RRB Circular Letter No. UI-C-229

Program
Letter

United States
Railroad Retirement Board

_____________________________________________________________________________
Office of Programs

Chicago, IL 60611-2092

Quality Reporting Service Center

(312) 751-4992

No. UI-C-229
_____________________________________________________________________________
CONTACT:

Michelle Andrey
Policy and Systems

Released October 1998
Revised October 2009

PHONE:

(312) 751-3383

TO:

Chief Executive Officers
Unemployment and Sickness Insurance Contact Officials

SUBJECT:

Circular Letter No. UI-C-229: Employer Appeals of RUIA Benefit
Determinations

Introduction
The purpose of this circular letter is to review how railroad employers may exercise their rights
to protest the award of unemployment and sickness benefits under the Railroad Unemployment
Insurance Act (RUIA). Under Section 5 of the RUIA, the Railroad Retirement Board (RRB)
provides base-year employers with notice of each claim for benefits filed by its employees. The
employer then has 3 business days to submit information relevant to the claim before the RRB
determines whether benefits are payable to the employee. If the RRB pays the claim, Section 5
provides that the RRB notify the base-year employer of the determination. Under the RRB’s
regulations, the base-year employer has 60 days from the date of the determination to file a
written protest of the determination.
Although not required by statute, the RRB also sends notice of unemployment benefit
applications and claims to each claimant’s most recent employer, if different from the base-year
employer. The most recent employer may submit relevant information about claims, but is not
advised of payment determinations because only base-year employers have standing to protest
such determinations.

Prepayment Claims Notification
The RRB is capable of providing prepayment notice of claims for benefits either through the
internet, electronic data interchange or printed Form ID-4K, Prepayment Notice of
Employees’ Applications and Claims for Benefits under the RUIA. In the absence of prior
arrangements to receive and respond to claim messages electronically, printed notices are mailed
to an official designated by the railroad. Railroads interested in initiating electronic data
interchange programs should contact Ms. Michelle Andrey at (312) 751-3383.
In accordance with the Government Paperwork Elimination Act, which requires Federal agencies
to provide its customers the option to submit or transact business with agencies electronically,
when practical as a substitute for paper, the RRB now offers an Internet equivalent version of the
Form ID-4K, Prepayment Notice of Employees’ Applications and Claims for Benefits Under the
Railroad Unemployment Insurance Act.
Before an Internet ID-4K can be completed, a railroad must first complete a Form BA-12,
System Access Application Form (OMB approved 3220-0008), to obtain access to the RRB’s
Employer Reporting System (ERS). After receiving a User ID and password from the RRB, a
designated railroad employee can establish a personal password on-line. Once the user ID and
password have been established, the employee has access to the functions of the RRB’s ERS
designated for his/her use.
Letter notices are mailed to railroad employers on a daily basis, and include information about
applications and claims normally received on the preceding business day. Employer information
relative to an unemployment application or claim or to a sickness claim is to be provided to the
RRB district office serving the area in which the employee resides. The name and telephone
number of the appropriate district office are shown on the notice.
Employer information about an application or claim for benefits should be provided to the RRB
within 3 business days from the date that the RRB sends notice of the application or claim.
Responses should be provided for applications and claims for which the employer has
information which may be relevant to the proper payment of benefits. If no employer response
to notice of a claim is received by the third business day, the claim is accepted as initial proof of
the claimant’s eligibility for benefits and processed for payment.
Paper Work Reduction Act Notice
Section 5(b) of the RUIA requires the RRB to provide notice of claims for benefits to base-year
employers. Employer responses to these notices are voluntary. Failure to provide information
about questionable claims for benefits, however, may affect the amount that an employer is
charged in benefits and the employer’s tax contribution rate under the RUIA.
Under the Paperwork Reduction Act, Federal agencies are required to estimate reporting burdens
associated with their programs. The amount of time required for an employer to participate in
the prepayment claims verification process varies depending upon the extent to which the
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employer is able to use automated systems. We estimate the average responding burden for
employers to be as follows:
•
•
•
•
•

