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FNS HANDBOOK 310
Food and
Nutrition
Service
Alexandria, VA
Supplemental
Nutrition Assistance
Program
Quality Control
Review Handbook
October 2018
Thru QC Policy Memo 20-02
FNS HANDBOOK 310
Table of Contents
Chapter 1
INTRODUCTION
1-1
100
GENERAL……………………………………………………………………………………………………
110
120
PURPOSE ……………………………………………………………………………………………………… 1-1
OBJECTIVES …………………………………………………………………………………………………… 1-2
130
DEFINITIONS …………………………………………………………………………………………………… 1-2
140
HANDBOOK MODIFICATION ………………………………………………………………………… 1—11
150
ADMINISTRATION OF THE QC SYSTEM ………………………………………………………… 1—11
151
Implementation of QC Indexed Policy Memoranda …………………………………1—11
152
Contracted Activity ……………………………………………………………………………… 1—11
153
154
160
Staffing Standards ………………………………………………………………………………… 1—11
Avoiding Bias …………………………………………………………………………………………1-11
QC UNIVERSE ……………………………………………………………………………………………… 1—18
170
ERROR ANALYSIS
180
FORMS AND REPORTING ……………………………………………………………………………… 1—19
181
Active Cases ……………………………………………………………………………………………1—19
181.1
Form FNS-380 ………………………………………………………………………………………… 1—19
181.2
Form FNS-380-1……………………………………………………………………………………… 1—19
182
Negative Cases ……………………………………………………………………………………… 1—20
190
DISPOSITION TIMEFRAMES ………………………………………………………………………………1—20
Chapter 2
…………………………………………………………………………………………1—18
BASIC REVIEW PROCESS
200
GENERAL
210
REVIEW PROCESS …………………………………………………………………………………………… 2—1
211
Determine the Correct Systems …………………………………………………………………… 2—1
212
Review the Certification Record
213
Conduct a Field Review ………………………………………………………………………………… 2—1
214
Determine Which Variances to Include ………………………………………………………… 2—1
………………………………………………………………………………………………………… 2- 1
………………………………………………………………… 2—1
214.1
Comparison I
……………………………………………………………………………………… 2—1
214.2
Comparison II
……………………………………………………………………………………… 2—2
215
Determine the Correct Amount of Benefits .………………………………………………
216
Determine the Cause of Errors .……………………………………………………………………… 2—2
217
Validation and Reporting of QC Findings ……………………………………………………… 2—2
10-18-18 (Change 2)
i
2—2
FNS HANDBOOK 310
220
CERTIFICATION AND REPORTING SYSTEMS
221
Eligibility …………………………………………………………………………………………………………… 2—3
222
Budgeting…………………………………………………………………………………………………………… 2—3
……………………………………………………… 2—2
222.1
Prospective……….………………………………………………………………………………………… 2—3
222.2
Retrospective….………………………………………………………………………………………………2—3
223
223.1
Change Reporting..………………………………………………………………………………………………2—4
Change Reporting/Prospectively Budgeted (Certified Change Reporting with
the $100 Change in Earned Income Reporting Option)
……………………………… 2—5
223.2
Change Reporting/Prospectively Budgeted (Certified Change Reporting with the
Status Reporting Option) ………………………………………………………………………… 2—6
223.3
Monthly Reporting ………………………………………………………………………………………2—6
223.4
Quarterly Reporting
223.5
Simplified Reporting ……….………………………………………………………………………… 2—7
223.6
Transitional Benefits ………………………….…………………………………………………… 2—7
…………………………………………………………………………………2—7
230
QC REVIEW FOCUS………………………………………………………………………………………………2—7
231
Certification Errors …………..………….……………………………………………………………… 2—8
232
Allotment Amount……………………………………………………………………………………………… 2—8
232.1
Causes for Amount Authorized and Issuance Amount to Differ ………………… 2—8
232.2
Non-Compliance with Other Means-Tested Programs………………………………… 2—9
233
Review Date……………………………………………………………………………………………………… 2—10
Chapter 3
CASE RECORD REVIEW
300
GENERAL………………………………………………………………………………………………………………3—1
310
PURPOSE OF CASE RECORD REVIEWS ………………………………………………………………… 3—1
320
PROCEDURES FOR CASE RECORD REVIEWS ……………………………………………………… 3—1
321
Household Issuance Record………………………………………………………………………………
3—1
321.1
Online EBT…………………………………………………………………………………………… 3—2
321.2
Smart-Card EBT ……………………………………………………………………
3—2
Certification Case Record(s) …………………………………………………………………………….3—2
322
322.1
Household Circumstances and Certification Actions ………………………… 3—3
322.2
Documented Verification…………………………………………………………………………………… 3—3
323
323.1
Completion of Form FNS-380………………………………………………………………………………3—4
Face Sheet……………………………………………………………………………………………… 3—4
323.2
Column 1 of the Worksheet-Elements of Eligibility and Basis of Issuance.3—4
323.3
Column 2 - Analysis of Case Record Information …………………………………… 3—4
323.4
Computation Sheet ……………………………………………………………………………… 3—6
10-18-18 (Change 2)
ii
FNS HANDBOOK 310
324
Ineligible Households………………………………………………………………………………………… 3—6
330
CASES NOT SUBJECT TO REVIEW ……………………………………………………………………… 3—7
331
Oversampling……………………………………………………………………………………………………… 3—7
332
Cases Listed in Error ………………………………………………………………………………………… 3—7
333
Disaster Cases …………………………………………………………………………………………………… 3—8
334
Cases Pending a Hearing …………………………………………………………………………………… 3—8
335
Intentional Program Violation (IPV) Cases ……………………………………………………
3—8
336
All Household Members Have Died……………………………………………………………………
3—8
337
Household Moved Out of State …………………………………………………………………………
3—9
338
Unable to Interview
Chapter 4
………………………………………………………………………………………… 3—9
FIELD REVIEWS
400
GENERAL……………………………………………………………………………………………………………… 4—1
410
PURPOSE……………………………………………………………………………………………………………… 4—1
411
Alaska Cases……………………………………………………………………………………………………… 4—1
412
413
Information Sought …………………………………………………………………………………………… 4—2
Completion of Form FNS-380, Column 3 Review Findings of the QC Worksheet 4—2
414
Planning the Field Review ………………………………………………………………………………… 4—2
415
Obtaining Verification ……………………………………………………………………………………… 4—3
420
HOUSEHOLD INTERVIEW……………………………………………………………………………………
421
Arranging Household Interview ………………………………………………………………………… 4—4
422
Individuals Who Can Be Interviewed…………………………………………………………………
4—5
423
Location of Interview…………………………………………………………………………………………
4—5
423.1
424
4—3
Special Circumstances and Conditions Regarding Video Conferencing Personal
Interviews……………………………………………………………………………………………………… 4—6
Conducting the Interview…………………………………………………………………………………… 4—7
424.1
Opening the Interview ………………………………………………………………………………… 4—7
424.2
Dealing with Household Fears During the Interview …………………………………
424.3
Observation during the IntervieW..……………………………………………………………… 4—7
424.4
Establishing Household Composition…………….……………………………………………… 4—7
424.5
Reviewer Inquiries………………………………………………………………………………………
424.6
Recording Household Statements………………………………………………………………… 4—8
424.7
Verification…………………………………………………………………………………………………
430
4—7
4—8
4—8
COLLATERAL CONTACTS…………………………………………………………………………………… 4—9
10-18-18 (Change 2)
iii
FNS HANDBOOK 310
431
Obtaining Information from Collateral Contacts ……………………………………………… 4—10
432
Collateral Contact Refusal to Cooperate…………………………………………………………… 4—10
433
Documentary Verification………………………………………………………………………………… 4—10
440
COMPLETION OF FIELD REVIEWS ……………………………………………………………………… 4—10
441
Cases Determined Ineligible …………………………………………………………………………… 4—11
442
Incomplete Case…….………………………………………………………………………………………… 4—11
442.1
Case Record or Household Cannot Be Found …………………………………………… 4—11
442.2
Household Refusal and Failure to Cooperate ……………………………………………4—14
442.3
Likely Conclusion………………………………………………………………………………………… 4—17
442.4
Requirements for Completing Likely Conclusion ……………………………………… 4—18
442.5
Late Reviews …………………………………………………………………………………………… 4—19
Chapter 5
VERIFICATION AND DOCUMENTATION
500
GENERAL…………………………………………………………………………………………………………… 5—1
510
VERIFICATION……………………………………………………………………………………………………… 5—1
511
Sources of Verification ……………………………………………………………………………………… 5—1
512
Use of the Income and Eligibility Verification System (IEVS) Data ……………………5—2
513
Evaluating Evidence ………………………………………………………………………………………… 5—3
513.1
Ensure Evidence Meets Verification Requirements……………………………………… 5—3
513.2
Consider Age of Evidence……………………………………………………………………
5—3
514
Positive and Negative Allegations …………………………………………………………………… 5—4
515
Verification Guidance ……………………………………………………………………………………… 5—6
520
DOCUMENTATION …………………………………………………………………………………………… 5—6
521
Documentation with Attachments …………………………………………………………………
5—6
522
Documentation by Recording a Document
…………………………………………………
5—7
523
Documentation of Verbal Statement by a Collateral Contact ……………………
5—7
524
Verification and Documentation of Negative Allegations
525
Chapter 6
………………………5—8
Verification and Documentation in Automated Certification Systems ………… 5—8
ERROR DETERMINATION PROCESS
600
PURPOSE …………………………………………………………………………………………………………… 6—1
610
THE ELIGIBILITY TEST …………………………………………………………………………………………6—1
620
THE ALLOTMENT TEST ………………………………………………………………………………………… 6—2
621
Comparison I …………………………………………………………………………………………………… 6—2
621.1
621.2
Compare Allotment Using Verified Sample Month Income and Deductions. 6—2
Compare Computed Allotment to the Authorized Amount ………………………… 6—2
10-18-18 (Change 2)
iv
FNS HANDBOOK 310
621.3
Recording of the Error Finding and Amounts Less than or Equal to the Current FY
621.4
If Difference Between Allotments is Greater than the Current FY Error Threshold,
Proceed to Comparrison II
……………………………………………………………6—3
622
Error Threshold in the Form FNS-380-1 Regardless of the Error Threshold … 6—2
Comparison II………………………………………………………………………………………………………
6—3
622.1
Compute an Allotment using Verified Budget Month Circumstances, Excluding
any Variances as Appropriate ……………………………………………………………………… 6—3
622.2
Compare Allotment Computed in 622.1 to the Eligibility Worker’s Authorized
Amount for the Sample Month ……..……………………………………………………………
622.3
If Difference Between these Two Allotments is less than or Equal to the Current
FY Error Threshold, the Error Determination Process is Complete. Enter Figures
from 622.1 (Comparison II) for Column 2 of the Computation Sheet …………
622.4
6—3
6—3
If Difference between Allotments is Greater that the Current FY Error
Threshold, Enter figures from 622.1 or the figures from 621.1 for Column 2 of
the Computation Sheet. Enter Appropriate Code in Item 8 and the Lessor
Amount in Error in Item 10 of Form FNS-380-1 …………………………………………… 6—3
623
Chapter 7
Notify State Agency of All Errors Found …………………………………………………………… 6—4
REVIEW PROCEDURES RELATIVE TO CERTIFICATION SYSTEMS AND CHANGES
700
GENERAL…………………..…………………………………………………………………………………………
7—1
710
VERIFICATION TIME PERIODS
711
Prospective Systems ………………………………………………………………………………………… 7—2
…………………………………………………………………………… 7—2
711.1
Eligibility ………………………………………………………………………………………………………7—2
711.2
Benefit Level………………………………………………………………………………………………
712
Retrospective Systems
7—2
…………………………………………………………………………………… 7—3
712.1
Eligibility………………………………………………………………………………………………………
712.2
Benefits ……………………………………………………………………………………………………… 7—3
712.3
New Members after the Budget Month………………………………………………………… 7—3
713
7—3
Exceptions for Prospective and Retrospective Systems …………………………………… 7—3
713.1
Prorated Income and Averaged or Prorated Deductions …………………………… 7—3
713.2
Variances ……………………………………………………………………………………………………… 7—4
713.3
Categorical Eligibility…………………………………………………………………………………… 7—4
713.4
720
Transitional Benefits…………………………………………………………………………………… 7—4
REVIEW PROCEDURES RELATIVE TO REPORTING REQUIREMENTS……………………… 7—4
721
Changes Relative to Appropriate Month ………………………………………………………… 7—6
722
Change Reporting - $100 Change in Earned Income or Change Reporting with Status
Reporting
………………………………………………………………………………………………… 7—6
10-18-18 (Change 2)
v
FNS HANDBOOK 310
722.1
Changes Prior to the Notice of Eligibility for Initial Certifications
722.2
Unreported Changes ………………………………………………………………………………… 7—7
722.3
Reported Changes ………………………………………………………………………………………. 7—8
722.4
New Members ……..………………………………………………………………………………………7—9
722.5
Incorrect Action ………………………………………………………………………………………
722.6
Notices of Expiration ………………………………………………………………………………. 7—10
723
………… 7—6
7—10
Monthly Reporting….…………………………………………………………………………………………. 7—11
723.1
One-Month System Where the Element was Subject to Monthly Reporting 7—11
723.2
Two-Month System Where the Element was Subject to Monthly Reporting 7—12
724
724.1
Reviewing Prospectively Budgeted Elements/Sources in an Otherwise
Retrospectively Budgeted Case ……………………………………………………………….
7—14
Adding New Members Prospectively to a Retrospectively Budgeted
Household…….………………………………………………………………………………………….
7—14
725
Quarterly Reporting ………………………………………………………………………………………. 7—15
726
Simplified Reporting…………………………………………………………………………………………. 7—16
726.1
727
Variance Determination………………………………………………………………………………. 7—18
Transitional Benefits………………………………………………………………………………………….7—27
727.1
Determining Eligibility for Transitional Benefits…………………………………………7—27
727.2
Changes after the Initial Authorization of Transitional Benefits …………………7—28
727.3
Variance Determination ………….………………………………………………………………….7—29
730
BEGINNING MONTHS..………………………………………………………………………………………. 7—31
731
Verification Time Periods..……..………………………………………………………………………. 7—31
10-18-18 (Change 2)
vi
FNS HANDBOOK 310
732
Changes..………………….……………………………………………………………………………………… 7—32
732.1
Elements Subject to the Change Reporting Requirements……………………… 7—32
732.2
Elements Subject to Monthly Reporting requirements …………………………… 7—32
740
MASS CHANGES ……………………………………………………………………………………………… 7—33
741
General
………………………………………………………………………………………………………… 7—33
741.1
Regulatory Changes …………………………………………………………………………………… 7-33
741.2
Periodic SNAP Adjustments ……………………………………………………………………
741.3
PA Changes …………………………………………………………………………………………………7—34
741.4
Social Security and Other Federal Mass Changes ………………………………………7—34
7—33
750
OTHER INCLUDED AND EXCLUDED VARIANCES …………………………………………………7—35
751
Missing Reports
752
Expired Certification Periods ……………………….…………………………………………………7—35
753
Expedited Service
754
Information from a Federal Source ……………..…………………………………………………7—36
755
SAVE ………………………………………………………………………………………………………………7—37
756
Application of New Regulations ……………………………………………………………………… 7-37
757
Federal Written Policy ………………………………….……………………………………………… 7—37
Chapter 8
……..…………………………………………………………………………………… 7—35
……………………………………………………………………………………… 7—35
NON-FINANCIAL ELIGIBILITY CRITERIA
800
GENERAL ….…………………………………………………………………………………………………………8—1
810
AGE AND SCHOOL ATTENDANCE ……………………………………………………………………… 8—1
811
Age – 110 ………………………………………………………………………………………………………
812
School Enrollment….………………………………………………………………………………………… 8—1
812.1
8—1
Student Status – 111………….………………………………………………………………………… 8—2
10-18-18 (Change 2)
vii
FNS HANDBOOK 310
812.2
Standard Verification …………………………………………………………………………………… 8—2
820
CITIZENSHIP AND NON-CITIZEN STATUS – 130 …………………………………………………… 8—2
821
U.S. Citizenship (By Birth or Naturalization) …………………………………………………… 8—2
822
Non-Citizen Status ……………………………………………………………………………………………… 8—3
822.1
Reviewer Contact with USCIS………………………………………………………………………… 8—4
822.2
Variances ……………………………………………………………………………………………………… 8—4
823
Reports Concerning Illegal Non-citizens…………………………………………………………… 8—5
830
RESIDENCY – 140 ………………………………………………………………………………………………… 8—5
831
Standard Verification…………………………………………………………………………………………… 8—5
832
Resident of Institution …………………………………………………………………………………… 8—6
840
HOUSEHOLD COMPOSITION AND LIVING ARRANGEMENT – 150 …………………………… 8—6
841
842
Categorically Eligible Households …………………………………………………………………… 8—7
Method of Verifying Household Composition…………………………………………………… 8—8
842.1
842.2
Household Statement and Reviewer Inquiry About Membership ……………… 8—8
Inquiry to Collateral Contacts About Household Members ………………………
842.3
Inconsistencies in Information About Household Composition
842.4
Actions to Resolve Inconsistencies
8-11
……………… 8—11
……………………………………………………
8—11
843
Residents of Certain Institutions ……………………………………………………………………8—12
844
Error Determination ……………………………………………………………………………………
844.1
844.2
844.3
8—12
Household Consolidation/Movement……………………………………………………………8—12
Duplicate Participation by All or Some Members of the Same Household
8—14
Transfer/Movement of Individuals into, Out of, and Between SNAP
Households………………………………………………………………………………………………… 8—16
845
New Members Added to a Retrospectively Budgeted Household - Two-Month
System…………………………………………………………………………………………………………. 8—17
846
Separated Households .……………………………………………………………………………………8—18
847
Recipient Disqualification - 151…………………………………………………………………………8—19
848
Ineligibility Due to a Drug Related Conviction, Fleeing Felon Status and
Probation/Parole Violations
……………………………………………………………………8—20
10-18-18 (Change 2)
viii
FNS HANDBOOK 310
WORK REQUIREMENTS AS A CONDITION OF PARTICIPATION ……………………………8—22
850
850.1
Work Registration – 162 ……………………………………………………………………………8—22
850.2
Employment and Training - 160
850.3
Acceptance of Employment – 166 ………………………………………………………… 8—25
850.4
Employment Status/Job Availability – 165 ………………………………………
850.5
Voluntary Quit/Reducing Work Effort - 163 …………………………………………
……………………………………………………………… 8-23
8—26
8-26
850.6
Workfare and Comparable Workfare – 164 ………………………………………………8—28
850.7
Time Limited Participation – 161 ……………………………………………………………… 8—29
860
SOCIAL SECURITY NUMBERS – 170 …………………………………………………………………… 8—31
860.1
Verification …………………………………………………………………………………………………
860.2
Variances
……………………………………………………………………………………………… 8—31
DISABLED INDIVIDUALS
870
870.1
Verification
8—31
……….…………………………………………………………………………
8-33
…………………………………………………………………………………………… 8—33
Variances ………………………………………………………………………………………………… 8—33
870.2
Chapter 9
RESOURCES
900
VERIFICATION STANDARDS FOR RESOURCES – 200-299……………………………………… 9—1
910
GENERAL REQUIREMENTS …………………………………………………………………………………… 9—1
911
Purpose of Verification of Resources ………………………………………………………………… 9—1
912
Eligibility Standards…………………………………………………………………………………………… 9—2
913
Categorical Eligibility………………………………………………………………………………………… 9—2
914
Combined Resources – 225………………………………………………………………………………… 9—2
915
Acceptable Case Record Verification………………………………………………………………… 9—3
916
Transfer of Resources………………………………………………………………………………………… 9—3
920
NONEXEMPT RESOURCES……………………………………………………………………………………… 9—3
930
EXEMPT RESOURCES ………………………………………………………………………………………… 9—4
931
Resources of Non-Household Members……………………………………………………………… 9—4
932
Resources of Non-Citizen Sponsors……………………………………………………………………… 9—4
933
Resources Jointly Owned With Non-Household Members…………………………………
10-18-18 (Change 2)
ix
9—4
FNS HANDBOOK 310
934
Resources Which Are Accessible to the Household But Not Owned By The
Household.………………………………………………………………………………………………………9—4
940
BANK ACCOUNTS OR CASH ON HAND - 211………………………………………………………… 9—4
941
Inquiry Into Available Balance of Accounts ……………………………………………………… 9—5
942
Inquiry About Declared Liquid Resources…………………………………………………………
9—5
943
Verification of Declared Liquid Resources………………………………………………………… 9—5
943.1
943.2
Cash ………………………………………………………………………………………………………………… 9—6
Other Liquid Resources ……………………………………………………………………………… 9—6
943.3
Conditions Affecting Further Verification …………………………………………………
9—6
950
NONRECURRING LUMP-SUM PAYMENTS - 212……………………………………………………… 9—6
960
OTHER LIQUID ASSETS ……………………………………………………………………………………… 9—6
970
REAL PROPERTY – 221
971
When Property Is Acknowledged ….…….………………………………………………………………9—7
972
When No Property Is Acknowledged …………………………………………………………………… 9—7
980
VEHICLES – 222 ………………………………………………………………………………………………… 9—8
990
OTHER NON-LIQUID RESOURCES – 224……………………………………………………………… 9—8
Chapter 10
…………………………………………………………………………………… 9—7
INCOME
1000
GENERAL
1010
VERIFICATION AND VARIANCE DETERMINATION PROCEDURES ………………………
1011
Verification……………………………………………………………………………………………………… 10—1
1012
Variance Determination …………………………………………………………………………………
10—1
1013
Terminology……………………………………………………………………………………………………
10—1
……………………………………………………………………………………………………… 10—1
10—1
1013.1
Annualized Income……………………………………………………………………………………… 10—2
1013.2
Anticipated Income……………………………………………………………………………………
1013.3
1013.4
10—2
10—2
Averaged Income ………………………………………………………………………………………
Conversion ………………………………………………………………………………………………… 10—3
10—3
1013.5
Fluctuating Income……………………………………………………………………………………
1013.6
Prorated Income………………………….……………………………………………………………… 10—3
1013.7
Stable Income……………………………………………………………………………………………
1020
1020.1
10—3
VERIFICATION REQUIREMENTS - EARNED INCOME …………………………………………… 10—3
Credit Check for Verification of Earned Income………………………………………
10—3
1021
1021.1
Wages and Salaries - 311………………………………………………………………………………… 10—3
Positive Allegation……………………….……………………………………………………………… 10—4
1021.2
Negative Allegation……………………..………………………………………………………………10—4
Verification……..……………………………………………………………………………………………10—5
1021.3
1022
Self-Employment – 312 ………………………………………………………………………………………10—6
10-18-18 (Change 2)
x
FNS HANDBOOK 310
1022.1
Positive Allegation ……………………………………………………………………………………10—6
1022.2
Negative Allegation
1023
…………………………………………………………………………………10—6
Other Earned Income - 314 ……………………………………………………………………………… 10-7
1023.1
Positive Allegation …………………………………………………………………………………… 10—7
1023.2
Negative Allegation…………………………………………………………………………………… 10—7
1030
VERIFICATION STANDARDS FOR UNEARNED GOVERNMENT BENEFITS……………
1031
Retirement, Survivors, and Disability Insurance (RSDI) Benefits – 331…………… 10—7
1032
Veterans' Benefits – 332 ………………………………………………………………………………… 10—8
1033
Supplemental Security Income (SSI) – 333 ………………………………………………………10—8
1034
Unemployment Compensation – 334 ……………………………………………………………… 10—8
10—7
1034.1
Positive Allegation………………………………………………………………………………………10—8
1034.2
Negative Allegation…………………………………………………………………………………… 10—8
1035
Workers’ Compensation - 335…………………………………………………………………………… 10—8
1035.1
Positive Allegation……….…………………………………………………………………………… 10—8
1035.2
Negative Allegation……………………………………………………………………………………
1036
10-8
Other Government Benefits – 336 ……………………………………………………………………10—9
1036.1
Positive Allegation…………………………………………………………………………………… 10—9
1036.2
Negative Allegation……………………….……………………………………………………………10—9
1040
VERIFICATION STANDARDS FOR OTHER UNEARNED INCOME……………………………..10—9
1041
Contributions/Income-In-Kind – 342….……………………………………………………………..10—9
1041.1
Alimony Payments……………………………………………………………………………………… 10—9
1041.2
Income-In-Kind………………………………………………………………………………………… 10—10
1042
Deemed Income – 343…………………………………………………………………………………… 10—10
1043
PA or GA - 344…………………………………………………………………………………………………
10-10
1044
Educational Grants, Scholarships, and Loans - 345………………………………………
10-11
1044.1
1044.2
1045
Positive Allegation …………………………………………………………………………………… 10-11
Negative Allegation……………………………………………………………………………………10—11
Other Unearned Income - 346…………………………………………………………………………
10-11
1045.1
Foster Care Payments………………………………………………………………………………… 10-12
1045.2
Dividends and Interest
1045.3
Rental Income
1045.4
Pensions and Union Benefits…………………………………………………………………… 10—12
………………………………………………………………………… 10—12
……………………………………………………………………………………… 10—12
1046
TANF - 347………………………………………………………………………………………….…………… 10-12
1050
CHILD SUPPORT PAYMENTS RECEIVED FROM ABSENT PARENT - 350……………… 10-12
1060
VARIANCE DETERMINATIONS…………………………………………………………………………
10-18-18 (Change 2)
xi
10—14
FNS HANDBOOK 310
1061
Eligibility…………………………………………………………………………………………………………
10-14
1061.1
Prospective Eligibility………………………………………………………………………………
10-14
1061.2
Retrospective Eligibility…………………………………………………………………………… 10—15
1061.3
Categorical Eligibility……………..……………………………………………………………… 10—15
1062
1062.1
1063
Unearned Income…………………………..……………………………………………………………… 10—15
More Than One Variance in an Income Source…………………………………………… 10-16
Prospectively Budgeted Earned Income $100 Change Reporting………………… 10—17
1063.1
First and Second Effective Months of a Certification Action……………………. 10—19
1063.2
Third Effective Month or Later Following a Certification, Recertification, or
Interim Change……………………………………………………………………………………………10—23
1063.3
1064
1064.1
1065
Unreported/Unprocessed Sources of Earned Income ……………………………… 10—25
Prospectively Budgeted Earned Income - Status Reporting ………………………….10—26
Multiple Variances in an Income Source – Status Reporting………………………10—27
Annualized and Prorated Income …….……………………………………………………………10—27
1065.1
Self-Employment………………………..………………………………………………………………10—27
1065.2
Contract Income………………………………………………………………………………………… 10—28
1065.3
Educational Income…………………………………………………………………………………
10—29
1066
Households with More Than One Type of Income…………………………………………… 10—29
1070
INCOME FROM INELIGIBLE HOUSEHOLD MEMBERS…………………………………………… 10—32
1070.1
Income That Must be Counted Entirely ……………………………………………………10—32
10-18-18 (Change 2)
xii
FNS HANDBOOK 310
1070.2
Income That Must be Counted on a Prorated Basis………………………………… 10—32
1080
NON-COMPLIANCE WITH OTHER PROGRAM RULES …………………………………………10—33
1081
Desk Review…………………………………………………………………………………………………… 10—33
1082
Field Review …………………………………………………………………………………………………10—33
1083
Verification………………………………………………………………………………………………………10—34
1084
Identification of Variances ……………………………………………………………………………10—34
1085
Treatment of Variances………………..…………………………………………………………………10—34
1086
Other Deficiencies ……………………….…………………………………………………………………10—35
Chapter 11
DEDUCTIONS
1100
DEDUCTIONS ………………………………………………………………………………………………………11—1
1110
REVIEW OF DEDUCTIONS………………….…………………………………………………………………11—1
1111
Deductions as Billed………………………..…………………………………………………………………11—1
1112
Expenses Paid by Excluded Vendor Payment …………………………………………………… 11—2
1113
Deductions Disallowed at Certification or Recertification ……………………………… 11—3
1114
Special Treatment of Variances ……..……………………………………………………………… 11—5
1120
EARNED INCOME DEDUCTION – 321 ….……………………………………………………………… 11—5
1120.1
Documentation ………………………….……………………………………………………………… 11—5
1120.2
Verification …………………………………………………………………………………………………11—5
1130
DEPENDENT CARE DEDUCTION - 323 …………………………………………………………………11—5
1130.1
Deductible Expenses…………………………………………………………………………………… 11—6
1130.2
Documentation ………………………….……………………………………………………………… 11—6
1130.3
Standard Verification………………………………………………………………………………… 11—6
1130.4
Special Treatment of Variances………………………………………………………………… 11—7
1140
1140.1
STANDARD DEDUCTION – 361 ………….……………………………………………………………… 11—8
Documentation ………………………….……………………………………………………………… 11—8
10-18-18 (Change 2)
xiii
FNS HANDBOOK 310
1140.2
1150
1150.1
1151
Verification ……………………………………………………………………………………………… 11—8
SHELTER DEDUCTION – 363……………………………………………………………………………… 11—8
Calculation of Shelter Deduction………………………………………………………………… 11—8
Rent or Mortgage ……….………………………………………………………………………………………11—9
1151.1
Documentation…………………………………………………………………………………………… 11—9
1151.2
Standard Verification………………………………………………………………………………… 11—9
1152
Property Taxes…………………………………………………………………………………………………… 11—9
1152.1
Documentation …………………………………………………………………………………………… 11—9
1152.2
Standard Verification…………………………………………………………………………………
11-10
Property Insurance…………………………………………………………………………………………
11—10
1153.1
Documentation…………………………………………………………………………………………
11—10
1153.2
Standard Verification………………………………………………………………………………… 11—10
1153
1154
Unoccupied Home…………………………………………………………………………………………… 11—10
1154.1
Documentation…………………………………………………………………………………………
1154.2
Standard Verification………………………………………………………………………………… 11—11
1155
11-11
Repairing a Damaged Home ………………………………………………………………………… 11—11
1155.1
Documentation…………………………………………………………………………………………… 11—11
1155.2
Standard Verification………………………………………………………………………………… 11—11
1156
Utilities (Other Than the Standard Utility Allowance)…………………………………… 11—11
1156.1
Documentation…………………………………………………………………………………………… 11—12
1156.2
Standard Verification………………………………………………………………………………… 11—12
1157
Homeless Shelter Deduction …………………………………………………………………………… 11—12
1157.1
Documentation…………………………………………………………………………………………… 11—12
1157.2
Standard Verification…………………………………………………………………………………
1157.3
Variances …………………………………………………………………………………………………… 11—13
1160
1160.1
11-12
STANDARD UTILITY ALLOWANCE - 364…………………………………………………………… 11—13
1160.2
Documentation ………………………………………………………………………………………… 11—15
Standard Verification………………………………………………………………………………… 11—15
1160.3
Variances …………………………………………………………………………………………………… 11—15
1160.4
Prorated SUA ………………………………………………………………………………………………11—16
1161
Special Treatment of Variances ……………………………………………………………………… 11—16
1161.1
Expenses Not Reported at Certification/Recertification
1161.2
Change Reporting and Unreported Changes Subsequent to Certification/
Recertification ……………………………………………………………………………………… 11—17
1161.3
Expenses Reported at Any Time and Not Correctly Processed ……………… 11—17
1161.4
Monthly Reporting and Actual Expenses ……………………………………………………11—18
10-18-18 (Change 2)
xiv
…………………… 11—16
FNS HANDBOOK 310
1170
MEDICAL DEDUCTION – 365 ………….…………………………………………………………………11—18
1170.1
Deductible Expenses………………………………………………………………………………… 11—19
1170.2
Documentation ……………………….……………………………………………………………… 11—20
1170.3
Standard Verification……………….……………………………………………………………… 11—20
1170.4
Calculation of Medical Expenses……………………………………………………………… 11—21
1170.5
Special Treatment of Variances …………………………………………………………… 11—21
1180
CHILD SUPPORT PAYMENT DEDUCTION - 366………………………………………………… 11—25
1180.1
Documentation ……………………………………………………………………………………… 11—25
1180.2
Verification ……………………………………………………………………………………………… 11-26
1180.3
Calculation of the Child Support Deductions …………………………………………… 11-27
