-iU.S. Railroad Retirement Board

Strategic Plan

2022-2026
-iRAILROAD RETIREMENT BOARD

STRATEGIC PLAN

2022-2026

Page

Introduction 1

Mission Statement 2

Vision 3

Programs & Responsibilities 3

Strategic Priorities 6

Strategic Goals 9

Strategic Goal I – IT Modernization

Strategic Goal II – Customer Service

13

Strategic Goal III – Stewardship 16

Management Strategies 19

Program Evaluations 25

Planning Assumptions 27

Key External Factors 29

Conclusion 31
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Introduction

We are pleased to present this Strategic Plan for the years 2022 through 2026 on behalf of the 

Railroad Retirement Board (RRB). The RRB has a long and distinguished history of excellent

customer service, and this plan continues that tradition by calling for the attainment and 

maintenance of high levels of accuracy and timeliness in paying retirement, survivor, 

unemployment and sickness insurance benefits. A major reason for this has been our expanded 

use of technology to improve efficiency. Our aim, as reflected in this plan, is to build upon these 

achievements and improve customer service and satisfaction.

We will do this by continuing to research and utilize technological options that will assist us in 

maintaining high levels of service in the ever-changing work environment. Our goal is to make 

effective use of technology in a variety of ways, including enhancing accessibility to citizen 

services online and via telephone. We strive to reduce the amount of manual processing currently 

required in our operations. While budgets and technology are important, the true foundation for 

the agency’s ongoing success is its dedicated employees. The RRB will continue to recruit and 

hire a high-performing workforce and foster a leadership environment that inspires, motivates and 

guides employees toward our strategic goals, allows them to link their responsibilities with the 

agency’s strategic vision, and results in a stable workforce that has the competencies needed to 

fulfill our mission and reflects the diversity of all segments of American society.

This plan reflects input and feedback from our stakeholders, including customers in the railroad 

community, Congressional committees, the Office of Management and Budget (OMB) and other 

Federal agencies. The RRB will also continue to work closely with partner agencies such as the 

Social Security Administration (SSA), the Centers for Medicare & Medicaid Services (CMS) 

and the Department of the Treasury (Treasury), as well as the National Railroad Retirement 

Investment Trust (NRRIT), which manages investment of the railroad retirement trust funds.

With its heightened emphasis on human capital planning, we believe this plan reflects a

continued focus on our commitment to providing outstanding customer service in the most 

effective, efficient ways possible.
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Thomas Jayne, Management Member Erhard R. Chorlé, Chairman John Bragg, Labor Member
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The RRB’s mission is to administer retirement/survivor and 

unemployment/sickness insurance benefit programs for railroad workers and 

their families under the Railroad Retirement Act (RRA) and the Railroad 

Unemployment Insurance Act (RUIA). These programs provide income 

protection during old age and in the event of disability, death or temporary 

unemployment and sickness. The RRB also administers aspects of the 

Medicare program and has administrative responsibilities under the Social 

Security Act and the Internal Revenue Code.

In carrying out our mission, the RRB will pay benefits to the right people, in 

the right amounts, in a timely manner, and will take appropriate action to 

safeguard our customers’ trust funds. The RRB will treat every person who 

comes into contact with the agency with courtesy and concern, and respond 

to all inquiries promptly, accurately and clearly.

RAILROAD RETIREMENT

BOARD MISSION

STATEMENT
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Vision

The RRB will continue to be customer-focused, quality-driven, and fiscally responsible. While 

our overall mission and responsibilities will remain unchanged, we will use creativity, innovation 

and technology to deliver best-in-class service in a cost-effective and efficient manner. As a 

result, our customers will have a broad range of choices for conducting their business with the 

agency, including more online, web-based options that will allow for secure transactions from 

remote locations. In addition, we will offer expanded services to our customers through our

nationwide toll-free telephone number and will enhance and increase their ability and options to 

file benefit applications and claims online through our partnership with Login.Gov.

Direct customer feedback will shape our efforts and enhance responsiveness, with the goal of 

having our customer service levels serve as a standard of excellence in the Federal sector. 

However, our ultimate measure of success will be the sustained satisfaction of our customers and 

the agency’s ability to respond to their needs and concerns.

Given the large percentage of employees recently retired and currently eligible for retirement

during this planning period, knowledge transfer continues to be a top priority in our managerial 

succession plans. The agency’s internal culture will reflect a strong commitment to its 

employees and a drive to ensure continual learning at all levels.

Programs & Responsibilities

Our primary customers are the employees and employers of the rail industry and their families. 

They include, for example, train and engine service employees, maintenance of way employees, 

dispatchers, signalmen, computer specialists, sales personnel, lawyers and accountants. They 

also include railroad employees who have retired on the basis of age, their spouses and 

dependents, as well as younger beneficiaries who have retired on the basis of disability, survivors 

of deceased employees or retirees, and employees who are not working because of layoffs, 

injuries, or illness. Employers include the nation’s Class I freight railroads as well as more than 

600 other employers, including short line regional railroads, Amtrak, certain commuter roads, 

railroad associations and rail labor unions.
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The RRB’s benefit programs are based on two primary laws – the Railroad Retirement Act 

(RRA) and the Railroad Unemployment Insurance Act (RUIA). Under the RRA, the RRB 

processes retirement, survivor and disability annuities for railroad employees and their families. 

Under the RUIA, the agency pays unemployment benefits to railroad workers who cannot find a 

job in the industry and sickness benefits to those unable to work on a temporary basis due to 

illness, injury or pregnancy. In fiscal year 2020, the RRB paid a total of $13.6 billion in benefits. 

