Methods for Conducting Personal Conferences When Waiver of Recovery of a Title II or Title XVI Overpayment Cannot Be Approved, 9709-9712 [E7-3782]
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Federal Register / Vol. 72, No. 42 / Monday, March 5, 2007 / Proposed Rules
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obtain information relevant to local
implementation. Pennsylvania officials
described a comprehensive program,
mandated by Pennsylvania law, for
licensed day care facilities that
substantially enhances the existing
emergency preparedness posture that
was previously found by DHS to
provide reasonable assurance that
adequate protective measures will be
taken for the public, including children
in day care facilities.
The NRC staff provided the
Commission the results of this
assessment and other related initiatives
in a Commission paper dated May 4,
2006 (SECY–06–0101; ML060760586).
The staff found no sufficient basis to
question the adequacy of DHS findings
regarding reasonable assurance. The
staff believes the DHS findings are
consistent with the planning standards
of 10 CFR 50.47(b) and the existing
memorandum of understanding between
NRC and DHS. The staff also included
a recommendation to republish the
December 19, 2005, Federal Register
Notice with revisions to correct factual
errors and clarify NRC’s regulatory
positions and bases in the petition
denial. This recommendation afforded
the Commission an opportunity to
reconsider its earlier denial of the
petition. The Commission found no
basis for changing its earlier denial, and
in an SRM dated June 21, 2006
(ML061720324), the Commission
directed the staff to publish the
amended Federal Register Notice. The
amended notice was published on
August 7, 2006 (71 FR 44593).
Reasons for Denial
The Commission is denying the
petition for the following reasons. The
petition does not provide significant
new information or arguments that were
not previously considered by the
Commission in denying PRM–50–79. As
stated above, the petition relies upon a
DPO, which focused on the adequacy of
preplanned evacuation resources and
preplanned relocation centers for day
care centers and nursery schools within
the Commonwealth, and on whether the
Commonwealth and DHS/FEMA
complied with DHS/FEMA guidance.
The proposed remedy of the petitioner
is for the NRC to grant the petition for
rulemaking (PRM–50–79), commence a
rulemaking to incorporate the criteria in
GM EV–2 into the NRC’s emergency
planning regulations, and to implement
the 120-day clock provisions of 10 CFR
50.54(s)(2) while the rulemaking is in
progress. However, the nature of the
issues raised in the DPO would not
provide a basis for the petitioner’s
remedy. The DPO raised issues about
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local implementation of the
requirements and guidance, and DHS/
FEMA evaluation of local
implementation, neither of which could
be resolved by the petitioner’s proposal
that the GM EV–2 criteria be
incorporated into NRC regulations.3 GM
EV–2 is a guidance document developed
by FEMA and utilized by the DHS,
which has primary responsibility for
assessing the adequacy of offsite
emergency preparedness 4. NRC bases
its own findings in part on a review of
DHS’s findings and determinations as to
whether State and local emergency
plans are adequate and whether there is
reasonable assurance that they can be
implemented.
Dated at Rockville, Maryland, this 26th day
of February 2007.
For the Nuclear Regulatory Commission.
Annette L. Vietti-Cook,
Secretary of the Commission.
[FR Doc. E7–3822 Filed 3–2–07; 8:45 am]
BILLING CODE 7590–01–P
SOCIAL SECURITY ADMINISTRATION
20 CFR Parts 404 and 416
[Docket No. SSA–2006–0096]
RIN 0960–AG40
Methods for Conducting Personal
Conferences When Waiver of Recovery
of a Title II or Title XVI Overpayment
Cannot Be Approved
9709
Federal eRulemaking Portal at https://
www.regulations.gov; by 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, Maryland 21235–
7703. You may also deliver them to the
Office of Regulations, Social Security
Administration, 107 Altmeyer Building,
6401 Security Boulevard, Baltimore,
Maryland 21235–6401, between 8 a.m.
and 4:30 p.m. on regular business days.
Comments are posted on the Federal
eRulemaking Portal. You may also
inspect the comments on regular
business days by making arrangements
with the contact person shown in this
preamble.
FOR FURTHER INFORMATION CONTACT:
Robin Strauss, Social Insurance
Specialist, Office of Income Security
Programs, Social Security
Administration, 252 Altmeyer Building,
6401 Security Boulevard, Baltimore, MD
21235–6401, (410) 965–7944 or TTY
(410) 966–5609, for information about
this notice. For information on
eligibility or filing for benefits, call our
national toll-free number, 1–800–772–
1213 or TTY 1–800–325–0778, or visit
our Internet site, Social Security Online,
at https://www.socialsecurity.gov.
SUPPLEMENTARY INFORMATION:
Electronic Version
AGENCY:
The electronic file of this document is
available on the date of publication in
the Federal Register at https://
www.gpoaccess.gov/fr/.
