[Federal Register Volume 70, Number 241 (Friday, December 16, 2005)]
[Rules and Regulations]
[Pages 74649-74652]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 05-23962]


=======================================================================
-----------------------------------------------------------------------

SOCIAL SECURITY ADMINISTRATION

20 CFR Part 422

RIN 0960-AG25


Social Security Number (SSN) Cards; Limiting Replacement Cards

AGENCY: Social Security Administration (SSA).

ACTION: Interim final rule with request for comments.

-----------------------------------------------------------------------

SUMMARY: These regulations reflect and implement amendments to the 
Social Security Act (the Act) made by part of the Intelligence Reform 
and Terrorism Prevention Act of 2004 (IRTPA). Section 7213(a)(1)(A) of 
the IRTPA requires that we limit individuals to three replacement SSN 
cards per year and ten replacement SSN cards during a lifetime. The 
provision permits us to allow for reasonable exceptions from these 
limits on a case-by-case basis in compelling circumstances. This 
provision also helps us to further strengthen the security and 
integrity of the SSN issuance process. The limits on replacement SSN 
cards will be established prospectively, effective no later than 
December 17, 2005, regardless of the date we issue final rules in the 
Federal Register.

DATES: These final rules with request for comment are effective 
December 16, 2005. To be sure that your comments are considered, we 
must receive them no later than February 14, 2006.

ADDRESSES: You may give us your comments by: using our Internet 
facility (i.e., Social Security Online) at http://policy.ssa.gov/erm/rules.nsf/Rules+Open+To+Comment or the Federal eRulemaking Portal at 
http://www.regulations.gov; e-mail to [email protected]; telefax to 
(410) 966-2830; or letter to the Commissioner of Social Security, P.O. 
Box 17703, Baltimore, MD 21235-7703. You may also deliver them to the 
Office of Regulations, Social Security Administration, 100 Altmeyer 
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, or you may inspect them physically on regular business 
days by making arrangements with the contact person shown in this 
preamble.
    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.

FOR FURTHER INFORMATION CONTACT: Robert J. Augustine, Social Insurance 
Specialist, Office of Regulations, 100 Altmeyer Building, Social 
Security Administration, 6401 Security Boulevard, Baltimore, MD 21235-
6401, (410) 965-0020, or TTY (410) 966-5609. 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.socialsecurity.gov.

SUPPLEMENTARY INFORMATION:

Background

    Our current regulations at 20 CFR 422.103(e), Replacement of social 
security number card, state that:
     In the case of lost or damaged SSN card, a duplicate card 
bearing the same name and number may be issued, and
     In the case of a need to change the name on the card, a 
corrected card bearing the same number and the new name may be issued.
    Furthermore, our regulations at 20 CFR 422.110(a) currently state 
that an individual who wishes to change his or her name or other 
personal identifying information must prove his or her identity and may 
be required to provide other evidence. If a completed request and all 
applicable evidence are received for a change in name, a new SSN card 
with the new name and bearing the same number previously assigned will 
be issued to the person making the request.
    Our current regulations do not put any numerical limits on the 
number of replacement SSN cards an individual may obtain. Prior to the 
new statutory replacement SSN card limit, the only limitation on the 
number of cards has been a protocol in our electronic records that 
prevents the issuance of a replacement SSN card within seven days of a 
previous issuance.
    Section 7213(a)(1)(A) of Public Law 108-458 (the Intelligence 
Reform and Terrorism Prevention Act of 2004), enacted on December 17, 
2004, requires that we restrict the issuance of multiple replacement 
SSN cards to any individual to three replacement SSN cards per year and 
ten replacement cards for the life of the individual. The statute 
mandates enforcement of the limits not later than one year after 
December 17, 2004. In applying these

[[Page 74650]]

limits, we will not consider replacement social security number cards 
issued prior to December 17, 2005. The provision also states that we 
may allow for reasonable exceptions from the limits on a case-by-case 
basis in compelling circumstances. In order to comply with this 
provision of Public Law 108-458, we are revising Sec. Sec.  422.103 and 
422.110 of our regulations.
    We are also making nonsubstantive changes to Sec.  422.107 to 
streamline the wording in this section.

