Social Security Administration
Office of the Inspector General
Fiscal Years 2006 2010
A MESSAGE FROM THE INSPECTOR GENERAL OF SOCIAL SECURITY
5th Edition Strategic Plan
During Fiscal Year FY 2009, we continued the process we began with a focus group
in FY 2007 to ensure the viability of our Strategic Plan for FYs 2006 2010.
For the fiscal year just completed, we met all of our goals in the Strategic Plan.
In the FY 2010, we are changing one goal to set an even higher standard for our
performance in the current fiscal year. This change provides assurance that the
Plan continues to be an accurate tool for gauging our success in fulfilling our
The Plan continues to reflect our vision, values, goals, objectives and responsibilities.
We track progress with 14 self-measuring goals. These measures were developed
in light of our responsiblity to addressing critical issues such as maintaining
the integrity of the Social Security number, preventing improper payments and
protecting the Social Security Administrations (SSA) critical infrastructure.
The successful execution of our Plan will be a measure of the efforts of this
Office toward accomplishing our overall mission: inspiring public confidence by
and preventing fraud, waste, and abuse in SSAs programs and operations.
Our commitment to achieving excellence is demonstrated in our teamwork and supportive
work environment. We believe that this commitment will
enable us to reach even higher to attain our Strategic Plans goals.
Patrick P. OCarroll, Jr.
Table of Contents
Executive Summary ........................................................................1
Vision and Values ...........................................................................2
Strategic Planning Process ...............................................................7
Stakeholder Feedback ....................................................................7
Internal Factors Affecting the Achievement of Strategic Goals ..........7
External Factors Affecting the Achievement of Strategic Goals ........ 8
Summary of Program Evaluations ...................................................
Goals, Strategies and Measures.......................................................
Goal 1: Impact................................................................................
Goal 2: Value .................................................................................10
Goal 3: People................................................................................13
Our Strategic Plan for Fiscal Years (FY) 2006 through 2010 conforms to the statutory
responsibilities of the Government Performance and Results Act of 1993 (GPRA)
and the Inspector General Act of 1978, as amended (IG Act). These Acts set the
course for our Plan.
Three general goals serve as the Plans overall framework.
The first goal focuses on the impact we have on SSAs programs and operations.
All components within the OIG are committed to improving SSAs effectiveness
and efficiency through our investigations, audits and legal activities.
The second goal reflects the value we provide to SSA, Congress and to the public
by delivering timely and reliable products and services. It is imperative that
we deliver products and services that effectively meet the needs of our stakeholders.
Therefore, we must integrate best practice strategies and cutting-edge technology
to maximize efficiency while producing a positive return on investment to the
public we serve.
The third goal includes strategies and self-measuring goals to enhance the work
experience of our people, who are the foundation of the OIG organization. A well-trained
and motivated workforce is crucial to our success. We believe our commitment to
professional development and skills enhancement while sustaining a quality-of-life
work environment will return rewards of superior work efficiency and effectiveness.
To achieve these goals across the OIG organization, our Plan directs and targets
crosscutting efforts. For example, the Plan recognizes that data on potential
SSA systems vulnerabilities maintained by the Office of Investigations will also
have value to the Office of Audits planning and analysis functions. In an
environment of limited resources, this integration of efforts is essential.
This Plan includes assessment tools that will gauge customer and employee satisfaction.
The OIG's Office of Quality Assurance and Professional Responsibility will administer
a tool that assesses the level of internal and external user satisfaction with
OIG products and services. In addition, our Organizational Health Committee will
implement an annual employee job satisfaction survey to gather the views and opinions
of our employees on a variety of factors relating to the overall OIG work experience.
The goals, objectives and performance targets under our Plan are designed to improve
OIG and, by extension, will assist SSA in attaining its own desired performance
By conducting independent and objective audits, evaluations and investigations,
we inspire public confidence in the integrity and security of SSAs programs
and operations and protect them against fraud, waste and abuse. We provide timely,
useful and reliable information and advice to Administration officials, Congress
and the public.
Vision and Values
We strive for continual improvement in SSAs programs, operations and management
by proactively seeking new ways to prevent and deter fraud, waste and abuse. We
commit to integrity and excellence by supporting an environment that provides
a valuable public service while encouraging employee development and retention
and fostering diversity and innovation.
The FY 2006 2010 Strategic Plan includes three general goals, each containing
a series of crosscutting strategies. We used these strategies to develop our 14
self-measuring goals. For the general goals in the following chart, the strategies
and associated self-measuring goals are described in the Goals, Strategies and
Measures section beginning on page 8.
