Agency Information Collection Activities: Proposed Request and Comment Request, 20154-20158 [E7-7649]
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Federal Register / Vol. 72, No. 77 / Monday, April 23, 2007 / Notices
responded that it believes these issues
were thoroughly vetted during the
comment process related to this rule
filing, noting that in addition to the
comment periods under this rule filing,
these issues had been addressed in a
preceding rule filing that was
superseded by this proposal.56
IV. Discussion and Commission
Findings
The Commission has reviewed
carefully the Proposed Interpretation,
the comments on the proposed rule
change, as amended, and NASD’s
response to the comments, and believes
that NASD has responded appropriately
to the concerns raised by the
commenters. The Commission finds that
the Proposed Interpretation, as
amended, is consistent with the
requirements of the Act and rules and
regulations thereunder applicable to a
national securities association, and, in
particular, with Section 15A(b)(6) of the
Act, which requires, among other
things, that the rules of a national
securities association be designed to
prevent fraudulent and manipulative
acts and practices, to promote just and
equitable principles of trade, and, in
general, to protect investors and the
public interest.57
The Proposed Interpretation is
designed to provide guidance to dealers
for calculating fair prices and mark-ups
in compliance with NASD Rule 2440 in
a way that is consistent with longstanding Commission and judicial
precedent regarding fair mark-ups.58
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56 See
NASD Notice to Members 94–62 (August
1994) and the comments submitted thereto;
Securities Exchange Act Release No. 40511 (Sept.
30, 1998), 63 FR 54169 (Oct. 8, 1998) (soliciting
comments on SR–NASD–97–61) and comments
submitted thereto. NASD withdrew SR–NASD–97–
61 when it filed SR–NASD–2003–141.
It should be noted that in its earlier response to
comments, NASD provided additional guidance on
some of these issues. NASD addressed comments
on contemporaneous cost by amending the
Proposed Interpretation to provide that the meaning
of ‘‘contemporaneous’’ turns upon whether the
transaction was close enough in time to be
reasonably reflected in the security’s market price.
NASD also addressed comments on ‘‘market maker’’
status by stating that it adopted the term ‘‘market
maker’’ as defined in Section 3(a)(38) of the Act for
purposes of the proposal and that it will apply the
statutory definition without broadening the limits
imposed by current legal precedent.
57 15 U.S.C. 78o–3(b)(6). In approving this
proposed rule change, the Commission has
considered the proposed rule’s impact on
efficiency, competition, and capital formation. 15
U.S.C. 78c(f).
58 See e.g., F.B. Horner & Assocs. v. SEC, 994 F.2d
61 (2d Cir. 1993) (citing Barnett v. SEC, 319 F.2d
340 (8th Cir. 1963) (absent evidence to the contrary,
the Commission is entitled to consider a brokerdealer’s contemporaneous cost as evidence of
current market price)); In the Matter of Alstead,
Dempsey & Co., 47 S.E.C. 1034, 1984 SEC LEXIS
1847 (April 5, 1984); In the Matter of DMR
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The Proposed Interpretation provides a
framework that specifically establishes
contemporaneous cost as the
presumptive prevailing market price,
but also identifies certain dynamic
factors that are relevant to whether
contemporaneous cost or alternative
values provide the most appropriate
measure of prevailing market price. The
Commission believes that the factors
that govern when a dealer may depart
from contemporaneous cost and that set
forth alternative measures the dealer
may use are reasonably designed to
provide greater certainty to dealers and
investors while providing an
appropriate level of flexibility for
dealers to consider alternative market
factors when pricing debt securities.
While we are mindful of the
important issues raised by commenters,
we believe that NASD has reasonably
addressed them. For example, the QIB
exception should provide dealers with
flexibility for transactions that present
greater pricing challenges without
undermining the investor protection
benefits of the Proposed Interpretation.
While it declined to expand this
exception in response to comments at
this time, NASD committed to monitor
how the market adjusts to the use of
differentiated regulation for QIBs in
relation to mark-ups.59
The Commission also believes NASD
has adequately addressed and
responded to other issues raised by
commenters throughout the comment
process.60 NASD’s submission of two
sets of responsive comments and five
amendments to this rule filing reflects a
deliberative and collaborative process
Securities, Inc., 47 S.E.C. 350, 1980 SEC LEXIS 1071
(July 21, 1980); see also Securities Exchange Act
Release No. 24368 (April 21, 1987), 52 FR 15575
(April 29, 1987) (notice to broker-dealers
concerning disclosure requirements for mark-ups
on zero-coupon securities).
59 NASD similarly provided a practical response
to requests for clarification of news that may have
an effect on the perceived value of a debt security.
NASD clarified that such news may include
information about other issuers, but drew an
appropriate line by stating that dealers may not rely
on news that is not broadly disseminated to the
public because of the limited market impact of such
information. NASD also responded reasonably to
requests for the restoration of the ‘‘size’’ proposal,
in light of the customer protection concerns it
identified.
60 For example, NASD took a reasonable position
stating that is adopts the statutory definition of
market maker in Section 3(a)(38) of the Act. Under
current legal precedent, a dealer is not and should
not be considered a market maker merely because
the dealer takes risk positions or devotes substantial
capital to provide liquidity. Rather, to be
considered a market maker, a dealer must meet the
legal requirements set forth in the Act, which
provides, in relevant part, that a dealer must hold
itself out as being willing to buy and sell a security
for its own account on a regular or continuous
basis. See Exchange Act Section 38(a)(38), 15 U.S.C.
78c(a)(38).
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ultimately focused on providing
comprehensive and flexible mark-up
guidance that contemplates dealers’
practical experience in the debt markets.