Explanation of Changes

Section 422.103 Social Security Numbers

    We are revising Sec.  422.103(e) of our regulations by restricting 
the number of replacement cards an individual may obtain both during a 
year and over a lifetime. These limits are set at three replacement SSN 
cards in a year and ten per lifetime. However, as permitted by section 
7213(a)(1)(A) of Public Law 108-458, we may allow for reasonable 
exceptions to these limits on a case-by-case basis in compelling 
circumstances. We are allowing exceptions for name changes (i.e., 
verified changes to first name and/or surname) and for changes in alien 
status that result in a necessary change to a restrictive legend on the 
SSN card, because we believe these situations satisfy the compelling 
circumstances test. We want to ensure the accuracy of our records by 
encouraging number holders to report name changes and changes in alien 
status. Consequently, every change in name or alien status, where the 
restrictive legend must change, presents compelling circumstances for 
not applying the replacement card limits. Since we investigate the 
validity of documents submitted when individuals change their name or 
alien status (see 20 CFR 422.107(c) and (e)), we believe these are 
reasonable exceptions to the limitations in light of our compelling 
need for accurate records. Therefore, we will not count toward the 
annual and lifetime limits those SSN replacement cards for name and 
restrictive legend changes. We will grant an exception to the limits on 
a case-by-case basis if the individual provides evidence of hardship, 
such as a referral letter from a governmental social services agency 
indicating that the SSN card must be shown in order to obtain benefits 
or services. Finally, in an effort to streamline our definition of a 
replacement SSN card, we are eliminating language regarding the sub-
categories of duplicate and corrected SSN cards from the language 
heretofore incorporated in this regulation.

Section 422.107 Evidence Requirements

    To conform to the changes we are proposing in Sec.  422.103 
regarding streamlining the definition of a replacement SSN card, we are 
replacing the words ``duplicate'' or ``corrected'' with ``replacement'' 
in paragraphs (a) through (e) and (g) of this section.

Section 422.110 Individual's Request for Change in Record

    We are revising Sec.  422.110 to add cross-references to new 
paragraph (e)(2) in Sec.  422.103, which describes the new limits on 
replacement SSN cards and the exceptions to those limits. We are making 
a minor revision to paragraph (b) to reflect that the Immigration and 
Naturalization Service has been abolished and its functions and units 
incorporated into the Department of Homeland Security. We have also 
made other clarifying language changes.
    We anticipate that the three-card per year limit will impact fewer 
than 10,000 individuals in any given year. For example, of the nearly 
12.4 million replacement SSN cards we issued in 2004, the number of 
individuals who requested more than three replacement cards was 3,818. 
However, we do not have any data available for those individuals who 
requested replacement cards exceeding the ten-card per lifetime limit. 
These changes will be effective prospectively, and we will not consider 
replacement SSN cards that were issued prior to the rule change when 
applying either limit.

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 rules, we invite your comments on 
how to make these 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 is 
unclear?
     Would a different format (grouping and order of sections, 
use of headings, 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?

Regulatory Procedures

    Pursuant to section 702(a)(5) of the Act, 42 U.S.C. 902(a)(5), as 
amended by section 102 of Public Law 103-296, SSA follows the 
Administrative Procedure Act (APA) rulemaking procedures specified in 5 
U.S.C. 553 in the development of its regulations. The APA provides 
exceptions to its Notice of Proposed Rulemaking (NPRM) 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.
    In the case of these rules, we have determined that, under 5 U.S.C. 
553(b)(B), good cause exists for dispensing with the notice and public 
comment procedures. Application of the notice and comment provisions is 
impracticable because section 7213(a)(1)(A) of Public Law 108-458 must 
be implemented no later than December 17, 2005 . In addition, section 
7213(a)(1)(A) serves important anti-terrorism and fraud prevention 
goals, which would be frustrated by any implementation delays. Thus, 
the public interest will be best served by immediate implementation of 
section 7213(a)(1)(A), which will deter and prevent SSN misuse and 
fraud.
    In addition, we find good cause for dispensing with the 30-day 
delay in the effective date of a substantive rule, provided for by 5 
U.S.C. 553(d). As explained above, SSA is responding to the public need 
to deter and prevent SSN misuse and fraud under the requirements of the 
IRTPA. Therefore, we find that it is in the public interest to make 
these rules effective upon publication, with a request for comments so 
that the rules can be revised as necessary or appropriate after public 
review. We intend to publish final rules within 120 days of the close 
of the comment period.

