Requiring Use of Electronic Services by Certain Claimant Representatives, 56107-56109 [2011-23232]
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Federal Register / Vol. 76, No. 176 / Monday, September 12, 2011 / Rules and Regulations
adding in their place the words ‘‘section
2(c)(2)(B)(i)(II)(ff) of the Act’’; and
■ b. Removing from paragraph (c)(2) the
words ‘‘section 1a(10) of the Act’’ and
adding in their place the words ‘‘section
1a(26) of the Act’’.
§ 5.11
[Amended]
5. Section 5.11 is amended by:
a. Removing from paragraph (a)(1)
introductory text the words ‘‘Section
2(c)(2)(B)(i)(II)(gg) of the Act’’ and
adding in their place the words ‘‘section
2(c)(2)(B)(i)(II)(ff) of the Act’’; and
■ b. Removing from paragraph (a)(2)
introductory text the words ‘‘section
2(c)(2)(B)(i)(II)(gg) of the Act’’ and
adding in their place the words ‘‘section
2(c)(2)(B)(i)(II)(ff) of the Act’’; and
■ c. Removing from paragraph (d)(2) the
words ‘‘section 1a(10) of the Act’’ and
adding in their place the words ‘‘section
1a(26) of the Act’’.
■
■
§ 5.18
[Amended]
6. Section 5.18 is amended by
removing from paragraph (a)(1)(ii) the
words ‘‘section 1a(20) of the Act’’ and
adding in their place the words ‘‘section
1a(28) of the Act’’.
■
Issued in Washington, DC, on September 2,
2011, by the Commission.
Sauntia S. Warfield,
Assistant Secretary of the Commission.
[FR Doc. 2011–23155 Filed 9–9–11; 8:45 am]
BILLING CODE P
SOCIAL SECURITY ADMINISTRATION
20 CFR Parts 404 and 416
[Docket No. SSA–2011–0015]
RIN 0960–AH31
Requiring Use of Electronic Services
by Certain Claimant Representatives
Social Security Administration.
Final rules.
AGENCY:
ACTION:
We are revising our rules to
require that claimant representatives use
our electronic services as they become
available on matters for which the
representatives request direct fee
payment. In the future, we will publish
a notice in the Federal Register when
we require representatives who request
direct fee payment on a matter to use
our available electronic services. We are
also adding the requirement to use our
available electronic services on matters
for which the representative requests
direct fee payment as an affirmative
duty in our representative conduct
rules. These revisions reflect the
increased use of technology in
representatives’ business practices. We
emcdonald on DSK5VPTVN1PROD with RULES
SUMMARY:
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16:09 Sep 09, 2011
Jkt 223001
expect that the use of electronic services
will improve our efficiency by allowing
us to manage our workloads more
effectively. These rules do not require
claimants to use our available electronic
services directly; they only require their
representatives to use the services on
matters for which the representatives
request direct fee payment.
DATES: These final rules are effective on
October 12, 2011.
FOR FURTHER INFORMATION CONTACT:
Joann S. Anderson, Office of Income
Security Programs, Social Security
Administration, 6401 Security
Boulevard, Baltimore, MD 21235–6401,
(410) 965–6716. 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:
Background
We may issue rules and regulations to
administer the Social Security Act (Act).
42 U.S.C. 405(a), 902(a)(5), 810(a), and
1383(d)(1).
On September 8, 2008, we published
a notice of proposed rulemaking
(NPRM) in the Federal Register entitled
Revisions to Rules on Representation of
Parties, and we gave the public 60 days
to comment. 73 FR 51963.
In the NPRM, we proposed to add an
affirmative duty that would have
required professional representatives to
conduct business with us electronically
at the times and in the manner that we
prescribe. We proposed to define a
professional representative as ‘‘any
attorney, any individual other than an
attorney, or any entity that holds itself
out to the public as providing
representational services * * * before
us, regardless of whether the
representative charges or collects a fee
for providing the representational
services.’’ Proposed sections 404.1703
and 416.1503. We received several
comments that opposed our broad
definition of professional representative
and our proposal that all professional
representatives must conduct business
with us electronically at the times and
in the manner we prescribe.