This included about $13.2 billion in retirement and survivor benefits to 528,000 beneficiaries, 

and $198.9 million in unemployment and sickness insurance benefits, net of recoveries, to some 

43,100 claimants. In addition, $154.8 million in unemployment and sickness benefits were paid 

under the Coronavirus Aid, Relief, and Economic Security (CARES) Act of 2020. Payroll taxes 

paid by railroad employees and employers are the primary funding source for these benefits. The 

agency also administers various provisions of the Medicare program for rail workers and family 

members including the selection of a carrier to process Medicare Part B (Supplemental Medical 

Insurance) claims. In fiscal year 2020, the carrier paid almost $856 million to providers and 

beneficiaries for Part B services.

As an independent agency in the Executive branch of the Federal Government, the RRB is 

administered by three Board Members appointed by the President with the advice and consent of 

the Senate. The Labor Member is appointed from the recommendations of railroad labor 

organizations, the Management Member is appointed from the recommendations of railroad 

employers, and the Chairman is appointed to represent the Public interest without 

recommendation by either employers or employees from the rail industry. The Board Members 

serve staggered 5-year terms. The President also appoints an Inspector General for the RRB to 

provide independent oversight of the agency and its programs. The RRB currently employs 

approximately 781 employees who work in its Chicago headquarters and 53 field offices around 

the country. The agency’s administrative budget has historically approximated one percent of 

total benefit payments, and totaled nearly $114.5 million in fiscal year 2020.

While the railroad retirement system has remained separate from the social security system, both 

systems are closely coordinated with regard to earnings credits, benefit payments, and taxes. In

addition to SSA, the RRB works closely with several other Federal and state agencies on benefit 

administration, such as CMS, state employment security departments and the Department of 

Labor. Other agencies with which the RRB interacts on a routine basis include OMB, Treasury, 
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the Office of Personnel Management (OPM) and the General Services Administration (GSA). 

The RRB and the Board Members also provide assistance, information and testimony to the 

Congress and its agencies, such as the Government Accountability Office (GAO), on a regular 

basis.

In addition to current and future customers and other governmental entities, the RRB’s 

stakeholders include organizations that represent rail labor, retirees and rail employers. Examples 

are rail labor unions, the National Association of Retired and Veteran Railway Employees 

(NARVRE) and the Association of American Railroads (AAR). We also interact with 

contractors who assist the agency in performing its mission and work closely with the NRRIT, 

which manages trust fund investments. The RRB also has internal stakeholders that include our 

dedicated employees and their representatives, such as the American Federation of Government 

Employees (AFGE) as the exclusive bargaining agent, and the Federal Managers Association

(FMA).
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Strategic Priorities

We have three comprehensive strategic priorities for this planning period: IT Modernization, 

Customer Service and Trust Fund Stewardship. 

Today, our mission essential programs are straining under the burden of being maintained by 

legacy computer systems built 40 years ago. To continue providing the excellent service to our 

beneficiaries, our IT Modernization efforts are being leveraged to transform these legacy systems 

and build modern digital services while safeguarding information anywhere, anytime, in all ways 

throughout the information life cycle. As part of modernization, we have an opportunity to 

consolidate network services and re-architect and modernize our network infrastructure. With the 

emerging cloud solutions, we optimize our network backbone connectivity to overcome latency 

issues when our users will access modern cloud services. With ever increasing IT security and 

privacy risks, we make our systems and processes more robust with advanced privacy and 

security controls. This IT Modernization is an iterative and incremental approach to show 

success, communicate these successes across the agency to gain support, and build confidence to 

accomplish the remaining larger critical tasks.

Our Customer Service priority is focused on meeting our customers’ expectations for timely 

personal service. These expectations are based on past experience and performance, as reflected 

in several independent customer satisfaction surveys over the past decade, as well as our more 

recent experiences during the COVID-19 pandemic. Our challenge in meeting this priority will 

be to make the most of our limited resources, implementing new technology and utilizing staff in 

cost-effective ways. Another challenge will be the rising expectations of our customers, reflected 

in increased demands for new and improved services, especially online self-service options. We 

will continue to strive to meet these expectations in this planning period.

Our Trust Fund Stewardship priority has several different aspects, including accurate benefit 

payments, a focus on financial solvency for our programs for the future and maintaining a high 

level of program integrity.
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To ensure the accuracy of our benefit payments, we will continue to identify areas where 

potential errors may occur and pursue automation initiatives that will minimize erroneous 

payments.

Future solvency was a major objective of legislative changes to the RRA in 2001. Those 

amendments, contained in the Railroad Retirement and Survivors’ Improvement Act, created the 

NRRIT, a non-governmental entity that is charged with managing investment of the railroad 

retirement trust funds in a wide variety of financial instruments. Although this responsibility was 

shifted from the RRB, the agency still has the responsibility of monitoring the activities of the 

NRRIT and working with the NRRIT to ensure the availability of funds for benefit payments.

Program integrity involves managing our budgetary resources in a prudent way to ensure that 

customers receive those benefits to which they are legally entitled. To do this, we conduct 

automated reviews of our customers’ benefit information to identify errors or inconsistencies, 

and maintain computer matching agreements with other agencies and entities that report 

information on, or pay benefits to, our customers. We have implemented a number of Program 

Integrity improvements to prevent and detect the fraudulent payment of benefits. We also 

safeguard our trust funds through such administrative activities as using competitive 

procurements whenever possible, increasing energy efficiency in our headquarters building, 

developing in-house training programs to better equip our employees to handle a variety of 

challenges and using online video to present both internal and external training. We also work 

closely with our Office of Inspector General (OIG) to have our financial statements audited 

every year. All of these activities will continue during this planning period.

