Program United States 

Railroad Retirement Board

Letter Office of Programs

Quality Reporting Service Center Phone: (312) 751-4992

Email: QRSC@rrb.gov Fax: (312) 751-7123

Circular Letter UI-C-229 Released: October 1994

[Rev. January 2019]

CONTACT: Michelle Andrey 

Policy and Systems

PHONE: (312) 751-3383

TO: Chief Executive Officers

Unemployment and Sickness Insurance Contact Officials

SUBJECT: Employer Appeals of RUIA Benefit Determinations

Introduction 

The purpose of this circular letter is to review how railroad employers may exercise their 

rights to protest the award of unemployment and sickness benefits under the Railroad 

Unemployment Insurance Act (RUIA). Under Section 5 of the RUIA, the Railroad 

Retirement Board (RRB) provides base-year employers with notice of each claim for 

benefits filed by its employees. The employer then has 3 business days to submit 

information relevant to the claim before the RRB determines whether benefits are payable 

to the employee. If the RRB pays the claim, Section 5 provides that the RRB notify the 

base-year employer of the determination. Under the RRB’s regulations, the base-year 

employer has 60 days from the date of the determination to file a written protest of the 

determination.

Although not required by statute, the RRB also sends notice of unemployment benefit 

applications and claims to each claimant’s most recent employer, if different from the 

base-year employer. The most recent employer may submit relevant information about 

claims, but is not advised of payment determinations because only base-year employers 

have standing to protest such determinations.
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Prepayment Claims Notification

The RRB provides Form ID-4K, Prepayment Notice of Employees’ Applications and

Claims for Benefits under the RUIA, through paper, file transfer protocol (FTP) or online 

via the Employer Reporting System (ERSNet).

In the absence of prior arrangements to receive and respond to ID-4K claim messages 

electronically, printed notices are mailed to an official designated by the railroad on a daily 

basis, and include information about applications and claims normally received on the 

preceding business day. Employer information relative to an unemployment application 

or claim or to a sickness claim is to be provided to the RRB field office serving the area 

in which the employee resides. The name and telephone number of the appropriate field

office are shown on the notice.

Railroads interested in receiving and responding to ID-4K claim messages via FTP should 

contact Ms. Michelle Andrey at (312) 751-3383.

To receive and complete an ID-4K online via ERSNet, you must first file Form BA-12,

Application for Employer Reporting Internet Access. Complete all sections of the form 

except Section D, read the Access and Security Guidelines, and sign the certification. 

Have your supervisor or manager complete Section D. The form must be signed by an 

official of the company who has signature authority to sign RRB forms. The head of the 

company and those persons designated on Form G-117A, Designation of Contact Official, 

are assumed to have signature authority.

Form BA-12 cannot be completed or filed on the website. To deter fraudulent use of the 

site, the application must include original signatures (no reproductions) and be 

transmitted by U.S. mail or express mail carrier. For security reasons, facsimiles are not 

acceptable. Within three to five days of receipt of an acceptable application, the RRB will 

mail your user ID and password along with instructions for accessing the site.

Regardless of the method an employer elects to receive Form ID-4K, employer 

information about an application or claim for benefits should be provided to the RRB within 

3 business days from the date that the RRB sends notice of the application or claim. 

Responses should be provided for applications and claims for which the employer has 

information that may be relevant to the proper payment of benefits. If the employer does 

not respond to the notice by the third business day, the claim is accepted as initial proof 

of the claimant’s eligibility for benefits and is processed for payment.

Paperwork Reduction Act Notice

Section 5(b) of the RUIA requires the RRB to provide notice of claims for benefits to baseyear employers. Employer responses to these notices are voluntary. Failure to provide

information about questionable claims for benefits, however, may affect the
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amount that an employer is charged in benefits and the employer’s tax contribution rate 

under the RUIA.

