Agency Forms Submitted for OMB Review, Request for Comments, 60043-60046 [E7-20809]
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Federal Register / Vol. 72, No. 204 / Tuesday, October 23, 2007 / Notices
of a security clearance; the reporting of
an investigation of an employee; the
letting of a contract; the classification of
a job; or the issuance of a license, grant,
or other benefit by the requesting
agency, to the extent that OPM
determines that the information is
relevant and necessary to the requesting
party’s decision on the matter.
14. To provide individual users the
ability to view self entered data on
individual competency proficiency
levels.
15. To provide reports to agencies on
aggregate level data of proficiency levels
in identified competencies across the
Government.
16. To provide agency specific raw
data reports to agencies on individual
level data related to proficiency levels
in identified competencies.
17. To disclose aggregate level data
from the Federal Competency
Assessment Tools via a governmentwide
report.
18. To disclose information to
contractors, grantees, or volunteers
performing or working on a contract,
service, grant, cooperative agreement, or
job for the Federal government.
employees whose official duties require
access are allowed to view, administer,
and control these records.
RETENTION AND DISPOSAL:
Completed verifications are archived
to a storage disk nightly and retained on
a server for five years. When records are
purged from the server, the records are
transferred to a CD or other electronic
media. Records in electronic media are
electronically erased. CD or other
electronic media are maintained for five
years.
SYSTEM MANAGER AND ADDRESS:
Deputy Associate Director, Center for
Human Capital Implementation and
Assessment, Office of Personnel
Management, 1900 E Street, NW.,
Washington, DC 20415–0001.
NOTIFICATION PROCEDURE:
POLICIES AND PRACTICES OF STORING,
RETRIEVING, SAFEGUARDING, RETAINING AND
DISPOSING OF RECORDS IN THE SYSTEM:
Individuals wishing to inquire if this
system contains information about them
should contact the system manager or
designee. Individuals must furnish the
following information for their records
to be located and identified:
a. Name.
b. Name and address of office in
which currently and/or formerly
employed in the Federal service.
STORAGE:
RECORD ACCESS PROCEDURE:
These records are maintained in a
relational database management system
hosted on a contractor’s Internet server,
accessed via a password-restricted
system. Duplicate records also exist on
magnetic tape back ups.
Individuals wishing to request access
to their records in this system should
contact their agency point of contact or
the system manager. Individuals must
furnish the following information for
their records to be located and
identified:
a. Name.
b. Name and address of office in
which currently and/or formerly
employed in the Federal service.
Individuals requesting access must
also follow OPM’s Privacy Act
regulations on verification of identity
and access to records (5 CFR part 297).
RETRIEVABILITY:
Designated points of contact from the
U.S. Office of Personnel Management
and participating agencies can retrieve
reports that aggregate the results of
individual and supervisor assessments,
without specifically identifying
individuals. Agencies can request raw
data reports that will contain the
identity of individuals. An employee
can retrieve individual reports (which
contain a record of how the individuals
assessed themselves, along with how
the supervisor assessed the position).
All reports are accessed via the Internet
through a password-restricted system.
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SAFEGUARDS:
These electronic records are
maintained in controlled access areas.
Identification cards are verified to
ensure that only authorized personnel
are present. Electronic records are
protected by restricted access
procedures, including the use of
passwords and sign-on protocols which
are periodically changed. Only
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CONTESTING RECORD PROCEDURE:
Individuals wishing to request
amendment of their records in this
system should contact the agency point
of contact or system manager.
Individuals must furnish the following
information for their records to be
located and identified:
a. Name.
b. Name and address of office in
which currently and/or formerly
employed in the Federal service.
Individuals requesting amendment of
their records must also follow OPM’s
Privacy Act regulations regarding
verification of identity and amendment
of records (5 CFR part 297).
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RECORD SOURCE CATEGORIES:
The information in this system is
obtained from:
a. The individual to whom the
information pertains.
b. The supervisor of the individual to
whom the information pertains, upon
that individual’s request.
[FR Doc. E7–20797 Filed 10–22–07; 8:45 am]
BILLING CODE 6325–43–P
RAILROAD RETIREMENT BOARD
Agency Forms Submitted for OMB
Review, Request for Comments
Summary: In accordance with the
Paperwork Reduction Act of 1995 (44
U.S.C. Chapter 35), the Railroad
Retirement Board (RRB) is forwarding
the following Information Collection
Requests (ICR’s) 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
collection; (2) the accuracy of the
estimated burden of the collection; (3)
ways to enhance the quality, utility and
clarity of the information that is the
subject of collection; and (4) ways to
minimize the burden of collections on
respondents, including the use of
automated collection techniques or
other forms of information technology.