After careful consideration of these
comments, we decided to require some,
and encourage all, representatives to use
our electronic services as much as
possible.
Therefore, we are adding sections
404.1713 and 416.1513 and revising
sections 404.1740(b)(4) and
416.1540(b)(4) to require that
representatives conduct business with
us electronically at the times and in the
PO 00000
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Fmt 4700
Sfmt 4700
56107
manner we prescribe on matters for
which they request direct fee payment.
This means that a representative will be
required to use our available electronic
services in conducting business with us
on any matter for which he or she has
or will request direct fee payment.
We continue to consider the rest of
the regulatory changes we proposed in
the NPRM, and we may publish
additional final rules to address them.
Requiring Use of Our Electronic
Services
We employ comprehensive usability
testing, which includes inviting
members of the public to test our
electronic services and provide
feedback, to ensure that our electronic
services work well before we make them
publicly available. Even after we make
electronic services publicly available,
we use customer satisfaction surveys
and request user feedback to improve
them. In accordance with our usual
practice, we intend to employ usability
testing and solicit user feedback for any
electronic services we may require
representatives to use under these final
rules. Once we determine that we
should make a particular electronic
service publicly available because it
works well, we will publish a notice in
the Federal Register. The notice will
contain the new requirement(s) and a
list of all established electronic service
requirements.
If we discover that a representative
who has an affirmative duty to use the
available electronic services is not
complying with our rules, we may
investigate to determine if the
representative is purposefully violating
this duty or attempting to circumvent
our rules. We will use our existing rules
in sections 20 CFR 404.1740–404.1799
and 416.1540–416.1599 to address
potential violations.
We will not penalize the claimant if
the representative disregards his or her
affirmative duty to use our electronic
services. We will not reject or delay a
claimant’s request or process it
differently if a representative fails to
comply with this rule, but we may
decide to pursue sanctions against the
representative in appropriate cases.
We also proposed to add sections
404.1713 and 416.1513, in addition to
the affirmative duty in proposed
sections 404.1740 and 416.1540. We are
adopting, with minor changes, only the
provisions of sections 404.1713(a) and
416.1513(a) that we proposed, and we
are adopting, with minor changes, our
proposed affirmative duty in final
sections 404.1740 and 416.1540. We are
also making other conforming changes.
E:\FR\FM\12SER1.SGM
12SER1
56108
Federal Register / Vol. 76, No. 176 / Monday, September 12, 2011 / Rules and Regulations
emcdonald on DSK5VPTVN1PROD with RULES
Public Comments
We published an NPRM in the
Federal Register on September 8, 2008,
and we gave the public 60 days to
comment on our proposed rules. 73 FR
51963. We received comments from 66
individuals and organizations during
this period. We carefully read and
considered each of them. The comments
are available for public viewing at
https://www.regulations.gov.
The comments we received were
detailed and insightful, and they were
extremely helpful to our deliberations.
These final rules contain a number of
changes from our NPRM and reflect the
commenters’ thoughtful input. Below
we discuss and respond to the
significant comments related to
mandating the use of electronic services.
We did not address some technical
comments or comments beyond the
NPRM’s scope. We also did not address
comments about the proposed
regulatory changes that we are still
considering and may adopt in future
final rules.
Comment: One commenter thought
that the Act prohibits us from creating
separate procedures and appeal rights
for represented and unrepresented
claimants. Another commenter asserted
that the Constitution’s principles of
equal protection prohibit us from
creating different standards for different
categories of representatives, such as
principal representatives and
professional representatives.
Response: We did not propose to
create separate procedures and appeal
rights for represented and
unrepresented claimants. Both
represented and unrepresented
claimants retain the right to file their
own appeals using paper forms.
