Technical Revisions to the Supplemental Security Income (SSI) Regulations on Income and Resources, 1271-1274 [2010-241]
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PART 993—DRIED PRUNES
PRODUCED IN CALIFORNIA
[AMENDED]
Accordingly, the interim final rule
amending 7 CFR part 993 which was
published at 74 FR 46310 on September
9, 2009, is adopted as a final rule,
without change.
■
Dated: January 5, 2010.
Rayne Pegg,
Administrator, Agricultural Marketing
Service.
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/.
Explanation of Changes
[Docket No. SSA 2008–0034]
We are revising and making final the
rules we proposed in the notice of
proposed rulemaking (NPRM) published
in the Federal Register on December 9,
2008 (73 FR 74663). These conforming
changes revise our regulations to reflect
legislation enacted during the past
several years and to address two policy
concerns.
RIN 0960–AG66
Background
Technical Revisions to the
Supplemental Security Income (SSI)
Regulations on Income and Resources
The primary goal of the SSI program
is to ensure a minimum level of income
to people who are aged 65 or older,
blind, or disabled, and who have
limited income and resources. The law
provides that SSI payments can be made
only to people who have income and
resources below specified amounts.
Therefore, income and resources are
major factors in deciding SSI eligibility
and the amount of any SSI payments.
[FR Doc. 2010–163 Filed 1–8–10; 8:45 am]
BILLING CODE 3410–02–P
SOCIAL SECURITY ADMINISTRATION
20 CFR Part 416
Social Security Administration.
Final rules.
AGENCY:
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ACTION:
SUMMARY: We are amending our
Supplemental Security Income (SSI)
regulations by making technical
revisions to our rules on income and
resources. Many of these revisions
reflect legislative changes found in the
Consolidated Appropriations Act of
2001 (CAA), the Economic Growth and
Tax Relief Reconciliation Act of 2001
(EGTRRA), an amendment to the
National Flood Insurance Act of 1968
(NFIA), the Energy Employees
Occupational Illness Compensation
Program Act of 2000 (EEOICPA), and
the Social Security Protection Act of
2004 (SSPA). We are also amending our
SSI rules to extend the home exclusion
to beneficiaries who, because of
domestic abuse, leave a home that had
otherwise been an excludable resource.
Finally, we are updating our
‘‘conditional-payment’’ rule to eliminate
the liquid-resource requirement as a
prerequisite to receiving conditionalbenefit payments.
DATES: These final rules are effective on
February 10, 2010.
FOR FURTHER INFORMATION CONTACT:
Donna Gonzalez, Social Insurance
Specialist, Social Security
Administration, Office of Income
Security Programs, 252 Altmeyer
Building, 6401 Security Boulevard,
Baltimore, MD 21235–6401, (410) 965–
7961, for information about this notice.
For information on eligibility or filing
for benefits, call our national toll-free
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The Changes We Are Making in These
Final Rules
We discuss below the changes we are
making in these final rules. We have
grouped the changes by the policy areas
affected.
Statutory Employees
Statutory employees are certain
independent contractors, including
agent-drivers or commission-drivers,
certain full-time life insurance
salespersons, home workers, and
traveling or city salespersons. Social
Security Act (Act) at 210(j)(3) (42 U.S.C.
410(j)(3)). We are revising section
416.1110(b) to update the definition of
net earnings from self-employment to
include the earnings of statutory
employees, as provided under section
519 of the CAA, which amended section
1612(a)(1) of the Act (42 U.S.C.
1382a(a)(1)). See Public Law 106–554,
app. A, 519 (Dec. 21, 2000). Previously,
we treated statutory employees the same
as employees for SSI eligibility and
payment-amount purposes and
considered their wages as earned
income. After this change to the Act, we
now treat statutory employees as selfemployed individuals and count only
their net earnings, deducting business
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1271
expenses before calculating their
income.
Exclusion of Child Tax Credit (CTC)
From Income and Resources
We exclude from income the payment
of a refundable CTC pursuant to the
EGTRRA. Public Law 107–16, section
203, 115 Stat. 49 (June 7, 2001)
(referring to Internal Revenue Code
section 24, 26 U.S.C. 24). This
exclusion, which was effective for SSI
purposes for taxable years beginning on
or after January 1, 2001, is not currently
in our regulations. We also exclude the
payment of a refundable CTC from
resources for the 9 months following the
month of receipt. Currently the resource
exclusion is included under section
416.1236, titled ‘‘Exclusions from
resources; provided by other statutes.’’
This resource exclusion is now
provided in the Act at 1613(a)(11) (42
U.S.C. 1382b(a)(11)), as amended by the
SSPA, Public Law 108–203, 431 (Mar. 2,
2004). We are making the following
revisions to conform to these changes:
• We are adding new paragraph (m)
under the heading ‘‘V. Other,’’ in the
appendix to subpart K to exclude from
income a refundable CTC paid under
section 24 of the Internal Revenue Code
of 1986. This appendix section lists
types of income excluded under the SSI
program as provided by Federal laws
other than the Act.
• We are amending section 416.1235
to correctly reflect that the exclusion for
payment of a refundable CTC is now
provided under the Act. This provision
previously appeared in our rules at
section 416.1236(a)(24) within a list of
exclusions provided by other statutes.
We are moving this exclusion to section
416.1235 but we are not making any
substantive changes to it. Under this
provision, a CTC payment is excluded
from resources for SSI purposes during
the month the payment is received and
the following month for payments
received before March 2, 2004, and for
the 9 months following the month of
receipt for payments received on or after
March 2, 2004. We also are changing the
title of this section to more accurately
reflect its contents.
