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[Federal Register Volume 75, Number 246 (Thursday, December 23, 2010)]
[Notices]
[Pages 80861-80865]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2010-32302]

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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 submitting 
five (5) Information Collection Requests (ICR) to the Office of 
Information and Regulatory Affairs (OIRA), Office of Management and 
Budget (OMB). Our ICR(s) describe 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 RRB or 
OIRA must contain the OMB control number of the ICR. For proper 
consideration of your comments, it is best if RRB and OIRA receive them 
within 30 days of publication date.
    1. Title and Purpose of Information Collection: 3220-0005, Employer 
Reporting.
    Under Section 9 of the Railroad Retirement Act (RRA), and Section 6 
of the Railroad Unemployment Insurance Act (RUIA), railroad employers 
are required to submit reports of employee service and compensation to 
the RRB as needed for administering the RRA and RUIA. To pay benefits 
due on a deceased employee's earnings records or determine entitlement 
to, and amount of annuity applied for, it is necessary at times to 
obtain from railroad employers current (lag) service and compensation 
not yet reported to the RRB through the annual reporting process. The 
reporting requirements are specified in 20 CFR 209.6 and 209.7.
    The RRB utilizes Form G-88a.1, Notice of Retirement and 
Verification of Date Last Worked, Form G-88a.2, Notice of Retirement 
and Request for Service Needed for Eligibility, and Form AA-12, Notice 
of Death and Compensation, to obtain the required lag service and 
related information from railroad employers. Form G-88a.1 is a 
computer-generated listing sent by the RRB to railroad employers and 
used for the specific purpose of verifying information previously 
provided to the RRB regarding the date last worked by an employee. Form 
G-88a.2 is used by the RRB to secure lag service and compensation 
information when it is needed to determine benefit eligibility. Form 
AA-12 obtains a report of lag service and compensation from the last 
railroad employer of a deceased employee. This report covers the lag 
period between the date of the latest record of employment processed by 
the RRB and the date an employee last worked, the date of death or the 
date the employee may have been entitled to benefits under the Social 
Security Act. The information is used by the RRB to determine benefits 
due on the deceased employee's earnings record. The RRB proposes no 
changes to Form AA-12, Form G-88a.1 and Form G-88a.2.
    In addition, 20 CFR 209.12(b) requires all railroad employers to 
furnish the RRB with the home addresses of all employees hired within 
the last year (new-hires). Form BA-6a, Form BA-6 Address Report, is 
used by the RRB to obtain home address information of employees from 
railroad employers that do not have the home address information 
computerized and who submit the information in a paper format. The form 
also serves as an instruction sheet to railroad employers who can also 
submit the information electronically by magnetic tape cartridge, CD-
ROM, secure e-mail, or via the Internet utilizing the RRB's Employer 
Reporting System (ERS). Completion of the forms is mandatory. One 
response is requested of each respondent. The RRB proposes no changes 
to Form BA-6a.

Information Collection Request (ICR)

    Title: Employer Reporting.
    OMB Control Number: 3220-0005.
    Form(s) submitted: AA-12, G-88A.1, G-88A.2, BA-6a (Internet) and 
electronic equivalents.
    Type of request: Extension without change of a currently approved 
collection.
    Affected public: Business or other for-profit, Individuals or 
Households.
    Abstract: Under the Railroad Retirement Act and the Railroad 
Unemployment Insurance Act, railroad employers are required to report 
service and compensation for employees needed to determine eligibility 
to and the amounts of benefits paid.
    Estimated burden for the ICR:

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                                                                      Annual
                            Form No.                                 responses    Time (minutes)  Burden (hours)
----------------------------------------------------------------------------------------------------------------
AA-12...........................................................              60               5               5
G-88A.1.........................................................             360               5              30
G-88A.1 (Class I railroads).....................................             144              20              48
G-88A.2.........................................................           1,300               5             108
BA-6a (RR initiated)(paper).....................................              80              32              43
BA-6a (RRB initiated)(paper)....................................             250              32             133

[[Page 80862]]

 
BA-6a Electronic Equivalent*....................................              14              15               4
BA-6a Internet (RR initiated)...................................             250              17              71
BA-6a Internet (RRB initiated)..................................             250              12              50
BA-6a (E-mail)..................................................              30              15               8
BA-6a (File Transfer Protocol)..................................              10              15               2
                                                                 -----------------------------------------------
    Total.......................................................           2,748  ..............             502
----------------------------------------------------------------------------------------------------------------

    2. Title and Purpose of Information Collection: 3220-0008, Railroad 
Service and Compensation Reports/System Access Application/Report 
Certification.
    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 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, in such 
manner and form and at such times as the RRB prescribes, reports of 
compensation of employees. Railroad Employers' Reports and 
Responsibilities are prescribed in 20 CFR 209. The RRB utilizes Form 
BA-3, Annual Report of 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 for 
the aforementioned forms, electronically by File Transfer Protocol 
(FTP), secure E-mail or via the Internet utilizing the RRB's Employer 
Reporting System (ERS) (for Form BA-4), or in like format on magnetic 
tape cartridges or CD-ROM. The RRB proposes no changes to Form BA-3 or 
BA-4.
    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). Once access is obtained, authorized employees may submit 
reporting forms to the RRB via the Internet. 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. The RRB proposes no changes to 
Form BA-12. Form G-440, Report Specifications Sheet, serves as a 
certification document for various RRB employer reporting forms (Forms 
BA-3, BA-4, Form 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)). 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 Form G-440.
    Submission of Form BA-3, BA-4, and G-440 is mandatory. Completion 
of Form BA-12 is voluntary. It is completed only if an employer wants 
to submit reports via the Internet. 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 Form BA-4 and G-440.

