Social Security Disability: Additional Performance Measures and Better Cost Estimates Could Help Improve SSA's Efforts to Eliminate Its Hearings Backlog
GAO-09-398
Published: Sep 09, 2009. Publicly Released: Sep 09, 2009.
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Highlights
(SSA) has experienced processing delays and significant backlogs of disability claims at the hearings level. In May 2007, SSA began implementing a plan for eliminating the hearings backlog entitled Summary of Initiatives to Eliminate the SSA Hearings Backlog (the Plan). In response to a congressional request, GAO (1) examined the Plan's potential to eliminate the hearings-level backlog, (2) determined the extent to which the Plan included components of sound planning, and (3) identified potential unintended effects of the Plan on hearings-level operations and other aspects of the disability process. To address these objectives, GAO analyzed SSA data, conducted a risk analysis, assessed the Plan and its update--the May 2009 Draft Appomattox Plan--using planning criteria identified in previous GAO work, interviewed SSA officials, and conducted site visits in three SSA regions.
Recommendations
Recommendations for Executive Action
| Agency Affected | Recommendation | Status |
|---|---|---|
| Social Security Administration | To help SSA monitor progress and evaluate individual Plan initiatives' effect on the hearings-level backlog, inform its decisions about resource allocations for eliminating this backlog, and minimize adverse effects of the Plan's implementation, the Commissioner of the Social Security Administration should develop performance goals and measures for initiatives that currently do not have them. |
Closed – Implemented
As of September 2011, SSA reported that since the issuance of this report, the Office of Disability Adjudication and Review has implemented the Disability Adjudication Reporting and Evaluation System (DARES) that contains measures for each initiative. The agency also stated that they established goals for all new initiatives.
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| Social Security Administration | To help SSA monitor progress and evaluate individual Plan initiatives' effect on the hearings-level backlog, inform its decisions about resource allocations for eliminating this backlog, and minimize adverse effects of the Plan's implementation, the Commissioner of the Social Security Administration should develop cost estimates for the initiatives SSA considers critical to eliminating the hearings-level backlog in addition to the time savings estimates already developed. |
Closed – Not Implemented
SSA disagreed with GAO's assertion that the agency did not develop cost estimates for the backlog reduction plan, and noted that it conducted a full evaluation of the costs and savings associated with implementing all major aspects of the Plan. In July 2012, SSA stated - and reiterated in May 2013 - that the backlog plan was initiated in 2007 as a moral imperative from Commissioner Astrue to reduce the number of disability cases pending at the hearing level, along with the time it was taking to process them. Cost and risk factors were not incorporated at that time. The agency noted that many initiatives developed and implemented from the plan have now become a part of SSA's normal business process, and that decisions that cost and risk analysis would have informed have already been made, so such analysis at this point is not cost-effective. GAO, however, continues to believe that it is important to develop cost estimates for individual Plan initiatives over the entire course of the Plan through FY13 because it would allow SSA to determine which initiatives provide the best return on investment as it moves forward with Plan implementation. Such information is critical to making informed decisions regarding the most effective use of funds to eliminate the backlog.
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| Social Security Administration | To help SSA monitor progress and evaluate individual Plan initiatives' effect on the hearings-level backlog, inform its decisions about resource allocations for eliminating this backlog, and minimize adverse effects of the Plan's implementation, the Commissioner of the Social Security Administration should move forward with formalizing agency risk assessments associated with the Plan's implementation, including assessing both risks that would hinder the Plan's success and risks that could cause adverse effects or trade-offs related to hearings-level performance and other SSA operations, along with mitigating strategies. |
Closed – Implemented
SSA noted that it is being proactive in identifying risks. The agency also reported that it has monitored all initiatives closely, and tried to assess issues that could prevent the success of an initiative and plan mitigation strategies if possible. While the agency may not have done "formal" risk analysis for every initiative, it considered risks that may be encountered and what effect the initiative may have on all of the agency's components, and put strategies in place to deal with these risks. In 2012, SSA reported that through its Disability Adjudication Reporting and Evaluation System, SSA now identifies and addresses potential risks, and formulates possible mitigation strategies for each risk.
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Administrative law judgesAid for the disabledAppealsClaims processingClaims settlementDisabilitiesDisability benefitsDisability insuranceEligibility criteriaEligibility determinationsEmployees with disabilitiesEmployment of the disabledFederal social security programsMonitoringPeople with disabilitiesQuality assuranceQuality improvementSocial security numberStrategic planningPerformance measures