[Federal Register Volume 60, Number 72 (Friday, April 14, 1995)]
[Rules and Regulations]
[Pages 18991-18993]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 95-9030]
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SOCIAL SECURITY ADMINISTRATION
20 CFR Chapter III and Part 423
RIN 0960-AE07
Service of Process
AGENCY: Social Security Administration.
ACTION: Final rules.
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SUMMARY: The Social Security Independence and Program Improvements Act
of 1994 (SSIPIA), established the Social Security Administration (SSA)
as an independent agency in the Executive Branch of the U.S. Government
effective March 31, 1995. The Social Security Administration will
continue to be responsible for the administration of the old-age,
survivors, and disability insurance (OASDI) and the Supplemental
Security Income (SSI) programs. The SSA is also required to continue to
assist in the administration of the Medicare program, the Black Lung
program, and the Coal Industry Retirees Health Benefits Act. Prior to
March 31, 1995, SSA was an operating component of the Department of
Health and Human Services (DHHS). These final rules generally adopt as
SSA rules the same procedures and practices on service of legal process
applicable to DHHS. These final rules also remove ``Department of
Health and Human Services'' from the heading of Chapter III of title 20
of the Code of Federal Regulations.
EFFECTIVE DATE: April 14, 1995.
FOR FURTHER INFORMATION CONTACT: Harry J. Short, Legal Assistant, 3-B-1
Operations Building, 6401 Security Boulevard, Baltimore, MD 21235,
(410) 965-6243.
SUPPLEMENTARY INFORMATION:
Background
The rules at 45 CFR Part 4, entitled Service of Process, prescribe
the procedures DHHS follows regarding service of legal process in
lawsuits brought against the Department and its employees and in other
process directed at the Department or its employees. These final rules
adopt, with minor changes, the same procedures and practices set out in
45 CFR Part 4 that were applicable to SSA when it was a component of
DHHS. All changes are technical, that is, changes in names, titles,
addresses and legal citations. The changes in legal citations are due
to changes to the Federal Rules of Civil Procedure (FRCP) effective
December 1, 1993.
DHHS Policies Continued by SSA
These final rules contain SSA's method of service of legal process
and reflect Rule 4 of the FRCP regarding service of process in civil
litigation in Federal courts, including service on Federal agencies and
officials. Rule (4)(i) specifies that service on a Federal agency or
officer is to be made by sending a copy of the summons and complaint to
the officer or agency by registered or certified mail.
These final rules also provide that service of a summons and
complaint on SSA or on any SSA official sued in his or her official
capacity may be made by mailing a copy to SSA's General Counsel. Such
service will constitute service on SSA or the official, as required by
Rule 4 of the FRCP. Process mailed directly to SSA's General Counsel
will avoid the delays encountered when documents must be transferred
from other offices.
The General Counsel will also accept service of subpoenas and other
process served on the Commissioner or on SSA. These final rules specify
certain employees in the Office of the General [[Page 18992]] Counsel
who are authorized to accept such process when it is served by an
individual personally rather than mailed. Subpoenas and other legal
process directed to other than the specified officials of SSA will not
be accepted unless special arrangements for acceptance of process are
made in a particular case.
The Office of the General Counsel is authorized, but not required,
to accept service of summonses and complaints initiating lawsuits
against an SSA employee when the employee is sued in his or her
individual capacity and the suit relates to the employee's official
duties. Such service must nevertheless be accomplished in accordance
with the provisions of Rule 4 applicable to service on individual
defendants or, in the case of suits brought in State courts, in
accordance with the applicable State requirements.
These final rules state that SSA will not ordinarily provide a
receipt or other acknowledgment of process received, except for a
return receipt associated with certified mail. Plaintiffs mailing a
summons and complaint sometimes have enclosed a form by which they seek
acknowledgment of receipt of the process. Completion of such forms is
not required or contemplated by Rule 4. Since completion of the forms
is time-consuming and creates unnecessary work for SSA employees, these
rules reiterate the continuing practice of not returning such forms.
Where an SSA official is sued in his or her individual capacity
however, and service is accomplished pursuant to Rule 4(e) of the FRCP,
SSA may return the acknowledgment form described in Rule 4(e).
