[Federal Register Volume 66, Number 160 (Friday, August 17, 2001)]
[Proposed Rules]
[Pages 43136-43138]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 01-20156]



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SOCIAL SECURITY ADMINISTRATION

20 CFR Parts 404 and 422

RIN 0960-AF52


Filing of Applications and Related Forms

AGENCY: Social Security Administration (SSA).

ACTION: Proposed rules.

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SUMMARY: We propose to make revisions to our rules relating to the 
filing of an application for social security benefits. These changes 
will explain that SSA-approved Internet applications completed on SSA's 
website and submitted to SSA are prescribed applications for filing 
social security benefits. We propose to add cross-references to several 
sections to describe what makes an application a claim; and we plan to 
update the list of Related forms with other forms that are currently 
used in the application process. These proposed rules will inform the 
public that they have the option of filing an Internet application on 
SSA's website for all types of social security benefits.

DATES: We will consider your comments if we receive them no later than 
October 16, 2001.

ADDRESSES: Submit comments in writing to the Commissioner of Social 
Security, PO Box 17703, Baltimore, MD 21235-7703, send by telefax to 
(410) 966-2830, send by E-mail to [email protected], or deliver to 
the Office of Process and Innovation Management, Social Security 
Administration, L2109 West Low Rise Building, 6401 Security Boulevard, 
Baltimore, MD 21235-6401, between 8 a.m. and 4:30 p.m. on regular 
business days. Comments may be inspected during these same hours by 
making arrangements with the contact person shown below.

FOR FURTHER INFORMATION CONTACT: Lola Doyle, Social Insurance 
Specialist, Office of Program Benefits, Social Security Administration, 
3-R-1 Operations Building, 6401 Security Boulevard, Baltimore, MD 
21235-6401, (410) 965-5899 or TTY (410) 966-5609 for information about 
these rules. For information on eligibility or claiming benefits, call 
our national toll-free number, 1-800-772-1213 or TTY 1-800-325-0778 or 
visit our Internet website, SSA Online at http://www.ssa.gov/.

SUPPLEMENTARY INFORMATION:

Background

    An individual must file an application in order to receive benefits 
under title II of the Social Security Act (the Act). In part 404 of our 
regulations, we establish rules for filing a claim for old-age, 
disability, dependents', and survivors' insurance benefits, which 
define the criteria for determining when an application is a claim for 
benefits. Similarly, we include the names of places where you can file 
an application, and explain what makes an application form acceptable 
as a claim for benefits. Our rules state that individuals must either 
sign the application or have someone who can act on their behalf sign 
for them. Except in limited situations, individuals must be alive at 
the time the application is filed.
    In part 404, we further state that a claim filed with the Railroad 
Retirement Board for an annuity on one of its forms is an application 
for title II benefits, unless the individual states otherwise. We state 
that a claim filed with the Department of Veterans Affairs on one of 
its forms for survivors' dependency and indemnity compensation is also 
an application for social security dependents' and survivors' benefits 
(except for the lump sum death payment).
    The types of applications currently prescribed by SSA are described 
in part 422. SSA's application process has evolved from its primary use 
of the traditional pre-printed application form for claims-taking to 
SSA employees who input information provided by the applicant into a 
computer terminal for processing. Computer printouts of the data are 
generated for the applicant to review the information and to sign the 
application.
    SSA is committed to providing the public with the option to conduct 
business electronically by adding more Internet services on SSA's 
website, SSA Online http://www.ssa.gov/.
    Toward this objective, we developed an Internet retirement 
insurance benefit application for national implementation in the fall 
of 2000. Statistics confirm that Internet usage has increased among 
older Americans and as a result, they have requested that more online 
services be made available to them. Internet applications for other 
benefit categories will be developed in the future. As applications 
become available on SSA's website, we will incorporate an explanation 
of SSA's approved signature method for each application as part of the 
Internet application process.
    The main purpose of the proposed revisions is to inform the public 
that they have the option of filing an Internet application on SSA's 
website for all types of social security benefits. The proposed 
revisions include updating the list of Related forms in Sec. 422.505(b) 
to reflect only those forms that are currently in use in the 
application process. The proposed revisions add cross-references to 
related sections to ensure that all necessary information for filing an 
application is available to the public. Finally, the proposed revisions 
make the regulations more readable, thus enabling the public to better 
understand the contents of the sections.
    The following is a summary of the proposed revisions and our 
reasons for proposing these changes.

Explanation of Proposed Revisions

    We are proposing to add a cross-reference in Sec. 404.610(a) to 
related Sec. 422.505(a), which explains the types of prescribed 
applications to be used by the public when filing for social security 
benefits. In Sec. 404.610(b), we are proposing to add a cross-reference 
to related Sec. 404.614, which lists the places where a social security 
application may be filed. We are also proposing to revise the language 
in the section for clarity. In Sec. 404.611 we are proposing to revise 
the heading as part of reformatting the section. In addition, we are 
proposing to add a cross-reference in Sec. 404.611(a) to related 
Sec. 422.505(a), which, as noted above, explains the types of 
prescribed applications. We are proposing to change the heading in 
Sec. 404.611(b) as part of the new format and to revise the text to 
make the section clearer. Similarly, in Sec. 404.611(c) we are 
proposing a change in the heading and the text as part of the format 
change. We are proposing changing the heading in Sec. 422.505 and 
revising the language in Sec. 422.505(a) to make the contents of the 
section clearer. We are also proposing to revise Sec. 422.505(a) to 
include language to state that Internet applications on SSA's website 
are prescribed applications. In Sec. 422.505(b) we are proposing to 
revise the list of Related forms to delete the forms which are 
obsolete.

