[Federal Register Volume 89, Number 78 (Monday, April 22, 2024)]
[Notices]
[Pages 29375-29379]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2024-08557]


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RAILROAD RETIREMENT BOARD


Proposed Collection; Comment Request

    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) will publish periodic summaries of proposed data 
collections.
    Comments are invited on: (a) Whether the proposed information 
collection 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: Application for 
Employee Annuity Under the Railroad Retirement Act; OMB 3220-0002.
    Section 2(a) of the Railroad Retirement Act (RRA) (45 U.S.C. 231a) 
provides for payments of age and service, disability, and supplemental 
annuities to qualified employees. An annuity cannot be paid until the 
employee stops working for a railroad employer. In addition, the age 
and service employee must relinquish any rights held to such jobs. A 
disabled employee does not need to relinquish employee rights until 
attaining Full Retirement Age, or if earlier, when their spouse is 
awarded a spouse annuity. Benefits become payable after the employee 
meets certain other requirements, which depend on the type of annuity 
payable. The requirements for obtaining the annuities are prescribed in 
20 CFR 216 and 220.
    To collect the information needed to help determine an applicant's 
entitlement to, and the amount of, an employee retirement annuity the 
RRB uses Forms AA-1, Application for Employee Annuity; AA-1d, 
Application for Determination of Employee Disability; G-204, 
Verification of Workers Compensation/Public Disability Benefit 
Information, and electronic Forms AA-1cert, Application Summary and 
Certification, AA-1sum, Application Summary, and AA-1 (internet), 
Application for Employee Annuity.
    The AA-1 application process obtains information from an applicant 
about their marital history, work history, military service, benefits 
from other governmental agencies, railroad pensions and Medicare 
entitlement for either an age and service or disability annuity. An RRB 
representative interviews the applicant either at a field office, an 
itinerant point, or by telephone. During the interview, the RRB 
representative enters the information obtained into an on-line 
information system. Upon completion of the interview, the on-line 
information system generates Form AA-1cert, Application Summary and 
Certification, or Form AA-1sum, Application Summary, a summary of the 
information that was provided for the applicant to review and approve. 
Form AA-1cert documents approval using the traditional pen and ink 
``wet'' signature, and Form AA-1sum documents approval using the 
alternative signature method called Attestation. When the RRB 
representative is unable to contact the applicant in person or by 
telephone, for example, the applicant lives in another country, a 
manual version of Form AA-1 is used.
    Form AA-1d, Application for Determination of Employee's Disability, 
is completed by an employee who is filing for a disability annuity 
under the RRA, or a disability freeze under the Social Security Act, 
for early Medicare based on a disability. Form G-204, Verification of 
Worker's Compensation/Public Disability Benefit Information, is used to 
obtain and verify information concerning a worker's compensation or a 
public disability benefit that is or will be paid by a public agency to 
a disabled railroad employee. Form AA-1 (internet) can be completed by 
the applicant and submitted through the RRB's website at www.rrb.gov. 
One response is requested of each respondent. Completion of the forms 
is required to obtain/retain a benefit. The RRB proposes no changes to 
Form AA-1, Form AA-1 (internet), and Form G-204. The RRB proposes a 
minor editorial change to Form AA-1cert and Form AA-1sum to correct the 
title of the RB-9 booklet. The RRB proposes minor changes to Form AA-
1d:
     Section 1, General Instructions, the date is being updated 
to 06/06/23 in the 3rd paragraph.
     Section 7 question 38, The entry in parentheses associated 
with the question now reads (Do not include any self-employment, 
unemployment or sickness benefits.)
     Section 8 question 45, has been changed to: Are you filing 
a form AA-1, Application for Employee Annuity, in connection with this 
application?
     Section 12 of the form. Under the Receipt for your claim 
section, the last sentence should read: Offices are open to public 9:00 
a.m. to 3:00 p.m., Monday through Friday, and closed Federal holidays.

