Federal Register / Vol. 83, No. 151 / Monday, August 6, 2018 / Notices 38441 

54See Order Approving Tier Size Pilot, supra 

note 10, 77 FR at 37466. 

55See id. at 37469. 

56See id. at 37469 n.168 (citing, among other 

things, the Commission’s 1996 Order Handling 

Rules Release). 

57See supra note 4. 

58See id. at 2. 

59 Id. The minimum quotation size requirement 

increased for those securities prices between 

$0.0001 and $0.0999. These securities are included 

in the lowest tier which requires a minimum 

quotation size of 10,000 shares. 

60 15 U.S.C. 78s(b)(2). 

61 17 CFR 200.30–3(a)(12). 

member or person associated with a 

member, and the persons to whom such 

quotations may be supplied. 

As stated in the Notice, FINRA 

believes that making the Pilot tiers 

permanent would promote just and 

equitable principles of trade and protect 

investors and the public interest. FINRA 

believes that the 2013 Assessment and 

subsequent observations demonstrate 

that the Pilot has resulted in an 

increased display of customer limit 

orders. FINRA notes that the 2013 

Assessment found a 13% increase in the 

number of customer limit orders that 

met the minimum quotation sizes 

eligible for display across all Pilot tiers, 

and FINRA’s updated data through July 

2014 shows an even greater increase of 

18.45% than otherwise would have 

been eligible for display. The increase in 

customer limit orders eligible for 

display was significant in tiers that 

make up substantial percentages of the 

overall volume transacted in OTC equity 

securities. 

In the Notice, FINRA further states its 

belief that any concerns about market 

quality raised by public commenters 

prior to the Commission’s approval of 

the Pilot have not materialized. In fact, 

FINRA states that it believes that the 

Pilot has had a positive impact on OTC 

market quality for the majority of OTC 

equity securities and the tiers set forth 

in the Pilot. FINRA believes that the 

Pilot data shows overall a slight 

reduction in spreads for most OTC 

equity securities with no negative (and 

perhaps a positive) impact on liquidity. 

When the Commission approved the 

Pilot, it emphasized the potential 

benefit of increasing customer limit 

order display. For instance, the 

Commission noted that increased limit 

order display potentially could improve 

the prices at which customer limit 

orders would be executed, consistent 

with the protection of investors and the 

public interest.54 The Commission also 

stated its belief that greater customer 

limit order display could increase quote 

competition, narrow spreads, and 

increase the likelihood of price 

improvement for OTC equity 

securities.55 The Commission has 

maintained a longstanding view that 

there are benefits to promoting customer 

limit order display.56

As noted above, the sole commenter 

on the proposed rule change is 

concerned that when a firm is quoting 

on an unsolicited basis in certain 

securities, the Pilot tier sizes work to 

restrict customers from being able to 

trade their positions if the unsolicited 

customer order does not meet FINRA’s 

minimum tier size requirements.57 The 

Commission notes that FINRA’s 2013 

Assessment and its subsequent 

assessment for the period covering July 

1, 2013 through July 31, 2014 indicate 

that there was a meaningful increase in 

the number of customer limit orders 

eligible for display. The Commission 

agrees with FINRA that the minimum 

tier size requirements of FINRA Rule 

6433, which have been in place on a 

Pilot basis, achieve a reasonable balance 

between fostering customer limit order 

display and facilitating a meaningful 

minimum dollar-value commitment to 

the market for all displayed quotations. 

The Commission believes that the 

Pilot has accomplished its intended 

objectives and has realized its 

anticipated benefits, including greater 

customer limit order display. At the 

same time, market quality indicators 

during the Pilot suggest that the revised 

tiers and evidence of greater customer 

limit order display did not result in a 

harmful reduction in liquidity for OTC 

equity securities. The Commission 

believes that these results are consistent 

with FINRA’s assessment that the Pilot 

has had a neutral to positive impact on 

liquidity for the majority of OTC equity 

securities and price tiers.58 At the same 

time, the Commission notes that there is 

inconclusive evidence regarding the 

effects of the Pilot on liquidity for the 

price tier for which the minimum 

quotation size requirement was 

increased.59 In light of the foregoing, the 

Commission believes that it is 

consistent with the Act to adopt the 

Pilot tiers, which have been in effect for 

nearly six years, on a permanent basis. 

