[Federal Register Volume 83, Number 66 (Thursday, April 5, 2018)]
[Notices]
[Pages 14678-14682]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2018-06919]


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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 
an Information Collection Request (ICR) to the Office of Information 
and Regulatory Affairs (OIRA), Office of Management and Budget (OMB). 
Our 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 collections of information 
to determine (1) the practical utility of the collections; (2) the 
accuracy of the estimated burden of the collections; (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 statute of

[[Page 14679]]

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, reports of 
their employees' compensation, in such manner and form and at such 
times as the RRB prescribes. 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 the 
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 BA-3 and BA-4 
reports electronically by CD-ROM, secure Email, File Transfer Protocol 
(FTP), or online via the RRB's Employer Reporting System (ERS).
    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 ERS. Once access is obtained, 
authorized employees may submit reporting forms online to the RRB. 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. Form G-440, 
Report Specifications Sheet, serves as a certification document for 
Forms BA-3 and BA-4 as well as other RRB employer reporting forms (Form 
BA-6a, BA-6 Address Report (OMB 3220-0005), Form BA-9, Report of 
Separation Allowance or Severance Pay (OMB 3220-0173) and Form 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.
    Previous Requests for Comments: The RRB has already published the 
initial 60-day notice (83 FR 3778 on January 26, 2018) 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.
    Form(s) submitted: BA-3, BA-3 (Internet), BA-4, BA-4 (Internet), 
BA-12 and G-440.
    Type of request: Revision of a currently approved collection.
    Affected public: Private Sector; Businesses or other for-profits.
    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 and 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 minor non-burden impacting 
changes to Form BA-12 and G-440.
    The burden estimate for the ICR is as follows:

----------------------------------------------------------------------------------------------------------------
                                                                                  Time (minutes)
                            Reporting                                Responses          \1\       Burden (hours)
----------------------------------------------------------------------------------------------------------------
BA-3:
    Electronic Media \2\........................................              96   46.25 (2,775)           4,440
    BA-3 (Internet).............................................             617   46.25 (2,775)          28,536
                                                                 -----------------------------------------------
        Total BA-3..............................................             713  ..............          32,976
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BA-4:
    Paper.......................................................              40       1.25 (75)              50
    Electronic Media \2\........................................             345       1.00 (60)             345
    BA-4 (Internet).............................................           3,912        .33 (20)           1,304
                                                                 -----------------------------------------------
        Total BA-4..............................................           4,297  ..............           1,699
----------------------------------------------------------------------------------------------------------------
BA-12:
    Initial Access..............................................             295        .33 (20)              98
    Access Termination..........................................              38       .166 (10)               7
                                                                 -----------------------------------------------
        Total BA-12.............................................             333  ..............             105
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G-440 (certification):
    Form BA-3 (zero employees)..................................              19        .25 (15)               5
    Form BA-11 (zero employees).................................              60        .25 (15)              15
    Paper forms (without recap).................................               7        .25 (15)               1
    Electronic transactions.....................................              94        .50 (30)              47
    BA-3 and BA-4 (with recap)..................................             125       1.25 (75)             156
                                                                 -----------------------------------------------
        Total G-440.............................................             305  ..............             224
                                                                 -----------------------------------------------
            Grand Total.........................................           5,648  ..............          35,074
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[[Page 14680]]

    2. Title and purpose of information collection: Application for 
Benefits Due But Unpaid at Death; OMB 3220-0055.
    Under Section 2(g) of the Railroad Unemployment Insurance Act, 
benefits that accrued but were not paid because of the death of the 
employee shall be paid to the same individual(s) to whom benefits are 
payable under Section 6(a)(1) of the Railroad Retirement Act. The 
provisions relating to the payment of such benefits are prescribed in 
20 CFR 325.5 and 20 CFR 335.5. The RRB provides Form UI-63, Application 
for Benefits Due But Unpaid at Death, to those applying for the accrued 
sickness or unemployment benefits unpaid at the death of the employee 
and for obtaining the information needed to identify the proper payee. 
One response is requested of each respondent. Completion is required to 
obtain a benefit.
    Previous Requests for Comments: The RRB has already published the 
initial 60-day notice (83 FR 3779 on January 26, 2018) required by 44 
U.S.C. 3506(c)(2). That request elicited no comments.

Information Collection Request (ICR)

    Title: Application for Benefits Due but Unpaid at Death.
    OMB Control Number: 3220-0055.
    Form(s) submitted: UI-63.
    Type of request: Extension without change of a currently approved 
collection.
    Affected public: Individuals or Households.
    Abstract: The collection obtains the information needed by the 
Railroad Retirement Board to pay benefits accrued under section 2(g) of 
the Railroad Unemployment Insurance Act, but not paid because of the 
death of the employee.
    Changes proposed: The RRB proposes no changes to Form UI-63.
    The burden estimate for the ICR is as follows:

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                                                                    Annual
                           Form No.                               responses      Time (minutes)   Burden (hours)
----------------------------------------------------------------------------------------------------------------
UI-63........................................................              15                7                2
----------------------------------------------------------------------------------------------------------------

