[Federal Register Volume 71, Number 146 (Monday, July 31, 2006)]
[Rules and Regulations]
[Pages 43054-43056]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: E6-12254]


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SOCIAL SECURITY ADMINISTRATION

20 CFR Part 422

RIN 0960-AG25


Social Security Number (SSN) Cards; Limiting Replacement Cards

AGENCY: Social Security Administration (SSA).

ACTION: Final rules.

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SUMMARY: The interim final rules published at 70 FR 74649, on December 
16, 2005, are adopted as final with only minor changes. 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), Public Law (Pub. L.) 108-458. Section 
7213(a)(1)(A) of Pub. L. 108-458 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.

DATES: These regulations are effective December 16, 2005.

FOR FURTHER INFORMATION CONTACT: Karen Cool, Social Insurance 
Specialist, Office of Income and Security Programs, 157 RRCC, Social 
Security Administration, 6401 Security Boulevard, Baltimore, MD 21235-
6401, ((410) 966-7094, 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:

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.

Background

    Our previous regulations at 20 CFR 422.103(e), Replacement of 
social security number card, stated 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 previous regulations at 20 CFR 422.110(a) stated 
that an individual who wished to change his or her name or other 
personal identifying information previously submitted in connection 
with an application for an SSN card 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 previous regulations did 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 
issuance of replacement cards that could affect the number of 
replacements an individual could obtain had been a protocol in our 
electronic records that prevented the issuance of a replacement SSN 
card within seven days of a previous issuance.
    Section 7213(a)(1)(A) of Pub. L. 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 
implementation of the limits not later than one year after December 17, 
2004. In applying these limits, we will not consider replacement social 
security number cards issued prior to December 16, 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

[[Page 43055]]

comply with this provision of Pub. L. 108-458, we revised Sec. Sec.  
422.103 and 422.110 of our regulations.

Explanation of Changes

Section 422.103 Social Security Numbers.

    In these final rules, we are making a nonsubtantive change to Sec.  
422.103(c)(1) by replacing the word ``duplicate'' with the word 
``replacement'' in that section. Although the interim final rules 
published on December 16, 2005 did not provide for this change to Sec.  
422.103(c)(1), the effect of this change is solely to make the 
terminology uniform throughout the section.
    We revised 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 Pub. L. 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 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 and continue to encourage 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. Further, because 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 SSN replacement cards issued due to a change 
in name or restrictive legend change. 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 eliminated language regarding 
the sub-categories of duplicate and corrected SSN cards from the 
language heretofore incorporated in this regulation.
    In these final rules, we are adding the term ``legal'' to the 
parenthethical statement that describes name changes (i.e., verified 
legal changes to first name and/or surname) to clarify what we consider 
an acceptable name change. Although this term was not included in the 
interim final rule, this is not a substantive change, but merely 
provides a more precise description of the kind of name change we 
intended as a basis for a replacement card. We believe this further 
clarification is necessary because we only accept name changes that can 
be verified by documentation obtained through a legal process.

Section 422.110 Individual's Request for Change in Record.

    We revised 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 made 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 also made other clarifying 
language changes.
    In these final rules, we are adding a parenthetical statement in 
paragraphs (a) and (b) to clarify what is considered a name change. As 
previously explained, these are not substantive changes, but merely 
provide a further description of what is considered an acceptable 
change in name. While the preamble to the interim final rules made it 
clear that name changes meant specific verified changes to a first name 
and/or surname, this language was inadvertently omitted from the 
interim final regulatory language.
    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. 
We applied these changes prospectively beginning on December 16, 2005, 
and we will not consider replacement SSN cards that were issued prior 
to that date when applying either limit.

Comments on Interim Final Rules

    On December 16, 2005, we published the interim final rules in the 
Federal Register at 70 FR 74649 and provided the public a 60-day 
comment period that ended on February 14, 2006. We received comments 
from four individuals and one organization in response to the interim 
final rules. We carefully considered all the comments. We adopted the 
interim final rules as final with only minor clarifying changes. We 
believe the following summaries accurately present the views of the 
commenters, and we provide our reasons for not adopting the comments in 
our responses below.
    Comment: Three individuals commented on the limits for replacement 
SSN cards. One agreed that limits are appropriate; another indicated 
that the new limits are too generous; and the last indicated that, 
after three cards, there should be a $100 (``or whatever it costs'') 
charge to get a replacement card.
    Response: We did not adopt these comments because the limits on 
replacement SSN cards in our rules were established by legislation that 
amended the Act. We believe these limits establish a fair balance 
between protecting the security and integrity of the SSN issuance 
process while not adversely affecting members of the public who may 
need to present an SSN card to obtain necessary benefits or services. 
Regarding fees for replacement cards, we had considered charging a fee 
in the past but determined that it was not practicable to do so.
    Comment: One individual commented that SSN cards should be typed in 
and issued from the local Social Security office, saying that this 
would increase the security and integrity of the SSN card.
    Response: This comment is outside the scope of the rule change 
which does not alter the centralized process we currently use for 
issuing SSN cards. Before we automated and centralized the SSN card 
issuance process, SSN cards were processed in the local Social Security 
offices. We believe a centralized process affords the greatest security 
and guarantees the integrity of SSN cards.
    Comment: A nonpartisan organization commented that it is in support 
of the limits on replacement SSN cards and our proposed exceptions to 
the limits as indicated in the interim final rule. The organization's 
representative further stated that the example of a person providing a 
referral letter from a governmental social services agency is exactly 
the sort of significant hardship that SSA could anticipate a person or 
family to face.
    Response: This comment supports our rule change and our definition 
of reasonable exceptions on a case-by-case basis in compelling 
circumstances. We want to ensure that individuals who

[[Page 43056]]

need services are not precluded from receiving them based on an 
inability to obtain a replacement SSN card.
    For the reasons discussed above, we have not changed the interim 
final rules based on the public comments. Therefore, except for the 
clarifying language changes made to Sec.  422.103 and Sec.  422.110, 
the interim final rules are adopted as final without change.

    Dated: May 16, 2006.
Jo Anne B. Barnhart,
Commissioner of Social Security.

0
Accordingly, the interim final rules amending 20 CFR part 422 published 
at 70 FR 74649 on December 16, 2005, are adopted as final with only 
minor clarifying language changes.

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 and by amending paragraph (c)(1) by removing the word 
``duplicate'' and adding in its place the word ``replacement'' in the 
last sentence of the paragraph.


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 legal 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.

0
3. 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 
(i.e., verified legal changes to the first name and/or surname), 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 (i.e., verified legal changes to the first 
name and/or surname) 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. E6-12254 Filed 7-28-06; 8:45 am]
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