TN 4 (10-09)

If your office has not converted to SSNAP, see RM 00206.076.

A. When to perform an audit

Perform an audit of the correctional facility when:

• A new MOU is being negotiated;

• A regular schedule is agreed upon either verbally or in an MOU;

• The facility is continually failing to adhere to the terms of the MOU; or

• The MOU is scheduled to expire in 4 months, the facility is interested in renewing the agreement, and an audit has not been performed during the last year.

B. What happens during the audit

During the audit, the RO, FO or ADO:

• Examines inmates’ official files and a sample of completed certifications to ensure compliance with terms of the MOU;

• Ensures the list of authorized names, positions and signatures is up-to-date; and

• Ensures proper handling of the SSN card (i.e. placement in secure location and release to discharged prisoners).

C. What happens at the completion of an audit

At the completion of an audit, the RO should keep the original copies of all documentation with the original MOU. The servicing FO or ADO should keep copies of the originals in the administrative files.

D. Regularly scheduled audit

The need for an audit during the life of the MOU is identified at the discretion of the parties negotiating the MOU. A correctional facility that has a long working relationship with SSA and clearly understands the identity guidelines may not need a scheduled audit. An audit is recommended one year after an original MOU is signed to ensure that all processes are working as anticipated.

E. Unscheduled audit

If a facility establishes a pattern of noncompliance with the terms of the MOU, the FO manager arranges an appointment to meet with the prison official at the facility to perform an audit. Before contacting the prison official, the FO manager should maintain a record (either a log or copies of SS-5s and documents) for cases that do not meet the terms of the MOU. The records help determine when an audit is warranted and provide documentation to advise the prison official why the audit is needed; however, there is no set period of time or number of cases recorded.

The following are examples of events that may trigger an audit:

• SS-5s received from the facility are incomplete or incorrect.

• Legal names not used on SS-5s.

• Unauthorized individuals signed the Certification of Prison Records.

• Information on the SS-5 doesn’t match the Numident – this could be an indication that the facility is not verifying the legal name and true identity.

The nature of the audit depends on the event that triggered the review. The purpose is to ensure that the terms of the MOU are met. The Regional Enumeration Specialist is available for guidance and assistance. Document the results of the audit and make copies for the FO administrative file. Send the original copies to the RO.

F. Audit before renewing MOU

Prisoner replacement card MOUs are renewed every 5 years. Four months before a MOU is scheduled to expire, re-visit the facility to ensure that the facility is following the terms of the agreement. If the facility made any changes to their procedures, it may be necessary to update the MOU with the new procedures or to re-evaluate whether we should renew the MOU. For State-wide agreements, RO personnel or their designee works with the State agency and performs an audit of a representative correctional facility.

G. Audit shows a facility non-compliant with terms of the MOU

If the audit shows that a facility is not performing up to the standards of the MOU, notify the facility in writing of the specific sections of the MOU that are not being followed and give them 60 days to rectify the situation.

The same level SSA official sends a notice to the same level prison official as signed the original MOU. If the MOU covers multiple facilities, the notice must specify which covered facility is not in compliance. The notice should state that we will not process SS-5s from the named facility until the situation is rectified and that the MOU may be terminated, or amended if the situation is not rectified within 60 days. Request that the prison official return written notification to us when the situation is rectified.

1. MOU negotiated at FO or area level

For MOUs negotiated at the FO or area level, the FO or ADO official sends written notification to the facility, giving them 60 days to conform to the terms of the MOU. The warden (or similar responsible official with authority to sign the MOU) must provide written notification that the situation is rectified.

2. State-wide MOU

When the facility is covered under a State-wide MOU, the RO notifies the State agency about the non-compliant facility and allows 60 days for the State to rectify the situation, and provide written certification to the RO that the facility is in compliance with the MOU.

3. Facility unable to comply with terms of MOU

If the facility is unable to comply, we will not process SS-5s from that facility until the official who signed the MOU, or a person with equal authority, provides written assurance that the facility is in compliance with the MOU.

If the signing official does not respond, or is unable to provide written assurance of renewed compliance with the terms of the agreement after 60 days, we terminate the individual facility MOU immediately until the facility is able to comply and a new MOU is approved. If the facility is covered under a State-wide agreement, we modify the State MOU to exclude that facility.