    3. Title and purpose of information collection: Medicare; OMB 3220-
0082.
    Under Section 7(d) of the Railroad Retirement Act (RRA), the 
Railroad Retirement Board (RRB) administers the Medicare program for 
persons covered by the railroad retirement system. The RRB uses Form 
AA-6, Employee Application for Medicare; Form AA-7, Spouse/Divorced 
Spouse Application for Medicare; and Form AA-8, Widow/Widower 
Application for Medicare; to obtain the information needed to determine 
whether individuals who have not yet filed for benefits under the RRA 
are qualified for Medicare payments provided under Title XVIII of the 
Social Security Act.
    Further, in order to determine if a qualified railroad retirement 
beneficiary who is claiming supplementary medical insurance coverage 
under Medicare is entitled to a Special Enrollment Period (SEP) and/or 
premium surcharge relief because of coverage under an Employer Group 
Health Plan (EGHP), the RRB needs to obtain information regarding the 
claimant's EGHP coverage, if any. The RRB uses Form RL-311-F, Evidence 
of Coverage Under An Employer Group Health Plan, to obtain the basic 
information needed to establish EGHP coverage for a qualified railroad 
retirement beneficiary.
    Completion of the forms is required to obtain a benefit. One 
response is requested of each respondent.
    Previous Requests for Comments: The RRB has already published the 
initial 60-day notice (83 FR 3779 on January 26, 2018) required by 44 
U.S.C. 3506(c)(2). That request elicited no comments.

Information Collection Request (ICR)

    Title: Medicare.
    OMB Control Number: 3220-0082.
    Form submitted: AA-6, AA-7, AA-8 and RL-311-F.
    Type of request: Extension without change of a currently approved 
collection.
    Affected public: Individuals or Households; Businesses or other for 
profits.
    Abstract: The Railroad Retirement Board administers the Medicare 
program for persons covered by the railroad retirement system. The 
forms in the collection obtain both information needed to enroll non-
retired employees and survivor applicants in the plan and information 
from railroad employers needed to determine if a railroad retirement 
beneficiary is entitled to a special enrollment period when applying 
for supplemental medical coverage under Medicare.
    Changes proposed: The RRB proposes no changes to the forms in the 
collection.
    The burden estimate for the ICR is as follows:

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                                                                      Annual
                            Form No.                                 responses    Time (minutes)  Burden (hours)
----------------------------------------------------------------------------------------------------------------
AA-6............................................................             180               8              24
AA-7............................................................              50               8               7
AA-8............................................................              10               8               1
RL-311-F........................................................           2,000              10             333
                                                                 -----------------------------------------------
    Total.......................................................           2,240  ..............             365
----------------------------------------------------------------------------------------------------------------

    4. Evidence for Application of Overall Minimum: OMB 3220-0083.
    Under Section 3(f)(3) of the Railroad Retirement Act (RRA), the 
total monthly benefits payable to a railroad employee and his/her 
family are guaranteed to be no less than the amount which would be 
payable if the employee's railroad service had been covered by the 
Social Security Act. This is referred to as the Social Security Overall 
Minimum Guarantee, which is prescribed in 20 CFR 229. To administer 
this provision, the Railroad Retirement Board (RRB) requires 
information about a retired employee's spouse and child(ren) who would 
not be eligible for benefits under the RRA but would be eligible for 
benefits under the Social Security Act if the employee's railroad 
service had been covered by that Act. The RRB obtains the required 
information by the use of Forms G-319, Statement Regarding Family and 
Earnings for Special Guaranty Computation, and G-320, Student 
Questionnaire for Special Guaranty Computation. One response is

[[Page 14681]]

required of each respondent. Completion is required to obtain or retain 
benefits. The RRB proposes no changes to Forms G-319 and G-320.
    Previous Requests for Comments: The RRB has already published the 
initial 60-day notice (83 FR 3779 on January 26, 2018) required by 44 
U.S.C. 3506(c)(2). That request elicited no comments.

Information Collection Request (ICR)

    Title: Evidence for Application of Overall Minimum.
    OMB Control Number: 3220-0083.
    Forms submitted: G-319 and G-320.
    Type of request: Extension without change of a currently approved 
collection.
    Affected public: Individuals or Households.
    Abstract: Under Section 3(f)(3) of the Railroad Retirement Act, the 
total monthly benefits payable to a railroad employee and his/her 
family are guaranteed to be no less than the amount which would be 
payable if the employee's railroad service had been covered by the 
Social Security Act.
    Changes proposed: The RRB proposes no changes to the forms in the 
collection.
    The burden estimate for the ICR is as follows:

