[Federal Register Volume 82, Number 73 (Tuesday, April 18, 2017)]
[Notices]
[Pages 18335-18340]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2017-07796]
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SOCIAL SECURITY ADMINISTRATION
[Docket No: SSA-2017-0019]
Agency Information Collection Activities: Proposed Request and
Comment Request
The Social Security Administration (SSA) publishes a list of
information collection packages requiring clearance by the Office of
Management and Budget (OMB) in compliance with Public Law 104-13, the
Paperwork Reduction Act of 1995, effective October 1, 1995. This notice
includes revisions of OMB-approved information collections.
SSA is soliciting comments on the accuracy of the agency's burden
estimate; the need for the information; its practical utility; ways to
enhance its quality, utility, and clarity; and ways to minimize burden
on respondents, including the use of automated collection techniques or
other forms of information technology. Mail, email, or fax your
comments and recommendations on the information collection(s) to the
OMB Desk Officer and SSA Reports Clearance Officer at the following
addresses or fax numbers.
(OMB), Office of Management and Budget, Attn: Desk Officer for SSA,
Fax: 202-395-6974, Email address: [email protected].
(SSA), Social Security Administration, OLCA, Attn: Reports
Clearance Director, 3100 West High Rise, 6401 Security Blvd.,
Baltimore, MD 21235, Fax: 410-966-2830, Email address:
[email protected]. Or you may submit your comments online
through www.regulations.gov, referencing Docket ID Number [SSA-2017-
0019].
I. The information collections below are pending at SSA. SSA will
submit them to OMB within 60 days from the date of this notice. To be
sure we consider your comments, we must receive them no later than June
19, 2017. Individuals can obtain copies of the collection instruments
by writing to the above email address.
1. Promoting Opportunity Demonstration--0960-NEW. Section 823 of
the Bipartisan Budget Act of 2015 requires SSA to carry out the
Promoting Opportunity Demonstration (POD) to test a new benefit offset
formula for Social Security Disability Insurance (SSDI) beneficiaries.
Therefore, SSA is undertaking POD, a demonstration to evaluate the
affect the new policy will have on SSDI beneficiaries and their
families in several critical areas: (1) Employment, (2) benefits, (3)
earnings, and (4) income (earnings plus benefits). Under current law,
Social Security beneficiaries lose their SSDI benefit if they have
earnings or work activity above the threshold of Substantial Gainful
Activity (SGA). The POD evaluation will draw on previous lessons from
related work incentive experiences, especially SSA's Benefit Offset
National Demonstration (BOND), 0960-0785, which tested a different
offset formula. POD tests a different policy than BOND in two important
ways: (1) A lower threshold at which point the offset is applied--
increasing the likelihood of reducing benefit expenditures relative to
current law expenditures; and (2) A more immediate adjustment to the
benefits--to increase the salience and clarity of the offset policy for
beneficiaries. The POD will test a benefit offset that will reduce
benefits by $1 for every $2 in participants' earnings above the POD
threshold, gradually reducing benefits as earnings increase. The POD
threshold will equal the greater of (1) an inflation-adjusted trial
work period level ($840 in 2017); or (2) the amount of the
participant's itemized impairment-related work expenses up to SGA. The
new rules we will test in POD also simplify work incentives and we
intend them to promote employment and reduce dependency on benefits.
The design for POD will include implementation and evaluation
activities designed to answer seven central research questions:
What are the impacts of the two POD benefit designs on
beneficiaries' earnings, SSDI benefits, and total earnings and benefit
income?
Is POD attractive to beneficiaries? Do they remain engaged
over time?
How were the POD offset policies implemented, and what
operational,
[[Page 18336]]
systemic, or contextual factors facilitated or posed challenges to
administering the offset?
How successful were POD and SSA in making timely benefit
adjustments, and what factors affected timeliness positively or
negatively?
How do the impacts of the POD offset policies vary with
beneficiary characteristics?
What are the costs and benefits of the POD benefit designs
relative to current law, and what are the implications for the SSDI
trust fund?
What are the implications of the POD findings for national
policy proposals that would include a SSDI benefit offset?
