[Federal Register: August 13, 2007 (Volume 72, Number 155)]
[Proposed Rules]
[Page 45191-45199]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr13au07-19]
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SOCIAL SECURITY ADMINISTRATION
20 CFR Part 411
[Docket No. SSA-2006-0084]
RIN 0960-AG44
Improvements to the Ticket to Work and Self-Sufficiency Program
AGENCY: Social Security Administration.
ACTION: Notice of proposed rulemaking.
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SUMMARY: We are proposing to revise our regulations for the Ticket to
Work and Self-Sufficiency Program (Ticket to Work program), authorized
by the Ticket to Work and Work Incentives Improvement Act of 1999. The
Ticket to Work program provides beneficiaries with disabilities
expanded options for access to employment, vocational rehabilitation,
and other support services. The program is an important part of the
comprehensive SSA work opportunity initiative which is focused on
helping beneficiaries with disabilities who want to work to do so. We
are proposing revisions to our
[[Page 45192]]
current Ticket to Work program rules to simplify and improve the
definition of ``using a ticket'' and our related requirements for
measuring ``timely progress toward self-supporting employment.''
DATES: To be sure your comments are considered, we must receive them by
October 12, 2007.
ADDRESSES: You may give us your comments by: using the Federal
eRulemaking Portal: http://www.regulations.gov; e-mail to
regulations@ssa.gov; FAX to (410) 966-2830; or letter to the
Commissioner of Social Security, P.O. Box 17703, Baltimore, MD 21235-
7703. You may also deliver them to the Office of Regulations, Social
Security Administration, 107 Altmeyer Building, 6401 Security
Boulevard, Baltimore, MD 21235-6401, between 8 a.m. and 4:30 p.m. on
regular business days. You may also inspect the comments on regular
business days by making arrangements with the contact person shown in
the preamble.
FOR FURTHER INFORMATION CONTACT: Dan O'Brien, Office of Employment
Support Programs, Social Security Administration, 107 Altmeyer
Building, 6401 Security Boulevard, Baltimore, MD 21235-6401, e-mail to
regulations@ssa.gov, or telephone (410) 597-1632 or TTY (410) 966-5609
for information about these rules. For information on eligibility or
filing for benefits, call our national toll-free number 1-800-772-1213
or TTY 1-800-325-0778, or visit our Internet site, Social Security
Online, http://www.socialsecurity.gov.
SUPPLEMENTARY INFORMATION:
Electronic Version
The electronic file of this document is available on the date of
publication in the Federal Register at http://www.gpoaccess.gov/fr/index.html
.
Background
The Ticket to Work and Work Incentives Improvement Act of 1999
Public Law 106-170 was enacted on December 17, 1999. This law added
section 1148 of the Social Security Act (Act), which directs the
Commissioner of Social Security to establish the Ticket to Work
program. Congress provided for the establishment of the Ticket to Work
program to provide beneficiaries with a ``real choice in obtaining the
services and technology they need to find, enter, and maintain
employment'' in order to ``greatly improve their short and long-term
financial independence and personal well-being'' (section 2(a)(10) of
Pub. L. No. 106-170, 113 Stat. 1860, 1863). These proposed revisions to
our regulations are based on our experience implementing the existing
rules and comments made in response to our request for comment in the
Notice of Proposed Rulemaking (NPRM) that we published on September 30,
2005 (70 FR 57222, 57227). In that NPRM, we asked for comment on, among
other things, whether and how we should simplify the definition of
``using a ticket'' and on how we might revise the timely progress
requirements set forth in our current rules.
As part of the Ticket to Work program, the Commissioner of Social
Security (the Commissioner) issues a ``ticket'' to eligible Social
Security disability beneficiaries and to eligible disabled or blind
Supplemental Security Income (SSI) beneficiaries for participation in
the program. In this voluntary program, each beneficiary receiving a
ticket has the option of using that ticket to obtain services from a
provider known as an employment network (EN) or from a State vocational
rehabilitation (VR) agency. ENs may also choose to whom they provide
services. If the beneficiary and an EN or State VR agency agree to work
together, the beneficiary and the EN or State VR agency will develop
either an individual work plan (IWP) or an individualized plan for
employment (IPE) which outlines any employment services, vocational
rehabilitation services, and other support services necessary to assist
the beneficiary to obtain and ultimately maintain self-supporting
employment. The EN or State VR agency will provide, without charge to
the beneficiary, the services outlined in the IWP or IPE. If the
beneficiary achieves certain work outcomes, we will pay the EN or State
VR agency for those outcomes based on an established payment schedule.
Issues Addressed in These Proposed Rules
These proposed changes to our rules on ``using a ticket'' and the
related timely progress requirements are integral to the operation of
the Ticket to Work program and are essential to the overall changes we
proposed for the program in the September 30, 2005 NPRM. We anticipate
issuing one comprehensive final regulation covering the matters
addressed in the 2005 NPRM and in this NPRM. In this NPRM, we are
proposing changes to our rules for the Ticket to Work program in areas
that were not addressed in the September 2005 NPRM. We describe the
main changes we are proposing below:
So that the program will be more accessible to
beneficiaries who require additional training to return to work, we
propose to add requirements for educational or technical training to
supplement the work requirements under the timely progress guidelines
for beneficiaries;
We propose to revise the work requirements under the
timely progress guidelines and the documentation and other requirements
for progress reviews to simplify and streamline the process for
determining whether a beneficiary is making timely progress toward
self-supporting employment;
We propose to eliminate the current ``initial 24-month
period'' after ticket assignment during which a beneficiary is
considered to be making timely progress if actively participating in
his or her employment plan;
We propose to replace this 24-month period with two
successive 12-month progress certification periods during each of which
the beneficiary must complete either a work requirement of an
educational or technical training requirement in order to be considered
to be making timely progress until the next scheduled progress review;
and
We propose to recognize one-stop delivery systems
established under the program of the U.S. Department of Labor under
subtitle B of title I of the Workforce Investment Act of 1998 as
qualified ENs.
