Executive Summary

The Railroad Retirement Board (RRB) is actively pursuing initiatives under the E-Government Act and has implemented a number of successful services. These include internet-based technologies for rail employers to file reports of service and compensation needed to determine eligibility under the Railroad Retirement and Railroad Unemployment Insurance Acts. The RRB also provides online services to rail employees and beneficiaries so they can use the latest technologies to access their account information and partake in benefit programs. To support those programs and provide program integrity, the RRB has taken advantage of internet technologies to partner with other government agencies at the Federal and state levels. These projects are all guided by a closely managed information technology steering process that identifies initiatives that best further our mission in a manner consistent with the RRB’s enterprise architecture.

During Fiscal Year 2009, the RRB implemented two customer-based E-Government Initiatives.

• Nationwide Toll-Free Telephone System
• Employer Reporting System enhancements

We also participated in a wide-range of government-wide transparency initiatives during Fiscal Year 2009. A series of documents outlining the RRB’s implementation of the American Recovery and Reinvestment Act (ARRA) was developed and published to the www.recovery.gov website. ARRA-related documents as well as background on RRB benefit programs were published to the Catalog of Federal Domestic Assistance (www.cfda.gov) website and to the RRB’s website at www.rrb.gov. Five data sets containing railroad employment data were published to www.data.gov. The RRB also provides input to the General Services Administration (GSA) through the Federal Procurement Data System (https://www.fpds.gov/fpdsng_cms/). As the FPDS manager, GSA uploads RRB procurement data to www.usaspending.gov.

Section I. Transparency, Engagement, and Innovation

• Describe major transparency initiatives undertaken in the past year and major transparency initiatives planned for the coming year.
  
  The RRB participates in a wide-range of government-wide transparency initiatives. During FY 2009, a series of documents outlining the RRB’s implementation of the American Recovery and Reinvestment Act (ARRA) was developed and published to the http://www.recovery.gov website. ARRA-related documents as well as background on RRB benefit programs were published to the Catalog of Federal Domestic Assistance (http://www.cfda.gov) website and to the RRB’s website at http://www.rrb.gov. Five data sets containing railroad employment data were published to http://www.data.gov. The RRB also provides input to the General Services Administration (GSA) through the Federal Procurement Data System (https://www.fpds.gov/fpdsng_cms/). As the FPDS manager, GSA uploads RRB procurement data to http://www.usaspending.gov.

  Future transparency initiatives are being evaluated subject to the requirements of the recently released OMB Memorandum 10-6, Open Government Directive.
   

• Do you have an innovation you would like to share with the public and the Federal workforce on the Innovations gallery?
  
  The RRB has no unique innovation to add to the Open Government Innovations Gallery (http://www.whitehouse.gov/open/innovations) at the present time.
   
• How many data sets does your agency have on data.gov?
  
  The RRB currently has five datasets on data.gov.
   
• Describe your progress in complying with OMB requirements to post all spending data on usaspending.gov.
  
  The RRB does not post spending data directly into http://www.usaspending.gov. Agency information is posted onto the Federal Procurement Data System (https://www.fpds.gov/fpdsng_cms/), managed by the General Services Administration (GSA). As the FPDS manager, GSA uploads RRB data to usaspending.gov.
   
• What tools is your agency using to advance citizen participation and engagement?
  
  The RRB is a customer-centered organization and uses a wide variety of methods to advance citizen participation and engagement. We utilize American Customer Satisfaction Index (ACSI) surveys to periodically monitor customer satisfaction. The surveys are designed to collect information regarding overall satisfaction and quality of RRB services from a statistically determined sample of retirement, survivor, and unemployment and sickness benefit customers and are consistent with stated goals in the agency’s Performance Budget and Strategic Plan.
  
  Our most recent ACSI survey, conducted in September of 2009, focused on railroad workers who had recently retired and were receiving benefits from the RRB. Questions measured satisfaction with the retirement application process, the quality of written information we provide and customer and telephone service. The RRB earned a score of 88 out of a possible 100, 19 points higher than the latest Federal government average.

