(13) Form AA-18, Application for Widow's and Child's Insurance Annuities. This is the form of application for insurance annuity benefits by the widow on her own behalf and on behalf of the children of a deceased employee; it may be considered as an application also for any insurance benefits payable under Title II of the Social Security Act as amended.

(14) Form AA-19, Application on Behalf of Child for Child's Annuity. This is the form of application for insurance annuity benefits on behalf of a child; it may be considered as an application also for any insurance benefits payable under Title II of the Social Security Act as amended.

(15) Form AA-19a, Supplement to Application for Widow's and/or Child's Insurance Annuity. This form is to be used in providing information to permit the Board to determine whether a child age 18 or older, who is alleged to be disabled would meet the eligibility requirements for a child's insurance annuity, other than that of disability. A widow caring for a disabled child age 18 or over, and claiming initial entitlement on that basis, or a widow claiming continued entitlement on the same basis, is to use this form.

(16) Form AA-20, Application for Parent's Insurance Annuity. This is the form to be used in applying for parent's insurance annuity benefits; it may be considered as an application also for any insurance benefits payable under Title II of the Social Security Act as amended.

(17) Form AA-21, Application for Lump-Sum Death Payment and Annuities Unpaid at Death. This is the form of application for lump-sum death payments due with respect to an employee's death and for annuities due the employee but unpaid at his death and may be considered as an application also for any insurance benefits payable under Title II of the Social Security Act as amended.

(18) Form AA-21a, Application for Survivor Benefits Due Estate. This form is to be used in applying for benefits due an estate when there is no formal administration or there is formal administration but there are no known heirs or part of the funds would escheat. It may also be considered as an application for any insurance benefits payable under Title II of the Social Security Act as amended.

(19) Form AA–22, Application for Substitution of Payee for Survivor Annuitant. This form is to be used, in applying for payment of a survivor annuity previously awarded, by either a legal representative of a survivor annuitant or a person requesting to be recognized under section 19(a) of the act as a substitute payee of the annuity of such annuitant.

(20) Form AC-1, Appeal from Initial Decision of Bureau of Retirement Claims. This is a form prescribed for filing of an appeal from an initial decision of the Bureau of Retirement Claims with respect to a determination made by that Bureau in connection with an application for annuity or death benefits in accordance with § 260.2 of this chapter.

(21) Form AC-2, Appeal from Decision of the Referee. This is the form prescribed for filing an appeal from a decision of the referee with respect to a determination made in connection with an application for annuity or death benefits in accordance with §§ 260.3 and 260.4 of this chapter.

(22) Form G-19, Declaration of Person Receiving Annuity Payments Under The Railroad Retirement Act. This form is to be completed by beneficiaries in foreign countries to provide information of work and earnings which might affect payment of benefits. It is released through the Department of State to all survivor annuitants, all retirement and spouse annuitants whose annuities have been increased under the Social Security Act minimum provision of the Act, and all disability annuitants under age 65, who reside outside of the United States.

(23) Form G-19a, Report to U.S. Railroad Retirement Board of Earnings in Prior Calendar Year and Estimate of Earnings for Current Calendar Year. This form is to be completed by employee and survivor annuitant, with some few exceptions, to provide information on work and earnings which might affect payment of benefits. The form is released annually.

(24) Form G-89, Authority for Change of Effective Date. This is the form to be used by an applicant for a retirement annuity to authorize a change in or clarifying his annuity beginning date, or to set a beginning date upon reinstating a cancelled application. The form must be signed before and by two witnesses.

(25) Form G-126, Election to Receive a Residual Payment Instead of Future

Monthly Insurance Benefits Based on Service Under the Railroad Retirement Act. This form is to be used by a widow or parent to make an irrevocable election, under section 5(f) (2) of the Railroad Retirement Act of 1937, as amended, to receive the lump sum payment provided by that section in lieu of future monthly benefits which might otherwise become payable.

(26) Form G-129, Waiver of Annuity or Pension Under the Railroad Retirement Act. This form is to be used by annuitants or pensioners under the Railroad Retirement Act who wish to waive payment of all or part of their benefits in accordance with section 20 of the act as amended.

