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CHAPTER III—BUREAU OF OLD AGE AND SURVIVORS INSURANCE, SOCIAL SECURITY ADMINISTRATION

FEDERAL SECURITY AGENCY'

Cross References: Employees' and employers' taxes under Federal Insurance Contributions

Act: See Bureau of Internal Revenue, 26 CFR Part 402. Excise tax on employers under Federal Unemployment Tax Act: See Bureau of Internal

Revenue, 26 CFR Part 403. Regulations under the Railroad Retirement Act: See Chapter II of this title. Veterans Administration: See Pensions, Bonuses, and Veterans' Relief, 38 CFR Chapter I.

Note: Other regulations issued by the Federal Security Agency appear in Chapters I, IV, and V of this title, Title 21, Chapter 1, Title 42, and Title 45.

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Part 401—Disclosure of Official

Records and Information Sec. 401.1 Prohibition against disclosure. 401.2 Authority for refusal to disclose. 401.3 Information which may be disclosed

and to whom. 401.4 Definitions.

AUTHORITY: $$ 401.1 to 401.4 Issued under sec. 1102, 49 Stat. 647, as amended; 42 U. S. C. 1302. Interpret or apply sec. 1106, 53 Stat. 1398; 42 U. S. C. 1306.

SOURCE: $$ 401.1 to 401.4 contained in Regulations 1, as amended, 13 F. R. 9326.

$ 401.1 Prohibition against disclosure. No disclosure of any return or portion of a return (including information returns or other written statements) filed with the Commissioner of Internal Revenue under Title VIII of the Social Security Act or the Federal Insurance Contributions Act or under regulations made under authority thereof, which has been trans

mitted to the Federal Security Agency by the Commissioner of Internal Revenue, or of any file, record, report, or other paper or any information, obtained at any time by the Agency or by any officer or employee of the Agency, which in any way relates to, or is necessary to, or is used in or in connection with, the administration of the old-age and survivors insurance program conducted pursuant to Title II of the Social Security Act, shall be made directly or indirectly except as hereinafter authorized by this part or as otherwise expressly authorized by the Commissioner for Social Security.

$ 401.2 Authority for refusal to disclose. Any request or demand for any such file, record, report, or other paper, or information, disclosure of which is forbidden by this part, shall be declined upon authority of the provisions of section 1106 of the Social Security Act, and this part prescribed thereunder. If any member, officer, or employee of the Agency is sought to be required, by subpena or other compulsory process, to produce such file, report, or other paper, or give such information, he shall respectfully decline to present such file, record, report, or other paper, or divulge such information, basing his refusal upon the provisions of law, and this part prescribed thereunder.

* Includes regulations governing administration of the old age and survivors insurance program by the Bureau of Old Age and Survivors Insurance and by the Appeals Council in the Social Security Administration, the agency charged by the Federal Security Administrator with the conduct of hearings under Title II of the Social Security Act.

§ 401.3 Information which may be disclosed and to whom. Disclosure of any such file, record, report, or other paper, or information, is hereby authorized in the following cases and for the following purposes:

(a) As to matters directly concerning any claimant or prospective claimant for benefits or payments under Title II of the Social Security Act, to such claimant or prospective claimant or his duly au. thorized representative; or upon authorization by such claimant or prospective claimant, or his duly authorized representative, to others or to the public, when consistent with the proper and efficient administration of the act. However, statements of wage information may be furnished in such summary form as may be administratively deemed appropriate to the conduct of the oldage and survivors insurance program under Title II; any request for wage information which is not reasonably necessary for a Title II purpose may be refused.

(b) After death of an individual and when efficient administration permits such disclosure, any information relating to the individual may be furnished to a surviving relative or to the legal representative of the estate of the indi. vidual, and available information con. cerning the fact, date, or circumstances of death of the individual may be disclosed to any person, upon written request stating the purpose thereof, where such disclosure is considered not detrimental to the individual or to his estate.