Electronic data interchange (EDI)
Form Letter ID-4K
ID-4K (Internet)
Form Letter ID-4E
ID-4E (Internet)

Unemployment
25.2 hrs/yr.
2 min./ response
2 min/response
2 min/response
2 min/response

Sickness
16.8 hrs./yr.
2 min./response
2 min/response
2 min/response
2 min/response

These are estimates based on employer experience nationwide. The estimates include time for
reviewing instructions, obtaining the needed data, and reviewing the completed responses.
Federal agencies may not conduct or sponsor, and respondents are not required to respond to, a
collection of information unless it displays a valid OMB number. If you wish, send comments
regarding the accuracy of our estimates or any other aspects of this program, including
suggestions for reducing reporting time, to the Chief of Information Management, Railroad
Retirement Board, 844 North Rush Street, Chicago, Illinois 60611-2092 and the Office of
Management and Budget, Paperwork Reduction Project (3220-0171), Washington DC 20503.
Notice of Claim Determinations
In addition to requiring the RRB to provide notice of each claim prior to a decision to pay or
deny benefits, the RUIA requires that “when the Board initially determines to pay benefits to a
claimant..., the Board shall provide notice of such determination to the claimant’s base-year
employer or employers.” Upon receipt of notice that an individual’s clam for benefits has been
allowed, either in whole or in part, the claimant’s base-year employer(s) may request a review of
the determination to pay benefits, if the employer believes the determination is incorrect.
In accordance with the Government Paperwork Reduction Elimination Act, which requires
Federal agencies to provide its customers the option to submit or transact business with agencies
electronically, when practical as a substitute for paper, the RRB now offers an Internet
equivalent version of the Form ID-4E, Notice of RUIA Claim Determination.
Before an Internet ID-4E can be completed, a railroad must first complete Form BA-12, System
Access Application Form (OMB approved 3220-0008), to obtain access to the RRB’s Employer
Reporting System (ERS). After receiving a User ID and password from the RRB, a designated
railroad employee can establish a personal password on-line. Once the User ID and password
have been established, the employee has access to the functions of the RRB’s ERS designated
for his/her use.
Absent arrangements for receipt of Internet or electronic notices of claim determinations, Form
ID-4E, Notice of RUIA Claim Determinations, is used to provide notice of each determination
to allow benefits on a claim. The following information is provided with respect to each
determination:
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•
•
•
•
•
•

•
•
•
•

Employee’s Social Security Number
Employee’s Name
Claim Period Beginning Date
Claim Profile - A series of 14 numeric codes indicating the days claimed
and allowed, and the days denied in the claim period. The codes are
explained in Attachment A.
Gross Payable - The amount of benefits payable with respect to the claim
(Change) - The amount of benefits previously not reported to the
employer. If the notice is the first one with respect to the claim, the
amount will be the same as the “Gross Payable.” If the determination
results in a payment on a claim which was previously denied in whole or
in part, or was not paid pending completion of an investigation, the
amount of the additional benefits paid as a result of the determination is
shown.
Type - Indication as to whether the determination applies to a claim for
sickness benefits (SI) or a claim for unemployment benefits (UI).
Benefit year (BY) - Two-digits indicating the benefit year for which the
claim was filed, e.g. “98” indicates the benefit year normally beginning
July 1, 1998 and ending June 30, 1999.
Employee’s Payroll Identification Number.
Board Office - Indicates the city and state of the RRB district office
responsible for adjudication of the employee’s claims. You can locate the
nearest RRB field office by either visiting our Web site at
http:\\www.rrb.gov or by calling our toll-free Help-Line at 1-800-8080772.

