Jo Anne
B. Barnhart
Commissioner
of Social Security
Inspector General
Performance Measure Review: The Social Security Administration’s Transition Planning (A-02-01-11014)
Following consultations with congressional committees, the Office of the Inspector General agreed to review the Social Security Administration’s performance indicators over a continuous 3-year cycle. We recently completed our first 3-year cycle. In conducting this work, we used the services of an outside contractor, PricewaterhouseCoopers, LLP (PwC), to assist us in our efforts.
For this report, we used PwC to conduct the review of two of the Agency’s performance indicators related to its transition planning. The objective of the review was to assess the reliability of the data used to measure the Agency’s transition planning efforts.
Please comment
within 60 days from the date of this memorandum on corrective action taken or
planned on each recommendation. If you wish to discuss the final report, please
call me or have your staff contact Steven L. Schaeffer, Assistant Inspector
General for Audit, at (410) 965-9700.
James
G. Huse, Jr.
OFFICE OF
THE INSPECTOR GENERAL
SOCIAL SECURITY ADMINISTRATION
PERFORMANCE MEASURE REVIEW:
THE SOCIAL SECURITY
ADMINISTRATION’S TRANSITION
PLANNING
March
2002
A-02-01-11014
EVALUATION REPORT
INTRODUCTION
This report is one of five separate stand-alone reports, corresponding to the following Social Security Administration (SSA) process and performance measures (PM):
Fiscal Year (FY) 2000 Goal: Develop and implement change strategy.
FY 2001 Goal: Implement and update Agency transition plan, and develop and implement action items from employee survey.
This report reflects our understanding and evaluation of the process related to PMs #9 and #10. To achieve its strategic goal, "To be an employer that values and invests in each employee," SSA has developed several strategic objectives. Two of these objectives are 1) "Promote an Agency culture that successfully incorporates our values," and 2) "Create a workforce to serve SSA’s diverse customers in the twenty-first century." SSA’s FY 2001 Annual Performance Plan (APP) contains two performance indicators developed to meet this objective as follows:
We performed our testing from September 21, 2000 through February 15, 2001. Our engagement was limited to testing at SSA’s headquarters in Woodlawn, Maryland. The procedures that we performed were in accordance with the American Institute of Certified Public Accountants’ Statement on Standards for Consulting Services, and are consistent with appropriate standards for performance audit engagements in Government Auditing Standards (Yellow Book, 1994 version). However, we were not engaged to and did not conduct an audit, the objective of which would be the expression of an opinion on the reliability or accuracy of the reported results of the performance measures evaluated. Accordingly, we do not express such an opinion.
Performance Measure # 9 - Create Agency change strategy.
BACKGROUND
SSA's FY 2000 APP contains performance indicators related to its strategic goal to be an employer that values and invests in each employee. The resulting strategic objective is to promote an agency culture that successfully incorporates SSA values. The performance indicator, designated to track organizational progress made towards the goal of valuing and investing in each employee, is the creation of a change strategy that would instill the desired values. Nine desired values are listed in SSA’s FY 2001 APP as follows:
To fulfill this strategic goal and objective, SSA needed to ascertain the current values and culture of SSA and determine if gaps existed between the current values and the desired values. The Office of Workforce Analysis (OWA) within the Office of Human Resources (OHR) was tasked with developing a plan to achieve this objective.
OWA developed a plan that included four major process steps as follows:
Below is a brief description of the four major process steps taken by SSA to achieve its goal of developing and implementing an agency change strategy.
Perform a baseline study of the current culture.
To perform a baseline study of the agency culture, SSA researched the topic of organization culture based on well-known and respected sources in the field. In addition, SSA followed standard qualitative data collection methods in order to develop an approach to discovering its culture and validating findings.
SSA also hired two external consultants to help it establish what it would need to accurately document its own culture. This research enabled SSA to define the meaning of culture for its own organization and to determine the particular constructs it needed to measure to obtain an accurate assessment of its culture.
Based on this research SSA identified three core cultural themes:
Appropriately, the OWA team then presented these three core themes to individuals and groups of SSA employees and managers for validation. The findings from these employee interviews, focus groups, and document reviews, formed the basis for the development of survey questions.
Conduct a gap analysis between the current culture and the desired culture.
