[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:
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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
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Total....................................... 6,841 .................. 31,014
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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
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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
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* 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