[Federal Register: January 6, 2004 (Volume 69, Number 3)]
[Rules and Regulations]
[Page 497-499]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr06ja04-8]
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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).
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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
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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