[Federal Register Volume 68, Number 84 (Thursday, May 1, 2003)]
[Rules and Regulations]
[Pages 23192-23195]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 03-10627]


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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 (SSA).

ACTION: Final rules.

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SUMMARY: We are revising our regulations that pertain to the processing 
of initial claims for disability benefits under title II (Social 
Security Disability Insurance) and title XVI (Supplemental Security 
Income) of the Social Security Act (the Act). We will be conducting 
pilot projects wherein we will request photographic identification from 
individuals filing for title II and title XVI disability and blindness 
benefits in specified geographic areas covered by the pilot projects. 
In addition, we will require individuals to allow us to take their 
photograph and we will make these photographs a part of the claims 
folder. We will permit an exception to the photograph requirement when 
an individual has a sincere religious objection. This process will 
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: These regulations are effective May 31, 2003.
    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 ssa.gov.

FOR FURTHER INFORMATION CONTACT: Martin Sussman, Regulations Officer, 
Office of Regulations, 100 Altmeyer Building, Social Security 
Administration, 6401 Security Boulevard, Baltimore, Maryland 21235-
6401, ssa.gov">regulations@ssa.gov, 410-965-1767 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 ssa.gov.

SUPPLEMENTARY INFORMATION:

Purpose of the Pilot Projects

    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 Will Conduct the Pilot Projects

    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 will be in effect for a six-month period of time and will 
begin no earlier than the first day of the month following the month 
that the rules become effective.

Who Will Be Affected

    Individuals filing for title II and/or title XVI disability or 
blindness benefits at a Social Security office in the designated areas 
noted above will be required to participate in the claimant 
identification pilots. Individuals filing via the Internet or by 
telephone will 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 will 
be asked to provide some form of photographic identification. This 
identification will be photocopied and the copy made a part of the SSA 
claims folder. SSA personnel will 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 will 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 will 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 or blindness benefits at a location participating 
in the pilot program will be required to have a photograph taken by SSA 
personnel, regardless of whether the individual provides the 
photographic identification discussed above. A copy will be made of 
this image and placed in the SSA claims folder. Images will 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 for the 
individual, a hard copy image of the photograph will be made available 
to the person conducting the CE. This will 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 or blindness benefits. We will 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.

[[Page 23193]]

Other Situations

    This same procedure will be used to verify the identity of pilot 
participants in the following situations:
    [sbull] If the claim is allowed, subsequent interviews for payment 
purposes.
    [sbull] Continuing Disability Reviews.
    [sbull] SSI redeterminations.
    [sbull] If the claim is 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, individuals filing for title II disability benefits will 
be required to have their photograph taken by the Social Security 
Administration. We will 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, individuals filing for title XVI disability or blindness 
benefits will be required to have their photograph taken by the Social 
Security Administration. We will permit an exception to the photograph 
requirement when an individual has a sincere religious objection.

Proposed Rules

    On November 15, 2002, we published a Notice of Proposed Rulemaking 
(NPRM) in the Federal Register (67 FR 69161--69164) that led to these 
final rules. We have made one minor change from what we published. We 
have added the words ``and blindness'' in Sec.  416.327 to clarify that 
we intended to include all such cases in the pilot.

Public Comments

    During the comment period that began on November 15, 2002, and 
ended on January 14, 2003, we received seven comments on the proposed 
rules. All of them were generally supportive of the proposed rules and 
six of the comments included suggestions. They came from interested 
persons, a State agency, and professional associations. We carefully 
considered all of the comments relevant to the Claimant Identification 
Pilot Projects and provide our responses to those comments below. While 
we have condensed, summarized or paraphrased the comments, we have 
tried to present all views adequately and to respond to all the 
relevant issues raised by the commenters.

Comments That SSA Should Not Permit an Exception to the Photograph 
Requirement Based on a Sincere Religious Objection

    Comment: Two commenters believed that the rules should not allow 
for any exception to the photograph requirement, even on religious 
grounds.
    Response: We are providing for an exception in order to accommodate 
those persons who have a sincere religious objection to having their 
picture taken. We note that the Supreme Court upheld a decision by a 
court of appeals that a person with a sincere religious objection 
against having her picture taken could not be denied a driver's 
license. See Quaring v. Peterson, 728 F.2d 1121 (8th Cir. 1984), aff'd 
by an equally divided Court sub nom. Jensen v. Quaring, 472 U.S. 478 
(1985). An objection based on personal beliefs that are as sincere as a 
religious objection also may be accommodated, as the government may not 
distinguish among religions or between those who hold traditional 
religious beliefs and those who have sincere beliefs not based on a 
traditional religion. The Supreme Court has recognized as a valid 
objection to a government requirement those beliefs that occupy the 
same place in a person's life as belief in a traditional deity, noting 
that there is a vast diversity of religious beliefs in our country. See 
United States v. Seeger, 380 U.S. 163 (1965), cited in Quaring v. 
Peterson. As part of the pilot study, we will learn how many people 
might object for this reason to our taking their picture and how our 
accommodating their objection may affect our program.

