[Federal Register Volume 69, Number 3 (Tuesday, January 6, 2004)]
[Rules and Regulations]
[Pages 497-499]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 04-188]


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SOCIAL SECURITY ADMINISTRATION

20 CFR Part 404 and 422

[Regulations No. 4 and 22]
RIN 0960-AF52


Filing of Applications and Related Forms

AGENCY: Social Security Administration (SSA).

ACTION: Final rule.

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SUMMARY: These final regulations revise our rules relating to the 
filing of an application for Social Security benefits. They inform the 
public of the option of filing Internet applications on our Web site 
for several types of Social Security benefits. These changes explain 
that we will accept Internet applications completed on our Web site as 
prescribed applications for filing for Social Security benefits. We 
have added cross-references to several sections to describe what makes 
an application a claim for benefits; and we updated the list of related 
forms with other forms that are currently used in the application 
process.

EFFECTIVE DATE: These rules are effective on February 5, 2004.

FOR FURTHER INFORMATION CONTACT: Martin Sussman, Regulations Officer, 
Office of Regulations, Social Security Administration, 100 Altmeyer 
Building, 6401 Security Boulevard, Baltimore, MD 21235-6401, (410) 965-
1767 or TTY (410) 966-5609. For information on eligibility or filing 
for benefits: Call our national toll-free number 1-800-722-1213, or TTY 
1-800-325-0778 or visit our Internet Web site, Social Security Online 
at http://www.socialsecurity.gov.

Electronic Version

    The electronic file of this document is available on the date of 
publication in the Federal Register at http://www.gpoaccess.gov/fr/index.html. It is also available on the Internet site for SSA (i.e., 
Social Security Online): http://www.ssa.gov/regulations.

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 have established 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 an 
application may be filed, 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 on one of its forms for an annuity 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 of our regulations. 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.
    We are committed to providing the public with the option to conduct 
business electronically by adding more Internet services on SSA's Web 
site, Social Security Online http://www.socialsecurity.gov/.
    Toward this objective, we developed an Internet Retirement 
Insurance Benefit application for national implementation in the fall 
of 2000. Since then, we have expanded Internet applications to 
encompass spouses' and disability insurance benefits. 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 benefits categories 
will be available in the future. As applications become available on 
our Web site, an explanation of our approved signature method for the 
application will be incorporated as part of the Internet application 
process. In the interim, individuals who use the Internet application 
process must physically sign the printed application and submit it to 
us.
    The main purpose for these revisions is to inform the public of the 
option of filing an Internet application on our Web site for several 
types of Social Security benefits. These revisions include updating the 
list of related forms in section 422.505(b) to reflect only those forms 
that are currently in

[[Page 498]]

use in the application process. These revisions add cross-references to 
related sections to ensure that all necessary information for filing an 
application is available to the public. Finally, the 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 revisions and our reasons for the 
changes.

Explanation of Revisions

    We have changed the language in section 404.610 for clarity. We 
added a cross-reference in section 404.610(a) to related section 
422.505(a), which explains the types of prescribed applications to be 
used by the public when filing for Social Security benefits. In section 
404.611, we changed the heading as part of reformatting the section. In 
addition we added a cross-reference in section 404.611(a) to related 
section 422.505(a), which, as noted above, explains the types of 
prescribed applications. We also revised the caption in section 
404.611(b) as part of the new format and revised the text to make the 
section clearer. Similarly, in section 404.611(c) we changed the 
caption and the text as part of the format change. We changed the 
heading in section 422.505 and the language in section 422.505(a) to 
make the contents of the section clearer. We also have changed section 
422.505(a) to include language to state that Internet applications on 
SSA's Web site are prescribed applications. In section 422.505(b) we 
changed the list of related forms to delete the forms that are obsolete 
and to add forms that are currently in use. We also updated the titles 
of several forms.

