Social Security Administration Field Offices
Reduced Workforce Faces Challenges as Baby Boomers Retire Gao ID: GAO-08-737T May 8, 2008Millions of people rely on the services of Social Security Administration (SSA) field offices. In fiscal year 2007, SSA's approximately 1,300 field offices provided service to about 42 million customers. People use these offices to apply for Social Security cards, apply for retirement and disability benefits, establish direct deposit, and a host of other services. While customers may conduct their business using SSA's online, telephone, or other service options, many prefer the personalized contact provided in field offices. Over the last several years, staffing reductions have challenged field offices' ability to manage work, while continuing to deliver quality customer service. To assess how field offices are managing these challenges, GAO was asked to determine (1) the effect that reduced staffing levels may be having on field office operations and (2) the challenges that SSA faces in meeting future service delivery needs. This statement is drawn from GAO's ongoing study on field offices for the committee, which is expected to be issued later this year. To conduct this work, GAO interviewed SSA officials in headquarters, and other components, and analyzed various data on SSA's workloads and other data. In commenting on a draft of this testimony, SSA said that GAO understated the connection between staffing stresses from increased work demands and the agency's funding shortfalls.
SSA field offices largely met work demands between fiscal years 2005 and 2007 despite operating with fewer staff and an increased demand for services, but staffing reductions may have had some adverse effects. Field offices were able to minimize the impact of staffing reductions on work because staff productivity increased by 4.9 percent. SSA and its field offices used various strategies to manage its work with fewer staff. Field offices shared work among offices and redirected staff to meet critical needs. SSA also encouraged customers to make greater use of Internet and other electronic services. Additionally, SSA deferred work that it deemed a relatively low priority, such as conducting reviews of beneficiaries' continuing eligibility. Deferring these reviews, means that beneficiaries who no longer qualify for benefits may still receive payments--which may decrease SSA's chances of recovering the erroneous payments. Despite SSA efforts to manage the staffing reductions, customers experienced longer waiting times and more unanswered calls to field offices, according to SSA data. Also, staff reported experiencing high stress levels and insufficient time for training. Growth in claims from the nation's baby boomers and a retirement wave of its most experienced staff may pose serious challenges for SSA if the agency does not have a clear plan. The first wave of approximately 80 million baby boomers is reaching the age of retirement eligibility, and SSA estimates that retirement and disability filings will increase the agency's work by approximately 1 million annual claims by 2017. To further compound this challenge, SSA projects that 44 percent of its workforce will retire by 2016. Because retirements will occur among the agency's most experienced staff, this will have a serious impact on field offices' institutional knowledge. SSA is planning on hiring an additional 2,350 new employees this fiscal year for regional and field office operations, almost all of whom will go to the field offices. Agency officials stated, however, that it typically takes 2 to 3 years for staff to gain the experience they need to function independently. SSA is using various strategies to recruit new employees to fill knowledge gaps. SSA is finalizing its Annual Strategic Plan which will describe the agency's strategies for addressing these issues.
GAO-08-737T, Social Security Administration Field Offices: Reduced Workforce Faces Challenges as Baby Boomers Retire
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Testimony:
Before the Committee on Finance, U.S. Senate:
United States Government Accountability Office:
GAO:
For Release on Delivery:
Expected at 10:00 a.m. EDT:
Thursday, May 8, 2008:
Social Security Administration Field Offices:
Reduced Workforce Faces Challenges as Baby Boomers Retire:
Statement of Barbara D. Bovbjerg, Director Education, Workforce, and
Income Security Issues:
GAO-08-737T:
GAO Highlights:
Highlights of GAO-08-737T, a testimony before the Committee on Finance,
U.S. Senate.
Why GAO Did This Study:
Millions of people rely on the services of Social Security
Administration (SSA) field offices. In fiscal year 2007, SSA‘s
approximately 1,300 field offices provided service to about 42 million
customers. People use these offices to apply for Social Security cards,
apply for retirement and disability benefits, establish direct deposit,
and a host of other services. While customers may conduct their
business using SSA‘s online, telephone, or other service options, many
prefer the personalized contact provided in field offices.
Over the last several years, staffing reductions have challenged field
offices‘ ability to manage work, while continuing to deliver quality
customer service. To assess how field offices are managing these
challenges, GAO was asked to determine (1) the effect that reduced
staffing levels may be having on field office operations and (2) the
challenges that SSA faces in meeting future service delivery needs.
This statement is drawn from GAO‘s ongoing study on field offices for
the committee, which is expected to be issued later this year. To
conduct this work, GAO interviewed SSA officials in headquarters, and
other components, and analyzed various data on SSA‘s workloads and
other data. In commenting on a draft of this testimony, SSA said that
GAO understated the connection between staffing stresses from increased
work demands and the agency‘s funding shortfalls.
What GAO Found:
SSA field offices largely met work demands between fiscal years 2005
and 2007 despite operating with fewer staff and an increased demand for
services, but staffing reductions may have had some adverse effects.
Field offices were able to minimize the impact of staffing reductions
on work because staff productivity increased by 4.9 percent. SSA and
its field offices used various strategies to manage its work with fewer
staff. Field offices shared work among offices and redirected staff to
meet critical needs. SSA also encouraged customers to make greater use
of Internet and other electronic services. Additionally, SSA deferred
work that it deemed a relatively low priority, such as conducting
reviews of beneficiaries‘ continuing eligibility. Deferring these
reviews, means that beneficiaries who no longer qualify for benefits
may still receive payments”which may decrease SSA‘s chances of
recovering the erroneous payments. Despite SSA efforts to manage the
staffing reductions, customers experienced longer waiting times and
more unanswered calls to field offices, according to SSA data. Also,
staff reported experiencing high stress levels and insufficient time
for training.
Table: Comparison of Field Office Staffing and Work Completed, Fiscal
Year 2005-2007:
Fiscal year: 2005;
Number of field office employees: 28,790;
Field office work (in work units)[A]: 37.1 million;
Work units completed per Employee: 1,289.
Fiscal year: 2006;
Number of field office employees: 27,383;
Field office work (in work units)[A]: 37.0 million;
Work units completed per Employee: 1,350.
Fiscal year: 2007;
Number of field office employees: 26,743;
Field office work (in work units)[A]: 36.2 million;
Work units completed per Employee: 1,352.
Percent change, 2005 to 2007:
Number of field office employees: -7.1%;
Field office work (in work units)[A]: -2.5%;
Work units completed per Employee: +4.9%.
Source: GAO analysis of SSA data.
[A] SSA measures the amount of work produced by multiplying the volume
of actions completed by the amount of time required to complete each
type of action. The result is what SSA terms ’work units.“ Because some
types of actions take longer than others to complete, SSA views work
units as a more precise measure than a simple count of the number of
actions completed.
[End of table]
Growth in claims from the nation‘s baby boomers and a retirement wave
of its most experienced staff may pose serious challenges for SSA if
the agency does not have a clear plan. The first wave of approximately
80 million baby boomers is reaching the age of retirement eligibility,
and SSA estimates that retirement and disability filings will increase
the agency‘s work by approximately 1 million annual claims by 2017. To
further compound this challenge, SSA projects that 44 percent of its
workforce will retire by 2016. Because retirements will occur among the
agency‘s most experienced staff, this will have a serious impact on
field offices‘ institutional knowledge. SSA is planning on hiring an
additional 2,350 new employees this fiscal year for regional and field
office operations, almost all of whom will go to the field offices.
Agency officials stated, however, that it typically takes 2 to 3 years
for staff to gain the experience they need to function independently.
SSA is using various strategies to recruit new employees to fill
knowledge gaps. SSA is finalizing its Annual Strategic Plan which will
describe the agency‘s strategies for addressing these issues.
To view the full product, including the scope and methodology, click on
[hyperlink, http://www.gao.gov/cgi-bin/getrpt?GAO-08-737T]. For more
information, contact Barbara Bovbjerg at 202-512-7215 or
bovbjergb@gao.gov.
[End of section]
Mr. Chairman and Members of the Subcommittee:
I am pleased to be here today to discuss the state of Social Security
Administration (SSA) field office services. SSA's approximately 1,300
field offices are a vital component of SSA's operations, serving
approximately 42 million customers in fiscal year 2007. Employing
slightly less than half of the agency's 64,000 employees, field offices
serve as SSA's primary points for face-to-face contact with the public.