We accomplish these goals by:
Investigating complaints from any person or entity, including Congress,
while protecting the identity of whistleblowers.
Reviewing existing and proposed legislation and regulations.
Conducting audits and investigations of SSA programs and operations. We
communicate the results of our efforts by:
Reporting violations of law to Offices of the U.S. Attorney and State and
Informing Congress and the Commissioner of our findings and recommending
corrective action when problems are identified.
Submitting semiannual reports to Congress and the Commissioner.
Impact Enhance the integrity, efficiency and effectiveness of SSA programs and
Provide quality products and services of value in a timely manner to Congress,
SSA and other key decision-makers while sustaining a
positive return for each tax dollar invested in OIG activities.
People Promote a skilled, motivated, diverse workforce in a positive and rewarding
On March 31,1995, the SSA OIG was established pursuant to Public Law 103-296 known
as the Social Security Independence and Program Improvements Act of 1994. General
OIG authority is established under the IG Act, which provides statutory responsibility
to protect the integrity of SSA programs and operations. We are an independent
and objective organization within SSA dedicated to preventing and detecting fraud,
waste and abuse in SSA's programs and operations. We are guided by various statutory
laws and implementing regulations, as well as various policies and guidance regarding
federal law enforcement and government auditing. The following chart describes
some of the statutory laws which impact the environment in which OIG carries forth
LEGISLATION PROVISIONS IMPACTING OIG
The Federal ManagersFinancial Integrity Act of 1982
Requires Federal managers to identify weaknesses in programs and operations and
take corresponding corrective actions and report annually
on management controls.
The Chief Financial Officers Act of 1990
Requires assessments of SSAs internal control environment to assure the
issuance of reliable financial information and to deter fraud, waste
and abuse of SSA resources.
The Government Performance and Results Act of 1993
Requires the assessment of the internal control environment over SSAs performance
The Government Management Reform Act of 1994
Requires an assessment of the reliability of SSAs performance data and evaluates
the extent to which SSAs performance plan describes its
planned and actual performance meaningfully.
The Welfare Reform Act of 1996
Denies Supplemental Security Income payments for fugitives, probation and parole
violators. Requires that we manage the partnership between
SSA and local law enforcement to identify and apprehend these individuals.
The Federal Financial Management Improvement Act of 1996
Requires Office of Management and Budget compliant financial management systems.
The Reports Consolidation Act of 2000
Requires Inspectors General to provide a summary and assessment of the most serious
management and performance challenges facing Federal
agencies and their progress in addressing them.
The Federal Information Security Management Act of 2002
Requires that OIG evaluate SSAs overall information security program and
Improper Payments Act of 2002
Requires annual reviews by OIG or SSA of programs to identify those susceptible
to significant improper payments.
The Social Security Protection Act of 2004
Denies Old Age, Survivors and Disability Insurance benefits and representative
payee status to persons fleeing prosecution, custody or confinement after conviction
and to persons violating probation or parole. Requires that we manage the partnership
between SSA and local law enforcement to identify and apprehend these individuals.
OIG is comprised of six components: The Immediate Office of the Inspector General
(IO), Office of Audit (OA), Office of the Counsel to the Inspector General (OCIG),
Office of Technology and Resource Management (OTRM) Office of Investigations (OI),
and the Office of External Relations (OER).
Immediate Office of the Inspector General
IO provides the Inspector General and Deputy Inspector General with staff assistance
full range of their responsibilities. The IO also administers a comprehensive
Responsibility and Quality Assurance as well as Quality Control programs that
adequacy of OIG compliance with its policies and procedures, internal controls
professional standards. In addition, the IO oversees the Organizational Health
(OHC). The purpose of the OHC is to be an agent of positive change by discussing,
evaluating, and presenting to senior management employee issues and proposed solutions
affect the operations, administration, and efficiency of OIG. In doing this, the
as a representative of all OIG employees.
Office of Audit
OA conducts and/or supervises comprehensive financial and performance audits of
programs and operations and makes recommendations to ensure that program objectives
operational functions are achieved effectively and efficiently. Financial audits,
the Chief Financial Officers' Act of 1990, assess whether SSA's financial statements
present the Agency's financial position, results of operations, and cash flow.
audits review the economy, efficiency, and effectiveness of SSA's programs and
OA also conducts short-term management and program evaluations focused on issues
concern to SSA, the Congress, and the general public. Evaluations often focus
and recommending ways to prevent and minimize program and operational fraud, waste,
abuse, as well as inefficiency and ineffectiveness.