[[Page 29376]]



                                      Estimate of Annual Respondent Burden
----------------------------------------------------------------------------------------------------------------
                         Form number                            Annual responses  Time (minutes)  Burden (hours)
----------------------------------------------------------------------------------------------------------------
AA-1 (without assistance)....................................                 30              62              31
AA-1cert (with assistance)...................................              5,425              30           2,712
AA-1sum (with assistance)....................................              2,750              29           1,329
AA-1 (internet) (without assistance).........................                  0              45               0
AA-1d (with assistance)......................................              2,600              60           2,600
AA-1d (without assistance)...................................                  5              85               7
G-204........................................................                 20              15               5
                                                              --------------------------------------------------
    Total....................................................             10,830  ..............           6,684
----------------------------------------------------------------------------------------------------------------

    2. 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. The RRB proposes no changes to Forms 
BA-3 (internet), BA-4 (internet), and G-440. The RRB proposes Form BA-
12 to add the statement ``I understand that I am acting as a trusted 
referee on behalf of the RRB and I have identity proofed the applicant 
by resolving, validating, and verifying a state and/or federal 
government-issued photo ID from the applicant. I also understand that I 
am responsible for notifying the RRB if, in the future, this 
individual's access should be terminated.

                              Estimate of Annual Respondent Burden--Current Burden
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                   Reporting                       Responses             Time (minutes)           Burden (hours)
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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)....................             123
    Access Termination........................              38  .166 (10 min)...................               7
                                               -----------------------------------------------------------------
        Total BA-12...........................             333  ................................             130

[[Page 29377]]

 
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
    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  ................................          35,149
----------------------------------------------------------------------------------------------------------------

    3. Title and purpose of information collection: Certification of 
Termination of Service and Relinquishment of Rights; OMB 3220-0016.
    Under section 2(e)(2) of the Railroad Retirement Act (RRA) (45 
U.S.C. 231a), an age and service annuity, spouse annuity, or divorced 
spouse annuity cannot be paid unless the Railroad Retirement Board 
(RRB) has evidence that the applicant has ceased railroad employment 
and relinquished rights to return to the service of a railroad 
employer. Under section 2(f)(6) of the RRA, earnings deductions are 
required for each month an annuitant works in certain non-railroad 
employment termed Last Pre-Retirement Non-Railroad Employment.
    Normally, the employee, spouse, or divorced spouse relinquishes 
rights and certifies that employment has ended as part of the annuity 
application process. However, this is not always the case. In limited 
circumstances, the RRB utilizes Form G-88, Certification of Termination 
of Service and Relinquishment of Rights, to obtain an applicant's 
report of termination of employment and relinquishment of rights. One 
response is required of each respondent. Completion is required to 
obtain or retain benefits. The RRB proposes no changes to Form G-88.

                                      Estimate of Annual Respondent Burden
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                      Form No.                         Annual responses     Time (minutes)      Burden (hours)
----------------------------------------------------------------------------------------------------------------
G-88................................................                 20                   6                   2
----------------------------------------------------------------------------------------------------------------

    4. Title and purpose of information collection: Statement of 
Authority to Act for Employee; OMB 3220-0034.
    Under section 5(a) of the Railroad Unemployment Insurance Act 
(RUIA) (45 U.S.C. 355), claims for benefits are to be made in 
accordance with such regulations as the Railroad Retirement Board (RRB) 
shall prescribe. The provisions for claiming sickness benefits as 
provided by section 2 of the RUIA are prescribed in 20 CFR 335.2. 
Included in these provisions is the RRB's acceptance of forms executed 
by someone else on behalf of an employee if the RRB is satisfied that 
the employee is sick or injured to the extent of being unable to sign 
forms.
    The RRB utilizes Form SI-10, Statement of Authority to Act for 
Employee, to provide the means for an individual to apply for authority 
to act on behalf of an incapacitated employee and also to obtain the 
information necessary to determine that the delegation should be made. 
Part I of the form is completed by the applicant for the authority and 
Part II is completed by the employee's doctor. One response is 
requested of each respondent. Completion is required to obtain 
benefits. The RRB proposes no changes to Form SI-10.

                                      Estimate of Annual Respondent Burden
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                      Form No.                         Annual responses     Time (minutes)      Burden (hours)
----------------------------------------------------------------------------------------------------------------
SI-10...............................................                 17                   6                   2
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    5. Title and purpose of information collection: Supplemental 
Information on Accident and Insurance; OMB 3220-0036.
    Under section 12(o) of the Railroad Unemployment Insurance Act 
(RUIA) (45 U.S.C 362 (o)), the Railroad Retirement Board (RRB) is 
entitled to reimbursement of the sickness benefits paid to a railroad 
employee if the employee receives a sum or damages for the same 
infirmity for which the benefits are paid. Section 2(f) of the RUIA 
requires employers to reimburse the RRB for days in which salary, 
wages, pay for time lost or other remuneration is later determined to 
be payable. Reimbursements under section 2(f) generally result from the 
award of pay for time lost or the payment of guaranteed wages. The RUIA 
prescribes that the amount of benefits paid be deducted and held by the 
employer in a special fund for reimbursement to the RRB.
    The RRB currently utilizes Forms SI-1c, Supplemental Information on 
Accident and Insurance; SI-5, Report of Payments to Employee Claiming 
Sickness Benefits Under the RUIA; ID-3s and ID-3s (internet), Request 
for Lien Information--Report of Settlement; ID-3s-1, Lien Information 
Under section