People visit their local field offices to apply for Social Security
cards and for Social Security benefits, to request replacement benefit
checks, and for a host of other services. SSA has served the public for
over 70 years. Recent staffing reductions are increasingly challenging
field offices' ability to meet the demand for services. My remarks
today will address (1) the effect that staffing reductions may be
having on field office operations and (2) the challenges SSA faces in
meeting field service delivery needs in the future.
My written statement is based on our ongoing work for this committee,
and we will provide you a full report later this year. To conduct our
work, we interviewed SSA headquarters officials responsible for
operations, budget, and strategic and human capital planning and
obtained relevant documentation. We interviewed managers and staff in
21 field offices and two Social Security Card Centers to gain their
perspectives on the effect of staffing reductions. We selected a wide
variety of the field offices based on the size of the populations they
served, their geographic location, the number of staff, and customer
wait times. Table 7 lists the field offices we visited and their
beneficiary populations. To gain further perspectives on the effect of
field office staffing reductions, we interviewed officials in two SSA
regional offices and three area offices. To assess field office waiting
times, SSA provided us summary data. As we are currently in the process
of completing our work, we have not yet validated SSA's waiting time
data. Our work is being conducted in accordance with generally accepted
government auditing standards. Those standards require that we plan and
perform the audit to obtain sufficient, appropriate evidence to provide
a reasonable basis for our findings and conclusions based on our audit
objectives.
In summary, SSA field offices largely met work demands despite
operating with fewer staff and an increased demand for services, but
the lower staffing levels may have contributed to adverse effects.
Field offices were able to minimize the impact of staffing reductions
on work because staff productivity increased by 4.9 percent. SSA and
its field offices used various strategies to manage its work with fewer
staff. Field offices shared work among offices and redirected staff
from their usual responsibilities to meet critical needs. SSA also
encouraged customers to make greater use of Internet and other
electronic services to conduct their business. Additionally, SSA
deferred work that it deemed a relatively low priority, such as
conducting reviews of beneficiaries' continuing eligibility. Deferring
these reviews, however, means that beneficiaries who no longer qualify
for benefits may still receive payments--which may decrease SSA's
chances of recovering the erroneous payments. Despite SSA efforts to
manage the staffing reductions, customers are experiencing longer
waiting times and poor telephone service, according to SSA data.
Between fiscal years 2002 and 2006, SSA reported that the average
waiting time for field office service increased by 40 percent from
about 15 minutes to 21 minutes, and in fiscal year 2007, more than 3
million customers waited for over 1 hour to be served. Further, SSA's
2007 Field Office Caller Survey found that 51 percent of customer calls
to field offices went unanswered. These factors may have contributed to
a 4 percent drop in SSA's overall customer satisfaction rating from
fiscal year 2005 to 2007. In addition, staff reported high levels of
stress and a lack of time for training.
As the oldest of the nation's approximately 80 million baby boomers are
now reaching the age of retirement eligibility, increases in retirement
and disability filings and a significant retirement wave of SSA's most
experienced staff may pose difficult challenges for SSA to meet future
service delivery needs without a clear plan for addressing them. SSA
estimates that retirement and disability filings will increase the
agency's work by about 1 million annual claims by 2017. Further, SSA
will experience an agencywide retirement wave in the coming years, and
projects that 44 percent of its staff will retire by 2016. The retiring
employees will be among the agency's most experienced who account for
decades of institutional knowledge. However, with an increase in its
fiscal year 2008 funding, SSA is planning to hire an additional 2,350
staff in its regional and field offices this fiscal year, almost all of
whom will go to field offices. Agency officials stated, however, that
it typically takes 2 to 3 years for staff to gain the experience they
need to function independently. SSA is using various strategies to
recruit new staff, including programs to hire and retain older workers
to fill knowledge gaps. SSA is currently working to finalize its Annual
Strategic Plan that is expected to describe the strategies for
addressing these challenges.
Background:
Almost all Americans have sought the services of SSA at some point in
their lives, and for many, their first experience is applying for a
Social Security number (SSN).[Footnote 1] SSA offers a range of
services, which includes providing financial assistance to eligible
individuals through the following three major benefit programs:
* Old-Age and Survivors Insurance (OASI) provides benefits to retired
workers and their families and to survivors of deceased workers;
* Disability Insurance (DI) provides benefits to eligible workers who
have qualifying disabilities, and their eligible family members; and:
* Supplemental Security Income (SSI) provides income for aged, blind,
or disabled individuals with limited income and resources.
In fiscal year 2007, these three benefit programs provided a combined
total of approximately $613 billion to about 54 million beneficiaries.
SSA projects that the benefit payments and number of beneficiaries for
the three programs will increase in fiscal years 2008 and 2009 (see
tables 1 and 2).
Table 1: Federal Benefit Outlays for OASI, DI, and SSI Programs, Fiscal
Years 2007 to 2009 (Dollars in billions)[A]:
Program: OASI;
Fiscal year 2007 (actual): $479.7;
Fiscal year 2008 (estimate): $502.5;
Fiscal year 2009 (estimate): $530.6.
Program: DI;
Fiscal year 2007 (actual): $97.0;
Fiscal year 2008 (estimate): $102.9;
Fiscal year 2009 (estimate): $109.5.
Program: SSI;
Fiscal year 2007 (actual): $36.0;
Fiscal year 2008 (estimate): $41.2;
Fiscal year 2009 (estimate): $43.2.
Program: Total Outlays;
Fiscal year 2007 (actual): $612.7;
Fiscal year 2008 (estimate): $646.6;
Fiscal year 2009 (estimate): $683.4.
Source: GAO analysis of SSA data.
[A] Totals may not add due to rounding.
[End of table]
Table 2: Average Number of Beneficiaries for OASI, DI, and SSI Programs
in Payment Status, Fiscal Years 2007 to 2009 (number in millions)[A]:
Program: OASI;
Fiscal Year 2007 (Actual): 40.7;
Fiscal Year 2008 (Estimate): 41.2;
Fiscal Year 2009 (Estimate): 42.0.
Program: DI;
Fiscal Year 2007 (Actual): 8.7;
Fiscal Year 2008 (Estimate): 9.0;
Fiscal Year 2009 (Estimate): 9.3.
Program: SSI;
Fiscal Year 2007 (Actual): 7.0;
Fiscal Year 2008 (Estimate): 7.2;
Fiscal Year 2009 (Estimate): 7.3.
Program: Concurrent recipients[B];
Fiscal Year 2007 (Actual): (2.6);
Fiscal Year 2008 (Estimate): (2.6);
Fiscal Year 2009 (Estimate): (2.7).
Total beneficiaries:
Fiscal Year 2007 (Actual): 53.8;
Fiscal Year 2008 (Estimate): 54.7;
Fiscal Year 2009 (Estimate): 56.0.
Source: GAO analysis of SSA data.
[A] Totals may not add due to rounding.
[B] Recipients receiving benefits from the OASI and SSI or DI and SSI
programs.
[End of table]
Besides paying benefits through these three programs, SSA issues Social
Security cards, maintains earnings records, and performs various other
functions through a network of field office and headquarters operations
using an administrative budget of over $10 billion. SSA's field
operations consist of:
* field offices, which serve as the agency's primary points for face-
to-face contact, perform a full range of services, including making
eligibility determinations for Social Security benefits;
* Social Security Card Centers, which issue SSNs;
* Teleservice Centers, which offer national toll-free telephone
service; and:
* Program Service Centers, which make entitlement decisions for
benefits, as well as assist in answering toll-free calls.
Table 3 shows the type of work that is performed by various SSA field
components.
Table 3: Type of Work Conducted by Various SSA Field Components:
Type of work: Claims for OASI, DI, and SSI benefits;
Function: Takes applications for benefits, evaluates evidence, and
makes determinations of eligibility and benefit amounts. Makes
nonmedical eligibility determinations for DI and SSI, but does not
determine if individuals are medically eligible for disability
payments;
Field entities involved in this work: Field offices Teleservice Centers
Program Service Centers.
Type of work: Program Integrity;
Function: Conducts continuing nonmedical eligibility reviews to ensure
payment accuracy;
Field entities involved in this work: Field offices (nonmedical
eligibility reviews).
Type of work: SSNs;
Function: Takes applications for and issues SSNs after determining the
validity of required evidence. Also, updates records of people who have
been issued SSNs to keep them current and accurate;
Field entities involved in this work: Field offices Social Security
Card Centers.
Type of work: Earnings records;
Function: Posts updates to workers' records. Links the earnings records
to SSNs and, when no match can be found, tracks the reported earnings
and attempts to resolve the discrepancy;
Field entities involved in this work: Field offices Program Service
Centers.