Under the Paperwork Reduction Act, Federal agencies are required to estimate reporting 

burdens associated with their programs. The amount of time required for an employer to 

participate in the prepayment claims verification process varies depending upon the 

extent to which the employer is able to use automated systems. We estimate the average 

responding burden for employers to be as follows:

Unemployment Sickness

• File Transfer Protocol (FTP) 25.2 hrs./yr. 16.8 hrs./yr.

• Form Letter ID-4K 2 min./ response 2 min./response

• ID-4K (Internet) 2 min./ response 2 min./ response

• Form Letter ID-4E 2 min./ response 2 min./ response

• ID-4E (Internet) 2 min./ response 2 min./ response

These are estimates based on employer experience nationwide. The estimates include 

time for reviewing instructions, obtaining the needed data, and reviewing the completed 

responses. Federal agencies may not conduct or sponsor, and respondents are not 

required to respond to, a collection of information unless it displays a valid OMB number. 

If you wish, send comments regarding the accuracy of our estimates or any other aspect 

of this program, including suggestions for reducing reporting time, to the Associate Chief 

Information Officer for Policy and Compliance, Railroad Retirement Board, 844 North 

Rush Street, Chicago, Illinois 60611-1275.

Notice of Claim Determinations

In addition to requiring the RRB to provide notice of each claim prior to a decision to pay 

or deny benefits, the RUIA requires that “when the RRB initially determines to pay benefits 

to a claimant..., the RRB shall provide notice of such determination to the claimant’s baseyear employer or employers.” Upon receipt of notice that an individual’s claim for benefits 

has been allowed, either in whole or in part, the claimant’s base-year employer(s) may 

request a review of the determination to pay benefits, if the employer believes the 

determination is incorrect.

Form ID-4E, Notice of RUIA Claim Determinations, is used to provide notice of each 

determination to allow benefits on a claim and is also available to employers through 

paper, electronic data interchange or ERSNet. The following information is provided with 

each determination:

 Employee’s Social Security Number

 Employee’s Name

 Claim Period Beginning Date

 Claim Profile - A series of 14 numeric codes indicating the days 

claimed and allowed, and the days denied in the claim period. The
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codes are explained in the attachment.

 Gross Payable - The amount of benefits payable with respect to the

claim

 (Change) - The amount of benefits previously not reported to the 

employer. If the notice is the first one with respect to the claim, the 

amount will be the same as the “Gross Payable.” If the determination 

results in a payment on a claim which was previously denied in whole 

or in part, or was not paid pending completion of an investigation, the 

amount of the additional benefits paid as a result of the determination 

is shown.

 Type - Indication as to whether the determination applies to a claim 

for sickness benefits (SI) or a claim for unemployment benefits (UI).

 Benefit year (BY) - Two-digits indicating the benefit year for which 

the claim was filed, e.g., “18” indicates the benefit year normally 

beginning July 1, 2018, and ending June 30, 2019.

 Employee’s Payroll Identification Number.

 RRB Office - Indicates the city and state of the RRB field office 

responsible for adjudication of the employee’s claims. You can locate 

the nearest RRB field office by either visiting our website at 

www.rrb.gov or by calling our toll-free Help-Line number at 1-877-

772-5772.

Appeal of RRB Determinations

The same provisions mentioned above apply with respect to the instructions for receiving 

Form ID-4E via file transfer protocol and ERSNet. Upon receiving notice of the RRB’s 

determination to pay benefits for a claim, the claimant’s base-year employer may request 

reconsideration of the determination. The request for reconsideration must be in writing 

and should explain the basis for the request (i.e., why does the employer disagree with 

the determination). Any documentation supporting the request for reconsideration should 

also be submitted. The request must be received at an office of the RRB within 60 days 

of the date of the Form ID-4E notice. A request for reconsideration should be mailed to 

the RRB office identified under the heading “RRB Office” on the Form ID-4E.

