64266 Federal Register / Vol. 65, No. 208 / Thursday, October 26, 2000 / Notices

and for securing the information needed

to support the application follow. RRB

Form AA–5, Application for

Substitution of Payee, obtains

information needed to determine the

selection of a representative payee who

will serve in the best interest of the

beneficiary. RRB Form G–478,

Statement Regarding Patient’s

Capability to Manage Payments, obtains

information about an annuitant’s

capability to manage payments. The

form is completed by the annuitant’s

personal physician or by a medical

officer, if the annuitant is in an

institution. It is not required when a

court has appointed an individual or

institution to manage the annuitant’s

funds or, in the absence of such

appointment, when the annuitant is a

minor. The RRB also provides

representative payees with a booklet at

the time of their appointment. The

booklet, RRB Form RB–5, Your Duties as

Representative Payee-Representative

Payee’s Record, advises representative

payees of their responsibilities under 20

CFR 266.9 and provides a means for the

representative payee to maintain records

pertaining to the receipt and use of RRB

benefits. The booklet is provided for the

representative payee’s convenience. The

RRB also accepts records that were kept

by representative payee’s as part of a

common business practice.

Completion is voluntary. One

response is requested of each

respondent. The RRB is proposing nonburden impacting editorial changes to

Forms AA–5 and G–478. No other

changes are proposed. The estimated

completion time is estimated at 17

minutes for FORM AA–5, 6 minutes for

Form G–478 and 60 minutes for Booklet

RB–5. The RRB estimates that

approximately 3,000 Form AA–5’s 2,000

Form G–478’s and 15,300 RB–5’s are

completed annually.

The renewal of this information

collection will continue the RRB’s

initiative to consolidate information

collections by major functional areas.

The purpose of the initiative is to bring

related collection instruments together

in one collection, better manage the

instruments, and prepare for the

electronic collection of this information.

(A collection instrument can be an

individual form, electronic collection,

interview, or any other method that

collects specific information from the

public.)

As part of the OMB renewal process,

the RRB also proposes that this

collection (OMB 3220–0052),

Application to Act as Representative

Payee, be renamed Continuing RRA

Entitlement. Upon approval by OMB,

the RRB intends to merge the following

OMB approved-related collection into

this collection by the expected

expiration date(s).

OMB collection No. Title RRB forms

Expected

expiration

date

3220–0107 ... Request to Non-Railroad Employer for Information About Annuitant’s Work and Earnings ............. RL–231–F 1/31/2003

3220–0145 ... Non-Resident Questionnaire .............................................................................................................. RRB–1001 6/30/2003

3220–0149 ... Withholding Certificate for Railroad Retirement Monthly Annuity Payments ..................................... RRB–W–4P 5/31/2001

3220–0151 ... Representative Payee Monitoring ...................................................................................................... G–99A, G–

99C

7/31/2001

3220–0169 ... Repayment of Debt ............................................................................................................................. G–421F 6/30/2003

3220–0176 ... Representative Payee Parental Custody Monitoring ......................................................................... G–19D 5/31/2002

3220–0178 ... Aged Monitoring Questionnaire .......................................................................................................... G–19C 7/31/2002

3220–0179 ... Annual Earnings Questionnaire for Annuitants in Last Pre-Retirement Non-Railroad Employment G–19L 8/31/2002

3220–0183 ... Statement of Claimant or Other Person ............................................................................................. G–93 9/30/2003

3220–0184 ... Earnings Information Request ............................................................................................................ G–19–F 7/31/2001

Revisions to existing collection

instruments and, occasionally, a new

instrument related to this program

function may be required during the

three-year cycle of this information

collection.

The RRB currently estimates the

completion time for Form RL–231–F,

Request to Non-Railroad Employer For

information About Annuitant’s Work

and Earnings, at 30 minutes; Form RRB–

1001, Nonresident Questionnaire, at 3 to

5 minutes; Form RRB–W–4P,

Withholding Certificate for Railroad

Retirement Payments at 109 minutes;

Form G–99A, Representative Payee

Report, at 20 minutes; Form G–99C,

Representative Payee Evaluation Report

at 24–31 minutes; Form G–421F,

Repayment by Credit Card, at 5 minutes;

Form G–19D, Parental Custody Report,

at 5 minutes; Form G–19C, Aged

Monitoring Questionnaire at 6 minutes;

Form G–19L, Annual Earnings

Questionnaire for Annuitants in Last

Person Service, at 15 minutes; Form G–

93, Statement of Claimant or Other

Person, at 15 minutes; and Form G–19–

F, Earnings Information Request at 8

minutes. After the last information

collection is merged and other necessary

adjustments are made, the resultant

information collection is expected to

total approximately 21,437 total burden

hours.

A justification for each action

described above (merge collection,

revised collection instrument, new

collection instrument) will be provided

to OMB with a correction Change

Worksheet (OMB Form 83–C) at the

time the action occurs. With the next

renewal of this collection, the RRB will

update the information collection

package to account for the consolidation

and other interim adjustments.

ADDITIONAL INFORMATION OR COMMENTS:

To request more information or to

obtain a copy of the information

collection justification, forms, and/or

supporting material, please call the RRB

Clearance Officer at (312) 751–3363.

Comments regarding the information

collection should be addressed to

Ronald J. Hodapp, Railroad Retirement

Board, 844 North Rush Street, Chicago,

Illinois 60611–2092. Written comments

should be received within 60 days of

this notice.

Chuck Mierzwa,

Clearance Officer.

[FR Doc. 00–27536 Filed 10–25–00; 8:45 am]

BILLING CODE 7905–01–M

RAILROAD RETIREMENT BOARD

Privacy Act of 1974; Systems of

Records

AGENCY: Railroad Retirement Board.

ACTION: Notice of proposed changes to

systems of records.

SUMMARY: The purposes of this

document are: (1) To give notice of 10

non-substantial revisions of existing

routine uses in 4 systems of records; (2)

to delete 2 systems of records; (3) to add

a purpose statement to all remaining

systems of records; and (4) to give notice

of several non-substantial changes in

Federal Register / Vol. 65, No. 208 / Thursday, October 26, 2000 / Notices 64267

other categories for several systems of

records.

