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SUBCHAPTER C-REGULATIONS UNDER THE RAILROAD UNEMPLOYMENT
INSURANCE ACT

the a 300 Definitions. 301 Employers under the act.

nich 319 Procedure for determining liability for contributions or repayments of trit ?

benefits. 320 Initial determinations under the Railroad Unemployment Insurance Act

ather and reviews of and appeals from such determinations.

the 322 Remuneration.

i made 325 Registration and claims for benefits. 327 Available for work.

frience i 330 Determination of daily benefit rates.

the c 332 Mileage or work restrictions and stand-by or lay-over rules. 335 Sickness benefits and maternity benefits.

szocedu 336 Exhaustion of rights to benefits. 340 Recovery of benefits.

a thus 345 Employers' contributions and contribution reports.

TEM Of 370 Miscellaneous.

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SUBCHAPTER DEMERGENCY REGULATIONS

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Plan of operation during a national emergency.

SUBCHAPTER E-REGULATIONS ON EMPLOYEE RESPONSIBILITIES

AND CONDUCT

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PART 200 PROCEDURES AND $ 200.1 The general course and method
FORMS

by which the Board's functions are Bea

channeled and determined. 200.1 The general course and method by (a) Retirement and death benefits. which the Board's functions are

Retirement and death benefits must be channeled and determined. 2002 Designation of forms and instructions.

applied for by filing application therefor. 200.3 Availability of information to public.

(For details as to application, see Parts

210 and 237 of this chapter.) The Bureau AUTHORITY: The provisions of this part of Retirement Claims considers the ap200 issued under sec. 10, 50 Stat. $14. ss amended, sec. 12, 62 Stat. 1107, as amended;

plication and the evidence and Informa45 US.C. 2281. 862.

tion submitted with it. Wage and service

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records maintained by the Board are claim for unemployment benefits need checked and if necessary, further evi- only consult his recent railroad employer dence is obtained from the employee, the to be directed to the unemployment employer, fellow employees, public rec claims agent with whom he may file his ords and any other person or source claim. available. The Bureau makes a decision (2) when an employee makes his first on the application in the first instance. claim in any benefit year, he identifies An applicant dissatisfied with the Bu himself and fills out an application for reau's decision may, upon filing notice unemployment benefits (UI-1), an appliwithin 1 year from the date the decision cation for employment service (Form is mailed to the applicant, appeal to the ES-1), and a pay rate report (Form Office of Hearings and Appeals. There UI-1a) to be used in determining the he may have an oral hearing before a rate at which benefits may be paid. The referee of which a stenographic record is employee is given an informational made, submit additional evidence, be booklet UB-4 and an Unemployment represented, and present written and Bulletin No. UB-3 informing him of his oral argument. If dissatisfied with the responsibilities and explaining the statedecision of the referee, the applicant may ments to which he is required to certify appeal to the Board itself. This appeal and to which he does certify when he must be made on a prescribed form with registers for benefits. When the applicain 4 months of the date a copy of the tions and pay rate report are completed, referee's decision was mailed to him. If the unemployment claims agent sends new evidence is received, the Board may them to the nearest field office of the remand the case to the referee for in Board. That office inspects the applicavestigation and recommendation on the tions to detect errors and omissions and new evidence. (For details on all ap to note items requiring investigation. peals procedure, see Part 260 of this chap The office also attempts to verify the emter.) An applicant, after he has unsuc ployee's statement about his pay rate uncessfully appealed to the Board itself less the unemployment claims agent has and has thus exhausted all administrative already done so. The application for unreme lies within the Board, may obtain employment benefits and the pay rate a review of a final decision of the Board report are then sent to the appropriate by Aling a petition for review, within 1 regional office of the Board. The appliyear after the entry of the decision on cation for employment service is retained the records of the Board and its com- in the field office for use in referring the munication to the applicant, in the U.S. claimant to suitable job openings. On court of appeals for the circuit in which the basis of the information furnished on the applicant resides, or in the U.S. the application for unemployment beneCourt of Appeals for the Seventh Circuit, fits, the regional ofice determines or in the U.S. Court of Appeals for the whether the applicant is a qualified emDistrict of Columbia Circuit.