Chapter 12
MAKING THE REVIEW DECISION
1200
GENERAL ………………………………………………………………………………………………………
1210
The Computation Sheet…………………………………………………………………………………… 12—1
1211
Column (1) ……………………………………………………………………………………………………… 12—1
1212
Column (2) ……………………………………………………………………………………………………… 12—1
12—1
Three Case Scenarios dipicting figures to Use in Column (2) based upon verified
1212.1
circumstances, including or excluding variances as appropriate …………… 12—1
1212.2
Case Scenario dipicting Final State Agency Quality Control Figures to use in
Column (2) based upon verified circumstances, including All Variances … 12—3
1213
Columns (3), (4), and (5)
1220
COMPUTING THE AMOUNT ISSUED IN ERROR
1230
THE REVIEW SCHEDULE …………………………………………………………………………………… 12—4
1231
Coding the Review Findings - Item 8 ……………………………………………………………… 12—4
1232
Error Amount - Item 10 …………………………………………………………………………………… 12—4
1233
Coding the Dollar Amount Associated With Variances - Item 16 ………………… 12—5
……………………………………………………………………………… 12—3
……………………………………………… 12—3
1233.1
Mandatory Use
1233.2
Optional Use ……………………………………………………………………………………………12—5
1240
……………………………………………………………………………………… 12—5
TRANSMISSION/RELEASE OF ACTIVE CASE FINDINGS TO FNS, DATA CHECKING, AND
CHANGING CASE FINDINGS ………………………………………………………………………..12—10
Chapter 13
NEGATIVE ACTION RECORD REVIEWS
10-18-18 (Change 2)
xv
FNS HANDBOOK 310
1300
INTRODUCTION…………………………………………………………………………………………………… 13-1
1310
PURPOSE AND SCOPE OF THE NEGATIVE ACTION REVIEW
……………………………
13-1
1320
NEGATIVE DEFINITIONS ……………………………………………………………………………………
13-2
1330
DISPOSITION OF ACTION REVIEWS ……………………………………………………………………… 13-3
1331
Actions Subject to Review ………………………………………………………………………………
13-3
1332
Actions Not Subject to Review ………………………………………………………………………
13-3
1333
Incomplete Cases………………………………………………………………………………………………
13-6
1340
APPLICATION PROCESSING ASPECTS OF THE NEGATIVE REVIEW ……………………
13-6
1350
CONDUCTING NEGATIVE ACTION REVIEWS ………………………………………………………
13-8
1350.1
Step 1: Determine Subject to Review Status………………………………………………
13-8
1350.2
Step 2: Review of Action Sampled…………….………………………………………………… 13-9
1350.3
Step 3: Collateral and/or Household Contact (Optional) ………………………… 13-10
1350.4
Step 4: Documentation and Reporting of Review Findings ……………………… 13-11
1360
ACCEPTABLE DOCUMENTATION ……………………………………………………………………… 13-13
1370
TRANSMISSION OF NEGATIVE CASE FINDINGS TO FNS, DATA CHECKING, AND
CHANGING CASE FINDINGS ……………………………………………………………………… 13—16
Chapter 14
INFORMAL RESOLUTION AND ARBITRATION
1400
INFORMAL RESOLUTION AND ARBITRATION
1410
INFORMAL RESOLUTION……………………………………………………………………………………… 14—1
1420
ARBITRATION……………………………………………………………………………………………………… 14—1
1421
Documentation…………………………………………………………………………………………………
14—2
1422
Usual Timeframe for Requesting Arbitration …………………………………………………
14—3
1423
Unusual Timeframe for Requesting Arbitration………………………………………………
14—4
1430
SNAP QUALITY CONTROL ARBITRATION …………………………………………………………
14.5
1431
General ……………………………………………………………………………………………………………
14-5
1432
Quality Control Arbitrator ………………………………………………………………………………
14-5
1433
Quality Control Arbitration Procedures ……………………………………………………………
14-5
…………………………………………………… 14—1
1433.1
Instructions for Submitting Arbitration Requests ……………………………………
1433.2
Notification to Appropriate FNS Regional Office of Arbitrations Requested In
Addition to Providing the Regional Office With a Copy of the Arbitration
Request(s) ………………………………………………………………………………………………… 14-6
1433.3
Submission of All Appropriate Documentation Within the 20-Day Timeframe 14-6
1433.4
Arbitrator Request for Additional Information and Notification of the Arbitrator's
Decision and Rationale………………………………………………………………………………………14-6
1440
HANDLING CASE FINDINGS ………………………………………………………………………………
10-18-18 (Change 2)
xvi
14-5
14-6
FNS HANDBOOK 310
Appendicies
APPENDIX A
SNAP QC Error Threshold ………………………………………………………………………………………A-1
APPENDIX B
Form FNS-380, Worksheet for SNAP Quality Control Reviews
Form FNS-380, the Worksheet for SNAP Quality Control Reviews……………………………………….B-1
Facesheet ……………………………………………………………………………………………………………….B-1
Element 110 through 140………………………………………………………………………………………….B-2
Element 150 through 163………………………………………………………………………………………….B-3
Element 164 through 211………………………………………………………………………………………….B-4
Element 212 through 222………………………………………………………………………………………….B-5
Element 224 through 225………………………………………………………………………………………….B-6
Element 311 through 312………………………………………………………………………………………….B-7
Element 314 through 323………………………………………………………………………………………….B-8
Element 331 through 334………………………………………………………………………………………… B-9
Element 335 through 343………………………………………………………………………………………. B-10
Element 344 through 350………………………………………………………………………………………. B-11
Element 361 through 364……………………………………………………………………………………… B-12
Element 365 through 372…………………………………………………………………………………………B-13
Element 520 through 820 ……………………………………………………………………………………… B-14
Computation Sheet………………………………………………………………………………………………… B-15
Self-Employment Addendum of the Computation Sheet …………………………………… B-17
INSTRUCTIONS FOR COMPLETING FORM FNS-380 ………………………………………………………………B-18
GENERAL………………………………………………………………………………………………………………… B-18
FACESHEET – PAGE 1 (Form FNS-380) ………………………………………………………………… B-18
SECTION A - IDENTIFYING INFORMATION………………………………………………………………. B-18
1. Agency…………………………………………………………………………………………………………. B-18
2. Case Name………………………………………………………………………………………………
B-18
3. Address………………………………………………………………………………………………………
B-18
4.Telephone Number………………………………………………………………………………………
B-18
5. Directions to Locate………………………………………………………………………………
B-18
6. Case Number……………………………………………………………………………………………… B-18
7. Review Number………………………………………………………………………………………
B-19
8. Review Date/Month……………………………………………………………………………………… B-19
9. Reserved ……………………………………………………………………………………………………… B-19
10. Most Recent Action: Date and Type…………………………………………………………
10-18-18 (Change 2)
xvii
B-19
FNS HANDBOOK 310
11. Certification Period………………………………………………………………………………………B-19
12. Participated During Sample Month …………………………………………………………… B-19
13. Received Expedited Service …………………………………………………………………………B-19
14. Categorically Eligible Household………………………………………………………………… B-19
15. Reviewer…………………………………………………………………………………………………………B-19
16.Date Assigned………………………………………………………………………………………………… B-19
17. Date of Case Readings.……………………………………………………………………………… B-19
18. Date of Personal Interview………………………………………………………………………… B-19
19. Date Completed………………………………………………………………………………………… B-19
20. Supervisor……………………………………………………………………………………………………… B-20
21. Date Cleared………………………………………………………………………………………………… B-20
SECTION B - PERSONS LIVING IN THE HOME…………………………………………………………
B-20
Name………………………………………………………………………………………………………………
B-20
Birth Date…………………………………………………………………………………………………………… B-20
Age…………………………………………………………………………………………………………………
B-20
Relationship or Significance……………………………………………………………………………… B-20
Social Security…………………………………………………………………………………………………
B-20
Recipient…………………………………………………………………………………………………………… B-20
SECTION C - SIGNIFICANT PERSONS NOT LIVING IN THE HOME……………………………… B-21
Name…………………………………………………………………………………………………………………… B-21
Relationship or Significance……………………………………………………………………………… B-21
Social Security Number……………………………………………………………………………………
B-21
Address ..…………………………………………………………………………………………………………… B-21
Phone Number ………………………………………………………………………………………………… B-21
Financial Support……………………………………………………………………………………………
B-21
SECTION D - REVIEW FINDINGS……………………………………………………………………………… B-21
WORKSHEET NARRATIVE- PAGES 2 THROUGH 14 (Form FNS-380) GENERAL
INSTRUCTIONS……………………………………………………………………………………………………… B-21
COLUMN 1, ELEMENTS OF ELIGIBILITY AND BASIS OF ISSUANCE…………………………… B-22
COLUMN 2, QC ANALYSIS OF CASE RECORD…………………………………………………………… B-22
COLUMN 3, FINDINGS OF FIELD INVESTIGATION………………………………………………………B-22
COLUMN 4, RESULTS……………………………………………………………………………………………… B-23
COMPUTATION SHEETS – PAGES 15 THROUGH 17 (Form FNS-380)…………………………B-23
General Instructions…………………………………………………………………………………………………B-23
COLUMN 1, ELIGIBILITY WORKER…………………………………………………………………………… B-23
COLUMN 2, FINAL SAQC DETERMINATION……………………………………………………………
B-23
COLUMN 3, 4, 5……………………………………………………………………………………………………… B-24
10-18-18 (Change 2)
xviii
FNS HANDBOOK 310
SNAP Quality Control Automated Form FNS-380, 380 Guide From User's Manual……………
Appendix C
B-25
Form FNS-380-1, The Quality Control Review Schedule
Form FNS-380-1, the Quality Control Review Schedule ………………………………………… C-1
Section 1 - Review Summary……………………………………………………………………………………… C-1
Section 2 - Detailed Error Findings…………………………………………………………………………
C-1
Section 3 - Household Characteristics……………………………………………………………………… C-2
Section 4 - Information on Each Household Member………………………………………………… C-3
Section 5 - Income Identified by Household Member……………………………………………… C-4
Section 6 - Reserved Coding……………………………………………………………………………………… C-4
Section 7 - Optional For State Use…………………………………………………………………………… C-4
Instructions for Completing Form FNS-380-1
GENERAL INFORMATION……………………………………………………………………………………………………… C-5
Dates………………………………………………………………………………………………………………………… C-5
Dollar Amounts………………………………………………………………………………………………………… C-5
Not Applicable…………………………………………………………………………………………………………… C-5
Unknown…………………………………………………………………………………………………………………… C-5
Stratum……………………………………………………………………………………………………………………… C-6
Local Agency Code …………………………………………………………………………………………………… C-6
FIPS Codes ………………………………………………………………………………………………………………
C-6
QUALITY CONTROL REVIEW SCHEDULE SECTION 1 - REVIEW SUMMARY
1.QC Review Number ………………………………………………………………………………………
C-6
2.Case Number
C-6
………………………………………………………………………………………………
3. State Code……………………………………………………………………………………………………… C-6
State Codes - National Institute of Standards and Technology …………………C-7
4. Local Agency Code…………………………………………………………………………………………
C-7
5. Sample Month and Year ………………………………………………………………………………… C-7
6. Stratum…………………………………………………………………………………………………………… C-7
7. Disposition……………………………………………………………………………………………………
C-8
8.Review Finding………………………………………………………………………………………………
C-8
C-8
9.SNAP Allotment Under Review………………………………………………………………………
10 Error Amount………………………………………………………………………………………………… C-8
.11.
. Case Classification ……………………………………………………………………………………… C-8
SECTION 2 – DETAILED ERROR FINDINGS ………………………………………………………………………………C-9
12. Element…………………………………………………………………………………………………………… C-9
13. Nature Codes……………………………………………………………………………………………………C-9
BASIC PROGRAM REQUIREMENTS – (100) …………………………………………………………… C-9
10-18-18 (Change 2)
xix
FNS HANDBOOK 310
Element 111 - Student Status .……………………………………………………………………… C-9
Element 130 – Citizenship and Non-Citizen Status …………………………………………C-9
Element 140 – Residency …………………………………………………………………………… C-10
Element 150 - Household Composition………………………………………………………….C-10
Element 151 - Recipient Disqualification………………………………………………………C-11
Element 160 – Employment & Training Programs …………………………………………C-11
Element 161 – Time-limited Participation
……………………………………………
C-11
Element 162 – Work Registration Requirements……………………………………………C-11
Element 163 – Voluntary Quit/Reduced Work Effort ……………………………………C-11
Element 164 – Workfare and Comparable Workfare ……………………………………C-11
Element 165 – mployment Status/Job Availability……………………………………
C-12
Element 166 – Acceptance of Employment..…………………………………………………C-12
Element 170 – Social Security Number……………………………………………………… C-12
RESOURCES - (200) ……………………………………………………………………………………………… C-12
Liquid Resources
..………………………………………………………………………………………C-12
Element 211 - Bank Accounts or Cash on Hand …………………………………………..C-12
Element 212 – Nonrecurring Lump-sum Payment ……………………………………… C-12
Element 213 – Other Liquid Assets ………………………………………………………………C-12
Non-Liquid Resources ……………………………………………………………………………………… C-13
Element 221 - Real Property……………………………………………………………………… C-13
Element 222 – Vehicles….………………………………………………………………………………C-13
Element 224 – Other Non-Liquid Resources
………………………………………………C-33
Element 225 – Combined Resources ……………………………………………………………C-13
INCOME (300) …………………………………………………………………………………………………… C-13
Earned Income………………………………………………………………………………………………………C-13
Element 311 - Wages and Salaries ………………………………………………………………… C-13
Element 312 – Self-Employment ………………………………………………………………… C-14
Element 314 – Other Earned Income
Deductions
………………………………………………………… C-14
………………………………………………………………………………………………………C-15
Element 321 - Earned Income Deductions…………………………………………………… C-15
Element 323 – Dependent Care Deduction……………………………………………………C-15
Unearned Income……………………………………………………………………………………………… C-15
Element 331 RSDI Benefits………………………………………………………………………… C-15
Element 332 – Veterans Benefits
…………………………………………………C-15
Element 333 – SSI and/or State SSI Supplement………………………………………… C-15
Element 334 – Unemployment Compensation …………………………………………… C-16
Element 335 – Worker’s Compensation……………………………………………………… C-16
10-18-18 (Change 2)
xx
FNS HANDBOOK 310
Element 336 – Other Government Benefits……………………………………………… C-16
Element 342 – Contributions…………………………………………………………………… C-16
Element 343 – Deemed Income …………………………………………………………………C-17
Element 344 – TANF, PA, or GA ……………………………………………………………
C-17
Element 345 – Educational Grants/Scholarships/Loans…………………………… C-17
Element 346 – Other Unearned Income …………………………………………………… C-18
Element 350 – Child Support Payments Received from Absent Parent ……C-18
Element 361 – Standard Deduction…………………………………………………………… C-18
Element 363 - Shelter Deduction……………………………………………………………… C-18
Element 364 - Standard Utility Allowance ………………………………………
C-19
Element 365 - Medical Deductions ………………………………………………………… C-19
Element 366 - Child Support Payment Deduction …………………………………… C-19
Element 371 - Combined Gross Income ………………………………………………… C-19
Element 372 - Combined Net Income …………………………………………………………C-19
OTHER - (500 and 800) …………………………………………………………………………………… C-19
Element 520 - Arithmetic Computation…………………………………………………… C-20
Element 530 – Transitional Benefits……………………………………………………………C-20
Element 560 - Reporting Systems …………………………………………………………… C-20
Element 810 - Food Stamp Simplification Project ………………………………… C-20
Element 820 - Demonstration Projects …………………………………………………… C-21
14. Cause ………………………………………………………………………………………………………… C-21
15. Error Finding …………………………………………………………………………………………
C-22
16. Error Amount…………………………………………………………………………………………… C-22
17. Discovery …………………………………………………………………………………………………… C-22
18 Verified………………………………………………………………………………………………………… C-23
19 Occurrence………………………………………………………………………………………………………C-23
a. Date ……………………………………………………………………………………………… C-23
b.Time Period …………………………………………………………………………………… C-23
SECTION 3 - HOUSEHOLD CHARACTERISTICS …………………………………………………………………… C-23
20. Most Recent Certification Action……………………………………………………………… C-24
21. Type of Action…………………………………………………………………………………………… C-24
Certification………………………………………………………………………………………………… C-24
Recertification…………………………………………………………………………………………… C-24
22. Length of Certification Period…………………………………………………………………… C-24
23. Allotment Adjustment………………………………………………………………………………… C-24
24.Amount of Allotment Adjustment …………………………………………………………
10-18-18 (Change 2)
xxi
C-24
FNS HANDBOOK 310
25. Number of Household Members ……………………………………………………………………C-25
26. Receipt of Expedited Service ……………………………………………………………………….C-25
27. Authorized Representative Used at Application ………………………………………….C-25
28. Categorical Eligibility Status ……………………………………………………………………..C-25
29.
Reporting Requirement…………………………………………………………………………… C-25
Resources: ……………………………………………………………………………………………………… C-26
30. Liquid Assets………………………………………………………………………………………………….C-26
31. Real Property (Excluding Home)…………………………………………………………………. C-26
32.(a). Vehicle…………………………………………………………………………………………………….C-26
32.(b). Status 2nd Vehicle…………………………………………………………………………………… C-27
33. Countable Vehicle Assets………………………………………………………………………………C-27
34. Other Non-liquid Assets…………………………………………………………………………………C-27
Income………………………………………………………………………………………………………………… C-27
35. Gross Countable Income……………………………………………………………………………….C-27
36. Net Countable Income………………………………………………………………………………….C-27
Deductions: ……………………………………………………………………………………………………… C-27
37.Earned Income……………………………………………………………………………………………… C-27
38. Medical…………………………………………………………………………………………………………..C-27
39.Dependent Care …………………………………………………………………………………………….C-28
40. Child Support …………………………………………………………………………………………………C-28
41. Shelter …………………………………………………………………………………………………………C-28
42. Homeless … ………………………………………………………………………………………………….C-28
Additional Information on Shelter Costs………………………………………………………………….C-28
43. Rent/Mortgage ………………………………………………………………………………………………C-28
44. Use of SUA …………………………………………………………………………………………………….C-28
a. Usage ……………………………………………………………………………………………………….C-28
LIHEAA ……………………………………………………………………………………………………. C-28
Higher Standard……………………………………………………………………………………….C-28
Lower Standard……………………………………………………………………………………… C-29
b. Proration ……………………………………………………………………………………………….C-29
45. Utilities (SUA or Actual) ……………………………………………………………………………… C-29
SECTION 4 – INFORMATION ON EACH HOUSEHOLD MEMBER ………………………………………………C-29
46. Person Number…………………………………………………………………………………………….C-29
47. SNAP Participation ……………………………………………………………………………………….C-30
48. Relationship to Head of Household ……………………………………………………………..C-30
49. Age ………………………………………………………………………………………………………………C-31
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50. Sex……………………………………………………………………………………………………………… C-31
51. Race…………………………………………………………………………………………………………… C-31
52.Citizenship Status………………………………………………………………………………………… C-32
53.Educational Level………………………………………………………………………………………… C-32
54.Employment ……………………………………………………………………………………………… C-33
First box: Status…………………………………………………………………………………………………C-33
Second box: Hours Worked …………………………………………………………………………… C-33
55.SNAP Work Registration………………………………………………………………………………
C-33
56.SNAP Employment and Training (E&T) Program Status ……………………………… C-34
57.ABAWD Status
…………………………………………………………………………………………… C-34
58.Dependent Care Cost ………………………………………………………………………………… C-34
SECTION 5 – INCOME IDENTIFIED BY HOUSEHOLD MEMBER ……………………………………………… C-34
59.Person Number……………………………………………………………………………………………… C-35
Source 1 ………………………………………………………………………………………………………………C-35
60.Income Type ………………………………………………………………………………………………… C-35
Earned Income (Not Subsidized) ………………………………………………………………… C-35
Subsidized Earned Income…………………………………………………………………………
C-35
Unearned Income………………………………………………………………………………………… C-35
61. Amount………………………………………………………………………………………………………… C-36
Source 2……………………………………………………………………………………………………………… C-36
62. Income Type………………………………………………………………………………………………… C-36
63. Amount……………………………………………………………………………………………………… C-36
Source 3………………………………………………………………………………………………………………C-36
64. Income Type………………………………………………………………………………………………… C-36
65. Amount………………………………………………………………………………………………………… C-36
Source 4 ……………………………………………………………………………………………………………C-36
66. Income Type………………………………………………………………………………………………… C-36
67. Amount………………………………………………………………………………………………………… C-36
SECTION 6 - RESERVED CODING …………………………………………………………………………………………C-36
68. Timeliness of Application Processing (Expedited and 30 Day
Requirement……………………………………………………………………………………………………… C-36
69. QC Interview ……………………………………………………………………………………………… C-37
70. Timeliness of Recertification Processing …………………………………………………..C-38
71. Allotment Test……………………………………………………………………………………………….C-39
SECTION 7 – OPTIONAL FOR STATE USE………………………………………………………………………………C-39
APPENDIX D Form FNS-245, Quality Control SNAP Negative Case Action Review
Schedule
Form FNS-245, SNAP Quality Control Negative Case Action Review Schedule…………………….D-1
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INSTRUCTIONS FOR COMPLETING FORM FNS-245, SUPPLEMENTAL NUTRITION ASSISTANCE
PROGRAM (SNAP) QUALITY CONTROL NEGATIVE CASE ACTION REVIEW SCHEDULE…………….D-3
GENERAL INSTRUCTIONS ………………………………………………………………………………………………………D-3
SECTION 1 -CASE MANAGEMENT INFORMATION ………………………………………………………D-3
A. Case Name …………………………………………………………………………………………………….D-3
……………………………………………………………………………………D-3
B. Telephone Number
C. Mailing Address …………………………………………………………………………………………… D-3
D. Actual Address/Directions to Locate ………………………………………………………… D-3
E. Data Assigned
……………………………………………………………………………………… D-3
F. Date Complete/Disposed of ……………………………………………………………………… D-3
G. Date Cleared …………………………………………………………………………………………… D-3
SECTION II - IDENTIFYING INFORMATION …………………………………………………………………D-4
1. Review Number …………………………………………………………………………………………… D-4
2. Case Number………………………………………………………………………………………………… D-4
2. State and Local Agency Code………………………………………………………………………… D-4
State Agency Code……………………………………………………………………………………… D-4
Local Agency Code……………………………………………………………………………………
D-4
4. Sample Month and Year……………………………………………………………………………… D-4
5. Stratum………………………………………………………………………………………………………… D-4
6. Notice Date…………………………………………………………………………………………………
D-4
7. Action Date ………………………………………………………………………………………………… D-4
8. Action Type…………………………………………………………………………………………………… D-4
9. Case Classification………………………………………………………………………………………… D-5
SECTION III - ANALYSIS OF REVIEW ACTIVITY……………………………………………………………………… D-5
10. Disposition of Review ……………………………………………………………………………………D-5
(a) Disposition …………………………………………………………………………………………… D-5
(b) NSTR Reason ……………………………………………………………………………………… D-5
11. Finding …………………………………………………………………………………………………………D-6
12. Case Record Review
(a) Recorded Reason for Action …………………………………………………………………D-7
(b) Accuracy of Recorded Reason ………………………………………………………… D-8
13. Notice Requirements
……………………………………………………………………………… D-8
14. Household Notice
(a) Required Language on the Notice of Adverse Action/Denial……………… D-8
(b) Notice Specific, Clear, and Understandable…………………………………………D-9
(c) Reason to Houshold……………………………………………………………………………… D-9
(d) Accuracy of Reason on Notice to Household ………………………………………D-10
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FNS HANDBOOK 310
15. Procedural Requirements
(a) Notice of Missed Interview ………………………………………………………………… D-10
(b) Request for Contact ……………………………………………………………………………D-10
(c) Request for Verification …………………………………………………………………… D-11
(d) Periodic Report
……………………………………………………………………………… D-11
16. Timeliness of the Action
(a) Timeliness of Action….……………………………………………………………………… D-11
(b) Number of Days Action Early/Late …………………………………………………… D-11
(c) Timeliness of Notice..………………………………………………………………………… D-11
(d) Number of Days Notice Late ……………………………………………………………… D-11
SECTION IV - DESCRIPTION OF VARIANCES …….…………………………………………………………………D-11
17. Element …………………………………………………………………………………………………… D-11
18. Nature Codes
……………………………………………………………………………………… D-12
BASIC PROGRAM REQUIREMENTS - (100) ………………………………………………………………………….…D-12
Element 111 - Student Status ………………………………………………………………………… D-12
Element 130 - Citizenship and Non-Citizen Status ………………………………………… D-12
Element 140 - Residency………………………………………………………………………………… D-13
Element 150 - Household Composition…………………………………………………………… D-13
Element 151 - Recipient Disqualification………………………………………………………
D-13
Element 160 - Employment & Training Programs ………………………………………… D-13
Element 161 - Time-Limited Participation …………………………………………………… D-14
Element 162 - Work Registration Requirements
………………………………………… D-14
Element 163 - Voluntary Quit/Reduced Work Effort……………………………………
D-14
Element 164 - Workfare and Comparable Workfare………………………………………… D-15
Element 165 - Employment Status/Job Availability ……………………………………
D-15
Element 166 - Acceptance of Employment …………………………………………………… D-15
Element 170 - Social Security Number…………………………………………………………… D-15
RESOURCES - (200) …………………………………………………………………………………………………………… D-15
Liquid Resources ………………………………………………………………………………………………………………… D-15
Element 211 - Bank Accounts or Cash on Hand .………………………………………… D-15
Element 212 - Nonrecurring Lump-sum Payment…………………………………………… D-16
Element 213 - Other Liquid Assets ………………………………………………………………… D-16
Non-Liquid Resources ………………………………………………………………………………………………………… D-16
Element 221 - Real Property ………………………………………………………………………… D-16
Element 222 - Vehicles…………………………………………………………………………………… D-16
Element 224 - Other Non-Liquid Resources ………………………………………………… D-17
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FNS HANDBOOK 310
Element 225 - Combined Resources………………………………………………………………… D-17
INCOME (300) ……………………………………………………………………………………………………………………D-17
Earned Income ……………………………………………………………………………………………………………………D-17
Element 311 - Wages and Salaries………………………………………………………………
D-17
Element 312 - Self-Employment …………………………………………………………………
D-18
Element 313 - Other Earned Income……………………………………………………………… D-18
Deductions………………………………………………………………………………………………………………………… D-19
Element 321 - Earned Income Deductions……………………………………………………
D-19
Element 323 - Dependent Care Deductions…………………………………………………
D-19
Unearned Income ………………………………………………………………………………………………………………D-19
Element 331 - RSDI Benefits………………………………………………………………………………D-19
Element 332 - Veterans Benefits …………………………………………………………………
D-19
Element 333 - SSI and/or State SSI Supplement …………………………………………
D-20
Element 334 - Unemployment Compensation………………………………………………
D-20
Element 335 - Worker's Compensation…………………………………………………………
D-20
Element 336 - Other Government Benefits …………………………………………………
D-20
Element 342 - Contribution.…………………………………………………………………………
D-20
Element 343 - Deemed Income ……………………………………………………………………
D-21
Element 344 - TANF, PA, OR GA …………………………………………………………………
D-21
Element 345 - Educational Grants/ Scholarships/Loans………………………………
D-21
Element 346 - Other Unearned Income
D-21
…………………………………………………
Element 350 - Child Support Payments Received from Absent Parent
……
D-22
Other Deductions ……………………………………………………………………………………………………………… D-22
Element 361 Standard Deduction ………………………………………………………………
D-22
Element 363 - Shelter Deduction…………………………………………………………………… D-22
Element 364 - Standard Utility Allowance……………………………………………………
D-22
Element 365 - Medical Deductions ….……………………………………………………………… D-23
Element 366 - Child Support Payment Deduction………………………………………
D-23
Element 371 - Combined Gross Income…………………………………………………………
D-23
Element 372 - Combined Net Income……………………………………………………………
D-23
Other …………………………………………………………………………………………………………………………………D-23
Element 412 - Budgeting System …………………………………………………………………
D-23
Element 413 - Application
D-24
…………………………………………………………………………
Element 414 - Joint TANF/SNAP Processing and Reporting …………………………… D-24
Element 415 - Verification ……………………………………………………………………………… D-24
Element 416 - Action Type ……………………………………………………………………………… D-25
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FNS HANDBOOK 310
RESERVED
Element 511 - Other………………………………………………………………………………………
D-25
Element 520 - Arithmetic Computation ………………………………………………………
D-25
Element 530 - Transitional Benefits ………………………………………………………………
D-25
Element 540 - Notices
D-26
…………………………………………………………………………………
…………………………………………………………………………………………………………………………D-26
19. Collateral and/or Houshold Contact …………………………………………………… D-26
20. Action Initiated By ………………………………………………………………………………
D-26
OPTIONAL (FOR STATE SYSTEMS ONLY)
SECTION V
EXPLANATION OF REVIEW FINDINGS ...………………………………………….D-27
APPENDIX E
Interviewing Guide for SNAP Quality Control…
The Nature of Interviewing ……………………………………………………………………………………………… E-1
General Rules for Effective Interview ………………………………………………………………………………… E-2
Introductions ……………………………………………………………………………………………………………………… E-2
Creating Rapport …………………………………………………………………………………………………………………E-4
Encouraging Discussion ……………………………………………………………………………………………………… E-4
Take the initiative…………………………………………………………………………………………………………………. E-4
Provide support……………………………………………………………………………………………………………………….E-5
Don’t be afraid of silence……………………………………………………………………………………………………… E-5
Use neutral questions………………………………………………………………………………………………………………E-5
Repeat the question………………………………………………………………………………………………………………..E-6
Restate…………………………………………………………………………………………………………………………………...E-6
Summarize……………………………………………………………………………………………………………………………….E-6
Asking Questions
…………………………………………………………………………………………………………… E-6
Formulating the Question……………………………………………………………………………………………………… E-6
Avoiding Pitfalls……………………………………………………………………………………………………………………………..E-7
Listening…………………………………………………………………………………………………………………………………………. E-8
Non-Verbal Communication……………………………………………………………………………………………………E-8
Note-Taking……………………………………………………………………………………………………………………………E-9
Best Practice for Completing Cases ………………………………………………………………………………… E-11
Closing the Interview…………………………………………………………………………………………………………… E-11
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Chapter 1
INTRODUCTION
100
GENERAL. This Handbook provides procedures for conducting quality
110
PURPOSE. Each State agency is responsible for conducting QC reviews as
control (QC) reviews of Supplemental Nutrition Assistance Program (SNAP) cases. The
first chapter contains general provisions and definitions.
part of its Performance Reporting System. For QC reviews, a statistical sample of
households is selected from households which are participating in SNAP (active cases)
and households for which participation was denied, suspended, or terminated
(negative cases).