''Using a Ticket'' and Related Timely Progress Rules
Section 1148(i) of the Social Security Act (42 U.S.C. 1320b-19(i))
provides that ``[d]uring any period for which an individual is using *
* * a ticket to work and self-sufficiency issued under this section,
the Commissioner (and any applicable State agency) may not initiate a
continuing disability review * * *.'' Section 1148(i) also directs the
Commissioner to define the term ``using a ticket'' for this purpose.
Our current rules (Sec. 411.170) provide that ``[t]he period of using
a ticket begins on the effective date of the assignment of your ticket
to an EN or State VR agency under Sec. 411.140.'' They provide in
Sec. 411.171 that the period of using a ticket will end with the ``day
before the effective date of a decision * * * that you are no longer
making timely progress toward self-supporting employment.'' The period
of using a ticket may end earlier, if certain other events occur. The
current rules further provide in Sec. 411.180(a) that ``[w]e consider
you to be making timely progress toward self-supporting employment when
you show an increasing ability to work at levels
[[Page 45193]]
which will reduce or eliminate your dependence on these [disability or
blindness] benefits.''
Section 411.180(c) of our current rules explains the guidelines we
use to determine whether timely progress toward self-supporting
employment is being made. Among other things, these guidelines include
a goal of three months of work during the 12-month period that begins
after the 24th month following the assignment of a ticket to an EN or
State VR agency, as described in Sec. 411.140. For subsequent 12-month
periods, the current rules require work (as defined in Sec. 411.185)
for at least six of the 12 months.
We sought to balance two important objectives in establishing the
current rules on using a ticket and related timely progress guidelines.
First, we sought to define ``using a ticket'' in a way that should
reduce a barrier to beneficiary participation in the program that
arises from fear that a return to work would cause benefits to be
terminated in a continuing disability review. Second, we sought to
maintain the integrity of the disability programs by providing that
beneficiaries who have medically improved do not continue to receive
disability benefits for an undue length of time. Properly balancing
these objectives remains our goal.
During the comment period we provided in the September 30, 2005
NPRM, we received numerous comments that educational programs should be
equated with work for the purposes of determining timely progress under
the Ticket to Work program. We agree with commenters who suggested that
disruption of the pursuit of an education program, as our current
requirements have the potential to do, is a counterproductive policy.
Therefore, in this NPRM, we propose adding an educational and technical
training requirement to supplement the work requirement, so that the
program will be more accessible to beneficiaries who require additional
training to return to work.
We are also proposing to eliminate the current ``initial 24-month
period'' during which a beneficiary is considered to be making timely
progress toward self-supporting employment if actively participating in
his or her employment plan. We propose to eliminate this provision
which requires only active participation in the plan for the
beneficiary to be considered ``using a ticket,'' and therefore
protected from initiation of a medical continuing disability review
(CDR), during the first two years of participation in the program. We
also propose to eliminate the current 24-month progress review, which a
beneficiary must successfully complete in order to continue to be
considered making timely progress and receive CDR protection during the
third year of participation. For CDR protection to continue, the
program manager must determine in this review that the beneficiary is
actively participating in the employment plan; that the plan has a work
goal meeting the work requirement for the third year of participation;
and that, given the beneficiary's current progress in the plan, he or
she can reasonably be expected to reach this goal by the end of the
third year of participation. We are also proposing to eliminate the
second step of the current 12-month progress reviews, which requires an
expectation by both the beneficiary and the EN or State VR agency that
the beneficiary will work at the level required during the next 12-
month progress review period.
We are proposing to replace the ``initial 24-month period'' with
two successive 12-month progress certification periods during each of
which the beneficiary must complete either a work requirement or an
educational or technical training requirement in order to be considered
to be making timely progress until the next scheduled progress review.
Thus, while our current rules require a specified level of work
beginning with the third year of participation, these proposed rules
would require a specified level of work activity (or coursework in an
educational or technical training program) beginning with the first
year of participation in the Ticket to Work program.
The table below summarizes the basic changes we are proposing to
make to the definition of ``using a ticket'' and ``timely progress''
for purposes of maintaining CDR protection. In the table below, we use
the term ``SSDI'' to refer to all categories of Social Security
disability benefits under title II, and the term ``SSI'' to refer to
Supplemental Security Income payments under title XVI based on
disability or blindness.
------------------------------------------------------------------------
Existing regulations Proposed changes
------------------------------------------------------------------------
1. Ticket first assigned to an EN 1. Ticket first assigned to an EN
or State VR agency. or State VR agency acting as an
2A. Timely progress defined for EN, or otherwise in use with State
current period: VR agency choosing cost
First 2 years: active reimbursement.
participation in plan. 2. Timely progress defined for
2B. Timely progress defined for purposes of maintaining CDR
purposes of maintaining CDR protection until next scheduled
protection until next scheduled review.
review. 1st year: 3 months of work
At the end of 2 years: at trial work level (TWL) or 24
successful completion of 24-month post-secondary credit hours or 50%
progress review. vocational training program.
3rd year: 3 months 2nd year: 6 months of work
substantial gainful activity at TWL or 50 post-secondary credit
(SGA).\1\ hours or 100% vocational training
4th year: 6 months SGA.\1\ program.
5th year and beyond: 6 3rd year: 9 months SGA or
months of work at level precluding 70 post-secondary credit hours.
payment of SSDI and Federal SSI 4th year: 9 months SGA or
benefits.\1\ 100 post-secondary credit hours.