 Information Collection Request (ICR)

    Title: Railroad Service and Compensation Reports/System Access 
Application/Report Certification.
    OMB Control Number: 3220-0008.
    Form(s) submitted: BA-3, BA-3 (electronic equivalents), BA-4, BA-4 
(Internet), BA-4 (electronic equivalents), BA-12.
    Type of request: Extension without change of a currently approved 
collection.
    Affected public: Business or other for-profit.
    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, 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.
    Estimated burden for the ICR:

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                   Reporting                       Responses                Time \1\              Burden (hours)
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BA-3:
    Paper.....................................             196  116.85 (7,011 min)..............          22,903
    Electronic Media..........................             386  46.25 (2,775 min)...............          17,852
                                               -----------------------------------------------------------------
        Total BA-3............................             582  ................................          40,755
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BA-4:
    Paper.....................................             160  1.25 (75 min)...................             200
    Electronic Media..........................             285  1.00 (60 min)...................             285

[[Page 80863]]

 
    BA-4 (Internet)...........................           3,852  .33 (20 min)....................           1,284
                                               -----------------------------------------------------------------
        Total BA-4............................           4,297  ................................           1,769
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BA-12:
    Initial Access............................             300  .33 (20 min)....................             100
    Access Termination........................              50  .166 (10 min)...................               8
                                               -----------------------------------------------------------------
        Total BA-12...........................             350  ................................             108
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G-440 (certification):
    Form BA-3 (zero employees)................              96  .25 (15 min)....................              24
    Form BA-11 (zero employees)...............             305  .25 (15 min)....................              76
    Paper forms (without recap)...............             446  .25 (15 min)....................             112
    Electronic transactions...................             904  .50 (30 min)....................             452
    BA-3 and BA-4 (with recap)................             368  1.25 (75 min)...................             460
                                               -----------------------------------------------------------------
        Total G-440...........................           2,119  ................................           1,124
                                               -----------------------------------------------------------------
        Grand Total...........................           7,348  ................................          43,756
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    3. Title and Purpose of Information Collection: 3220-0022, 
Application and Claim for Unemployment Benefits and Employment Service.
    Section 2 of the Railroad Unemployment Insurance Act (RUIA), 
provides unemployment benefits for qualified railroad employees. These 
benefits are generally payable for each day of unemployment in excess 
of four during a registration period (normally a period of 14 days).
    Section 12 of the RUIA provides that the RRB establish, maintain 
and operate free employment facilities directed toward the reemployment 
of railroad employees. The procedures for applying for the unemployment 
benefits and employment service and for registering and claiming the 
benefits are prescribed in 20 CFR part 325.
    The RRB utilizes the following forms to collect the information 
necessary to pay unemployment benefits: Form UI-1 (or its Internet 
equivalent, Form UI-1 (Internet)), Application for Unemployment 
Benefits and Employment Service, is completed by a claimant for 
unemployment benefits once in a benefit year, at the time of first 
registration. Completion of Form UI-1 or UI-1 (Internet) also registers 
an unemployment claimant for the RRB's employment service. The RRB 
proposes no changes to Form UI-1 or UI-1 (Internet).
    The RRB also utilizes Form UI-3, (or its Internet equivalent Form 
UI-3 (Internet)) Claim for Unemployment Benefits for use in claiming 
unemployment benefits for days of unemployment in a particular 
registration period, normally a period of 14 days. The RRB proposes no 
changes to Form UI-3 or UI-3 (Internet). Completion of Forms UI-1, UI-1 
(Internet), UI-3 and UI-3 (Internet) is required to obtain or retain 
benefits. The number of responses required of each claimant varies, 
depending on their period of unemployment.

