Administrative Review Process; Prehearing Proceedings and Decisions by Attorney Advisors; Extension of Expiration Dates

SOCIAL SECURITY ADMINISTRATION

20 CFR Parts 404 and 416

RIN 0960-AF07

Administrative Review Process; Prehearing Proceedings and

Decisions by Attorney Advisors; Extension of Expiration Dates

AGENCY: Social Security Administration.

ACTION: Final rule.

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SUMMARY: These final rules extend the time period set out in our

regulations during which attorney advisors in our Office of Hearings

and Appeals (OHA) may conduct certain prehearing proceedings. When the

documentary record developed as a result of these proceedings warrants,

they may issue decisions that are wholly favorable to the parties to

the hearing in claims for Social Security or Supplemental Security

Income (SSI) benefits based on disability. We are extending the date at

which these rules will no longer be effective from April 1, 2000, until

April 2, 2001. We are making no other changes to the substance of the

rules.

EFFECTIVE DATE: October 27, 1999.

FOR FURTHER INFORMATION CONTACT: Lynn Hollway, Office of Disability and

Income Security Programs, Social Security Administration, 6401 Security

Boulevard, Baltimore, MD 21235-6401, (410) 966-0167 for information

about these rules. For information on eligibility or claiming benefits,

call our national toll-free number, 1-800-772-1213.

SUPPLEMENTARY INFORMATION: On June 30, 1995, in an action undertaken to

reduce the record numbers of requests for an administrative law judge

(ALJ) hearing pending in our OHA hearing offices, we published final

rules in the Federal Register (60 FR 34126) that authorize OHA's

attorney advisors to conduct certain prehearing proceedings. If a

decision that is wholly favorable to the parties to the hearing may be

issued

[[Page 51893]]

at the completion of these proceedings, they may issue such a decision.

These regulations, which are codified at 20 CFR Sec. 404.942 and

416.1442, included a provision stating that the rules would no longer

be effective on June 30, 1997, unless the Commissioner of Social

Security extended the expiration date of the provisions by publication

of a final rule in the Federal Register. We subsequently published

final rules in the Federal Register on June 30, 1997 (62 FR 35073),

June 30, 1998 (63 FR 35515), and March 22, 1999 (64 FR 13677) extending

the date on which Secs. 404.942 and 416.1442 would no longer be

effective to July 1, 1998, to April 1, 1999, and then to April 1, 2000.

In order to continue to maximize our ability to meet our hearings

production goals, we have decided to extend the date on which these

rules will no longer be effective from April 1, 2000, to April 2, 2001.

These final rules amend the sunset provisions in Secs. 404.942 and

416.1442, which expressly provide for extending the expiration date of

those sections. In both sections, we are extending the provisions

authorizing prehearing proceedings and decisions by attorney advisors,

so that such actions will no longer be effective on April 2, 2001. For

the reasons explained below, we will not extend these rules beyond

April 2, 2001. We are removing from the regulations the provision

allowing us to further extend the rules.

The authorization for attorney advisors to conduct certain

prehearing proceedings and to issue a wholly favorable decision arising

from those proceedings was established as a temporary measure, and

accordingly included a sunset provision. We used this authority to

maximize our ability to meet our hearings production goals while we

developed a comprehensive plan to improve the hearings process. The

comprehensive plan is now ready to be implemented.

We published the plan, called the ``Hearings Process Improvement

Initiative'' (SSA Pub. No. 01-016) in August 1999. The Report is

available on SSA's website at www.ssa.gov, or by calling the Process

Action Team at (410) 966-3972. Implementation of the plan will begin in

10 States in January 2000. By early 2001, the new procedures covered

under the plan will be put into effect in all hearings offices across

the country.

As a result, we are establishing a definite date when the

authorization for attorney advisors to conduct certain prehearing

proceedings and to issue a wholly favorable decision will end--no later

than April 2, 2001. We expect the plan, once fully implemented, to

result in an overall 21% reduction in processing time for hearings, a

16% increase in productivity per workyear and better service to the

public.