ployee (that is, whether he earned $500 (b) Unemployment, sickness, and ma or more from covered employment in the ternity benefits. (1) Claims for unem base year). The applicant is notified by ployment benefits are handled by a com letter if he is found to be not qualified. prehensive organization set up in the (3) In addition to the application field. Onder agreements between the forms and pay rate report, the claimant Railroad Retirement Board and covered executes a registration and claim for employers, the employers select employ unemployment insurance benefits (Form ees of theirs to act as unemployment UI-3). In substance, registration conclaims agents. These agents perform

sists of his appearing before an unemtheir services, specified in the agreement,

ployment claims agent during the agent's in accordance with instructions issued by

working hours and signing his name on the Board but under general supervision

the registration and claim form for the and control of the employer. In accord

days he wishes to claim as days of un

employment. Registration for any day ance with the agreements, employers are must be made on the day or not later reimbursed for such services at the rate

than the sixth calendar day thereafter, of 50 cents for each claim taken by an except that, if such calendar day is not unemployment claims agent and trans a business day, the claimant may make mitted to the Board. There are some his registration on the next following 13,000 such contract claims agents. An business day. In other words, & claimunemployed person who wishes to alle a ant must ordinarily appear for registra

tion at seven-day intervals. Under cer 335 of this chapter), is required also. tain circumstances, such as illness, em The necessary forms may be obtained ployment, looking for employment, etc., from a railroad employer, a railway labor an employee may make a delayed regis organization, or any Board office. As tration for any day for which he is application for maternity benefits (Fort unable to register within the time limit SI-101) and the statement of maternit mentioned above. The unemployment sickness (Form SI-104) may be filled is claims agent sends the claim to the person or by mail with any Board office nearest field office where it is inspected It is important that the statement o with a view to calling the claimant in for maternity sickness be Alled promptis interview or referral to job openings, since no day can be considered as a day detecting errors and omissions, and not of sickness in a maternity period unles ing items requiring investigation. The a statement of maternity sickness with claim is then forwarded to the regional respect to the day is filled at an office at office.

the Board within ten days. As in the (4) Claims for sickness benefits are case of claims for sickness benefits, the handled by the field organization of the forms are forwarded to a regional ofice Board. An employee need not register Claim forms are mailed to the claimant in person for sickness benefits but claims and are pre-addressed for return to the for such benefits must be made on the regional office. forms prescribed by the Board and exe (6) Whether benefits are payable to s cuted by the individual claiming benefits claimant and, if so, the amount of beneexcept that, if the Board is satisfied that fits payable, is determined with respect an employee is so sick or injured that he to claims for unemployment, sickness, cannot sign forms, the Board may ac and maternity benefits, by the regions) cept forms executed by someone else in ofice. The names and addresses of his behalf. Forms used in connection claimants to whom benefits are found with claims for sickness benefits may be payable, and the amounts payable to obtained from a railroad employer, a them, are certified to the local disburs. railway labor organization, or any Board ing office of the Treasury Department office. An application for sickness bene which mails the benefit checks to the fits (Form SI-1a) and the required state claimants. If a claim is denied in whole ment of sickness (Form SI-1b) may be or in part, an explanation is given to the mailed to any office of the Board (see claimant by letter. Part 335 of this chapter). It is impor (7) The rate at which benefits are tant that a statement of sickness be filed payable is determined from the claimpromptly, for no day can be considered ant's railroad wages earned in a base as a day of sickness unless a statement year period or from his daily pay rate of sickness with respect to such day is for his last railroad employment in the filed at an office of the Board within ten base year period, whichever will result days. The application and statement of in the higher benefit rate. His dally sickness are forwarded to a regional office benefit rate will be at least 60 per centum where they are examined. If it appears of his daily pay rate for his last railroad that the employee is entitled to benefits, employment in the base year period, but the regional office will send him a claim not exceeding $10.20. form covering a 14-day registration pe (8) Any qualified employee whose riod, and a pay rate report (Form SI-1d).

