81 FR 47183 - Proposed Collection; Comment Request

RAILROAD RETIREMENT BOARD

Federal Register Volume 81, Issue 139 (July 20, 2016)

Page Range		47183-47184
FR Document		2016-17249

In accordance with the requirement of Section 3506 (c)(2)(A) of the Paperwork Reduction Act of 1995 which provides opportunity for public comment on new or revised data collections, the Railroad Retirement Board (RRB) will publish periodic summaries of proposed data collections. Comments are invited on: (a) Whether the proposed information collection is necessary for the proper performance of the functions of the agency, including whether the information has practical utility; (b) the accuracy of the RRB's estimate of the burden of the collection of the information; (c) ways to enhance the quality, utility, and clarity of the information to be collected; and (d) ways to minimize the burden related to the collection of information on respondents, including the use of automated collection techniques or other forms of information technology. Title and purpose of information collection: Application for Employee Annuity Under the Railroad Retirement Ac; OMB 3220-0002. Section 2a of the Railroad Retirement Act (RRA) provides for payments of age and service, disability, and supplemental annuities to qualified employees. An annuity cannot be paid until the employee stops working for a railroad employer. In addition, the age and service employee must relinquish any rights held to such jobs. A disabled employee does not need to relinquish employee rights until attaining Full Retirement Age, or if earlier, when their spouse is awarded a spouse annuity. Benefits become payable after the employee meets certain other requirements, which depend on the type of annuity payable. The requirements for obtaining the annuities are prescribed in 20 CFR 216 and 220. To collect the information needed to help determine an applicant's entitlement to, and the amount of, an employee retirement annuity the RRB uses Forms AA-1, Application for Employee Annuity; AA-1d, Application for Determination of Employee Disability; G-204, Verification of Workers Compensation/Public Disability Benefit Information, and electronic Forms AA-1cert, Application Summary and Certification, and AA-1sum, Application Summary. The AA-1 application process obtains information from an applicant about their marital history, work history, military service, benefits from other governmental agencies, railroad pensions and Medicare entitlement for either an age and service or disability annuity. An RRB representative interviews the applicant either at a field office, an itinerant point, or by telephone. During the interview, the RRB representative enters the information obtained into an on-line information system. Upon completion of the interview, the on-line information system generates Form AA-1cert, Application Summary and Certification, or Form AA-1sum, Application Summary, a summary of the information that was provided for the applicant to review and approve. Form AA-1cert documents approval using the traditional pen and ink ``wet'' signature, and Form AA-1sum documents approval using the alternative signature method called Attestation. When the RRB representative is unable to contact the applicant in person or by telephone, for example, the applicant lives in another country, a manual version of Form AA-1 is used. Form AA-1d, Application for Determination of Employee's Disability, is completed by an employee who is filing for a disability annuity under the RRA, or a disability freeze under the Social Security Act, for early Medicare based on a disability. Form G-204, Verification of Worker's Compensation/Public Disability Benefit Information, is used to obtain and verify information concerning a worker's compensation or a public disability benefit that is or will be paid by a public agency to a disabled railroad employee. The RRB recently received short-term approval of a Request for Emergency Clearance from the Office of Management and Budget for this information collection. In response to that request the RRB received comments from 3 railroad labor organizations commenting on the RRB's action. The comments centered on the collection of information associated with the following issues: <bullet> The relinquishment of seniority rights; <bullet> The reporting of volunteer and social/recreational activities as part of the adjudication of an application for disability; <bullet> Whether an applicant had filed or expected to file a lawsuit or claim against a person or company for a personal injury that resulted in the payment of sickness benefits by the RRB; and <bullet> The use of facilitators who assist disability applicants in the completion of their applications. RRB staff thoroughly evaluated the comments received and responded to the railroad labor organizations. In response to those comments, the RRB proposes the following changes to Forms AA-1 and AA-1d: <bullet> deletion of Item 35a-d from Form AA-1, regarding the relinquishment of seniority rights; <bullet> the relocation of current Items 52-53 from Form AA-1d to proposed Items 48a-b on Form AA-1, regarding whether an applicant had filed or expected to file a lawsuit or claim against a person or company for a personal injury that resulted in the payment of sickness benefits by the RRB, as the potential for uncollected sickness benefits can apply to both a disability applicant as well as an applicant qualified for an age and service annuity. Comparable revisions to electronic equivalent forms (AA-1cert and AA-1sum) are also being proposed. The RRB proposes no changes to Form G-204. One response is requested of each respondent. Completion of the forms is required to obtain/retain a benefit.