IV. Conclusion 

It is therefore ordered pursuant to 

Section 19(b)(2) 60 of the Exchange Act 

that the proposal (SR–FINRA–2018– 

015) be and hereby is approved. 

For the Commission, by the Division of 

Trading and Markets, pursuant to delegated 

authority.61

Robert W. Errett, 

Deputy Secretary. 

[FR Doc. 2018–16724 Filed 8–3–18; 8:45 am] 

BILLING CODE 8011–01–P 

SOCIAL SECURITY ADMINISTRATION 

[Docket No: SSA–2018–0044] 

Agency Information Collection 

Activities: Proposed Request and 

Comment 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 a new 

information collection, extensions and 

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, 

Fax: 202–395–6974, Email address: 

OIRA_Submission@omb.eop.gov 

(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 www.regulations.gov, 

referencing Docket ID Number [SSA– 

2018–0044]. 

I. 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 October 5, 

2018. Individuals can obtain copies of 

the collection instruments by writing to 

the above email address. 

1. Certificate of Support—20 CFR 

404.370, 404.750, 404.408a—0960– 

0001. A parent of a deceased, fully 

insured worker may be entitled to Social 

Security Old-Age, Survivors, and 

Disability Insurance (OASDI) benefits 

based on the earnings record of the 

deceased worker under certain 

conditions. One of the conditions is the 

parent receives at least one-half support 

from the deceased worker. The one-half 

support requirement also applies to a 

spousal applicant in determining 


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whether OASDI benefits are subject to 

Government Pension Offset (GPO). SSA 

uses Form SSA–760–F4 to determine if 

the parent of a deceased worker or a 

spouse applicant meets the one-half 

support requirement. Respondents are 

parents of deceased workers, and 

spouses who may meet the GPO 

exception. 

Type of Request: Revision of an OMBapproved information collection. 

Modality of completion Number of 

respondents 

Frequency 

of response 

Average 

burden per 

response 

(minutes) 

Estimated 

total annual 

burden 

(hours) 

SSA–760–F4 .................................................................................................... 18,000 1 15 4,500

2. Application for Supplemental 

Security Income—20 CFR 416.207 and 

416.305–416.335, Subpart C—0960– 

0229. The Supplemental Security 

Income (SSI) program provides aged, 

blind, and disabled individuals who 

have little or no income, with funds for 

food, clothing, and shelter. Individuals 

complete Form SSA–8000–BK to apply 

for SSI. SSA uses the information from 

Form SSA–8000–BK, and its electronic 

Intranet counterpart, the SSI Claims 

System, to: (1) Determine whether SSI 

claimants meet all statutory and 

regulatory eligibility requirements; and 

(2) calculate SSI payment amounts. The 

respondents are applicants for SSI or 

their representative payees. 

Type of Request: Revision of an OMBapproved information collection. 

Modality of completion Number of 

respondents 

Frequency 

of response 

Average 

burden per 

response 

(minutes) 

Estimated 

total annual 

burden 

(hours) 

SSI Claims System .......................................................................................... 1,212,512 1 35 707,299 

SSA–8000 (Paper Form) ................................................................................. 20,941 1 41 14,310 

Totals ........................................................................................................ 1,233,453 ........................ ........................ 721,609 

3. Statement of Household Expenses 

and Contributions—20 CFR 416.1130– 

416.1148—0960–0456. SSA bases 

eligibility for SSI on the needs of the 

recipient. In part, we assess need by 

determining the amount of income a 

recipient receives. This income includes 

in-kind support and maintenance in the 

form of food and shelter owners 

provide. SSA uses Form SSA–8011–F3 

to determine whether the claimant or 

recipient receives in-kind support and 

maintenance. This is necessary to 

determine: (1) The claimant’s or 

recipient’s eligibility for SSI, and (2) the 

SSI payment amount. SSA only uses 

this form in cases where SSA needs the 

householder’s (head of household) 

corroboration of in-kind support and 

maintenance. The SSA–8011–F3 

provides information, which could 

affect SSI eligibility and payment 

amount. The claim specialist collects 

the information on Form SSA–8011–F3 

through telephone contact with the 

respondent, or through face-to-face 

interviews. The claims specialist 

records the information in our 

electronic SSI Claims System. When we 

use this procedure we do not use a 

paper Form SSA–8011–F3, and we do 

not need a wet signature, rather we 

require verbal attestation. However, 

when we use a paper form, we ensure 

the appropriate person, i.e., the 

householder signs the form, and then 

the claims specialist documents the 

information in the SSI Claims System; 

faxes the form into the appropriate 

electronic folder; and shreds form. 