Type of work: Employment eligibility verification (E-Verify);
Function: Assists employers in verifying the name/SSN/citizenship/work
authorization of new hires, and assists workers in resolving
discrepancies between SSA and Department of Homeland Security data;
Field entities involved in this work: Field offices.
Type of work: Medicare program assistance;
Function: Takes applications and determines eligibility for the
Medicare program and processes applications for replacement Medicare
cards. Also, makes eligibility determinations and redeterminations for
the prescription assistance subsidy offered under the Medicare
Prescription Drug Program, among other Medicare work;
Field entities involved in this work: Field offices.
Source: GAO analysis of SSA information.
[End of table]
Field offices, which served approximately 42 million customers in
fiscal year 2007, are a vital component for delivering SSA services to
the public. Field offices are located in communities across the United
States, the Virgin Islands, Puerto Rico, and Guam, and deliver services
through face-to-face contact, over the phone, and through the mail.
Field offices range in size from large urban offices with 50 or more
employees to very small offices in remote areas called resident
stations. In August 2007, there were approximately 1,271 field offices
and 37 resident stations. Resident stations have more limited services
and are staffed by one or two individuals in their homes or in a
separate office (other than an SSA field office). Field offices also
offer services to the public through about 1,200 contact stations.
These stations provide very limited functions and are staffed with one
SSA field office employee who travels to certain locations, such as a
hospital, once a month. Additionally, SSA has begun using video
conferencing to take claims and provide other services to customers in
remote locations in North Dakota, Wyoming, and South Dakota. SSA is
planning to expand the video network to provide additional sites and
services.
While SSA field offices take applications and determine if claimants
meet basic, nonmedical eligibility requirements for DI and SSI
disability claims, state Disability Determination Services (DDS) that
are under contract with SSA make medical eligibility determinations for
these claims. SSA's Hearing Offices and Appeals Council make decisions
on appeals of these determinations. Appendix II describes the functions
of each of these entities in the medical disability determination
process for DI and SSI claims. DDSs also conduct continuing disability
reviews for DI and SSI beneficiaries to ensure that they are still
medically eligible for payments.
In addition to field offices, SSA offers customers a variety of other
options for conducting their business. Individuals may call SSA's toll-
free helpline to file for benefits or to obtain general information.
They may also use the Internet to file for benefits or visit a Social
Security Card Center to request a Social Security card. Figure 1 shows
the various options by which customers may conduct their business with
SSA.
Figure 1: SSA Service Delivery Options:
[See PDF for image]
This figure is an illustration of SSA service delivery options, as
follows:
Field offices:
* Visit an SSA field office to conduct face-to-face business with a
staff person. Range of services include:
- applying for Social Security benefits;
- requesting change of address;
- requesting change in direct deposit;
- requesting Social Security card;
* Call or mail in documents;
* Self-help services available for requesting change of address and
benefit verification letters.
Teleservice Centers: Toll-free telephone services:
* Apply for retirement benefits;
* Obtain answers to general questions;
* Perform other actions.
Internet:
* Apply for retirement, disability, or spousal benefits;
* Change address;
* Change direct deposit;
* Obtain Medicare replacement cards;
* Perform other actions.
Social Security Card Centers:
* Visit a card center to request Social Security cards.
Source: GAO analysis of SSA data.
[End of figure]
Field Offices Largely Met Work Demands with Fewer Staff, but Staffing
Reductions May Have Contributed to Some Adverse Effects:
Despite operating with fewer staff from fiscal year 2005 to 2007 and an
increased demand for services, field offices largely met work demands;
however, staffing reductions may have contributed to some adverse
effects. SSA and its field offices used various strategies to manage
work demands, such as sharing work among offices, redirecting staff to
serve critical needs outside of their usual responsibilities,
encouraging customer use of the internet and telephone services, and
deferring certain work. Despite these efforts, many field office
managers and staff stated that they cannot keep up with their work.
Reduced field office staffing may have contributed to customers waiting
longer to be served, and customer calls to field offices are not always
being answered. These factors may have contributed to a 4 percent drop
in SSA's customer satisfaction rating between fiscal years 2005 and
2007. In addition, staff are experiencing high stress levels, lacking
sufficient time for training, and facing other adverse effects
according to field office managers and staff.
Increased Staff Productivity Helped Minimize Potential Impact of
Staffing Decline:
Despite a 7.1 percent staffing decline during fiscal years 2005 to
2007, the amount of work that field offices produced decreased by only
2.5 percent.[Footnote 2] As a result, the average amount of work
produced by field office staff increased by 4.9 percent between fiscal
years 2005 and 2007 (see table 4). The field office staffing reduction
comprised nearly 60 percent of SSA's overall reduction (from 65,112 to
61,594 between fiscal years 2005 and 2007).
Table 4: Comparison of Field Office Staffing and Work Completed, Fiscal
Year 2005 to 2007:
Fiscal Year: 2005;
Number of field office employees: 28,790;
Field office work (in work units): 37.1 million;
Work units completed per employee: 1,289.
Fiscal Year: 2006;
Number of field office employees: 27,383;
Field office work (in work units): 37.0 million;
Work units completed per employee: 1,350.
Fiscal Year: 2007;
Number of field office employees: 26,743;
Field office work (in work units): 36.2 million;
Work units completed per employee: 1,352.
Fiscal Year: Percent change, 2005 to 2007;
Number of field office employees: -7.1%;
Field office work (in work units): -2.5%;
Work units completed per employee: +4.9%.
Source: GAO analysis of SSA data.
[End of table]
SSA officials attribute the staffing reductions to inadequate
appropriations and are concerned about growth in work required for
other federal agencies. Table 5 shows the Commissioner's and the
President's budget requests and SSA's final appropriations for fiscal
years 2002 to 2008. The table also shows the recent staffing decline.
The table does note that SSA received a $500 million budget increase in
2005 to manage the implementation of the Medicare Prescription Drug
program and hire associated staff. In addition, other work that SSA
conducts on behalf of other federal agencies has grown. For example,
new state laws requiring federal government verification of work
authorization are resulting in additional work and field office visits
associated with the Department of Homeland Security's E-Verify program.
Table 5: Social Security Administration's Limitation on Administrative
Budget Account for Fiscal Years 2002 to 2008 (Dollars in millions):
Fiscal year: 2002;
Commissioner's request: $7,982;
President's budget request: $7,574;
Final appropriation: $7,570;
End of year SSA staff total: 63,611.
Fiscal year: 2003;
Commissioner's request: $7,974;
President's budget request: $7,937;
Final appropriation: $7,885;
End of year SSA staff total: 65,191.
Fiscal year: 2004;
Commissioner's request: $8,895;
President's budget request: $8,530;
Final appropriation: $8,313;
End of year SSA staff total: 64,184.
Fiscal year: 2005;
Commissioner's request: $9,310;
President's budget request: $8,878;
Final appropriation: $8,733[ A];
End of year SSA staff total: 65,122[A].
Fiscal year: 2006;
Commissioner's request: $10,106;
President's budget request: $9,403;
Final appropriation: $9,109;
End of year SSA staff total: 63,054.
Fiscal year: 2007;
Commissioner's request: $10,250;
President's budget request: $9,496;
Final appropriation: $9,298;
End of year SSA staff total: 61,594.
Fiscal year: 2008;
Commissioner's request: $10,440;
President's budget request: $9,597;
Final appropriation: $9,745[B];
End of year SSA staff total: N/A.
Source: GAO analysis of SSA data.
Note: SSA's Limitation on Administrative Expenses appropriation
provides SSA with funding to administer the OASI, DI, and SSI programs,
and to assist the agency in performing activities in support of the
Medicare program. The appropriation provides a limitation on the
amounts that may be expended, in total from the OASI, DI, SSI and
Medicare programs, to meet the administrative expenses of the agency:
[A] SSA's final appropriation for fiscal year 2005 includes a $500
million appropriation for administrative start-up costs to implement
the Medicare Prescription Drug, Improvement, and Modernization Act
(MMA). The MMA created an outpatient prescription drug benefit that
enables Medicare beneficiaries to enroll in competing private drug
coverage plans, and offers a prescription assistance subsidy for
certain low-income Medicare beneficiaries.
[B] The appropriation amount shown is the enacted amount.