Comments to RRB or OIRA must contain
the OMB control number of the
particular 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 Request; Railroad Service and
Compensation Reports/System Access
Application/Report Certification; OMB
3220–0008.
Under section 9 of the Railroad
Retirement Act (RRA) and section 6 of
the Railroad Unemployment Insurance
Act (RUIA), the Railroad Retirement
Board (RRB) maintains for each railroad
employee, a record of compensation
paid to that employee by all railroad
employers for whom the employee
worked after 1936. This record, which is
used by the RRB to determine eligibility
for, and amount of, benefits due under
the laws it administers, is conclusive as
to the amount of compensation paid to
an employee during such period(s)
covered by the report(s) of the
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60044
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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 currently utilizes
Form BA–3a, Annual Report of
Compensation and Form BA–4, Report
of Creditable Compensation
Adjustments, to secure required
information from railroad employers.
Form BA–3a 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–3a and BA–4 are prescribed in 20
CFR 209.8 and 209.9.
Employers currently have the option
of submitting the reports on the
aforementioned forms, electronically via
the Internet utilizing the RRB’s
Employer Reporting System (ERS) (for
Form BA–4 (Internet)), or in like format
on magnetic tape cartridges, CD–ROM’s
and PC diskettes.
The RRB proposes major changes to
the information collection. They are
intended to streamline the employer
reporting process, ensuring more
accurate and timely reporting, while
eliminating or reducing the employer
reporting burden associated with several
other RRB information collections.
Form BA–3a will be significantly
revised and renamed Form BA–3,
Annual Report of Compensation.
Revisions to proposed Form BA–3
include the expansion of existing data
fields to allow for: The reporting of
amounts for Tier I and Tier II
compensation greater than $99,999.99
(the annual creditable maximum for
Tier I will exceed that amount within
the next two years), RUIA daily pay rate
amounts of more than $99.99, 4-digit
year fields and expansion of the
employee’s name field. New Items
requesting information regarding sick
pay and miscellaneous compensation,
the employee’s current address,
maximum benefit RUIA compensation,
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and employment relationship status for
months not worked will be added.
Data fields for proposed Form BA–4
and BA–4 (Internet) will be revised to
allow for: The reporting of Tier I and
Tier II compensation greater than
$99,999.99 (the annual creditable
maximum for Tier I will exceed that
amount within the next two years),
RUIA daily pay rate amounts of more
than $99.99, 4-digit year fields and
expansion of the employee’s name field.
New Items providing for the reporting of
adjustments to the originally reported
Tier I and Tier II amounts, sick pay,
miscellaneous compensation, RUIA
maximum benefit amounts, and an
employee’s daily pay rate will be added.
The RRB also proposes the
implementation of two additional
electronic equivalent methods of
submission for Form BA–3 and Form
BA–4 information: File Transfer
Protocol (FTP) and secure e-mail.
The information collection includes
RRB Form BA–12, Application for
Employer Reporting Internet Access.
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. No changes are being proposed
to Form BA–12.
Lastly, the RRB proposes the addition
of new Form G–440, Report
Specifications Sheet, to the collection.
Form G–440 will act 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
will also be used to record the type of
medium the report was submitted on,
and as a summary recapitulation sheet
for reports filed on paper.
The estimated completion times for
Form(s) BA–3, BA–4 and G–440 vary,
depending on circumstances and the
method of submission. The completion
time for Form BA–3 is estimated at 46
hours and 15 minutes per response for
electronic submissions to 116 hours and
51 minutes for manual responses. The
completion time for Form BA–4 is
estimated at 20 minutes for an ERS
Internet-based response (BA–4
(Internet)), 60 minutes for an electronic
submission (magnetic tape cartridge,
CD–ROM, diskette, secure E-mail, FTP)
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and 75 minutes for a manual response.
