Agency Information Collection Activities: Proposed Request, 17874-17877 [2021-06975]
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Federal Register / Vol. 86, No. 64 / Tuesday, April 6, 2021 / Notices
outstanding, and that the remaining
funds have, on average, shares
outstanding equal to approximately 300
creation units. However, this data does
not establish that arbitrage opportunities
would sufficiently mitigate
manipulation concerns for all series of
Exchange Traded Fund Shares,
including those with only a single
creation unit outstanding and those
overlying a portfolio of instruments that
are illiquid.
Finally, while the Exchange asserts
that its surveillance procedures and
trading halt authority would provide for
additional investor protections by
mitigating any abnormal trading that
would affect Exchange Traded Fund
Shares prices, it does not offer any
explanation of the basis for that view or
provide any supporting information or
evidence to support its conclusion.
Notably, the Exchange does not explain
how any of its specific existing
surveillance procedures or
administration of its trading halt
authority effectively address, in the
absence of the Beneficial Holders Rule 27
and under the proposed replacement of
the Minimum Shares Outstanding Rule,
manipulation concerns and other
regulatory risks to fair and orderly
markets, investor protection, and the
public interest. Accordingly, the
Commission is unable to assess whether
the Exchange’s assertion has merit.
The Commission identified all of
these concerns in the OIP, but the
Exchange has not responded or
provided additional data addressing
these concerns.28 As stated above, under
27 See
supra note 25 and accompanying text.
OIP, supra note 7. The commenter asserts
that the creation and redemption processes, which
tap into the liquidity of the underlying holdings,
coupled with the enhanced disclosures mandated
under Rule 6c–11 under the 1940 Act, mitigate
manipulation concerns. See SIFMA Letter, supra
note 14, at 3. However, neither the Exchange nor
the commenter explains why arbitrage
opportunities would sufficiently mitigate
manipulation concerns for the full range of ETFs,
including ETFs overlying a portfolio of instruments
that are themselves illiquid, or where market
interest in the ETF is not sufficient to attract
effective arbitrage activity. While the Exchange and
the commenter assert that certain disclosures under
Rule 6c–11 under the 1940 Act provide investors
with transparency into the holdings of the
underlying portfolio and additional insight into the
effectiveness of an ETF’s arbitrage (see Notice,
supra note 3, 85 FR at 48012, 48015; SIFMA Letter,
supra note 14, at 3–4; supra note 13 and
accompanying text), neither the Exchange nor the
commenter sufficiently explains how such
disclosures might prevent manipulation. In
addition, while the commenter states that its survey
data showed that an ETF’s number of shareholders,
level of assets, and liquidity tended to improve after
three years of operation as compared to one year,
the commenter does not assert that the survey
addressed the concerns about potential
manipulation that the proposal raises, as described
above.
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28 See
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the Commission’s Rules of Practice, the
‘‘burden to demonstrate that a proposed
rule change is consistent with the
Exchange Act and the rules and
regulations issued thereunder . . . is on
the self-regulatory organization [‘SRO’]
that proposed the rule change.’’ 29 The
description of a proposed rule change,
its purpose and operation, its effect, and
a legal analysis of its consistency with
applicable requirements must all be
sufficiently detailed and specific to
support an affirmative Commission
finding, and any failure of an SRO to
provide this information may result in
the Commission not having a sufficient
basis to make an affirmative finding that
a proposed rule change is consistent
with the Exchange Act and the
applicable rules and regulations.30 The
Commission concludes that, because
Nasdaq has not demonstrated that its
proposal is designed to prevent
fraudulent and manipulative acts and
practices or to protect investors and the
public interest, the Exchange has not
met its burden to demonstrate that its
proposal is consistent with Section
6(b)(5) of the Exchange Act.31 For this
reason, the Commission must
disapprove the proposal.
IV. Conclusion
For the reasons set forth above, the
Commission does not find, pursuant to
Section 19(b)(2) of the Exchange Act,32
that the proposed rule change is
consistent with the requirements of the
Exchange Act and the rules and
regulations thereunder applicable to a
national securities exchange, and in
particular, with Section 6(b)(5) of the
Exchange Act.33
It is therefore ordered, pursuant to
Section 19(b)(2) of the Exchange Act,
that proposed rule change SR–
NASDAQ–2020–017 is disapproved.
29 Rule 700(b)(3), Commission Rules of Practice,
17 CFR 201.700(b)(3).
30 See id.
31 In disapproving this proposed rule change, the
Commission has considered the proposed rule’s
impact on efficiency, competition, and capital
formation. See 15 U.S.C. 78c(f). Although the
commenter (see SIFMA Letter, supra note 14, at 4)
asserts that the current Beneficial Holders Rule puts
newer and smaller sponsors at an unnecessary
disadvantage to larger sponsors having the
enterprise-wide scale and distribution reach to
gather assets in the months after launch, neither the
commenter nor the Exchange has provided data to
support this conclusion.