All users of this handbook must comply with the directives and protocols outlined in a
manner which maintains integrity of the QC system by employing activities which
constantly and consistently avoid bias.
It is imperative the verification, documentation and coding of all QC cases accurately
reflect the circumstances of the case. The data collected is used for multiple
purposes including calculating official error rates, program research, and corrective
action planning among other uses.
Reviews must be conducted on active cases to determine if households are eligible and
receiving the correct allotment amounts. Reviews of negative cases must be
conducted to determine the extent to which decisions and/or procedural processes to
deny, suspend, or terminate cases are correct.
Reviews measure the accuracy/validity of SNAP cases at a given time (the QC review
date).
The State agency must review cases against the SNAP Program standards established in
the Food and Nutrition Act of 2008 and regulations as stated in the Code of Federal
Regulations (CFR). Reviewers must take into account any waivers or state options
approved by FNS and implemented by the state to deviate from specific provisions.
States must routinely address QC procedures in certification waiver requests. If the
waiver will result in a need to deviate from the procedures in this Handbook, the State
agency must:
•
•
•
Identify the regulation citation and Handbook section,
Describe what the new QC procedure will be, and
Request approval of that procedure with a certification waiver request.
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Approval must be granted by FNS before the QC procedure can be used by the State
Agency. The reviewer must document any cases reviewed under modified procedures
with the certification waiver name or description and the period for which the
applicable waiver was in effect, as it pertains to the case under review.
120
OBJECTIVES. The objectives of QC reviews are to provide:
•
•
•
•
A systematic method of measuring the accuracy/validity of the SNAP
caseloads
A basis for determining error rates
A timely, continuous flow of information on which to base corrective action
at all levels of administration; and
A basis for establishing State agency eligibility for bonus awards or State
agency liability for excessive error rates
130 DEFINITIONS.
Active Case - A household that was certified prior to or during the sample month, and
issued a SNAP allotment for the sample month.
This includes:
•
•
Households certified in the sample month and issued an allotment in the next
month
Allotments subjected to recoupment
Issued benefits include:
•
•
An online Electronic Benefit Transfer (EBT) system - benefits have been
posted electronically to the household's account database
A Smart Card EBT system - the card has been presented for update for the
sample month. See Section 321 for details regarding participation in EBT
systems
As of the Review Date (AORD) - As of the day within the sample month, either the
first day of the fiscal or calendar month, or the day a certification action was taken
to authorize the issuance being reviewed.
Bias – The act of treating cases differently.
Budget Month - The fiscal or calendar month from which a household's income and
other circumstances are used to calculate the SNAP allotment for the corresponding
issuance month.
•
One-month retrospective budgeting system - the budget month begins a
month before the first day of the issuance month
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FNS HANDBOOK 310
•
•
Two-month retrospective budgeting system - the budget month begins two
months prior to the first day of the issuance month
Prospective budgeting system - the issuance month and budget month are
the same
Case and Procedural Error Rate (CAPER) – The measurement of negative case
reviews.
Case Records - QC works with two types of case records: The Certification Record
and the QC Case record.
Certification Record - All records establishing a household's eligibility or
ineligibility, and in active cases, authorizing the issuance of a SNAP allotment.
•
•
•
Includes records, which may refer to the case file, certification record and
issuance record
The case record is usually found electronically and may be maintained by a
data processing unit. In some instances the case record is maintained by and
located in the local certification office or other State facility
Case records may include, but are not limited to the following:
All documentation from the last application/reapplication including
all changes
All case forms including the application, reports, and screen shots
for eligibility
All information collected and created by the State to determine
eligibility, including notes, comments/narratives
Screen shots for issuance and participation; and
Imaged documents
QC Case Record - The QC Case record is created by the QC unit to review
sampled cases. This record must include all certification-related records for
each sampled case and the following:
•
•
•
•
The relevant QC form(s) and their supporting pieces of documentary
evidence
QC Field and reviewer notes, comments/narratives
When applicable, additional QC review notes (e.g. second party,
supervisor review notes, etc.), and
E-mails that include information which assisted in the final QC
determination of the sampled QC case
Categorical Eligibility (CE) – Households in which all members receive or are
authorized to receive:
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FNS HANDBOOK 310
•
•
•
•
Public assistance (PA)
Supplemental Security Income (SSI)
A State or local general assistance (GA) program, or
Benefits of a State program conferring categorical eligibility
Categorical eligibility does not apply in these situations:
•
•
The entire household is institutionalized, or
The household or a member has been disqualified from receiving SNAP
because of:
An intentional program violation
Failure to comply with a work-related requirement, or
Failure to submit a monthly report
Conviction of a drug-related felony (except for those States where the
legislatures have enacted legislation limiting this disqualification)
Eligibility factors which are deemed by categorical eligibility include:
•
•
•
•
Resource limits
Gross and net income limits
Sponsored non-citizen information, and
Residency
In addition, Social Security numbers need not be verified for PA and SSI recipients.
Social Security numbers need to be verified for GA households.
Certification Action - Action taken on a case prior to or on the review date that
authorized the sample month's issuance, including:
•
•
•
•
•
Initial certifications
Recertifications
Interim changes
Changes prior to issuance, and
Authorizations of supplemental issuances
Change - means an event that results in a difference between the household's
circumstances AORD, and its circumstances at the time of certification or
recertification. Changes include all events that either the household or the agency
becomes aware of regardless of whether the event is reported and/or properly
acted upon.
Collateral Contact - source of information which can be used to verify household
circumstances. Collateral contacts are generally individuals such as landlords,
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FNS HANDBOOK 310
employers, schools, clergy or neighbors and government offices.
A collateral contact cannot be a person who is in the SNAP household under review,
or a person who was involved in any way with the certification of the household, or
an office within the State agency administering the program for purposes of primary
or secondary evidence. A collateral serves to support or reinforce a statement or
claim by the household, or to provide information about the household’s
circumstances.
Documentation – Documentation is a written or printed statement on paper, or
recorded electronically and is used in multiple contexts, which include:
•
•
The process of the reviewer recording information and explaining case
circumstances related to each element under review as a part of the
overall QC process.
A written or printed statement on paper, or recorded electronically, that is
used as verification of an element. Note that while documentation
standards, as found in Chapter 5, require that written documents or forms
must be used if available; the documentation of a verbal statement of
verification may also be used when written or paper statements cannot be
obtained.
Elements - A point or condition of SNAP eligibility that a household must meet. This
must be verified and documented by the reviewer on the appropriate QC review
worksheet
Eligibility Worker - The State Agency’s employee who made the eligibility decisions
on the case.
Error - A determination made by the quality control reviewer in which the active
or negative action taken by the State agency differs from the findings of the QC
review. An error is found when:
•
•
It is determined that the household was either ineligible or was issued an
incorrect allotment amount, or
It is determined that the decision or process to deny, terminate, or
suspend benefits is incorrect
Error Determinant Month - is the first full month that ends more than 30 days before
the review date.
Error Review Committees - The role of an error review committee is to review cases
for the purpose of future corrective action planning. Committees operate most
effectively when they include representatives from QC, policy, and technical staff
responsible for eligibility systems. This provides a variety of perspectives on the root
causes identified through the QC process.
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FNS HANDBOOK 310
Future errors may be prevented during the eligibility and benefit determination
process when the State agency uses this information through:
•
•
•
Identifying error trends
Utilizing training
Implementing process improvements or technology to prevent future errors
from occurring based on the root causes identified through the quality control
process
Any process, discussion, and/or activity designed with the intention of fixing or
mitigating errors in cases currently under review in order to artificially adjust the
State’s error rate are not an appropriate use of the error review committee and is an
unacceptable practice:
•
•
•
•
This applies whether or not formal committees are established
QC reviews may only be discussed for future corrective action planning after
case results have been transmitted to FNS
QC reviews may not be examined in order to mitigate error findings prior to
releasing case results to FNS
Conference calls or meetings with a contractor to discuss individual sampled
cases must be documented, including any action taken by the State within
the case file
Error Threshold (tolerance level for excluding small errors) - For fiscal years 2015
and thereafter, the 2014 error threshold will be adjusted annually. The percentage of
adjustment will correspond to the amount by which the Thrifty Food Plan (TFP) for
the 48 contiguous States and the District of Columbia is adjusted. The value for the
current fiscal year and previous years can be found in Appendix A.
Initial Month - The first month for which the household was certified for
participation following any period when the household was not certified. For an
initial month, benefits are prorated from the day of application to the end of the
month.
However, for migrant and seasonal farmworker households, the initial month is the first
month following a period of more than 30 days in which the household was not certified.
Interim Change - A recalculation of SNAP benefits resulting from a change reported by
the household; or a change the State agency becomes aware of through a source other
than the household.
Exception: Does not include non-income related mass changes.
Income related mass changes include, but are not limited to:
•
Social Security Administration (SSA) and Supplemental Security Income (SSI)
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FNS HANDBOOK 310
•
Cost of Living Adjustments (COLAs), and
Across the board adjustments to Temporary Assistance to Needy Families
(TANF)
Non-income related mass changes include, but are not limited to:
•
•
Adjustments to Standard Utility Allowance (SUAs), and
Standard deductions
Issuance Month - The fiscal or calendar month for which the State agency issued a
SNAP allotment. A case's issuance month will always be the same as its QC sample
month.
Likely Conclusion - The use of information, other than standard verifications, that is
used in conjunction with verified case record information, and that supports a
reasonable judgement for a particular element or elements.
Mitigate – An attempt to lessen or decrease a QC error to reduce the impact of the
error instead of accurately reporting the error. Corrections for policy or math errors
are not considered mitigation.
Negative Allegation - Denial by a household regarding a circumstance related to their
SNAP eligibility.
Negative Case - A household whose application for SNAP benefits was denied, or
whose SNAP benefits were suspended, or terminated by an action in the sample
month.
Overissuance - the amount of SNAP benefits the household was authorized to receive
was greater than what they were eligible to receive.
Payment Error Rate (PER) - The measurement of the accuracy of the active case
review.
Positive Allegation - Acknowledgement by a household regarding a circumstance
related to their SNAP eligibility.
Processing Month - The month between the budget month and the issuance month in
a two-month retrospective budgeting system.
Prospective Budgeting - The computation of a household's SNAP benefits for an issuance
month is based on income and other circumstances reasonably anticipated for that
month.
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FNS HANDBOOK 310
Prospective Eligibility - An eligibility system in which the eligibility determination is
based on income and other household circumstances reasonably anticipated for the
issuance month.
Public Assistance (PA) - Any of the following programs authorized by the Social
Security Act of 1935, as amended:
• Old-age assistance
• TANF
• Aid to the blind
• Aid to the permanently and totally disabled, and
• Aid to aged, blind, or disabled
It does not include Supplemental Security Income.
Quality Control Review - A review of a statistical sample of active and negative cases
to determine the extent to which households are receiving the SNAP allotments to
which they are entitled, and to determine the extent to which decisions and/or
procedural processes to deny, suspend, or terminate cases are correct.
Recertification - A certification action taken to authorize benefits for an additional
period of time immediately following the expiring certification period.
Record Retention - The length of time a State agency must retain State QC files
without loss or destruction. For any given fiscal year, all QC records (including the
eligibility files relevant to those QC cases and any documentation or notes, including
all applicable electronic files, that had an impact on how a QC case was finally
determined by QC) must be retained for a minimum of three years following fiscal
closure to meet federal record retention requirements. For States in liability status,
record retention begins on the date their liabilities are resolved.
Reporting Systems - The household is required to report certain specified changes in
its circumstances within 10 days of the date the change becomes known to the
household or within FNS approved time frames and rules.
•
•
Certified Change Reporting with Status Reporting – The household is required
to report a change in wage/salary rate or a change in full-time or part-time
employment status. Household cannot be certified for more than 6 months.
Certified Change Reporting with $100 a month Earned Income – The household
is required to report a change of $100 a month in earned income from the
amount last used to calculate the household’s allotment. Household cannot
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FNS HANDBOOK 310
•
•
•
be certified for more than 6 months.
Monthly Reporting - The household is required to submit a report following
each budget month that is used to determine benefits for the corresponding
issuance month.
Quarterly Reporting - The household is required to submit a report once a
quarter following a budget month that is used to determine benefits for the
following three issuance months.
Simplified Reporting – The household is only required to report:
Changes which cause the household’s ongoing gross income to exceed
130% of the poverty income guidelines for household size, and
Able-bodied adults without dependents (ABAWD) subject to the time
limit must report any changes in work hours that bring an individual
below 20 hours per week, averaged monthly.
Retrospective Budgeting - A budgeting system in which the computation of a
household's SNAP benefits for the issuance month is based on actual income and
deductions that occurred during the previous month or the month prior to the
previous month, depending on State-selected options, with some exceptions.
There are special provisions for:
•
•
•
Annualizing self-employment income
Prorating educational monies and most contract income, and
Averaging some deductions
Retrospective Eligibility - An eligibility system in which the eligibility
determination is based on income and other circumstances, which existed in the
retrospective budget month.
Review Date Active cases - A day within the sample month, either the first day of the fiscal or
calendar month, or the day a certification action was taken to authorize the
issuance, whichever is later. Also known as “AORD” which means as of the
review date.
Negative cases – Could be the date of the agency’s decision to deny, terminate or
suspend program benefits, the date on which the decision is entered into the
computer system, or the date of the notice to the household, depending on the
characteristics of individual State Systems.
The review date is never the date the QC review is conducted.
Sample Month - The month of the sample frame from which a case is selected. For
active cases, sample month is synonymous with issuance month.
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Third Party Contractors - If a State elects to procure services of a third party
contractor to help assess quality control processes, provide policy training, or
manage any project that involves the interpretation of FNS regulations, policies, or
handbooks; the State must ensure that all activities and deliverables performed by
the third party contractor adhere to Federal regulations and policy.
•
•
Activities performed or deliverables provided by a third party contractor that
are not in accordance with Federal regulations or policies are unallowable
SNAP administrative expenses and are not eligible for Federal reimbursement
If a State intends to hire or already has in place an existing contract with a
third party contractor to train quality control reviewers regarding SNAP
regulations, policies, or handbooks to improve payment accuracy; FNS
requires the following procedures.
The State must notify FNS in writing of its intent to hire a contractor at
least 30 calendar days prior to entering into a contract.
The State must submit to FNS a copy of the contract and supporting
documentation that outlines all tasks and deliverables to be performed
by the contractor.
The State must submit to FNS a copy of all deliverables provided by the
contractor.
The State must notify FNS of any training sessions led by the contractor,
including the date, time, and location, at least 10 days in advance of the
training. FNS reserves the right to attend any training session without
prior notice.
If the State schedules conference calls or meetings with the contractor
to discuss individual sampled cases, the State must document the
discussion and any action taken by the State within the case file. FNS
reserves the right, upon request, to participate in any conference calls,
meetings, or emails between the State and the contractor where
individual sampled cases are analyzed.
Failure to adhere to FNS policies and procedures related to error review committees
or supervisory reviews introduces bias into the QC system, and is unacceptable.
Underissuance - The amount of SNAP benefits the household was authorized to
receive which was less than what they were eligible to receive.
Universe(s) - All units from which information is desired and a sampling frame can be
constructed. There are two Universes for SNAP QC:
•
•
Active Universe - consist of all households participating in the SNAP
except those listed in Sections 331 through 338 and
Negative Universe - consists of all actions to deny, terminate or suspend
benefits except those listed in Section 1332.
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Variance - The incorrect application of policy and/or a deviation between the
information used and the information that should have been used to authorize the
sample month's issuance.
Verification - Establishment of the accuracy of specific elements of eligibility and
allotment by securing documentary evidence and/or by making collateral contacts
with individuals, other than members of the household under review.
140
HANDBOOK MODIFICATION. This Handbook is designed for use by all
State agencies. It provides review procedures for various combinations of eligibility,
budgeting and reporting systems that are needed because of State differences
resulting from the selection of options. Consequently, there are sections that do not
pertain to certain States because of FNS-approved waivers and options; and there are
some sections that need to be modified to fit particular circumstances in a State.
Some certification waivers are very common.
NOTE: The reviewer must document any cases reviewed under modified procedures
with the certification waiver name or description and the period for which the
applicable waiver was in effect, as it pertains to the case under review.
150
ADMINISTRATION OF THE QC SYSTEM. Each State is responsible for
maintaining sound administration of all facets of the QC system. It is responsible for
complying with the SNAP Act and regulations, this handbook, and FNS policy
memoranda, as well as the State agency's Plan of Operation.
151
Implementation of QC Indexed Policy Memoranda. FNS QC
152
Contracted Activity. A contractual agency may be used to conduct QC
153
Staffing Standards. In accordance with SNAP regulations, the State must
154
Avoiding Bias. The QC review is to determine the accuracy of the eligibility
indexed policy memoranda must be implemented no later than the first sample
month beginning 30 days after transmittal of the memoranda to the State agency.
activities only if it is the department of the State regularly employed for this function
(e.g., a State Inspector General's Office or a State Office of Audit). For those States in
which QC is conducted by a contractual agency, the State agency must ensure that
FNS-approved policies and procedures are followed.
employ sufficient QC staff to perform all aspects of the Performance Reporting System to
ensure reviews are completed to meet reporting requirements, and to ensure the quality
of the reviews.
and allotment for the sample month. The reviewer must verify actual circumstances of
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the household in the sample month, and evaluate the accuracy of the initial
determination. Following applicable regulations and policies, the reviewer must arrive
at a case finding without consideration of its impact on the payment error rate, and
case and procedural error rate.
Accomplishing the objectives of QC depends upon the successful operation of all
facets of the QC subsystem. Specifically it depends on:
•
•
•
•
•
•
•
•
The integrity of the sample selected
The training provided to reviewers on conducting reviews
The skills with which the reviewers conduct reviews
The accuracy and detail used by the reviewer to record their findings
The completeness and accuracy of data analysis
The correct use of appropriate corrective action planning
The correct determination of liability for errors
The correct determination of high performance bonus eligibility
The QC System must eliminate bias. Otherwise, the results will not be valid and will
have little use in planning corrective actions.
Common sources of bias include:
•
•
•
•
•
•
•
•
•
Reviewing cases with the intent to mitigate or lower errors
Inadequate sampling techniques (see FNS-311, The Quality Control Sampling
Handbook)
Lack of objectivity on the part of the reviewer or State management
Inappropriate involvement by the local office
Inconsistent application of the statute, regulations, FNS policy or QC
procedures
Failure to follow the statute, regulations, FNS policy, QC policy, QC
handbooks, and QC memorandums
Non-completion of cases
Inconsistent or inappropriate use of second-party reviews, and
Inappropriate use of error review committees or any process used in the same
manner during the review process
The following actions, which are not all inclusive, are examples of activities that
produce an unacceptable bias in the QC system:
•
Prior knowledge by the reviewer of cases scheduled for review, resulting in
the agency’s intentional or unintentional treatment of these cases in a
special manner that, in turn, makes the sample results unrepresentative of
the whole caseload. A reviewer with prior knowledge is defined as
individuals who have had:
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Any participation in the decision that had been made in the case
Any discussion of the case with staff who participated in the decision; or
Any personal knowledge of, or acquaintance with, the household.
NOTE: Personal knowledge by a State staff member shall disqualify that worker
from being able to be the case reviewer but the staff member may still be a
collateral contact. Any contacts for those purposes must adhere to all rules
pertaining to information sought and shared with any other collateral contact,
as found in Section 431.
•
•
•
The State or local agency adding documentation to, removing documentation
from, and/or altering documentation from the official record of a sampled
case
Approaching the review with the intention of proving the case correct or
incorrect. The QC reviewer must pursue all evidence in the case to arrive at
the actual circumstances of the household
Failing to interview the household appropriately to determine all of the
household’s relevant circumstances such as
Failing to ask the household if there have been any changes in, for
instance, household composition, shelter, or any other elements of
eligibility
Not inquiring about household management of expenses when income
is less than expenses and all expenses are currently being met
Ignoring information from a collateral contact or household because it
presents discrepant information that would have to be resolved.
•
•
Not following all leads or questionable circumstances regardless if the
verification and documentation requirements of the HB 310 have been met
Structuring staff performance metrics to encourage under counting errors
States must take precaution to ensure performance metrics do not
introduce bias by encouraging or instructing the staff to find cases
correct or mitigate errors
States must not incentivize staff to find the eligibility worker was
correct in the initial determination
The State's error rate or number of payment error cases discovered by
QC must not be a factor in the performance rating for reviewers
Involvement of the State Agency Local Office:
The following actions involving the State agency local office, which are not all
inclusive, are examples of activities that produce an unacceptable bias in the QC
system:
•
Prior knowledge by the local agency of cases scheduled for review, resulting
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•
in the agency’s intentional or unintentional treatment of these cases in a
special manner making the sample results unrepresentative of the whole
caseload
The State or local agency adding documentation to, removing documentation
from, and/or altering documentation from the official record of a sampled
case
Exception: An exception to this rule exists when the State or local
agency adds documentation to the file that is the result of efforts by an
eligibility or certification worker to gain the cooperation of a household
after being appropriately requested by QC.
Exception: An exception to this rule also exists for normal case
management functions that will not impact the documentation
pertaining to the review and review timeframes under examination.
•
An eligibility or certification worker contacting a QC sampled household or
collateral contact:
To obtain additional information in an attempt to clarify the
household’s circumstances
Get statements to alter the findings of the QC reviewer, or
Coerce the household into saying or doing anything that might
misrepresent the household’s circumstances
•
•
•
•
The State or local agency asking or coercing a household or collateral
contact to engage in any activity (such as not participating in the QC
sample month and the two consecutive months) for the purpose of gaining
a desired case disposition or finding in a QC review
Requesting information from collateral contacts or non-household members
in such a way as to encourage the person to not cooperate or not provide
the requested information
Reducing the household’s allotment for the sample month because of an
apparent overpayment on a sampled case
Local offices should not review the cases, make the changes that would
affect the eligibility or benefits for the cases, or contact the household or a
collateral contact prior to the QC review being conducted in order to make
any changes to the case once the sample is pulled/selected
This does not apply to routine case management changes such as
filing household reports, acting on reported changes, issuing notices
of expiration, or conducting recertification interviews. Normal case
management activities should not be initiated or undertaken at an
accelerated pace in order to affect the cases under review
•
Contacting the eligibility or certification worker responsible for
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administering the case selected for QC review. This also includes contacting
any additional eligibility or certification staff who participated in the
certification action under review
Exception: This does not apply for a situation where the QC reviewer
needs assistance from a local office to locate, or gain the cooperation
of the household. In such situations, contact must be strictly limited
to locating the household or gaining its cooperation with the QC
reviewer and any documents produced or used to gain the cooperation
of the household must be included in the case file.
•
•
Contacting the eligibility or certification office responsible for administering
the case about any reports shared with QC prior to submitting completed
cases to FNS.
Reviewing cases with the intent to mitigate or lower the error of a sampled
QC case
Reviewers must apply policy in accordance with Federal Regulations, FNS policy, QC
policy, QC handbooks, and QC memorandum, options selected by the State, and
active waivers during the review of each individual case.
The same policy must be applied to all cases consistently within the State and not on
an individual basis regardless of whether or not the policy makes the case correct or
incorrect.
This ensures every household is treated equally. The reviewer must:
• Fully document their findings
• Explain the basis for their findings in each individual element
• Show all computations and results
• Attach copies of verification to support their findings for both active and
negative cases, and
• Ensure all facts are evident in the case
State QC can contact State policy staff for clarification about general SNAP policy,
however case specific information cannot be discussed, including, but not limited to,
the case number, client’s name(s), or details about variances in the case that would
allow someone to identify the household under review. The State QC reviewer may
not discuss their case findings with an eligibility worker, policy official, or a third
party in a manner that can be construed as attempting to mitigate an error case
finding. This means the communication with such persons must be limited to a
clarification of the policy involved in the case. The reviewer should not discuss how
the policy clarification can alter the findings of the case nor indicate how the policy
clarification can be used to resolve an apparent error in the case being reviewed. Any
clarification obtained for a specific case that is used to substantiate or decide the
case must be fully documented in the case file.
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The purpose of the QC System is to determine the correct eligibility and benefit level
of each case. Whether a case is correct or in error, the reviewer must establish the
facts of the household and make their determination based upon those facts. When
required verification cannot be obtained, the reviewer must explore other evidence to
arrive at a likely conclusion when possible. In the context of the overall case record,
the reviewer must review the eligibility worker’s actions and previously verified
evidence.
The State reviewer must document the steps taken and the results of the steps taken
to verify each element. The reviewer has to document how any alternate information
helps support the reviewer’s determination. The intent of Section 442.3 in the 310
Handbook “Likely Conclusion” is not to be used as a mechanism for dropping cases by
purposely introducing extraneous information that cannot be verified.
Once the QC findings are provided to the State agency, additional information
developed to contest the federal finding either through informal resolution or
arbitration must be verified in order to be considered. Unverified information must
not be considered and cannot be used to code the case either as “incomplete” or
“NSTR.”
Second-Party Reviews: If a State elects to implement second party review
procedures, the following actions, which are not all inclusive, are examples of
activities that produce an unacceptable bias in the QC system:
•
Applying second party reviews only to error cases
Subjecting only error cases to additional scrutiny introduces bias by
treating them differently from cases not found in error
•
Emphasizing the reduction of payment errors, rather than the accuracy of
the findings
Modifying reviewer findings to offset an error or hide household
circumstances from the QC case file violates program rules
•
Treating error cases differently from non-error cases
Using different processes to verify household composition, income,
deductions, or other information to offset or mitigate an error
violates program policy
Error Review Committees: The role of an error review committee is to review cases
for the purpose of future corrective action planning. Committees operate most
effectively when they include representatives from QC, policy, and technical staff
responsible for eligibility systems. This provides a variety of perspectives on the root
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causes of errors identified through the QC process.
Future errors may be prevented during the eligibility and benefit determination
process when the State agency uses this information through:
•
•
•
Identifying error trends
Utilizing training
Implementing process improvements or technology to prevent future errors
from occurring based on the root causes identified through the quality control
process
Any process, discussion, and/or activity designed with the intention of fixing or
mitigating errors in cases currently under review in order to artificially adjust the
State’s error rate are not an appropriate use of the error review committee and is an
unacceptable practice:
•
•
•
•
•
This applies to whether or not formal committees are established
QC reviews may only be discussed for future corrective action planning after
case results have been transmitted to FNS
QC reviews may not be examined in order to mitigate error findings prior to
releasing case results to FNS
Conference calls or meetings with a contractor consultant to discuss
individual sampled cases must be documented, including any action taken by
the State within the case file
FNS reserves the right, upon request, to participate in any conference calls,
meetings, and review emails between the State and any vendor in which
individual sampled cases are analyzed
Third Party Contractors: If a State elects to procure services of a third party
contractor to help assess quality control processes, provide policy training, or manage
any project that involves the interpretation of FNS regulations, policies, or
handbooks; the State must ensure that all activities and deliverables performed by
the third party contractor adhere to Federal regulations and policy.
•
•
Activities performed or deliverables provided by a third party contractor that
are not in accordance with Federal regulations or policies are unallowable
SNAP administrative expenses and are not eligible for Federal reimbursement
If a State intends to hire or already has in place an existing contract with a
third party contractor to train quality control reviewers regarding SNAP
regulations, policies, or handbooks to improve payment accuracy; FNS
requires the following procedures.