5th year: 6 months of work
at level precluding payment of
SSDI and Federal SSI benefits or
earned a 4 year degree.
6th year and beyond: 6
months of work at level precluding
payment of SSDI and Federal SSI
benefits.
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\1\ Also both beneficiary and EN or State VR agency must expect
beneficiary will meet work requirement for next 12-month progress
review period.
In addition, these proposed rules address concerns expressed by ENs
and State VR agencies that the current rules are unnecessarily
burdensome. Comments received from some State VR agencies noted that
the request for information received from the program manager (PM) in
connection with a 12-month progress review under the timely progress
guidelines required the State VR agency to submit evidence of a
beneficiary's earnings. The commenters expressed the view that this
represented a huge and largely unnecessary administrative burden for
State VR agencies. Based on the comments from the State VR agencies and
ENs, we propose to change the timely progress requirements to simplify
reporting of information for the progress reviews. These proposed rules
would generally
[[Page 45194]]
define ``timely progress'' based on the achievement of milestones and
outcomes under the EN payment systems proposed in the September 30,
2005 NPRM. The comments we received on the proposed expansion of the
milestones were generally positive. We did not receive any negative
comments that would cause us to change the proposed number of
milestones or the periods and levels of work required for the
milestones when developing final rules. The level of work and earnings
required for outcome payments is mandated by the statute.
In that NPRM, we proposed a two-phased milestone system. Phase 1
milestones would be based on the beneficiary working specified periods
of time at the trial work period level. For example, the second Phase 1
milestone would be achieved when a beneficiary works three months and
has earnings in each of those months at the level for a trial work
service month. This is the same standard which we propose for the work
requirement during the first 12-month progress certification period in
these proposed rules. We also propose to use the trial work earnings
level for the six months of work which would be required during the
second 12-month progress certification period.
A Phase 2 milestone would be achieved when a beneficiary works in a
month and has gross earnings above the SGA threshold amount. We are
proposing to use this same level of monthly earnings for the proposed
nine months of work which would be required during the third and fourth
12-month progress certification periods. The level of earnings for the
six months of work which would be required during the fifth and
subsequent 12-month progress certification periods would be based on
the earnings criteria for an outcome payment month under the EN payment
systems. An outcome payment month occurs when a beneficiary's work or
earnings are sufficient to preclude payment of Social Security
disability benefits and Federal SSI cash benefits.
These proposed changes to the work requirements under the timely
progress guidelines would allow us to determine administratively,
without unnecessarily burdening the beneficiary or EN or State VR
agency with requests for information, whether a beneficiary is making
timely progress based on information in our EN/State VR agency payment
records or our records of the beneficiary's earnings.
These proposed rules incorporate certain aspects of the proposed
rules in the September 2005 NPRM, which would provide that a
beneficiary who has a ticket otherwise available for assignment and who
is receiving services under an IPE from a State VR agency which has
chosen to be paid under the cost reimbursement payment system will be
considered to be ``using a ticket,'' provided that the beneficiary is
making timely progress toward self-supporting employment. The September
2005 NPRM also proposed that: (1) The ticket of a beneficiary in this
situation would not be assigned to the State VR agency; (2) the
beneficiary may assign his or her ticket after State VR services end;
and (3) the period of using a ticket for such a beneficiary would end
90 days after State VR services end.
In these proposed rules, we are proposing to change the duration of
the ``extension period'' described in Sec. Sec. 411.166 and 411.220
from three months to 90 days. We are proposing this change to conform
to the proposed 90-day period included in the September 2005 NPRM
during which the ticket of a beneficiary in the situation described
above may be considered ``in use'' after State VR services end.
In proposed Sec. 411.226, we explain how we will apply the new
timely progress provisions to a beneficiary who assigned his or her
ticket prior to the effective date of the new rules. Beneficiaries
already using a ticket assigned to a State VR agency that chose to be
paid under the cost reimbursement payment system, may continue using a
ticket under the new rules in subpart C. The new rules include
provisions for transitioning to the revised timely progress guidelines.
However, the beneficiary's ticket will no longer be considered
assigned to that State VR agency beginning on the effective date of the
final regulations. We also explain that the beneficiary may assign his
or her ticket after the State VR agency has closed his or her case.
Participation of One-Stop Delivery Systems as Employment Networks
Section 1148(f)(1)(B) of the Social Security Act (42 U.S.C. 1320b-
19(f)(1)(B)) provides that an employment network serving under the
Ticket to Work program ``may consist of a one-stop delivery system
established under subtitle B of title I of the Workforce Investment Act
of 1998.'' Our regulation at 20 CFR 411.305(c) states the same
proposition. We are proposing to amend subpart E, Sec. Sec. 411.310
and 411.315, to further state that one-stop delivery systems under
subtitle B of title I of the Workforce Investment Act of 1998 may
participate in the Ticket to Work program as ENs without responding to
our request for proposal (RFP). In light of the nature of the one-stop
systems and the statutory reference to them, we are simplifying the
approval process for one-stop systems. We have consulted with the
Department of Labor, the Federal agency responsible for oversight of
the program for the one-stop delivery systems, regarding the entities
that comprise one-stop systems and, based on those consultations, we
have determined they meet our EN requirements. A one-stop delivery
system still must enter into an agreement with us to serve as an EN
under the Ticket to Work program and must maintain compliance with the
rules that apply to ENs. We will seek to work with the appropriate
entities that can enter into EN agreements with us. We believe this
change, which would eliminate the RFP process for one-stop systems,
will provide our beneficiaries with more choices because it would
greatly expand the number of ENs for ticket holders living in all areas
of the United States, particularly in counties where no ENs are
currently qualified.
