[Federal Register Volume 76, Number 222 (Thursday, November 17, 2011)]
[Notices]
[Pages 71389-71393]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2011-29698]


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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 
five Information Collection Requests (ICR) to the Office of Information 
and Regulatory Affairs (OIRA), Office of Management and Budget (OMB). 
Our

[[Page 71390]]

ICR describes 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 collection 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 the 
RRB or OIRA must contain the OMB control number of the ICR. For proper 
consideration of your comments, it is best if the RRB and OIRA receive 
them within 30 days of the publication date.
    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.
    Railroad Employers' Reports and Responsibilities are prescribed in 
20 CFR 209. The RRB currently utilizes Form BA-3, Annual Report of 
Creditable 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 20 CFR 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 Email or via the Internet utilizing the RRB's Employer 
Reporting System (ERS) (for Form BA-4), or in like format on magnetic 
tape cartridges, and CD-ROMs. The RRB proposes the implementation of an 
Internet equivalent version of Form BA-3 that can be submitted through 
the ERS which will include the option to file a ``negative report.''
    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) as well as to authorize the degree of access (view/only, 
data entry/modification or approval/submission) appropriate for 
designated employees. Once access is obtained, authorized employees may 
submit reporting forms to the RRB via the Internet. Form BA-12 is also 
used to terminate an employee's access to ERS. Form G-440, Report 
Specifications Sheet, serves as a certification document for various 
RRB employer reporting forms (the previously mentioned BA-3 and BA-4 as 
well as the 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)), records the type of medium 
the report was submitted on, and serves as a summary recapitulation 
sheet for reports filed on paper.
    Submission of Forms BA-3, BA-4, and G-440 is mandatory. Completion 
of Form BA-12 is voluntary. 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 Forms BA-4 and G-440.
    Previous Requests for Comments: The RRB has already published the 
initial 60-day notice (76 FR 54812 on September 2, 2011) required by 44 
U.S.C. 3506(c)(2). That request elicited no comments.

Information Collection Request (ICR)

    Title: Railroad Service and Compensation Reports/System Access 
Application.
    OMB Control Number: 3220-0008.
    Forms Submitted: BA-3, BA-3 (Internet), BA-4, BA-4 (Internet), BA-
12, and Form G-440.
    Type of Request: Revision of a currently approved collection of 
information.
    Affected Public: Private Sector.
    Abstract: Under the Railroad Retirement Act and 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.
    Changes Proposed: The RRB proposes the implementation of an 
Internet equivalent version of Form BA-3 that can be submitted through 
ERS, which will include the option to file a ``negative report.'' Minor 
non-burden impacting changes are proposed to Forms BA-4, BA-12 and G-
440.
    The Burden Estimate for the ICR Is as Follows:

----------------------------------------------------------------------------------------------------------------
                      Reporting                            Responses        Time (minutes)      Burden (hours)
----------------------------------------------------------------------------------------------------------------
BA-3
    Paper...........................................                  20               7,011               2,337
                                                      ..................        (116.85 hrs)
    Electronic Media................................                 152               2,775               7,030
                                                      ..................         (46.25 hrs)
    BA-3 (Internet).................................                 410               2,775              18,963
                                                      ..................         (46.25 hrs)
BA-4
    Paper...........................................                 160                  75                 200
    Electronic Media................................                 285                  60                 285
    BA-4 (Internet).................................               3,852                  20               1,284

[[Page 71391]]

 
BA-12
    Initial Access..................................                 550                  20                 183
    Access Termination..............................                  50                  10                   8
G-440 (certification)
    Form BA-3 (zero employees)......................                  26                  15                   7
    Form BA-11 (zero employees).....................                 138                  15                  35
    Paper forms (without recap).....................                 270                  15                  68
    Electronic transactions.........................                 728                  30                 364
    BA-3 and BA-4 (with recap)......................                 200                  75                 250
                                                     -----------------------------------------------------------
        Total.......................................               6,841  ..................              31,014
----------------------------------------------------------------------------------------------------------------