(c) To the employer or former employer of an individual, the social security account number of the individual, and a copy of a coverage or wage determination relating to the individual, or a summary thereof setting forth the conclusions reached and the reasons therefor, if services for or wages paid by such employer or former employer are the subject of the determination. Any other information originally supplied by

an employer may be furnished to him, upon written request stating the purpose thereof, when efficient administration permits.

(d) To any officer or employee of the Treasury Department, or of the Department of Justice, of the United States, lawfully charged with the administra. tion of Titles II, VIII, or IX of the Social Security Act, the Federal Insurance Contributions Act, or the Federal Unemployment Tax Act, or any Federal income tax law, for the purpose of such administration only.

(e) To any officer or .employee of an agency of the Federal Government or a State government lawfully charged with the administration of a Federal or State unemployment compensation law or contribution or tax levied in connection therewith, for the purpose of such administration only.

(f) To any officer or employee of an agency of the Federal Government lawfully charged with the administration of a law providing for public assistance, or work relief, or pension, or retirement, or other benefit payments, only for the purpose of the proper administration of such law, or of the Social Security Act.

(g) To any officer or employee of an agency of a State government lawfully charged with the administration of a program receiving aid under the Vocational Rehabilitation Act or Title I, IV, V, or X of the Social Security Act, information regarding benefits paid or entitlement to benefits under Title II of the Social Security Act and, if it has been determined, the date of birth of a recipient or applicant, where such information is necessary to enable the agency to determine the eligibility of or the amount of benefits or services due such recipient or applicant.

(h) To a Federal, State, municipal, or hospital official upon written request stating that he has the name or social security account number of a deceased or insane person or a person suffering from amnesia or who is unconscious or in a state equivalent thereto, but cannot establish such person's identity, such identifying data as is available relative to such person which may be determined by the proper officer of the Agency to be necessary to assist the requesting officer or agency to make the required identifcation.

(1) To any officer, agency, establishment, or department of the Federal Gov.

ernment, charged with the duty of conducting an investigation or prosecution, for the purpose of such an investigation or prosecution involving:

(1) An inquiry to determine whether there has been a violation of any provision of the Social Security Act, the Federal Insurance Contributions Act, the Federal Unemployment Tax Act, or any Federal income tax law, or of any regulation or procedure in effect thereunder, provided such violation is punishable as a crime under any of such laws or under any other Federal statute imposing criminal penalties; or

(2) An inquiry to determine whether any action of a member, officer, or employee of the Agency relating to the administration of the Social Security Act was attempted or effected with intent to defraud the United States; or

(3) An inquiry with respect to an alleged theft, forgery, alteration, unlaw. ful negotiation, or destruction of a check issued for a benefit under Title II of the Social Security Act; or

(4) Until the date of termination of World War II, an inquiry relating to the commission of an act of espionage or sabotage inimical to the national security: Provided, That such information shall be disclosed only to the Federal Bureau of Investigation of the Department of Justice and only upon written certification by a central office official thereof that the information requested is required in an investigation of major importance.

(j) Any record or information may be disclosed when such disclosure is necessary in connection with any claim or other proceeding under the Social Secu

Act and is necessary for the proper performance of the duties of any officer or employee of the Agency.

(k) Nothing contained in this part shall preclude the disclosure of statistical data or other similar information not relating to any particular person.

(1) The Commissioner may from time to time prescribe instructions as to the manner of disclosure of the foregoing information.

(m) Disclosure of any return, file, record, report, or other paper or information, not relating or necessary to, or used in or in connection with, the administration of the old-age and survivors insurance program conducted pursuant to

Title II of the Social Security Act, shall not be subject to the limitation on disclosure in section 1106 of the act and shall be made only in accordance with policies prescribed by the Commissioner.

