RRB Circular Letter No. UI-C-229

Program
Letter

United States
Railroad Retirement Board
Office of Programs

Quality Reporting Service Center

Phone: (312) 751-4992

Email: [email protected]

Fax:

Circular Letter UI-C-229

Released: October 1994
[Rev. January 2019]

CONTACT: Michelle Andrey
Policy and Systems

PHONE: (312) 751-3383

TO:

Chief Executive Officers
Unemployment and Sickness Insurance Contact Officials

SUBJECT:

Employer Appeals of RUIA Benefit Determinations

(312) 751-7123

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 provides Form ID-4K, Prepayment Notice of Employees’ Applications and
Claims for Benefits under the RUIA, through paper, file transfer protocol (FTP) or online
via the Employer Reporting System (ERSNet).
In the absence of prior arrangements to receive and respond to ID-4K claim messages
electronically, printed notices are mailed to an official designated by the railroad 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 field office serving the area
in which the employee resides. The name and telephone number of the appropriate field
office are shown on the notice.
Railroads interested in receiving and responding to ID-4K claim messages via FTP should
contact Ms. Michelle Andrey at (312) 751-3383.
To receive and complete an ID-4K online via ERSNet, you must first file Form BA-12,
Application for Employer Reporting Internet Access. Complete all sections of the form
except Section D, read the Access and Security Guidelines, and sign the certification.
Have your supervisor or manager complete Section D. The form must be signed by an
official of the company who has signature authority to sign RRB forms. The head of the
company and those persons designated on Form G-117A, Designation of Contact Official,
are assumed to have signature authority.
Form BA-12 cannot be completed or filed on the website. To deter fraudulent use of the
site, the application must include original signatures (no reproductions) and be
transmitted by U.S. mail or express mail carrier. For security reasons, facsimiles are not
acceptable. Within three to five days of receipt of an acceptable application, the RRB will
mail your user ID and password along with instructions for accessing the site.
Regardless of the method an employer elects to receive Form ID-4K, 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 that may be relevant to the proper payment of benefits. If the employer does
not respond to the notice by the third business day, the claim is accepted as initial proof
of the claimant’s eligibility for benefits and is processed for payment.
Paperwork Reduction Act Notice
Section 5(b) of the RUIA requires the RRB to provide notice of claims for benefits to baseyear employers. Employer responses to these notices are voluntary. Failure to provide
information about questionable claims for benefits, however, may affect the
2

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 employer is able to use automated systems. We estimate the average
responding burden for employers to be as follows:
•
•
•
•
•

File Transfer Protocol (FTP)
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 aspect
of this program, including suggestions for reducing reporting time, to the Associate Chief
Information Officer for Policy and Compliance, Railroad Retirement Board, 844 North
Rush Street, Chicago, Illinois 60611-1275.
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 RRB initially determines to pay benefits
to a claimant..., the RRB shall provide notice of such determination to the claimant’s baseyear employer or employers.” Upon receipt of notice that an individual’s claim 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.
Form ID-4E, Notice of RUIA Claim Determinations, is used to provide notice of each
determination to allow benefits on a claim and is also available to employers through
paper, electronic data interchange or ERSNet. The following information is provided with
each determination:





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
3









codes are explained in the attachment.
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., “18” indicates the benefit year normally
beginning July 1, 2018, and ending June 30, 2019.
Employee’s Payroll Identification Number.
RRB Office - Indicates the city and state of the RRB field office
responsible for adjudication of the employee’s claims. You can locate
the nearest RRB field office by either visiting our website at
www.rrb.gov or by calling our toll-free Help-Line number at 1-877772-5772.

Appeal of RRB Determinations
The same provisions mentioned above apply with respect to the instructions for receiving
Form ID-4E via file transfer protocol and ERSNet. Upon receiving notice of the RRB’s
determination to pay benefits for a claim, the claimant’s base-year employer 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 “RRB Office” on the Form ID-4E.
Once the request for reconsideration is received, the RRB office responsible for
adjudication of the claim will review and issue a decision on the request for
reconsideration. If the RRB field office is the adjudicating office, the decision will be
referred to the Bureau of Field Service 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 must be filed on Form HA-1EMP, Base Year Employer Appeal Under
the Railroad Unemployment Insurance Act, and should fully explain the reason
4

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-1EMP, which is available on our website, should
be mailed to:
Director of Hearings and Appeals
U. S. Railroad Retirement Board
844 North Rush Street
Chicago, Illinois 60611-1275
If a base-year employer is not satisfied with a decision on an appeal from 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-1EMP 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 a claimant 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?

5

Sickness Issues



Is remuneration attributable to any days claimed as days of sickness?
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 otherwise eligible for benefits.
An employee who voluntarily leaves work with good cause is not disqualified from
receiving unemployment benefits if 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 “BY19” is calendar year 2018.

Below 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 field 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 field 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
6

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 under Section 12(o) of the Railroad
Unemployment Insurance Act.
Railroad D receives Form ID-4E 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-1EMP, Base Year
Employer Appeal Under the 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
who 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 appealing RUIA benefit
determinations, please contact the manager of your local RRB field office.
This letter is also available on our website at www.rrb.gov.

Attachment

7

Attachment

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

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
8 Claimed day of sickness, denied due to ability to work
9 Claimed day of sickness, denied because of the receipt of remuneration

8