Office of the Counsel to the Inspector General
OCIG provides independent authoritative legal advice, guidance and counsel to
the IG and senior staff on legal issues; regulatory strategy; legislative proposals;
and integration and interpretation of new and emerging authorities and Agency
responsibilities under anticipated and current regulatory authorities. OCIG also
provides advice to the OIG on the legal issues being deliberated concerning relevant
regulatory and procedural information and reviews documents and other materials
to ensure sufficiency and compliance with regulatory requirements. OCIG is responsible
for the implementation of the Civil Monetary Penalty (CMP) program, including
imposition of penalties and assessments and the settlement and litigation of CMP
Office of Technology and Resource Management
OTRM provides administrative and management support to the OIG by providing information
resource management; systems security and software development; and the coordination
of budget, procurement, telecommunications, facilities, equipment, and human resources
activities. OTRM also administers the Fugitive Felon Program and the OIG Fraud
Hotline, and manages the Electronic Crimes program. In addition, OTRM is responsible
for strategic planning, organizational performance management and reporting.
Office of Investigations
OI conducts and coordinates investigative activity related to fraud, waste, abuse,
and mismanagement in SSA programs and operations including wrongdoing by individuals
such as applicants, grantees, or contractors perpetrating criminal activity against
SSA programs and operations. OI also investigates allegations of employee misconduct
in the performance of their official duties. This office serves as the OIG liaison
to the Department of Justice on all matters relating to investigations of SSA
programs and personnel. OI works with other investigative agencies and organizations
on special projects and assignments.
Office of External Relations
OER manages OIGs external and public affairs programs by planning, directing
and coordinating the dissemination of news releases and public information from
OIG to the various news gathering and news reporting services of the nation. OER
prepares OIG publications, including the Semiannual Report to Congress, as well
as speeches and presentations to internal and external organizations and coordinates
the OIG presence at SSA and other Federal events. In addition, OER serves as the
primary liaison with Congress, Federal agencies and other public and private interest
Office of the Inspector General - January 2010
Patrick P. O'Carroll, Jr.: Inspector General
James A. Kissko: Deputy Inspector General
Tracy B. Lynge: Executive Officer
Jonathan Lasher: Deputy Assistant Inspector General for External Relations
Geoge E. Penn:Acting Counsel for the Office of Counsel to the Inspector General
Erin Justice: Acting Deputy Counsel for the Office of Counsel to the Inspector
Steven L. Schaeffer: Assistant Inspector General for the Office of Audit
Gale S. Stone: Deputy Assistant Inspector General for Financial Systems and Operations
Rona Lawson: Deputy Assistant Inspector General for Program Audits and Evaluations
Richard A. Rohde: Office of Investigations - Assistant Inspector General
Dennis F. Lynch: Deputy Assistant Inspector General for National Investigative
Steve Mason: Deputy Assistant Inspector General for Field Operations
Michael D. Robinson: Assistant Inspector General for the Office of Technology
and Resource Management
Amy Thompson: Acting Deputy Assistant Inspector General for the Office of Technology
and Resource Management
Strategic Planning Process
GPRA requires Federal agencies to develop goals, strategies and performance indicators
for gauging progress. A Strategic Planning Team comprised of OIG headquarters
and field personnel was established to develop this Plan. The Team was chartered
to develop a Plan that would be useful in every component throughout the organization.
Examined the prior Strategic Plan.
Reviewed the IG Act, GPRA and other relevant laws and regulations.
Analyzed SSAs Strategic Plan and Annual Performance Reports.
Evaluated other Federal OIG goals and indicators.
Developed crosscutting strategies.
Suggested new goals, indicators, and target levels of performance.
Our stakeholders include: Congress; congressional staff; SSAs Commissioner;
SSA managers and staff; PCIE and the IG community at large; all OIG employees;
Government Accountability Office; the Office of Special Counsel; the Office of
Government Ethics; Department of Justice; other Federal, State and local law enforcement
agencies; other outside groups both public and private; the general public; and
other parties interested in improving the efficiency, effectiveness and integrity
of SSA programs and operations. We meet periodically with stakeholders, particularly
SSA management officials, U.S. Attorneys, and congressional representatives and
staff to obtain feedback on our work.
Internal Factors Affecting the Achievement of Strategic Goals
For the Strategic Plan to succeed as a management tool, all OIG employees must
embrace and commit to this Plan. Major internal challenges include:
Implementing unified leadership, commitment, and involvement to ensure
effective execution of the Plan.
Designing and implementing processes and technology needed to enhance information
Adjusting to changing workload requirements and resource constraints.
