[Federal Register Volume 67, Number 221 (Friday, November 15, 2002)]
[Proposed Rules]
[Pages 69161-69164]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 02-28957]


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SOCIAL SECURITY ADMINISTRATION

20 CFR Parts 404 and 416

[Regulations No. 4 and 16]
RIN 0960-AF79


Claimant Identification Pilot Projects

AGENCY: Social Security Administration.

ACTION: Notice of proposed rulemaking.

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SUMMARY: We propose to conduct pilot projects wherein we will request 
photographic identification from individuals filing for title II and 
title XVI disability benefits in specified geographic areas covered by 
the pilot projects. In addition, we would require individuals to allow 
us to take their photograph and we would make these photographs a part 
of the claims folder. We would permit an exception to the photograph 
requirement when an individual has a sincere religious objection. This 
process would strengthen the integrity of the disability claims process 
by helping to ensure that the individual filing the application is the 
same individual examined by the consultative examination (CE) 
physician.

DATES: To consider your comments, we must receive them no later than 
January 14, 2003.

ADDRESSES: You may give us your comments by using: our Internet site 
facility (i.e., Social Security Online) at http://www.ssa.gov/regulations, e-mail to [email protected]; by telefax to (410) 966-
2830; or by letter to the Commissioner of Social Security, P.O. Box 
17703, Baltimore, MD 21235-7703.

[[Page 69162]]

You may also deliver them to the Office of Process and Innovation 
Management, Social Security Administration, 2109 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 are posted on our 
Internet site for your review, or you may inspect them on regular 
business days by making arrangements with the contact person shown 
under FOR FURTHER INFORMATION CONTACT.
    Electronic version: The electronic file of this document is 
available on the date of publication in the Federal Register at http://www.access.gpo.gov/su_docs/aces/aces140.html. It is also available on 
the Internet site for SSA (i.e., Social Security Online) at http://www.ssa.gov/regulations.

FOR FURTHER INFORMATION CONTACT: Georgia E. Myers, Regulations Officer, 
Office of Process and Innovation Management, 2109 West Low Rise 
Building, Social Security Administration, 6401 Security Boulevard, 
Baltimore, Maryland 21235-6401, [email protected], 410-965-3632 or 
TTY 410-966-5609 for information about these rules. For information on 
eligibility or filing for benefits: call our national toll-free 
numbers, 1-800-772-1213 or TTY 1-800-325-0778 or visit our Internet web 
site, Social Security Online, at http://www.ssa.gov.

SUPPLEMENTARY INFORMATION:

Purpose of the Pilot Project

    The purpose of the claimant identification pilots is to test and 
gather information in the use of photographic identification to address 
the issue of complicit impersonation in the disability claims process. 
Complicit impersonation is accomplished when an individual, posing as 
the intended claimant, and with the consent of the claimant, responds 
to a consultative examination appointment in order to misrepresent the 
claimant's true medical condition or provides false or misleading 
information that affects eligibility during interviews with SSA field 
office employees. SSA and the Office of the Inspector General (OIG) 
have noticed an upward trend in the number of such instances. It has 
become apparent that we need to strengthen our procedures for identity 
verification. We believe that the technology for the photographic 
identification process is currently available and could be implemented 
over a short time frame. The photographic identification process should 
give SSA an economical yet effective means of providing improved 
identity documents to CE physicians. We anticipate that it will be 
readily accepted by the public. We will evaluate the results of the 
pilot and expand or modify the procedures accordingly.

How We Would Conduct the Pilot Project

    We propose to conduct the pilots in the following designated 
geographic areas:
    (1) All SSA field offices in the State of South Carolina.
    (2) The Augusta, Georgia SSA field office.
    (3) All SSA field offices in the State of Kansas.
    (4) Selected SSA field offices located in New York City.
    The pilots would be in effect for a six-month period of time and 
would begin upon the effective date of the final rules.

Who Would Be Affected

    Individuals filing for title II and/or title XVI disability 
benefits at a Social Security office in the designated areas noted 
above would be required to participate in the claimant identification 
pilots. Individuals filing via the Internet or by telephone would also 
be included. We will be monitoring any possible impact that the pilot 
procedures might have on SSA's initiative to encourage the filing of 
applications online via the Internet.

