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Secretary of the Board shall have the indicated conflict brought to the attention of the employee or special Government employee, grant the employee or special Government employee an opportunity to explain the indicated conflict, and attempt to resolve the indicated conflict. If the indicated conflict cannot be resolved. the Secretary of the Board shall forward a written report on the indicated conflict to the Board. & 396.735–103 Disciplinary and other

remedial action. An employee or special Government employee of the Board who violates any of the regulations in this part or adopted under $ 396.735–101 may be disciplined. The disciplinary action may be in addition to any penalty prescribed by law for the violation. In addition to or in lieu of disciplinary action, remedial action to end conflicts or appearance of conflicts of interest may include but is not limited to:

(a) Changes in assigned duties;

(b) Divestment by the employee or special Government employee of his conflicting interest; or

(c) Disqualification for a particular assignment. & 396.735–104. Gifts, entertainment, and

favors. The Board authorizes the exceptions to 5 CFR 735.202(a) set forth in 5 CFR 735.202(b) (1)-(4). $ 396.735–105 Specific provisions gov

erning special Government employ

ees. (a) Special Government employees of the Board shall adhere to the standards of conduct applicable to employees as set forth in this part and adopted under § 396.735-101, except 5 CFR 735.203(b).

(b) Special Government employees of the Board may teach, lecture, or write in a manner not inconsistent with 5 CFR 735.203(c).

(c) Pursuant to 5 CFR 735.305(b), the Board authorizes the same exceptions concerning gifts, entertainment, and fa

vors for special Government employees as are authorized for employees by $ 396.735–104. $ 396.735–106 Statements of employ.

ment and financial interest. (a) Employees in the following named positions shall submit statements of employment and financial interest:

(1) Chief Executive Officer.

(2) Director of Bureau of Retirement Claims.

(3) Director of Unemployment and Sickness Insurance.

(4) Director of Bureau of Data Processing and Accounts.

(5) Director of Budget and Fiscal Operations.

(6) Director of Supply and Service.

(b) Each statement of employment and financial interest required by this section shall be submitted to the Secretary of the Board, 844 Rush Street, Chicago, Ill. 60611.

(c) An employee who feels that his position has been improperly included in this section as one requiring the submission of a statement of employment and financial interest may obtain a review of his complaint under the Board's grievance procedure. § 396.735–107 Supplementary state

ments. Notwithstanding the filing of the annual supplementary statement required by 5 CFR 735,406, each employee shall at all times avoid acquiring a financial interest that could result, or taking an action that would result, in a violation of the conflicts-of-interest provisions of section 208 of title 18, United States Code or the regulations in this part or adopted under $ 396.735–101. & 396.735–108 Statements of employ

ment and financial interest of special

Government employees. Pursuant to 5 CFR 735.412(c), special Government employees who are not consultants or experts as defined in 5 CFR 735.412(c) are not required to submit statements of employment and financial interest.

CHAPTER 111-SOCIAL SECURITY ADMINISTRATION, DEPARTMENT OF HEALTH,

EDUCATION, AND WELFARE

Part 401 404 405 422

).

Disclosure of official records and information.
Federal old-age, survivors and disability insurance (1950–
Federal health insurance for the aged (1965 ------).
Organization and Procedures.

PART 401-DISCLOSURE OF OFFICIAL has entered into an agreement to perRECORDS AND INFORMATION

form certain functions in the administra

tion of Title II or Title XVIII of the SoSec. 401.1 Prohibition against disclosure.

cial Security Act, which in any way re401.2 Authority for refusal to disclose. lates to, or is necessary to, or is used in 401.3 Information which may be disclosed or in connection with, the administration and to whom.

of the old-age, survivors, disability, or 401.4 Definitions.

health insurance programs conducted 401.5 Payment for information in general.

pursuant to Titles II and XVIII of the 401.6 Payment for Information in specific

Social Security Act, shall be made directcases.

ly or indirectly except as hereinafter auAUTHORITY: The provisions of this part thorized by this part or as otherwise ex401 issued under secs. 205, 1102, 49 Stat. 624,

pressly authorized by the Commissioner as amended, 647, as amended, sec, 1106, 53

of Social Security. Stat. 1398, as amended, sec. 290, 66 Stat. 234; 42 U.S.C. 405, 1802, 42 U.S.C. 1306, 8 U.S.C.

