BA-3 (proposed) se Annual Report of Creditable Compensation

Program Letter 2008-XX
To: Certification Contact Officials
Subject: FTP and E-mail Submission of Forms BA-3, BA-4, BA-Ga, BA-9 and BA-11

Date:
TO:
SUBJECT:

Certification Contact Officials
FTP and E-mail Submission of Reporting Forms
Form BA-3
Annual Report of Creditable Compensation
Form BA-4
Report of Creditable Compensation Adjustments
Form BA-6a Form BA-6 Address Report
Form BA-9
Report of Separation Allowance or Severance Pay
Form BA-11 Report of Gross Earnings

Prepared by:
Quality Reporting Service Center
Railroad Retirement Board
844 North Rush Street
Chicago, Illinois 6061 1-2092

Please share this information with members of your staff who file the forms listed above, as well as
programming staff who support these functions.
Back~round
Service and compensation information for employees who work for employers covered under the Railroad
Retirement Act (RRA), are maintained by the RRB for the purpose of administering the RRA and Railroad
Unemployment and Insurance Act (RLIIA). Employee address records are maintained by the RRB for the
purpose of mailing Forms BA-6, Certificate of Service Months and Compensation to those same
employees. Covered employers are required, by the last day of February, to submit Form BA-3, Annual
Report of Creditable Compensation for all employees who performed compensated service in the
previous year and Form BA-11, Report of Gross Earnings, for all employees whose social security
number ends with the digits "30". Employers may also submit employee mailing addresses on annual
Form BA-3 (rather than submitting a separate Form BA-6a, Form BA-6 Address Report). Employers are
also required to submit Form BA-4, Report of Creditable Compensation Adjustments as necessary to
report adjustments to previously submitted service and compensation reports. Additionally, employers
are required to submit Form BA-9, Report of Separation Allowance and Severance Pay when such
payments are made to employees.
New Reporting Options
The RRB now offers file transfer protocol (FTP) interchange and e-mail as options for submitting Form
BA-3, BA-4, BA-6a, BA-9 and BA-11 report files. The new options may be used starting with the reporting
season that begins January 1, 2008. New record layouts, which contain format and data content
instructions, are effective as of January 1,2008. (see Attachments A through E.)
Privacv and Securitv Considerations
Because RRB reporting forms contain sensitive personal information such as social security numbers, we
must exchange information securely to insure that no one can intercept and read or alter the information.
Accordingly, we are required to take security precautions that meet standards currently prescribed by the
National Institute of Standards (NIST).

FTP Interchange
What is F'TP and how does it work?
File Transfer Protocol (FTP) is used to transfer files between two computers by sending data over a data
communications network such as the Internet.

FTP transfers require a FTP server and a FTP client. The FTP server continuously waits or "listens" for
incoming connection requests that are initiated by FTP clients. In order to complete the connection, the
FTP server will require the FTP client to authenticate itself by providing a valid set of credentials; typically
a valid username and password. If the credentials supplied to the server by the client are valid, the FTP
server will allow the connection to be completed. Once the connection is completed, the client may
download files from the FTP server, upload files to the FTP server or modify existing files on the server
depending on the FTP server's access controls and existing agreements between the participating
parties.
How will FTP protect data?
To insure the confidentiality of personally identifiable data such as Social Security Numbers, the RRB
requires Secure FTP (SFTP) data transfers. We also prefer to use Open PGP encryption utilizing a
PubliclPrivate key pair to ensure that the data is encrypted at all times. SFTP uses an encrypted
connection on TCP port 22. Generally, the process involves the reporting employer creating a
publiclprivate encryption key pair and sending the public key to the RRB for authentication purposes. If
you wanted us to send the output files back to one of your servers, then we would also create a
publiclprivate key pair and send you our public key as well.
How is an FTP Interchange with RRB established?
The first step in this process is for the RRB and each interested employer to agree upon and then
implement the specific procedures and programming needed to allow FTP interchanges. The most likely
method will be via the Internet. The employers would then act as the "servers" and the RRB would act as
the "client". RRB personnel in Quality Reporting Service Center (QRSC) would be provided access to the
railroad's secure FTP server through a designated user ID and password. Once the applicable
compensationlservice information is ready to be conveyed to the RRB via the reporting forms, the
employer would fax a completed Form G-440, Reports Specification Sheet (which must be signed by an
authorized employer official), to notify A&T-Quality Reporting Service Center. The RRB would then use
desktop FTP software to access and download the information at an agreed upon time and location. You
may contact QRSC for additional information or instructions on implementing FTP exchanges with the
RRB. The email address and telephone number are shown at the top of this letter.
E-mail Submissions
Why use secure e-mail?
Because the forms contain sensitive personal information such as social security numbers, we must
exchange information securely to insure that no one can intercept and read or alter the information. To
meet NIST security requirements, all e-mail messages we exchange must be encrypted and signed with a
Digital ID, and information will be protected in accordance with security controls outlined in NlST
guidance 800-53.
Why do I need a Digital ID or certificate?
A Digital ID or certificate is a computer file that identifies the sender. E-mail software uses this file to
"digitally" sign e-mail messages to prove a sender's identity to the recipient's computer.

