17. Audits‎ > ‎

17.3 Self Assessment


Chapter Federal Authority
Audits Social Security Act
§452(a)(4) Duties of the Secretary
§454(15)(A) State plan for child and spousal support
45 CFR 305.63 Standards for determining substantial compliance with IV-D requirements
45 CFR 308 – Annual State Self Assessment Review and Report
Subject State Authority
Self-Assessment Review None
Policy Number Effective Date
17.3 October 1, 2010

Overview

The Personal Responsibility and Work Opportunity Reconciliation Act (PRWORA) of 1996 not only revised federal audit requirements to focus on performance outcomes rather than process steps, but it also amended the Social Security Act by requiring a state-run self-assessment review.  On an annual basis, the Wyoming CSE Program assesses its program based upon specific criteria and reports its findings to the federal OCSE.

Federal regulations require that the Wyoming CSE Program meet a minimum compliance standard of 75 percent in the following categories:

  • Order and paternity establishment;
  • Expedited process 6-month;
  • Review and adjustment;
  • Enforcement of orders;
  • Medical support enforcement;
  • Disbursement of collections; and
  • Intergovernmental services.
A minimum compliance standard of 90 percent is required in the expedited process 12-months and case closure categories.

Policy

Sample

The Wyoming CSE Program utilizes a combination of the statewide1 and focused2  sampling methods.  The sample for each Wyoming County within the nine Judicial Districts will be stratified into the following categories:

  • Order and paternity establishment;
  • Expedited process 6-month and 12 month;
  • Review and adjustment;
  • Enforcement of orders;
  • Medical support enforcement;
  • Disbursement of collections;
  • Intergovernmental services; and
  • Closure. 

Note:  On a biennial basis, the Wyoming CSE Program will also sample and review the disbursement of child support payments for each Clerk of District Court and the State Disbursement Unit (SDU).  

After the child support cases are stratified, POSSE selects a random starting point and then systematically selects child support cases within each category for each county at a specified sampling interval.  Both the starting point and the sampling interval are based upon the required sample size3.   Finally, the federal OCSE requires a ninety percent4  confidence level in the case closure and expedited process 12 month sample and seventy-five percent in all other categories.  

Once the sample is provided by POSSE, the State CSE Office staff person responsible for the self-assessment review will e-mail the sample list for each county within each judicial district to the appropriate District CSE Office Manager with a request for the physical case files to be delivered by a certain date.

Review

Once the State CSE Office Self-Assessment Reviewer receives the case files, the reviewer will evaluate each case within the sample for each criterion to determine if the desired action was taken as shown in Appendix 17.B – Self-Assessment Review Maps.  The reviewer will place each case in one of the following categories pursuant to the maps in Appendix 17.B:

  • Action, 
  • Error, or 
  • Remove.

Preliminary Findings

The State CSE Office Self-Assessment Reviewer will provide the appropriate District CSE Office Manager with the preliminary results of the self-assessment review for each category reviewed.  The District CSE Office Manager will have ten calendar days to review and respond to those preliminary results.  


Note:  If the District CSE Office Manager fails to respond to the preliminary results, the preliminary results will become final.

Self-Assessment Review Committee

Once each District CSE Office Manager responds to the preliminary results, the State CSE Office Self-Assessment Reviewer will arrange a meeting with the Self-Assessment Review Committee to assess those cases with preliminary errors and that were disputed by a District CSE Office Manager.

The Self-Assessment Review Committee comprised of the Wyoming CSE Program Manager, the State CSE Office Self-Assessment Reviewer, and members of both the public and private District CSE Offices will:

  • Meet after the preliminary results;
  • Review the District CSE Office Manager response(s) to the preliminary findings in conjunction with the physical case file, POSSE, the Code of Federal Regulations, and Self-Assessment Review Committee Notes (Appendix 17.C);
  • Forward to each District CSE Office Manager his or her final review results; and
  • Provide a due date seven (7) calendar days from the date the final review results are provided to the District CSE Office Manager for the operational plans by county and district (See Appendix 17.D – Self-Assessment Review Operational Plans) that outline the process to correct identified problems, detail the root cause of noncompliant categories, and describe each districts goals and achievements.

Final Report

The State CSE Office Self-Assessment Reviewer will: 

  • Draft the Wyoming CSE Program self-assessment review report with the following sections :
    • Executive Summary,
    • Methodology,
    • Self-assessment review results,
    • Self-assessment review analysis and corrective action plan, 
    • Program direction, 
    • Program enhancements, and 
    • Conclusion;
  • Compile the operational plans provided by the District CSE Offices as an appendix for the Wyoming CSE Program Self-Assessment Review report; and 
  • Submit the Wyoming CSE Program Self-Assessment Review report to the federal OCSE electronically via the federal OCSE Self-Assessment Reporting System .
Cross Reference
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1Statewide sampling is a process of extracting a random sample from a state's entire caseload without differentiating between subject matter.  The sampling frame is a list of all the cases minus those cases subject to the exclusion criteria.  (As defined by the federal OCSE in Dear Colleague Letter 02-08 – TEMPO on Statistical Sampling for Self Assessment.)

2The federal OCSE defines focused sampling as a sample whose target population uses each of the eight self-assessment criterion as eight discrete samples.  The sampling is delineated by the eight self-assessment criteria.  In this case, a state would have eight sampling frames and each frame would represent its own particular focus or self-assessment criterion

3See Dear Colleague Letter 02-08 – TEMPO on Statistical Sampling for Self Assessment for detailed information on sample size, interval and starting point.


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