DATES: The changes are effective as of

the date of this publication.

FOR FURTHER INFORMATION CONTACT:

LeRoy Blommaert, Privacy Act Officer,

Railroad Retirement Board, 844 N. Rush

St., Chicago, IL 60611–2092, (312) 751–

4548.

SUPPLEMENTARY INFORMATION:

Part I: Minor Revisions to Existing

Routine Uses

The following 10 existing routine uses

in the following 4 systems of records are

being revised to better express what

information is being disclosed and for

what purposes, or to change the name

of the organization to which the

information can be disclosed due to the

renaming of the organization, or to limit

the conditions under which the

disclosure can be made:

RRB–17 ‘‘d’’ and ‘‘f’’

RRB–20 ‘‘i,’’ ‘‘j,’’ and ‘‘o’’

RRB–22 ‘‘e,’’ ‘‘k,’’ and ‘‘gg’’

RRB–42 ‘‘a’’ and ‘‘c’’

These revisions do not constitute new

or expanded disclosures.

Part II: Deletions of Systems of Records

The following system of records is

being deleted because it no longer meets

the definition of ‘‘systems of records’’

under the Privacy Act: RRB–2. Privacy

System of Records RRB–9 is being

deleted because it is being consolidated

into RRB–17.

Part III: Changes in Other Categories

SYSTEM NAME:

We changed the system name for

systems RRB–3, RRB–42, and RRB–43,

to better express the content of these

systems.

SYSTEM LOCATION:

We revised this category for system

RRB–3 to reflect the current location.

We revised this category for system

RRB–43 to reflect that it is located in the

Office of the Inspector General.

CATEGORIES OF INDIVIDUALS COVERED BY THE

SYSTEM:

We revised this category for systems

RRB–16, RRB–17, and RRB–42 to better

or more comprehensively describe the

individuals covered by the system.

None of these revisions reflect new

groups of individuals covered by the

system.

CATEGORIES OF RECORDS IN THE SYSTEM:

We revised this category for systems

RRB–3, RRB–5, RRB–16, RRB–42, and

RRB–43 to correctly or more

comprehensively describe the categories

of records in these systems. None of the

revisions reflect any new categories of

records added to the systems.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

We revised this category for systems

RRB–17, RRB–42, and RRB–43 to more

accurately express the legal authority for

the systems.

STORAGE:

We revised this category for systems

RRB–16 and RRB–43 to reflect current

practice or better express the media

used.

RETRIEVABILITY:

We revised this category for systems

RRB–17 and RRB–43 to reflect current

methods of retrieval.

SAFEGUARDS:

We revised this category for systems

RRB–16, RRB–17, RRB–21, RRB–43,

RRB–44, and RRB–46 to reflect current

practice or better express safeguards

procedures.

RETENTION AND DISPOSAL:

We revised this category for systems

RRB–1, RRB–3, RRB–10, RRB–16, RRB–

17, RRB–20, RRB–21, RRB–22, RRB–33,

RRB–42, RRB–43, RRB–44, and RRB–46

to bring it into conformity with actual

practice and approved records disposal

schedules.

RECORD SOURCE CATEGORIES:

We revised this category in systems of

records RRB–3, RRB–17, RRB–21, and

RRB–43 to better or more

comprehensively describe the record

sources for information in the system.

Part IV: Existing systems covered by

this document (as currently named)

RRB–1 Social Security Benefit

Vouchering System RRB–2 Medical Examiner’s Index

RRB–3 Medicare Part B

(Supplementary Medical Insurance

Payment System—contracted to

United Health Care Insurance

Company) RRB–4 Microfiche of Estimated

Annuity, Total Compensation and

Residual Amount File

RRB–5 Master File of Railroad

Employees’ Creditable

Compensation RRB–6 Unemployment Insurance

Record File

RRB–7 Applications for

Unemployment Benefits and

Placement Service Under the

Railroad Unemployment Insurance

Act

RRB–8 Railroad Retirement Tax

Reconciliation System (Employee

Representatives) RRB–9 Protest and Appeals under the

Railroad Unemployment Insurance

Act

RRB–10 Legal Opinion Files

RRB–11 Files on Concluded Litigation

RRB–12 Railroad Employees’

Registration File

RRB–16 Social Security

Administration Master Earnings

File

RRB–17 Appeal Decisions from Initial

Denials for Benefits under the

Provisions of the Railroad

Retirement Act

RRB–18 Travel and Miscellaneous

Voucher Examining System

RRB–19 Payroll Record System

RRB–20 Health Insurance and

Supplementary Medical Insurance

Enrollment and Premium Payment

System (Medicare)

RRB–21 Railroad Unemployment and

Sickness Insurance Benefit System

RRB–22 Railroad Retirement Survivor

and Pensioner Benefit System

RRB–26 Payment, Rate and

Entitlement File

RRB–27 Railroad Retirement Board—

Social Security Administration

Financial Interchange System

RRB–29 Railroad Employees’

Cumulative Gross Earnings Master

File

RRB–33 Federal Employee Incentive

Awards System

RRB–34 Employee Personnel

Management Files

RRB–36 Complaint, Grievance,

Disciplinary and Adverse Action

Files

RRB–37 Medical Records on Railroad

Retirement Board Employees

RRB–42 Uncollectible Benefit

Overpayment Accounts

RRB–43 Investigation Files

RRB–44 Employee Test Score File

RRB–45 Employee Tuition

Reimbursement File

RRB–46 Personnel Security Files

RRB–48 Employee Identification Card

Files (Building Passes)

RRB–49 Telephone Call Detail Records

Dated: October 18, 2000.

By authority of the Board.

Beatrice Ezerski,

Secretary to the Board.

RRB–1

SYSTEM NAME:

Social Security Benefit Vouchering

System—RRB.