The State must notify FNS in writing of its intent to hire a contractor at
least 30 calendar days prior to entering into a contract
The State must submit to FNS a copy of the contract and supporting
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documentation that outlines all tasks and deliverables to be performed
by the contractor
The State must submit to FNS a copy of all deliverables provided by the
contractor
The State must notify FNS of any training sessions led by the contractor,
including the date, time, and location, at least 10 days in advance of the
training. FNS reserves the right to attend any training session without
prior notice
If the State schedules conference calls or meetings with the contractor
to discuss individual sampled cases, the State must document the
discussion and any action taken by the State within the case file. FNS
reserves the right, upon request, to participate in any conference calls,
meetings, or emails between the State and the contractor where
individual sampled cases are analyzed
Failure to adhere to FNS policies and procedures related to error review committees
or supervisory reviews introduces bias into the QC system, and is unacceptable.
160
QC UNIVERSE. (Refer to FNS Handbook 311.) Statistical samples of SNAP
cases are selected for QC review.
There are two universes from which the cases are selected:
• Active Case Universe, and
• Negative Case Action Universe
Unless FNS determines they may be excluded, the following must be included in the
selection and review process:
• Households correctly classified for participation under the rules of an FNSauthorized demonstration project, and
• Households participating based on SNAP applications processed by the Social
Security Administration
Note: Households may be selected more than once during the review period.
170
ERROR ANALYSIS. (Refer to Chapters 6 and 12.) Using QC review
procedures in this handbook and based on verified information, the reviewer must
determine if each completed active case was eligible and whether it received the
correct amount of benefits. A household may be over issued or under issued benefits.
Through a review of negative case actions, the reviewer must determine whether the
State agency's decision and procedures to deny, to suspend, or terminate the
household, was correct as of the review date.
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180
and D.
FORMS AND REPORTING. Refer to Chapter 12 and Appendices B, C,
181
Active Cases. For each active case, the State agency must complete Form
FNS-380, Worksheet for SNAPs Quality Control Reviews, and a Form FNS-380-1, Review
Schedule. (See Chapter 3 for cases not subject to review.)
181.1
Form FNS-380. (See Section 323 and Appendix B.) The reviewer must
use a Form FNS-380 to:
•
•
•
•
•
Record information from the case record
Plan and conduct the field investigation
Document verification of each element
Record findings, and
Document how their determination substantiates the eligibility determination
and benefit level, or results in a variance
States have the option of using the Federal form (paper or automated) or an FNS
Regional Office approved State-designed form.
Form FNS-380 consists of a face sheet, a worksheet and a computation sheet to
determine the correct benefit level.
It will be necessary to supplement Form FNS-380 with additional forms to support
documentation on the FNS-380 and verification of the review.
Examples include: State forms for appointments, interoffice communications, release
of information, etc.
181.2
Form FNS-380-1. (See Chapter 12 and Appendix C.) Information from
Form FNS-380 is used to complete Form FNS-380-1. Data from Form FNS-380-1 is
released to the SNAP Quality Control System (SNAP-QCS).
Form FNS-380-1 is completed for all active cases. Cases processed by a Social Security
Administration worker and cases that are part of an exempted demonstration project
have a separate case classification so that any errors may be excluded from the case
error rate, payment error rate and underissuance error rate.
Non-excluded variances that directly contribute to the error determination (i.e.,
ineligibility or an overissuance or underissuance) must be coded and reported in
Section 2 of Form FNS-380-1. The reviewer must list all such variances (primary first)
by element and indicate the cause of the variance. A State at its option may require
other variances to be reported in Section 7.
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Concerning the SNAP-QCS, there are six protected fields that cannot be edited after
Federal subsampling:
•
•
•
•
•
•
Item 6 - Stratum
Item 7 - Disposition
Item 8 - Findings
Item 9 – SNAP Allotment under Review
Item 10 - Error Amount
Item 11 - Case Classification
The State Agency may request that the FNS Regional office edit these fields prior to
Federal subsampling. Cases originally coded not completed or not subject to review
can be completed at any time until the end of the reporting period when a request is
made by a State through the FNS regional office. Supporting verification must be
provided to the region at the time of the request.
182
Negative Cases. (See Chapter 13 and Appendix D.) For each negative
190
DISPOSITION TIMEFRAMES. Each case selected in the samples of
case in the sample, the State agency must complete a Form FNS-245.
active and negative cases shall be accounted for by classifying it as:
•
•
•
Completed
Not Completed, or
Not Subject to Review
Within 115 days of the end of the sample month all cases (100%) selected in a sample
month must be disposed of and the findings reported to SNAP-QCS.
By 115 days after the end of the annual review period all cases, including cases
where a household refused to cooperate, must be disposed of and the findings
reported to SNAP-QCS.
A case must not be reported as "not completed" solely because the State agency was
unable to process it in accordance with these reporting requirements.
•
The State agency must submit a report to FNS that includes:
An explanation of why the case has not been disposed of
Documentation describing the progress of the review to date, and
The date by which it will be completed
•
FNS makes the determination whether the case is considered overdue based
on the report.
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Chapter 2
BASIC REVIEW PROCESS
200
GENERAL. This chapter outlines procedures for conducting reviews of
active cases. It also provides information on certification systems, household
reporting requirements and the focus of QC reviews.
210
REVIEW PROCESS. The following are general steps to be followed in the
review process for all active cases.
211
Determine the Correct Systems. (Refer to Section 220.) The
reviewer must examine State procedures and the certification record to determine for
the sample month whether the household should have been:
•
•
•
212
Subject to prospective or retrospective eligibility
Subject to prospective or retrospective budgeting
Subject to the certified change reporting with option of reporting $100 change
in earned income - or certified change reporting with option of status
reporting, monthly reporting, quarterly reporting, simplified reporting, or an
approved waiver (Refer to Section 223.)
Review the Certification Record. (Refer to Chapter 3.) The reviewer
must review the certification record to determine what action was taken on the case
by the agency.
213
Conduct a Field Review. (Refer to Chapters 4 and 5.) During the field
review, the reviewer must interview the household or, when appropriate, the
authorized representative and obtain verification from collateral contacts.
NOTE: If the Authorized Representative (AR) is acting to fulfill the requirements of
the personal interview, they would not also be able to be one of the collateral
contacts that is required to be produced during this interview. The AR would,
essentially, be acting in the capacity of the client and would therefore be an
inappropriate collateral contact.
214
Determine Which Variances to Include. (Refer to Chapters 6-11.) If
a difference exists between the information used by the agency and the verified
information obtained by the reviewer for eligibility or allotment purposes, the
reviewer must determine if the variance is included or excluded for QC purposes.
214.1
There are two applicable QC error threshold comparisons. (See Chapter 6.)
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•
•
The QC verified allotment for sample month is compared to the authorized
allotment (Comparison I)
The QC verified corrected eligibility budget (including any required
corrections) is compared to the authorized allotment (Comparison II)
If the difference is less than or equal to the QC error threshold amount;
any variance(s) must be included, but the error amounts are excluded from the
State’s official error rate determination (See Appendix A).
214.2
Variances resulting from the use of incorrect information at the time of
certification or recertification must be included. This applies to all elements. It
applies to each income source and to total income.
Some variances, due to reporting requirements or processing time considerations, are
excluded. Variances that result from a change in circumstances that should have been
effective, as of the review date (AORD), must be included. (See Chapter 7.)
215
Determine the Correct Amount of Benefits. The reviewer must
use verified information to determine if the household was eligible and to calculate
the correct benefit amount for the sample month. The reviewer also must use verified
information when determining a corrected EW budget and calculating the correct
allotment when the sample month allotment exceeds the current fiscal year (FY)
error threshold. (See Chapter 6.)
216
Determine the Cause of Errors. If the case was ineligible or received
an overissuance or underissuance of benefits, the reviewer must identify the
variance(s) that caused the error and determine if it was caused by the household or
the State agency.
217
Validation and Reporting of QC Findings. (Refer to Chapter 12 and
see Appendices B and C.) The reviewer must complete:
•
•
220
The QC worksheet (Form FNS-380) to record verification of all elements for
positive reviews, including the worksheet computation sheets, and
The review schedule (From FNS-380-1) for coding case information
CERTIFICATION AND REPORTING SYSTEMS. The reviewer must
determine which eligibility, budgeting and reporting systems should have been used
for each household based on the State agency's selection of regulatory options and
individual household circumstances.
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221
Eligibility. Each household's eligibility for participation in SNAP is based
upon its financial and certain nonfinancial circumstances for each month of
participation. There are two ways of looking at a household's circumstances:
•
•
Prospectively. Determining a household's eligibility prospectively requires
the agency to anticipate the household's circumstances for each month of
participation based, upon existing circumstances that are expected to remain
the same and changes in existing circumstances that are reasonably certain to
occur, and
Retrospectively. Determining a household's eligibility retrospectively requires
the agency to use known circumstances from a previous month. A State may
have a one-month or a two-month retrospective system
In either a prospective or a retrospective system, a household determined eligible for
participation is authorized to receive an allotment for a specific month called the
issuance month or for a series of months referred to as the certification period.
222
Budgeting. The amount of SNAP benefits a household is entitled to
receive during an issuance month may also be determined (or budgeted) prospectively
or retrospectively. This system may be the same as or different from the eligibility
system.
222.1
Prospective. Prospective budgeting requires the agency to anticipate
what a household's circumstances will be during the issuance month based upon
existing circumstances and expected changes. As illustrated below, the budget month
is the issuance month.
Prospective System
June
Issuance Month and
Budget Month
222.2
Retrospective. Retrospective budgeting requires the agency to use
circumstances from a prior month to determine the benefits a household should
receive for the issuance month. As illustrated below, the budget month may be the
month two months prior to the issuance month or the month preceding the issuance
month.
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Two-Month Retrospective System
April
May
June
Budget
Month
Processing
Month
Issuance
Month
One-Month Retrospective System
223
May
June
Budget
Month
Issuance
Month
Change Reporting. Households are required to report changes to the
State agency after the certification action to ensure eligibility and allotment levels
remain accurate. A household may be subject to:
•
•
•
•
•
•
Certified change reporting with the $100 change in earned income reporting
option
Certified change reporting with the status reporting option
Monthly reporting
Quarterly reporting
Simplified reporting or
Reporting in accordance with an approved waiver with the option chosen by
the State agency for reporting income
If the State agency receives unclear information about household circumstances
during the certification period, it must evaluate and act on it, as appropriate, per
certification policy requirements. Unclear information is information about household
circumstances that the State agency cannot readily determine the effect on the
household’s continued SNAP eligibility or benefit amount. This includes information
that is verified, unverified, from the household, or from a third party data match. If
the State receives information that is verified and the effect on the household can be
readily determined, then it is not considered unclear information and the State must
act on it.
For all households, regardless of the reporting system to which the household is
assigned, the State must act to follow up on unclear information by sending an
Request for Contact or Notice of Match Results if the information: 1) significantly
conflicts with the information used to certify the household (meaning the information
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used to certify was incorrect); or 2) is something the household was required to
report based on its assigned reporting system and less than 60 days old based on the
current month of participation; or 3) if the information is from a deceased or prisoner
matching system (described by certification policy rules). If the information does not
meet this criteria it should be held until the next scheduled contact. Information in
which the State agency did not act upon that was allowed to be held until the next
required household contact (periodic report or recertification, whichever came first)
cannot result in an included variance in the QC error determination (See Chapter 7.)
223.1 Change Reporting/Prospectively Budgeted (Certified Change
Reporting with the $100 Change in Earned Income Reporting Option).
Households subject to change reporting requirements are required to report changes
in circumstances, within 10 days of the date the change becomes known to the
household. However, State agencies may opt to require households to report changes
as early as within 10 days of the date the household becomes aware of the new
employment, within 10 days of the date the employment begins/stops or within 10
days of the date the household receives the first paycheck attributable to the change,
or by the 10th of the month following if the State has an approved waiver. Reportable
changes include the following:
•
•
•
•
Change in the sources of income, if the change in employment is
accompanied by a change in the amount of income
Change of more than $100 in unearned income, except a change in a public
assistance grant (or general assistance grant if the grant and SNAP allotment
were jointly processed)
Change in the amount of earned income of more than $100 a month from the
amount last used to calculate the household’s allotment
All changes in household composition including:
Changes in residence and the resulting change in shelter costs
The acquisition of a licensed vehicle, the value of which is not fully
excludable according to certification policy, or
When liquid resources reach or exceed the resource limit
•
Changes in the legal obligation to pay child support. However, the State
Agency may remove this requirement if it has chosen to use information
provided by the State’s Child Support Enforcement (CSE) agency in
determining:
A household’s legal obligation to pay child support
The amount of its obligation
Amounts actually paid
For able-bodied adults subject to time limit, any changes in work hours
that bring an individual below 20 hours per week, averaged monthly
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The QC reviewer must consider a change reported when it is reported to either SNAP
or Temporary Assistance for Needy Families (TANF) unit. (See Section 740 for mass
changes.)
223.2
Change Reporting/Prospectively Budgeted (Certified Change
Reporting with the Status Reporting Option). Households subject to status
reporting requirements are required to report changes in circumstances within 10
days of the date the change becomes known to the household. However, State
agencies may opt to require households to report changes as early as within 10 days of
the date the household becomes aware of the new employment, within 10 days of the
date the employment begins/stops or within 10 days of the date the household
receives the first paycheck attributable to the change, or by the 10th of the month
following if the State has an approved waiver. Reportable changes include the
following:
•
•
•
•
•
•
•
•
Change in the source of income if the change is accompanied by a change in
income
Changes in wage rate or salary or employment status (part-time to full-time
or full-time to part-time)
Change of more than $100 in unearned income, except a change in a public
assistance grant (or general assistance grant if the grant and SNAP allotment
were jointly processed)
All changes in household composition
Changes in residence and the resulting change in shelter costs
The acquisition of a licensed vehicle, the value of which is not fully
excludable according to certification policy
When liquid resources reach or exceed the resource limit
Changes in the legal obligation to pay child support. However, the State
agency may remove this requirement if it has chosen to use information
provided by the State’s CSE agency in determining:
A household’s legal obligation to pay child support
The amount of its obligation, and
Amounts actually paid
•
223.3
For able-bodied adults subject to time limit, any changes in work hours that
bring an individual below 20 hours per week, averaged monthly
Monthly Reporting. Households subject to the monthly reporting
requirements must submit complete reports on a monthly basis. These households
may, but are not required to, submit changes outside the monthly report.
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223.4
Quarterly Reporting. Households subject to quarterly reporting are
required to file a complete quarterly report by the filing date specified on the report.
At the State agency’s option, households may be required to report:
•
•
•
All of the eligibility factors on the quarterly report form, or
Some of the eligibility factors on the quarterly report form (other changes are
reported using a change report form)
However, all households subject to time limits for able-bodied adults must
report whenever their work hours fall below 20 hours per week averaged
monthly
Options may vary from state to state. The QC reviewer must review in accordance
with the option chosen by the State agency.
223.5
Simplified Reporting. Households subject to simplified reporting are
only required to report changes that cause the household’s gross monthly income to
exceed 130% of the poverty income guideline for the household size. However,
households subject to time limits for able-bodied adults must report whenever their
work hours fall below 20 hours per week averaged monthly. State agencies have the
option to allow households to either report changes within 10 days of the date the
change became known to the household or 10 days of the end of the month in which
the change occurred. In other words, States can choose for households to report
either 10 days before the end of the month or 10 days after the end of the month.
Whichever option the State chose, it must have been applied consistently for all
cases.
The QC reviewer must consider a change reported when it is reported to either SNAP
or TANF unit. (See Section 740 for mass changes).
223. 6
Transitional Benefits. Households certified for transitional benefits are
not subject to reporting requirements during the transitional months. The State
agency may adjust transitional benefits in the following circumstances:
•
•
•
230
Information is reported from another State or Federal means-tested program
in which the household participates
Automatic annual changes in SNAP benefits rules, such as annual cost of living
adjustments, and
The State agency has opted to act on these changes
QC REVIEW FOCUS. Certification actions and the authorized allotment
are reviewed at a specific point in time. In QC, this is generally called “as of review
date” (AORD).
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231
Certification Errors. The QC review of any active case is based upon an
examination of the benefits authorized for the household for the sample month.
The QC system disregards errors made during the issuance process. States have direct
liability for issuance errors. Therefore, it is not the benefit amount that is actually
issued which is subject to QC review, but rather the benefit amount authorized
through the certification process.
Determining eligibility and calculating the benefit amount are certification functions.
•
•
In States where these functions have not been computerized, the benefits
authorized on the worksheet shall normally be reviewed by the QC reviewer
In States where an automated computer system determines a household's
eligibility and benefits, the QC reviewer shall review the case based upon the
information stored in the computer
In reviewing the authorized allotment, the reviewer must examine the actions of the
EW, including any documentation supporting the amount of benefits authorized.
232
Allotment Amount. The full amount of the issuance month's benefits
232.1
Causes for Amount Authorized and Issuance Amount to Differ.
including those supplements for the sample month (See Section 233) must be
reviewed and reported as the allotment in Section D of the face sheet on
Form FNS-380 (See Appendix B).
The following are examples of instances when the amount authorized will differ from
the amount issued, and how QC reviews each scenario. The reviewer must always
document these situations and explain the reason for their determination of the
amount under QC review.
•
Recoupments to recover
prior SNAP overpayments
Example of a recoupment: If $10 was
recouped from a $100 authorized allotment
and a $90 allotment was issued, review the
$100 amount.
•
Benefits voluntarily
returned by the household
when there was no claim
Example of voluntarily returned benefits:
If a household was authorized a $100
allotment and it returned $50 in benefits,
review the $100 amount.
•
Claim collections for prior
months or the issuance
month
Example of a collection of a prior claim: If
a household was authorized a $100
allotment and it repaid $25 on a claim,
review the $100 amount.
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FNS HANDBOOK 310
•
Restored benefits
Example of a restored benefit: If an
allotment was authorized for $150 which
included a $100 allotment for the sample
month plus $50 to correct an error four
months ago, review the $100 amount.
•
Retroactive benefits for
prior months
Example of a retroactive benefit: If an
allotment was authorized for $150 which
included a $100 allotment for the sample
month and a $50 allotment for the month of
application, review the $100 amount.
•
Actions taken subsequent to
the sample month
Example of a subsequent action: If a $100
allotment was authorized in the sample
month and $20 in restored benefits were
authorized in the following month, review
the $100 allotment.
•
Supplement issued after QC
sampling
Example of a supplement not included: If
a $100 allotment was authorized for the
sample month and a $20 supplement was
subsequently authorized within the sample
month but after the case was selected for
QC review, review the $100 allotment.
232.2
Non-Compliance with Other Means-Tested Programs. The QC
reviewer must review the full amount of the benefits authorized for the sample
month making any necessary adjustments based on instructions in Section 232.1.
The benefits of a household receiving public assistance may be reduced under a
means-tested public assistance program for failure to perform a required action or for
fraud. The State agency must not increase the household's SNAP allotment as the
result of the decrease in income.
In addition to prohibiting an increase in SNAP benefits, the State agency has the
option to impose a penalty on the household’s SNAP allotment. The reduction must
represent a percentage of the SNAP allotment that does not exceed 25 percent.
•
•
If the State applied an optional percentage reduction, the allotment would
have the percentage reduction already deducted
If no penalty was applied, the allotment would not have penalty deducted.
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The following examples are the three possible situations that can occur for State
agencies that have chosen to apply a reduced SNAP allotment penalty when an
individual has failed to take a required action in another means-tested public
assistance program.
Example of an applied
• The State agency applied the
penalty: The household was
penalty. Review the allotment
originally eligible to receive
authorized, in which the penalty has
$120 but was authorized $100
been applied
after the penalty was
deducted. It is the $100
allotment that is subject to QC
review.
Example of a penalty that should have been
applied, but was not: The household was
authorized $120. A $20 penalty should have
been applied. The allotment subject to review
is $120. In the process of determining the
error amount, deduct the $20 penalty as the
last step in column 2 of the computation
sheet. This will result in a variance including
the penalty amount that should have been
used by the EW. Compare the $100 in column 2
to the $120 in column 1. The result is a $20
overissuance. If QC is required to proceed
beyond Comp I, the $20 penalty must be
deducted in the final error determination as
well.
•
The State agency knew of the
household’s failure to take a
required action in the other
means-tested program and
did not apply the penalty but
should have applied the
penalty. Review the
allotment authorized. In
determining the error amount
in this case, apply the penalty
that the EW should have
deducted
•
The State agency did not
know of the household’s
failure to take a required action in another means-tested program so the
State agency did not apply a
Example of a penalty that was not applied
penalty. Review the
and did not have to be: The household was
allotment authorized. Since
authorized $120. Use the $120 as the
the agency was not aware of
the failure to take a required allotment under review. Do not apply the
penalty in establishing the error amount for
action in the other program
this case.
there was no way to apply
the penalty. For this
situation, do not apply the penalty in the error determination process. Do not
deduct the penalty as the last step in column 2, or in the final error
determination
233
Review Date. In no case is the review date the day the QC review is
conducted. The allotment authorized as of the review date (AORD) shall be the
benefits subject to review.
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The review date for active cases means a day within the sample month, either the
first day of the sample month or the day a certification action was taken to authorize
the sample month's allotment, whichever is later.
Certification actions include:
•
Initial certifications or recertification’s completed during the sample month
•
Changes in the allotment
that the State agency
authorized before the day on
which the case was sampled
•
Changes in the allotment
that the State agency
authorized on or after the
day on which the case was
sampled, providing the State
agency processed the
change(s) in a timely
manner, in accordance with
certification requirements,
and the change(s) were
reported by the household
before the day on which the
case was sampled
Example of a change in the allotment
before sampling: On September 30, the
State agency changed the household's
October allotment, from $105 to $138.
Quality control sampled the household on
October 1 for the October sample month.
Quality control will review the $138
allotment, because the State agency changed
the allotment before the day of sampling.
Example of a change after sampling, but
processed timely: A monthly reporting
household had a baby born on September 22.
The household reported the birth on
September 25. On September 28, quality
control sampled the household for October.
On September 29, the State agency changed
the household's October allotment, from $199
to $269. Quality control will review the $269
allotment because the State agency
processed the change in a timely manner as
mandated by certification requirements.
Another example of a change after sampling, but processed untimely:
On March 3, a household member left a change reporting household. On March 20
the household reported the member's departure. The State agency did nothing.
On August 3 quality control sampled the household for August. On August 5 the
State agency changed the household's August allotment, reducing it from $470 to
$414. Quality control will review the $470 allotment, because the State agency
changed the allotment after the sampling date and did not process the change in
a timely manner in accordance with certification requirements.
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FNS HANDBOOK 310
•
Supplements that the State
agency authorized before the
day on which the case was
sampled. Such a supplement
is part of the allotment that
is subject to review
•
10-18-18 (Change 2)
Example of a supplement authorized
before sampling: A household applied in
January and reported semi-monthly income
of $350 ($700 monthly). The State agency
certified the household but treated the
income as biweekly ($752.50 monthly). On
April 20, the State agency discovered its
mistake at a recertification interview, and
on the same day authorized restored benefits
for the previous months and a $15
supplement for April. Quality control
sampled the household on May 2 for April.
Quality control will include the $15
supplement because the State agency
authorized it before sampling.
Another example of a supplement
authorized before sampling: A household
was subject to change reporting and
prospective budgeting. The sample month
was August, and the household received its
regular allotment on August 2. On August 3,
the State agency discovered that they had
failed to give the household an earned
income deduction, so they authorized a $28
supplement. On August 6, quality control
sampled the household. The reviewer will
include the $28 supplement because the
State agency had authorized the supplement
before the sampling date.
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FNS HANDBOOK 310
•
Supplements the State agency authorized on or after the day on which the
case was sampled if the State agency processed a change in a timely manner,
in accordance with certification requirements, that was reported by the
household before the day on which the case was sampled
•
If a State agency
authorized a supplement
on or after the day on
which the case was
sampled and did not
process a reported change
in a timely manner as
dictated by certification
requirements, the
supplement is not part of
the allotment that is
subject to review
•
If a State agency pulls its
QC sample prior to the
sample month, and a
household reports a new
member on or after the
sampling date, but prior
to the first day of the
sample month, QC must:
Example of a reported new member of the
household: A household was subject to
change reporting and prospective budgeting.
The sample month was April. On February 25,
the household reported the birth of a child.
The State agency took no action on the
reported change. The household received its
April allotment on April 1. Quality control
sampled the household on April 4. On April 7,
the State agency discovered its mistake and
authorized a $78 supplement to compensate
for the improperly treated household member.
The reviewer will not include the $78
supplement, but will include the new member
because the local office did not process the
reported change in a timely manner as
mandated by certification requirements.
Example of a reported new member of the
household: A household was subject to monthly
reporting and retrospective budgeting in a twomonth system. The sample month was June. On
May 30, quality control selected the June
sample. On May 31, the household reported the
birth of a baby, so on June 10 the State agency
authorized a supplement of $89. The $89
supplement would not be reviewed and the new
member would not be included in the error
determination process because the household
reported the change after the date the case
was sampled.
Examine the addition
of the new household
member to determine
if it was properly
handled
Not include the
supplemental allotment (or change in regular allotment) itself in the
allotment subject to review
If verification was provided prior to the end of the issuance month, a supplement
should have been authorized in the issuance month. (See Section 722.4 for direction
on determining variances relative to adding new members.)
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FNS HANDBOOK 310
Chapter 3
CASE RECORD REVIEW
300
GENERAL. This chapter provides guidance on conducting a review of the
household's case record, including documentation of verification contained in the case
record. It also identifies cases that are not subject to review.
310
PURPOSE OF CASE RECORD REVIEWS. The purpose of active case
•
•
Identify the status of each element of eligibility and benefit calculation as
documented by the agency
Determine the amount of the allotment authorized for the sample month's
issuance, and
Identify any variances resulting from misapplication of policy by the agency
320
PROCEDURES FOR CASE RECORD REVIEWS. Case record reviews
reviews is to:
•
consist of:
•
•
•
Reviewing and analyzing the household's certification record
Reviewing verification and documentation, and
Recording the findings on Form FNS-380
QC must include all case record documents that impact the sample month benefits in
the QC case record. This includes, but is not limited to:
•
•
•
•
•
•
•
•
321
The application for certification or recertification
Documentation from the last application/reapplication and any interim changes
All case forms, and household notices
All verification documents obtained from the client and all collaterals
Comments/narratives
Reports
Screen shots for eligibility, issuance and participation, and
Imaged documents
Household Issuance Record. The reviewer must review the
household's issuance record(s) and determine if the household participated in the
sample month. This is performed to determine if the household is participating in
order to rule out cases that are not subject to review.
The reviewer must compare information on household size, the certification period
and the allotment contained in the issuance records to that in the certification file
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FNS HANDBOOK 310
and must report any differences to the agency for corrective action on an individual
basis.
321.1
Online EBT. For “online” EBT systems where the account memory is held
in a central computer system, participation has occurred when the sample month
benefits are posted to the account.
Exception: The household is not considered to have participated in the sample month
if the household has not accessed the account to withdraw/purchase food at any time
in the three-month period which includes the sample month and the two consecutive
months immediately after the sample month. This means the account was dormant.
Under these conditions, the review process stops because the case is not subject to
review (NSTR). This must be documented in the QC review narrative summary.
321.2
Smart-Card EBT. For "Smart Card" EBT systems, the card’s memory
chip contains the benefit information and must be updated each month. Participation
has occurred when the card is presented for update for the sample month.
Exception: The household is not considered to have participated in the sample month
if the household has not presented the card for updating and has not accessed the
account to purchase food at any time in the three-month period, which includes the
sample month and the two consecutive months immediately after the sample month.
Under these conditions, the review process stops because the case is not subject to
review (NSTR). This must be documented in the QC review narrative summary.
322
Certification Case Record(s). The reviewer must review the SNAP
certification case record(s) and, as applicable, the Public Assistance (PA) case
record(s). This includes, but is not limited to analyzing:
•
•
•
•
•
Household circumstances
Reported changes
Certification actions
Case notes/narratives, and
Verification and documentation
QC may also review general assistance, Medicaid and other available records if
applicable.
If the reviewer is unable to locate any pertinent records, the reviewer must attempt
to extrapolate the needed information from the certification record and record the
findings accordingly on Form FNS-380. The FNS-Form 380 must be documented in
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FNS HANDBOOK 310
sufficient detail and must provide enough information so as to clearly establish the
information and how the information was determined.
322.1
Household Circumstances and Certification Actions. The
reviewer must review all information applicable to the case as of the review date
(AORD), including, but not limited to:
•
•
•
•
•
•
•
•
The most recent application
The most recent recertification application
The most recent periodic report
Interim changes in effect AORD
Case notes/narratives
Case documents and verifications
The eligibility worksheet, and
Any documented changes in effect AORD
The reviewer must become familiar with the household's situation, identify the
specific facts related to eligibility and the benefit amount, and document any
deficiencies and misapplication of policy.
322.2
Documented Verification. The case record may contain documents or
statements acceptable as verification for the review. In order for the reviewer to use
the verifications in the case record, the verifications and documentation of
verifications used by the eligibility worker must be:
•
•
•
•
Accurate
Not subject to changes
Cover the appropriate time period, and
Not questionable
Example: The eligibility case record contains a birth certificate (BC) of a 20-year-old
daughter living in the household. The BC is considered accurate verification as an
official public record, is not subject to change, and establishes facts that may be used
for any time period. The BC can be used by the Quality Control Reviewer (QCR) to
establish the daughter must be included in the SNAP household as she is under age 22.
Verification standards are outlined in Chapter 5 of this handbook. Case record
verifications meeting those standards may be used in the applicable elements of the
QC review. The QCR must fully document any verifications used in the appropriate
element(s) of the FNS-380, meeting the requirements of Chapter 5 of this handbook
for documentation. The QCR is not required to reverify this information during the
field review but, again, must document the verifications used and relevant
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FNS HANDBOOK 310
information needed as it applies to the case and applicable elements on Form FNS380.