    2. Title and purpose of information collection: Medical Reports; 
OMB 3220-0038. Under Sections 2(a)(1)(iv) and 2(a)(1)(v) of the 
Railroad Retirement Act (RRA), annuities are payable to qualified 
railroad employees whose physical or mental condition makes them unable 
to (1) work in their regular occupation (occupational disability) or 
(2) work at all (permanent total disability). The requirements for 
establishing disability and proof of continuing disability under the 
RRA are prescribed in 20 CFR 220.
    Under Sections 2(c)(1)(ii)(C) and 2(d)(1)(ii) of the RRA, annuities 
are also payable to qualified spouses and widow(ers), respectively, who 
have a qualifying child who became disabled before age 22. Annuities 
are also payable to surviving children on the basis of disability under 
section 2(d)(1)(iii)(C) if the child's disability began before age 22 
as well as to widow(er)s on the basis of disability under section 
2(d)(1)(i)(B). To meet the disability standard, the RRA provides that 
individuals must have a permanent physical or mental condition such 
that they are unable to engage in any regular employment.
    Under Section 2(d)(1)(v) of the RRA, annuities are also payable to 
remarried widow(er)s and surviving divorced spouses on the basis of, 
among other things, disability or having a qualifying disabled child in 
care. However, the disability standard in these cases is that found in 
the Social Security Act. That is, individuals must be unable to engage 
in any substantial gainful activity by reason of any medically 
determinable physical or mental impairment. The RRB also determines 
entitlement to a Period of Disability and entitlement to early Medicare 
based on disability for qualified claimants in accordance with Section 
216 of the Social Security Act.
    When making disability determinations, the RRB needs evidence from 
acceptable medical sources. The RRB currently utilizes Forms G-3EMP, 
Report of Medical Condition by Employer; G-197, Authorization to 
Release Medical Information to the Railroad Retirement Board; G-250, 
Medical Assessment; G-250A, Medical Assessment of Residual Functional 
Capacity; G-260, Report of Seizure Disorder; RL-11B, Disclosure of 
Hospital Medical Records; RL-11D, Disclosure of Medical Records from a 
State Agency; and RL-250, Request for Medical Assessment, to obtain the 
necessary medical evidence. One response is requested of each 
respondent. Completion is voluntary.
    Previous requests for comments: The RRB has already published the 
initial 60-day notice (76 FR 52025 on August 19, 2011) required by 44 
U.S.C. 3506(c)(2). That request elicited no comments.

Information Collection Request (ICR)

    Title: Medical Reports.
    OMB Control Number: 3220-0038.
    Form(s) submitted: G-3EMP, G-197, G-250, G-250a, G-260, RL-11B, RL-
11D, RL-250.
    Type of request: Revision of a currently approved collection of 
information.
    Affected public: Individuals or households; Private Sector; State, 
Local and Tribal Government.
    Abstract: The Railroad Retirement Act provides disability annuities 
for qualified railroad employees whose physical or mental condition 
renders them incapable of working in their regular occupation 
(occupational disability) or any occupation (total disability). The 
medical reports obtain information needed for determining the nature 
and severity of the impairment.
    Changes proposed: The RRB proposes minor editorial changes to Form 
G-197. No changes to the other forms in the collection are proposed.
    The burden estimate for the ICR is as follows:

----------------------------------------------------------------------------------------------------------------
                      Form No.                         Annual responses     Time (minutes)      Burden (hours)
----------------------------------------------------------------------------------------------------------------
G-3EMP..............................................                 600                  10                 100
G-197...............................................               6,000                  10               1,000
G-250...............................................              11,950                  30               5,975
G-250A..............................................                  50                  20                  17
G-260...............................................                 100                  25                  42
RL-11B..............................................               5,000                  10                 833
RL-11D..............................................                 250                  10                  42
RL-250..............................................              11,950                  10               1,992
                                                     -----------------------------------------------------------
    Total...........................................              35,900  ..................              10,001
----------------------------------------------------------------------------------------------------------------

    3. Title and purpose of information collection: Student Beneficiary 
Monitoring; OMB 3220-0123.
    Under provisions of the Railroad Retirement Act (RRA), there are 
two types of benefit payments that are based on the status of a child 
being in full-time elementary or secondary school attendance at age 18-
19: A survivor child's annuity benefit under Section 2(d)(2)(iii) and 
an increase in the employee retirement annuity under the Special 
Guaranty computation as prescribed in section 3(f)(3) and 20 CFR 229.
    The survivor student annuity is usually paid by direct deposit to a 
financial institution either into the

