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ELEMENTS OF SYSTEMS MODERNIZATION
FOR THE
SOCIAL SECURITY ADMINISTRATION
A Report Prepared by the
Committee on Review of the SSA's
Systems Modernization Plan (SMP)
and Agency Strategic Plan (ASP)
Board on Telecommunications and Computer Applications
Commission on Engineering and Technical Systems
Computer Science and Telecommunications Board
Commission on Physical Sciences, Mathematics, and Applications
National Research Council
NATIONAL ACADENINt PRESS
Washington, D.C. 1991
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NOTICE: The project that is the subject of this report was approved by the Governing Board of the
National Research Council, whose members are drawn from the councils of the National Academy of Sciences,
the National Academy of Engineering, and the Institute of Medicine. The members of the committee responsible
for this report were chosen for their special competences and with regard for appropriate balance.
This report has been reviewed by a group other than the authors according to procedures approved by
a Report Review Committee consisting of members of the National Academy of Sciences, the National Academy
of Engineering, and the Institute of Medicine.
The National Academy of Sciences is a private, nonprofit, self-perpetuating society of distinguished
scholars engaged in scientific and engineering research, dedicated to the furtherance of science and technology
and to their use for the general welfare. Upon the authority of the charter granted to it by the Congress in 1863,
the Academy has a mandate that requires it to advise the federal government on scientific and technical matters.
Dr. Frank Press is president of the National Academy of Sciences.
The National Academy of Engineering was established in 1964, under the charter of the National
Academy of Sciences, as a parallel organization of outstanding engineers. It is autonomous in its administration
and in the selection of its members, sharing with the National Academy of Sciences the responsibility for advising
the federal government. The National Academy of Engineering also sponsors engineering programs aimed at
meeting national needs, encourages education and research, and recognizes the superior achievements of
engineers. Dr. Robert M. White is president of the National Academy of Engineering.
The Institute of Medicine was established in 1970 by the National Academy of Sciences to secure the
services of eminent members of appropriate professions in the examination of policy matters pertaining to the
health of the public. The Institute acts under the responsibility given to the National Academy of Sciences by
its congressional charter to be an adviser to the federal government and, upon its own initiative, to identify issues
of medical care, research, and education. Dr. Samuel O. Thier is president of the Institute of Medicine.
The National Research Council was organized by the National Academy of Sciences in 1916 to associate
the broad community of science and technology with the Academy's purposes of furthering knowledge and of
advising the federal government. Functioning in accordance with general policies determined by the Academy,
the Council has become the principal operating agency of both the National Academy of Sciences and the
National Academy of Engineering in providing services to the government, the public, and the scientific and
engineering communities. The Council is administered jointly by both Academies and the Institute of Medicine.
Dr. Frank Press and Dr. Robert M. White are chairman and vice chairman, respectively, of the National
Research Council.
This project is supported by Contract No. 600-88-0163 between the Social Security Administration and the
National Academy of Sciences.
Available from:
Computer Science and Telecommunications Board
Commission on Physical Sciences, Mathematics, and Applications
National Research Council
2101 Constitution Avenue, N.W.
Washington, DC 20418
Printed in the United States of America
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COMMITTEE ON REVIEW OF THE SSA'S
SYSTEM MODERNIZATION PLAN (SMP)
AND AGENCY STRATEGIC PLAN (ASP)
WILLIS H. WARE, Ch~aim~an, The RAND Corporation
LAWRENCE E. BACON, The Travelers Companies
B. GARLAND CUPP, American Express Travel Related Services Company, Inc.
LYNN W. ELLIS, University of New Haven
JAMES C. EMERY, University of Pennsylvania
PETER D. GROSS, Computer Sciences Corporation
CASIMIR A. KULIKOWSKI, Rutgers University
RICHARD T. LIEBHABER, MCI Communications Corporation
GARY R. NELSON, Systems Research and Applications Corporation
CHARLES H. SHORTER, TRW Information Systems Group
EDGAR H. SIBLEY, George Mason University
GIO WIEDERHOLD, Stanford University
Staff
ANTHONY M. FORTE, Study Director
LINDA L. JOYNER, Project Assistant
· · .
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BOARD ON TELECOMMUNICATIONS AND COMPUTER APPLICATIONS
JORDAN J. BARUCH, Chainnan, Jordan Baruch Associates, Inc.
GEORGE A. BEKEY, University of Southern California
DANIEL BELL, American Academy of Arts and Sciences
HERBERT D. BENINGTON, UNISYS Defense Systems
DAVID J. FARBER, University of Pennsylvania
JAMES L. FLANAGAN, AT&T Bell Laboratories
ROBERT Y. HUANG, TRW Space Technology Group (retired)
ROBERT L. MARTIN, Bell Communications Research
JOHN C. McDONALD, Continental Telecommunications, Inc.
