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.

This

(58) Form UI-85, Appeal to the Board From Referee's Decision Under Railroad Unemployment Insurance Act. 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. 14543, 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.

(b) The identifying details to be deleted shall include, but not be limited to, names and identifying numbers of employees and other individuals as needed to comply with section 12 (d) and (n) of the Railroad Unemployment Insurance Act, section 10(b) 6 of the Railroad Retirement Act, and § 262.16 of this chapter, or to prevent a clearly unwarranted invasion of personal pri

vacy.

(c) There shall be maintained in the Library, and made available for public inspection and copying, a current index of any of the materials referred to in paragraph (a) of this section which are issued, adopted, or promulgated after July 4, 1967. However, indexes in the material itself, and any index maintained in the offices of the Board for the use of the Board's employees which is made available for public inspection and copying, may be incorporated by refer

ence.

(d) The materials and indexes thereto shall be kept, and made available to the public upon request, in the bureaus and offices of the Board which produce or utilize the materials. The following materials currently in use shall, as long as they are in effect as precedents and instructions, be made available in offices of the Board at 844 Rush Street, Chicago:

(1) In the Bureau of Retirement Claims: The Retirement Claims Manual, RCM Circulars, Special Services Manual, Policy Decisions, Procedural Memoranda

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

stock company, corporation, or institution.

(h) United States. The term "United States" where used in a geographical sense means the States and the District of Columbia.

(1) Carrier. The term "carrier" means an express company, sleeping-car company, or carrier by railroad, subject to Part I of the Interstate Commerce Act (24 Stat. 379; 49 U. S. C. Chapter 1).

(j) Person. The term "person" includes an individual, trust, estate, partnership, association, joint stock company, company, corporation, and institution.

(k) General Committee. The term "General Committee" as used in section 1 of the Railroad Retirement Act of 1937 (50 Stat. 307; 45 U.S.C., Sup., 228a) is construed to include any subordinate unit of a national railway labor organization, defined as an employer in the 1937 act, regardless of the title or designation of such unit, which, under the constitution and bylaws of the organization of which it is a unit, is properly authorized to and does represent that organization on all of a particular railroad or on a substantial portion thereof (such as on that portion of a railroad under the jurisdiction of the general manager) in negotiating with the management of that railroad with respect to the wages and working conditions of the employees represented by such organization.

(1) Local lodges and divisions; local lodge or division. The term "local lodges and divisions" and the term "local lodge or division" as used in section 1 (a) and 1 (b), respectively, of the 1937 act, shall be construed to include any subordinate unit of a national railway labor organization defined as an "employer" under the 1937 act, which unit functions in the same manner as, or similar to "local lodges" as that term is ordinarily used, irrespective of the designation of such unit by its national organization. (Secs. 1, 10, 50 Stat. 307, as amended, 314, as amended; 45 U.S.C. 228a, 2281) [4 F.R. 1477, as amended by Board Order 40-367, 5 F.R. 2717; Board Order 59-190, 24 F.R. 9083, Nov. 7, 1959]

The term "employer" means any carrier (as defined in subsection 1 (m) of this section), and any company which is directly or indirectly owned or controlled by one or more such carriers or under common control therewith, and which operates any equipment or facility or performs any service (except trucking service, casual service, and the casual operation of equipment or facilities) in connection with the transportation of passengers or property by railroad, or the receipt, delivery, elevation, transfer in transit, refrigeration or icing, storage, or handling of property transported by railroad, and any receiver, trustee, or other individual or body, judicial or otherwise, when in the possession of the property or operating all or any part of the business of any such employer: Provided, however, That the terin "employer" shall not include any street, interurban, or suburban electric railway, unless such railway is operating as a part of a general steam-railroad system of transportation, but shall not exclude any part of the general steam-railroad system now or hereafter operated by any other motive power. The Interstate Commerce Commission is hereby authorized and directed upon request of the Board, or upon complaint of any party interested, to determine after hearing whether any line operated by electric power falls within the terms of this proviso. The term "employer" shall also include railroad associations, traffic associations, tariff bureaus, demurrage bureaus,

weighing and inspection bureaus, collection agencies and other associations, bureaus, agencies, or organizations controlled and maintained wholly or principally by two or more employers as herein before defined and engaged in the performance of services in connection with or incidental to railroad transportation; and railway labor organizations, national in scope, which have been or may be organized in accordance with the provisions of the Railway Labor Act, as amended, and their State and National legislative committees and their general committees and their insurance departments and their local lodges and divisions, established pursuant to the constitution and by-laws of such organizations. (Sec. 1 (a), 50 Stat. 307; 45 U. S. C. 228a (a))

The term "employer" shall not include any company by reason of its being engaged in the mining of coal, the supplying of coal to an employer where delivery is not beyond the mine tipple, and the operation of equipment or facilities therefor, or in any of such activities. (54 Stat. 785; 45 U.S.C. 228a (a)) [4 FR. 1478, Apr. 7, 1939 as amended by Board Order 41-526, 7 F.R. 96, Jan. 6, 1942] § 202.2 Company or person principally engaged in carrier business.

