Regs

Page 913

TITLE 5—GOVERNMENT ORGANIZATION AND EMPLOYEES

puted under this subsection for such year with
respect to individuals under paragraph (1)(B).
(4)(A) Before closing the accounts for a fiscal
year, the Secretary of the Treasury shall credit
to the Fund, as a Government contribution, out
of any money in the Treasury of the United
States not otherwise appropriated, the amount
under paragraph (3)(A) for such year.
(B) Upon receiving notification under paragraph (3)(B), the United States Postal Service
shall pay the amount specified in such notification to the Fund.
(5) For the purpose of carrying out paragraph
(1) with respect to any fiscal year, the Office
may—
(A) require the Board of Actuaries of the
Civil Service Retirement System to make actuarial determinations and valuations, make
recommendations, and maintain records in the
same manner as provided in section 8347(f);
and
(B) use the latest actuarial determinations
and valuations made by such Board of Actuaries.
(c) Under regulations prescribed by the Office,
the head of an agency may request reconsideration of any amount determined to be payable
with respect to such agency under subsection (a)
or (b). Any such request shall be referred to the
Board of Actuaries of the Civil Service Retirement System. The Board of Actuaries shall review the computations of the Office and may
make any adjustment with respect to any such
amount which the Board determines appropriate. A determination by the Board of Actuaries under this subsection shall be final.

§ 8424

1992—Subsec. (a)(1)(B)(i). Pub. L. 102–496 substituted
‘‘the Central Intelligence Agency Retirement Act’’ for
‘‘the Central Intelligence Agency Retirement Act of
1964 for Certain Employees’’.
Pub. L. 102–378 substituted ‘‘multiplied’’ for
‘‘multipled’’.
EFFECTIVE DATE OF 2007 AMENDMENT; TRANSITION
RULES
Amendment by Pub. L. 110–161 effective on the later
of June 30, 2008, or the first day of the first pay period
beginning at least 6 months after Dec. 26, 2007, with
transition rules and rights of election, see section 535(e)
of Pub. L. 110–161, set out as a note under section 3307
of this title.
EFFECTIVE DATE OF 2000 AMENDMENT
Amendment by Pub. L. 106–553 effective on the first
day of the first applicable pay period that begins on
Dec. 21, 2000, and applicable only to an individual who
is employed as a member of the Supreme Court Police
after Dec. 21, 2000, see section 1(a)(2) [title III, § 308(i),
(j)] of Pub. L. 106–553, set out in a Supreme Court Police
Retirement note under section 8331 of this title.
EFFECTIVE DATE OF 1998 AMENDMENT
Amendment by Pub. L. 105–261 effective at the beginning of the first pay period that begins after Oct. 17,
1998, and applicable only to an individual who is employed as a nuclear materials courier, as defined by
section 8331(27) or 8401(33) of this title, after Oct. 17,
1998, see section 3154(m), (n) of Pub. L. 105–261, set out
as a note under section 8331 of this title.
EFFECTIVE DATE OF 1992 AMENDMENT
Amendment by Pub. L. 102–496 effective first day of
fourth month beginning after Oct. 24, 1992, see section
805 of Pub. L. 102–496, set out as an Effective Date note
under section 2001 of Title 50, War and National Defense.
TRANSFER OF FUNCTIONS

(Added Pub. L. 99–335, title I, § 101(a), June 6,
1986, 100 Stat. 537; amended Pub. L. 102–378,
§ 2(66), Oct. 2, 1992, 106 Stat. 1354; Pub. L. 102–496,
title VIII, § 803(c), Oct. 24, 1992, 106 Stat. 3253;
Pub. L. 104–186, title II, § 215(15), Aug. 20, 1996, 110
Stat. 1746; Pub. L. 105–261, div. C, title XXXI,
§ 3154(j), Oct. 17, 1998, 112 Stat. 2256; Pub. L.
106–553, § 1(a)(2) [title III, § 308(c)(4)], Dec. 21, 2000,
114 Stat. 2762, 2762A–87; Pub. L. 109–435, title VI,
§ 604(b), Dec. 20, 2006, 120 Stat. 3241; Pub. L.
110–161, div. E, title V, § 535(b)(5), Dec. 26, 2007,
121 Stat. 2076.)