Providing Photographic Identification

    While not part of the regulatory requirement, each individual would 
be asked to provide some form of photographic identification. This 
identification would be photocopied and the copy made a part of the SSA 
claims folder. SSA personnel would continue to follow regular 
identification procedures by asking the individuals questions based on 
information in the SSA database to ensure that the individuals are who 
they hold themselves out to be. SSA personnel would obtain additional 
identifying information if there is a doubt about the identity of the 
individual. If the individual does not have photographic identification 
available or does not wish to provide it to us, SSA personnel would not 
require it but will still follow regular identification procedures as 
before the pilots went into effect.

Photographs Taken by SSA

    Also as part of the claimant identification pilots, each individual 
filing for disability benefits at a location participating in the pilot 
program would be required to have a photograph taken by SSA personnel, 
regardless of whether the individual provides the photographic 
identification discussed above. A copy would be made of this image and 
placed in the SSA claims folder. Images would also be stored 
electronically and accessed by authorized SSA and Disability 
Determination Service (DDS) personnel.

If We Request a Consultative Examination

    If DDS personnel request a consultative examination (CE) for the 
individual, a hard copy image of the photograph would be made available 
to the person conducting the CE. This would help to determine whether 
the individual presenting himself or herself for examination is the 
same individual who presented himself or herself as the individual 
filing for disability benefits. We would ask the CE physician to copy 
the individual's own photographic identification when the physician was 
not provided with a photo or a copy of a photographic identification 
previously taken by SSA personnel.

Other Situations

    This same procedure would be used to verify the identity of pilot 
participants in the following situations:
    [sbull] After allowance, subsequent interviews for payment 
purposes.
    [sbull] Continuing Disability Reviews (CDR).
    [sbull] SSI Redeterminations.
    [sbull] If denied, appeals and any associated CE.

Explanation of Proposed Changes

Section 404.617 Pilot Program for Photographic Identification of 
Disability Benefit Applicants in Designated Geographic Areas

    In this new section we are proposing to require individuals filing 
for title II disability benefits to have their photograph taken by the 
Social Security Administration. We would permit an exception to the 
photograph requirement when an individual has a sincere religious 
objection.

Section 416.327 Pilot Program for Photographic Identification of 
Disability Benefit Applicants in Designated Geographic Areas

    In this new section we are proposing to require individuals filing 
for title XVI disability benefits to have their photograph taken by the 
Social Security Administration. We would permit an exception to the 
photograph requirement when an individual has a sincere religious 
objection.

Federal Register Notice for Modifying Privacy Act System of Records

    A formal notice that will modify the Privacy Act system of records 
for the

[[Page 69163]]

Claims Folder System will be published in the Federal Register to 
reflect the new information to be collected during the pilot projects.

Regulatory Procedures

Clarity of These Regulations

    Executive Order 12866, as amended by Executive Order 13258, 
requires each agency to write all rules in plain language. In addition 
to your substantive comments on these proposed rules, we invite your 
comments on how to make these proposed rules easier to understand. For 
example:
    [sbull] Have we organized the material to suit your needs?
    [sbull] Are the requirements in the rules clearly stated?
    [sbull] Do the rules contain technical language or jargon that 
isn't clear?
    [sbull] Would a different format (grouping and order of sections, 
use of headings, paragraphing) make the rules easier to understand?
    [sbull] Would more (but shorter) sections be better?
    [sbull] Could we improve clarity by adding tables, lists, or 
diagrams?
    [sbull] What else could we do to make the rules easier to 
understand?

Executive Order 12866, as Amended by Executive Order 13258

    The Office of Management and Budget (OMB) has reviewed these 
proposed rules in accordance with Executive Order 12866, as amended by 
Executive Order 13258. Because of the pilot's short time duration and 
limited geographic coverage, we expect any costs or savings to be 
negligible (i.e., less than $2.5 million).

Regulatory Flexibility Act

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

Paperwork Reduction Act

    These proposed rules contain reporting requirements as shown in the 
following table.