To conduct the analysis, SSA developed an employee survey. Employees were asked to rate their level of agreement with 67 statements related to workplace behaviors and practices (Section A), values (Section B), and work climate (Section C) for the current SSA environment and also how important the behavior or practice was to them. The survey included a demographics section that allowed the results to be cross-tabulated by region, regional component, grade level, years of service, age, gender, etc.
Section B specifically asked respondents to give their opinion on the nine values listed in the 1997 Agency Strategic Plan (ASP). The inclusion of these nine values was especially important, since it was the first time SSA employees had been asked about their opinion of the ASP values. The inclusion of these values allows SSA to build a more direct measurement from the ASP, APP, and the Government Performance and Results Act of 1993, in general.
The survey was administered by mail and sent to a randomly selected 20 percent of the total SSA employee population (13,600). A cover letter was included with the survey from the Deputy Commissioner of Human Resources. It stressed that responses would be kept confidential and that an outside group would be collecting and tabulating the survey results. The survey was also sent to all 128 members of the SSA Senior Staff. The response rate for the employee survey was 48.5 percent and 51 percent for the Senior Staff.
Survey results were analyzed by taking the means of each current and desired workplace statement and identifying the top ten highest ratings, lowest ratings, and the gaps between the two groups. The employee, mid-level manager, and Senior Staff responses were also compared.
The following items were identified as the top ten gaps:
Conduct a benchmarking study to see how the best organizations measure their success in this area.
A benchmarking study was conducted to see how other organizations carry out a culture change effort. Thirty-seven organizations were selected for the benchmarking study (25 private and 12 public organizations). Eleven organizations ultimately participated in the study by responding to a survey; four of the eleven allowed SSA to conduct site visits. A conference call was conducted with a fifth benchmark partner. The results of the benchmarking study provided SSA with comparisons and ideas that could be implemented for their own culture change effort.
SSA found that most Government agencies responding to their best practice survey were not willing to share the details of their culture change efforts and found that those that did showed little evidence of change.
Design and implement a change strategy to get to the desired agency culture.
SSA formed an intercomponent workgroup (OCW) to examine the results of the culture survey and formulate a change strategy plan. The group included members from all relevant SSA stakeholders. While the 10 gaps found between the current and desired SSA cultures formed the basis for SSA’s change strategy plan; OCW also examined other sources of information relevant to the assessment of SSA culture as follows:
The OCW analyzed and categorized the 10 gaps into 3 groups: performance management, communications, and empowerment. The recommendations were categorized as follows:
Results of EVALUATION
During the period of September 21, 2000 to February 15, 2001, we evaluated the current processes and controls, which support the FY 2000 SSA performance measurement process. In addition, we determined the accuracy of the underlying performance measure data. Our evaluation of the information provided by SSA management as of February 15, 2001 allowed us to determine that the reported FY 2000 results of the performance measure tested (shown below) were reasonably stated based on the methodology used by SSA.
Performance Measure |
Reported Result |
9. Create Agency change strategy |
Change strategy created |
OWA has completed the four major steps and identified short- and long-term recommendations for SSA to help achieve its goal of becoming an employer that values and invests in each employee. We evaluated the approach that SSA has taken to study its culture and found that SSA’s overall strategy to change its organizational culture is based on solid research principles. We determined that SSA undertook a thorough effort to fully understand the theory and practice behind the study of organization culture and to define the characteristics of its own culture.
In addition, we found that the employee survey SSA developed was based on strong research and literature related to the measurement of organizational culture and used appropriate survey development standards. However, we did note the following opportunities for improvement in SSA methodology:
SSA has not assigned specific responsibility for implementing recommendations.
The change strategy is embodied within OCW’s short- and long-term recommendations, but specific responsibility for implementing these recommendations has not yet been assigned. SSA stated that it is currently awaiting approval of the strategy from senior management. However, assignments have not been identified within the document. Not assigning specific recommendations to particular individuals or offices will result in a lack of accountability mechanisms within the organization to help support these change initiatives.
Cultural themes are not a direct measure of the culture.
Survey sections were not directly "mapped" to SSA’s values.
Sections A and C of the survey were not directly "mapped" to the APP values as found in Section B. If Sections A and C could be mapped by group or category to the nine APP values, it would allow SSA to build a more direct measurement from the APP and GPRA in general. By mapping or grouping the nine values against Section A and C, it would be possible statistically to conduct factor analysis and obtain factor groupings. This analysis would provide a way to measure the nine APP values and see how they group or correlate to Sections A and C statistically. This analysis would help SSA to further define the areas where they need culture change and action plans.
