TN 1 (03-12)
SI 02002.040 Regional Office (RO) Sample Review Process
A. Introduction to the RO sample review process
ROs conduct a sample review of the State’s accounting records for paid interim assistance reimbursement (IAR) cases to verify the State’s compliance with the requirements to receive reimbursement. ROs should use the IAR Sample Review Worksheet in SI 02002.060 Exhibit IV when conducting the review.
However, the RO may design a sample review worksheet for a specific State's IAR process if it obtains the same data. The RO must send its locally designed sample review worksheet to the IAR policy staff in the Office of Income Security Program (OISP) for approval before using it.
B. When and how to conduct IAR sample reviews
The RO should conduct the IAR sample review of the State agency processes once every two or three years depending on RO workloads. The RO should establish when and how best to conduct the sample review due to variations in State IAR processes. The RO may conduct the sample review onsite at the State agency. Alternatively, the RO may request the State to send the IAR documentation to the RO for review.
1. Informing the States about the IAR sample review
The RO should notify the State in writing about the need to do an IAR sample review. Include the following points in the letter:
Purpose of the IAR sample review
Authority for conducting the review (Article VIII of the IAR agreement)
Types of State IAR records that the RO will need to examine
Need to have a State worker available who is familiar with IAR processing and accounting procedures
2. Establishing sample review schedule
The RO should provide the IAR policy staff in OISP with an updated schedule in October of each year for conducting a sample review of the IAR States in the region.
3. Determining sample review size
Determine the sample review size as follows:
For initial claim (IC) cases, use the activity list and the table in SI 02002.060, Exhibit III.
For posteligibility (PE) cases, review all cases on the activity list.
For electronic IAR (eIAR) exception cases, review all the SSAL-8125-F6 Supplemental Security Income Notice of Interim Assistance forms that reflect reimbursement paid by SSA during the sample month. Per SI 02003.025B.3., the field office (FO) is required to mail or fax a copy of the SSAL-8125-F6 to the RO when it sends an automated one-time payment (A-OTP) to the State for reimbursement. For additional information on processing eIAR exception cases, see SI 02003.035.
4. Completing the sample review
When reviewing the State’s IAR records, use the IAR Sample Review Worksheet or other approved form to document each case in the sample review. For a copy of the worksheet, see SI 02002.060 (Exhibit IV).
The RO should review the IAR authorization forms, the eIAR screens where the State posted the IA amounts it paid to the recipient, the State’s records of the amount of IA it paid the recipients, the SSAL-8125-F6s completed for eIAR exception cases, and the apportionment letters.
After completing the sample review, the RO should prepare and submit a final report to the State and send a copy of the report to the IAR staff in OISP. For the RO’s report to OISP, complete the IAR Sample Review Summary Sheet (Exhibit V) in SI 02002.060 to show the RO’s summary of the review and any recommendations.
5. Record retention procedure
Per the agreement between the State and SSA, the State should retain all IAR documents for three years from the end of the Federal fiscal year (FY) of issuance unless State law requires a longer period.
The RO should retain any sample review documents until the end of the FY following the FY the RO conducted the sample review. Then the RO can transfer the sample review documents and activity lists to the Federal Records Center (FRC) for retention of six years and three months, after which time the FRC will destroy them.