[[Page 71392]]

student's checking or savings account or into a joint bank account with 
a parent. The requirements for eligibility as a student are prescribed 
in 20 CFR 216.74, and include students in independent study and home 
schooling.
    To help determine if a child is entitled to student benefits, the 
RRB requires evidence of full-time school attendance. This evidence is 
acquired through the RRB's student monitoring program, which utilizes 
the following forms. Form G-315, Student Questionnaire, obtains 
certification of a student's full-time school attendance as well as 
information on the student's marital status, Social Security benefits, 
and employment, which are needed to determine entitlement or continued 
entitlement to benefits under the RRA. Form G-315A, Statement of School 
Official, is used to obtain, from a school, verification of a student's 
full-time attendance when the student fails to return a monitoring Form 
G-315. Form G-315A.1, School Official's Notice of Cessation of Full-
Time School Attendance, is used by a school to notify the RRB that a 
student has ceased full-time school attendance.
    Previous Requests for Comments: The RRB has already published the 
initial 60-day notice (76 FR 52026 on August 19, 2011) required by 44 
U.S.C. 3506(c)(2). That request elicited no comments.

Information Collection Request (ICR)

    Title: Student Beneficiary Monitoring.
    OMB Control Number: 3220-0123.
    Form(s) submitted: G-315, G-315A, G-315A.1.
    Type of request: Extension without change of a currently approved 
collection.
    Affected public: Individuals or Households.
    Abstract: Under the Railroad Retirement Act (RRA), a student 
benefit is not payable if the student ceases full-time school 
attendance, marries, works in the railroad industry, has excessive 
earnings or attains the upper age limit under the RRA. The report 
obtains information to be used in determining if benefits should cease 
or be reduced.
    Changes proposed: The RRB proposes no changes to the forms in the 
collection.
    The burden estimate for the ICR is as follows:

----------------------------------------------------------------------------------------------------------------
                      Form No.                         Annual responses     Time  (minutes)     Burden  (hours)
----------------------------------------------------------------------------------------------------------------
G-315...............................................                 860                  15                 215
G-315A..............................................                  20                   3                   1
G-315A.1............................................                  20                   2                   1
                                                     -----------------------------------------------------------
    Total...........................................                 900  ..................                 217
----------------------------------------------------------------------------------------------------------------

    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 & 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 and railroad retirement account, as well as 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 equivalents 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, File Transfer Protocol 
(FTP), or secure Email. Completion is mandatory. One response is 
requested of each respondent.
    Previous Requests for Comments: The RRB has already published the 
initial 60-day notice (76 FR 54812 on September 2, 2011) 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 of 
information.
    Affected public: Private Sector.
    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 to determine the 
amount which would place the OASDHI trust funds in the position they 
would have been if railroad service had been covered by the Social 
Security and FIC Acts.
    Changes proposed: The RRB proposes no changes to Form BA-11. 
However, the RRB does propose the implementation of an Internet 
equivalent version of Form BA-11 that can be submitted through the 
Employer Reporting System, which will include the option to file a 
``negative report.''
    The burden estimate for the ICR is as follows:

----------------------------------------------------------------------------------------------------------------
                     Form Number                       Annual responses     Time  (minutes)     Burden  (hours)
----------------------------------------------------------------------------------------------------------------
BA-11 magnetic tape/file transfer protocol                             9                 300                  45
                                                                                     (5 hrs)
BA-11 manual form...................................                  38                  30                  19
BA-11 CD-ROM........................................                  13                  30                   6

[[Page 71393]]

 
BA-11 secure Email..................................                  23                  30                  11
BA-11 (Internet)
    Positive Reports................................                  77                  30                  38
    Negative Reports................................                 217                  15                  54
                                                     -----------------------------------------------------------
        Total.......................................                 377  ..................                 173
----------------------------------------------------------------------------------------------------------------