Statutory functions, duties, or authority of Chief Administrative Officer of the House of Representatives or
Secretary of the Senate as disbursing officers for the
Capitol Police transferred to Chief of the Capitol Police, and references in any law or resolution before Feb.
20, 2003, to funds paid or disbursed by Chief Administrative Officer of the House of Representatives and Secretary of the Senate relating to pay and allowances of
Capitol Police employees deemed to refer to Chief of
the Capitol Police. See section 1907(a) of Title 2, The
Congress.

REFERENCES IN TEXT

§ 8424. Lump-sum benefits; designation of beneficiary; order of precedence

Sections 302 and 303 of the Central Intelligence Agency Retirement Act, referred to in subsec. (a)(1)(B)(i),
are classified to sections 2152 and 2153, respectively, of
Title 50, War and National Defense.
AMENDMENTS
2007—Subsec. (a)(1)(B)(i), (3)(A). Pub. L. 110–161 inserted ‘‘customs and border protection officers,’’ after
‘‘nuclear materials couriers,’’ wherever appearing.
2006—Subsec. (b)(1)(B). Pub. L. 109–435 substituted
‘‘Postal Regulatory Commission’’ for ‘‘Postal Rate
Commission’’.
2000—Subsec. (a). Pub. L. 106–553 inserted ‘‘members
of the Supreme Court Police,’’ after ‘‘law enforcement
officers,’’ wherever appearing.
1998—Subsec. (a)(1)(B)(i), (3)(A). Pub. L. 105–261 inserted ‘‘nuclear materials couriers,’’ after ‘‘firefighters,’’ wherever appearing.
1996—Subsec. (a)(3)(C). Pub. L. 104–186 substituted
‘‘Chief Administrative Officer of the House of Representatives, from the applicable accounts of the House
of Representatives’’ for ‘‘Clerk of the House of Representatives, from the contingent fund of the House’’.

(a) Subject to subsection (b), an employee or
Member who—
(1)(A) is separated from the service for at
least 31 consecutive days; or
(B) is transferred to a position in which the
individual is not subject to this chapter and
remains in such a position for at least 31 consecutive days;
(2) files an application with the Office for
payment of the lump-sum credit;
(3) is not reemployed in a position in which
the individual is subject to this chapter at the
time of filing the application; and
(4) will not become eligible to receive an annuity within 31 days after filing the application;
is entitled to be paid the lump-sum credit. Except as provided in section 8420a, payment of the
lump-sum credit to an employee or Member

§ 8425

TITLE 5—GOVERNMENT ORGANIZATION AND EMPLOYEES

voids all annuity rights under this subchapter,
and subchapters IV and V of this chapter, based
on the service on which the lump-sum credit is
based, until the employee or Member is reemployed in the service subject to this chapter.
(b)(1)(A) Payment of the lump-sum credit
under subsection (a) may be made only if the
spouse, if any, and any former spouse of the employee or Member are notified of the employee
or Member’s application.
(B) The Office shall prescribe regulations
under which the lump-sum credit shall not be
paid without the consent of a spouse or former
spouse of the employee or Member where the Office has received such additional information or
documentation as the Office may require that—
(i) a court order bars payment of the lumpsum credit in order to preserve the court’s
ability to award an annuity under section 8445
or 8467; or
(ii) payment of the lump-sum credit would
extinguish the entitlement of the spouse or
former spouse, under a court order on file with
the Office, to a survivor annuity under section
8445 or to any portion of an annuity under section 8467.
(2)(A) Notification of a spouse or former
spouse under this subsection shall be made in
accordance with such requirements as the Office
shall by regulation prescribe.
(B) Under the regulations, the Office may provide that paragraph (1)(A) may be waived with
respect to a spouse or former spouse if the employee or Member establishes to the satisfaction
of the Office that the whereabouts of such
spouse or former spouse cannot be determined.
(3) The Office shall prescribe regulations under
which this subsection shall be applied in any
case in which the Office receives two or more orders or decrees referred to in paragraph (1)(B)(i).
(c) Under regulations prescribed by the Office,
an employee or Member, or a former employee
or Member, may designate one or more beneficiaries under this section.
(d) Lump-sum benefits authorized by subsections (e) through (g) shall be paid to the individual or individuals surviving the employee or
Member and alive at the date title to the payment arises in the following order of precedence,
and the payment bars recovery by any other individual:
First, to the beneficiary or beneficiaries designated by the employee or Member in a
signed and witnessed writing received in the
Office before the death of such employee or
Member. For this purpose, a designation,
change, or cancellation of beneficiary in a will
or other document not so executed and filed
has no force or effect.
Second, if there is no designated beneficiary,
to the widow or widower of the employee or
Member.
Third, if none of the above, to the child or
children of the employee or Member and descendants of deceased children by representation.
Fourth, if none of the above, to the parents
of the employee or Member or the survivor of
them.
Fifth, if none of the above, to the duly appointed executor or administrator of the estate of the employee or Member.