A key factor in meeting our strategic priorities is the RRB’s administrative funding level. 

Budgetary resources have been tight in recent years, and are expected to remain so during the 

planning period. To deal with this challenge, the agency has made creative use of technology and 

other more economic innovations, not only to maintain service levels, but to improve agency 

performance wherever possible.

The following figure demonstrates how the RRB has done more with less in recent years. The 

general trend over the last 20 years has seen an increase in the ratio of customers served to 

agency employees (635:1). The major reasons the RRB has been able to maintain high 

performance levels with increasingly scarce resources are our extremely capable and dedicated 
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employees, coupled with expanded use of technology. However, the continued loss of personnel 

through retirements, and ongoing budget constraints, has created a serious challenge for the 

future.

0

200

400

600

800

1,000

1,200

1,400

1999 2001 2003 2005 2007 2009 2011 2013 2015 2017 2019 2021

Number of Employees

Fiscal Year

Number of RRB Employees

FY-1999 - FY-2021 
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Strategic Goals

Today, our mission essential programs are straining under the burden of maintenance needs by 

legacy computer systems built 40 years ago. Our workforce is rapidly aging, with the average 

employee serving 30 years at retirement. Institutional knowledge diminishes as this workforce 

retires and it is increasingly difficult to find the legacy skills needed to maintain these systems. 

To continue providing the excellent service to our beneficiaries, we need to transform these 

legacy systems through automation and build modern digital services while safeguarding 

information anywhere, anytime, in all ways throughout the information life cycle. Our threephased approach to Stabilize, Modernize, and Perform allows the Agency to leverage the 

opportunity to not only modernize its IT systems, but also to more importantly transform its core 

business processes and customer service capabilities. 

Through this phased approach, the Agency will transform both the technologies and business 

processes to make the RRB more efficient and effective. From an IT perspective, the RRB plans 

to target the 70+ legacy applications and transition its platforms to support continuous delivery 

of capability enhancements securely and reliably. From a business perspective, the core process 

modernizations will span the continuum, to include streamlining the Agency’s core training 

program for claims examiners as well as infusing greater flexibility and efficiency into benefit 

calculations and/or adjustments. We established five strategic objectives for the agency’s 

transformation that will stabilize information systems in order to modernize and then perform 

more efficiently and effectively. 

 Transition Mission Essential Programs from the End-of-Life Mainframe hardware. 

The purpose of this objective is to transition the computer mainframe operations located 

at RRB’s Data Center and disaster recovery site to IBM operations on the IBM zCloud 

for Government. The transition provides RRB optimization of mainframe operations and 

enables Information Technology Modernization and Application Modernization and 

Application Modernization. In Fiscal Year 2021, the agency successfully transitioned its 

Strategic Goal 1 – Modernize Information Technology (IT) Operations to Sustain 

Mission Essential Services
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legacy data center mainframe to the IBM zCLoud environment. The process of 

decommissioning the legacy mainframe equipment will occur in Fiscal Year 2022. 

 Enhance infrastructure components to stabilize the information systems and the 

related ecosystems to prepare for the modernize phase. 

The enhancement of infrastructure components includes the transition of the agency’s 

legacy telecommunications infrastructure to support a modernized enterprise cloud 

environment. The RRB will implement a modernized wide area network (WAN) and 

unified communications (UC) solution utilizing tasks under the General Services 

Administration’s (GSA) Enterprise Infrastructure Solutions (EIS) contract. In addition, 

the agency will migrate legacy data-center servers and enterprise storage solutions into 

the Microsoft Azure cloud.

 Prepare to consolidate and rationalize applications to improve the effectiveness and 

efficiency of mission essential functions. 

This strategic objective includes, but is not limited to: developing and implementing the 

data layer components of modernization; establishing a business rules strategy and plan; 

and refining key management processes in the following areas within the IT organization: 

change, project, program, and configuration. These management processes play an 

integral part of the rationalization of applications. 

 Evaluate the results of the customer surveys obtained through the LSMS reengineering assessment contract to identify and deliver a broader range of online 

citizen centric services that will specifically address our customers’ expectations and 

improve overall customer service.

The RRB evaluated the results of the customer surveys obtained through the LSMS reengineering assessment contract deliverable to identify and deliver digital solutions that 

target our customer’s expectations. As a result, the RRB plans to implement secure selfservice mobile and web-ready access to personal account statements and individualized 

information about the status of claims and benefits, as well as allowing access to industry 

standard features such as the online benefit estimates. This strategic objective also lays 
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the foundation for the modernization of key applications that will support the intake, 

adjudication, calculation, and payment processing of applications and claims. 

 Evaluate the re-engineering assessment deliverables and determine a modernization 

path forward consistent with agency priorities and within available funding to 

address mission critical functions.

The evaluation of the roadmap and blueprint contract deliverables from the reengineering assessment offered several recommendations for the RRB to consider going 

forward. Mission and service delivery offices will collaborate to develop the technical 

environment for application rationalization and streamline business processes. Through a 

collaborative approach and consideration of the contractor’s recommendations, the RRB 

will develop a path forward that will improve program integrity, enhance customer 

experience, streamline the core-training program, and secure the enterprise. 

Our primary means of providing excellent customer service is embodied in our mission 

statement to pay benefits in a correct, timely manner. However, in addition to this focus on 

performance, we also aim to satisfy our customers’ expectations for high-quality service by 

providing a variety of delivery options and personalized attention. This includes expanded use of 

online, web-based services and a nationwide toll-free telephone number for inquiries and 

services. The RRB has developed the following objectives to meet this crucial goal.