A digital signature does two things:
It lets the recipient of the e-mail confirm the identity of the sender, and
It tells the recipient that the e-mail was not tampered with in transit.
A Digital ID typically contains the following information:
Your public key
Your name and e-mail address

Expiration date of the public key
Name of the company (the Certification Authority (CA)) who issued your Digital ID
Serial number of the Digital ID
Digital signature of the CA
How will encryption protect data?
To encrypt (scramble) data we use a system with two keys. The key pair consists of a public and a
private key. The keys are used like keys in a lock, except the key pair requires one key to secure the lock
and another to open the lock.

When you request and install a Digital ID, your Web browser creates both a private key that can only be
used with the Digital ID you requested, and a public key that becomes part of your Digital ID. Access to
your private key will be password protected.
With key pairs, your e-mail application will use the RRB's public key to encrypt messages you send to us.
The RRB, upon receipt of your encrypted e-mail message, will use our matching private key to decrypt
the message.
How do I exchange a secure e-mail with the RRB?
Before you can send the RRB an encrypted message, you must first get our public key. You do this by
simply requesting that we send you a signed e-mail message, which contains our Digital ID and public
key. Then your e-mail application can automatically store the RRB's Digital ID with public key in your
contacts folder until you need to use it. Your e-mail application uses the RRB public key to encrypt the
messages you send to us. From that point on, only the RRB's private key can decrypt the message.

When the RRB sends you an encrypted message, we will use your public key. Once the e-mail message
is encrypted with your public key, only those individuals in your organization who have the matching
private key can decrypt the message.
Steps:
1. Acquire a Digital ID from a company called a Certification Authority (CA), for example,
Verisign or Thawte Certification. The cost of an individual Digital ID is about $20.00 per year.

2. Once you have received and installed a Digital ID, distribute it to the RRB by sending an e-mail
message to the [email protected] mailbox. The Digital ID that you send contains your public key.
This will allow the RRB to send you encrypted e-mail messages using your public key. Only you
will have the corresponding private key that allows you to decrypt the RRB reply.
3. The RRB will acknowledge your e-mail submission by sending you our public key for the
[email protected] mailbox. This will allow you to send encrypted E-mail requests containing the
RRB's public key. Only the RRB will have the corresponding private key to decrypt the e-mail
message.
4. Once the parties have stored each others' Digital IDS, all further e-mail exchanges can be made
securely.
Please follow the same provisions regarding completion and submission of Form G-440 as previously
described.
Papetwork Reduction Act fPRA) Notice(S1
Federal agencies may not conduct or sponsor, and respondents are not required to respond to, any
collection of information unless it displays a valid OMB number. If you wish, send comments regarding
the accuracy of our estimates or any other aspect of these forms, including suggestions for reducing
completion time, to CHIEF OF INFORMATION RESOURCES MANAGEMENT, RAILROAD
RETIREMENT BOARD, 844 N RUSH STREET, CHICAGO, IL 60611-2092.

