Appendix I: Electronic File Format, Form BA-9, Report of Separation Allowance or Severance Pay
The information contained in this report, which is required by law under Section 9 of the Railroad Retirement Act (RRA) and Section 6 of the Railroad Unemployment Insurance Act (RUIA), 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. The information is authorized for collection under OMB control number 3220-0173. 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 versions of this form transmitted by a secure email or a File Transfer Protocol (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. 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 estimate or any other aspect of this form, including suggestions for reducing completion time, to
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Associate Chief Information Officer for Policy and Compliance
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Railroad Retirement Board
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844 North Rush Street
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Chicago, IL 60611-1275.
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This exhibit below explains the format for reports filed on CD ROM, electronic files, or an upload on ERSNet. For information about the data to be entered, refer to Part V, Chapter 6.
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Form BA-9 Record Format
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Field Length
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Record Position
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Data and Instructions
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1
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1
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"L"
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4
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2-5
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Four-digit applicable tax year being reported.
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1
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6
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Code "4" for an initial report or an increase adjustment.
Code "M" for a decrease adjustment.
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4
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7-10
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Four-digit BA number assigned by the Railroad Retirement Board.
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9
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11-19
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Employee's social security number.
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20
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20-39
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First twenty (20) characters of the employee's surname. Spaces in such names as Mc Carthy, St Clair, and De La Cross are acceptable.
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15
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40-54
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First fifteen (15) characters of the employee's first name.
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1
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55
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Employee’s middle initial.
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1
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56
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Blank Filler.
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8
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57-64
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An eight-digit separation allowance amount. Do not use a decimal place. The format is $$$$$$cc. For adjustments, enter the net increase amount to be applied to the initial report. Do not sign the field. Zeros should be used to fill the left most positions, if necessary.
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1
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65
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Code 1 for an initial report.
Code 2 for an adjustment report.
Code 3 for a periodic payment - not the final payment.
Code 4 for a periodic payment - final payment.
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8
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66-73
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Date employee relinquished employment rights. Format is MMDDCCYY.
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1
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74
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Blank Filler.
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8
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75-82
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Eight-digit compensation amount. Do not use a decimal place. Format is ($$$$$$cc). Do not sign the field. Zeros should be used to fill the left most positions if necessary. Field may be left blank.
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4
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83-86
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Four-digit applicable creditable year being reported.
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6
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87-92
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Total gross amount of separation in whole dollars, $$$$$$. Use zero to fill the left most positions as needed.
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1
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93
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Blank Filler.
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7
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94-100
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Show the last rate of pay. Format includes a floating decimal place to account for hourly through monthly rates. For example, 9.99999, 99.9999, 999.999, etc.
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1
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101
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The code corresponding to the period to which the rate applies.
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Code 1 = Per Hour
Code 2 = Per Day
Code 3 = Per Week
Code 4 = Per Month
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1
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102
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The code corresponding to the employee's normal work week.
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Code 5 = Five-Day Week
Code 6 = Six-Day Week
Code 7 = Seven-Day Week
Code 8 = Train and Engine Service
Code 9 = Dining Car and Pullman Service
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18
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103-120
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Blank Filler.
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NOTE: The file should be saved as a text (*.txt) file with the record format listed above. Reports submitted on CD ROM, secure email, or FTP must be accompanied by Form G-440, "Report Specifications Sheet".