• We are adding new paragraph (v) to
section 416.1210, which provides a list
of general resources we do not count
when determining SSI eligibility. This
new paragraph excludes from resources
the payment of a refundable CTC and
includes a cross-reference to section
416.1235.
• We are removing from section
416.1236(a) former paragraph (24),
which had excluded from resources the
payment of a refundable CTC. As
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described above, we are adding this
exclusion to section 416.1235.
Exclusion of Flood Mitigation Payments
From Income and Resources
Payments made for flood mitigation
activities are not counted as income or
resources when determining SSI
eligibility and payment amounts. These
exclusions are pursuant to an
amendment to the NFIA of 1968. NFIA,
section 1324, as amended by Public Law
109–64, section 1 (Jan. 7, 2005). We are
making the following revisions to
conform to these changes:
• We are adding new paragraph (n)
under the heading ‘‘V. Other,’’ in the
appendix to subpart K to exclude from
income payments made for flood
mitigation activities.
• We are adding new paragraph (24)
to section 416.1236(a) to exclude from
resources payments for flood mitigation
activities.
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Exclusion of Energy Employee
Occupational Illness Medical Benefits
and Compensation Payment From
Income and Resources
Medical benefits and compensation
payments made to energy employees
because of occupational illnesses are not
counted as income or resources for
purposes of determining eligibility to
receive, or for determining the amount
of, certain Federal benefits, including
SSI. These exclusions are provided
under section 3646 of the Appendix to
Public Law 106–398, which established
the EEOICPA in October 2000. Public
Law 106–398, section 1, app., title
XXXVI (October 30, 2000) (section 1
adopting as Appendix H.R. 5408). We
are making the following revisions to
conform to these changes:
• We are adding new paragraph (o)
under the heading ‘‘V. Other,’’ in the
appendix to subpart K to exclude from
income medical benefits and
compensation payments made under the
EEOICPA.
• We are adding new paragraph (25)
to section 416.1236(a) to exclude from
resources medical benefits and
compensation payments made under the
EEOICPA.
Home Exclusion to Victims of Domestic
Abuse
An SSI applicant’s or beneficiary’s
home and associated land are excluded
from resources by section 1613(a)(1) of
the Act. Regulations provide that the
home is excluded so long as it serves as
the principal place of residence, or the
SSI applicant or beneficiary maintains
an active intent to return to the
residence. The home is also not counted
as a resource, regardless of the intent to
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return, if the SSI applicant or
beneficiary resides in an institution, and
a spouse or dependent relative
continues to maintain residence in the
home during the period of
institutionalization.
Advocacy groups have expressed
concern regarding the counting of a
home as a resource in instances where
a victim of domestic abuse leaves the
home and resides elsewhere. Currently,
a victim fleeing from domestic abuse
may return to a potentially dangerous
home environment simply to avoid
losing SSI because of an ownership
interest in the home. We agree with
these concerns and are amending our
rules. We are adding new paragraph (d)
to section 416.1212 to extend the home
exclusion to victims of domestic abuse
who flee an abusive situation, but
maintain an ownership interest in an
otherwise excluded home. This
exclusion continues until the SSI
applicant or beneficiary establishes a
new principal place of residence or
takes other action rendering the home
no longer excludable.
Conditional Payments
An individual who meets all but the
resource requirements for SSI may have
little or nothing on which to live if most
of his or her resources are non-liquid
and difficult to convert to cash. Section
416.1240(a) contains an exception to our
ordinary resource rules, which allows
us to pay monthly SSI payments in
certain circumstances when an SSI
applicant or beneficiary possesses
excess non-liquid resources. We can
make ‘‘conditional payments’’ to give an
SSI applicant or beneficiary some time
in which to sell excess non-liquid
resources and convert them to cash. We
condition these payments on the SSI
applicant’s or beneficiary’s written
agreement to sell these non-liquid
resources within 9 months for real
property and within 3 months for all
other non-liquid resources and repay
the conditional payments with the
proceeds.
Under current rules, we will not make
conditional payments if the SSI
applicant or beneficiary has countable
liquid resources in excess of 3 times the
monthly Federal Benefit Rate (FBR). The
original purpose of the liquid-resource
limit was to ensure that an SSI applicant
or beneficiary truly needed the
conditional-payment period. If an SSI
applicant or beneficiary did not have
liquid resources equal to 3 months
worth of SSI payments, then we
assumed that he or she had inadequate
liquid resources to meet day-to-day
expenses. However, if this SSI applicant
or beneficiary had excess non-liquid
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resources, he or she could agree to
dispose of those excess resources using
the conditional-payment rule.
Conversely, if an SSI applicant or
beneficiary had liquid resources worth
more than 3 times the FBR, then we
assumed that he or she had adequate
resources and did not need conditional
payments.
When we established this rule over 30
years ago, 3 months worth of SSI
payments was equal to only about 32%
of the resource limit. Since then, the
FBR has increased annually, and the
resource limit has grown slowly or not
at all. As of January 2009, 3 times the
monthly FBR is more than the statutory
limit on total resources and, therefore,
has become meaningless. Accordingly,
we are deleting the limitation on liquid
resources in paragraph (a)(1) that was a
prerequisite to receiving conditionalbenefit payments to simplify our
conditional-payments rule. We are also
adding a technical cross-reference to
paragraphs (a)(1) and (a)(2) in
paragraphs (b) and (c) of section
416.1240, which was not included in
the NPRM.
Public Comments
In the NPRM, we provided the public
a 60-day period within which to
comment on our proposed changes.
That comment period ended on
February 9, 2009. We received two
comments, one from an individual and
another from an organization, both of
which indicated full agreement with our
proposed changes. Therefore, we are
publishing the text of the proposed rules
substantively unchanged in these final
rules, except we also have added the
cross-reference noted above to
paragraphs (b) and (c) of section
416.1240.