[32 F.R. 14892, Oct. 27, 1967) 1860.

§ 401.2 Authority for refusal to disclose. 8 401.1 Prohibition against disclosure. Any request or demand for any such

No disclosure of (a) any return or por file, record, report, or other paper, or tion of a return (including information information, disclosure of which is forreturns or other written statements) filed bidden by this part, shall be declined with the Commissioner of Internal Rev upon authority of the provisions of secenue under Title VIII of the Social Se

tion 1106 of the Social Security Act, and curity Act, the Federal Insurance Con

this part prescribed thereunder. If any tributions Act or the Self-Employment

officer or employee of the Department is Contributions Acts, or under regulations

sought to be required, by subpena or made under authority thereof, which has been transmitted to the Department of

other compulsory process, to produce Health, Education, and Welfare by the

such file, record, report, or other paper, Commissioner of Internal Revenue, or

or give such information, he shall re(b) any file, record, report, or other pa spectfully decline to present such file, per or any information obtained at any record, report, or other paper, or divulge time by or from the Department or any such information, basing his refusal officer or employee of the Department, or upon the provisions of law, and this part any person, agency, or organization with prescribed thereunder. whom the Social Security Administration [20 F.R. 5159, July 20, 1955)

§ 401.3 Information which may be dis the employ of the Department, consents closed and to whom.

to such disclosure, and (c) such discloDisclosure of any such file, record, re

sure is solely for the purpose of the care port, or other paper, or information, is

or treatment of such individual; or hereby authorized in the following cases

(iii) To such individual or his duly and for the following purposes:

authorized representative or to others for (a) (1) As to information (except

other than a Title XVIII purpose, a statemedical information) directly concern

ment limited to the nature of the illness ing any claimant or prospective claimant

or injury and the services rendered, for benefits or payments under Title II

when such information is necessary for or Title XVIII of the Social Security Act;

a determination as to what supplemen(i) To such claimant or prospective

tary benefits or services such individual claimant or his duly authorized repre

may be eligible to receive under a public sentative; or

or private hospital or medical insurance (ii) To others or to the public but only

or benefit program which is consistent if such claimant or prospective claimant

with the purposes and objectives of Title or his duly authorized representative

XVIII, if the source of such information authorizes disclosure of such informa

does not object to the disclosure, and in

th tion and such disclosure is consistent with

case of a disclosure to others than the proper and efficient administration

the individual or his duly authorized of the act; or

representative, only if the individual or (2) As to medical information direct

his duly authorized representative con

sents to such disclosure; or ly concerning any claimant or prospective claimant for benefits or payments

(4) Statements of earnings and mediunder Title II of the Social Security Act;

cal information authorized to be fur(i) To such claimant or prospective

nished under this paragraph may be furclaimant or his duly authorized repre

nished in summary form or in such detail sentative, but only if disclosure of such

as is determined by the Department to medical information is reasonably nec

be consistent with the proper and efficient essary for a Title II purpose; or

administration of the old-age, survivors, (i) To such claimant's or prospective

disability, and health insurance programs

under Titles II and XVIII. claimant's physician or to a medical institution at or of which such claimant

(b) After the death of an individual; or prospective claimant is a patient, but

(1) As to information concerning the only if (a) such claimant or prospective

fact, date, or circumstances of death of claimant or his duly authorized repre

the individual, to any person; or

(2) As to other information relating sentative consents to the disclosure of such information, (b) the source of

to the individual (except medical inforsuch information, or if such source is

mation), to a surviving relative or the not available, a physician in the employ

legal representative of the estate of the of the Department, consents to such dis

individual, or to others when necessary

for a determination as to what suppleclosure, and (c) such disclosure is solely for the purpose of the care or treatment

mentary benefits or services such deof such claimant or prospective claim

ceased individual was eligible to receive

under a public or private hospital or ant; or

medical insurance or benefit plan, where (3) As to medical information concerning an individual obtained in the

the individual had consented to such disadministration of Title XVIII;