Page 914

Sixth, if none of the above, to such other
next of kin of the employee or Member as the
Office determines to be entitled under the laws
of the domicile of the employee or Member at
the date of death of the employee or Member.
For the purpose of this subsection, ‘‘child’’ includes a natural child and an adopted child, but
does not include a stepchild.
(e) If an employee or Member, or former employee or Member, dies—
(1) without a survivor, or
(2) with a survivor or survivors and the right
of all survivors under subchapter IV terminates before a claim for survivor annuity
under such subchapter is filed,
the lump-sum credit shall be paid.
(f) If all annuity rights under this chapter
(other than under subchapter III of this chapter)
based on the service of a deceased employee or
Member terminate before the total annuity paid
equals the lump-sum credit, the difference shall
be paid.
(g) If an annuitant dies, annuity accrued and
unpaid shall be paid.
(h) Annuity accrued and unpaid on the termination, except by death, of the annuity of an annuitant or survivor shall be paid to that individual. Annuity accrued and unpaid on the death of
a survivor shall be paid in the following order of
precedence, and the payment bars recovery by
any other person:
First, to the duly appointed executor or administrator of the estate of the survivor.
Second, if there is no executor or administrator, payment may be made, after 30 days
from the date of death of the survivor, to such
next of kin of the survivor as the Office determines to be entitled under the laws of the
domicile of the survivor at the date of death.
(Added Pub. L. 99–335, title I, § 101(a), June 6,
1986, 100 Stat. 539; amended Pub. L. 106–361, § 3(b),
Oct. 27, 2000, 114 Stat. 1402; Pub. L. 111–84, div. A,
title XIX, § 1904(b)(4), Oct. 28, 2009, 123 Stat. 2617.)
AMENDMENTS
2009—Subsec. (a). Pub. L. 111–84 substituted ‘‘based,
until the employee or Member is reemployed in the
service subject to this chapter.’’ for ‘‘based.’’ in concluding provisions.
2000—Subsec. (b)(1). Pub. L. 106–361 amended par. (1)
generally. Prior to amendment, par. (1) read as follows:
‘‘Payment of the lump-sum credit under subsection
(a)—
‘‘(A) may be made only if any current spouse and
any former spouse of the employee or Member are notified of the application by the employee or Member;
and
‘‘(B) in any case in which there is a former spouse,
shall be subject to the terms of a court decree of divorce, annulment, or legal separation issued with respect to such former spouse if—
‘‘(i) the decree expressly relates to any portion of
the lump-sum credit involved; and
‘‘(ii) payment of the lump-sum credit would affect
any right or interest of the former spouse with respect to a survivor annuity under section 8445, or to
any portion of an annuity under section 8467.’’

§ 8425. Mandatory separation
(a) An air traffic controller who is otherwise
eligible for immediate retirement under section
8412(e) shall be separated from the service on the

Office of Personnel Management

§ 843.204

§ 843.103 Application required.
(a) No person is entitled to benefits
under this part unless an application
on behalf of that person is filed with
OPM no later than 30 years after the
death of the employee, separated employee, or retiree on whose service the
benefit is based.
(b) Applications for benefits under
this part must be filed on the form provided by OPM for that purpose.