These final rules do not violate the
equal protection component of the Due
Process Clause of the Fifth Amendment
to the Constitution. The final rules do
not impose different standards on
similarly situated representatives or
otherwise categorize representatives
based on their characteristics. We also
give representatives the choice whether
to receive their fees directly from us. On
matters for which a representative
requests direct fee payment, he or she
must use certain electronic services that
we prescribe. Nothing in constitutional
principles of equal protection is
inconsistent with the rules that we are
adopting here.
Comment: We received several
comments on our proposed definition
for professional representative. Some
commenters found the term vague,
unnecessary, and confusing.
VerDate Mar<15>2010
16:09 Sep 09, 2011
Jkt 223001
Response: We agree with these
commenters. We are not adopting our
proposed rules for professional
representatives. Instead, we are
requiring that representatives use
certain electronic services only on
matters for which they request direct fee
payment.
Comment: A few commenters
opposed our electronic services
requirement for professional
representatives because they said some
representatives do not have full
electronic access, proper skills, or
computer support staff.
Response: We disagree with these
comments. We are not mandating that
all representatives use our electronic
services, but only those who request
direct fee payment on a matter. When
representatives do not request direct fee
payment on a matter due to ineligibility
or personal preference, they can
continue to use our paper processes and
forms.
Comment: A few commenters asserted
that the Regulatory Flexibility Act, as
amended, requires us to complete a
regulatory flexibility analysis because
we proposed to require certain
representatives to use electronic
services, which could impose costs on
small businesses.
Response: We disagree with these
comments. We certify below that these
final rules will not have a significant
economic impact on a substantial
number of small entities. These final
rules give a representative the option of
continuing to use paper forms and
submitting them to our field offices
when the representative does not
request direct fee payment.
Representatives will decide for
themselves whether to use our
electronic services. Because
representatives make this decision, we
do not require any small business to
incur any additional costs to do
business with us. Therefore, the
Regulatory Flexibility Act, as amended,
does not require us to perform a
regulatory flexibility analysis.
Comment: One commenter opposed
our proposed affirmative duty that
required professional representatives to
conduct business with us electronically
at the times and in the manner we
prescribe. The commenter claimed that
some situations may require
representatives to use paper forms, such
as when we experience systems
problems. Another commenter asked us
to explain which due process rights a
representative would have if we brought
a sanction proceeding based on a
circumstance outside of the
representative’s control.
PO 00000
Frm 00018
Fmt 4700
Sfmt 4700
Response: As stated earlier, we will
require that representatives use our
electronic services on matters for which
they request direct fee payment. We are
adopting our proposed affirmative duty
for those representatives in final
sections 404.1740(b)(4) and
416.1540(b)(4), and we will monitor the
representatives’ compliance with it. If
we find that a representative is not
using the required electronic services, or
if we receive a complaint that a
representative is not following our rules,
we will deal with each complaint on an
individual basis. If we find that a
representative has not used our required
electronic services, we will provide him
or her with an opportunity for a hearing
before an ALJ, who will decide whether
to disqualify or suspend the
representative.
Regulatory Procedures
Executive Order 12866, as
Supplemented by Executive Order
13563
We consulted with the Office of
Management and Budget (OMB) and
determined that these final rules meet
the criteria for a significant regulatory
action under Executive Order 12866, as
supplemented by Executive Order
13563. Therefore, OMB reviewed them.
Regulatory Flexibility Act
We certify that these final rules will
not have a significant economic impact
on a substantial number of small
entities. These final rules permit
representatives to continue using paper
forms on matters for which the
representatives do not request direct fee
payment. Representatives will make this
choice and decide for themselves
whether to use our electronic services.
Because representatives make this
decision, we are not requiring any small
business to incur any additional costs to
work with us. These final rules do not
disadvantage small entities or limit their
ability to compete with larger
competitors. Additionally, these final
rules do not place significant costs on
small entities. We anticipate that small
entities that decide to use our electronic
services may find slight cost savings
because of increased efficiency.
Therefore, the Regulatory Flexibility
Act, as amended, does not require us to
perform a regulatory flexibility analysis.