CONCLUSIONS AND RECOMMENDATIONS
Our evaluation found that OWA has completed the implementation process of this performance measure. OWA completed four major steps of developing and implementing a strategy by performing a baseline study, a gap analysis, a benchmark study, and identified short- and long-term recommendations for SSA to implement. However, SSA has not assigned responsibility for implementing recommendations.
For example, the questions could be grouped into sections mapping to employee performance, agency pride, diversity, customer satisfaction, management assessment, etc. By creating groups or categories of questions, SSA would have the ability to create factor groupings and perform additional analysis generating results that would be useful in building a more direct map to the APP values.
OTHER MATTERS
As part of this evaluation, we identified several less significant matters that are peripheral to this engagement that SSA should also consider. These points are discussed below.
SSA benchmarking study did not include enough public organizations.
SSA did not include a great deal of literature pertaining specifically to public organizations in its research review. When benchmarking culture to make appropriate comparisons, it is important to find similar organizational characteristics by function, size, or sector. Because SSA delivers unique services in a public setting and is under public scrutiny, SSA should find similar cultures for best practice comparison.
Recommendations
Survey respondents could be biased.
Excluding Senior Staff, less than half (48.5 percent) of the sampled employees responded. It is possible, in this situation, that SSA obtained very precise results for a biased subset of the total population. In other words, those who responded to the survey may be more positive or negative towards SSA than those who did not respond.
SSA sampled a very large portion of its population (20 percent or 13,600) unnecessarily. Depending on the required level of precision required in the estimate, SSA could have sampled fewer cases. For example, with a sample size of 13,600, an estimate of the percent of the population having a particular characteristic would be within less than one percentage point of the actual value. Whereas, selecting a sample of about 2,500 employees, an estimate of the same quantity would be within about two percentage points of the actual value. The smaller sample size produces an estimate that would certainly be reasonable for most decision-making situations at a much lower cost to SSA. Generally, the reasoning behind selecting such a large sample is that great variability is known to exist within the total population.
Recommendation
Organizations selected for benchmarking study may not be appropriate.
It is not clear how SSA initially selected the 37 organizations for the benchmarking study and why more private than public organizations were chosen. As stated previously, when benchmarking other organizations for comparison purposes or best practice behavior, example organizations should have similar characteristics for the most valid and appropriate comparison.
Recommendation
Benchmarking study may have not been necessary.
Rather than expending its resources performing a benchmarking study, SSA may have obtained more useful information if it had searched for best practice Government agencies that have undertaken successful culture change efforts. SSA had already obtained a great deal of research from its contractor on culture change efforts but little information on other Federal organizations subject to GPRA who had embarked on culture change goals.
Recommendation
This way, SSA may be able to gain helpful information from other federal organization’s performance indicators monitoring cultural change.
Performance Measure # 10 – Complete Agency plan for transitioning to the workforce of the future
BACKGROUND
SSA's FY 2000 APP contains performance indicators related to its strategic goal to be an employer that values and invests in each employee. The resulting strategic objective is to create a workforce to serve SSA’s diverse customers in the twenty-first century. The resulting performance indicator to track achievement towards this goal is to complete SSA’s plan for transitioning to the workforce of the future. The FY 2001 goal is to implement and update the transition plan and develop and implement action items from the employee survey.
Implement and update the transition plan.
To fulfill SSA’s Strategic Plan of creating a workforce to serve SSA’s diverse customers in the 21St century, SSA developed a 5-year workforce transition plan. The plan was developed with input from all SSA components and its labor and management organizations. The plan was based on:
SSA based the development of its workforce plan on the following components:
1) projected attrition analysis, 2) predicted succession flow for major SSA occupations, and 3) factors to be considered for future updates. SSA performed a workforce analysis to ascertain its current capabilities and expected needs based on these three components. The expectations of the future came from well-respected and legitimate sources such as the Census Bureau, the Office of Personnel Management and the analysis of its own Agency history of personnel trends.
SSA identified five major issues to be addressed by its workforce transition plan:
SSA’s plan was comprised of the following items:
Each of these items is appropriately explained and the milestones are appropriate actions needed to address each workforce planning issue. To increase manageability and accountability, SSA has assigned a lead office responsible for each action item.