 Pay Benefits Timely

We measure the success of our efforts to make timely payments by looking at a variety of 

information, with a focus on average processing times. The RRB publishes a Customer 

Service Plan that outlines a number of timeliness goals covering initial retirement, 

survivor and disability decisions and payments, as well as unemployment and sickness 

insurance applications and claims. In turn, the agency’s Annual Performance Plan sets 

Strategic Goal 2 – The RRB Will Provide Excellent Customer Service.
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yearly targets for the percentage of customers who will receive service in the time frames 

specified by the Customer Service Plan. We revise these targets on an annual basis, 

taking into account projected workloads and available resources.

Progress on these performance targets is tracked on a continuous basis, with the results 

reported to our customers and stakeholders annually. This includes press releases, 

inclusion in our Performance and Accountability Report, budget documents, and posting 

on the agency’s website (www.rrb.gov).

In addition to highlighting the timeliness goals mentioned above, the RRB’s Customer 

Service Plan also centers on our fundamental principles of public service: standards, 

openness, accessibility, accountability and feedback. It is published nationally and posted 

in each RRB office in order to communicate these standards to our customers and to 

reinforce them with our employees. We also publish and post the results of our Customer 

Service goals on an annual basis.

Customer Responsibilities

The RRB communicates with our customers about actions they can take to ensure that 

they receive payments in a correct, timely manner when eligible for benefits. For 

example, some benefits are subject to reduction based on payments from another party, 

income thresholds and life changes (i.e., marriage, divorce, death, and children 

becoming adults). We provide our customers with periodic reminders that contain clear 

guidance on their responsibilities to provide accurate, complete information and notify us 

of changes in status. Timely updates will allow customers to receive the maximum 

benefits to which they are legally entitled while helping the RRB avoid erroneous 

payments.

Employer Responsibilities

Information provided by rail employers is the basis for the benefits paid to employees and 

retirees. For this reason, during the planning period, we will continue to secure timely, 

accurate and efficient reports of railroad service and compensation. We will work with 

employers to improve modernization efforts that expand and enhance the use of available 
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electronic reporting methods. We will continue to work closely with employers to ensure 

that they are aware of their responsibilities and given the support needed to carry them 

out. We will use new virtual meeting technology to provide ongoing training to 

employers on proper reporting.

 Provide a Range of Choices in Service Delivery Methods

To meet our customers’ needs and expectations, we must provide services in ways that 

are accessible and convenient to all customers, including the elderly and those with 

impairments. Alongside our current telephone system, we have expanded the number of 

service delivery choices available through the Internet for those who prefer self-service 

online. As a complementary objective, we will take advantage of technological 

developments that will not only satisfy our customers but improve our internal processes 

as well.

Nationwide toll-free service, which was implemented during fiscal year 2009, is a key 

component of our plan because it provides us with the ability to dynamically route phone 

calls among our offices based on logical business rules and customer needs. This service 

provides our customers with faster response times and allows agency management to 

more effectively balance and share workloads among offices. During this planning 

period, we will work to expand the functionality and services offered through the toll-free 

number (877-772-5772 or 877-RRB-5RRB). These enhancements, which include the 

option to choose an automated callback during peak call times rather than waiting on 

”hold” and expanded “open” hours, will be geared to improve customer call delivery 

times as well as making more self-service options available in a secure manner through 

the interactive voice response feature now offered through the toll-free system. 

We will also develop additional self-service options via the Internet, including the ability 

to send and transmit benefit-related data in a secure manner. This will include services 

for current or potential beneficiaries, as well as railroad employers. The RRB has 

partnered with Login.Gov to establish a secure multi-factor authentication customer 

logon for all online transactions. During the recent COVID-19 pandemic and resulting 

closure of RRB field offices to the public, there was a significant increase in the number 

of RUIA transactions submitted online. Currently, close to 90% of all unemployment 
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and sickness claims are being securely filed online, compared to approximately 35% of 

the same transactions pre-pandemic. The RRB will continue to make improvements to its 

Employer Reporting System (ERS) to increase the amount of information relative to 

railroad compensation, employment and service that employers can exchange with the 

agency through the Internet. ERS enhancements will streamline the employer reporting 

process by consolidating or reducing the number of forms to be submitted and providing 

links to allow employers to receive certain bills and recover payments through Treasury’s 

Pay.gov website.

Our level of performance under this objective will be measured by the number of new 

service delivery options and access points we offer during the planning period, formal 

surveys and informal feedback, and utilization of online services.

Paperless Processing

The RRB will continue to expand paperless processing to increase efficiency and 

productivity. Our document imaging system has improved agency processing by making 

information more accessible and improving the ability of managers to assign and monitor 

work in a more effective manner. After first implementing this system at headquarters, 

the RRB expanded this technology to its nationwide network of field offices that provides 

front-line customer service. Further, the maximized telework environment required by the 

COVID-19 pandemic brought stop-gap scanning and imaging procedures to many 

additional work processes. We are currently evaluating the expanded use of paperless 

exchange of forms and medical evidence with third parties in order to optimize our 

disability program to improve efficiency and timeliness of service.

The RRB will also continue to improve its automated systems to reduce referrals that 

require time-consuming and labor-intensive manual handling.
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The RRB is committed to fulfilling its fiduciary responsibilities, not only to the railroad 

community, but as a member of the larger Federal Government community. We will operate the 

agency in an efficient, effective manner, treat our employees with the respect they deserve, and 

ensure that funds appropriated for agency operations are spent for their intended purposes. We 

will also take appropriate action to safeguard the funds used for benefit payments. The following 

objectives will chart our success toward this broad goal. 

