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CATALOG OF FEDERAL DOMESTIC ASSISTANCE

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Library of Congress No. 73-600118

SUGGESTED IDENTIFICATION:
1997 Catalog of Federal Domestic Assistance
Superintendent of Documents
Government Printing Office
Washington, DC 20402

The 1998 edition is sold on a subscription basis by the Superintendent of Documents, U.S. Government Printing Office, Washington, DC 20402. It consists of the basic manual and change as issued for one year. The order for the Catalog must be accompanied by a check or money order make payable to the Superintendent of Documents. Although the Catalog is published by the Office of Management and Budget and the General Services Administration, subscriptions for the Catalog are only available through the Government Printing Office (see Subscription Form in back of Catalog).

Service adjustments: For change of address, non-receipt, or discrepancies, send full details with latest mailing label to the address in the upper left corner of label.

RAILROAD RETIREMENT BOARD

57.001 SOCIAL INSURANCE FOR RAILROAD

WORKERS FEDERAL AGENCY: RAILROAD RETIREMENT BOARD AUTHORIZATION: Social Security Act of 1935, as amended, Public

Law 74-271, 49 Stat. 620, 42 U.S.C. 7, Subchapter 2; Railroad Unemployment Insurance Act, as amended, Public Law 75-722, 52 Stat. 1094, 45 U.S.C. 351-367; Railroad Retirement Act of 1974, as

amended, Public Law 93-445, 88 Stat. 1305, 45 U.S.C. 231-231u. OBJECTIVES: To pay rail social security, rail industry pensions, Fed

eral windfall benefits, supplemental annuities, permanent and occupational disability, and sickness and unemployment benefits to

workers and their families. TYPES OF ASSISTANCE: Direct Payments with Unrestricted Use. USES AND USE RESTRICTIONS: Under the provisions of the Rail

road Retirement Act and the Railroad Unemployment Insurance Act, benefits are provided for: (1) workers who retire because of age or disability; including supplemental annuities for long-service employees; (2) eligible spouses and divorced spouses of retired employees; (3) surviving widows, widowers, divorced spouses, children, and dependent parents of deceased employees; (4) unemployed workers; and (5) workers who are sick or injured. In addition, the Railroad Retirement Board participates in the administration of the Federal medical health insurance program for the aged and the disabled, which covers railroad retirement beneficiaries on

the same basis as other eligible persons. ELIGIBILITY REQUIREMENTS: Applicant Eligibility: Under the Railroad Retirement Act, for em

ployee, spouse and survivor benefits the employee must have had 10 or more years of railroad service. For survivors to be eligible for benefits, the employee must also have been insured at death. Under the Railroad Unemployment Insurance Act, an employee must have earned at least $2,162.50 in railroad wages in calendar year 1996, $2,225.00 in calendar year 1997 and $2,312.50 in calendar year 1998 (counting no more than $865 in any month in calendar year 1996, $890 in calendar year 1997 and $925 in calendar year 1998) and, if a new employee, must have worked for a railroad at least five months in a calendar (base) year to be a qualified

employee in the applicable benefit year. Beneficiary Eligibility: Individuals, families, pension recipients. Credentials/Documentation: Proof of age for retirement benefits;

proof of marriage for spouse's or survivor's benefits; medical evidence for disability or sickness benefits; registration for proof of unemployment; proof of relationship; proof of military service;

and other proofs as required by law. APPLICATION AND AWARD PROCESS:

Preapplication Coordination: None.
Application Procedure: Application for retirement, disability, survi-

vor, unemployment or sickness benefits should be made to any

office of the Railroad Retirement Board. Award Procedure: The Office of Programs makes awards under the

Railroad Retirement Act and the Railroad Unemployment Insur

ance Act. Deadlines: Benefits not payable earlier than specified period prior to

application, varying with type of benefits; insurance lump-sum death payments application deadline is two years after employee's death. Applicants may contact any Railroad Retirement Board Office to obtain information relative to a specific type of benefit administered under the Railroad Retirement Act or the Railroad Unemployment Insurance Act.

Range of Approval/Disapproval Time: Varies depending upon com

plexity of claim. Appeals: Initial appeals are made to the Bureau of Hearings and Ap

peals. Subsequent appeals from initial determinations may be made

to the Board and ultimately to the U.S. Court of Appeals. Renewals: Not applicable. ASSISTANCE CONSIDERATIONS:

Formula and Matching Requirements: Not applicable.

Length and Time Phasing of Assistance: Not applicable. POST ASSISTANCE REQUIREMENTS: Reports: Various conditions explained on the benefit application cer

tification form as affecting eligibility, e.g., earnings, marriage, divorce, recovery from disability, return to employer service, should

be reported. Audits: Not applicable.