Respondents are householders of homes 

in which an SSI applicant or recipient 

resides. 

Type of Request: Revision of an OMBapproved information collection. 

Modality of completion Number of 

respondents 

Frequency 

of response 

Average 

burden per 

response 

(minutes) 

Estimated 

total annual 

burden 

(hours) 

SSA–8011–F3 (Paper Version) ....................................................................... 8,233 1 15 2,058 

SSA–8011–F3 (SSI Claims System) ............................................................... 417,025 1 15 104,256 

Total .......................................................................................................... 425,258 ........................ ........................ 106,314 

4. Integrated Registration Services 

(IRES) System—20 CFR 401.45—0960– 

0626. The IRES System verifies the 

identity of individuals, businesses, 

organizations, entities, and government 

agencies seeking to use SSA’s secured 

internet and telephone applications. 

Individuals need this verification to 

electronically request and exchange 

business data with SSA. Requestors 

provide SSA with the information 

needed to establish their identities. 

Once SSA verifies identity, the IRES 

system issues the requestor a user 

identification number and a password to 

conduct business with SSA. 

Respondents are employers; employees; 

third party submitters of wage data 

business entities providing taxpayer 

identification information; appointed 

representatives; representative payees; 

and data exchange partners conducting 

business in support of SSA programs. 

Type of Request: Revision of an OMBapproved information collection. 


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Modality of completion Number of 

respondents 

Frequency 

of response 

Average 

burden per 

response 

(minutes) 

Estimated 

total annual 

burden 

(hours) 

IRES Internet Registrations ............................................................................. 611,296 1 5 50,941 

IRES Internet Requestors ................................................................................ 15,692,525 1 2 523,084 

IRES CS (CSA) Registrations ......................................................................... 20,621 1 11 3,781 

Totals ........................................................................................................ 16,324,442 ........................ ........................ 577,806 

5. Request for Reinstatement (Title 

II)—20 CFR 404.1592b–404.1592f— 

0960–0742. SSA allows certain 

previously entitled disability 

beneficiaries to request expedited 

reinstatement (EXR) of benefits under 

Title II of the Social Security Act (Act) 

when their medical condition no longer 

permits them to perform substantial 

gainful activity. SSA uses Form SSA– 

371 to obtain: (1) A signed statement 

from individuals requesting an EXR of 

their Title II disability benefits; and (2) 

proof the requestors meet the EXR 

requirements. SSA maintains the form 

in the disability folder of the applicant 

to demonstrate the requestors’ 

awareness of the EXR requirements, and 

their choice to request EXR. 

Respondents are applicants for EXR of 

Title II disability benefits. 

Type of Request: Revision of an OMBapproved information collection. 

Modality of completion Number of 

respondents 

Frequency 

of response 

Average 

burden per 

response 

(minutes) 

Estimated 

total annual 

burden 

(hours) 

SSA–371 .......................................................................................................... 10,000 1 2 333

6. Important Information About Your 

Appeal, Waiver Rights, and Repayment 

Options—20 CFR 404.502–521—0960– 

0779. When SSA accidentally overpays 

beneficiaries, the agency informs them 

of the following rights: (1) The right to 

reconsideration of the overpayment 

determination; (2) the right to request a 

waiver of recovery and the automatic 

scheduling of a personal conference if 

SSA cannot approve a request for 

waiver; and (3) the availability of a 

different rate of withholding when SSA 

proposes the full withholding rate. SSA 

uses Form SSA–3105, Important 

Information About Your Appeal, Waiver 

Rights, and Repayment Options, to 

explain these rights to overpaid 

individuals and allow them to notify 

SSA of their decision(s) regarding these 

rights. The respondents are overpaid 

current, or former, beneficiaries 

requesting a waiver of recovery for the 

overpayment; reconsideration of the fact 

of the overpayment; or a lesser rate of 

withholding of the overpayment. 

