Service of Process

SOCIAL SECURITY ADMINISTRATION

20 CFR Chapter III and Part 423

RIN 0960-AE07

Service of Process

AGENCY: Social Security Administration.

ACTION: Final rules.

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SUMMARY: The Social Security Independence and Program Improvements Act

of 1994 (SSIPIA), established the Social Security Administration (SSA)

as an independent agency in the Executive Branch of the U.S. Government

effective March 31, 1995. The Social Security Administration will

continue to be responsible for the administration of the old-age,

survivors, and disability insurance (OASDI) and the Supplemental

Security Income (SSI) programs. The SSA is also required to continue to

assist in the administration of the Medicare program, the Black Lung

program, and the Coal Industry Retirees Health Benefits Act. Prior to

March 31, 1995, SSA was an operating component of the Department of

Health and Human Services (DHHS). These final rules generally adopt as

SSA rules the same procedures and practices on service of legal process

applicable to DHHS. These final rules also remove ``Department of

Health and Human Services'' from the heading of Chapter III of title 20

of the Code of Federal Regulations.

EFFECTIVE DATE: April 14, 1995.

FOR FURTHER INFORMATION CONTACT: Harry J. Short, Legal Assistant, 3-B-1

Operations Building, 6401 Security Boulevard, Baltimore, MD 21235,

(410) 965-6243.

SUPPLEMENTARY INFORMATION:

Background

The rules at 45 CFR Part 4, entitled Service of Process, prescribe

the procedures DHHS follows regarding service of legal process in

lawsuits brought against the Department and its employees and in other

process directed at the Department or its employees. These final rules

adopt, with minor changes, the same procedures and practices set out in

45 CFR Part 4 that were applicable to SSA when it was a component of

DHHS. All changes are technical, that is, changes in names, titles,

addresses and legal citations. The changes in legal citations are due

to changes to the Federal Rules of Civil Procedure (FRCP) effective

December 1, 1993.

DHHS Policies Continued by SSA

These final rules contain SSA's method of service of legal process

and reflect Rule 4 of the FRCP regarding service of process in civil

litigation in Federal courts, including service on Federal agencies and

officials. Rule (4)(i) specifies that service on a Federal agency or

officer is to be made by sending a copy of the summons and complaint to

the officer or agency by registered or certified mail.

These final rules also provide that service of a summons and

complaint on SSA or on any SSA official sued in his or her official

capacity may be made by mailing a copy to SSA's General Counsel. Such

service will constitute service on SSA or the official, as required by

Rule 4 of the FRCP. Process mailed directly to SSA's General Counsel

will avoid the delays encountered when documents must be transferred

from other offices.

The General Counsel will also accept service of subpoenas and other

process served on the Commissioner or on SSA. These final rules specify

certain employees in the Office of the General [[Page 18992]] Counsel

who are authorized to accept such process when it is served by an

individual personally rather than mailed. Subpoenas and other legal

process directed to other than the specified officials of SSA will not

be accepted unless special arrangements for acceptance of process are

made in a particular case.

The Office of the General Counsel is authorized, but not required,

to accept service of summonses and complaints initiating lawsuits

against an SSA employee when the employee is sued in his or her

individual capacity and the suit relates to the employee's official

duties. Such service must nevertheless be accomplished in accordance

with the provisions of Rule 4 applicable to service on individual

defendants or, in the case of suits brought in State courts, in

accordance with the applicable State requirements.

These final rules state that SSA will not ordinarily provide a

receipt or other acknowledgment of process received, except for a

return receipt associated with certified mail. Plaintiffs mailing a

summons and complaint sometimes have enclosed a form by which they seek

acknowledgment of receipt of the process. Completion of such forms is

not required or contemplated by Rule 4. Since completion of the forms

is time-consuming and creates unnecessary work for SSA employees, these

rules reiterate the continuing practice of not returning such forms.

Where an SSA official is sued in his or her individual capacity

however, and service is accomplished pursuant to Rule 4(e) of the FRCP,

SSA may return the acknowledgment form described in Rule 4(e).

Regulatory Procedures

SSA follows the Notice of Proposed Rulemaking and public comment

procedures specified in the Administrative Procedure Act (the APA), 5

U.S.C. 553 (b) and (c), in the development of its regulations. The APA

provides exceptions to its notice and public comment procedures when an

agency finds there is good cause for dispensing with such procedures on

the basis that they are impracticable, unnecessary, or contrary to the

public interest. We have determined that, since these final rules

generally reflect a continuation of the procedures and practices in

effect when SSA was a component of DHHS, notice of proposed rulemaking

and public comment procedures are unnecessary. The only changes are

revisions in names, addresses, titles, legal citations and a heading.

