[Federal Register Volume 67, Number 169 (Friday, August 30, 2002)]
[Notices]
[Pages 55906-55907]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 02-22286]


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SOCIAL SECURITY ADMINISTRATION


Use of Digital or Other Electronic Signature Technologies

AGENCY: Social Security Administration (SSA).

ACTION: Notice; comments requested.

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SUMMARY: The Social Security Administration (SSA) is reviewing its 
procedures for the consideration and the approval of electronic 
signature technologies in lieu of traditional hard copy (``wet'') 
signatures. This notice explains SSA's authority to accept the use of 
electronic signature technologies when the Agency makes available 
options for electronically transacting program business with SSA or 
with State agencies acting on the Agency's behalf. We are also asking 
for public comments on the portion of this notice that deals with SSA's 
electronic signature policy.
    In addition, we are giving notice about a pilot program to evaluate 
the use of digital signature technology. SSA is currently cooperating 
with a State of California pilot intended to explore the feasibility of 
using digital signature technology in an aspect of the Social Security 
Disability Insurance and the Supplemental Security Income programs.
    The pilot involves the electronic transmission of medical records 
that require a signature (i.e., reports of consultative examinations) 
by a large medical provider to the SSA and to the California State 
Disability Determination Services (DDS). In the pilot, SSA and the 
California DDS are accepting electronic medical reports for a 90-day 
period and are using only these electronic documents to process claims 
for social security benefits. During this period, SSA and the 
California State DDS are to evaluate, in accordance with existing 
regulations, the information contained in the electronic medical 
evidence submitted during the pilot.

DATES: Submit your comments on SSA's electronic signature policy on or 
before September 30, 2002.

ADDRESSES: You may give us your comments by using our Internet site 
facility (i.e., Social Security Online) at http://www.ssa.gov/regulations, e-mail to [email protected]; or telefax to (410) 966-
2830; or by letter to the Commissioner of Social Security, PO Box 
17703, Baltimore, Maryland 21235-7703.
    You may also deliver them to the Office of Process and Innovation 
Management, Social Security Administration, 2109 West Low Rise 
Building, 6401 Security Boulevard, Baltimore, Maryland 21235-6401, 
between 8 a.m. and 4:30 p.m. on regular business days. Comments are 
posted on our Internet site, or you may inspect them physically on 
regular business days by making arrangements with the contact person 
shown in this notice.

FOR FURTHER INFORMATION: Fred Graf, Office of Program Benefits, Social 
Security Administration, 744 Altmeyer Building, 6401 Security Blvd., 
Baltimore MD 21235-6401; telephone (410) 965-7917; telefax 410 965-
8582.

SUPPLEMENTARY INFORMATION:

SSA Electronic Signature Policy

    Pursuant to the Government Paperwork Elimination Act (GPEA), SSA is 
reviewing electronic signature technologies for possible use in 
proposed SSA electronic business processes. Approved electronic 
signature technologies will be used to authenticate the identity of 
individuals for specific electronic transactions. Further, approved 
electronic signature technologies will be deemed by the Agency to 
convey the same authority to an individual as that associated with the 
traditional paper-based or ``wet'' signature.
    GPEA states that electronic records and their related electronic 
signatures are not to be denied legal effect, validity, or 
enforceability merely because they are in electronic form. GPEA and 
implementation guidelines issued by the Office of Management and Budget 
(OMB) encourage Federal agencies to accept a variety of electronic 
signature technologies.
    SSA's policy, contained in Social Security Ruling (SSR) 96-10p, 
further provides that information or documents, for which a signature 
is required, can be signed using digital or other electronic 
technologies approved by us, provided that the digital or other 
electronic signature reasonably ensures that the signer can be 
identified and that the signer cannot later repudiate the submission of 
the information. SSR 96-10p expands the meaning of the term 
``signature'' for SSA's activities to include electronic and digital 
methods that serve the purpose of originator identification, 
authentication, and non-repudiation. Thus, SSR 96-10p provides that 
information for which a signature is required may be signed using 
digital or other electronic technologies approved by us.
    The Social Security Act does not mandate a signature on SSA 
documents or forms. However, SSA's regulations prescribe a signature 
for some SSA business applications and information. Where our 
regulations are silent regarding a signature, our procedures may still 
require, as a matter of policy, individuals to include a signature on 
information or documents submitted to us.
    When we convert to or adopt new electronic procedures to perform 
specific business processes that require a signature, we will conduct a 
risk analysis as OMB guidelines and as applicable social security 
ruling(s) prescribe. Based on the statutory/