* * * * *

1. The following sections in RRB–1

are revised, and a purpose section

added, to read as follows:

PURPOSE(S):

Records in the Social Security Benefit

Vouchering System are maintained to

64268 Federal Register / Vol. 65, No. 208 / Thursday, October 26, 2000 / Notices

administer Title II of the Social Security

Act with respect to payment of benefits

to individuals with 10 or more years of

railroad service and their families.

* * * * *

RETENTION AND DISPOSAL:

Paper: Individual claim folders with

records of all actions pertaining to the

payment of claims are transferred to the

Federal Records Center, Chicago,

Illinois 5 years after the date of the last

payment or denial activity if all benefits

have been paid, no future eligibility is

apparent and no erroneous payments

are outstanding. The claim folder is

destroyed 25 years after the date it is

received in the center. Accounts

receivable listings and checkwriting

operations daily activity listings are

transferred to the Federal Records

Center 1 year after date of issue and are

destroyed 6 years and 3 months after

receipt at the center. Other paper

listings are destroyed 1 year after date

of issue. Change of address source

documents are destroyed after 1 year.

Magnetic tape: Tapes are updated at

least monthly. For disaster recovery

purposes, certain tapes are stored for

12–18 month periods. Microforms:

Originals are kept for 3 years,

transferred to the Federal Records

Center and destroyed when 8 years old.

One duplicate copy is kept 2 years and

destroyed by shredding. All other

duplicate copies are kept 1 year and

destroyed by shredding.

* * * * *

RRB–2

SYSTEM NAME:

Medical Examiner’s Index.

2. System RRB–2 is removed in its

entirety

* * * * *

RRB–3

SYSTEM NAME:

3. The following sections in RRB–3

are revised, and a purpose section is

added to read as follows:

Medicare, Part B (Supplementary

Medical Insurance Payment System—

Contracted to Palmetto Government

Benefit Administrators

SYSTEM LOCATION:

Palmetto Government Benefit

Administrators, 17 Technology Circle,

Columbia, South Carolina 29203–9591;

Regional Office: PO Box 10066,

Augusta, Georgia 30999

* * * * *

CATEGORIES OF RECORDS IN THE SYSTEM:

Name, health insurance claim

number, address, date of birth,

telephone number, description of illness

and treatment pertaining to claim,

indication of other health insurance or

medial assistance pertinent to claim,

date(s) and place(s) of physician service,

description of medical procedures,

services or supplies furnished, nature of

illness(es), medical charges, name,

address and telephone of physician,

identifying number of provider,

designation of payee, Part B entitlement

date, Part B deductible status and

amount of payment to beneficiary or

payee.

* * * * *

PURPOSE(S):

Records in this system are maintained

to administer the supplementary

medical insurance (Part B) portion of

Medicare under Title XVIII of the Social

Security Act for qualified railroad

retirement beneficiaries.

* * * * *

RETENTION AND DISPOSAL:

Records are maintained by the

insurance company office for 27

months. At the end of 27 months the

material is sent to storage areas

maintained by the insurance company.

Records are retained and stored in

accordance with guidelines issued by

HCFA.

* * * * *

RECORD SOURCE CATEGORIES:

Claimant, his/her authorized

representative or his/her survivors, the

Social Security Administration, the

Health Care Financing Administration

and its contractors, physicians, and

hospitals.

* * * * *

RRB–4

SYSTEM NAME:

Microfiche of Estimated Annuity,

Total Compensation and Residual

Amount File.

* * * * *

4. A purpose section is added to RRB–

4 to read as follows:

PURPOSE(S):

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.

* * * * *

RRB–5

SYSTEM NAME:

Master File of Railroad Employee’s

Creditable Compensation.

* * * * *

5. The following sections in RRB–5

are revised, and a purpose section is

added, to read as follows:

CATEGORIES OF RECORDS IN THE SYSTEM:

Individual name, social security

number, claim number, annuity

beginning date, date of birth, sex, race,

last employer identification number,

amount of daily payrate if under $100,

ICC occupation code, creditable service

and compensation from 1937 to date,

home address, and date of death.

* * * * *

PURPOSE(S):

The purpose of this system is to store

railroad earnings of railroad employees

which are used to determine entitlement

to and amount of benefits payable under

the Railroad Retirement Act, the

Railroad Unemployment Insurance Act

and the Social Security Act, if

applicable. The records are updated

daily based on earnings reports received

from railroad employers and the Social

Security Administration and are stored

in the Employment Data Maintenance

Application database.

* * * * *

RRB–6

SYSTEM NAME:

Unemployment Insurance Record

File.

* * * * *

6. A purpose section is added to RRB–

6 to read as follows:

PURPOSE(S):

This system of records is used for

filing general information about

applicants for RUIA benefits. If an

applicant files for UI benefits, some of

the information in this file will be also

placed in the claimants UI file.

* * * * *

RRB–7

SYSTEM NAME:

Applications for Unemployment

Benefits and Placement Service Under

the Railroad Unemployment Insurance

Act.

* * * * *

7. A purpose section is added to RRB–

7 to read as follows:

PURPOSE(S):

The purpose of this system of records

is to be used as an individual’s UI file.

The records contained in the file are

Federal Register / Vol. 65, No. 208 / Thursday, October 26, 2000 / Notices 64269

pertinent to the individual’s claim for

unemployment benefits under the

RUIA.

* * * * *

RRB–8

SYSTEM NAME:

Railroad Retirement Tax

Reconciliation System (Employee

Representatives).

* * * * *

8. A purpose section is added to RRB–

8 to read as follows:

PURPOSE(S):

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.

* * * * *

RRB–9

SYSTEM NAME:

Protest and Appeals under the

Railroad Unemployment Insurance Act.

9. System RRB–9 is removed in its

entirety.

* * * * *

RRB–10

SYSTEM NAME:

Legal Opinion Files.

* * * * *

10. The following sections in RRB––

10 are revised, and a purpose section is

added, to read as follows:

PURPOSE(S):

The RRB needs to collect and

maintain information contained in this

system of records in order to make

decisions regarding the claims for

benefits of individuals under various

Acts administered by the RRB.