323
Completion of Form FNS-380. (See Appendix B.) During the case
record review, the reviewer must complete Form FNS-380 Column 2, Case Record
Analysis. The information must be recorded in sufficient detail to enable another
person to determine the facts of the case by reviewing Form FNS-380.
Documentation of Form FNS-380 must include all information that is utilized in the
determination of the QC review. This may require documenting variances that will
later be excluded due to, for instance, reporting requirements or State options and
documenting verifications that will be used for the review.
323.1
Face Sheet. This is page one of the Worksheet for SNAP’s Quality Control
reviews. There are four sections:
•
•
•
•
Section A - Provide identifying information in items 1 through 14 from
information in the case record
Section B - List persons living in the home identified in the case record
Section C - List significant persons not living in the home associated with the
household and identified during the certification of the household
Section D - Complete review findings at the conclusion of the review
Note: Additional information may be added during the course of the review in
Sections A through C before completing Section D.
323.2 Column 1 of the Worksheet - Elements of Eligibility and Basis
of Issuance. A 3-digit code is used to identify each element. For reporting
purposes, elements are listed in Column 1 of Form FNS-380. Elements on the
worksheet are grouped together under four main groupings called program areas.
323.3
Program Area
Codes
Basic Program Requirements
Resources
Income
Other
100s
200s
300s
500s and above
Column 2 - Analysis of Case Record Information. The purpose of
column 2, Case Record Information, of Form FNS-380 is for:
•
•
The reviewer to record information contained in the case record, and
To assist the reviewer in planning the field review
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FNS HANDBOOK 310
The reviewer must record case information relevant to the most recent certification
action and changes acted on as of review date and must use all information applicable
to the case AORD, including the application and eligibility worksheet in effect AORD.
It is important for the reviewer to:
•
•
•
•
Note any pertinent items or questions as well as any discrepant information
Be aware of recorded factors which are subject to change
Note the reliability of sources used
Note any missing information
Reviewers will also use Column 2, Case Record information, in their field investigation
to plan the field review, including to:
•
•
Gain an understanding of the household situation, and
Selectively highlight points to be considered and addressed in the field review
The information recorded in Column 2 must include the following:
•
Application Information. The
Examples of recording information
reviewer must record
from the application:
information provided by the
Element 150 Household Composition:
household on the application by Application lists three - Jean Jones and
element. For elements that
her two children (Cheryl and Tom).
were left blank on the
application but were required
Element 221 Real Property: Application
for an eligibility or allotment
shows none.
amount determination, the
reviewer must document how
the element was determined or, alternatively, that it could not be established
how the eligibility worker (EW) arrived at the original determination.
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FNS HANDBOOK 310
•
Worksheet Information. The
reviewer must record the
information contained on the
certification worksheet/case notes
and any worksheet information
regarding incomplete actions for
changes prepared by the EW. This
would include documenting
information that is incorrect or
incomplete if that information was
used, or appears to have been
used, in the eligibility or benefit
determination. This includes
documenting any missing
information as well or
documenting if the reviewer could
not determine how information
was established by the EW.
Examples of recording information from the
worksheet:
Element 344 PA: Application shows no PA.
Worksheet shows PA payments of $400 a
month.
Element 363 Shelter: Application and
worksheet show monthly mortgage payments
of $400.
Element 364 Standard Utility Allowance:
Application shows monthly expenses of $10.50
electric, $25 gas and $12 phone. Worksheet
shows household was entitled to $150 SUA.
•
Verification. The reviewer must record verification documented in the case
file and attach copies of documentary evidence. If there is missing verification
from the certification record it must be documented accordingly on Form FNS380.
•
Other Information. The reviewer must record all other information from the
case record relevant to the case AORD. This includes case history information
that impacts the household's circumstances and changes that were reported or
otherwise became known to the State agency.
•
Misapplication of Policy. The reviewer must record any misapplications of
policy such as:
Failure to use the correct income
Incorrect conversion factor
Allowing an earned income deduction for unearned income, or
Allowing a medical deduction for members who are not elderly or disabled
Mathematical and transposition mistakes
323.4
Computation Sheet. Complete Column 1, Eligibility Worker
324
Ineligible Households. During the case review, the reviewer may
Information, by recording the income and deduction figures the EW used to compute
the allotment for the sample month.
determine and verify that the household was ineligible. The reviewer can stop the
review at that point if the determination is based on information obtained from the
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FNS HANDBOOK 310
household. This provision does not apply for households eligible for the minimum or
zero dollar allotment. If the information was not obtained from the household, the
reviewer must:
•
•
Resolve the difference to determine which information is correct
Re-contact the household and discuss the difference, unless the household
cannot be reached or refuses to cooperate
When resolving conflicting information, the reviewer must use his/her best judgment
based on the most reliable data available and must document how the differences
were resolved. Likely conclusion cannot be used to resolve conflicting information.
330
CASES NOT SUBJECT TO REVIEW. Certain types of cases should not
be included in the QC sample. These cases are normally eliminated in the sampling
process. However, if a reviewer receives a case that should not have been sampled,
the following procedures must be used:
•
•
•
Terminate the review at the point when a determination is made that the case
is not subject to review
Complete items 1 through 7 and items 68-70 of Form FNS-380-1
A FNS-380 must be partially completed, including:
Identifying information and
Adequate documentation that the case meets the criteria as “not subject to
review” (NSTR)
If these steps are not followed, the case will be considered an incomplete case.
Note: All cases meeting the criteria in Sections 331 through 338 must be coded as not
subject to review.
331
Oversampling. Cases dropped as a result of oversampling are not subject
to review.
332
Cases Listed in Error. Households listed in error as active cases are not
subject to review. They include but are not limited to:
•
•
Negative cases appearing in the active sample
Households that did not participate in SNAP for the sample month, including
suspended cases and those that were eligible for zero benefits before any
recoupments were made. Households are considered to have participated if
they meet the active case definition in Section 130. (See Section 321 for
details regarding participation in Electronic Benefit Transfer type systems)
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•
•
333
Households that received restored benefits but were otherwise not
participating based upon an approved application, and
Households that received retroactive benefits for the sample month. This
includes households that applied for participation in the sample month, but
were not certified until the following month
Disaster Cases. Households certified under disaster procedures
authorized by FNS because of a natural disaster are not subject to review.
334
Cases Pending a Hearing. Households appealing an adverse action are
not subject to review when the review date falls within the time period covered by
continued participation pending the hearing. This includes:
•
•
PA cases certified under joint processing that are under appeal
Jointly processed cases even if only the PA grant is under appeal, if SNAP
benefits are frozen pending the decision on the PA appeal
Note: Even if the hearing decision has been rendered by the time of the review; a
case remains not subject to review, if the hearing decision was pending as of the
review date.
335
Intentional Program Violation (IPV) Cases. Cases are not subject to
review if as of the date the case is selected for QC sampling:
•
•
•
The case has been referred for investigation to the state's fraud investigation
unit, and the investigation is scheduled to begin within 5 months of sampling
The case is under active fraud investigation, or
The case has a pending administrative or judicial IPV hearing
Scheduled - means that an actual date for the investigation to begin has been
assigned.
Under active investigation - means that the fraud investigator has begun to actually
explore the details of an apparent client caused overissuance. To be considered
"active" the investigation must be in progress. It does not mean that the case has only
been referred for investigation and accepted by the fraud investigation unit.
336
All Household Members Have Died. The case is not subject to review
if all the household members who could be interviewed died before the review could
be undertaken or completed. The availability of an authorized representative for
interview does not make this case subject to review. Cases should be dropped as not
subject to review if this situation applies. The reviewer must document dates of
death and how death was verified in order to justify and verify dropping the review.
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337
Household Moved Out of State. The case is not subject to review if
338
Unable to Interview. Cases are not subject to review if the interview
all the household members who could be interviewed moved out of State and have
not returned by the time the reviewer attempts to contact the household. The
availability of an authorized representative for interview does not make this case
subject to review. The reviewer must verify the facts of the move out of State and
document when the client moved, where they moved, and the collateral source used
to gather this information. If the information is not available, the reviewer must
document how it was determined that the household moved out of State. Documented
information is required in order to validate dropping the review as moved out of
State.
cannot be completed because all individuals who could be interviewed:
•
•
Have been hospitalized, incarcerated or placed in an institution and are
expected to remain there for 115 days after the end of the sample month, or
Cannot be located after all reasonable efforts to do so have been made and
documented as provided in Section 442.1
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Chapter 4
FIELD REVIEWS
400
GENERAL. This chapter provides guidance on conducting field reviews in
active cases. The two basic activities involved in a full field review are (1)
interviewing the household and (2) making collateral contacts.
410
PURPOSE. The purpose of a field review is to obtain, verify and document
all relevant information about the household's actual circumstances which relate to
the household’s eligibility and benefit level for the sample month’s issuance. A full
field review must be conducted for all active cases that are subject to review except
as otherwise provided in this chapter or ineligible cases as provided in Section 324.
411
Alaska Cases. A full field investigation is not required for cases sampled
in isolated areas of Alaska which are not reasonably accessible considering regularly
scheduled commercial air service, available lodging and automobile or public
transportation.
Examples:
•
•
•
The area could be considered not reasonably accessible if the reviewer has to
stay overnight because of airline schedules, and there is no suitable lodging
The area could also be considered not reasonably accessible if the reviewer
could not leave an area within a reasonable period of time after conducting
the review. For example, the review(s) may take several hours but the
reviewer would not be able to fly out for several days
An area could also be considered not reasonably accessible if there is no
available ground transportation such as rental cars or public transportation
that would be needed to conduct a face-to-face interview
In such cases, at least one attempt to contact the household, by telephone for
example, must be made and documented. Documentation of the phone number
called, date and time called and person the reviewer spoke to must be included on
the 380, Column 3 Review Findings.
The reviewer must document the outcome of the call. Examples of possible outcomes and
what to document include, but are not limited to, the following:
•
•
•
•
No answer to call
Left a message
Spoke to client and confirmed the household will keep the appointment or
Spoke to client and household request rescheduling the appointment
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•
New date, time and place of interview when required to reschedule at
client’s request or due to a missed appointment
The review of such cases can then be completed by means of a review of the case
record and by collateral contacts.
412
Information Sought. The reviewer must examine only those
circumstances related to the household's eligibility and benefit level for the sample
month's issuance. For example, the reviewer may not require that he/she be given
access to a safe deposit box.
The time periods for which information must be sought and verified will vary
depending on the household's eligibility, budgeting and reporting systems and whether
income and expenses have been averaged or prorated.
Under no circumstances shall the reviewer question the household regarding the
possibility of ineligibility due to an illegal drug conviction or possible status as a
fleeing felon. This is to ensure safety for the reviewer and ensure quality control
does not interfere with any ongoing law enforcement activities. (For details on this
limitation of information sought, see the specific review procedures for disqualified
household members in Section 848.)
413
Completion of Form FNS-380, Column 3 Review Findings of the
QC Worksheet. During the field investigation, the reviewer must complete Column
3, Field Findings of Form FNS-380. The reviewer must document an analysis of each
element. This includes documenting confirmation of information in Column 2, Case
Record Analysis, which comes from the eligibility worker’s budget. Reviewers are
responsible for resolving inconsistencies of information discovered during the review
and documenting the results in Column 3, Field Findings.
All mathematical calculations must be shown in detail in Column 3, Field Findings, for
all elements that require a mathematical calculation, such as child care, medical,
earnings and shelter costs, such as taxes and insurance paid other than monthly, etc.
414
Planning the Field Review. Prior to conducting the interview, the
reviewer must review the case record to identify areas where particular attention is
warranted, e.g., conflicts in information or gaps in information. To facilitate the field
review, the reviewer must also identify elements which were accurately verified and
documented in the case record; such as birth certificates, marriage license, and social
security cards, and document them in Column 3 of Form FNS-380.
The reviewer must schedule and conduct a personal interview with the household or
their authorized representative and obtain required verification from both client and
collateral contacts. In no situation shall this be a local agency eligibility worker or
other State employee.
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FNS encourages the reviewer to send a certified return receipt letter to gain the
household’s cooperation and a copy of all appointment letters must be included in the
review information transmitted to FNS.
415
Obtaining Verification. When adequate documentation of verification is
not contained in the certification record (electronic file or hard copy in the case
folder), the reviewer must obtain verification from collateral contacts. A collateral
contact is a non-household member who can verify the actual circumstances for the
element under review.
A collateral contact should not be a relative unless that relative is the source of the
information and/or no other verification is available. The reviewer must document
why no other collateral contact was available for the elements being verified by the
relative.
•
•
•
Example: The household resides in a home owned by the client’s
grandmother, and the client states they are not billed for rent. The client’s
grandmother is the only person with direct knowledge that she does not bill
the client for rent; therefore, it is appropriate to use the grandmother as the
verification source.
Example: Bob applied for SNAP. He is employed by his father (a nonhousehold member) and is paid in cash. No pay stubs are available. In this
instance the father would be the best source of verification.
Example: Bob’s sister (a non-household member) provides child care while
the household member works. The sister is the only source of verification
available for the child care deduction.
For QC purposes, a collateral contact is a source of information that can be used to
verify household circumstances. The reviewer should note those elements that
require additional verification; and obtain and document the name, address, and
telephone numbers of those sources from the household during the interview.
The reviewer must also obtain a signed release, if required by State privacy laws,
from the household to access information. The dates of all contacts with clients or
collaterals must be included in the documentation in Column 3, Field Findings. All
documentation must be completed in the appropriate element to which it applies.
420
HOUSEHOLD INTERVIEW. The QC reviewer must conduct a personal
interview for active cases subject to review to determine the identity of the applicant
and whether the household did exist, and to explore household circumstances
affecting the sample month's eligibility and allotment. The personal interview,
depending on the circumstances of the case, may be a face-to-face interview, a
telephone interview, or a video conferencing interview. The household interview
method must be accurately documented on Form FNS-380-1, Item #69- QC Interview
and all interview notes must be included in the case file and documented in each
element on the FNS-380.
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An interview is required for all cases except:
•
•
•
Certain Alaska cases as provided in Section 411
When the household is determined ineligible based on information furnished
by the household as provided in Sections 324 and 441, or
The household fails or refuses to cooperate as provided in Section 442.2
During the interview, the reviewer must obtain documentary evidence that the
household has available in addition to other verifications necessary to completing the
case such as:
•
•
•
Utility bills, pay stubs, birth certificates, rent receipts, social security cards, and
award letters
A release from the household to obtain documentary evidence that is not
available at the time of the interview
Names, telephone numbers and addresses for all collateral contacts for
additional verification. In no situation can this be the local agency eligibility
worker that certified the case or has previously certified or assisted the
household due to the potential introduction of bias in the QC process
In some instances, when the interview cannot be completed, e.g., all members who
could be interviewed have died; the case is not subject to review as provided in
Section 336.
•
Example: The sampled review is a one-person household. The client died
prior to the interview. The reviewer must document the date of death and
how it was verified, such as on-line funeral home website noting the client’s
death, obituary from a newspaper, or statement from a non-household
relative.
In situations where the interview cannot be completed, and subsequently, the review
cannot be completed or is not subject to review, the reviewer must document why
the review cannot be completed and verification of the circumstance making the
review not subject to review or unable to complete. All attempts to complete the
review must be documented in the QC review file transmitted to FNS.
421
Arranging Household Interview. The reviewer must notify the
household prior to the interview that it has been selected as part of an ongoing
review process for QC and that a face-to-face interview, with few exceptions, must
be completed. The reviewer must make arrangements - which include date, time, and
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location for the interview - and must inform the household of the type of information
that the household will need to have available for the interview.
To assist in household cooperation, advanced contact with the household via
telephone may be made prior to the interview date. The household can also be sent a
certified letter informing them of the date, time and location of interview as well as
what verification is required for the interview.
Documentation of all calls or attempted calls to the household, the phone number
and dates called, as well as the results of all calls must be included in the
documentation on Form FNS-380. Use of the certified letter as well as prior phone
contact will assist States in increasing their completion rates.
422
Individuals Who Can Be Interviewed. The reviewer must interview
one of the following individuals:
•
•
•
•
423
The head of the household
That head of household's spouse when the spouse is a member of the household
Another member of the SNAP household under review who is knowledgeable
regarding the household and actual household circumstances. This member
must be able to identify the applicant, prove the household exists, know
circumstances that affect eligibility and allotment, and provide documents
along with the names, telephone numbers and addresses of collateral
contacts, or
The authorized representative designated by the household to make
application for the program on behalf of the household. An authorized
representative may not be interviewed if all household members who could
be interviewed have died or moved out of State. (See Sections 336, 337 and
338.)
Location of Interview. The State agency determines the location of the
face-to-face interview in most cases. For most reviews, the interview may take place
at:
•
•
•
The household’s home
The local certification office, or
Another location that is mutually agreeable to both the reviewer and the
household
An office interview must be waived if requested by any household that:
•
•
Is unable to appoint an authorized representative and has no household
member able to come to the office because they are elderly or disabled, or
Is unable to appoint an authorized representative and lives in a location not
served by a certification office
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The reviewer must not choose the certification office when that will inconvenience a
household with:
•
•
•
•
•
Inadequate public transportation
No car
Problems with child care
Conflicting work hours
Conflicting school hours
FNS encourages reviewers to interview households in their homes. A home interview
can be important in determining whether the household lived at the address given. A
home interview enables the reviewer to make visual observations of pertinent living
circumstances that may require further clarifications and verifications.
Example: The household says there are no children in the home but there are several
children present during the interview. There are also many toys inside and outside the
home. The reviewer should explore possible household composition discrepancies and
any other elements of eligibility and/or benefit determination.
Interviews should not take place in the home when there is a threat to the reviewer’s
physical safety if the household lives in a high crime area, or no one is at home during
the day because of employment.
When the interview is to be held at locations outside the home, the household must
be advised in advance what documentation it needs to bring to the interview, such as
driver’s license for verification of identity, pay stubs, utility bills, medical bills, social
security cards, marriage license, etc.
Interviews cannot be conducted over the telephone except in Alaska under
circumstances discussed in Section 411, or by an approved FNS waiver and in cases
meeting the special circumstances addressed in Section 423.1.
423.1
Special Circumstances and Conditions Regarding Video
Conferencing Personal Interviews. Under certain circumstances the personal
interview between the reviewer and household representative can take place through
the use of video conferencing equipment. This option is available to the State agency
by waiver. The waiver does not require formal approval by FNS in order to be
implemented. When the personal interview between the reviewer and household
takes place through the use of video conferencing equipment the following
procedures must be adhered to:
•
The State agency is responsible for providing a secure link over which the
video conference will be conducted
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•
•
•
The reviewer must inform the recipient that it is the recipient’s choice
whether the personal interview takes place via video conferencing or the
traditional face-to-face interview. The reviewer cannot determine
unilaterally that a video interview will be conducted. A household’s
preference to be interviewed by a method other than video-conferencing
technology, of itself, may not be construed as a failure or refusal to
cooperate with the reviewer
With one exception, the reviewer shall not record the video interview, nor
shall the State agency use a video interview for any purpose other than to
fulfill the requirements of the SNAP Quality Control field review. The
exception is that a screen “snapshot” may be taken, recorded, and printed of
any documentation relevant to the review
The reviewer shall be responsible for informing recipients prior to the video
interview that it will not be recorded, stored, or used for any other purpose
than the quality control review
424
Conducting the Interview. The following are procedures for conducting
424.1
Opening the Interview. The reviewer must show proper identification
the interview with the household. See Appendix E for guidelines on interviewing
techniques.
and explain the purpose of the interview. Prior telephone calls and letters arranging
the interview may have explained the purpose, but referencing the reason may be
useful.
424.2 Dealing with Household Fears During the Interview. The
reviewer should explain to the household that it and others were selected at random
from a list of all households that received SNAP in the particular month. The reviewer
should also say that the purpose of doing this is to find out if households are receiving
the correct benefit amount. The reviewer may include a statement that the review is
also to verify that the State agency is properly applying the SNAP rules and
regulations. The reviewer should assure the household that all the information
obtained from it and others will be safeguarded, that is, SNAP allows only certain
authorized persons to review information about SNAP households.
424.3
Observation during the Interview. Observations should be made of
424.4
Establishing Household Composition. Household composition must
such things as vehicles and evidence about household composition. For example,
there are no toys or other evidence of young children when the household has stated
there are some in the household and/or when the case record includes the existence
of children in the household could warrant further inquiry.
be established early in the interview process, because many of the questions to be
asked depend on who is in the household.
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424.5
Reviewer Inquiries. The reviewer must ask the household about each
element and if there have been any changes as it applies to each household member.
Thorough documentation of each element is required and must include the
household’s responses.
For example, in a two-person household of Mr. and Mrs. Jones with neither person
exempt from work registration, the reviewer might ask, "Mr. Jones, did you work for
anyone or were you self-employed during the month of October?" That question would
be repeated for Mrs. Jones: "Did Mrs. Jones work for anyone or was she self-employed
during the month of October?"
If the reviewer obtains conflicting information about the household's circumstances,
the reviewer must resolve any inconsistencies by recontacting the household. The
source(s) of the conflicting information may be the household, a collateral contact, or
both. The reviewer must document how they determined the new information is
correct and why the first statement was incorrect or incomplete. For example, if the
household reported that it was paying $400 in rent and the landlord stated that the
household was actually paying $600 in rent, the reviewer must ask the household to
explain the inconsistency. The reviewer must document the correctness of the
statement used. Follow up questions may be required.
424.6 Recording Household
Statements. The reviewer must
record the household's statements in
column 3 Field Findings of Form FNS380.
424.7
Verification. The
reviewer must verify household
information during the field review if
the verification was not accurately
and adequately documented in the
case file.
•
•
Example of recording a household’s
statement: "Mr. Smith stated he worked
for Charley's Choice Computers, 123
Main Street, 836-1234, during June and
earned $300 a week gross. He received 4
paychecks in June. No one in the
household received any other earned
income in June. He said no one was selfemployed during June. The client stated
there had been no changes in his
earnings or any other household
member’s earnings.”
Reviewing Documentary Evidence. The reviewer must review appropriate
documentary evidence which the household has available. If the evidence
available does not meet verification requirements additional evidence must
be obtained. This must be documented as outlined in Sections 521, 522, and
523
Obtaining Collateral Contacts. The household is the best source of names,
addresses and telephone numbers of persons or sources that can verify
household circumstances. Therefore, the reviewer must ask the household for
this information but is not limited to contacts provided by the household.
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•
Note: If the household refuses to provide such collateral contacts, one of the
two following procedures must, depending on State requirements, be
followed:
1.
The reviewer must try to find collateral contacts by other means,
gathering information from persons or entities with knowledge of the
household circumstances.
The reviewer must document all attempts to obtain collateral
information as well as the outcome of the attempts to obtain
verification by other collaterals including the collateral’s name,
phone number, address and dates contacted or attempted contacts
and responses obtained from the collaterals, or
2.
430
If required by the State, the reviewer must obtain a signed State
release of information. The Household must sign a State release of
information form if requested to do so as a part of the State’s
standardized review process. This allows QC reviewers, in those
States, to contact third parties to obtain information pertinent to the
household's SNAP case. If the household refuses to cooperate, the
reviewer must explain to the household that this refusal may result in
the household no longer receiving SNAP. As discussed in Section
442.2, such cases must be completed if the reviewer has the
necessary information required to complete the case.
COLLATERAL CONTACTS. Collateral contacts are required when
verification is not present in the case record or from the household. Most of the time
the information that should be sought from a collateral contact will be evident. For
example, information about rent would generally be obtained from landlords.
Reviewers must keep in mind that one collateral contact can sometimes verify several
elements. Landlords can sometimes also verify household composition. Reviewers
should plan collateral contacts to make maximum use of third party information.
An authorized representative, when acting in the capacity as the representative for
the purposes of the household interview, may not also serve as a collateral contact.
State agency and QC staff members may, with household consent, also serve as a
collateral contact for a household when the worker has personal knowledge of the
household and element needing verification. The collateral contact must not have
been the eligibility worker or otherwise have served the household in a professional
capacity related to SNAP. All communication will be handled with the same
considerations as if the contact did not work for the State and all rules in Section 431
of this handbook apply.
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431
Obtaining Information from Collateral Contacts. When contacting
collateral information sources, reviewers must identify themselves, describe their
purpose, and state what information they need.
If the collateral contact is not willing to cooperate without a signed release from the
household and the State does not require a release, the reviewer must go back to the
household and request a release to obtain cooperation from the collateral. If the
household refuses to sign or provide a written release to the reviewer, the household
must be sanctioned due to non-cooperation with QC (see Section 442.2).
The reviewer should only disclose the information that is absolutely necessary to get
the information being sought. The reviewer should avoid disclosing that the household
applied for SNAP, if possible, and should not disclose information provided by the
household. The reviewer should also indicate, if SNAP must be discussed, that this
request for information does not mean the agency suspects that there is something
wrong with the household's SNAP case.
Discussions with collateral contacts must focus on information pertinent to the review
yet may include factors other than those the reviewer planned to verify. For example,
a landlord who was contacted about rent may mention the presence of a household
member which neither the case record nor the household indicated. If so, the
reviewer must obtain any relevant information about the person that the landlord
may know and contact the household again to resolve any inconsistencies.
432
Collateral Contact Refusal to Cooperate. A third party may refuse
to provide the information which is needed to verify an element of eligibility or basis
of issuance. The program has no authority to require third party cooperation. If
verification cannot be obtained from other known sources, the household must be
contacted again to obtain another source. A collateral's refusal to cooperate should
not be interpreted as the household's refusal to cooperate. Documentation of a third
party refusal to cooperate must be shown on the appropriate element on Form FNS380, Column 3, Field Finding.
433
Documentary Verification. The reviewer must document verification
obtained from collateral contacts by recording the information in Column 3 of Form
FNS-380 and by attaching copies of documentary evidence. (See Section 520 for
documentation requirements.)
440
COMPLETION OF FIELD REVIEWS. Field reviews must be completed to
the point where either ineligibility or the appropriate benefit allotment is
determined, verified and documented. This does not apply to cases that are not
subject to review, as specified in Chapter 3 and cases that the reviewer is unable to
complete in accordance with Section 442. Documentation of why the case is not
subject to review or the reviewer is unable to complete the review must be made on
Form FNS-380.
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441
Cases Determined Ineligible. If during the field investigation the
442
Incomplete Case. Every reasonable effort must be made to complete all
442.1
Case Record or Household Cannot Be Found. The reviewer must
reviewer determines and verifies the household's ineligibility, the review can be
terminated at that point provided the determination is based on information obtained
from the household. If it was obtained from another source, the correctness of such
information must be reviewed further. The reviewer must attempt to resolve the
conflicting information by recontacting the household unless it cannot be reached or
refuses to cooperate. This contact may be by telephone, mail or in person. If the
reviewer is unable to resolve the difference with the household, the reviewer must
use the most reliable data available and must document how the final determination
was made.
active cases except those that are not subject to review. All cases reported as not
complete must be reported to the State agency for appropriate action on an
individual case basis.
make all reasonable efforts to locate the case record and the household in an attempt
to complete the review.
•
•
Case Record. When a case record cannot be found, the reviewer must use
whatever information is available to contact the household and complete the
review. Most State agency’s currently have at least a portion of the case
record on the State computer system. It is unlikely that the case record will
not be located
Household. When a household cannot be located, the reviewer must attempt
to locate the household by contacting at least two sources as listed below.
Note: This provision does not apply when the household's current residence
has been located and confirmed, but the reviewer is unable to talk to the
recipient. (See Section 442.2 for refusal and failure to cooperate.)
The reviewer may be unable to locate the household at the address indicated
in either the case record or the issuance record, and the reviewer is not
aware of the household's current address. Some cases may also include the
characteristic that correspondence from Quality Control to the household has
been returned with an official Postal Service stamp indicating the
correspondence was "undeliverable", "moved no forwarding address", etc. (In
this instance, the official postal stamp may serve as one source of contact;
however, a letter marked simply unclaimed is not acceptable.)
The reviewer must attempt to locate the household by contacting at least
two sources that the reviewer determines are most likely to know the
household's current address. The reviewer must explain why selected sources
are most likely to know where the household currently resides. To qualify as a
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contact, the source must have familiarity with or knowledge of the
household. These sources must be documented in detail on Form FNS-380,
Column 3. Such sources may include, but are not limited to:
1. The local office of the U.S. Postal Service
2. The State Motor Vehicle Department
3. The owner or property manager of the residence at the address in the
case record, and
4. Any other appropriate sources based on information contained in the
case record, such as public utility companies, telephone company,
employers, relatives or school officials. Appropriate sources for
homeless households may include soup kitchen personnel, homeless
shelter operators, or transient housing officials. To qualify as a
contact, the source must provide feedback; messages left on answering
machines do not qualify.
After the reviewer has attempted to locate the household and has
documented the response of each source contacted, if the household still
cannot be located and the reviewer has documented evidence that the
household did actually exist, the reviewer must report the active case as not
subject to review (Code 2).
•
Case Record and Household. If neither the case record nor the household
can be found, the case must be reported as incomplete (Code 3) regardless of
the State’s efforts to locate the household.
In situations where the household and/or case record cannot be located,
documented evidence of the existence of the household shall be considered
adequate if it either:
Documents two different elements of eligibility or basis of issuance,
such as a copy of a birth certificate for age, a pay stub for income, or
Documents the statement of a collateral contact indicating that the
household did exist
If the reviewer fails to undertake these efforts or to properly document the
efforts, the case is considered incomplete (Code 3) as opposed to not subject
to review (Code 2). When the reviewer determines that the household never
existed, e.g., an apparently bogus case, or never lived at the address given
and the household cannot be located, the case must be coded as incomplete
(Code 3). Documentation on Form FNS-380 must indicate why the reviewer
determined the household never existed or never lived at the address given
when the household cannot be located.
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Conditions that must be met for reason – Unable to Locate
Active Case – Code 2 - NSTR
Does NOT meet
conditions for NSTR
Yes
Were attempts to
contact HH at
address of record
successful?
No
Were contacts made
with 2 sources likely
to know the current
address of HH?
No
Keep going.
Additional review
work required.
Yes
Keep going.