External Factors Affecting the Achievement of Strategic Goals
External factors such as budget constraints, SSAs ability to implement recommendations,
congressional and SSA priorities and political mandates can affect the achievement
of OIG strategic goals. Additional factors include:
Redirecting resources to address national security and public safety issues.
Contracting for outside services with regard to the integrity and reliability
of external auditors and consultants.
Preventing fraud, waste and abuse stemming from vulnerabilities in SSAs
Competing with other organizations for skilled staff.
Summary of Program Evaluations
GPRA requires agencies to describe the program evaluations used to establish or
revise general goals and objectives. Although there were no formal internal or
external program evaluations of OIG to consider in developing this Plan, the Team
evaluated several other sources of information to include:
OIG Semiannual Reports
OIG Congressional Budget Justifications
PCIE Annual Reports
Office of Audit PCIE Peer Review
Results of Quality Assurance Reviews
Management information systems of individual OIG components
SSAs Strategic Plan
Goals, Strategies and Measures
Goal 1: Impact
Enhance the integrity, efficiency and effectiveness of SSA programs and operations.
1. Promote an OIG-wide process for cross-component communications on potential
programmatic and operational vulnerabilities.
2. Communicate with the Agency to identify mission-critical issues and operations
that would benefit from OIG audit and investigation services and develop practical
solutions to address identified weaknesses or deficiencies.
3. Prioritize investigations, audits and counsel actions to effect more efficient
and effective SSA programs and operations.
Revised Performance Measure 1.1 (effective FY 2010)
Maintain an annual acceptance rate of at least 88 % for all recommendations.
Definition: The number of legislative, policy, and regulatory recommendations
accepted by SSA and/or Congress (included in proposed legislation) during the
divided by the total number of recommendations with a management decision and
legislative proposals made during the FY.
Demonstrates: OIGs ability to produce improvement ideas valued by SSA and
Congress. Recommendations are contained in OIG Audit, Evaluation, Management
Advisory, legislative proposals, and Regulatory Commentary Reports.
Source: OAs management information system
Revised Performance Measure 1.2 (effective FY 2009)
Achieve a 5-year average implementation rate of 85% for accepted recommendations
aimed at improving the integrity, efficiency and effectiveness of SSA.
Definition: The total number of accepted recommendations implemented by SSA during
the past 5 FYs divided by the total number of recommendations SSA agreed to implement
during the past 5 FYs.
Demonstrates: The impact of OIG recommendations on the integrity, efficiency,
and effectiveness of SSA programs and operations.
Source: OAs management information system
Revised Performance Measure 1.3 (effective FY 2009)
Achieve a positive action on at least 75 % of all cases closed during the FY.
Definition: The total closed cases that resulted in a positive action during the
FY divided by the total cases closed during the FY. The following circumstances
constitute positive actions: subject enters into a pre-trial diversion program
or receives probation before judgment; subject is convicted or pleads guilty or
is sentenced; a civil judgment against the subject is rendered; OCIG accepts a
CMP referral resulting from OI casework; recoveries (scheduled or actual) - including
both reclamations and repayment agreements, are perfected based upon evidence
obtained through an OIG investigation; SSA takes administrative action based upon
a referral from the OIG limited to benefit cessation, denial, or reduction;
and an OIG investigation results in disciplinary action against an SSA
Demonstrates: OIG productivity in reducing fraud, waste, and abuse.
Source: National Investigative Case Management System (NICMS)
Goal 2: Value
Provide quality products and services of value in a timely manner to Congress,
SSA and other key decision-makers while sustaining a positive return for each
tax dollar invested in OIG activities.
1. Maintain a positive-return culture within OIG.
2. Ensure continual improvement of OIG products by using a product and service
quality assessment instrument to measure internal and external user satisfaction.
3. Implement best practices to ensure quality and timeliness of OIG products and
4. Utilize information technology investments to enhance OIG work products and
Revised Performance Measure 2.1 (effective FY 2008)
Generate a positive return of $6 for every tax dollar invested in OIG activities.
Definition: The total amount of all OIG savings identified during the FY divided
by the total amount of appropriated funds during the same period.
Demonstrates: The dollar value returned for each tax dollar invested in SSA OIG.
Source: Division of Budget and Logistics files, OAs management information
system, and NICMS.
Revised Performance Measure 2.2 (effective FY 2009)
Evaluate and respond to 90 % of all allegations received within 45 days.
Definition: The total number of allegations closed or referred within 45 days
during the FY divided by the total number of allegations closed or referred during
Demonstrates: OIGs ability to initiate timely action on allegations received.
Performance Measure 2.3
Complete investigative fieldwork on 75 % of all cases within 180 days.