32 15 U.S.C. 78s(b)(2).
33 15 U.S.C. 78f(b)(5).
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For the Commission, by the Division of
Trading and Markets, pursuant to delegated
authority.34
J. Matthew DeLesDernier,
Assistant Secretary.
[FR Doc. 2021–06987 Filed 4–5–21; 8:45 am]
BILLING CODE 8011–01–P
SOCIAL SECURITY ADMINISTRATION
[Docket No: SSA–2021–0007]
Agency Information Collection
Activities: Proposed Request
The Social Security Administration
(SSA) publishes a list of information
collection packages requiring clearance
by the Office of Management and
Budget (OMB) in compliance with
Public Law 104–13, the Paperwork
Reduction Act of 1995, effective October
1, 1995. This notice includes revisions
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 ways to
minimize burden on respondents,
including the use of automated
collection techniques or other forms of
information technology. Mail, email, or
fax your comments and
recommendations on the information
collection(s) to the OMB Desk Officer
and SSA Reports Clearance Officer at
the following addresses or fax numbers.
(OMB) Office of Management and
Budget, Attn: Desk Officer for SSA
Comments: https://www.reginfo.gov/
public/do/PRAMain. Submit your
comments online, referencing Docket ID
Number [SSA–2021–0007].
(SSA) Social Security Administration,
OLCA, Attn: Reports Clearance
Director, 3100 West High Rise, 6401
Security Blvd., Baltimore, MD 21235,
Fax: 410–966–2830, Email address:
OR.Reports.Clearance@ssa.gov
Or you may submit your comments
online through https://www.reginfo.gov/
public/do/PRAMain, referencing Docket
ID Number [SSA–2021–0007].
The information collections below are
pending at SSA. SSA will submit them
to OMB within 60 days from the date of
this notice. To be sure we consider your
comments, we must receive them no
later than June 7, 2021. Individuals can
obtain copies of the collection
instruments by writing to the above
email address.
1. Application for Mother’s or Father’s
Insurance Benefits—20 CFR 404.339–
34 17
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CFR 200.30–3(a)(12).
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Modality of completion
Number of
respondents
SSA–5–BK (Paper) ......
SSA–5 (Personal Interview) .........................
Total ......................
for a child of the deceased worker who
is applying for mother’s or father’s
insurance benefits under the Old Age,
Survivors, and Disability Insurance
program.
Type of Request: Revision of an OMBapproved information collection.
(who is entitled to Social Security
benefits). The Social Security
Administration (SSA) uses the
information on Form SSA–5–BK to
determine an individual’s eligibility for
mother’s or father’s insurance benefits.
The respondents are individuals caring
404.342, 20 CFR 404.601–404.603—
0960–0003. Section 202(g) of the Social
Security Act (Act) provides for the
payment of monthly benefits to the
widow or widower of an insured
individual if the surviving spouse is
caring for the deceased worker’s child
Average
burden per
response
(minutes)
Frequency
of response
Estimated
total annual
burden (hours)
for responses
Average
theoretical
cost amount
(dollars) *
Average
wait time in
field office
(minutes) **
Total annual
opportunity
cost
(dollars) ***
28
1
15
7
* $25.72
........................
*** $180
23,123
23,151
1
........................
15
........................
5,781
5,788
* $25.72
........................
** 24
........................
*** $386,572
*** $386,752
* We based this figure on the average hourly wage for all occupations in May 2019 as reported by the U.S. Bureau of Labor Statistics (https://
www.bls.gov/oes/current/oes_nat.htm#00-0000).
** We based this figure on the average FY 2020 wait times for field offices, based on SSA’s current management information data.
*** This figure does not represent actual costs that SSA is imposing on recipients of Social Security payments to complete this application;
rather, these are theoretical opportunity costs for the additional time respondents will spend to complete the application. There is no actual
charge to respondents to complete the application.
