[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:
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Time (minutes)
Reporting Responses \1\ Burden (hours)
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BA-3:
Electronic Media \2\........................................ 96 46.25 (2,775) 4,440
BA-3 (Internet)............................................. 617 46.25 (2,775) 28,536
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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
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Total BA-4.............................................. 4,297 .............. 1,699
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BA-12:
Initial Access.............................................. 295 .33 (20) 98
Access Termination.......................................... 38 .166 (10) 7
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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
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Total G-440............................................. 305 .............. 224
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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)
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UI-63........................................................ 15 7 2
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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)
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AA-6............................................................ 180 8 24
AA-7............................................................ 50 8 7
AA-8............................................................ 10 8 1
RL-311-F........................................................ 2,000 10 333
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Total....................................................... 2,240 .............. 365
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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:
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Annual
Form No. responses Time (minutes) Burden (hours)
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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)......................................................
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Total................................................... 290 .............. 234
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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:
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Annual
Form No. responses Time (minutes) Burden (hours)
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RL-231-F..................................................... 300 30 150
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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:
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Annual
Form No. responses Time (minutes) Burden (hours)
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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
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Total.................................. 483 ................................... 189
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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