(a) The Railroad Retirement Board has adopted a plan to provide basic organization and methods of operation which may be needed to continue the uninterrupted payment of retirement, survivor, unemployment, and sickness benefits and the continuation of employment service under the Railroad Retirement Act (45 U.S.C. ch. 9) and the Railroad Unemployment Insurance Act (45 U.S.C. ch. 11) during a period of national emergency as defined in § 395.2.

(b) The plan is published to inform all interested persons of the circumstances and ways in which the Board will organize and operate in a national emergency.

§ 395.2 National emergency and effective date.

A period of national emergency shall be deemed to exist and the provisions of this part shall become effective only (a) after an attack upon the United States, or at a time specified by the authority of the President after such attack, and (b) by order of the chairman of the Board or his successor as set forth in § 395.5, or when it is no longer possible to communicate with such official at his designated station.

§ 395.3 Policy.

To the greatest extent possible, payment of benefits shall be made and employment service functions shall be car

ried on through the period of a national emergency in strict conformance with the pertinent provisions of the Railroad Retirement Act, the Railroad Unemployment Insurance Act, and the regulations promulgated by the Board to administer those acts. Where the character of the national emergency is such as to prevent this, the stand-by regulations contained in this part shall obtain. It will be expected, however, that every effort shall be made to return to normal operating practices as quickly as possible thereafter.

§ 395.4 Mailing instructions.

In a national emergency as defined in § 395.2, all mail shall be directed to Board offices at their normal locations. Through pre-positioned registration information with the Registration and Information facilities of the United States Post Office Department, mail will be redirected automatically to the Board's relocation sites if offices at normal locations become inoperative.

(b) The following delegation of authority is made to provide continuity of that organization in the event of a national emergency:

(1) The chairman of the Board shall act with full administrative authority for the Board.

(2) In the absence or incapacity of the chairman of the Board, the authority of the chairman to act for the Board shall pass to the available successor highest on the following list:

Management Member of the Board.
Labor Member of the Board.
Chief Executive Officer.

Director of Wage and Service Records.
Director of Budget and Fiscal Operations.
Director of Management Control.
Director of Research.

(3) Except as may be determined otherwise by the chairman of the Board or his successor and as provided in §§ 395.6 and 395.7, the duties of each bureau or office head, or regional director shall be discharged in his absence or incapacity during a national emergency by the available staff member next in line of succession. Each bureau and office head, and each regional director shall designate and pre-position the line of succession within his bureau, office or region. If no such designation has been made, such duties shall be assumed by the available subordinate who is highest in grade or, if there is more than one, in length of Board service.

(4) Emergency responsibility and authority under this section, once assumed, shall be relinquished on direction of the duly constituted higher authority acting under the provisions of subparagraph (2) of this paragraph.

(a) Personnel. In a national emergency as defined in §395.2, when it is no longer possible for a regional director, or the manager of the Seattle district office, to communicate with the chairman of the Board or his successor as set forth in § 395.5, complete responsibility and authority for administration of the personnel function are delegated to such regional director, or the Seattle district manager, for his respective OCD-OEP geographic area.

(b) Fiscal. (1) In a national emergency as defined in § 395.2, the chairman of the Board or his successor as set forth in § 395.5 shall designate an individual to assume the responsibilities of the Director of Budget and Fiscal Operations in the event the Director or the Assistant Director is unable to assume those responsibilities.

(2) In a national emergency, incumbents of the following positions are hereby authorized to appoint emergency certifying officers:

Chief Executive Officer.

Director, Office of Budget and Fiscal Operations.

Director, Bureau of Retirement Claims.

Director, Bureau of Unemployment and Sick

ness Insurance.

Regional Directors, or

Regional Unemployment Insurance Officers,

or

Chiefs of Field Activities.

(i) The emergency certifying officers shall be empowered to certify:

(a) Benefit payments under the Railroad Retirement Act.

(b) Benefit payments under the Railroad Unemployment Insurance Act.

(c) Administrative expenses of the Railroad Retirement Board.

(ii) Emergency certifying officers shall be appointed under the authority delegated by this section when (a) normal channels for certifying payments have been rendered inoperable, and (b) clearance has been obtained from the ranking official in line of succession as set forth in § 395.5 (b) (1) and (2) and under such instructions and conditions as he may prescribe. Appointing officers shall observe the requirements of section IV (A3 and A6) of the Emergency Disbursing Plan of the Department of the Treasury with respect to required signature cards and bonds.

(3) In a national emergency, incumbents of the following positions are designated as emergency cashiers and are authorized to receive and disburse cash for emergency administrative needs of the Board:

(i) The incumbents of the positions listed in this subparagraph (3) are also designated as certifying officers for administrative expenses. They shall perform in the dual capacity of cashier and certifying officer only where circumstances make it impractical to use the services of another individual as certifying officer, and only when (a) all channels for making administrative payments through a regional disbursing office of the Department of the Treasury have been rendered inoperable, and (b) clearance has been obtained from the ranking official in line of succession as set forth in § 395.5 (b) (1) and (2) if possible.

(ii) Cash disbursed under this authority shall be used in payment of payrolls, travel reimbursement vouchers, emergency travel advances and other necessary administrative expenses of the Board; cash shall not be used to pay benefits under the Railroad Retirement Act or the Railroad Unemployment Insurance Act.

(c) Supply and Service. (1) In a national emergency as defined in § 395.2, complete responsibility and authority for the procurement of needed supplies, equipment, space, communications, transportation (automobiles only), and repair services are delegated to each regional director and to the manager of the Seattle district office for their respective OCD-OEP geographic areas.

