***Initiatives to Eliminate the Social Security Administration Hearing
Backlog***

***Status as of December 28, 2007***

**[Introduction]{.underline}**

In his testimony to Congress on May 23, 2007, Commissioner Astrue
reported that the Social Security Administration (SSA) has developed a
four-pronged plan to eliminate the backlog of requests for hearings and
prevent its recurrence, based on (1) compassionate allowances; (2)
improving performance; (3) increasing adjudicatory capacity; and

\(4\) increasing efficiency with automation and business processes. This
report covers the status of initiatives 2, 3 and 4 as of the end of
Fiscal Year 2007. The Office of Disability and Income Security Programs
(ODISP) has responsibility for initiative 1, compassionate allowances.

**[Improving Hearing Performance]{.underline}**

-   **Reduce Aged Cases --** In Fiscal Year 2007 (FY 07) the Office of
    Disability and Adjudication Review (ODAR) had 63,770 cases that
    would be over 1,000 days old as of 09/28/07. At the end of FY 07,
    108 aged cases remained. For FY 2008, aged cases were redefined as
    cases that would be 900 days old or older by 09/26/2008. Entering FY
    08, 135,160 aged cases remained in this category. As of close of
    business December 28, 2007, the hearing operation reports 88,176
    aged cases pending 900 days or more.

-   **Study Authorization of Senior Attorney Adjudicators** -- The
    interim final rule was published 08/09/07 providing certain attorney
    advisors the ability to adjudicate fully favorable decisions. This
    initiative was implemented on 11/01/07 with the release of a Chief
    Judge Bulletin. As of 12/28/07, 2530 Senior Attorney decisions have
    been issued.

-   **Hire Additional Administrative Law Judges** (ALJs) -- Based on the
    certificate of eligible candidates provided by the Office of
    Personnel Management, ODAR will interview 427 candidates during the
    period 01/08/08 -- 02/01/08. Interviews will be conducted by teams
    of Administrative Law Judges (ALJs) using standardized interview
    questions. ODAR anticipates hiring up to 150 ALJs.

    **[Increase Adjudicatory Capacity]{.underline}**

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-   **Fill ALJ Dockets to Capacity** -- We are continuing the successful
    overtime initiative of the Deputy Commissioner of Operations (DCO)
    with 15,000 hours allocated to DCO for the first quarter of FY 08.
    As of 12/28/07, DCO employees worked 14,208 hours of overtime and
    completed over 124,000 tasks. We are also continuing the successful
    streamlined folder assembly process for pending paper cases. As of
    12/28/07, 6,264 paper cases were identified for streamlined folder
    assembly and 2,057 of these were prepared by DCO employees. We plan
    to continue encouraging ALJs to use this method of case preparation
    to prepare the remainder of our paper backlog cases for hearing.

-   **Improve ALJ Productivity** -- The Chief Administrative Law Judge
    issued a letter to all ALJs on October 31, 2007, asking them to
    issue 500 -- 700 legally sufficient decisions each year, move cases
    out of ALJ-controlled categories on a timely basis and hold
    scheduled hearings absent a good reason to cancel or postpone
    hearings.

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-   **Remand Cases to Disability Determination Services (DDSs) -** For
    the first quarter of FY 08, the Informal Remand
    initiative concentrated on eight of the states with the largest
    paper backlogs.  More than 13,000 cases from these eight states were
    remanded to DDSs in the first quarter of FY 08.  From 10/01/07
    through 12/28/07, 9,050 Informal Remands were processed by the DDSs,
    with a reversal rate of 37 percent.  These were a mix of cases that
    had been sent to the DDSs during FY 07 and cases that were sent to
    the DDSs at the beginning of FY 08.  Planning is currently underway
    to continue this initiative for the second quarter of FY 08. 

-   **Implement Medical Expert Screening Process** -- There are two
    aspects to this initiative: (1) By using interrogatories, ALJs
    secured additional information on childhood cases from Pediatric
    Medical Units (PMUs) in Boston and Seattle. Approximately 170 cases
    were sent to the PMUs. (2) Using profiles, hearing offices will
    identify cases that could benefit from a review by a medical expert
    prior to assignment of the case to an ALJ. Three interrogatory
    templates (two for adults and one for children) were developed using
    the Office of Quality Performance (OQP) profile scores. These have
    been vetted by the Disability Policy Council, the Office of
    Disability Programs, and the Office of General Counsel. The medical
    expert will provide written answers to a brief set of questions. If
    the answers suggest the claimant is disabled, the case will be
    routed to an adjudicator for review and final decision. If the
    answers do not result in a favorable decision being issued, the
    written answers will be included in the record. We are awaiting a
    legal opinion from the Office of General Counsel before this project
    can begin.

