Citations:

Section 221(f) of the Social Security Act

Social Security Act;
5 U.S.C. 552 (FOIA);
5 U.S.C. 552a (Privacy Act of l974);
The Federal Records Act of 1950;
The Federal Procurement

Regulations (41 CFR parts 1-20);
Regulations-20 CFR 404.1625 and 416.1025

DI 39509.001 General – Records and Reports

A. Policy principle

In connection with administration of the disability program, the State will:

  • Establish and maintain records and reports as SSA may require.

  • Furnish schedules, financial, costs and other reports as may be requested.

  • Permit SSA and the Comptroller General of the United States (including duly authorized representatives) access to and the right to examine these records.

  • Retain these records for the period of time specified in the Federal Procurement Regulations.

NOTE: Records retention is outlined in DI 39509.001D.2.

B. Definition

1. Records

Records may be fiscal, administrative or operational. Records can be books, papers, films, tapes, cards or other documentary materials (regardless of physical form or characteristics).

2. Federal audit

A Federal Audit is an audit which conforms with the requirements in 20 Code of Federal Regulations 404.1627 and 416.1027 as supplemented by Office of Management and Budget Circular A-133.

C. Background

Responsibility for the development of basic records and operating reports will be shared by the State agency and SSA.

State agencies are asked to provide SSA with the results of any studies or analyses which would contribute to increased effectiveness of the program. Likewise, SSA provides these data to the States.

D. Operating policy

1. General

In the fiscal relationship with the State, SSA accepts State practice in handling and accounting for funds received from the Federal government, and in the State's choice of a depository, subject to the general accountability required under section 221(f) of the Social Security Act.

2. Records retention

All financial records and supporting documents will be retained for a period of
3 years with the following qualifications:

  1. Financial records and supporting documents will be retained until resolution of Federal audit findings and Cost Effectiveness Measurement System (CEMS) Compliance Review findings.

  2. Non-expendable property records will be retained until 3 years after the final disposition of the item.

  3. Statistical records and records that pertain to the processing of disability claims shall be retained for the length of time specified in accordance with the disposal schedule shown in DI 39509.015.

3. Purpose of records and reports

Collected data are used to appraise all phases of the program and are designed to serve a number of specific objectives:

  1. Analyze the quantity and quality of the disability workload as well as any workload trends.

  2. Study special characteristics of the total workload or of particular segments.

  3. Estimate future workloads.

  4. Develop and justify budget estimates.

  5. Support the disbursement of funds.

  6. Evaluate the effectivenessof program operations.

  7. Appraise the effectiveness of standards, policies, and guides issued by SSA.

  8. Identify administrative or technical problem areas.

  9. Provide a basis for recommending program change.

  10. Insure equal treatment of individuals covered by the disability program within and among States.

  11. Isolate any gaps or inequities which may require correction by administrative action.


To Link to this section - Use this URL:
http://policy.ssa.gov/poms.nsf/lnx/0439509001
DI 39509.001 - General - Records and Reports - 06/26/2013
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