[End of table]
Despite the staffing reductions, field offices served are serving a
growing volume of visitors. Comparing the first 3 months of calendar
years 2006 to 2008, visitor volume increased by almost 450,000 (about 4
percent). SSA field managers and staff told us that they also expect
visitor volume to increase with the retirement of the baby boomers. As
figure 2 shows, from fiscal years 2005 to 2007, SSA processed more OASI
claims; post-entitlement[Footnote 3] actions (other than for continuing
eligibility reviews); enumerations; and Medicare actions. [Footnote 4]
During the same time period, SSA processed fewer DI and SSI claims
(nonmedical determinations only); continuing disability reviews; and
SSI redeterminations. SSA attributes the high volume of post-
entitlement actions to the growth in beneficiary populations.
Figure 2: Field Office Work Units Completed by Major Work Category,
Fiscal Years 2005 to 2007:
[See PDF for image]
This figure is a vertical bar graph depicting the following
information:
Work category: OASI;
Number of work units, FY 2005: 5,114,152;
Number of work units, FY 2006: 5,075,072;
Number of work units, FY 2007: 5,280,622.
Work category: Disability;
Number of work units, FY 2005: 6,569,912;
Number of work units, FY 2006: 6,410,572
Number of work units, FY 2007: 6,038,162.
Work category: SSI;
Number of work units, FY 2005: 6,028,942;
Number of work units, FY 2006: 6,139,682;
Number of work units, FY 2007: 5,612,662.
Work category: Post-entitlement actions;
Number of work units, FY 2005: 9,757,340;
Number of work units, FY 2006: 10,417,000;
Number of work units, FY 2007: 10,991,900.
Work category: Continuing disability reviews and redeterminations;
Number of work units, FY 2005: 5,245,112;
Number of work units, FY 2006: 3,594,350;
Number of work units, FY 2007: 3,319,440.
Work category: Enumeration;
Number of work units, FY 2005: 3,351,980;
Number of work units, FY 2006: 3,455,840;
Number of work units, FY 2007: 3,629,040.
Work category: Medicare;
Number of work units, FY 2005: 619,466;
Number of work units, FY 2006: 1,475,030;
Number of work units, FY 2007: 967,836.
Work category: Other;
Number of work units, FY 2005: 411,204;
Number of work units, FY 2006: 412,281;
Number of work units, FY 2007: 321,621.
[A] Other work includes resolving discrepancies in workers' earnings
statements, updating information for student benefits, and replacing
lost checks.
Source: GAO analysis of SSA data.
[End of figure]
SSA Used Various Strategies to Manage Staffing Declines:
SSA is shifting work among field offices based on their workloads in an
effort to increase overall efficiency. If a field office has work
demands that it cannot immediately cover, that office can request that
some work be transferred to another office. Offices that have a
particular expertise in a certain type of work make themselves
available, as they can process it more quickly. Field managers told us,
however, that sometimes they are reluctant to share work because the
office that receives and processes the work receives numerical credit,
which helps an office justify a greater staff level for the future.
Managers are also using claims processing personnel to fill in as
necessary to perform the duties typically done by lower-graded
employees, and in some cases, even office managers take on the duties
of their employees. Such duties include answering the telephone,
providing initial services to arriving customers, processing requests
for new or replacement Social Security cards, and conducting some
administrative duties. While all field office personnel recognize the
need to serve visitors, many also told us that such work is taking away
from time spent processing claims and managing the office.
SSA is encouraging customers to use automated services to help field
offices accomplish their work. However, many field staff said that real
gains in the use of automated services will only likely be achieved by
future generations of customers. SSA's vision for its "eService"
program is that the public, businesses, and government agencies will be
able to conduct all business through secure, electronic channels--
thereby increasing the efficiency with which the agency can serve the
public. SSA reported that in 2007 the public performed 2.9 million
electronic transactions, such as applying for disability benefits or
requesting a change of address. SSA's electronic services are available
to the public over the Internet and by telephone, using the voice
recognition capabilities of SSA's toll-free number. While field office
staff and managers welcome automated tools that the public can use,
some added that relatively few customers use them, and that due to
erroneous or missing information in online forms, field staff can lose
time having to contact the customers for clarification or more
information. While they believe that automated tools should continue to
be developed, many managers and staff told us that these tools are not
a sufficient to compensate for reduced staffing levels.
Finally, with fewer staff available, SSA focused on field office work
it considered essential to its "core workloads," such as processing new
claims for Social Security benefits and issuing Social Security cards,
but deferred other types of work. Field office managers and staff told
us that certain post entitlement actions are typically delayed or
deferred, when an office is under stress, including changes of address,
changes to direct deposit information, and reviews to determine
beneficiaries' continuing eligibility for DI and SSI benefits. Reviews
of continuing eligibility, however, are key activities in ensuring
payment accuracy. SSA estimates that continuing disability reviews
yield a lifetime program savings of $10 for every dollar invested, and
SSI redeterminations yield a lifetime program savings of $7 for every
dollar invested.
In recent years, SSA has not been able to conduct as many reviews as it
had planned, citing budget limitations and an increase in core work
(see fig. 3). When reviews of benefits are delayed, some beneficiaries
may continue to receive benefits when they no longer qualify. While
delays in these reviews relieve work pressure, some field managers and
staff told us that such delays cause future challenges when staff
attempt to obtain necessary documentation over multiple years, and
overpayments accrue to the point that beneficiaries have difficulty
repaying benefits for which they were not eligible.
Figure 3: Number of SSI Redeterminations and Continuing Disability
Reviews Completed, Fiscal Years 2002 to 2007 and Projected Fiscal Years
2008 to 2009:
[See PDF for image]
This figure is a vertical bar graph depicting the following data:
Fiscal year: 2002;
SSI Nondisability redeterminations: 2,311,500;
Continuing disability reviews: 1,586.090.
Fiscal year: 2003;
SSI Nondisability redeterminations: 2,449,670;
Continuing disability reviews: 1,371,260.
Fiscal year: 2004;
SSI Nondisability redeterminations: 2,278,570;
Continuing disability reviews: 1,604,680.
Fiscal year: 2005;
SSI Nondisability redeterminations: 1,724,880;
Continuing disability reviews: 1,515,480.
Fiscal year: 2006;
SSI Nondisability redeterminations: 1,070,820;
Continuing disability reviews: 1,337,640.
Fiscal year: 2007;
SSI Nondisability redeterminations: 1,038,950;
Continuing disability reviews: 764,852.
Fiscal year: 2008;
SSI Nondisability redeterminations: 1,200,000;
Continuing disability reviews: 1,065,000.
Fiscal year: 2009;
SSI Nondisability redeterminations: 1,486,000;
Continuing disability reviews: 1,149,000.
Source: GAO analysis of SSA data.
[End of figure]
Despite SSA's efforts to manage work with reduced staff, managers
responding to a survey conducted in February and March 2007 by the
National Council of Social Security Management Associations
(NCSSMA)[Footnote 5] stated that many of them are finding it
increasingly difficult to keep up with the work. On average, the
managers responding to the survey estimated that they would need a
staffing increase of 16.7 percent to provide adequate public service.
In the offices we visited, most of the managers also told us that they
did not have an adequate number of staff.
Staffing Reductions May Have Contributed to a Buildup of Certain Work,
Longer Customer Waiting Times, More Unanswered Customer Calls, and
Other Adverse Effects:
According to SSA officials, staffing imbalances resulted in a buildup
of 1,000 workyears, for work that SSA was not able to complete[Footnote
6] by the end of fiscal year 2007. SSA projects that the buildup will
grow to 4,800 workyears by the end of fiscal year 2009; however,
officials said that they are re-evaluating this figure in light of
increases in productivity and overtime. Staff reductions may have also
led to longer customer waiting times. Between fiscal years 2002 and
2006, the average waiting time to first contact for all customers
increased by 40 percent from 15 to 21 minutes (see fig. 4). Nationally,
8 percent of customers--about 3 million people--waited more than 1
hour, which included 420,000 customers who waited more than 2 hours for
service in fiscal year 2007 (see table 6). We also found significant
variation in waiting times among field offices for customers without
appointments. For example, for customers without appointments, more
than 300 offices had average waiting times of less than 10 minutes,
while 23 offices had average waiting times that exceeded 1 hour in
fiscal year 2007. Further, customers without appointments during that
period waited more than 1 hour on average at four of the offices we
visited. In contrast, customers at the office in Devils Lake, North
Dakota, waited on average for less than 1 minute (see table 9). We
found that customers with appointments waited significantly less time
than those without appointments. For example, SSA reported that 1,214
offices had waiting times of less than 10 minutes for customers with
appointments, while only two had waiting times of more than 1 hour.