Regulatory Procedures
Executive Order 12866
The Office of Management and Budget
(OMB) determined that the proposed
rules published on December 9, 2008 at
73 FR 74663, on which we base these
final rules, met the criteria for a
significant regulatory action under
Executive Order 12866. Therefore, those
proposed rules were subject to OMB
review. We received no adverse
comments on the proposed rules and are
publishing these final rules
substantively as proposed, with the
exception noted above to add a crossreference. Thus, OMB has waived
further review of these rules.
Regulatory Flexibility Act
We certify that these final rules will
not have a significant economic impact
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Federal Register / Vol. 75, No. 6 / Monday, January 11, 2010 / Rules and Regulations
on a substantial number of small entities
as they affect individuals only.
Therefore, a regulatory flexibility
analysis as provided in the Regulatory
Flexibility Act, as amended, is not
required.
Paperwork Reduction Act
These final rules impose no reporting
or recordkeeping requirements subject
to OMB clearance.
(Catalog of Federal Domestic Assistance
Program No. 96.006, Supplemental Security
Income)
List of Subjects in 20 CFR Part 416
Administrative practice and
procedure; Aged, Blind, Disability
benefits; Public assistance programs;
Reporting and recordkeeping
requirements; Supplemental Security
Income (SSI).
Appendix to Subpart K of Part 416—
List of Types of Income Excluded Under
the SSI Program as Provided by Federal
Laws Other Than the Social Security
Act
Dated: January 5, 2010.
Michael J. Astrue,
Commissioner of Social Security.
PART 416—SUPPLEMENTAL
SECURITY INCOME FOR THE AGED,
BLIND, AND DISABLED
Subpart K—[Amended]
1. The authority citation for subpart K
of part 416 continues to read as follows:
■
Authority: Secs. 702(a)(5), 1602, 1611,
1612, 1613, 1614(f), 1621, 1631, and 1633 of
the Social Security Act (42 U.S.C. 902(a)(5),
1381a, 1382, 1382a, 1382b, 1382c(f), 1382j,
1383, and 1383b); sec. 211, Pub. L. 93–66, 87
Stat. 154 (42 U.S.C. 1382 note).
2. Revise § 416.1110 paragraph (b) to
read as follows:
■
What is earned income.
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*
*
*
*
*
(b) Net earnings from selfemployment. Net earnings from selfemployment are your gross income from
any trade or business that you operate,
less allowable deductions for that trade
or business. Net earnings also include
your share of profit or loss in any
partnership to which you belong. For
taxable years beginning before January
1, 2001, net earnings from selfemployment under the SSI program are
the same net earnings that we would
count under the social security
retirement insurance program and that
you would report on your Federal
income tax return. (See § 404.1080 of
this chapter.) For taxable years
beginning on or after January 1, 2001,
net earnings from self-employment
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§ 416.1212
Exclusion of the home.
Subpart L—[Amended]
■
4. The authority citation for subpart L
of part 416 continues to read as follows:
§ 416.1235 Exclusion of certain payments
related to tax credits.
Authority: Secs. 702(a)(5), 1602, 1611,
1612, 1613, 1614(f), 1621, 1631, and 1633 of
the Social Security Act (42 U.S.C. 902(a)(5),
1381a, 1382, 1382a, 1382b, 1382c(f), 1382j,
1383, and 1383b); sec. 211, Pub. L. 93–66, 87
Stat. 154 (42 U.S.C. 1382 note).
(a) In determining the resources of an
individual (and spouse, if any), we
exclude for the 9 months following the
month of receipt the following funds
received on or after March 2, 2004, the
unspent portion of:
(1) Any payment of a refundable
credit pursuant to section 32 of the
Internal Revenue Code (relating to the
earned income tax credit);
(2) Any payment from an employer
under section 3507 of the Internal
Revenue Code (relating to advance
payment of the earned income tax
credit); or
(3) Any payment of a refundable
credit pursuant to section 24 of the
Internal Revenue Code (relating to the
child tax credit).
(b) Any unspent funds described in
paragraph (a) of this section that are
retained until the first moment of the
*
*
*
*
*
*
*
*
V. Other
For the reasons set forth in the
preamble, we amend subparts K and L
of part 416 of chapter III of title 20 of
the Code of Federal Regulations as
follows:
6. Amend § 416.1212 by:
a. Redesignating paragraphs (d)
through (g) as (e) through (h) and adding
a new paragraph (d) to read as set forth
below;
■ b. In redesignated paragraph (e)(2)(ii),
removing the reference to ‘‘paragraph
(e)’’ and adding in its place a reference
to ‘‘paragraph (f)’’;
■ c. In redesignated paragraph (e)(2)(iii),
removing the reference to ‘‘paragraph
(f)’’ and adding in its place a reference
to ‘‘paragraph (g)’’; and
■ d. In redesignated paragraph (f),
removing the reference to ‘‘paragraph
(d)(2)(ii) of this section’’ and adding in
its place a reference to ‘‘paragraph
(e)(2)(ii) of this section’’, and removing
the reference to ‘‘paragraph (f)’’ and
adding in its place a reference to
‘‘paragraph (g)’’.
■
■
*
*
*
*
(d) If an individual leaves the
principal place of residence due to
domestic abuse. If an individual moves
out of his or her home without the
intent to return, but is fleeing the home
as a victim of domestic abuse, we will
not count the home as a resource in
determining the individual’s eligibility
to receive, or continue to receive, SSI
payments. In that situation, we will
consider the home to be the individual’s
principal place of residence until such
time as the individual establishes a new
principal place of residence or
otherwise takes action rendering the
home no longer excludable.