claim for benefits under the Railroad The employee completes the forms, indi Unemployment Insurance Act has been cating on the claim form the days during denied in whole or in part may, within the period he claims as days of sickness

one year from the date such denial is and returns both forms to the regional communicated to him, appeal from the office to which the claim form is pre initial determination, and such appea] addressed. When additional medical in

will be heard before an impartial formation is needed, a form for supple referee. An unsuccessful claimant in an mental doctor's statement is sent to the

appeal before such referee may appeal employee. This should be filled out by

to the Board. (For further details of a doctor and returned to the Board.

appeals procedure by claimants for bene(5) Maternity benefits must be ap fits and for appeals procedure by em. plied for on a form prescribed by the ployers, see Parts 319 and 320 of this Board. A statement of maternity sick chapter.) ness, executed by a person authorized to Any claimant, or any railway labor orexecute statements of sickness (see Part ganization organized in accordance with

the provisions of the Railway Labor Act, g 200.2 Designation of forms and inof which the claimant is a member, or structions. any other party aggrieved by a final de

(a) Following are the forms to be used cision pursuant to the Railroad Unem

by applicants, employers and others, ployment Insurance Act, may, only after

together with a description of each form all administrative remedies within the

and instructions for each. SubparaBoard will have been availed of and

graphs (1) through (31) of this pardexhausted, obtain a review of such final

graph describe the basic forms to be used decision of the Board by filing a petition

in filing applications for benefits under for review within 90 days after the mail

the retirement act, the report forms ing of notice of such decision to the

required of beneficiaries, and the related claimant or other party, or within such

appellate forms. Subparagraphs (32) further time as the Board may allow, in

through (34) of this paragraph describe the United States court of appeals for

the forms used in registration of railroad the circuit in which the claimant or

employees and the crediting of service other party resides or will have had his months and wages to their accounts. principal place of business or principal Subparagraphs (35) through (44) of executive office, or in the United States this paragraph describe the compenseCourt of Appeals for the Seventh Circuit, tion and contribution report forms to be or in the United States Court of Appeals used by railroad employers and nationalfor the District of Columbia Circuit. labor organization "employers." Sub(c) Current compensation and service

paragraphs (45) through (59) of this records. Current compensation and serv

paragraph describe the basic applica

tion, claim and report forms to be used ice records are maintained by the Bu

in applying for benefits under the unreau of Data Processing and Accounts.

employment insurance act, and related These records are obtained from reports

appellate forms. Forms may be secured made periodically on either a quarterly upon application in person or by mail at or annual basis by employers and em any of the Board's offices. ployee representatives. General instruc (1) Form AA-1, Application for Emtions in this regard may be found in Part ployee (Age and Service) Annuity Under 250 of this chapter. Special instructions

The Railroad Retirement Act. This to employers and employee representa

form must be executed by each individtives are issued from time to time by the

ual who wishes to file claim for an emDirector of Data Processing and

ployee annuity under the Railroad Re

tirement Act on a basis other than disAccounts.

ability. Information to be included on (d) Collection of contributions. The

the form consists of data required to Office of Budget and Fiscal Operations

identify the employee on the records of acts as the collecting agency of the the Board and on the employer's payroll Board in receiving contributions due or other records; a statement as to under the Railroad Unemployment In whether or not credit for military serysurance Act. Contributions are, with ice is claimed; statements as to his some few exceptions, due quarterly and marital status and whether he has chilwith the payment, the employer must

dren under age 18 or disabled; and the file a report, Form DC-1, Employers

date on which the individual wishes to Quarterly or Annual Report of Contri

have the annuity begin. Form AA-1 butions under the Railroad Unemploy

must be signed by the individual in ac

cordance with $ 210.4 of this chapter. ment Insurance Act. (For further de

(2) Form AA-1a, Request for Suppletails see Part 345 of this chapter.)

mental Information When Annuitant or (e) Employment service. Employers Pensioner Attains Age 65. This form is needing workers may avail themselves used when supplemental information is of the Board's employment service by requested. Information requested inmaking requests of any field office for cludes the claimant's social security acreferrals, in writing, on forms provided count number, his marital status in some by the Board, or by telephone.

