Summary
The Social Security Administration's (SSA) AeDib initiative is designed to provide SSA with a more efficient, paperless system that will enable its disability components to electronically view and share claims data and process claims electronically. Yet previous GAO reviews found that SSA's accelerated strategy to develop AeDib involved risks that could threaten a complete and successful transition to this capability. At the Subcommittee's request, GAO reviewed AeDib to assess (1) SSA's progress and strategy, (2) the adequacy of measures taken to avoid software development problems similar to those encountered in SSA's previous efforts, (3) the adequacy of cost/benefit analyses, and (4) SSA's consultation with stakeholders.
SSA is continuing its work on the AeDib initiative and is in various stages of completing its electronic disability system; however, its accelerated strategy continues to involve risks. Specifically, GAO found that the agency is relying on limited pilot testing to help guide business and technical decisions and ensure that technology supporting the electronic disability system will work as intended. Further, it is beginning its national rollout without ensuring that all critical problems identified in the pilot testing have been resolved and without conducting testing adequate to evaluate the performance of all system components collectively. Without resolution of critical problems and full testing, SSA cannot be assured that interrelated components will work together successfully. While SSA has procedures to guide its software development, it could provide no evidence that it was consistently applying them in this case. In addition, while SSA has identified AeDib system and security risks, it has not finalized mitigation strategies. Without these measures being in place, SSA stands at greater vulnerability to circumstances that could impede project success. The agency also has not validated its analysis to ensure the reasonableness of estimated AeDib costs and benefits. While indicating that it would use pilot test results to validate cost-benefit estimates, officials have not indicated when this will be accomplished. This leaves SSA without a validated cost-benefit analysis, and the assurance that its AeDib cost estimates are reliable and that anticipated benefits will therefore be realized. Finally, SSA reports that it has increased its communications with AeDib stakeholders and users; however, state officials dealing with disability determinations have varying perspectives. A national organization representing these state officials continues to voice concerns about SSA's approach. And while the Commissioner states that SSA is consulting with stakeholders and the medical community, the agency has not articulated a comprehensive plan for ensuring that the concerns of this population are addressed.
Recommendations
Our recommendations from this work are listed below with a Contact for more information. Status will change
from "In process" to "Implemented" or "Not implemented" based on our follow up work.
Director:
Team:
Phone:
Linda D. Koontz
Government Accountability Office: Information Technology
(202) 512-7487
Recommendations for Executive Action
Recommendation: To reduce the risks associated with SSA's strategy to develop an electronic disability claims processing system, the Commissioner of Social Security, before continuing with the AeDib national rollout, should ensure that all critical problems identified in pilot testing of the electronic disability system components are resolved and that end-to-end testing of the interrelated systems is performed.
Agency Affected: Social Security Administration
Status: Not Implemented
Comments: SSA did not agree with our recommendation. Thus, the agency did not take steps to resolve all of the critical problems that had been identified during its pilot testing of the Document Management Architecture--a key component of its electronic disability system. SSA also did not conduct end-to-end testing of the interrelated electronic disability system components before continuing with the national rollout of this system. Resolving all critical problems and conducting end-to-end testing of the interrelated system components prior to their rollout could have limited the problems that SSA and the DDSs encountered with the electronic disability system's operation during its nationwide implementation.
Recommendation: To reduce the risks associated with SSA's strategy to develop an electronic disability claims processing system, the Commissioner of Social Security, before continuing with the AeDib national rollout, should ensure that users have approved the software developed and that systems have been certified for production.
Agency Affected: Social Security Administration
Status: Implemented
Comments: In proceeding with the implementation of the electronic disability system, SSA took measures to ensure that users approve new software and that it certifies its systems for production. For example, we reviewed agency documentation reflecting disability system users' approval of new software and SSA's certification of over 50 cases where software was put into production during the time frame from February 2004 (shortly after the national rollout of the electronic disability system began) through October 2004).
Recommendation: To reduce the risks associated with SSA's strategy to develop an electronic disability claims processing system, the Commissioner of Social Security, before continuing with the AeDib national rollout, should establish a revised time frame for and expedite actions toward finalizing AeDib risk mitigation strategies.
Agency Affected: Social Security Administration
Status: In process
Comments: SSA reported that it has developed risk mitigation strategies for its AeDib (electronic disability system) program and project risks. However, the agency has not yet provided any evidence that these risk mitigation strategies have been completed. In fiscal year 2007, SSA reported that it has implemented the system in all 50 Disability Determination Services (DDS) and certified all state DDSs as ready to use the system's electronic claims folders as the official claims record. In our view, risk mitigation strategies continue to be needed to help prevent circumstances that could impede successful AeDib program and project outcomes. We will continue to monitor SSA's electronic disability system effort.
Recommendation: To reduce the risks associated with SSA's strategy to develop an electronic disability claims processing system, the Commissioner of Social Security, before continuing with the AeDib national rollout, should implement a communications plan that clearly and comprehensively conveys SSA's approach for effectively addressing disability stakeholders' and users' concerns and ensuring their full involvement in the AeDib initiative.
Agency Affected: Social Security Administration
Status: In process
Comments: SSA reported that it continually reassesses how the agency communicates with its electronic disability system stakeholders. However, SSA has not implemented a communications plan that clearly and comprehensively conveys the agency's approach for effectively addressing disability stakeholder and users' concerns. In fiscal year 2007, SSA reported that it has implemented the system in all 50 state Disability Determination Services (DDSs) and certified all DDSs as ready to use the system's electronic claims folders as the official claims record. Nonetheless, without a clear and comprehensive plan for communicating with and addressing concerns of its stakeholders, SSA risks not obtaining vital end-user acceptance of the electronic disability system that is crucial to achieving anticipated benefits. We will continue to monitor SSA's electronic disability system effort, including its communications with the system's stakeholders.
Recommendation: To reduce the risks associated with SSA's strategy to develop an electronic disability claims processing system, the Commissioner of Social Security, before continuing with the AeDib national rollout, should validate all AeDib cost and benefit estimates.
Agency Affected: Social Security Administration
Status: In process
Comments: SSA initiated quarterly evaluations to assess the electronic disability system's performance, costs, and processing times--actions that could help it validate AeDib cost and benefit estimates. SSA also has plans for conducting post-implementation reviews of the electronic disability system, which reportedly would include comparing baseline and current information to evaluate the system's impact on performance, productivity, and cost. However, SSA has not yet provided evidence that these measures have been fully implemented. We will continue to monitor SSA's efforts to evaluate the system's performance, costs, and processing times and to conduct post-implementation reviews of the system.
Recommendation: To reduce the risks associated with SSA's strategy to develop an electronic disability claims processing system, the Commissioner of Social Security, before continuing with the AeDib national rollout, should validate all AeDib cost and benefit estimates.
Agency Affected: Social Security Administration
Status: In process
Comments: SSA initiated quarterly evaluations to assess the electronic disability system's performance, costs, and processing times--actions that could help it validate AeDib cost and benefit estimates. SSA also has plans for conducting post-implementation reviews of the electronic disability system, which reportedly would include comparing baseline and current information to evaluate the system's impact on performance, productivity, and cost. However, SSA has not yet provided evidence that these measures have been fully implemented. We will continue to monitor SSA's efforts to evaluate the system's performance, costs, and processing times and to conduct post-implementation reviews of the system.