Additional review
work required.
Yes
Did contacts provide
the current address
of HH?
No
Is there documentation
that the HH did exist
AND 2 elements of
eligibility AND all
attempts to locate HH?
Yes
Meets NSTR
conditions
Code 2-NSTR
4—13
No
Keep going.
Additional review
work required.
FNS HANDBOOK 310
442.2
Household Refusal and Failure to Cooperate. One or more
members of the household may refuse or fail to cooperate with the reviewer by
refusing or failing to be interviewed, or by not providing collateral contacts.
•
Determination of Refusal (Code 3). For a determination of refusal to be made,
the household must be able to cooperate, but clearly demonstrate that it will
not take actions that it can take and that are required to complete the QC
review process. An outright refusal to talk to the reviewer is an example. In
certain circumstances, the household may demonstrate that it is refusing to
cooperate by not taking action after having been given every reasonable
opportunity to do so, even though the household or its members do not state
that the household refuses to cooperate.
Examples of instances
where the household's
failure to take required
actions in completing a
QC review has the
effect of a refusal to
cooperate include:
The key factor in
determining whether
the household refused
or simply failed to
cooperate with the
reviewer is whether the
reviewer can verify
that the household was
actually contacted
and that the household
was aware that the
reviewer was seeking
its cooperation.
•
Example of not responding to a letter:
The household does not respond to a
certified letter that is the reviewer’s
attempt to contact the household to
arrange an interview. The letter was sent
Certified Mail-Return Receipt Requested,
and is signed for by a household member,
within 30 days of the date of receipt. The
letter was signed for, which indicates the
household is aware of the need for an
interview; therefore, the client has refused
to cooperate.
Example of not attending an interview:
The household does not attend an agreed
upon interview with the reviewer and then
does not contact the reviewer within 10
days of the date of the scheduled interview
to reschedule the interview.
Example of not following up: Following
contact with the reviewer, the household
does not return a signed release of
information statement to the reviewer
within 10 days of either agreeing to do so
or signing for a request from the reviewer
sent Certified Mail-Return Receipt
Requested. The client has refused to
cooperate in this instance.
Determination of Failure (Code 3). For a determination of failure to be
made, the reviewer must be unable to document or verify that the household
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FNS HANDBOOK 310
is unwilling to take actions that it can take and that are required to complete
the QC review process
Examples of instances
where the household
would be considered to
have failed to
cooperate rather than
refused to cooperate in
completing a QC
review include:
Example of failure, not refusal, when the
household does not respond: The household
does not respond to notes or messages left at
the household’s verified address or with a
non-household member, but the reviewer is
unable to verify that the household received
the notes or messages. An exception shall be
made to this provision for notes or messages
left with the household’s eligibility worker. If
the eligibility worker states that the notes or
messages were conveyed to a household
member, and these notes or messages do not
elicit a response from the household, then
the household’s lack of response will be
considered a refusal to cooperate with the
reviewer.
Example of failure, not refusal, when a
third party does not cooperate: A refusal to
cooperate comes from a person who is not a
member of the household of record.
Example of failure, not refusal, when the
household cannot cooperate: The household
demonstrates a willingness to cooperate with
the reviewer but is unable to provide
requested information, because the
information is not in the possession of the
household.
•
Steps to Obtain Compliance in Both Refusal and Failure to Cooperate
Situations. If a household refused or failed to cooperate with the reviewer,
certain steps must be taken.
The case must be reported to the State agency for it to take other
administrative action. Such action may include such things as having the
eligibility worker contact the household, assigning the case to another QC
reviewer and writing the household a letter from a State official.
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FNS HANDBOOK 310
After such actions, in cases where it has been determined the household refuses
to cooperate, the household must be notified of:
The penalties for refusing to cooperate with respect to
termination and reapplication
The possibility that its case will be referred for investigation for willful
misrepresentation
If the household refuses to cooperate after such notice, the reviewer must
report the household's refusal to the State agency for termination of the
household's participation without regard to whether the reviewer is able to
complete the case.
It is the responsibility of the State agency to establish whether a household's
lack of cooperation is based on a refusal or a failure to cooperate. All the
steps taken in the attempt to gain the cooperation of the household, as
outlined in this section, must apply to all cases in which the household is
determined to have either refused or failed to cooperate with the reviewer.
The reviewer shall not, however, report the case to the State for termination
when it is determined that the household failed, rather than refused, to
cooperate.
When the reviewer has verified the address/residence of the household, but
the household does not respond to letters, notes, or messages requesting the
household’s cooperation, the reviewer must report the case to the eligibility
worker for appropriate administrative action. This may include termination of
the household’s eligibility due to loss of contact between the State agency
and the household. The reviewer must inform the eligibility worker that if the
household responds to any proposed administrative actions, the worker is to
inform the household of the quality control review and how to contact the
reviewer.
In all cases where the reviewer has determined the household refused or
failed to cooperate in completing the quality control review, the reviewer
must attempt to complete the case without the cooperation of the
household. If the reviewer is able to determine and verify all of the necessary
information without the cooperation of the household, the case must be
reported as complete even if the household could not be interviewed. At no
time should the potential outcome of the review finding, such as a
potential error in the review, impact completion of the review.
If the reviewer is unable to determine and verify all of the necessary
information without the cooperation of the household, the case must be
reported as incomplete. If after disposition of the case as incomplete the
household later agrees to cooperate with the reviewer (at any time up until
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FNS HANDBOOK 310
115 days after the end of the review period), the reviewer must interview
the client and once again attempt to complete the case.
All of the steps taken to gain the cooperation of the household and to
complete the review must be documented in the QC review record.
442.3
Likely Conclusion. Likely conclusion is the use of information, other
than standard verification, in conjunction with verified case record information that
supports a reasonable judgement of eligibility for a particular element or elements.
The reviewer must attempt to obtain the required standard verification as outlined in
Chapters 5 and 8 through 11.
Likely conclusion cannot be used if the attempts and the results of those attempts to
gain standard verification are not evaluated and documented as outlined in Chapter 5.
If the reviewer cannot obtain the required verification (see Chapters 5 and 8 through
11), the reviewer should explore other evidence, review the eligibility worker's
actions in the context of the overall case record and other QC case findings.
The case record must clearly indicate the household’s statement about each element.
If an element requires verification other than the household’s statement, as outlined
in Chapters 5 and 8 through 11, verification supporting the likely conclusion must
exist in the case record. If there is no verification to support the likely conclusion
determination in the case record, likely conclusion cannot be used for the element.
Verification that supports the likely conclusion is verification that supports but does
not establish a conclusion in an element of eligibility or basis of issuance. The
verification used to support a likely conclusion must be reliable and confirmed.
Each QC review is an independent review. The determination of whether or not
“likely conclusion” could or should be used is case specific. No contradictions or
discrepancies can be resolved using likely conclusion. For an element where likely
conclusion can be used but is not, and the element is not otherwise completed, the
reviewer must document the reason for not using likely conclusion.
The reviewer cannot use likely conclusion for certain elements:
•
•
•
•
•
•
Non-citizen status
Income and Eligibility Verification System (IEVS) for bank accounts and
employment
Earned or unearned income that is not stable (fluctuating income)
DMV for vehicles
SSN’s and
Work requirements
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FNS HANDBOOK 310
442.4 Requirements for Completing Likely Conclusion.
•
•
•
•
•
•
•
•
•
•
Attempt to get verification from the household, do not limit the type of
verification the household is to provide, request that any type of standard
verification be provided.
Check case record for acceptable standard verification.
The reviewer must attempt to get standard verification.
The reviewer must document the results of each attempt to obtain standard
verification.
If standard verification cannot be obtained and all results are documented, the
reviewer may attempt to use likely conclusion and review the eligibility worker’s
action and the overall case record.
The case record must contain enough information and verification that it is
reasonable to state the element is complete using likely conclusion.
An application must be available with the household’s statement regarding the
unverified elements.
Eligibility worker case notes must address what was said during the interview and
what verification was obtained at application.
The element that is outstanding in the QC review must have been verified by the
household or by matches at certification unless the standard element verification
is household statement.
Document how you arrived at likely conclusion for the element and why it is a
reasonable judgment of eligibility.
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FNS HANDBOOK 310
Example for using likely conclusion for element 311 Earned Income: Recipient
did not appear for interview or respond to any attempts to gain cooperation with
QC. Letter sent to Mr. Smith 6/29 and certified letter sent 7/5. Phone call to 555555-5555 made on 6/29; left message to contact reviewer. Letters from supervisor
and local office workers sent 7/6. No responses received from correspondence or
call.
The household consisted of one person who is aged 72. No earning reported in past
2 years on SNAP applications. The household exists as benefits issued are being
used and Post Office inquiry received 7/16 showed mail delivered to recipient.
See attached information from the State Department of Labor dated 7/14, no
earnings found for the household and no Unemployment Compensation benefits.
Recipient’s application reported only Social Security income. SOLQ dated 7/5
showed SS benefits for the past 7 years.
No IEVS matches found in check of system on 7/5.
Recipient’s medical case shows only SS income.
The reviewer is making a reasoned judgment of the element of eligibility. The
reviewer is likely concluding that no earnings exist based on the case record
information, the prior applications for assistance, and matches with known
employment systems.
Example of an appropriate situation in which to use likely conclusion: In January,
Joan was correctly certified with a telephone utility allowance, which was verified
using a January bill in her name for phone number, (555)555-5555, for a basic cell
phone plan with AT&T Wireless. In August, Joan’s case was sampled for QC. Joan
was unable to produce her August bill, which she already received, but was able to
provide her July bill from AT&T Wireless that was still in her name, for the same
phone number, and service plan as the January bill.
The reviewer interviewed Joan in August and verified Joan is still using the
(555)555-5555 number in the sample month. The reviewer can likely conclude that
Joan is still entitled to the telephone utility allowance because there is evidence to
reasonably determine the phone Joan is using, which she provided a recent bill for
that matches the verification for January’s certification, is still an expense that she
is billed for.
442.5 Late Reviews. A review cannot be reported as incomplete solely because
it has not been completed in time to meet the requirements in Section 190. The State
agency must obtain prior FNS approval.
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FNS HANDBOOK 310
Chapter 5
VERIFICATION AND DOCUMENTATION
500
GENERAL. This chapter contains the general verification and
documentation requirements. Refer to Chapters 8 through 11 for specific verification
and documentation requirements for each element of eligibility and basis of issuance.
510
VERIFICATION. The reviewer must verify actual household
circumstances using information in and collateral contacts from the certification
record, as well as independent QC verifications obtained from documentary evidence
and household/collateral contacts for each element of a household's:
•
•
Eligibility for the point in time dictated by the eligibility rules governing the
household's sample month participation, and
Benefit calculation for the household's budget/sample month
If eligibility must be determined for Comparison II, the reviewer must independently
verify the information used for the most recent certification action in effect as of the
review date (AORD). Independent verification for Comparison II means the reviewer
must verify any element of eligibility and benefit issuance used for the most recent
certification action in effect AORD for which there was not verification already
located in the file. This includes required reportable changes that should have been
in effect AORD. If the reviewer uses verification found in the certification record, the
verification must meet the requirements at Section 322.2.
511
Sources of Verification. The reviewer must obtain evidence that
establishes factual information of the household’s circumstances for each element.
Documentation must explain how the verification meets the criteria for evidence in
the specific element. Note in the following two, contrasting, examples how the
sources of information for each of the two elements can factor into the review and
how verifications for one element can impact another, sometimes requiring more
work to establish the facts of the case.
Example: The case record worksheet shows a shelter expense of $500 for
rent, including all utilities. The household, a 19-year-old single parent, claims
that due to credit problems the lease is in her mother’s name, and the mother
lives at a different address. The reviewer obtains verification that the lease is
in the mother’s name from the apartment complex, partially completing
verification of element 363. The reviewer subsequently obtains a written
statement from the mother stating that she does not live with her daughter,
and the daughter is responsible for paying the full $500, completing
verification of element 363. A written verification for household composition
from an independent party, someone other than the mother and household,
establishes that only the client and client’s child are in the household, further
. corroborating the client’s statement.. The reviewer has provided sufficient
verification of Element 363 and 150 and will document all verifications used to
arrive at the conclusion on these elements.
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FNS HANDBOOK 310
Example: The case record worksheet shows a shelter expense of $400 for
rent, including all utilities. The household, a 19 year-old single parent,
claims that, due to problems with credit, the lease is in the client’s
father’s name and that the father lives at a different address. The
reviewer obtains verification that the lease is in the father’s name from
the apartment complex and, subsequently, obtains a written statement
from the father stating that the client is responsible for paying the full
$400, seemingly verifying element 363. A written verification for
household composition, however, from an independent party, someone
other than the father and household, establishes the father and client are
in the same household. These discrepancies must be cleared, and the
resultant conclusion validated by verifications and documentation. The
reviewer will consider the sources of verification for each element in
question and use that information to evaluate the accuracy of the
information obtained and consider what other information may be needed
to reconcile the conflicting statements.
A list of sources for verification is provided under the standard verification section of
each element (see Chapters 8-11).
•
•
•
•
These sources have generally proven to be the most reliable
Sources are provided to assist reviewers in completing reviews to the point
when the proper benefit allotment is determined
Reviewers may use sources other than those listed under standard verification
as long as they meet the criteria for evaluating evidence (See Section 513.)
For a few elements, only specific sources of verification may be used as
indicated in Chapters 8 through 11
512
Use of the Income and Eligibility Verification System (IEVS)
Data. IEVS is a system of information acquisition and exchange for purposes of
income and eligibility verification. Each State Agency has access to IEVS and the use
of it as a verification tool for the QC review is mandatory. The use of IEVS as
verification has the potential of informing the reviewer of additional leads for other
elements. Further investigation of those leads from IEVS is mandatory. (See Chapters
8 through 11.)
Important Considerations Using IEVS:
•
•
•
Information from provider agencies must be updated and input before it is
available for access through IEVS, creating a lag time
This process may run one or two quarters behind so the reviewer should look at
information up to three quarters prior to the sample month
This delay means the absence of information from IEVS cannot be used alone
as confirmation of no income/resources
In addition to IEVS, the reviewer must use other mandatory systems such as prisoner
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FNS HANDBOOK 310
verification system (PVS), deceased matching system, and National Directory of New
Hires.
513 Evaluating Evidence.
513.1
As the reviewer obtains evidence, he/she must evaluate the evidence to
ensure:
• It meets the verification requirements for the element
• It does not conflict with other evidence, or the conflicts are resolved and
documented
• It proves (either by itself or in combination with other evidence) the facts
being verified
• It pertains to the case member(s) or other individuals to whom it is supposed to
apply
• It establishes the circumstances for the element AORD for the appropriate
issuance and budget month
513.2
following:
In judging the reliability of evidence, the reviewer must consider the
• Age of Evidence or Date Evidence was Established. Does the date the
evidence was established lend credence to the factor being established, or
does it raise questions?
Example: Mr. Brown and spouse were certified initially in 2015
with rent of $500 reported on the application. The household was
certified for 12 months, January 2015 through December 2015. At
time of initial certification, the certification worker verified the
rent was $500 with a yearlong lease received at the initial
certification action and dated December 7, 2014 – December 6,
2015.
On December 27, 2015 the household applied for recertification.
The application indicated the rent amount was $500. The
certification worker used a copy of the lease agreement dated
12/7/2014 as verification of rent. The reviewer must
independently verify rent at time of recertification, even though
the rent amount did not change, because the lease agreement
does not cover the time period needing verification.
• Purpose for Which Established. Why was the evidence prepared? Would
there be any reason for falsifying the evidence?
• Basis for the Evidence. What or who is the source? Is it reliable? For
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FNS HANDBOOK 310
example, was the information provided for the purpose of establishing
eligibility? If not, who provided the information?
• Nature of the Evidence. Is the evidence official, such as a birth certificate,
deed or other legal instrument?
• Custody of the Evidence and Its Availability. Is the evidence in the custody
of a person who might have a vested interest in changing or slanting the
evidence?
• Way in Which Specific Information Is Recorded. Does written evidence
clearly establish the facts of the issue being reviewed?
Example: Is the specific date of birth shown, or does it show
only age? If it shows only age, does it indicate last or next
birthday?
If the answers to any of questions raise doubts concerning the reliability
of the evidence, or the identity of the person to whom the evidence
pertains; the reviewer must resolve these doubts and/or attempt to
obtain other types of evidence.
Verification requirements of each section are the minimum requirements, and the
reviewer must pursue additional verification, as needed, to ensure all criteria to
establish the element has been satisfied. The reviewer must fully document
verification of all elements.
Whether the reviewer uses sources from the standard verifications found in Chapters
8-11 of this Handbook, other sources or IEVS, error determinations will ultimately be
made based on the household's actual circumstances. All changes in an element must
be clearly documented identifying what the change was, when it occurred, and
whether it was reported or unreported. Failure to question and document the client’s
statements regarding all potential changes in each element introduces bias in the QC
system and is not acceptable.
514
Positive and Negative Allegations. Positive and negative allegations
•
All changes in an element must be clearly documented identifying what the
change was, when it occurred, whether it was reported or unreported
Failure to question and document the client’s statements regarding all potential
changes in each element introduces bias in the QC system and is not acceptable
apply to all elements. Household disclaimers of any element must be evaluated in the
context of the household circumstances and history. Verification standards differ in
some instances depending on whether the household responds positively or negatively
to a question.
•
Positive Allegation - A positive allegation is when a household is asked a direct
question about an element and the client agrees the circumstance exists in the
household. This is the acknowledgement by a household member of receipt or of
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FNS HANDBOOK 310
ownership of income and/or asset, and the acknowledgement of the responsibility for
an allowable expense.
Positive allegation example: The household states that they receive earnings from a
job.
•
The reviewer must obtain and verify details about the employment, including:
•
Name, address, and phone number of the employer
Hourly rate, number of hours worked, and frequency of pay
Full or part-time
Is there regular overtime, bonus payments, tips, or commissions
Are wages received in cash, by check, or by direct deposit to a bank
account or debit card
The reviewer must obtain verification, such as:
Pay stubs, earning statements, or pay envelopes
Statements or completed forms from the employer
Printout of the Work Number or other payroll service provider’s
information, if available to the State agency
•
The reviewer must check IEVS matches to determine if there are other
employers, or periods when income increases or decreases
Negative Allegation - A negative allegation is when a client is asked a direct question
about an element and denies the circumstance exists in the household. This is a
statement of a household member denying the receipt of income, the ownership of
assets or the responsibility for expenses.
Negative allegation example: The household states they have no income from a job
and no earnings.
•
The reviewer must question the household to explore any evidence of income:
•
•
•
•
Explore financial management and living expenses
How is rent/mortgage or utilities paid?
How are clothing, cleaning and personal hygiene items obtained?
Are there contributions or gifts or loans made to the household?
Explore past employment, including types of work and former employers
Explore any type of self-employment, or odd jobs, whether regular or seasonal
The reviewer must check IEVS for possible earnings. Any earnings found in IEVS
matches must be explored
Obtain a printout of the Work Number information or other payroll service
providers, if available to the State agency. Explore any matches
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FNS HANDBOOK 310
•
•
The reviewer should check the National Directory of New Hires (NDNH) for
possible earnings, if available to the State agency. Any NDNH matches must be
explored
The reviewer may also obtain collateral verification from a non-relative living
outside the home to verify there is no income and to support the client’s
allegation in the absence of the above sources of corroboration
Verification standards for negative allegations are included as needed with
verification standards for positive allegations.
515
Verification Guidance. Guidance for appropriate verifications is
provided in Chapters 8 through 11. Each element will have standard verification and
verification processes. The State must use the IEVS data in accordance with Chapter 9
on resources and Chapter 10 on income.
520
DOCUMENTATION. Verification of all elements must be documented by
recording information in Column 3 on Form FNS-380 Worksheet for QC Reviews. Copies
of all documentary evidence must be attached as well. The reviewer must write the
applicable element number on the top right of any documentary evidence used.
Documentation must clearly show the basis for the reviewer's findings for each
individual element. It is the basis for determining if a variance exists in an element.
Detailed documentation of all calculations must be shown in any element where a
budget figure must be determined including but not limited to:
•
•
•
•
•
Income calculations for all budgets
Shelter costs
Child care expense
Child support income or expense, and
Medical expenses
521 Documentation with
Attachments. Verification is
documented by attaching a copy of an
official document or correspondence to the
QC worksheet. When a copy or screenshot
is available, the reviewer must include the
attachment in the QC case file. The
reviewer must also document on Form FNS380, Column 3, for the appropriate
element, and refer to the copy made
describing how the document verifies the
element. The reviewer must print the
applicable element number on the top
right of the document.
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5—6
Examples of documentation
with an attachment: Henry
Jones stated that he was born
April 10, 1950. Verified by New
York City birth certificate number
11234. See attached copy.
Sarah Wilson stated her rent was
$450 per month and did not include
utilities. QCR obtained letter from
landlord, Betty Jones, 303 Vista Rd,
Dallas, (214) 555-5555, who verified
rent of $450 per month; utilities not
included, for March. See letter
attached.
FNS HANDBOOK 310
522 Documentation by
Recording a Document.
Examples of documentation by
recording: Wages for John Doe
were verified on 11-5, by viewing
two biweekly pay stubs from Jo and
Mo's Bakery, 221 Landgrave Place,
Pleasant, Ohio, check #0631,
received 10-13, Gross Amt. $206.50
and check#2506, received 10-27,
Gross Amt. $323.80.
When a copy of the document is not
obtainable, the reviewer must record the
information on the QC worksheet Column
3. Recorded documentation must contain
enough detail to ensure the household
circumstances are clear to anyone not
familiar with the case. Thorough
documentation of verification from
official sources, and correspondence and
written statements from collateral
contacts, must include the following:
•
•
•
•
•
523
Sarah Wilson stated her rent was
$450 a month that includes all
utilities. Verified as $450 for March
from rent records viewed on 5-5 at
Cherry Tree Apartments rental
office, 500 Cherry Tree Lane,
Blossom City.
The date the QCR viewed the
document
The source and type of
document, its date (processed,
signed, received or sent), any identification number, and the volume and
page number, if applicable
Where the document is located, if appropriate, such as a government office
The pertinent information from and about the document. For example,
explain if a paystub has a company name that differs from the company
name shown on other employment documents. Explain the affiliation, such
as Joe’s Grill being owned by parent company, Best Restauranteurs, and
How the information from the document applies to the specific period of
time under review
Documentation of Verbal Statement by a Collateral Contact.
When documentary evidence cannot be attached to the QC file, information may be
obtained verbally from collateral contacts and must contain as much of the following
information as possible and document
Example of documenting a verbal
why any piece of contact information is
not available (for instance, that the
statement: Susan Jones stated that the
collateral refused to give an address and
day care center her two children, Jack
the contact was made by phone, which
and Jill, attended in October charged
is provided). At a minimum, information
$160 a month per child. Verified 2/15
must be sufficient so as to allow another
by statement from Estelle Smith,
reviewer to be able to replicate the
Director, Cheery Child Day Care, 123
contact.
Cheery Ln, Seattle, (555) 555-5555, that
Jack and Jill attended all of October and
• Name of the contact
Susan Jones was charged $320 for that
• Title and organization (if
month.
appropriate)
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FNS HANDBOOK 310
•
•
•
•
•
•
Telephone number (if none, document no number but address or email must
be available)
Address
E-mail address (if applicable)
Significance to household
Date or dates of contacts, and
Pertinent information obtained
524 Verification and Documentation of Negative Allegations. In
addition to verification of positive factors which the household admits, such as
employment, bank accounts and expenses allowable as deductions; a household's
negative allegations, for example, that no one in the household is employed, no one
has a bank account or no one owns a vehicle must be verified. Verification of
negative allegations must be documented on the FNS-380 worksheet Column 3, as
does verification of positive allegations.
525 Verification and Documentation in Automated Certification
Systems. In some State agencies, the certification file may be contained wholly or
partially in computer files. Some State agencies have multiple computer systems
where household eligibility information is stored. State agencies are required to make
all eligibility information from all systems available for the reviewer. Therefore, those
components should be evident in all QC cases.
The QC reviewer must ensure verification and documentation is sufficient to establish
each element of eligibility and the benefit calculation for the household's budget
month. If not, the QC reviewer must obtain the necessary verification and document
the FNS-380 worksheet in accordance with the standards in this chapter, and Chapters
8 through 11.
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Chapter 6
ERROR DETERMINATION PROCESS
600
PURPOSE. The purpose of the error determination process is to determine
whether each active case is eligible, eligible with an overissuance or underissuance,
or ineligible for the sample month. The term "error" applies to the allotment. There is
an error in the case if the household is ineligible. There is also an error in the case if
the household is overissued or underissued. Only errors more than the current FY
error threshold will be included in the official error rate for a State agency. The
inclusion or exclusion of any variance in an element may affect the error
determination process; however, a variance is not an error. There are two parts to
the error determination process, the eligibility test and the allotment test.
610
THE ELIGIBILITY TEST. The reviewer must first determine whether the
household was eligible to receive the sample month issuance.
The reviewer must use the procedures
in Chapters 5 and 7 through 11 to
verify the household's circumstances
and to determine whether any
variances found during the review are
to be included or excluded. The
procedures to be used depend upon
the household's eligibility system. This
may be different from its budgeting
system requirements. (See Chapter 7,
Section 726.1, special provisions for
simplified reporting cases.)
Example of a Household Failing the
Eligibility Test: Household consists of
Bob, an able-bodied adult without
dependents (ABAWD) that is subject to
time-limited participation. Bob was
correctly recertified in June, already used
two of three countable months for timelimited participation, and he still had 16
months left on his 36-month tracking clock
as of the recertification. Sample month is
September of the same year. QC
determines Bob has not worked since the
first week of July when he worked 25
hours. Bob has fallen below the 20 hour
per week ABAWD requirement and is
determined ineligible for the month of
September for exhaustion of countable
months. The error determination process
is completed and column 2 is only partially
filled out for the Sample month.
If the household was ineligible, the
error determination process is
complete. Column 2 of the
computation sheet would be
completed using the figures
determined in the test if the necessary
figures were obtained during the
review. If the review was terminated before the household's complete circumstances
were established, column 2 is not completed. The allotment amount would be zero as
the entire amount authorized for the sample month was in error. The reviewer would
enter Code 4 in Item 8 and the amount of the authorized allotment in Item 10 of Form
FNS-380-1.
If the household is eligible, the reviewer must continue with the Allotment Test.
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Note: For household’s that are categorically eligible, the eligibility test is
considered to be complete once the reviewer has determined categorical
eligibility was properly conferred, as discussed in Chapter 8, Section 841.
620
THE ALLOTMENT TEST. The allotment test may consist of a two-step
process: Comparison I and Comparison II. The first allotment test is a comparison of
an allotment computed based on verified sample month circumstances to the
allotment authorized by the EW. The second allotment test is a comparison of the
allotment based on actual verified circumstances based on the most recent
certification action, excluding appropriate variances.
Prior to doing the allotment comparisons, the reviewer must verify the household's
actual circumstances appropriate for the household's budgeting requirements. This
means that all circumstances including household composition, income, and expenses
must be verified and documented on the 380 worksheet, Column 3. All information is
to verified and documented by the reviewer using procedures found in Chapter 5 and
Chapters 7 through 11.
Comparison I must always be completed. The State is not allowed to complete a
Comparison II without first completing Comparison I.
(See Section 727 for Transitional Benefit cases.)
621
Comparison I. The first comparison is of an allotment computed based on
the actual, verified sample month circumstances for items the household is entitled
to have considered in the benefit calculation to the authorized allotment. The
reviewer must not determine whether there are any variances for the purposes of this
comparison. All circumstances including household composition, income calculations,
and expense calculations must be verified and documented as outlined in Chapter 5.
621.1
The reviewer must compute an allotment using actual, verified sample
month income and deductions to which the household is entitled. This figure must
include any relevant annualized or prorated amounts, and any applicable standard
(e.g., SUA, homeless shelter standard, etc.). As appropriate, income received and
expenses paid on a weekly or bi-weekly basis must be converted to a monthly figure.
621.2
Then the reviewer must compare the allotment amount computed in 621.1
to the amount the eligibility worker authorized for the sample month.
621.3
If the difference between these two allotment amounts is less than or
equal to the current FY error threshold, the error determination process is over and
the error amount will not be included in the State’s error rate calculations. The
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reviewer must use the actual verified sample month circumstances for completing
column 2 of the computation sheet.
In addition, for Form FNS-380-1, enter Code 1, 2, 3 or 4 as appropriate in Item 8 and
enter the appropriate error amount, regardless of the error threshold in Item 10.
621.4
If the difference between these two allotment amounts is greater than the
current FY error threshold, the reviewer shall proceed to Comparison II.
622
Comparison II. The second comparison is of the authorized allotment and
an allotment based on the actual verified budget/certification month circumstances,
excluding any variances in accordance with the requirements in Chapters 7 through
11. Reviewer must verify and document all circumstances. This includes household
composition, income, and expenses.
The reviewer is required to verify all budget month circumstances and make
corrections for misapplication of policy, failure to act, computation errors and failure
to report required changes by the household. As appropriate, income received or
expenses paid on a weekly or bi-weekly basis must be converted to a monthly figure.
622.1
The reviewer must compute an allotment, using the verified budget month
circumstances, excluding any variances as appropriate.
622.2
Then the reviewer must compare the allotment amount computed in 622.1
to the amount the eligibility worker authorized for the sample month.
622.3
If the difference between these two allotments is less than or equal to the
current FY error threshold, the error determination process is complete and the error
amount will not be included in the State’s error rate calculations. The reviewer must
use the figures from 622.1 (Comparison II) for Column 2 of the computation sheet.
In addition, for Form FNS-380-1, enter Code 1, 2, 3 or 4 as appropriate in Item 8 and
enter the appropriate error amount, regardless of the error threshold, in Item 10.
