilities.

The purpose of this system is to: (1) Allow RRB to collect and maintain records on prospective and active (as of the date of the request) employees who request or receive a reasonable accommodation by RRB based on a disabling medical condition; (2) allow RRB to collect and maintain records on prospective, and active (as of the date of the request) employees who request or receive an accommodation by RRB based on sincerely held religious beliefs, practices, or observances; (3) track and report the processing of requests for RRB in accordance with and to comply with applicable laws and regulations; and (4) preserve and maintain the confidentiality of medical and religious information submitted by or on behalf of applicants or employees requesting a reasonable accommodation.

Prospective, and active (at time of request), Railroad Retirement Board (RRB) employees who request, receive and/or are denied a reasonable accommodation for a disabling medical condition or a sincerely held religious belief, practice, or observance.

Name and relevant employment information of prospective or active (at time of request) employees needing an accommodation; requestor's name and contact information (if different than the employee who requested the accommodation); date request was initiated; information concerning the nature of the disability and the need for accommodation, including administratively acceptable documentation; information concerning the nature of the sincerely held religious belief, practice, or observance; why the accommodation is needed/justification for the requested accommodation, including any appropriate documentation; details of the accommodation request, such as: type of accommodation requested; requested accommodation; how the requested accommodation would ensure the essential functions of the position would be performed; any additional information provided by the requestor related to the processing of the request; any documentation created as a result of the interactive process; any alternative accommodations; whether the request was approved (in whole or in part), modified or denied; whether the accommodation was approved for a set period of time; notification(s) to the employee and his/her supervisor(s) regarding the status and result of the requested accommodation; and, any other information collected or developed in connection with the request for a reasonable accomodation.

RRB employees.

In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, all or a portion of the records or, information contained in this system may be disclosed to authorized entities, as is determined to be relevant and necessary, outside the RRB as a routine use pursuant to 5 U.S.C. 552a(b)(3) as follows:

Standard Disclosure 1.—Congressional. 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 if that individual would not be denied access to the information.

Standard Disclosure 2.—Presidential. Disclosure of relevant information from the record of an individual may be made to the Office of the President in response to an inquiry from that office made at the request of that individual or a third party on the individual’s behalf if that individual would not be denied access to the information.

Standard Disclosure 3.—Contractors working for Federal Government. Disclosure may be made to contractors, grantees, experts, consultants, students, and others performing or working on a contract, service, grant, cooperative agreement, or other assignment for the Federal government, to the extent necessary to accomplish an RRB function related to this system of records.

Standard Disclosure 4.—Law Enforcement. Disclosure may be made to the appropriate agency, whether Federal, State, local, or foreign, charged with the responsibility of investigating, enforcing, or prosecuting 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, or charged with enforcing or implementing the statute, rule, regulation, or order issued pursuant thereto, if the disclosure would be to an agency engaged in functions related to the Railroad Retirement Act or the Railroad Unemployment Insurance Act, or if disclosure would be clearly in the furtherance of the interest of the subject individual.

Standard Disclosure 5.—Breach Notification. Disclosure may be made, to appropriate agencies, entities, and persons when (1) the Railroad Retirement Board suspects or has confirmed that the security or confidentiality of information in the system of records has been compromised; (2) the Railroad Retirement Board has determined that as a result of the suspected or confirmed compromise there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this system or other systems or programs (whether maintained by the Railroad Retirement Board or another agency or entity) that rely upon the compromised information; and (3) the disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with the Railroad Retirement Board’s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.

To another Federal agency or Federal entity, when the RRB determines that information from this system of records is reasonably necessary to assist the recipient agency or entity in (1) responding to a suspected or confirmed breach or (2) preventing, minimizing, or remedying the risk of harm to individuals, the recipient agency, or entity (including its information systems, programs, and operations), the Federal Government, or national security, resulting from a suspected or confirmed breach.

Standard Disclosure 6.—National Archives. Disclosure may be made to the National Archives and Records Administration or other Federal government agencies for records management inspections being conducted under the authority of 44 U.S.C. 2904 and 2906.

Standard Disclosure 7.—Attorney Representative. Disclosure of non-medical information in this system of records may be made to the attorney representing such individual upon receipt of a written letter or declaration stating the fact of representation, if that individual would not be denied access to the information. Medical information may be released to an attorney when such records are requested for the purpose of contesting a determination either administratively or judicially.

