SSR 76-30: Rescinded 1991

20 CFR 404.613

SSR 76-30

The wage earner specified in written statement that he did not wish to

file for benefits on behalf of his dependents because he had "no immediate

plans of retirement." Under applicable provisions of the Social Security

Act, it would not have been in the interest of the dependents to delay

filing for benefits solely because of wage earner's retirement plans. HELD , the written statement raises sufficient doubt about wage

earner's intent with respect to filing for benefits on behalf of his

dependents which doubt is to be resolved in favor of finding intent to

file that such statement indicated such intention, as required by

Regulations No. 4, section 404.613(b).

A question has been raised concerning a written statement which was made

by the wage earner on behalf of his wife and child. [1] Such statement reads as

follows:

"I do not wish to file for [my] wife and child now since I have no

immediate plans of retirement."

The specific issue raised was whether the quoted statement would qualify

as a written statement which indicates an intention to claim benefits on

behalf of another person as required by Regulations No. 4, section

404.613(b). [2]

Sections 202(b)(1)(A) and 202(d)(1)(A) prescribe the application

requirements for wife's and child's benefits respectively. In each case

the individual must have "filed application for . . . benefits." Section

404.613 of Social Security Administration Regulations No. 4 sets forth the

circumstances under which a written statement (rather than a prescribed

application form) may be considered to be an application for monthly

benefits. Section 404.613 also indicates the circumstances under which a

person other than the claimant may file a written statement on behalf of

the claimant

its." Section

404.613 of Social Security Administration Regulations No. 4 sets forth the

circumstances under which a written statement (rather than a prescribed

application form) may be considered to be an application for monthly

benefits. Section 404.613 also indicates the circumstances under which a

person other than the claimant may file a written statement on behalf of

the claimant. [3] In describing

the type of written statement necessary, section 404.613(b) prescribes

that the statement must "[indicate] an intention to claim on behalf

of another person monthly benefits." (Emphasis supplied.) While section

404.613 does not make explicit reference to "doubtful intents," it clearly

does not preclude SSA from finding an intent to file where a written

statement raises doubt about an individual's intent to file. Section

404.613(c)(1) provides, in pertinent part, that once a written statement

has been received, notice in writing shall be sent to the claimant (or

where the claimant is a minor or incompetent, to the person submitting the

written statement on his behalf), stating that an individual determination

will be made with respect to such written statement if a prescribed

application form is filed with SSA within 6 months from the date of the

notice. Thus, if any doubt concerning an individual's intent to claim

benefits on behalf of another has been manifested by a written statement,

such doubt could be resolved by giving the individual the opportunity to

file a prescribed application form within 6 months from the date of SSA's

notice. The foregoing interpretation has been explicitly adopted as part

of SSA's operating procedures. These procedures provide that if some doubt

exists about intent to file, the doubt should be resolved by finding an

intent to file.

ment,

such doubt could be resolved by giving the individual the opportunity to

file a prescribed application form within 6 months from the date of SSA's

notice. The foregoing interpretation has been explicitly adopted as part

of SSA's operating procedures. These procedures provide that if some doubt

exists about intent to file, the doubt should be resolved by finding an

intent to file.

In light of the foregoing conclusions pertaining to the requisite intent

for purposes of the application requirement, the sole issue remaining to

be resolved with respect to the subject wage earner's statement is whether

it did in fact raise doubt about his intent to file on behalf of his wife

and child. The only evidence concerning the wage earner's intent with

respect to the purported filing for his wife and child was the statement

previously quoted and specific reference to his wife and child (see

footnote 1) on the wage earner's application. The written statement

indicates that the wage earner's sole reason for not wishing to file for

benefits was his concern that his retirement plans would in some way make

it disadvantageous for him to file or at least nullify any advantages that

may arise from the filing. This simply is not the case, however. It

clearly would have been advantageous under applicable provisions of the

Social Security Act for him to have filed regardless of his retirement

plans.

t wishing to file for

benefits was his concern that his retirement plans would in some way make

it disadvantageous for him to file or at least nullify any advantages that

may arise from the filing. This simply is not the case, however. It

clearly would have been advantageous under applicable provisions of the

Social Security Act for him to have filed regardless of his retirement

plans.

If a wage earner files an application on behalf of his dependents within

one year of the month of their initial eligibility for benefits

(henceforth referred to as a "timely" filing) his dependents are assured

of receiving all benefit payments which are not precluded by the annual

earnings test (or by another deduction or on payment provision) for the

duration of their entitlement. Such assurance is quite important due to

the many uncertainties inherent in the application of the annual earnings

test [4] and the possibility that

the wage earner may not be diligent in applying for benefits once it

appears that such test will no longer preclude payments. Further, a timely

filing by dependents can sometimes work to the advantage of the family in

the application of the annual earnings test. Newly entitled dependents

increase the amount of the family's benefits against which work deductions

may be imposed. Thus, in some instances, a family with entitled dependents

may be able to receive benefits for part of a year even though no benefits

would have been payable to the wage earner if solely he were entitled.

While it is generally to the advantage of both wage earner and dependents

for the dependents to make a timely application, we are aware of no

countervailing disadvantages associated with a timely filing under the

circumstances present here.

s

may be able to receive benefits for part of a year even though no benefits

would have been payable to the wage earner if solely he were entitled.

While it is generally to the advantage of both wage earner and dependents

for the dependents to make a timely application, we are aware of no

countervailing disadvantages associated with a timely filing under the

circumstances present here.

Accordingly, since it would not have been in the interest of the wage

earner's dependents to have their filing delayed solely because of the

wage earner's retirement plans and since the wage earner indicated in his

written statement that the absence of plans to retire was the basis for

his purported wish not to file, the written statement may be view by SSA

as raising doubt about the wage earner's intent to file and that SSA may

find that the wage earner did intend to file as required by section

404.613(b). [5]

[1] The statement was included

on the wage earner's application for retirement insurance benefits. In

addition to the statement, the wage earner makes specific reference on the

application to his wife and his son.

[2] It does not appear that an

individual could meet the application requirement for monthly benefits by

manifesting an intent couched in terms of a future contingency. The

regulatory scheme implementing the statutory application requirement does

not authorize the Social Security Administration to hold in abeyance a

purported application or written statement until the Social Security

Administration had been able to verify the occurrence of some future event

designated by the individual in such application or statement.

[3] Under the facts raised here,

the subject wage earner would be permitted to file a written statement of

intent on behalf of his spouse and his son. Section 404.613(b)(2)(i) and

purported application or written statement until the Social Security

Administration had been able to verify the occurrence of some future event

designated by the individual in such application or statement.

[3] Under the facts raised here,

the subject wage earner would be permitted to file a written statement of

intent on behalf of his spouse and his son. Section 404.613(b)(2)(i) and

(ii) of Social Security Administration Regulations No. 4. Thus, if the

Social Security Administration finds that his statement manifested the

requisite intent to claim benefits, such statement may serve as

application for both spouse and son.

[4] "Uncertainties" which affect

the imposition of work deductions include changes in the level of the wage

earner's annual earnings as well as fluctuations in earnings from month to

month during the year, changes in the number of individuals who are

entitled to his account, statutory changes affecting the nature of the

test itself. Uncertainties such as these make it difficult for individuals

to predict whether benefits otherwise payable to them or their dependents

would be precluded by the test.

[5] The U.S. Court of Appeals

for the Second Circuit held that a written statement which closely

paralleled the written statement made her qualified under section

404.613(a) as a field "written statement" . . . that indicates an

intention to claim monthly benefits." Widermann v. Richardson , 451

F.2d 1228 (2d Cir., 1971).