[[Page 29378]]

12(o) of the RUIA; ID-3u and ID-3u (internet), Request for Section 2(f) 
Information; ID-30k, Notice to Request Supplemental Information on 
Injury or Illness; and ID-30k-1, Notice to Request Supplemental 
Information on Injury or Illness; to obtain the necessary information 
from claimants and railroad employers. Completion is required to obtain 
benefits. One response is requested of each respondent. The RRB 
proposes no changes to Forms SI-1c, SI-5, ID-3s-1, ID-30k, ID-3s 
(internet), ID-3u (internet). The RRB proposes the following minor non-
burden impacting editorial changes to Form ID-3u & Form ID-3s:
     change PRA/PA notice to update the officer title and
     update RRB zip code.

                                      Estimate of Annual Respondent Burden
----------------------------------------------------------------------------------------------------------------
                        Form No.                          Annual responses         Time          Burden (hours)
----------------------------------------------------------------------------------------------------------------
SI-1c..................................................                890                  5                 74
SI-5...................................................                 10                  5                  1
ID-3s (paper & telephone)..............................              1,700                  3                 85
ID-3s (internet).......................................              4,853                  3                243
ID-3s-1 (paper & telephone)............................              1,845                  3                 93
ID-3u (paper & telephone)..............................                152                  3                  8
ID-3u (internet).......................................                596                  3                 30
ID-30k.................................................                 24                  5                  3
                                                        --------------------------------------------------------
    Total..............................................             10,070  .................                537
----------------------------------------------------------------------------------------------------------------

    6. Title and purpose of information collection: Employee Non-
Covered Service Pension Questionnaire; OMB 3220-0154
    Section 215(a)(7) of the Social Security Act provides for a 
reduction in social security benefits based on employment not covered 
under the Social Security Act or the Railroad Retirement Act (RRA). 
This provision applies a different social security benefit formula to 
most workers who are first eligible after 1985 to both a pension based 
in whole or in part on non-covered employment and a social security 
retirement or disability benefit. There is a guarantee provision that 
limits the reduction in the social security benefit to one-half of the 
portion of the pension based on non-covered employment after 1956. 
Section 8011 of Public Law 100-647 changed the effective date of the 
onset from the first month of eligibility to the first month of 
concurrent entitlement to the non-covered service benefit and the RRA 
benefit.
    Section 3(a)(1) of the RRA (45 U.S.C. 231b) provides that the Tier 
I benefit of an employee annuity shall be equal to the amount (before 
any reduction for age or deduction for work) the employee would receive 
if entitled to a like benefit under the Social Security Act. The 
reduction for a non-covered service pension also applies to a Tier I 
portion of the employee annuity under the RRA when the annuity or non-
covered service pension begins after 1985. Since the amount of a 
spouse's Tier I benefit is one-half of the employee's Tier I, the 
spouse annuity is also affected.
    Form G-209, Employee Non-Covered Service Pension Questionnaire, is 
used by the RRB to obtain needed information (1) from a railroad 
employee who while completing Form AA-1, Application for Employee 
Annuity (OMB No. 3220-0002), indicates entitlement to or receipt of a 
pension based on employment not covered under the Railroad Retirement 
Act or the Social Security Act; or (2) from a railroad employee when an 
independently-entitled divorced spouse applicant believes the employee 
to be entitled to a non-covered service pension. However, this 
development is unnecessary if RRB records indicate the employee has 30 
or more years of coverage; or (3) from an employee annuitant who 
becomes entitled to a pension based on employment not covered under the 
Railroad Retirement Act or the Social Security Act. One response is 
requested of each respondent. Completion is required to obtain or 
retain benefits. The RRB proposes no changes to Form G-209.