(27) Form G-130, Waiver of All Claims Against the Estate of a Deceased. This form is to be used by an individual desiring to waive a claim against an estate to permit the payment of benefits under the Railroad Retirement Act to the estate without the requirements of formal administration (see Part 236 of this chapter). In executing the form the individual waives all of his claim against the estate and releases and discharges the United States and the Railroad Retirement Board from any and all obligations by reason of payment to the estate of the full amount due.

(28) Form G-131, Authorization of Payment and Release of All Claims to Death Benefits and Annuity Payments. This form is to be used by an individual entitled to share in a benefit payable under the Railroad Retirement Act to an estate, to authorize payment to some person.

(29) Form G-339, Wife's Election to Have Her Wife's Annuity Reduced When She Becomes Eligible for Such Annuity and Until Such Eligibility to Permit an Increase in Employee's Retirement Annuity. This form is to be used by a wife who, in order to increase the amount of her husband's annuity to the amount both would receive under the minimum guarantee provisions of the act, elects to have her annuity reduced when she becomes eligible.

(30) Form G-340, Husband's Statement in Connection with Wife's Election to Have Her Wife's Annuity Reduced When She Becomes Eligible for Such Annuity. This form is to be used by the husband of the wife who submits Form G-339 to show that he understands the effect of his wife's election to have her annuity reduced.

(31) Form G-661, Appeal From Decision Concerning Creditability of Service. This form is prescribed for filing an appeal from an initial decision of the Bureau of Retirement Claims with respect to a determination by that bureau that service claimed in connection with an application for annuity is not creditable because the employer is not covered by the Railroad Retirement Act.

(32) Form CER-1, Employee Registration. This form must be executed by each individual entering, for the first time, employment covered by the Railroad Retirement and Railroad Unemployment Insurance Acts and is to be forwarded to the Board through the employer. The identifying information included on this form is for the purpose of enabling the Board to assign the individual an account number and to establish an individual account to which service and compensation under the Acts may be credited.

(33) Form BA-6, Certificate of Service Months and Wages. This form, which notifies employees of the retirement and unemployment insurance credits established in their accounts, is to be submitted when filing for unemployment, sickness or maternity benefits.

(34) Form G-70, Protest of Record of Service Months and Wages. This form is to be used by an employee in protesting the Board's record of his service months and wages, unless he is applying for benefits under the Railroad Unemployment Insurance Act. This form provides for showing the employee's claim of the amount of wages he earned in each month of the year or years, the name of the employer from which they were earned, and the place of employment.

(35) Form BA-3, Quarterly Report of Creditable Compensation. This is to be used by employers in reporting the compensation paid to each employee in each month in a calendar quarter as required to be submitted under § 250.3 of this chapter.

(36) Form BA-3a, Annual Report of Creditable Compensation. This form is to be used by employers authorized by the Board to report on an annual basis to report for each employee the service months in which an individual worked, the total service months earned, and the total creditable compensation paid during the year as is required to be submitted under § 250.3 of this chapter.

(37) Form BA-4, Report of Creditable Compensation Adjustments. This form is to be prepared and submitted each month by employers to report any adjustment in creditable compensation which has been made by the employer and which would affect the amount of an employee's benefits under either the Railroad Retirement Act or the Railroad Unemployment Insurance Act.

(38) Form BA-5, Summary Report of Compensation of Employees. Employers reporting creditable compensation are also required to prepare and submit this form which is a quarterly summary of all compensation paid and any adjustments made during the quarter.

(39) Form DC-1, Employer's Quarterly or Annual Report of Contributions Under the Railroad Unemployment Insurance Act. This is a form prescribed by § 345.5 of this chapter to be filed by an employer under the Railroad Unemployment Insurance Act to show the amount of contributions being remitted for the period covered.

(40) Form DC-2, Employee Representatives Report of Compensation. This form is used by an individual serving as an employee representative under the Railroad Retirement Act for reporting employee representative service and compensation and is to be filed annually or upon termination of employee representative service.

