[Federal Register Volume 69, Number 86 (Tuesday, May 4, 2004)]
[Notices]
[Pages 24699-24700]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 04-10055]


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SOCIAL SECURITY ADMINISTRATION

[Social Security Ruling, SSR 04-1p]


Attestation as an Alternative Signature

AGENCY: Social Security Administration (SSA).

ACTION: Notice of social security ruling.

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SUMMARY: In accordance with 20 CFR 402.35(b)(1), the Commissioner of 
Social Security gives notice of Social Security Ruling, SSR-04-1p. This 
Ruling expands the Agency's policies to use attestation as an alternate 
signature method for SSA applications for benefits. The Agency will 
extend attestation, without further notice, to other processes as we 
gain experience and as we deem appropriate. The use of attestation as 
an alternate signing method will facilitate SSA's use of electronic 
records in lieu of paper records and increase its electronic 
processing.

EFFECTIVE DATE: May 4, 2004.

FOR FURTHER INFORMATION CONTACT: Lola Doyle, Office of Income Security 
Programs, Social Security Administration, 6401 Security Boulevard, 
Baltimore, MD 21235-6401, (410) 965-5899.

SUPPLEMENTARY INFORMATION: Although we are not required to do so 
pursuant to 5 U.S.C. 552(a)(1) and (a)(2), we are publishing this 
Social Security Ruling in accordance with 20 CFR 402.35(b)(1).
    Social Security Rulings make available to the public precedential 
decisions relating to the Federal Old-age, Survivors, Disability, 
Supplemental Security Income, and Black Lung benefits programs. Social 
Security Rulings may be based on case decisions, Commissioner's 
decisions, opinions of the Office of the General Counsel, and policy 
interpretations of the law and regulations.
    Although Social Security Rulings do not have the same force and 
effect as the statute or regulations, they are binding on all 
components of the Social Security Administration, in accordance with 20 
CFR 402.35(b)(1), and are to be relied upon as precedents in 
adjudicating cases.
    If this Social Security Ruling is later suspended, modified, or 
rescinded, we will publish a notice in the Federal Register to that 
effect.

(Catalog of Federal Domestic Assistance, Programs 96.001 Social 
Security--Disability Insurance; 96.002 Social Security--Retirement 
Insurance; 96.003 Social Security--Special Benefits for Persons Aged 
72 and Over; 96.004 Social Security--Survivors Insurance; 96.006 
Supplemental Security Income)

    Dated: April 28, 2004.
Jo Anne B. Barnhart,
Commissioner of Social Security.

Policy Interpretation Ruling

Attestation as an Alternative Signature

    Purpose: To announce the approval and planned use of attestation as 
an alternate means to satisfy the signing of SSA applications for 
benefits. Although this ruling addresses applications for benefits, the 
Agency will extend attestation, without further notice, to other 
processes as we gain experience and as we deem appropriate. Other 
processes may include requests for appeals and withdrawals, foreign 
claims, and Title XVI of the Social Security Act redeterminations 
processed through SSA's automated claims systems.
    Citations: Regulations No. 4, subpart G, sections 404.610, 404.612, 
404.630, 404.631, 404.632, 404.640 and 404.641; subpart J, sections 
404.909, 404.924, 404.925, 404.933, and 404.968; and Regulations No. 
16, subpart C, sections 416.310, 416.315, 416.340, 416.345, 416.350, 
and 416.355; subpart N, sections 416.1409, 416.1424, 416.1425, 
416.1433, and 416.1468.
    Introduction: SSA has a long established reliance on the pen-and-
ink signature for applications and requests for appeals and 
withdrawals. However, as we will describe, SSA also has the authority 
to use alternate signature methods to satisfy the signing requirements 
under our existing regulations. As SSA increases the use of electronic 
technology in its business process, the use of alternate signing 
methods will also increase.
    The Agency regulations require that one of certain prescribed 
persons signs an application for Social Security or Supplemental 
Security Income benefits in order to establish a valid claim for 
benefits. To satisfy this signing requirement, SSA has long required a 
pen-and-ink signature on paper applications. SSA's procedures also 
permit the use of a pen-and-ink mark on the application in place of the 
individual's signature provided the mark is witnessed and such 
witnessing is documented in the claims record. Even for the existing 
Agency Web site application for benefits, SSA currently requires an 
applicant to submit a signed and completed paper application.
    SSA regulations regarding requests for administrative appeals and 
withdrawals require that such requests be ``written'' or ``in 
writing.'' SSA has interpreted these regulations as also requiring a 
signature or signing.
    In 1996, SSA established policy formally interpreting its authority 
to accept alternate means of signing under its regulations. SSR 96-10p 
dated December 30, 1996, established a policy authorizing the use of 
approved electronic or digital signature technologies in lieu of the 
pen-and-ink signature. SSA established this authority as part of a 
broader policy authorizing the Agency's use of electronic documents and 
records in lieu of paper records. SSR 96-10p further expands the 
definition of a ``signature'' to include electronic and digital 
signature methods. SSR 96-10p remains in effect and is consistent with 
this ruling.
    In August 2002, SSA clarified its procedures for the review and 
approval of electronic and digital signature technologies. In a Federal 
Register notice dated August 30, 2002, SSA indicated that it could 
adopt these technologies as well as other means of signing to 
facilitate electronic processing of its claims. The notice advised that 
SSA would treat information received or distributed through an approved 
electronic service delivery process as the functional equivalent of 
information received or distributed using traditional paper based 
methods.

