[Federal Register Volume 72, Number 204 (Tuesday, October 23, 2007)]
[Notices]
[Pages 60043-60046]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: E7-20809]


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RAILROAD RETIREMENT BOARD


Agency Forms Submitted for OMB Review, Request for Comments

    Summary: In accordance with the Paperwork Reduction Act of 1995 (44 
U.S.C. Chapter 35), the Railroad Retirement Board (RRB) is forwarding 
the following Information Collection Requests (ICR's) to the Office of 
Information and Regulatory Affairs (OIRA), Office of Management and 
Budget (OMB). Our ICR's describe the information we seek to collect 
from the public. Review and approval by OIRA ensures that we impose 
appropriate paperwork burdens.
    The RRB invites comments on the proposed collections of information 
to determine (1) the practical utility of the collection; (2) the 
accuracy of the estimated burden of the collection; (3) ways to enhance 
the quality, utility and clarity of the information that is the subject 
of collection; and (4) ways to minimize the burden of collections on 
respondents, including the use of automated collection techniques or 
other forms of information technology. Comments to RRB or OIRA must 
contain the OMB control number of the particular ICR. For proper 
consideration of your comments, it is best if RRB and OIRA receive them 
within 30 days of publication date.
    1. Title and Purpose of Information Collection Request; Railroad 
Service and Compensation Reports/System Access Application/Report 
Certification; 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

[[Page 60044]]

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 statute 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 (Internet)), 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 rate amounts of more than 
$99.99, 4-digit year fields and expansion of the employee's name field. 
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 and BA-4 (Internet) 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 expansion of the 
employee's name field. 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 also 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 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 (BA-4 (Internet)), 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, BA-4 (Internet) 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 may 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.
    Previous Requests for Comments: The RRB has already published the 
initial 60-day notice (72 FR 46251-46253 on August 17, 2007) required 
by 44 U.S.C. 3506(c)(2). The RRB received comments from the Department 
of Commerce's, Bureau of Economic Analysis (BEA), strongly supporting 
the RRB's continued collection of the data on Forms BA-3(a) and BA-4 
stating ``these forms are our main data source for key components of 
BEA's economic statistics''. No other comments were received.

Information Collection Request (ICR)

    Title: Railroad Service and Compensation Reports/System Access 
Application/Report Certification.
    OMB Control Number: 3220-0008.
    Form(s) submitted: BA-3, BA-4, BA-4(Internet), BA-12, G-440.
    Type of request: Revision of a currently approved collection.
    Affected public: Business or other for-profit.
    Abstract: Under the Railroad Retirement Act and the Railroad 
Unemployment Insurance Act, employers are required to report service 
and compensation for each employee to update Railroad Retirement Board 
records for payments of benefits. The collection obtains service and 
compensation information, information needed to ensure secure system 
access from employers who voluntarily opt to use the RRB's Internet-
based Employer Reporting system to submit reporting forms, and 
information needed to certify employer reporting transactions.

[[Page 60045]]

    The burden estimate for the ICR is as follows:
    Estimated Annual Number of Respondents: 579.
    Total Annual Responses: 7,348.
    Total Annual Reporting Hours: 43,756.
    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 (Form BA-6a 
(Internet)) utilizing the RRB's Employer Reporting System (ERS).
    The RRB proposes changes to Form BA-6a and BA-6a (Internet). The 
employee's name field will be expanded. A new item will be added to 
indicate the date an employee reported the address to his employer. The 
RRB also proposes the implementation of an additional electronic 
equivalent method of submission for BA-6a information: File Transfer 
Protocol (FTP).
    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 (Internet) 
response utilizing the RRB's ERS system is estimated at 12 to 17 
minutes. Electronic 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.
    Previous Requests for Comments: The RRB has already published the 
initial 60-day notice (72 FR 46251-46253 on August 17, 2007) required 
by 44 U.S.C. 3506(c)(2). The RRB received comments from the Department 
of Commerce's, Bureau of Economic Analysis (BEA), strongly supporting 
the RRB's continued use of Form BA-6a information as data from it (and 
RRB Form(s) BA-3a and BA-4) is used to prepare BEA estimates of the 
wages and salaries, employer contributions for employee pension and 
insurance funds, and personal contributions for government social 
insurance components of State, and county personal income. No other 
comments were received.