ACTION:
Background
Social Security Administration.
Proposed rules.
We propose to revise our title
II regulations and add title XVI
regulations on personal conferences
when waiver of recovery of an
overpayment cannot be approved. These
proposed rules would allow for the
conferences to be conducted face-toface, by telephone, or by video
teleconference in these circumstances.
DATES: To be sure that we consider your
comments, we must receive them by
May 4, 2007.
ADDRESSES: You may give us your
comments: by Internet through the
SUMMARY:
3 The Commission has, in the October 26, 2005
SRM on SECY–05–0045, directed the staff to
develop guidance and expectations for the NRC
review of FEMA’s assessment and findings of offsite
emergency preparedness. This activity should
address the petitioner’s and the DPO’s issues with
respect to the adequacy of FEMA/DHS evaluation
of local implementation of offsite emergency
preparedness.
4 The Security and Accountability for Every Port
Act of 2006, Public Law 109–347, provides that the
DHS radiological emergency preparedness program
will be transferred back to FEMA as of April 1,
2007.
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Our existing regulations at § 404.506
state that we will waive recovery of an
overpayment if the individual was
without fault in causing the
overpayment and if recovery would
defeat the purpose of the Social Security
Act or be against equity and good
conscience. Section 404.506 further
states that, if we cannot approve waiver
after reviewing the information the
individual has given to support his or
her contention that the recovery of the
overpayment should be waived, we will
offer the individual a personal
conference. The personal conference
policy was established so that the
decisionmaker would have the
opportunity to assess an individual’s
contention through personal, versus
written, contact. Our existing
regulations at § 416.550 state that we
will waive recovery of an overpayment
if the individual was without fault in
causing the overpayment and if recovery
would either defeat the purpose of title
XVI, or be against equity and good
conscience, or impede the efficient
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administration of title XVI. There is
currently no title XVI regulation
regarding personal conferences.
Section 404.506(e)(1) states that the
individual is given the opportunity to
‘‘appear personally’’ at the personal
conference. Current regulations do not
further specify the method in which this
appearance may be made. Our
longstanding policy contained in Social
Security Ruling (SSR) 94–4p which
implemented the decisions in
Buffington, et. al. v. Schweiker and
Califano v. Yamasaki, provides that a
face-to-face pre-recoupment hearing will
be conducted prior to the denial of
waiver of recovery of an overpayment.
However, a face-to-face appearance at
the field office is not always convenient
for the beneficiary. Often, if an
individual is not able to come to the
face-to-face conference, field office
personnel will go to the person to hold
the conference. Offering additional
appearance options for the conference
would improve service to the
beneficiaries and reduce costly home
visits by field personnel.
In order to fulfill our stewardship
responsibilities to the Social Security
trust fund, we must employ methods
that will simplify our personal
conference procedures and use our
resources most efficiently. We should be
using all available technology when we
conduct personal conferences.
Therefore, we propose to revise the
regulations to allow for personal
conferences to be conducted face-to-face
at a place we designate (usually in the
field office), by telephone, or by video
teleconference. We will give the choice
to the individual; the individual will
still be provided the opportunity to
appear face-to-face by choosing to come
to us for the personal conference, or
may choose to participate by telephone
or video teleconference. If the
individual elects to conduct the
personal conference by video
teleconference, the individual will
designate the location for his or her end
of the video teleconference. We will
designate the location for our end of the
video teleconference, if video
teleconferencing is feasible, e.g., the
field office has reasonable access to
video teleconferencing. Because we are
offering claimants two new and
convenient ways to participate in a
personal conference—in addition to the
face-to-face conferences at our field
offices we currently offer—we believe
the need for our personnel to make
costly home visits will significantly
decrease. Therefore, we will consider
conducting face-to-face conferences at
locations other than SSA field offices
only on a case-by-case basis, and only
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in those limited circumstances where:
(a) A claimant has exhausted all other
means of obtaining a personal
conference, and (b) conducting a
personal conference by any other means
would be so inadequate, owing to a
claimant’s physical or mental condition,
as to infringe upon the person’s right to
a hearing. An example of such a
circumstance would be a claimant who
is bedridden and deaf, and therefore,
will have considerable difficulty
traveling to a field office and
participating in a conference by phone.
These proposed rules will not affect
the individual’s right to review the
claims file, have a representative
present for the proceedings, crossexamine witnesses, or submit
documentary evidence. Those
provisions will not change. For
example, claimants who choose to
conduct the personal conference via
telephone or video teleconference will
be given an opportunity to submit
documentary evidence by mail or fax
prior to the scheduled conference. If
necessary, the conference could be
rescheduled to allow claimants time to
do this. In conducting the personal
conference face-to-face at a place we
designate, or by telephone, or by video
teleconference, we will be fulfilling our
stewardship responsibilities while
offering an additional convenience to
the individual and continuing to protect
the individual’s right to present his or
her contention that he or she meets the
requirements for waiver of recovery of
an overpayment. The decisionmaker
will still be able to properly assess the
person’s contentions regarding fault
under these new procedures.