  The RRB also conducts periodic meetings with representatives of railroad labor and management groups.
   

  • At informational conferences sponsored by the Labor Member of the Board for railroad labor union officials, RRB representatives describe and discuss the benefits available under the railroad retirement-survivor, unemployment-sickness and Medicare programs, and the attendees are provided with comprehensive informational materials.
     
  • We maintain an ongoing dialogue with the rail industry, to ensure that we are using information technology effectively to address mutual needs. We host periodic 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 partners have provided valuable input for the design of our reporting systems and have taken an active role in testing them.

  Cite examples of how the agency has used citizen feedback.
  
  Feedback received in previous ACSI surveys indicated that our customers wanted to have the option to continue to conduct business with the RRB by telephone. The input received informed our planning process resulting in the implementation of our Nationwide Toll-Free Telephone System in FY 2009.
   

• Is your agency currently meeting all reporting requirements of M-09-19? If not, what are your plans for becoming compliant?
  
  The RRB is meeting M-09-19 reporting requirements. Weekly financial and activity reports tracking total obligations and outlays related to RRB implementation of the American Recovery and Reinvestment Act are published to http://www.recovery.gov.

Section II. Information & Information Technology Management

• How has the IT dashboard impacted the investment management process at your agency?
  
  The RRB did not participate in the IT Dashboard Initiative in FY 2009.
   
• Describe your agency’s efforts in complying with reporting requirements for the IT dashboard?
  
  The RRB did not participate in the IT Dashboard Initiative in FY 2009.
   
• Describe the process your agency is using to apply CIO evaluations for your major IT investments?
  
  The agency has an Information Technology Steering Committee (ITSC). The members of the ITSC represent the various business and technological units of the agency. All requests for information technology investments are submitted to ITSC for their review and comment. The ITSC recommends to the Chief Information Officer those IT investments that best align with the mission of the agency and are budget appropriate.
   
• Provide your agency’s Information Resources Management (IRM) Strategic Plan and EA Transition Plan.
  
  An updated 2009–2013 Information Resources Management (IRM) Strategic Plan is being finalized and will be published shortly to http://www.rrb.gov. The agency does not have an EA Transition Plan. Many of the elements of an EA Transition Plan will be included in the 2009–2013 Information Resources Management (IRM) Strategic Plan.
   
• Outline the progress of integrating the Enterprise Architecture and the Capital Planning Investment Control Processes and policies.
  
  As mentioned previously, the RRB has an Information Technology Steering Committee (ITSC) whose membership includes the agency Chief Enterprise Architect. 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.
   
• Provide the status and maturity of modernization roadmap (segment architecture) activity including use by major programs and alignment on shared target architectures.
  
  The agency does not have a published segment architecture. The agency’s modernization roadmap is included in the previously mentioned 2009–2013 Information Resources Management (IRM) Strategic Plan that is being finalized. We have begun development of a segment architecture based on information in the IRM Strategic Plan.
   
• For each E-Gov initiative, provide the final determinations, priorities and schedules. Also include your agency’s information dissemination product catalogs, directories, inventories, and any other management tools used to improve the dissemination of and access to your agency’s information by the public.
  
  Information and Services Inventory: http://www.rrb.gov/general/inventory.asp.
  
  A wide-range of RRB information dissemination products are available at http://www.rrb.gov.
   
• Provide your agency’s Freedom of Information Act (FOIA) Handbook, the link of your agency’s primary FOIA website, and the website link where frequent requests for records are made available to the public.
  
  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.
   
• Describe in brief your agency’s efforts to comply with Section 508 in regards to information management.
  
  We observe the accessibility requirements outlined in Section 508 of the Rehabilitation Act (http://www.section508.gov/index.cfm) as well as W3C Web Content Accessibility Guidelines (http://www.w3.org/TR/1999/WAI-WEBCONTENT-19990505). Examples of RRB compliance activity include:
   
  • All acquisitions of electronics and information technology (EIT) supplies and services meet accessibility standards set forth at 36CFR Part 1194. RRB solicitations require offerors to certify accessibility standards their EIT products and/or services meet.
  • All documents posted on our web-site are available to an audience that includes persons who have a visual impairment and read online using assistive technology.
  • The RRB participates in the Department of Defense Computer/Electronic Accommodations Program which was established to lessen employment barriers for people with disabilities.
     
