1. Overview of
the Railroad Retirement Board’s implementation of the Act and summary of an
agency-specific initiative.
The Railroad Retirement Board (RRB) has been implementing the E-Government
Act by creating electronic service options for its mission-critical, high value,
and high volume transactions. The RRB has successfully implemented a number of
important electronic initiatives despite budgetary constraints and reduced
staffing levels.
In addition to electronic service delivery options, active and retired
railroad employees will retain options to file RRB applications in person, by
telephone, and through the mail. Likewise, railroad employers will retain paper,
CD-ROM, cartridge and specialized electronic transmission filing options.
To date, the RRB has implemented the following initiatives:
- Government-to-Business – Covered railroad employers can exchange
information with, and report securely to, the RRB through Employer Reporting
Initiative. See the summary below for further information.
- Government-to-Citizen – Railroad employees can establish an on-line account
on the RRB web site and (1) change their password; (2) file an application and
claims for unemployment benefits; (3) view an account statement of recent
unemployment and sickness benefit forms filed and payments issued; and (4)
request and receive a statement of service and compensation, an annuity
estimate, a replacement Medicare card, and duplicate tax statements.
- Government-to-Government – The RRB has real-time access to limited data in
the Social Security Administration’s (SSA’s) systems for use in determining
eligibility and payment amounts for RRB benefits. We also interface with SSA,
the Department of Veterans Affairs, and State governments using anti-fraud
computer matching programs.
In 2007, we plan to allow customers to file claims for sickness benefits via
the Internet and permit our Medicare contractor, Palmetto GBA, to file changes
of address for beneficiaries and notices of death. In 2008, we plan to provide
the capability to apply on-line for a retirement annuity and to expand our
Employer Reporting Initiative.
Summary of the Employer Reporting Initiative (ERI)
A Railroad Retirement Board E-Government Initiative
The purpose of the Employer Reporting Initiative (ERI) is to provide rail
industry employers with an electronic option for all data exchanges with our
agency. To accomplish this, the RRB is using a combination of existing Internet
applications such as RRBLINK and PAY.GOV and an Internet-based Employer
Reporting System (ERS), which we are building to accomplish this goal.
Currently, rail industry employers can use RRBLINK or the Electronic Federal Tax
Filing System (EFTPS) to file a return of contributions under the Railroad
Unemployment Insurance Act (Form DC-1), to pay Tier 1 and Tier 2 taxes and make
payments under Sections 12(o) and 2(f) of the RUIA. However after December 31,
2007 only EFTPS will be available for this purpose. Currently, payments under
Section 12(o) and 2(f) may also be submitted through PAY.GOV. Beginning in March
2008, RRBLINK will be decommissioned and they will use PAY.GOV to file a return
of contributions under the Railroad Unemployment Insurance Act (Form DC-1).
Using ERS, employers can (1) report compensation adjustments (Form BA-4); (2)
provide address information for newly hired employees (Form BA-6); and (3)
receive and submit determinations on employee protests of service and
compensation (Forms GL-129 and GL-129a). In addition, railroad employers may now
send secure e-mail requests (in lieu of facsimiles) for information about the
amounts to be deducted from guarantee payments (ID-3U, Request for Section 2(f)
Information) or injury settlements for reimbursement (ID-3S, Request for Lien
Information) to the Railroad Retirement Board’s (RRB) Sickness and Unemployment
Benefits Section e-mail address. In fiscal year 2008, rail employers will also
be able to send service and compensation reports through secure e-mail in
addition to the Form BA-6a, Address Report, which they currently submit through
this process.
During fiscal year 2008, we plan to automate the handling of two claim
verification forms (ID-4e and ID-4k). We also plan to implement the use of file
transfer protocols (FTP) and encryption to enable safe, secure transmission of
large files using media other than magnetic tape, cassettes and CD-ROM.
ERI has transformed agency operations by streamlining manual processes,
pre-filling data, and permitting on-line edits. It affords rail industry
employers an opportunity for real-time processing and instant processing
feedback, and allows users to have more control over the reporting process. The
ERI has stimulated creative problem solving and improved partnerships with our
rail industry employers. Our ERI partners also include the Department of the
Treasury and US Bank.
We maintain an ongoing dialogue with our external partner, the rail industry,
to ensure that we are using information technology effectively to address mutual
needs. Two to three times a year, we have hosted conferences with the largest
rail employers in order to discuss program and technology issues, including the
automation of the reporting of service and compensation for employees. We have
also obtained input from small employers to meet their distinct needs for
on-line systems. These industry partners have provided valuable input for the
design of our reporting systems and have taken an active role in testing them.
This collaboration has paid off in the increased usage measured in our
performance goals.