$ 401.4 Definitions. As used in this part the term:

(a) "Claimant" includes a person who files application on his own behalf or as guardian of an infant or legal representative of an incompetent, or on whose behalf some other person files application, for monthly benefits or a lump-sum death payment;

(b) "Prospective claimant" includes a living wage earner, the legal representative of an incompetent wage earner, the guardian of an infant, the next of kin of a deceased wage earner, any other person who is equitably entitled, by reason of having paid, in whole or part, the burial expenses of the deceased wage earner, or the legal representative of such next of kin or equitably entitled person;

(c) “Authorized representative" includes any individual authorized by the claimant or prospective claimant to request or receive information or to act on behalf of the claimant or prospective claimant;

(d) “Legal representative" includes any individual appointed by a court or otherwise authorized by law to act on behalf of a claimant or a prospective claimant;

(e) “Date of termination of World War II” means the date after July 25, 1947, proclaimed by the President as the date of such termination, or the date after July 25. 1947, specified in a concurrent resolution of the two Houses of Congress as the date of such termination, whichever is the earlier.

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Subpart H-Definitions

Subpart C—Basic Computation of Benefits and

Lump Sums Sec. 403.301 Primary insurance benefit defined. 403.302 Average monthly wage. 403.303 Time of computation of primary in

surance benefit. 403.304 Recomputation of benefits.

GENERAL DEFINITIONS Sec. 403.801 General definitions and use of terms.

Subpart D-Old-Age and Survivors Insurance

Benefit Payments 403.401 General effect of section 202 of the

act. 403.402 Primary insurance benefits. 403.403 Wife's insurance benefits. 403.404 Child's insurance benefits. 403.405 Widow's insurance benefits. 403.406 Widow's current insurance benefits. 403.407 Parent's insurance benefits. 403.408 Lump-sum death payments. 403.409 Effect of felonious homicide.

Subpart Reduction and Increase of Insurance

Benefits and Deductions from Benefits and

Lump-Sum Death Payments 403.501 Modification in amount of benefits

and lump-sum death payments. 403.502 Reductions and increases of benefits. 403.503 Deductions because of employment,

etc. 403.504 Additional deductions. 403.505 Deductions because of lump-sum

payments under original act and failure to pay taxes.

EMPLOYMENT 403.802 Employment prior to January 1,

1940. 403.803 Employment after December 31,

1939. 403.804 Who are employees. 403.805 Who are employers. 403.806 Excepted services in general. 403.807 Included and excluded services. 403.808 Agricultural labor. 403.809 Domestic service. 403.810 Casual labor not in the course of

employer's trade or business. 403.811 Family employment. 403.812 Vessel not an American vessel. 403.813 United States and instrumentall

ties thereof. 403.814 States and their political subdivi

sions and instrumentalities. 403.815 Religious, charitable, scientific, 11t

erary, and educational organiza

tions and community chests. 403.816 Railroad industry; employees and

employee representatives under section 1532 of the Internal Reve

nue Code, as amended. 403.817 Organizations exempt from income

tax. 403.818 Agricultural and horticultural or

ganizations exempt from income

tax. 403.819 Voluntary employees' beneficiary

associations. 403.820 Federal employees' beneficiary asso

ciations. 403.821 Students employed by schools, col

leges, or universities not exempt

from income tax. 403.822 Foreign governments. 403.823 Wholly owned instrumentalities of

a foreign government. 403.824 Student nurses and hospital in.

terns. 403 825 Fishing. 403.826 Delivery and distribution of news

papers, shopping news, and maga

zines. 403.826a International organization,

Subpart Overpayments and Underpayments 403.601 Overpayments and underpayments. 403.602 Waiver of adjustment or recovery. 403.603 Liability of certifying officer.

Subpart G—Procedures 403.701 Filing of applications and other

forms. 403.702 Supporting evidence as to right to

receive benefits and lump sums. 403.703 Wage records. 403.704 Abandonment and withdrawal of

applications and requests for

wage-record revisions. 403.705 Persons to whom payments are

made. 403.706 Initial determination. 403.707 Reconsideration or hearing. 403.708 Reconsideration. 403.709 Hearing. 403.710 Appeals Council proceedings on cer

tification and review. 403.711 Extension of time and revision. 403.711a Hearing and review in cases involy

Ing wartime maritime services in the employ of the United States and certain services in the employ of the Bonneville Power Adminis

trator. 403.712 Certification of payments. 403.713 Representation of parties.