* * * * *

RETENTION AND DISPOSAL:

Opinions of precedential interest or

otherwise of lasting significance, and

correspondence related to these

opinions, are retained permanently.

Opinions of limited significance beyond

the particular case, and correspondence

related to these opinions, are retained in

the individual’s claim folder, if any,

established under the Railroad

Retirement Act. When no folder exists,

these opinions are destroyed by

shredding 2 years after the date of the

last action taken by the Bureau of Law

on the matter.

* * * * *

RRB–11

SYSTEM NAME:

Files on Concluded Litigation.

* * * * *

11. A purpose section is added to

RRB–11 to read as follows:

PURPOSE(S);

The RRB needs to collect and

maintain records of concluded litigation

to which the RRB was a party.

* * * * *

RRB–12

SYSTEM NAME:

Railroad Employees’ Registration File

* * * * *

12. A purpose section is added to

RRB–12 to read as follows:

PURPOSE(S):

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 CERA–

1 forms was available only at the

Railroad Retirement Board.

* * * * *

RRB–16

SYSTEM NAME:

Social Security Administration Master

Earnings File.

* * * * *

13. The following sections in RRB–16

are revised, and a purpose section is

added, to read as follows:

CATEGORIES OF INDIVIDUALS COVERED BY THE

SYSTEM:

Employees who have at least 108

creditable service months under the

Railroad Retirement Act (RRA) or who

attain eligibility for RRA benefits when

military service is included as creditable

railroad service.

CATEGORIES OF RECORDS IN THE SYSTEM:

Social security account number,

name, date of birth, gender, social

security claim status, details of earnings

and periods of employment that are

creditable under the Social Security Act

for years after 1936.

* * * * *

PURPOSE(S):

The purpose of this system of records

is to have Social Security Act earnings

information available to RRB benefit

programs for determinations related to

RRA benefit entitlement and amount.

The records are stored in the

Employment Data Maintenance

database.

* * * * *

STORAGE:

Mainframe computer database.

* * * * *

SAFEGUARDS:

Mainframe computer database:

computer and computer storage room

are restricted to authorized personnel;

on-line query safeguards include a lock/

unlock password system, a terminal

oriented transaction matrix and an audit

trail.

RETENTION AND DISPOSAL:

Updates are made to database weekly

using files transmitted to RRB from SSA

over telephone lines.

* * * * *

RRB–17

* * * * *

14. The following sections and

paragraphs in RRB–17 are revised to

read as follows:

SYSTEM NAME:

Appeal Decisions from Initial Denials

for Benefits under the Provisions of the

Railroad Retirement Act or the Railroad

Unemployment Insurance Act.

* * * * *

CATEGORIES OF INDIVIDUALS COVERED BY THE

SYSTEM:

Appellants under the provisions of

the Railroad Retirement Act or the

Railroad Unemployment Insurance Act.

* * * * *

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

Section 7(b)(6) of the Railroad

Retirement Act of 1974 (45 U.S.C.

231f(b)(6); sec. 12(1) of the Railroad

Unemployment Insurance Act (45

U.S.C. 362(1)).

ROUTINE USES OF THE RECORDS CONTAINED IN

THE SYSTEM, INCLUDING THE CATEGORIES OF

USERS AND THE PURPOSES OF SUCH USE:

d. Records may be disclosed in a court

proceeding relating to any claims for

benefits by the beneficiary under the

Railroad Retirement Act and may be

disclosed during the course of an

administrative appeal to individuals

who need the records to prosecute or

decide the appeal or to individuals who

are requested to provide information

relative to an issue involved in the

appeal.

* * * * *

f. Non-medical information in this

system 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.

64270 Federal Register / Vol. 65, No. 208 / Thursday, October 26, 2000 / Notices

Medical information may be released to

an attorney when such records are

requested for the purpose of contesting

a determination either administratively

or judicially.

* * * * *

RETRIEVABILITY:

Claim number or social security

number, Bureau of Hearings and

Appeals appeal number, or Bureau of

Hearings and Appeals decision number.

* * * * *

SAFEGUARDS:

Only authorized personnel have

access to these records which are kept

in an office that is locked at the close

of business each day and remains so

until start of business the next day.

RETENTION AND DISPOSAL:

The decisions are retained for a

period of 2 years and then destroyed by

shredding.

* * * * *

RECORD SOURCE CATEGORIES:

Information furnished by the

appellant or his/her authorized

representative, information developed

by the hearings officer relevant to the

appeal, and information contained in

other record systems maintained by the

Railroad Retirement Board.

* * * * *

RRB–18

SYSTEM NAME:

Travel and Miscellaneous Voucher

Examining System.

* * * * *

15. A purpose section is added to

RRB–18 to read as follows:

PURPOSE(S):

The system is used to pay the

operating expenses of the agency

excluding payroll. Payment is made to

vendors for goods and services.

Employees are reimbursed for travel

expenses related to the performance of

their jobs. Payments are made within

Federal limits and applicable

guidelines.

* * * * *

RRB–19

SYSTEM NAME:

Payroll Record System.

* * * * *

16. A purpose section is added to

RRB–19 to read as follows:

PURPOSE(S):

The purpose of this system is to

maintain employee data related to

earnings. This includes hours worked,

time off, and premium pay. It is also

used to calculate employee gross to net

pay based on mandatory and elective

deductions. Earnings data is

accumulated and reported to Federal,

State, and local taxing authorities.

Employee benefit data is reported to the

Office of Personnel Management to

ensure accuracy and proper coverage.

* * * * *

RRB–20

SYSTEM NAME:

Health Insurance and Supplementary

Medical Insurance Enrollment and

Premium Payment System (Medicare)

* * * * *

17. The following sections and

paragraph in RRB–20 are revised, and a

purpose section is added, to read as

follows:

PURPOSE(S):

Records in this system are maintained

to administer Title XVIII of the Social

Security Act for qualified railroad

retirement beneficiaries.