2. Claim for Amounts Due in the Case
of a Deceased Beneficiary—20 CFR
404.503(b)—0960–0101. Section 204(d)
of the Act provides that if an individual
dies before payment under Title II is
complete, or before a Medicare premium
refund is due, SSA will pay the amount
due (including the amount of any check
not negotiated) to people who meet
specified qualifications under an order
of priority. When a Social Security
payment, or Medicare premium, was
due to a deceased beneficiary at the time
Modality of completion
Number of
respondents
SSA–1724 ....................
of death, and there is insufficient
information in the file to identify the
people entitled to the payment, or their
addresses, SSA asks the surviving
spouse, next of kin, or legal
representative of the estate to complete
Form SSA–1724, Claim for Amounts
Due in the Case of a Deceased
Beneficiary. SSA collects the
information when a surviving
child(ren), parent(s), or spouse is not
already entitled to a monthly benefit on
the same earnings record, or is not filing
Average
burden per
response
(minutes)
Frequency
of response
250,000
1
Estimated
total annual
burden
(hours)
10
41,667
for a lump-sum death payment as a
former spouse. SSA uses the
information Form SSA–1724 provides to
ensure proper payment of an
underpayment due to a deceased
beneficiary. The respondents are
applicants for Title II underpayments or
Medicare premium refunds owed to
deceased beneficiaries.
Type of Request: Revision of an OMBapproved information collection.
Average
theoretical
hourly cost
amount
(dollars)*
* $25.72
Average
wait time in
field office
(minutes) **
** 24
Total annual
opportunity
cost
(dollars) ***
*** $3,643,675
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* We based this figure on the average hourly wage for all occupations in May 2019 as reported by the U.S. Bureau of Labor Statistics (https://
www.bls.gov/oes/current/oes_nat.htm#00-0000).
** We based this figure on the average FY 2020 wait times for field offices, based on SSA’s current management information data.
*** This figure does not represent actual costs that SSA is imposing on recipients of Social Security payments to complete this application;
rather, these are theoretical opportunity costs for the additional time respondents will spend to complete the application. There is no actual
charge to respondents to complete the application.
3. Claimant’s Recent Medical
Treatment—20 CFR 404.1512 and
416.912—0960–0292. Claimants have a
right to request a hearing before an
administrative law judge (ALJ). For the
hearing, SSA asks the claimant to
complete and return the HA–4631 if the
claimant’s file does not reflect a current,
complete medical history as the
claimant proceeds through the appeals
process. ALJs obtain the information to
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update and complete the record and to
verify the accuracy of the information.
Through this process, ALJs can ascertain
whether the claimant’s situation has
changed. The ALJs and hearing office
staff use the response to make
arrangements for consultative
examination(s) and the attendance of an
expert witness(es), if appropriate.
During the hearing, the ALJ offers any
completed questionnaires as exhibits
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and may use them to: (1) Refresh the
claimant’s memory, and (2) shape their
questions. The respondents are
claimant’s requesting hearings on
entitlement to OASDI benefits or
Supplemental Security Income (SSI)
payments.
Type of Request: Revision of an OMBapproved information collection.
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Modality of completion
Number of
respondents
HA–4631–PDF/paper
version ......................
Electronic Records Express Submissions ...
Totals ....................
Average
burden per
response
(minutes)
Frequency
of response
Average
theoretical
hourly cost
amount
(dollars) *
Estimated
total annual
burden
(hours)
Average
wait time in
field office
(minutes) **
Total annual
opportunity
cost
(dollars) ***
53,200
1
10
8,867
* $10.95
** 24
*** $330,110
136,800
190,000
1
........................
10
........................
22,800
31,667
* $25.72
........................
........................
........................
*** $586,416
*** $916,526
* We based these figures on average DI hourly wages based on SSA’s current FY 2020 SSI data (https://www.ssa.gov/legislation/
2021FactSheet.pdf) and on the average U.S. citizen’s hourly salary, as reported by Bureau of Labor Statistics data (https://www.bls.gov/oes/current/oes_stru.htm).
** We based this figure on the average FY 2020 wait times for field offices, based on SSA’s current management information data.
*** This figure does not represent actual costs that SSA is imposing on recipients of Social Security payments to complete this application;
rather, these are theoretical opportunity costs for the additional time respondents will spend to complete the application. There is no actual
charge to respondents to complete the application.
4. Request for Reconsideration—
Disability Cessation—20 CFR 404.909,
404.1597(b), 416.995, & 416.1409—
0960–0349. When SSA determines that
claimants’ disabilities medically
improved; ceased; or are no longer
sufficiently disabling, these claimants
may ask SSA to reconsider that
determination. SSA uses Form SSA–789
Modality of completion
Number of
respondents
SSA–789 ......................
to arrange for a hearing or to prepare a
decision based on the evidence of
record. Specifically, claimants or their
representatives use Form SSA–789 to:
(1) Ask SSA to reconsider a
determination; (2) indicate if they wish
to appear at a disability hearing;
(3) submit any additional information
or evidence for use in the reconsidered
determination; and (4) indicate if they
Average
burden per
response
(minutes)
Frequency
of response
49,000
1
Estimated
total annual
burden
(hours)
13
10,617
will need an interpreter for the hearing.
The respondents are disability claimants
for Social Security benefits or
Supplemental Security Income (SSI)
payments who wish to appeal an
unfavorable disability cessation
determination.
