81 FR 9888 - Proposed Collection; Comment Request
RAILROAD RETIREMENT BOARD Federal Register Volume 81, Issue 38 (February 26, 2016)
Federal Register Volume 81, Issue 38 (February 26, 2016)
| Page Range | 9888-9889 | |
| FR Document | 2016-04287 |
[Federal Register Volume 81, Number 38 (Friday, February 26, 2016)] [Notices] [Pages 9888-9889] From the Federal Register Online [www.thefederalregister.org] [FR Doc No: 2016-04287] ======================================================================= ----------------------------------------------------------------------- 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 Form(s) 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 proposes the following changes to information collection 3220-0002: Form AA-1 is being revised to make non-burden impacting editorial and formatting changes that include the deletion of an obsolete item. In addition, changes are proposed to Form AA-1 in support of the RRB's Disability Program Improvement Project (DPIP) to enhance/improve disability case processing and overall program integrity as recommended by the RRB's Office of Inspector General and the Government Accountability Office. Proposed revisions to Form AA-1 include the addition of questions regarding whether a disability applicant is relinquishing seniority rights and why. Comparable revisions to electronic equivalent forms (AA-1cert and AA-1sum) are also being proposed. Significant changes are proposed to Form AA-1d in support of the RRB's DPIP to enhance/improve disability case processing and overall program integrity as recommended by the RRB's Office of Inspector General and the Government Accountability Office. Proposed changes to Form AA-1d include the addition of questions regarding an applicant's daily activities, including any social and recreational activities and volunteer work; their education and training, any work performed since terminating their railroad occupation; whether an applicant used a facilitator or an attorney to either complete or aid in their completion of application. Clarification of existing items and other non-burden impacting editorial and formatting changes are also 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 9889]] Estimate of Annual Respondent Burden ---------------------------------------------------------------------------------------------------------------- Annual Form No. responses Time (minutes) Burden (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 rrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrr 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. 2016-04287 Filed 2-25-16; 8:45 am] BILLING CODE 7905-01-P
![9888 Federal Register / Vol. 81, No. 38 / Friday, February 26, 2016 / Notices
• Minimize the burden of the Annuity Under the Railroad Retirement another country, a manual version of
collection of information on those who Ac; OMB 3220–0002. Form AA–1 is used.
are to respond, including through the Section 2a of the Railroad Retirement Form AA–1d, Application for
use of appropriate automated, Act (RRA) provides for payments of age Determination of Employee’s Disability,
electronic, mechanical, or other and service, disability, and is completed by an employee who is
technological collection techniques or supplemental annuities to qualified filing for a disability annuity under the
other forms of information technology, employees. An annuity cannot be paid RRA, or a disability freeze under the
e.g., permitting electronic submission of until the employee stops working for a Social Security Act, for early Medicare
responses. railroad employer. In addition, the age based on a disability. Form G–204,
Agency: DOL–EBSA. and service employee must relinquish Verification of Worker’s Compensation/
Title of Collection: Summary of any rights held to such jobs. A disabled Public Disability Benefit Information, is
Benefits and Coverage and Uniform employee does not need to relinquish used to obtain and verify information
Glossary Required Under the Affordable employee rights until attaining Full concerning a worker’s compensation or
Care Act. Retirement Age, or if earlier, when their a public disability benefit that is or will
OMB Control Number: 1210–0147. spouse is awarded a spouse annuity. be paid by a public agency to a disabled
Affected Public: Private Sector— Benefits become payable after the railroad employee.
businesses or other for-profits and not- employee meets certain other The RRB proposes the following
for-profit institutions. requirements, which depend on the type changes to information collection 3220–
Total Estimated Number of of annuity payable. The requirements 0002:
Respondents: 2,299,742. for obtaining the annuities are Form AA–1 is being revised to make
Total Estimated Number of prescribed in 20 CFR 216 and 220. non-burden impacting editorial and
Responses: 71,252,326. To collect the information needed to formatting changes that include the
Total Estimated Annual Time Burden: help determine an applicant’s deletion of an obsolete item. In addition,
431,552 hours. entitlement to, and the amount of, an changes are proposed to Form AA–1 in
Total Estimated Annual Other Costs employee retirement annuity the RRB support of the RRB’s Disability Program
Burden: $9,273,266. uses Forms AA–1, Application for Improvement Project (DPIP) to enhance/
Dated: February 24, 2016. Employee Annuity; AA–1d, Application improve disability case processing and
Michel Smyth, for Determination of Employee overall program integrity as
Departmental Clearance Officer. Disability; G–204, Verification of recommended by the RRB’s Office of
Workers Compensation/Public Disability Inspector General and the Government
[FR Doc. 2016–04314 Filed 2–25–16; 8:45 am]
Benefit Information, and electronic Accountability Office. Proposed
BILLING CODE 4510–29–P
Form(s) AA–1cert, Application revisions to Form AA–1 include the
Summary and Certification, and AA– addition of questions regarding whether
1sum, Application Summary. a disability applicant is relinquishing
RAILROAD RETIREMENT BOARD The AA–1 application process obtains seniority rights and why. Comparable
information from an applicant about revisions to electronic equivalent forms
Proposed Collection; Comment
their marital history, work history, (AA–1cert and AA–1sum) are also being
Request
military service, benefits from other proposed.