* * * * *

ROUTINE USES OF RECORDS MAINTAINED IN THE

SYSTEM, INCLUDING CATEGORIES OF USERS AND

THE PURPOSES OF SUCH USES:

i. Records may be released to

contractors to fulfill contract

requirements pertaining to specific

activities related to the Railroad

Retirement Act and Social Security Act,

as amended.

j. Beneficiary last address information

may be disclosed to the Department of

Health and Human Services in

conjunction with the Parent Locator

Service.

* * * * *

o. If a request for information

pertaining to an individual is made by

an official of a labor organization of

which the individual is a member and

the request is made on behalf of the

individual, information from the record

of the individual concerning his or her

entitlement to Medicare may be

disclosed to the labor organization

official.

* * * * *

RETENTION AND DISPOSAL:

Paper: Computer printouts, including

daily and monthly statistics, premium

payment listings, state-buy in listings

and voucher listings are kept for 2 years,

transferred 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 of

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.

Magnetic tape: Updated weekly.

Obsolete tape is written over.

Microfilm: Originals are kept for 3

years, transferred to the Federal Records

Center and destroyed 3 years and 3

months after receipt at the center. One

copy is kept 3 years and then destroyed

when 6 months old or no longer needed

for administrative use, whichever is

sooner.

* * * * *

RRB–21

SYSTEM NAME:

Railroad Unemployment and Sickness

Insurance Benefit System

* * * * *

18. The following sections and

paragraphs in RRB–21 are revised, and

a purpose section is added, to read as

follows:

PURPOSE(S):

The purpose of this system of records

is to carry out the function of collecting

and storing information in order to

administer the benefit program under

the Railroad Unemployment Insurance

Act.

* * * * *

SAFEGUARDS:

Paper and microforms: Maintained in

areas not accessible to the public; offices

are locked during non-business hours.

Magnetic tape and magnetic disk;

computer and computer storage rooms

are restricted to authorized personnel;

on-line query safeguards include a lock/

unlock password system, a terminal

oriented transaction matrix and an audit

trail; for computerized records

electronically transmitted between

headquarters and field office locations,

systems securities are established in

accordance with National Bureau of

Standards guidelines. In addition to the

online query safeguards, they include

encryption of all data transmitted and

exclusive use of leased telephone lines.

RETENTION AND DISPOSAL:

Paper—Transferred to the Chicago

Federal Records Center 1 year after the

end of the benefit year during which the

case was closed and then destroyed by

shredding 6 years and 3 months after

the end of the benefit year. In benefit

recovery cases, the file is transferred to

the Federal Records Center if there has

Federal Register / Vol. 65, No. 208 / Thursday, October 26, 2000 / Notices 64271

been no recent activity; the file is not

destroyed until 6 years and 3 months

after recovery has been completed or

waived. Magnetic tape—Destroyed by

shredding and compacting 10 years after

the end of he benefit year. Microform—

Destroyed by shredding and compacting

10 years after the end of the benefit year.

Optical media—Destroyed by

compacting 10 years after the end of the

benefit year.

* * * * *

RECORD SOURCE CATEGORIES.

Applicant, claimant or his or her

representative, physicians, employers,

labor organizations, federal, state, and

local government agencies, all Railroad

Retirement Board files, insurance

companies, attorneys, Congressmen,

liable parties (in personal injury cases),

funeral homes and survivors (for

payment of death benefits).

* * * * *

RRB–22

SYSTEM NAME:

Railroad Retirement Survivor and

Pensioner Benefit System.

* * * * *

19. The following sections and

paragraph in RRB–22 are revised, and a

purpose section is added, to read as

follows:

PURPOSE(S):

Records in this system of records are

maintained to administer the benefit

provisions of the Railroad Retirement

Act, sections of the Internal Revenue

Code related to the taxation of railroad

retirement benefits, and Title XVIII of

the Social Security Act as it pertains to

Medicare coverage for railroad

retirement beneficiaries.

* * * * *

ROUTINE USES OF RECORDS MAINTAINED IN THE

SYSTEM, INCLUDING CATEGORIES OF USERS AND

THE PURPOSES OF SUCH USES:

e. Beneficiary identifying information,

address, check rates, number and date

may be released to the Department of

the Treasury to control for reclamation

and return of outstanding benefit

payments, to issue benefit payments, to

act on reports of non-receipt, to insure

delivery of payments to the correct

address of the beneficiary or

representative payee or to the proper

financial organization, and to

investigate alleged forgery, theft or

unlawful negotiation of railroad

retirement benefit checks or improper

diversion of payments directed to a

financial organization.

* * * * *

k. Beneficiary identifying information,

entitlement, benefit rates and months

paid may be released to the Social

Security Administration (Bureau of

Supplemental Security Income), the

Health Care Financing Administration,

and to federal, state and local welfare or

public aid agencies to assist them in

processing applications for benefits

under their respective programs.

* * * * *

gg. Certain identifying information

about annuitants, such as name, social

security number, RRB claim number,

and date of birth, as well as address,

year and month last worked for a

railroad, last railroad occupation,

application filing date, annuity

beginning date, identity of last railroad

employer, total months of railroad

service, sex, disability onset date,

disability freeze onset date, and cause

and effective date of annuity

termination may be furnished to

insurance companies for administering

group life and medical insurance plans

negotiated between certain participating

railroad employers and railway labor

organizations.

* * * * *

RETENTION AND DISPOSAL:

Paper—Individual claim folders with

records of all actions pertaining to the

payment of claims are transferred to the

Federal Records Center, Chicago,

Illinois, 5 years after the date of last

payment or denial activity if all benefits

have been paid, no future eligibility is

apparent and no erroneous payments

are outstanding. The claim folder is

destroyed 25 years after the date it is

received in the center. Account

receivable listings and checkwriting

operations daily activity listings are

transferred to the Federal Records

Center 1 year after the date of issue and

are destroyed 6 years and 3 months after

receipt at the center. Other paper

listings are destroyed 1 year after the

date of issue. Change of address source

documents are destroyed after 1 year.

Microforms—Originals are kept for 3

years, transferred to the Federal Records

Center, and destroyed when 8 years old.

