[Federal Register Volume 86, Number 180 (Tuesday, September 21, 2021)]
[Notices]
[Pages 52502-52505]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2021-20420]


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RAILROAD RETIREMENT BOARD


Agency Forms Submitted for OMB Review, Request for Comments

    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

[[Page 52503]]

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) (45 U.S.C. 
231h) and Section 6 of the Railroad Unemployment Insurance Act (RUIA) 
(45 U.S.C. 356), 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 
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 38507 on July 21, 2021) 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 no changes to Forms BA-3 
(internet), BA-4 (internet), BA-12, and G-440. The RRB proposes to 
remove Form BA-3 (Paper) and BA-4 (Paper) from the Information 
Collection due to less than 10 responses per year.
    The burden estimate for the ICR is as follows:

----------------------------------------------------------------------------------------------------------------
                   Reporting                       Responses             Time (minutes)           Burden (hours)
----------------------------------------------------------------------------------------------------------------
BA-3:
    Electronic Media 2/.......................              96  46.25 (2,775 min)...............           4,440
    BA-3 (Internet)...........................             617  46.25 (2,775 min)...............          28,536
                                               -----------------------------------------------------------------
        Total BA-3............................             713  ................................          32,976
BA-4:
    Electronic Media 2/.......................             355  1.00 (60 min)...................             355
    BA-4 (Internet)...........................           3,942  .33 (20 min)....................           1,314
                                               -----------------------------------------------------------------
        Total BA-4............................           4,297  ................................           1,669
BA-12:
    Initial Access............................             295  .33 (20 min)....................              98
    Access Termination........................              38  .166 (10 min)...................               7
                                               -----------------------------------------------------------------
        Total BA-12...........................             333  ................................             105
G-440 (certification):
    Form BA-3 (no employees)..................              19  .25 (15 min)....................               5
    Form BA-11 (no employees).................              60  .25 (15 min)....................              15
    Paper forms (without recap)...............               7  .25 (15 min)....................               1

[[Page 52504]]

 
    Form BA-15................................             600  .25 (15 min)....................             150
    Electronic transactions...................              94  .50 (30 min)....................              47
    BA-3 and BA-4 (with recap)................             125  1.25 (75 min)...................             156
                                               -----------------------------------------------------------------
        Total G-440...........................             905  ................................             374
                                               -----------------------------------------------------------------
        Grand Total...........................           6,248  ................................          35,194
----------------------------------------------------------------------------------------------------------------

    2. Title and purpose of information collection: Evidence for 
Application of Overall Minimum, OMB 3220-0083.
    Under Section 3(f)(3) of the Railroad Retirement Act (RRA) (45 
U.S.C. 231b), 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 
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 38508 on July 21, 2021) 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 Forms G-319 and G-
320.
    The burden estimate for the ICR is as follows:

----------------------------------------------------------------------------------------------------------------
                                                                      Annual
                           Form number                               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
----------------------------------------------------------------------------------------------------------------

    3. 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) (45 
U.S.C. 231f), 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 & 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 38508 on July 21,

[[Page 52505]]

2021) 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 number                               responses    Time (minutes)  Burden (hours)
----------------------------------------------------------------------------------------------------------------
BA-11 CD-ROM....................................................               0              30               0
BA-11 File Transfer Protocol....................................              11             300              55
BA-11 Secure Email..............................................               0              30               0
BA-11 (Internet)--Positive......................................             424              30              77
BA-11 (Internet)--Negative......................................             154              15             106
                                                                 -----------------------------------------------
    Total.......................................................             589  ..............             238
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    Additional Information or Comments: Copies of the forms and 
supporting documents can be obtained from Kennisha Tucker at (312) 469-
2591 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].
    Written comments and recommendations for the proposed information 
collection should be sent within 30 days of publication of this notice 
to www.reginfo.gov/public/do/PRAMain. Find this particular information 
collection by selecting ``Currently under 30-day Review--Open for 
Public Comments'' or by using the search function.

Brian Foster,
Clearance Officer.
[FR Doc. 2021-20420 Filed 9-20-21; 8:45 am]
BILLING CODE 7905-01-P