Summary: In accordance with the governmental agencies, railroad Significant changes are proposed to
requirement of Section 3506 (c)(2)(A) of pensions and Medicare entitlement for Form AA–1d in support of the RRB’s
the Paperwork Reduction Act of 1995 either an age and service or disability DPIP to enhance/improve disability case
which provides opportunity for public annuity. An RRB representative processing and overall program integrity
comment on new or revised data interviews the applicant either at a field as recommended by the RRB’s Office of
collections, the Railroad Retirement office, an itinerant point, or by Inspector General and the Government
Board (RRB) will publish periodic telephone. During the interview, the Accountability Office. Proposed changes
summaries of proposed data collections. RRB representative enters the to Form AA–1d include the addition of
Comments are invited on: (a) Whether information obtained into an on-line questions regarding an applicant’s daily
the proposed information collection is information system. Upon completion of activities, including any social and
necessary for the proper performance of the interview, the on-line information recreational activities and volunteer
the functions of the agency, including system generates Form AA–1cert, work; their education and training, any
whether the information has practical Application Summary and Certification, work performed since terminating their
utility; (b) the accuracy of the RRB’s or Form AA–1sum, Application railroad occupation; whether an
estimate of the burden of the collection Summary, a summary of the information applicant used a facilitator or an
of the information; (c) ways to enhance that was provided for the applicant to attorney to either complete or aid in
the quality, utility, and clarity of the review and approve. Form AA–1cert their completion of application.
information to be collected; and (d) documents approval using the Clarification of existing items and other
ways to minimize the burden related to traditional pen and ink ‘‘wet’’ signature, non-burden impacting editorial and
the collection of information on and Form AA–1sum documents formatting changes are also proposed.
respondents, including the use of approval using the alternative signature The RRB proposes no changes to
automated collection techniques or method called Attestation. When the Form G–204.
other forms of information technology. RRB representative is unable to contact One response is requested of each
mstockstill on DSK4VPTVN1PROD with NOTICES
Title and purpose of information the applicant in person or by telephone, respondent. Completion of the forms is
collection: Application for Employee for example, the applicant lives in required to obtain/retain a benefit.
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![Federal Register / Vol. 81, No. 38 / Friday, February 26, 2016 / Notices 9889
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: rule change was published for comment Exchange filed Amendment No. 4 to the
To request more information or to in the Federal Register on November 25, proposed rule change.8 The Commission
obtain a copy of the information 2015.3 On January 4, 2016, the has not received any comments on the
collection justification, forms, and/or Commission designated a longer period proposal.
supporting material, contact Dana within which to approve the proposed
Pursuant to Section 19(b)(1) of the
Hickman at (312) 751–4981 or rule change, disapprove the proposed
Act 9 and Rule 19b–4 thereunder,10
Dana.Hickman@RRB.GOV. Comments rule change, or institute proceedings to
determine whether to disapprove the notice is hereby given that the Exchange
regarding the information collection
should be addressed to Charles proposed rule change.4 On February 9, filed with the Commission Amendments
Mierzwa, Railroad Retirement Board, 2016, the Exchange filed Amendment No. 1, No. 3., and No. 4 to the proposed
844 North Rush Street, Chicago, Illinois No. 1 to the proposed rule change,5 rule change on February 9, 2016,
60611–2092 or emailed to which replaced the originally filed February 11, 2016, and February 17,
Charles.Mierzwa@RRB.GOV. Written proposed rule change in its entirety.6 2016, respectively. The proposed rule
comments should be received within 60 On February 11, 2016, the Exchange change, as modified by those
days of this notice. both filed and withdrew Amendment amendments, is described in Sections I
No. 2 to the proposed rule change. On and II below, which Sections have been
Charles Mierzwa, February 11, 2016, the Exchange filed prepared by the Exchange. The
Chief of Information Resources Management. Amendment No. 3 to the proposed rule Commission is publishing this notice to
[FR Doc. 2016–04287 Filed 2–25–16; 8:45 am] change.7 On February 17, 2016, the solicit comments on Amendments No.
BILLING CODE 7905–01–P 1, No. 3, and No. 4 from interested
3 See Securities Exchange Act Release No. 76478
persons.
(Nov. 19, 2015), 80 FR 73841 (‘‘Notice’’).