Figure 4: SSA Average National Waiting Times, Fiscal Years 1994 to
2006:
[See PDF for image]
This figure is a line graph depicting the following data:
Year: 1994;
Waiting time (in minutes): 13.3.
Year: 1995;
Waiting time (in minutes): 12.7.
Year: 1996;
Waiting time (in minutes): 12.5.
Year: 1997;
Waiting time (in minutes): 11.4.
Year: 1998;
Waiting time (in minutes): 12.5.
Year: 1999;
Waiting time (in minutes): 12.9.
Year: 2000;
Waiting time (in minutes): 14.3.
Year: 2001;
Waiting time (in minutes): 15.2.
Year: 2002;
Waiting time (in minutes): 15.2.
Year: 2003;
Waiting time (in minutes): 15.6.
Year: 2004;
Waiting time (in minutes): 17.4.
Year: 2005;
Waiting time (in minutes): 19.5.
Year: 2006;
Waiting time (in minutes): 21.2.
Note: Fiscal year 2006 data is from October 2005 to June 2006.
Source: GAO analysis of SSA data.
[End of figure]
Table 6: Fiscal Year 2007 Waiting Times:
Waiting times (in minutes): 0-60;
Number of customers: 33,739,090;
Percentage of total: 91.7%.
Waiting times (in minutes): 61-120;
Number of customers: 2,616,920;
Percentage of total: 7.1.
Waiting times (in minutes): More than 120;
Number of customers: 420,245;
Percentage of total: 1.1.
Source: GAO analysis of SSA data.
[End of table]
Insufficient staffing may have also been a factor in poor office phone
coverage and other adverse effects on customer service. SSA's 2006
Field Office Caller Survey found that 51 percent of customer calls to
48 randomly selected field offices went unanswered. Because SSA based
its results only on customers who were ultimately able to get through
to the field offices, the actual percentage of calls that went
unanswered may have been higher.[Footnote 7] In addition, staff at 13
of the 21 offices we visited characterized their phone service as
inadequate, while 2 of these offices did not answer their offices'
phones at all. Employees we interviewed also cited inadequate telephone
service as a common customer complaint at 15 offices. In 2007,
officials told us they initiated a pilot program called "Forward on
Busy" in 25 field offices to address these deficiencies. Under the
pilot, calls receiving a busy signal at field offices are automatically
forwarded to a Teleservice Center. SSA plans to expand the pilot to a
total of 100 field offices. In addition to poor phone service, staff at
some of the offices we visited indicated that they now have less time
to spend with customers. This limited time potentially could lead to
mistakes and limit the ability of staff to ensure that customers fully
understand their options and benefits. These factors may have
contributed to a 4 percent drop in SSA's customer satisfaction rating
between fiscal years 2005 and 2007.
SSA has not established performance standards for customer waiting
times and field office telephone service, nor does the agency measure
customer service at individual field offices. Without such standards
and measures, SSA has no systematic way of evaluating field office
performance, or identifying offices that need improvement. While SSA
provides field offices with customer comment cards, at 10 of the 21
offices we visited, officials told us they did not use them, and where
the cards were available, the results were not always systematically
tabulated.
Work demands and staffing reductions have increased the pressure placed
on the field office staff, resulting in higher stress and lower morale,
according to field office staff. We asked 153 SSA employees at the 21
offices we visited to rate the stress that they experienced in
attempting to complete their work in a timely manner, and 65 percent of
those surveyed reported feeling stress to a "great" or "very great"
extent on a daily basis. The stress of expanding workloads and staffing
constraints was felt most acutely by the office managers, 74 percent of
whom described high levels of stress. At many offices, staff indicated
that mounting workload pressures have led to cutbacks in the amount of
time allocated for training and mentoring new staff. In addition,
managers and staff told us that they often do not have time to take
their breaks, including lunch. Some staff told us they feel they are
letting down their colleagues and feel guilty about taking time off,
regardless of whether they use credit hours or annual leave. While
these responses may not be indicative of the opinions of the overall
field office workforce, they do suggest that increasing demands placed
on SSA staff may be diminishing their job satisfaction, potentially
with long-term implications for employee retention. SSA officials
acknowledged that growing workloads have seriously compromised agency
morale and that they have tried to ease the stress on staff by
authorizing the use of overtime.
Growth in Work Demands and an Employee Retirement Wave May Pose Serious
Challenges for Service Delivery in the Future without a Clear Plan:
Retirement and disability filings by the nation's approximately 80
million baby boomers are projected to significantly increase SSA's
workload, providing additional stress on the field office workforce.
SSA estimates a 13 percent rise in claims filed among its three major
claims types over the next 10 years, rising from 9.4 million in fiscal
year 2008 to 10.7 million in fiscal year 2017 (see fig. 5).
Figure 5: Projected Growth in Field Office ASI, DI, and SSI Claims,
Fiscal Years 2008 to 2017:
[See PDF for image]
This figure is a stacked vertical bar graph depicting the following
data:
Fiscal year: 2008;
OASI: 4,064,701
DI: 2,730,400;
SSI: 2,627,000
Total: 9,422,101.
Fiscal year: 2009;
OASI: 4,284,100;
DI: 2,752,700;
SSI: 2,621,200
Total: 9,658,000.
Fiscal year: 2010;
OASI: 4,380,400;
DI: 2,871,700;
SSI: 2,631,800;
Total: 9,883,900.
Fiscal year: 2011;
OASI: 4,390,200;
DI: 2,780,300;
SSI: 2,649,500;
Total: 9,820,000.
Fiscal year: 2012;
OASI: 4,547,900;
DI: 2,802,600;
SSI: 2,674,800;
Total: 10,025,300.
Fiscal year: 2013;
OASI: 4,698,900;
DI: 2,817,300;
SSI: 2,693,700;
Total: 10,209,900.
Fiscal year: 2014;
OASI: 4,768,100;
DI: 2,835,300;
SSI: 2,709,500;
Total: 10,312,900.
Fiscal year: 2015;
OASI: 4,838,000
DI: 2,855,500;
SSI: 2,727,100;
Total: 10,420,600.
Fiscal year: 2016;
OASI: 4,922,900;
DI: 2,874,300;
SSI: 2,744,800;
Total: 10,540,000.
Fiscal year: 2017;
OASI: 5,005,900;
DI: 2,890,100;
SSI: 2,761,500;
Total: 10,657,500.
Source: GAO analysis of SSA data.
[End of figure]
A growth of 22 percent in the number of beneficiaries, from about 49.6
million in calendar year 2007 to about 60.5 million in calendar year
2015, is also projected.[Footnote 8] By 2050, there will be an
estimated total of 95.6 million OASI and DI beneficiaries (see fig. 6).
Figure 6: Actual and Projected Number of OASI and DI Beneficiaries,
Calendar Years 2007 to 2050:
[See PDF for image]
This figure is a vertical bar graph depicting the following data:
Calendar year: 2007;
Millions of beneficiaries: 49.6.
Calendar year: 2010;
Millions of beneficiaries: 52.8.
Calendar year: 2015;
Millions beneficiaries: 60.5.
Calendar year: 2020;
Millions of beneficiaries: 68.8.
Calendar year: 2025;
Millions of beneficiaries: 77.1.
Calendar year: 2030;
Millions of beneficiaries: 84.
Calendar year: 2035;
Millions beneficiaries: 88.7.
Calendar year: 2040;
Millions beneficiaries: 91.4.
Calendar year: 2045;
Millions beneficiaries: 93.4.
Calendar year: 2050;
Millions beneficiaries: 95.6.
Source: SSA, 2008 Annual Report of the OASI Trustees.
[End of figure]
SSA's ability to meet its growing workload challenges will be more
difficult with the anticipated retirements of many of the agency's most
experienced field office workers. Today, 25 percent of all SSA
employees are eligible to retire, and that figure will grow to 39
percent in the next 5 years. Based on the agency's projections, 44
percent of today's SSA workforce will retire by 2016. The peak of these
retirements began in 2007 and is expected continue into 2009, before
starting to decline gradually (see fig. 7). SSA's projections suggest
that the ranks of SSA's supervisors will be most affected, with 71
percent eligible to retire in the next 10 years. These will be the
agency's most experienced staff, which will mean a loss of decades of
institutional knowledge. For 2008 in particular, SSA estimates that it
will lose about 2,000 staff to full or early-out retirements. Field
office managers and staff at many of the locations we visited stated
that it typically takes 2 to 3 years for new employees to become fully
proficient. Therefore, staff hired now may not reach full proficiency
before the peak of the retirement wave. Also, new hires would benefit
from being mentored by veteran employees before the latter retire. As a
result of the approximately $150 million that SSA was appropriated
above its request in the President's budget for fiscal year 2008, SSA
will hire an additional 3,900 staff for operations. This will include
2,350 new hires for regional and field office operations, almost all of
whom will go to field offices. SSA officials stated that the increase
in staffing will put the agency back at its fiscal year 2005 staffing
level.
