QUESTION
You asked whether DNA test results showing a high probability a claimant is the grandchild
of a number holder’s parents, statements from the claimant’s mother and the number
holder’s family members, and the program from the number holder’s funeral establish
the claimant is the number holder’s child for determining the claimant’s eligibility
for child’s insurance benefits (CIB) on the number holder’s earnings record.
OPINION
The evidence presented does not provide clear and convincing proof to establish the
claimant is the number holder’s child under Alabama intestacy law. The evidence also
does not indicate the claimant could be deemed the number holder’s child. Therefore,
under the current record, the claimant is not the number holder’s child for determining
the claimant’s eligibility for CIB on the number holder’s earnings record.
However, if the claimant presents additional credible evidence showing the number
holder’s parents had only one male child together or showing the claimant’s mother
did not have a sexual relationship with any of the number holder’s brothers, a Social
Security Administration (SSA) adjudicator could find the claimant is the number holder’s
child under Alabama intestacy law. Accordingly, further development of the record
is necessary to determine whether the number holder’s parents had any male children
other than the number holder and if so, whether the claimant’s mother had a sexual
relationship with any of the number holder’s brothers.
BACKGROUND
According to the information provided, S~ (Claimant’s mother) filed an application
on behalf of her son, T~ (Claimant), for CIB on the earnings record of R~, the number
holder (NH). To support the application, Claimant’s mother submitted the results of
DNA testing. The DNA testing report indicates a facility accredited by the American
Association of Blood Banks (AABB) analyzed DNA samples from Claimant, Claimant’s mother,
O~ (NH’s mother), and R1~. (NH’s father). [1] The DNA testing revealed a 99.99% probability that NH’s mother and NH’s father were
Claimant’s grandparents. [2] On a Child Relationship Statement form, Claimant’s mother stated no court decreed
Claimant NH’s child or ordered NH to contribute to Claimant’s support. Claimant’s
mother also stated NH did not identify Claimant as his child in an application or
statement filed with a government agency, a letter, a family tree or other family
record, a tax return, an insurance policy, a will, or an employment application. Additionally,
Claimant’s mother stated NH did not register Claimant in a school or place of worship
or sign a report card as Claimant’s parent. Claimant’s mother also stated NH did not
take Claimant to a medical appointment and list himself as Claimant’s parent. Claimant’s
mother further stated NH did not pay Claimant’s hospital expenses at birth or provide
information for Claimant’s birth certificate. Moreover, Claimant’s mother stated NH
did not orally state to anyone that he was Claimant’s father. Claimant’s mother also
stated NH was not making regular and substantial contributions to Claimant’s support
at the time of his death. Claimant’s mother did state she knew of other written evidence
that showed Claimant is NH’s son.
Claimant’s mother submitted the program from NH’s funeral identifying Claimant as
a surviving child. The funeral program also identifies two surviving sisters and does
not identify any surviving brothers. Claimant’s mother also submitted an affidavit
NH’s mother signed before a notary public stating she considers Claimant her grandson
and NH recognized Claimant as his son. Additionally, Claimant’s mother submitted a
notarized statement from two purported descendants of NH indicating they consider
Claimant their sibling and an identical statement from another purported descendant
of NH that is not notarized.
NH’s amended death certificate indicates he died on December 30, 2002, while domiciled
in Alabama. NH’s death certificate and the funeral program also indicate NH was married
to L~ (NH’s wife) at the time of his death. The information provided does not indicate
NH ever married Claimant’s mother.
The agency denied Claimant’s application for CIB initially and upon reconsideration
because there was insufficient information to establish Claimant was NH’s child. Claimant’s
mother, on behalf of Claimant, requested a hearing before an administrative law judge
(ALJ). Based on Program Operations Manual System (POMS) PR 01005.001 (PR 11-058), the ALJ found the DNA test results indicating a 99.99% probability that
NH’s mother and NH’s father are Claimant’s grandparents did not establish Claimant
is NH’s child under Alabama intestacy law. The ALJ further found that the statement
of purported descendants of NH indicating they consider Claimant their sibling in
combination with the DNA test results did not amount to the clear and convincing evidence
necessary to establish Claimant as NH’s child under Alabama intestacy law. The ALJ
did not discuss the other evidence Claimant’s mother submitted and denied Claimant’s
application for failure to establish Claimant was NH’s child.
Claimant’s mother, on behalf of Claimant, requested review of the ALJ’s decision from
the Appeals Council. That request is currently pending.
DISCUSSION
A claimant may be eligible for CIB on the earnings record of an individual who dies
a fully or currently insured individual if the claimant is the insured individual’s
“child.” See Act § 202(d)(1); 20 C.F.R. § 404.350(a)(1) (2014).[3] “Child” includes “the child” of an insured individual. Act § 216(e); see 20 C.F.R. § 404.354; Astrue v. Capato, --- U.S. ---, 132 S. Ct. 2021, 2027-28 (2012). A claimant may show he is “the child”
of a deceased insured individual, within the meaning of section 216(e)(1), under section
216(h)(2)(A) or 216(h)(3)(C) of the Act. [4] See Capato, 132 S. Ct. at 2028.