*
*
*
*
*
■ 7. Revise § 416.1235 to read as
follows:
*
■
§ 416.1110
under the SSI program will also include
the earnings of statutory employees. In
addition, for SSI purposes only, we
consider statutory employees to be selfemployed individuals. Statutory
employees are agent or commission
drivers, certain full-time life insurance
salespersons, home workers, and
traveling or city salespersons. (See
§ 404.1008 of this chapter for a more
detailed description of these types of
employees).
*
*
*
*
*
■ 3. Amend the appendix to subpart K
of part 416 by adding new paragraphs
(m), (n), and (o) under Part V to read as
follows:
1273
*
*
(m) Payments of the refundable child tax
credit made under section 24 of the Internal
Revenue Code of 1986, pursuant to section
203 of the Economic Growth and Tax Relief
Reconciliation Act of 2001, Public Law 107–
16 (115 Stat. 49, 26 U.S.C. 24 note).
(n) Assistance provided for flood
mitigation activities as provided under
section 1324 of the National Flood Insurance
Act of 1968, pursuant to section 1 of Public
Law 109–64 (119 Stat. 1997, 42 U.S.C. 4031).
(o) Payments made to individuals under
the Energy Employees Occupational Illness
Compensation Program Act of 2000, pursuant
to section 1 [Div. C, Title XXXVI section
3646] of Public Law 106–398 (114 Stat.
1654A–510, 42 U.S.C. 7385e).
5. Amend § 416.1210 by:
a. Adding a comma in the
introductory sentence after ‘‘(and
spouse, if any)’’;
■ b. Removing the word ‘‘and’’ from the
end of paragraph (t);
■ c. Removing the period at the end of
paragraph (u) and adding in its place ‘‘;
and’’; and
■ d. Adding a new paragraph (v) to read
as follows:
■
■
§ 416.1210
general.
Exclusions from resources;
*
*
*
*
*
(v) Payment of a refundable child tax
credit, as provided in § 416.1235.
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Federal Register / Vol. 75, No. 6 / Monday, January 11, 2010 / Rules and Regulations
tenth month following their receipt are
countable as resources at that time.
(c) Exception: For any payments
described in paragraph (a) of this
section received before March 2, 2004,
we will exclude for the month following
the month of receipt the unspent
portion of any such payment.
8. Amend § 416.1236 by revising
paragraph (a)(24) and adding a new
paragraph (a)(25) to read as follows:
■
she makes to dispose of them, the
resources will be counted at their
current market value and the individual
will be ineligible due to excess
resources. We will use the original
estimate of current market value unless
the individual submits evidence
establishing a lower value (e.g., an
estimate from a disinterested
knowledgeable source).
[FR Doc. 2010–241 Filed 1–8–10; 8:45 am]
BILLING CODE 4191–02–P
§ 416.1236 Exclusions from resources;
provided by other statutes.
(a) * * *
(24) Assistance provided for flood
mitigation activities under section 1324
of the National Flood Insurance Act of
1968, pursuant to section 1 of Public
Law 109–64 (119 Stat. 1997, 42 U.S.C.
4031).
(25) Payments made to individuals
under the Energy Employees
Occupational Illness Compensation
Program Act of 2000, pursuant to
section 1, app. [Div. C. Title XXXVI
section 3646] of Public Law 106–398
(114 Stat. 1654A–510, 42 U.S.C. 7385e).
*
*
*
*
*
■ 9. Revise § 416.1240 to read as
follows:
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§ 416.1240
Disposition of Resources.
(a) Where the resources of an
individual (and spouse, if any) are
determined to exceed the limitations
prescribed in § 416.1205, such
individual (and spouse, if any) shall not
be eligible for payment except under the
conditions provided in this section.
Payment will be made to an individual
(and spouse, if any) if the individual
agrees in writing to:
(1) Dispose of, at current market
value, the nonliquid resources (as
defined in § 416.1201(c)) in excess of
the limitations prescribed in § 416.1205
within the time period specified in
§ 416.1242; and
(2) Repay any overpayments (as
defined in § 416.1244) with the
proceeds of such disposition.
(b) Payment made for the period
during which the resources are being
disposed of will be conditioned upon
the disposition of those resources as
prescribed in paragraphs (a)(1) and
(a)(2) of this section. Any payments so
made are (at the time of disposition)
considered overpayments to the extent
they would not have been paid had the
disposition occurred at the beginning of
the period for which such payments
were made.
(c) If an individual fails to dispose of
the resources as prescribed in
paragraphs (a)(1) and (a)(2) of this
section, regardless of the efforts he or
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DEPARTMENT OF HEALTH AND
HUMAN SERVICES
Food and Drug Administration
21 CFR Part 522
[Docket No. FDA–2009–N–0665]
Implantation or Injectable Dosage
Form New Animal Drugs; Hyaluronate
Sodium
AGENCY:
Food and Drug Administration,
HHS.
ACTION:
FDA has determined under 21 CFR
25.33 that this action is of a type that
does not individually or cumulatively
have a significant effect on the human
environment. Therefore, neither an
environmental assessment nor an
environmental impact statement is
required.
This rule does not meet the definition
of ‘‘rule’’ in 5 U.S.C. 804(3)(A) because
it is a rule of ‘‘particular applicability.’’
Therefore, it is not subject to the
congressional review requirements in 5
U.S.C. 801–808.
List of Subjects in 21 CFR Part 522
Animal drugs.
Therefore, under the Federal Food,
Drug, and Cosmetic Act and under the
authority delegated to the Commissioner
of Food and Drugs and redelegated to
the Center for Veterinary Medicine, 21
CFR part 522 is amended as follows:
■
PART 522—IMPLANTATION OR
INJECTABLE DOSAGE FORM NEW
ANIMAL DRUGS
1. The authority citation for 21 CFR
part 522 continues to read as follows:
■
Final rule.