Develop and implement action items from the employee survey
SSA has recently administered a pilot of its employee survey (January 16-February 2, 2001) and the analysis of the survey data is in process. An official SSA report has not yet been released on the status of this strategic goal.
The purpose of conducting the employee survey is to assess current levels of satisfaction with job and work environment. Once the data is collected, SSA will have the knowledge to help make SSA a better place to work. The information gathered from the survey will help SSA to meet its Strategic Objective to "create a workforce to serve SSA’s diverse customers in the twenty-first century."
The intended steps for administering a pilot employee survey are listed below. SSA has completed the first five steps.
RESULTS OF EVALUATION
During the period of September 21, 2000 to February 15, 2001, we evaluated the current processes, systems and controls, which support the FY 2000 SSA performance measurement process. In addition, we determined the accuracy of the underlying performance measure data. Our evaluation of the information provided by SSA management as of February 15, 2001 allowed us to determine that the reported FY 2000 results of the performance measure tested (shown below) were reasonably stated.
Performance Measure
|
Reported Result |
10. Complete Agency plan for transitioning to the workforce of the future. |
Agency transition plan published |
We have evaluated SSA’s approach to creating its workforce transition plan and found that SSA has completed the plan and provided a well-thought out strategy to implement the transition plan and to meet its diverse workforce needs. We found that SSA performed its analysis based on standard workforce analysis procedures and reasonable assumptions of the future.
In addition, our evaluation of the questions and structure of the employee survey for the process test and have found it to be a well-researched and tested survey instrument. SSA has chosen a reliable metric that can be benchmarked and also has the option of adding three additional questions to the employee survey. We found that the development and implementation of the SSA employee survey process test is proceeding according to schedule and appears to be on-target for meeting its goal of improving SSA work environment.
CONCLUSIONS AND RECOMMENDATIONS
Given the nature of long-range planning and unpredictability of the future, we found SSA’s approach to be reasonable.
APPROPRIATENESS OF THE PERFORMANCE MEASURES
As part of this engagement, we evaluated the appropriateness of each of the performance measures with respect to GPRA compliance and SSA’s APP. To do so, we determined whether the specific indicators and goals corresponded to the strategic goals identified in SSA’s APP, determined whether each of these indicators accurately measure performance, and determined their compliance with GPRA requirements.
PM #9 and PM #10 do not meet the full intent of GPRA and are therefore not adequate GPRA performance measures. Both are actually means and strategies by which SSA may achieve their Goal #4, "To be an employer that values and invests in each employee." According to the Office of Management and Budget (OMB) Circular A-11 Preparation and Submission of Budget Estimates, "The annual plan includes a description of resources, processes, and technologies required to achieve the performance goals and indicators. These are means (in many instances, inputs) the agency will employ…." If one reads the description of the two performance measurements in SSA’s FY 2000 Performance and Accountability Report, one would get a synopsis of processes, not a description of a performance goal or indicator.
In both cases, SSA could develop means-type goals to measure their effectiveness at meeting their strategic objective to "Promote an Agency culture that successfully incorporates our values." For example, SSA should develop measures to gauge their effectiveness at transforming Agency culture or attaining the workforce profile that they desire. These current PMs would then become the means and strategies by which SSA could achieve its means-type goals for his objective.
Performance Measure #9 aligns logically with the SSA Strategic Plan but is not a GPRA performance measure.
The relationship between PM #9 and the applicable SSA Strategic Goal is depicted in the following figure:
SSA’s mission is supported by five strategic goals, including Goal #4, "To be an employer that values and invests in each employee." Goal #4, in turn, is supported by several strategic objectives, including the relevant objective dealing with SSA’s culture, "Promote an Agency culture that successfully incorporates our values." PM #9 indicates whether or not SSA creates a strategy to instill values. The diagram indicates that PM #9 and its corresponding activities logically align with SSA’s strategic planning process.
Based on the taxonomy of performance measures included in Appendix F, PM #9 is a measure of accomplishment because it reports on a result (strategy created) achieved with SSA resources. It is further categorized as an output measure because it indicates the quantity (zero or one) of a service provided (creation of a strategy).
Within the framework of GPRA, PM #9 technically fits the definition of an output measure because it is "…a description of the level of activity or effort that will be produced or provided over a period of time or by a specified date…." However, this metric does not meet the intent of GPRA and could be improved as follows.