(41) Form DC-3, Claim for Abatement or Refund of Contributions, Interest, or Penalty. This form is to be used by employers in claiming abatement or refund of contributions, interest or penalty under the Railroad Unemployment Insurance Act.

(42) Form OE-1, Payroll Report (Quarterly) for System Subordinate Units. The form is for quarter-annual reports by system subordinate units of national-labor-organization "employers" of earnings by employees and of employer "contributions" remitted pursuant to the Railroad Unemployment Insurance Act; it shows also amounts of taxes paid pursuant to the Railroad Retirement Tax Act.

ered labor organizations of the service and compensation of its covered employees.

(45) Form ES-1, Application for Employment Service. This form is to be used by unemployed persons in applying for placement by the employment service.

(46) Form SI-1a, Application for Sickness Benefits. This form is to be used by an employee in applying for the form on which to claim sickness benefits. The completed form supplies information necessary to determine if the applicant is eligible to claim benefits and waives any existing "doctor-patient privileges" for the purpose of supplying medical information in support of his claim.

(47) Form SI-1b, Statement of Sickness. This form is a detachable part of Form SI-1a and is to be executed by an authorized person supplying medical information in connection with an employee's application for sickness benefits.

(48) Form SI-1d, Pay Rate Report and Employer's Corrected Report of Pay Rate. This form is to be used by a claimant for sickness benefits to report the pay rates required to determine his daily benefit rates under the Railroad Unemployment Insurance Act. The pay rate report is then verified and, if necessary, corrected by the employer.

(49) Form SI-3, Claim for Sickness Benefits. This form is sent by the Board to claimants for sickness benefits to inform the claimant of the registration period covered by the claim and to request information as to days of sickness claimed, days worked, and earnings. The form is to be returned to the office of the Board to which it is preaddressed.

(50) Form SI-62, Claim for Sickness Benefits Due Employee But Not Paid at Death. This is the form to be used in making claim for sickness benefits due an employee but unpaid at his death.

(51) Form SI-101, Application for Maternity Benefits. This is the form to be used by a female employee in applying for a claim form on which to claim maternity benefits. The form provides for a statement by the employee of prior employment and of the birth or expected birth of a child; and also for a waiver of any existing "doctor-patient privilege" with respect to the maternity sickness for which the claim is made. This form is to be mailed, together with completed Form SI-104, to the Board.

(52) Form SI-103, Claim for Maternity Benefits. This is the form to be

used in making claim for maternity benefits under the Railroad Unemployment Insurance Act.

(53) Form SI-104, Statement of Maternity Sickness This form is to be executed by a doctor of medicine in connection with an application for maternity benefits, and is to be furnished by the applicant to the Board, upon execution, together with completed Form SI101, Application for Maternity Benefits.

(54) Form UI-1, Application for Unemployment Benefits. This form is to be used by an employee in applying for unemployment benefits and provides for information in connection with employment service.

(55) Form UI-1a, Pay Rate Report and Employer's Corrected Report of Pay Rate. This form is given to a claimant for unemployment benefits to provide information of his employment and pay to be used in the determination of the claimant's daily benefit rate. The employer verifies and, if necessary, corrects the pay rate reported by the claimant.

(56) Form UI-3, Registration and Claim for Unemployment Benefits. This is a form for registering for days of unemployment and claiming unemployment insurance benefits, for providing notice to the claimant of requirements upon him, and for statement to be certified to by the claimant.

(57) Form UI-63, Application for Accrued Benefits Due Under the Railroad Unemployment Insurance Act and Unpaid at Death. This application is used by a survivor or other person to claim benefits under the Railroad Unemployment Insurance Act due but unpaid to a claimant at the time of his death.

(58) Form UI-85, Appeal to the Board From Referee's Decision Under Railroad Unemployment Insurance Act. This form is used to appeal to the Board from a decision of a referee on a claim for benefits under the Railroad Unemployment Insurance Act.

(59) Form UI-86, Appeal from Initial Determination Under the Railroad Unemployment Insurance Act. This form is used to appeal from an initial decision denying benefits under the Railroad Unemployment Insurance Act.