 Ensure that Trust Fund Assets are Protected, Collected, Recorded and Reported 

Appropriately

The RRB is committed to prudent management of its trust funds. Our success in this 

objective is reflected through annual audited financial statements, actuarial valuations, 

financial projections, benefit payment accuracy, debt collection, experience-based 

contribution rates, and payroll tax and railroad employee compensation reconciliations. 

We also have responsibilities with regard to the National Railroad Retirement Investment

Trust, which are addressed under performance goal II-D. To accomplish this objective, 

we will:

• Continue to issue annual audited financial statements;

• Monitor the solvency of the trust funds through a sound program of actuarial 

valuations and financial projections;

• Correctly estimate the amounts needed for future benefit payments;

• Verify that payroll taxes are fully collected and properly recorded;

• Issue accurate, timely determinations and notices of contribution rates required 

under the unemployment and sickness insurance program;

• Carry out the RRB’s debt management policy.

 Ensure the Accuracy and Integrity of Benefit Programs

The RRB is committed to paying the right benefits to the right people. There are 

measures in place to track the accuracy of processing actions under both the RRA and the 

RUIA. The principal indicators of accuracy are the benefit payment accuracy rates in 

Strategic Goal 3 – Serve as Responsible Stewards for Our Customers’ Trust 

Funds and Agency Resources.
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each program, which measure the percentage of dollars paid out correctly. Our 

performance goal is to ensure that we continue to meet or exceed 99 percent payment 

accuracy in the payments initiated or manually adjusted in a given year. The steps taken 

to accomplish this goal include:

 Monitoring payment accuracy and the levels of improper payments, and 

identify problems.

 Providing feedback and take additional preventive actions as appropriate.

 Maintaining established matching programs.

 Continuing our program integrity reviews.

Under the Payment Integrity Information Act of 2019 (PIIA), the RRB conducts Risk 

Assessments to determine the estimated amount of erroneous payments and engages in 

activities to reduce and recover them. Since improper payment reporting began in 2002, 

the amounts attributable to the RRB’s two benefit programs (the RRA and the RUIA) 

have been below the definition of “significant” improper payments identified in the law.

To fulfill our commitment to the rail community and continue to ensure the correct 

amount of benefits are being paid to the right people, in the right amount at the right time, 

we electronically match our benefits against: 

 SSA’s earnings and benefits database and death-reports file, 

 CMS’s utilization and death records, and 

 State Wage Match Report.

In addition, potential improper payment cases will continue to be referred to the RRB’s 

OIG, which can recommend civil or criminal prosecution upon completion of its 

investigation.

The effectiveness of the program integrity efforts are measured each year by comparing 

the dollars identified as improper payments and saved through these initiatives to their 

cost. In fiscal year 2020, the RRB invested the equivalent of about 17 full-time 

employees, at a cost of approximately $1.98 million, in program integrity efforts. This 

resulted in over $9.9 million in recoverable benefits, $2.06 million in erroneous benefits 
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prevented, and the referral of 25 cases to the OIG for investigation. This resulted in

approximately $6.03 in savings for each $1.00 invested in these Program Integrity 

activities. 

 Ensure Effectiveness, Efficiency and Security of Operations

The RRB is committed to effective, efficient and secure internal operations. The agency 

has a long-range plan for complete modernization of RRB processing systems to support 

this commitment. Many factors and programs contribute to this goal. We use a

management control review process for critical agency programs to provide reasonable 

assurance of their effectiveness, efficiency and security, with corrective action taken to 

address any identified weaknesses. In addition we perform a variety of quality assurance 

activities to ensure that our benefit programs comply with established policies, standards 

and procedures.

An increasingly important consideration for the agency is to safeguard our customers' 

privacy and enable them to conduct business with the RRB in a secure environment. We 

continually make notable progress in strengthening and improving computer security by 

following the Federal Information System Management Act (FISMA) guidelines for 

identifying and resolving risks associated with our agency information systems. We will 

continue to develop risk assessments, perform management control reviews, and conduct 

periodic vulnerability assessments on informational assets, and enhance staff training on 

IT security, while deploying advanced security technologies to protect against physical 

and cyber-security threats.

The RRB has complied with a security directive that required enhanced identity 

verification of Federal employees, including the use of a more sophisticated identification 

card containing a chip with biometric data (i.e., fingerprints) common to all Federal

agencies. The RRB’s shared-services agreement with GSA provides an enterprise-wide 

compliant Personal Identity Verification (PIV) credential solution with integration into 

the agency’s physical and logical access control systems.
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 Effectively Carry Out Responsibilities with Respect to the NRRIT

The NRRIT was created by the Railroad Retirement and Survivors’ Improvement Act of 

2001 to oversee investment of the railroad retirement trust funds. While the RRB no 

longer manages investment of trust fund monies, it continues to have responsibilities in 

ensuring that the NRRIT, and its seven-member Board of Trustees, complies with the 

provisions of the RRA as amended by the Railroad Retirement and Survivors’

Improvement Act of 2001. We fulfill these obligations through periodic meetings 

between the RRB’s three-member Board and the NRRIT’s trustees, more frequent 

meetings between the agency’s General Counsel, Chief Financial Officer, Chief Actuary

and NRRIT officials, and review of monthly and annual reports submitted by the NRRIT, 

including the audit reports on the NRRIT annual financial statements. The RRB has 

authority to bring civil action should these reviews indicate any violation of the RRA or 

non-compliance with any of the provisions of the law. We also post information about the 

NRRIT and its activities on the agency website for the benefit of our customers and 

stakeholders.