Ideally, a performance metric should help SSA take action and affect the performance of the indicator being measured. In this case, the metric is binary because it provides a yes or no answer. This provides limited information for planning action, other than the knowledge that a goal may or may not have been met.
The metric does not promote an adequate and correct understanding of the subject area. It is true that developing the change strategy supports the objective of, "promoting an agency culture that successfully incorporates our values." However, the metric is focused on whether or not a change strategy has been created, not the quality or suitability of the strategy or the progress made in achieving the strategy.
Ideally, a performance metric should allow SSA to track progress over time. However, this is not possible with a binary metric of this nature. The performance goal for this particular metric is a 1-time occurrence—create and implement the strategy. As a result, this measure, as designed, does not provide an indication of incremental progress.
The completed and planned activities related to this measurement are valid and necessary for achieving SSA’s strategic objective, to "Promote an Agency culture that successfully incorporates our values." Furthermore, the agency change strategy should be created and implemented. However, the subject measurement is not useful and should be revised to support the cultural change effort.
Recommendations
(b) quantify the progress made in achieving that strategy over time.
Overall, SSA’s approach to measuring Agency culture is worthwhile and should be continued.
Performance Measure #10 aligns logically with SSA’s Strategic Plan, but is not a direct link to measuring if SSA is becoming an employer that creates a workforce to serve SSA's diverse customers in the 21st century.
The relationship between PM #10 and the applicable SSA Strategic Goal is depicted in the following figure:
The SSA mission is supported by five strategic goals, including Goal #4, "To be an employer that values and invests in each employee." Goal #4, in turn, is supported by several strategic objectives, including the relevant objective of "creating a workforce to serve SSA's diverse customers in the 21st century." The diagram indicates that PM #10 and its corresponding activities logically align with SSA’s strategic planning process.
Based on the taxonomy of performance measures included in Appendix F, PM #10 is a measure of accomplishment because it reports on a result (workforce plan created) achieved with SSA resources. It is further categorized as an output measure because it indicates the quantity (zero or one) of a service provided (creation of a workforce plan).
Within the framework of GPRA, PM #10 technically fits the definition of an output measure because it is "…a description of the level of activity or effort that will be produced or provided over a period of time or by a specified date.…" However, this metric does not meet the intent of GPRA.
Ideally, a performance metric should help SSA to take action and affect the performance of the indicator being measured. In this case, the metric is binary because it provides a yes or no answer. This provides limited information for planning action, other than the knowledge that a goal may or may not have been met.
The metric does not promote an adequate and correct understanding of the subject area. It is true that completing SSA’s plan for transitioning to the workforce of the future supports the objective to "create a workforce to serve SSA's diverse customers in the 21st century." However, the metric is focused on whether or not a workforce plan has been created, not the quality or suitability of the plan or the progress made in achieving the plan.
Ideally, a performance metric should allow SSA to track progress over time. However, this is not possible with a binary metric of this nature. The performance goal for this particular metric is a 1-time occurrence—create and implement the workforce plan. As a result, this measure, as designed, does not provide an indication of incremental progress.
Recommendation
The workforce plan describes the method SSA can use to achieve this strategic objective, but it is not appropriate for measuring if SSA has implemented its plan and is achieving the goals of the plan.
Agency Comments
Of the 13 recommendations contained in this report, SSA agreed with 8, disagreed
with 1, and deferred comments on 4 of the recommendations pending Agency action on the OCW report. The Agency disagreed with the recommendation that it select a smaller sample size and expend more resources to obtain a high response rate for that smaller sample when surveying its employees on SSA’s culture. It deferred on four recommendations that called for changes to the questionnaire used to survey its employees. Please see Appendix C for the full text of the Agency’s Comments.
OIG Response
We appreciate SSA’s comments to this report. The implementation of the recommendations contained within this report will help to ensure for the better measurement of SSA’s culture and its ability to transition its workforce to meet the needs of citizens in the future. We continue to recommend that SSA revisit the size of the sample it used when surveying its employees on its culture. SSA had a sample of over 13,000 employees and a response rate below 50 percent. In future surveys, SSA should spend less of its resources on administering a very large sample of employees and more of its resources on ensuring that an adequate number of those sampled actually respond to the survey.
We understand the Agency’s desire to defer its response to four recommendations pending action on the OCW report. We will continue to track these recommendations and look forward to the Agency’s response to them in the near future.