Any company or person principally engaged in carrier business is an employer.

§ 202.3 Company or person principally engaged in non-carrier business.

(a) With respect to any company or person principally engaged in business other than carrier business, but which, in addition to such principal business, engages in some carrier business, the Board will require submission of information pertaining to the history and all operations of such company or person with a view to determining whether some identifiable and separable enterprise conducted by the person or company is to be considered to be the employer. The determination will be made in the light of considerations such as the following:

(1) The primary purpose of the company or person on and since the date it was established;

(2) The functional dominance or subservience of its carrier business in relation to its non-carrier business;

(3) The amount of its carrier business and the ratio of such business to its entire business;

(4) Whether its carrier business is a separate and distinct enterprise.

(b) In the event that the employer is found to be an aggregate of persons or

A company or person is controlled by one or more carriers, whenever there exists in one or more such carriers the right or power by any means, method or circumstance, irrespective of stock ownership, to direct, either directly or indirectly, the policies and business of such a company or person and in any case in which a carrier is in fact exercising direction of the policies and business of such a company or person.

§ 202.5 Company or person under common control.

A company or person is under common control with a carrier, whenever the control (as that term is used in § 202.4) of such company or person is in the same person, persons, or company as that by which such carrier is controlled.

§ 202.6 Casual service and the casual operation of equipment or facilities. The service rendered or the operation of equipment or facilities by a controlled company or person in connection with the transportation of passengers or property by railroad is "casual" whenever such service or operation is so irregular or infrequent as to afford no substantial basis for an inference that such service or operation will be repeated, or whenever such service or operation is insubstantial.

§ 202.7

Service or operation in connection with railroad transportation. The service rendered or the operation of equipment or facilities by persons or companies owned or controlled by or under common control with a carrier is in connection with the transportation of passengers or property by railroad, or the receipt, delivery, elevation, transfer in transit, refrigeration or icing, storage, or handling of property transported by railroad, if such service or operation is reasonably directly related, functionally or economically, to the performance of obligations which a company or person or companies or persons have undertaken as a common carrier by railroad, or to the receipt, delivery, elevation,

transfer in transit, refrigeration or icing, storage, or handling of property transported by railroad.

§ 202.8 Controlled company or person principally engaged in service or operation in connection with railroad transportation.

Any company or person owned or controlled by one or more carriers or under common control therewith, whose principal business is the operation of equipment or facilities or the performance of service (other than trucking service) in connection with the transportation of passengers or property by railroad, shall be an employer.

§ 202.9 Controlled company or person not principally engaged in service or operation in connection with railroad transportation.

(a) With respect to any company or person owned or controlled by one or more carriers or under common control therewith, performing a service or operating equipment in connection with the transportation of passengers or property by railroad, or the receipt, delivery, elevation, transfer in transit, refrigeration or icing, storage, or handling of property transported by railroad, but which is principally engaged in some other business, the Board will require the submission of information pertaining to the history and all operations of such company or person with a view to determining whether it is an employer or whether some identifiable and separable enterprise conducted by the person or company is to be considered to be the employer, and will make a determination in the light of considerations such as the following:

(1) The primary purpose of the company or person on and since the date it was established;

(2) The functional dominance or subservience of its business which constitutes a service or operation of equipment or facilities in connection with the transportation of passengers or property by railroad in relation to its other business;

(3) The amount of its business which constitutes a service or operation of equipment or facilities in connection with the transportation of passengers or

property by railroad and the ratio of such business to its entire business;

(4) Whether such service or operation is a separate and distinct enterprise; (5) Whether such service or operation is more than casual, as that term is defined in § 202.6.

(b) In the event that the employer is found to be an aggregate of persons or legal entities or less than the whole of a legal entity or a person operating in only one of several capacities, then the unit or units competent to assume legal obligations shall be responsible for the discharge of the duties of the employer. § 202.10 Commencement of employer status of receiver or trustee, etc.

A receiver, trustee, or other individual or body, judicial or otherwise, in the possession of the property or operating all or any part of the business of a carrier, or of a company or person owned or controlled by or under common control with such a carrier, which operates any equipment or facility or performs any service in connection with the transportation of passengers or property by railroad, shall be deemed to be an employer beginning as of whichever of the following three dates is the earliest:

(a) The date that it takes possession of such property; or

(b) The first date on which it has authority to operate all or any part of the business of such a carrier, company or person; or

(c) The date that it begins operating without appointment or authorization all or any part of the business of such a carrier, company or person;

Provided, however, That the receiver, trustee, or other individual or body, judicial or otherwise, shall be an employer only with respect to such individuals as would be employees if the preceding employer had continued in the possession of the property or the operation of the business.

§ 202.11 Termination of employer

status.

The employer status of any company or person shall terminate whenever such company or person loses any of the characteristics essential to the existence of an employer status.

[Board Order 41-85, 6 F.R. 1210, Mar. 1, 1941)