One duplicate copy is kept 2 years and

destroyed by shredding. All other

duplicate copies are kept 1 year and

destroyed by shredding. Magnetic

tape—Magnetic tape records are used to

daily update the disk file, are retained

for 90 days and then written over. For

disaster recovery purposes certain tapes

are stored for 12–18 months. Magnetic

disk—Continually updated and

permanently retained.

* * * * *

RRB–26

SYSTEM NAME:

Payment, Rate and Entitlement

History File

* * * * *

20. A purpose section is added to

RRB–26 to read as follows:

PURPOSE(S):

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.

* * * * *

RRB–27

SYSTEM NAME:

Railroad Retirement Board—Social

Security Administration Financial

Interchange System.

* * * * *

21. A purpose section is added to

RRB–27 to read as follows:

PURPOSE(S):

The purpose of this system is to

calculate benefit amounts required to

determine the financial interchange

transfer amounts each year.

* * * * *

RRB–29

SYSTEM NAME:

Railroad Employees’ Cumulative

Gross Earnings Master File.

* * * * *

22. A purpose section is added to

RRB–29 to read as follows:

PURPOSE(S):

The purpose of this system is to

maintain gross earnings reports for

Financial Interchange sample

employees for use in the calculation of

benefit amounts used in the financial

interchange determinations.

* * * * *

RRB–33

SYSTEM NAME:

Federal Employee Incentive Awards

System.

* * * * *

23. The following section in RRB–33

is revised, and a purpose section is

added, to read as follows:

PURPOSE(S):

Past suggestion and award

nominations and awards presented are

maintained to provide historical and

statistical records.

* * * * *

64272 Federal Register / Vol. 65, No. 208 / Thursday, October 26, 2000 / Notices

RETENTION AND DISPOSAL:

Denied suggestions are purged and

destroyed by shredding 5 years after the

denial date. Adopted suggestions are

retained permanently as are all special

achievement awards, quality increase

awards, public service awards, RRB

Award for Excellence, and governmentsponsored awards.

* * * * *

RRB–34

SYSTEM NAME:

Employee Personnel Management

Files.

* * * * *

24. A purpose section is added to

RRB–34 to read as follows:

PURPOSE(S):

The system is maintained to provide

information to managers and

supervisors to assist in their work.

* * * * *

RRB–36

SYSTEM NAME:

Complaint, Grievance, Disciplinary,

and Adverse Action Records.

* * * * *

25. The following section and a

purpose section is added to RRB–36 to

read as follows:

PURPOSE(S):

The purpose of this system of records

is to maintain information related to

grievances, disciplinary actions, and

adverse actions in order to furnish

information to arbitrators, EEO

investigators, the Merit Systems

Protection Board, the Federal Labor

Relations Authority, and the Courts, as

necessary. The information is also used

for statistical purposes, as needed.

* * * * *

AUTHORITY FOR MAINTENANCE OF THE SYSTEMS:

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

7513(e), and 7543(e).

* * * * *

RRB–37

SYSTEM NAME:

Medical Records on Railroad

Retirement Board Employees.

* * * * *

26. A purpose section is added to

RRB–37 to read as follows:

PURPOSE(S):

To maintain private records for

employees regarding their medical

history and other pertinent information

such as results of screenings for medical

conditions, immunization records, and

workplace incidents or injuries.

* * * * *

RRB–42

* * * * *

27. The following sections and

paragraph in RRB–42 are revised, and a

purpose section is added, to read as

follows:

SYSTEM NAME:

Benefit Overpayment Accounts

* * * * *

CATEGORIES OF INDIVIDUALS COVERED BY THE

SYSTEM:

Individuals who were overpaid in the

benefits they received from the Railroad

Retirement Board. Benefits overpaid are

further delineated in the following three

categories. —Individuals receiving the following

types of annuities, payable under the

Railroad Retirement Act: railroad

retirement, disability, supplemental,

and survivor.

—Individuals receiving

unemployment or sickness insurance

benefits payable under the Railroad

Unemployment Insurance Act —Individuals receiving benefits under

section 701 of the Regional Rail

Reorganization Act of 1973.

CATEGORIES OF RECORDS IN THE SYSTEM:

Name, address, Social Security

number, Railroad Retirement claim

number, type of benefit previously paid,

amount of overpayment, debt

identification number, cause of

overpayment, source of overpayment,

original debt amount, current balance of

debt, installment repayment history,

recurring accounts receivable

administrative offset history, waiver,

reconsideration and debt appeal status,

general billing, dunning, referral,

collection, and payment case history,

amount of interest and penalties

assessed and collected, name and

address of debt collection agency or

Federal agency to which account is

referred for collection, date of such

referral, amount collected, and name

and address of consumer reporting

agencies to which debt information is

disclosed and date of such referral.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

Section 7(b)(6) of the Railroad

Retirement Act of 1974 (45 U.S.C.

231f(b)(6); sec. 12(1) of the Railroad

Unemployment Insurance Act (45

U.S.C. 362(1); Pub. L. 97–92, Joint

Resolution; Pub. L. 97–365 (Debt

Collection Act of 1982); Federal Claims

Collection Act (31 U.S.C. 3701 et. seq.);

Pub. L. 104–134 (Debt Collection

Improvement Act of 1996).

PURPOSE(S):

The records in this system are created,

monitored and maintained to enable the

Railroad Retirement Board to fulfill

regulatory and statutory fiduciary

responsibilities to its trust funds, the

individuals to whom it pays benefits

and the Federal Government as directed

under the Railroad Retirement Act,

Railroad Unemployment Insurance Act,

Debt Collection Act of 1982, Federal

Claims Collection Act, and Debt

Collection Improvement Act of 1996.

These responsibilities include: accurate

and timely determination of debt;

sending timely, accurate notice of the

debt with correct repayment and rights

options; taking correct and timely action

when rights/appeals have been

requested; assessing appropriate

charges; using all appropriate collection

tools, releasing required, accurate

reminder notices; and correctly and

timely entering all recovery, write-off

and waiver offsets to debts.