Paperwork Reduction Act
These final rules reference public
reporting burdens subject to the
Paperwork Reduction Act in 20 CFR
404.1713, 404.1740(b)(4), 416.1513, and
416.1540(b)(4). In these final rules, we
are codifying the requirement for
E:\FR\FM\12SER1.SGM
12SER1
Federal Register / Vol. 76, No. 176 / Monday, September 12, 2011 / Rules and Regulations
representatives to conduct business
with us electronically at the times and
in the manner we prescribe on matters
for which the representatives request
direct fee payment. However, we are not
yet requiring them to use the electronic
versions of specific OMB-approved
collections. We will adjust the burden
for affected OMB-approved collections
before requiring representatives to use
the collections’ electronic versions.
(Catalog of Federal Domestic Assistance
Program Nos. 96.001, Social SecurityDisability Insurance; 96.002, Social SecurityRetirement Insurance; 96.004, Social
Security-Survivors Insurance; and 96.006,
Supplemental Security Income)
List of Subjects
20 CFR Part 404
Administrative practice and
procedure, Blind, Disability benefits,
Old-Age, Survivors, and Disability
Insurance, Penalties, Reporting and
recordkeeping requirements, Social
Security.
§ 404.1740 Rules of conduct and
standards of responsibility for
representatives.
*
which the representative requests direct
fee payment. (See § 416.1513).
*
*
*
*
*
[FR Doc. 2011–23232 Filed 9–9–11; 8:45 am]
*
*
*
*
(b) * * *
(2) * * *
(vi) * * * In §§ 404.1560 through
404.1569, we discuss in more detail the
evidence we need when we consider
vocational factors;
(3) * * *
(ii) * * * This includes providing
prompt and responsive answers to our
requests for information pertinent to
processing of the claim; and
(4) Conduct business with us
electronically at the times and in the
manner we prescribe on matters for
which the representative requests direct
fee payment. (See § 404.1713).
*
*
*
*
*
PART 416—SUPPLEMENTAL
SECURITY INCOME FOR THE AGED,
BLIND, AND DISABLED
Subpart O—[Amended]
20 CFR Part 416
Authority: Secs. 702(a)(5), 1127, and
1631(d) of the Social Security Act (42 U.S.C.
902(a)(5), 1320a–6, and 1383(d)).
Michael J. Astrue,
Commissioner of Social Security.
■
For the reasons set out in the
preamble, we are amending 20 CFR part
404 subpart R and part 416 subpart O
as set forth below:
5. Add § 416.1513 to read as follows:
§ 416.1513
services.
Mandatory use of electronic
PART 404—FEDERAL OLD-AGE,
SURVIVORS AND DISABILITY
INSURANCE (1950– )
A representative must conduct
business with us electronically at the
times and in the manner we prescribe
on matters for which the representative
requests direct fee payment. (See
§ 416.1540(b)(4)).
Subpart R—[Amended]
■
1. The authority citation for subpart R
of part 404 is revised to read as follows:
■
Authority: Secs. 205(a), 206, 702(a)(5), and
1127 of the Social Security Act (42 U.S.C.
405(a), 406, 902(a)(5), and 1320a–6).
■
2. Add § 404.1713 to read as follows:
emcdonald on DSK5VPTVN1PROD with RULES
§ 404.1713
services.
A representative must conduct
business with us electronically at the
times and in the manner we prescribe
on matters for which the representative
requests direct fee payment. (See
§ 404.1740(b)(4)).
3. Amend § 404.1740 by revising the
second sentence of paragraph (b)(2)(vi)
and the second sentence of paragraph
(b)(3)(ii), and adding paragraph (b)(4), to
read as follows:
■
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16:09 Sep 09, 2011
Jkt 223001
6. Amend § 416.1540 by revising the
second sentence of paragraph (b)(2)(vi)
and the second sentence of paragraph
(b)(3)(ii), and adding paragraph (b)(4), to
read as follows:
§ 416.1540 Rules of conduct and
standards of responsibility for
representatives.
