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Review of a New Data
Management System for
the Social Security
Administration
A Report to the
Social Security Administration
Department of Health, Eclucation and Welfare
by the
Panel on Social Security Administration
Data Management System
Committee on Telecommunications-Computer
Applications
Assembly of Engineering
National Research Council
l
NATIONAL ACADEMY OF SCIENCES
Washington, D.C. 1978
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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 the 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.
This report represents work under Contract 600-77-0034
between the National Academy of Sciences and the Social
Security Administration.
Copies of this publication are available, under accession number
NRC/TELECOM/78/2, from:
National Technical Information Service
Department of Commerce
5825 Port Royal Road
Springfield, Virginia 22161
Printed in the United States of America
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Preface
This report is based on a review of the planning by the Social Security
Administration (SSA) to improve the data management and computer-communi-
cations aspects of its social service delivery system through the rest
of this century. The planning effort was described in June 1975 by the
SSA's Office of Advanced systems in its "Master Plan for the Development
of the Future SSA Process." The .'process" is defined as the sum total of
technological, operational, and managerial factors necessary to conduct
a multiplicity of social security programs. In recent years, the
agency has been the subject of concern and criticism for shortcomings in
the handling of claims and payments. Thus, the purpose of the projected
new process is to improve the accuracy, promptness, reliability, and
responsiveness of the SSA's service delivery system.
The SSA's master plan calls for a six-year project involving four
phases--conceptualization, requirements definition, design, and
implementation. While it was engaged in designing the concept, as
Phase I, the SSA asked the National Research Council to conduct a
year-long assessment of the long-range plan, with a detailed review
of Phase II, relating to the requirements and architecture of the new
system. For its part, the National Research Council turned to its
Committee on Telecommunications-Computer Applications, which organized
the Panel on Social Security Administration Data Management System to
carry out the assignment.
Accordingly, the panel, consisting of individuals with a depth of
knowledge and breadth of understanding of information, communications,
and management systems, such as those involved in the SSA's new plan,
began its work in December 1976. An effort was made to balance the
panel members within the electronic information-communications industry,
as well as among industrial, university and non-profit organizations. The
panel was asked to place additional emphasis on project management and
information security and confidentiality.
The methodology of the panel's review for gathering knowledge and
understanding of the SSA's specific problems, concepts, and priorities
was appropriate to the task. Throughout the period of its review, the
panel had the benefit of a close interaction with the SSA. In a series
of six meetings at the SSA headquarters in Baltimore, Md., regional
centers, and local (district) offices, the panel met with many officials
. · ~
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of the agency. Panel members also visited SSA field offices individually
or in teams to obtain first-hand impressions of the ent ire proces s . In
addition, the members studied numerous SSA documents pertinent to their
inquiry. Among the documents was "Recommended Design Concept for the
Future SSA Process,'. prepared in April 1977 by the SSA's Office of
Advanced Systems. It provides a comprehensive account of the objectives,
constraints, and concepts that are critical to the design of the SSA's
proposed data management system.
It was clear to the panel that if the analysis and advice were to
be useful, it had to be based on a thorough understanding of the purposes
and procedures of the SSA, as well as on certain knowledge of the capa-
bilities and resources available to the agency.
In its review, the panel was careful not to overstep its bounds to
evaluate the technical and operational aspects of the SSA's concept of
a high performance, cost effective information processing and management
system. Thus, the panel has refrained from engaging in the actual
planning or designing of the proposed new system or from advising on
suchtmatters as the funding or the service levels of the SSA system.
While the panel has examined the SSA's operations at Baltimore and at
some'regional and branch offices, it has not attempted to evaluate how
efficiently or effectively the agency uses its present computer-commu-
nications system. Nor has the panel reviewed the subject of equipment
acquisition. At times, individual members have had strong views or
special insights on such matters, but the panel's conclusions and
recommendations in this report are concerned only with the management,
information, and communications aspects of the SSA's data base planning
effort.
This report opens with a summary of the principal findings and
recommendations. Chapter I consists of a brief survey of the dimensions
of the problems confronting the nation's social security systems the
complexity of the agency's operations, and the SSA's own evaluation of
the "fixed requirements" for any new computer-communications process.
In Chapter II the panel examines the various options for establishing
and integrating a coherent, coordinated process. Chapter III is an
evaluation of the current state of the hardware and software
technologies relevant to the entire system, as well as its component
parts. Chapter IV covers the significance of human factors in relation
to the SSA process. Chapter V deals with the important privacy and
security considerations of the new process. Chapter VI is concerned
with the major issues of in-house management, contracting, and
procurement of large computer-information systems, with some instruc-
tive examples of Department of Defense experience. Then, in Chapter
VII the panel describes several aspects of large program management,
including project overview, the transition period, and maintenance
and control.
The panel has benefited greatly from the open, frank, and infor-
mative discussions with officials and staff of the SSA. Appreciation
is expressed, in particular, to James B. Cardwell, the Commissioner
of the SSA at the time of this review, and Robert B. Byoum, the
Associate Commissioner for the Office of Program Operations, as well
iv
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as to Ray Lannon, the Director, and Renny DiPentima, the Project
Officer in the SSA's Office of Advanced Systems. The panel is
indebted to them and others for their guidance through the com-
plexities of the nation's social security operations.