Issues Addressed in September 2005 Proposed Rules and Why This Second
NPRM Is Necessary
On September 30, 2005, we published an NPRM (70 FR 57222) proposing
some important changes to the existing Ticket to Work program rules. In
that NPRM, we proposed changes to the EN payment systems to provide
greater incentives for EN participation; to eliminate the requirement
for assignment of a beneficiary's ticket to a State VR agency which
chooses the cost reimbursement payment system; and to include a rule
providing that the ticket of such a beneficiary would be assignable
after State VR services end. We also proposed in that NPRM that, for a
beneficiary who has a ticket which would otherwise be available for
assignment and who is receiving services under an IPE from a State VR
agency which has chosen the cost reimbursement payment system, the
beneficiary will be considered to be ``using a ticket'' until 90 days
after VR services end, provided the beneficiary is making timely
progress toward self-supporting employment.
In the September 2005 NPRM, we invited comments from the public on
four additional matters. Two of these matters addressed specific
changes in our rules proposed in the NPRM. One matter addressed in the
NPRM concerned evidence requirements for EN payment; the other matter
addressed payment of Phase 1 milestones after State VR services have
been completed. We received public comments on both of these subjects,
and will address these
[[Page 45195]]
comments in our final Ticket to Work program rules.
The other two matters outlined in the September 2005 NPRM for which
we invited public comments did not involve specific proposed changes to
our current rules. (70 FR at 57227.) Rather, we requested comments on
questions which we presented concerning whether and how we should
proceed to develop specific proposed changes. The first of these
questions is whether a beneficiary should be eligible for more than one
ticket in a single period of entitlement to title II or title XVI
benefits. Our current rules provide for only one ticket for each period
of entitlement. A number of comments that we received in response to
this request pointed out that, in order to sustain gainful employment,
many beneficiaries require ongoing support services beyond the period
of time over which Milestone or Outcome payments are made. For example,
beneficiaries with physical disabilities may require specialized
transportation services over an indefinite period to get to and from
the worksite, and, thus, may require a longer period of employment
support in order to sustain employment. We recognize the concern
expressed by the commenters that beneficiaries in some cases may need
ongoing supports to sustain employment beyond the period of time over
which Milestone or Outcome payments are made. However, we have decided
not to propose any changes to our rules in this area at this time.
The second question on which we invited comment was whether and how
we should simplify the definition of ``using a ticket'' under the
Ticket to Work program and how we might best revise the timely progress
requirements consistent with the intent of the legislation. It is
primarily this question which we are addressing in this NPRM. As
described earlier, this NPRM sets forth proposed changes in our rules
to simplify the definition of ``using a ticket'' and to improve the
related timely progress requirements. We believe that these proposed
changes will provide greater opportunities for beneficiaries to
participate in the Ticket to Work program and enhance their potential
for a successful outcome.
Since these proposed changes are integral to the overall operation
of the Ticket to Work program, we believe that it would be unwise to
make final changes in the areas addressed by the September 30, 2005
NPRM before we make final changes in areas addressed by this NPRM.
Issuing two separate final rules might both confuse our beneficiaries
and impose a significant administrative burden on ENs and State VR
agencies, which would be required to make two sets of operational
changes based on two separate final rules. Accordingly, we intend to
issue one comprehensive final rule on the Ticket to Work program in
response to both the September 2005 NPRM and this NPRM.
Regulatory Procedures
Clarity of These Proposed Rules
Executive Order 12866, as amended, requires each agency to write
all rules in plain language. In addition to your substantive comments
on these proposed rules, we invite your comments on how to make these
proposed rules easier to understand. For example:
Have we organized the material to suit your needs?
Are the requirements in the rules clearly stated?
Do the rules contain technical language or jargon that is
not clear?
Would a different format (grouping and order of sections,
use of headings, paragraphing) make the rules easier to understand?
Would more (but shorter) sections be better?
Could we improve clarity by adding tables, lists, or
diagrams?
What else could we do to make the rules easier to
understand?
Executive Order 12866
We have consulted with the Office of Management and Budget (OMB)
and determined that these proposed rules are subject to OMB review
because they meet the criteria for a significant regulatory action
under Executive Order 12866, as amended. The Office of the Chief
Actuary estimates that these proposed rules, if finalized in
conjunction with the other provisions of expected final rules for the
Ticket to Work program resulting from the NPRM published September 30,
2005 (70 FR 57222), would reduce the total cost of the combined final
rules. Specifically, that Office estimates that the projected increased
program outlays which would result from the adoption of the rules
proposed in the September 2005 NPRM, which are described in that NPRM
in the section ``Executive Order 12866'' (70 FR at 57228), would be
reduced by the following amounts ($ in millions) if the rules we are
now proposing and the September 2005 proposed rules were adopted in a
combined final rule.
The main reason for this reduction in cost relative to the
September 2005 proposed rules is that the current proposed rule would
make changes to the timely progress specifications that are used to
determine whether a ticket is in use and thus subject to certain
protections against the possibility of benefit termination through a
medical continuing disability review (CDR). The net effect of these
changes is to shorten the duration of the CDR protection by about 24
months on average.
------------------------------------------------------------------------
Fiscal year SSDI SSI Total
------------------------------------------------------------------------
2008....................................... ...... $< 1 $< 1
2009....................................... ...... -1 -1
2010....................................... -8 $< 1 -8
2011....................................... -27 -1 -27
2012....................................... -50 -3 -53
2013....................................... -59 -4 -63
2014....................................... -65 -3 -68
2015....................................... -69 -3 -72
2016....................................... -72 -3 -75
2017....................................... -73 -8 -82
Totals:
2008-12.................................. -85 -5 -90
2008-17.................................. -423 -26 -449
------------------------------------------------------------------------
(Totals may not equal the sum of components due to rounding.)