Type of Request: Revision of an OMBapproved information collection. 

Modality of completion Number of 

respondents 

Frequency 

of response 

Average 

burden per 

response 

(minutes) 

Estimated 

total annual 

burden 

(hours) 

SSA–3105 Paper form ..................................................................................... 500,000 1 15 125,000 

Debt Management System .............................................................................. 200,000 1 15 50,000 

Totals ........................................................................................................ 700,000 ........................ ........................ 175,000 

II. SSA submitted the information 

collections below to OMB for clearance. 

Your comments regarding these 

information collections would be most 

useful if OMB and SSA receive them 30 

days from the date of this publication. 

To be sure we consider your comments, 

we must receive them no later than 

September 5, 2018. Individuals can 

obtain copies of the OMB clearance 

packages by writing to 

OR.Reports.Clearance@ssa.gov. 

1. Fee Agreement for Representation 

before the Social Security 

Administration—0960–NEW. Under the 

Act, SSA requires individuals who 

represent a claimant before the agency 

and want to receive a fee for their 

services to obtain SSA’s authorization of 

the fee. One way to obtain the 

authorization is to submit the fee 

agreement. To facilitate this process, 

individuals can use Form SSA–1693. 

SSA uses the information from the 

SSA–1693 to review the request and 

authorize any fee to representatives who 

seek to charge and collect a fee from a 

claimant. The respondents are the 

representatives who help claimants 

through the application process. 

Type of Request: Request for a new 

information collection. 

Modality of completion Number of 

respondents 

Frequency 

of response 

Average 

burden per 

response 

(minutes) 

Estimated 

total annual 

burden 

(hours) 

SSA–1693 ........................................................................................................ 600,000 1 12 120,000 


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2. Request for Waiver of Overpayment 

Recovery and Request for Change in 

Overpayment Recovery Rate—20 CFR 

404.502, 404.506–404.512, 416.550– 

416.558, and 416.570–416.571—0960– 

0037. When Social Security 

beneficiaries and SSI recipients receive 

an overpayment, they must return the 

extra money. These beneficiaries and 

recipients can use Form SSA–632–BK to 

request a waiver from repaying their 

overpayment. Beneficiaries and 

recipients can also use Form SSA–634 

to request a change to the monthly 

recovery rate of their overpayment. The 

respondents must provide financial 

information to help the agency 

determine how much the overpaid 

person can afford to repay each month. 

Respondents are overpaid Social 

Security beneficiaries or SSI recipients 

who are requesting: (1) A waiver of 

recovery of an overpayment, or (2) a 

lesser rate of withholding. 

Type of Request: Revision of an OMBapproved information collection. 

Modality of completion Number of 

respondents 

Frequency 

of response 

Average 

burden per 

response 

(minutes) 

Estimated 

total annual 

burden 

(hours) 

SSA–632—Waiver of Overpayment (If completing entire paper form, including the AFI authorization) ............................................................................. 400,000 1 120 800,000 

Regional Application (New York Debt Management) ...................................... 30,000 1 120 60,000 

Internet Instructions ......................................................................................... 430,000 1 5 35,833 

SSA–634—Requesting change in repayment rate (completing paper form) .. 100,000 1 45 75,000 

Internet Instructions ......................................................................................... 100,000 1 5 8,333

Totals ........................................................................................................ 1,060,000 ........................ ........................ 979,166 

3. Employment Relationship 

Questionnaire—20 CFR 404.1007— 

0960–0040. When SSA needs 

information to determine a worker’s 

employment status for the purpose of 

maintaining a worker’s earning records, 

the agency uses Form SSA–7160–F4 to 

determine the existence of an employeremployee relationship. We use the 

information to develop the employment 

relationship; specifically, to determine 

whether a beneficiary is self-employed 

or an employee. The respondents are 

individuals seeking to establish their 

status as employees, and their alleged 

employers. 

Type of Request: Revision of an OMBapproved information collection. 