Type of Request: Revision of an OMBapproved information collection.
Average
theoretical
hourly cost
amount
(dollars) *
* $10.95
Average
wait time in
field office
(minutes) **
** 24
Total annual
opportunity
cost
(dollars) ***
*** $330,876
* We based this figure on average DI payments based on SSA’s current FY 2021 data (https://www.ssa.gov/legislation/2021FactSheet.pdf).
** We based this figure on the average FY 2020 wait times for field offices, based on SSA’s current management information data.
*** This figure does not represent actual costs that SSA is imposing on recipients of Social Security payments to complete this application;
rather, these are theoretical opportunity costs for the additional time respondents will spend to complete the application. There is no actual
charge to respondents to complete the application.
5. Waiver of Right to Appear—
Disability Hearing—20 CFR 404.913,
404.914, 404.916(b)(5), 416.1413–
416.1414, 416.1416(b)(5)—0960–0534.
Claimants for Social Security disability
payments or their representatives can
use Form SSA–773–U4 to waive their
Modality of completion
Number of
respondents
SSA–773–U4 ...............
right to appear at a disability hearing.
The disability hearing officer uses the
signed form as a basis for not holding
a hearing, and for preparing a written
decision on the claimant’s request for
disability payments based solely on the
evidence of record. The respondents are
Average
burden per
response
(minutes)
Frequency
of response
200
1
Estimated
total annual
burden
(hours)
3
10
disability claimants for Social Security
benefits or SSI payments, or their
representatives, who wish to waive their
right to appear at a disability hearing.
Type of Request: Revision of an OMBapproved information collection.
Average
theoretical
hourly cost
amount
(dollars) *
* $10.95
Average
wait time in
field office
(minutes) **
** 24
Total annual
opportunity
cost
(dollars) ***
*** $986
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* We based this figure on average DI payments based on SSA’s current FY 2021 data (https://www.ssa.gov/legislation/2021FactSheet.pdf).
** We based this figure on the average FY 2020 wait times for field offices, based on SSA’s current management information data.
*** This figure does not represent actual costs that SSA is imposing on recipients of Social Security payments to complete this application;
rather, these are theoretical opportunity costs for the additional time respondents will spend to complete the application. There is no actual
charge to respondents to complete the application.
6. Prohibition of Payment of SSI
Benefits to Fugitive Felons and Parole/
Probation Violators—20 CFR
416.708(o)—0960–0617.
Section 1611(e)(4) of the Act
precludes eligibility for SSI payments
for certain fugitives and probation or
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17:34 Apr 05, 2021
Jkt 253001
parole violators. Our regulation at 20
CFR 416.708(o) requires individuals
applying for or receiving SSI to report
to SSA that: (1) They are fleeing to avoid
prosecution for a crime; (2) they are
fleeing to avoid custody or confinement
after conviction of a crime; or (3) they
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Fmt 4703
Sfmt 4703
are violating a condition of probation or
parole. In addition, due to the
implementation of the Martinez v.
Astrue and Clark v. Astrue cases, we
changed our policy to deny eligibility or
suspend payments for three fleeing
codes. We use the information we
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fleeing codes. If the respondent has a
warrant for one of the three fleeing
codes, SSA uses this information to
deny payments. The respondents are
SSI applicants and recipients, or their
representative payees, who are reporting
receive to determine eligibility on an
initial claim for SSI payments or a
redetermination of existing recipients.
The collection is mandatory to ensure
that an applicant or recipient does not
have a warrant for one of the three
Number of
respondents
Modality of completion
Fugitive Felon and Parole or Probation
Violation screens within the SSI
Claims System .....................................
Average
burden per
response
(minutes)
Frequency
of response
1,000
1
their status as a fugitive felon or
probation or parole violator.
Type of Request: Revision of an OMBapproved information collection.
Estimated
total annual
burden
(hours)
1
17
Average
theoretical
hourly cost
amount
(dollars) *
Total annual
opportunity
cost
(dollars) **
* $25.72
** $437
* We based this figure on the average hourly wage for all occupations in May 2019 as reported by the U.S. Bureau of Labor Statistics (https://
www.bls.gov/oes/current/oes_nat.htm#00-0000).
** This figure does not represent actual costs that SSA is imposing on recipients of Social Security payments to complete this application; rather, these are theoretical opportunity costs for the additional time respondents will spend to complete the application. There is no actual charge to
respondents to complete the application.
Dated: March 31, 2021.
Eric Lowman,
Acting Reports Clearance Officer, Office of
Legislative Development and Operations,
Social Security Administration.