Once the request for reconsideration is received, the RRB office responsible for 

adjudication of the claim will review and issue a decision on the request for 

reconsideration. If the RRB field office is the adjudicating office, the decision will be 

referred to the Bureau of Field Service for review prior to issuance. The employer will be 

notified in writing of the decision on reconsideration.

If the decision on reconsideration is to sustain the determination to allow benefits on a 

claim, the employer may appeal the decision to the RRB’s Bureau of Hearings and 

Appeals. An appeal must be filed on Form HA-1EMP, Base Year Employer Appeal Under 

the Railroad Unemployment Insurance Act, and should fully explain the reason
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for the appeal. In addition, the appeal should reference the date of the decision that is 

being appealed and identify the office that issued the decision. The appeal must be filed 

with the Bureau of Hearings and Appeals within 60 days from the date of the notice of the 

decision on reconsideration. Form HA-1EMP, which is available on our website, should 

be mailed to:

Director of Hearings and Appeals

U. S. Railroad Retirement Board 

844 North Rush Street

Chicago, Illinois 60611-1275

If a base-year employer is not satisfied with a decision on an appeal from the Bureau of 

Hearings and Appeals, the employer may appeal to the three-member Board. An appeal 

to the Board must be filed on Form HA-1EMP within 60 days from the date of the notice 

of the decision of the hearings office.

In accordance with Section 5(c) of the Railroad Unemployment Insurance Act, benefit 

payments to a claimant will continue, despite the filing of a request for reconsideration or 

an appeal. Benefits are subject to recovery from the claimant, however, if the decision on 

the request for reconsideration or appeal results in a finding that the benefits were 

erroneously awarded.

What Determinations Can Be Appealed?

Any determination made by the RRB that results in payment of either 

unemployment or sickness benefits to a claimant may be appealed by the 

claimant’s base-year employer.

Common determinations made by the RRB which an employer may appeal based on 

factual issues include the following:

Unemployment Issues

 Is remuneration attributable to any days claimed as days of unemployment?

 Is the employee available for work on days claimed as days of unemployment?

 Was the employee willing, able and ready to accept suitable work on days claimed 

as days of unemployment? Was the employee unemployed because he or she failed 

to follow prescribed procedures for recall to work? Did the employee refuse to accept 

suitable work? Did the employee mark back on an extra board? Did the employee 

fail to exercise seniority rights to suitable work?

 Did the employee voluntarily leave work without good cause?

 Did the employee claim benefits for days that he or she did not work because of

mileage or work restrictions?
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Sickness Issues

 Is remuneration attributable to any days claimed as days of sickness?

 Is the employee able to work (i.e. not sick or injured) on days claimed as days of 

sickness?

Remember the following when considering whether to request reconsideration or to 

appeal a determination of the RRB:

 There is no disqualification in the RUIA for unemployment related to suspension or 

discharge. An employee who is unemployed because of a suspension or discharge 

can receive unemployment benefits if otherwise eligible for benefits.

 An employee who voluntarily leaves work with good cause is not disqualified from 

receiving unemployment benefits if otherwise available for work.

 The determination as to whether an employee has sufficient service and 

compensation in the base-year to be qualified for benefits is made based on 

information provided by employers as part of their annual service and compensation 

reports. Remember that because of provisions for extended and accelerated 

benefits, not all benefit years begin July 1 and end the following June 30. Check 

the benefit year designation on Form ID-4E. The base year for the benefit year is 

the calendar year preceding the benefit year. For example, the base-year for “BY19” is calendar year 2018.

Below are examples of how a base-year employer might request reconsideration.

Railroad A receives Form ID-4E stating that its employee has claimed and been paid 

unemployment benefits for May 1 through 14. Payroll records show that the employee 

marked off the extra board on May 2, 3, and 4. (The railroad did not inform the RRB of 

the employee’s mark off when the RRB sent the prepayment claims verification notice.) 