Appendices
APPENDIX A – Scope and Methodology
APPENDIX B – Acronyms
APPENDIX C – Agency Comments
APPENDIX D – Performance Measure Summary Sheets
APPENDIX E – Performance Measure Process Maps
APPENDIX F – Performance Measure Taxonomy
Scope and Methodology
The Social Security Administration (SSA) Office of the Inspector General contracted PricewaterhouseCoopers, LLP (PwC) to evaluate 11 SSA performance indicators identified in its Fiscal Year 2001 Annual Performance Plan (APP). We performed our testing from September 21, 2000 through February 15, 2001.
Our engagement was limited to testing at SSA’s headquarters in Woodlawn, Maryland. The procedures that we performed were in accordance with the American Institute of Certified Public Accountants’ Statement on Standards for Consulting Services, and are consistent with appropriate standards for performance audit engagements in Government Auditing Standards (Yellow Book, 1994 version). However, we were not engaged to and did not conduct an audit, the objective of which would be the expression of an opinion on the reliability or accuracy of the reported results of the performance measures evaluated. Accordingly, we do not express such an opinion.
For these two performance indicators, PwC was asked to assess SSA’s progress to date in the implementation process, and evaluate if SSA has the capacity to effectively complete the implementation process.
Create Agency change strategy (PM #9)
In order to assess SSA’s progress to date in the implementation process and evaluate if SSA has the capacity to effectively complete the implementation, we obtained an understanding of the underlying process and procedures surrounding the implementation of the measure through interviews and meetings with the appropriate SSA personnel. In addition, we reviewed and evaluated the following:
October 18, 2000.
Complete Agency plan for transitioning to the workforce of the future (PM #10)
We reviewed and evaluated the following documents to gain an understanding of the processes used to create the workforce plan and the pilot employee survey.
Determined whether both performance measures were meaningful and in compliance with the Government Performance and Results Act of 1993.
As part of this engagement, we evaluated the appropriateness of each of the performance measures with respect to GPRA compliance and SSA’s APP. To do so, we determined whether the specific indicators and goals corresponded to the strategic goals identified in SSA’s APP, determined whether each of these indicators accurately measure performance, and determined their compliance with GPRA requirements.
ACRONYMS
APP Annual
Performance Plan
ASP Agency
Strategic Plan
FY Fiscal
Year
GPRA Government
Performance and Results Act
OCW Organizational
Culture’s Workgroup
OHR Office
of Human Resources
OWA Office
of Workforce Analysis
PM Performance
Measure
PwC PricewaterhouseCoopers
LLP
SSA Social
Security Administration
Agency Comments
COMMENTS ON THE OFFICE OF THE INSPECTOR GENERAL (OIG) DRAFT REPORT, "PERFORMANCE MEASURE REVIEW: THE SOCIAL SECURITY ADMINISTRATION’S TRANSITION PLANNING)" A-02-01-11014
We appreciate the opportunity to comment on the draft report. Overall, we found value in the report contents and recommendations. At this time, we are deferring comments on recommendations 2, 3, 4, and 5, pending agency action on the Organizational Culture’s Workgroup (OCW) report. Our comments on the remaining recommendations follow.
Recommendation 1
Assign specific responsibility to individuals or organizations for developing a plan to accomplish these recommendations and establish interim performance measures to track the effects of individual recommendations.
Comment
We agree that specific responsibility should be assigned to ensure accountability. Once Agency action is taken on the OCW report, we will work with appropriate executives and staffs to assure accountability. We will also consider using the framework provided by the Agency’s Annual Performance Plan (APP) to track and measure our progress in implementing the recommendations.
Recommendation 2
Group more directly questions to the three core cultural themes, so that they can be validated and measured directly.
Comment
It is premature to respond to this recommendation pending agency action on the OCW report.
Recommendation 3
Consider grouping related questions of the survey (Sections A and C) into factors that map to the nine APP values.
Comment
See response for recommendation #2.
Recommendation 4
Include more public sector culture studies and research in the literature review and best practice research and research other government organizations delivering similar services, such as the equivalent of SSA in Canada, England, and France.
Comment
See response for recommendation #2.
Recommendation 5
Consider the inclusion of research related to the study of public sector organizational culture (e.g., Rainey, 1991, Understanding and Managing Public Organizations).
Comment
See response for recommendation #2.
Recommendation 6
Select a smaller sample (1,000 or 2,000 cases) and expend more resources to obtain a high response rate for that smaller sample.