In addition, these final rules provide only rules of practice and

procedure which do not require public comment procedures.

Executive Order (E.O.) No. 12866

We have consulted with the Office of Management and Budget (OMB)

and determined that these rules do not meet the criteria for a

significant regulatory action under E.O. 12866. Thus, they were not

subject to OMB review.

Regulatory Flexibility Act

We certify that these final rules will not have a significant

economic impact on a substantial number of small entities because these

rules affect only individuals and States. Therefore, a regulatory

flexibility analysis as provided in Pub. L. 96-354, the Regulatory

Flexibility Act, is not required.

Paperwork Reduction Act

These final rules impose no additional reporting and recordkeeping

requirements subject to OMB clearance.

(Catalog of Federal Domestic Assistance Program Nos. 93.802, Social

Security-Disability Insurance; 93.803, Social Security-Retirement

Insurance; 93.805, Social Security-Survivors Insurance; 93.806,

Special Benefits for Disabled Coal Miners; 93.807, Supplemental

Security Income)

List of Subjects in 20 CFR Part 423

Courts.

Approved: March 30, 1995.

Shirley S. Chater,

Commissioner of Social Security.

For the reasons set out in the preamble and under the authority of

42 U.S.C. 1302, Chapter III of Title 20 of the Code of Federal

Regulations is amended as follows:

1. The heading for Chapter III of Title 20 of the Code of Federal

Regulations is revised to read as follows:

CHAPTER III--SOCIAL SECURITY ADMINISTRATION

2. A new part 423 is added to read as follows:

PART 423--SERVICE OF PROCESS

Sec.

423.1 Suits against the Social Security Administration and its

employees in their official capacities.

423.3 Other process directed to the Social Security Administration

or the Commissioner.

423.5 Process against Social Security Administration officials in

their individual capacities.

423.7 Acknowledgment of mailed process.

423.9 Effect of regulations in this part.

Authority: 42 U.S.C. 901.

Sec. 423.1 Suits against the Social Security Administration and its

employees in their official capacities.

Summonses and complaints to be served by mail on the Social

Security Administration, the Commissioner of Social Security, or other

employees of the Social Security Administration in their official

capacities should be sent to the General Counsel, Social Security

Administration, Room 611, Altmeyer Building, 6401 Security Boulevard,

Baltimore, MD 21235.

Sec. 423.3 Other process directed to the Social Security

Administration or the Commissioner.

Subpoenas and other process (other than summonses and complaints)

that are required to be served on the Social Security Administration or

the Commissioner of Social Security in his or her official capacity

should be served as follows:

(a) If authorized by law to be served by mail, any mailed process

should be sent to the General Counsel, Social Security Administration,

Room 611, Altmeyer Building, 6401 Security Boulevard, Baltimore, MD

21235.

(b) If served by an individual, the process should be delivered to

the mail room staff in the Office of the General Counsel, Room 611,

6401 Security Blvd., Baltimore, MD 21235 or, in the absence of that

staff, to any Deputy General Counsel or secretary to any Deputy General

Counsel of the Social Security Administration.

Sec. 423.5 Process against Social Security Administration officials in

their individual capacities.

Process to be served on Social Security Administration officials in

their individual capacities must be served in compliance with the

requirements for service of process on individuals who are not

governmental officials. The Office of the General Counsel is authorized

but not required to accept process to be served on Social Security

Administration officials in their individual capacities if the suit

relates to an employee's official duties.

Sec. 423.7 Acknowledgment of mailed process.

The Social Security Administration will not provide a receipt or

other acknowledgment of process received, except for a return receipt

associated with certified mail and, where required, the acknowledgment

described in rule 4(e) of the Federal Rules of Civil Procedure (28

U.S.C. App. 4(e)).

Sec. 423.9 Effect of regulations in this part.

The regulations in this part are intended solely to identify Social

[[Page 18993]] Security Administration officials who are authorized to

accept service of process. Litigants must comply with all requirements

pertaining to service of process that are established by statute and

court rule even though they are not repeated in this part.

[FR Doc. 95-9030 Filed 4-13-95; 8:45 am]

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