Supporting Statment--0421

Supporting Statement for SSA-4513, State Agency Report of Obligations for SSA Disability Programs; SSA-4513 Addendum, State Agency Report of Obligations for SSA Disability Programs; SSA-4514, Time Report of Personnel Services for Disability Determination Services; SSA-871, State Agency Schedule of Equipment Purchased for SSA Disability Programs

20 CFR 404.1626

OMB Number 0960-0421

A. Justification

1. The authority to request information from State disability determination services (DDS) on titles II and XVI beneficiaries/recipients is contained in Section 221(a)(1) and (2) of the Social Security Act. Section 221 requires the Social Security Administration (SSA) to ensure effective and uniform administration of the disability program throughout the United States. In keeping with this mandate, regulations were issued establishing national DDS performance standards--specifically accuracy and processing time standards. SSA’s intention--regarding establishing standards for costs--is stated in the preamble to the regulations. Uniform administration of the disability program requires that the DDS’s performance be achieved within the context of DDS costs provided in the data. The Office of Disability Determinations (ODD), Division of DDS Budget (DDDSB), is charged with the responsibility for measuring the cost-effectiveness of DDSs that make disability determinations for SSA under the regulatory and administrative process. The purpose of this data is to budget and account for expenditures of funds for the DDS disability program, as contained in the 20 CFR 404.1626 of the Code of Federal Regulations.
   
   

2. Collecting this data enables ODD to accurately determine expenditures, resulting in an appropriate level of Federal control over the $1.8 billion DDS budget. An accurate system for monitoring State cost-effectiveness is essential and mandated.
   
   

3. To reduce the reporting burden, we provide all the forms electronically to the State agencies via email. Forms SSA-4514 and SSA-871 are sent as Microsoft Excel spreadsheets which the DDSs may fill out electronically and submit back to SSA via email. However, regulations require an original “authorizing” signature on Form SSA-4513; therefore, we require the DDSs to print out an original hardcopy of the SSA-4513, to be filled out, signed and sent back to SSA via the US Postal Service.

4. The nature of the information being collected and the manner in which it is collected preclude duplication. There is no other collection instrument used by SSA that collects data similar to that collected here.

5. This collection does not have a significant impact on any small businesses or other small entities.
   
   

6. We would not be able to plan, budget, manage and control the sizeable expenditure category of DDS agency costs if this information were not collected. To collect the information less frequently would jeopardize the validity of our database, lessen our process confidence level, and weaken the system we have been mandated by law to develop. There are no technical or legal obstacles that prevent burden reduction.
   
   

7. There are no special circumstances that would cause this information collection to be conducted in a manner inconsistent with 5 CFR 1320.5.
   
   

8. The 60-day advance Federal Register Notice was published on March 23, 2007 at 72 FR 13851, and SSA has received no public comments. The second Notice was published on June 13, 2007, at 72 FR 32697. There have been no outside consultations with members of the public.

The First Federal Register Notice mistakenly states that there are 54 respondents (and the calculations were based on that number). The Second Federal Register Notice corrects this error based on current management information which states that there are only 52 respondents, however, the Second Federal Register Notice contains a mistake: while the total Estimated Annual Burden is correct on the chart shown in the Notice, the amount stated above the chart is incorrect. The chart in #12 reflects the updated and correct information.

9. SSA provides no payment or gifts to the respondents.

9. The information provided on these forms is protected and held confidential in accordance with 42 U.S.C. 1306, 20 CFR 401 and 402, 5 U.S.C. 552 (Freedom of Information Act), 5 U.S.C. 552a (Privacy Act of 1974) and OMB Circular No. A-130.

11. The information collection does not contain any questions of a sensitive nature.

11. All 52 State agencies (all State government) use the DDS Reporting forms once per quarter. We have estimated that the forms take from 30-90 minutes to complete. Listed below is a burden hour breakdown by form:

	Respondents	Frequency of Response	Average Burden Per Response	Estimated Annual Burden
SSA-4513 &Addendum	52	4	90-min.	312 hours
SSA-4514	52	4	90-min.	312 hours
SSA-871	52	4	30-min.	104 hours
Totals	52			728 Hours

This results in a total of 728 burden hours. The total burden is reflected as burden hours. No separate cost burden has been calculated.

11. There is no cost to the respondents because the State DDSs are 100 percent federally funded.

14. The annual cost to the Federal government is approximately $24,358.88 (see basis for estimate below). This estimate is a projection of the costs for printing and distributing the collection instrument and for collecting the information:

(Printing cost per form $1.54) x (12 forms) x (52 States) = $960.96

(Average hourly DDS salary $32.14) x (14 hours) x (52 States) = $23,397.92

14. There are no changes in the public reporting burden.

16. The results of the information collection will not be published.

16. OMB has granted SSA an exemption from the requirement that the expiration date for OMB approval be printed on its program forms. SSA produces millions of public-use forms, many of which have a life cycle longer than that of an OMB clearance. SSA does not periodically revise and reprint its public-use forms, (e.g., on an annual basis). This exemption was granted so that otherwise useable editions of forms would not be taken out of circulation because the expiration date had been reached. In addition, government waste has been avoided because stocks of forms will not have to be destroyed and reprinted.

16. SSA is not requesting an exception to the certification requirements at 5 CFR 1320.9 and related provisions at 5 CFR 1320.8(b)(3).

B. Collections of Information Employing Statistical Methods

Statistical methods are not used for this information collection.

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