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

Outside employment.

(a) An employee of the Board may engage in outside employment or other outside activity not incompatible with the full and proper discharge of the duties and responsibilities of his Government employment.

§ 396.735-106 Specific provisions of Board regulations governing special Government employees.

(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.

§ 396.735-107

Statements of employ

ment and financial interest.

(a) In addition to the employees required to submit statements of employment and financial interest under 5 CFR 735.403(a)-(c), the Director of Supply and Service shall submit statements of employment and financial interest.

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

§ 396.735-108 Board regulations governing statements of employment and 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 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 of any file, record, report, or other paper or any information obtained at any time by the Department or by any officer or employee of the Department, or from the Department or any officer or employee thereof by any other person or by any other agency or officer or employee thereof, which in any way relates to, or is necessary to, or is used in or in connection with, the adminis

tration 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 of Social Security.

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

§ 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) 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 (except medical information) 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. Medical information concerning a claimant or prospective claimant shall be disclosed (other than to such claimant or prospective claimant or duly authorized representative) only 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, and then only upon consent of such claimant or prospective claimant and of the source of such information or, if such source is not available, of a physician in the employ of the Department, and when consistent with the proper and efficient administration of the act. However, statements of earnings and medical information 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, and disability insurance program under title II; any request for medical information (other than by the claimant's or prospective claimant's physician or medical institution) which is not reasonably necessary for a title II purpose shall be refused.

(b) After death of an individual, any information (except medical information) relating to the individual may be furnished to a surviving relative or to the legal representative of the estate of the individual. Medical information relating to the individual may be furnished to such relative or legal representative in such summary form as may be administratively deemed appropriate to the conduct of the old-age and survivors insurance program under title II; any request for medical information which is not reasonably necessary for a title II purpose shall be refused. Available information concerning the fact, date, or circumstances of death of the individual may be disclosed to any person. None of the foregoing information shall be disclosed except upon written request stating the purpose thereof, and when efficient administration permits such disclosure, 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 secu

rity 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, 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 may be furnished for such a purpose to such an officer or employee only upon consent of such individual and of the source of such information or, if such source is not available, of a physician in the employ of the Department.

(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, or XVI 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, 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 information relating to an individual may be furnished for such a purpose to such an officer or employee only upon consent of such individual and of the source of such information or, if such source is not available, of a physician in the employ of the Department.

(2) 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, for the proper administration of such program only, the information specified in the first sentence of subparagraph (1) of this paragraph and in addition:

(i) The name, address, social security account number, and such other information as may be obtained with respect to the alleged disability, of an applicant for benefits on account of disability or for a determination of disability; and

(ii) The name, address, social security account number, and such other information as may be obtained with respect to the alleged disability, of any individual making inquiry concerning benefits on account of disability or concerning a determination of disability, if no objection is made by such individual to the release of such information.

(3) 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 title IV of the Social Security Act, the information specified in subparagraph (1) of this paragraph and in addition, in accordance with requirements and procedures issued from time to time by the Bureau of Family Services of the Welfare Administration, information concerning the whereabouts of a deserting parent of a child of a family eligible for aid under a program receiving grants-in-aid under title IV of the Social Security Act.

(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 Department to be necessary to assist the requesting officer or agency to make the required identification. Information as to the existence of a legally reportable medical condition of an individual discovered in connection with an application for benefits on account of disability or for a determination of disability may also be furnished to a State or municipal agency required by local law to be furnished such information.

(i) To any officer, agency, establishment, or department of the Federal Government, 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 Self-Employment Contributions Acts, 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 an officer or employee of the Department 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 isued for a benefit under title II of the Social Security Act; or

(4) Until the termination of the national emergency proclaimed by the President of the United States on December 16, 1950, 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 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 Department, or of any officer or employee of a State agency to carry out an agreement entered into under section 221 of the Social Security Act.

(k) Statistical data or other similar information not relating to any particular person which may be compiled from records regularly maintained by the Department may be disclosed when efficient administration permits. Information contained in or compiled from reports submitted by employers only (other than information relating to any identified or identifiable person except such employers, and other than information relating to any identified or identifiable self-employed individual) may be disclosed, when efficient administration permits, to any other agency of the Federal Government for use in its statistical and planning work only.

(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.

(n) To any officer or employee of an agency of a State Government lawfully charged with the supervision of, or financial responsibility for, the care of a person who is mentally incompetent and who is confined in a State mental institution, information regarding his entitlement to benefits, and if entitled, the amount of such benefits and the name and address of the person to whom such benefits have been or are being paid. Disclosure under this paragraph shall be made only upon written certification by the State agency or institution that such information is to be used in connection with the performance of its duties under State law and that there is no other source from which it can obtain such information.

(0) In connection with agreements and modifications of agreements for the coverage of State and local employees

entered into pursuant to section 218 of the Social Security Act, the following may be disclosed when efficient administration permits:

(1) The name of a State (or instrumentality of two or more States) with whom an agreement or modification has been entered into, the name or title of the official charged with carrying out the State's responsibilities with respect to an agreement, and the date of an agreement or modification;

(2) The contents of an executed agreement or modification;

(3) Information as to whether or not a State (or instrumentality of two or more States) has indicated an intention or desire to enter into such an agreement or modification, but not including information as to provisions being considered for inclusion in the proposed agreement or modifications:

(4) Information reported by a State as to whether or not there is in effect in such State or in a political subdivision thereof a retirement system providing benefits to employees thereof; and any other information reported by the State as to such retirement system if service performed by individuals in positions covered by that system has been included in an agreement under section 218 or a modification thereof;

(5) Statistical information, classified by State and county, with respect to public employment and remuneration therefor (other than information relating to any identified or identifiable employee);

(6) Information reported by a State, after a referendum has been conducted on whether services in positions covered by a retirement system should be excluded from or included under such an agreement, of the number of employees eligible to vote in such referendum, the number who actually voted therein, and the number who voted in favor of inclusion of such service.

(p) Pursuant to the provisions of section 290 (c) of the Immigration and Nationality Act, to any officer or employee of the Department of Justice of the United States lawfully charged with the administration of title II of such act available information required to be furnished by such section, for the purpose of such administration only, upon written request of the Attorney General of the United States or of an official of