Information Collection Request (ICR)

    Title: Employer Reporting.
    OMB Control Number: 3220-0005.
    Form(s) submitted: AA-12, G-88a.1, G-88a.2, BA-6a, BA-6a 
(Internet), BA-6a (E-mail).
    Type of request: Revision of a currently approved collection.
    Affected public: Business or other for-profit.
    Abstract: Under the Railroad Retirement Act and the Railroad 
Unemployment Insurance Act, railroad employers are required to report 
service and compensation for employees needed to determine eligibility 
to and the amounts of benefits paid.
    The burden estimate for the ICR is as follows:
    Estimated Annual Number of Respondents: 579.
    Total Annual Responses: 1,928.
    Total Annual Reporting Hours: 434.
    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 equivalent format utilizing a magnetic tape cartridge, CD-
ROM or PC diskette. Completion is mandatory. One response is required 
of each respondent.
    The RRB proposes changes to Form BA-9. Form BA-9 will be revised to 
allow for expansion of the employee's name field, 4-digit year fields, 
and expanded yearly compensation fields for Tier II taxed and Tier II 
credited amounts. The RRB also proposes the

[[Page 60046]]

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 76 minutes. The annual respondent 
burden for the information collection is estimated at 360 responses and 
457 burden hours.
    Previous Requests for Comments: The RRB has already published the 
initial 60-day notice (72 FR 46251-46253 on August 17, 2007) required 
by 44 U.S.C. 3506(c)(2). That request elicited no comments.

Information Collection Request (ICR)

    Title: Railroad Separation Allowance or Severance Report.
    OMB Control Number: 3220-0173.
    Form(s) submitted: BA-9.
    Type of request: Revision of a currently approved collection.
    Affected public: Business or other for-profit.
    Abstract: Section 6 of the Railroad Retirement Act provides for a 
lump-sum payment to an employee or the employee's survivor 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 collection obtains information concerning the 
separation allowances and severance payments paid from railroad 
employers.
    The burden estimate for the ICR is as follows:
    Estimated Annual Number of Respondents: 20.
    Total Annual Responses: 360.
    Total Annual Reporting Hours: 457.
    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 allow for 4-digit year 
fields, to add an additional item for an employer's name and to expand 
the employee's name field. The RRB also proposes the implementation of 
two additional electronic equivalent methods of submission for BA-11 
information: File Transfer Protocol (FTP) and secure e-mail.
    The completion time for Form BA-11 responses submitted via magnetic 
tape and FTP is estimated at 5 hours. The completion time for BA-11 
responses received by paper, diskette, CD-ROM, and secure E-mail is 
estimated at 30 minutes.
    Previous Requests for Comments: The RRB has already published the 
initial 60-day notice (72 FR 46251-46253 on August 17, 2007) required 
by 44 U.S.C. 3506(c)(2). That request elicited no comments.

Information Collection Request (ICR)

    Title: Gross Earnings Report.
    OMB Control Number: 3220-0132.
    Form(s) submitted: BA-11.
    Type of request: Revision of a currently approved collection.
    Affected public: Business or other for-profit.
    Abstract: Section 7(c)(2) of the Railroad Retirement Act requires a 
financial interchange between the OASDHI trust funds and the railroad 
retirement account. The collection obtains gross earnings of railway 
employees on a 1% basis. The information is used in determining the 
amount which would place the OASDHI funds trust in the position they 
would have been if railroad service had been covered by the Social 
Security and FIC Acts.
    The burden estimate for the ICR is as follows:
    Estimated Annual Number of Respondents: 168.
    Total Annual Responses: 168.
    Total Annual Reporting Hours: 107.
    Additional Information or Comments: Copies of the forms and 
supporting documents can be obtained from Charles Mierzwa, the agency 
clearance officer (312-751-3363) or [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 [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].

Charles Mierzwa,
Clearance Officer.
[FR Doc. E7-20809 Filed 10-22-07; 8:45 am]
BILLING CODE 7905-01-P