*
Mandatory use of electronic
*
*
*
*
(b) * * *
(2) * * *
(vi) * * * In §§ 416.960 through
416.969, we discuss in more detail the
evidence we need when we consider
vocational factors;
(3) * * *
(ii) * * * This includes providing
prompt and responsive answers to our
requests for information pertinent to
processing of the claim; and
(4) Conduct business with us
electronically at the times and in the
manner we prescribe on matters for
PO 00000
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BILLING CODE 4191–02–P
DEPARTMENT OF AGRICULTURE
Forest Service
36 CFR Part 242
DEPARTMENT OF THE INTERIOR
Fish and Wildlife Service
50 CFR Part 100
[Docket No. FWS–R7–SM–2011–0004;
70101–1261–0000L6]
RIN 1018–AX52
Subsistence Management Regulations
for Public Lands in Alaska—Subpart B,
Federal Subsistence Board
Forest Service, Agriculture;
Fish and Wildlife Service, Interior.
ACTION: Final rule.
AGENCIES:
4. The authority citation for subpart O
of part 416 is revised to read as follows:
■
Administrative practice and
procedure, Penalties, Reporting and
recordkeeping requirements,
Supplemental Security Income (SSI).
56109
This final rule revises the
regulations concerning the composition
of the Federal Subsistence Board
(Board). On October 23, 2009, the
Secretary of the Interior announced the
initiation of a Departmental review of
the Federal Subsistence Management
Program in Alaska. The review focused
on how the program is meeting the
purposes and subsistence provisions of
Title VIII of the Alaska National Interest
Lands Conservation Act of 1980
(ANILCA), and how the program is
serving rural subsistence users. The
review proposed several administrative
and regulatory changes to strengthen the
program and make it more responsive to
rural subsistence users. This rule
expands the Federal Subsistence Board
by two public members who possess
personal knowledge of and direct
experience with subsistence uses in
rural Alaska. This action will afford
additional stakeholder input to the
process.
SUMMARY:
DATES:
This rule is effective October 12,
2011.
The Board meeting
transcripts are available for review at
the Office of Subsistence Management,
1011 East Tudor Road, Mail Stop 121,
Anchorage, Alaska 99503, on https://
www.regulations.gov at Docket No.
FWS–R7–SM–2011–0004, or on the
Office of Subsistence Management Web
site (https://alaska.fws.gov/asm/
index.cfml).
ADDRESSES:
E:\FR\FM\12SER1.SGM
12SER1
]]>Agencies
[Federal Register Volume 76, Number 176 (Monday, September 12, 2011)]
[Rules and Regulations]
[Pages 56107-56109]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2011-23232]
=======================================================================
-----------------------------------------------------------------------
SOCIAL SECURITY ADMINISTRATION
20 CFR Parts 404 and 416
[Docket No. SSA-2011-0015]
RIN 0960-AH31
Requiring Use of Electronic Services by Certain Claimant
Representatives
AGENCY: Social Security Administration.
ACTION: Final rules.
-----------------------------------------------------------------------
SUMMARY: We are revising our rules to require that claimant
representatives use our electronic services as they become available on
matters for which the representatives request direct fee payment. In
the future, we will publish a notice in the Federal Register when we
require representatives who request direct fee payment on a matter to
use our available electronic services. We are also adding the
requirement to use our available electronic services on matters for
which the representative requests direct fee payment as an affirmative
duty in our representative conduct rules. These revisions reflect the
increased use of technology in representatives' business practices. We
expect that the use of electronic services will improve our efficiency
by allowing us to manage our workloads more effectively. These rules do
not require claimants to use our available electronic services
directly; they only require their representatives to use the services
on matters for which the representatives request direct fee payment.
DATES: These final rules are effective on October 12, 2011.
FOR FURTHER INFORMATION CONTACT: Joann S. Anderson, Office of Income
Security Programs, Social Security Administration, 6401 Security
Boulevard, Baltimore, MD 21235-6401, (410) 965-6716. 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:
Background
We may issue rules and regulations to administer the Social
Security Act (Act). 42 U.S.C. 405(a), 902(a)(5), 810(a), and
1383(d)(1).
