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 favors for special Government employees as are authorized for employees by § 396.735-104.

§ 396.735-106 Statements of employment 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.

Part

401

404

405

422

AUTHORITY: The provisions of this Part 401 issued under secs. 205, 1102, 49 Stat. 624, as amended, 647, as amended, sec. 1106, 53 Stat. 1398, as amended, sec. 290, 66 Stat. 234; 42 U.S.C. 405, 1302, 42 U.S.C. 1306, 8 U.S.C. 1360.

§ 401.1 Prohibition against disclosure.

No disclosure of (a) 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, the Federal Insurance Contributions Act or the Self-Employment Contributions Acts, or under regulations made under authority thereof, which has been transmitted to the Department of Health, Education, and Welfare by the Commissioner of Internal Revenue, or (b) any file, record, report, or other paper or any information obtained at any time by or from the Department or any officer or employee of the Department, or any person, agency, or organization with whom the Social Security Administration

has entered into an agreement to perform certain functions in the administration of Title II or Title XVIII of the Social Security Act, which in any way relates to, or is necessary to, or is used in or in connection with, the administration of the old-age, survivors, disability, or health insurance programs conducted pursuant to Titles II and XVIII 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 of Social Security.

[32 F.R. 14892, Oct. 27, 1967] § 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 officer or employee of the Department is sought to be required, by subpena or other compulsory process, to produce such file, record, 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.

[20 F.R. 5159, July 20, 1955]

§ 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) (1) As to information (except medical information) directly concerning any claimant or prospective claimant for benefits or payments under Title II or Title XVIII of the Social Security Act;

(i) To such claimant or prospective claimant or his duly authorized representative; or

(ii) To others or to the public but only if such claimant or prospective claimant or his duly authorized representative authorizes disclosure of such information and such disclosure is consistent with the proper and efficient administration of the act; or

(2) As to medical information directly concerning any claimant or prospective claimant for benefits or payments under Title II of the Social Security Act;

(i) To such claimant or prospective claimant or his duly authorized representative, but only if disclosure of such medical information is reasonably necessary for a Title II purpose; or

(ii) To such claimant's or prospective claimant's physician or to a medical institution at or of which such claimant or prospective claimant is a patient, but only if (a) such claimant or prospective claimant or his duly authorized representative consents to the disclosure of such information, (b) the source of such information, or if such source is not available, a physician in the employ of the Department, consents to such disclosure, and (c) such disclosure is solely for the purpose of the care or treatment of such claimant or prospective claimant; or

(3) As to medical information concerning an individual obtained in the administration of Title XVIII;

(i) To such individual or his duly authorized representative, but only if disclosure of such medical information is reasonably necessary for a Title XVIII purpose; or

(ii) To such individual's physician or to a medical institution at or of which such individual is a patient, but only if (a) such individual or his duly authorized representative consents to the disclosure of such information, (b) the source of such information, or if such source is not available, a physician in

the employ of the Department, consents to such disclosure, and (c) such disclosure is solely for the purpose of the care or treatment of such individual; or

(iii) To such individual or his duly authorized representative or to others for other than a Title XVIII purpose, a statement limited to the nature of the illness or injury and the services rendered, when such information is necessary for a determination as to what supplementary benefits or services such individual may be eligible to receive under a public or private hospital or medical insurance or benefit program which is consistent with the purposes and objectives of Title XVIII, if the source of such information does not object to the disclosure, and in the case of a disclosure to others than the individual or his duly authorized representative, only if the individual or his duly authorized representative consents to such disclosure; or

(4) Statements of earnings and medical information authorized to be furnished under this paragraph may be furnished in summary form or in such detail as is determined by the Department to be consistent with the proper and efficient administration of the old-age, survivors, disability, and health insurance programs under Titles II and XVIII.

(b) After the death of an individual; (1) As to information (except medical information) relating to the individual, to a surviving relative or the legal representative of the estate of the individual, or to others when necessary for a determination as to what supplementary benefits or services such deceased individual was eligible to receive under a public or private hospital or medical insurance or benefit plan, where the individual had consented to such disclosure prior to his death or the surviving relative or legal representative consents to such disclosure, except that available information concerning the fact, date, or circumstances of death of the individual may be disclosed to any person, without authorization; or

(2) As to medical information relating to the individual and obtained in the administration of Title II, to a surviving relative or legal representative of the estate of the individual, but only if disclosure of such medical information is reasonably necessary for a Title II purpose; or

(3) As to medical information relating to the individual and obtained in the administration of Title XVIII;

(i) To a surviving relative or legal representative of the estate of the individual when reasonably necessary for a Title XVIII purpose; or

(ii) To a surviving relative or legal representative of the estate of the individual or to others for other than a Title XVIII purpose, when such information is necessary for a determination as specified in paragraph (a) (3) (iii) of this section, a statement limited to the nature of the illness or injury and the services rendered, if the source of such information does not object to the disclosure, and in the case of disclosure to others than a surviving relative or legal representative, only if the individual had consented to such disclosure prior to his death or the surviving relative or legal representative consents to such disclosure.

(4) Statements of earnings and medical information authorized to be furnished under this paragraph may be furnished in summary form or in such detail as is determined by the Department to be consistent with the proper and efficient administration of the oldage, survivors, disability, and health insurance programs under Titles II and XVIII. None of the foregoing information under this paragraph (except information furnished for the purpose of determining what benefits or services the deceased individual was eligible to receive under a public or private hospital or medical insurance or benefit program), shall be disclosed except upon written request stating the purpose thereof, and 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 Con

tributions Act, the Self-Employment Contributions Acts, or the Federal Unemployment Tax Act, or any Federal income tax law, for the purpose of such administration only.

(e) Except in the case of medical information relating to an individual, 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. Medical information relating to an individual and obtained in the administration of Title II, may be furnished for such a purpose to such an officer or employee only upon consent of such individual or his duly authorized representative, and of the source of such information or, if such source is not available, of a physician in the employ of the Department. Medical information relating to an individual and obtained in the administration of Title XVIII may be furnished if the source of such information does not object to the disclosure and the individual or his duly authorized representative consents to such disclosure.

(g) (1) To any officer or employee of an agency of a State government lawfully charged with the administration of a program receiving grants-in-aid under Titles I, V, X, XIV, XVI, or XIX of the Social Security Act, information regarding benefits paid to an individual or his entitlement to benefits under Title II of the Social Security Act, or information with respect to entitlement of an individual or benefits provided him under Title XVIII of such act, and, if it has been determined, the date of birth of a recipient or applicant, and also whether a period of disability has been established for such recipient or applicant, the beginning and ending date of such period, and the date determined to be the date of onset of such disability, 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. Medical in