The public survey data collections have four components--a process
analysis, a participation analysis, an impact analysis, and a cost-
benefit analysis. The data collections are the primary source for data
to measure the effects the benefit offset on SSDI beneficiaries' work
efforts and earnings. Ultimately, these data will benefit researchers,
policy analysts, policy makers, SSA, and the state vocational
rehabilitation agencies in a wide range of program areas. There are
four targeted outcomes for SSDI beneficiaries under POD: (1) Increased
employment and earnings; (2) decreased benefits payments; (3) increased
total income; and (4) impacts on other related outcomes (for example,
health status and quality of life).
Additionally, four outcomes of interest for system changes
include: (1) Reduction in overpayments; (2) enhanced program integrity;
(3) stronger culture of self-sufficiency; and (4) improved SSDI trust
fund balance. Respondents are SSDI beneficiaries, who will provide
written consent before agreeing to participate in the study and before
we randomly assign them to one of the study treatment groups.
Type of Request: Request for a new information collection.
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Average burden Estimated
Modality of completion Number of Frequency of Number of per response total annual
respondents response responses (minutes) burden (hours)
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Informed Consent Form........... 16,500 1 16,500 15 4,125
Baseline Survey................. 16,500 1 16,500 20 5,500
12-Month Follow Up Survey....... 6,000 1 6,000 30 3,000
24-Month Follow Up Survey....... 12,000 1 12,000 30 6,000
Interviews with Site Staff...... 40 4 160 66 176
Onsite Audit of Sample of Case 8 2 16 20 5
Files..........................
Semi-Structured Interviews with 144 1 144 60 144
Treatment Group Subjects.......
Monthly Earnings and Impairment- 1,820 12 21,840 10 3,640
Related Expenses Reporting Form
(paper)........................
Monthly Earnings and Impairment- 780 12 9,360 5 780
Related Expenses Reporting Form
(Internet).....................
End of Year Reporting Form 945 1 945 15 236
(paper)........................
End of Year Reporting Form 405 1 405 10 68
(Internet).....................
rrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrr
Totals...................... 55,142 .............. 83,870 .............. 23,674
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2. Statement Regarding Contributions--20 CFR 404.360-404.366 and
404.736--0960-0020. SSA uses the SSA-783 to collect information
regarding a child's current sources of support when determining the
child's entitlement to Social Security benefits. We request this
information from adults acting on behalf of the child claimants who can
provide SSA with any sources of support or substantial contributions
for the child. These adults inform the claims representative of these
sources as part of the initial benefits process. If the individual
capable of providing the information does not accompany the child
claimant, we mail the SSA-783 to the individual for completion; or if
the person has access to a computer, we will refer them to SSA's Web
site. The respondents are individuals providing information about a
child's sources of support.
Type of Request: Revision of an OMB-approved information
collection.
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Average burden Estimated total
Modality of completion Number of Frequency of per response annual burden
respondents response (minutes) (hours)
----------------------------------------------------------------------------------------------------------------
SSA-783..................................... 30,000 1 17 8,500
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3. Disability Report--Appeal--20 CFR 404.1512, 416.912, 404.916(c),
416.1416(c), 422.140, 404.1713, 416.1513, 404.1740(b)(4),
416.1540(b)(4), and 405 Subpart C--0960-0144. SSA requires disability
applicants who wish to appeal an unfavorable disability determination
to complete Form SSA-3441-BK; the associated Electronic Disability
Collect System (EDCS) interview; or the Internet application, i3441.
This allows claimants to disclose any changes to their disability, or
resources, which might influence SSA's unfavorable determination. We
may use the information to: (1) Reconsider and review an initial
disability determination; (2) review a continuing disability; and (3)
evaluate a request for a hearing. This information assists the State
Disability Determination Services (DDS) and administrative law judges
(ALJ) in preparing for the appeals and hearings, and in issuing a
determination or decision on an individual's entitlement (initial or
continuing) to disability benefits. In addition, the information we
collect on the SSA-3441-BK, or related modalities, facilitates SSA's
collection of medical information to support the applicant's request
for reconsideration; request for benefits cessation appeal; and request
for a hearing before an ALJ. Respondents are individuals who appeal
denial, reduction, or cessation of Social Security disability benefits
and Supplemental Security Income (SSI)
[[Page 18337]]
payments; individuals who wish to request a hearing before an ALJ; or
their representatives.