The completion time for form BA–12 is
estimated at 10 minutes when used to
terminate system access and 20 minutes
when used to obtain system access. The
completion time for proposed Form G–
440 is estimated at 15 minutes when
submitted with a paper form and/or
used to file a ‘‘zero’’ or ‘‘no employees’’
certification, 30 minutes when used as
an electronic medium reporting/
certification form, and 1 hour and 15
minutes when used as a certification
and recapitulation form. Submission of
Form BA–3, BA–4, BA–4 (Internet) 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 may be received
from a respondent for Form BA–4 and
G–440. The annual respondent burden
for the information collection is
estimated at 7,348 responses and 43,756
hours.
Previous Requests for Comments: The
RRB has already published the initial
60-day notice (72 FR 46251–46253 on
August 17, 2007) required by 44 U.S.C.
3506(c)(2). The RRB received comments
from the Department of Commerce’s,
Bureau of Economic Analysis (BEA),
strongly supporting the RRB’s continued
collection of the data on Forms BA–3(a)
and BA–4 stating ‘‘these forms are our
main data source for key components of
BEA’s economic statistics’’. No other
comments were received.
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–4, BA–
4(Internet), BA–12, G–440.
Type of request: Revision of a
currently approved collection.
Affected public: Business or other forprofit.
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.
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The burden estimate for the ICR is as
follows:
Estimated Annual Number of
Respondents: 579.
Total Annual Responses: 7,348.
Total Annual Reporting Hours:
43,756.
2. Title and Purpose of Information
Collection; Employer Reporting, 3220–
0005.
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 currently 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. If the information is correct,
the employer need not reply. If the
information is incorrect, the employer is
asked to provide corrected information.
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
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15:33 Oct 22, 2007
Jkt 214001
(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, PC diskette, secure
E-mail, or via the Internet (Form BA–6a
(Internet)) utilizing the RRB’s Employer
Reporting System (ERS).
The RRB proposes changes to Form
BA–6a and BA–6a (Internet). The
employee’s name field will be
expanded. A new item will be added to
indicate the date an employee reported
the address to his employer. The RRB
also proposes the implementation of an
additional electronic equivalent method
of submission for BA–6a information:
File Transfer Protocol (FTP).
Completion of the forms is
mandatory. One response is requested of
each respondent. The completion time
for Form G–88a.1 is estimated at 5 to 20
minutes. Form G–88a.2 is estimated at
5 minutes per response. The completion
time for Form AA–12 is estimated at 5
minutes per response. The completion
time for Form BA–6a varies, depending
on circumstances and the method of
submission. An Internet-based BA–6a
(Internet) response utilizing the RRB’s
ERS system is estimated at 12 to 17
minutes. Electronic BA–6a responses
submitted via magnetic tape, diskette,
CD–ROM, secure E-mail and FTP are
estimated at 15 minutes. BA–6a’s
responses submitted on manual form
BA–6a are estimated at 32 minutes. The
annual respondent burden for the
information collection is estimated at
1,928 responses and 434 hours.
Previous Requests for Comments: The
RRB has already published the initial
60-day notice (72 FR 46251–46253 on
August 17, 2007) required by 44 U.S.C.
3506(c)(2). The RRB received comments
from the Department of Commerce’s,
Bureau of Economic Analysis (BEA),
strongly supporting the RRB’s continued
use of Form BA–6a information as data
from it (and RRB Form(s) BA–3a and
BA–4) is used to prepare BEA estimates
of the wages and salaries, employer
contributions for employee pension and
insurance funds, and personal
contributions for government social
insurance components of State, and
county personal income. No other
comments were received.
Information Collection Request (ICR)
Title: Employer Reporting.
OMB Control Number: 3220–0005.
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60045
Form(s) submitted: AA–12, G–88a.1,
G–88a.2, BA–6a, BA–6a (Internet), BA–
6a (E-mail).
Type of request: Revision of a
currently approved collection.
Affected public: Business or other forprofit.
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.
The burden estimate for the ICR is as
follows:
Estimated Annual Number of
Respondents: 579.
Total Annual Responses: 1,928.
Total Annual Reporting Hours: 434.
3. Title and Purpose of Information
Collection; Railroad Separation
Allowance or Severance Pay Report;
OMB 3220–0173.
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 lumpsum 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
equivalent format utilizing a magnetic
tape cartridge, CD–ROM or PC diskette.
Completion is mandatory. One response
is required of each respondent.
The RRB proposes changes to Form
BA–9. Form BA–9 will be revised to
allow for expansion of the employee’s
name field, 4-digit year fields, and
expanded yearly compensation fields
for Tier II taxed and Tier II credited
amounts. The RRB also proposes the
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implementation of two additional
electronic equivalent methods of
submission for BA–9 information: File
Transfer Protocol (FTP) and secure email.