Under section 216(h)(2)(A), a claimant is considered “the child” of a deceased insured
individual if he could inherit the insured individual’s intestate personal property
under the law of the state in which the insured individual was domiciled when he died.
See Act § 216(h)(2)(A); 20 C.F.R. § 404.355(a)(1), (b)(1), (b)(4); Capato, 132 S. Ct. at 2028-34; POMS GN 00306.001(C)(1)(a), (C)(2)(a). NH’s death certificate indicates he was domiciled in Alabama
when he died. Therefore, we look to Alabama intestacy law to determine whether Claimant
is NH’s child. See Act § 216(h)(2)(A); 20 C.F.R. § 404.355(a)(1), (b)(1), (b)(4); POMS GN 00306.001(C)(1)(a), (C)(2)(a).
Under Alabama intestacy law, a child of an individual who died intestate is entitled
to a share of the individual’s personal property. See Ala. Code §§ 43-8-40, 43-8-42(1) (2014). [5] A child born out of wedlock can inherit from his putative father if he establishes
paternity by “clear and convincing proof.” Ala. Code § 43-8-48(2)b. Clear and convincing
proof in Alabama intestacy cases is “evidence which convinces the trier of fact that
a proposition is highly probable, as distinguished from more probable than not.” Jackson v. Apfel, 105 F. Supp. 2d 1220, 1221 (N.D. Ala. 2000) (quoting D.D.P. v. State, 595 So. 2d 528, 538 (Ala. Crim. App. 1991)) (internal quotation marks omitted).
Clear and convincing proof is not synonymous with undisputed proof. See id. Instead, evidence amounts to clear and convincing proof when the court is “[c]learly
convinced of the affirmative of the proposition to be proved.” Id. (quoting D.D.P. , 595 So. 2d at 538) (internal quotation marks omitted). Evidence can amount to clear
and convincing proof even when contrary evidence exists. See id. at 1221-22.
In previous precedent opinions we have indicated the presumptions of paternity stated
in the Alabama Uniform Parentage Act (AUPA) would apply in determining paternity under
Alabama intestacy law. See POMS PR 01005.001 (PR 11-058); POMS PR 01105.001 (PR 12-090); POMS PR 01115.001 (PR 12-090, PR 09-151, PR 07-079, PR 06-034, PR 05-246, PR 00-214); POMS PR 01120.001 (PR 06-034, PR 05-246). However, the Alabama Court of Civil Appeals recently held
such presumptions do not apply when establishing paternity in an intestacy case. See Clemons v. Howard, 124 So. 3d 738, 746 (Ala. Civ. App. 2013). Pursuant to the Clemons decision, Alabama courts evaluating whether a decedent is the father of a child born
out of wedlock for the purposes of intestate succession when the decedent’s paternity
was not established through an adjudication prior to the decedent’s death should consider
only whether the evidence presented amounts to clear and convincing proof of paternity.
See id.; see also Ala. Code § 43-8-48(2)b. Thus, the aforementioned opinions should no longer be relied
upon to the extent they indicate the paternity presumptions within the AUPA apply
to evaluating whether an individual is a decedent’s child under Alabama intestacy
law. [6]
The DNA test results Claimant’s mother submitted in support of Claimant’s application
for CIB do not, standing alone, constitute clear and convincing proof of paternity.
In previous precedent opinions, we have stated DNA test results showing a high probability
that a deceased number holder’s parents are the grandparents of the claimant do not,
standing alone, amount to the clear and convincing proof necessary to establish paternity
under Alabama intestacy law. See POMS PR 01005.001 (PR 11-058); POMS PR 01115.001 (PR 05-246); POMS PR 01120.001 (PR 05-246). A high probability of grandparentage does not equate to a high probability
of paternity without additional information regarding the number of male children
the number holder’s parents had together or the relationship between the claimant’s
mother and the deceased number holder’s brothers. See POMS PR 01115.001 (PR 05-246); POMS PR 01120.001 (PR 05-246).
Claimant’s mother did not provide any evidence affirmatively stating the number of
male children NH’s parents had together or her relationship with any of NH’s brothers.
[7] Thus, the DNA test results indicating a 99.99% probability that NH’s parents are
Claimant’s grandparents [8] do not amount to clear and convincing proof that NH is Claimant’s father. Indeed,
if NH’s parents had another male child together and Claimant’s mother engaged in sexual
relations with him around the time of Claimant’s conception, the DNA test results
fall far short of the standard for clear and convincing proof of NH’s paternity. Accordingly,
additional credible evidence regarding the number of male children NH’s parents had
together or the relationship between Claimant’s mother and NH’s brothers is necessary
for the DNA test results to establish Claimant could inherit from NH under Alabama
intestacy law.