Regulatory Flexibility Act
We certify that these proposed rules would not have a significant
economic impact on a substantial number of small entities because they
would primarily affect only individuals and those entities that
voluntarily enter into a contractual agreement with us. Accordingly, a
regulatory flexibility analysis as provided in the Regulatory
Flexibility Act, as amended, is not required.
Federalism
We have reviewed these proposed rules under the threshold criteria
of Executive Order 13132, ``Federalism,'' and determined that they do
not have substantial direct effects on the States, on the relationship
between the national government and the States, or the distribution of
power and responsibilities among the various levels of government.
These proposed rules will complement and enhance the existing State
vocational rehabilitation program.
Paperwork Reduction Act
We are proposing to amend our regulations for the Ticket to Work
and Self-Sufficiency Program, authorized under section 1148 of the
Social Security Act. The Ticket to Work program provides beneficiaries
with disabilities expanded options for access to employment, vocational
rehabilitation, and other support services. We are proposing changes to
our current Ticket to Work program rules to simplify and improve the
definition of ``using a ticket'' and our related requirements for
measuring
[[Page 45196]]
``timely progress toward self-supporting employment.'' As outlined in
the table below, proposed Sec. Sec. 411.192(b) and (c) and 411.210(b)
require beneficiaries to submit a written request to the Program
Manager (PM) to place a ticket in inactive status, reactivate a ticket,
or be reinstated to in-use status. In addition, proposed Sec.
411.200(b) requires beneficiaries, ENs and State VR agencies, when
requested by the PM, to submit information the PM requires to determine
if the beneficiary has met the timely progress guidelines. The
requirement for beneficiaries to make a written request to change the
status of their ticket, and the requirement for beneficiaries, ENs and
State VR agencies to submit information requested by the PM, are public
paperwork reporting burdens that require OMB clearance under the
Paperwork Reduction Act of 1995. Respondents to these collections are
Social Security disability beneficiaries, disabled or blind
supplemental security income beneficiaries, and ENs and State VR
agencies working with these beneficiaries. These burdens are a result
of the agency's consideration of public comments received from the
September 30, 2005, Ticket to Work and Self-Sufficiency Program NPRM.
----------------------------------------------------------------------------------------------------------------
Average burden Estimated
Title/section & collection description Annual number Frequency of response per response annual burden
of respondents (minutes) (hours)
----------------------------------------------------------------------------------------------------------------
Ticket to Work program Sec. 411.192(b) 1,000 One time.............. 30 500
and (c) What choices do I have if I am
temporarily unable to make timely
progress toward self-supporting
employment?
Ticket to Work program Sec. 411.200(b) 27,000 One time.............. 15 6,750
How will the PM conduct my progress
reviews?
Ticket to Work program Sec. 411.210(b) 3,145 One time.............. 30 1,573
What happens if I do not make timely
progress toward self-supporting
employment?
-----------------------------------------------------------------------
Total 31,145 ...................... .............. 8,823
----------------------------------------------------------------------------------------------------------------
An Information Collection Request has been submitted to OMB for
clearance. We are soliciting comments on the burden estimate; the need
for the information; its practical utility; ways to enhance its
quality, utility and clarity; and on ways to minimize the burden on
respondents, including the use of automated collection techniques or
other forms of information technology. Comments should be sent to OMB
by fax or by e-mail to: Office of Management and Budget, Attn: Desk
Officer for SSA, Fax Number: 202-395-6974, E-mail address:
OIRA_Submission@omb.eop.gov.
Comments on the paperwork burdens associated with this rule will be
accepted for up to 60 days after publication of this notice and will be
most useful if received within 30 days of publication. Our suggestion
of early comments does not affect the deadline for the public to submit
comments to SSA on the proposed regulations.
These information collection requirements will not become effective
until approved by OMB. When OMB has approved these information
collection requirements, SSA will publish a notice in the Federal
Register. To receive a copy of the OMB clearance package, you may call
the SSA Reports Clearance Officer on 410-965-0454.
(Catalog of Federal Domestic Assistance Program Nos. 96.001, Social
Security--Disability Insurance; 96.002, Social Security--Retirement
Insurance; 96.004, Social Security--Survivors Insurance; and 96.006,
Supplemental Security Income)
List of Subjects in 20 CFR Part 411
Administrative practice and procedure, Blind, Disability benefits,
Old-Age, Survivors, and Disability insurance, Reporting and
recordkeeping requirements, Social Security, Supplemental security
income, Public assistance programs, Vocational rehabilitation.
Dated: August 3, 2007.
Michael J. Astrue,
Commissioner of Social Security.
For the reasons set out in the preamble, we are proposing to amend
subparts C and E of part 411 of chapter III of title 20 of the Code of
Federal Regulations as set forth below:
PART 411--THE TICKET TO WORK AND SELF-SUFFICIENCY PROGRAM
1. Revise the authority citation for part 411 to read as follows:
Authority: Secs. 702(a)(5) and 1148 of the Social Security Act
(42 U.S.C. 902(a)(5) and 1320b-19); sec. 101(b)-(e), Pub. L. 106-
170, 113 Stat. 1860, 1873 (42 U.S.C. 1320b-19 note).
Subpart C--[Amended]
2. Revise Sec. 411.166 to read as follows:
Sec. 411.166 Glossary of terms used in this subpart.
(a) Using a ticket means you have assigned a ticket to an
Employment Network (EN) or a State VR agency that has elected to serve
you as an EN, and you are making timely progress toward self-supporting
employment as defined in Sec. 411.180; or you have a ticket that would
otherwise be available for assignment and are receiving VR services
pursuant to an individualized plan for employment (IPE) and the State
VR agency has chosen to be paid for these services under the cost
reimbursement payment system, and you are making timely progress toward
self-supporting employment as defined in Sec. 411.180. (See Sec.