-   **Open National Hearing Center (NHC) --** The NHC opened in October.
    The first 100 cases were received from the Cleveland Hearing Office.
    After an initial period of training for new staff, attorneys and
    legal assistants began working from this location on 11/05/07. On
    12/17/07, Chief Judge Frank Cristaudo conducted the first hearing in
    the National Hearing Center and issued a favorable decision on the
    case prior to the Christmas holidays. Judge Gill, the Acting Chief
    Judge of the NHC, also conducted NHC hearings the week of December
    17, 2007, supporting the Cleveland hearing office. To date, the NHC
    has conducted 18 video hearings. During December 2007, the Office of
    the Chief Administrative Law Judge (OCALJ) made arrangements with
    the Atlanta and Chicago Regions to send cases from the Atlanta and
    Detroit Hearing Offices on a monthly basis to the NHC. In January
    2008, Deputy Chief Judge Nancy Griswold will also be conducting
    hearings at the NHC. Two more ALJs reported to the NHC the week of
    January 7, 2008.

    **[Increasing Efficiency with Automation and Improved Business
    Process]{.underline}**

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-   **Develop a New Case Processing and Management System for the
    Appeals Council** -- A Case Processing and Management System is
    scheduled to be released in late January 2008.

-   **Increase Amount of Data Propagated to the HO Case Processing
    System --** Case Processing and Management System (CPMS)
    enhancements in

> January 2008 will provide additional propagated information from the
> Disability Determination and Transmittal (SSA-831) into the Case
> Processing and Management System (CPMS).

-   **Provide the Ability to Sign Decisions Electronically** -- The
    ability for ALJs and Senior Attorneys to sign cases electronically
    is expected to be in place by late January 2008.

-   **Centralize Printing and Mailing** -- A pilot will begin in four
    hearing offices to test this functionality on January 28, 2008.

-   **Enhance Hearing Office Management Information -** ODAR continues
    to develop tracking mechanisms and data sheets to provide support to
    management at all levels. New Disability Adjudication Reporting
    Tools (DART) reports have recently been developed for tracking aged
    cases, informal remands and Senior Attorney Adjudicator dispositions
    on a daily basis. The CPMS release scheduled for late January 2008
    will include additional reports to support the Senior Attorney
    Adjudicator program as well as new functionality for workload
    listing reports.

-   **Provide Support to Send Additional Documents to the Electronic
    Folder -** Analysis and planning for this initiative are ongoing.

-   **Provide Shared Access to the Electronic Folder -** Enhancements
    for

> January 2008 will include the ability to provide shared jurisdiction
> allowing temporary transfer of electronic cases for pulling and
> decision-writing assistance.

-   **Expand Internet Support for Representatives** -- With additional
    Electronic Records Express (ERE) functionality, representatives will
    be able to view folders electronically through a secure website.
    Plans are to pilot the program with selected representatives
    beginning June 2008.

-   **Provide Additional Video Hearing Equipment** -- The 158 new video
    units acquired with FY 07 funds are now being shipped for
    installation. Sites required by service area realignment have been
    given priority. ODAR will also begin the testing of desktop video
    units in FY 08.

-   **Update Hearing Office Systems Infrastructure --** Over \$9 million
    was spent in FY 07 on installations and upgrades of servers, video
    teleconferencing equipment and telecommunications equipment in the
    hearing offices and for the set-up of the National Hearing Center in
    Falls Church, Virginia. This initiative is continuing in FY 2008.

-   **Electronic File Assembly (ePulling)** -- The contract was awarded
    to ECompex in September 2007 to develop this software. This software
    has the potential to automate the identification of duplicate
    documents, classify documents and sequentially number pages in a
    document. Subject matter experts from hearing offices came to
    headquarters to work on the knowledge base prior to the pilot in
    November 2007. The pilot is scheduled for the spring of 2008.

-   **Implement eScheduling** -- Planning and analysis for software to
    automate scheduling of hearings are underway and will continue
    throughout FY 2008.

> Currently, ODAR is meeting with potential vendors to discuss the ODAR
> business process as it relates to scheduling.

-   **Transition to the Electronic Folder --** During FY 07, ODAR
    implemented a major change in its business process which involved
    transition from processing hearings using paper folders to
    processing hearings using electronic folders. As of 12/28/07, 65
    percent of our pending workload is electronic, with 483,754
    electronic folders and 265,308 paper folders.

-   **Have Appeals Council Issue Final Decisions when Possible to Reduce
    Remands --** In FY 07, Administrative Appeals Judges (AAJs) met with
    their staffs to discuss ways to identify appropriate cases and
    provide guidance for issuing final decisions. During the last
    quarter of FY 07 and continuing into FY 08, there has been an
    increase in the number of final decisions issued by the Appeals
    Council.

