[Federal Register Volume 75, Number 204 (Friday, October 22, 2010)]
[Notices]
[Pages 65387-65389]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2010-26523]



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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-3, Annual Report of Compensation and Form BA-4, Report 
of Creditable Compensation Adjustments, to secure required information 
from railroad employers. Form BA-3 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-3 and BA-4 are prescribed in 20CFR 209.8 and 
209.9.
    Employers currently have the option of submitting the reports on 
the aforementioned forms, electronically by File Transfer Protocol 
(FTP), secure E-mail or 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 no changes 
to Form BA-3 or BA-4.
    The information collection also includes RRB Form BA-12, 
Application for Employer Reporting Internet Access and Form G-440, 
Report Specifications Sheet. 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. The RRB proposes no changes to 
Form BA-12. Form G-440, Report Specifications Sheet, serves 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 records the type of 
medium the report was submitted on, and serves as a summary 
recapitulation sheet for reports filed on paper.
    The estimated completion times for Form(s) BA-3, BA-4, BA-12 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 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.

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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 no changes to 
Form BA-6a.
    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. 
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 2,748 responses and 502 hours.
    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 or electronically by File Transfer Protocol (FTP) or secure E-
mail. Completion is mandatory. One response is requested of each 
respondent.
    The RRB proposes no changes to Form BA-9. 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 457 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 employers 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 
have the option of preparing and submitting BA-11 reports on paper, (or 
in like format) on magnetic tape cartridges and PC diskettes, or by 
File Transfer Protocol (FTP) or secure E-mail. Completion is mandatory. 
One response is requested of each respondent. The RRB proposes no 
changes to Form BA-11.
    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 169 responses and 121 burden 
hours.
    5. Title and Purpose of Information Collection. Application and 
Claim for Unemployment Benefits and Employment Service; OMB 3220-0022.
    Section 2 of the Railroad Unemployment Insurance Act (RUIA), 
provides unemployment benefits for qualified railroad employees. These 
benefits are generally payable for each day of unemployment in excess 
of four during a registration period (normally a period of 14 days).
    Section 12 of the RUIA provides that the RRB establish, maintain 
and operate free employment facilities directed toward the reemployment 
of railroad employees. The procedures for applying for the unemployment 
benefits and employment service and for registering and claiming the 
benefits are prescribed in 20 CFR 325.
    The RRB utilizes the following forms to collect the information 
necessary to pay unemployment benefits: Form UI-1 (or its Internet 
equivalent, Form UI-1 (Internet)), Application for Unemployment 
Benefits and Employment Service, is completed by a claimant for 
unemployment benefits once in a benefit year, at the time of first 
registration. Completion of Form UI-1 or UI-1 (Internet) also registers 
an unemployment claimant for the RRB's employment service. The RRB 
proposes

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no changes to Form UI-1 or UI-1 (Internet).
    The RRB also utilizes Form UI-3, (or its Internet equivalent Form 
UI-3 (Internet)) Claim for Unemployment Benefits for use in claiming 
unemployment benefits for days of unemployment in a particular 
registration period, normally a period of 14 days. The RRB proposes no 
changes to Form UI-3 or UI-3 (Internet).
    Completion of Forms UI-1, UI-1 (Internet), UI-3 and UI-3 (Internet) 
is required to obtain or retain benefits. The number of responses 
required of each claimant varies, depending on their period of 
unemployment. The RRB estimates that approximately 16,163 Form UI-1's 
(12,747 manual and 3,416 Internet) will be filed annually. Completion 
time for Form UI-1 and UI-1 (Internet) is estimated at 10 minutes. The 
RRB estimates that approximately 146,168 Form UI-3's (108,217 manual 
and 37,951 Internet) will be filed annually. Completion time for Form 
UI-3 and the UI-3 (Internet) is estimated at 6 minutes. The total 
annual respondent burden for the information collection is estimated at 
162,331 responses and 17,311 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 Patricia A. 
Henaghan, Railroad Retirement Board, 844 North Rush Street, Chicago, 
Illinois 60611-2092 or send an e-mail to [email protected]. 
Comments should be received within 60 days of this notice.

Charles Mierzwa,
Clearance Officer.
[FR Doc. 2010-26523 Filed 10-21-10; 8:45 am]
BILLING CODE 7905-01-P