Records: Not applicable. FINANCIAL INFORMATION: Account Identification: 60-8011-0-7-601; 60-8010-0-7-601; 60-8012-0

7-601; 60-8051-0-7-603; 60-0111-0-1-601; 60-0113-0-1-601. Obligations: (Benefit Payments) FY 97 $8,289,000,000; FY 98 est

$8,405,000,000; and FY 99 est $8,437,000,000. Range and Average of Financial Assistance: (1) Employee age annu

ities-monthly maximum $2,476 average $1,223; (2) employee disability-monthly maximum $2,450, average $1,291; (3) employee supplemental annuities-monthly maximum $70, average $43; (4) spouse benefits-monthly maximum $1,181, average $491; (5) widows and widowers monthly maximum $1,916, average $737; (6) widowed mothers and fathers monthly maximum $1,581, average $916; (7) children-monthly maximum $1,409, average $627; (8) unemployment and sickness-weekly maximum for benefit year

1998-99 $220, expected average $220. PROGRAM ACCOMPLISHMENTS: In fiscal year 1997, benefits

were paid to an estimated 830,000 retirees and their families, survivors of deceased railroad workers, and unemployed or sick railroad workers. Under the provisions of the Railroad Retirement Act, in fiscal year 1997, there were 41,309 applications for benefits and 39,840 awards made. Under the provisions of the Railroad Unemployment Insurance Act, in benefit year 1996-1997, there

were 46,970 applications for benefits and 34,375 beneficiaries paid. REGULATIONS, GUIDELINES, AND LITERATURE: A series of

free leaflets is available from the Office of Public Affairs, Railroad

Retirement Board. INFORMATION CONTACTS: Regional or Local Office: Colorado: Louis E. Austin, 1999 Broad

way, Suite 3300 Box 7, Denver, CO 80202-5737, Telephone: (303) 844-0800; Georgia: Patricia Lawson, 401 W. Peachtree St., Suite 1703, Atlanta, GA 30365-2550, Telephone: (404) 331-2691; Pennsylvania: Richard D. Baird, 1421 Cherry Street, Suite 670, Phila

delphia, PA 19102-1413. Telephone: (215) 656-6947. Headquarters Office: Public Affairs, Railroad Retirement Board, 844

North Rush Street, Chicago, IL 60611-2092. Telephone: (312) 751

4777, Contact: William Poulos. RELATED PROGRAMS: 17.225, Unemployment Insurance; 17.302,

Longshore and Harbor Workers' Compensation; 93.773, Medi
care—Hospital Insurance; 93.774, Medicare—Supplementary Med-
ical Insurance; 96.001, Social Security-Disability Insurance;
96.002, Social Security—Retirement Insurance; 96.003, Social Se-
curity-Special Benefits for Persons Aged 72 and Over; 96.004,

Social Security-Survivors Insurance.
EXAMPLES OF FUNDED PROJECTS: Not applicable.
CRITERIA FOR SELECTING PROPOSALS: Not applicable.

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SECURITIES AND EXCHANGE COMMISSION

58.001 SECURITIES—INVESTIGATION OF COMPLAINTS AND SEC INFORMATION

(Complaints and Inquiries)

FEDERAL AGENCY: SECURITIES AND EXCHANGE COMMIS

SION AUTHORIZATION: Securities Act of 1933, Public Law 73-22, 15

U.S.C. 77a et seq.; Securities Exchange Act of 1934, Public Law 73-291, 15 U.S.C. 78a to 78jj, as amended, Public Laws 92-29 and 94-29; Public Utility Holding Company Act of 1935, Public Law 74-333, 15 U.S.C. 79 to 792-6; Trust Indenture Act of 1939, Public Law 76-253, 15 U.S.C. 77aaa to 77bbbb; Investment Company Act of 1940, Public Law 76-768, 15 U.S.C. 80a-1 to 80a-52; Investment Advisers Act of 1940, 15 U.S.C. 80b-1 to 806-21; National Bankruptcy Act, Chapter X, Public Law 75-696, 11 U.S.C. 501-676; Securities Investor Protection Act of 1970, Public Law 91-598, 15

U.S.C. 78aaa, as amended, Public Law 95-283. OBJECTIVES: To provide assistance to investors in their dealings

with the securities industry by processing complaints received from individual investors and insuring that registered entities process such complaints. To increase public knowledge of the functions of the S.E.C. To advise the Commission and staff about problems frequently encountered by investors and possible solutions. To represent the interests of individual investors in connec

tion with Commission rule-making proceedings. TYPES OF ASSISTANCE: Dissemination of Technical Information;

Investigation of Complaints. USES AND USE RESTRICTIONS: Investor complaints are an impor

tant source of information about possible securities laws violations and they assist the Commission in its law enforcement and regulatory functions. Persons who believe they have been defrauded in their securities transactions should advise the Commission so that it may take appropriate regulatory action. The public is cautioned, however, that the Commission is not a collection agency; it does not advise investors whether particular transactions about which they may have complained are violative of the Federal securities laws, nor seek recovery in their behalf through court action or otherwise. However, such laws do provide important remedies to investors who may have been defrauded, and investors should consider seeking the advice of an attorney as to any recourse

available to them if they believe they have been defrauded. ELIGIBILITY REQUIREMENTS: Applicant Eligibility: Anyone may seek information from or file a

complaint with the Securities and Exchange Commission. Beneficiary Eligibility: The Commission's actions are designed to