Form BA-3
The information contained in this report (see Attachment A), which is required by law under Section 9 of
the Railroad Retirement Act (RRA) and Section 6 of the Railroad Unemployment lnsurance Act (RUIA), is
needed to pay RRA and RUIA benefits and is authorized for collection under OMB control number 32200008 . This report is due at the Railroad Retirement Board by no later than the last day of February.
Failure to report or the making of a false or fraudulent report can result in criminal prosecution or civil
penalties, or both. We estimate the electronic version of this form, transmitted by e-mail or FTP, takes an
average of 46.25 hours per response to complete, including time for reviewing the instructions, getting the
needed data, and reviewing the completed form.
Form BA-4
The information contained in this report (see Attachment B), which is required by law under Section 9 of
the Railroad Retirement Act (RRA) and Section 6 of the Railroad Unemployment lnsurance Act (RUIA), is
needed to adjust compensation and service creditable under the RRA and RUIA and is authorized for
collection under OlVlB control number 3220-0008. Failure to report or the making of a false or fraudulent
report can result in criminal prosecution or civil penalties, or both. We estimate the electronic version of
this form, transmitted by e-mail or FTP, takes an average of 1 hour per response to complete, including
time for reviewing the instructions, getting the needed data, and reviewing the completed form.
Form BA-6a
The information specified on this form (see Attachment C), which is required by law under Section 7(b)(6)
of the Railroad Retirement Act and Section 209.12 of the Code of Federal Regulations and is authorized
for collection under OMB control number 3220-0005, will be used by the Railroad Retirement Board to
mail to the employees of your company Form BA-6, Certificate of Service Months and Compensation.
Failure to report or the making of a false or fraudulent report can result in criminal prosecution or civil
penalties or both. We estimate the electronic version of this form, transmitted by e-mail or FTP, takes an
average of 15 minutes per response to complete, includiug time for reviewing the instructions, getting the
needed data, and reviewing the completed form.
Form BA-9
The information contained in this report (see Attachment D), which is required by law under Section 9 of
the Railroad Retirement Act (RRA) and Section 6 of the Railroad Unemployment lnsurance Act (RUIA)
and is authorized for collection under OMB control number 3220-0173, is needed for two purposes: to
establish eligibility for an additional lump-sum amount under the RRA and to establish a disqualification
period under the RUIA. Failure to report or the making of a false or fraudulent report can result in criminal
prosecution or civil penalties, or both. We estimate the electronic version of this form, transmitted byemail or FTP, takes an average of 1 hour and 16 minutes per response to complete, including time for
reviewing the instructions, getting the needed data, and reviewing the completed form.
Form BA-11
The purpose of this report (see Attachment E), which is required by Section 7(b)(6) of the Railroad
Retirement Act and is authorized for collection under OMB control number 3220-0132, is to obtain the
gross earnings for a sample of employees. This information is required for computation of the Financial
Interchange with the Social Security Administration and the Centers for Medicare & Medicaid Services.
The report is due at the Railroad Retirement Board by no later than the last day of February. Failure to
report or the making of a false or fraudulent report can result in criminal prosecution or civil penalties, or
both. We estimate the electronic version of this form, transmitted by FTP, takes an average of 5 hours to
complete including time for reviewing the instructions, getting the needed data, and reviewing the
completed form. We estimate that the secure E-mail version of this form, takes an average of 30 minutes
per response to complete, including time for reviewing the instructions, getting the needed data, and
reviewing the completed form.
Attachments to this letter
Attachment A Electronic file format for
Attachment B Electronic file format for
Attachment C Electronic file format for
Attachment D Electronic file format for

Form BA-3, Annual Report of Creditable Compensation
Form BA-4, Report of Creditable Compensation Adjustments
Form BA-6a, Form BA-6 Address Report
Form BA-9, Report of Separation Allowance or Severance Pay

Attachment E

Electronic file format for Form BA-11, Report of Gross Earnings
RRB Program Letter 08-xx, Attachment A

Electronic file format for Form BA-3, Annual Report of Creditable Compensation

Data Element

Type report

1

Year
Processing code

Payroll ID No
SSN
Surname
First InitialIName
Middle Initial
Filler
RUlA I Compensation
(to qualify for benefits)
Filler
RUlA II Compensation
I (to determine maximum
benefits)
Filler
SM Detail
SM Total
Tier I Compensation
Filler
Tier l l Compensation
Filler
Daily Pay Rate
Filler
Miscellaneous
Compensation
Filler
Sick Pay Compensation
Filler
Street address line 1
Street address line 2
City
State
Zip code
Effective Date
Filler
(Filler is added to allow for
future ex~ansion.)