(2) Federal sources of supply and service, if available, shall be used.

(3) Any supplies, equipment, space, or services provided under this emergency delegation shall be documented to show what was provided, the amount procured, the cost thereof, and the source from which procured.

(4) As soon after the period of national emergency as conditions permit, the records required by subparagraph (3) of this paragraph shall be transmitted to the Director, Office of Supply and Service or his surviving successor. § 395.7 Operating regulations.

(a) Retirement claims. (1) In a national emergency as defined in § 395.2, applications for and development and

certification of claims for retirement, disability, and survivor benefits shall be to the extent possible, as set forth in subchapter B of this chapter, except that:

(i) Standards of evidence may be relaxed although legal requirements for entitlement to payments shall remain unchanged; in determining relationships, employment, birth, death, etc., consideration shall be given to whatever information is in the possession of applicants and beneficiaries or the Board office adjudicating a claim.

(ii) If prescribed forms are not available, any writing that contains substantially the necessary information shall be acceptable.

(iii) In a national emergency, that is when the headquarters office is inoperable, the development and certification of claims shall be assumed by the regional offices.

(2) To provide the necessary authority for a decentralized program as outlined in this paragraph, those authorities which have been delegated to the Director, Bureau of Retirement Claims, are hereby delegated to the regional directors of their surviving successors.

(b) Unemployment and sickness claims. (1) In a national emergency as defined in § 395.2, receipt, adjudication, and certification of claims for unemployment and sickness benefits shall be to the extent possible as set forth in Subchapter C of this chapter, except that:

(i) Where the Board's wage records have been destroyed or are otherwise unavailable, the wage-record evidence in the possession of the claimant, or the employer's wage records will be acceptable in determining qualifications for benefits.

(ii) In the event normal record sources such as claim file folders or magnetic tape master records are destroyed or otherwise unavailable, other evidence of previous benefit payments shall be considered in determining the periods for which benefits are currently payable and the amounts.

(iii) In developing sickness benefit claims where medical evidence in the form of a doctor's statement is not available, an affidavit from the claimant or other person having knowledge of his sickness or injury shall be acceptable.

(iv) If prescribed forms are not available, any writing that contains substantially the necessary information shall be acceptable.

(v) Eligibility interviews, investigations, and checking procedures shall be curtailed.

(vi) If claims cannot be submitted to the processing offices in headquarters and in the regions because of the national emergency or if those offices become inoperative, the development and certification of claims shall be assumed by district offices.

(2) To provide the necessary authority for a decentralized program as outlined in this paragraph (b), the authorities which have been delegated to the Director, Bureau of Unemployment and Sickness Insurance and to the regional directors are hereby delegated to the district managers or to their surviving successors.

(c) Manpower. (1) In a national emergency as defined in § 395.2, complete responsibility and authority for administration of the manpower function are delegated to regional directors and district managers who shall be governed by existing Board procedures as set forth in Subchapter C of this chapter, except that maximum freedom in the implementation thereof may be exercised.

§ 395.8 Regulations for employers.

(a) In a national emergency as defined in § 395.2, employers shall continue to follow to the greatest extent possible the provisions set forth in Subchapters A and B of this chapter in registering new employees, in submitting employee and compensation data, in distributing certificates of service and compensation, in making contributions and contribution reports, in providing information relating to retirement claims, in providing information relating to unemployment and sickness claims, and in maintaining claims office facilities.

(b) Where the national emergency prevents employers from following these provisions in whole or in part, it shall be their responsibility to resume the payment of contributions and other normal practices as quickly as possible in the post-attack period, to bring contribution accounts up to date, and to supply the Board with wage and service and other required information within the limits of available data withheld during the emergency.

(c) In a national emergency as defined in § 395.2, contributions, communications, and other materials are to be mailed as set forth in § 395.4.

Part

401

404

422

§ 401.1

Prohibition against disclosure.

No disclosure of any return or portion of a return (including information returns or other written statements) filed with the Commissioner of Internal Revenue under title VIII of the Social Security Act, the Federal Insurance Contributions Act or the Self-Employment Contributions Acts, or under regulations made under authority thereof, which has been transmitted to the Department of Health, Education, and Welfare by the Commissioner of Internal Revenue, or of any file, record, report, or other paper or any information obtained at any time by the Department or by any officer or employee of the Department, or from the Department or any officer or employee thereof by any other person or by any other agency or officer or employee thereof, which in any way

relates to, or is necessary to, or is used in or in connection with, the administration of the old-age and survivors insurance program conducted pursuant to title II of the Social Security Act, shall be made directly or indirectly except as hereinafter authorized by this part or as otherwise expressly authorized by the Commissioner of Social Security.

[20 F.R. 5159, July 20, 1955]

§ 401.2 Authority for refusal to disclose.

Any request or demand for any such file, record, report, or other paper, or information, disclosure of which is forbidden by this part, shall be declined upon authority of the provisions of section 1106 of the Social Security Act, and this part prescribed thereunder. If any officer or employee of the Department is sought to be required, by subpena or other compulsory process, to produce such file, record, report, or other paper, or give such information, he shall respectfully decline to present such file, record, report, or other paper, or divulge such information, basing his refusal upon the provisions of law, and this part prescribed thereunder.

[20 F.R. 5159, July 20, 1955]

§ 401.3 Information which may be disclosed and to whom.

Disclosure of any such file, record, report or other paper, or information, is hereby authorized in the following cases and for the following purposes:

(a) As to matters directly concerning any claimant or prospective claimant