SECURITIES AND EXCHANGE
4 See Securities Exchange Act Release No. 76820, Additionally, as discussed in Section
81 FR 989 (Jan. 8, 2016). The Commission III below, the Commission is instituting
COMMISSION designated February 23, 2016 as the date by which
the Commission shall either approve or disapprove, proceedings under Section 19(b)(2)(B) of
[Release No. 34–77202; File No. SR–BATS– or institute proceedings to determine whether to the Act 11 to determine whether to
2015–100)] disapprove, the proposed rule change. See id. approve or disapprove the proposed
5 Amendment No. 1: (1) Clarifies the proposed
Self-Regulatory Organizations; BATS treatment of convertible securities under the
rule change, as modified by
Exchange, Inc.; Notice of Filing of proposed generic listing criteria; (2) modifies the Amendments No. 1, No. 3, and No. 4
Amendments No. 1, No. 3, and No. 4 to, proposed criterion regarding American Depositary thereto.
Receipts (‘‘ADRs’’) to provide that no more than
and Order Instituting Proceedings to 10% of the equity weight of the portfolio shall
Determine Whether To Approve or consist of non-exchange traded (rather than not members of ISG.’’ Amendment No. 3 also
unsponsored) ADRs; (3) modifies the proposed corrects an erroneous statement in Item 11 to
Disapprove, a Proposed Rule Change,
portfolio limit on listed derivatives to require that indicate that an Exhibit 4 was included in
as Modified by Amendments No. 1, No. at least 90% of the weight of such holdings invested Amendment No. 1.
3, and No. 4, To Amend BATS Rule in futures, exchange-traded options, and listed 8 Amendment No. 4 deletes from the proposal the
14.11(i) To Adopt Generic Listing swaps shall, on both an initial and continuing basis, following sentence: ‘‘Thus, if the limitation applied
consist of futures, options, and swaps for which the to swaps, there would effectively be a cap of 10%
Standards for Managed Fund Shares Exchange may obtain information via the of the portfolio invested in listed swaps.’’
Intermarket Surveillance Group (‘‘ISG’’) from other Amendment No. 3 also amends two representations
February 22, 2016.
members or affiliates of the ISG or for which the as follows (added language in brackets): The
I. Introduction principal market is a market with which the Exchange or FINRA, on behalf of the Exchange, will
Exchange has a comprehensive surveillance sharing communicate as needed regarding trading in
On November 18, 2015, BATS agreement (‘‘CSSA’’); (4) provides that a portfolio’s
Managed Fund Shares [and their underlying
Exchange, Inc. (‘‘Exchange’’) filed with investments in listed and over-the-counter (‘‘OTC’’)
components] with other markets that are members
derivatives will be calculated for purposes the
the Securities and Exchange proposed limits on such holdings as the total
of the ISG, including all U.S. securities exchanges
Commission (‘‘Commission’’), pursuant absolute notional value of the derivatives; (5) makes and futures exchanges on which the components
are traded[, or with which the Exchange has in
to Section 19(b)(1) of the Securities certain other conforming and clarifying changes.
place a CSSA.] In addition, the Exchange or
Exchange Act of 1934 (‘‘Act’’) 1 and Rule The amendments to the proposed rule change are
available at: http://www.sec.gov/comments/sr-bats- FINRA[,] on behalf of the Exchange[,] may obtain
mstockstill on DSK4VPTVN1PROD with NOTICES
19b–4 thereunder,2 a proposed rule 2015-100/bats2015100.shtml. information regarding trading in Managed Fund
change to amend BATS Rule 14.11(i) by, 6 See Amendment No. 1, supra note 5, at 4. Shares [and their underlying components] from
among other things, adopting generic 7 Amendment No. 3 deletes from the proposal the
other markets that are members of the ISG,
including all U.S. securities exchanges and futures
listing standards for Managed Fund following two sentences: (1) ‘‘Such limitation will
exchanges on which the components are traded, or
Shares (defined below). The proposed not apply to listed swaps because swaps are listed
with which the Exchange has in place a CSSA.’’
on swap execution facilities (‘‘SEFs’’), the majority
9 15 U.S.C.78s(b)(1).
of which are not members of ISG.’’ and (2) ‘‘Such
1 15 U.S.C. 78s(b)(1). 10 17 CFR 240.19b–4.
limitation would not apply to listed swaps because
2 17 CFR 240.19b–4. swaps are listed on SEFs, the majority of which are 11 15 U.S.C. 78s(b)(2)(B).
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Document Created: 2018-02-02 14:37:06
Document Modified: 2018-02-02 14:37:06
| Category | Regulatory Information | |
| Collection | Federal Register | |
| sudoc Class | AE 2.7: GS 4.107: AE 2.106: | |
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| Section | Notices | |
| FR Citation | 81 FR 9888 |
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