Modality of completion Number of 

respondents 

Frequency 

of response 

Average 

burden per 

response 

(minutes) 

Estimated 

total annual 

burden 

(hours) 

Individuals ........................................................................................................ 8,000 1 25 3,333 

Businesses ....................................................................................................... 7,200 1 25 3,000 

State/Local Government .................................................................................. 800 1 25 333 

Totals ........................................................................................................ 16,000 ........................ ........................ 6,666 

4. State Supplementation Provisions: 

Agreement; Payments—20 CFR 

416.2095–416.2098, and 20 CFR 

416.2099—0960–0240. Section 1618 of 

the Act requires those states 

administering their own supplementary 

income payment program(s) to 

demonstrate compliance with the Act by 

passing Federal cost-of-living increases 

on to individuals who are eligible for 

state supplementary payments, and 

informing SSA of their compliance. In 

general, states report their 

supplementary payment information 

annually by the maintenance-ofpayment levels method. However, SSA 

may ask them to report up to four times 

in a year by the total-expenditures 

method. Regardless of the method, the 

states confirm their compliance with the 

requirements, and provide any changes 

to their optional supplementary 

payment rates. SSA uses the 

information to determine each state’s 

compliance or noncompliance with the 

pass-along requirements of the Act to 

determine eligibility for Medicaid 

reimbursement. If a state fails to keep 

payments at the required level, it 

becomes ineligible for Medicaid 

reimbursement under Title XIX of the 

Act. Respondents are state agencies 

administering supplemental programs. 

Type of Request: Extension of an 

OMB-approved information collection. 

Modality of completion Number of 

responses 

Frequency 

of response 

Number of 

responses 

Average 

burden per 

response 

(minutes) 

Estimated 

total annual 

burden 

(hours) 

Total Expenditures ............................................................... 7 4 28 60 28 

Maintenance of Payment Levels ......................................... 26 1 26 60 26 

Total .............................................................................. 33 ........................ ........................ ........................ 54 

5. Substitution of Party Upon Death of 

Claimant—20 CFR 404.957(c)(4) and 

416.1457(c)(4)—0960–0288. An 

administrative law judge (ALJ) may 

dismiss a request for a hearing on a 

pending claim of a deceased individual 

for Social Security benefits or SSI 

payments. Individuals who believe the 

dismissal may adversely affect them 

may complete Form HA–539, which 

allows them to request to become a 

substitute party for the deceased 


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claimant. The ALJs and the hearing 

office support staff use the information 

from the HA–539 to: (1) Maintain a 

written record of request; (2) establish 

the relationship of the requester to the 

deceased claimant; (3) determine the 

substituted individual’s wishes 

regarding an oral hearing or decision on 

the record; and (4) admit the data into 

the claimant’s official record as an 

exhibit. The respondents are individuals 

requesting to be substitute parties for a 

deceased claimant. 

Type of Request: Revision of an OMBapproved information collection. 

Modality of completion Number of 

respondents 

Frequency 

of response 

Average 

burden per 

response 

(minutes) 

Estimated 

total annual 

burden 

(hours) 

HA–539 ............................................................................................................ 4,000 1 5 333

6. Claimant Statement about Loan of 

Food or Shelter; Statement about Food 

or Shelter Provided to Another—20 CFR 

416.1130–416.1148—0960–0529. SSA 

bases an SSI claimant or recipient’s 

eligibility on need, as measured by the 

amount of income an individual 

receives. Per our calculations, income 

includes other people providing in-kind 

support and maintenance in the form of 

food and shelter to SSI applicants or 

recipients. SSA uses Forms SSA–5062 

and SSA–L5063 to obtain statements 

about food or shelter provided to SSI 

claimants or recipients. SSA uses this 

information to determine whether food 

or shelters are bona fide loans or income 

for SSI purposes. This determination 

may affect claimants’ or recipients’ 

eligibility for SSI as well as the amounts 

of their SSI payments. The respondents 

are claimants and recipients for SSI 

payments, and individuals who provide 

loans of food or shelter to them. 

Type of Request: Revision of an OMBapproved information collection. 