WILLIAM F. MILLER, SRI International
JOEL MOSES, Massachusetts Institute of Technology
HENRY M. RIVERA, Dow, Lohnes and Albertson
CHARLES W. STEPHENS, TRW Electronics & Defense Sector (retired)
ERIC E. SUMNER, AT&T Bell Laboratories
GEORGE L. TURIN, University of California, Berkeley
KEITH W. UNCAPHER, University of Southern California
ANDREW J. VITERBI, University of California, San Diego
WILLIS H. WARE, The RAND Corporation
BARRY H. WHALEN, MCC Corporation
Staff
JOHN M. RICHARDSON, Director
ANTHONY M. FORTE, Senior Staff Officer
BENJAMIN J. LEON, Senior Staff Officer
CARLITA M. PERRY, Staff Associate
LINDA L. JOYNER, Project Assistant
1V
:-
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COMMISSION ON ENGINEERING AND TECHNICAL SYSTEMS
ARDEN L. BEMENT, JR., Chairman, TRW, Inc.
JOHN A. ARMSTRONG, IBM Corporation
DENNIS CHAMOT, AFL - CIO
KENT F. HANSEN, Massachusetts Institute of Technology
E.R. HEIBERG, III, J^. Jones Construction Services Company
WILLIAM G. HOWARD, JR., National Academy of Engineering
RICHARD C. MESSINGER, Cincinnati Milacron, Inc.
IRENE C. PEDEN, University of Washington
EBERHARDT RECHTIN, University of Southern California
CHARLES F. TIFFANY, Boeing Military Airplane Company (retired)
PAUL TORGERSEN, Virginia Polytechnic Institute and State University
JOHN B. WACHTMAN, JR., Rutgers University
DAVID L. BODDE, Executive Director
v
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COMPUTER SCIENCE AND TELECOMMUNICATIONS BOARD
JOSEPH F. TRAUB, Chainnan, Columbia University
ALFRED V. AHO, AT&T Bell Laboratories
JOHN SEELY BROWN, Xerox Corporation - PARC
FRANK P. CARRUBBA, Hewlett-Packard Company
DAVID J. FARBER, University of Pennsylvania
SAMUEL H. FULLER, Digital Equipment Corporation
JAMES FREEMAN GILBERT, University of California at San Diego
WILLIAM A. GODDARD III, California Institute of Technology
JOHN L. HENNESSY, Stanford University
JOHN E. HOPCROFT, Cornell University
MITCHELL D. KAPOR, ON Technology, Inc.
SIDNEY KARIN, General Atomics
LEONARD KLEINROCK, University of California at Los Angeles
ROBERT LANGRIDGE, University of California at San Francisco
ROBERT L. MARTIN, Bell Communications Research
WILLIAM F. MILLER, SRI International
ABRAHAM PELED, IBM TJ. Watson Research Center
RAJ REDDY, Carnegie-Mellon University
JEROME H. SALTZER, Massachusetts Institute of Technology
MARY SHAW, Carneg~e-Mellon University
ERIC E. SUMNER, Institute of Electrical and Electronics Engineers
IVAN E. SUTHERLAND, Sutherland, Sproull & Associates
GEORGE L. TURIN, University of California at Berkeley
VICTOR VYSSOTSKY, Digital Equipment Corporation
WILLIS H. WARE, The RAND Corporation
WILLIAM WULF, University of Virginia
Staff
MARJORY BLUMENTHAL, StaM Director
ANTHONY M. FORTE, Senior Staff Officer
HERBERT S. LIN, Senior Staff Officer
DAMIAN M. SACCOCIO, Staff Officer
RENEE A. HAWKINS, Staff Associate
DONNA F. ALLEN, Administrative Secretary
LINDA L. JOYNER, Project Assistant
CATHERINE A. SPARKS, Senior Secretary
V1
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COMMISSION ON PHYSICAL SCIENCES
MATHEMATICS, AND APPLICATIONS
NORMAN HACKERMAN, Chairman, Robert A. Welch Foundation
PETER J. BICKEL, University of California at Berkeley
GEORGE F. CARRIER, Harvard University
HERBERT D. DOAN, The Dow Chemical Company Retired
DEAN E. EASTMAN, IBM TJ. Watson Research Center
MARYE ANNE FOX University of Texas
PHILLIP A. GRIFPTTHS, Duke University
NEAL F. ~NE, Rice University
ROBERT W. LUCKY, AT&T Bed Laboratories
CHRISTOPHER F. McKEE, University of California at Berkeley
RICHARD S. NICHOLSON, American Association for the Advancement of Science
JEREML\H P. OSTRIBR, Princeton University Observatory
ALAN SCHRIESHEIM, Argonne National Laboratory
ROY F. SCHWITTERS, Superconducting Super Collider Laboratory
KENNETH G. WILSON, Ohio State University
NORMAN METZGER, Executive Director
· ~
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PREFACE
This is the fourth in a series of reports produced by the National Research Council
(NRC) to review information systems for the Social Security Administration (SSA).1 Two
letter reports have also been sent to the SSA. Collectively these reviews span 14 years and
10 commissioners of the SSA. The committees responsible for the reports have thus had
ample calendar time to observe the progress and evolution of the SSA. Perhaps not
surprisingly, certain themes have continued to require attention. Among them are the
architecture of the computer system that supports the SSA, the level and quality of the
service that SSA clients receive, and the SSA's self-image as a motivator for ongoing
improvement and progress. As was noted in the preface of the third report in this series,
"The SSA . . . can be characterized as huge in both absolute and relative terms. . . . nothing
is small; little is easy to accomplish; and change comes with difficulty."
