Revised Application Procedures for Disability Retirement Under CSRS and FERS

OFFICE OF PERSONNEL MANAGEMENT

5 CFR Parts 831 and 844

RIN 3206-AH68

Revised Application Procedures for Disability Retirement Under

CSRS and FERS

AGENCY: Office of Personnel Management.

ACTION: Final rule.

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SUMMARY: The Office of Personnel Management (OPM) is issuing final

regulations to establish uniformity in the application procedures for

disability retirement under the Civil Service Retirement System (CSRS)

and the Federal Employees Retirement System (FERS). The regulations

allow employees to meet the filing deadline for disability retirement

by submitting applications directly to their employing agencies prior

to separation, or to either their former employing agencies or OPM

within 1 year after separation.

EFFECTIVE DATE: May 8, 1998.

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

SUPPLEMENTARY INFORMATION: On January 16, 1997, we published (at 62 FR

2323) proposed regulations to revise the application requirements for

disability retirement under the Civil Service Retirement System (CSRS)

and the Federal Employees Retirement System (FERS).

The revised rules allow OPM to accept a CSRS or FERS disability

application filed with an employee's agency prior to separation, or

with either the former employing agency or OPM within 1 year after

separation. This revision constitutes a delegation of function by the

Director of OPM under section 1104(a)(2) of title 5, United States

Code.

The revised rules establish uniformity between CSRS and FERS with

respect to OPM-prescribed disability retirement forms and informal

claims. The revised rules also establish standards for determining the

date on which an application for disability retirement has been filed.

OPM received comments from one Government agency. The commenter

recommended including a reference to former employing agencies in

sections 831.1204(a) and 844.201(a)(1), to meet the regulations' intent

of allowing former employees to file applications for disability

retirement with their former employing agencies within one year of

separation. The commenter also recommended including a reference to

former employing agencies in sections 831.1204(b) and 844.201(a)(2), to

ensure that procedures for determining the date on which a disability

retirement application is filed apply equally in all filing situations.

The commenter further recommended replacing a confusing term in

proposed section 831.1204(b) with a more clear term used in proposed

section 844.201(a)(2). Finally, the commenter recommended revising the

basic requirements for disability retirement in section 831.1203(a)(5)

to conform with the changes made by these regulations to the filing

rules for disability retirement applications in section 831.1204.

OPM has adopted all of these recommendations, as they improve the

clarity of the regulations and reduce the likelihood of administrative

error.

Regulatory Flexibility Act

I certify that this regulation will not have a significant economic

impact on a substantial number of small entities because the regulation

will only affect retirement and insurance benefits of retired

Government employees and their survivors.

List of Subjects in 5 CFR Parts 831 and 844

Administrative practice and procedure, Air traffic controllers,

Alimony, Claims, Disability benefits, Firefighters, Government

employees, Income taxes, Intergovernmental relations, Law enforcement

officers, Pensions, Retirement.

Office of Personnel Management.

Janice R. Lachance,

Director.

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

PART 831--RETIREMENT

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

follows:

Authority: 5 U.S.C. 8347; Sec. 831.102 also issued under 5

U.S.C. 8334; Sec. 831.106 also issued under 5 U.S.C. 552a;

Sec. 831.108 also issued under 5 U.S.C. 8336(d)(2);

Sec. 831.201(b)(1) also issued under 5 U.S.C. 8347(g);

Sec. 831.201(b)(6) also issued under 5 U.S.C. 7701(b)(2);

Sec. 831.201(g) also issued under sections 11202(f), 11232(e), and

11246(b) of Pub. L. 105-33, 111 Stat. 251; Sec. 831.204 also issued

under section 102(e) of Pub. L. 104-8, 109 Stat. 102, as amended by

section 153 of Pub. L. 104-134, 110 Stat. 1321; Sec. 831.303 also

issued under 5 U.S.C. 8334(d)(2); Sec. 831.502 also issued under 5

U.S.C. 8337; Sec. 831.502 also issued under section 1(3), E.O.

11228, 3 CFR 1964-1965 Comp.; Sec. 831.663 also issued under 5

U.S.C. 8339(j) and (k)(2); Secs. 831.663 and 831.664 also issued

under section 11004(c)(2) of Pub. L. 103-66, 107 Stat. 412;

Sec. 831.682 also issued under section 201(d) of Pub. L. 99-251, 100

Stat. 23; Secs. 831.1203 and 831.1204 also issued under 5 U.S.C.