411.171 for when the period of using a ticket ends.)
(b) Timely progress toward self-supporting employment means you
have completed the specified goals of work and earnings, completed
post-secondary education credits at an educational institution (see
Sec. 411.167) in pursuit of a degree or certificate, or completed
course requirements for a vocational or technical training program at
an educational institution consisting of a technical, trade or
vocational school (see Sec. 411.167), in the applicable progress
certification period as described in Sec. 411.180.
(c) Timely progress guidelines mean the guidelines we use to
determine if you are making timely progress toward self-supporting
employment (see Sec. 411.180).
(d) Progress certification period means any 12-month progress
certification period described in Sec. 411.180(b).
(e) Progress review means the reviews the PM conducts to determine
if you are meeting the timely progress guidelines described in Sec.
411.180. We explain the method for conducting progress reviews in Sec.
411.200.
(f) Extension period is a period of up to 90 days during which you
may reassign a ticket without being subject to
[[Page 45197]]
continuing disability reviews. You may be eligible for an extension
period if the ticket is in use and no longer assigned to an EN or State
VR agency acting as an EN (see Sec. 411.220).
(g) Inactive status is a status in which you may place your ticket
if you are temporarily unable to make timely progress toward self-
supporting employment during a progress certification period. See Sec.
411.192 for the rules on placing your ticket in inactive status and on
reactivating your ticket.
3. Add Sec. 411.167 to read as follows:
Sec. 411.167 What is an educational institution or a technical, trade
or vocational school?
(a) Educational institution means a school (including a technical,
trade, or vocational school), junior college, college or university
that is: operated or directly supported by the United States; operated
or directly supported by any State or local government or by a
political subdivision of any State or local government; or approved by
a State agency or subdivision of the State, or accredited by a State-
recognized or nationally recognized accrediting body.
(b) Technical, trade or vocational school is an educational
institution that is approved by a State agency or subdivision of the
State or accredited by a State-recognized or nationally recognized
accrediting body to provide technical, trade or vocational training.
(c) State-recognized accrediting body means an entity designated or
recognized by a State as the proper authority for accrediting schools,
colleges or universities.
(d) Nationally recognized accrediting body means an entity
determined to be such by the U.S. Department of Education.
(e) Approval by a State agency or subdivision of the State includes
approval of a school, college or university as an educational
institution, or approval of one or more of the courses offered by a
school, college or university.
4. Revise paragraph (b) of Sec. 411.171 to read as follows:
Sec. 411.171 When does the period of using a ticket end?
* * * * *
(b) The day before the effective date of a decision under Sec.
411.200 or Sec. 411.205 that you are no longer making timely progress
toward self-supporting employment;
* * * * *
5. Revise Sec. 411.180 to read as follows:
Sec. 411.180 What is timely progress toward self-supporting
employment?
(a) General. We consider you to be making timely progress toward
self-supporting employment when you show progress toward the ability to
work at levels which will reduce your dependence on Social Security
disability benefits or SSI benefits. We will also consider you to be
making timely progress if you show progress toward obtaining an
educational degree or certificate, or vocational or technical training
that will enhance your ability to return to work.
(b) 12-month progress certification periods. The first 12-month
progress certification period begins with the month following the month
in which you first assigned your ticket, or the month after you have a
ticket that would otherwise be available for assignment and are
receiving VR services under an IPE from a State VR agency which has
chosen to be paid under the cost reimbursement payment system. Any
subsequent 12-month progress certification period will begin with the
month following the end of the previous 12-month progress certification
period. In computing any 12-month progress certification period, we do
not count any month during which--
(1)(i) Your ticket is not assigned; and
(ii) You have a ticket available for assignment and are not
receiving services under an IPE from a State VR agency which chose the
cost reimbursement payment system; or
(2) Your ticket is in inactive status (see Sec. 411.192).
(c) We will determine if you are making timely progress toward
self-supporting employment by using the following guidelines:
(1) During the first 12-month progress certification period, you
must be making timely progress as follows:
(i) You must have worked in at least three months within this 12-
month period and have earnings in each of those three months that are
equal to or greater than the amount representing a trial work service
month (see Sec. 404.1592(b) of this chapter); or
(ii) You must have been enrolled in a four-year degree or
certification program at an educational institution and have completed
at least 24 post-secondary credit hours, or the equivalent of one
academic year of full-time study, in the program by the end of this 12-
month period; or
(iii) You must have been enrolled in a vocational or technical
training program at an educational institution consisting of a
technical, trade or vocational school and have completed at least 50
percent of the course requirements of the program by the end of this
12-month period.
(2) During the second 12-month progress certification period, at
the conclusion of 24 months of ticket use, you must be making timely
progress as follows:
(i) You must have worked in at least six months within this 12-
month period and have earnings in each of those six months that are
equal to or greater than the amount representing a trial work service
month (see Sec. 404.1592(b) of this chapter); or
(ii) You must have been enrolled in a four-year degree or
certification program at an educational institution and completed a
cumulative total of 50 post-secondary credit hours, or the equivalent
of two academic years of full-time study, in the program by the end of
this 12-month period; or
(iii) You must have been enrolled in a vocational or technical
training program at an educational institution consisting of a
technical, trade or vocational school and have completed the course
requirements of the program by the end of this 12-month period.