We already successfully conduct
some hearings by telephone and by
video teleconference. For example, the
administrative review of an initial
determination for Medicare Part D
subsidies is conducted either by a
telephone hearing or a case review. See
§ 418.3625. Additionally, some
administrative hearings to review claims
under title II (including administrative
law judge review of denial of waiver
based on a personal conference), and
other claims under title XVI are now
conducted via video teleconferencing.
See §§ 404.936 and 416.1436. Our
experience in these contexts has
demonstrated that these procedures
adequately protect a claimant’s due
process rights.
Explanation of Proposed Changes
We propose to change the regulations
in 20 CFR parts 404 and 416 to reflect
the methods for conducting personal
conferences when waiver of recovery of
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an overpayment cannot be approved as
follows:
• We propose to change the
regulations at § 404.506 to reflect the
various methods we can use to conduct
the personal conference. These methods
are: face-to-face in a location we
designate (usually in the field office),
via telephone, or via video
teleconference.
• Currently, part 416 has no reference
to personal conferences when waiver of
recovery of the overpayment cannot be
approved. We are proposing to add a
new section that is similar to the
regulations at § 404.506. New § 416.557
would include the various methods we
can use to conduct the personal
conference and describe the individual’s
rights and responsibilities regarding the
personal conference.
Since SSR 94–4p only provides for a
pre-recoupment hearing that is
conducted face-to-face before waiver of
recovery of an overpayment can be
denied, the proposed changes in
§§ 404.506 and 416.557 would expand
that policy. Therefore, if we proceed to
publish final rules, we will also publish
a notice rescinding SSR 94–4p
concurrently with the effective date of
the final rules.
Clarity of These Proposed Rules
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:
• 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 not clear?
• 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
Executive Order 12866
We have consulted with the Office of
Management and Budget (OMB) and
determined that these proposed rules
meet the criteria for a significant
regulatory action under Executive Order
12866, as amended by Executive Order
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Federal Register / Vol. 72, No. 42 / Monday, March 5, 2007 / Proposed Rules
13258. Thus, they were reviewed by
OMB.
Regulatory Flexibility Act
We certify that these proposed rules
would 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
We are proposing to revise our rules
on conducting personal conferences
when waiver of recovery of a title II or
title XVI overpayment cannot be
approved. These proposed revisions
would allow for the conferences to be
conducted face-to-face, by telephone, or
by video teleconference. Currently, we
only conduct these conferences face-toface. Although these proposed rules
only contain information collection
burdens in §§ 416.557(c)(3) and
416.557(d)(8), we are also including the
associated information collection
burdens for §§ 404.506(e)(3) and
404.506(f)(8) since those sections deal
with personal conferences. As outlined
Annual
number of
respondents
Title/section & collection description
Personal Conference 404.506(e)(3) Submittal of additional documents for
consideration at personal conferences ........................................................
Personal Conference 404.506(f)(8) Submittal of additional mitigating financial information and verifications for consideration at personal conferences ........................................................................................................
Personal Conference 416.557(c)(3) Submittal of additional documents for
consideration at personal conferences ........................................................
Personal Conference 416.557(d)(8) Submittal of additional mitigating financial information and verifications for consideration at personal conferences ........................................................................................................
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Total ..........................................................................................................
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 should be sent to OMB by
fax or by e-mail to: Office of
Management and Budget, Attn: Desk
Officer for SSA, Fax Number: 202–395–
6974, E-mail address:
OIRA_Submission@omb.eop.gov.
Comments on the paperwork burdens
associated with this rule can be received
for up to 60 days after publication of
this notice and will be most useful if
received within 30 days of publication.
This does not affect the deadline for the
public to comment to SSA on the
proposed regulations. These information
collection requirements will not become
effective until approved by OMB. When
OMB has approved these information
collection requirements, SSA will
publish a notice in the Federal Register.
To receive a copy of the OMB
clearance package, your staff may call
the SSA Reports Clearance Officer on
410–965–0454.
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in the table below, in §§ 404.506(e)(3),
404.506(f)(8), 416.557(c)(3) and
416.557(d)(8), respondents may provide
additional evidence for consideration at
the personal conference. The collection
of evidence is a public paperwork
burden that requires clearance under the
Paperwork Reduction Act of 1995.
Respondents to these collections are
individual and the individual’s
representative that request a waiver
conference of their overpayment and
submit additional evidence.
Average
burden per
response
(minutes)
Frequency of
response
Estimated
annual burden
(hours)
150,000
1
30
75,000
75,000
1
30
37,500
100,000
1
30
50,000
50,000
1
30
25,000
375,000
........................