It is unavoidable that determining the
baseline for a fair and reasonable markup will be inherently challenging. By
recognizing the facts-and-circumstances
nature of the analysis and by setting
forth a logical series of factors to be used
when a dealer departs from
contemporaneous cost, however, NASD
has proposed an approach for
identifying the prevailing market price
of a debt security that is reasonable and
practical in addressing the interests of
dealers and investors.
V. Conclusion
It is therefore ordered, pursuant to
Section 19(b)(2) of the Act,61 that the
proposed rule change (SR–NASD–2003–
141), as modified by Amendment Nos.
1 through 5, be, and it hereby is,
approved.
For the Commission, by the Division of
Market Regulation, pursuant to delegated
authority.62
Nancy M. Morris,
Secretary.
[FR Doc. E7–7611 Filed 4–20–07; 8:45 am]
BILLING CODE 8010–01–P
SOCIAL SECURITY ADMINISTRATION
Agency Information Collection
Activities: Proposed Request and
Comment Request
The Social Security Administration
(SSA) publishes a list of information
collection packages that will require
clearance by the Office of Management
and Budget (OMB) in compliance with
P.L. 104–13, the Paperwork Reduction
Act of 1995, effective October 1, 1995.
The information collection packages
that may be included in this notice are
for new information collections,
approval of existing information
collections, revisions to OMB-approved
information collections, and extensions
(no change) 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 on ways
to minimize burden on respondents,
including the use of automated
collection techniques or other forms of
information technology. Written
comments and recommendations
regarding the information collection(s)
61 15
62 17
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U.S.C. 78s(b)(2)
CFR 200.30–3(a)(12).
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should be submitted to the OMB Desk
Officer and the SSA Reports Clearance
Officer. The information can be mailed,
faxed or e-mailed to the individuals at
the addresses and fax numbers listed
below:
(OMB), Office of Management and
Budget, Attn: Desk Officer for SSA,
Fax: 202–395–6974, E-mail address:
OIRA_Submission@omb.eop.gov.
(SSA), Social Security Administration,
DCBFM, Attn: Reports Clearance
Officer, 1333 Annex Building, 6401
Security Blvd., Baltimore, MD 21235,
Fax: 410–965–6400, E-mail address:
OPLM.RCO@ssa.gov.
I. The information collections listed
below are pending at SSA and will be
submitted to OMB within 60 days from
the date of this notice. Therefore, your
comments should be submitted to SSA
within 60 days from the date of this
publication. You can obtain copies of
the collection instruments by calling the
SSA Reports Clearance Officer at 410–
965–0454 or by writing to the address
listed above.
1. Request for Program Consultation—
20 CFR 404.1601—1661–0960–New.
The Disability Determination Services
(DDS) offices are staffed by State
employees who perform disability
determinations for applicants for Social
Security disability benefits under Title
II and Title XVI of the Social Security
Act.
SSA’s federal regional quality
assurance office has the authority to
review DDS determinations, to assess
errors, and to return cases for corrective
action by the DDS.
The information collected on the
Request for Program Consultation (RPC)
will be used by the DDS’s that request
a review of the regional quality
assurance evaluations. The DDS’s use
the RPC to present their rationale that
supports their determinations. The
information collected includes a short
rationale and policy citations
supporting their rebuttal. The RPC team
will use the information to reassess their
initial determination.
The respondents are DDS’s who
request a review of the regional quality
assurance determination.
Type of Request: Request for a new
information collection.
Number of Respondents: 4500.
Frequency of Response: 1.
Average Burden Per Response: 50
minutes.
Estimated Annual Burden: 3750
hours.
2. Request to Decision Review Board
To Vacate the Administrative Law Judge
Dismissal of Hearing—20 CFR
405.427—0960–NEW. The information
collected on Form SSA–525 will be
used by Social Security
Administration’s Decision Review
Board (Board) when a hearing on a
claim for Title II or Title XVI disability
payments is dismissed and the claimant
Number of
respondents
Collection format
requests that the dismissal be vacated.
The Board will use this information to
(1) establish the continued involvement
of the requester in his or her claim;
(2) consider the requester’s arguments
for vacating the dismissal; and (3) vacate
or decline to vacate the administrative
law judge’s dismissal order. The
respondents are Social Security
disability or Supplemental Security
Income (SSI) claimants who are
requesting that the dismissal be vacated.
Type of Request: Request for a new
information collection.
Number of Respondents: 30,000.
Frequency of Response: 1.
Average Burden per Response: 10
minutes.
Estimated Annual Burden: 5,000
hours.
3. Medical History and Disability
Report, Disabled Child—20 CFR
416.912—0960–0577. The Social
Security Act requires claimants to
furnish medical and other evidence to
prove they are disabled. The form SSA–
3820 is used to obtain various types of
information about a child’s condition,
his/her treating sources and/or other
medical sources of evidence. The
information collected on the SSA–3820
is needed for the determination of
disability by the State DDSs. The
respondents are applicants for Title XVI
(SSI) child disability benefits.
Type of Request: Revision to an OMBapproved information collection.
Frequency of
responses
Average
burden per
responses
(hours)
Estimated
annual burden
(hours)
SSA–3820 (Paper Form) .................................................................................
Electronic Disability Collection System (EDCS) ..............................................
i3820 (Internet) ................................................................................................
500
422,000
39,500
1
1
1
1 34
1
2
500
239,133
79,000
Totals ........................................................................................................
462,000
........................
........................
318,633
1 Minutes.
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4. Social Security Disability Report—
20 CFR 404.1512 & 416.912—0960–
0579. The Social Security
Administration requires applicants for
disability payments to furnish medical,
work history, and other evidence or
information indicating they have an
impairment which is disabling. This
information is collected by form SSA–
3368, the Adult Disability Report, and is
used by State DDS’s to make disability
determinations for SSA.