Clarity of These Regulations

    Executive Order 12866 and the President's memorandum of June 1, 
1998, require each agency to write all rules in plain language. We 
invite your comments on how to make these proposed rules easier to 
understand. For example:
     Have we organized the material to suit your needs?
     Are the requirements in the rules clearly stated?
     Do the rules contain technical language or jargon that 
isn't clear?
     Would a different format (grouping and order of sections, 
use of headings,

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paragraphing) make the rules easier to understand?
     Would more (but shorter) sections be better?
     Could we improve clarity by adding tables, lists, or 
diagrams?
     What else could we do to make the rules easier to 
understand?

Electronic Versions

    The electronic file of this document is available on the Internet 
at http://www.acess.gpo.gov/su_docs/aces/aces140.html. It is also 
available on the Internet site for SSA (i.e., ``SSA Online'') at http://www.ssa.gov/.

Regulatory Procedures

Executive Order 12866

    We have consulted with the Office of Management and Budget (OMB) 
and determined that these proposed regulations do not meet the criteria 
for a significant regulatory action under Executive Order 12866. Thus, 
they were not subject to OMB review.

Regulatory Flexibility Act

    We certify that these proposed regulations would not have a 
significant economic impact on a substantial number of small entities 
because they affect only individuals. Thus, a regulatory flexibility 
analysis as provided in the Regulatory Flexibility Act, as amended, is 
not required.

Paperwork Reduction Act

    These proposed regulations would impose no additional reporting or 
recordkeeping requirements requiring OMB clearance. The SSA forms 
completed by the public listed in section 422.505 have previously been 
cleared by the Office of Management and Budget as necessary.

(Catalog of Federal Domestic Assistance Program Nos. 96.001, Social 
Security-Disability Insurance; 96.002 Social Security-Retirement 
Insurance; and 96.004 Social Security-Survivors Insurance.)

List of Subjects

20 CFR Part 404

    Administrative practice and procedure, Blind, Disability benefits, 
Old-Age, Survivors and Disability Insurance, Reporting and 
recordkeeping requirements, Social Security.

20 CFR Part 422

    Administrative practice and procedure, Freedom of Information, 
Organization and functions (government agencies), Social Security.

    Dated: May 10, 2001.
Larry G. Massanari,
Acting Commissioner of Social Security.
    For the reasons set forth in the preamble, we are proposing to 
amend part 404, subpart G, and part 422, subpart F of chapter III of 
title 20 of the Code of Federal Regulations as set forth below.

PART 404--FEDERAL OLD-AGE, SURVIVORS AND DISABILITY INSURANCE 
(1950-    )

Subpart G--[Amended]

    1. The authority citation for subpart G of part 404 continues to 
read as follows:

    Authority: Secs. 202(i), (j), (o), (p), and (r), 205(a), 
216(i)(2), 223(b), 228(a), and 702(a)(5) of the Social Security Act 
(42 U.S.C. 402(i), (j), (o), (p), and (r), 405(a), 416(i)(2), 
423(b), 428(a), and 902(a)(5)).

    2. Section 404.610 is revised to read as follows:


Sec. 404.610  What makes an application a claim for benefits?

    We will consider your application a claim for benefits if it 
generally meets all of the following conditions:
    (a) You must file on a prescribed form as stated in Sec. 404.611. 
See Sec. 422.505(a) of this chapter for the types of prescribed 
applications you can file.
    (b) You must complete and file the application with us, as stated 
in Sec. 404.611 and Sec. 404.614.
    (c) You, or someone described in Sec. 404.612 who may sign an 
application for you, must sign the application.
    (d) You must be alive at the time you file (unless one of the 
limited exceptions in Sec. 404.615 applies).
    3. Section 404.611 is revised to read as follows:


Sec. 404.611  How do I file an application for social security 
benefits?

    (a) General rule. You must apply for benefits on an application 
that we prescribe. See Sec. 422.505(a) of this chapter for the types of 
applications we will accept. See Sec. 404.614 for places where you can 
file your application for benefits.
    (b) What if I file a claim with the Railroad Retirement Board? If 
you file an application with the Railroad Retirement Board on one of 
its forms for an annuity under section 2 of the Railroad Retirement 
Act, as amended, we will consider this as an application for title II 
social security benefits which you may be entitled to, unless you tell 
us otherwise.
    (c) What if I file a claim with the Department of Veterans Affairs 
(DVA)? If you file an application with the DVA on one of its forms for 
survivors' dependency and indemnity compensation (see section 3005 of 
title 38 U.S.C.), we will consider this an application for social 
security dependents' and survivors' benefits, except for the lump sum 
death payment.