The Food and Drug
Administration (FDA) is amending the
animal drug regulations to reflect
approval of a supplemental new animal
drug application (NADA) filed by Anika
Therapeutics, Inc. The supplemental
NADA provides for a revised human
food safety warning for use of
hyaluronate sodium injectable solution
in horses.
DATES: This rule is effective January 11,
2010.
FOR FURTHER INFORMATION CONTACT:
Melanie R. Berson, Center for Veterinary
Medicine (HFV–110), Food and Drug
Administration, 7500 Standish Pl.,
Rockville, MD 20855, 240–276–8337, email: melanie.berson@fda.hhs.gov.
SUPPLEMENTARY INFORMATION: Anika
Therapeutics, Inc., 236 W. Cummings
Park, Woburn, MA 01801, filed a
supplement to NADA 122–578 that
provides for the veterinary prescription
use of HYVISC (hyaluronate sodium)
Sterile Injection in horses. The
supplemental NADA provides for a
revised human food safety warning on
product labeling. The supplemental
NADA is approved as of December 11,
2009, and the regulations are amended
in 21 CFR 522.1145 to reflect the
approval.
Approval of this supplemental NADA
did not require review of additional
safety or effectiveness data or
information. Therefore, a freedom of
information summary is not required.
Authority: 21 U.S.C. 360b.
SUMMARY:
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§ 522.1145
[Amended]
2. In paragraph (f)(3)(iii) of § 522.1145,
remove the third sentence and in its
place add ‘‘Do not use in horses
intended for human consumption.’’
■
Dated: December 31, 2009.
Bernadette Dunham,
Director, Center for Veterinary Medicine.
[FR Doc. 2010–207 Filed 1–8–10; 8:45 am]
BILLING CODE 4160–01–S
DEPARTMENT OF HEALTH AND
HUMAN SERVICES
Food and Drug Administration
21 CFR Part 522
[Docket No. FDA–2009–N–0665]
Implantation or Injectable Dosage
Form New Animal Drugs; Florfenicol
and Flunixin
AGENCY:
Food and Drug Administration,
HHS.
ACTION:
Final rule.
SUMMARY: The Food and Drug
Administration (FDA) is amending the
animal drug regulations to reflect
approval of an original new animal drug
application (NADA) filed by Intervet,
Inc. The NADA provides for veterinary
prescription use of a combination
injectable solution containing
E:\FR\FM\11JAR1.SGM
11JAR1
Agencies
[Federal Register Volume 75, Number 6 (Monday, January 11, 2010)]
[Rules and Regulations]
[Pages 1271-1274]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2010-241]
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SOCIAL SECURITY ADMINISTRATION
20 CFR Part 416
[Docket No. SSA 2008-0034]
RIN 0960-AG66
Technical Revisions to the Supplemental Security Income (SSI)
Regulations on Income and Resources
AGENCY: Social Security Administration.
ACTION: Final rules.
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SUMMARY: We are amending our Supplemental Security Income (SSI)
regulations by making technical revisions to our rules on income and
resources. Many of these revisions reflect legislative changes found in
the Consolidated Appropriations Act of 2001 (CAA), the Economic Growth
and Tax Relief Reconciliation Act of 2001 (EGTRRA), an amendment to the
National Flood Insurance Act of 1968 (NFIA), the Energy Employees
Occupational Illness Compensation Program Act of 2000 (EEOICPA), and
the Social Security Protection Act of 2004 (SSPA). We are also amending
our SSI rules to extend the home exclusion to beneficiaries who,
because of domestic abuse, leave a home that had otherwise been an
excludable resource. Finally, we are updating our ``conditional-
payment'' rule to eliminate the liquid-resource requirement as a
prerequisite to receiving conditional-benefit payments.
DATES: These final rules are effective on February 10, 2010.
FOR FURTHER INFORMATION CONTACT: Donna Gonzalez, Social Insurance
Specialist, Social Security Administration, Office of Income Security
Programs, 252 Altmeyer Building, 6401 Security Boulevard, Baltimore, MD
21235-6401, (410) 965-7961, 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/.
Explanation of Changes
We are revising and making final the rules we proposed in the
notice of proposed rulemaking (NPRM) published in the Federal Register
on December 9, 2008 (73 FR 74663). These conforming changes revise our
regulations to reflect legislation enacted during the past several
years and to address two policy concerns.
Background
The primary goal of the SSI program is to ensure a minimum level of
income to people who are aged 65 or older, blind, or disabled, and who
have limited income and resources. The law provides that SSI payments
can be made only to people who have income and resources below
specified amounts. Therefore, income and resources are major factors in
deciding SSI eligibility and the amount of any SSI payments.
The Changes We Are Making in These Final Rules
We discuss below the changes we are making in these final rules. We
have grouped the changes by the policy areas affected.
Statutory Employees
Statutory employees are certain independent contractors, including
agent-drivers or commission-drivers, certain full-time life insurance
salespersons, home workers, and traveling or city salespersons. Social
Security Act (Act) at 210(j)(3) (42 U.S.C. 410(j)(3)). We are revising
section 416.1110(b) to update the definition of net earnings from self-
employment to include the earnings of statutory employees, as provided
under section 519 of the CAA, which amended section 1612(a)(1) of the
Act (42 U.S.C. 1382a(a)(1)). See Public Law 106-554, app. A, 519 (Dec.
21, 2000). Previously, we treated statutory employees the same as
employees for SSI eligibility and payment-amount purposes and
considered their wages as earned income. After this change to the Act,
we now treat statutory employees as self-employed individuals and count
only their net earnings, deducting business expenses before calculating
their income.