(3) During the third 12-month progress certification period, at the
conclusion of 36 months of ticket use, you must be making timely
progress as follows:
(i) You must have worked in at least nine months within this 12-
month period and have gross earnings from employment (or net earnings
from self-employment as defined in Sec. 404.1080 of this chapter) in
each of those nine months that are more than the SGA threshold amount
specified in Sec. 404.1574(b)(2) of this chapter; or
(ii) You must have been enrolled in a four-year degree or
certification program at an educational institution and completed a
cumulative total of 70 post-secondary credit hours, or the equivalent
of three academic years of full-time study, in the program by the end
of this 12-month period.
(4) During the fourth 12-month progress certification period, at
the conclusion of 48 months of ticket use, you must be making timely
progress as follows:
(i) You must have worked in at least nine months within this 12-
month period and have gross earnings from employment (or net earnings
from self-employment as defined in Sec. 404.1080 of this chapter) in
each of those nine months that are more than the SGA threshold amount
specified in Sec. 404.1574(b)(2) of this chapter; or
(ii) You must have been enrolled in a four-year degree or
certification program at an educational institution and completed a
cumulative total of 100
[[Page 45198]]
post-secondary credit hours, or the equivalent of four academic years
of full-time study, in the program by the end of this 12-month period.
(5) During the fifth 12-month progress certification period, at the
conclusion of 60 months of ticket use, you must be making timely
progress as follows:
(i) You must have worked in at least six months within this 12-
month period and have earnings in each of those six months that
preclude payment of Social Security disability benefits and Federal SSI
cash benefits; or
(ii) You must have completed the course work and earned a degree or
certificate from a four-year degree or certification program at an
educational institution by the end of this 12-month period.
(6) During all subsequent 12-month progress certification periods,
you must have worked in at least six months within the 12-month period
and have earnings in each of those six months that preclude payment of
Social Security disability benefits and Federal SSI cash benefits.
Sec. 411.185 [Removed]
6. Remove Sec. 411.185.
Sec. 411.190 [Removed]
7. Remove Sec. 411.190.
8. Add Sec. 411.192 to read as follows:
Sec. 411.192 What choices do I have if I am temporarily unable to
make timely progress toward self-supporting employment?
(a) If you report to the PM that you are temporarily unable to make
timely progress toward self-supporting employment during a progress
certification period, the PM will give you the choice of placing your
ticket in inactive status or, if applicable, taking your ticket out of
assignment.
(b) You may place your ticket in inactive status at any time by
submitting a written request to the PM asking that your ticket be
placed in inactive status. Your ticket will be placed in inactive
status beginning with the first day of the month following the month in
which you make your request. You are not considered to be using a
ticket during months in which your ticket is in inactive status, thus
you will be subject to continuing disability reviews during those
months. The months in which your ticket is in inactive status do not
count toward the time limitations for making timely progress toward
self-supporting employment.
(c) You may reactivate your ticket and return to in-use status if
your ticket is still assigned to an EN or State VR agency acting as an
EN. You may also reactivate your ticket and return to in-use status if
you have a ticket which would otherwise be available for assignment,
you were receiving services under an IPE from a State VR agency which
chose the cost reimbursement payment system and your VR case has not
been closed by the State VR agency. You may reactivate your ticket by
submitting a written request to the PM. Your ticket will be reactivated
beginning with the first day of the month following the month in which
the PM receives your request. The progress certification period will
resume counting from the last month of in-use status, and the next
progress review will be due when the progress certification period has
been completed. Earnings from work, or completion of post-secondary
education credits in a four-year degree or certification program or
course requirements in a vocational or technical training program, as
described in Sec. 411.180, during the period your ticket is in
inactive status may be counted toward meeting the requirements for the
next progress review.
(d) You may take your ticket out of assignment under Sec.
411.145(a) at any time.
Sec. 411.195 [Removed]
9. Remove Sec. 411.195.
10. Revise Sec. 411.200 to read as follows:
Sec. 411.200 How will the PM conduct my progress reviews?
The PM will conduct a progress review at the end of each 12-month
progress certification period.
(a) The PM will first review the available administrative records
to determine if you completed the work requirements as specified in
Sec. 411.180 in the applicable progress certification period.
(b) If the administrative records do not indicate that you met the
work requirements, the PM will contact either you or your EN or State
VR agency to request additional information to determine if you
completed the work requirements or have met the educational or training
requirements as specified in Sec. 411.180 in the applicable progress
certification period.
(c) If the PM finds that you completed the work requirements or met
the educational or training requirements as specified in Sec. 411.180
in the applicable progress certification period, the PM will find that
you are making timely progress toward self-supporting employment. On
the basis of that finding, we will consider you to be making timely
progress toward self-supporting employment until your next scheduled
progress review.
(d) If the PM finds that you did not complete the work requirements
or meet the educational or training requirements as specified in Sec.
411.180 in the applicable progress certification period, the PM will
find that you are not making timely progress toward self-supporting
employment. If the PM makes such a finding, the PM will send a written
notice of the decision to you at your last known address. This notice
will explain the reasons for the decision and inform you of the right
to ask us to review the decision. This decision will be effective 30
days after the date on which the PM sends the notice of the decision to
you, unless you request that we review the decision under Sec.
411.205.
11. In Sec. 411.210, revise paragraph (b), the heading of
paragraph (c), and the fourth sentences of both paragraphs (c)(1) and
(c)(2) to read as follows:
Sec. 411.210 What happens if I do not make timely progress toward
self-supporting employment?
* * * * *
(b) Re-entering in-use status. If you failed to meet the timely
progress guidelines for a 12-month progress certification period and
you believe that you have now met the applicable requirements for that
progress certification period as described in Sec. 411.180, you may
request that you be reinstated to in-use status. In order to do so, you
must submit a written request to the PM asking that you be reinstated
to in-use status and you must provide evidence showing that you have
met the applicable requirements for the progress certification period.