detail, and whether he has children who (15 F.R. 6752, Oct. 6, 1950, as amended at 21

are under age 18 or disabled. FR. 4808. June 29, 1956; Board Order 62–115,

(3) Form AA-16, Application for Re27 F.R. 9254, Sept. 19, 1962; Board Order computation of Employee Annuity Under 67–67, 32 F.R. 9064, June 27, 1967; 36 F.R. the Railroad Retirement Act. This form 14543, Sept. 17, 1970)

is for use of annuitants who wish to

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apply for a recomputation of an annuity to include service rendered after the anQuity beginning date.

(4) Form AA-1d, Application for Employee (Disability) Annuity Under the Railroad Retirement Act. This form must be executed by each individual who wishes to file claim for an employee annuity under the Railroad Retirement Act on the basis of disability. Information to be included on the form consists of data required to identify the employee on Board and employer records; his work history; answers to questions about his disabilities; statements as to his marital status and children under age 18 or disabled; and the date on which the individual wishes to have the annuity begin. This form is also an application to establish a period of disability under the guaranty provisions.

(5) Form AA-14, Application to Establish Period of Disability. This form is to be executed by an individual whose claim for a period of disability was denied when he filed Form AA-1d, Application for Employee (Disability) Annuity. Should his physical condition retrogress to the point where he could be considered disabled under the Social Security Act, he may file this form to secure a new decision on his claim for a period of disability to increase employee, spouse, or insurance annuities under the guaranty provisions.

(6) Form AA-3, Application of Wife for Spouse's Annuity. This form must be executed by the wife of an annuitant in filing claim for a spouse's annuity under the Railroad Retirement Act. The form requires information needed to determine a wife's eligibility for a spouse's annuity.

(7) Form AA-3a, Supplement to Application for Wife's Annuity. This form is to be completed by a wife, who has filed a claim for a spouse's annuity, to provide supplemental information to enable the Board to determine if the wife may have eligibility on the basis of having in her care a disabled child who is 18 years of age or older.

(8) Form AA-4, Application of Husband for Spouse's Annuity. This form must be executed by the husband of a female annuitant in filing claim for a spouse's annuity under the Railroad Retirement Act. This form requires information required by the Board to determine a husband's eligibility for a spouse's annuity.

(9) Form AA-5, Application for Substitution of Payee for Employee or Spouse Annuitant. This form is to be used where a guardian or other legal representative is appointed, or a substitute payee under section 19(a) of the Rail. road Retirement Act is requested, for an employee or a spouse after the award of an annuity to him or her. The form requires information needed to show the authority of the legal representative, or the basis for recognizing the substitute payee to receive payment on behalf of the employee or the spouse and requires the signature of the person applying. The form also lists the conditions under which an annuity is not payable and includes a form of agreement concerning the payment of the annuity and for the reporting of events which would affect such payment.

(10) Form AA-11a, Designation of Change of Beneficiary. This is a form prescribed in accordance with subsection (f) (2) of section 5 of the Railroad Retirement Act, as amended, on which an individual who was an employee after December 31, 1936, may designate the person or persons whom he wishes to receive any death benefits payable under such paragraph. The form is also to be used to change a designation of beno ficiary made on a Form AA-11a previ. ously filed with the Board. It must be signed by the individual and witnessed by two persons who are not designated on the form as beneficiaries.

(11) Form AA-17, Application for Widow's or Widower's Insurance Annuity. This is the form of application for insurance annuity and lump-sum benefits by the widow or widower 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.

(12) Form AA-17a, Application for Widow's or Widower's Insurance Annuity. This form is to be used where an applicant for widow's or widower's insurance annuity has previously filed an application for a lump-sum death payment, a widow's current insurance annuity, or a spouse's annuity; it may be considered as an application also for any insurance benefits payable under Title II of the Social Security Act as amended. Where the applicant has not previously filed an application for a spouse's annuity, lump-sum death payment, or widow's current insurance annuity, Form AA-17 is to be filled.

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