    5. Title and Purpose of information collection: RUIA Claims 
Notification and Verification System; OMB 3220-0171.
    Section 5(b) of the Railroad Unemployment Insurance Act (RUIA), 
requires that effective January 1, 1990, when a claim for benefits is 
filed with the Railroad Retirement Board (RRB), the RRB shall provide 
notice of the claim to the claimant's base year employer(s) to provide 
them an opportunity to submit information relevant to the claim before 
making an initial determination. If the RRB determines to pay benefits 
to the claimant under the RUIA, the RRB shall notify the base-year 
employer(s).
    The purpose of the RUIA Claims Notification and Verification System 
is to provide two notices, pre-payment Form ID-4K, Prepayment Notice of 
Employees' Applications and Claims for Benefits Under the Railroad 
Unemployment Insurance Act, and post-payment Form ID-4E, Notice of RUIA 
Claim Determination.
    Prepayment Form ID-4K provides notice to a claimant's base-year 
employer(s), of each unemployment application and unemployment and 
sickness claim filed for benefits under the RUIA and provides the 
employer an opportunity to convey information relevant to the proper 
adjudication of the claim. The railroad employer can elect to receive 
notices of applications and claims by one of three options: A computer-
generated Form Letter ID-4K paper notice, an Electronic Data 
Interchange (EDI) version of the Form Letter ID-4K notice, or an 
Internet equivalent ID-4K, which is transmitted through the RRB's 
Internet-based Employer Reporting System (ERS).
    The railroad employer can respond to the ID-4K notice by telephone, 
manually by mailing a completed ID-4K back to the RRB, or 
electronically via EDI or ERS. Completion is voluntary.
    Once the RRB determines to pay a claim post-payment Form Letter ID-
4E, Notice of RUIA Claim Determination, is used to notify the base-year 
employer(s). This gives the employer a second opportunity to challenge 
the claim for benefits.
    The mainframe-generated ID-4E paper notice and the EDI and Internet 
equivalent versions are transmitted on a daily basis, generally on the 
same day that the claims are approved for payment. Railroad employers 
who are mailed Form ID-4E are instructed to write if they want a 
reconsideration of the RRB's determination to pay. Employers who 
receive the ID-4E electronically, may file a reconsideration request by 
completing the ID-4E by either EDI or ERS. Completion is voluntary.
    Previous Requests for Comments: The RRB has already published the 
initial 60-day notice (76 FR 55719 on September 8, 2011) required by 44 
U.S.C. 3506(c)(2). That request elicited no comments.

Information Collection Request (ICR)

    Title: RUIA Claims Notification and Verification System.
    OMB Control Number: 3220-0171.
    Form(s) submitted: ID-4K, ID-4K (INTERNET), ID-4E, ID-4E 
(INTERNET).
    Type of request: Extension without change of a currently approved 
collection.
    Affected public: Private Sector; Businesses or other for-profits.
    Abstract: Section 5(b) of the RUIA requires that effective January 
1, 1990, when a claim for benefits is filed with the Railroad 
Retirement Board (RRB), the RRB shall provide notice of such claim to 
the claimant's base-year employer(s) and afford such employer(s) an 
opportunity to submit information relevant to the claim before making 
an initial determination on the claim. When the RRB determines to pay 
benefits to a claimant under the RUIA, the RRB shall provide notice of 
such determination to the claimant's base year employer.
    Changes proposed: The RRB proposes no changes to the forms in the 
collection.
    The burden estimate for the ICR is as follows:


----------------------------------------------------------------------------------------------------------------
                      Form No.                         Annual responses     Time  (minutes)     Burden  (hours)
----------------------------------------------------------------------------------------------------------------
ID-4K (Manual)......................................               1,250                   2                  42
ID-4K (EDI).........................................              24,215                 (*)                 210
ID-4K (Internet)....................................              52,300                   2               1,743
ID-4E (Manual)......................................                  50                   2                   2
ID-4E (Internet)....................................                 120                   2                   4
                                                     -----------------------------------------------------------
    Total...........................................              77,935  ..................               2,001
----------------------------------------------------------------------------------------------------------------
* The burden for the 5 participating employers who transmit EDI responses is calculated at 10 minutes each per
  day, 251 workdays a year or 210 total hours of burden.

    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 collection should be addressed 
to Patricia Henaghan, Railroad Retirement Board, 844 North Rush Street, 
Chicago, Illinois, 60611-2092 or [email protected] and to the 
OMB Desk Officer for the RRB, Fax: (202) 395-6974, Email address: 
[email protected].

Charles Mierzwa,
Clearance Officer.
[FR Doc. 2011-29698 Filed 11-16-11; 8:45 am]
BILLING CODE 7905-01-P