622.4
If the difference between
these two allotment amounts is
greater than the current FY error
threshold, there is an error in the
allotment amount authorized, which
must be included in the calculation
of the official error rate for the State
agency. The reviewer must use the
figures from 622.1 or the figures from
621.1 for Column 2
of the computation sheet and
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Example of Using Comparison I figures to
determine the error: For the case under
review, the figures from 621.1
(Comparison I) reflect an allotment error
of a $135 overissuance. The figures from
622.1 (Comparison II) reflect an allotment
error of a $165 overissuance. It is the
figures from Comparison I, the $135
overissuance which must be used in the
final error determination of the case.
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determine the amount in error. The
figures used (622.1
or 621.1) must be whichever
figures result in the least
quantitative error for the case.
The amount in error is the
difference between the two
allotments. The reviewer must
enter Code 2 for "Overissuance",
or Code 3 for "Underissuance", in
Item 8 and the amount in error
in Item 10 of Form FNS-380-1.
623
Example of Using Comparison II figures to
determine the error: For the case under
review, the figures from 621.1
(Comparison I) reflect an allotment error
of a $140 underissuance. The figures from
622.1 (Comparison II) reflect an allotment
error of a $70 overissuance. It is the
figures from Comparison II, the $70
overissuance, which must be used in the
final error determination of the case.
Notify State Agency of All Errors Found. Following transmission, all
cases with errors found during a QC review, regardless of its inclusion in the States
official error rate determination, must be reported to the appropriate office(s). Those
offices will evaluate and address if an overissuance is to be filed as a claim or to
determine if there is an agency caused underissuance. The errors are to be referred
for corrective action evaluation and planning.
It is important that cases are not held longer than is required to complete the review
and any subsequent second party or supervisory reviews so as not to compound any
errors found in any single case. However, information from the QC review cannot be
shared until after transmission to FNS. Please refer to Section 1240.
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Chapter 7
REVIEW PROCEDURES RELATIVE TO CERTIFICATION SYSTEMS
AND CHANGES
700
GENERAL. There are two basic eligibility and budgeting systems -
prospective and retrospective.
For QC purposes, the reviewer must determine:
•
•
The rules governing each household's participation in the issuance month in
relation to eligibility, budgeting and reporting requirements
The certification system that determines the period of time for which
household circumstances must be verified and when changes must be made
effective
The prospective eligibility and budgeting system uses the same month to determine
the eligibility of the household, and to budget the income and deductions used in
calculating an allotment. The eligibility worker (EW) examines the household’s
circumstances, and reviews recent income and deductions. Using this and other
information provided by the client, the EW projects a budget by anticipating the
circumstances for the issuance month.
Retrospective budgeting uses the circumstances, income and deductions from a
specific prior month to determine benefit level. The retrospective budgeting system
may be either a one-month or two-month system. The eligibility and budgeting
systems may vary based upon characteristics and procedures established by the State.
For example, the State may have a two-month retrospective budgeting and
prospective eligibility system for households with earned income, and prospective
eligibility and budgeting for all other households.
States have the option of counting Temporary Assistance for Needy Families (TANF)
income prospectively in an otherwise retrospectively budgeted system. In addition,
certain new members may be added under prospective budgeting for several months
to an otherwise retrospectively budgeted household.
Another factor to consider in determining the correct system is whether there was a
recent change that should have resulted in a household being switched from one
system to another. Households that were not certified in the previous month are
phased into retrospective budgeting with "beginning" month treatment. This means
that prospective budgeting is used for one or two initial months depending on the
State's system.
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The QC reviewer must use the correct system(s) even if an incorrect system was
actually used by the EW to authorize the sample month benefits. In determining the
correct system(s), the reviewer must consider:
•
•
•
•
SNAP regulations
State options
Implemented waivers, and
Individual household circumstances
Example: A Public Assistance (PA) household with earned income should
have been subject to retrospective budgeting for PA and SNAP purposes. It
was erroneously certified prospectively for both programs. The QC reviewer
must use the retrospective budgeting review procedures.
710
VERIFICATION TIME PERIODS. The procedures in Sections 711-713,
specify the time periods for which household circumstances must be verified by the
reviewer.
When retrospective budgeting is combined with prospective eligibility, the reviewer
must verify income and deduction information for two months, i.e., the budget month
and the issuance month. The specific verification standards by element in Chapters 811 must be used.
711
Prospective Systems. Determining a household’s eligibility
711.1
Eligibility. For cases subject to prospective eligibility, the reviewer must
711.2
Benefit Level. For cases subject to prospective budgeting, the reviewer
prospectively requires the agency to anticipate the household's circumstances for
each month of participation based upon existing circumstances that are expected to
remain the same, and changes in existing circumstances that are reasonably certain
to occur. (For further information refer to Definitions and Sections 221 and 222.)
verify all elements governing the household's eligibility, as of the review date (AORD).
The reviewer must verify actual income and deductions to which the household is
entitled to for the budget month. The reviewer must compute an allotment using
actual, verified income and deductions to which the household is entitled for the
sample month. This figure must include any relevant annualized or prorated amounts,
and any applicable standard [i.e., Standard Utility Allowance (SUA), homeless shelter
standard, etc.]. As appropriate, the actual, verified income and expenses must be
converted when required by State policy. Income or expenses must be converted to a
monthly figure as required.
must verify all income and deduction elements governing the household's benefit level
for the entire issuance month.
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Note: In a prospective system, the budget month and the issuance month are the
same.
712
Retrospective Systems. Determining a household's eligibility
712.1
Eligibility. In either a prospective or a retrospective system, a household
retrospectively requires the agency to use known circumstances from a previous
month. A State may have a one-month or a two-month retrospective system.
determined eligible for participation is authorized to receive an allotment for a
specific month called the issuance month, or a series of months referred to as the
certification period. (Reference Definitions and Sections 221 and 222.)
For cases subject to retrospective eligibility, the reviewer must verify all elements
governing the household's eligibility, except as otherwise provided in this paragraph,
as of the last day of the budget month. The reviewer must verify elements related to
residency, Social Security numbers (SSN), work registration, and the transfer of
resources AORD. The reviewer must verify income and deductions (when a net income
determination is necessary) for the entire budget month.
712.2 Benefits. For cases subject to retrospective budgeting, the reviewer must
verify all income and deduction elements governing the household's benefit level for
the entire budget month.
712.3
New Members after the Budget Month. If the household reported
that a new member had or would join the household after the budget month, and the
State was required to add the person by the review date, the reviewer must verify
household composition AORD.
If the new member was required to be added prospectively because the person was
not previously participating, the new member's circumstances must be verified AORD.
The only exceptions are income and deductions which must be verified for the entire
issuance month. If the new member was required to be added retrospectively because
the person was previously certified in another household in the previous month, the
new member's circumstances must be verified in accordance with Sections 712.1 and
712.2.
713
Exceptions for Prospective and Retrospective Systems.
713.1
Prorated Income and Averaged or Prorated Deductions. When
income was or should have been prorated over the budget month and/or month for
which eligibility was determined, the reviewer must verify the amount of such income
regardless of when it was received. The reviewer must compute a monthly amount
using the income and/or deductions verified by the reviewer and use these figures to
determine if a corrected EW amount is needed. The same procedure applies to onetime or periodic expenses that were, or should have been, averaged or prorated.
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713.2
Variances. The reviewer must verify all information related to variances.
This is required in order to establish there was a variance and when it occurred. This
means that in some instances information must be verified for months other than the
budget and/or issuance month depending on when the error occurred.
For example, for a prospectively budgeted household, if there is a variance between
the EW worksheet in effect AORD and the verified sample month information, the
reviewer must determine and verify if the variance occurred at the time of
certification or subsequent to that time.
713.3
Categorical Eligibility. The reviewer must verify household composition
AORD and whether all members were authorized to receive Public Assistance (PA),
Supplemental Security Income (SSI), or an appropriate General Assistance (GA)
payment in the sample month, or authorized to receive the benefits of a State
Program conferring categorical eligibility. This also applies to retrospective eligibility
determinations.
713.4
Transitional Benefits. The reviewer must verify the household’s
eligibility to be certified to receive transitional benefits. This applies whether the
household has received benefits under transitional criteria or not. (Refer to Section
727.)
720
REVIEW PROCEDURES RELATIVE TO REPORTING
REQUIREMENTS. There are several different reporting requirements. Refer to
Definitions, Section 223 and Appendix A. The types of reporting requirements are:
•
•
•
•
•
•
•
Change reporting $100
Change reporting status
Monthly reporting
Quarterly reporting
Simplified reporting
Transitional benefits (no reporting), and
Alternatives to these systems approved by waiver
A household may be subject to one reporting requirement for all elements or
different requirements for different elements depending on State options and
waivers.
If the State agency receives unclear information about household circumstances
during the certification period, it must evaluate and act on it, as appropriate, per
certification policy requirements. Unclear information is information about household
circumstances that the State agency cannot readily determine the effect on the
household’s continued SNAP eligibility or benefit amount. This includes information
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that is verified, unverified, from the household, or from a third party data match. If
the State receives information that is verified and the effect on the household can be
readily determined, then it is not considered unclear information and the State must
act on it.
For all households, regardless of the reporting system to which the household is
assigned, the State must act to follow up on unclear information by sending an
Request for Contact or Notice of Match Results if the information: 1) significantly
conflicts with the information used to certify the household (meaning the information
used to certify was incorrect); or 2) is something the household was required to
report based on its assigned reporting system and less than 60 days old based on the
current month of participation; or 3) if the information is from a deceased or prisoner
matching system (described by certification policy rules). If the information does not
meet this criteria it should be held until the next scheduled contact. Information in
which the State agency did not act upon that was allowed to be held until the next
required household contact (periodic report or recertification, whichever came first)
cannot result in an included variance in the QC error determination.
The reviewer must use the procedures in this section to determine whether a variance
resulting from a change in the household’s circumstances must be included or
excluded from the error determination due to reporting and processing time
considerations.
The reporting time frames are based upon the household’s requirement to report
certain changes in its circumstances within the specified time frames as determined
by the State agency. This can be:
•
•
•
As early as 10 days from the date that the household becomes aware of the
change, or
As late as 10 days from the date the household receives its first paycheck
attributable to the change, or
10 days before the end of the month of the change or 10 days after the end
of the month of the change, depending on the State’s option
The exclusionary time periods in this section apply to all changes in circumstances
unless otherwise specified in Chapters 8-11.
The circumstances as verified by the reviewer for the sample/issuance month,
including prorated or averaged income and deductions as appropriate, must be
compared to the budget in effect AORD. If there are no variances in an element when
the verified circumstances are compared to the worksheet, the reviewer must stop
the review of the particular element.
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If there is a variance, the reviewer must determine and use the correct reporting
procedure for each element. In some States all elements will be subject to the same
reporting requirements. This determination must be based on the State's reporting
requirements that were in effect for the issuance month.
721
Changes Relative to Appropriate Month. The reporting
requirements apply to both prospective and retrospective systems. Based on the
household's certification system, the reviewer must relate changes to the appropriate
budget and issuance month in which the change occurred or was anticipated to occur.
Example: A change reporting household in a prospective eligibility and two-month
retrospective budgeting system reported on June 1 that it anticipated an increase in
income in July. The change must be considered in determining the household's
eligibility for July. The increase in income would not affect the household's benefit
level until July becomes the retrospective budget month in September.
722
Change Reporting - $100 Change in Earned Income or Change
Reporting with Status Reporting. These procedures apply to households that
are subject to the change reporting requirements in Sections 223.2 and 223.3, and
those items that are not included on the monthly report or quarterly report, or to
changes the State becomes aware of from a source other than a monthly or quarterly
report.
The 30-day and 20-day time periods referenced in this section are based on the
regulatory requirements for change reporting. The requirements are 10 days for the
household to report changes, 10 days for the State agency to obtain verification and
act on known changes, and a minimum 10-day notice of adverse action period for
actions to reduce or terminate benefits.
State agencies have the option of using the same time period for the notice of
adverse action as they use for public assistance purposes. This may be longer or
shorter than 10 days. If it is, the 20-day and 30-day time periods that are related to
the change reporting requirements, must be adjusted by the same number of days.
Example: A State uses a 12-day advance notice of adverse action to be
consistent with public assistance. The 30-day period for unreported changes
must be changed to 32 days, and the 20-day period for acting on reported
changes must be changed to 22 days.
722.1 Changes Prior to the Notice of Eligibility for Initial
Certifications.
Initial Month. Initial month means the first month for which the household was
certified for participation following any period when the household was not certified.
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•
Variances that are the result of unreported changes that became known to
the household subsequent to the interview must be excluded if the sample
month is the initial month.
•
Variances that are the result of changes that were voluntarily reported by the
household between the time of the interview and the certification action are
included variances unless the State had less than 10 days to act on the
change, from the date the change is reported until the date the household is
certified.
Note: The date the household is certified is the review date if the sample month is
the initial month.
Subsequent Months. Unreported changes that became known or occurred between
the time of the interview and the date of the notice of eligibility are treated as
though they became known to the household on the date of the notice of eligibility.
722.2
Unreported Changes. The following procedures apply to unreported
changes under the change reporting requirements.
•
•
Variances resulting from changes which occurred and the reviewer can
establish and document the change that became known to the household
more than 30 days prior to the review date, must be included in the error
determination.
Variances resulting from changes that became known to the household or
occurred 30 days or less prior to the review date must be excluded from the
error determination.
There are two exceptions:
1) In a one-month retrospective budgeting system with either prospective or
retrospective eligibility when:
•
•
•
The review date is the first day of the issuance month, and
The household's issuance is after the 15th day of the issuance month;
then
Any variances that occurred or became known prior to the 15th day of
the budget month must be included in the error determination
2) In a two-month retrospective budgeting system with either prospective or
retrospective eligibility when:
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•
•
•
The review date is the first day of the issuance month, the 30-day
period is converted to a month's time for simplicity, therefore,
A change that occurred or became known during the budget month
must be included
Any variance resulting from a change that occurred or became known
to the household in the processing month must be excluded from the
error determination
See Section 721 for changes relative to the appropriate month.
722.3 Reported Changes. The following procedures apply to reported changes
under the change reporting requirements.
When a change in circumstances was reported which the State agency was required to
have in effect AORD; any variance(s) resulting from the agency's failure to effect the
change AORD must be included in the error determination.
Two-Month Retrospective System. In a two-month retrospective eligibility and/or
budgeting system where the review date is the first day of the issuance month, any
variance(s):
•
•
Resulting from change(s) that occurred during the budget month must be
included in the error determination
Any variance(s) resulting from change(s) that occurred during the processing
month must be excluded
Note: This does not apply to prospective eligibility.
•
Other: In systems other than two-month retrospective systems, variances must
be included in the error determination as specified below.
1. Variances must be included:
•
•
•
If the change would have resulted in an increased allotment
The change was reported more than 10 days prior to the review date,
and
Action on the reported change was not pending AORD because the
household had not submitted the necessary verification
Exception: In those situations where a household has applied for initial benefits after
the 15th of the month, and receives a combined first and second allotment:
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•
If the second month is the sample month, any changes occurring in the first
month, which the State agency is not required to effect for the second
month, must be excluded from the error determination process
Exception: A household may apply for initial benefits after the 15th of the month,
and receive a combined first and second allotment. In this situation, if the second
month is the sample month, the reviewer must exclude from the error determination
process, any changes occurring in the first month, which the State agency is not
required to effect for the second month.
2. Variances must be included:
•
•
If the change would have resulted in ineligibility or a decreased
allotment, and
It was reported more than 20 days prior to the review date with two
exceptions:
a. If the notice of adverse action expired during the issuance month
(the sample month), and in a prospective system the State
agency had decided not to effect the change until the month
following the issuance month, the variance must be excluded, or
b. If the notice of adverse action notice expired on a weekend or
holiday on which the review date also falls, the 20-day period
must be extended by the appropriate number of days.
Additionally, if the review date falls on the day after a weekend
or holiday on which the notice expires, the 20-day period must
be extended for the appropriate number of days.
For all variances covered by this section: The reviewer must include in the error
determination any variance resulting from:
•
•
722.4
A change that became known to the household more than 30 days prior to the
review date, but
The change was reported too late for the agency to effect the change AORD
New Members. New members who are not already participating in
another household must be added no later than the month following the month in
which they were reported. To do this, the State may issue a supplement. (See Section
233.)
To determine if the reported addition of a new member was properly handled for QC
purposes, the reviewer must determine if the change would increase or decrease
benefits.
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Increase Benefits. A variance must be included if:
•
•
•
The addition of a new member was reported
The State agency failed to include the member in the month after the change
was reported, and
Verification was submitted as of the last day of the issuance month
If timely verification was provided prior to the end of the issuance month, a
supplement should have been authorized in the issuance month.
Note: If a State agency pulls its QC sample prior to the sample month, and a
household reports a new member on or after the sampling date, but prior to the first
day of the sample month, the addition of the new household member must be
examined to determine if it was properly handled. In this instance the supplemental
allotment (change in regular allotment) itself is not included in the allotment subject
to review. If a supplemental allotment (change in regular allotment) was authorized
then no variance for this situation must be cited. However, the new household
member, and any income or deductions associated with this person, must be excluded
from the remainder of the review. The correctness of the amount authorized in the
supplemental (change in regular allotment) is not subject to examination by QC in this
situation. If a supplemental allotment (change in regular allotment) is not authorized
for the new household member then a variance for failure to include the new
household member must be cited.
Decrease Benefits. If the addition of a new member(s) would make the household
ineligible or decrease benefits, the change must be handled the same as any other
change resulting in ineligibility or decreased benefits in accordance with section
722.3 above.
Disqualified Members. When members disqualified for intentional program violations
or work requirement sanctions become eligible, they must be added in the month
after the disqualification period ends. Such changes must be reviewed as a reported
change for QC purposes because the State agency knew about the change.
722.5
Incorrect Action. In all cases, any variance resulting from the agency
722.6
Notices of Expiration. A household's certification period may have
acting incorrectly must be included in the error determination.
been shortened with a Notice of Expiration because the State agency was unable to
obtain sufficient information to act on a change. Any variances in these elements
resulting from the change must be excluded provided:
•
The sample month is the next to the last or the last month of the
certification period
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•
•
The household had not refused to cooperate, and
The household reported the change in a timely manner
Variances that occurred at the time of certification or recertification, and those
resulting from changes reported in an untimely manner, must not be excluded under
the provisions of Section 722.6.
723
Monthly Reporting. These procedures apply if the element was subject
to monthly reporting (refer to Section 223.3).
723.1
One-Month System Where the Element was Subject to
Monthly Reporting.
Unreported Changes. The following procedures apply to prospective eligibility,
and/or prospective budgeting (when new members are added under prospective
budgeting).
•
•
Any variance in an element that is the result of a change which became
known to the household after the budget month must be excluded from the
error determination
Any variance that is a result of a change which occurred in (or the reviewer
can establish the household was aware of) during the budget month must be
included in the error determination
The following procedures apply to retrospective eligibility and/or retrospective
budgeting.
•
•
Any variance in an element that is the result of a change that occurred in the
budget month must be included in the error determination
Any variance that is the result of a change which occurred after the budget
month must be excluded in the error determination
Exception: When a household applies for initial benefits after the 15th of the month,
and receives a combined first and second month allotment, a variance may be the
result of a change that occurred in the budget month. In such situations:
•
Any changes occurring in the first month, which the State agency is not
required to affect for the second month, must be excluded from the error
determination process
Reported Changes on the Monthly Report. The following procedure applies to
prospective eligibility and/or prospective budgeting (when new members are added
under prospective budgeting).
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•
A variance that is the result of a change which occurred (or the reviewer can
establish the household was aware of) during the budget month and will
continue through the issuance month must be included in the error
determination
The following procedures apply to retrospective eligibility, and/or retrospective
budgeting.
•
•
Any variance that is a result of a change that occurred in the budget month
must be included in the error determination
Any variance that is a result of the agency's failure to effect a change
reported on the monthly report AORD, that the State agency was required to
effect, must be included in the error determination
There is an exception when a household applies for initial benefits after the 15th of
the month, and receives a combined first and second allotment, a variance may be
the result of a change that occurred in the budget month. In such situations any
changes occurring in the first month, which the State agency is not required to effect
for the second month, must be excluded from the error determination process.
New Household Members. If the household member reports on the monthly report
the addition of a new member in the issuance month, for the budget month, the
agency is required to effect the change in the issuance month (the sample month).
•
•
The reviewer must determine if the issuance month’s benefits properly
reflect the addition of the new household member(s)
Any variance must be included in the error determination if it is the result of:
The agency's failure to add the new member, or
The agency making an incorrect adjustment of the issuance month
allotment.
State Agency Action. In all cases, any variance resulting from the agency acting
incorrectly must be included in the error determination.
723.2 Two-Month System Where the Element was Subject to
Monthly Reporting.
Unreported Changes. The following procedures apply to prospective eligibility,
and/or prospective budgeting (when new members are added prospectively under
prospective budgeting).
•
Any variance in an element that is a result of a change that became known to
the household after the budget month must be excluded from the error
determination
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•
Any variance that is the result of a change which occurred in (or the reviewer
can establish the household was aware of) during the budget month must be
included in the error determination
The following procedures apply to retrospective eligibility and/or retrospective
budgeting.
•
•
Any variance that is the result of a change that occurred in the budget month
must be included in the error determination
Any variance that is the result of the agency’s failure to effect a change
reported on the monthly report AORD, that the State agency was required to
effect, must be included in the error determination
Reported Changes on the Monthly Report. The following procedure applies to
prospective eligibility and/or prospective budgeting (when new members are added
under prospective budgeting).
•
Any variance that is the result of a change which occurred in (or the reviewer
can establish the household was aware of) during the budget month and is
expected to continue must be included in the error determination
The following procedures apply to retrospective eligibility and/or retrospective
budgeting.
•
•
•
Any variance that is the result of a change that occurred in the budget month
must be included in the error determination
Any variance that is the result of a change that occurred after the budget
month must be excluded from the error determination
Any variance that is the result of the agency's failure to act on a required
change that was reported on the monthly report AORD, must be included in
the error determination
New Household Members. If the household member reports on the monthly report
(received in the processing month) the addition of a new member (the month before
the issuance month), the State agency is required to effect the change in the issuance
month (the sample month).
•
•
The reviewer must determine if the issuance month's benefits properly reflect
the addition of the new household member(s)
Any variance must be included in the error determination if it is the result of:
The agency's failure to add the new member, or
The agency making an incorrect adjustment of the issuance month's
allotment
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State Agency Action. In all cases, any variance resulting from the agency acting
incorrectly, or failing to act, must be included in the error determination.
724
Reviewing Prospectively Budgeted Elements/Sources in an
Otherwise Retrospectively Budgeted Case. Use these procedures if a State
agency has a budgeting system under which an element, or a particular type of source
within an element, is budgeted prospectively while other elements/sources are
budgeted retrospectively.
Example: A State agency elects to budget TANF income prospectively while
all other types of income are budgeted retrospectively.
In this type of situation, the following review procedures apply:
Prospectively Budgeted Elements/Sources.
•
•
These elements/sources must be reviewed in accordance with prospective
budgeting procedures. Reference sections under 722 and 724.1
Apply the procedures for reported changes to changes reported by the
household, and changes which the State becomes aware of from another
source
Example: A State agency prospectively budgets TANF income, and
retrospectively budgets all other sources of income. A change in a TANF grant
would be a change that the State agency is aware of since the State agency
itself is the source of the TANF income.
Retrospectively Budgeted Elements/Sources.
•
•
•
These elements/sources must be reviewed in accordance with retrospective
budgeting procedures
Reference sections under 722 for change reporting elements/sources
Reference sections under 723 for monthly reporting elements/sources
724.1 Adding New Members Prospectively to a Retrospectively
Budgeted Household. In some cases, new members must be added using
prospective eligibility and budgeting while the remainder of the household is
retrospectively budgeted.
•
This may occur in a two-month system if the new member was not already
certified to receive SNAP in another household
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•
•
•
It may occur in other situations if the State has a waiver
The reviewer must determine the number of months a new member is
handled prospectively based on the regulations, the State's system(s) and
waivers
The new member’s income and deductions from the issuance month must be
added to the other household members' income and deductions from the
retrospective budget month to determine the household's allotment
Verification. See Section 712.3.
Variances. If a new member was reported, the reviewer must determine if the new
household member and their circumstances were handled correctly.
•
Any variances resulting from the State agency's improper action must be
included in the error determination
If the new member was not reported or change not acted on by the agency, the
reviewer must determine whether any variance(s) can be excluded.
•
Use monthly reporting procedures in Section 723 for prospective eligibility
and prospective budgeting to determine if the variance(s) can be excluded
725 Quarterly Reporting. The State agency has the option of establishing a
quarterly reporting system in lieu of change reporting requirements.
Exception: Households with able-bodied adults without dependents (ABAWDs)
subject to the time limit, as specified in regulations, must report whenever their work
hours fall below 20 hours per week, averaged monthly.
Note: Household member(s) who were not subject to ABAWD reporting requirements
at the most recent certification month, but AORD become subject to ABAWD reporting
requirements, must be reviewed as an ABAWD from the point in time that the change
occurred.
If the State agency receives unclear information about household circumstances
during the certification period, it must evaluate and act on it, as appropriate, per
certification policy requirements. Unclear information is information about household
circumstances that the State agency cannot readily determine the effect on the
household’s continued SNAP eligibility or benefit amount. This includes information
that is verified, unverified, from the household, or from a third party data match. If
the State receives information that is verified and the effect on the household can be
readily determined, then it is not considered unclear information and the State must
act on it.
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For all households, regardless of the reporting system to which the household is
assigned, the State must act to follow up on unclear information by sending an
Request for Contact or Notice of Match Results if the information: 1) significantly
conflicts with the information used to certify the household (meaning the information
used to certify was incorrect); or 2) is something the household was required to
report based on its assigned reporting system and less than 60 days old based on the
current month of participation; or 3) if the information is from a deceased or prisoner
matching system (described by certification policy rules). If the information does not
meet this criteria it should be held until the next scheduled contact. Information in
which the State agency did not act upon that was allowed to be held until the next
required household contact (periodic report or recertification, whichever came first)
cannot result in an included variance in the QC error determination.
These QC procedures apply for cases subject to quarterly reporting requirements:
•
•
Verify sample month circumstances for the elements subject to quarterly
reporting. These figures are used in the Comparison I allotment test found in
Section 621
Correct the worksheet figures for quarterly reporting elements for:
Misapplication of policy and computation errors by the eligibility worker,
and
Incorrect reporting by the household at the time of the quarterly report
•
•
Use the corrected worksheet figures for quarterly reporting elements in the
error determination
Use established review procedures for elements on the quarterly report that
are voluntarily reported by the household outside the quarterly report
If the household fails to submit a quarterly report but is allowed to continue to
participate, QC must use the following procedures:
•
•
•
Verify actual circumstances for the sample month
Compare them to the worksheet budget in effect AORD, and
Cite any variances in the error determination, with the exception of specific
variances described in Sections 754 - 757
QC must use the correct system in completing the review of the household’s case if:
•
•
A household was subject to quarterly reporting but was not included in the
quarterly reporting system, or
A household was incorrectly included in the quarterly reporting system
726 Simplified Reporting. The State agency has the option of establishing
simplified reporting in lieu of change reporting requirements. Under simplified
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reporting, households are only required to report changes that cause the household’s
actual ongoing gross monthly income to exceed 130% of the poverty income guideline
for the household size and if households with able bodied adults (ABAWDs), subject to
the time limited specified in regulations, work hours fall below 20 hours per week,
averaged monthly.
State agencies have the option to allow households to either report changes within 10
days of the date the change became known to the household or 10 days of the end of
the month in which the change occurred. In other words, States can choose for
households to report either 10 days before the end of the month or 10 days after the
end of the month.
Whichever option the State chose, it must have been applied consistently for all
cases.
In general, any variances resulting from changes, other than exceeding 130% of the
poverty guideline, which occur after the certification action to authorize the sample
month benefits, must be excluded.
Variances that occurred prior to, or at the time of the certification action to
authorize the sample month benefits must be included.
If the State agency receives unclear information about household circumstances
during the certification period, it must evaluate and act on it, as appropriate, per
certification policy requirements. Unclear information is information about household
circumstances that the State agency cannot readily determine the effect on the
household’s continued SNAP eligibility or benefit amount. This includes information
that is verified, unverified, from the household, or from a third party data match. If
the State receives information that is verified and the effect on the household can be
readily determined, then it is not considered unclear information and the State must
act on it.
For all households, regardless of the reporting system to which the household is
assigned, the State must act to follow up on unclear information by sending an
Request for Contact or Notice of Match Results if the information: 1) significantly
conflicts with the information used to certify the household (meaning the information
used to certify was incorrect); or 2) is something the household was required to
report based on its assigned reporting system and less than 60 days old based on the
current month of participation; or 3) if the information is from a deceased or prisoner
matching system (described by certification policy rules). If the information does not
meet this criteria it should be held until the next scheduled contact. Information in
which the State agency did not act upon that was allowed to be held until the next
required household contact (periodic report or recertification, whichever came first)
cannot result in an included variance in the QC error determination.
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QC must use the procedures for evaluating the correctness of Time Limited
Participation as specified in Section 850.7.
Note: Household member(s) who were not subject to ABAWD reporting requirements
at the most recent certification action; but AORD, have become subject to ABAWD
reporting requirements, must be reviewed as an ABAWD from the point in time that
the change occurred.
726.1
Variance Determination. The reviewer must follow these steps in
completing the error determination:
The State agency must have determined eligibility as outlined in Chapter 6. Actual
verified sample month income (converted if required) is compared to the eligibility
standard for the household of its size. If the household failed the eligibility test, the
reviewer will determine if a reportable change occurred.
Step 1: Evaluating Compliance with Simplified Reporting Requirements.
Households are required to report changes that result in the gross monthly income
exceeding 130% of the poverty income guideline for their household size.
• The reviewer must determine:
If any such changes occurred
When such change(s) occurred, and
If such change(s) must be included in the error determination. Actual
unconverted income calculations must be shown
•
•
Compare the sample month actual unconverted income to the gross income
standard for the household
If the sample month actual unconverted income does exceed the gross
income standard, there may be a reportable change
The reviewer must proceed with the next step to determine whether the
change occurred within the timeframes for reporting and acting on
changes.
Step 2: Evaluating Timeframes for When Changes Occurred.