Nothing has been harder to change than the SSA's self-image; the reports have
underscored the need for a "strategic vision." It is worth articulating again, phrasing it in
the same spirit that inspired the National Aeronautics and Space Administration (NASA):
"A strategic vision is a clear image of what you want to achieve, which then organizes and
instructs every step. . . . Contrast . . . putting a man on the moon by the end of the decade
with 'We are going to be the world leader in space exploration,' which doesn't organize
anything" (John Naisbitt' Megatrends' Warner Books, 1982).
The SSA is basically a provider of services, rather than an achiever of physical
events; its mission is distinctly different from NASA's. Nonetheless, a strategic vision is still
required, although it need not cover every aspect of SSA's activities. NASA did many other
things while putting a man on the moon, but a salient goal drove the entire organization.
This present report stresses again the need for a central strategic vision for the SSA;
it is important. Might it be this simple: 'The SSA will be fully automated by the end of the
century.'
.
LK
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An effort such as this study depends on many people, and the contribution of each
is gratefully acknowledged. On the committee's side, there are all the members who
diligently and conscientiously attended meetings and pooled their thoughts, ideas, and draft
material. On the SSA side we owe much to present Commissioner Gwendolyn S. King, to
prior Deputy Commissioner Herbert R. Doggette, Jr., to Deputy Commissioner Renato A.
DiPentima, to Deputy Commission John R. Dyer, to Chief Financial Officer Norman
Goldstein, and to the many other executives and staff of the SSA who briefed us and
fielded our probing, insistent questions, and to John Ryan (in strategic planning), who has
been our point of contact.
From the NRC side, we were ably supported by senior staff officer Anthony M.
Forte and his assistant, Linda L. Joyner.
During this present study and preparation of this report, the NRC reorganized two
of its boards. The Board on Telecommunications and Computer Applications, under which
this and prior studies were initiated, was merged with the former Computer Science and
Technology Board, and the resulting unit was named the Computer Science and
Telecommunications Board, under the aegis of the Commission on Physical Sciences,
Mathematics, and Applications. The conduct of this study and preparation of this report
were done mostly under the auspices of the Commission on Engineering and Technical
Systems. A roster of each group has been included in the front matter of this report.
Willis H. Ware, Chairman
Committee on Review of the SSA's Systems
Modernization Plan and Agency Strategic Plan
1 The three previous reports, all issued by the National Research Council, are (1) Review
of a New Data Management System for tile Social Security Administration (Washington, D.C.:
National Academy of Sciences), 1978; (2) Second Review of a New Data Management System
for the Social Security Administration (Washington, D.C.: National Academy of Sciences),
1979; and (3) Systems Modernization and the Strategic Plans of the Social Security
Administration (Washington, D.C.: National Academy Press), 1990.
x
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CONTENTS
EXECUTIVE SUMMARY
1 INTRODUCTION.......
SSA's Past Performance, 15
Evaluation of SSA's Systems Modernization, 16
The Committee's Review Approach, 16
Reference, 17
1
2 PROMULGATING A VISION
A Vision for the 1990s and Beyond, 20
Technology Vision and Innovative Transition, 22
Architectures and Planned Transition to New Systems, 22
Implementation of a New System, 24
References, 25
3 SERVING THE PUBLIC . . . .
Service Objectives, Metrics, and Operational Planning, 27
Reference, 34
4 STRUCTURING THE ORGANIZATION ........
Technology Organization and Management Issues, 35
Relating Structure to Goals and Functions, 35
Impact of Present Overall Organizational Structure, 36
Technology Management Systems, 39
References, 47
5 DEVELOPING THE WORK FORCE .
Forces of Change, 49
Effects of Automation, 50
Composition of the Technical Work Force, 52
Educating and Training the Work Force, 53
Conclusion, 54
Reference, 55
X1
... 13
..... 19
27
Tic
JO
49
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6 MANAGING TECHNOLOGY
Automation at the Program Service Centers, 58
Managing Backup and Recovely, 59
Automation Directions for SST, 60
Toward Advanced Application Specifications, 61
Technological Possibilities for SSA, 63
Reference, 68
APPENDIXES
A Work Statement Phase IT . .. . . .. . . . . . . . . . .. . . . . . . .. . . . . .
B Letter Report to Gwendolyn S. King . .. . . . .. . .. . . . . . .. .. . . .
C List of Presentations to the Committee on Review of SSA's Systems
Modernization Plan (SMP) and Agengy Strategic Plan (ASP) . .
D SSA's Major Services
E Glossary.........
.... A,
.... I]
73
81
....... 87
99
· ~
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