Modality of completion Number of 

respondents 

Frequency 

of response 

Average 

burden per 

response 

(minutes) 

Estimated 

total annual 

burden 

(hours) 

SSA–5062 Paper Form ................................................................................... 30,632 1 10 5,105 

SSA–L5063 Paper Form ................................................................................. 30,632 1 10 5,105 

SSA–5062 SSI Claims System ....................................................................... 30,632 1 10 5,105 

SSA–L5063 SSI Claims System ...................................................................... 30,632 1 10 5,105 

Total .......................................................................................................... 122,528 ........................ ........................ 20,420 

7. Application for Circuit Court Law— 

20 CFR 404.985 & 416.1458—0960– 

0581. People claiming an acquiescence 

ruling (AR) would change SSA’s prior 

determination or decision must submit 

a written readjudication request with 

specific information. SSA reviews the 

information in the requests to determine 

if the issues stated in the AR pertain to 

the claimant’s case, and if the claimant 

is entitled to readjudication. If 

readjudication is appropriate, SSA 

considers the issues the AR covers. Any 

new determination or decision is subject 

to administrative or judicial review as 

specified in the regulations, and the 

claimants must provide information to 

request readjudication. Respondents are 

claimants for Social Security benefits 

and SSI payments who request 

readjudication. 

Type of Request: Extension of an 

OMB-approved information collection. 

Modality of completion Number of 

respondents 

Frequency 

of response 

Average 

burden per 

response 

(minutes) 

Estimated 

total annual 

burden 

(hours) 

AR-based Readjudication Requests ................................................................ 10,000 1 17 2,833 

8. Testimony by Employees and the 

Production of Records and Information 

in Legal Proceedings—20 CFR 403.100– 

403.155—0960–0619. Regulations at 20 

CFR 403.100–403.155 of the Code of 

Federal Regulations establish SSA’s 

policies and procedures for an 

individual; organization; or government 

entity to request official agency 

information, records, or testimony of an 

agency employee in a legal proceeding 

when the agency is not a party. The 

request, which respondents submit in 

writing to SSA, must: (1) Fully set out 

the nature and relevance of the sought 

testimony; (2) explain why the 

information is not available by other 

means; (3) explain why it is in SSA’s 

interest to provide the testimony; and 

(4) provide the date, time, and place for 

the testimony. Respondents are 

individuals or entities who request 

testimony from SSA employees in 

connection with a legal proceeding. 

Type of Request: Extension of an 

OMB-approved information collection. 

Modality of completion Number of 

respondents 

Frequency 

of response 

Average 

burden per 

response 

(minutes) 

Estimated 

total annual 

burden 

(hours) 

20 CFR 403.100–403.155 ............................................................................... 100 1 60 100 


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9. Function Report Adult-Third 

Party—20 CFR 404.1512 & 416.912— 

0960–0635. Individuals receiving or 

applying for Social Security Disability 

Insurance (SSDI) or SSI provide SSA 

with medical evidence and other proof 

SSA requires to prove their disability. 

SSA, and Disability Determination 

Services (DDS) on our behalf, collect 

this information using Form SSA–3380– 

BK. We use the information to 

document how claimant’s disabilities 

affect their ability to function, and to 

determine eligibility for SSI and SSDI 

claims. The respondents are third 

parties familiar with the functional 

limitations (or lack thereof) of claimants 

who apply for SSI and SSDI benefits. 

Type of Request: Revision of an OMB 

approved information collection. 

Modality of completion Number of 

respondents 

Frequency 

of response 

Average 

burden per 

response 

(minutes) 

Estimated 

total annual 

burden 

(hours) 

SSA–3380–BK ................................................................................................. 709,700 1 61 721,528 

10. Request for Deceased Individual’s 

Social Security Record—20 CFR 

402.130—0960–0665. When a member 

of the public requests an individual’s 

Social Security record, SSA needs the 

name and address of the requestor as 

well as a description of the requested 

record to process the request. SSA uses 

the information the respondent provides 

on Form SSA–711, or via an internet 

request through SSA’s electronic 

Freedom of Information Act (eFOIA) 

website, to (1) verify the wage earner is 

deceased and (2) access the correct 

Social Security record. Respondents are 

members of the public requesting 

deceased individuals’ Social Security 

records. 

Type of Request: Revision of an OMBapproved information collection. 