Management Strategies

In addition to these ongoing programs and strategic goals, we have developed complementary 

plans in the areas of information technology investments, human capital planning, information 

security, financial management and procurement. These areas are strategically important in that 

they provide vital support to achieving our stated objectives and strategic goals. Recognizing this 

interrelationship, these initiatives include measurable objectives and outcomes that are also 

reported and tracked as part of our Annual Performance Plan and related documents, as well as 

periodic reports required by statute, regulation or executive guidance.

 Effectively Manage Information Technology

Information technology not only provides the underlying support for the agency’s current 

day-to-day operations, but it also is a strategic means of improving the cost-effectiveness 

of our operations in the future. In that sense, information technology is a critical aspect of 

our goal to safeguard our customers’ trust funds and agency resources. Expanded use of 
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automation has improved efficiencies and plays an important role in increasing speed of 

processing and accuracy. We are continually striving for better ways to plan and control 

our information technology investments and initiatives to ensure that they perform as 

expected, provide a meaningful return, and are delivered on time and within budget.

In recent years, the Agency has taken steps to provide increased value to the agency’s 

business, through automated systems and improvements in technology. We continue to 

leverage advances in technology to improve the collection, storage, retrieval, security and 

dissemination of information. We further improve efficiency of agency operations by 

streamlining business operations and adhering to governance policies at the headquarters 

and the field offices.

 Effectively Manage Human Capital

The agency’s dedicated, experienced employees have been the foundation for our 

outstanding track record in customer service and satisfaction. However, we recognize that 

there is an ongoing need and responsibility to effectively manage our human capital 

resources. This is particularly important given the number of RRB employees who have 

recently retired and those who are eligible for retirement over the next four years. We 

have been working closely with OPM, as well as OMB, to develop long-range plans that 

will position the agency for continued success in administering our programs.

In FY 2021, the RRB completed a comprehensive and strategic Human Capital Plan 

(HCP) which focused on succession planning, as well as staff training/development 

initiatives to ensure the Agency is prepared for employee retirements and equips the next 

generation of leadership. The RRB has also developed a comprehensive plan which 

outlines the agency’s human capital policies, programs and practices as they support this 

Strategic Plan. This includes a detailed analysis of the demographic features of the RRB 

workforce and the skills needed to fulfill our mission. It also establishes a framework of 

actions over the planning period that will assist the RRB in recruiting, developing and 

retaining talented employees. This includes a Hiring Reform Action Plan designed to 

simplify and streamline the hiring process. Key challenges facing the agency include an 

aging workforce, employee attrition and the increasing complexity of information 

technology needs.
-21-

As of FY 2020, approximately 40 percent of RRB employees had 20 or more years of 

service and more than 32 percent of the RRB’s workforce was projected to be eligible for 

retirement by Fiscal Year 2022. Each agency component, as part of the HCP, has 

completed a workforce analysis that identified the current staffing levels, projected 

attrition and planned hiring in the coming fiscal years, subject to available funding. They 

have also completed a training analysis that identifies potential areas of skills and 

knowledge gaps that should be addressed through training, mentoring or outside hires, 

including use of reemployed annuitants. We have placed added emphasis on filling entrylevel positions, focusing on front-line service employees in the field offices and claims 

examiners in headquarters to the extent possible due to budgetary constraints. These new 

employees, together with those expected to be hired over the next several years, will be 

key to effectively administering the RRB’s programs and continuing to provide 

outstanding service over the long term.

During the planning period, we will foster a leadership environment that inspires, 

motivates and guides employees toward our strategic goals, allows them to link their 

responsibilities with the agency’s strategic vision, and results in a high-performing, stable 

workforce that has the competencies needed to fulfill our mission and reflects the 

diversity of all segments of American society. As part of these efforts, we will request 

funds in the agency’s budget submissions to fill key positions, provide training, and 

ensure that employees are able to link their daily activities to relevant goals in the 

agency’s Strategic Plan.

In addition to the area of talent management, which deals with skills gaps in the agency 

workforce and effective recruitment/retention of new employees, the RRB’s plans in this 

area will address leadership/knowledge management and development of a resultsoriented performance culture. The RRB will also establish accountability for human 

capital management by systematically monitoring and evaluating the effectiveness of 

policies and practices in this area.

 Enhance Information Security

The Agency is committed to protecting our annuitants’ information from unauthorized 

use or disclosure and continuing to improve our information security capabilities to
-22-

mitigate identified risks. We continue to enhance our information security policies, 

procedures, and practices to mitigate the risk of ever increasing cybersecurity threats. Our 

partnership with the Department of Homeland Security (DHS) in the Continuous 

Diagnostic and Mitigation (CDM) program will further improve our information security 

program pertaining to vulnerability assessment, hardware and software management, 

configuration management, and privileged account management. We continue to manage 

the risk of the critical infrastructure considering asset management, remote access, 

identity management, and network protection. Specifically:

Asset Management 

- We have enrolled in the DHS CDM Continuous Monitoring as a Service (CMaaS) to 

provide better visibility of current hardware and software and to automatically detect 

unauthorized hardware and software.

Identity Management

- The RRB enforces multi-factor authentication for general users and has installed a 

privileged access management system for system administrators.

Remote Access

- We have deployed managed services for hardware encryption and have upgraded our 

network firewalls to strengthen information security controls for remote access using 

Virtual Private Network (VPN).