Figure 7: Actual and Projected Retirements of SSA Staff, Fiscal Years
2007 to 2016:
[See PDF for image]
This figure is a vertical bar graph depicting the following data:
Fiscal year: 2007;
Number of retirements: 3074.
Fiscal year: 2008;
Number of retirements: 2959.
Fiscal year: 2009;
Number of retirements: 2948.
Fiscal year: 2010;
Number of retirements: 2919.
Fiscal year: 2011;
Number of retirements: 2869.
Fiscal year: 2012;
Number of retirements: 2789.
Fiscal year: 2013;
Number of retirements: 2695.
Fiscal year: 2014;
Number of retirements: 2578.
Fiscal year: 2015;
Number of retirements: 2462.
Fiscal year: 2016;
Number of retirements: 2343.
Source: GAO analysis of SSA data.
[End of figure]
SSA has used a variety of strategies to maintain adequate staffing. SSA
offers recruitment, relocation, and retention bonuses to individuals
with needed skills and considers employees' private sector experience
when computing annual leave. SSA also offers workplace flexibilities to
assist workers in balancing work and family. Additionally, SSA uses
dual compensation (salary offset) waivers from the Office of Personnel
Management (OPM) to respond to emergency conditions[Footnote 9] and to
hire for certain hard-to-fill positions. For example, SSA was granted a
waiver to re-employ federal annuitants who retired under an early-out
authority to provide relief in areas affected by Hurricanes Katrina and
Rita. Further, SSA has developed recruiting efforts that reach out to a
broader pool of candidates. For example, SSA began recruiting retired
military and disabled veterans in 2002 because of its commitment to
helping veterans.
SSA currently lacks a plan to address the mounting service delivery
challenges that it faces, though officials told us that they are
currently working to finalize the agency's Annual Strategic Plan, which
is expected to address these issues. We recommended, as early as
1993[Footnote 10] and most recently in 2000,[Footnote 11] that the
agency develop a plan to meet its responsibilities in the context of
resource constraints and other challenges. At that time, we suggested
that the plan take into account changing customer needs and
expectations; the views of oversight bodies and interest groups; and
other future challenges, such as growing workloads. We also specified
that the plan should spell out, for the future, who will be providing
what type of services and where these services will be made available.
In the absence of this kind of overarching strategy, SSA may be unable
to effectively marshal its key resources to meet the challenges
described above.
Conclusions:
Recent staffing declines may have been a factor in reducing field
offices' ability to complete all of their work while providing quality
customer service. In managing staffing reductions, customers are
waiting longer to be served, their calls to field offices frequently go
unanswered, certain stewardship activities are being deferred, and
staff are stressed. Projected increases in claims for benefits from the
nation's approximately 80 million baby boomers and a large retirement
wave among SSA's most experienced staff will place additional pressure
on field offices, and SSA may find it increasingly difficult to manage
without a clear plan for addressing these challenges. SSA is currently
working to finalize its Fiscal Year 2008 Annual Strategic Plan.
Strategic planning for service delivery and staffing before SSA's
workload grows beyond available resources is essential. In a time of
budgetary constraints, thinking creatively about service delivery and
how best to operate efficiently and effectively will be important
aspects of SSA's planning effort. The time for SSA to prepare itself
for the future is running out and without a clear direction SSA will
not be prepared to meet its service delivery challenges.
Mr. Chairman, this concludes my prepared statement. I would be happy to
respond to any questions you or other members of the committee may have
at this time.
For further information regarding this testimony, please contact
Barbara D. Bovbjerg at (202) 512-7215 or bovbjergb@gao.gov. Contact
points for our Offices of Congressional Relations and Public Affairs
may be found on the last page of this statement. Individuals making key
contributions to this testimony include Blake Ainsworth (Assistant
Director), Mary A. Crenshaw, Paul Wright, Matthew Lee, and Charlie
Willson.
Agency Comments and Our Evaluation:
We provided SSA with a draft of our testimony for their comment. In
their response, SSA said that the testimony understated the connection
between the stress that field offices are under from increased work
demands and the agency's funding shortfalls. SSA stated that its
current business model is non-sustainable and that past underfunding
has forced the agency to shift resources from less visible--though
vital--areas to process the most critical workloads. SSA also said that
it is using its current strategic plan and operational plan to meet its
many challenges. In order for its plans to succeed, SSA stated that it
must be properly and timely funded on a sustained basis.
In response, we acknowledge the service delivery challenges that SSA
faces, and believe that we have fairly characterized field office
staffing declines as a significant factor in meeting work demands and
the resulting adverse effects. Ensuring that SSA has the resources to
meet future service deliver challenges is essential. However, we
continue to believe that SSA must employ a more strategic and creative
approach to meet these challenges.
[End of section]
Appendix I: Data on SSA Field Offices GAO Visited:
Table 7: List of Social Security Administration Field Offices GAO
Visited and Their Beneficiary Populations, as of September 30, 2006:
Field office: New York Washington Heights, Brooklyn, N.Y.;
Old-Age and Survivors Insurance and Disability Insurance beneficiary
population: 6,584;
Supplemental Security Income beneficiary population: 14,075.
Field office: Brooklyn Avenue X, N.Y.;
Old-Age and Survivors Insurance and Disability Insurance beneficiary
population: 9,697;
Supplemental Security Income beneficiary population: 21,911.
Field office: Anacostia, Washington, D.C.;
Old-Age and Survivors Insurance and Disability Insurance beneficiary
population: 4,209;
Supplemental Security Income beneficiary population: 7,690.
Field office: Fairfax, Va.;
Old-Age and Survivors Insurance and Disability Insurance beneficiary
population: 3,871;
Supplemental Security Income beneficiary population: 2,225.
Field office: Culpeper, Va.;
Old-Age and Survivors Insurance and Disability Insurance beneficiary
population: 2,659;
Supplemental Security Income beneficiary population: 1,222.
Field office: Wheaton, Md.;
Old-Age and Survivors Insurance and Disability Insurance beneficiary
population: 4,664;
Supplemental Security Income beneficiary population: 3,491.
Field office: Casa Grande, Ariz.;
Old-Age and Survivors Insurance and Disability Insurance beneficiary
population: 4,852;
Supplemental Security Income beneficiary population: 2,902.
Field office: Mesa, Ariz.;
Old-Age and Survivors Insurance and Disability Insurance beneficiary
population: 16,383;
Supplemental Security Income beneficiary population: 6,438.
Field office: Inglewood, Calif.;
Old-Age and Survivors Insurance and Disability Insurance beneficiary
population: 7,987;
Supplemental Security Income beneficiary population: 12,475.
Field office: Los Angeles Downtown, Calif.;
Old-Age and Survivors Insurance and Disability Insurance beneficiary
population: 4,226;
Supplemental Security Income beneficiary population: 12,286.
Field office: Orlando, Fla.;
Old-Age and Survivors Insurance and Disability Insurance beneficiary
population: 20,892;
Supplemental Security Income beneficiary population: 17,325.
Field office: Leesburg, Fla.;
Old-Age and Survivors Insurance and Disability Insurance beneficiary
population: 12,584;
Supplemental Security Income beneficiary population: 5,255.
Field office: Alice, Tx.;
Old-Age and Survivors Insurance and Disability Insurance beneficiary
population: 3,018;
Supplemental Security Income beneficiary population: 3,350.
Field office: San Antonio Northwest, Tex.; Old-Age and Survivors
Insurance and Disability Insurance beneficiary population: 15,481;
Supplemental Security Income beneficiary population: 13,429.
Field office: McAllen, Tx.;
Old-Age and Survivors Insurance and Disability Insurance beneficiary
population: 13,066;
Supplemental Security Income beneficiary population: 19,873.
Field office: Devils Lake, N. Dak.;
Old-Age and Survivors Insurance and Disability Insurance beneficiary
population: 687;
Supplemental Security Income beneficiary population: 450.
Field office: Grand Forks, N. Dak.;
Old-Age and Survivors Insurance and Disability Insurance beneficiary
population: 4,318;
Supplemental Security Income beneficiary population: 1,999.