Subpart B—One-time Payments
§ 843.201 Purpose.
This subpart explains the requirements under FERS—
(a) For payment of employee contributions to the Civil Service Retirement Fund—
(1) As a refund of contribution, to
separated employees; or
(2) As a death benefit, to survivors of
employees, separated employees, and
retirees; and
(b) For payment of any accrued, but
unpaid, annuity to survivors of retirees.
§ 843.202 Eligibility for payment of the
unexpended balance to a separated
employee.
(a) Except as provided in §§ 843.208
and 843.209 or in section 3716 of title 31,
United States Code, on administrative
offset for Government claims, a separated employee who has been separated
from a covered position for at least 31
days and who is ineligible for an annuity commencing within 31 days after
the date of filing an application for refund is eligible for a payment of the
unexpended balance.
(b) Periods of service for which employee contributions have been refunded are not creditable service in determining whether the employee has
sufficient service to have title to an
annuity or for any other purpose.
§ 843.203 Eligibility for a one-time payment upon death of an employee,
separated employee, or retiree if no
one is eligible for an annuity.
(a) If there is no survivor who is entitled to monthly survivor annuity benefits on the death of an employee, separated employee, retiree, or survivor annuitant, the unexpended balance is

payable, except as provided in section
3716 of title 31, United States Code, on
administrative offset for Government
claims, to the person(s) entitled in the
normal order of precedence described
in section 8424 of title 5, United States
Code.
(b) If a deceased employee, separated
employee, retiree or Member provided
in a valid designation of beneficiary
that the lump sum proceeds shall be
payable to the deceased’s estate, or to
the Executor, Administrator, or other
representative of the deceased’s estate,
or if the proceeds would otherwise be
properly payable to the duly appointed
representative of the deceased’s estate
under the order of precedence specified
in 5 U.S.C. 8424(d), payment of the proceeds to the duly appointed representative of the deceased’s estate will bar recovery by any other person.
[52 FR 2074, Jan. 16, 1987, as amended at 57
FR 29784, July 7, 1992]

§ 843.204 Eligibility for a one-time payment upon death of an employee,
separated employee, or retiree if
someone is eligible for an annuity.
(a) Except as provided in section 3716
of title 31, United States Code, on administrative offset for Government
claims, even if an annuity is payable,
the person entitled in the order of precedence described in section 8424 of title
5, United States Code, may be paid—
(1) Partial deposits for civilian service performed on and after October 1,
1982; and
(2) Partial deposits for post-1956 military service; and
(3) The accrued benefit.
(b) Except as provided in subpart G of
part 842 of this chapter or § 843.311,
when someone is eligible for an annuity, the person entitled in the order of
precedence may not be paid—
(1) Partial or completed deposits for
nondeduction civilian service performed before October 1, 1982, unless
the service covered by the deposit is
not creditable under FERS; or
(2) Completed deposits for nondeduction civilian service performed on and
after October 1, 1982, unless the service
covered by the deposit is not creditable
under or FERS; or
(3) Completed deposits for post-1956
military service, unless the service

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§ 843.205

5 CFR Ch. I (1–1–14 Edition)

covered by the deposit is not creditable
under FERS.
(c) Payments of the partial or completed deposits mentioned in paragraph
(b) of this section are subject to section
3716 of title 31, United States Code (administrative offset for Governmental
claims).
§ 843.205 Designation of beneficiary—
form and execution.
(a) A designation of beneficiary must
be in writing, signed and witnessed,
and received in the employing office
(or in OPM, in the case of a retiree, or
a compensationer, or a separated employee) before the death of the designator.
(b) A change or cancellation of beneficiary in a last will or testament, or in
any other document not witnessed and
filed as required by this section, will
not have any force or effect.
(c) A witness to a designation of beneficiary is ineligible to receive payment as a beneficiary.
(d) Any person, firm, corporation, or
legal entity may be named as beneficiary.
(e) A change of beneficiary may be
made at any time and without the
knowledge or consent of the previous
beneficiary. This right cannot be
waived or restricted.
(f) A designation of beneficiary is
automatically cancelled whenever a
separated employee is paid the unexpended balance.
(g)(1) If the shares designated equal
less than 100 percent, the undesignated
portion will be paid according to the
order of precedence provided in section
8424 of title 5, United States Code.
(2) If the shares designated exceed 100
percent, each designee’s share will be
in proportion to the share originally
designated. Each share is computed by
multiplying the percentage designated
for that designee by a fraction whose
numerator is 100 and whose denominator is the total number of percent
designated.
§ 843.206 Designation of beneficiary—
proof of receipt.
(a) Upon receipt of a designation of
beneficiary, the agency (or OPM) will
mark the designation to show the date
of receipt.

(b) The date of receipt of designation
of beneficiary is presumed to be the
date marked by the agency (or OPM).
§ 843.207

Agent of next of kin.