[FR Doc. 2021–06975 Filed 4–5–21; 8:45 am]
BILLING CODE 4191–02–P
SURFACE TRANSPORTATION BOARD
[Docket No. EP 670 (Sub-No. 1)]
Notice of Rail Energy Transportation
Advisory Committee Meeting
Surface Transportation Board.
Notice of Rail Energy
Transportation Advisory Committee
meeting.
AGENCY:
ACTION:
Notice is hereby given of a
meeting of the Rail Energy
Transportation Advisory Committee
(RETAC), pursuant to the Federal
Advisory Committee Act.
DATES: The meeting will be held on
Thursday, April 22, 2021, beginning at
1:00 p.m. E.D.T., and is expected to
conclude by 4:00 p.m. E.D.T.
ADDRESSES: The meeting will be held
virtually via Zoom. See SUPPLEMENTARY
INFORMATION for registration details.
FOR FURTHER INFORMATION CONTACT:
Kristen Nunnally at (202) 245–0312 or
Kristen.Nunnally@stb.gov. Assistance
for the hearing impaired is available
through the Federal Relay Service at
(800) 877–8339.
SUPPLEMENTARY INFORMATION: RETAC
was formed in 2007 to provide advice
and guidance to the Board, and to serve
as a forum for discussion of emerging
issues related to the transportation of
energy resources by rail, including coal,
ethanol, and other biofuels.
Establishment of a Rail Energy Transp.
Advisory Comm., EP 670 (STB served
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SUMMARY:
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17:34 Apr 05, 2021
Jkt 253001
July 17, 2007). The purpose of this
meeting is to facilitate discussions
regarding issues of interest, including
rail service, infrastructure planning and
development, and effective coordination
among suppliers, rail carriers, and users
of energy resources. Agenda items for
this meeting may include a rail
performance measures review, industry
segment updates by RETAC members,
and a roundtable discussion.
The meeting, which is open to the
public via Zoom, will be conducted in
accordance with the Federal Advisory
Committee Act, 5 U.S.C. app. 2; Federal
Advisory Committee Management
regulations, 41 CFR 102–3; the RETAC
charter; and Board procedures. Members
of the public who wish to attend this
meeting must register in advance of the
meeting. The registration link is
provided on the Board’s website at
https://prod.stb.gov/resources/
stakeholder-committees/retac/.
Registrations will be accepted on a
space-available basis. Further
communications about this meeting will
be announced through the Board’s
website at www.stb.gov.
Public Comments: Members of the
public may submit written comments to
RETAC at any time. Comments should
be addressed to RETAC, c/o Kristen
Nunnally, Surface Transportation
Board, 395 E Street SW, Washington, DC
20423–0001 or Kristen.Nunnally@
stb.gov.
Authority: 49 U.S.C. 1321, 49 U.S.C.
11101; 49 U.S.C. 11121.
Decided: April 1, 2021.
By the Board, Allison C. Davis, Director,
Office of Proceedings.
Aretha Laws-Byrum,
Clearance Clerk.
[FR Doc. 2021–07041 Filed 4–5–21; 8:45 am]
BILLING CODE 4915–01–P
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Sfmt 4703
DEPARTMENT OF TRANSPORTATION
Federal Motor Carrier Safety
Administration
[Docket No. FMCSA–2020–0196]
Parts and Accessories Necessary for
Safe Operation; Application for an
Exemption From Bendix Commercial
Vehicle Systems, LLC
Federal Motor Carrier Safety
Administration (FMCSA), DOT.
ACTION: Notice of final disposition; grant
of exemption.
AGENCY:
The Federal Motor Carrier
Safety Administration (FMCSA)
announces its decision to grant the
application of Bendix Commercial
Vehicle Systems, LLC (Bendix) for a
limited five-year exemption to allow its
Bendix Advance Driver Assistance
Systems (ADAS) technology to be
mounted lower in the windshield on
commercial motor vehicles (CMV) than
is currently permitted. The Agency has
determined that lower placement of the
ADAS technology would not have an
adverse impact on safety and that
adherence to the terms and conditions
of the exemption would likely achieve
a level of safety equivalent to, or greater
than, the level of safety provided by the
regulation.
DATES: This exemption is effective April
6, 2021 and expires April 6, 2026.
FOR FURTHER INFORMATION CONTACT: Mr.
Jose´ R. Cestero, Vehicle and Roadside
Operations Division, Office of Carrier,
Driver, and Vehicle Safety, MC–PSV,
(202) 366–5541, Federal Motor Carrier
Safety Administration, 1200 New Jersey
Avenue SE, Washington, DC 20590–
0001.