1

Field
Size
1

Record Position

I

1

1 ("0" zero for all
records)
2-5
6

20
15
1

73-74
75-8 1

2
7

82-83
84-95
96-97
98-105
106-107
108-115
116-117
118-122
123-124
125-132

2

~

1

/

1

4
1

11-20
21-29
30-49
50-64
65
NIA
66-72

-

I

I

-

~-

133-134
135-142
143-145
146-175
176-205
206-225
226-227
228-232
233-240
241-300
Record Ends at
300

1

7

1
2
2
8
2
8
2
5
2
8
2
8
3
30
30
20
2
5
8
60

RRB Program Letter 08-xx, Attachment B
Electronic file format for Form BA-4, Report of Creditable Compensation Adjustments

Data Element
Type Report

1 Year

1 Processing code
ER NO
Filler
SSN
Surname
First InitialIName
Middle Initial
RUlA I Compensation
(to qualify for benefits)
Filler
RUlA II Compensation
I (to determine maximum
benefits)
Filler
SM Detail
SM Total
Tier I Compensation
Filler
Tier II Compensation
Filler
Daily Pay Rate
Filler
Miscellaneous
Compensation
Filler
Sick Pay Compensation
Filler
(Filler is added to allow for
future ex~ansion.)

1

1

1

I

Record Position Field Size
1
1 (leaveblankfor
all records)
2-5
14
4 (increase)
1
M (decrease)
4
7-10
11-21
10
21-29
9
30-49
50-64
65
66-72
73-74
75-81

82-83
84-95
96-97
98-105
106-107
108-115
116-117
118-122
123-124
125-132
133-134
135-142
143-200
Record Ends at
200
~

-

p

~

~

1

RRB Program Letter 08-xx, Attachment C
Electronic file format for Form BA-6a, Form BA-6 Address Report

Data
Element
SSN
First (initial) Name
Middle Initial
Surname

1-9
10-24
25
26-45
I

Address line 1 (location)
Address line 2 (delivery)

1 City
I

State
Zip code
Filler

Field
Size
9
15
1
20

Field
Positions

I

30

46-75

1 76-105
1 106-125
1 126-127
1 128-132
I

I

I

I

I

I

I

I

I

I

133-140

1 BA number
1 Effective date
I Filler
Record ends at
180

30
20
2
5
8

RRB Program Letter 08-xx, Attachment D
Electronic File Format for Form BA-9, Report of Separation Allowance and Severance Pay

Form BA-9, Report of Separation Allowance and Severance Pav
Data Position

1
2-5

Data Description and Format

Constant "L"
Four -digit applicable tax year
Code "4" for increase
Code "M" for decrease

7-10

Four-digit employer number (BA-NO)

11-19

Employee's social security number

20-3 9

First 20 letters of the employee's surname

40-54

First Name

55

Middle Initial

56

Blank.

57-64

An eight-digit separation allowance amount - Do not use a decimal place - Format is $$$$$$cc

65

Code 1 for an initial report
Code 2 for an adjustment report
Code 3 for a periodic payment - not the final payment
Code 4 for a periodic payment - final payment

66-73

Date employee relinquished employment rights - Format is MMDDCCW

74

Blank.

75-82

Eight-digit compensation amount - Format is $$$$$$cc

83-86

Four digit applicable earnings year

87-92

Total gross amount of separation allowance - In whole dollars - Format is $$$$$$

93

Blank

94-100

Last rate of pay; format includes a floating decimal place

101

Pay rate code:

102

Work week code:

103-120

Blank (Filler is included to allow for future expansion.)

1 = per hour; 2 = per day1100 (or 150) miles:
3 = per week; 4 = per month.
5 = five-day wk; 6 = six-day wk
7 = seven-day wk; 8 = T&E; 9 = dining car

RRB Program Letter 08-xx,Attachment E
Electronic File Format for Form BA-11, Gross Earnings Annual Report of Annual Earninns
Tape Position

Data and Instructions

Year being reported.

Format is CCYY.

Four-digit employer identification number assigned by the Railroad Retirement Board.
11-19

Employee's social security account number.

20-39

Employee's surname.
Employee's first name.
Middle initial

56-64

Annual Amount - 9 positions ($$$$$$$cc), preceded by zero(s) if necessary.

65-120

Leave blank or zero-fill.