Public Comments

    We published a Notice of Proposed Rulemaking (NPRM) on August 17, 
2001 (66 FR 43136), and provided a 60-day comment period on the NPRM. 
The only comment concerned the subject of electronic filing. The 
comment stated that ``it was about time.'' This comment was supportive 
of our proposed changes. Accordingly, we are publishing these changes 
as indicated in the NPRM except we:
    [sbull] Clarified in Sec.  422.505(a) that an applicant must sign a 
hard paper copy.
    [sbull] Added SSA-783 to Sec.  422.505(b). This form was 
inadvertently omitted from the NPRM.
    [sbull] Deleted SSA-1323 from Sec.  422.505(b). This form has been 
obsoleted.
    [sbull] Made minor editorial changes.

Regulatory Procedures

Executive Order 12866, as Amended by Executive Order 13258

    We have consulted with the Office of Management and Budget (OMB) 
and determined that these final rules do not meet the criteria for a 
significant regulatory action under E.O. 12866, as amended by E.O. 
13258. 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 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 final rules contain reporting requirements in sections 
404.610, 404.611, and 422.505. The public reporting burden is accounted 
in the Information Collection Request for the various forms that the 
public uses to submit the information to us. Consequently, a 1-hour 
placeholder burden is being assigned to the specific reporting 
requirements contained in these rules. We are seeking clearance of the 
burdens referenced in these rules because they were not considered 
during publication; these burdens will not be effective until cleared 
by the OMB. 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 ways to minimize the burden on 
respondents, including the use of automated collection techniques or 
other forms of information technology. We will publish a notice in the 
Federal Register upon OMB approval of the information collection 
requirement(s). Comments should be submitted to the OMB desk officer 
for SSA within 30 days of publication of these final rules at the 
following address: Office of Management and Budget, Attn: Desk Officer 
for SSA, New Executive Office Building, Room 10235, 725 17th Street, 
NW., Washington, DC 20503. Fax No. (202) 395-6974.

(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: December 29, 2003.
Jo Anne B. Barnhart,
Commissioner of Social Security.

0
For the reason set forth in the preamble, we are amending subpart G of 
part 404 and subpart F of part 422, in 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]

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. 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).

0
3. Section Sec.  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 
(RRB)? If you file an application with the RRB on one of its forms for 
an annuity under section 2 of the Railroad Retirement Act, as amended, 
we will consider this an

[[Page 499]]

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 survivors' benefits, except for the lump sum death payment.

PART 422--ORGANIZATION AND PROCEDURES

Subpart F--[Amended]

0
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.


0
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. We then print a copy on 
paper, have you sign it and process the signed application 
electronically. You may also use SSA's Internet website to submit an 
SSA-approved application to us. You can complete an Internet 
application 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 must print and sign the completed application and 
deliver the form to us.
    (b) Related forms. The following are some related forms:
    SSA-3--Marriage Certification. (For use in connection with 
Application for Wife's or Husband's Insurance Benefits, (Form SSA-2))
    SSA-11--Request to be Selected as Payee. (For use when an 
individual proposing to be substituted for the current payee files an 
application to receive payment of benefits on behalf of disabled child, 
or a child under 18, or an incapable or incompetent beneficiary or for 
himself/herself if he/she has a payee.)
    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 Spouse's Benefits. (For 
use by a wife or husband age 62 to full retirement age who has an 
entitled child in his or her care and elects to receive reduced 
benefits for months during which he or she will not have a child in his 
or her care.)
    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). 
(For use in collecting evidence of support.)
    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-783--Statement Regarding Contributions. (This form may be used 
as evidence of total contributions for a child.)
    SSA-787--Physician's/Medical Officer's Statement of Patient's 
Capability to Manage Benefits. (This form may be used to request 
evidence of capability from various medical sources.)
    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. (To be completed by a disability 
claimant to authorize release of medical or other information.)
    SSA-1002--Statement of Agricultural Employer (Years Prior to 1988). 
(For use by employer to provide evidence of annual wage payments for 
agricultural work.)
    SSA-1372--Student's Statement Regarding School Attendance. (For use 
in connection with 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 Amount 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, source of medical evidence 
and other information needed to process the claim to a determination or 
decision.)
    SSA-3369--Disability Report--Work History. (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 payment 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 
the 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. 04-188 Filed 1-5-04; 8:45 am]
BILLING CODE 4191-02-P