Type of Request: Revision of an OMB-approved information
collection.
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Average burden Estimated
Modality of completion Number of Frequency of per response total annual
respondents response (minutes) burden (hours)
----------------------------------------------------------------------------------------------------------------
SSA-3441-BK..................................... 2,396 1 45 1,797
Electronic Disability Collect System (EDCS)..... 476,771 1 45 357,578
i3441 (Internet)................................ 1,046,938 1 28 488,571
rrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrr
Totals...................................... 1,526,105 .............. .............. 847,946
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4. Authorization to Disclose Information to SSA--20 CFR 404.1512
and 416.912, 45 CFR 160 and 164--0960-0623. Sections 223(d)(5)(A) and
1614(a)(3)(H)(i) of the Social Security Act require claimants to
provide medical and other evidence the Commissioner of Social Security
may require to prove they are disabled. SSA must obtain sufficient
evidence to make eligibility determinations for Title II and Title XVI
payments. Therefore, the applicant must authorize release of
information from various sources to SSA. The applicants use Form SSA-
827, or the Internet counterpart, i827, to provide consent for the
release of medical records, education records, and other information
related to their ability to perform tasks. Once the applicant completes
Form SSA-827, or the i827, SSA or the State DDS sends the form to the
designated source(s) to obtain pertinent records. The respondents are
applicants for Title II and Title XVI disability payments.
Type of Request: Revision of an OMB-approved information
collection.
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Average burden Estimated
Modality of completion Number of Frequency of per response total annual
respondents response (minutes) burden (hours)
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i827 with electronic signature (eAuthorization). 4,189,270 1 9 628,391
SSA-827 with wet signature (paper version)...... 1,055,807 1 10 175,968
rrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrr
Totals...................................... 5,245,077 .............. .............. 804,359
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II. SSA submitted the information collections below to OMB for
clearance. Your comments regarding these information collections would
be most useful if OMB and SSA receive them 30 days from the date of
this publication. To be sure we consider your comments, we must receive
them no later than May 18, 2017. Individuals can obtain copies of the
OMB clearance packages by writing to [email protected].
1. Supported Employment Demonstration (SED)--0960-NEW. Sponsored by
SSA, the SED builds on the success of the intervention designed for the
Mental Health Treatment Study (MHTS) previously funded by SSA. The MHTS
provides integrated mental health and vocational services to disability
beneficiaries with mental illness. The SED will offer these same
services to individuals with mental illness to whom SSA denied Social
Security disability benefits. SSA seeks to determine whether offering
this evidence-based package of integrated vocational and mental health
services to denied disability applicants fosters employment that leads
to self-sufficiency, improved mental health and quality of life, and
reduced demand for disability benefits. The SED will use a randomized
controlled trial to compare the outcomes of two treatment groups and a
control group. Study participation spans 36 months beginning on the day
following the date of randomization to one of the three study groups.
The SED study population consists of individuals aged 18 to 50 who
apply for disability benefits alleging a mental illness and the initial
decision is a denial of benefits in the past 60 days. The SED will
enroll up to 1,000 participants in each of the three study arms for a
total of 3,000 participants: 40 participants in each of three study
arms for the 20 urban sites equaling an n of 2,400 urban site
participants, and 20 participants in each of three arms for the 10
rural sites equaling an n of 600 rural site participants. We randomly
select and assign each enrolled participant to one of three study arms:
Full-Service Treatment (n=1,000). The multi-component
service model from the MHTS comprises the Full-Service Treatment. At
its core are an Individual Placement and Support (IPS) supported
employment specialist and behavioral health specialist providing IPS
supported employment services integrated with behavioral health care.
Participants in the full-service treatment group will also receive the
services of a Nurse Care Coordinator who coordinates Systematic
Medication Management services, as well assistance with: Out-of-pocket
expenses associated with prescription behavioral health medications;
work-related expenses; and services and treatment not covered by the
participant's health insurance.