Information Collection Request (ICR)

    Title: Application and Claim for Unemployment Benefits and 
Employment Service.
    OMB Control Number: 3220-0022.
    Form(s) submitted: UI-1, UI-1 (Internet), UI-3, UI-3 (Internet).
    Type of request: Extension without change of a currently approved 
collection.
    Affected public: Individuals or households.
    Abstract: Under Section 2 of the Railroad Unemployment Insurance 
Act, unemployment benefits are provided for qualified railroad 
employees. The collection obtains the information needed for 
determining the eligibility to and amount of such benefits from 
railroad employees.
    Estimated Burden for the ICR:

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                                                                      Annual
                            Form No.                                 responses    Time (minutes)  Burden (hours)
----------------------------------------------------------------------------------------------------------------
UI-1............................................................          12,747              10           2,124
UI-1 (Internet).................................................           3,416              10             569
UI-3............................................................         108,217               6          10,822
UI-3 (Internet).................................................          37,951               6           3,795
                                                                 -----------------------------------------------
    Total.......................................................         162,331  ..............          17,311
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    4. Title and Purpose of Information Collection: 3220-0132, Gross 
Earnings Report.
    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 and 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

[[Page 80864]]

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 or its electronic equivalent(s) to 
obtain gross earnings information from railroad employers. Employers 
have the option of preparing and submitting BA-11 reports on paper, (or 
in like format) on magnetic tape cartridges, CD-ROM, File Transfer 
Protocol (FTP) or secure e-mail. Completion is mandatory. One response 
is required of each respondent. The RRB proposes no changes to Form BA-
11.

Information Collection Request Details (ICR)

    Title: Gross Earnings Report.
    OMB Control Number: 3220-0132.
    Form(s) submitted: BA-11, BA-11 (electronic equivalents).
    Type of request: Extension without change of a currently approved 
collection.
    Affected public: Business or other for-profit.
    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 in determining the 
amount which would place the OASDHI funds trust in the position they 
would have been if railroad service had been covered by the Social 
Security and FIC Acts.
    Estimated burden for the ICR:

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                                                                      Annual
                            Form No.                                 responses    Time (minutes)  Burden (hours)
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BA-11 (magnetic tape**/file transfer protocol***)...............               8             300              40
BA-11 (CD-ROM)**................................................              38              30              19
BA-11 (manual form)*............................................              76              30              38
BA-11 (secure E-mail)***........................................              47              30              24
                                                                 -----------------------------------------------
    Total.......................................................             169  ..............             121
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    5. Title and Purpose of Information Collection: 3220-0173, Railroad 
Separation Allowance or Severance Pay Report.
    Section 6 of the Railroad Retirement Act provides for a lump-sum 
payment to an employee or the employee's survivors equal to the Tier II 
taxes paid by the employee on a separation allowance or severance 
payment for which the employee did not receive credits toward 
retirement. The lump-sum is not payable until retirement benefits begin 
to accrue or the employee dies. Also, Section 4(a-1)(iii) of the 
Railroad Unemployment Insurance Act provides that a railroad employee 
who is paid a separation allowance is disqualified for unemployment and 
sickness benefits for the period of time the employee would have to 
work to earn the amount of the allowance. The reporting requirements 
are specified in 20 CFR 209.14. In order to calculate and provide 
payments, the Railroad Retirement Board (RRB) must collect and maintain 
records of separation allowances and severance payments which were 
subject to Tier II taxation from railroad employers. The RRB uses Form 
BA-9 to obtain information from railroad employers concerning the 
separation allowances and severance payments made to railroad employees 
and/or the survivors of railroad employees. Employers currently have 
the option of submitting a paper BA-9, (or in like format) a magnetic 
tape cartridge, CD-ROM, electronically by File Transfer Protocol (FTP) 
or secure E-mail. Completion is mandatory. One response is requested of 
each respondent. The RRB proposes no changes to Form BA-9.

Information Collection Request (ICR)

    Title: Railroad Separation Allowance or Severance Pay Report.
    OMB Control Number: 3220-0173.
    Form(s) submitted: BA-9, BA-9 (electronic equivalents).
    Type of request: Extension without change of a currently approved 
collection.
    Affected public: Business or other for profit.
    Abstract: Section 6 of the Railroad Retirement Act provides for a 
lump-sum payment to an employee or the employee's survivor equal to the 
Tier II taxes paid by the employee on a separation allowance or 
severance payment for which the employee did not receive credits toward 
retirement. The collection obtains information concerning the 
separation allowances and severance payments paid from railroad 
employers.
    Estimated Burden for the ICR:

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                                                                      Annual
                            Form No.                                 responses    Time (minutes)  Burden (hours)
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BA-9 (paper)....................................................             265              76             336
BA-9 (magnetic tape)............................................              50              76              63
BA-9 (CD-ROM)...................................................              10              76              13
BA-9 (secure E-mail)............................................              25              76              32
BA-9 (FTP)......................................................              10              76              13
                                                                 -----------------------------------------------
    Total.......................................................             360  ..............             457
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    For Further Information Contact: Copies of the form and supporting 
documents can be obtained from Charles Mierzwa, the agency clearance 
officer at (312-751-3363) or [email protected].
    Comments regarding the information collection should be addressed 
to Patricia A. Henaghan, Railroad Retirement Board, 844 North Rush 
Street, Chicago, Illinois 60611-2092 or [email protected] and 
to the OMB Desk Officer for the RRB, at the Office of Management and 
Budget,

[[Page 80865]]

Room 10230, New Executive Office Building, Washington, DC 20503.

Charles Mierzwa,
Clearance Officer.
[FR Doc. 2010-32302 Filed 12-22-10; 8:45 am]
BILLING CODE 7905-01-P
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