On September 8, 2008, we published a notice of proposed rulemaking
(NPRM) in the Federal Register entitled Revisions to Rules on
Representation of Parties, and we gave the public 60 days to comment.
73 FR 51963.
In the NPRM, we proposed to add an affirmative duty that would have
required professional representatives to conduct business with us
electronically at the times and in the manner that we prescribe. We
proposed to define a professional representative as ``any attorney, any
individual other than an attorney, or any entity that holds itself out
to the public as providing representational services * * * before us,
regardless of whether the representative charges or collects a fee for
providing the representational services.'' Proposed sections 404.1703
and 416.1503. We received several comments that opposed our broad
definition of professional representative and our proposal that all
professional representatives must conduct business with us
electronically at the times and in the manner we prescribe.
After careful consideration of these comments, we decided to
require some, and encourage all, representatives to use our electronic
services as much as possible.
Therefore, we are adding sections 404.1713 and 416.1513 and
revising sections 404.1740(b)(4) and 416.1540(b)(4) to require that
representatives conduct business with us electronically at the times
and in the manner we prescribe on matters for which they request direct
fee payment. This means that a representative will be required to use
our available electronic services in conducting business with us on any
matter for which he or she has or will request direct fee payment.
We continue to consider the rest of the regulatory changes we
proposed in the NPRM, and we may publish additional final rules to
address them.
Requiring Use of Our Electronic Services
We employ comprehensive usability testing, which includes inviting
members of the public to test our electronic services and provide
feedback, to ensure that our electronic services work well before we
make them publicly available. Even after we make electronic services
publicly available, we use customer satisfaction surveys and request
user feedback to improve them. In accordance with our usual practice,
we intend to employ usability testing and solicit user feedback for any
electronic services we may require representatives to use under these
final rules. Once we determine that we should make a particular
electronic service publicly available because it works well, we will
publish a notice in the Federal Register. The notice will contain the
new requirement(s) and a list of all established electronic service
requirements.
If we discover that a representative who has an affirmative duty to
use the available electronic services is not complying with our rules,
we may investigate to determine if the representative is purposefully
violating this duty or attempting to circumvent our rules. We will use
our existing rules in sections 20 CFR 404.1740-404.1799 and 416.1540-
416.1599 to address potential violations.
We will not penalize the claimant if the representative disregards
his or her affirmative duty to use our electronic services. We will not
reject or delay a claimant's request or process it differently if a
representative fails to comply with this rule, but we may decide to
pursue sanctions against the representative in appropriate cases.
We also proposed to add sections 404.1713 and 416.1513, in addition
to the affirmative duty in proposed sections 404.1740 and 416.1540. We
are adopting, with minor changes, only the provisions of sections
404.1713(a) and 416.1513(a) that we proposed, and we are adopting, with
minor changes, our proposed affirmative duty in final sections 404.1740
and 416.1540. We are also making other conforming changes.
[[Page 56108]]
Public Comments
We published an NPRM in the Federal Register on September 8, 2008,
and we gave the public 60 days to comment on our proposed rules. 73 FR
51963. We received comments from 66 individuals and organizations
during this period. We carefully read and considered each of them. The
comments are available for public viewing at https://www.regulations.gov.
The comments we received were detailed and insightful, and they
were extremely helpful to our deliberations. These final rules contain
a number of changes from our NPRM and reflect the commenters'
thoughtful input. Below we discuss and respond to the significant
comments related to mandating the use of electronic services. We did
not address some technical comments or comments beyond the NPRM's
scope. We also did not address comments about the proposed regulatory
changes that we are still considering and may adopt in future final
rules.
Comment: One commenter thought that the Act prohibits us from
creating separate procedures and appeal rights for represented and
unrepresented claimants. Another commenter asserted that the
Constitution's principles of equal protection prohibit us from creating
different standards for different categories of representatives, such
as principal representatives and professional representatives.
Response: We did not propose to create separate procedures and
appeal rights for represented and unrepresented claimants. Both
represented and unrepresented claimants retain the right to file their
own appeals using paper forms.