Basic-Service Treatment (n=1,000). The Basic-Service
Treatment model leaves intact IPS supported employment integrated with
behavioral health services as the centerpiece of the intervention arm.
The Basic-Service Treatment is essentially the Full-Service model
without the services of the Nurse Care Coordinator, Systematic
Medication Management, and the funds associated with out-of-pocket
expenses for prescription behavioral health medications.
Usual Services (n=1,000). This study arm represents a
control group against which the two treatment groups we can compare.
Participants assigned to this group seek services as they normally
would (or would not) in their community. However, at the time of
randomization, each Usual Service participant will receive a
[[Page 18338]]
comprehensive manual describing mental health and vocational services
in their locale, along with state and national resources.
This study will test the two treatment conditions against each other
and against the control group on multiple outcomes of policy interest
to SSA. The key outcomes of interest include: (1) Employment; (2)
earnings; (3) income; (4) mental status; (5) quality of life; (6)
health services utilization; and (7) SSA disability benefit receipt and
amount. SSA is also interested in the study take up rate
(participation), knowing who enrolls (and who does not), and fidelity
to evidence-based treatments, among other aspects of implementation.
Data collection for the evaluation of the SED will consist of the
following activities: Baseline in-person participant interviews;
quarterly participant telephone interviews; receipt of SSA
administrative record data; and collection of site-level program data.
Evaluation team members will also conduct site visits involving: (1)
Pre-visit environmental scans in order to understand the local context
in which SED services are embedded; (2) independent fidelity
assessments in conjunction with those carried out by state Mental
Health/Vocational Rehabilitation staff; (3) key informant interviews
with the IPS specialist, the nurse care coordinator, the case manager,
and facility director; (4) focus groups with participants in the Full-
Service and Basic-Service Treatment groups; and (5) ethnographic data
collection consisting of observations in the natural environment and
person-centered interviews with participants and non-participants. The
respondents are study participants and non-participants, family
members, IPS specialists, nurse care coordinators, case managers, and
facility directors.
Type of Request: Request for a new information collection.
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Average burden Estimated
Modality of completion Number of Frequency of Number of per response total annual
respondents response responses (minutes) burden (hours)
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Competency and CIDI Screener.... 3,000 1 3,000 40 2,000
Baseline Interview.............. 3,000 1 3,000 45 2,250
Quarterly Interview (Quarters 1, 3,000 9 27,000 20 9,000
2, 3, 5, 6, 7, 9, 10, and 11)..
Annual Interview (Quarters 4, 8, 3,000 3 9,000 30 4,500
and 11)........................
Fidelity Assessment Participant 180 4 720 60 720
Interview......................
Fidelity Assessment Family 90 4 360 60 360
Member Interview...............
Key Informant Interview......... 120 4 480 60 480
Participant Focus Groups........ 600 2 1,200 60 1,200
Person-Centered Interview....... 180 4 720 60 720
rrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrrr
Totals...................... 13,170 .............. 45,480 .............. 21,230
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2. Student Reporting Form--20 CFR 404.352(b)(2); 404.367; 404.368;
404.415; 404.434; 422.135--0960-0088. To qualify for Social Security
Title II student benefits, student beneficiaries must be in full-time
attendance status at an educational institution. In addition, SSA
requires these beneficiaries to report events that may cause a
reduction, termination, or suspension of their benefits. SSA collects
such information on Forms SSA-1383 and SSA-1383-FC to determine if the
changes or events the student beneficiaries report will affect their
continuing entitlement to SSA benefits. SSA also uses the SSA-1383 and
SSA-1383-FC to calculate the correct benefit amounts for student
beneficiaries. The respondents are Social Security Title II student
beneficiaries.
Type of Request: Revision of an OMB-approved information
collection.