                                      Estimate of Annual Respondent Burden
----------------------------------------------------------------------------------------------------------------
                                                                      Annual
                            Form No.                                 responses    Time (minutes)  Burden (hours)
----------------------------------------------------------------------------------------------------------------
G-209 (Partial Questionnaire)...................................              50               1               1
G-209 (Full Questionnaire)......................................             100               8              13
                                                                 -----------------------------------------------
    Total.......................................................             150  ..............              14
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    7. Title and purpose of information collection: Availability for 
Work; OMB 3220-0164
    Under section 1(k) of the Railroad Unemployment Insurance Act (45 
U.S.C. 231k), unemployment benefits are not payable for any day for 
which the claimant is not available for work.
    Under Railroad Retirement Board (RRB) regulation 20 CFR 327.5, 
``available for work'' is defined as being willing and ready for work. 
A claimant is ``willing'' to work if willing to accept and perform for 
hire such work as is reasonably appropriate to his or her employment 
circumstances. A claimant is ``ready'' for work if he or she (1) is in 
a position to receive notice of work and is willing to accept and 
perform such work, and (2) is prepared to be present with the customary 
equipment at the location of such work within the time usually 
allotted.
    Under RRB regulation 20 CFR 327.15, a claimant may be requested at 
any time to show, as evidence of willingness to work, that reasonable 
efforts are being made to obtain work. In order to determine whether a 
claimant is a) available for work, and b) willing to

[[Page 29379]]

work, the RRB utilizes Forms UI-38, UI Claimant's Report of Efforts to 
Find Work, and UI-38s, School Attendance and Availability 
Questionnaire, to obtain information from the claimant and Form ID-8k, 
Questionnaire--Reinstatement of Discharged or Suspended Employee, from 
the union representative. One response is completed by each respondent.
    The RRB proposes the following changes to the Forms UI-38 and UI-
38s. The RRB proposes no changes to Forms UI-38 and ID-8k. The RRB 
proposes the following minor non-burden editorial changes to Form UI-
38s:
     change PRA/PA notice to update the officer title and
     update RRB zip code.

                                      Estimate of Annual Respondent Burden
----------------------------------------------------------------------------------------------------------------
                                                                      Annual
                            Form No.                                 responses    Time (minutes)  Burden (hours)
----------------------------------------------------------------------------------------------------------------
UI-38s (in person) *............................................              59               6               6
UI-38s (by mail) *..............................................             119              10              20
UI-38...........................................................           3,485            11.5             668
ID-8k...........................................................           6,461               5             538
                                                                 -----------------------------------------------
    Total.......................................................          10,124  ..............           1,232
----------------------------------------------------------------------------------------------------------------

    8. Title and purpose of information collection: Representative 
Payee Parental Custody Monitoring; OMB 3220-0176
    Under section 12(a) of the Railroad Retirement Act (RRA) (45 U.S.C. 
231k), the Railroad Retirement Board (RRB) is authorized to select, 
make payments to, and to conduct transactions with, a beneficiary's 
relative or some other person willing to act on behalf of the 
beneficiary as a representative payee. The RRB is responsible for 
determining if direct payment to the beneficiary or payment to a 
representative payee would best serve the beneficiary's interest. 
Inherent in the RRB's authorization to select a representative payee is 
the responsibility to monitor the payee to assure that the 
beneficiary's interests are protected. The RRB utilizes Form G-99D, 
Parental Custody Report, to obtain information needed to verify that a 
parent-for-child representative payee still has custody of the child. 
One response is required from each respondent.
    The RRB proposes the following changes to Form G-99d:
     update office hours in top left corner, and
     add the Reporting Period at the top of the form.

                                      Estimate of Annual Respondent Burden
----------------------------------------------------------------------------------------------------------------
                                                                      Annual
                            Form No.                                 responses    Time (minutes)  Burden (hours)
----------------------------------------------------------------------------------------------------------------
G-99d...........................................................           2,100              15             525
                                                                 -----------------------------------------------
    Total.......................................................           2,100  ..............             525
----------------------------------------------------------------------------------------------------------------

     Additional information or Comments
    Additional Information or Comments: To request more information or 
to obtain a copy of the information collection justification, forms, 
and/or supporting material, contact Kennisha Money 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 emailed to 
[email protected]. Written comments should be received within 60 
days of this notice.

Brian Foster,
Clearance Officer.
[FR Doc. 2024-08557 Filed 4-19-24; 8:45 am]
BILLING CODE 7905-01-P