[Board Order 62-115, 27 F.R. 9254, Sept. 19, 1962, as amended at 35 F.R. 14548, Sept. 17, 1970]

§ 200.3 Availability of information to public.

(a) The following materials (more particularly described in paragraph (d) of this section), with identifying details deleted pursuant to paragraph (b) of this section, are available for public inspection and copying:

(1) All final opinions (including concurring and dissenting opinions), and all orders made in the adjudication of cases, which have precedential effect;

(2) All statements of policy and interpretations which have been adopted by the Board, or by anyone under authority delegated by the Board, which have not been published in the FEDERAL REGISTER; and

(3) Administrative staff manuals and instructions to staff that affect any member of the public.

containing information on the adjudication of claims not contained in the Retirement Claims Manual or in RCM Circulars, Instructions and Circular Letters to Employers, Field Operating Manual (Parts I and VI), FOM Circulars and Memoranda, and the Occupational Disability Rating Schedule.

(2) In the Bureau of Unemployment and Sickness Insurance: the Adjudication Instruction Manual, Regional Operating Manual (Part I), Field Operating Manual (Part II), FOM Circulars and memoranda, Bureau of Unemployment and Sickness Insurance Circulars, Memorandum Opinions, memorandum instructions on adjudication, and circular letters of instruction to railroad officials.

(3) In the Bureau of Data Processing and Accounts: the Instructions to Employers, and Circular Letters to Employers.

(4) In the Bureau of Law; Legal Opinions.

(5) In the Office of the Secretary of the Board: Decisions and rulings of the Board.

Regional offices and field offices shall also make available to the extent practicable such of these materials and indexes as are furnished them in the ordinary course of business.

(e) The copies of manuals and instructions made available for public copying and inspection shall not include:

(1) Confidential statements, standards, and instructions, such as tolerance rules, assumptions, and guidelines, which cannot be disclosed to the public without adversely affecting the administration of the Acts, and

§ 201.1

(2) Instructions not affecting the public (such as those relating solely to processing and procedure, to management, or to personnel) which it is feasible to separate from instructions that do affect the public.

(f) Except as to records relating to individuals (see § 262.16 of this chapter), records other than those made available under paragraphs (a), (c), and (d) of this section shall, upon receipt of a request identifying them, be made promptly available to the person requesting them unless they are exempted from disclosure by the provisions of 5 U.S.C. 552 (b). A request may be made orally or in writing, without any special form. All written requests should be addressed to the Board, or to the head of the bureau or office having jurisdiction over the subject matter of the desired records, at 844 Rush Street, Chicago, Ill. 60611. Requests will be received and processed only during working hours of the Board, on days of business. When the retrieval of the record requested, or the furnishing of a copy, entails substantial and ascertainable additional expense to the Board, charge may be made in the amount of that cost, and shall be paid to the Director of Budget and Fiscal Operations.

(g) Any person whose request for materials or records under any paragraph of this section has been denied by a subordinate employee shall be entitled to have his request considered promptly by the head of the bureau or office having custody of such materials or records. [Board Order 6784, 32 F.R. 9651, Sept. 4, 1967]

PART 201-DEFINITIONS

Words and phrases.

For the purposes of the regulations in this chapter, except where the language or context indicates otherwise:

(a) Act. The term "act," or "1937 act" means the Railroad Retirement Act of 1937 (50 Stat. 307; 45 U.S.C. Chapter 9). The term "1935 act," means the Railroad Retirement Act of 1935 (49 Stat. 967; 45 U.S.C. Chapter 9).

(b) Employer. The term "employer" means an employer as defined in the act and Part 202 of this chapter.

(c) Employee. The term "employee" means an employee as defined in the act and Part 203 of this chapter.

(d) Service. The term "service" means service as defined in the act and Part 220 of this chapter.

(e) Compensation. The term "compensation" means compensation as defined in the act and Part 222 of this chapter.

(f) Board. The term "Board" means the Railroad Retirement Board.

(g) Company. The term "company" means a partnership, association, joint