Modality of completion Number of 

respondents 

Frequency 

of response 

Average 

burden per 

response 

(minutes) 

Estimated 

total annual 

burden 

(hours) 

Internet Request through eFOIA ..................................................................... 49,800 1 7 5,810 

SSA–711 (paper) ............................................................................................. 200 1 7 23 

Total .......................................................................................................... 50,000 ........................ ........................ 5,833 

11. Certification of Prisoner Identity 

Information—20 CFR 422.107—0960– 

0688. Inmates of Federal, State, or local 

prisons may need a Social Security card 

as verification of their Social Security 

number for school or work programs, or 

as proof of employment eligibility upon 

release from incarceration. Before SSA 

can issue a replacement Social Security 

card, applicants must show SSA proof 

of their identity. People who are in 

prison for an extended period typically 

do not have current identity documents. 

Therefore, under formal written 

agreement with the correctional 

institution, SSA allows prison officials 

to verify the identity of certain 

incarcerated U.S. citizens who need 

replacement Social Security cards. 

Information prison officials provide 

comes from the official prison files, sent 

on correctional facility letterhead. SSA 

uses this information to establish the 

applicant’s identity in the replacement 

Social Security card process. The 

respondents are prison officials who 

certify the identity of prisoners applying 

for replacement Social Security cards. 

Type of Request: Extension of an 

OMB-approved information collection. 

Modality of completion Number of 

responses 

Frequency 

of response 

Number of 

responses 

Average 

burden per 

response 

(minutes) 

Estimated 

total annual 

burden 

(hours) 

Verification of Prisoner Identity Statements ........................ 1,000 200 200,000 3 10,000 

12. Request to Pay Civil Monetary by 

Installment Agreement—20 CFR 498— 

0960–0776. When SSA imposes a civil 

monetary penalty (CMP) on individuals 

for various fraudulent conduct related to 

SSA-administrated programs, those 

individuals may request to pay the CMP 

through benefit withholding, or an 

installment agreement. To negotiate a 

monthly payment amount, fair to both 

the individual and the agency, SSA 

needs financial information from the 

individual. SSA uses Form SSA–640, 

Financial Disclosure for CMP Debt, to 

obtain the information necessary to 

determine a monthly installment 

repayment rate for individuals owing a 

CMP. The respondents are recipients of 

Social Security benefits and nonentitled individuals who must repay a 

CMP to the agency and choose to do so 

using an installment plan. 

Type of Request: Revision of an OMBapproved information collection. 

Modality of completion Number of 

respondents 

Frequency 

of response 

Average 

burden per 

response 

(minutes) 

Estimated 

total annual 

burden 

(hours) 

SSA–640 .......................................................................................................... 10 1 120 20 


sradovich on DSK3GMQ082PROD with NOTICES
Federal Register / Vol. 83, No. 151 / Monday, August 6, 2018 / Notices 38447 

13. Notification of a Social Security 

Number (SSN) To An Employer for 

Wage Reporting—20 CFR 422.103(a)— 

0960–0778. Individuals applying for 

employment must provide a Social 

Security Number, or indicate they have 

applied for one. However, when an 

individual applies for an initial SSN, 

there is a delay between the assignment 

of the number and the delivery of the 

SSN card. At an individual’s request, 

SSA uses Form SSA–132 to send the 

individual’s SSN to an employer. 

Mailing this information to the 

employer: (1) Ensures the employer has 

the correct SSN for the individual; (2) 

allows SSA to receive correct earnings 

information for wage reporting 

purposes; and (3) reduces the delay in 

the initial SSN assignment and delivery 

of the SSN information directly to the 

employer. It also enables SSA to verify 

the employer as a safeguard for the 

applicant’s personally identifiable 

information. The majority of individuals 

who take advantage of this option are in 

the United States with exchange visitor 

and student visas; however, we allow 

any applicant for an SSN to use the 

SSA–132. The respondents are 

individuals applying for an initial SSN 

who ask SSA to mail confirmation of 

their application or the SSN to their 

employers. 

Type of Request: Revision of an OMBapproved information collection. 