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 meet the criteria for a 
significant regulatory action under Executive Order 12866, as amended 
by Executive Order 13258. Thus, the rules have been reviewed by OMB.

Regulatory Flexibility Act

    We certify that these rules would not have a significant economic 
impact on a substantial number of small entities because they would 
affect only individuals. Thus, a regulatory flexibility analysis as 
provided in the

[[Page 74651]]

Regulatory Flexibility Act, as amended, is not required.

Paperwork Reduction Act

    These rules contain reporting requirements as shown in the 
following table. Where the public reporting burden is accounted for in 
Information Collection Requests for the various forms that the public 
uses to submit the information to SSA, a 1-hour placeholder burden is 
being assigned to the specific reporting requirement(s) contained in 
these rules; we are seeking clearance of these burdens because they 
were not considered during the clearance of the forms.

----------------------------------------------------------------------------------------------------------------
                                                                                      Average
                                                  Annual  number   Frequency of     burden per       Estimated
                     Section                       of  responses     response        response      annual burden
                                                                                      (hours)         (hours)
----------------------------------------------------------------------------------------------------------------
422.103(b), and 422.110(a)......................  ..............  ..............  ..............               1
422.103(e)(2)...................................           4,000               1               1           4,000
                                                 -----------------
    Total.......................................  ..............  ..............  ..............           4,001
----------------------------------------------------------------------------------------------------------------

    An Information Collection Request has been submitted to the Office 
of Management and Budget (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 should be submitted and/or faxed to OMB at the 
following address/number: Office of Management and Budget, Attn: Desk 
Officer for SSA, Fax Number: 202-395-6974.
    Social Security Administration, Attn: SSA Reports Clearance 
Officer, Rm. 1338 Annex Building, 6401 Security Boulevard, Baltimore, 
MD 21235-6401, Fax Number: 410-965-6400.
    We will accept comments for 60 days after this notice is published, 
but comments would be most useful if we receive them within 30 days. To 
receive a copy of the OMB clearance package, you may call the SSA 
Reports Clearance Officer on 410-965-0454.

(Catalog of Federal Domestic Assistance Programs Nos. 96.001, Social 
Security--Disability Insurance; 96.002 Social Security--Retirement 
Insurance; 96.004, Social Security--Survivors Insurance; 96.006, 
Supplemental Security Income)

List of Subjects in 20 CFR Part 422

    Administrative practice and procedure, Organization and functions 
(Government agencies) Reporting and recordkeeping requirements, Social 
Security.

    Dated: November 8, 2005.
Jo Anne B. Barnhart,
Commissioner of Social Security.

0
For the reasons set out in the preamble, we are amending part 422, 
subpart B, chapter III of title 20, Code of Federal Regulations as 
follows:

PART 422--ORGANIZATION AND PROCEDURES

Subpart B--[Amended]

0
1. The authority citation for subpart B of part 422 is revised to read 
as follows:

    Authority: Secs. 205, 232, 702(a)(5), 1131, 1143 of the Social 
Security Act (42 U.S.C. 405, 432, 902(a)(5), 1320b-1, and 1320b-13), 
and sec. 7213(a)(1)(A) of Pub. L. 108-458.


0
2. Section 422.103 is amended by revising paragraph (e) to read as 
follows:


Sec.  422.103  Social security numbers.