Exclusion of Child Tax Credit (CTC) From Income and Resources
We exclude from income the payment of a refundable CTC pursuant to
the EGTRRA. Public Law 107-16, section 203, 115 Stat. 49 (June 7, 2001)
(referring to Internal Revenue Code section 24, 26 U.S.C. 24). This
exclusion, which was effective for SSI purposes for taxable years
beginning on or after January 1, 2001, is not currently in our
regulations. We also exclude the payment of a refundable CTC from
resources for the 9 months following the month of receipt. Currently
the resource exclusion is included under section 416.1236, titled
``Exclusions from resources; provided by other statutes.'' This
resource exclusion is now provided in the Act at 1613(a)(11) (42 U.S.C.
1382b(a)(11)), as amended by the SSPA, Public Law 108-203, 431 (Mar. 2,
2004). We are making the following revisions to conform to these
changes:
We are adding new paragraph (m) under the heading ``V.
Other,'' in the appendix to subpart K to exclude from income a
refundable CTC paid under section 24 of the Internal Revenue Code of
1986. This appendix section lists types of income excluded under the
SSI program as provided by Federal laws other than the Act.
We are amending section 416.1235 to correctly reflect that
the exclusion for payment of a refundable CTC is now provided under the
Act. This provision previously appeared in our rules at section
416.1236(a)(24) within a list of exclusions provided by other statutes.
We are moving this exclusion to section 416.1235 but we are not making
any substantive changes to it. Under this provision, a CTC payment is
excluded from resources for SSI purposes during the month the payment
is received and the following month for payments received before March
2, 2004, and for the 9 months following the month of receipt for
payments received on or after March 2, 2004. We also are changing the
title of this section to more accurately reflect its contents.
We are adding new paragraph (v) to section 416.1210, which
provides a list of general resources we do not count when determining
SSI eligibility. This new paragraph excludes from resources the payment
of a refundable CTC and includes a cross-reference to section 416.1235.
We are removing from section 416.1236(a) former paragraph
(24), which had excluded from resources the payment of a refundable
CTC. As
[[Page 1272]]
described above, we are adding this exclusion to section 416.1235.
Exclusion of Flood Mitigation Payments From Income and Resources
Payments made for flood mitigation activities are not counted as
income or resources when determining SSI eligibility and payment
amounts. These exclusions are pursuant to an amendment to the NFIA of
1968. NFIA, section 1324, as amended by Public Law 109-64, section 1
(Jan. 7, 2005). We are making the following revisions to conform to
these changes:
We are adding new paragraph (n) under the heading ``V.
Other,'' in the appendix to subpart K to exclude from income payments
made for flood mitigation activities.
We are adding new paragraph (24) to section 416.1236(a) to
exclude from resources payments for flood mitigation activities.
Exclusion of Energy Employee Occupational Illness Medical Benefits and
Compensation Payment From Income and Resources
Medical benefits and compensation payments made to energy employees
because of occupational illnesses are not counted as income or
resources for purposes of determining eligibility to receive, or for
determining the amount of, certain Federal benefits, including SSI.
These exclusions are provided under section 3646 of the Appendix to
Public Law 106-398, which established the EEOICPA in October 2000.
Public Law 106-398, section 1, app., title XXXVI (October 30, 2000)
(section 1 adopting as Appendix H.R. 5408). We are making the following
revisions to conform to these changes:
We are adding new paragraph (o) under the heading ``V.
Other,'' in the appendix to subpart K to exclude from income medical
benefits and compensation payments made under the EEOICPA.
We are adding new paragraph (25) to section 416.1236(a) to
exclude from resources medical benefits and compensation payments made
under the EEOICPA.
Home Exclusion to Victims of Domestic Abuse
An SSI applicant's or beneficiary's home and associated land are
excluded from resources by section 1613(a)(1) of the Act. Regulations
provide that the home is excluded so long as it serves as the principal
place of residence, or the SSI applicant or beneficiary maintains an
active intent to return to the residence. The home is also not counted
as a resource, regardless of the intent to return, if the SSI applicant
or beneficiary resides in an institution, and a spouse or dependent
relative continues to maintain residence in the home during the period
of institutionalization.
Advocacy groups have expressed concern regarding the counting of a
home as a resource in instances where a victim of domestic abuse leaves
the home and resides elsewhere. Currently, a victim fleeing from
domestic abuse may return to a potentially dangerous home environment
simply to avoid losing SSI because of an ownership interest in the
home. We agree with these concerns and are amending our rules. We are
adding new paragraph (d) to section 416.1212 to extend the home
exclusion to victims of domestic abuse who flee an abusive situation,
but maintain an ownership interest in an otherwise excluded home. This
exclusion continues until the SSI applicant or beneficiary establishes
a new principal place of residence or takes other action rendering the
home no longer excludable.
Conditional Payments
An individual who meets all but the resource requirements for SSI
may have little or nothing on which to live if most of his or her
resources are non-liquid and difficult to convert to cash. Section
416.1240(a) contains an exception to our ordinary resource rules, which
allows us to pay monthly SSI payments in certain circumstances when an
SSI applicant or beneficiary possesses excess non-liquid resources. We
can make ``conditional payments'' to give an SSI applicant or
beneficiary some time in which to sell excess non-liquid resources and
convert them to cash. We condition these payments on the SSI
applicant's or beneficiary's written agreement to sell these non-liquid
resources within 9 months for real property and within 3 months for all
other non-liquid resources and repay the conditional payments with the
proceeds.