Appeal of RRB Determinations
Upon receipt of notice of the RRB’s determination to pay benefits for a claim, the base-year
employer of the claimant may request reconsideration of the determination. The request for
reconsideration must be in writing and should explain the basis for the request, i.e. why does the
employer disagree with the determination. Any documentation supporting the request for
reconsideration should also be submitted. The request must be received at an office of the RRB
within 60 days of the date of the Form ID-4E notice. A request for reconsideration should be
mailed to the RRB office identified under the heading “Board Office” on the Form ID-4E.
Upon receipt of a request for reconsideration, the RRB office responsible for adjudication of the
claim will review and issue a decision on the request for reconsideration. If an RRB district
office is the adjudicating office, the decision will be referred to the appropriate RRB regional
office for review prior to issuance. The employer will be notified in writing of the decision on
reconsideration.
If the decision on reconsideration is to sustain the determination to allow benefits on a claim, the
employer may appeal the decision to the RRB’s Bureau of Hearings and Appeals. An appeal
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must be filed on Form HA-1, Appeal Under the Railroad Retirement Act or the Railroad
Unemployment Insurance Act, and should fully explain the reason for the appeal. In addition,
the appeal should reference the date of the decision that is being appealed and identify the office
that issued the decision. The appeal must be filed with the Bureau of Hearings and Appeals
within 60 days from the date of the notice of the decision on reconsideration. Form HA-1, which
is available from any RRB office upon request, should be mailed to:
Director of Hearings and Appeals
U. S. Railroad Retirement Board
844 North Rush Street
Chicago, Illinois 60611-2092
If a base-year employer is not satisfied with a decision on an appeal to the Bureau of Hearings
and Appeals, the employer may appeal to the three-member Board. An appeal to the Board must
be filed on Form HA-1, Appeal Under the RRA or the RUIA, within 60 days from the date of the
notice of the decision of the hearings office.
In accordance with Section 5(c) of the Railroad Unemployment Insurance Act, benefit payments
to a claimant will continue, despite the filing of a request for reconsideration or an appeal.
Benefits are subject to recovery from the claimant, however, if the decision on the request for
reconsideration or appeal results in a finding that the benefits were erroneously awarded.
What Determinations Can Be Appealed?
Any determination made by the RRB that results in payment of either unemployment or
sickness benefits to an employee may be appealed by the claimant’s base-year employer.
Common determinations made by the RRB which an employer may appeal based on factual
issues include the following:
Unemployment Issues
•
•
•

•
•

Is remuneration attributable to any days claimed as days of unemployment?
Is the employee available for work on days claimed as days of unemployment?
Was the employee willing, able and ready to accept suitable work on days claimed as days of
unemployment? Was the employee unemployed because he or she failed to follow
prescribed procedures for recall to work? Did the employee refuse to accept suitable work?
Did the employee mark back on an extra board? Did the employee fail to exercise seniority
rights to suitable work?
Did the employee voluntarily leave work without good cause?
Did the employee claim benefits for days that he or she did not work because of mileage or
work restrictions?

Sickness Issues
•

Is remuneration attributable to any days claimed as days of sickness?
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•

Is the employee able to work, i.e., not sick or injured, on days claimed as days of sickness?

Remember the following when considering whether to request reconsideration or to appeal a
determination of the RRB:
•
•
•

There is no disqualification in the RUIA for unemployment related to suspension or
discharge. An employee who is unemployed because of a suspension or discharge can
receive unemployment benefits if he or she is otherwise eligible for benefits.
An employee who voluntarily leaves work with good cause is not disqualified from
receiving unemployment benefits if he or she is otherwise available for work.
The determination as to whether an employee has sufficient service and compensation in the
base-year to be qualified for benefits is made based on information provided by employers as
part of their annual service and compensation reports. Remember that because of provisions
for extended and accelerated benefits, not all benefit years begin July 1 and end the following
June 30. Check the benefit year designation on Form ID-4E. The base year for the benefit
year is the calendar year preceding the benefit year. For example, the base-year for “BY-98”
is calendar year 1997.