The attorney advisor procedure has contributed significantly in

raising the number of dispositions of hearings cases we have been able

to achieve. Last year, attorney advisors were responsible for disposing

of 41,109 hearings. Therefore, we believe it is in the public interest

to continue the procedure, subject to the sunset provision, until the

Hearings Process Improvement Initiative is fully in place. We will

begin phasing out the use of the attorney advisor procedure as

implementation occurs, beginning in January 2000, and will cease using

the procedure before April 2, 2001.

Regulatory Procedures

Pursuant to section 702(a)(5) of the Social Security Act, 42 U.S.C.

902(a)(5), SSA follows the Administrative Procedure Act (APA)

rulemaking procedures specified in 5 U.S.C. 553 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, under 5 U.S.C. 553(b)(B), good cause exists for

dispensing with the notice and public comment procedures in this case.

Good cause exists because these rules only extend the date on which the

regulatory provisions concerning prehearing proceedings and decisions

by attorney advisors will no longer be effective. We believe these

rules make no substantive change to those provisions. The current

regulations expressly provide that the provisions may be extended.

Therefore, opportunity for prior comment is unnecessary, and we are

issuing these regulations as final rules.

Executive Order 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 Executive Order 12866. Thus, the

rules are not subject to OMB review.

Regulatory Flexibility Act

We certify that these rules will not have a significant economic

impact on a substantial number of small entities because they affect

only individuals. Therefore, a regulatory flexibility analysis as

provided in the Regulatory Flexibility Act, as amended, is not

required.

Paperwork Reduction Act

These rules impose no reporting or recordkeeping requirements which

need to be cleared by OMB.

(Catalog of Federal Domestic Assistance Program Nos. 96.001, Social

Security-Disability Insurance; 96.006, Supplemental Security Income)

List of Subjects

20 CFR Part 404

Administrative practice and procedure, Death benefits, Disability

benefits, Old-age, Survivors and Disability Insurance, Reporting and

recordkeeping requirements, Social Security.

20 CFR Part 416

Administrative practice and procedure, Aged, Blind, Disability

benefits, Public assistance programs, Supplemental Security Income

(SSI), Reporting and recordkeeping requirements.

Dated: August 26, 1999.

Kenneth S. Apfel,

Commissioner of Social Security.

For the reasons set out in the preamble, subpart J of part 404 and

subpart N of part 416 of chapter III of title 20 of the Code of Federal

Regulations are amended as set forth below.

PART 404--FEDERAL OLD-AGE, SURVIVORS AND DISABILITY INSURANCE

(1950- )

Subpart J--[Amended]

1. The authority citation for subpart J of part 404 continues to

read as follows:

Authority: Secs. 201(j), 204(f), 205(a), (b), (d)-(h), and (j),

221, 225, and 702(a)(5) of the Social Security Act (42 U.S.C.

401(j), 404(f), 405(a), (b), (d)-(h), and (j), 421, 425, and

902(a)(5)); 31 U.S.C. 3720A; sec. 5, Pub. L. 97-455, 96 Stat. 2500

(42 U.S.C. 405 note); secs. 5, 6(c)-(e), and 15, Pub. L. 98-460, 98

Stat. 1802 (42 U.S.C. 421 note).

2. Section 404.942 is amended by revising paragraph (g), to read as

follows:

Sec. 404.942 Prehearing proceedings and decisions by attorney

advisors.

* * * * *

(g) Sunset provision. The provisions of this section will no longer

be effective on April 2, 2001.

[[Page 51894]]

PART 416--SUPPLEMENTAL SECURITY INCOME FOR THE AGED, BLIND, AND

DISABLED

Subpart N--[Amended]

1. The authority citation for subpart N continues to read as

follows:

Authority: Sec. 702(a)(5), 1631, and 1633 of the Social Security

Act (42 U.S.C. 902(a)(5), 1383, and 1383b); 31 U.S.C. 3720A.

2. Section 416.1442 is amended by revising paragraph (g), to read

as follows:

Sec. 416.1442 Prehearing proceedings and decisions by attorney

advisors.

* * * * *

(g) Sunset provision. The provisions of this section will no longer

be effective on April 2, 2001.

[FR Doc. 99-25037 Filed 9-24-99; 8:45 am]

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