The PM will decide whether you have satisfied the applicable
requirements for the progress certification period and may be
reinstated to in-use status. If the PM determines you have met the
applicable requirements for the progress certification period, you will
be reinstated to in-use status, provided that your ticket is assigned
to an EN or State VR agency acting as an EN, or you have a ticket which
would otherwise be available for assignment and you are receiving
services under an IPE from a State VR agency which has chosen the cost
reimbursement payment system. See paragraph (c) of this section for
when your reinstatement to in-use status will be effective. After you
are reinstated to in-use status, your next 12-month progress
certification period will begin.
(c) Decisions on re-entering in-use status. (1) * * * If the PM
decides that you have satisfied the requirements for re-entering in-use
status (including the
[[Page 45199]]
requirement that your ticket be assigned to an EN or State VR agency
acting as an EN, or that you have a ticket which would otherwise be
available for assignment and are receiving services under an IPE from a
State VR agency that has chosen the cost reimbursement payment system),
you will be reinstated to in-use status effective with the date on
which the PM sends the notice of the decision to you. * * *
(2) * * * If we decide that you have satisfied the requirements for
re-entering in-use status (including the requirement that your ticket
be assigned to an EN or State VR agency acting as an EN, or that you
have a ticket which would otherwise be available for assignment and are
receiving services under an IPE from a State VR agency that has chosen
the cost reimbursement payment system), you will be reinstated to in-
use status effective with the date on which we send the notice of the
decision to you.
12. In Sec. 411.220, revise the first sentence of paragraph (a),
revise paragraph (d)(2), remove paragraph (e), and redesignate
paragraph (f) as paragraph (e) to read as follows:
Sec. 411.220 What if my ticket is no longer assigned to an EN or
State VR agency?
(a) If your ticket was once assigned to an EN or State VR agency
acting as an EN and is no longer assigned, you are eligible for an
extension period of up to 90 days to reassign your ticket. * * *
* * * * *
(d) * * *
* * * * *
(2) Ends 90 days after it begins or when you assign your ticket to
a new EN or State VR agency, whichever is sooner.
* * * * *
13. In Sec. 411.225, revise paragraphs (b) and (c), and remove
paragraph (d) to read as follows:
Sec. 411.225 What if I reassign my ticket after the end of the
extension period?
* * * * *
(b) Time limitations for the timely progress guidelines. Any month
during which your ticket is not assigned and you have a ticket
available for assignment and are not receiving services under an IPE
from a State VR agency which chose the cost reimbursement payment
system, either during or after the extension period, will not count
toward the time limitations for the timely progress guidelines.
(c) If you reassign your ticket after the end of the extension
period. If you reassign your ticket after the end of the extension
period, the period comprising the remaining months in the applicable
12-month progress certification period will begin with the first month
beginning after the day on which the reassignment of your ticket is
effective under Sec. 411.150(c).
14. Add Sec. 411.226 to read as follows:
Sec. 411.226 How will SSA determine if I am meeting the timely
progress guidelines if I assign my ticket prior to [EFFECTIVE DATE OF
FINAL REGULATIONS]?
(a) If you assigned your ticket to an EN or State VR agency prior
to [EFFECTIVE DATE OF FINAL REGULATIONS], we will use the guidelines in
Sec. 411.180(c) to determine whether you are making timely progress
toward self-supporting employment on or after that date. We will
consider you to be in the first or a subsequent 12-month progress
certification period under Sec. 411.180 as of that date. We will
determine your applicable 12-month progress certification period and
the number of months remaining in that period as of that date by
counting all months during which your ticket was assigned and in use
during the period--
(1) Beginning with the month following the month in which you first
assigned your ticket under the rules in effect prior to that date; and
(2) Ending with the close of the month immediately before that
date.
(b) Subsequent 12-month progress certification periods will follow
the rules in Sec. 411.180.
(c) If, on [DATE ONE DAY BEFORE EFFECTIVE DATE OF FINAL
REGULATIONS], your ticket is in use and assigned to a State VR agency
which chose to be paid for services it provides to you under the cost
reimbursement payment system, your period of using a ticket may
continue under the rules in this subpart, including the rules in
paragraphs (a) and (b) of this section. However, your ticket will no
longer be considered assigned to that State VR agency effective
[EFFECTIVE DATE OF FINAL REGULATIONS]. You may assign your ticket after
the State VR agency has closed your case.
Subpart E--[Amended]
15. Add paragraph (d) to Sec. 411.310 to read as follows:
Sec. 411.310 How does an entity other than a State VR agency apply to
be an EN and who will determine whether an entity qualifies as an EN?
* * * * *
(d) One-stop delivery systems established under subtitle B of title
I of the Workforce Investment Act of 1998 (29 U.S.C. 2811 et seq.) may
participate in the Ticket to Work program as ENs and do not need to
respond to the RFP. However, in order to participate in the Ticket to
Work program, the one-stop delivery system must enter into an agreement
with the Commissioner to be an EN and must maintain compliance with
general and specific selection criteria as described in Sec. 411.315
in order to remain an EN.
16. Add paragraph (e) to Sec. 411.315 to read as follows:
Sec. 411.315 What are the minimum qualifications necessary to be an
EN?
* * * * *
(e) One-stop delivery systems established under subtitle B of title
I of the Workforce Investment Act of 1998 (29 U.S.C. 2811 et seq.) are
qualified to be ENs. A one-stop delivery system must enter into an
agreement with the Commissioner to be an EN and must maintain
compliance with general and specific selection criteria of this section
and Sec. 411.305 in order to remain an EN.
[FR Doc. E7-15715 Filed 8-10-07; 8:45 am]
BILLING CODE 4191-02-P