........................
187,500
(Catalog of Federal Domestic Assistance
Program Nos. 96.001, Social SecurityDisability Insurance; 96.002, Social SecurityRetirement Insurance; 96.004, Social
Security-Survivors Insurance; and 96.006,
Supplemental Security Income)
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.
PART 404—FEDERAL OLD-AGE,
SURVIVORS AND DISABILITY
INSURANCE (1950— )
Subpart F—[Amended]
1. The authority citation for subpart F
of part 404 continues to read as follows:
Authority: Secs. 204, 205(a), 702(a)(5), and
1147 of the Social Security Act (42 U.S.C.
404, 405(a), 902(a)(5), and 1320b–17); 31
U.S.C. 3720A.
2. Section 404.506 is amended by
adding a sentence at the end of
paragraph (c) to read as follows:
20 CFR Part 416
§ 404.506 When waiver may be applied and
how to process the request.
Administrative practice and
procedure, Aged, Blind, Disability
benefits, Public assistance programs;
Reporting and recordkeeping
requirements, Supplemental security
income (SSI).
*
Dated: November 27, 2006.
Jo Anne B. Barnhart,
Commissioner of Social Security.
For the reasons set out in the
preamble, we propose to amend subpart
F of part 404 and subpart E of part 416
of chapter III of title 20 of the Code of
Federal Regulations as follows:
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*
*
*
*
(c) * * * We will offer to the
individual the option of conducting the
personal conference face-to-face at a
place we designate, by telephone, or by
video teleconference. The notice will
advise the individual of the date and
time of the personal conference.
*
*
*
*
*
PART 416–SUPPLEMENTAL
SECURITY INCOME FOR THE AGED,
BLIND, AND DISABLED
Subpart E—[Amended]
1. The authority citation for subpart E
of part 416 continues to read as follows:
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Federal Register / Vol. 72, No. 42 / Monday, March 5, 2007 / Proposed Rules
Authority: Secs. 702(a)(5), 1147, 1601,
1602, 1611(c) and (e), and 1631(a)–(d) and (g)
of the Social Security Act (42 U.S.C.
902(a)(5), 1320b–17, 1381, 1381a, 1382(c)
and (e), and 1383(a)–(d) and (g)); 31 U.S.C.
3720A.
2. Section 416.557 is added to read as
follows:
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§ 416.557
Personal conference.
(a) If waiver cannot be approved (i.e.,
the requirements in § 416.550 (a) and (b)
are not met), the individual is notified
in writing and given the dates, times
and place of the file review and
personal conference; the procedure for
reviewing the claims file prior to the
personal conference; the procedure for
seeking a change in the scheduled dates,
times and/or place; and all other
information necessary to fully inform
the individual about the personal
conference. The file review is always
scheduled at least 5 days before the
personal conference. We will offer to the
individual the option of conducting the
personal conference face-to-face at a
place we designate, by telephone, or by
video teleconference. The notice will
advise the individual of the date and
time of the personal conference.
(b) At the file review, the individual
and the individual’s representative have
the right to review the claims file and
applicable law and regulations with the
decisionmaker or another of our
representatives who is prepared to
answer questions. We will provide
copies of material related to the
overpayment and/or waiver from the
claims file or pertinent sections of the
law or regulations that are requested by
the individual or the individual’s
representative.
(c) At the personal conference, the
individual is given the opportunity to:
(1) Appear personally, testify, crossexamine any witnesses, and make
arguments;
(2) Be represented by an attorney or
other representative (see § 416.1500),
although the individual must be present
at the conference; and
(3) Submit documents for
consideration by the decisionmaker.
(d) At the personal conference, the
decisionmaker:
(1) Tells the individual that the
decisionmaker was not previously
involved in the issue under review, that
the waiver decision is solely the
decisionmaker’s, and that the waiver
decision is based only on the evidence
or information presented or reviewed at
the conference;
(2) Ascertains the role and identity of
everyone present;
(3) Indicates whether or not the
individual reviewed the claims file;
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(4) Explains the provisions of law and
regulations applicable to the issue;
(5) Briefly summarizes the evidence
already in file which will be considered;
(6) Ascertains from the individual
whether the information presented is
correct and whether he/she fully
understands it;
(7) Allows the individual and the
individual’s representative, if any, to
present the individual’s case;
(8) Secures updated financial
information and verification, if
necessary;
(9) Allows each witness to present
information and allows the individual
and the individual’s representative to
question each witness;
(10) Ascertains whether there is any
further evidence to be presented;
(11) Reminds the individual of any
evidence promised by the individual
which has not been presented;
(12) Lets the individual and the
individual’s representative, if any,
present any proposed summary or
closing statement;
(13) Explains that a decision will be
made and the individual will be notified
in writing; and
(14) Explains repayment options and
further appeal rights in the event the
decision is adverse to the individual.