----------------------------------------------------------------------------------------------------------------
                                                                      Annual
                            Form No.                                 responses    Time (minutes)  Burden (hours)
----------------------------------------------------------------------------------------------------------------
G-319 (completed by the employee):
    With assistance.............................................               5              26               2
    Without assistance..........................................             230              55             211
G-319 (completed by spouse):
    With assistance.............................................               5              30               2
    Without assistance..........................................              10              60              10
G-320:
    (Age 18 at Special Guaranty Begin Date or Special Guaranty                30              15               7
     Age 18 Attainments)........................................
G-320:
    (Student Monitoring done in Sept, March and at end of school              10              15               2
     year)......................................................
                                                                 -----------------------------------------------
        Total...................................................             290  ..............             234
----------------------------------------------------------------------------------------------------------------

    5. Title and purpose of information collection: Request to Non-
Railroad Employer for Information About Annuitant's Work and Earnings; 
OMB 3220-0107.
    Under Section 2 of the Railroad Retirement Act (RRA), a railroad 
employee's retirement annuity or an annuity paid to the spouse of a 
railroad employee is subject to work deductions in the Tier II 
component of the annuity and any employee supplemental annuity for any 
month in which the annuitant works for a Last Pre-Retirement Non-
Railroad Employer (LPE). The LPE is defined as the last person, 
company, or institution, other than a railroad employer, that employed 
an employee or spouse annuitant. In addition, the employee, spouse, or 
divorced spouse Tier I annuity benefit is subject to work deductions 
under Section 2(f)(1) of the RRA for earnings from any non-railroad 
employer that are over the annual exempt amount. The regulations 
pertaining to non-payment of annuities by reason of work and LPE are 
contained in 20 CFR 230.1 and 230.2.
    The RRB utilizes Form RL-231-F, Request to Non-Railroad Employer 
for Information About Annuitant's Work and Earnings, to obtain the 
information needed to determine if a work deduction should be applied 
because an annuitant worked in non-railroad employment after the 
annuity beginning date. One response is requested of each respondent. 
Completion is voluntary. The RRB proposes no changes to Form RL-231-F.
    Previous Requests for Comments: The RRB has already published the 
initial 60-day notice (83 FR 3780 on January 26, 2018) required by 44 
U.S.C. 3506(c)(2). That request elicited no comments.

Information Collection Request (ICR)

    Title: Request to Non-Railroad Employer for Information About 
Annuitant's Work and Earnings.
    OMB Control Number: 3220-0107.
    Form(s) submitted: RL-231-F.
    Type of request: Extension without change of a currently approved 
collection.
    Affected public: Private Sector; Businesses or other for-profits, 
Not-for-profit institutions.
    Abstract: Under the Railroad Retirement Act (RRA), benefits are not 
payable if an annuitant works for an employer covered under the RRA or 
last non-railroad employer. The collection obtains information 
regarding an annuitant's work and earnings from a non-railroad 
employer. The information is used to determine whether benefits should 
be withheld.
    Changes proposed: The RRB proposes no changes to Form RL-231-F.
    The burden estimate for the ICR is as follows:

----------------------------------------------------------------------------------------------------------------
                                                                    Annual
                           Form No.                               responses      Time (minutes)   Burden (hours)
----------------------------------------------------------------------------------------------------------------
RL-231-F.....................................................             300               30              150
----------------------------------------------------------------------------------------------------------------

    6. 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

[[Page 14682]]

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, 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 to obtain gross earnings information 
from railroad employers. Employers have the option of preparing and 
submitting BA-11 reports online via the RRB's Employer Reporting System 
or on paper (or in like format) on magnetic tape cartridges, by File 
Transfer Protocol (FTP), or secure Email. The online BA-11 includes the 
option to file a ``negative report'' (no employees, or no employees 
with the digits ``30''). Completion is mandatory. One response is 
requested of each respondent.
    Previous Requests for Comments: The RRB has already published the 
initial 60-day notice (83 FR 3780 on January 26, 2018) 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, BA-11 (Internet).
    Type of request: Extension without change of a currently approved 
collection.
    Affected public: Private Sector; Businesses or other for-profits.
    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.
    The burden estimate for the ICR is as follows:

----------------------------------------------------------------------------------------------------------------
                                                 Annual
                  Form No.                      responses               Time (minutes)            Burden (hours)
----------------------------------------------------------------------------------------------------------------
BA-11 File Transfer Protocol...............               7  300 (5 hours)......................              35
BA-11 CD-ROM...............................               5  30.................................               2
BA-11 secure Email.........................               5  30.................................               2
BA-11 (Internet)--Positive.................             137  30.................................              68
BA-11 (Internet)--Negative.................             329  15.................................              82
                                            --------------------------------------------------------------------
    Total..................................             483  ...................................             189
----------------------------------------------------------------------------------------------------------------

    Additional Information or Comments: Copies of the forms and 
supporting documents can be obtained from Dana Hickman at (312) 751-
4981 or [email protected].
    Comments regarding the information collection should be addressed 
to Brian Foster, Railroad Retirement Board, 844 North Rush Street, 
Chicago, Illinois 60611-1275 or [email protected] and to the OMB 
Desk Officer for the RRB, Fax: 202-395-6974, Email address: 
[email protected].

Brian D. Foster,
Clearance Officer.
[FR Doc. 2018-06919 Filed 4-4-18; 8:45 am]
 BILLING CODE 7905-01-P