Railroad A sends a letter within 60 days to the RRB field office requesting reconsideration 

of the determination to pay unemployment benefits for May 2, 3, and 4. The railroad 

explains that the employee was not available for work on the days at issue and encloses 

a copy of the timekeeper’s record showing that the employee marked off. After 

investigation, the RRB determines that the employee was not available for work, recovers 

the appropriate benefits from the employee, and sends a notice to the railroad of the 

determination made on its request.

Railroad B receives Form ID-4E showing the payment of unemployment benefits to an 

employee for days in the employee’s paid vacation period. The railroad sends a request 

for reconsideration to the RRB field office that documents the days to which vacation pay 

is attributable. Upon review, the RRB determines that the employee received 

remuneration for days claimed as days of unemployment, bills the employee for the 

amount recoverable, and notifies the railroad of the determination.

Railroad C receives Form ID-4E indicating continued payment of sickness benefits
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despite the railroad having recently concluded a personal-injury settlement with the 

employee for the same infirmity. If the railroad did not prevent the sickness benefit 

payment by responding to the prepayment notice, it can file a request for reconsideration 

to prevent further payments for the same infirmity and to cause recovery of any benefits 

not already recovered from the settlement under Section 12(o) of the Railroad 

Unemployment Insurance Act.

Railroad D receives Form ID-4E indicating that an employee who was discharged for 

failure to pay union dues was paid unemployment benefits. The railroad files a request 

for reconsideration on the grounds that the employee, in effect, voluntarily quit work by 

failing to pay union dues. The RRB’s regional office issues a decision to the railroad 

upholding the payment of benefits. The railroad then files Form HA-1EMP, Base Year 

Employer Appeal Under the Railroad Unemployment Insurance Act, with the Bureau of 

Hearings and Appeals, within 60 days. The hearings officer contacts both the railroad and 

the claimant and holds a hearing because there are issues of fact. The hearings officer’s 

decision is favorable to the railroad, and the employee is denied further benefits and billed 

for the overpayment. The employee appeals the decision to the three- member Board 

who notifies the railroad of the appeal. After evaluating the record, the Board sustains the 

hearings officer’s decision.

We welcome information from employers to help ensure that benefit payments are 

accurate and are paid only to those who are entitled to them. Erroneous benefit payments 

that cannot be recovered remain charged to the base-year employer under the 

experience rating system. Therefore, we emphasize the importance of employers 

providing information in response to the RRB’s prepayment claims verification notices in 

order to prevent erroneous payments and to avoid collection action. And, where 

employers disagree with an RRB determination, they should exercise their rights to 

request reconsideration.

If you have any questions or need additional information about appealing RUIA benefit 

determinations, please contact the manager of your local RRB field office.

This letter is also available on our website at www.rrb.gov.

Attachment
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Attachment

Claim Profile - Day Codes

Unemployment

0 Day not claimed

1 Claimed day of unemployment/available for work

2 Employed, day not claimed

3 Claimed day of unemployment, denied for miscellaneous reasons

4 Claimed day of unemployment, denied because of work restrictions and/or 

earnings test

5 Claimed day of unemployment, denied due to late registration

6 Claimed day of unemployment, denied for miscellaneous reasons

7 Claimed day of unemployment, benefits reduced because of receipt of social 

insurance

8 Claimed day of unemployment, denied because of unavailability for work

9 Claimed day of unemployment, denied because of receipt of remuneration

Sickness

0 Day not claimed

1 Claimed day of sickness

2 Employed, day not claimed

3 Claimed day of sickness, denied for miscellaneous reasons

4 Claimed day of sickness, denied due to improper advanced registration

5 Claimed day of sickness, denied due to improper delayed registration

6 Claimed day of sickness, denied for miscellaneous reasons

7 Claimed day of sickness, benefits reduced because of receipt of social 

insurance

8 Claimed day of sickness, denied due to ability to work

9 Claimed day of sickness, denied because of the receipt of remuneration