Federal Register, Volume 81 Issue 139 (Wednesday, July 20, 2016)

[Federal Register Volume 81, Number 139 (Wednesday, July 20, 2016)]
[Notices]
[Pages 47183-47184]
From the Federal Register Online  [www.thefederalregister.org]
[FR Doc No: 2016-17249]


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RAILROAD RETIREMENT BOARD


Proposed Collection; Comment Request

    Summary: In accordance with the requirement of Section 3506 
(c)(2)(A) of the Paperwork Reduction Act of 1995 which provides 
opportunity for public comment on new or revised data collections, the 
Railroad Retirement Board (RRB) will publish periodic summaries of 
proposed data collections.
    Comments are invited on: (a) Whether the proposed information 
collection is necessary for the proper performance of the functions of 
the agency, including whether the information has practical utility; 
(b) the accuracy of the RRB's estimate of the burden of the collection 
of the information; (c) ways to enhance the quality, utility, and 
clarity of the information to be collected; and (d) ways to minimize 
the burden related to the collection of information on respondents, 
including the use of automated collection techniques or other forms of 
information technology.
    Title and purpose of information collection: Application for 
Employee Annuity Under the Railroad Retirement Ac; OMB 3220-0002.
    Section 2a of the Railroad Retirement Act (RRA) provides for 
payments of age and service, disability, and supplemental annuities to 
qualified employees. An annuity cannot be paid until the employee stops 
working for a railroad employer. In addition, the age and service 
employee must relinquish any rights held to such jobs. A disabled 
employee does not need to relinquish employee rights until attaining 
Full Retirement Age, or if earlier, when their spouse is awarded a 
spouse annuity. Benefits become payable after the employee meets 
certain other requirements, which depend on the type of annuity 
payable. The requirements for obtaining the annuities are prescribed in 
20 CFR 216 and 220.
    To collect the information needed to help determine an applicant's 
entitlement to, and the amount of, an employee retirement annuity the 
RRB uses Forms AA-1, Application for Employee Annuity; AA-1d, 
Application for Determination of Employee Disability; G-204, 
Verification of Workers Compensation/Public Disability Benefit 
Information, and electronic Forms AA-1cert, Application Summary and 
Certification, and AA-1sum, Application Summary.
    The AA-1 application process obtains information from an applicant 
about their marital history, work history, military service, benefits 
from other governmental agencies, railroad pensions and Medicare 
entitlement for either an age and service or disability annuity. An RRB 
representative interviews the applicant either at a field office, an 
itinerant point, or by telephone. During the interview, the RRB 
representative enters the information obtained into an on-line 
information system. Upon completion of the interview, the on-line 
information system generates Form AA-1cert, Application Summary and 
Certification, or Form AA-1sum, Application Summary, a summary of the 
information that was provided for the applicant to review and approve. 
Form AA-1cert documents approval using the traditional pen and ink 
``wet'' signature, and Form AA-1sum documents approval using the 
alternative signature method called Attestation. When the RRB 
representative is unable to contact the applicant in person or by 
telephone, for example, the applicant lives in another country, a 
manual version of Form AA-1 is used.
    Form AA-1d, Application for Determination of Employee's Disability, 
is completed by an employee who is filing for a disability annuity 
under the RRA, or a disability freeze under the Social Security Act, 
for early Medicare based on a disability. Form G-204, Verification of 
Worker's Compensation/Public Disability Benefit Information, is used to 
obtain and verify information concerning a worker's compensation or a 
public disability benefit that is or will be paid by a public agency to 
a disabled railroad employee.
    The RRB recently received short-term approval of a Request for 
Emergency Clearance from the Office of Management and Budget for this 
information collection. In response to that request the RRB received 
comments from 3 railroad labor organizations commenting on the RRB's 
action. The comments centered on the collection of information 
associated with the following issues:
     The relinquishment of seniority rights;
     The reporting of volunteer and social/recreational 
activities as part of the adjudication of an application for 
disability;
     Whether an applicant had filed or expected to file a 
lawsuit or claim against a person or company for a personal injury that 
resulted in the payment of sickness benefits by the RRB; and
     The use of facilitators who assist disability applicants 
in the completion of their applications.
    RRB staff thoroughly evaluated the comments received and responded 
to the railroad labor organizations. In response to those comments, the 
RRB proposes the following changes to Forms AA-1 and AA-1d:
     deletion of Item 35a-d from Form AA-1, regarding the 
relinquishment of seniority rights;
     the relocation of current Items 52-53 from Form AA-1d to 
proposed Items 48a-b on Form AA-1, regarding whether an applicant had 
filed or expected to file a lawsuit or claim against a person or 
company for a personal injury that resulted in the payment of sickness 
benefits by the RRB, as the potential for uncollected sickness benefits 
can apply to both a disability applicant as well as an applicant 
qualified for an age and service annuity.
    Comparable revisions to electronic equivalent forms (AA-1cert and 
AA-1sum) are also being proposed. The RRB proposes no changes to Form 
G-204.
    One response is requested of each respondent. Completion of the 
forms is required to obtain/retain a benefit.