(e) SSA issues a written decision to
the individual (and his or her
representative, if any) specifying the
finding of fact and conclusions in
support of the decision to approve or
deny waiver and advising of the
individual’s right to appeal the decision.
If waiver is denied, adjustment or
recovery of the overpayment begins
even if the individual appeals.
(f) If it appears that the waiver cannot
be approved, and the individual
declines a personal conference or fails
to appear for a second scheduled
personal conference, a decision
regarding the waiver will be made based
on the written evidence of record.
Reconsideration is then the next step in
the appeals process.
[FR Doc. E7–3782 Filed 3–2–07; 8:45 am]
BILLING CODE 4191–02–P
DEPARTMENT OF THE TREASURY
Internal Revenue Service
26 CFR Part 301
[REG–100841–97]
RIN 1545–AU97
Agreements for Payment of Tax
Liabilities in Installments
Internal Revenue Service (IRS),
Treasury.
AGENCY:
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Withdrawal of notice of
proposed rulemaking and notice of
proposed rulemaking.
ACTION:
SUMMARY: This document withdraws the
notice of proposed rulemaking
published in the Federal Register on
December 31, 1997 (62 FR 68241) and
contains proposed regulations relating
to the payment of tax liabilities in
installments. The proposed regulations
reflect changes to the law made by the
Taxpayer Bill of Rights II, the Internal
Revenue Service Restructuring and
Reform Act of 1998, and the American
Jobs Creation Act of 2004.
DATES: Written or electronic comments
and requests for a public hearing must
be received by June 4, 2007.
ADDRESSES: Send submissions to:
CC:PA:LPD:PR (REG–100841–97), room
5203, Internal Revenue Service, POB
7604, Ben Franklin Station, Washington,
DC 20044. Submissions may be hand
delivered Monday through Friday
between the hours of 8 a.m. and 4 p.m.
to: CC:PA:LPD:PR (REG–100841–97),
Courier’s Desk, Internal Revenue
Service, 1111 Constitution Avenue,
NW., Washington, DC. Alternatively,
taxpayers may submit comments
electronically directly to the IRS
Internet site at https://www.irs.gov/regs
or via the Federal eRulemaking Portal at
https://www.regulations.gov (indicate
IRS and REG–100841–97).
FOR FURTHER INFORMATION CONTACT:
Concerning the regulations, G. William
Beard, (202) 622–3620; concerning
submissions of comments or requests for
a hearing, Kelly Banks, (202) 622–7180
(not toll-free numbers).
SUPPLEMENTARY INFORMATION:
Background
On December 31, 1997, a notice of
proposed rulemaking (REG–100841–97;
62 FR 68241) reflecting changes made to
section 6159 of the Internal Revenue
Code (Code) by section 202 of the
Taxpayer Bill of Rights II, Pub. L. 104–
168 (110 Stat. 1452, 1457) was
published in the Federal Register. That
proposed rule was not acted upon prior
to the enactment of the Internal Revenue
Service Restructuring and Reform Act of
1998 (RRA 1998), Pub. L. 105–206,
section 3462 (112 Stat. 685, 764), which
made further amendments to section
6159. Section 843 of the American Jobs
Creation Act of 2004 (AJCA), Pub. L.
108–357 (118 Stat. 1418, 1600), also
made changes to section 6159. This
document amends the prior notice of
proposed rulemaking. It contains
proposed amendments to the Procedure
and Administration Regulations (26 CFR
part 301) under section 6159 reflecting
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]]>Agencies
[Federal Register Volume 72, Number 42 (Monday, March 5, 2007)]
[Proposed Rules]
[Pages 9709-9712]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: E7-3782]
=======================================================================
-----------------------------------------------------------------------
SOCIAL SECURITY ADMINISTRATION
20 CFR Parts 404 and 416
[Docket No. SSA-2006-0096]
RIN 0960-AG40
Methods for Conducting Personal Conferences When Waiver of
Recovery of a Title II or Title XVI Overpayment Cannot Be Approved
AGENCY: Social Security Administration.
ACTION: Proposed rules.
-----------------------------------------------------------------------
SUMMARY: We propose to revise our title II regulations and add title
XVI regulations on personal conferences when waiver of recovery of an
overpayment cannot be approved. These proposed rules would allow for
the conferences to be conducted face-to-face, by telephone, or by video
teleconference in these circumstances.
DATES: To be sure that we consider your comments, we must receive them
by May 4, 2007.
ADDRESSES: You may give us your comments: by Internet through the
Federal eRulemaking Portal at https://www.regulations.gov; by 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, Maryland
21235-7703. You may also deliver them to the Office of Regulations,
Social Security Administration, 107 Altmeyer Building, 6401 Security
Boulevard, Baltimore, Maryland 21235-6401, between 8 a.m. and 4:30 p.m.
on regular business days. Comments are posted on the Federal
eRulemaking Portal. You may also inspect the comments on regular
business days by making arrangements with the contact person shown in
this preamble.