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                                                                                  Average burden     Estimated
                     Section                       Annual number   Frequency of    per response    annual burden
                                                   of responses      response        (minutes)        (hours)
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404.617.........................................          13,910               1               5           1,159
416.327.........................................          14,080               1               5           1,173
                                                 -----------------
    Total.......................................          27,990  ..............  ..............           2,332
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    An Information Collection Request has been submitted to OMB for 
clearance. We are soliciting comments on the burden estimate; the need 
for the information; its practical utility; ways to enhance its 
quality, utility and clarity; and on ways to minimize the burden on 
respondents, including the use of automated collection techniques or 
other forms of information technology. Comments may be mailed or faxed 
to the Office of Management and Budget and the Social Security 
Administration at the following addresses/fax numbers:

Office of Management and Budget, Attn: OMB Desk Officer, Rm. 10235, New 
Executive Office Building, 725 17th St., NW., Washington, DC 20503, Fax 
No. 202-395-6974.

Social Security Administration, Attn: SSA Reports Clearance Officer, 
Rm. 1-A-20 Operations Building, 6401 Security Boulevard, Baltimore, MD 
21235-6401, Fax No. 410-965-6400.

    Comments can be received between 30 and 60 days after publication 
of this notice and will be most useful if received by SSA within 30 
days of publication.

(Catalog of Federal Domestic Assistance Program Nos. 96.001, Social 
Security--Disability Insurance and 96.006, Supplemental Security 
Income)

List of Subjects

20 CFR Part 404

    Administrative practice and procedure, Aged, Blind, Disability 
benefits, Old-age, Survivors and Disability Insurance, Reporting and 
recordkeeping requirements, Social security.

20 CFR Part 416

    Administrative practice and procedure, Aged, Blind, Disability 
benefits, Public assistance programs, Reporting and recordkeeping 
requirements, Supplemental Security Income (SSI).

    Dated: October 9, 2002.
Jo Anne B. Barnhart,
Commissioner of Social Security.

    For the reasons set out in the preamble, we propose to amend part 
404, subpart G of chapter III, title 20 Code of Federal Regulations and 
part 416, subpart C of chapter III title 20 Code of Federal Regulations 
as follows:

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. Add new Sec.  404.617 under the existing heading, APPLICATIONS, 
to read as follows:


Sec.  404.617  Pilot program for photographic identification of 
disability benefit applicants in designated geographic areas.

    (a) To be eligible for Social Security disability insurance 
benefits in the designated pilot geographic areas during the time 
period of the pilot, you or a person acting on your behalf must give 
SSA permission to take your photograph and make this photograph a part 
of the claims folder. You must give us this permission when you apply 
for benefits and/or when we ask for it at a later time. Failure to 
cooperate will result in denial of benefits. We will permit an 
exception to the photograph requirement when an individual has a 
sincere religious objection. This pilot will be in effect for a six-
month period after the final rules become effective.
    (b) Designated pilot geographic areas means:
    (1) All SSA field offices in the State of South Carolina.
    (2) The Augusta, Georgia SSA field office.
    (3) All SSA field offices in the State of Kansas.
    (4) Selected SSA field offices located in New York City.


[[Page 69164]]



PART 416--SUPPLEMENTAL SECURITY INCOME FOR THE AGED, BLIND AND 
DISABLED

Subpart C--[Amended]

    3. The authority citation for subpart C of part 416 continues to 
read as follows:

    Authority: Secs. 702(a)(5), 1611, and 1631(a), (d), and (e) of 
the Social Security Act (42 U.S.C. 902(a)(5), 1382, and 1383(a), 
(d), and (e)).

    4. Add new Sec.  416.327 under the existing heading, APPLICATIONS, 
to read as follows:


Sec.  416.327  Pilot program for photographic identification of 
disability benefit applicants in designated geographic areas.

    (a) To be eligible for SSI disability benefits in the designated 
pilot geographic areas during the time period of the pilot, you or a 
person acting on your behalf must give SSA permission to take your 
photograph and make this photograph a part of the claims folder. You 
must give us this permission when you apply for benefits and/or when we 
ask for it at a later time. Failure to cooperate will result in denial 
of benefits. We will permit an exception to the photograph requirement 
when an individual has a sincere religious objection. This pilot will 
be in effect for a six-month period after the final rules become 
effective.
    (b) Designated pilot geographic areas means:
    (1) All SSA field offices in the State of South Carolina.
    (2) The Augusta, Georgia SSA field office.
    (3) All SSA field offices in the State of Kansas.
    (4) Selected SSA field offices located in New York City.

[FR Doc. 02-28957 Filed 11-14-02; 8:45 am]
BILLING CODE 4191-02-P