The respondents are applicants for
Title II and Title XVI disability benefits.
These applicants may complete the form
using any of the following modalities:
(1) The traditional paper form; (2) an
interview with an SSA field office
representative, using the Electronic
Disability Collection System (EDCS); (3)
the Internet (i3368); and (4) a modality,
the i3368–PRO, an Internet form
designed to be completed by
representatives of applicants for
Number of
respondents
Collection format
SSA–3368 (Paper version) ..............................................................................
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disability payments. The latter three
versions of the form collect the same
information as the paper form, but may
be formatted differently and include
certain enhancements (ex: self-help
screens) to guide the claimant or
interviewer through the application
process.
Type of Request: Revision to an OMBapproved information collection.
Frequency of
response
9,364
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1
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Average
burden per
response
(hours)
Estimated
annual burden
(hours)
1
9,364
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Number of
respondents
Collection format
Frequency of
response
Average
burden per
response
(hours)
Estimated
annual burden
(hours)
Field office/Electronic Disability Collection System (EDCS) ...........................
i3368 (Internet version; Hour burden varies from 11⁄2–3 hours, depending
on information required) ...............................................................................
i3368–PRO ......................................................................................................
3,138,920
1
1
3,138,920
101,135
101,135
1
1
21⁄2
11⁄2
252,837
151,702
Totals ........................................................................................................
3,350,554
........................
........................
3,552,823
5. Certification of Contents of
Document(s) or Record(s)—20 CFR
404.715 ff–0960–689. SSA must secure
evidence necessary for individuals to
establish rights to benefits. Some of the
types of evidence needed are evidence
of age relationship, citizenship,
marriage, death, and military service.
Form SSA–704 allows SSA employees,
state record custodians, and other
custodians of evidentiary documents to
record information from documents and
records to establish these types of
evidence. SSA employees use this form
but it is also used by state record
custodians and other custodians of
evidentiary documents.
Type of Request: Extension of an
OMB-approved information collection.
Number of Respondents: 4,800.
Average Burden Per Response: 10
minutes.
Estimated Annual Burden: 800.
6. Waiver of Your Right to Personal
Appearance before an Administrative
Law Judge—20 CFR 404.948(b)(l)(i) and
416.1448(b)(l)(i) –0960–0284. Each
claimant has a statutory right to appear
in person (or through a representative)
and present evidence about his/her
claim at a hearing before an
Administrative Law Judge (ALJ). If a
claimant wishes to waive his/her
services not only on educational
attainment, employment, earnings, and
receipt of benefits by youth with
disabilities but also on the Social
Security Trust Fund and federal income
tax revenues. This type of project is
authorized by sections 1110 and 234 of
the Social Security Act.
statutory right to appear before an ALJ,
he/she must complete a written request.
The claimant may use Form HA–4608
for this request. The information
collected is used to document an
individual’s claim to show that an oral
hearing is not preferred in the appellate
process. The respondents are applicants
for Title II benefits and Title XVI
payments who request a hearing.
Number of Respondents: 12,000.
Frequency of Response: 1.
Average Burden per Response: 2
minutes.
Estimated Annual Burden: 400 hours.
7. Youth Transition Process
Demonstration Evaluation Data
Collection–0960–0687.
Project Description
Given the importance of estimating
YTD impacts as accurately as possible,
the evaluation will be conducted using
rigorous analytic methods based on the
random assignment of youth to a
treatment or control group. Several data
collection efforts are planned. These
include (1) baseline interviews with
youth and their parents or guardians
prior to random assignment; (2) followup interviews at 12 and 36 months after
random assignment; (3) interviews and/
or roundtable discussions with local
program administrators, program
supervisors, and service delivery staff;
and (4) focus groups of youth, their
parents, and service providers. The
respondents will be youths with
disabilities who have enrolled in the
project, their parents or guardians,
program staff, and service providers.
Type of Request: Revision of an
existing OMB Clearance.
Background
The Youth Transition Demonstration
(YTD) projects are intended to help
young people with disabilities make the
transition from school to work. By
waiving certain disability program rules
and offering services to youth who are
either receiving disability benefits or at
risk of receiving them, these projects are
expected to encourage youth to work
and/or continue their education. YTD
projects will be fully implemented in 10
sites across the country. The evaluation
will produce empirical evidence on the
impacts of the waivers and project
Average
burden per
response
(minutes)
Responses
per
respondent
Number of
respondents
Total response
burden
(hours)
Collection
2007 ..................................................
Baseline ............................................
12 month follow-up ...........................
Focus group .....................................
Program staff/service provider .........
962
437
140
32
1
1
1
1
33
50
90
60
529
364
210
32
Total 2007 ..................................
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Data collection year
...........................................................
........................
........................
........................
1,135
8. Annual Registration Statement
Identifying Separated Participants With
Deferred Benefits, Schedule SSA—
0960–0606. Schedule SSA is a form
filed annually as part of a series of
pension plan documents required by
section 6057 of the IRS Code.
Administrators of pension benefit plans
are required to report specific
information on future plan benefits for
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those participants who left plan
coverage during the year. SSA maintains
the information until a claim for Social
Security benefits has been approved. At
that time, SSA notifies the beneficiary of
his/her potential eligibility for payments
from the private pension plan. The
respondents are administrators of
pension benefit plans or their service
providers employed to prepare the
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Schedule SSA on behalf of the pension
benefit plan. Below are the estimates of
the cost and hour burdens for
completing and filing Schedule SSA(s).
We have used an average to estimate the
hour burden. However, the burden may
be greater or smaller depending on
whether the respondent is a large or
small pension benefit plan and how
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many Schedule SSA’s are filed in a
given year.
Type of Request: Extension of an
OMB-approved information collection.
Number of Respondents: 88,000.