Modality of completion Number of 

respondents 

Frequency 

of response 

Average 

burden per 

response 

(minutes) 

Estimated 

total annual 

burden 

(hours) 

SSA–132 .......................................................................................................... 326,000 1 2 10,867 

14. Social Security Administration 

Health IT Partner Program 

Assessment—Participating Facilities 

and Available Content Form—20 CFR 

404.1614 and 416.1014—0960–0798. 

The Health Information Technology for 

Economic and Clinical Health (HITECH) 

Act promotes the adoption and 

meaningful use of health information 

technology (IT), particularly in the 

context of working with government 

agencies. Similarly, section 3004 of the 

Public Health Service Act requires 

health care providers or health 

insurance issuers with government 

contracts to implement, acquire, or 

upgrade their health IT systems and 

products to meet adopted standards and 

implementation specifications. To 

support expansion of SSA’s health IT 

initiative as defined under HITECH, 

SSA developed Form SSA–680, the 

Health IT Partner Program 

Assessment—participating Facilities 

and Available Content Form. The SSA– 

680 allows healthcare providers to 

provide the information SSA needs to 

determine their ability to exchange 

health information with us 

electronically. We evaluate potential 

partners (i.e., healthcare providers and 

organizations) on: (1) The accessibility 

of health information they possess; and 

(2) the content value of their electronic 

health records’ systems for our 

disability adjudication processes. SSA 

reviews the completeness of 

organizations’ SSA–680 responses as 

one part of our careful analysis of their 

readiness to enter into a health IT 

partnership with us. The respondents 

are healthcare providers and 

organizations exchanging information 

with the agency. 

Type of Request: Revision of an OMBapproved information collection. 

Modality of completion Number of 

respondents 

Frequency 

of response 

Average 

burden per 

response 

(minutes) 

Estimated 

total annual 

burden 

(hours) 

SSA–680 .......................................................................................................... 30 1 5 150 

Date: August 1, 2018. 

Faye Lipsky, 

Reports Clearance Director, Social Security 

Administration. 

[FR Doc. 2018–16727 Filed 8–3–18; 8:45 am] 

BILLING CODE 4191–02–P 

SOCIAL SECURITY ADMINISTRATION 

[Docket No. SSA–2018–0046] 

Privacy Act of 1974; System of 

Records 

AGENCY: Office of the General Counsel, 

Social Security Administration (SSA). 

ACTION: Notice of a new system of 

records. 

SUMMARY: In accordance with the 

Privacy Act, we are issuing public 

notice of our intent to establish a new 

system of records entitled, General Law 

Litigation Files (60–0272). This notice 

publishes details of the new system as 

set forth under the caption, 

SUPPLEMENTARY INFORMATION. 

DATES: The system of records notice 

(SORN) is applicable upon its 

publication in today’s Federal Register, 

with the exception of the routine uses, 

which are effective September 5, 2018. 

We invite public comment on the 

routine uses or other aspects of this 

SORN. In accordance with 5 U.S.C. 

552a(e)(4) and (e)(11), the public is 

given a 30-day period in which to 

submit comments. Therefore, please 

submit any comments by September 5, 

2018. 

ADDRESSES: The public, Office of 

Management and Budget (OMB), and 

Congress may comment on this 

publication by writing to the Executive 

Director, Office of Privacy and 

Disclosure, Office of the General 

Counsel, SSA, Room G–401 West High 

Rise, 6401 Security Boulevard, 

Baltimore, Maryland 21235–6401, or 

through the Federal e-Rulemaking Portal 

at http://www.regulations.gov, please 

reference docket number SSA–2018– 

0046. All comments we receive will be 

available for public inspection at the 

above address and we will post them to 

http://www.regulations.gov. 

FOR FURTHER INFORMATION CONTACT: 

Navdeep Sarai, Government Information 

Specialist, Privacy Implementation 

Division, Office of Privacy and 

Disclosure, Office of the General 

Counsel, SSA, Room G–401 West High 

Rise, 6401 Security Boulevard, 

Baltimore, Maryland 21235–6401, 

telephone: (410) 965–2997, email: 

Navdeep.Sarai@ssa.gov. 

SUPPLEMENTARY INFORMATION: We are 

establishing the General Law Litigation 

Files to cover information we collect 

about individuals (including but not 


sradovich on DSK3GMQ082PROD with NOTICES