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GN 02403.004: How to Handle Remittances in the Field Office (FO) Mailroom and Reception Area

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  • Effective Dates: 09/21/2012 - Present
  • Effective Dates: 04/27/2018 - Present
  • TN 13 (05-03)
  • TN 25 (04-18)
  • GN 02403.004 Remittance Handling in the FO Mailroom and Reception Area
  • GN 02403.004 How to Handle Remittances in the Field Office (FO) Mailroom and Reception Area
  • A. Policy - Management Responsibility
  • A. Management responsibility for handing remittances
  • Unsecured mailrooms, unattended mailbags and the failure to initially stamp Government benefit checks represent a high vulnerability to fraud and theft. While not mandating how an individual FO must address these vulnerabilities, these instructions require that each office seeking a waiver to these policies must request a waiver from the CSI, per GN 02403.002A.
  • The following circumstance represents a high vulnerability to fraud and theft:
  • * unsecured mailrooms,
  • * unattended mailbags, and
  • * the failure to initially stamp Government benefit checks.
  • The intent of these instructions is to render remittances, other than cash, nonnegotiable, or control them at the point of receipt in the office. Where remittances are controlled rather than rendered nonnegotiable, the control may cease once the remittance has been rendered nonnegotiable; Non-responder (third alert) provisions and SSI checks for recipients approved to use the FO address have their own separate control procedures (see GN 00605.085 for non-responder cases and GN 02401.050 for FO address cases.)
  • If an individual FO is unable to maintain a separation of duties to address these vulnerabilities, that office must request a waiver from the Center for Security and Integrity (CSI), per GN 02403.002E.
  • Instructions for handling cash mailed or brought into the FO are found in GN 02403.009.
  • The purpose of these instructions is to:
  • * render remittances other than cash nonnegotiable, and
  • * control cash at the point of receipt in the office.
  • B. Policy - Mail Delivery/Opening
  • NOTE: Non-responder (third alert) provisions and Supplemental Security Income (SSI) checks for recipients approved to use the FO address have their own separate control procedures. See GN 00605.085 for non-responder cases and GN 02401.050 for FO address cases.
  • 1. Mail Delivery
  • B. Mail delivery and opening
  • All FO mail from the post office must be delivered directly to an SSA employee (see the exception below).
  • 1. Mail delivery requirements
  • Mailbags may not be left at the office door or at any other unattended drop-off area. Local management is responsible for coordinating with the local post offices to ensure that these requirements are carried out.
  • The post office must deliver all FO mail directly (face-to-face) to an SSA employee (with the exception noted in this subsection).
  • Where necessary, management will arrange to have the mail picked up at the post office by one (or more) SSA employees. The employee(s) picking up the mail should not have mail opening or distribution responsibilities. Once the mail has been received, it should not be left unattended.
  • Where necessary, management will arrange to have the mail picked up at the post office by one (or more) SSA employee. The employee(s) picking up the mail should not have mail opening or distribution responsibilities. Do not leave mail unattended after its delivery to the FO.
  • If traveling to the local post office to pick up and drop off mail causes a significant burden to your FO, you may contact the Mail and the Postage Policy Team using the email address ^OPUM Mail and Postage Policy Team. The Mail and Postage Policy Team will attempt to establish a delivery arrangement with your local post office if the FO’s request for mail delivery and pickup is denied by the local Postmaster.
  • If traveling to the local post office to pick up and drop off mail causes a significant burden to your FO, contact the local postmaster to request mail delivery and pickup. If the local postmaster denies the FO’s request, you may contact the Mail and the Postage Policy Team using the email address ^OPUM Mail and Postage Policy Team. The Mail and Postage Policy Team will attempt to establish a delivery arrangement with your local post office.
  • EXCEPTION: This exception only applies to those SSA offices that are co-located with other non-SSA tenants in leased buildings. If direct mail delivery to/pickup from the SSA office cannot be arranged with the post office for SSA offices in this situation, and there is a centralized delivery/pickup location for all tenants, the centralized location may be used. The SSA mail must be delivered to/picked up from a separate, secure box and only the SSA office designee and postman can have keys to the SSA mail container.
  • EXCEPTION: If direct mail delivery to/pickup from the SSA office cannot be arranged with the post office for an SSA office that is co-located with other non-SSA tenants in leased buildings and there is a centralized delivery/pickup location for all tenants, the centralized location may be used. Ensure that the postal service delivers and picks up SSA mail from a separate, secure box and that only the SSA office designee and mail carrier have keys to the SSA mail container.
  • 2. Mail Opening
  • NOTE: You can find instructions for handling cash mailed or brought into the FO in GN 02403.009.
  • All mail must be opened in the presence of two employees designated by management. This includes mail addressed to specific employees or mail annotated “Do Not Open In Mailroom.” If staffing size makes this difficult, recent audit findings suggest that the dual controls could be achieved by opening mail before the office open to the public or after the office is closed to the public. Inspect the mail for the existence of a remittance prior to delivery to the addressee. All remittances found in the mail must be handled according to procedures in GN 02403.004C.