These final rules do not violate the equal protection component of
the Due Process Clause of the Fifth Amendment to the Constitution. The
final rules do not impose different standards on similarly situated
representatives or otherwise categorize representatives based on their
characteristics. We also give representatives the choice whether to
receive their fees directly from us. On matters for which a
representative requests direct fee payment, he or she must use certain
electronic services that we prescribe. Nothing in constitutional
principles of equal protection is inconsistent with the rules that we
are adopting here.
Comment: We received several comments on our proposed definition
for professional representative. Some commenters found the term vague,
unnecessary, and confusing.
Response: We agree with these commenters. We are not adopting our
proposed rules for professional representatives. Instead, we are
requiring that representatives use certain electronic services only on
matters for which they request direct fee payment.
Comment: A few commenters opposed our electronic services
requirement for professional representatives because they said some
representatives do not have full electronic access, proper skills, or
computer support staff.
Response: We disagree with these comments. We are not mandating
that all representatives use our electronic services, but only those
who request direct fee payment on a matter. When representatives do not
request direct fee payment on a matter due to ineligibility or personal
preference, they can continue to use our paper processes and forms.
Comment: A few commenters asserted that the Regulatory Flexibility
Act, as amended, requires us to complete a regulatory flexibility
analysis because we proposed to require certain representatives to use
electronic services, which could impose costs on small businesses.
Response: We disagree with these comments. We certify below that
these final rules will not have a significant economic impact on a
substantial number of small entities. These final rules give a
representative the option of continuing to use paper forms and
submitting them to our field offices when the representative does not
request direct fee payment. Representatives will decide for themselves
whether to use our electronic services. Because representatives make
this decision, we do not require any small business to incur any
additional costs to do business with us. Therefore, the Regulatory
Flexibility Act, as amended, does not require us to perform a
regulatory flexibility analysis.
Comment: One commenter opposed our proposed affirmative duty that
required professional representatives to conduct business with us
electronically at the times and in the manner we prescribe. The
commenter claimed that some situations may require representatives to
use paper forms, such as when we experience systems problems. Another
commenter asked us to explain which due process rights a representative
would have if we brought a sanction proceeding based on a circumstance
outside of the representative's control.
Response: As stated earlier, we will require that representatives
use our electronic services on matters for which they request direct
fee payment. We are adopting our proposed affirmative duty for those
representatives in final sections 404.1740(b)(4) and 416.1540(b)(4),
and we will monitor the representatives' compliance with it. If we find
that a representative is not using the required electronic services, or
if we receive a complaint that a representative is not following our
rules, we will deal with each complaint on an individual basis. If we
find that a representative has not used our required electronic
services, we will provide him or her with an opportunity for a hearing
before an ALJ, who will decide whether to disqualify or suspend the
representative.
Regulatory Procedures
Executive Order 12866, as Supplemented by Executive Order 13563
We consulted with the Office of Management and Budget (OMB) and
determined that these final rules meet the criteria for a significant
regulatory action under Executive Order 12866, as supplemented by
Executive Order 13563. Therefore, OMB reviewed them.
Regulatory Flexibility Act
We certify that these final rules will not have a significant
economic impact on a substantial number of small entities. These final
rules permit representatives to continue using paper forms on matters
for which the representatives do not request direct fee payment.
Representatives will make this choice and decide for themselves whether
to use our electronic services. Because representatives make this
decision, we are not requiring any small business to incur any
additional costs to work with us. These final rules do not disadvantage
small entities or limit their ability to compete with larger
competitors. Additionally, these final rules do not place significant
costs on small entities. We anticipate that small entities that decide
to use our electronic services may find slight cost savings because of
increased efficiency. Therefore, the Regulatory Flexibility Act, as
amended, does not require us to perform a regulatory flexibility
analysis.
Paperwork Reduction Act
These final rules reference public reporting burdens subject to the
Paperwork Reduction Act in 20 CFR 404.1713, 404.1740(b)(4), 416.1513,
and 416.1540(b)(4). In these final rules, we are codifying the
requirement for
[[Page 56109]]
representatives to conduct business with us electronically at the times
and in the manner we prescribe on matters for which the representatives
request direct fee payment. However, we are not yet requiring them to
use the electronic versions of specific OMB-approved collections. We
will adjust the burden for affected OMB-approved collections before
requiring representatives to use the collections' electronic versions.