-   **Mandate Findings Integrated Templates (FIT) Decision Writing
    System** --Usage of the FIT by decision writers has continued to
    increase and FIT was used for over 99 percent of the decisions
    written in December 2007. ODAR is developing guidance in preparation
    for the directive to mandate FIT usage.

-   **Provide Improved Training to Hearing Office Management Teams** --
    New course curriculum for Hearing Office Directors, Group
    Supervisors and Hearing Office Chief ALJs was delivered in the
    summer of 2007. Training includes Orientation, Distance Learning and
    onsite classroom training for hearing specific tasks. In early
    December 2007, an OCALJ management training website was completed
    and information for all users will be released shortly.

-   **Extend Cooperation Between Hearing Offices and Field Office/Area
    Director Offices** -- On 11/19/2007, the Associate Commissioner for
    Public Service and Operations Support issued a memo to all Regional
    Commissioners with suggestions to expedite the transfer of appeals
    to hearing offices. The memo resulted from a national workgroup made
    up of representatives from DCO and ODAR to encourage regional and
    local initiatives for enhanced communication and cooperation. During
    FY 07 and continuing into FY 08, there have also been a number of
    successful initiatives between ODAR, OQP and DCO at the regional and
    local levels. ODAR continues to meet cooperatively with other SSA
    components to address areas of mutual concern.

-   **Establish a Standardized Electronic Business Process and Conduct
    Manual Time Allocation Studies** -- In cooperation with OQP,
    assessment of best practices in the current business process is
    underway. Teams of employees from ODAR and OQP have been visiting
    hearing offices to analyze the current electronic folder process,
    identify best practices, problems and risks, and gather information
    from employee stakeholders to identify what they want and need to
    improve the

> electronic hearing process. The teams have also been gathering hearing
> office task times and identifying quality assurance points in the
> hearing office workflow. So far, the teams have conducted seven
> hearing office visits and have an additional five visits scheduled for
> January 2008. After these visits are completed, all the data will be
> analyzed to formulate a proposal for standardized electronic business
> processes. On an ongoing basis, the teams are identifying best
> practices which can be implemented in hearing offices throughout the
> country.

-   **Implement Quality Assurance Program for Hearings Process** -- ODAR
    is currently working with OQP to develop an in-line review for the
    hearing office business process as well as a post-adjudicative
    review process for the Senior Attorney Adjudicator program. A draft
    process has been approved by OCALJ and OQP is assisting with the
    formula for selecting cases for review. ODAR is currently working on
    creating a program to capture the information which will be gathered
    during the review process and writing instructions for the rollout
    of the initial phase of this program. ODAR is working on the quality
    process in conjunction with the standardized electronic business
    process.

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-   **Expand OQP Review of Reconsideration Denials Using Profiles** --
    OQP will review 14,000 reconsideration denial determinations prior
    to effectuation to provide feedback to DDS and SSA management, to
    make recommendations for addressing problems and ultimately to
    reduce the volume of hearing requests. This review began in
    September 2007 and will continue throughout FY 2008.

-   **Continue Decision Writer Productivity Improvement Initiative**

> Hearing offices continue to use the decision writer statistical index
> report introduced in the beginning of FY 07 to assess decision writer
> productivity.

-   **Effectuate Temporary Service Area Realignments/Interregional Case
    Transfers** -- OCALJ presented the Service Area Realignment Plan to
    the Commissioner on December 10, 2007, and received approval to
    implement. OCALJ is working with the Office of Legislation and
    Congressional Affairs (OLCA) to facilitate Congressional
    notification. Once the Congressional notifications are mailed by
    OLCA, OCALJ will schedule a conference call with the Regional Chief
    ALJs to explain the Service Area Realignment plan and answer any
    questions concerning implementation. OCALJ anticipates that the plan
    will be implemented in two phases, with the first phase planned for
    completion by the end of January 2008.

-   **Use Weekly Workload Reporting and Monitoring** - The Chief Judge
    continues to strongly encourage managers to monitor workload
    processing data on a weekly basis. ODAR is committed to developing
    workload reports to monitor hearing office performance this way.

-   **Collocate Remote Hearing Sites with SSA District Offices** -- The
    joint workgroup composed of representatives from ODAR and DCO has
    developed a plan for collocation of hearing offices with district
    offices that it expects to deliver to the Commissioner by the end of
    January 2008.

-   **Improved Public ALJ Alleged Misconduct Complaint Process -**The
    Office of the General Counsel, Office of the Chief Administrative
    Law Judge, Office of Appellate Operations and Office of Labor
    Management and Employee Relations have been meeting regularly to
    make immediate improvements under current rules and to clarify the
    complaint process for claimants. The group continues to study the
    process and to consider improvements, some of which may involve
    regulatory changes. The goal is to make the ALJ complaint process
    both fair and effective for SSA, the ALJs and the American people.