[Code of Federal Regulations]

[Title 20, Volume 1]

[Revised as of April 1, 2005]

From the U.S. Government Printing Office via GPO Access

[CITE: 20CFR200.2]



[Page 156-159]

 

                      TITLE 20--EMPLOYEES' BENEFITS

 

                  CHAPTER II--RAILROAD RETIREMENT BOARD

 

PART 200_GENERAL ADMINISTRATION--Table of Contents

 

Sec.  200.2  The general course and method by which the Board's functions 

are channeled and determined.



    (a) Retirement and death benefits. (1) Retirement and death benefits 

must be applied for by filing application therefor. (For details as to 

application, see parts 210 and 237 of this chapter). The Bureau of 

Retirement Claims considers the application and the evidence and 

information submitted with it. Wage and service records maintained by 

the Board are checked and if necessary, further evidence is obtained 

from the employee, the employer, fellow employees, public records and 

any other person or source available. The Bureau makes initial decisions 

on the following matters:

    (i) Applications for benefits;

    (ii) Requests for the withdrawal of an application;

    (iii) Requests for a change in an annuity beginning date;

    (iv) The termination of an annuity;

    (v) The modification of the amount of an annuity or lump sum;

    (vi) Requests for the reinstatement of an annuity which had been 

terminated or modified;

    (vii) The existence of an erroneous payment;

    (viii) The eligibility of an individual for a supplemental annuity 

or the amount of such supplemental annuity.

    (ix) Whether representative payments shall serve the interests of an 

individual by reason of his incapacity to manage his annuity payments; 

and

    (x) Who shall be appointed or continued as representative payee on 

behalf of an annuitant.

    (2) A claimant dissatisfied with the Bureau's decision may, upon 

filing notice within one year from the date the decision is mailed to 

the claimant, appeal to the Bureau of Hearings and Appeals. Provided, 

however, That (i) an individual under age 16 shall not have the right to 

appeal a finding of incapacity to manage his annuity payments, but shall 

have the right to contest on appeal that he is, in fact, under age 16; 

(ii) an individual who has been adjudged legally incompetent shall not 

have the right to appeal a finding of incapacity to manage his annuity 

payments, but shall have the right to contest on appeal the fact of his 

having been adjudged legally incompetent; and (iii) an individual shall 

not have the right to appeal a denial of his application to serve as 

representative payee on behalf of an annuitant. There he



[[Page 157]]



may have an oral hearing before a hearings officer of which a 

stenographic record is made, submit additional evidence, be represented, 

and present written and oral argument. If dissatisfied with the decision 

of the hearings officer, the claimant may appeal to the Board itself. 

This appeal must be made on a prescribed form within four months of the 

date a copy of the hearings officer's decision was mailed to him. If new 

evidence is received, the Board may remand the case to the hearings 

officer for investigation and recommendation concerning the new 

evidence. (For details on appeals procedure, see part 260 of this 

chapter.) A claimant, after he has unsuccessfully appealed to the Board 

itself and has thus exhausted all administrative remedies within the 

Board, may obtain a review of a final decision of the Board by filing a 

petition for review, within one year after the entry of the decision on 

the records of the Board and its communication to the claimant, in the 

U.S. Court of Appeals for the circuit in which the claimant resides, or 

in the U.S. Court of Appeals for the Seventh Circuit, or in the U.S. 

Court of Appeals for the District of Columbia Circuit.

    (b) Unemployment, sickness, and maternity benefits. (1) Claims for 

unemployment benefits are handled by a comprehensive organization set up 

in the field. Under agreements between the Railroad Retirement Board and 

covered employers, the employers select employees of theirs to act as 

unemployment claims agents. These agents perform their services, 

specified in the agreement, in accordance with instructions issued by 

the Board but under general supervision and control of the employer. In 

accordance with the agreements, employers are reimbursed for such 

services at the rate of 50 cents for each claim taken by an unemployment 

claims agent and transmitted to the Board. There are some 13,000 such 

contract claims agents. An unemployed person who wishes to file a claim 

for unemployment benefits need only consult his recent railroad employer 

to be directed to the unemployment claims agent with whom he may file 

his claim.

