[Federal Register Volume 72, Number 159 (Friday, August 17, 2007)]
[Notices]
[Pages 46251-46253]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: E7-16212]


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RAILROAD RETIREMENT BOARD


Agency Information Collection Activities: Proposed collections; 
Comment Request

    Summary: In accordance with the requirement of Section 
3506(c)(2)(A) of the Paperwork Reduction Act of 1995 which provides 
opportunity for public comment on new or revised data collections, the 
Railroad Retirement Board (RRB) publishes periodic summaries of 
proposed data collections. The information collections numbered below 
are pending at RRB and will be submitted to the Office of Management 
and Budget (OMB) 60 days from the publication date of this notice.
    Comments are Invited on: (a) Whether the proposed information 
collection(s) is necessary for the proper performance of the functions 
of the agency, including whether the information has practical utility; 
(b) the accuracy of the RRB's estimate of the burden of the collection 
of the information; (c) ways to enhance the quality, utility, and 
clarity of the information to be collected; and (d) ways to minimize 
the burden related to the collection of information on respondents, 
including the use of automated collection techniques or other forms of 
information technology.
    1. Title and Purpose of Information Collection; Railroad Service 
and Compensation Reports/System Access Application; OMB 3220-0008 Under 
Section 9 of the Railroad Retirement Act (RRA) and Section 6 of the 
Railroad Unemployment Insurance Act (RUIA) the Railroad Retirement 
Board (RRB) maintains for each railroad employee, a record of 
compensation paid to that employee by all railroad employers for whom 
the employee worked after 1936. This record, which is used by the RRB 
to determine eligibility for, and amount of, benefits due under the 
laws it administers, is conclusive as to the amount of compensation 
paid to an employee during such period(s) covered by the report(s) of 
the compensation by the employee's railroad employer(s), except in 
cases when an employee files a protest pertaining to his or her 
reported compensation within the statue of limitations cited in Section 
9 of the RRA and Section 6 of the RUIA.
    To enable the RRB to establish and maintain the record of 
compensation, employers are required to file with the RRB, in such 
manner and form and at such times as the RRB prescribes, reports of 
compensation of employees. Railroad Employers' Reports and 
Responsibilities are prescribed in 20 CFR 209. The RRB currently 
utilizes Form BA-3a, Annual Report of Compensation and Form BA-4, 
Report of Creditable Compensation Adjustments, to secure required 
information from railroad employers. Form BA-3a provides the RRB with 
information regarding annual creditable service and compensation for 
each individual who worked for a railroad employer covered by the RRA 
and RUIA in a given year. Form BA-4 provides for the adjustment of any 
previously submitted reports and also the opportunity to provide any 
service and compensation that had been previously omitted. Requirements 
specific to Forms BA-3a and BA-4 are prescribed in 20 CFR 209.8 and 
209.9.
    Employers currently have the option of submitting the reports on 
the aforementioned forms, electronically via the Internet utilizing the 
RRB's Employer Reporting System (ERS) (for Form BA-4), or in like 
format on magnetic tape cartridges, CD-ROM's and PC diskettes.
    The RRB proposes major changes to the information collection. They 
are intended to streamline the employer reporting process, ensuring 
more accurate and timely reporting, while eliminating or reducing the 
employer reporting burden associated with several other RRB information 
collections.
    Form BA-3a will be significantly revised and renamed Form BA-3, 
Annual Report of Compensation. Revisions to proposed Form BA-3 include 
the expansion of existing data fields to allow for: the reporting of 
amounts for Tier I and Tier II compensation greater than $99,999.99 
(the annual creditable maximum for Tier I will exceed that amount 
within the next two years), RUIA daily pay amounts of more than $99.99, 
4-digit year fields and an employee's complete

[[Page 46252]]