Comment
We disagree with this recommendation. The survey was designed so that it could be broken down into various components (field, systems, etc.) for further analysis. Given the size and organizational structure of SSA, this would not be possible with a smaller sample.
Recommendation 7
Choose benchmarking organizations due to their similarity in the desired culture, size, sector, purpose, and organizational structure to obtain the best possible comparisons.
Comment
We agree, and will choose benchmarking organizations based on desired similarities.
Recommendation 8
Benchmark the Agency against other government organizations specifically under GPRA guidelines that have included culture change or change strategy goals in their APP.
Comment
We agree. If the decision is made to benchmark again, we will include government organizations that have included these items in their APP and are willing to participate in benchmarking.
Recommendation 9
Continue to monitor its workforce planning issues and make changes to the workforce plan quarterly, or as needed.
Comment
We agree. We will continue to monitor our progress on the action items documented in the plan through our existing quarterly updates. As changes occur, appropriate amendments will continue to be made.
Recommendation 10
Eliminate PM#9 from the GPRA strategic planning effort and replace it with metrics that help to indicate the quality of the change strategy and quantify the progress made in achieving that strategy over time.
Comment
We agree. Quantifiable action items from the Agency Transition Plan are being included in the Agency’s Annual Performance Plan. However, the creation of performance measures related to a change strategy is contingent upon agency approval of the OCW recommendation to develop a change strategy.
Recommendation 11
Design the measurement system to help Agency managers take appropriate action to ensure the success of the cultural change effort.
Comment
We agree, and as measures can be developed, they should be designed to help managers take appropriate action toward a successful change effort. Again, the creation of performance measures related to a change strategy is contingent upon Agency approval of the OCW recommendation to develop a change strategy.
Recommendation 12
Develop measures that qualitatively and quantitatively measure employees’ perspectives of their workplace environment.
Comment
We agree. If organizational culture activities continue, we will work with appropriate executives and staffs, including the Office of Strategic Management, to improve these measures in accordance with GPRA.
Recommendation 13
Monitor the action items and milestones specified in the workforce plan as the performance indicator of whether SSA is creating a workforce to serve SSA's diverse customers in the 21st Century.
Comment
We agree. The Agency’s existing APP, and tracking report system will continue to provide the framework for monitoring performance at an agency level.
Performance Measure Summary Sheets
Name of Measure |
Measure Type |
Strategic Goal/Objective |
|||
9) Create Agency change strategy |
Output Measure |
Goal: To be an employer that values and invests in each employee. Objective: Promote an Agency culture that successfully incorporates our values. |
|||
Purpose |
Frequency |
||||
To achieve the objective SSA will conduct a benchmark analysis to establish a baseline and a strategy for change will be developed. |
One Time |
||||
Target Goal |
How Computed |
Data Source |
|||
Develop and Implement a strategy |
This goal will be considered achieved if SSA:
|
Employee Survey Organizational Culture Project Organizational Culture Workgroup |
|||
Designated Staff Members |
Division |
||||
Steve Aprile Jaime Fisher |
HR/OWA |
||||
Testing and Results |
|||||
We obtained an understanding of the underlying process and procedures surrounding the implementation of the measure through interviews and meetings with the appropriate SSA personnel. In addition, to we reviewed and evaluated the following:
Refer to "Results of Evaluation" for a description of the findings. |
Name of Measure |
Measure Type |
Strategic Goal/Objective |
|||
10) Complete Agency plan for transitioning to the workforce of the future. |
Goal: To be an employer that values and invests in each employee. Objective: Create a workforce to serve SSA’s diverse customers in the twenty-first century. |
||||
Purpose |
Frequency |
||||
To achieve the objective this indicator will establish milestones for completing an Agency workforce transition plan. |
One Time |
||||
Target Goal |
How Computed |
Data Source |
|||
Implement competency-based models for recruitment and training needs assessment |
This goal will be considered achieved if SSA:
|
Workforce Planning and Transition Plans |
|||
Designated Staff Members |
Division |
||||
Barbara Burdge Jean Venable Erik Jones Michele Noel |
OHR OC/OHR |
||||
Testing and Results |
|||||
We obtained an understanding of the underlying process and procedures surrounding the implementation of the measure through interviews and meetings with the appropriate SSA personnel. In addition, we reviewed and evaluated the following:
Refer to "Results of Evaluation" for a description of the findings. |