  • 2. Mail opening
  • NOTE: If an office cannot arrange to open the mail before or after the office is open to the public, and staffing size or other concerns make it impractical to adhere to the policy of two people present during mail opening, contact the CSI, and request a waiver, per GN 02403.002A.
  • There must be two management-designated employees present when opening all mail. This includes mail addressed to specific employees or mail annotated “Do Not Open in Mailroom.” If staffing size makes this mandate difficult, the FOs can achieve the dual controls by opening mail before or after the office opens to the public. Inspect the mail for the existence of a remittance prior to delivery to the addressee. If you find remittances in the mail, you must handle them according to procedures in GN 02403.004C.
  • C. Policy - Rendering Remittances NonNegotiable
  • NOTE: If an office cannot arrange to open the mail before or after the office is open to the public, and staffing size or other concerns make it impractical to adhere to the policy of two people present during mail opening, contact the appropriate Center for Security, and request a waiver, per GN 02403.002A.
  • Remittances may be found in FO mail, or may be presented to an employee serving at a reception desk or interview area. In either situation, local management is responsible for rendering the remittance nonnegotiable or controlling it to avoid the risk of loss or theft.
  • C. Rendering remittances nonnegotiable
  • 1. Mailroom
  • You may find remittances in the FO mail, or an individual may provide a remittance to an employee serving at a reception desk or interview area. In either situation, the receiving employee is responsible for rendering the remittance nonnegotiable and controlling it by entering the remittance into a mailroom or reception remittance (check or cash) log until we generate a systems receipt to avoid the risk of loss or theft.
  • Any remittance found when mail is opened must be either rendered nonnegotiable or controlled. Provide mail-opening personnel with the necessary endorsement stamps. A factor to consider in rendering a remittance nonnegotiable immediately upon receipt is whether management would rather issue a replacement check if a returned Treasury check was in fact due the beneficiary. Mail opening personnel must either:
  • * Stamp “Not Negotiable” any unendorsed returned Treasury check, and stamp “For Deposit Only, SSA” or “For Deposit Only, CMS” any refund received - personal checks, money orders, or endorsed returned benefit checks, OR
  • * Control the remittance per GN 02403.004D. This may eliminate the need to reissue a benefit check that should not have been returned.
  • 1. Mailroom responsibilities
  • 2. Reception Area
  • When opening mail, you must render the remittance as nonnegotiable by applying the appropriate stamps and control receipt of the remittance by recording the amount into the mailroom check or cash log. FO management should provide mail-opening personnel with guidance on established local procedures.
  • When an individual indicates at the reception desk that he/she will be making a remittance, the remittance will be either stamped to render it nonnegotiable, or logged so that it can be traced through the office to insure that it was received and properly entered into the remittance process.
  • Mail opening personnel must:
  • * Stamp “Not Negotiable” on any unendorsed returned Treasury check, and stamp “For Deposit Only, SSA” or “For Deposit Only, CMS” on any refund received - personal checks, money orders, or endorsed returned benefit checks,
  • * Control the remittance by recording the remittance in a cash or check remittance log per GN 02403.004D, and
  • * Hand deliver mailroom remittances to the management designated FO employee who will perform the duties as “remittance interviewer” as described in subsection B.
  • After a remittance has been stamped, return it to the remitter to hold until the interview (unless the receptionist conducts the interview).
  • NOTE: Personnel designated to open the mail must carefully examine Treasury checks before rendering them nonnegotiable. Benefit checks for individuals using the FO mailing address as an alternative mailing address
  • NOTE: Unendorsed Title II and Title XVI Treasury checks returned to the FO because of a change in entitlement are not remittances (see GN 02405.010 and GN 02405.100 for handling unendorsed returned Treasury checks).
  • (See GN 02401.050) or benefit checks redirected to the FO address when a representative payee fails to provide the FO with an annual accounting
  • D. Policy - Controlling Remittances
  • (See GN 00605.085.C) are not remittances. Consult with a member of management if you are unsure how to process a particular check before rendering it nonnegotiable.
  • Logs must be established in the mailroom and reception area to control remittances. The purpose of the logs is to allow management to trace back any item to determine why a potential remittance was not processed by contacting either the interviewer or the remitter. The logs can be used as an indicator of potential fraud; e.g., where reviews of the logs indicate a pattern of remittances that are not entered into the FO remittance process, management should be alert to the possibility of theft.
  • 2. Reception area responsibilities
  • NOTE: The logs must be in paper form, with entries made in ink only. Electronic logs (keying data onto a spreadsheet or other document on the computer) are not acceptable as the entries are susceptible to deletion or alteration by employees.
  • When an individual indicates at the reception desk that he or she will be making a remittance, either stamp the remittance to render it nonnegotiable, or log it in. Logging the remittance allows the FO to trace and ensure that it was received and properly entered into the remittance process.