protect not only those who seek its help directly, but also all other similarly situated investors and the general public. Moreover, the Commission's public files contain financial and other information about several thousand companies, broker-dealers, investment companies, investment advisers, transfer agents, and banks. Any member of the public may examine such material at the Commission's headquarters office in Washington, DC, and its regional offices in New York, and Chicago, or he or she may order copies of the material by writing to the headquarters office (c/o Public Reference Branch, Mail Stop 1-2). The Commission also maintains its own “home page” on the Internet's World Wide Web (the address is http://www.sec.gov) where members of the public can retrieve and review public files containing financial and other information about public companies whose securities are registered with the Commission. Also, investors who believe they have been defrauded, or believe that another party has violated the Federal securities laws are urged to present their complaint and/or information to the Commission for use in its enforcement and regulatory activities. A public action taken by the Commission does not necessarily result in any monetary benefits to investors. However, an

aggrieved investor may find the information disclosed by the Commission in its actions helpful in any private action he or she

may bring to recover his or her losses. Credentials/Documentation: Not applicable. APPLICATION AND AWARD PROCESS:

Preapplication Coordination: None.
Application Procedure: Contact any regional office Investor Assist-

ance Specialist staff or the headquarters Office of Investor Educa

tion and Assistance.
Award Procedure: Not applicable.
Deadlines: None.
Range of Approval/Disapproval Time: Not applicable.
Appeals: Not applicable.

Renewals: Not applicable.
ASSISTANCE CONSIDERATIONS:

Formula and Matching Requirements: Not applicable.

Length and Time Phasing of Assistance: Not applicable.
POST ASSISTANCE REQUIREMENTS:

Reports: Not applicable.
Audits: Not applicable.

Records: Not applicable.
FINANCIAL INFORMATION:

Account Identification: 50-0100-0-1-376.
Obligations: (Salaries and expenses) FY 97 $305,400,000; FY 98 est

$317,412,000; and FY 99 est $341,098,000. Range and Average of Financial Assistance: Not applicable. PROGRAM ACCOMPLISHMENTS: A total of 46,058 complaints

were closed in fiscal year 1997. During the first quarter of fiscal

year 1998, 9,883 were closed. REGULATIONS, GUIDELINES, AND LITERATURE: The most

popular publications are: “The Work of the Securities and Exchange Commission," a detailed discussion of the functions of the SEC; “What Every Investor Should Know," a handbook on securities and monitoring your account; “Ask Questions, Questions You Should Ask About Your Investments,” and “Invest Wisely: Advice from Your Securities Regulators”; and “Invest Wisely: An Introduction to Mutual Funds”. Copies of these and a list of other publications may be obtained from the Securities and Exchange Commission, Office of Administrative Services, Printing Branch, Mail Stop C-11, Washington, DC 20549 or by calling 1-800-7320330, by e-mail at publicinfo@sec.govor on the internet at

www.sec.gov.invkhome.htm. INFORMATION CONTACTS: Regional or Local Office: Regional Offices: Joanne Morris, Dolores

Grayson and Janis A. Leyden, 5670 Wilshire Boulevard, 11th Floor, Los Angeles, CA 90036-3648, (213) 965-3998; Rhonda Erickson and Lucille V. Casias, Suite 4800, 1801 California Street, Denver, CO 80202-2648, (303) 391-6821; Cecelee Smith-Griffin and Vivian Stephens, Suite 1400, Citicorp Center, 500 West Madison Street, Chicago, IL 60661-2511, (312) 353-7390; Doreen K. Mosaphir, Suite 200, 1401 Brickell Avenue, Miami, FL 33131, (305) 982-6301; Robert L. Anthony, Sandy Sadwin, Barbara Siesto, and Barbara Smith, 7 World Trade Center, Suite 1300, New York, NY 10048, (212) 748-8051. District Offices: June Za. loumis and Cheryl M. Lawson, 44 Montgomery Street, Suite 1100, San Francisco, CA 94104, (415) 705-2500; Vellamaray Graham, Suite 1000, 3475 Lenox Road, NE, Atlanta, GA 30326-1232, (404) 842-7600; Margaret Lohman, 73 Tremont Street, Boston, MA 02108-3912, (617) 424-5900; Barbara Ray, Suite 800, 801 Cherry Street, Fort Worth, TX 76102, (817) 978-6465; Nancy Depasquale, The Curtis Center, Suite 1005-E, Independence Square West, 601 Walnut Streets, Philadelphia, PA 19106, (215) 597-2278; Key BankTower, Suite 500, 50 South Main Street, Box 79, Salt Lake

City, UT 84144-0402, (801) 524- 5796. Headquarters Office: Office of Investor Education and Assistance,

Securities and Exchange Commission, 450 Fifth Street, NW, Stop

11-2, Washington, DC 20549; Telephone: (202) 942-7040; Facsimi

le: (202) 942-9634. RELATED PROGRAMS: 36.001, Fair Competition Counseling and In

vestigation of Complaints; 93.002, Consumer Affairs. EXAMPLES OF FUNDED PROJECTS: Not applicable. CRITERIA FOR SELECTING PROPOSALS: Not applicable.

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