[[Page 47184]]



                                      Estimate of Annual Respondent Burden
----------------------------------------------------------------------------------------------------------------
                                                                      Annual           Time           Burden
                            Form No.                                 responses       (minutes)        (hours)
----------------------------------------------------------------------------------------------------------------
AA-1 (without assistance).......................................             100              62             103
AA-1cert (with assistance)......................................           4,620              30           2,310
AA-1sum (with assistance).......................................           8,000              29           3,867
AA-1d (with assistance).........................................           2,600              60           2,600
AA-1d (without assistance)......................................               5              85               7
G-204...........................................................              20              15               5
                                                                 -----------------------------------------------
    Total.......................................................          15,345  ..............           8,892
----------------------------------------------------------------------------------------------------------------

    Additional Information or Comments: To request more information or 
to obtain a copy of the information collection justification, forms, 
and/or supporting material, contact Dana Hickman at (312) 751-4981 or 
[email protected]. Comments regarding the information collection 
should be addressed to Charles Mierzwa, Railroad Retirement Board, 844 
North Rush Street, Chicago, Illinois 60611-2092 or emailed to 
[email protected]. Written comments should be received within 60 
days of this notice.

Charles Mierzwa,
Chief of Information Resources Management.
[FR Doc. 2016-17249 Filed 7-19-16; 8:45 am]
 BILLING CODE 7905-01-P

47184 Federal Register / Vol. 81, No. 139 / Wednesday, July 20, 2016 / Notices

ESTIMATE OF ANNUAL RESPONDENT BURDEN
Annual Time Burden
Form No. responses (minutes) (hours)

AA–1 (without assistance) ........................................................................................................... 100 62 103
AA–1cert (with assistance) .......................................................................................................... 4,620 30 2,310
AA–1sum (with assistance) ......................................................................................................... 8,000 29 3,867
AA–1d (with assistance) .............................................................................................................. 2,600 60 2,600
AA–1d (without assistance) ......................................................................................................... 5 85 7
G–204 .......................................................................................................................................... 20 15 5

Total ...................................................................................................................................... 15,345 ........................ 8,892

Additional Information or Comments: The Commission received one comment approved, the Fine Income Procedures
To request more information or to letter on the proposed rule change 5 and referred to actions to be taken by NYSE
obtain a copy of the information a response to the comment letter from Regulation and NYSE Regulation’s
collection justification, forms, and/or the Exchange.6 This order approves the board of directors (‘‘NYSE Regulation
supporting material, contact Dana proposed rule change. Board’’). However, following
Hickman at (312) 751–4981 or termination of the Delegation
II. Description of the Proposal
Dana.Hickman@RRB.GOV. Comments Agreement, the Regulatory Oversight
regarding the information collection NYSE proposes to remove as Committee (‘‘ROC’’) of the Exchange’s
should be addressed to Charles Exchange rules internal procedures board of directors (‘‘Board’’) assumed
Mierzwa, Railroad Retirement Board, regarding the use of fine income, which responsibility for providing
844 North Rush Street, Chicago, Illinois were approved by the Commission in independent oversight of the regulatory
60611–2092 or emailed to 2007 (‘‘Fine Income Procedures’’ or function of the Exchange.11 The
Charles.Mierzwa@RRB.GOV. Written ‘‘Procedures’’) 7 in connection with the Exchange explains that, in addition to
comments should be received within 60 2006 merger between New York Stock the restrictions in the Fine Income
days of this notice. Exchange, Inc. and Archipelago Procedures, Section 4.05 of the
Holdings, Inc. (‘‘Archipelago Merger’’).8 Exchange’s Operating Agreement
Charles Mierzwa, The Exchange explains that, at that (‘‘Section 4.05’’) contains limitations on
Chief of Information Resources Management. time, it had delegated certain of its the use of regulatory assets and income,
[FR Doc. 2016–17249 Filed 7–19–16; 8:45 am] regulatory functions to its then including fine income.12 Specifically,
BILLING CODE 7905–01–P subsidiary, NYSE Regulation, Inc. Section 4.05 prohibits the Exchange
(‘‘NYSE Regulation’’) 9 pursuant to a from: (i) Using any regulatory assets or
delegation agreement (‘‘Delegation any regulatory fees, fines or penalties
SECURITIES AND EXCHANGE Agreement’’).10 As a result, as originally collected by its regulatory staff for
COMMISSION commercial purposes; or (ii) distributing
5 See letter from Michael Walsh, Attorney,
such assets, fees, fines or penalties to
[Release No. 34–78326; File No. SR–NYSE– received by the Commission on June 7, 2016
(‘‘Walsh Letter’’).
NYSE Group, Inc. (‘‘NYSE Group’’), i.e.,
2016–37] the member of New York Stock
6 See letter from Martha Redding, Associate