Definition: The total number of investigations closed or referred for prosecution,
CMP, SSA or other State or Federal agency action within 180 days during the FY
divided by the total investigations closed or referred during the FY.
Demonstrates: The ability to conduct investigations in an efficient, timely manner.
Performance Measure 2.4
Respond to 90 % of congressional requests within 21 days.
Definition: The total congressional requests responded to within 21 days during
the FY divided by the total number of congressional requests responded to during
the FY. Processing days are the days elapsed from receipt of a congressional request
to the date of a response.
Demonstrates: OIGs ability to provide a rapid response to congressional
Source: OIG Control System
Revised Performance Measure 2.5 (effective FY 2009)
Take action on 90 % of CMP subjects within 30 days of receipt.
Definition: The total number of CMP subjects against whom initial action was taken
within 30 days of receipt during the FY divided by the total number of CMP subjects
where action was taken during the FY. Initial action is defined as sending a letter
to the subject either:
(1) Stating an intention to pursue a Civil Monetary Penalty, or
(2) Indicating that a CMP will not be proposed at this time, and directing the
subject to SSA to make arrangements for repayment. (In cases in which there is
no overpayment, the case will simply be declined and either referred for administrative
sanctions or closed, either of which also constitutes an initial action.)
Demonstrates: The ability to identify and take timely action on CMP cases.
Revised Performance Measure 2.6 (effective FY 2009)
Achieve a positive external user assessment rating of 85 % for product-service
Definition: This measure uses a 5-tier rating scale measuring the degree of satisfaction
with OIG products and services by recipients and users, including SSA and other
government entities, such as Congress, Offices of U.S. Attorney, and external
law enforcement agencies. The numeric response is translated into a percentage
with 85 % indicating satisfaction.
Demonstrates: The overall quality of OIG products and services as seen by their
Source: Quality Assurance Review Assessment Questionnaire
Revised Performance Measure 2.7 (effective FY 2008)
Issue 78 % of final audit reports within 1 year of the entrance conference with
Definition: The total number of audit reports issued during the FY within 1 year
of the entrance conference divided by the total number of audit reports issued
during the FY.
Demonstrates: OIGs ability to efficiently focus, plan, conduct and report
timely audit information.
Source: OAs management information system
Revised Performance Measure 2.8 (effective FY 2008)
Complete 85 % of requests for legal advice and review within 30 days.
Definition: The total number of legal opinions, subpoenas and audit reviews completed
by OCIG within 30 days of receipt during the FY divided by the total
number of requests for legal opinions, subpoenas and audit reviews completed during
Demonstrates: The ability to complete timely legal analysis of OIG products and
to issue prompt legal guidance and support.
Source: OIG Control System
Goal 3: People
Promote a skilled, motivated, diverse workforce in a positive and rewarding work
1. Identify assignment interests and developmental needs of all employees.
2. Provide OIG components with training and tools necessary to ensure professional
development and skills enhancement.
3. Maintain a proactive approach in recruiting and hiring candidates to meet different
Revised Performance Measure 3.1 (effective FY 2009)
Achieve an annual attrition rate of 5% or less.
Revised Definition: The total number of employees separated (excluding retirements
and deaths) during the FY divided by the Average OIG Workforce for the FY.
Demonstrates: OIGs ability to provide a quality work experience that encourages
staff to pursue their career goals within the SSA OIG.
Revised Source (effective FY 2007): OIG Staffing Data
Revised Performance Measure 3.2 (effective FY 2009)
Conduct an annual employee job-satisfaction survey and implement corrective action
plans to identify areas where improvements are needed Revised Definition (effective
FY 2009): Conduct an annual employee survey to gauge the health of the OIG. The
survey will show that for an average of all 12 areas included
that at least 75% of employees responding strongly agreed or agreed with measures
of satisfaction gauged by the survey. For purposes of this survey, very satisfied
and satisfied along with very good or good will be used interchangeably with strongly
agreed or agreed for different questions. The survey was first administered in
FY 2006 and shall be readministered annually to measure compliance with the overall
goal of 75%.
Demonstrates: That OIGs quality work environment is attentive to the people,
technology, communications, and other human capital factors influencing the job
performance of its employees.
Source: Annual employee job-satisfaction tool
Performance Measure 3.3
Ensure that 90 % of OIG staff receives 40 or more hours of appropriate developmental
and skill-enhancement training annually.
Definition: The total number of OIG staff on board for the entire FY receiving
at least 40 hours of training during the FY divided by the total number of OIG
staff on board for the entire FY.
Demonstrates: OIGs commitment to continual staff development and skill enhancement.
Revised Source (effective FY 2007): OIG Training Database