Frequency of Response: 1.
Average Burden per Response: 2.5
hours.
Estimated Annual Burden: 220,000
hours.
Estimated Annual Cost Burden for All
Respondents: $12,194,400.
II. The information collections listed
below have been submitted to OMB for
clearance. Your comments on the
information collections would be most
useful if received by OMB and SSA
within 30 days from the date of this
publication. You can obtain a copy of
the OMB clearance packages by calling
the SSA Reports Clearance Officer at
410–965–0454, or by writing to the
address listed above.
1. Application for Benefits under the
Italy-U.S. International Social Security
Agreement—20 CFR 404.19250—960–
0445. The United States and Italy
entered into an agreement on November
1, 1978. Article 19.2 of that agreement
provides that an applicant for benefits
can file his application with either
country. Article 4.3 of the Protocol to
the Agreement provides that the country
that receives the application will
forward agreed upon forms and
applications to the other country. Form
SSA–2528 is the form agreed upon that
is completed by individuals who file an
application for U.S. benefits directly
with one of the Italian Social Security
Agencies. The information collected on
Form SSA–2528 is required by SSA in
order to determine entitlement to
benefits. The respondents are applicants
for old-age, survivors or disability
benefits, who reside in Italy.
Type of Request: Extension of an
OMB-approved information collection
Number of Respondents: 200.
Frequency of Response: 1.
Average Burden per Response: 20
minutes.
Estimated Annual Burden: 67 hours.
2. Physician’s/Medical Officer’s
Statement of Patient’s Capability to
Manage Benefits—20 CFR 404.2015 &
416.615—0960–0024. The information
collected on the SSA–787 is used to
determine whether an individual is
capable of handling his or her own
benefits. This information is also used
for leads in selecting a representative
payee, if needed. The respondents are
physicians of the beneficiaries or
medical officers of the institution in
which the beneficiaries reside.
Type of Request: Revision of an OMBapproved information collection.
Number of Respondents: 120,000.
Frequency of Response: 1.
Average Burden per Response: 10
minutes.
Estimated Annual Burden: 20,000
hours.
3. Modified Benefit Formula
Questionnaire—Foreign Pension—
0960–0561. The information collected
on the SSA–308 is used to determine
exactly how much (if any) of a foreign
pension may be used to reduce the
amount of Social Security retirement or
disability benefits under the modified
benefit formula. The respondents are
applicants for Social Security retirement
or disability benefits.
Type of Request: Extension of an
OMB-approved information collection.
Number of Respondents: 50,000.
Frequency of Response: 1.
Average Burden per Response: 10
minutes.
Estimated Annual Burden: 8,333
hours.
4. Social Security Benefits
Applications—20 CFR Subpart D,
404.310–404.311 and 20 CFR Subpart F,
404.601–401.603—0960–0618. One of
the requirements for obtaining Social
Security benefits is the filing of an
application so that a determination may
be made on the applicant’s eligibility for
monthly benefits. In addition to the
traditional paper application, SSA has
developed various options, listed below,
for the public to add convenience and
operational efficiency to the application
process. The total estimated number of
respondents to all application
collections formats is 3,843,369 with a
cumulative total of 963,056 burden
hours. The respondents are applicants
for retirement insurance benefits (RIB),
disability insurance benefits (DIB), and/
or spouses’ benefits.
Type of Request: Extension of an
OMB-approved information collection.
Internet Social Security Benefits
Application (ISBA)
ISBA, which is available through
SSA’s Internet site, is one method that
an individual can choose to file an
application for benefits. Individuals can
use ISBA to apply for retirement
insurance benefits (RIB), disability
insurance benefits (DIB) and spouse’s
insurance benefits based on age. SSA
gathers only information relevant to the
individual applicant’s circumstances
and will use the information collected
by ISBA to entitle individuals to RIB,
DIB, and/or spouses’ benefits. The
respondents are applicants for RIB, DIB,
and/or spouses benefits.
Number of Respondents: 169,000.
Frequency of Response: 1.
Average Burden per Response: 20.4
minutes.
Estimated Annual Burden: 57,460
hours.
Paper Application Forms
Application for Retirement Insurance
Benefits (SSA–1)
The SSA–1 is used by SSA to
determine an individual’s entitlement to
RIB. In order to receive Social Security
RIB, an individual must file an
application with SSA. The SSA–1 is one
application that the Commissioner of
Social Security prescribes to meet this
requirement. The information that SSA
collects will be used to determine
entitlement to benefits. The respondents
are individuals who choose to apply for
Social Security RIB using the paper
application.
Approximately 1,460,692 respondents
complete the SSA–1 annually. Of this
total 97% (1,416,871) are completed
through SSA’s Modernized Claims
System (MCS) and 50% of the MCS
respondents will use Signature Proxy
(708,435.5). The breakdown is displayed
on the following chart.
Number of
respondents
Collection method
Estimated
completion
time
(minutes)
Burden hours
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MCS .............................................................................................................................................
MCS/Signature Proxy ..................................................................................................................
Paper ...........................................................................................................................................
708,436
708,435
43,821
10.5
9.5
10.5
123,976
112,169
7,669
Totals ....................................................................................................................................
1,460,692
........................
243,814
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Application for Wife’s or Husband’s
Insurance Benefits (SSA–2)
SSA uses the information collected on
Form SSA–2 to determine if an
applicant (including a divorced
applicant) can be entitled to benefits as
the spouse of the worker and the
amount of the spouse’s benefits. The
respondents are applicants for wife’s or
husband’s benefits, including those who
are divorced.
Approximately 700,000 respondents
complete the SSA–2 annually. Of this
total 95% (665,000) are completed
through MCS and 50% of the MCS
respondents will use Signature Proxy
(332,500). The breakdown is displayed
on the following chart:
Number of
respondents
Collection method
Estimated
completion
time
(minutes)
Burden hours
MCS .............................................................................................................................................
