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.
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).
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
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.
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.
All financial records and supporting documents will be retained for a period of 3 years with the following qualifications:
Financial records and supporting documents will be retained until resolution of Federal audit findings and Cost Effectiveness
Measurement System (CEMS) Compliance Review findings.
Non-expendable property records will be retained until 3 years after the final disposition of the item.
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.
Collected data are used to appraise all phases of the program and are designed to
serve a number of specific objectives:
Analyze the quantity and quality of the disability workload as well as any workload trends.
Study special characteristics of the total workload or of particular segments.
Estimate future workloads.
Develop and justify budget estimates.
Support the disbursement of funds.
Evaluate the effectivenessof program operations.
Appraise the effectiveness of standards, policies, and guides issued by SSA.
Identify administrative or technical problem areas.
Provide a basis for recommending program change.
Insure equal treatment of individuals covered by the disability program within and among States.
Isolate any gaps or inequities which may require correction by administrative action.