• Provide a list of your agency’s public websites disseminating research and development (R&D) information to the public, and whether or not each website provides the public information about federally funded R&D activities and/or provides the results of Federal research.
  
  The RRB has no websites that disseminate research and development information to the public.
   
• Provide an inventory of formal agency agreements (e.g., contracts memorandum of understanding, partnerships) with external entities (e.g., partnerships with State and local governments, public libraries, industry and commercial search engines) complementing your agency’s information dissemination program with a brief explanation of 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.
   
• Provide an inventory that describes your agency’s NARA approved schedules or the link to the publicly-posted records schedules and a brief explanation of your agency’s progress to implement NARA bulletin 2006-02. For the brief explanation please report the number of systems for which a record schedule was submitted to NARA in FY 2009 and the number of systems still requiring records schedules.
  
  The RRB records schedules are in transition. We have included a file containing the current NARA-approved RRB records disposition schedules and will post the RRB records schedules to http://www.rrb.gov upon completion of all remaining NARA Bulletin 2006-02-related RRB/NARA appraisal work later in FY 2010.
  
  During FY 2009, we obtained NARA approval for Railroad Unemployment Insurance Act systems and related records. Revised records schedules for the Administration of Medicare Entitlement, the RRB’s Actuary (including Financial Interchange) and Railroad Retirement Act Claim Folders were submitted to NARA and are pending approval. The RRB will submit revised records schedules for RRA Benefit Payment and Compensation and Service-related records (an estimated 57 records series) to NARA by on or before July 31, 2010. At that point (pending NARA approval), we will have taken all appropriate steps to ensure compliance with NARA Bulletin 2006-02.

Section III. Implementation of E-Government Initiatives

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.

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 the Employer Reporting System. The RRB has also implemented a PC-based system enabling employers to file encrypted reports of service and compensation via the internet. In 2008 the RRB implemented an internet-based system enabling our Medicare contractor, Palmetto GBA, to report changes of address for beneficiaries, notices of death, and requests for replacement Medicare cards to the agency.

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 insurance benefits; (3) view an account statement of recent unemployment and sickness insurance 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, Centers for Medicare & Medicaid Services (CMS) and State governments using anti-fraud computer matching programs. We also coordinate a wide-range of activities with the Department of the Treasury including benefit payments and debt-recovery.

During FY 2009, the RRB implemented 2 customer-based E-Government initiatives.

• Nationwide Toll-Free Telephone System
• Employer Reporting System (ERS) enhancements

Details regarding the initiatives follow:

Nationwide Toll-Free Telephone System

The RRB successfully completed nationwide implementation of our Nationwide Toll-Free Telephone System. A single toll-free number now provides RRB customers with easy access to the agency’s field offices. In addition, the new toll-free number offers options for self-service through automated menus and automatic routing of calls to claims representatives in nearby offices during emergency and peak periods.

The system is transforming agency operations in several ways. Its design automatically distributes calls based on RRB agent availability. This allows the routing of overflow calls to RRB agents in other offices, reducing customer wait times. It avoids costs inherent in missed calls and the resultant staff time required for call backs, an inefficient process due to the difficulty of contacting the customer. It also avoids costs by enhancing opportunities for self-service, while providing access to RRB agents at all times for those who need personalized assistance.

The RRB is a customer-centered organization and uses a wide variety of methods to advance citizen participation and engagement. We utilize American Customer Satisfaction Index (ACSI) surveys as our primary vehicle to monitor customer satisfaction. The surveys are designed to collect information regarding overall satisfaction and quality of RRB services consistent with stated goals in the agency’s Performance Budget and Strategic Plan. Results from previous ACSI surveys found that a substantial amount of our customer base would like to have the option to conduct business by telephone. The RRB has always provided service by telephone but the customer had to pay for the call. These results and other factors such as providing service to customers who may not have internet access or choose not to use it, prompted the RRB’s decision to develop the Nationwide Toll-Free Telephone System.