SUPPLEMENTARY INFORMATION: The purpose of this ruling is to notify the 
public of the Agency's adoption of attestation as an alternative to the 
pen-and-ink signature to facilitate SSA's use of electronic records in 
lieu of paper records and to increase its electronic processing. For 
SSA purposes, attestation is defined as the actions taken by a SSA 
employee in confirming

[[Page 24700]]

and documenting the applicant's affirmation of the application 
information and the applicant's intent to submit the application data 
for processing. During the application process, the SSA employee (or an 
individual officially designated to act on behalf of SSA) will explain 
to the applicant that SSA no longer requires a pen-and-ink signature on 
a paper application/printout so that SSA may reduce the reliance on 
paper records and implement a fully electronic application process. 
(Throughout this document the reference to a SSA employee also pertains 
to an individual officially designated to act on behalf of SSA.) The 
applicant must establish his or her intent to file, and he or she must 
be provided with the penalty clause information that explains the 
consequences for providing false information to SSA. SSA will begin 
using this alternative signature method in the near future for 
applications for benefits. SSA will extend this procedure to other 
processes as deemed appropriate.
    Policy Interpretation: It is SSA policy that an application for 
benefits may be ``signed'' by a SSA employee's attestation. At the 
beginning of the application process, the applicant is informed that a 
pen-and-ink signature is no longer required if he or she intends to 
file and he or she understands the penalty for providing false 
information to SSA. To conclude the application process, the SSA 
employee will ask the applicant to confirm the correctness of the 
application data and the applicant's intent to submit the information 
for processing. The SSA employee will attest by annotating the 
applicant's actions in the electronic claims record. The SSA employee's 
attestation will document the applicant's affirmation and ``signing'' 
of the electronic claim and will be deemed equivalent to a pen-and-ink 
signature on a paper application and/or summary printout. The process 
will result in an electronic claim that the Agency will deem as signed. 
The annotated electronic application is considered a valid application 
for benefits. SSA anticipates using attestation also to process 
requests for administrative appeals and for withdrawals of 
applications.
    The attestation as a signature or signing eliminates the need for 
claims interviewers to retain the systems-generated paper applications, 
electronic appeal request forms, or electronic withdrawal request forms 
as proof that individuals applied for benefits, submitted an appeal, or 
requested withdrawal of their application. Instead, the claims 
interviewer documents SSA's records that the applicant ``signed'' these 
forms.
    The Agency expects that there will be situations where attestation 
cannot be used. Alternatively, SSA will require an applicant to affix 
his or her pen-and-ink signature or mark to the summary printout or 
completed paper application. The Agency's electronic claims file will 
be annotated that the application was signed with a pen-and-ink 
signature. The applicant will be informed that the paper printout/
application will no longer be retained by SSA, and the applicant will 
have the option of keeping the application for his or her records. 
However, in rare instances where we are unable to take a claim on the 
system, (e.g., systems exclusions,) we will complete a paper 
application and require that the applicant sign with a pen-and-ink 
signature. When this occurs, SSA will retain the application for its 
records.
    Based on the Agency's broad statutory authority to develop 
appropriate procedures for claims processing and its established policy 
concerning alternate signature methods, SSA has also approved the use 
of an electronic signature for individuals who file applications via 
the Internet at the SSA website. At the conclusion of the Internet 
Social Security Benefit Application, the individual will establish the 
fact that he or she is filing for benefits, affirm the truthfulness of 
the information on his or her application, and agree to sign the 
electronic application for benefits by pressing a ``sign now'' button 
on the Internet screen. Under this planned procedure, SSA will deem 
that the individual's action in pressing the ``sign now'' button is an 
electronic signature for the Internet application.
    As with all interactions with SSA, an individual must provide some 
knowledge-based information (also referred to as personal information) 
to establish his or her identity. To verify identity, the information 
that is provided must match the information already included on SSA 
records.
    Effective Date: This ruling is effective upon publication in the 
Federal Register.

[FR Doc. 04-10055 Filed 5-3-04; 8:45 am]
BILLING CODE 4191-02-P