* * * * *
    (e) Replacement of social security number card. (1) When we may 
issue you a replacement card. We may issue you a replacement social 
security number card, subject to the limitations in paragraph (e)(2) of 
this section. In all cases, you must complete a Form SS-5 to receive a 
replacement social security number card. You may obtain a Form SS-5 
from any Social Security office or from one of the sources noted in 
paragraph (b) of this section. For evidence requirements, see Sec.  
422.107.
    (2) Limits on the number of replacement cards. There are limits on 
the number of replacement social security number cards we will issue to 
you. You may receive no more than three replacement social security 
number cards in a year and ten replacement social security number cards 
per lifetime. We may allow for reasonable exceptions to these limits on 
a case-by-case basis in compelling circumstances. We also will consider 
name changes (i.e., verified changes to the first name and/or surname) 
and changes in alien status which result in a necessary change to a 
restrictive legend on the SSN card (see paragraph (e)(3) of this 
section) to be compelling circumstances, and will not include either of 
these changes when determining the yearly or lifetime limits. We may 
grant an exception if you provide evidence establishing that you would 
experience significant hardship if the card were not issued. An example 
of significant hardship includes, but is not limited to, providing SSA 
with a referral letter from a governmental social services agency 
indicating that the social security number card must be shown in order 
to obtain benefits or services.
    (3) Restrictive legend change defined. Based on a person's 
immigration status, a restrictive legend may appear on the face of an 
SSN card to indicate that work is either not authorized or that work 
may be performed only with Department of Homeland Security (DHS) 
authorization. This restrictive legend appears on the card above the 
individual's name and SSN. Individuals without work authorization in 
the U.S. receive SSN cards showing the restrictive legend, ``Not Valid 
for Employment;'' and SSN cards for those individuals who have 
temporary work authorization in the U.S. show the restrictive legend, 
``Valid For Work Only With DHS Authorization.'' U.S. citizens and 
individuals who are permanent residents receive SSN cards without a 
restrictive legend. For the purpose of determining a change in 
restrictive legend, the individual must have a change in immigration 
status or citizenship which results in a change to or the removal of a 
restrictive legend when compared to the prior SSN card data. An SSN 
card request based upon a change in immigration status or citizenship 
which does not affect the restrictive legend will count toward the 
yearly and lifetime limits, as in the case of Permanent Resident Aliens 
who attain U.S. citizenship.


Sec.  422.107  [Amended]

0
3. Section 422.107 is revised as follows:
0
a. In the second sentence of paragraph (a), the second sentence of 
paragraph (b), the first sentence of paragraph (c), the second sentence 
of paragraph (d)

[[Page 74652]]

introductory text, and the first sentence of paragraph (e)(i), remove 
``duplicate or corrected'' and add in its place ``replacement.''
0
b. In the third and fourth sentences of paragraph (a), the first 
sentence of paragraph (d) introductory text, and the first sentence of 
paragraph (g), remove ``,duplicate, or corrected'' and add in its place 
``or replacement.''

0
4. Section 422.110 is revised to read as follows:


Sec.  422.110  Individual's request for change in record.

    (a) Form SS-5. If you wish to change the name or other personal 
identifying information you previously submitted in connection with an 
application for a social security number card, you must complete and 
sign a Form SS-5 except as provided in paragraph (b) of this section. 
You must prove your identity, and you may be required to provide other 
evidence. (See Sec.  422.107 for evidence requirements.) You may obtain 
a Form SS-5 from any local Social Security office or from one of the 
sources noted in Sec.  422.103(b). You may submit a completed request 
for change in records to any Social Security office, or, if you are 
outside the U.S., to the Department of Veterans Affairs Regional 
Office, Manila, Philippines, or to any U.S. Foreign Service post or 
U.S. military post. If your request is for a change of name on the 
card, we may issue you a replacement card bearing the same number and 
the new name. We will grant an exception from the limitations specified 
in Sec.  422.103(e)(2) for replacement social security number cards 
representing a change in name or, if you are an alien, a change to a 
restrictive legend shown on the card. (See Sec.  422.103(e)(3) for the 
definition of a change to a restrictive legend.)
    (b) Assisting in enumeration. We may enter into an agreement with 
officials of the Department of State and the Department of Homeland 
Security to assist us by collecting, as part of the immigration 
process, information to change the name or other personal identifying 
information you previously submitted in connection with an application 
or request for a social security number card. If your request is to 
change a name on the card or to correct the restrictive legend on the 
card to reflect a change in alien status, we may issue you a 
replacement card bearing the same number and the new name or legend. We 
will grant an exception from the limitations specified in Sec.  
422.103(e)(2) for replacement social security number cards representing 
a change of name or, if you are an alien, a change to a restrictive 
legend shown on the card. (See Sec.  422.103(e)(3) for the definition 
of a change to a restrictive legend.)
[FR Doc. 05-23962 Filed 12-15-05; 8:45 am]
BILLING CODE 4191-02-P