closure prior to his death or the surviving (1) To such individual or his duly

relative or legal representative consents authorized representative, but only if

to such disclosure; or disclosure of such medical information (3) As to medical information relating is reasonably necessary for a Title XVIII to the individual and obtained in the purpose; or

administration of title II, to a surviving (ii) To such individual's physician or relative or legal representative of the to a medical institution at or of which estate of the individual, but only if dissuch individual is a patient, but only if closure of such medical information is (a) such individual or his duly author reasonably necessary for a title II purized representative consents to the dis pose; or closure of such information, (b) the (4) As to medical information relating source of such information, or if such to the individual and obtained in the adsource is not available, a physician in ministration of title XVIII,

(i) To a surviving relative or legal rep tributions Act, the Self-Employment resentative of the estate of the individual Contributions Acts, or the Federal Unwhen reasonably necessary for a title employment Tax Act, or any Federal XVIII purpose; or

income tax law, for the purpose of such (ii) To a surviving relative or legal administration only. representative of the estate of the in (e) Except in the case of medical individual or to others for other than a title formation relating to an individual, to XVIII purpose, when such information any oficer or employee of an agency of is necessary for a determination as speci the Federal Government or a State Govfied in paragraph (a) (3) (iii) of this sec ernment lawfully charged with the adtion, a statement limited to the nature of ministration of a Federal or State unthe illness or injury and the services employment compensation law

or rendered, if the source of such informa contribution or tax levied in connection tion does not object to the disclosure, therewith, for the purpose of such adand in the case of disclosure to others ministration only. than a surviving relative or legal repre (f) To any officer or employee of an sentative, only if the individual had con agency of the Federal Government lawsented to such disclosure prior to his fully charged with the administration of death or the surviving relative or legal a law providing for public assistance, or representative consents to such dis work relief, or pension, or retirement, or closure.

other benefit payments, only for the pur(5) Statements of earnings and medi pose of the proper administration of such cal information authorized to be fur law, or of the Social Security Act. Medinished under this paragraph may be fur cal information relating to an individual nished in summary form or in such detail and obtained in the administration of as is determined by the Department to Title II, may be furnished for such a purbe consistent with the proper and effi pose to such an officer or employee only cient administration of the old-age, sur upon consent of such individual or his vivors, disability, and health insurance duly authorized representative, and of programs under titles II and XVIII. the source of such information or, if None of the foregoing information under such source is not available, of a physithis paragraph (except information fur cian in the employ of the Department. nished for the purpose of determining Medical information relating to an inwhat benefits or services the deceased dividual and obtained in the administraindividual was eligible to receive under a tion of Title XVIII may be furnished if public or private hospital or medical in the source of such information does not surance or benefit program), shall be object to the disclosure and the individual disclosed except upon written request or his duly authorized representative stating the purpose thereof, and where consents to such disclosure. such disclosure is considered not detri (g) (1) To any officer or employee of mental to the individual or to his estate. an agency of a State government law

(c) To the employer or former em fully charged with the administration of ployer of an individual, the social secu a program receiving grants-in-aid under rity account number of the individual, Titles I, V, X, XIV, XVI, or XIX of the and a copy of a coverage or wage deter Social Security Act, information regardmination relating to the individual, or ing benefits paid to an individual or his a summary thereof setting forth the con entitlement to benefits under Title II of clusions reached and the reasons there the Social Security Act, or information for, if services for or wages paid by such with respect to entitlement of an individemployer or former employer are the ual or benefits provided him under Title subject of the determination. Any other XVIII of such act, and, if it has been information originally supplied by an determined, the date of birth of a employer may be furnished to him, upon recipient or applicant, and also whether written request stating the purpose

of disability has been established thereof, when eficient administration for such recipient or applicant, the beginpermits.

ning and ending date of such period, and (d) To any officer or employee of the the date determined to be the date of Treasury Department, or of the Depart onset of such disability, where such inment of Justice, of the United States, formation is necessary to enable the lawfully charged with the administration agency to determine the eligibility of or of Titles II, VIII, or IX of the Social Se the amount of benefits or services due curity Act, the Federal Insurance Con such recipient or applicant. Medical in

а

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