[Federal Register: November 15, 2002 (Volume 67, Number 221)]
[Proposed Rules]
[Page 69161-69164]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr15no02-18]
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SOCIAL SECURITY ADMINISTRATION
20 CFR Parts 404 and 416
[Regulations No. 4 and 16]
RIN 0960-AF79
Claimant Identification Pilot Projects
AGENCY: Social Security Administration.
ACTION: Notice of proposed rulemaking.
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SUMMARY: We propose to conduct pilot projects wherein we will request
photographic identification from individuals filing for title II and
title XVI disability benefits in specified geographic areas covered by
the pilot projects. In addition, we would require individuals to allow
us to take their photograph and we would make these photographs a part
of the claims folder. We would permit an exception to the photograph
requirement when an individual has a sincere religious objection. This
process would strengthen the integrity of the disability claims process
by helping to ensure that the individual filing the application is the
same individual examined by the consultative examination (CE)
physician.
DATES: To consider your comments, we must receive them no later than
January 14, 2003.
ADDRESSES: You may give us your comments by using: our Internet site
facility (i.e., Social Security Online) at http://www.ssa.gov/
regulations, e-mail to regulations@ssa.gov; by telefax to (410) 966-
2830; or by letter to the Commissioner of Social Security, P.O. Box
17703, Baltimore, MD 21235-7703.
[[Page 69162]]
You may also deliver them to the Office of Process and Innovation
Management, Social Security Administration, 2109 West Low Rise
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 for your review, or you may inspect them on regular
business days by making arrangements with the contact person shown
under FOR FURTHER INFORMATION CONTACT.
Electronic version: The electronic file of this document is
available on the date of publication in the Federal Register at http://
www.access.gpo.gov/su--docs/aces/aces140.html. It is also available on
the Internet site for SSA (i.e., Social Security Online) at http://
www.ssa.gov/regulations.
FOR FURTHER INFORMATION CONTACT: Georgia E. Myers, Regulations Officer,
Office of Process and Innovation Management, 2109 West Low Rise
Building, Social Security Administration, 6401 Security Boulevard,
Baltimore, Maryland 21235-6401, regulations@ssa.gov, 410-965-3632 or
TTY 410-966-5609 for information about these rules. 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.ssa.gov.
SUPPLEMENTARY INFORMATION:
Purpose of the Pilot Project
The purpose of the claimant identification pilots is to test and
gather information in the use of photographic identification to address
the issue of complicit impersonation in the disability claims process.
Complicit impersonation is accomplished when an individual, posing as
the intended claimant, and with the consent of the claimant, responds
to a consultative examination appointment in order to misrepresent the
claimant's true medical condition or provides false or misleading
information that affects eligibility during interviews with SSA field
office employees. SSA and the Office of the Inspector General (OIG)
have noticed an upward trend in the number of such instances. It has
become apparent that we need to strengthen our procedures for identity
verification. We believe that the technology for the photographic
identification process is currently available and could be implemented
over a short time frame. The photographic identification process should
give SSA an economical yet effective means of providing improved
identity documents to CE physicians. We anticipate that it will be
readily accepted by the public. We will evaluate the results of the
pilot and expand or modify the procedures accordingly.
How We Would Conduct the Pilot Project
We propose to conduct the pilots in the following designated
geographic areas:
(1) All SSA field offices in the State of South Carolina.
(2) The Augusta, Georgia SSA field office.
(3) All SSA field offices in the State of Kansas.
(4) Selected SSA field offices located in New York City.
The pilots would be in effect for a six-month period of time and
would begin upon the effective date of the final rules.
Who Would Be Affected
Individuals filing for title II and/or title XVI disability
benefits at a Social Security office in the designated areas noted
above would be required to participate in the claimant identification
pilots. Individuals filing via the Internet or by telephone would also
be included. We will be monitoring any possible impact that the pilot
procedures might have on SSA's initiative to encourage the filing of
applications online via the Internet.