General Counsel and Assistant Secretary, NYSE, to Exchange LLC, or any other entity.13
Self-Regulatory Organizations; New Brent J. Fields, Secretary, Commission, dated June The Exchange proposes to delete the
York Stock Exchange LLC; Order 16, 2016 (‘‘NYSE Response Letter’’). Fine Income Procedures, noting that the
Approving Proposed Rule Change 7 See Securities Exchange Act Release No. 55216
Exchange would continue to remain
Removing From Its Rules Certain (January 31, 2007), 72 FR 5779 (February 7, 2007)
(‘‘Order Approving the Fine Income Procedures’’). subject to the restrictions of Section
Internal Procedures Regarding the Use 8 The Exchange states that the Archipelago 4.05, which, coupled with the Operating
of Fine Income Merger had the effect of ‘‘demutualizing’’ New York Agreement provisions governing the
Stock Exchange, Inc. by separating equity
July 14, 2016. ownership from trading privileges, and converting
ROC,14 the Exchange believes are
it to a for-profit entity. See Notice, supra note 4, at sufficient to address concerns about its
I. Introduction 34394 n.5 (citing Securities Exchange Act Release power to fine member organizations and
No. 53382 (February 27, 2006), 71 FR 11251, 11254 the proper use of such funds.15 The
On May 13, 2016, New York Stock (March 6, 2006) (‘‘Merger Approval Order’’)).
Exchange LLC (‘‘NYSE’’ or ‘‘Exchange’’) 9 See Notice, supra note 4, at 34394. The
filed with the Securities and Exchange Exchange states that, as approved, the Fine Income 34394; see also Securities Exchange Act Release No.
75991 (September 28, 2015), 80 FR 59837, 59839
Commission (‘‘Commission’’), pursuant Procedures provide that fines would play no role
(October 2, 2015) (‘‘NYSE Approval Order’’).
to Section 19(b)(1) 1 of the Securities in the annual NYSE Regulation budget process and
11 See Notice, supra note 4, at 34394.
that the use of fine income by NYSE Regulation
Exchange Act of 1934 (‘‘Act’’),2 and would be subject to specific review and approval 12 See id.; see also Ninth Amended and Restated

Rule 19b–4 thereunder,3 a proposed rule by the NYSE Regulation Board. See id.; see also Operating Agreement of New York Stock Exchange
change to remove internal procedures Securities Exchange Act Release No. 55003 LLC (‘‘Operating Agreement’’), Art. IV, Sec. 4.05;
(December 22, 2006), 71 FR 78497, 78498 NYSE Approval Order, supra note 10, at 59839.
regarding the use of fine income, as (December 29, 2006) (‘‘Fine Income Procedures 13 See Operating Agreement, Art. IV, Sec. 4.05;
described below. The proposed rule Proposing Release’’). The Exchange notes that, in see also NYSE Approval Order, supra note 10, at
mstockstill on DSK3G9T082PROD with NOTICES

change was published for comment in approving the Fine Income Procedures, the 59839.
Commission expressed that the Fine Income 14 The Exchange explains that ‘‘the ROC is
the Federal Register on May 31, 2016.4
Procedures would ‘‘guard against the possibility specifically charged with reviewing the regulatory
that fines may be assessed to respond to budgetary budget of the Exchange and inquiring into the
1 15 U.S.C. 78s(b)(1). needs rather than to serve a disciplinary purpose.’’ adequacy of resources available in the budget for
2 15 U.S.C. 78a. See Order Approving the Fine Income Procedures, regulatory activities.’’ See Notice, supra note 4, at
3 17 CFR 240.19b–4. supra note 7, at 5780. 34395 (citing Operating Agreement, Art. II, Sec.
4 See Securities Exchange Act Release No. 77899 10 The Delegation Agreement terminated as of 2.03(h)(ii)).
(May 24, 2016), 81 FR 34393 (‘‘Notice’’). February 16, 2016. See Notice, supra note 4, at 15 See Notice, supra note 4, at 34395.

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Document Created: 2018-02-08 07:56:56
Document Modified: 2018-02-08 07:56:56

Category		Regulatory Information
Collection		Federal Register
sudoc Class		AE 2.7: GS 4.107: AE 2.106:
Publisher		Office of the Federal Register, National Archives and Records Administration
Section		Notices
FR Citation		81 FR 47183