WAGES

403.827 Wages. 403.828 Exclusions from wages.

FAMILY RELATIONSHIPS 403.829 Applicable State law and status. 403.830 Definition of "wife." 403.831 Definition of "widow." 403.832 Definition of "child." 403.833 Definition of "parent." 403.834 Definition of "living with"; wife or

widow. 403.835 Definition of "living with"; widower.

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Subpart K-Interrelationship of Old-Age and

Survivors Insurance Program With the Railroad Retirement Program 403.1101 General relationship of Railroad

Retirement Act with the old-age and survivors insurance program

of the act. 403.1102 Effect of eligibility under section 5

of the Railroad Retirement Act. 403.1103 Types of quarters of coverage. 403.1104 Effect of Railroad Retirement Act

on insured status and computa

tion of benefits and lump sums. AUTHORITY: $ $ 403.1 to 403.1104 issued under sec. 1102, 49 Stat. 647, as amended; 42 U.S. C. 1302. Statutory provisions interpreted or applied are cited to text in parentheses.

Social Security Act. Similarly, section 17 of the Railroad Retirement Act of 1937, approved June 24, 1937 (50 Stat. 317; 45 U. S. C. 2289) excludes service performed by an individual as an employee, as defined in such act, from employment under such Title II. The coverage provisions of section 1 of the Rallroad Retirement Acts of 1935 and 1937, which affect the exclusion from employment under such Title II of the Social Security Act, were retroactively amended by Joint Resolution of June 11, 1940 (54 Stat. 264; 45 U. S. C. 215–228), and act of August 13, 1940 (54 Stat. 785; 45 U.S. C. 151 notes) (which relates to coalmining operations). Such coverage provisions of the Railroad Retirement Act of 1937 were also retroactively amended by section 13 of the act of April 8, 1942 (56 Stat. 209; 45 U. S. C. 228a).

(iii) Section 902 (f) of the Social Security Act Amendments of 1939, approved August 10, 1939 (53 Stat. 1400; 42 U. S. C. 1011 note, 1107 note), provides, in part, that no payment shall be made under such Title II with respect to services performed prior to January 1, 1940, in the employ of foreign governments and certain of their instrumentalities.

(iv) Section 902 (g) of the Social Security Act Amendments of 1939 (53 Stat. 1400) provides that no lump-sum payment shall be made under the provisions of section 204 of such Title II after August 10, 1939, except to the estate of an individual who dies prior to January 1, 1940.

(v) Section 2 of the act of August 11, 1939 (53 Stat. 1420; 26 U.S. C. 1410 note), provides, in part, that no payment shall be made under such Title II with respect to certain services rendered prior to January 1, 1940, in salvaging timber or clearing debris left by a hurricane.

(2) Regulations. Regulations relating to the benefits provided for under Title II of the Social Security Act, as approved August 14, 1935, and as amended or affected by the statutes set forth in subparagraph (1) of this paragraph, are set forth in Regulations No. 2 as amended from time to time (20 CFR, 1938 Ed. and Supps., Part 402).

(b) Title II of the Social Security Act, as amended effective January 1, 1940, and thereafter, and regulations of the Social Security Administration thereunder-(1) Statutes-(i) The Social Security Act Amendments of 1939 (53 Stat. 1360; 42 U. S. C. Ch. 7), approved August

INTRODUCTORY § 403.1 Chronological description of pertinent statutes and regulations. This section describes, chronologically, the statutes forming the basis for the old-age and survivors insurance system under Title II of the Social Security Act, as amended, and the regulations which have been issued thereunder.

(a) Title II of the Social Security Act, and amendments effective prior to Jana uary 1, 1940, and regulations of the Social Security Administration thereunder-(1) Statutes-(i) Title II of the Social Security Act, approved August 14, 1935 (49 Stat. 622; 42 U. S. C. 401-410a), provided in sections 202 to 210 for old-age benefits payable in lump sums beginning January 1, 1937, and for old-age benefits payable monthly, beginning January 1, 1942.

(ii) Section 15 of the Railroad Retirement Act of 1935, approved August 29, 1935 (49 Stat. 974; 45 U. S. C. 215), excludes service performed in the employ of a carrier, as defined in such act, from employment on the basis of which benefits were payable under such Title II of the

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