ROUTINE USES OF RECORDS MAINTAINED IN THE

SYSTEM, INCLUDING CATEGORIES OF USERS AND

THE PURPOSES OF SUCH USES:

a. Benefit overpayment amounts,

history of collectible, history of

collection efforts and identification

information (name, address—including

IRS address information—Social

Security number, Railroad Retirement

claim number, type of benefit) may be

disclosed to private collection agencies

for the purpose of recovering benefit

overpayments.

* * * * *

c. For information related to

overpayments of benefits paid under

section 701 of the Regional Rail

Reorganization of 1973, in the event that

this system of records, maintained by

the Railroad Retirement Board to carry

out its functions, indicates a violation or

potential violation of law, whether civil,

criminal or regulatory in nature, and

whether arising by general statute or

particular program statute, and whether

arising by general statute or particular

program statute, or by regulation, rule or

order issued thereto, the relevant

records in the system of records may be

referred, as a routine use, to the

appropriate agency, whether Federal,

State, local or foreign, charged with the

responsibility of investigating or

prosecuting such violation or charged

with enforcing or implementing the

statute, rule, regulation or order issued

pursuant thereto; for information related

to uncollectible overpayments paid

under any other Act administered by the

Railroad Retirement Board, in the event

this system of records maintained by the

Railroad Retirement Board to carry out

its functions indicates a violation or

Federal Register / Vol. 65, No. 208 / Thursday, October 26, 2000 / Notices 64273

potential violation of law, whether civil,

criminal, or regulatory in nature,

whether arising by general statute or

particular program statute, or by

regulation, rule or order issued pursuant

thereto, the relevant records may be

referred, as a routine use, to the

appropriate agency, whether Federal,

State, local or foreign, charged with the

responsibility of investigating or

prosecuting such violation or charged

with enforcing or implementing the

statute, rule, regulation or order issued

pursuant thereto, provided that

disclosure would be to an agency

engaged in functions related to the

Railroad Retirement Act, or the Railroad

Unemployment Insurance Act or

provided that disclosure would be

clearly in the furtherance of the interest

of the subject individual.

* * * * *

RETENTION AND DISPOSAL:

Records of the receivable accounts are

maintained in an on-line electronic

database and remain in the database

even after waiver, reversal, recovery or

write-off until 5 years after the debt is

closed. After that time all records are

removed from the on-line electronic

database, and a microfilm copy is kept

only of case history general activity. An

uncollectible debt written off the active

receivable database is stored on

magnetic tape for possible future action.

Most paper documents that are not

immediately shredded are filed in claim

folders that are covered by Privacy Act

Systems of Records RRB–21, Railroad

Unemployment and Sickness Insurance

Benefit System, or RRB–22, Railroad

Retirement, Survivor, and Pensioner

Benefit System. These paper documents

are mostly correspondence. Paper

documents that relate to multiple

accounts are kept for 6 years in folders

established for the purpose.

* * * * *

RRB–43

28. The following sections and

paragraph in RRB–43 are revised, and a

purpose section is added, to read as

follows:

SYSTEM NAME:

Office of Inspector General

Investigation Files.

SYSTEM LOCATION:

Office of Inspector General, U.S.

Railroad Retirement Board, 844 N Rush

Street, Chicago, Illinois 60611

* * * * *

CATEGORIES OF RECORDS IN THE SYSTEM:

Letters, memoranda, and other

documents alleging a violation of law,

regulation or rule, or alleging

misconduct, or conflict of interest;

reports of investigations to resolve

allegations with related exhibits,

statements, affidavits or records

obtained during the investigation;

recommendations on actions to be

taken; transcripts of, and documentation

concerning request and approval for,

consensual monitoring of

communications; photographs, video

and audio recordings made as part of

the investigation; reports from law

enforcement bodies; prior criminal or

noncriminal records as they relate to the

investigation; reports of actions taken by

management personnel regarding

misconduct; reports of legal actions

resulting from violations referred to the

Department of Justice or other law

enforcement agencies for prosecution.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

Inspector General Act of 1978, Pub. L.

95–452, 5 U.S.C. App., as amended

PURPOSE(S)

The Office of Inspector General

maintains this system of records to carry

out its statutory responsibilities under

the Inspector General Act. These

responsibilities include a mandate to

investigate allegations of fraud, waste,

and abuse related to the programs and

operations of the RRB and to refer such

matters to the Department of Justice for

prosecution.

* * * * *

STORAGE:

Paper and electronic media.

RETRIEVABILITY:

Name, SSN, RRB Claim Number, and

assigned number, all of which are crossreferenced to the other information.

SAFEGUARDS:

General access is restricted to the

Inspector General and members of his

staff; disclosure within the agency is on

a limited need-to-know basis; files and

paper documents are maintained in

locked file cabinets located in areas not

accessible to the public. Office is locked

during non-business hours. Access to

computers which store the electronic

index is restricted to authorized

personnel, and on-line query safeguards

include a password unlock system.

RETENTION AND DISPOSAL:

Paper files are retained for 10 years

before they are destroyed by shredding.

They are destroyed by shredding in the

fiscal year following the expiration of

the 10-year retention period. The

electronic index records are retained

until no longer required for any

operational or administrative purpose.

* * * * *

RECORD SOURCE CATEGORIES:

The subject; the complainant; third

parties including but no limited to

employers and financial institutions;

local, state, and federal agencies; and

other RRB record systems.

* * * * *

RRB–44

SYSTEM NAME:

Employee Test Score file.

* * * * *

29. The following sections in RRB–44

are revised, and a purpose section

added, to read as follows:

PURPOSE(S):

Test scores are stored for use in the

Agency’s merit promotion program.

Scores are forwarded by the Bureau of

Personnel to merit promotion panels for

use in ranking candidates for selection

for promotion.

* * * * *

SAFEGUARDS:

Paper and diskettes are maintained in

a locked box. A password is required to

access the scores on the personal

computer.

RETENTION AND DISPOSAL:

Paper records are destroyed by

shredding after 3 years. The test score

file on the personal computer is updated

when each test is given. A test score that

is over 3 years old will be replaced

when the test is retaken, or removed if

the test has not been retaken. A back-up

disk is made each time a record is

changed or added; it is retained until

the next back up is made.