Here are examples of how a base-year employer might request reconsideration:
Railroad A receives Form ID-4E stating that its employee has claimed and been paid
unemployment benefits for May 1 through 14. Payroll records show that the employee marked
off the extra board on May 2, 3, and 4. (The railroad did not inform the RRB of the employee’s
mark off when the RRB sent the prepayment claims verification notice.) Railroad A sends a
letter within 60 days to the RRB district office requesting reconsideration of the determination to
pay unemployment benefits for May 2, 3, and 4.
The railroad explains that the employee was not available for work on the days at issue and
encloses a copy of the timekeeper’s record showing that the employee marked off. After
investigation, the RRB determines that the employee was not available for work, recovers the
appropriate benefits from the employee, and sends a notice to the railroad of the determination
made on its request.
Railroad B receives Form ID-4E showing the payment of unemployment benefits to an employee
for days in the employee’s paid vacation period. The railroad sends a request for reconsideration
to the RRB district office that documents the days to which vacation pay is attributable. Upon
review, the RRB determines that the employee received remuneration for days claimed as days
of unemployment, bills the employee for the amount recoverable, and notifies the railroad of the
determination.
Railroad C receives Form ID-4E indicating continued payment of sickness benefits despite the
railroad having recently concluded a personal-injury settlement with the employee for the same
infirmity. If the railroad did not prevent the sickness benefit payment by responding to the
prepayment notice, it can file a request for reconsideration to prevent further payments for the
same infirmity and to cause recovery of any benefits not already recovered from the settlement
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under Section 12(o) of the Railroad Unemployment Insurance Act.
Railroad D receives Form ID-4E notice indicating that an employee who was discharged for
failure to pay union dues was paid unemployment benefits. The railroad files a request for
reconsideration on the grounds that the employee, in effect, voluntarily quit work by failing to
pay union dues. The RRB’s regional office issues a decision to the railroad upholding the
payment of benefits.
The railroad then files Form HA-1, Appeal Under the Railroad Retirement Act or Railroad
Unemployment Insurance Act, with the Bureau of Hearings and Appeals, within 60 days. The
hearings officer contacts both the railroad and the claimant and holds a hearing because there are
issues of fact. The hearings officer’s decision is favorable to the railroad, and the employee is
denied further benefits and billed for the overpayment. The employee appeals the decision to the
three-member Board which notifies the railroad of the appeal. After evaluating the record, the
Board sustains the hearings officer’s decision.
We welcome information from employers to help ensure that benefit payments are accurate and
are paid only to those who are entitled to them. Erroneous benefit payments that cannot be
recovered remain charged to the base-year employer under the experience rating system.
Therefore, we emphasize the importance of employers providing information in response to the
RRB’s prepayment claims verification notices in order to prevent erroneous payments and to
avoid collection action. And, where employers disagree with an RRB determination, they should
exercise their rights to request reconsideration.
If you have any questions or need additional information about your appeals of RUIA benefit
determinations, please contact the manager of your local RRB district office.
This letter is also available on our Web site at http://www.rrb.gov.
Attachment

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Attachment A

Claim Profile - Day Codes

Unemployment
0
1
2
3
4
5
6
7
8
9

Day not claimed
Claimed day of unemployment/available for work
Employed, day not claimed
Claimed day of unemployment, denied for miscellaneous reasons
Claimed day of unemployment, denied because of work restrictions and/or earnings
test
Claimed day of unemployment, denied due to late registration
Claimed day of unemployment, denied for miscellaneous reasons
Claimed day of unemployment, benefits reduced because of receipt of social
insurance
Claimed day of unemployment, denied because of unavailability for work
Claimed day of unemployment, denied because of receipt of remuneration

Sickness
0
1
2
3
4
5
6
7
8
9

Day not claimed
Claimed day of sickness
Employed, day not claimed
Claimed day of sickness, denied for miscellaneous reasons
Claimed day of sickness, denied due to improper advanced registration
Claimed day of sickness, denied due to improper delayed registration
Claimed day of sickness, denied for miscellaneous reasons
Claimed day of sickness, benefits reduced because of receipt of social insurance
Claimed day of sickness, denied due to ability to work
Claimed day of sickness, denied because of the receipt of remuneration

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