The methodology for selection of the toll-free telephone system was developed as a part of the RRB’s established capital planning and investment control process. The project was further researched with the assistance of a consultant specializing in information technology integration, reviewed and approved by the RRB’s Information Technology Steering Committee and Executive Committee. The design and implementation were monitored through the system’s successful completion by RRB staff supported by the consultant’s team.

Because the Nationwide Toll-Free Telephone System has been in place for only a short time the RRB has not been able to calculate actual current cost savings/cost avoidance.

Employer Reporting System (ERS) Enhancements

The RRB has developed an internet-based Employer Reporting System (ERS) for rail and labor employers to file reports of service and compensation needed to determine eligibility under the Railroad Retirement and Railroad Unemployment Insurance Acts. 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 FY 2009, we implemented two additional forms to the system; Form ID-4K, Prepayment Notice of Employee’s Applications and Claims for Benefits under the Railroad Unemployment Insurance Act (RUIA) and ID-4E, Notice of RUIA Claim Determinations. These new services provide employers with a secure and efficient way to provide information to the RRB regarding employees of their company who have filed for unemployment or sickness insurance benefits under the RUIA. Previously, employers could only provide this information to the RRB by mail or fax.

We continually strive to ensure that we are using information technology effectively to address the needs of our external partners in the rail industry by hosting conferences with the largest rail employers. In August 2009, we conducted the National Rail Employer Training Seminar (NRETS) that was attended by 122 reporting personnel from across the country. We held an open forum entitled “What’s on Your Mind”, where employers could exchange ideas and provide feedback on the programs and automation initiatives we have planned for the future. We also gave presentations on our internet training videos available on the website through RRBVision; the internet forms available through the ERS system for filing service and compensation data and processing unemployment and sickness insurance claims for their employees; and the employers’ ability to make tax and debt payments using http://www.pay.gov.

Our rail industry partners continue to provide valuable input for the design and testing of our reporting systems. 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 the Annual Performance Report for FY 2009, the percentage of employers using one or more of the seven internet-based services increased to 77 percent.

Because the ERS Enhancements have been in place for only a short time the RRB has not been able to calculate actual current cost savings/cost avoidance.

Other Issues

Describe your efforts to consolidate or collaborate with other agencies, to reduce the number of Federal data centers:

The RRB has only one data center and it is located at the agency’s headquarters building in Chicago, Illinois. In 2005, the agency had preliminary discussions with the Social Security Administration (SSA) on moving some of the RRB’s computer operations to SSA’s facility in Baltimore, Maryland. It was determined at that time that there would be no real cost savings to the RRB for such a move, nor was SSA in a position to accept the additional data center work.

Describe the telework program at your agency, including your plans to increase your employees’ ability to use Web 2.0 tools to work-at-a-distance:

The Work-At-Home program at the RRB covers headquarters’ based employees working in their own homes in a space specifically set aside as an office. The permanent program began on June 1, 2004. Participation in the Work-At-Home program is voluntary.

The number of employees selected to participate in the program is limited to 50% of the number of employees in the work unit. The number of participating employees is equitably distributed among the eligible positions and grade levels of employees in the work unit. Employees, with management’s approval, may enter into the program at any time. Employees, who do not work full-time may work at home according to a schedule that is appropriate to their work, and is acceptable to their supervisor. Prior to commencing the Work-At-Home program, both employee participants and their supervisors must attend general overview and security training. Employees working with Personally Identifiable Information (PII) are issued a secure agency notebook computer for working-at-home. Employees who do not work with PII must provide needed equipment including, but not limited to, a PC to access RRB mail, anti-virus detection software package, and security to protect data from unauthorized disclosure, destruction or tampering. Whether the employee works with PII or not, they must provide a telephone number at which they can be contacted at all times during the normal work day.

The agency currently has no plans to increase agency employees’ ability to use Web 2.0 tools to work-at-a-distance.