Network Protection

- As part of CMaaS, we will further improve the Defense in Depth configuration in 

place, namely the Intrusion Prevention System (IPS), Network Access Control 

(NAC), and the Security Information and Event Management (SIEM).
-23-

 Enhance Financial Reporting

The agency continues to take steps to improve processes related to preparation of the 

financial statements, issuance of payments, internal controls and quality assurance. These 

actions will address items identified by the internal control reviews, audits of the 

agency’s Performance and Accountability Report and other aspects of financial reporting 

and processing, as well as ensure continued compliance with the Federal Managers’ 

Financial Integrity Act, OMB circulars and related requirements. Current initiatives by 

agency financial staff include implementation of the Department of the Treasury’s 

guidance regarding changes in financial reporting and associated updates to accounting 

policy and procedures. This includes working with the agency’s shared services provider 

which hosts its financial system in a cloud-based environment.

 Effectively Use Competition in Contracting

We will also strive to maintain a first-class acquisition system that makes maximum use 

of competitive procedures, uses past performance as an evaluation factor in awarding 

contracts, and ensures that contractors meet all delivery requirements and schedules for 

goods and services. This will help ensure that the RRB consistently pays the lowest price 

for products and services commensurate with quality, service, value, delivery and 

reliability by promoting full and open competition to the maximum practical extent when 

procuring goods and services, awarding purchase orders only to responsible contractors, 

and closely managing solicitations and their resulting contracts. Related to human capital 

planning, the RRB will also continue to have knowledgeable acquisition specialists and 

contracting officers’ representatives. The RRB has improved its competitive acquisition 

process by using a fully automated acquisition module within the RRB’s Financial 

Management Integrated System (FMIS).
-24-

Program Evaluations

The RRB considered the results of numerous program evaluations in preparing its strategic plan 

and will use program evaluations to revise it in the future. The most important of these are 

summarized below.

Program Evaluation Methodology/Scope Issues Addressed Schedule

Federal Managers’ 

Financial Integrity Act 

reports and risk 

assessments

Analytical/RRB 

administration.

Adequacy of internal 

controls.

Annual

Actuarial Valuation Actuarial/75-year 

financial projection.

Railroad Retirement Act 

(RRA) revenue/ expense 

projections.

Triennial

Actuarial Status Report 

of Railroad Retirement 

System

Actuarial/25-year 

financial projection.

RRA revenue/expense 

projections.

Annual

Actuarial Status Report 

of Railroad 

Unemployment 

Insurance System

Actuarial/11-year 

financial projection.

Railroad Unemployment 

Insurance Act (RUIA) 

revenue/expense 

projections.

Annual

Customer service 

performance reports

Analytical/RRA and 

RUIA benefit programs.

Customer service/ 

timeliness of benefits.

Annual

Quality assurance 

reports

Statistical sampling of 

RRA, RUIA benefits.

Accuracy. Annual

A variety of client 

satisfaction surveys and 

feedback

Statistical evaluations 

(e.g., ACSI); comment 

cards/meetings with 

groups of RRB 

beneficiaries.

Client satisfaction with 

RRB services/need to 

change standards or 

update customer service 

plan.

Periodic

Financial Statement 

audit

Office of Inspector 

General audit of agency 

financial statements.

Accuracy of financial 

statements.

Annual

RRB Office of 

Inspector General audits Audits/agency-wide.

Effectiveness/efficiency of 

agency operations.

Periodic

Program Integrity 

Report

Compilation of program 

integrity results.

Effectiveness of various 

matching/monitoring 

activities related to benefit 

payments.

Annual
-25-

Program Evaluation Methodology/Scope Issues Addressed Schedule

Performance Budget 

monitoring

Longitudinal study/key 

agency performance 

goals.

Customer service, 

stewardship, procurement, 

human resource and 

information technology 

issues.

Semiannual

Variety of special 

studies

Special studies/benefit

program administration.

Quality, timeliness, 

efficiency and 

effectiveness of processes 

within benefit program 

administration.

Periodic 

(on 

demand)

Enterprise Architecture 

assessment

Analytical/samples and 

audits.

Effectiveness of existing 

architecture.

Annual

Computer security and 

privacy assessment

Internal and/or external

assessments, audits, and 

evaluations.

Adequacy of internal and 

external controls 

impacting computer 

access, vulnerabilities and 

overall security.

Annual, 

quarterly 

updates

Report on electronic 

government (E-Gov) 

activities

Evaluate the 

implementation status of 

the E-Gov Act.

Agency-specific

E-Gov initiatives and 

agency information 

available on the Internet.

Annual

Improper payments

evaluation

Analytical assessment of 

RRA and RUIA 

payments.

Determination of the level 

of improper payments and 

amounts recovered and 

assessment under the 

Payment Integrity 

Information Act (PIIA) of 

2019.

Annual

Occupational disability 

program

Assessment by the 

agency’s Occupational

Disability Advisory 

Committee; in-depth 

data reviews conducted 

to identify any potential 

program vulnerabilities.

Accuracy and validity of 

the disability decisionmaking process.

Periodic/

ongoing
-26-

Planning Assumptions

An organization cannot plan for all contingencies, but must base its vision within the framework 

of given assumptions. The following assumptions were used in formulating this strategic plan. 

1. The mission of the RRB will not change during this planning period.

2. The RRB will continue as an independent agency in the executive branch of the Federal 

Government.

3. The benefit programs will not experience any funding crises during this period.

4. The public will expect continued excellent service.

5. Budgetary resources will remain tight during the planning period.

6. Technological improvements will be necessary for the RRB to meet customer 

expectations and operate within its budget.

7. The primary service delivery will be through a structure of field offices.

8. Over the long term, claims processing workloads will decline along with the total number 

of beneficiaries (see Figure 2).

9. Operational workloads will decline, but reductions will be partly offset by increased 

initiatives in quality assurance and program integrity.

10. A large number of experienced employees will retire during the planning period, 

resulting in a significant loss of business expertise.