PART 422--ORGANIZATION AND PROCEDURES

Subpart F--[Amended]

    4. The authority citation for subpart F of part 422 continues to 
read as follows:

    Authority: Secs. 205 and 702(a)(5) of the Social Security Act 
(42 U.S.C. 405 and 902(a)(5)). Section 422.512 is also issued under 
30 U.S.C. 901 et seq.

    5. Section 422.505 is revised to read as follows:


Sec. 422.505  What types of applications and related forms are used to 
apply for retirement, survivors, and disability insurance benefits?

    (a) Applications. Prescribed applications include our traditional 
pre-printed forms, and applications our employees complete on computer 
screens based on information you give us, and which we then print on 
paper and process electronically. You may also use SSA's Internet 
website to submit SSA-approved applications to us. You can complete 
Internet applications on a computer (or other suitable device, such as 
an electronic Kiosk) and electronically transmit the form to us using 
an SSA-approved electronic signature. If, however, we do not have an 
approved electronic signature established when you file your Internet 
application, you may print and sign the completed application and 
deliver the form to us.
    (b) Related forms. The following are some related forms:
    SSA-3--Husband's Certification. (For use in connection with 
Application for Wife's Insurance Benefits, Form SSA-2.)
    SSA-11--Application to be Selected as Payee. (For use when the 
individual proposing to be substituted for current payee files 
application to receive payment of benefits on behalf of himself, a 
disabled child or child under age 22, a student beneficiary, or an 
incompetent beneficiary.)
    SSA-21--Supplement to Claim of Person Outside of the United States. 
(To be completed by or on behalf of a person who is, was, or will be 
outside the United States.)
    SSA-25--Certificate of Election for Reduced Wife's Benefits. (For 
use by a wife age 62 through 64 who has an entitled child in her care 
and elects to receive reduced benefits for months during which she will 
not have a child in her care.)

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    SSA-721--Statement of Death by Funeral Director. (This form may be 
used as evidence of death (see Sec. 404.704 of this chapter).)
    SSA-760--Certificate of Support (Parent's, Husband's, or 
Widower's).
    SSA-766--Statement of Self-Employment Income. (For use by a 
claimant to establish insured status based on self-employment income in 
the current year.)
    SSA-787--Medical Officer's Statement. (For use in requesting 
medical evidence of a beneficiary's capacity to manage benefits from an 
institution.)
    SSA-824--Report on Individual With Mental Impairment. (For use in 
obtaining medical evidence from medical sources when the claimant has 
been treated for a mental impairment.)
    SSA-827--Authorization for Source to Release Information to the 
Social Security Administration (SSA). (To be completed by a disability 
claimant to authorize release of medical information.)
    SSA-1002--Statement of Agricultural Employer. (For use by an 
employer to provide evidence of annual wage payments for agricultural 
work.)
    SSA-1323--Report on Individual With Childhood Impairment. (For use 
in obtaining information from schools or agencies on how an impairment 
affects the individual's progress in school and to get the results and 
dates of any psychometric testing.)
    SSA-1372--Student's Statement Regarding School Attendance. (For use 
in connection with a request for payment of child's insurance benefits 
for a child who is age 18 through 19 and a full-time student.)
    SSA-1388--Report of Student Beneficiary at End of School Year. (For 
use in confirming continuing eligibility to benefits or indicating the 
need for suspension or termination action.)
    SSA-1724--Claim for Amounts Due in the Case of a Deceased 
Beneficiary. (For use in requesting amounts payable under title II to a 
deceased beneficiary.)
    SSA-3368--Disability Report--Adult. (For use in recording 
information about the claimant's condition, sources of medical 
evidence, and other information needed to process the claim to a 
decision.)
    SSA-3369--Work History Report. (For use in recording work history 
information.)
    SSA-3826-F4--Medical Report--General. (For use in helping 
disability claimants in obtaining medical records from their doctors or 
other medical sources.)
    SSA-3827--Medical Report--Individual with Childhood Impairment. 
(For use in requesting information to determine if an individual's 
impairment meets the requirements for payments of childhood disability 
benefits.)
    SSA-4111--Certificate of Election for Reduced Widow(er)'s Benefits. 
(For use by applicants for certain reduced widow's or widower's 
benefits.)
    SSA-7156--Farm Self-Employment Questionnaire. (For use in 
connection with claims for benefits based on farm income to determine 
whether the income is covered under the Social Security Act.)
    SSA-7160--Employment Relationship Questionnaire. (For use by an 
individual and the alleged employer to determine the individual's 
employment status.)
    SSA-7163--Questionnaire About Employment or Self-Employment Outside 
United States. (To be completed by or on behalf of a beneficiary who 
is, was, or will be employed or self-employed outside the United 
States.)

[FR Doc. 01-20156 Filed 8-16-01; 8:45 am]
BILLING CODE 4191-02-U