Under current rules, we will not make conditional payments if the
SSI applicant or beneficiary has countable liquid resources in excess
of 3 times the monthly Federal Benefit Rate (FBR). The original purpose
of the liquid-resource limit was to ensure that an SSI applicant or
beneficiary truly needed the conditional-payment period. If an SSI
applicant or beneficiary did not have liquid resources equal to 3
months worth of SSI payments, then we assumed that he or she had
inadequate liquid resources to meet day-to-day expenses. However, if
this SSI applicant or beneficiary had excess non-liquid resources, he
or she could agree to dispose of those excess resources using the
conditional-payment rule. Conversely, if an SSI applicant or
beneficiary had liquid resources worth more than 3 times the FBR, then
we assumed that he or she had adequate resources and did not need
conditional payments.
When we established this rule over 30 years ago, 3 months worth of
SSI payments was equal to only about 32% of the resource limit. Since
then, the FBR has increased annually, and the resource limit has grown
slowly or not at all. As of January 2009, 3 times the monthly FBR is
more than the statutory limit on total resources and, therefore, has
become meaningless. Accordingly, we are deleting the limitation on
liquid resources in paragraph (a)(1) that was a prerequisite to
receiving conditional-benefit payments to simplify our conditional-
payments rule. We are also adding a technical cross-reference to
paragraphs (a)(1) and (a)(2) in paragraphs (b) and (c) of section
416.1240, which was not included in the NPRM.
Public Comments
In the NPRM, we provided the public a 60-day period within which to
comment on our proposed changes. That comment period ended on February
9, 2009. We received two comments, one from an individual and another
from an organization, both of which indicated full agreement with our
proposed changes. Therefore, we are publishing the text of the proposed
rules substantively unchanged in these final rules, except we also have
added the cross-reference noted above to paragraphs (b) and (c) of
section 416.1240.
Regulatory Procedures
Executive Order 12866
The Office of Management and Budget (OMB) determined that the
proposed rules published on December 9, 2008 at 73 FR 74663, on which
we base these final rules, met the criteria for a significant
regulatory action under Executive Order 12866. Therefore, those
proposed rules were subject to OMB review. We received no adverse
comments on the proposed rules and are publishing these final rules
substantively as proposed, with the exception noted above to add a
cross-reference. Thus, OMB has waived further review of these rules.
Regulatory Flexibility Act
We certify that these final rules will not have a significant
economic impact
[[Page 1273]]
on a substantial number of small entities as they affect individuals
only. Therefore, a regulatory flexibility analysis as provided in the
Regulatory Flexibility Act, as amended, is not required.
Paperwork Reduction Act
These final rules impose no reporting or recordkeeping requirements
subject to OMB clearance.
(Catalog of Federal Domestic Assistance Program No. 96.006,
Supplemental Security Income)
List of Subjects in 20 CFR Part 416
Administrative practice and procedure; Aged, Blind, Disability
benefits; Public assistance programs; Reporting and recordkeeping
requirements; Supplemental Security Income (SSI).
Dated: January 5, 2010.
Michael J. Astrue,
Commissioner of Social Security.
0
For the reasons set forth in the preamble, we amend subparts K and L of
part 416 of chapter III of title 20 of the Code of Federal Regulations
as follows:
PART 416--SUPPLEMENTAL SECURITY INCOME FOR THE AGED, BLIND, AND
DISABLED
Subpart K--[Amended]
0
1. The authority citation for subpart K of part 416 continues to read
as follows:
Authority: Secs. 702(a)(5), 1602, 1611, 1612, 1613, 1614(f),
1621, 1631, and 1633 of the Social Security Act (42 U.S.C.
902(a)(5), 1381a, 1382, 1382a, 1382b, 1382c(f), 1382j, 1383, and
1383b); sec. 211, Pub. L. 93-66, 87 Stat. 154 (42 U.S.C. 1382 note).
0
2. Revise Sec. 416.1110 paragraph (b) to read as follows:
Sec. 416.1110 What is earned income.
* * * * *
(b) Net earnings from self-employment. Net earnings from self-
employment are your gross income from any trade or business that you
operate, less allowable deductions for that trade or business. Net
earnings also include your share of profit or loss in any partnership
to which you belong. For taxable years beginning before January 1,
2001, net earnings from self-employment under the SSI program are the
same net earnings that we would count under the social security
retirement insurance program and that you would report on your Federal
income tax return. (See Sec. 404.1080 of this chapter.) For taxable
years beginning on or after January 1, 2001, net earnings from self-
employment under the SSI program will also include the earnings of
statutory employees. In addition, for SSI purposes only, we consider
statutory employees to be self-employed individuals. Statutory
employees are agent or commission drivers, certain full-time life
insurance salespersons, home workers, and traveling or city
salespersons. (See Sec. 404.1008 of this chapter for a more detailed
description of these types of employees).
* * * * *
0
3. Amend the appendix to subpart K of part 416 by adding new paragraphs
(m), (n), and (o) under Part V to read as follows:
Appendix to Subpart K of Part 416--List of Types of Income Excluded
Under the SSI Program as Provided by Federal Laws Other Than the Social
Security Act
* * * * *
V. Other
* * * * *
(m) Payments of the refundable child tax credit made under
section 24 of the Internal Revenue Code of 1986, pursuant to section
203 of the Economic Growth and Tax Relief Reconciliation Act of
2001, Public Law 107-16 (115 Stat. 49, 26 U.S.C. 24 note).
(n) Assistance provided for flood mitigation activities as
provided under section 1324 of the National Flood Insurance Act of
1968, pursuant to section 1 of Public Law 109-64 (119 Stat. 1997, 42
U.S.C. 4031).