  • The logs must include the following information, all of which help in tracking missing remittances:
  • After the mailroom stamps the remittance, return it to the remitter to hold until the interview (unless the receptionist conducts the interview).
  • NOTE: Unendorsed Title II and Title XVI Treasury checks returned to the FO due to a change in entitlement are not remittances. For instructions on handling unendorsed returned Treasury checks, see GN 02405.010 and GN 02405.100.
  • D. Controlling remittances
  • The mailroom and reception area use paper logs to control remittances. The purpose of the logs is to allow management to determine the reason why an interviewer did not process a potential remittance by contacting either the interviewer or the remitter. Management can use the logs as an indicator of potential fraud. For example, management should be alert to the possibility of theft when reviews of the logs indicate a pattern of remittances not entered into the FO remittance process.
  • NOTE: The logs must be in paper form, with entries made in ink only. Electronic logs (keying data onto a spreadsheet or other document on the computer) are not acceptable as the entries are susceptible to deletion or alteration.
  • The logs must include the following information:
  • * name of the remitter,
  • * name of the beneficiary,
  • * SSN of the beneficiary, and
  • * type of remittance (returned Treasury check, endorsed Treasury check, personal check, or money order).
  • * Date and time received (Remittances may come in after daily FORT is produced)
  • * Remittance amount
  • * Name of interviewer
  • * SSN of the beneficiary,
  • * type of remittance (returned (unendorsed) Treasury check, endorsed Treasury check, personal check, or money order),
  • * date and time received, (remittances may come in after daily FORT is produced)
  • * remittance amount, and
  • * name of the interviewer.
  • NOTE: Additional information in the log might include the phone number of remitter, and the reason for return.
  • The logs will be used to control any remittance that has not been stamped “Not Negotiable” or “For Deposit Only, SSA” or “For Deposit Only, CMS” at the point it enters the FO and before it changes hands from the person who receives it to someone else. Retain the remittance log in the FO for 3 years. Additional information in the log might include the phone number of remitter, and reason for return.
  • Use the logs to control all remittances. Retain the remittance logs in the FO for 3 years.
  • 1. Mailroom
  • 1. Mailroom responsibilities
  • Establish a log in the mailroom for all remittances. When the mailroom receives a remittance, the remittance must be controlled in the log until the point that non-mailroom personnel determine that the remittance should be stamped “Not Negotiable” or “For Deposit Only, SSA” or “For Deposit Only, CMS.”
  • The FO mailroom maintains a separate log for all remittances. When the mailroom receives a remittance, the mailroom employee must control the remittance in the log until the point that non-mailroom personnel determine that the remittance should be stamped “Not Negotiable” or “For Deposit Only, SSA” or “For Deposit Only, CMS.”
  • 2. Reception Area
  • 2. Reception area responsibilities
  • Establish a reception area log to control all potential remittances not rendered nonnegotiable at the point they are introduced into the FO. While the mailroom log only includes actual remittances received in the mailroom, the reception area log includes all potential remittances of which the receptionist is made aware. For example, if a beneficiary states that he/she has gone back to work and wishes to return a check, the receptionist should enter the information on the log. The interviewer may determine that the beneficiary is due the check and not accept the remittance.
  • The reception area remittance log is used to control all potential remittances that the receptionist cannot render nonnegotiable at the point they are introduced into the FO. While the mailroom log only includes actual remittances received in the mailroom, the reception area log makes the receptionist aware of potential remittances as well as actual remittances.
  • E. When to Use Remittance Logs
  • For Example: If a beneficiary states that, he or she has gone back to work and wishes to return a check, the receptionist should enter the information on the log. The interviewer may determine that the beneficiary is due the check and not accept the remittance.
  • The remittance logs maintained in the mailroom and reception area are both intended to establish control over remittances that enter the FO and are not rendered nonnegotiable at the initial point of contact.
  • E. Remittance Logs
  • Periodically, a designated member of management should review each log and account for all remittances. Any items that are still in the office should be reviewed to ensure that they have been appropriately stamped.
  • The intent of the remittance logs maintained in the mailroom and reception area are to establish control over remittances that enter the FO.
  • When a logged item has not been entered into the Debt Management System, the designated member of management should ascertain why not. This should be accomplished by discussion with the interviewer. Management has the option to confirm this with the remitter. The Remittance Supervisor will review the logs daily, per GN 02403.006B.3.
  • A designated member of management should review each log and account for all remittances weekly. The Remittance Supervisor should review the logs daily to reconcile remittances with that day’s Field Office Daily Receipt Listing (FODRL) per GN 02403.006B.3. Management should review any items that are still in the office to ensure that they are appropriately stamped and housed in a secure location. The designated member of management should determine and discuss the reason why the interviewer did not enter a logged item into the Debt Management System. Management has the option to confirm this with the remitter.
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