* * * * *

RRB–45

SYSTEM NAME:

Employee Tuition Reimbursement

File.

* * * * *

30. A purpose section is added to

RRB–45 to read as follows:

PURPOSE(S):

The purpose of this system of records

is to serve as a respiratory for the

records (i.e. passing grade, receipts for

books, fees and tuition and application

with proper agency approval) for each

course for each individual.

* * * * *

64274 Federal Register / Vol. 65, No. 208 / Thursday, October 26, 2000 / Notices

1 15 U.S.C. 78s(b)(1).

2 17 CFR 240.19b–4.

3 15 U.S.C. 78f(b)(5).

4The Exchange also believes that the proposed

rule change is consistent with section 6(b)(4) of the

Act, 15 U.S.C. 78f(b)(4), in that it is designed to

provide for the equitable allocation of reasonable

dues, fees, and other charges among its members.

Telephone conversation between Kathy Marshall,

Vice President, and John Boese, Assistant Vice

President, BSE, and Michael Gaw, AttorneyAdviser, Division of Market Regulation,

Commission, on October 18, 2000.

RRB–46

SYSTEM NAME:

Personnel Security Files.

* * * * *

31. The following section in RRB–46

is revised, and a purpose section is

added, to read as follows:

PURPOSE(S):

The purpose of this system of records

is to maintain files documenting the

processing of investigations on RRB

employees and applicants for

employment used in making security/

suitability determinations.

* * * * *

SAFEGUARDS:

Records are kept in a locked cabinet;

only authorized persons are permitted

access.

RETENTION AND DISPOSAL:

Records are destroyed upon

notification of death or not later than 5

years after separation or transfer of

employee

* * * * *

RRB–48

SYSTEM NAME:

Employee Identification Card Files

(Building Passes).

* * * * *

32. A purpose section is added to

RRB–48 to read as follows:

PURPOSE(S):

The purpose of this system of records

is to validate employees who have been

given access to the building.

* * * * *

RRB–49

SYSTEM NAME:

Telephone Call Detail Records.

* * * * *

33. A purpose section is added to

RRB–49 to read as follows:

PURPOSE(S):

The purpose of this system of records

are to verify the correctness of telephone

service billing and to detect and deter

possible improper use of agency

telephones by agency employees and

contractors.

[FR Doc. 00–27537 Filed 10–25–00; 8:45 am]

BILLING CODE 7906–01–M

SECURITIES AND EXCHANGE

COMMISSION

[Release No. 34–43458; File No. SR–BSE–

00–14]

Self-Regulatory Organizations; Notice

of Filing and Immediate Effectiveness

of Proposed Rule Change by the

Boston Stock Exchange, Inc. To

Amend Its Transaction Fee Schedule

and Floor Operations Fee Schedule

October 18, 2000.

Pursuant to section 19(b)(1) of the

Securities Exchange Act of 1934

(‘‘Act’’) 1 and Rule 19b–4 2 thereunder,

notice hereby is given that on

September 28, 2000, the Boston Stock

Exchange, Inc. (‘‘BSE’’ or ‘‘Exchange’’)

filed with the Securities and Exchange

Commission (‘‘Commission’’) the

proposed rule change as described in

Items I, II, and III below, which Items

have been substantially prepared by the

Exchange. The Commission is

publishing this notice to solicit

comments on the proposed rule change

from interested persons.

I. Self-Regulatory Organization’s

Statement of the Terms of Substance of

the Proposed Rule Change

The BSE proposes to amend its

Transaction Fee Schedule to increase

the amount of monthly transactionrelated revenue the BSE must generate

before it shares excess revenue with

eligible members. Additionally, the BSE

proposes to amend its Floor Operations

Fee Schedule to include a per-trade

credit for executions in Exchange

Traded Funds (‘‘ETFs’’) for which

registration fees are required. The text of

the proposed rule change is available at

the principal office of the BSE and at the

Commission.

II. Self-Regulatory Organization’s

Statement of the Purpose of, and

Statutory Basis for, the Proposed Rule

Change

In its filing with the Commission, the

BSE included statements concerning the

purpose of and basis for the proposed

rule change and discussed any

comments it received regarding the

proposed rule change. The text of these

statements may be examined at the

places specified in Item IV below. The

BSE has prepared summaries, set forth

in Sections A, B, and C below, of the

most significant aspects of such

statements.

A. Self-Regulatory Organization’s

Statement of the Purpose of, and

Statutory Basis for, the Proposed Rule

Change

1. Purpose

The purpose of the proposed rule

change is to amend the BSE’s Revenue

Sharing Program. Currently, the

Exchange’s Transaction Fee Schedule

states that the minimum amount of

monthly transaction-related revenue the

BSE must generate before it shares

excess revenue with member firms in

$1.4 million. The BSE proposes to raise

this threshold to $1.5 million in order

to help meet the budgeted costs of

operating the Exchange in the upcoming

fiscal year.

In addition, the proposed rule change

would amend the Exchange’s Floor

Operations Fee Schedule to include a $2

per-trade credit for each trade in certain

ETFs that are executed on the BSE and

routed to a specialist firm on the

Exchange. Member firms must pay a

registration fee for trading certain ETFs

on the Exchange. Only those ETFs for

which member firms must pay a

registration fee would be subject to the

$2 per-trade credit. The maximum

annual credit that a specialist could

receive per ETF would be capped at the

amount the specialist paid for that ETF’s

annual registration fee.

2. Basis

The BSE believes that the proposed

rule change is permissible under section

6(b)(5) of the Act 3 in that it is designed

to promote just and equitable principles

of trade; to foster cooperation and

coordination with persons engaged in

regulating, clearing, settling, processing

information with respect to, and

facilitating transactions in securities; to

remove impediments to and perfect the

mechanism of a free and open market

and a national market system; and, in

general, to protect investors and the

public interest. The BSE has stated that

the proposed rule change is not

designed to permit unfair

discrimination between customers,

issuers, brokers, or dealers.4