    (2) When an employee makes his first claim in any benefit year, he 

identifies himself and fills out an application for unemployment 

benefits (UI-1), an application for employment service (Form ES-1), and 

a pay rate report (Form UI 1a) to be used in determining the rate at 

which benefits may be paid. The employee is given an informational 

booklet UB-4 and an Unemployment Bulletin No. UB-3 informing him of his 

responsibilities and explaining the statements to which he is required 

to certify and to which he does certify when he registers for benefits. 

When the applications and pay rate report are completed, the 

unemployment claims agent sends them to the nearest field office of the 

Board. That office inspects the applications to detect errors and 

omissions and to note items requiring investigation. The office also 

attempts to verify the employee's statement about his pay rate unless 

the unemployment claims agent has already done so. The application for 

unemployment benefits and the pay rate report are then sent to the 

appropriate regional office of the Board. The application for employment 

service is retained in the field office for use in referring the 

claimant to suitable job openings. On the basis of the information 

furnished on the application for unemployment benefits, the regional 

office determines whether the applicant is a qualified employee (that 

is, whether he earned $500 or more from covered employment in the base 

year). The applicant is notified by letter if he is found to be not 

qualified.

    (3) In addition to the application forms and pay rate report, the 

claimant executes a registration and claim for unemployment insurance 

benefits (Form UI-3). In substance, registration consists of his 

appearing before an unemployment claims agent during the agent's working 

hours and signing his name on the registration and claim form for the 

days he wishes to claim as days of unemployment. Registration for any 

day must be made on the day or not later than the sixth calendar day 

thereafter, except that, if such calendar day is not a business day, the 

claimant may make his registration on the next following business day. 

In other words, a claimant must ordinarily appear for registration at 

seven-



[[Page 158]]



day intervals. Under certain circumstances, such as illness, employment, 

looking for employment, etc., an employee may make a delayed 

registration for any day for which he is unable to register within the 

time limit mentioned above. The unemployment claims agent sends the 

claim to the nearest field office where it is inspected with a view to 

calling the claimant in for interview or referral to job openings, 

detecting errors and omissions, and noting items requiring 

investigation. The claim is then forwarded to the regional office.

    (4) Claims for sickness benefits are handled by the field 

organization of the Board. An employee need not register in person for 

sickness benefits but claims for such benefits must be made on the forms 

prescribed by the Board and executed by the individual claiming benefits 

except that, if the Board is satisfied that an employee is so sick or 

injured that he cannot sign forms, the Board may accept forms executed 

by someone else in his behalf. Forms used in connection with claims for 

sickness benefits may be obtained from a railroad employer, a railway 

labor organization, or any Board office. An application for sickness 

benefits (Form SI-1a) and the required statement of sickness (Form SI-

1b) may be mailed to any office of the Board (see part 335 of this 

chapter). It is important that a statement of sickness be filed 

promptly, for no day can be considered as a day of sickness unless a 

statement of sickness with respect to such day is filed at an office of 

the Board within ten days. The application and statement of sickness are 

forwarded to a regional office where they are examined. If it appears 

that the employee is entitled to benefits, the regional office will send 

him a claim form covering a 14-day registration period, and a pay rate 

report (Form SI-1d). The employee completes the forms, indicating on the 

claim form the days during the period he claims as days of sickness and 

returns both forms to the regional office to which the claim form is 

preaddressed. When additional medical information is needed, a form for 

supplemental doctor's statement is sent to the employee. This should be 

filled out by a doctor and returned to the Board.