MCS/Signature Proxy ..................................................................................................................
Paper ...........................................................................................................................................
332,500
332,500
35,000
15
14
15
83,125
77,583
8,750
Totals ....................................................................................................................................
700,000
........................
169,458
Application for Disability Insurance
Benefits (SSA–16)
Form SSA–16–F6 obtains the
information necessary to determine
whether the provisions of the Act have
been satisfied with respect to an
applicant for disability benefits, and
detects whether the applicant has
dependents who would qualify for
benefits on his or her earnings record.
The information collected on form SSA–
16 helps to determine eligibility for
Social Security disability benefits. The
respondents are applicants for Social
Security disability benefits.
Approximately 1,513,677 respondents
complete the SSA–16 annually. Of this
total 97% (1,468,267) are completed
through SSA’s Modernized Claims
System (MCS) and 50% of the MCS
respondents will use Signature Proxy
(734,133.5). The breakdown is displayed
on the following chart:
Number of
respondents
Collection method
Estimated
completion
time
(minutes)
Burden hours
MCS .............................................................................................................................................
MCS/Signature Proxy ..................................................................................................................
Paper ...........................................................................................................................................
734,134
734,133
45,410
20
19
20
244,711
232,476
15,137
Totals ....................................................................................................................................
1,513,677
........................
492,324
Dated: April 17, 2007.
Elizabeth A. Davidson,
Reports Clearance Officer, Social Security
Administration.
[FR Doc. E7–7649 Filed 4–20–07; 8:45 am]
BILLING CODE 4191–02–P
DEPARTMENT OF STATE
[Public Notice 5781]
Bureau of International Security and
Nonproliferation; Imposition of
Nonproliferation Measures Against
Foreign Persons, Including a Ban on
U.S. Government Procurement.
Department of State.
Notice.
AGENCY:
jlentini on PROD1PC65 with NOTICES
ACTION:
SUMMARY: A determination has been
made that fourteen foreign persons have
engaged in activities that warrant the
imposition of measures pursuant to
Section 3 of the Iran and Syria
Nonproliferation Act, which provides
for penalties on foreign persons
(including individuals,
nongovernmental entities and
organizations, governments and
VerDate Aug<31>2005
19:17 Apr 20, 2007
Jkt 211001
government entities) for the transfer to
or acquisition from Iran since January 1,
1999 or the transfer to or acquisition
from Syria since January 1, 2005, of
equipment and technology controlled
under multilateral export control lists
(Missile Technology Control Regime,
Australia Group, Chemical Weapons
Convention, Nuclear Suppliers Group,
Wassenaar Arrangement) or otherwise
having the potential to make a material
contribution to the development of
weapons of mass destruction (WMD) or
cruise or ballistic missile systems. The
latter category includes (a) items of the
same kind as those on multilateral lists,
but falling below the control list
parameters, when it is determined that
such items have the potential of making
a material contribution to WMD or
cruise or ballistic missile systems, (b)
other items with the potential of making
such a material contribution, when
added through case-by-case decisions,
and (c) items on U.S. national control
lists for WMD/missile reasons that are
not on multilateral lists.
EFFECTIVE DATE:
PO 00000
Frm 00054
April 17, 2007.
Fmt 4703
Sfmt 4703
On
general issues: Pamela K. Durham,
Office of Missile Threat Reduction,
Bureau of International Security and
Nonproliferation, Department of State
(202–647–4931). On U.S. Government
procurement ban issues: Gladys Gines,
Office of the Procurement Executive,
Department of State (703–516–1691).
SUPPLEMENTARY INFORMATION: Pursuant
to Sections 2 and 3 of the Iran and Syria
Nonproliferation Act (Pub. L. 109–112),
the U.S. Government determined on
April 10, 2007 that the measures
authorized in Section 3 of the Act shall
apply to the following foreign persons
identified in the report submitted
pursuant to Section 2(a) of the Act:
China National Precision Machinery
Import/Export Corporation (CPMIEC)
(China) and any successor, sub-unit, or
subsidiary thereof;
Shanghai Non-Ferrous Metals Pudong
Development Trade Co. Ltd. (China) and
any successor, sub-unit, or subsidiary
thereof;
Zibo Chemet Equipment Company
(China) and any successor, sub-unit, or
subsidiary thereof;
FOR FURTHER INFORMATION CONTACT:
E:\FR\FM\23APN1.SGM
23APN1
]]>Agencies
[Federal Register Volume 72, Number 77 (Monday, April 23, 2007)]
[Notices]
[Pages 20154-20158]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: E7-7649]
=======================================================================
-----------------------------------------------------------------------
SOCIAL SECURITY ADMINISTRATION
Agency Information Collection Activities: Proposed Request and
Comment Request
The Social Security Administration (SSA) publishes a list of
information collection packages that will require clearance by the
Office of Management and Budget (OMB) in compliance with P.L. 104-13,
the Paperwork Reduction Act of 1995, effective October 1, 1995. The
information collection packages that may be included in this notice are
for new information collections, approval of existing information
collections, revisions to OMB-approved information collections, and
extensions (no change) 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 on ways to minimize
burden on respondents, including the use of automated collection
techniques or other forms of information technology. Written comments
and recommendations regarding the information collection(s)
[[Page 20155]]
should be submitted to the OMB Desk Officer and the SSA Reports
Clearance Officer. The information can be mailed, faxed or e-mailed to
the individuals at the addresses and fax numbers listed below:
(OMB), Office of Management and Budget, Attn: Desk Officer for SSA,
Fax: 202-395-6974, E-mail address: OIRA--Submission@omb.eop.gov.
