Justification for Non-Substantive Changes to 0960-0830 (IT Mod Request)

Justification for Non-Substantive Changes for eSignature/Upload Documents

20 CFR 404.704; 404.1512, 416.912, and 422.505

OMB No. 0960-0830

Background

In the digital age, individuals expect to complete transactions online, including submitting documents and forms to government agencies. The agency offers several service-specific options for individuals to submit forms and other documents online (e.g., iClaims, OMB #0960-0618; iAppeals, OMB Number 0960‑0269 & 0960-0622; Electronic Records Express, OMB #0960-0753; etc.). While these available options are useful, the agency uses eSignature/Upload Documents [formerly Upload Documents (eSubmit)] to expand the options for first‑party individuals to securely submit information electronically to SSA to complete business with the agency and support claims for benefits. In addition, Executive Order (EO) 14058, Transforming Federal Customer Experience and Service Delivery to Rebuild Trust in Government, requires SSA to develop a mobile-accessible, online process so that any individual applying for, or receiving services from, SSA can upload forms, documentation, evidence, or correspondence associated with their transaction without the need for service-specific tools or travel to a field office. To comply with EO 14058, SSA created eSignature/Upload Documents, which allows respondents to upload and submit forms, documentation, and evidence to SSA electronically through the Internet or a mobile application.

eSignature/Upload Documents

As per the requirements of EO 14058, respondents may use the secure upload portal, eSignature/Upload Documents, to submit documents and forms to SSA. The current process requires an SSA technician to request forms and evidence from a customer, then send an email or text to the customer with a link to upload these documents. To further expand access and flexibility to our customers, eSignature/Upload documents will expand in March 2025 to allow customer-initiated submissions which will not require customers to interact with SSA to make an online form or evidence submission. This self‑service approach empowers customers to initiate document uploads as soon as they recognize a need, eliminating delays caused by waiting for technician outreach.

SSA will release the new customer-initiated option on March 29, 2025.

Revisions to the Information Collection

• Change #1: SSA is introducing a customer-initiated option for Upload Documents, which will allow the customer to use their my Social Security account, or a deep link to Upload Documents via SSA.gov (which is also behind my Social Security), to electronically submit certain agency forms to us without technician initiation. Subsequently, in FY25 (targeted for June) we will add the ability for customers to submit evidence.

Justification #1: The current Upload Documents process relies on a Social Security Administration (SSA) technician to first generate a task via the Technician Experience Dashboard (TED) and to ask the customer to electronically submit forms and evidence to us. By implementing a self-service approach, we expect it will empower customers to initiate document uploads as soon as they recognize a need, eliminating delays caused by waiting for technician outreach.

Once implemented, SSA anticipates this new process will increase agency efficiency by: (1) allowing technicians to receive documents faster and earlier in the claims process, and (2) alleviating some of the burden on field offices by reducing both a large amount of paper mail and the volume of phone calls and in-person visits to a field office. The customer-initiated process will allow technicians to access submitted documents directly from WorkTrack, which will remove the extra step of technician-customer coordination and eliminate the need for technicians to open, sort, scan, and profile paper submissions. Technicians will more quickly process documents allowing technicians more time to focus on more complex tasks and workloads, ultimately enhancing overall productivity, while also improving customer satisfaction.

Finally, this customer-initiated effort aligns with SSA’s strategic objective #1.2 of expanding digital services for SSA customers. It also aligns with the following sub-categories of that objective:

• Increase the number of successfully completed online transactions

• Better understand our customers’ service preferences

• Address our customers’ service needs

Overall, the customer-initiated option provides a valuable service for all SSA customers as it gives them the ability to submit documents to us without needing to speak with a technician.

• Change #2: The system will prompt customers with standard-level credentials (IAL2A) attempting to submit forms through eSignature/Upload Documents that require advanced-level credentials (IAL2B) to step-up their credentials. The customer will be presented with an on-screen option to “Upgrade Access.” Customers will follow the on-screen prompts to step-up their credentials as determined by SSA’s Digital Identity process. Upon successful credential step-up, the customer will return to the Upload Documents application to continue with their submission.

NOTE: Once a customer obtains an advanced-level credential, there is no need for them do repeat this process in the future.

Justification #2: SSA currently has two credential levels: standard and advanced. Standard-level credentials allow the customer to submit forms with lower-level requirements (IAL2A). Advanced-level credentials allow customers to submit forms with higher-level authentication requirements (IAL2B). A forms credential level is determined by SSA’s Digital Identity Risk Assessment process. This request for respondents to move to the Advanced-level credential will allow them to submit more forms and evidence without the need for any additional authentication. In addition, as we only require them to complete this step once, it allows the respondents the convenience of the higher level for all Upload Document transactions.

Request for Expedited Approval

We will implement these revisions on March 29, 2025, to keep in line with the approved Technology Modernization Fund (TMF) for this application. As the March 29, 2025 date is a required milestone per the TMF agreement, we are requesting OMB approval for these non-substantive changes prior to that date.

We do not anticipate any burden changes for these revisions to the information collection.