FOR FURTHER INFORMATION CONTACT: Robin Strauss, Social Insurance
Specialist, Office of Income Security Programs, Social Security
Administration, 252 Altmeyer Building, 6401 Security Boulevard,
Baltimore, MD 21235-6401, (410) 965-7944 or TTY (410) 966-5609, for
information about this notice. For information on eligibility or filing
for benefits, call our national toll-free number, 1-800-772-1213 or TTY
1-800-325-0778, or visit our Internet site, Social Security Online, at
https://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 https://www.gpoaccess.gov/fr/
index.html.
Background
Our existing regulations at Sec. 404.506 state that we will waive
recovery of an overpayment if the individual was without fault in
causing the overpayment and if recovery would defeat the purpose of the
Social Security Act or be against equity and good conscience. Section
404.506 further states that, if we cannot approve waiver after
reviewing the information the individual has given to support his or
her contention that the recovery of the overpayment should be waived,
we will offer the individual a personal conference. The personal
conference policy was established so that the decisionmaker would have
the opportunity to assess an individual's contention through personal,
versus written, contact. Our existing regulations at Sec. 416.550
state that we will waive recovery of an overpayment if the individual
was without fault in causing the overpayment and if recovery would
either defeat the purpose of title XVI, or be against equity and good
conscience, or impede the efficient
[[Page 9710]]
administration of title XVI. There is currently no title XVI regulation
regarding personal conferences.
Section 404.506(e)(1) states that the individual is given the
opportunity to ``appear personally'' at the personal conference.
Current regulations do not further specify the method in which this
appearance may be made. Our longstanding policy contained in Social
Security Ruling (SSR) 94-4p which implemented the decisions in
Buffington, et. al. v. Schweiker and Califano v. Yamasaki, provides
that a face-to-face pre-recoupment hearing will be conducted prior to
the denial of waiver of recovery of an overpayment. However, a face-to-
face appearance at the field office is not always convenient for the
beneficiary. Often, if an individual is not able to come to the face-
to-face conference, field office personnel will go to the person to
hold the conference. Offering additional appearance options for the
conference would improve service to the beneficiaries and reduce costly
home visits by field personnel.
In order to fulfill our stewardship responsibilities to the Social
Security trust fund, we must employ methods that will simplify our
personal conference procedures and use our resources most efficiently.
We should be using all available technology when we conduct personal
conferences. Therefore, we propose to revise the regulations to allow
for personal conferences to be conducted face-to-face at a place we
designate (usually in the field office), by telephone, or by video
teleconference. We will give the choice to the individual; the
individual will still be provided the opportunity to appear face-to-
face by choosing to come to us for the personal conference, or may
choose to participate by telephone or video teleconference. If the
individual elects to conduct the personal conference by video
teleconference, the individual will designate the location for his or
her end of the video teleconference. We will designate the location for
our end of the video teleconference, if video teleconferencing is
feasible, e.g., the field office has reasonable access to video
teleconferencing. Because we are offering claimants two new and
convenient ways to participate in a personal conference--in addition to
the face-to-face conferences at our field offices we currently offer--
we believe the need for our personnel to make costly home visits will
significantly decrease. Therefore, we will consider conducting face-to-
face conferences at locations other than SSA field offices only on a
case-by-case basis, and only in those limited circumstances where: (a)
A claimant has exhausted all other means of obtaining a personal
conference, and (b) conducting a personal conference by any other means
would be so inadequate, owing to a claimant's physical or mental
condition, as to infringe upon the person's right to a hearing. An
example of such a circumstance would be a claimant who is bedridden and
deaf, and therefore, will have considerable difficulty traveling to a
field office and participating in a conference by phone.
These proposed rules will not affect the individual's right to
review the claims file, have a representative present for the
proceedings, cross-examine witnesses, or submit documentary evidence.
Those provisions will not change. For example, claimants who choose to
conduct the personal conference via telephone or video teleconference
will be given an opportunity to submit documentary evidence by mail or
fax prior to the scheduled conference. If necessary, the conference
could be rescheduled to allow claimants time to do this. In conducting
the personal conference face-to-face at a place we designate, or by
telephone, or by video teleconference, we will be fulfilling our
stewardship responsibilities while offering an additional convenience
to the individual and continuing to protect the individual's right to
present his or her contention that he or she meets the requirements for
waiver of recovery of an overpayment. The decisionmaker will still be
able to properly assess the person's contentions regarding fault under
these new procedures.
We already successfully conduct some hearings by telephone and by
video teleconference. For example, the administrative review of an
initial determination for Medicare Part D subsidies is conducted either
by a telephone hearing or a case review. See Sec. 418.3625.
