20 C.F.R. § 404.446

Definition of “substantial services” and “services.”

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(a) General. In general, the substantial services test will be applicable only in a grace year (including a termination grace year) as defined in § 404.435(c)(1). It is a test of whether, in view of all the services rendered by the individual and the surrounding circumstances, the individual reasonably can be considered retired in the month in question. In determining whether an individual has or has not performed substantial services in any month, the following factors are considered:

(1) The amount of time the individual devoted to all trades and businesses;

(2) The nature of the services rendered by the individual;

(3) The extent and nature of the activity performed by the individual before he allegedly retired as compared with that performed thereafter;

(4) The presence or absence of an adequately qualified paid manager, partner, or family member who manages the business;

(5) The type of business establishment involved;

(6) The amount of capital invested in the trade or business; and

(7) The seasonal nature of the trade or business.

(b) Individual engaged in more than one trade or business. When an individual, in any month, performs services in more than one trade or business, his services in all trades or businesses are considered together in determining whether he performed substantial services in self-employment in such month.

(c) Evidentiary requirements. An individual who alleges that he did not render substantial services in any month, or months, shall submit detailed information about the operation of the trades or businesses, including the individual's activities in connection therewith. When requested to do so by the Administration, the individual shall also submit such additional statements, information, and other evidence as the Administration may consider necessary for a proper determination of whether the individual rendered substantial services in self-employment. Failure of the individual to submit the requested statements, information, and other evidence is a sufficient basis for a determination that the individual rendered substantial services in self-employment during the period in question.

[32 FR 19159, Dec. 20, 1967, as amended at 47 FR 46691, Oct. 20, 1982]

Notes of Decisions

Cited in 18 cases, 1971–2011 · leading case: Rollie M. Holden v. Joseph A. Califano, Secretary of Health, Education and Welfare

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Rollie M. Holden v. Joseph A. Califano, Secretary of Health, Education and Welfare (1981) ca6 · cites it 2× “20 C.F.R. § 404.446 (a) In a more elaborate regulation, 20 C.”

Anthony CICCONE, Plaintiff-Appellant, v. SECRETARY OF the DEPARTMENT OF HEALTH AND HUMAN SERVICES OF the UNITED STATES, (1988) ca2 · cites it 2× “20 C.F.R. § 404.446 (c) (1988). Requirements such as these are a legitimate prerequisite to an applicant’s receipt of benefits.”

Cadenhead v. Astrue (2011) ca7 “§ 423 (d)(2); 20 C.F.R. §§ 404.446 , .447, .1575; S.S.R.”

Jack Gordon v. Robert H. Finch, Secretary of Health, Education and Welfare (1971) ca8 · cites it 2× “20 CFR § 404.446 . By claimant’s own admission, he worked approximately two to three hours each day, opening the News Stand at 8:00 a.”

Florence BERGER, Plaintiff-Appellant, v. SECRETARY OF HEALTH AND HUMAN SERVICES, Defendant-Appellee (1987) ca6 “20 C.F.R. § 404.446 (a); see also 20 C.F.”

Peterson v. Mathews (1976) mdd “Thus, the earnings of an employee from self-employment are not to be offset against an employee’s retirement benefits in any month in which “it is shown to the satisfaction of the Secretary” that that employee “rendered no substantial services in such month with respect to any…”

Ruth S. Weisenfeld v. Elliott J. Richardson, Secretary of Health, Education and Welfare (1972) ca3 “20 C.F.R. § 404.446 provides, in part: “In general, the substantial services test is one of whether, in view of all the services rendered by the individual and the surrounding circumstances, the individual can reasonably be considered retired.”

Nasser v. Secretary of Health, Education & Welfare (1975) nyed “” ( 20 C.F.R. § 404.446 (a).) 4 . “§ 404.447 Evaluation of factors involved in substantial services test.”

Hale v. Apfel (1998) mowd “Hale did not satisfy his burden of proof at the administrative level that he was “considered retired” within the meaning of 20 C.F.R. § 404.446 (a). Therefore, plaintiffs are not entitled to the income allocation for 1992 through 1994 that they *1036 seek or that the Appeals…”

Fleming v. Califano (1980) paed “Pursuant to that section, the Secretary has offered the following definition, 20 C.F.R. § 404.446 : (a) General. In general, the substantial services test is one of whether, in view of all the services rendered by the individual and the surrounding circumstances, the individual…”

Pointer v. Shalala (1993) txnd “He then went on to apply the substantial services test set forth in 20 C.F.R. §§ 404.446 (a) and 404.447 to determine that Pointer was not retired.”

Miller v. Richardson (1971) nysd “§ 403 (f) (4) define “substantial services” 20 C.F.R. §§ 404.446 , 404.447. The hearing examiner found that the plaintiff rendered substantial services during the months in question and that he was, therefore, liable for certain deductions.”

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