first and last name. New Items requesting information regarding sick 
pay and miscellaneous compensation, the employee's current address, 
maximum benefit RUIA compensation, and employment relationship status 
for months not worked will be added.
    Data fields for proposed Form BA-4 will be revised to allow for: 
the reporting of Tier I and Tier II compensation greater than 
$99,999.99 (the annual creditable maximum for Tier I will exceed that 
amount within the next two years), RUIA daily pay rate amounts of more 
than $99.99, 4-digit year fields and an employee's complete first and 
last name. New Items providing for the reporting of adjustments to the 
originally reported Tier I and Tier II amounts, sick pay, miscellaneous 
compensation, RUIA maximum benefit amounts, and an employee's daily pay 
rate will be added.
    The RRB proposes the implementation of two additional electronic 
equivalent methods of submission for Form BA-3 and Form BA-4 
information: File Transfer Protocol (FTP) and secure E-mail.
    The information collection also includes RRB Form BA-12, 
Application for Employer Reporting Internet Access. Form BA-12 is 
completed by railroad employers to obtain system access to the RRB's 
Employer Reporting System (ERS). Once access is obtained, authorized 
employees may submit reporting forms to the RRB via the Internet. The 
form determines what degree of access (view/only, data entry/
modification or approval/submission) is appropriate for that employee. 
It is also used to terminate an employee's access to ERS. No changes 
are being proposed to Form BA-12.
    Lastly, the RRB proposes the addition of new Form G-440, Report 
Specifications Sheet, to the collection. Form G-440 will act as a 
certification document for various RRB employer reporting forms (Forms 
BA-3, BA-4, Form BA-6a, BA-6, Address Report (OMB 3220-0005), BA-9, 
Report of Separation Allowance or Severance Pay (OMB 3220-0173) and BA-
11, Report of Gross Earnings (OMB 3220-0132)). It will also be used to 
record the type of medium the report was submitted on, and as a summary 
recapitulation sheet for reports filed on paper.
    The estimated completion times for Form(s) BA-3, BA-4 and G-440 
vary, depending on circumstances and the method of submission. The 
completion time for Form BA-3 is estimated at 46 hours and 15 minutes 
per response for electronic submissions to 116 hours and 51 minutes for 
manual responses. The completion time for Form BA-4 is estimated at 20 
minutes for an ERS Internet-based response, 60 minutes for an 
electronic submission (magnetic tape cartridge, CD-ROM, diskette, 
secure E-mail, FTP) and 75 minutes for a manual response. The 
completion time for form BA-12 is estimated at 10 minutes when used to 
terminate system access and 20 minutes when used to obtain system 
access. The completion time for proposed Form G-440 is estimated at 15 
minutes when submitted with a paper form and/or used to file a ``zero'' 
or ``no employees'' certification, 30 minutes when used as an 
electronic medium reporting/certification form, and 1 hour and 15 
minutes when used as a certification and recapitulation form. 
Submission of Form BA-3, BA-4, and G-440 is mandatory. Completion of 
Form BA-12 is voluntary. It is completed only if an employer wants to 
submit reports via the Internet. One response is requested of each 
respondent for all of the forms in the collection. Depending on 
circumstances and method of submission chosen, multiple responses will 
be received from a respondent for Form BA-4 and G-440. The annual 
respondent burden for the information collection is estimated at 7,348 
responses and 43,756 hours.
    2. Title and Purpose of Information Collection; Employer Reporting, 
3220-0005.
    Under Section 9 of the Railroad Retirement Act (RRA), and Section 6 
of the Railroad Unemployment Insurance Act (RUIA), railroad employers 
are required to submit reports of employee service and compensation to 
the RRB as needed for administering the RRA and RUIA. To pay benefits 
due on a deceased employee's earnings records or determine entitlement 
to, and amount of annuity applied for, it is necessary at times to 
obtain from railroad employers current (lag) service and compensation 
not yet reported to the RRB through the annual reporting process. The 
reporting requirements are specified in 20 CFR 209.6 and 209.7.
    The RRB currently utilizes Form G-88a.1, Notice of Retirement and 
Verification of Date Last Worked, Form G-88a.2, Notice of Retirement 
and Request for Service Needed for Eligibility, and Form AA-12, Notice 
of Death and Compensation, to obtain the required lag service and 
related information from railroad employers. Form G-88a.1 is a 
computer-generated listing sent by the RRB to railroad employers and 
used for the specific purpose of verifying information previously 
provided to the RRB regarding the date last worked by an employee. If 
the information is correct, the employer need not reply. If the 
information is incorrect, the employer is asked to provide corrected 
information. Form G-88a.2 is used by the RRB to secure lag service and 
compensation information when it is needed to determine benefit 
eligibility. Form AA-12 obtains a report of lag service and 
compensation from the last railroad employer of a deceased employee. 
This report covers the lag period between the date of the latest record 
of employment processed by the RRB and the date an employee last 
worked, the date of death or the date the employee may have been 
entitled to benefits under the Social Security Act. The information is 
used by the RRB to determine benefits due on the deceased employee's 
earnings record. The RRB proposes no changes to Form AA-12, Form G-
88a.1 and Form G-88a.2.
    In addition, 20 CFR 209.12(b) requires all railroad employers to 
furnish the RRB with the home addresses of all employees hired within 
the last year (new-hires). Form BA-6a, Form BA-6 Address Report, is 
used by the RRB to obtain home address information of employees from 
railroad employers that do not have the home address information 
computerized and who submit the information in a paper format. The form 
also serves as an instruction sheet to railroad employers who can also 
submit the information electronically by magnetic tape cartridge, CD-
ROM, PC diskette, secure E-mail, or via the Internet utilizing the 
RRB's Employer Reporting System (ERS). The RRB proposes changes to Form 
BA-6a. An existing data field will be revised to allow for an 
employee's complete first and last name. A new item will be added to 
indicate the date an employee reported the address to his employer.
    Completion of the forms is mandatory. One response is requested of 
each respondent. The completion time for Form G-88a.1 is estimated at 5 
to 20 minutes. Form G-88a.2 is estimated at 5 minutes per response. The 
completion time for Form AA-12 is estimated at 5 minutes per response. 
The completion time for Form BA-6a varies, depending on circumstances 
and the method of submission. An Internet-based BA-6a response 
utilizing the RRB's ERS system is estimated at 12 to 17 minutes. BA-6a 
responses submitted via magnetic tape, diskette, CD-ROM, secure E-mail 
and FTP are estimated at 15 minutes. BA-6a's responses submitted on 
manual form BA-6a are estimated at 32 minutes. The annual respondent 
burden for the information collection is estimated at 1,928 responses 
and 434 hours.