In addition to the conditions of disclosure listed in 5 U.S.C.§552a(b) of the Privacy Act and the RRB's Standard Disclosures (above), the RRB may release these records:

a. Records may be disclosed to the Department of Justice, including Offices of the U.S. Attorneys; another Federal agency conducting litigation or in proceedings before any court, adjudicative, or administrative body; another party in litigation before a court, adjudicative, or administrative body; or to a court, adjudicative, or administrative body. Such disclosure is permitted only when it is relevant or necessary to the litigation or proceeding, and one of the following is a party to the litigation or has an interest in such litigation:

(1) RRB, or any component thereof;

(2) Any employee or former employee of RRB in his or her official capacity;

(3) Any employee or former employee of RRB in his or her capacity where the Department of Justice or RRB has agreed to represent the employee.

b. Records may be disclosed in response to a request for discovery or for the appearance or a witness, to the extent that what is disclosed is relevant to the subject matter involved in a pending judicial or administrative proceeding.

c. Relevant records from this system of records may be disclosed to an agency, organization, or individual for the purpose of performing an audit or oversight operations as authorized by law, but only such information as is necessary and relevant to such audit or oversight function when necessary to accomplish an agency function related to this system of records. Individuals provided information under this routine use are subject to the same Privacy Act requirements and limitations on disclosure as are applicable to RRB officers and employees.

d. Relevant records from this system of records may be disclosed to physicians or other medical professionals to provide them with or obtain from them the necessary medical documentation and/or certification for reasonable accommodations.

e. Relevant records from this system of records may be disclosed to another federal agency or commission with responsibility for labor or employment relations or other issues, including equal employment opportunity and reasonable accommodation issues, when that agency or commission has jurisdiction over reasonable accommodation issues.

f. Relevant records from this system of records may be disclosed to the Department of Labor (DOL), Office of Personnel Management (OPM), Equal Employment Opportunity Commission (EEOC), or Office of Special Counsel (OSC) to obtain advice regarding statutory, regulatory, policy, and other requirements related to reasonable accommodation.

g. Relevant records from this system of records may be disclosed to appropriate third-parties contracted by the Agency to facilitate mediation or other alternative dispute resolution procedures or programs. h. Relevant records from this system of records may be disclosed to a Federal agency or entity authorized to procure assistive technologies and services in response to a request for reasonable accommodation.

STORAGE:

Paper and electronic media.

Records can typically be retrieved by any of the data elements below:

a. Name or other unique personal identifiers

Paper: Maintained in areas not accessible to the public in locking filing cabinets. Access is limited to authorized RRB employees. The Bureau of Human Resources is controlled by key card locked doors. Building has 24 hour on-site security officers, closed circuit television monitoring and intrusion detection systems.

Electronic media: Computer, computer storage rooms and Cloud storage are restricted to authorized personnel; on-line query safeguards include a lock/unlock password system, a terminal oriented transaction matrix, role based access controls and audit trail. For computerized records electronically transmitted between headquarters and field office locations, system securities are established in accordance with National Institute of Standards and Technology (NIST) guidelines, including network monitoring, defenses in-depth, incident response and forensics. In addition to the on-line query safeguards, they include encryption of all data at rest and when transmitted and exclusive use of leased telephone lines.

Retained and disposal in accordance with National Archives and Records Administration (NARA), General Record Schedules, or RRB Records Disposition Schedules:

a. Paper: These records will be maintained permanently at RRB until their official retention period is established by the National Archives and Records Administration (NARA).

b. Electronic media: Storage drives and Cloud storage: Continually updated and permanently retained. When storage drives and Cloud storage or other electronic media are no longer serviceable, they are sanitized in accordance with NIST guidelines.

See Notification section below.

None.

Offices of the U.S. Railroad Retirement Board

(refer to http://www.rrb.gov/field/field.asp for the most current addresses):

Headquarters: 844 North Rush Street, Chicago, IL 60611-2092

Office of Legislative Affairs: 1310 G Street Northwest, Suite 500, Washington, D.C. 20005-3004

District Offices

Alabama

Medical Forum Bldg., 950 22nd Street North, Room 426, Birmingham, AL 35203-1134

Arizona

Fiesta Square, 1220 South Alma School Road, Mesa, AZ 85210-2098

Arkansas

1200 Cherry Brook Drive, Suite 500, Little Rock, AR 72211-4122

California

858 South Oak Park Road, Suite 102, Covina, California 91724-3674

Oakland Federal Building, 1301 Clay Street, Suite 110S, Oakland, CA 94612-5215

910 Cirby Way, Suite 100, Roseville, CA 95661-4420

Colorado

721 19th Street, Room 177, Post Office Box 8869, Denver, CO 80201-8869

Florida

550 Water Street, Suite 220, Jacksonville, FL 32202-4411

Timberlake Federal Building, 500 East Zack Street, Suite 300, Tampa, FL 33602-3918

Georgia

Peachtree Summit Building, 401 West Peachtree Street, Room 1702, Atlanta, GA 30308-3519

Illinois

844 North Rush Street, Room 901, Chicago, IL 60611-2092

Millikin Court, 132 South Water Street, Suite 517, Decatur, IL 62523-1077

63 West Jefferson Street, Suite 102, Joliet, IL 60434-4337

Indiana

The Meridian Centre, 50 South Meridian Street, Suite 303, Indianapolis, IN 46204-3538