[[Page 55907]]

regulatory requirement and/or the results of a risk analysis, we will 
select and approve digital or other electronic signature technology and 
any other procedures that, in our judgment, are appropriate to 
electronically perform the business process.
    Our risk analysis will depend largely upon the specific business 
process which we contemplate providing electronically or over the 
Internet. Generally, we anticipate that the analysis will examine how 
the conversion of a business process electronically or over the 
Internet will affect service to the public. Additionally, we will 
examine how to appropriately manage potential legal risks associated 
with an electronic business process, (including fraud detection, 
prevention, and prosecution concerns). In the planning and selection of 
appropriate procedures and electronic signature technologies, we will 
consider factors associated with traditional paper-based processes, 
such as originator authentication, message integrity, non-repudiation, 
and confidentiality.
    Our approval process for electronic signature technologies is 
detailed in processing instructions. SSA senior management will approve 
the use of electronic signature technologies and related procedures 
with input from SSA components involved in the specific business 
application that we are electronically providing.
    When SSA senior management has approved an electronic service 
delivery process or adopted an electronic process using an electronic 
signature technology, the information received or distributed through 
the approved process will be treated as the functional equivalent of 
information received or distributed using traditional paper-based 
methods.
    As indicated above, we are asking for your comments on our 
electronic signature policy.

Use of Medical Evidence and the Electronic Signature Pilot

    SSA and the State DDS have the authority to accept medical evidence 
in order to determine if an applicant for social security benefits is 
disabled and entitled to benefits. The Social Security Act vests the 
authority to make the initial medical determinations in a State DDS 
where the applicant resides. 42 U.S.C. 405(a), 421, 423(d). The State 
DDS evaluates the medical evidence in accordance with SSA's regulations 
and such other internal procedures as SSA shall prescribe.
    SSA's procedures permit a State DDS to accept medical evidence, 
provided that the claims file contains an acceptable attestation 
regarding the source and the validity of the submitted medical record. 
Currently, SSA's procedures permit a variety of attestations and do not 
require a medical provider's signature as attestation for most medical 
evidence. SSA's regulations do prescribe a signature for the receipt of 
a certain type of medical evidence, called a consultative examination 
report. At the request of the State DDS, a medical provider that is 
usually under contract prepares the consultative examination report.
    SSA's regulations require that a consultant examiner personally 
review and sign the consultative examination report submitted to the 
SSA or State DDS. In the pilot, SSA and the California DDS plan to test 
for 90 days the use exclusively of electronic consultative examination 
reports that are authenticated by digital signature technology. The 
pilot will affect only a small number of disability cases in part of 
the State of California.
    SSA construes its regulations, policy, and the authorization given 
under GPEA, to permit SSA and a State DDS to accept an electronic 
medical report transmitted by a consultative examiner using a digital 
signature technology in lieu of a hard copy report authenticated by the 
wet signature of the consultative examiner.


Authority: 42 U.S.C. 405(a), 421, 423(d); Pub. L. 105-277, Div. C, 
Title XVII, 1701 to 1710, Oct. 21, 1998, Social Security Ruling 96-
10p; 20 CFR 404.1519n(e); 416.919n(e).


    Dated: August 23, 2002.
Martin H. Gerry,
Deputy Commissioner for Disability and Income Security Programs.
[FR Doc. 02-22286 Filed 8-29-02; 8:45 am]
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