[[Page 46253]]

    3. Title and Purpose of Information Collection; Railroad Separation 
Allowance or Severance Pay Report; OMB 3220-0173.
    Section 6 of the Railroad Retirement Act provides for a lump-sum 
payment to an employee or the employee's survivors equal to the Tier II 
taxes paid by the employee on a separation allowance or severance 
payment for which the employee did not receive credits toward 
retirement. The lump-sum is not payable until retirement benefits begin 
to accrue or the employee dies. Also, Section 4(a-1)(iii) of the 
Railroad Unemployment Insurance Act provides that a railroad employee 
who is paid a separation allowance is disqualified for unemployment and 
sickness benefits for the period of time the employee would have to 
work to earn the amount of the allowance. The reporting requirements 
are specified in 20 CFR 209.14.
    In order to calculate and provide payments, the Railroad Retirement 
Board (RRB) must collect and maintain records of separation allowances 
and severance payments which were subject to Tier II taxation from 
railroad employers. The RRB uses Form BA-9 to obtain information from 
railroad employers concerning the separation allowances and severance 
payments made to railroad employees and/or the survivors of railroad 
employees. Employers currently have the option of submitting a paper 
BA-9, or in like format, a magnetic tape cartridge, CD-ROM or PC 
diskette. Completion is mandatory. One response is requested of each 
respondent
    The RRB proposes changes to Form BA-9. Data fields for the proposed 
Form BA-9 will be revised to allow for: an employee's complete first 
and last name, 4-digit year fields, and expanded yearly compensation 
fields for Tier II taxed and Tier II credited amounts.
    The RRB also proposes the implementation of two additional 
electronic equivalent methods of submission for BA-9 information: File 
Transfer Protocol (FTP) and secure E-mail.
    The completion time for Form BA-9 and all electronic equivalent 
methods of submission is estimated at 1 hour and 16 minutes. The annual 
respondent burden for the information collection is estimated at 360 
responses and 458 burden hours.
    4. Title and Purpose of Information Collection; Gross Earnings 
Report; OMB 3220-0132.
    In order to carry out the financial interchange provisions of 
section 7(c)(2) of the Railroad Retirement Act (RRA), the RRB obtains 
annually from railroad employer's the gross earnings for their 
employees on a one-percent basis, i.e., 1% of each employer's railroad 
employees. The gross earnings sample is based on the earnings of 
employees whose social security numbers end with the digits ``30.'' The 
gross earnings are used to compute payroll taxes under the financial 
interchange.
    The gross earnings information is essential in determining the tax 
amounts involved in the financial interchange with the Social Security 
Administration and Centers for Medicare and Medicaid Services. Besides 
being necessary for current financial interchange calculations, the 
gross earnings file tabulations are also an integral part of the data 
needed to estimate future tax income and corresponding financial 
interchange amounts. These estimates are made for internal use and to 
satisfy requests from other government agencies and interested groups. 
In addition, cash flow projections of the social security equivalent 
benefit account, railroad retirement account and cost estimates made 
for proposed amendments to laws administered by the RRB are dependent 
on input developed from the information collection.
    The RRB utilizes Form BA-11 or its electronic equivalent(s) to 
obtain gross earnings information from railroad employers. Employers 
currently have the option of preparing and submitting BA-11 reports on 
paper, or in like format on magnetic tape cartridges and PC diskettes. 
Completion is mandatory. One response is requested of each respondent.
    The RRB proposes changes to Form BA-11 to add an additional item 
for an employer's name and to expand an existing item to allow for the 
reporting of an employee's complete first and last name. The RRB also 
proposes the implementation of two additional electronic equivalent 
methods of submission for BA-11information: File Transfer Protocol 
(FTP) and secure E-mail.
    The RRB estimates the completion time for BA-11 information as 
follows: 5 hours for BA-11 responses submitted via File Transfer 
Protocol and magnetic tape and 30 minutes for BA-11's submitted via 
paper, diskette, and secure E-mail. The annual respondent burden for 
the information collection is estimated at 168 responses and 107 burden 
hours.
    Additional Information or Comments: To request more information 
regarding any of the information collections listed above or to obtain 
copies of the information collection justifications, forms, and/or 
supporting material, please call the RRB Clearance Officer at (312) 
751-3363 or send an e-mail request to [email protected].
    Comments regarding the information collections should be sent to 
Ronald J. Hodapp, Railroad Retirement Board, 844 North Rush Street, 
Chicago, Illinois 60611-2092 or via an e-mail to [email protected], 
and to the Office of Management Budget at ATTN: Desk Officer for RRB, 
FAX : (202) 395-6974 or via E-mail to [email protected]. 
Comments should be received within 60 days of this notice.

Charles Mierzwa,
Clearance Officer.
 [FR Doc. E7-16212 Filed 8-16-07; 9:41 am]
BILLING CODE 7905-01-P