Electronic File Format for Form BA-11, Gross Earnings Annual Report of Quarterlv Earnings
Tape Position
1-2

Data and Instructions
"39"

Year being reported.

Format is CCYY.

Four-digit employer identification number assigned by the Railroad Retirement Board.
11-19

Employee's social security account number.

20-39

Employee's surname.
Employee's first name.
Middle initial
First Quarter Amount - 9 positions ($$$$$$$cc), preceded by zero(s) if necessary. If
there are no earnings for first quarter, leave positions 56-64 blank or zero-fill.
Second Quarter Amount - 9 positions ($$$$$$$cc), preceded by zero(s) if necessary. If
there are no earnings for second quarter, leave positions 65-73 blank or zero-fill.

74-82

Thud Quarter Amount - 9 positions ($$$$$$$cc), preceded by zero(s) if necessary. If
there are no earnings for h r d quarter, leave positions 74-82 blank or zero-fill.
Fourth Quarter Amount - 9 positions ($$$$$$$cc), preceded by zero(s) if necessary. If
there are no earnings for fourth quarter, leave positions 83-9 1 blank or zero-fill.

92-120

Leave blank or zero-fill.

RRB Program Letter 08-xx, Attachment E
Electronic File Format for Form BA-11, Gross Earnings Annual Report of Monthlv Earnings

Two 120position tape records must be keyed whether or not both records have earnings. (Where one record does
not contain money fields, positions 1-55 must be keyed.)

Record No. 1 - January through June
Tape Position

Data and Instructions

3-6

Year being reported. Format is C C W .

7-10

Four-digit employer identification number assigned by the Railroad Retirement Board.

11-19

Employee's social security account number.

20-39

Employee's surname.
Employee's frst name.
Middle initial
January Amount - 9 positions ($$$$$$$cc), preceded by zero(s) if necessary. If there are
no earnings for January, leave positions 56-64 blank or zero-fill.
February Amount - 9 positions ($$$$$$$cc), preceded by zero(s) if necessary. If there
are no earnings for February, leave positions 65-73 blank or zero-fill.
March Amount - 9 positions ($$$$$$$cc), preceded by zero(s) if necessary. If there are
no earnings for March, leave positions 74-82 blank or zero-fill.
April Amount - 9 positions ($$$$$$$cc), preceded by zero(s) if necessary. If there are no
earnings for April, leave positions 83-9 1 blank or zero-fill.
May Amount - 9 positions ($$$$$$$cc), preceded by zero(s) if necessary. If there are no
earnings for May, leave positions 92- 100 blank or zero-fill.

101-109

June Amount - 9 positions ($$$$$$$cc), preceded by zero(s) if necessary. If there are no
earnings for June, leave positions 101- 109 blank or zero-fill.

110-120

Leave blank or zero-fill.

RRB Program Letter 08-xx,Attachment E
Electronic File Format for Form BA-11, Gross Earnings Annual Report of Monthlv Earninas (cont.)

Two 120position tape records must be keyed whether or not both records have earnings. (Where one record does
not contain money fields, positions 1-55 must be keyed.)
Record No. 2 -July through December
Tape Position

Data and Instructions

"29"

Year being reported.

Format is C C W .

Four-digit employer identificationnumber assigned by the Railroad Retirement Board.
Employee's social security account number.
Employee's surname.
Employee's first name.
Middle initial
July Amount - 9 positions ($$$$$$$cc), preceded by zero(s) if necessary. If there are no
earnings for January, leave positions 56-64 blank or zero-fill.
August Amount - 9 positions ($$$$$$$cc), preceded by zero(s) if necessary. If there are
no earnings for February, leave positions 65-73 blank or zero-fill.
September Amount - 9 positions ($$$$$$$cc), preceded by zero(s) if necessary. If there
are no earnings for March, leave positions 74-82 blank or zero-fill.
October Amount - 9 positions ($$$$$$$cc), preceded by zero(s) if necessary. If there are
no earnings for April, leave positions 83-91 blank or zero-fill.
November Amount - 9 positions ($$$$$$$cc), preceded by zero(s) if necessary. If there
are no earnings for May, leave positions 92-100 blank or zero-fill.
December Amount - 9 positions ($$$$$$$cc), preceded by zero(s) if necessary. If there
are no earnings for June, leave positions 101- 109 blank or zero-fill.
Leave blank or zero-fill.