Regulatory Procedures
SSA follows the Notice of Proposed Rulemaking and public comment
procedures specified in the Administrative Procedure Act (the APA), 5
U.S.C. 553 (b) and (c), in the development of its regulations. The APA
provides exceptions to its notice and public comment procedures when an
agency finds there is good cause for dispensing with such procedures on
the basis that they are impracticable, unnecessary, or contrary to the
public interest. We have determined that, since these final rules
generally reflect a continuation of the procedures and practices in
effect when SSA was a component of DHHS, notice of proposed rulemaking
and public comment procedures are unnecessary. The only changes are
revisions in names, addresses, titles, legal citations and a heading.
In addition, these final rules provide only rules of practice and
procedure which do not require public comment procedures.
Executive Order (E.O.) No. 12866
We have consulted with the Office of Management and Budget (OMB)
and determined that these rules do not meet the criteria for a
significant regulatory action under E.O. 12866. Thus, they were not
subject to OMB review.
Regulatory Flexibility Act
We certify that these final rules will not have a significant
economic impact on a substantial number of small entities because these
rules affect only individuals and States. Therefore, a regulatory
flexibility analysis as provided in Pub. L. 96-354, the Regulatory
Flexibility Act, is not required.
Paperwork Reduction Act
These final rules impose no additional reporting and recordkeeping
requirements subject to OMB clearance.
(Catalog of Federal Domestic Assistance Program Nos. 93.802, Social
Security-Disability Insurance; 93.803, Social Security-Retirement
Insurance; 93.805, Social Security-Survivors Insurance; 93.806,
Special Benefits for Disabled Coal Miners; 93.807, Supplemental
Security Income)
List of Subjects in 20 CFR Part 423
Courts.
Approved: March 30, 1995.
Shirley S. Chater,
Commissioner of Social Security.
For the reasons set out in the preamble and under the authority of
42 U.S.C. 1302, Chapter III of Title 20 of the Code of Federal
Regulations is amended as follows:
1. The heading for Chapter III of Title 20 of the Code of Federal
Regulations is revised to read as follows:
CHAPTER III--SOCIAL SECURITY ADMINISTRATION
2. A new part 423 is added to read as follows:
PART 423--SERVICE OF PROCESS
Sec.
423.1 Suits against the Social Security Administration and its
employees in their official capacities.
423.3 Other process directed to the Social Security Administration
or the Commissioner.
423.5 Process against Social Security Administration officials in
their individual capacities.
423.7 Acknowledgment of mailed process.
423.9 Effect of regulations in this part.
Authority: 42 U.S.C. 901.
Sec. 423.1 Suits against the Social Security Administration and its
employees in their official capacities.
Summonses and complaints to be served by mail on the Social
Security Administration, the Commissioner of Social Security, or other
employees of the Social Security Administration in their official
capacities should be sent to the General Counsel, Social Security
Administration, Room 611, Altmeyer Building, 6401 Security Boulevard,
Baltimore, MD 21235.
Sec. 423.3 Other process directed to the Social Security
Administration or the Commissioner.
Subpoenas and other process (other than summonses and complaints)
that are required to be served on the Social Security Administration or
the Commissioner of Social Security in his or her official capacity
should be served as follows:
(a) If authorized by law to be served by mail, any mailed process
should be sent to the General Counsel, Social Security Administration,
Room 611, Altmeyer Building, 6401 Security Boulevard, Baltimore, MD
21235.
(b) If served by an individual, the process should be delivered to
the mail room staff in the Office of the General Counsel, Room 611,
6401 Security Blvd., Baltimore, MD 21235 or, in the absence of that
staff, to any Deputy General Counsel or secretary to any Deputy General
Counsel of the Social Security Administration.
Sec. 423.5 Process against Social Security Administration officials in
their individual capacities.
Process to be served on Social Security Administration officials in
their individual capacities must be served in compliance with the
requirements for service of process on individuals who are not
governmental officials. The Office of the General Counsel is authorized
but not required to accept process to be served on Social Security
Administration officials in their individual capacities if the suit
relates to an employee's official duties.
Sec. 423.7 Acknowledgment of mailed process.
The Social Security Administration will not provide a receipt or
other acknowledgment of process received, except for a return receipt
associated with certified mail and, where required, the acknowledgment
described in rule 4(e) of the Federal Rules of Civil Procedure (28
U.S.C. App. 4(e)).
Sec. 423.9 Effect of regulations in this part.
The regulations in this part are intended solely to identify Social
[[Page 18993]] Security Administration officials who are authorized to
accept service of process. Litigants must comply with all requirements
pertaining to service of process that are established by statute and
court rule even though they are not repeated in this part.
[FR Doc. 95-9030 Filed 4-13-95; 8:45 am]
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