The completion time for Form BA–9
and all electronic equivalent methods of
submission is estimated at 76 minutes.
The annual respondent burden for the
information collection is estimated at
360 responses and 457 burden hours.
Previous Requests for Comments: The
RRB has already published the initial
60-day notice (72 FR 46251–46253 on
August 17, 2007) required by 44 U.S.C.
3506(c)(2). That request elicited no
comments.
Information Collection Request (ICR)
Title: Railroad Separation Allowance
or Severance Report.
OMB Control Number: 3220–0173.
Form(s) submitted: BA–9.
Type of request: Revision of a
currently approved collection.
Affected public: Business or other forprofit.
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.
The burden estimate for the ICR is as
follows:
Estimated Annual Number of
Respondents: 20.
Total Annual Responses: 360.
Total Annual Reporting Hours: 457.
4. Title and Purpose of Information
Collection; Gross Earnings Report; OMB
3220–0132.
In order to carry out the financial
interchange provisions of section 7(c)(2)
of the Railroad Retirement Act (RRA),
the RRB obtains annually from railroad
employer’s the gross earnings for their
employees on a one-percent basis, i.e.,
1% of each employer’s railroad
employees. The gross earnings sample is
based on the earnings of employees
whose social security numbers end with
the digits ‘‘30.’’ The gross earnings are
used to compute payroll taxes under the
financial interchange.
The gross earnings information is
essential in determining the tax
amounts involved in the financial
interchange with the Social Security
Administration and Centers for
Medicare and Medicaid Services.
Besides being necessary for current
financial interchange calculations, the
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Jkt 214001
gross earnings file tabulations are also
an integral part of the data needed to
estimate future tax income and
corresponding financial interchange
amounts. These estimates are made for
internal use and to satisfy requests from
other government agencies and
interested groups. In addition, cash flow
projections of the social security
equivalent benefit account, railroad
retirement account and cost estimates
made for proposed amendments to laws
administered by the RRB are dependent
on input developed from the
information collection.
The RRB utilizes Form BA–11 or its
electronic equivalent(s) to obtain gross
earnings information from railroad
employers. Employers currently have
the option of preparing and submitting
BA–11 reports on paper, or in like
format on magnetic tape cartridges and
PC diskettes. Completion is mandatory.
One response is requested of each
respondent.
The RRB proposes changes to Form
BA–11 to allow for 4-digit year fields, to
add an additional item for an
employer’s name and to expand the
employee’s name field. The RRB also
proposes the implementation of two
additional electronic equivalent
methods of submission for BA–11
information: File Transfer Protocol
(FTP) and secure e-mail.
The completion time for Form BA–11
responses submitted via magnetic tape
and FTP is estimated at 5 hours. The
completion time for BA–11 responses
received by paper, diskette, CD–ROM,
and secure E-mail is estimated at 30
minutes.
Previous Requests for Comments: The
RRB has already published the initial
60-day notice (72 FR 46251–46253 on
August 17, 2007) required by 44 U.S.C.
3506(c)(2). That request elicited no
comments.
Information Collection Request (ICR)
Title: Gross Earnings Report.
OMB Control Number: 3220–0132.
Form(s) submitted: BA–11.
Type of request: Revision of a
currently approved collection.
Affected public: Business or other forprofit.
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
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covered by the Social Security and FIC
Acts.
The burden estimate for the ICR is as
follows:
Estimated Annual Number of
Respondents: 168.
Total Annual Responses: 168.
Total Annual Reporting Hours: 107.
Additional Information or Comments:
Copies of the forms and supporting
documents can be obtained from
Charles Mierzwa, the agency clearance
officer (312–751–3363) or
Charles.Mierzwa@rrb.gov.
Comments regarding the information
collections should be sent to Ronald J.
Hodapp, Railroad Retirement Board, 844
North Rush Street, Chicago, Illinois
60611–2092 or
Ronald.Hodapp@RRB.GOV, and to the
Office of Management Budget at Attn:
Desk Officer for RRB, Fax: (202) 395–
6974 or via E-mail to
OIRA_Submission@omb.eop.gov.
Charles Mierzwa,
Clearance Officer.
