[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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