    (5) Maternity benefits must be applied for on a form prescribed by 

the Board. A statement of maternity sickness, executed by a person 

authorized to execute statements of sickness (see part 335 of this 

chapter), is required also. The necessary forms may be obtained from a 

railroad employer, a railway labor organization, or any Board office. An 

application for maternity benefits (Form SI-101) and the statement of 

maternity sickness (Form SI-104) may be filed in person or by mail with 

any Board office. It is important that the statement of maternity 

sickness be filed promptly since no day can be considered as a day of 

sickness in a maternity period unless a statement of maternity sickness 

with respect to the day is filed at an office of the Board within ten 

days. As in the case of claims for sickness benefits, the forms are 

forwarded to a regional office. Claim forms are mailed to the claimant 

and are pre-addressed for return to the regional office.

    (6) Whether benefits are payable to a claimant and, if so, the 

amount of benefits payable, is determined with respect to claims for 

unemployment, sickness, and maternity benefits, by the regional office. 

The names and addresses of claimants to whom benefits are found payable, 

and the amounts payable to them, are certified to the local disbursing 

office of the Treasury Department which mails the benefit checks to the 

claimants. If a claim is denied in whole or in part, an explanation is 

given to the claimant by letter.

    (7) The rate at which benefits are payable is determined from the 

claimant's railroad wages earned in a base year period or from his daily 

pay rate for his last railroad employment in the base year period, 

whichever will result in the higher benefit rate. His daily benefit rate 

will be at least 60 per centum of his daily pay rate for his last 

railroad employment in the base year period, but not exceeding $10.20.

    (8) Any qualified employee whose claim for benefits under the 

Railroad Unemployment Insurance Act has been denied in whole or in part 

may, within one year from the date such denial is communicated to him, 

appeal from the initial determination, and such appeal



[[Page 159]]



will be heard before an impartial hearings officer. An unsuccessful 

claimant in an appeal before such hearings officer may appeal to the 

Board. (For further details of appeals procedure by claimants for 

benefits and for appeals procedure by employers, see parts 319 and 320 

of this chapter.)



Any claimant, or any railway labor organization organized in accordance 

with the provisions of the Railway Labor Act, of which the claimant is a 

member, or any other party aggrieved by a final decision pursuant to the 

Railroad Unemployment Insurance Act, may, only after all administrative 

remedies within the Board will have been availed of and exhausted, 

obtain a review of such final decision of the Board by filing a petition 

for review within 90 days after the mailing of notice of such decision 

to the claimant or other party, or within such further time as the Board 

may allow, in the United States court of appeals for the circuit in 

which the claimant or other party resides or will have had his principal 

place of business or principal executive office, or in the United States 

Court of Appeals for the Seventh Circuit, or in the United States Court 

of Appeals for the District of Columbia Circuit.

    (c) Current compensation and service records. Current compensation 

and service records are maintained by the Bureau of Research and 

Employment Accounts. These records are obtained from reports made 

periodically on either a quarterly or annual basis by employers and 

employee representatives. General instructions in this regard may be 

found in part 250 of this chapter. Special instructions to employers and 

employee representatives are issued from time to time by the Director of 

Research and Employment Accounts.

    (d) Collection of contributions. The Office of Budget and Fiscal 

Operations acts as the collecting agency of the Board in receiving 

contributions due under the Railroad Unemployment Insurance Act. 

Contributions are, with some few exceptions, due quarterly and with the 

payment, the employer must file a report, Form DC-1, Employers Quarterly 

or Annual Report of Contributions under the Railroad Unemployment 

Insurance Act. (For further details see part 345 of this chapter.)

    (e) Employment service. Employers needing workers may avail 

themselves of the Board's employment service by making requests of any 

field office for referrals, in writing, on forms provided by the Board, 

or by telephone.



[15 FR 6752, Oct. 6, 1950, as amended at 21 FR 4808, June 29, 1956; 

Board Order 62-115, 27 FR 9254, Sept. 19, 1962; Board Order 67-67, 32 FR 

9064, June 27, 1967; 41 FR 22557, June 4, 1976. Redesignated at 52 FR 

11010, Apr. 6, 1987, as amended at 55 FR 26430, June 28, 1990]