(SSA), Social Security Administration, DCBFM, Attn: Reports Clearance
Officer, 1333 Annex Building, 6401 Security Blvd., Baltimore, MD 21235,
Fax: 410-965-6400, E-mail address: OPLM.RCO@ssa.gov.
I. The information collections listed below are pending at SSA and
will be submitted to OMB within 60 days from the date of this notice.
Therefore, your comments should be submitted to SSA within 60 days from
the date of this publication. You can obtain copies of the collection
instruments by calling the SSA Reports Clearance Officer at 410-965-
0454 or by writing to the address listed above.
1. Request for Program Consultation--20 CFR 404.1601--1661-0960-
New. The Disability Determination Services (DDS) offices are staffed by
State employees who perform disability determinations for applicants
for Social Security disability benefits under Title II and Title XVI of
the Social Security Act.
SSA's federal regional quality assurance office has the authority
to review DDS determinations, to assess errors, and to return cases for
corrective action by the DDS.
The information collected on the Request for Program Consultation
(RPC) will be used by the DDS's that request a review of the regional
quality assurance evaluations. The DDS's use the RPC to present their
rationale that supports their determinations. The information collected
includes a short rationale and policy citations supporting their
rebuttal. The RPC team will use the information to reassess their
initial determination.
The respondents are DDS's who request a review of the regional
quality assurance determination.
Type of Request: Request for a new information collection.
Number of Respondents: 4500.
Frequency of Response: 1.
Average Burden Per Response: 50 minutes.
Estimated Annual Burden: 3750 hours.
2. Request to Decision Review Board To Vacate the Administrative
Law Judge Dismissal of Hearing--20 CFR 405.427--0960-NEW. The
information collected on Form SSA-525 will be used by Social Security
Administration's Decision Review Board (Board) when a hearing on a
claim for Title II or Title XVI disability payments is dismissed and
the claimant requests that the dismissal be vacated. The Board will use
this information to (1) establish the continued involvement of the
requester in his or her claim;
(2) consider the requester's arguments for vacating the dismissal;
and (3) vacate or decline to vacate the administrative law judge's
dismissal order. The respondents are Social Security disability or
Supplemental Security Income (SSI) claimants who are requesting that
the dismissal be vacated.
Type of Request: Request for a new information collection.
Number of Respondents: 30,000.
Frequency of Response: 1.
Average Burden per Response: 10 minutes.
Estimated Annual Burden: 5,000 hours.
3. Medical History and Disability Report, Disabled Child--20 CFR
416.912--0960-0577. The Social Security Act requires claimants to
furnish medical and other evidence to prove they are disabled. The form
SSA-3820 is used to obtain various types of information about a child's
condition, his/her treating sources and/or other medical sources of
evidence. The information collected on the SSA-3820 is needed for the
determination of disability by the State DDSs. The respondents are
applicants for Title XVI (SSI) child disability benefits.
Type of Request: Revision to an OMB-approved information
collection.
----------------------------------------------------------------------------------------------------------------
Average
Number of Frequency of burden per Estimated
Collection format respondents responses responses annual burden
(hours) (hours)
----------------------------------------------------------------------------------------------------------------
SSA-3820 (Paper Form)........................... 500 1 1 500
Electronic Disability Collection System (EDCS).. 422,000 1 \1\ 34 239,133
i3820 (Internet)................................ 39,500 1 2 79,000
---------------------------------------------------------------
Totals...................................... 462,000 .............. .............. 318,633
----------------------------------------------------------------------------------------------------------------
1 Minutes.
4. Social Security Disability Report--20 CFR 404.1512 & 416.912--
0960-0579. The Social Security Administration requires applicants for
disability payments to furnish medical, work history, and other
evidence or information indicating they have an impairment which is
disabling. This information is collected by form SSA-3368, the Adult
Disability Report, and is used by State DDS's to make disability
determinations for SSA.
The respondents are applicants for Title II and Title XVI
disability benefits. These applicants may complete the form using any
of the following modalities: (1) The traditional paper form; (2) an
interview with an SSA field office representative, using the Electronic
Disability Collection System (EDCS); (3) the Internet (i3368); and (4)
a modality, the i3368-PRO, an Internet form designed to be completed by
representatives of applicants for disability payments. The latter three
versions of the form collect the same information as the paper form,
but may be formatted differently and include certain enhancements (ex:
self-help screens) to guide the claimant or interviewer through the
application process.
Type of Request: Revision to an OMB-approved information
collection.
----------------------------------------------------------------------------------------------------------------
Average
Number of Frequency of burden per Estimated
Collection format respondents response response annual burden
(hours) (hours)
----------------------------------------------------------------------------------------------------------------
SSA-3368 (Paper version)........................ 9,364 1 1 9,364
[[Page 20156]]
Field office/Electronic Disability Collection 3,138,920 1 1 3,138,920
System (EDCS)..................................
i3368 (Internet version; Hour burden varies from 101,135 1 2\1/2\ 252,837
1\1/2\-3 hours, depending on information
required)......................................
i3368-PRO....................................... 101,135 1 1\1/2\ 151,702
---------------------------------------------------------------
Totals...................................... 3,350,554 .............. .............. 3,552,823
----------------------------------------------------------------------------------------------------------------
5. Certification of Contents of Document(s) or Record(s)--20 CFR
404.715 ff-0960-689. SSA must secure evidence necessary for individuals
to establish rights to benefits. Some of the types of evidence needed
are evidence of age relationship, citizenship, marriage, death, and
military service. Form SSA-704 allows SSA employees, state record
custodians, and other custodians of evidentiary documents to record
information from documents and records to establish these types of
evidence. SSA employees use this form but it is also used by state
record custodians and other custodians of evidentiary documents.
