Part 401-Disclosure of Official Records and Information

Sec.

401.1

401.2

401.3

Prohibition against disclosure. Authority for refusal to disclose. 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.

§ 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 authorized 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 individual, and available information concerning 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 administration 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 identification.

(i) 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, unlawful 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 Security 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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§ 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 January 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

17 of the Railroad Retirement Act of 1937, approved June 24, 1937 (50 Stat. 317; 45 U. S. C. 228q) 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 Railroad 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