Supporting Statement Part B - 0189 (Final)

Supporting Statement Part B (Statistical Information) for

Form SSA-2930 (RSI/DI Quality Review Case Analysis - Sampled Number Holder); Form SSA-2931 (RSI/DI Quality Review Case Analysis - Auxiliaries/Survivor); Form SSA-4659 (Stewardship Annual Earnings Test Workbook)

OMB: 0960-0189

2. Collections of Information Employing Statistical Methods

1. Statistical Methodology

We selected a statistically valid sample of all Old-Age, Survivors, and Disability Insurance Program (OASDI) beneficiaries in current payment status from a respondent universe of approximately 48 million. The sample involves approximately 2,188 cases. Each case in the sample may consist of the number holder (SSA 2930) and the auxiliary/survivor (SSA 2931), or the stewardship Annual Earnings Test (AET) workbook (SSA-4659). We use the stewardship review cases to measure the impact of the AET on benefits paid in the closed year (2 years prior to the sample month). Based on experience, we anticipate an estimated 96% response rate.

2. Procedures for Collecting the Information

We selected the sample from the Master Beneficiary Record through use of a random number generator. The ongoing stewardship review provides a dollar payment error rate of + .2 percent at the national level, with a 95 percent confidence level.

Once we select the sample, we send the respondents notices (SSA-8553, Beneficiary Telephone Contact, or SSA-8554, Representative Payee Telephone Contact) to inform them that we will be calling them for a quality review. To help the beneficiary prepare for the interview, we include three forms with each notice: (1) SSA-85 (Information Needed to Review Your Social Security Claim), which lists the information the beneficiary will need to gather for the interview; (2) SSA-2935 (Authorization to the Social Security Administration to Obtain Personal Information), which verifies the beneficiary’s correct payment amount, if necessary; and (3) SSA-8552 (Interview Confirmation), which confirms or reschedules the interview if necessary. SSA technicians then conduct interviews via telephone with the respondents using the appropriate forms for each interview. The SSA employee conducting the interview documents the respondent’s answers directly on the appropriate form.

3. Methods to Maximize Response Rates

SSA is constantly reviewing our outreach tactics to assure maximum exposure and accessibility to necessary individuals. We include information about this review through Agency mailers, on SSA’s general website, as well as on the mySocial Security landing page. As mentioned above, our website and mailers list the information respondents need to understand and prepare for this review, which helps maximize response rates. The annual Stewardship sample size is relatively small when compared to the total cases in the entire SSA universe. Because our sample is small, we project the findings of each case to the universe of paid benefit dollars. Each case represents a significant benefit payment and has an enormous impact when those findings are projected to the universe. We redevelop initial factors of eligibility and entitlement which supports the determination of payments in the Title II program to verify accuracy and consistency. These efforts allow the study to yield reliable data within the sample.

In order to mitigate exclusions and maximize response rates we attempt to complete the review using information currently located in the Title II claims file, directly from the beneficiary and/or the beneficiary’s payee, or by contacting collateral sources. We also make diligent effort to notify the beneficiary and/or the beneficiary’s payee via direct mail and telephone to help them prepare for the interview.

In the event of a non-responder, there are procedures in place to determine how the reviewer will move forward to prevent excluding cases from the study and to remain statistically valid. In some circumstances, the reviewer cannot obtain sufficient information from the beneficiary to arrive at a determination of all payment factors. In those instances, the reviewer attempts to verify information received via collateral sources as mentioned above. Additionally, if the reviewer cannot obtain sufficient information to arrive at a determination of all payment factors but determines that the beneficiary meets the factors of entitlement and identifies a payment discrepancy, the reviewer does not exclude the case but records the discrepancy data in the system. This action would be depending on the case meeting certain applicable criteria.

4. Tests of Procedures

Proven tests of the sampling procedure, since the stewardship reviews have been in existence for several years. We have gathered valuable information by refining the RSI/DI programs.

Stewardship sample cases are selected monthly at random. To be considered a valid Stewardship sample, the case must have at least one beneficiary in current payment at the time of sample and there must be a least one beneficiary who meets the study ID code criteria. Our current annual sample consists of 2,188 cases: 1,332 OASI cases, 696 DI Cases, and 160 foreign cases. Cases under Old-Age Survivors and Disability Insurance are run for 12 months. Foreign cases are run for 8 months, from October-May (20 cases for each sample run).

The Stewardship review examines all non-medical aspects of the Title II program as it relates to the dollar accuracy of payments made in the sample month on a selected SSN. All beneficiaries who received a payment on the sampled SSN are within the scope of review.

The scope of review for Stewardship sample cases includes a review of all claims and post-entitlement transactions (including events not previously reported) from initial entitlement through the sample month. This review examines initial and continuing factors of entitlement and their impact upon the accuracy of payments to beneficiaries in the sample month and requires re-development of those factors (like birth, marriage, divorce, and death) if that evidence is not already on file.

The size of the Stewardship sample allows us to provide statistically reliable data on the overall payment accuracy of the universe of Old-Age Survivors and Disability Insurance payments issued in the fiscal year. The sample does not, however, provide statistically reliable information about the individual deficiencies that we report for a specific year or over a period of years. Instead, we report stewardship data over a five-year period and identify trends. The full Stewardship sample for each fiscal year runs from October through September.

At the conclusion of every calendar year, a quality check of all findings from the monthly samples is completed. After this final check, the information is compiled, weighted and projected to the SSA universe, and Central Office issues an annual report based on this data. Stewardship samples can provide statistically reliable data on the overall payment accuracy of the universe of Old-Age Survivors and Disability Insurance payments issued in the fiscal year.

5. Statistical Agency Contact for Statistical Information

Danielle B. Harris, (410) 966-1547, SSA, Office of Quality Review.