Type of Request: Extension of an OMB-approved information
collection.
Number of Respondents: 4,800.
Average Burden Per Response: 10 minutes.
Estimated Annual Burden: 800.
6. Waiver of Your Right to Personal Appearance before an
Administrative Law Judge--20 CFR 404.948(b)(l)(i) and 416.1448(b)(l)(i)
-0960-0284. Each claimant has a statutory right to appear in person (or
through a representative) and present evidence about his/her claim at a
hearing before an Administrative Law Judge (ALJ). If a claimant wishes
to waive his/her statutory right to appear before an ALJ, he/she must
complete a written request. The claimant may use Form HA-4608 for this
request. The information collected is used to document an individual's
claim to show that an oral hearing is not preferred in the appellate
process. The respondents are applicants for Title II benefits and Title
XVI payments who request a hearing.
Number of Respondents: 12,000.
Frequency of Response: 1.
Average Burden per Response: 2 minutes.
Estimated Annual Burden: 400 hours.
7. Youth Transition Process Demonstration Evaluation Data
Collection-0960-0687.
Background
The Youth Transition Demonstration (YTD) projects are intended to
help young people with disabilities make the transition from school to
work. By waiving certain disability program rules and offering services
to youth who are either receiving disability benefits or at risk of
receiving them, these projects are expected to encourage youth to work
and/or continue their education. YTD projects will be fully implemented
in 10 sites across the country. The evaluation will produce empirical
evidence on the impacts of the waivers and project services not only on
educational attainment, employment, earnings, and receipt of benefits
by youth with disabilities but also on the Social Security Trust Fund
and federal income tax revenues. This type of project is authorized by
sections 1110 and 234 of the Social Security Act.
Project Description
Given the importance of estimating YTD impacts as accurately as
possible, the evaluation will be conducted using rigorous analytic
methods based on the random assignment of youth to a treatment or
control group. Several data collection efforts are planned. These
include (1) baseline interviews with youth and their parents or
guardians prior to random assignment; (2) follow-up interviews at 12
and 36 months after random assignment; (3) interviews and/or roundtable
discussions with local program administrators, program supervisors, and
service delivery staff; and (4) focus groups of youth, their parents,
and service providers. The respondents will be youths with disabilities
who have enrolled in the project, their parents or guardians, program
staff, and service providers.
Type of Request: Revision of an existing OMB Clearance.
----------------------------------------------------------------------------------------------------------------
Average
Number of Responses per burden per Total response
Data collection year Collection respondents respondent response burden
(minutes) (hours)
----------------------------------------------------------------------------------------------------------------
2007.......................... Baseline........ 962 1 33 529
12 month follow- 437 1 50 364
up.
Focus group..... 140 1 90 210
Program staff/ 32 1 60 32
service
provider.
---------------------------------------------------------------
Total 2007................ ................ .............. .............. .............. 1,135
----------------------------------------------------------------------------------------------------------------
8. Annual Registration Statement Identifying Separated Participants
With Deferred Benefits, Schedule SSA--0960-0606. Schedule SSA is a form
filed annually as part of a series of pension plan documents required
by section 6057 of the IRS Code. Administrators of pension benefit
plans are required to report specific information on future plan
benefits for those participants who left plan coverage during the year.
SSA maintains the information until a claim for Social Security
benefits has been approved. At that time, SSA notifies the beneficiary
of his/her potential eligibility for payments from the private pension
plan. The respondents are administrators of pension benefit plans or
their service providers employed to prepare the Schedule SSA on behalf
of the pension benefit plan. Below are the estimates of the cost and
hour burdens for completing and filing Schedule SSA(s). We have used an
average to estimate the hour burden. However, the burden may be greater
or smaller depending on whether the respondent is a large or small
pension benefit plan and how
[[Page 20157]]
many Schedule SSA's are filed in a given year.
Type of Request: Extension of an OMB-approved information
collection.
Number of Respondents: 88,000.
Frequency of Response: 1.
Average Burden per Response: 2.5 hours.
Estimated Annual Burden: 220,000 hours.
Estimated Annual Cost Burden for All Respondents: $12,194,400.
II. The information collections listed below have been submitted to
OMB for clearance. Your comments on the information collections would
be most useful if received by OMB and SSA within 30 days from the date
of this publication. You can obtain a copy of the OMB clearance
packages by calling the SSA Reports Clearance Officer at 410-965-0454,
or by writing to the address listed above.
1. Application for Benefits under the Italy-U.S. International
Social Security Agreement--20 CFR 404.19250--960-0445. The United
States and Italy entered into an agreement on November 1, 1978. Article
19.2 of that agreement provides that an applicant for benefits can file
his application with either country. Article 4.3 of the Protocol to the
Agreement provides that the country that receives the application will
forward agreed upon forms and applications to the other country. Form
SSA-2528 is the form agreed upon that is completed by individuals who
file an application for U.S. benefits directly with one of the Italian
Social Security Agencies. The information collected on Form SSA-2528 is
required by SSA in order to determine entitlement to benefits. The
respondents are applicants for old-age, survivors or disability
benefits, who reside in Italy.
Type of Request: Extension of an OMB-approved information
collection
Number of Respondents: 200.
Frequency of Response: 1.
Average Burden per Response: 20 minutes.
Estimated Annual Burden: 67 hours.
2. Physician's/Medical Officer's Statement of Patient's Capability
to Manage Benefits--20 CFR 404.2015 & 416.615--0960-0024. The
information collected on the SSA-787 is used to determine whether an
individual is capable of handling his or her own benefits. This
information is also used for leads in selecting a representative payee,
if needed. The respondents are physicians of the beneficiaries or
medical officers of the institution in which the beneficiaries reside.
Type of Request: Revision of an OMB-approved information
collection.