Comments About Including Additional Exceptions to the Photograph 
Requirement

    Comment: Three commenters thought the exception to the photograph 
requirement should be broadened to include other ``good cause'' 
exceptions, such as individuals who would have difficulty traveling to 
an office to have a picture taken and individuals with medical 
conditions or behavioral problems that might be affected by having to 
visit an office and have a photograph taken. More specifically, one 
commenter believed that the need to bring individuals into an office 
for the photograph could present a problem if they were under the care 
of government agencies, public or private institutions, or other types 
of organizations. It could possibly disrupt the ongoing treatment and/
or routine of individuals with certain types of impairments.
    Response: We believe that in order for the photograph requirement 
to be a deterrent for complicit impersonation, the provision must be as 
inclusive as possible. It is also important to strike a balance between 
the degree of burden imposed and the overall effectiveness of the 
process. While we acknowledge that government agencies and other 
organizations might experience additional responsibilities because of 
the photographs, we believe that it is a prudent requirement. Since the 
number of individuals filing and/or receiving disability benefits 
increases substantially every year, it becomes even more essential for 
SSA to be cautious and vigilant in the verification of claimants' 
identities. It is important to note that the pilot regulations will be 
in effect for only a six month period of time in a limited geographic 
area. We will be gathering information on the acceptability of the 
photograph requirement and exploring possible changes that might be 
needed to the exceptions if the procedures are later implemented on a 
nationwide basis.

Comments About the Fact That Many Individuals Do Not Have Photographic 
Identification Readily Available

    Comment: Two commenters believed that the procedures should not 
result in adverse actions against individuals who cannot produce 
photographic identification. They point out that many individuals will 
not have acceptable photographic identification readily available.
    Response: The pilot regulations state that providing some form of 
photographic identification for SSA to copy is not a mandatory 
requirement. No adverse actions will result if an individual does not 
provide a photographic identification. The purpose of including this 
request as part of the pilot is to gather information on the general 
availability and usability of photographic identifications among the 
individuals we serve.

Comments About the Fact That the Photographs Taken by SSA During the 
Pilot Should be Subject to Privacy Act Protections

    Comment: Two commenters stated that SSA should state that the 
photographs taken by SSA during the pilot will be subject to the 
provisions of the Privacy Act.
    Response: We are preparing a Federal Register notice amend the 
Claims Folders System that is maintained by SSA in order to permit the 
storage of photographs of individuals taken during the pilot. This will 
explain that the photographs are covered by the Privacy

[[Page 23194]]

Act. We will also provide each claimant with a Private Act notice 
handout.

Comments Suggesting That the Photographs Taken by SSA Be Used as 
Evidence of Disability

    Comment: One commenter suggested that the photographs taken by SSA 
should be used for evidence of disability for the individuals that file 
applications.
    Response: The intent of the pilot regulations is to address the 
problem of complicit impersonation and to improve our ability to detect 
and prevent identity fraud in SSA applications and programs. We want to 
limit the use of photographs to the purpose stated in the pilot at this 
time.

Federal Register Notice for Modifying Privacy Act System of Records

    A formal notice that will modify the Privacy Act system of records 
for the Claims Folder Systemf will be published in the Federal Register 
to reflect the new information to be collected during the pilot 
projects.

Regulatory Procedures

Executive Order 12866

    The Office of Management and Budget (OMB) has reviewed these final 
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 final rules will 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

    As part of the claimant identification pilot project SSA is 
requesting clearance of two associated public use forms that will 
collect pilot performance and tracking data. Listed below is the title 
and summary of the 2 proposed forms:
The Claimant ID Pilot Flag
    The claimant ID Pilot Flag will be used by SSA to track and 
identify case disposition of disability claims filed at the pilot 
offices. Respondents are Disability Determination Service (DDS) 
personnel.
Consultative Examination Evaluation Form
    The Consultative Examination Evaluation Form is designed to elicit 
feedback data about the photographic identification process from 
physicians that conduct consultative examinations within the designated 
pilot areas. Respondents to the collection are consultative examination 
providers participating in the pilot.
    Both the Claimant ID Pilot Flag and the Consultative Examination 
Evaluation Form will be used by SSA to provide evaluation data and 
measure the effectiveness of the pilots. Burden information concerning 
the use of these forms is shown in the following table.

----------------------------------------------------------------------------------------------------------------
                                                                                            Average    Estimated
                                                                    Annual     Frequency  burden per    annual
                              Form                                 number of      of       response     burden
                                                                   responses   response    (minutes)    (hours)
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Claimant ID Pilot Flag..........................................      27,990           1           1         467
Consultative Examination Evaluation Form........................      11,196           1           2         373
                                                                 -------------
    Total.......................................................      39,186  ..........  ..........         840
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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 can 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, 
1338 Annex Building, 6401 Security Boulevard, Baltimore, MD 21235-6401. 
Fax No. 410-965-6400.

    Comments can be received up to 30 days after publication of this 
notice.

(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 
record keeping 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: March 12, 2003.
Jo Anne B. Barnhart,
Commissioner of Social Security.

0
For the reasons set out in the preamble, we are amending part 404, 
subpart G and part 416, subpart C of chapter III, title 20 of the Code 
of Federal Regulations as follows:

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

0
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)).

0
2. Add new Sec.  404.617 under the existing heading, Applications, to 
read as follows:

Applications

* * * * *


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

[[Page 23195]]

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 
these 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.

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

0
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)).


0
4. Add new Sec.  416.327 under the existing heading, Applications, to 
read as follows:

Applications

* * * * *


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

    (a) To be eligible for SSI disability or blindness 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 these 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. 03-10627 Filed 4-30-03; 8:45 am]
BILLING CODE 4191-02-P