Upon receipt of the Modification, the RO specialist takes the following steps to review
the Modification:
Step 1: Verify that the Modification number is in sequential order and has never been used.
Step 2: Review the State's Agreement, Modifications, and any necessary associated documentation.
Verify the coverage group represented does not conflict with existing coverage.
Step 3: Review the Modification packet for completeness, clarity, and accuracy. Consider
the following:
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Are there two copies with original signatures by the authorized state official?
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Does the Modification, if it is for a retirement system coverage group, include the
certification of referendum signed by the Governor or authorized official?
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Is the entity seeking coverage clearly identified?
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Is each named entity either the State or the State's political subdivision (this is
important to the review process as government agencies privatize and new entities
form that possess both government and private business characteristics, e.g., charter
schools)?
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Is the date of the State's original Agreement correct?
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Is the number of employees to be covered documented?
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If the Modification excludes services, are the optional exclusions specified per SL 30001.357?
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If applicable, does the designated date for retroactivity conform to Federal law?
This date cannot be earlier than the postmarked date on the envelope from the State
to the regional office or the receipt date in the regional office (see SL 40001.435, Designated Date for Retroactivity Purposes).
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Does the effective date conform to Federal and State law? Normally, coverage cannot
begin earlier than the last day of the sixth calendar year preceding the year in which
the Social Security Administration (SSA) receives the Modification.
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Is the Modification signed by the designated state official?
Step 4: Photocopy all Modification material, including the envelope.
Step 5: Request an Office of the General Counsel (OGC) review of the Modification.
Step 6: After OGC has provided its review, determine if any corrections are necessary (see
SL 40001.420E). If no corrections are necessary, proceed to disapproval (SL 40001.420G) or execution (SL 40001.420H) of the Modification as the circumstances warrant (see SL 40001.420G-H).