Number of Respondents: 120,000.
Frequency of Response: 1.
Average Burden per Response: 10 minutes.
Estimated Annual Burden: 20,000 hours.
3. Modified Benefit Formula Questionnaire--Foreign Pension--0960-
0561. The information collected on the SSA-308 is used to determine
exactly how much (if any) of a foreign pension may be used to reduce
the amount of Social Security retirement or disability benefits under
the modified benefit formula. The respondents are applicants for Social
Security retirement or disability benefits.
Type of Request: Extension of an OMB-approved information
collection.
Number of Respondents: 50,000.
Frequency of Response: 1.
Average Burden per Response: 10 minutes.
Estimated Annual Burden: 8,333 hours.
4. Social Security Benefits Applications--20 CFR Subpart D,
404.310-404.311 and 20 CFR Subpart F, 404.601-401.603--0960-0618. One
of the requirements for obtaining Social Security benefits is the
filing of an application so that a determination may be made on the
applicant's eligibility for monthly benefits. In addition to the
traditional paper application, SSA has developed various options,
listed below, for the public to add convenience and operational
efficiency to the application process. The total estimated number of
respondents to all application collections formats is 3,843,369 with a
cumulative total of 963,056 burden hours. The respondents are
applicants for retirement insurance benefits (RIB), disability
insurance benefits (DIB), and/or spouses' benefits.
Type of Request: Extension of an OMB-approved information
collection.
Internet Social Security Benefits Application (ISBA)
ISBA, which is available through SSA's Internet site, is one method
that an individual can choose to file an application for benefits.
Individuals can use ISBA to apply for retirement insurance benefits
(RIB), disability insurance benefits (DIB) and spouse's insurance
benefits based on age. SSA gathers only information relevant to the
individual applicant's circumstances and will use the information
collected by ISBA to entitle individuals to RIB, DIB, and/or spouses'
benefits. The respondents are applicants for RIB, DIB, and/or spouses
benefits.
Number of Respondents: 169,000.
Frequency of Response: 1.
Average Burden per Response: 20.4 minutes.
Estimated Annual Burden: 57,460 hours.
Paper Application Forms
Application for Retirement Insurance Benefits (SSA-1)
The SSA-1 is used by SSA to determine an individual's entitlement
to RIB. In order to receive Social Security RIB, an individual must
file an application with SSA. The SSA-1 is one application that the
Commissioner of Social Security prescribes to meet this requirement.
The information that SSA collects will be used to determine entitlement
to benefits. The respondents are individuals who choose to apply for
Social Security RIB using the paper application.
Approximately 1,460,692 respondents complete the SSA-1 annually. Of
this total 97% (1,416,871) are completed through SSA's Modernized
Claims System (MCS) and 50% of the MCS respondents will use Signature
Proxy (708,435.5). The breakdown is displayed on the following chart.
----------------------------------------------------------------------------------------------------------------
Estimated
Number of completion
Collection method respondents time Burden hours
(minutes)
----------------------------------------------------------------------------------------------------------------
MCS............................................................. 708,436 10.5 123,976
MCS/Signature Proxy............................................. 708,435 9.5 112,169
Paper........................................................... 43,821 10.5 7,669
-----------------------------------------------
Totals...................................................... 1,460,692 .............. 243,814
----------------------------------------------------------------------------------------------------------------
[[Page 20158]]
Application for Wife's or Husband's Insurance Benefits (SSA-2)
SSA uses the information collected on Form SSA-2 to determine if an
applicant (including a divorced applicant) can be entitled to benefits
as the spouse of the worker and the amount of the spouse's benefits.
The respondents are applicants for wife's or husband's benefits,
including those who are divorced.
Approximately 700,000 respondents complete the SSA-2 annually. Of
this total 95% (665,000) are completed through MCS and 50% of the MCS
respondents will use Signature Proxy (332,500). The breakdown is
displayed on the following chart:
----------------------------------------------------------------------------------------------------------------
Estimated
Number of completion
Collection method respondents time Burden hours
(minutes)
----------------------------------------------------------------------------------------------------------------
MCS............................................................. 332,500 15 83,125
MCS/Signature Proxy............................................. 332,500 14 77,583
Paper........................................................... 35,000 15 8,750
-----------------------------------------------
Totals...................................................... 700,000 .............. 169,458
----------------------------------------------------------------------------------------------------------------
Application for Disability Insurance Benefits (SSA-16)
Form SSA-16-F6 obtains the information necessary to determine
whether the provisions of the Act have been satisfied with respect to
an applicant for disability benefits, and detects whether the applicant
has dependents who would qualify for benefits on his or her earnings
record. The information collected on form SSA-16 helps to determine
eligibility for Social Security disability benefits. The respondents
are applicants for Social Security disability benefits.
Approximately 1,513,677 respondents complete the SSA-16 annually.
Of this total 97% (1,468,267) are completed through SSA's Modernized
Claims System (MCS) and 50% of the MCS respondents will use Signature
Proxy (734,133.5). The breakdown is displayed on the following chart:
----------------------------------------------------------------------------------------------------------------
Estimated
Number of completion
Collection method respondents time Burden hours
(minutes)
----------------------------------------------------------------------------------------------------------------
MCS............................................................. 734,134 20 244,711
MCS/Signature Proxy............................................. 734,133 19 232,476
Paper........................................................... 45,410 20 15,137
-----------------------------------------------
Totals...................................................... 1,513,677 .............. 492,324
----------------------------------------------------------------------------------------------------------------
Dated: April 17, 2007.
Elizabeth A. Davidson,
Reports Clearance Officer, Social Security Administration.
[FR Doc. E7-7649 Filed 4-20-07; 8:45 am]
BILLING CODE 4191-02-P