Courts have found clear and convincing proof of paternity in Alabama intestacy matters
without DNA evidence. In Cotton v. Terry, 495 So. 2d 1077, 1079-80 (Ala. 1986), the Alabama Supreme Court found there was
clear and convincing proof of paternity when the putative child had the decedent’s
last name before she married and all witnesses who testified, including the party
challenging the paternity determination, agreed the decedent referred to the putative
child as his daughter and held himself out as the putative child’s father while he
was living. In Jackson, 105 F. Supp. 2d at 1222-23, an Alabama federal district court found there was clear
and convincing proof of paternity when the decedent’s family acknowledged the putative
child as the decedent’s son, the decedent’s obituary and funeral program listed the
putative child as a surviving son, the putative child visited with the decedent and
his relatives, the decedent’s mother stated the putative child looked just like the
decedent, and the decedent gave the putative child’s mother money for the putative
child’s support.
However, the non-DNA evidence Claimant’s mother submitted is not as substantial as
the evidence that established clear and convincing proof of paternity in Cotton and
Jackson. The notarized affidavit from NH’s mother indicating she considers Claimant
her grandson and NH recognized Claimant as his son, the statements from purported
descendants of NH indicating they consider Claimant their sibling, and the program
from NH’s funeral listing Claimant as a survivor must be weighed against the statements
from Claimant’s mother that NH did not acknowledge himself as Claimant’s father on
any available documents, did not orally state to anyone he was Claimant’s father,
and was not making regular and substantial contributions to Claimant’s support at
the time of his death. Moreover, there is no evidence Claimant visited NH during NH’s
lifetime. We believe an Alabama court viewing the above-referenced evidence would
conclude the evidence does not show that NH’s paternity of Claimant is highly probable
and does not amount to the clear and convincing proof necessary for Claimant to inherit
from NH under Alabama intestacy law. See Jackson, 105 F. Supp. 2d at 1221-22 (stating the clear and convincing proof standard requires
a court to weigh the evidence supporting the decedent’s paternity versus the evidence
against the decedent’s paternity and conclude the decedent’s paternity is highly probable).
Accordingly, Claimant’s mother has not provided sufficient evidence to establish Claimant
is NH’s child for purposes of CIB under section 216(h)(2)(A) of the Act.
The evidence Claimant’s mother submitted does not amount to the clear and convincing
proof of paternity necessary for Claimant to inherit from NH under Alabama intestacy
law. However, the DNA test results Claimant’s mother submitted would be much more
persuasive if coupled with credible evidence showing NH’s parents had only one male
child together or showing Claimant’s mother never had a sexual relationship with any
of NH’s brothers. Thus, if Claimant’s mother provides the foregoing evidence, an SSA
adjudicator could find such evidence combined with the DNA test results constitute
the clear and convincing proof of paternity necessary for Claimant to inherit from
NH under Alabama intestacy law. As such a finding would establish Claimant is NH’s
child for purposes of CIB under section 216(h)(2)(A) of the Act, further development
of the record is necessary to determine whether NH’s parents had any male children
other than NH together and if so, whether Claimant’s mother had a sexual relationship
with any of them.
The evidence does not establish Claimant is NH’s child under section 216(h)(3)(C)
of the Act. To qualify as “the child” of a deceased insured individual under section
216(h)(3)(C), a claimant must be the son or daughter of the insured individual and
show one of the following: (1) the insured individual acknowledged in writing that
he was his child, (2) a court decreed the insured individual to be his father prior
to the insured individual’s death, (3) a court ordered the insured individual to contribute
to his support prior to the insured individual’s death, or (4) the insured individual
is his natural father and was living with him or contributing to his support at the
time the insured individual died. See Act § 216(h)(3)(C); 20 C.F.R. § 404.355(a)(3), (4). Claimant’s mother did not submit
evidence that would satisfy any of the four foregoing requirements. Therefore, Claimant
does not qualify as NH’s child under any provision of section 216(h)(3)(C) of the
Act.
CONCLUSION
The evidence Claimant’s mother submitted is not sufficient to establish Claimant could
inherit from NH under Alabama intestacy law and, therefore, Claimant is not NH’s child
under section 216(h)(2)(A) of the Act. The evidence also does not establish Claimant
could be deemed NH’s child under section 216(h)(3)(C) of the Act. However, if Claimant’s
mother provides additional credible evidence showing NH’s parents had only one male
child together or showing she never had a sexual relationship with any of NH’s brothers,
the record would contain sufficient evidence for a SSA adjudicator to conclude Claimant
is NH’s child under Alabama intestacy law. Thus, further development of the record
is necessary to determine whether NH’s parents had any male children other than NH
and if so, whether Claimant’s mother had a sexual relationship with any of NH’s brothers.
Mary A. Sloan
Regional Chief Counsel
By:________________
Peter S. Massaro, III
Assistant Regional Counsel