20 C.F.R. § 404.630

Use of date of written statement as filing date

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If a written statement, such as a letter, indicating your intent to claim benefits either for yourself or for another person is filed with us under the rules stated in § 404.614, we will use the filing date of the written statement as the filing date of the application, if all of the following requirements are met:

(a) The statement indicates an intent to claim benefits.

(b) The statement is signed by the claimant, the claimant's spouse, or a person described in § 404.612. If the claimant, the claimant's spouse, or a person described in § 404.612 telephones us and advises us of his or her intent to file a claim but cannot file an application before the end of the month, we will prepare and sign a written statement if it is necessary to prevent the loss of benefits. If the claimant, the claimant's spouse, or a person described in § 404.612 contacts us through the Internet by completing and transmitting the Personal Identification Information data on the Internet Social Security Benefit Application to us, we will use the date of the transmission as the filing date if it is necessary to prevent the loss of benefits.

(c) The claimant files an application with us on an application form as described in § 404.611, or one is filed for the claimant by a person described in § 404.612, within 6 months after the date of a notice we will send advising of the need to file an application. We will send the notice to the claimant. However, if it is clear from the information we receive that the claimant is a minor or is mentally incompetent, we will send the notice to the person who submitted the written statement.

(d) The claimant is alive when the application is filed; or if the claimant has died after the written statement was filed, an application is filed—

(1) By or for a person who would be eligible to receive benefits on the deceased's earnings record;

(2) By a person acting for the deceased's estate; or

(3) If the statement was filed with a hospital under § 404.632, by the hospital if—

(i) No person described in paragraph (d) (1) or (2) of this section can be located; or

(ii) A person described in paragraphs (d) (1) or (2) of this section is located but refuses or fails to file the application unless the refusal or failure to file is because it would be harmful to the deceased person or the deceased's estate.

[44 FR 37209, June 26, 1979, as amended at 71 FR 24814, Apr. 27, 2006]

Notes of Decisions

Cited in 24 cases (4 in the last 5 years), 1986–2022 · leading case: Margaret WHITE, Plaintiff-Appellant, v. Louis W. SULLIVAN, M.D., Secretary of Health and Human Services, Defendant-Appel

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Margaret WHITE, Plaintiff-Appellant, v. Louis W. SULLIVAN, M.D., Secretary of Health and Human Services, Defendant-Appel (1992) ca7 · cites it 3× “” It further determined that there was no written statement of intent, either on the SSA-780 or elsewhere in the record, as was required pursuant to 20 C.F.R. § 404.630 , 2 prior to the May 15, 1987 filing of the child’s insurance benefits application.”

Smith v. Commissioner of Social Security (2018) ca6 · cites it 2× “Smith claims on appeal that this finding is contrary to the Commissioner’s own regulations, specifi *818 cally 20 C.F.R. § 404.630 , 2 which he asserts “state[s] that the Commissioner is to use the date of the written statement as to be considered the date of filing.”

Hamilton v. Commissioner of Social Security (2015) nynd “See 20 C.F.R. §§ 404.630 , 416.340. If a statement meeting the requirements of the regulations is filed, the Social Security Administration will use the date of the written statement as the filing date of the application even if the formal application is not filed until a later…”

Stacy D. v. Comm'r of Soc. Sec. (2019) nynd “See 20 C.F.R. §§ 404.630 , 416.340. There are various requirements for this written statement.”

Samuels v. Heckler (1986) tnwd · cites it 2× “In support of their position, plaintiffs’ attorneys point to 20 C.F.R. § 404.630 and 416.340 which they claim “directly address the issue.”

Harvey WOLCHUCK, Plaintiff-Appellant, v. Otis R. BOWEN, M.D., Secretary of Health and Human Services, Defendant-Appellee (1989) ca9 · cites it 6× “2 Such a written statement, therefore, is treated as a “filing” for purposes of obtaining benefits under the Social Security Act.”

Pinkie Mumford v. Otis R. Bowen, M.D., Secretary, United States Department of Health and Human Services (1987) ca7 “20 C.F.R. § 404.630 . Here, however, there is no claim that plaintiff ever put her intent in writing.”

Raymond D. Rolen v. Jo Anne B. Barnhart, Commissioner of the Social Security Administration (2001) ca9 “The district court did not err in holding that it lacked jurisdiction to review Rolen’s challenge to the Appeals Council’s holding that 20 C.F.R. § 404.630 does not apply to formal appeals of existing actions.”

Miller v. Commissioner of Social Security Administration (2008) ca11 “20 C.F.R. § 404.630 . Although there are some limited exceptions that allow for an earlier filing date where the claimant failed to file an application due to misinformation, this exception only applies if the claimant subsequently files an application for benefits.”

Robert L. SMITHBACK, Plaintiff-Appellant, v. Louis W. SULLIVAN, M.D., Secretary, Health and Human Services, Defendant-Ap (1990) ca7 “, 20 C.F.R. § 404.630 (b) (“If you telephone us and advise us that you intend to file a claim but cannot file an application before the end of the month, we will prepare and sign a written statement if it is necessary to prevent the loss of benefits”).”

Grubart v. Shalala (1996) nysd “20 C.F.R. § 404.630 . An individual is not entitled to a monthly benefit for any month prior to the month in which he or she files an application for benefits if the amount of the monthly benefit would be subject to reduction because the individual had not yet reached age 65.”

Rick Johnson v. Kilolo Kijakazi (2022) ca9 “” See 20 C.F.R § 404.630. And the agency regulations state that the earlier date of the protective filing will be used.”

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