(o) Payments made to individuals under the Energy Employees
Occupational Illness Compensation Program Act of 2000, pursuant to
section 1 [Div. C, Title XXXVI section 3646] of Public Law 106-398
(114 Stat. 1654A-510, 42 U.S.C. 7385e).
Subpart L--[Amended]
0
4. The authority citation for subpart L of part 416 continues to read
as follows:
Authority: Secs. 702(a)(5), 1602, 1611, 1612, 1613, 1614(f),
1621, 1631, and 1633 of the Social Security Act (42 U.S.C.
902(a)(5), 1381a, 1382, 1382a, 1382b, 1382c(f), 1382j, 1383, and
1383b); sec. 211, Pub. L. 93-66, 87 Stat. 154 (42 U.S.C. 1382 note).
0
5. Amend Sec. 416.1210 by:
0
a. Adding a comma in the introductory sentence after ``(and spouse, if
any)'';
0
b. Removing the word ``and'' from the end of paragraph (t);
0
c. Removing the period at the end of paragraph (u) and adding in its
place ``; and''; and
0
d. Adding a new paragraph (v) to read as follows:
Sec. 416.1210 Exclusions from resources; general.
* * * * *
(v) Payment of a refundable child tax credit, as provided in Sec.
416.1235.
0
6. Amend Sec. 416.1212 by:
0
a. Redesignating paragraphs (d) through (g) as (e) through (h) and
adding a new paragraph (d) to read as set forth below;
0
b. In redesignated paragraph (e)(2)(ii), removing the reference to
``paragraph (e)'' and adding in its place a reference to ``paragraph
(f)'';
0
c. In redesignated paragraph (e)(2)(iii), removing the reference to
``paragraph (f)'' and adding in its place a reference to ``paragraph
(g)''; and
0
d. In redesignated paragraph (f), removing the reference to ``paragraph
(d)(2)(ii) of this section'' and adding in its place a reference to
``paragraph (e)(2)(ii) of this section'', and removing the reference to
``paragraph (f)'' and adding in its place a reference to ``paragraph
(g)''.
Sec. 416.1212 Exclusion of the home.
* * * * *
(d) If an individual leaves the principal place of residence due to
domestic abuse. If an individual moves out of his or her home without
the intent to return, but is fleeing the home as a victim of domestic
abuse, we will not count the home as a resource in determining the
individual's eligibility to receive, or continue to receive, SSI
payments. In that situation, we will consider the home to be the
individual's principal place of residence until such time as the
individual establishes a new principal place of residence or otherwise
takes action rendering the home no longer excludable.
* * * * *
0
7. Revise Sec. 416.1235 to read as follows:
Sec. 416.1235 Exclusion of certain payments related to tax credits.
(a) In determining the resources of an individual (and spouse, if
any), we exclude for the 9 months following the month of receipt the
following funds received on or after March 2, 2004, the unspent portion
of:
(1) Any payment of a refundable credit pursuant to section 32 of
the Internal Revenue Code (relating to the earned income tax credit);
(2) Any payment from an employer under section 3507 of the Internal
Revenue Code (relating to advance payment of the earned income tax
credit); or
(3) Any payment of a refundable credit pursuant to section 24 of
the Internal Revenue Code (relating to the child tax credit).
(b) Any unspent funds described in paragraph (a) of this section
that are retained until the first moment of the
[[Page 1274]]
tenth month following their receipt are countable as resources at that
time.
(c) Exception: For any payments described in paragraph (a) of this
section received before March 2, 2004, we will exclude for the month
following the month of receipt the unspent portion of any such payment.
0
8. Amend Sec. 416.1236 by revising paragraph (a)(24) and adding a new
paragraph (a)(25) to read as follows:
Sec. 416.1236 Exclusions from resources; provided by other statutes.
(a) * * *
(24) Assistance provided for flood mitigation activities under
section 1324 of the National Flood Insurance Act of 1968, pursuant to
section 1 of Public Law 109-64 (119 Stat. 1997, 42 U.S.C. 4031).
(25) Payments made to individuals under the Energy Employees
Occupational Illness Compensation Program Act of 2000, pursuant to
section 1, app. [Div. C. Title XXXVI section 3646] of Public Law 106-
398 (114 Stat. 1654A-510, 42 U.S.C. 7385e).
* * * * *
0
9. Revise Sec. 416.1240 to read as follows:
Sec. 416.1240 Disposition of Resources.
(a) Where the resources of an individual (and spouse, if any) are
determined to exceed the limitations prescribed in Sec. 416.1205, such
individual (and spouse, if any) shall not be eligible for payment
except under the conditions provided in this section. Payment will be
made to an individual (and spouse, if any) if the individual agrees in
writing to:
(1) Dispose of, at current market value, the nonliquid resources
(as defined in Sec. 416.1201(c)) in excess of the limitations
prescribed in Sec. 416.1205 within the time period specified in Sec.
416.1242; and
(2) Repay any overpayments (as defined in Sec. 416.1244) with the
proceeds of such disposition.
(b) Payment made for the period during which the resources are
being disposed of will be conditioned upon the disposition of those
resources as prescribed in paragraphs (a)(1) and (a)(2) of this
section. Any payments so made are (at the time of disposition)
considered overpayments to the extent they would not have been paid had
the disposition occurred at the beginning of the period for which such
payments were made.
(c) If an individual fails to dispose of the resources as
prescribed in paragraphs (a)(1) and (a)(2) of this section, regardless
of the efforts he or she makes to dispose of them, the resources will
be counted at their current market value and the individual will be
ineligible due to excess resources. We will use the original estimate
of current market value unless the individual submits evidence
establishing a lower value (e.g., an estimate from a disinterested
knowledgeable source).
[FR Doc. 2010-241 Filed 1-8-10; 8:45 am]
BILLING CODE 4191-02-P