When a deceased employee or retiree
has not named a beneficiary and one of
the next of kin entitled makes a claim
for the accrued benefit, other next of
kin entitled to share in the unexpended
balance or accrued benefit may designate the one who made the claim to
act as their agent to receive their distributive shares.
§ 843.208 Notification of current and/or
former spouse before payment of
unexpended balance to a separated
employee.
(a) Payment to an employee of the
unexpended balance may be made only
if current and former spouses are notified of the former employee’s application.
(b) Proof of notification will consist
of a signed and witnessed statement by
the current and/or former spouse on a
form provided by OPM acknowledging
that he or she has been informed of the
former employee’s application for the
unexpended balance and the consequences of the refund on the current
or former spouse’s possible annuity entitlement. This statement must be presented to the employing agency or
OPM when filing the application for
the unexpended balance.
(c) If the current and/or former
spouse refuses to acknowledge the notification or the employee is otherwise
unable to obtain the acknowledgment,
the employee must submit—
(1) Affidavits signed by two individuals who witnessed the employee’s attempt to personally notify the current
or former spouse. The witnesses must
attest that they were in the presence of
the employee and the current or former
spouse and that the employee’s purpose
should have been clear to the current
or former spouse; or
(2) The current mailing address of the
current or former spouse. OPM will attempt to notify (by certified mail—return receipt requested) the current or
former spouse at the address provided
by the employee. The unexpended balance will not be paid until OPM receives the signed return receipt.

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Office of Personnel Management
§ 843.209 Waiver
quirement.

of

notification

§ 843.303
re-

The current and/or former spouse notification requirement will be waived
upon a showing that the current and/or
former spouse’s whereabouts cannot be
determined. A request for waiver on
this basis must be accompanied by—
(a) A judicial or administrative determination that the current and/or
former spouse’s whereabouts cannot be
determined; or
(b) Affidavits by the former employee
and two other persons, at least one of
whom is not related to the former employee, attesting to the inability to locate the current and/or former spouse
and stating the efforts made to locate
the current and/or former spouse.
§ 843.210 Transfers
ment systems.

between

retire-

Transfers of employees’ contributions between the Civil Service Retirement Fund and other retirement systems for Federal or District of Columbia employees when made in accordance with Federal statute for the purpose of transferring retirement service
credit to the other retirement system
are not subject to the notice requirements of this subpart.
§ 843.211 Determining when children
prevent payment of the unexpended
balance.
Someone entitled to an annuity for
purposes of §§ 843.203 and 843.204 includes a child, even if the amount of
the child’s annuity is zero because the
amount of the social security child survivor benefits exceeds the child survivor benefits payable under CSRS, unless—
(a) The child’s annuity entitlement
has terminated under § 843.408(b); or
(b) The child is—
(1) A disabled child under § 843.407,
(2) At least age 23, and
(3) Entitled to social security child
survivor benefits in an amount that
equals or exceeds the amount of the
child survivor benefits payable under
CSRS.
[52 FR 23014, June 17, 1987]

§ 843.212 Lump-sum payments which
include contributions made to a retirement system for employees of a
nonappropriated fund instrumentality.
A lump-sum payment will include
employee contributions and interest as
provided under subpart G of part 847 of
this chapter.
[61 FR 41721, Aug. 9, 1996]

Subpart C—Current and Former
Spouse Benefits
§ 843.301

Purpose.

This subpart explains the survivor
benefits payable under FERS to current and former spouses based on the
death or retirees, employees, and separated employees.
§ 843.302 Time for filing applications
for death benefits.
A current or former spouse of a deceased retiree, employee, or separated
employee may file an application for
benefits under this subpart, personally
or through a representative, at any
time within 30 years after the death of
the retiree, employee, or separated employee.
§ 843.303 Marriage
ments.

duration

require-

(a) The current spouse of a retiree, an
employee, or a separated employee can
qualify for a current spouse annuity or
the basic employee death benefit only
if—
(1) The current spouse and the retiree, employee, or separated employee
had been married for at least 9 months,
as explained in paragraph (b) of this
section; or
(2) A child was born of the marriage,
as explained in paragraph (c) of this
section; or
(3) The death of the retiree, employee, or separated employee was accidental as explained in paragraph (d)
of this section.
(b) For satisfying the 9-month marriage requirement of paragraph (a)(1) of
this section, the aggregate time of all
marriages between the spouse applying
for a current spouse annuity and the
retiree, employee, or separated employee is included.

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