Docket: For access to the docket to
read background documents or
SUMMARY:
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]]>Agencies
[Federal Register Volume 86, Number 64 (Tuesday, April 6, 2021)]
[Notices]
[Pages 17874-17877]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2021-06975]
=======================================================================
-----------------------------------------------------------------------
SOCIAL SECURITY ADMINISTRATION
[Docket No: SSA-2021-0007]
Agency Information Collection Activities: Proposed Request
The Social Security Administration (SSA) publishes a list of
information collection packages requiring clearance by the Office of
Management and Budget (OMB) in compliance with Public Law 104-13, the
Paperwork Reduction Act of 1995, effective October 1, 1995. This notice
includes revisions 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 ways to minimize burden
on respondents, including the use of automated collection techniques or
other forms of information technology. Mail, email, or fax your
comments and recommendations on the information collection(s) to the
OMB Desk Officer and SSA Reports Clearance Officer at the following
addresses or fax numbers.
(OMB) Office of Management and Budget, Attn: Desk Officer for SSA
Comments: https://www.reginfo.gov/public/do/PRAMain. Submit your
comments online, referencing Docket ID Number [SSA-2021-0007].
(SSA) Social Security Administration, OLCA, Attn: Reports Clearance
Director, 3100 West High Rise, 6401 Security Blvd., Baltimore, MD
21235, Fax: 410-966-2830, Email address: [email protected]
Or you may submit your comments online through https://www.reginfo.gov/public/do/PRAMain, referencing Docket ID Number [SSA-
2021-0007].
The information collections below are pending at SSA. SSA will
submit them to OMB within 60 days from the date of this notice. To be
sure we consider your comments, we must receive them no later than June
7, 2021. Individuals can obtain copies of the collection instruments by
writing to the above email address.
1. Application for Mother's or Father's Insurance Benefits--20 CFR
404.339-
[[Page 17875]]
404.342, 20 CFR 404.601-404.603--0960-0003. Section 202(g) of the
Social Security Act (Act) provides for the payment of monthly benefits
to the widow or widower of an insured individual if the surviving
spouse is caring for the deceased worker's child (who is entitled to
Social Security benefits). The Social Security Administration (SSA)
uses the information on Form SSA-5-BK to determine an individual's
eligibility for mother's or father's insurance benefits. The
respondents are individuals caring for a child of the deceased worker
who is applying for mother's or father's insurance benefits under the
Old Age, Survivors, and Disability Insurance program.
Type of Request: Revision of an OMB-approved information
collection.
--------------------------------------------------------------------------------------------------------------------------------------------------------
Estimated Average Average wait Total annual
Number of Frequency of Average burden total annual theoretical time in field opportunity
Modality of completion respondents response per response burden (hours) cost amount office cost (dollars)
(minutes) for responses (dollars) * (minutes) ** ***
--------------------------------------------------------------------------------------------------------------------------------------------------------
SSA-5-BK (Paper)........................ 28 1 15 7 * $25.72 .............. *** $180
SSA-5 (Personal Interview).............. 23,123 1 15 5,781 * $25.72 ** 24 *** $386,572
Total............................... 23,151 .............. .............. 5,788 .............. .............. *** $386,752
--------------------------------------------------------------------------------------------------------------------------------------------------------
* We based this figure on the average hourly wage for all occupations in May 2019 as reported by the U.S. Bureau of Labor Statistics (https://www.bls.gov/oes/current/oes_nat.htm#00-0000).
** We based this figure on the average FY 2020 wait times for field offices, based on SSA's current management information data.
*** This figure does not represent actual costs that SSA is imposing on recipients of Social Security payments to complete this application; rather,
these are theoretical opportunity costs for the additional time respondents will spend to complete the application. There is no actual charge to
respondents to complete the application.
2. Claim for Amounts Due in the Case of a Deceased Beneficiary--20
CFR 404.503(b)--0960-0101. Section 204(d) of the Act provides that if
an individual dies before payment under Title II is complete, or before
a Medicare premium refund is due, SSA will pay the amount due
(including the amount of any check not negotiated) to people who meet
specified qualifications under an order of priority. When a Social
Security payment, or Medicare premium, was due to a deceased
beneficiary at the time of death, and there is insufficient information
in the file to identify the people entitled to the payment, or their
addresses, SSA asks the surviving spouse, next of kin, or legal
representative of the estate to complete Form SSA-1724, Claim for
Amounts Due in the Case of a Deceased Beneficiary. SSA collects the
information when a surviving child(ren), parent(s), or spouse is not
already entitled to a monthly benefit on the same earnings record, or
is not filing for a lump-sum death payment as a former spouse. SSA uses
the information Form SSA-1724 provides to ensure proper payment of an
underpayment due to a deceased beneficiary. The respondents are
applicants for Title II underpayments or Medicare premium refunds owed
to deceased beneficiaries.
Type of Request: Revision of an OMB-approved information
collection.