[FR Doc. E7–20809 Filed 10–22–07; 8:45 am]
BILLING CODE 7905–01–P
SECURITIES AND EXCHANGE
COMMISSION
Proposed Collection; Comment
Request
Upon Written Request, Copies Available
From: Securities and Exchange
Commission, Office of Investor
Education and Advocacy,
Washington, DC 20549–0213.
Extension:
Form 6–K, OMB Control No. 3235–0116,
SEC File No. 270–107.
Notice is hereby given that, pursuant
to the Paperwork Reduction Act of 1995
(44 U.S.C. 3501 et seq.), the Securities
and Exchange Commission
(‘‘Commission’’) is soliciting comments
on the collection of information
summarized below. The Commission
plans to submit this existing collection
of information to the Office of
Management and Budget for extension
and approval.
Form 6–K (17 CFR 249.306) elicits
material information from foreign
private issuers of publicly traded
securities promptly after the occurrence
of specified or other important corporate
events so that investors have current
information upon which to base
investment decisions. The purpose of
Form 6–K is to ensure that U.S.
investors have access to the same
information that foreign investors do
when making investment decisions.
Form 6–K takes approximately 8.7 hours
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]]>Agencies
[Federal Register Volume 72, Number 204 (Tuesday, October 23, 2007)]
[Notices]
[Pages 60043-60046]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: E7-20809]
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RAILROAD RETIREMENT BOARD
Agency Forms Submitted for OMB Review, Request for Comments
Summary: In accordance with the Paperwork Reduction Act of 1995 (44
U.S.C. Chapter 35), the Railroad Retirement Board (RRB) is forwarding
the following Information Collection Requests (ICR's) 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 collection; (2) the
accuracy of the estimated burden of the collection; (3) ways to enhance
the quality, utility and clarity of the information that is the subject
of collection; and (4) ways to minimize the burden of collections on
respondents, including the use of automated collection techniques or
other forms of information technology. Comments to RRB or OIRA must
contain the OMB control number of the particular 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 Request; Railroad
Service and Compensation Reports/System Access Application/Report
Certification; OMB 3220-0008.
Under section 9 of the Railroad Retirement Act (RRA) and section 6
of the Railroad Unemployment Insurance Act (RUIA), the Railroad
Retirement Board (RRB) maintains for each railroad employee, a record
of compensation paid to that employee by all railroad employers for
whom the employee worked after 1936. This record, which is used by the
RRB to determine eligibility for, and amount of, benefits due under the
laws it administers, is conclusive as to the amount of compensation
paid to an employee during such period(s) covered by the report(s) of
the
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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 currently
utilizes Form BA-3a, Annual Report of Compensation and Form BA-4,
Report of Creditable Compensation Adjustments, to secure required
information from railroad employers. Form BA-3a 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-3a and BA-4 are prescribed in 20 CFR 209.8 and
209.9.
Employers currently have the option of submitting the reports on
the aforementioned forms, electronically via the Internet utilizing the
RRB's Employer Reporting System (ERS) (for Form BA-4 (Internet)), or in
like format on magnetic tape cartridges, CD-ROM's and PC diskettes.
The RRB proposes major changes to the information collection. They
are intended to streamline the employer reporting process, ensuring
more accurate and timely reporting, while eliminating or reducing the
employer reporting burden associated with several other RRB information
collections.
Form BA-3a will be significantly revised and renamed Form BA-3,
Annual Report of Compensation. Revisions to proposed Form BA-3 include
the expansion of existing data fields to allow for: The reporting of
amounts for Tier I and Tier II compensation greater than $99,999.99
(the annual creditable maximum for Tier I will exceed that amount
within the next two years), RUIA daily pay rate amounts of more than
$99.99, 4-digit year fields and expansion of the employee's name field.
New Items requesting information regarding sick pay and miscellaneous
compensation, the employee's current address, maximum benefit RUIA
compensation, and employment relationship status for months not worked
will be added.
Data fields for proposed Form BA-4 and BA-4 (Internet) will be
revised to allow for: The reporting of Tier I and Tier II compensation
greater than $99,999.99 (the annual creditable maximum for Tier I will
exceed that amount within the next two years), RUIA daily pay rate
amounts of more than $99.99, 4-digit year fields and expansion of the
employee's name field. New Items providing for the reporting of
adjustments to the originally reported Tier I and Tier II amounts, sick
pay, miscellaneous compensation, RUIA maximum benefit amounts, and an
employee's daily pay rate will be added.