The agency’s strategic plan includes Performance Goal I-D: Ensure efficient
and effective business interactions with covered railroad employers. There is a
specific performance objective to enable employers to use the Internet to
conduct business with the RRB. We measure performance against this goal by
reviewing the percentage of employers using the on-line processes and the number
of services available through electronic media. According to Annual Performance
Report for FY 2007 as of mid-year, 61 percent of the employers were using one or
more of the 6 Internet-based services: RRB Link (1), ERS (3), Pay.Gov (1) and
secure e-mail for lien information (1).
Our customers are pleased with ERI and have suggested additional
opportunities for future enhancements. We obtain feedback from our customers in
the following ways:
- The website includes e-mail for sending comments about the site to a site
administrator.
- The RRB has ongoing personal contact with our customers through various
seminars, conferences, and training sessions several times a year.
- Telephone comments are received in a customer service section, which is
dedicated to serving industry employers.
Benefits garnered from the development of ERI include:
- Increased security in transmission of sensitive financial and personal
data, which is a primary benefit;
- Improved timeliness in receiving data, which has, in turn, reduced the
need to trace for data;
- Improved accuracy of compensation data and, thus, the accuracy of benefits
using that data by identifying and correcting errors in a more timely manner;
- Increased options available to employers for meeting their reporting
requirements;
- Reduced printing and mailing costs and labor costs associated with manual
handling of paper forms; and
- Reduced error handling and the associated costs of reconciling errors.
While employers retain the option to file using paper, magnetic media, and
CD-ROM, the Board hopes that secure e-mail, secure ftp, and secure on-line form
submission will enable employers to transition away from physically mailing
discs and tapes containing sensitive financial and personal data.
The Employer Reporting Initiative (ERI) project through the Information
Technology Steering Committee (ITSC) provides an ongoing assessment of its
progress along with critical issues identified from management and technical
perspectives. One of the functions of the ITSC is to provide Capital Planning
and Investment Control. The ITSC meets, as needed, in the capacity of the
agency’s Information Technology Investment Review Board (ITIRB) to coordinate a
sound investment process through a comprehensive, enterprise-wise approach to
technology investment. The ITIRB recommends new information technology
investments to the Chief Information Officer and evaluates existing projects and
operational systems to create an IT investment portfolio that best supports the
agency’s missions and program delivery processes.
2. Agency Information
Management Activities.See below for links to RRB’s website where the
following information is located.
- RRB’s Information Resources Management (IRM) Strategic Plan:
http://www.rrb.gov/pdf/archdocs/IRMpln00-05.webcopy.PDF
RRB is in the process of updating the IRM Strategic Plan.
- Final determinations, priorities, and schedules:
http://www.rrb.gov/general/inventory.asp
- RRB’s FOIA handbook:
http://www.rrb.gov/blaw/foia/foia_guide.asp.
RRB’s primary FOIA website:
http://www.rrb.gov/blaw/foia/foia_guide.asp.
Website for frequent requests for records that are made available to the
public:
http://www.rrb.gov/blaw/foia/foia.asp#frequently.
- List of RRB’s public websites disseminating research and development (R&D)
information to the public:
The RRB has no websites that disseminate research and development information
to the public.
- An inventory describing formal agency agreements (e.g., contracts,
memorandum of understanding) with external entities (e.g., partnerships with
State and local governments public libraries, industry and commercial search
engines) complementing RRB’s information dissemination program, briefly
explaining how each agreement improves the access to and dissemination of
government information to the public:
The RRB has no formal agency agreements with external entities that
complement our information dissemination program.
- An inventory that describes RRB’s NARA-approved records schedules(s) or
the link to the publicly-posted record(s) schedule(s), and a brief explanation
of RRB’s progress to implement NARA Bulletin 2006-02:
We are attaching a file containing the current NARA-approved RRB records
disposition schedules.
In accordance with National Archives and Records Administration (NARA)
Bulletin 2006-02, the RRB has identified approximately 260
systems/databases/related applications. No records schedules for
systems/related applications/databases were submitted to NARA for approval
during FY 2007.
A comprehensive inventory of all RRB Railroad Unemployment Insurance Act (RUIA)
records was conducted in FY 2007. Data collected during the inventory will be
forwarded to NARA staff providing targeted records management assistance to
the RRB, in September of 2007. We anticipate formally submitting a
comprehensive SF-115, Request for Records Disposition Authority, to NARA for
all RUIA Records in early 2008. This request will include approximately 20
systems/database and related applications.
During FY 2008, the RRB will conduct a comprehensive review of all of its
remaining program and administrative records, including system and system
related records. The RRB is adding records management staff in early FY 2008
to assist in this effort. We anticipate that during the review, it will be
determined that a sizable portion of the remaining identified
systems/databases/related applications are already scheduled, or disposable
under NARA’s General Records Schedule. We are unable to quantify the exact
amount at this time. It is the RRB’s intent to submit all required disposition
schedules required by NARA bulletin 2006-02 to NARA by or before January 31,
2009.
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