Field office: Freeport, Ill.;
Old-Age and Survivors Insurance and Disability Insurance beneficiary
population: 2,090;
Supplemental Security Income beneficiary population: 969.
Field office: Bloomingdale, Ill.;
Old-Age and Survivors Insurance and Disability Insurance beneficiary
population: 5,876;
Supplemental Security Income beneficiary population: 1,875.
Field office: Cayey, P.R.;
Old-Age and Survivors Insurance and Disability Insurance beneficiary
population: 10,074;
Supplemental Security Income beneficiary population: 1.
Field office: Arecibo, P.R.;
Old-Age and Survivors Insurance and Disability Insurance beneficiary
population: 22,469;
Supplemental Security Income beneficiary population: 4.
Source: GAO analysis of SSA data.
[A] Devils Lake is a resident station under the Minot, North Dakota
Field Office.
[End of table]
Table 8: Staffing Levels during Fiscal Years 2005 to 2007 for the Field
Offices:
Field Office: New York Washington Heights, Brooklyn, N.Y.;
Number of staff fiscal year 2005: 36;
Number of staff fiscal year 2006: 31;
Number of staff fiscal year 2007: 34;
Numerical change (2007 compared to 2005): -2.
Field Office: Brooklyn Avenue X, N.Y.;
Number of staff fiscal year 2005: 56;
Number of staff fiscal year 2006: 53;
Number of staff fiscal year 2007: 46;
Numerical change (2007 compared to 2005): -10.
Field Office: Anacostia, Washington, D.C.;
Number of staff fiscal year 2005: 22;
Number of staff fiscal year 2006: 22;
Number of staff fiscal year 2007: 22;
Numerical change (2007 compared to 2005): 0.
Field Office: Fairfax, Va.;
Number of staff fiscal year 2005: 24;
Number of staff fiscal year 2006: 21;
Number of staff fiscal year 2007: 21;
Numerical change (2007 compared to 2005): -3.
Field Office: Culpeper, Va.;
Number of staff fiscal year 2005: 9;
Number of staff fiscal year 2006: 9;
Number of staff fiscal year 2007: 10;
Numerical change (2007 compared to 2005): 1.
Field Office: Wheaton, Md.;
Number of staff fiscal year 2005: 27;
Number of staff fiscal year 2006: 23;
Number of staff fiscal year 2007: 25;
Numerical change (2007 compared to 2005): -2.
Field Office: Casa Grande, Ariz.;
Number of staff fiscal year 2005: 11;
Number of staff fiscal year 2006: 11;
Number of staff fiscal year 2007: 11;
Numerical change (2007 compared to 2005): 0.
Field Office: Mesa, Ariz.;
Number of staff fiscal year 2005: 69;
Number of staff fiscal year 2006: 54;
Number of staff fiscal year 2007: 49;
Numerical change (2007 compared to 2005): -20.
Field Office: Inglewood, Calif.;
Number of staff fiscal year 2005: 42;
Number of staff fiscal year 2006: 39;
Number of staff fiscal year 2007: 37;
Numerical change (2007 compared to 2005): -5.
Field Office: Los Angeles Downtown, Calif.;
Number of staff fiscal year 2005: 61;
Number of staff fiscal year 2006: 59;
Number of staff fiscal year 2007: 60;
Numerical change (2007 compared to 2005): -1.
Field Office: Orlando, Fla.;
Number of staff fiscal year 2005: 77;
Number of staff fiscal year 2006: 69;
Number of staff fiscal year 2007: 67;
Numerical change (2007 compared to 2005): -10.
Field Office: Leesburg, Fla.;
Number of staff fiscal year 2005: 35;
Number of staff fiscal year 2006: 33;
Number of staff fiscal year 2007: 30;
Numerical change (2007 compared to 2005): -5.
Field Office: Alice, Texas;
Number of staff fiscal year 2005: 14;
Number of staff fiscal year 2006: 12;
Number of staff fiscal year 2007: 12;
Numerical change (2007 compared to 2005): -2.
Field Office: San Antonio NW, Tx.;
Number of staff fiscal year 2005: 55;
Number of staff fiscal year 2006: 53;
Number of staff fiscal year 2007: 53;
Numerical change (2007 compared to 2005): -2.
Field Office: McAllen, Texas;
Number of staff fiscal year 2005: 71;
Number of staff fiscal year 2006: 70;
Number of staff fiscal year 2007: 68;
Numerical change (2007 compared to 2005): -3.
Field Office: Devils Lake, N. Dak.;
Number of staff fiscal year 2005: 2;
Number of staff fiscal year 2006: 2;
Number of staff fiscal year 2007: 2;
Numerical change (2007 compared to 2005): 0.
Field Office: Grand Forks, N.Dak.;
Number of staff fiscal year 2005: 15;
Number of staff fiscal year 2006: 12;
Number of staff fiscal year 2007: 13;
Numerical change (2007 compared to 2005): -2.
Field Office: Freeport, Ill.;
Number of staff fiscal year 2005: 6;
Number of staff fiscal year 2006: 7;
Number of staff fiscal year 2007: 6;
Numerical change (2007 compared to 2005): 0.
Field Office: Bloomingdale, Ill.;
Number of staff fiscal year 2005: 24;
Number of staff fiscal year 2006: 22;
Number of staff fiscal year 2007: 21;
Numerical change (2007 compared to 2005): -3.
Field Office: Cayey, P.R.;
Number of staff fiscal year 2005: 8;
Number of staff fiscal year 2006: 6;
Number of staff fiscal year 2007: 10;
Numerical change (2007 compared to 2005): 2.
Field Office: Arecibo, P.R.;
Number of staff fiscal year 2005: 19;
Number of staff fiscal year 2006: 19;
Number of staff fiscal year 2007: 18;
Numerical change (2007 compared to 2005): -1.
Source: GAO analysis of SSA data.
[End of table]
Table 9: Visitor Volume, Staff and Waiting Time Data during Fiscal Year
2007 for Offices GAO Visited:
Field office: New York Washington Heights, Brooklyn, N.Y.;
Number of visitors: 55,404;
Number of staff: 34;
Waiting times with an appointment, in minutes[A]: 61.4;
Waiting times without an appointment, in minutes: 54.6.
Field office: Brooklyn Avenue X, N.Y.;
Number of visitors: 35,369;
Number of staff: 46;
Waiting times with an appointment, in minutes[A]: 17.1;
Waiting times without an appointment, in minutes: 16.2.
Field office: Anacostia, Washington, D.C.;
Number of visitors: 41,315;
Number of staff: 22;
Waiting times with an appointment, in minutes[A]: 13.1;
Waiting times without an appointment, in minutes: 39.2.
Field office: Fairfax, Va.;
Number of visitors: 42,581;
Number of staff: 21;
Waiting times with an appointment, in minutes[A]: 0;
Waiting times without an appointment, in minutes: 41.6.
Field office: Culpeper, Va.;
Number of visitors: 15,003;
Number of staff: 10;
Waiting times with an appointment, in minutes[A]: 0;
Waiting times without an appointment, in minutes: 10.8.
Field office: Wheaton, Md.;
Number of visitors: 39,741;
Number of staff: 25;
Waiting times with an appointment, in minutes[A]: 12.8;
Waiting times without an appointment, in minutes: 62.1.
Field office: Casa Grande, Ariz.;
Number of visitors: 23,135;
Number of staff: 11;
Waiting times with an appointment, in minutes[A]: 0.1;
Waiting times without an appointment, in minutes: 18.7.
Field office: Mesa, Ariz.;
Number of visitors: 67,125;
Number of staff: 49;
Waiting times with an appointment, in minutes[A]: 5.7;
Waiting times without an appointment, in minutes: 65.3.
Field office: Inglewood, Calif.;
Number of visitors: 53,440;
Number of staff: 37;
Waiting times with an appointment, in minutes[A]: 1.2;
Waiting times without an appointment, in minutes: 53.1.
Field office: Los Angeles Downtown, Calif.;
Number of visitors: 69,019;
Number of staff: 59;
Waiting times with an appointment, in minutes[A]: 0.2;
Waiting times without an appointment, in minutes: 20.4.
Field office: Orlando, Fla.;
Number of visitors: 89,319;
Number of staff: 67;
Waiting times with an appointment, in minutes[A]: 4.3;
Waiting times without an appointment, in minutes: 51.9.
Field office: Leesburg, Fla.;
Number of visitors: 30,060;
Number of staff: 30;
Waiting times with an appointment, in minutes[A]: 0.1;
Waiting times without an appointment, in minutes: 29.4.