(Catalog of Federal Domestic Assistance Program Nos. 96.001, Social
Security-Disability Insurance; 96.002, Social Security-Retirement
Insurance; 96.004, Social Security-Survivors Insurance; and 96.006,
Supplemental Security Income)
List of Subjects
20 CFR Part 404
Administrative practice and procedure, Blind, Disability benefits,
Old-Age, Survivors, and Disability Insurance, Penalties, Reporting and
recordkeeping requirements, Social Security.
20 CFR Part 416
Administrative practice and procedure, Penalties, Reporting and
recordkeeping requirements, Supplemental Security Income (SSI).
Michael J. Astrue,
Commissioner of Social Security.
For the reasons set out in the preamble, we are amending 20 CFR
part 404 subpart R and part 416 subpart O as set forth below:
PART 404--FEDERAL OLD-AGE, SURVIVORS AND DISABILITY INSURANCE
(1950- )
Subpart R--[Amended]
0
1. The authority citation for subpart R of part 404 is revised to read
as follows:
Authority: Secs. 205(a), 206, 702(a)(5), and 1127 of the Social
Security Act (42 U.S.C. 405(a), 406, 902(a)(5), and 1320a-6).
0
2. Add Sec. 404.1713 to read as follows:
Sec. 404.1713 Mandatory use of electronic services.
A representative must conduct business with us electronically at
the times and in the manner we prescribe on matters for which the
representative requests direct fee payment. (See Sec. 404.1740(b)(4)).
0
3. Amend Sec. 404.1740 by revising the second sentence of paragraph
(b)(2)(vi) and the second sentence of paragraph (b)(3)(ii), and adding
paragraph (b)(4), to read as follows:
Sec. 404.1740 Rules of conduct and standards of responsibility for
representatives.
* * * * *
(b) * * *
(2) * * *
(vi) * * * In Sec. Sec. 404.1560 through 404.1569, we discuss in
more detail the evidence we need when we consider vocational factors;
(3) * * *
(ii) * * * This includes providing prompt and responsive answers to
our requests for information pertinent to processing of the claim; and
(4) Conduct business with us electronically at the times and in the
manner we prescribe on matters for which the representative requests
direct fee payment. (See Sec. 404.1713).
* * * * *
PART 416--SUPPLEMENTAL SECURITY INCOME FOR THE AGED, BLIND, AND
DISABLED
Subpart O--[Amended]
0
4. The authority citation for subpart O of part 416 is revised to read
as follows:
Authority: Secs. 702(a)(5), 1127, and 1631(d) of the Social
Security Act (42 U.S.C. 902(a)(5), 1320a-6, and 1383(d)).
0
5. Add Sec. 416.1513 to read as follows:
Sec. 416.1513 Mandatory use of electronic services.
A representative must conduct business with us electronically at
the times and in the manner we prescribe on matters for which the
representative requests direct fee payment. (See Sec. 416.1540(b)(4)).
0
6. Amend Sec. 416.1540 by revising the second sentence of paragraph
(b)(2)(vi) and the second sentence of paragraph (b)(3)(ii), and adding
paragraph (b)(4), to read as follows:
Sec. 416.1540 Rules of conduct and standards of responsibility for
representatives.
* * * * *
(b) * * *
(2) * * *
(vi) * * * In Sec. Sec. 416.960 through 416.969, we discuss in
more detail the evidence we need when we consider vocational factors;
(3) * * *
(ii) * * * This includes providing prompt and responsive answers to
our requests for information pertinent to processing of the claim; and
(4) Conduct business with us electronically at the times and in the
manner we prescribe on matters for which the representative requests
direct fee payment. (See Sec. 416.1513).
* * * * *
[FR Doc. 2011-23232 Filed 9-9-11; 8:45 am]
BILLING CODE 4191-02-P