The RRB also proposes the implementation of two additional
electronic equivalent methods of submission for Form BA-3 and Form BA-4
information: File Transfer Protocol (FTP) and secure e-mail.
The information collection includes RRB Form BA-12, Application for
Employer Reporting Internet Access. 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. No changes are being proposed to
Form BA-12.
Lastly, the RRB proposes the addition of new Form G-440, Report
Specifications Sheet, to the collection. Form G-440 will act 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 will also be used to
record the type of medium the report was submitted on, and as a summary
recapitulation sheet for reports filed on paper.
The estimated completion times for Form(s) BA-3, BA-4 and G-440
vary, depending on circumstances and the method of submission. The
completion time for Form BA-3 is estimated at 46 hours and 15 minutes
per response for electronic submissions to 116 hours and 51 minutes for
manual responses. The completion time for Form BA-4 is estimated at 20
minutes for an ERS Internet-based response (BA-4 (Internet)), 60
minutes for an electronic submission (magnetic tape cartridge, CD-ROM,
diskette, secure E-mail, FTP) and 75 minutes for a manual response. The
completion time for form BA-12 is estimated at 10 minutes when used to
terminate system access and 20 minutes when used to obtain system
access. The completion time for proposed Form G-440 is estimated at 15
minutes when submitted with a paper form and/or used to file a ``zero''
or ``no employees'' certification, 30 minutes when used as an
electronic medium reporting/certification form, and 1 hour and 15
minutes when used as a certification and recapitulation form.
Submission of Form BA-3, BA-4, BA-4 (Internet) 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 may be received from a respondent for Form BA-4 and G-440.
The annual respondent burden for the information collection is
estimated at 7,348 responses and 43,756 hours.
Previous Requests for Comments: The RRB has already published the
initial 60-day notice (72 FR 46251-46253 on August 17, 2007) required
by 44 U.S.C. 3506(c)(2). The RRB received comments from the Department
of Commerce's, Bureau of Economic Analysis (BEA), strongly supporting
the RRB's continued collection of the data on Forms BA-3(a) and BA-4
stating ``these forms are our main data source for key components of
BEA's economic statistics''. No other comments were received.
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-4, BA-4(Internet), BA-12, G-440.
Type of request: Revision 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.
[[Page 60045]]
The burden estimate for the ICR is as follows:
Estimated Annual Number of Respondents: 579.
Total Annual Responses: 7,348.
Total Annual Reporting Hours: 43,756.
2. Title and Purpose of Information Collection; Employer Reporting,
3220-0005.
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 currently 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. If
the information is correct, the employer need not reply. If the
information is incorrect, the employer is asked to provide corrected
information. 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, PC diskette, secure E-mail, or via the Internet (Form BA-6a
(Internet)) utilizing the RRB's Employer Reporting System (ERS).
The RRB proposes changes to Form BA-6a and BA-6a (Internet). The
employee's name field will be expanded. A new item will be added to
indicate the date an employee reported the address to his employer. The
RRB also proposes the implementation of an additional electronic
equivalent method of submission for BA-6a information: File Transfer
Protocol (FTP).
Completion of the forms is mandatory. One response is requested of
each respondent. The completion time for Form G-88a.1 is estimated at 5
to 20 minutes. Form G-88a.2 is estimated at 5 minutes per response. The
completion time for Form AA-12 is estimated at 5 minutes per response.
The completion time for Form BA-6a varies, depending on circumstances
and the method of submission. An Internet-based BA-6a (Internet)
response utilizing the RRB's ERS system is estimated at 12 to 17
minutes. Electronic BA-6a responses submitted via magnetic tape,
diskette, CD-ROM, secure E-mail and FTP are estimated at 15 minutes.
BA-6a's responses submitted on manual form BA-6a are estimated at 32
minutes. The annual respondent burden for the information collection is
estimated at 1,928 responses and 434 hours.
Previous Requests for Comments: The RRB has already published the
initial 60-day notice (72 FR 46251-46253 on August 17, 2007) required
by 44 U.S.C. 3506(c)(2). The RRB received comments from the Department
of Commerce's, Bureau of Economic Analysis (BEA), strongly supporting
the RRB's continued use of Form BA-6a information as data from it (and
RRB Form(s) BA-3a and BA-4) is used to prepare BEA estimates of the
wages and salaries, employer contributions for employee pension and
insurance funds, and personal contributions for government social
insurance components of State, and county personal income. No other
comments were received.