Iowa

Federal Building, 210 Walnut Street, Room 921, Des Moines, IA 50309-2116

Kansas

Cambridge Plaza Suite, 2020 North Webb Road, Suite 104, Wichita, KS 67206-3408

Kentucky

Theatre Building, 629 South 4th Street, Suite 301, Louisville, KY 40202-2461

Louisiana

Hale Boggs Federal Building, 500 Poydras Street, Suite 1045, New Orleans, LA 70130-3399

Maryland

George H. Fallon Building, 31 Hopkins Plaza, Suite 820, Baltimore, MD 21201-2896

Massachusetts

408 Atlantic Avenue, Room 441, Boston, MA 02110-3349

Michigan

McNamara Federal Building, 477 Michigan Avenue, Room 1199, Detroit, MI 48226-2596

Minnesota

Federal Building, 515 West First Street, Suite 125, Duluth, MN 55802-1399

180 East 5th Street, Suite 195, St. Paul, MN 55101-1640

Missouri

601 East 12th Street, Room G47, Kansas City, MO 64106-2818

Young Federal Building, 1222 Spruce Street, Room 7.303, St. Louis, MO 63103-2846

Montana

Judge Jameson Federal Building, 2900 Fourth Avenue North, Room 101, Billings, MT 59101-1266

Nebraska

1299 Farnam Street, Suite 200, Omaha, NE 68101-0815

New Jersey

20 Washington Place, Room 516, Newark, NJ 07102-3127

New Mexico

421 Gold SW, Suite 304, PO Box 334, Albuquerque, NM 87103-0334

New York

Leo O‘Brien Federal Building, 11A Clinton Avenue, Suite 264, , Albany, NY 12207-2382

186 Exchange Street, Suite 110, Buffalo, NY 14204-2085

1400 Old Country Road, Suite 202, Westbury, New York 11590-5119

Federal Building, 26 Federal Plaza, Suite 3404, New York, NY 10278-3499

North Carolina

Quorum Business Park, 7508 East Independence Boulevard, Suite 120 Charlotte, NC 28227-9409

North Dakota

U.S. Post Office Building, 657 Second Avenue North, Room 312, Fargo, ND 58102-4727

Ohio

525 Vine Street, Suite 1940, Cincinnati, OH 45202-3125

Celebrezze Federal Building, 1240 East 9th Street, Room 907, Cleveland, OH 44199-2001

Oregon

620 SW Main Street, Suite 112, Portland, OR 97205-3025

Pennsylvania

1514 11th Avenue, Post Office Box 990, Altoona, PA 16603-0990

Federal Building, 228 Walnut Street, Room 576, Box 11697, Harrisburg, PA 17108-1697

Nix Federal Building, 900 Market Street, Suite 301, Philadelphia, PA 19107-4293

Moorhead Federal Building, 1000 Liberty Avenue, Room 1511, Pittsburgh, PA 15222-4107

Siniawa Plaza II, 717 Scranton Carbondale Highway, Scranton, PA 18508-1121

Tennessee

233 Cumberland Bend, Suite 104, Nashville, TN 37228-1806

Texas

819 Taylor Street, Room 10G02, Post Office Box 17420, Fort Worth, TX 76102-0420

Leland Federal Building, 1919 Smith Street, Suite 845, Houston, TX 77002-8098

Utah

125 South State Street, Room 1205, Salt Lake City, UT 84138-1137

Virginia

400 North 8th Street, Suite 470, Richmond, VA 23219-4819

First Campbell Square, 210 First Street Southwest, Suite 110, Post Office Box 270, Roanoke, VA 24002-0270

Washington

Pacific First Plaza, 155 108th Avenue Northeast, Suite 201, Bellevue, WA 98004-5901

U.S. Court House, W 920 Riverside Avenue, Room 492B, Spokane, WA 99201-1008

West Virginia

New Federal Building, 640 4th Avenue, Room 145, Post Office Box 2153, Huntington, WV 25721-2153

Wisconsin

Reuss Plaza, 310 West Wisconsin Avenue, Suite 1168, Milwaukee, Wisconsin 53203-2213.

Employees' Benefits Railroad Retirement Board GENERAL ADMINISTRATION

Sec.

200.5 Protection of privacy of records maintained on individuals.

Authority: 45 U.S.C. 231f(b)(5) and 45 U.S.C. 362; § 200.4 also issued under 5 U.S.C. 552; § 200.5 also issued under 5 U.S.C. 552a; § 200.6 also issued under 5 U.S.C. 552b; and § 200.7 also issued under 31 U.S.C. 3717.

§ 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 to 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)(i), (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 medical 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 U.S. 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 U.S. 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 (h)(1) of this section, except those made under paragraphs (h)(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 (h)(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 (h)(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 $.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.

[41 FR 20580, May 19, 1976, as amended at 43 FR 17468, Apr. 25, 1978; 50 FR 27222, July 2, 1985. Redesignated at 52 FR 11010, Apr. 6, 1987, as amended at 53 FR 3198, Feb. 4, 1988; 54 FR 43055, Oct. 20, 1989]