1104; subpart S also issued under 5 U.S.C. 8345(k); subpart V also

issued under 5 U.S.C. 8343a and section 6001 of Pub. L. 100-203, 101

Stat. 1330-275; Sec. 831.2203 also issued under section 7001(a)(4)

of Pub. L. 101-508, 104 Stat. 1388-328.

Subpart L--Disability Retirement

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

follows:

Sec. 831.1203 Basic requirements for disability retirement.

(a) * * *

(5) An application for disability retirement must be filed with the

employing agency before the employee or Member separates from service,

or with the former employing agency or the Office of Personnel

Management (OPM) within 1 year thereafter. This time limit can be

waived only in certain instances explained in Sec. 831.1204.

* * * * *

3. Section 831.1204 is revised to read as follows:

Sec. 831.1204 Filing disability retirement applications: General.

(a) Except as provided in paragraphs (c) and (d) of this section,

an application for disability retirement is timely only if it is filed

with the employing agency before the employee or Member separates from

service, or with the former employing agency or OPM within 1 year

thereafter.

(b) An application for disability retirement that is filed with

OPM, an

[[Page 17050]]

employing agency or former employing agency by personal delivery is

considered filed on the date on which OPM, the employing agency or

former employing agency receives it. The date of filing by facsimile is

the date of the facsimile. The date of filing by mail is determined by

the postmark date; if no legible postmark date appears on the mailing,

the application is presumed to have been mailed 5 days before its

receipt, excluding days on which OPM, the employing agency or former

employing agency, as appropriate, is closed for business. The date of

filing by commercial overnight delivery is the date the application is

given to the overnight delivery service.

(c) An application for disability retirement that is filed with OPM

or the applicant's former employing agency within 1 year after the

employee's separation, and that is incompletely executed or submitted

in a letter or other form not prescribed by OPM, is deemed timely

filed. OPM will not adjudicate the application or make payment until

the application is filed on a form prescribed by OPM.

(d) OPM may waive the 1-year time limit if the employee or Member

is mentally incompetent on the date of separation or within 1 year

thereafter, in which case the individual or his or her representative

must file the application with the former employing agency or OPM

within 1 year after the date the individual regains competency or a

court appoints a fiduciary, whichever is earlier.

(e) An agency may consider the existence of a pending disability

retirement application when deciding whether and when to take other

personnel actions. An employee's filing for disability retirement does

not require the agency to delay any appropriate personnel action.

PART 844--FEDERAL EMPLOYEES RETIREMENT SYSTEM--DISABILITY

RETIREMENT

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

follows:

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

U.S.C. 1104.

Subpart A--General Provisions

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

follows:

Sec. 844.201 General requirements.

(a)(1) Except as provided in paragraphs (a)(3) and (a)(4) of this

section, an application for disability retirement is timely only if it

is filed with the employing agency before the employee or Member

separates from service, or with the former employing agency or OPM

within 1 year thereafter.

(2) An application for disability retirement that is filed with

OPM, an employing agency or former employing agency by personal

delivery is considered filed on the date on which OPM, the employing

agency or former employing agency receives it. The date of filing by

facsimile is the date of the facsimile. The date of filing by mail is

determined by the postmark date; if no legible postmark date appears on

the mailing, the application is presumed to have been mailed 5 days

before its receipt, excluding days on which OPM, the employing agency

or former employing agency, as appropriate, is closed for business. The

date of filing by commercial overnight delivery is the date the

application is given to the overnight delivery service.

(3) An application for disability retirement that is filed with OPM

or the applicant's former employing agency within 1 year after the

employee's separation, and that is incompletely executed or submitted

in a letter or other form not prescribed by OPM, is deemed timely

filed. OPM will not adjudicate the application or make payment until

the application is filed on a form prescribed by OPM.

(4) OPM may waive the 1-year time limit if the employee or Member

is mentally incompetent on the date of separation or within 1 year

thereafter, in which case the individual or his or her representative

must file the application with the former employing agency or OPM

within 1 year after the date the individual regains competency or a

court appoints a fiduciary, whichever is earlier.

* * * * *

(c) An agency may consider the existence of a pending disability

retirement application when deciding whether and when to take other

personnel actions. An employee's filing for disability retirement does

not require the agency to delay any appropriate personnel action.

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

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