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Average burden Estimated
Modality of completion Number of Frequency of per response total annual
respondents response (minutes) burden (hours)
--------------------------------------------------------------------------------------------------
SSA-1383.......................... 74,887 1 6 7,489
SSA-1383-FC....................... 1,247 1 6 125
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Totals........................ 76,134 .............. .............. 7,614
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3. Advanced Notice of Termination of Child's Benefits & Student's
Statement Regarding School Attendance--20 CFR 404.350-404.352, 404.367-
404.368--0960-0105. SSA collects information on Forms SSA-1372-BK and
SSA-1372-BK-FC to determine whether children of an insured worked meet
the eligibility requirements for student benefits. The data we collect
allows SSA to determine student entitlement and whether to terminate
benefits. The respondents are student claimants for Social Security
benefits, their respective schools and, in some cases, their
representative payees.
Type of Request: Revision of an OMB-approved information
collection.
SSA-1372-BK:
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Average burden Estimated
Type of respondent Number of Frequency of per response total annual
respondents response (minutes) burden (hours)
--------------------------------------------------------------------------------------------------
Individuals/Households............ 99,850 1 8 13,313
[[Page 18339]]
State/Local/Tribal Government..... 99,850 1 3 4,993
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Totals........................ 199,700 .............. .............. 18,306
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SSA-1372-BK:
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Average burden Estimated
Type of respondent Number of Frequency of per response total annual
respondents response (minutes) burden (hours)
--------------------------------------------------------------------------------------------------
Individuals/Households............ 1,198 1 8 160
State/Local/Tribal Government..... 1,198 1 3 60
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Totals........................ 2,396 .............. .............. 220
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Grand Total............... 200,096 .............. .............. 18,526
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4. Request for Review of Hearing Decision/Order--20 CFR 404.967-
404.981, 416.1467-416.1481--0960-0277. Claimants have a statutory right
under the Social Security Act and current regulations to request review
of an ALJ's hearing decision or dismissal of a hearing request on Title
II and Title XVI claims. Claimants may request Appeals Council review
by filing a written request using Form HA-520. SSA uses the information
to establish the claimant filed the request for review within the
prescribed time and to ensure the claimant completed the requisite
steps permitting the Appeals Council review. The Appeals Council uses
the information to: (1) Document the claimant's reason(s) for
disagreeing with the ALJ's decision or dismissal; (2) determine whether
the claimant has additional evidence to submit; and (3) determine
whether the claimant has a representative or wants to appoint one. The
respondents are claimants requesting review of an ALJ's decision or
dismissal of hearing.
Type of Request: Revision of an OMB-approved information
collection.
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Average burden Estimated total
Modality of completion Number of Frequency of per response annual burden
respondents response (minutes) (hours)
----------------------------------------------------------------------------------------------------------------
HA-520...................................... 175,000 1 10 29,167
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5. Disability Update Report--20 CFR 404.1589-404.1595 and 416.988-
416.996--0960-0511. As part of our statutory requirements, SSA
periodically uses Form SSA-455, the Disability Update Report, to
evaluate current Title II disability beneficiaries' and Title XVI
disability payment recipients' continued eligibility for Social
Security disability payments. Specifically, SSA uses the form to
determine if: (1) There is enough evidence to warrant referring the
respondent for a full medical Continuing Disability Review (CDR); (2)
the respondent's impairments are still present and indicative of no
medical improvement, precluding the need for a CDR; or (3) the
respondent has unresolved work-related issues. SSA mails Form SSA-455
to specific disability recipients, whom we select as possibly
qualifying for the CDR process. SSA pre-fills the form with data
specific to the disability recipient, except for the sections we ask
the recipients to complete. When SSA receives the completed form, we
scan it into SSA's system. This allows us to gather the information
electronically, and enables SSA to process the returned forms through
automated decision logic to decide the proper course of action to take.
The respondents are recipients of Title II and Title XVI Social
Security disability payments.
Type of Request: Revision of an OMB-approved information
collection.
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Average burden Estimated total
Modality of completion Number of Frequency of per response annual burden
respondents response (minutes) (hours)
----------------------------------------------------------------------------------------------------------------
SSA-455..................................... 1,500,000 1 15 375,000
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[[Page 18340]]
Dated: April 13, 2017.
Naomi R. Sipple,
Reports Clearance Officer, Social Security Administration.
[FR Doc. 2017-07796 Filed 4-17-17; 8:45 am]
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