Providing Photographic Identification
While not part of the regulatory requirement, each individual would
be asked to provide some form of photographic identification. This
identification would be photocopied and the copy made a part of the SSA
claims folder. SSA personnel would continue to follow regular
identification procedures by asking the individuals questions based on
information in the SSA database to ensure that the individuals are who
they hold themselves out to be. SSA personnel would obtain additional
identifying information if there is a doubt about the identity of the
individual. If the individual does not have photographic identification
available or does not wish to provide it to us, SSA personnel would not
require it but will still follow regular identification procedures as
before the pilots went into effect.
Photographs Taken by SSA
Also as part of the claimant identification pilots, each individual
filing for disability benefits at a location participating in the pilot
program would be required to have a photograph taken by SSA personnel,
regardless of whether the individual provides the photographic
identification discussed above. A copy would be made of this image and
placed in the SSA claims folder. Images would also be stored
electronically and accessed by authorized SSA and Disability
Determination Service (DDS) personnel.
If We Request a Consultative Examination
If DDS personnel request a consultative examination (CE) for the
individual, a hard copy image of the photograph would be made available
to the person conducting the CE. This would help to determine whether
the individual presenting himself or herself for examination is the
same individual who presented himself or herself as the individual
filing for disability benefits. We would ask the CE physician to copy
the individual's own photographic identification when the physician was
not provided with a photo or a copy of a photographic identification
previously taken by SSA personnel.
Other Situations
This same procedure would be used to verify the identity of pilot
participants in the following situations:
[sbull] After allowance, subsequent interviews for payment
purposes.
[sbull] Continuing Disability Reviews (CDR).
[sbull] SSI Redeterminations.
[sbull] If denied, appeals and any associated CE.
Explanation of Proposed Changes
Section 404.617 Pilot Program for Photographic Identification of
Disability Benefit Applicants in Designated Geographic Areas
In this new section we are proposing to require individuals filing
for title II disability benefits to have their photograph taken by the
Social Security Administration. We would permit an exception to the
photograph requirement when an individual has a sincere religious
objection.
Section 416.327 Pilot Program for Photographic Identification of
Disability Benefit Applicants in Designated Geographic Areas
In this new section we are proposing to require individuals filing
for title XVI disability benefits to have their photograph taken by the
Social Security Administration. We would permit an exception to the
photograph requirement when an individual has a sincere religious
objection.
Federal Register Notice for Modifying Privacy Act System of Records
A formal notice that will modify the Privacy Act system of records
for the
[[Page 69163]]
Claims Folder System will be published in the Federal Register to
reflect the new information to be collected during the pilot projects.
Regulatory Procedures
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 proposed rules, we invite your
comments on how to make these proposed rules easier to understand. For
example:
[sbull] Have we organized the material to suit your needs?
[sbull] Are the requirements in the rules clearly stated?
[sbull] Do the rules contain technical language or jargon that
isn't clear?
[sbull] Would a different format (grouping and order of sections,
use of headings, paragraphing) make the rules easier to understand?
[sbull] Would more (but shorter) sections be better?
[sbull] Could we improve clarity by adding tables, lists, or
diagrams?
[sbull] What else could we do to make the rules easier to
understand?
Executive Order 12866, as Amended by Executive Order 13258
The Office of Management and Budget (OMB) has reviewed these
proposed rules in accordance with Executive Order 12866, as amended by
Executive Order 13258. Because of the pilot's short time duration and
limited geographic coverage, we expect any costs or savings to be
negligible (i.e., less than $2.5 million).
Regulatory Flexibility Act
We certify that these proposed rules will not have a significant
economic impact on a substantial number of small entities because they
affect only individuals or States. Thus, a regulatory flexibility
analysis as provided in the Regulatory Flexibility Act, as amended, is
not required.
Paperwork Reduction Act
These proposed rules contain reporting requirements as shown in the
following table.