Additionally, some administrative hearings to review claims under title
II (including administrative law judge review of denial of waiver based
on a personal conference), and other claims under title XVI are now
conducted via video teleconferencing. See Sec. Sec. 404.936 and
416.1436. Our experience in these contexts has demonstrated that these
procedures adequately protect a claimant's due process rights.
Explanation of Proposed Changes
We propose to change the regulations in 20 CFR parts 404 and 416 to
reflect the methods for conducting personal conferences when waiver of
recovery of an overpayment cannot be approved as follows:
We propose to change the regulations at Sec. 404.506 to
reflect the various methods we can use to conduct the personal
conference. These methods are: face-to-face in a location we designate
(usually in the field office), via telephone, or via video
teleconference.
Currently, part 416 has no reference to personal
conferences when waiver of recovery of the overpayment cannot be
approved. We are proposing to add a new section that is similar to the
regulations at Sec. 404.506. New Sec. 416.557 would include the
various methods we can use to conduct the personal conference and
describe the individual's rights and responsibilities regarding the
personal conference.
Since SSR 94-4p only provides for a pre-recoupment hearing that is
conducted face-to-face before waiver of recovery of an overpayment can
be denied, the proposed changes in Sec. Sec. 404.506 and 416.557 would
expand that policy. Therefore, if we proceed to publish final rules, we
will also publish a notice rescinding SSR 94-4p concurrently with the
effective date of the final rules.
Clarity of These Proposed Rules
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:
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
not clear?
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
Executive Order 12866
We have consulted with the Office of Management and Budget (OMB)
and determined that these proposed rules meet the criteria for a
significant regulatory action under Executive Order 12866, as amended
by Executive Order
[[Page 9711]]
13258. Thus, they were reviewed by OMB.
Regulatory Flexibility Act
We certify that these proposed rules would 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
We are proposing to revise our rules on conducting personal
conferences when waiver of recovery of a title II or title XVI
overpayment cannot be approved. These proposed revisions would allow
for the conferences to be conducted face-to-face, by telephone, or by
video teleconference. Currently, we only conduct these conferences
face-to-face. Although these proposed rules only contain information
collection burdens in Sec. Sec. 416.557(c)(3) and 416.557(d)(8), we
are also including the associated information collection burdens for
Sec. Sec. 404.506(e)(3) and 404.506(f)(8) since those sections deal
with personal conferences. As outlined in the table below, in
Sec. Sec. 404.506(e)(3), 404.506(f)(8), 416.557(c)(3) and
416.557(d)(8), respondents may provide additional evidence for
consideration at the personal conference. The collection of evidence is
a public paperwork burden that requires clearance under the Paperwork
Reduction Act of 1995. Respondents to these collections are individual
and the individual's representative that request a waiver conference of
their overpayment and submit additional evidence.
----------------------------------------------------------------------------------------------------------------
Average
Annual number Frequency of burden per Estimated
Title/section & collection description of response response annual burden
respondents (minutes) (hours)
----------------------------------------------------------------------------------------------------------------
Personal Conference 404.506(e)(3) Submittal of 150,000 1 30 75,000
additional documents for consideration at
personal conferences...........................
Personal Conference 404.506(f)(8) Submittal of 75,000 1 30 37,500
additional mitigating financial information and
verifications for consideration at personal
conferences....................................
Personal Conference 416.557(c)(3) Submittal of 100,000 1 30 50,000
additional documents for consideration at
personal conferences...........................
Personal Conference 416.557(d)(8) Submittal of 50,000 1 30 25,000
additional mitigating financial information and
verifications for consideration at personal
conferences....................................
---------------------------------------------------------------
Total....................................... 375,000 .............. .............. 187,500
----------------------------------------------------------------------------------------------------------------
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 should be sent to OMB
by fax or by e-mail to: Office of Management and Budget, Attn: Desk
Officer for SSA, Fax Number: 202-395-6974, E-mail address: OIRA--
Submission@omb.eop.gov.
Comments on the paperwork burdens associated with this rule can be
received for up to 60 days after publication of this notice and will be
most useful if received within 30 days of publication. This does not
affect the deadline for the public to comment to SSA on the proposed
regulations. These information collection requirements will not become
effective until approved by OMB. When OMB has approved these
information collection requirements, SSA will publish a notice in the
Federal Register.
To receive a copy of the OMB clearance package, your staff may call
the SSA Reports Clearance Officer on 410-965-0454.
(Catalog of Federal Domestic Assistance Program Nos. 96.001, Social
Security-Disability Insurance; 96.002, Social Security-Retirement
Insurance; 96.004, Social Security-Survivors Insurance; and 96.006,
Supplemental Security Income)
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 416
Administrative practice and procedure, Aged, Blind, Disability
benefits, Public assistance programs; Reporting and recordkeeping
requirements, Supplemental security income (SSI).