11. Legislative amendments will continue to be made, and may affect both processing and 

operational workloads.
-27-

1

Includes Actuarial projections for Calendar Years 2022-2026

170,000

180,000

190,000

200,000

210,000

220,000

230,000

2018 2019 2020 2021 2022 2023 2024 2025 2026

(AVERAGE EMPLOYMENT)

(CALENDAR YEAR)

AVERAGE RAILROAD EMPLOYMENT 

2018 THRU 20261

420,000

430,000

440,000

450,000

460,000

470,000

480,000

490,000

500,000

510,000

520,000

530,000

2018 2019 2020 2021 2022 2023 2024 2025 2026

(NUMBER OF BENEFICIARIES)

(CALENDAR YEAR)

Railroad Retirement Beneficiaries

Calendar Years 2018-20261
-28-

Key External Factors

The RRB recognizes that there are several key external factors which could affect the achievement of our strategic goals and objectives. These 

include the factors shown below, along with an assessment of their probability and impacts.

Factor Strategic 

Goal(s) Likelihood Potential Impact/ Response

Significant reductions in our 

administrative budget. 

Customer 

Service; 

Stewardship

Possible. The Annual Performance Plan will reflect 

the impact of funding reductions on these 

goals. To date, the RRB has managed to 

improve some aspects of operations within 

budget constraints, using various 

streamlining initiatives and automation of 

manual work processes.

Sudden, unanticipated and 

significant declines in railroad 

employment levels. 

Customer 

Service; 

Stewardship 

Possible. Payroll taxes are the primary source of 

financing for railroad retirement benefits. The 

railroad industry is in the midst of recovery from 

the pandemic. If economic conditions do not 

improve or significantly deteriorate, rail industry 

employers may be required to substantially reduce 

staffing. Currently, we anticipate such action only 

under a pessimistic employment scenario.

In the past, declines in railroad 

employment have resulted in legislation to 

ensure the solvency of the railroad 

retirement system. A similar need for 

legislative changes may arise if there were 

a dramatic, sudden, unexpected decline in 

railroad employment. The impact could 

be mitigated if alternate sources of 

financing are identified.

Major program-related 

legislative changes. 

Customer 

Service; 

Stewardship

Possible. The impact of any legislative changes on 

the strategic goals would have to be fully 

assessed.
-29-

Factor Strategic 

Goal(s) Likelihood Potential Impact/ Response

Major mission-related or 

structural legislative changes. 

Customer 

Service; 

Stewardship 

Unlikely. There have been several proposals to 

change the structure of the agency, but none have 

been introduced into the Congress for several 

years.

Legislative changes dealing with the 

agency’s fundamental mission are not 

anticipated, and their impact would have 

to be fully assessed if and when proposals 

are made. 

Lack of interagency 

cooperation or support for key 

operations (e.g., SSA's wage 

and data exchange, and the 

Internal Revenue Service’s tax 

collections).

Customer 

Service; 

Stewardship 

Unlikely. As other agencies find themselves 

operating with fewer resources, there is a 

possibility that their reductions would impact our 

services.

The RRB depends heavily on interagency 

cooperation and support to carry out many 

of our functions and services. We will 

continue to maintain contacts with key 

agencies to ensure active coordination and 

support.

Loss of public confidence in 

the railroad retirement system 

and the ability of the agency 

to provide necessary services. 

Stewardship Unlikely. The continued confidence of both 

railroad employers and employees and the 

beneficiary population is a critical factor. As 

customer satisfaction remains high, a loss of public 

confidence is unlikely, provided administrative 

funding is not significantly reduced.

We will continue to monitor the solvency 

of the funds, and look for ways to ensure 

administrative efficiencies to keep costs 

low. We will also continue to monitor our 

customers’ level of satisfaction.

In developing this plan, we recognized that there are a number of potential strategic issues that may arise during the coming years which relate to 

various external factors. These include, but are not limited to, changes in basic program design, alternative sources of financing, transferring 

functions to other agencies, establishing performance-based organizations, and privatization. Issues of this nature could cause fundamental changes in 

the RRB’s programs, operations, structure, and/or financing, and thereby directly impact this plan.
30-

Conclusion

This Strategic Plan expresses the agency’s continued commitment to provide the best possible 

customer service and prudent stewardship for the rail community. 

We are proud to present this plan, yet it is only that – a plan. The plan will not achieve success 

unless we widely communicate these strategic goals and incorporate them into the day-to-day 

business activities of the agency. Links to our employees' performance plans, our annual 

performance plans, and other plans such as our Human Capital Plan, IT Modernization Plan, and 

Strategic Information Resources Management Plan will all assist in achieving these goals.

In order to ensure achievement of strategic goals, the RRB sets annual performance goals based 

on its strategic goals and designed to make continual, measurable progress on our objectives

during each budget year. This planning process is in compliance with the Government 

Performance and Results Act, the Government Performance and Results Modernization Act and 

OMB guidance that require each agency to develop annual performance plans, which are 

submitted along with the agency’s budget requests. We will monitor our performance throughout 

the year and make adjustments as needed to achieve the desired results.

The RRB expects that this Strategic Plan will guide us as we continue our long and distinguished 

tradition of excellence in service to our customers. The RRB has a proven track record of 

carrying out its plans and achieving results. For this reason, we believe that this Strategic Plan, 

along with sufficient resources, will help us to achieve the results our customers need and 

deserve.

We will monitor this Strategic Plan on a regular basis and update it as needed. At a minimum, we 

will continue to update this plan every 4 years to cover a new planning period. This plan is 

available on our website at www.rrb.gov.

U.S. Railroad Retirement Board

844 North Rush Street

Chicago, IL 60611-1275

www.rrb.gov