--------------------------------------------------------------------------------------------------------------------------------------------------------
Average
Average burden Estimated theoretical Average wait Total annual
Modality of completion Number of Frequency of per response total annual hourly cost time in field opportunity
respondents response (minutes) burden (hours) amount office cost (dollars)
(dollars)* (minutes) ** ***
--------------------------------------------------------------------------------------------------------------------------------------------------------
SSA-1724................................ 250,000 1 10 41,667 * $25.72 ** 24 *** $3,643,675
--------------------------------------------------------------------------------------------------------------------------------------------------------
* We based this figure on the average hourly wage for all occupations in May 2019 as reported by the U.S. Bureau of Labor Statistics (https://www.bls.gov/oes/current/oes_nat.htm#00-0000).
** We based this figure on the average FY 2020 wait times for field offices, based on SSA's current management information data.
*** This figure does not represent actual costs that SSA is imposing on recipients of Social Security payments to complete this application; rather,
these are theoretical opportunity costs for the additional time respondents will spend to complete the application. There is no actual charge to
respondents to complete the application.
3. Claimant's Recent Medical Treatment--20 CFR 404.1512 and
416.912--0960-0292. Claimants have a right to request a hearing before
an administrative law judge (ALJ). For the hearing, SSA asks the
claimant to complete and return the HA-4631 if the claimant's file does
not reflect a current, complete medical history as the claimant
proceeds through the appeals process. ALJs obtain the information to
update and complete the record and to verify the accuracy of the
information. Through this process, ALJs can ascertain whether the
claimant's situation has changed. The ALJs and hearing office staff use
the response to make arrangements for consultative examination(s) and
the attendance of an expert witness(es), if appropriate. During the
hearing, the ALJ offers any completed questionnaires as exhibits and
may use them to: (1) Refresh the claimant's memory, and (2) shape their
questions. The respondents are claimant's requesting hearings on
entitlement to OASDI benefits or Supplemental Security Income (SSI)
payments.
Type of Request: Revision of an OMB-approved information
collection.
[[Page 17876]]
--------------------------------------------------------------------------------------------------------------------------------------------------------
Average
Average burden Estimated theoretical Average wait Total annual
Modality of completion Number of Frequency of per response total annual hourly cost time in field opportunity
respondents response (minutes) burden (hours) amount office cost (dollars)
(dollars) * (minutes) ** ***
--------------------------------------------------------------------------------------------------------------------------------------------------------
HA-4631-PDF/paper version............... 53,200 1 10 8,867 * $10.95 ** 24 *** $330,110
Electronic Records Express Submissions.. 136,800 1 10 22,800 * $25.72 .............. *** $586,416
Totals.............................. 190,000 .............. .............. 31,667 .............. .............. *** $916,526
--------------------------------------------------------------------------------------------------------------------------------------------------------
* We based these figures on average DI hourly wages based on SSA's current FY 2020 SSI data (https://www.ssa.gov/legislation/2021FactSheet.pdf) and on
the average U.S. citizen's hourly salary, as reported by Bureau of Labor Statistics data (https://www.bls.gov/oes/current/oes_stru.htm).
** We based this figure on the average FY 2020 wait times for field offices, based on SSA's current management information data.
*** This figure does not represent actual costs that SSA is imposing on recipients of Social Security payments to complete this application; rather,
these are theoretical opportunity costs for the additional time respondents will spend to complete the application. There is no actual charge to
respondents to complete the application.
4. Request for Reconsideration--Disability Cessation--20 CFR
404.909, 404.1597(b), 416.995, & 416.1409--0960-0349. When SSA
determines that claimants' disabilities medically improved; ceased; or
are no longer sufficiently disabling, these claimants may ask SSA to
reconsider that determination. SSA uses Form SSA-789 to arrange for a
hearing or to prepare a decision based on the evidence of record.
Specifically, claimants or their representatives use Form SSA-789 to:
(1) Ask SSA to reconsider a determination; (2) indicate if they wish to
appear at a disability hearing;
(3) submit any additional information or evidence for use in the
reconsidered determination; and (4) indicate if they will need an
interpreter for the hearing. The respondents are disability claimants
for Social Security benefits or Supplemental Security Income (SSI)
payments who wish to appeal an unfavorable disability cessation
determination.
Type of Request: Revision of an OMB-approved information
collection.
--------------------------------------------------------------------------------------------------------------------------------------------------------
Average
Average burden Estimated theoretical Average wait Total annual
Modality of completion Number of Frequency of per response total annual hourly cost time in field opportunity
respondents response (minutes) burden (hours) amount office cost (dollars)
(dollars) * (minutes) ** ***
--------------------------------------------------------------------------------------------------------------------------------------------------------
SSA-789................................. 49,000 1 13 10,617 * $10.95 ** 24 *** $330,876
--------------------------------------------------------------------------------------------------------------------------------------------------------
* We based this figure on average DI payments based on SSA's current FY 2021 data (https://www.ssa.gov/legislation/2021FactSheet.pdf).