Dated: November 27, 2006.
Jo Anne B. Barnhart,
Commissioner of Social Security.
For the reasons set out in the preamble, we propose to amend
subpart F of part 404 and subpart E of part 416 of chapter III of title
20 of the Code of Federal Regulations as follows:
PART 404--FEDERAL OLD-AGE, SURVIVORS AND DISABILITY INSURANCE
(1950-- )
Subpart F--[Amended]
1. The authority citation for subpart F of part 404 continues to
read as follows:
Authority: Secs. 204, 205(a), 702(a)(5), and 1147 of the Social
Security Act (42 U.S.C. 404, 405(a), 902(a)(5), and 1320b-17); 31
U.S.C. 3720A.
2. Section 404.506 is amended by adding a sentence at the end of
paragraph (c) to read as follows:
Sec. 404.506 When waiver may be applied and how to process the
request.
* * * * *
(c) * * * We will offer to the individual the option of conducting
the personal conference face-to-face at a place we designate, by
telephone, or by video teleconference. The notice will advise the
individual of the date and time of the personal conference.
* * * * *
PART 416-SUPPLEMENTAL SECURITY INCOME FOR THE AGED, BLIND, AND
DISABLED
Subpart E--[Amended]
1. The authority citation for subpart E of part 416 continues to
read as follows:
[[Page 9712]]
Authority: Secs. 702(a)(5), 1147, 1601, 1602, 1611(c) and (e),
and 1631(a)-(d) and (g) of the Social Security Act (42 U.S.C.
902(a)(5), 1320b-17, 1381, 1381a, 1382(c) and (e), and 1383(a)-(d)
and (g)); 31 U.S.C. 3720A.
2. Section 416.557 is added to read as follows:
Sec. 416.557 Personal conference.
(a) If waiver cannot be approved (i.e., the requirements in Sec.
416.550 (a) and (b) are not met), the individual is notified in writing
and given the dates, times and place of the file review and personal
conference; the procedure for reviewing the claims file prior to the
personal conference; the procedure for seeking a change in the
scheduled dates, times and/or place; and all other information
necessary to fully inform the individual about the personal conference.
The file review is always scheduled at least 5 days before the personal
conference. We will offer to the individual the option of conducting
the personal conference face-to-face at a place we designate, by
telephone, or by video teleconference. The notice will advise the
individual of the date and time of the personal conference.
(b) At the file review, the individual and the individual's
representative have the right to review the claims file and applicable
law and regulations with the decisionmaker or another of our
representatives who is prepared to answer questions. We will provide
copies of material related to the overpayment and/or waiver from the
claims file or pertinent sections of the law or regulations that are
requested by the individual or the individual's representative.
(c) At the personal conference, the individual is given the
opportunity to:
(1) Appear personally, testify, cross-examine any witnesses, and
make arguments;
(2) Be represented by an attorney or other representative (see
Sec. 416.1500), although the individual must be present at the
conference; and
(3) Submit documents for consideration by the decisionmaker.
(d) At the personal conference, the decisionmaker:
(1) Tells the individual that the decisionmaker was not previously
involved in the issue under review, that the waiver decision is solely
the decisionmaker's, and that the waiver decision is based only on the
evidence or information presented or reviewed at the conference;
(2) Ascertains the role and identity of everyone present;
(3) Indicates whether or not the individual reviewed the claims
file;
(4) Explains the provisions of law and regulations applicable to
the issue;
(5) Briefly summarizes the evidence already in file which will be
considered;
(6) Ascertains from the individual whether the information
presented is correct and whether he/she fully understands it;
(7) Allows the individual and the individual's representative, if
any, to present the individual's case;
(8) Secures updated financial information and verification, if
necessary;
(9) Allows each witness to present information and allows the
individual and the individual's representative to question each
witness;
(10) Ascertains whether there is any further evidence to be
presented;
(11) Reminds the individual of any evidence promised by the
individual which has not been presented;
(12) Lets the individual and the individual's representative, if
any, present any proposed summary or closing statement;
(13) Explains that a decision will be made and the individual will
be notified in writing; and
(14) Explains repayment options and further appeal rights in the
event the decision is adverse to the individual.
(e) SSA issues a written decision to the individual (and his or her
representative, if any) specifying the finding of fact and conclusions
in support of the decision to approve or deny waiver and advising of
the individual's right to appeal the decision. If waiver is denied,
adjustment or recovery of the overpayment begins even if the individual
appeals.
(f) If it appears that the waiver cannot be approved, and the
individual declines a personal conference or fails to appear for a
second scheduled personal conference, a decision regarding the waiver
will be made based on the written evidence of record. Reconsideration
is then the next step in the appeals process.
[FR Doc. E7-3782 Filed 3-2-07; 8:45 am]
BILLING CODE 4191-02-P