Several members of the panel called upon their colleagues for
contributions to this review. The panel is grateful, accordingly, to
the following individuals: Richard A. Cloughley of Sperry-Univac,
Kimfield Parks of the Burroughs Corporation, Richard Phelps of the
Equitable Life Assurance Society of the United States, R. L. Snowden
of American Telephone and Telegraph Company, John W. White of Texas
Instruments Incorporated, and Hugh B. Williams of IBM Corporation.
In addition, the panel appreciates the support, throughout its
study, of R. V. Mrozinski, Executive Director, Frank M. Snyder, Deputy
Executive Director, and Margaret A. Smith, Administrative Secretary,
of the Assembly of Engineering's Committee on Telecommunications-
Computer Applications.
While the panel acknowledges the valuable help of these people
in the preparation of this report, the conclusions and recommendations
presented here, as well as any errors, are entirely its own.
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Members, Pane! on Social Security Administration Data
Management System
Louis T. Rader (Chairman)
Professor of Electrical Engineering and Business Administration
University of Virginia
J. C. R. Licklider (Deputy Chairman)
Professor of Electrical Engineering and Computer Science
Massachusetts Institute of Technology
Ted E. Climis
Vice President, Development, General Products Division
IBM Corporation
Lee L. Davenport*
Vice President-Chief Scientist
General Telephone & Electronics Corporation
V. E. Herzfeld
Vice President, Business Planning and Development
Sperry-Univac
Robert R. Johnson
Vice President, Division of Engineering
Burroughs Corporation
Billy B. Oliver
Vice President, Engineering Planning
American Telephone & Telegraph Company
Bert C. Roberts, Jr.
Senior Vice President, Corporate Planning & Development
MCI Telecommunications Corporation
Sam K. Smith
Group Vice President
Texas Instruments Incorporated
.
*ex officio as Chairman, Committee on Teleco=;~unications-Computer
Applications
vii
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Robert I`. Sproull
President
University of Rochester
Willis H. Ware
Corporate Research Staf f
Rand Corporation
E. James Young
Vice President, Management Service Department
Equitable Life Assurance Society of the United States
Staff:
R. V. Mrozinski, Staff Director
Frank M. Snyder, Deputy Staff Director
Margaret A. Smith, Administrative Secretary
viii
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i
Members, Committee on Telecommunications-Computer
Applications
.
Lee L. Davenport (Chairman)
Vice President-Chief Scientist
General Telephone & Electronics Corporation
Louis T. Rader (Deputy Chairman)
Professor of Electrical Engineering and Business Administration
University of Virginia
Jack A. Baird
Vice President, Customer Services
American Telephone & Telegraph Company
Henri G. Busignies
Chief Scientist Emeritus
International Telephone & Telegraph Corporation
J. C. R. Licklider
Professor of Electrical Engineering and Computer Science
Massachusetts Institute of Technology
Robert D. Maurer
Manager, Special Projects, Optical Wave Technology
Corning Glass Works Research and Development Laboratories
Sidney Metzger
Assistant Vice President and Chief Scientist
Communications Satellite Corporation
Lawrence G. Roberts
Chairman of the Board
Telenet Communications Corporation
Glen O. Robinson
Professor of Law
University of Virginia Law School
Joseph E. Rowe
Provost, Case Institute of Technology
Case Western Reserve University
ix
At.
-
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Herbert Sherman
Associate Director for Technology
Center for the Analysis of Health Practices
Harvard School of Public Health
Harry M. Trebing
Director, Institute of Public Utilities
Michigan State University
.
H. Mitchell Watson, Jr.
Assistant Group Executive, Marketing Group
IBM Corporation
Graham W. Watt
President
National Training and Development Service
Staff:
R. V. Mrozinski, Executive Director
Frank M. Snyder, Deputy Executive Director
Steven C. Johnson, Staff Economist
Jean Cleveland, Administrative Assistant
Gwynne S. Ellsworth, Administrative Secretary
Margaret A. Smith, Administrative Secretary
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Contents
SUMMARY
CHAPTER I: THE PROPOSED SSA PROCESS
3
9
CHAPTER II: THE INTEGRATED SYSTEM 13
System Alternatives
Major System Considerations
System Design Methodology
Transition Plan
CHAPTER III: TECHNOLOGICAL CONSIDERATIONS
Interfacing and Modeling
Communications
Terminals
Applications Software
14
16
22
24
27
27
30
36
38
CHAPTER IV: HUMAN FACTORS 44
CHAPTER V: PRIVACY AND SECURITY ISSUES 47
CHAPTER VI: CONTRACTING ISSUES
CHAPTER VII: MANAGEMENT CONSIDERATIONS
APPENDIX: COMPUTER-RELATED TECHNOLOGIES
GLOSSARY
54
58
64
87