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Average burden Estimated
Section Annual number Frequency of per response annual burden
of responses response (minutes) (hours)
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404.617......................................... 13,910 1 5 1,159
416.327......................................... 14,080 1 5 1,173
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Total....................................... 27,990 .............. .............. 2,332
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An Information Collection Request has been submitted to 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 may be mailed or faxed
to the Office of Management and Budget and the Social Security
Administration at the following addresses/fax numbers:
Office of Management and Budget, Attn: OMB Desk Officer, Rm. 10235, New
Executive Office Building, 725 17th St., NW., Washington, DC 20503, Fax
No. 202-395-6974.
Social Security Administration, Attn: SSA Reports Clearance Officer,
Rm. 1-A-20 Operations Building, 6401 Security Boulevard, Baltimore, MD
21235-6401, Fax No. 410-965-6400.
Comments can be received between 30 and 60 days after publication
of this notice and will be most useful if received by SSA within 30
days of publication.
(Catalog of Federal Domestic Assistance Program Nos. 96.001, Social
Security--Disability Insurance and 96.006, Supplemental Security
Income)
List of Subjects
20 CFR Part 404
Administrative practice and procedure, Aged, Blind, Disability
benefits, Old-age, Survivors and Disability Insurance, Reporting and
recordkeeping requirements, Social security.
20 CFR Part 416
Administrative practice and procedure, Aged, Blind, Disability
benefits, Public assistance programs, Reporting and recordkeeping
requirements, Supplemental Security Income (SSI).
Dated: October 9, 2002.
Jo Anne B. Barnhart,
Commissioner of Social Security.
For the reasons set out in the preamble, we propose to amend part
404, subpart G of chapter III, title 20 Code of Federal Regulations and
part 416, subpart C of chapter III title 20 Code of Federal Regulations
as follows:
PART 404--FEDERAL OLD-AGE, SURVIVORS AND DISABILITY INSURANCE
(1950- )
Subpart G--[Amended]
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)).
2. Add new Sec. 404.617 under the existing heading, APPLICATIONS,
to read as follows:
Sec. 404.617 Pilot program for photographic identification of
disability benefit applicants in designated geographic areas.
(a) To be eligible for Social Security disability insurance
benefits in the designated pilot geographic areas during the time
period of the pilot, you or a person acting on your behalf must give
SSA permission to take your photograph and make this photograph a part
of the claims folder. You must give us this permission when you apply
for benefits and/or when we ask for it at a later time. Failure to
cooperate will result in denial of benefits. We will permit an
exception to the photograph requirement when an individual has a
sincere religious objection. This pilot will be in effect for a six-
month period after the final rules become effective.
(b) Designated pilot geographic areas means:
(1) All SSA field offices in the State of South Carolina.
(2) The Augusta, Georgia SSA field office.
(3) All SSA field offices in the State of Kansas.
(4) Selected SSA field offices located in New York City.
[[Page 69164]]
PART 416--SUPPLEMENTAL SECURITY INCOME FOR THE AGED, BLIND AND
DISABLED
Subpart C--[Amended]
3. The authority citation for subpart C of part 416 continues to
read as follows:
Authority: Secs. 702(a)(5), 1611, and 1631(a), (d), and (e) of
the Social Security Act (42 U.S.C. 902(a)(5), 1382, and 1383(a),
(d), and (e)).
4. Add new Sec. 416.327 under the existing heading, APPLICATIONS,
to read as follows:
Sec. 416.327 Pilot program for photographic identification of
disability benefit applicants in designated geographic areas.
(a) To be eligible for SSI disability benefits in the designated
pilot geographic areas during the time period of the pilot, you or a
person acting on your behalf must give SSA permission to take your
photograph and make this photograph a part of the claims folder. You
must give us this permission when you apply for benefits and/or when we
ask for it at a later time. Failure to cooperate will result in denial
of benefits. We will permit an exception to the photograph requirement
when an individual has a sincere religious objection. This pilot will
be in effect for a six-month period after the final rules become
effective.
(b) Designated pilot geographic areas means:
(1) All SSA field offices in the State of South Carolina.
(2) The Augusta, Georgia SSA field office.
(3) All SSA field offices in the State of Kansas.
(4) Selected SSA field offices located in New York City.
[FR Doc. 02-28957 Filed 11-14-02; 8:45 am]
BILLING CODE 4191-02-P