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, BA-6a
(Internet), BA-6a (E-mail).
Type of request: Revision of a currently approved collection.
Affected public: Business or other for-profit.
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.
The burden estimate for the ICR is as follows:
Estimated Annual Number of Respondents: 579.
Total Annual Responses: 1,928.
Total Annual Reporting Hours: 434.
3. Title and Purpose of Information Collection; Railroad Separation
Allowance or Severance Pay Report; OMB 3220-0173.
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 equivalent format utilizing a magnetic tape cartridge, CD-
ROM or PC diskette. Completion is mandatory. One response is required
of each respondent.
The RRB proposes changes to Form BA-9. Form BA-9 will be revised to
allow for expansion of the employee's name field, 4-digit year fields,
and expanded yearly compensation fields for Tier II taxed and Tier II
credited amounts. The RRB also proposes the
[[Page 60046]]
implementation of two additional electronic equivalent methods of
submission for BA-9 information: File Transfer Protocol (FTP) and
secure e-mail.
The completion time for Form BA-9 and all electronic equivalent
methods of submission is estimated at 76 minutes. The annual respondent
burden for the information collection is estimated at 360 responses and
457 burden hours.
Previous Requests for Comments: The RRB has already published the
initial 60-day notice (72 FR 46251-46253 on August 17, 2007) required
by 44 U.S.C. 3506(c)(2). That request elicited no comments.
Information Collection Request (ICR)
Title: Railroad Separation Allowance or Severance Report.
OMB Control Number: 3220-0173.
Form(s) submitted: BA-9.
Type of request: Revision 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.
The burden estimate for the ICR is as follows:
Estimated Annual Number of Respondents: 20.
Total Annual Responses: 360.
Total Annual Reporting Hours: 457.
4. Title and Purpose of Information Collection; Gross Earnings
Report; OMB 3220-0132.
In order to carry out the financial interchange provisions of
section 7(c)(2) of the Railroad Retirement Act (RRA), the RRB obtains
annually from railroad employer's the gross earnings for their
employees on a one-percent basis, i.e., 1% of each employer's railroad
employees. The gross earnings sample is based on the earnings of
employees whose social security numbers end with the digits ``30.'' The
gross earnings are used to compute payroll taxes under the financial
interchange.
The gross earnings information is essential in determining the tax
amounts involved in the financial interchange with the Social Security
Administration and Centers for 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 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
currently have the option of preparing and submitting BA-11 reports on
paper, or in like format on magnetic tape cartridges and PC diskettes.
Completion is mandatory. One response is requested of each respondent.
The RRB proposes changes to Form BA-11 to allow for 4-digit year
fields, to add an additional item for an employer's name and to expand
the employee's name field. The RRB also proposes the implementation of
two additional electronic equivalent methods of submission for BA-11
information: File Transfer Protocol (FTP) and secure e-mail.
The completion time for Form BA-11 responses submitted via magnetic
tape and FTP is estimated at 5 hours. The completion time for BA-11
responses received by paper, diskette, CD-ROM, and secure E-mail is
estimated at 30 minutes.
Previous Requests for Comments: The RRB has already published the
initial 60-day notice (72 FR 46251-46253 on August 17, 2007) required
by 44 U.S.C. 3506(c)(2). That request elicited no comments.
Information Collection Request (ICR)
Title: Gross Earnings Report.
OMB Control Number: 3220-0132.
Form(s) submitted: BA-11.
Type of request: Revision of a currently approved collection.
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.
The burden estimate for the ICR is as follows:
Estimated Annual Number of Respondents: 168.
Total Annual Responses: 168.
Total Annual Reporting Hours: 107.
Additional Information or Comments: Copies of the forms and
supporting documents can be obtained from Charles Mierzwa, the agency
clearance officer (312-751-3363) or Charles.Mierzwa@rrb.gov.
Comments regarding the information collections should be sent to
Ronald J. Hodapp, Railroad Retirement Board, 844 North Rush Street,
Chicago, Illinois 60611-2092 or Ronald.Hodapp@RRB.GOV, and to the
Office of Management Budget at Attn: Desk Officer for RRB, Fax: (202)
395-6974 or via E-mail to OIRA--Submission@omb.eop.gov.
Charles Mierzwa,
Clearance Officer.
[FR Doc. E7-20809 Filed 10-22-07; 8:45 am]
BILLING CODE 7905-01-P