Field office: Alice, Tx.;
Number of visitors: 16,424;
Number of staff: 12;
Waiting times with an appointment, in minutes[A]: 0;
Waiting times without an appointment, in minutes: 16.3.
Field office: San Antonio NW, Tx.;
Number of visitors: 64,459;
Number of staff: 53;
Waiting times with an appointment, in minutes[A]: 0;
Waiting times without an appointment, in minutes: 48.7.
Field office: McAllen, Tx.;
Number of visitors: 93,682;
Number of staff: 68;
Waiting times with an appointment, in minutes[A]: 0;
Waiting times without an appointment, in minutes: 43.7.
Field office: Devils Lake, N. Dak.;
Number of visitors: 4,587;
Number of staff: 2;
Waiting times with an appointment, in minutes[A]: 0;
Waiting times without an appointment, in minutes: 0.2.
Field office: Grand Forks, N. Dak.;
Number of visitors: 12,089;
Number of staff: 13;
Waiting times with an appointment, in minutes[A]: 5.0;
Waiting times without an appointment, in minutes: 9.8.
Field office: Freeport, Ill.;
Number of visitors: 10,490;
Number of staff: 6;
Waiting times with an appointment, in minutes[A]: 0.1;
Waiting times without an appointment, in minutes: 8.5.
Field office: Bloomingdale, Ill.;
Number of visitors: 41,421;
Number of staff: 21;
Waiting times with an appointment, in minutes[A]: 6.6;
Waiting times without an appointment, in minutes: 28.6.
Field office: Cayey, P.R.;
Number of visitors: 2,650;
Number of staff: 10;
Waiting times with an appointment, in minutes[A]: 14.6;
Waiting times without an appointment, in minutes: 128.5.
Field office: Arecibo, P.R.; Number of visitors: 28,404;
Number of staff: 18;
Waiting times with an appointment, in minutes[A]: 0;
Waiting times without an appointment, in minutes: 72.8.
Source: GAO analysis of SSA data.
[A] Waiting times are measured from the time that customers sign into
the Visitor Intake Process until the time of customers' first contact
with an SSA staff person.
[End of table]
[End of section]
Appendix II: Processing Medical Disability Determinations for
Disability and Supplemental Security Income Insurance Claims:
Field offices rely on state Disability Determination Services (DDS) and
various Social Security Administration (SSA) entities to make medical
disability determinations for claims filed under the Disability (DI)
and Supplemental Security Income (SSI) insurance programs. Field
offices begin the application process for these claims and determine if
claimants meet basic requirements for the applications based on
nonmedical factors of the programs. For example, for DI claims, field
offices determine if workers or their dependents quality for benefits
based on the worker's years of work. For SSI claims, field offices
determine if claimants meet income requirements. If basic requirements
are met, field offices forward the application to the state DDS to make
initial determinations of disability based on medical and work-related
factors. For claimants found to be eligible, field offices initiate
action to begin payments. If claimants are not satisfied with the
determination, they may request reconsideration with a different group
within DDS. If claimants are not satisfied with the second
determination by DDS, they may request further reconsideration with
SSA's hearing office and then SSA's Appeals Council. Figure 8 provides
a visual depiction of this process. Over the years, backlogs of varying
degrees have occurred at the DDS, Hearing Office, and Appeals Council
levels, leaving claimants waiting for years to have their claims
decided. In recent years, SSA has taken actions to decrease these
backlogs.
Figure 8: SSA's Disability Determination Process:
[See PDF for image]
This figure is an illustration of SSA's Disability Determination
Process. The following information is depicted:
Claimant contacts SSA field offices:
Application process begins:
SSA field office personnel:
* Obtain information and store in electronic record;
* Determine eligibility for nonmedical factors.
If nonmedical eligibility factors are met, application is forwarded to
DDS.
Initial determination:
State DDS personnel:
* Gather, develop, and review medical and nonmedical evidence;
* Decide eligibility on basis of medical and work-related factors.
If determination is not favorable, claimant has 60 days to request a
reconsideration.
Reconsideration:
State DDS personnel (different group):
* Reexamine prior and any new evidence;
* Render a new, independent eligibility decision.
If reconsideration is not favorable, claimant has 60 days to request a
hearing before an administrative law judge (ALJ).
Administrative law judge hearing:
SSA hearings office personnel:
* Review for additional medical evidence;
* Conduct a hearing and render a new decision by videoconference or in
person.
If ALJ decision is not favorable, claimant has 60 days to request an
Appeals Council review.
Appeals Council:
SSA Appeals Council:
* Decide whether to review the case and new evidence;
* If case is reviewed, decides whether to reverse decision or return
case to ALJ.
Source: GAO analysis of SSA data.
[End of figure]
[End of section]
Related GAO Products:
Social Security Disability: Better Planning, Management, and Evaluation
Could Help Address Backlogs [hyperlink, http://www.gao.gov/cgi-
bin/getrpt?GAO-08-40], Dec. 7, 2007.
Social Security Administration: Additional Actions Needed in Ongoing
Efforts to Improve 800-Number Service [hyperlink,
http://www.gao.gov/cgi-bin/getrpt?GAO-05-735], Aug. 8, 2005.
SSA Customer Service: Broad Service Delivery Plan Needed to Address
Future Challenges [hyperlink, http://www.gao.gov/cgi-bin/getrpt?GAO/T-
HEHS/AIMD-00-75], Feb. 10, 2000.
SSA's Management Challenges: Strong Leadership Needed to Turn Plans
Into Timely, Meaningful Action [hyperlink, http://www.gao.gov/cgi-
bin/getrpt?GAO/T-HEHS-98-113], Mar. 12, 1998.
Social Security Administration: Significant Challenges Await New
Commissioner [hyperlink, http://www.gao.gov/cgi-bin/getrpt?GAO/HEHS-97-
53], Feb. 20, 1997.
Social Security Administration: Effective Leadership Needed to Meet
Daunting Challenges [hyperlink, http://www.gao.gov/cgi-
bin/getrpt?GAO/HEHS-96-196], Sept. 12, 1996.
Social Security: Sustained Effort Needed to Improve Management and
Prepare for the Future [hyperlink, http://www.gao.gov/cgi-
bin/getrpt?GAO/HRD-94-22], Oct. 27, 1993.
[End of section]
Footnotes:
[1] SSA's process of assigning SSNs to individuals is known as
enumeration.
[2] SSA measures the amount of work produced by multiplying the volume
of actions completed by the amount of time required to complete each
type of action. The result is what SSA terms "work units." Because some
types of actions take longer than others to complete, SSA views work
units as a more precise measure than a simple count of the number of
actions completed.
[3] Post-entitlement actions are those occurring after customers become
eligible for benefits that affect the amount or continuation of
payment. Such actions include changes of address, benefit
recomputations, overpayments, and reviews of DI and SSI beneficiaries'
status to determine their continuing eligibility for benefits.
[4] There are two types of reviews: 1) continuing disability reviews,
which are conducted periodically to ensure that disability and SSI
recipients continue to meet SSA's definition of disability, and 2) SSI
redeterminations, which verify recipients' living arrangements, income,
and other nonmedical factors related to SSI eligibility.
[5] This organization represents SSA field office managers and
Teleservice Center managers.
[6] This work does not include DI and SSI disability claims backlogs at
the DDS, Hearing Office, or Appeals Council levels.
[7] The survey was based on interviews with 862 sampled callers.
[8] The Board of Trustees' 2008 Report provided data on the number of
actual OASI and DI beneficiaries through 2007 and then made projections
for 5-year spans in the future (e.g., 2010, 2015, etc.). No similar
data are available for the SSI program.
[9] This authority allows agencies to waive the dual compensation
reduction (salary offset) otherwise required for re-employed federal
civilian annuitants. OPM authorizes agencies to use this authority to
respond to emergencies resulting from a war or natural disaster or to
hire for hard-to-fill positions.
[10] GAO, Social Security: Sustained Efforts Needed to Improve
Management and Prepare for the Future [hyperlink,
http://www.gao.gov/cgi-bin/getrpt?GAO/HRD-94-22] (Washington, D.C.:
Oct. 27, 1993).
[11] GAO, SSA Customer Service: Broad Service Delivery Plan Needed to
Address Future Challenges [hyperlink, http://www.gao.gov/cgi-
bin/getrpt?GAO/T-HEHS/AIMD-00-75](Washington, D.C.: Feb. 10, 2000).
[End of section]
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