SSR 04-1p: Attestation as an Alternative Signature

Effective/Publication Date: 05/04/2004

POLICY INTERPRETATION RULING

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.

d 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.

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 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

'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

ecord. 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.

er 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 .