Agency Information Collection Activities: Comment Request

The Social Security Administration (SSA) publishes a list of information collection packages requiring clearance by the Office of Management and Budget (OMB) in compliance with Public Law 104–13, the Paperwork Reduction Act of 1995, effective October 1, 1995. This notice includes one new information collection for OMB-approval.

SSA is soliciting comments on the accuracy of the agency's burden estimate; the need for the information; its practical utility; ways to enhance its quality, utility, and clarity; and ways to minimize burden on respondents, including the use of automated collection techniques or other forms of information technology. Mail, email, or fax your comments and recommendations on the information collection(s) to the OMB Desk Officer and SSA Reports Clearance Officer at the following addresses or fax numbers.

(OMB), Office of Management and Budget, Attn: Desk Officer for SSA, Comments: https://www.reginfo.gov/public/do/PRAMain. Submit your comments online referencing Docket ID Number [SSA–2023–0016].

(SSA), Social Security Administration, OLCA, Attn: Reports Clearance Director, 3100 West High Rise, 6401 Security Blvd., Baltimore, MD 21235, Fax: 833–410–1631, Email address: OR.Reports.Clearance@ssa.gov.

Or you may submit your comments online through https://www.reginfo.gov/public/do/PRAMain, referencing Docket ID Number [SSA–2023–0016].

SSA submitted the information collection below to OMB for clearance. Your comments regarding this information collection would be most useful if OMB and SSA receive them 30 days from the date of this publication. To be sure we consider your comments, we must receive them no later than June 20, 2023. Individuals can obtain copies of this OMB clearance package by writing to OR.Reports.Clearance@ssa.gov.

Upload Documents (eSubmit)—20 CFR 404.704; 404.1512, 416.912, and 422.505—0960–NEW

Background

From March 17, 2020, through April 7, 2022, because of the Coronavirus (COVID–19) public health emergency, SSA encouraged the public to use our online and automated telephone services while we offered limited in-person services in field offices. While we were able to complete forms with the public through our personal interview process via telephone or video conference, we still needed to request the submission of evidence and some paper forms for which we have no other process. The need to submit these forms to SSA via mail poses a significant burden on the members of the public doing business with us. In addition, the increased volume of documents sent to our field offices presented an enormous challenge to SSA, as we had limited staff on site to process the mail at that time. This limited the time the field office staff had to review and process those submissions or work directly with the public. To lessen the burden on front-line employees and managers, allow staff more time to work with the public and process the information we receive, and to modernize form submission and document intake, we are creating a new service called Upload Documents (eSubmit).

Upload Documents (eSubmit)

SSA is introducing Upload Documents (eSubmit), a new way individuals can submit evidence and forms to SSA online. In the digital age, individuals expect to complete transactions online, including submission of documents and forms to government agencies. The agency already offers several self-service specific options for individuals to submit forms and other documents online, including the Electronic Protective Filing Tool, ePFT (OMB No. 0960–0826), internet Social Security Benefits Application, iClaim (OMB No. 0960–0618), and iAppeals (OMB No. 0960–0269 & 0960–0622).

Upload Documents (eSubmit) is a secure upload portal which respondents will use to submit documents and forms to SSA. To ensure the success of Upload Documents (eSubmit), we will roll out the new application in several phases. The first phase will allow respondents to provide select documents (evidence that does not need to be certified or evidence which the agency does not require to be an original, also known collectively as “non original documentation,” and first-party forms that do not require a signature) to SSA electronically. Individuals must provide this information themselves since they will have to authenticate with their own information through one of several authentication methods ( i.e., Login.gov, ID.me, or SSA's Public Credentialing and Authentication Process).

During this initial release for Upload Documents (eSubmit), we will contact the respondent, via telephone or face-to-face interview with SSA, for a business matter ( e.g., filing a claim, performing a redetermination, or updating their personal information). During the interaction, the SSA technician will inform the individual verbally that SSA requires additional information to support their request and will offer the opportunity to provide the information electronically via the Upload Documents (eSubmit) application. After the respondent grants consent to SSA, we will generate a one-time email containing a link to Upload Documents (eSubmit) with instructions on how to access Upload Documents (eSubmit). The system will only make the electronic submission process available within 30 days from the date of the email. Concurrently, the technician will print a paper notice containing more details about the request, including any applicable due process deadline for submission, and will send it through postal mail to the respondent. Once the respondent authenticates and arrives at the Upload Documents (eSubmit) dashboard, the system will present the respondent with information regarding the items SSA requested for submission (examples of the documentation SSA may request include forms or non-standardized evidence to support the request [ e.g., pay stubs, bank statements, pension award letters, tax documents, child support payment history, etc.]). From this screen, the individual will be able to upload the corresponding files from an electronic device. Once they finish uploading the documents, the respondents must select the Submit button to complete the action and the system will present them with an indicator of success or failure. The system will notify the technician through the Technician Experience Dashboard (TED) when the document is available for review and consideration.

The second release of Upload Documents (eSubmit) will include an electronic signature functionality that will allow respondents to submit some forms requiring signature.

Respondents are first-party individuals who choose to use the internet to conduct business with us. To ensure Upload Documents (eSubmit) will collect respondents' legally enforceable electronic signature, SSA developed an electronic signing process in consideration of the five requirements for a legally valid and binding electronic signature established by the General Services Administration, Federal Chief Information Officers Council guidance in Use of Electronic Signatures in Federal Organization Transactions: (1) Identification and Authentication of Signer; (2) Electronic Form of Signature; (3) Intent to Sign; (4) Signature Attached to or Associated with the Signed Electronic Record; and (5) Preservation of the Integrity of the Record. Our new Upload Documents (eSubmit) platform will incorporate these requirements for the second release, thereby allowing us to accept electronically signed forms and documents through the new Upload Documents (eSubmit) portal. To ensure our system is prepared to accept forms electronically signed in this manner, we will complete periodic future releases after the second release to allow Upload Documents (eSubmit) to accept more agency forms in the future.

Respondents are first-party individuals who choose to use the internet to conduct business with us.

Type of Request: Request for a new information collection.