** We based this figure on the average FY 2020 wait times for field offices, based on SSA's current management information data.
*** This figure does not represent actual costs that SSA is imposing on recipients of Social Security payments to complete this application; rather,
these are theoretical opportunity costs for the additional time respondents will spend to complete the application. There is no actual charge to
respondents to complete the application.
5. Waiver of Right to Appear--Disability Hearing--20 CFR 404.913,
404.914, 404.916(b)(5), 416.1413-416.1414, 416.1416(b)(5)--0960-0534.
Claimants for Social Security disability payments or their
representatives can use Form SSA-773-U4 to waive their right to appear
at a disability hearing. The disability hearing officer uses the signed
form as a basis for not holding a hearing, and for preparing a written
decision on the claimant's request for disability payments based solely
on the evidence of record. The respondents are disability claimants for
Social Security benefits or SSI payments, or their representatives, who
wish to waive their right to appear at a disability hearing.
Type of Request: Revision of an OMB-approved information
collection.
--------------------------------------------------------------------------------------------------------------------------------------------------------
Average
Average burden Estimated theoretical Average wait Total annual
Modality of completion Number of Frequency of per response total annual hourly cost time in field opportunity
respondents response (minutes) burden (hours) amount office cost (dollars)
(dollars) * (minutes) ** ***
--------------------------------------------------------------------------------------------------------------------------------------------------------
SSA-773-U4.............................. 200 1 3 10 * $10.95 ** 24 *** $986
--------------------------------------------------------------------------------------------------------------------------------------------------------
* We based this figure on average DI payments based on SSA's current FY 2021 data (https://www.ssa.gov/legislation/2021FactSheet.pdf).
** We based this figure on the average FY 2020 wait times for field offices, based on SSA's current management information data.
*** This figure does not represent actual costs that SSA is imposing on recipients of Social Security payments to complete this application; rather,
these are theoretical opportunity costs for the additional time respondents will spend to complete the application. There is no actual charge to
respondents to complete the application.
6. Prohibition of Payment of SSI Benefits to Fugitive Felons and
Parole/Probation Violators--20 CFR 416.708(o)--0960-0617.
Section 1611(e)(4) of the Act precludes eligibility for SSI
payments for certain fugitives and probation or parole violators. Our
regulation at 20 CFR 416.708(o) requires individuals applying for or
receiving SSI to report to SSA that: (1) They are fleeing to avoid
prosecution for a crime; (2) they are fleeing to avoid custody or
confinement after conviction of a crime; or (3) they are violating a
condition of probation or parole. In addition, due to the
implementation of the Martinez v. Astrue and Clark v. Astrue cases, we
changed our policy to deny eligibility or suspend payments for three
fleeing codes. We use the information we
[[Page 17877]]
receive to determine eligibility on an initial claim for SSI payments
or a redetermination of existing recipients. The collection is
mandatory to ensure that an applicant or recipient does not have a
warrant for one of the three fleeing codes. If the respondent has a
warrant for one of the three fleeing codes, SSA uses this information
to deny payments. The respondents are SSI applicants and recipients, or
their representative payees, who are reporting their status as a
fugitive felon or probation or parole violator.
Type of Request: Revision of an OMB-approved information
collection.
--------------------------------------------------------------------------------------------------------------------------------------------------------
Average
Average burden Estimated theoretical Total annual
Modality of completion Number of Frequency of per response total annual hourly cost opportunity
respondents response (minutes) burden (hours) amount cost (dollars)
(dollars) * **
--------------------------------------------------------------------------------------------------------------------------------------------------------
Fugitive Felon and Parole or Probation Violation screens 1,000 1 1 17 * $25.72 ** $437
within the SSI Claims System...........................
--------------------------------------------------------------------------------------------------------------------------------------------------------
* We based this figure on the average hourly wage for all occupations in May 2019 as reported by the U.S. Bureau of Labor Statistics (https://www.bls.gov/oes/current/oes_nat.htm#00-0000).
** This figure does not represent actual costs that SSA is imposing on recipients of Social Security payments to complete this application; rather,
these are theoretical opportunity costs for the additional time respondents will spend to complete the application. There is no actual charge to
respondents to complete the application.
Dated: March 31, 2021.
Eric Lowman,
Acting Reports Clearance Officer, Office of Legislative Development and
Operations, Social Security Administration.
[FR Doc. 2021-06975 Filed 4-5-21; 8:45 am]
BILLING CODE 4191-02-P