If the sample month was the first or second effective month of an initial certification
action, the review procedures in this step shall not be undertaken, since insufficient
time would have passed for any changes to occur which would be required to be acted
on by the review date. The reviewer must use the corrected worksheet amounts and
circumstances in the error determination.
Note: This exception will also apply if, in following the procedures in this step, the
reviewer determines the following:
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•
•
•
The reviewer is required to examine the circumstances of a month, such as
the second or third month prior to the sample month
The reviewer determines the household was not authorized to participate in
SNAP for the entire month, and
Thus, the household was not subject to any SNAP requirements to report
changes in household circumstances
Otherwise, the reviewer will proceed as follows:
•
•
Compare the actual verified unconverted income, from the month
immediately prior to the sample month, to the gross income standard for the
household
If the actual verified unconverted income from the month immediately prior
to the sample month does not exceed the gross income standard; then the
reportable change occurred within the sample month itself, and would be
excluded from the error determination
The reviewer must use the corrected worksheet amounts and
circumstances in the error determination. (See step 2.)
•
If the actual verified unconverted income from the month, immediately prior
to the sample month, does exceed the gross income standard:
Proceed to further evaluate whether the change occurred within the
timeframes for reporting and acting on changes.
•
•
Compare the actual verified unconverted income from the second month,
immediately prior to the sample month, to the gross income standard for the
household
If the actual verified unconverted income from the second month,
immediately prior to the sample month, does not exceed the gross income
standard then:
The reportable change occurred within the month immediately prior to
the sample month, and is excluded from the error determination.
Use the corrected EW amounts and circumstances in the error
determination. (See step 2.)
•
If the actual unconverted income from the second month, immediately prior
to the sample month, does exceed the gross income standard then:
The reportable change has occurred outside of the timeframes for
reporting and acting on changes, and
The reviewer must include the unreported change in the error
determination
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Important: There are two exceptions.
Exception 1: Requiring Examination of a Third Month:
Some State agencies have a Notice of Adverse Action (NOAA) that is 10 days.
The reporting requirement for exceeding the 130% limit is to report either 10 days
before the end of the month or 10 days after the end of the month in which the
change occurred, depending on the State’s option.
When the month prior to the sample month contains 30 days or less; the entire month
prior to the sample month, and the entire second month prior to the sample month
constitute an exclusionary period for QC purposes.
The reviewer must determine the actual unconverted income from the 3rd month
immediately prior to the sample month in order to make an error determination.
The following chart shows which sample months are affected by these circumstances
that may require the examination of a third month.
Month Prior
February (28 or 29 days)
April (30 days)
June (30 days)
September (30 days)
November (30 days)
Sample Month
March
May
July
October
December
Exception 2: Requiring Examination of a Third Month:
Some State agencies have a NOAA period of 10+ days. The reporting requirement for
exceeding the 130% limit is to report either 10 days before the end of the month or 10
days after the end of the month in which the change occurred, depending on the
State’s option.
In these circumstances, the entire month prior to the sample month, and the entire
second month prior to the sample month constitute an exclusionary period for QC
purposes.
The reviewer must determine the actual unconverted income from the 3rd month
immediately prior to the sample month in order to make an error determination.
Note: The following in all instances where a third month must be examined:
•
If the actual unconverted income from the third month immediately prior to
the sample month does not exceed the gross income standard then:
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The reportable change occurred within the second month immediately
prior to the sample month, and would be excluded from the error
determination
The reviewer will use the corrected EW amounts and circumstances (see
step 2) in the error determination
•
If the actual unconverted income from the third month immediately prior to
the sample month does exceed the gross income standard then:
The reportable change has occurred outside of the timeframes for
reporting and acting on changes, and must be included in the error
determination
For Categorically Eligible Households and Non-Categorically Eligible Households Not subject to the gross income test (the household contains an elderly or disabled
member):
•
The reviewer must include the unreported change in the error determination
by completing an allotment determination based upon household
circumstances at the time immediately prior to the QC exclusionary time
frame for the case
Exception: If the State agency;
1) Has implemented the 130% reporting requirement in Simplified Reporting by giving
the household a flat figure based on the number of persons in the household at the
time of certification and instructing them to report when the household exceeds that
figure, and
2) The QC reviewer discovers that for the months that must be examined, the
household's income exceeded the gross reporting limit that the household was given,
and
3) The QC reviewer discovers that an additional person has joined the household, and
although the household's actual unconverted income exceeded the reporting figure, it
did not exceed the gross income limit for the new household size, then:
•
The QC reviewer will not determine the household ineligible. Instead, the QC
reviewer must:
Complete the error determination with an allotment based on all of the
household's circumstances for the time immediately prior to the
exclusionary time frame for the case
These are the same instructions that the QC reviewer follows in
completing the error determination on categorically eligible households,
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and also for non-categorically eligible households not subject to the
gross income test (the household contains elderly or disabled members)
Note: If the benefit calculation results in a zero allotment; the household must not be
determined as ineligible. The QC result would be an eligible case, with a zero
allotment.
Simplified reporting households are not required to report any changes in
circumstances other than exceeding 130% of the poverty income guideline.
Exception: ABAWD households must report any changes in work hours that fall below
20 hours per week, averaged monthly, during the certification period.
As a result, QC must use the procedures in this section in the error determination
process if a change has been processed since the initiation of the certification period.
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The income is not converted when comparing the household income to the Simplified
Reporting (SR) limit. When completing the allotment comparison the income is
converted if appropriate.
Chart 1
Unconverted Sample
Month income is
compared to the SR limit
for the household.
Household meets SR
limit.
Household income
exceeds limit.
Complete allotment
comparison using
converted income if
appropriate.
Determine if change
occurred and is
applicable. Move on to
Chart 2.
Difference in allotment is
less than or equal to
error threshold.
Comparison is over.
Difference is more than
error threshold.
Complete Comparison II.
Report least quantative
error amount.
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Unconverted household income exceeded the SR limit for the household in the sample
month. Determine if there was a reportable change by looking at the income for the
month prior to the sample month.
Chart 2
Unconverted income
from the month prior to
the sample month is
compared to the SR
limit for the household.
Household meets SR
limit. No reportable
change occurred.
Household income
exceeds limit. Move on
to Chart 3.
Complete allotment
comparison using
converted income if
appropriate.
Difference in allotment
is less than or equal to
error threshold.
Comparison is over.
Difference is more than
error threshold.
Complete Comparison
II. Report least
quantative error
amount.
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Unconverted household income exceeded the SR limit for the household in the month
prior to the sample month. Determine if there was a reportable change by looking at
the income two months prior to the sample month.
Chart 3
Unconverted income
from 2 months prior to
the sample month is
compared to the SR limit
for the household.
Household meets SR
limit. No reportable
change occurred.
Household income
exceeds limit. Move on
to Chart 4.
Complete allotment
comparison using
converted income if
appropriate.
Difference in allotment is
less than or equal to
error threshold.
Comparison is over.
Difference is more than
error threshold.
Complete Comparison II.
Report least quantative
error amount.
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An examination of the third month is required only when the month prior to the
sample month contains 30 days or less, or if the State agency has Notice of Adverse
Action (NOAA) period of 10+ days.
Chart 4
Unconverted income
from the 3rd month prior
to the sample month is
compared to the SR limit
for the household.
Household meets SR limit.
No reportable change
occurred.
Household income
exceeds limit.
Complete allotment
comparison using
converted income if
appropriate.
A reportable change has
occurred and must be
considered in the error
deterimination.
Difference in allotment is
less than or equal to error
threshold. Comparison is
over.
Difference is more than
error threshold.
Complete Comparison II.
Report least quantative
error amount.
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727 Transitional Benefits. Transitional benefits are an option a State may
choose to provide to households when they leave TANF or to households with children
leaving an eligible State-funded cash assistance program (SFCA) that is offered
statewide. The TANF/SFCA case must be closed prior to the household’s receipt of
transitional benefits.
•
•
•
A State may make this option available to “pure” TANF households
(households in which all members are in receipt of TANF benefits), or
A State may also choose to provide transitional benefits to mixed TANF
households (households containing both TANF recipients and members who
are not receiving TANF benefits), and
A State may also choose to provide transitional benefits to households with
children in a SFCA that is offered statewide.
If a State chooses to provide transitional benefits:
•
•
•
A household may receive the benefits for a period of not more than 5 months
after leaving the TANF/SFCA program
The eligibility worker must recalculate the household’s SNAP allotment by
removing the TANF/SFCA benefits to determine the household’s transitional
benefit
Those benefits are frozen at the new amount throughout the household’s
transitional period
States providing transitional benefits have the option to further adjust the
household’s benefit in the transitional period. The State may opt to take into account
changes in circumstances it learns from another program in which the household
participates.
In addition, in order to prevent duplicate participation, States must act when a
household member leaves a transitional benefit household and joins another SNAP
household.
Focus of the QC Review for Transitional Benefits. The focus of the QC review will be
on whether the household is eligible to receive transitional benefits and whether
those benefits were calculated correctly. The reviewer must determine whether:
•
•
727.1
The State chose the option to act on changes from another program in which
the household participates, or
The State agency became aware that a household member transferred to
another SNAP household
Determining Eligibility for Transitional Benefits. The reviewer
must determine if the household meets any of the following criteria that would
render the case ineligible to receive transitional benefits:
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•
•
•
•
The household lost its TANF/SFCA cash assistance because of a sanction
The household was disqualified from SNAP
The household is once again receiving TANF/SFCA benefits
The household is in a category of households designated by the State agency
as ineligible for transitional benefits
QC must use standard review procedures rather than the review procedures for
transitional benefits specified in this section if:
•
•
QC verifies that any of the above conditions apply, or
The transitional period was longer than allowable
If the eligibility worker failed to establish transitional benefits for a household that
should have been receiving transitional benefits, the case must be reviewed using
procedures specified in this section rather than the standard review procedures.
727.2 Changes after the Initial Authorization of Transitional
Benefits. The State agency is only allowed to adjust transitional benefits under two
circumstances:
1. Based on information reported from another program in which the household
participates, if the State agency opted to act on these changes, and
2. The state agency has become aware that a household member transferred to
another SNAP household. The State agency must act on this change in order
to avoid duplicate participation.
However, the household may choose to be recertified at any time during the
transitional period. Changes after the initial authorization of transitional benefits
must be reviewed as follows:
State opted to act on changes reported by another program in which the
household participates.
•
•
•
If the eligibility worker has changed the authorized transitional benefit as the
result of the state’s option, and the action is in effect AORD; then the
reviewer must determine the correctness of the new transitional benefit (See
Section 727.3.)
If the eligibility worker failed to change the authorized transitional benefits
as the result of such a change, and the change should have been in effect
AORD; then a variance exists
QC must complete the error determination using the corrected amounts from
the time of the reported change
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State opted not to act on changes reported by another program in which the
household participates.
•
•
If the eligibility worker has changed the authorized transitional benefit, and
the state has not chosen the option; then a variance exists
QC must complete the error determination using the corrected amounts from
the time of the initial authorization of transitional benefits (See Section
727.3.)
The household chose to be recertified. The household has an option of being
recertified at any time during the transitional benefit period, thus ending transitional
benefits. Those cases will be reviewed using standard review procedures.
Duplicate Participation. If a transitional benefit household member moves out and
becomes a member of another certified household, the eligibility worker must act on
this change to avoid possible duplicate participation.
•
The person leaving (along with that person’s income and deductible
expenses) must be removed from the transitional benefit household
If the eligibility worker failed to change the authorized transitional benefits as the
result of such a change, and the change should have been in effect AORD; then a
variance exists.
•
The reviewer must complete the error determination using the corrected
amounts from the time of the change
If the eligibility worker changed the authorized transitional benefits as the result of
such a change, and the action is in effect AORD; then the reviewer must determine
the correctness of the new transitional benefit in accordance with the procedures in
Section 727.3.
727.3
Variance Determination. There are separate procedures to follow
depending on whether the State has chosen the option to act on changes.
Note: The procedures for when the State has chosen the option to act on changes
must also be followed in situations when a household member leaves a transitional
benefit household and joins another SNAP household.
The reviewer must follow these steps in completing the error determination:
The State did not choose the option to act on changes from another program in
which the household participates:
Allotment Test Comparison I is not done first in this process.
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Using the steps below, if the transitional benefit is correctly calculated, the review
process is minimized by eliminating verification of the sample month circumstances.
Step 1. Determine whether the household is eligible to receive transitional benefits.
Step 2. Determine whether the transitional benefit amount was correct based on the
SNAP allotment authorized prior to the calculation of the transitional benefit.
a) Use the SNAP benefits for the last month TANF/SFCA benefits were
received
b) Subtract the TANF/SFCA benefit, then
c) Recalculate the SNAP benefits
•
•
If there is not a difference greater than the current FY error threshold, the
case is correct and the QC review process is over
If there is a difference greater than the current FY error threshold, go to step
3
Step 3. Verify the sample month’s amounts and circumstances. Calculate a benefit
amount based upon the sample month circumstances and compare to the allotment
actually received.
Note: This step is similar to Comparison I in the QC review process and provides the
State a second opportunity to have a correct case.
•
•
If the difference is less than or equal to the current FY error threshold, the
error is not included in the calculation of the official error rate for the State
agency and the QC review process is over
If the difference is greater than the current FY error threshold, the error is
included in the calculation of the official error rate for the State agency
Important: Use the lower amount from either step 2 or step 3.
The State chose the option to act on changes from another program in which the
household participates, or a household member leaves a transitional benefit
household and joins another SNAP household:
Allotment Test Comparison I is not done first in this process.
Note: Using the steps below, if the transitional benefit is correctly calculated, the
QC review process is minimized by eliminating verification of the sample month
circumstances.
Step 1. Determine whether the household is eligible to receive transitional benefits.
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Step 2. Determine if any changes occurred that were required to be included in the
transitional benefit calculation because:
•
•
They were reported to another Program and acted upon, or
A household member left the transitional benefit household and joined
another SNAP household
Step 3. Determine whether the transitional benefit amount was correct.
a)
b)
c)
d)
Use the SNAP benefits for the last month TANF/SFCA benefits were
received,
Subtract the TANF/SFCA benefit,
Account for any changes that should have been made, then
Recalculate the SNAP benefits.
•
If the difference is less than or equal to the current FY error threshold, the
error is not included in the calculation of the official error rate for the State
agency and the QC review process is over
• If the difference is greater than the current FY error threshold, go to step 4
Step 4. Verify the sample month’s amounts and circumstances. Calculate a benefit
amount based upon the sample month circumstances and compare to the allotment
actually received.
Note: This step is similar to Comparison I in the QC review process and provides the
State a second opportunity to have a correct case.
•
•
If the difference is less than or equal to the current FY error threshold, the
error is not included in the calculation of the official error rate for the State
agency and the QC review process is over
If the difference is greater than the current FY error threshold, the error is
included in the calculation of the official error rate for the State agency
Important: Use the lower amount from either step 3 or step 4.
730
BEGINNING MONTHS. Households, otherwise subject to retrospective
budgeting, are certified under prospective eligibility and budgeting during "beginning"
months.
• The first beginning month cannot follow any month in which the household
was previously certified
• QC must determine which households are eligible for beginning month
treatment and if the State had one or two beginning months
731
Verification Time Periods. Households entitled to "beginning month"
treatment are subject to prospective eligibility and benefits. QC must verify
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household circumstances AORD, except for income and deductions which must be
verified for the entire issuance month.
•
Monthly income may be averaged or converted during beginning months.
732
Changes. Beginning month treatment does not affect the household's
732.1
Elements Subject to the Change Reporting Requirements. Use
732.2
Elements Subject to the Monthly Reporting Requirements. This
reporting requirements unless the State has a waiver. Therefore, the following
procedures apply.
the change reporting procedures in Section 722.
section applies the monthly reporting requirements to prospective budgeting for
beginning months.
•
•
First Beginning Month. When the sample month is the first beginning month,
all unreported changes that became known to the household after the
interview are excluded.
Second Beginning Month. When the sample month is the second beginning
month, use the following procedures:
A. One-Month System. Any unreported changes that occurred or
became known to the household prior to the budget month, and will
continue through the budget month must be included in the error
determination. Exception: When a household applies for initial
benefits after the 15th of the month, and receives a combined first
and second allotment, a variance may be the result of a change that
occurred in the budget month. In such situations, any changes that
occurred or became known during the budget month must be
excluded from the error determination process. For reported
changes, use the procedures in Section 723.1.
B. Two-Month System. For the second beginning month, all unreported
changes that became known to the household after the interview
must be excluded. Variances resulting from changes that occurred or
became known to the household prior to that time must be included.
If a household applies in one month, but is not interviewed until the
following month, the first monthly report will not be due until the
third month.
In such cases, the missing report review procedures in Section 751 shall
not apply for the first three months.
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740
MASS CHANGES.
741
General. State agencies are required to change the benefit level of
individual households when certain Federal and State agency changes are made which
affect the entire SNAP caseload or a significant portion of the caseload.
Individual notices of adverse action cannot be sent for these changes.
Variances must be included in the error determination when they result from:
•
•
741.1
Untimely implementation as defined by certification requirements, or
Incorrect implementation.
Regulatory Changes. When Federal SNAP regulations are changed, the
implementation dates are specified in the regulations.
•
•
For prospective eligibility and prospective allotments, the implementation
date is that specified in the regulations
For retrospective eligibility and retrospective allotments, the implementation
date is the first budget month that includes the implementation date
Example: If the implementation date for a new regulation is January 1, the
first allotment in a two-month, retrospective system is the March allotment.
This policy applies to all Federal SNAP changes unless otherwise specifically stated in
the regulations except for adjustments to:
•
•
•
Eligibility standards
Allotments, and
Deductions that go into effect for all households at the same time
See instructions in Section 741.2.
Variances must be included in the error determination if they are a result of:
•
•
Untimely application of changes as a result of a revision to regulations, in
accordance with certification requirements, or
Incorrect implementation
See Section 756 for instructions regarding the 120-day variance exclusion period.
741.2
Periodic SNAP Adjustments. Federal adjustments to the eligibility
standards, allotments, and deductions and any annual seasonal State adjustments to
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utility standards go into effect prospectively for all households at a specific point in
time.
Variances must be included in the error determination that result from:
•
•
Untimely implementation as defined by certification requirements, or
Incorrect implementation
741.3
PA Changes. The State agency must change SNAP benefits in the same
month as the PA change when it has at least 30 days advance knowledge of the
amount of overall adjustments to PA payments. If the State agency has less time, it is
required to make the SNAP change no later than the month following the PA change.
Variances that result from untimely processing, in accordance with certification
requirements, or incorrect processing of SNAP changes must be included in the error
determination.
This section also applies to GA mass changes if the State agency administers the GA
program.
741.4 Social Security and Other Federal Mass Changes. State agencies
are required to make SNAP changes to reflect cost-of-living adjustments (COLAs) and
any other mass changes under Retirement, Survivors, and Disability Income (RSDI); SSI
and other Federal programs such as veterans, assistance under Title 38 of the United
States Code and the Black Lung Program when information on COLAs is readily
available and applicable to all or a majority of those programs' beneficiaries.
•
•
Monthly Reporting Households. These households are required to report
income changes resulting from Federal mass changes (other than PA) on their
monthly reports. The reviewer must handle such changes as any other income
change that was required to be reported on the monthly report. Refer to
Section 723 on monthly reporting to determine which variances to include.
Non-monthly Reporting Households. The State agency is required to
automatically adjust the SNAP benefit level for households affected by these
mass changes. Variances resulting from untimely processing, in accordance
with certification requirements, or incorrect processing of SNAP changes must
be included in the error determination. (The reviewer should check to see if
the State agency's procedures provide for using a flat percentage rather than
the exact amount of a Social Security or SSI change.) The SNAP change must
be made no later than the second allotment after the change in income
became effective. For retrospectively budgeted households, the change must
not be made prior to the first budget month it became effective.
Example: An increase in SSI in January in a two-month retrospective system
would be made when January becomes the budget month, i.e., March.
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750
OTHER INCLUDED AND EXCLUDED VARIANCES. Refer to Chapter 6
for the error determination process, Chapters 8-11 for errors by specific element.
751
Missing Reports. QC must not determine the household ineligible solely
because a required report is missing.
The reviewer must determine if the household failed to return the report or if the
report was returned and is missing. The reviewer must document the 380 worksheet
with the case circumstances.
The reviewer must do the following if the report was not sent to the household by the
State agency or was never returned by the household (documentation should clearly
indicate which situation is applicable):
•
•
The reviewer must verify the household's actual circumstances for the
appropriate sample or budget month and compare them to the EW worksheet.
Variances that result when there is a missing report must be included in the
error determination, except specific variances described in Sections 754-757
The reviewer must do the following if the report was returned and is missing:
•
•
The reviewer must verify household’s circumstances for the missing report.
Verified sample month circumstances must be compared to the information
gathered for the missing report. If the difference in the allotment exceeds
the error threshold, Comparison II will be examined using actual verified
circumstances from the missing report
Variances that result when there is a missing report must be included in the
error determination, except specific variances described in Sections 754-757
752
Expired Certification Periods. The reviewer must not determine a
household ineligible solely because its certification period has expired.
•
•
753
The reviewer must verify the household's actual circumstances for the
appropriate sample or budget month and compare them to the EW worksheet
Variances which result must be included in the error determination, except
specific variances described in Sections 754-757
Expedited Service. For expedited service cases, variances in elements
for which verification was postponed are excluded provided the household's identity
was verified and the verifications that were postponed were documented at the time
of the expedited certification. Such elements need not be verified by the reviewer.
This provision only applies to households certified in the sample month that were:
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•
•
Correctly processed under the procedures for expedited service, and
Entitled to expedited services (based on the application and, if applicable,
the household’s declaration during the interview)
The review procedures in Section 753 do not apply if the EW’s lack of documentation
or lack of documentation of postponed verification prevents the reviewer from
determining the case was certified under expedited procedures.
Variance exclusions:
The provision that variances will be excluded in elements for which verification was
postponed normally is applicable only to the first months' issuance. However, in some
situations, the household applies after the 15th of the month and is entitled to both
expedited service and waived verification for the first and second months' benefits. In
such situations the variance exclusion provisions of this section apply to appropriate
elements for both of those months.
Determinations made after application:
In some circumstances, a household may not be determined eligible for expedited
service at the time of application, but later determined eligible during the interview.
The provisions in this section apply provided the cause for the change in expedited
determination is based on one of the following reasons:
•
•
The household was not determined eligible for expedited service at the time of
application due to insufficient information on the application to make that
determination, or
The household's circumstances changed between the time of application and
the time of the interview such that the household became eligible for
expedited service after the application was submitted
Documentation requirements:
•
•
•
•
754
Explain how QC determined the case was eligible for expedited services;
Document what month(s) expedited service covers;
Document the elements of eligibility of postponed verification and what
verification was postponed according to the documentation in the certification
case file; and
Clear any discrepancies between determination of eligibility for expedited
services based on the application and, when applicable, the household’s
declaration during the interview
Information from a Federal Source. Any variance resulting from the
State agency’s use of inaccurate information provided by a Federal source is excluded
provided that such information was processed correctly by the State agency.
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755
SAVE. Two variances relating to the Systematic Alien Verification for
Entitlements (SAVE) program are excluded.
•
A variance based on a verification of non-citizen documentation by the US
Citizenship and Immigration Service(USCIS) if the State agency properly used
SAVE and the State Agency provides the reviewer with:
1. The non-citizen’s name
2. The non-citizen’s status, and
3. Either the Alien Status Verification Index (ASVI) Query Verification
Number or the USCIS Form G-845, as annotated by USCIS
•
A variance based on the State agency's wait for the response of USCIS to the
State agency's request for official verification of the non-citizen’s
documentation if the State agency properly used SAVE and the State Agency
provides the reviewer with either:
1. The date of request if the State agency was waiting for an automated
response, or
2. A copy of the completed Form G-845 if the State agency was waiting
for secondary verification from USCIS.
756
Application of New Regulations. The reviewer will exclude variances
757
Federal Written Policy. The reviewer will exclude variances resulting
resulting from the application of a new SNAP Federal regulation or implementing
memorandum for a 120-day period of time in accordance with specific instructions
contained in the regulation or implementing memorandum, provided that the State
agency has implemented the regulation. The variance exclusion period will only fully
apply if the State agency has implemented the regulatory change in a timely manner
and in accordance with the provisions of the regulatory change.
from incorrect written policy that a State Agency acts on that is provided by a USDA
employee authorized to issue SNAP Policy and that the State agency correctly applies.
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Chapter 8
NON-FINANCIAL ELIGIBILITY CRITERIA
800
GENERAL. This chapter discusses verification requirements and error
810
AGE AND SCHOOL ATTENDANCE.
811
Age - 110. Age may be verified for all household members. Age must
determination for non-financial eligibility criteria.
be verified when eligibility and/or allotment are affected. For example, students
under 18 years of age with earned income, or persons age 60 and over with medical
expenses or resources.
For standard verification the reviewer will use the following:
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
812
Birth certificate
Adoption papers or records
Hospital or clinic records
Church records
Baptismal certificate
Bureau of Vital Statistics
U.S. passport
Family Bible records
Indian census records
Workforce Innovation and Opportunity Act (WIOA) of 1998 document
assigning to or placing in an institution of higher learning
Social Security records
Military records
School records, or a statement signed by school authorities
Census records
Driver's license
Court support order
Juvenile court records
Child welfare records
State issued identification
School Enrollment. School enrollment must be verified for children
under 18 who have earned income. School enrollment is also verified with respect
to household members who are 18 and over, but under 50 and enrolled in postsecondary, vocational, trade, etc., schools; and to "students" as defined by SNAP
who are enrolled in institutions of higher education.
When the head of household declares a child under 18 with earned income is not
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attending school, their declaration on school attendance need not be verified. The
earnings of that child, however, must be verified and budgeted in accordance with
procedures in Chapter 12.
812.1
Student Status - 111. A person enrolled at least half-time in an
institution of higher education is not eligible to participate in the SNAP unless the
person meets certain eligibility criteria. The enrollment status begins on the first
day of the school term. Enrollment is deemed to continue through normal periods
of class attendance, vacation and recess unless the person:
•
•
•
•
Graduates
Is suspended or expelled
Drops out, or
Does not intend to enroll for the next normal school term (excluding
summer school)
812.2
Standard Verification. School Authorities.
820
CITIZENSHIP AND NON-CITIZEN STATUS - 130. Only citizens
821
U.S. Citizenship (By Birth or Naturalization). When a
and certain legal non-citizens are eligible to participate in SNAP.
household's statement that one of its members is a U.S. citizen is questionable, the
reviewer must verify whether or not the person is a citizen.
For standard verification the reviewer will use the following:
•
•
•
•
•
•
•
•
•
Birth certificate
Naturalization papers from the United States Citizenship and
Immigration Services (USCIS) such as USCIS Forms I-179 or I-197
Passport
Hospital record of birth
Baptismal record, only when place and date of birth is shown
Family Bible
Military service papers
Indian census records
Voter registration card
If none of the above is available and the household can provide a reasonable
explanation why verification is not available, the reviewer may accept a signed
statement from someone who is a U.S. citizen who declares, under penalties of
perjury, that the member in question is a U.S. citizen.
The signed statement must contain a warning of the penalties for helping someone
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commit fraud, such as, "If you intentionally give false information to help this person
get SNAP benefits, you may be fined, imprisoned, or both."
822
Non-Citizen Status. If a household member is not a citizen, the
reviewer must verify non- citizen status. Verification is not required if the household
member elected not to participate in SNAP, because they did not wish to provide
their immigration status or Social Security Number. Verification of non- citizen
status can only be accomplished through the documentation specified for use at
certification.
There are two basic ways that a non-citizen may participate in SNAP.
1) There are some individuals who are eligible based upon their origin such as:
• American Indians born outside the US
• American Indians eligible for special programs and services
• Hmong or Highland Laotian, spouses and dependent children
2) There are other individuals who must be qualified and eligible:
i. Qualified
• Lawfully admitted for permanent residence
• Granted asylum
• Refugees
• Paroled into US for at least 1 year
• Deportation being withheld
• Granted conditional entry
• Battered or subjected to extreme cruelty in US
• Cuban or Haitian entrant
• Victims of trafficking as defined by Section 207 of the Immigration
and Nationality Act (INA)
ii. Eligible (must meet an eligibility requirement to receive SNAP)
•
•
•
•
•
Residing in the US for at least 5 years
40 quarters of coverage by Social Security Administration (SSA)
Time limitation under certain qualifications
Military connection
a. veteran
b. active duty
c. spouse/dependent of a veteran or active duty
Lawfully residing in US and one of the following:
a. receiving assistance for the blind or disabled
b. residing in the US on 8-22-1996, and born on or before 8-221931
c. now under 18 years old
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•
•
•
Verification of qualifying status and eligibility are done following
certification guidelines. In the case of immigrant status, use only
USCIS documentation and DOJ guidance to verify qualifying status
and eligibility status. Some individuals will require additional
verification of quarters of coverage or military related
requirements
In the case of non-citizens who qualify for participation in the
program as a result of veteran status or military service, the
reviewer must verify the status of the individual through the use of
Department of Defense (DOD) records and forms. Only DOD
documentation is acceptable to verify the military service status of
these individuals
In the case of non-citizens who qualify for participation in SNAP as
a result of 40 qualifying quarters of work, the reviewer must verify
the eligibility of the individual(s) through information from SSA
records made available to the State agency, or through employer
work records. Reviewers are not required to reverify the status of
the non-citizen with SSA if information is available from the State
Verification and Exchange System (SVES), which confirms the status
of the non-citizen, and the quarters of coverage history system
(QCHS), which provides the number of qualifying quarters of work
822.1 Reviewer Contact with USCIS. Only USCIS documentation is
acceptable. If verification in the case record is not adequate and the non-citizen is
unable to provide USCIS documentation, the reviewer must obtain the non- citizen’s
written consent before contacting USCIS for verification of non-citizen status. If
the non-citizen will not provide written consent, the reviewer must not contact
USCIS. If verification of eligible non-citizen status is not provided or not provided
on a timely basis, the non-citizen must be considered ineligible.
822.2
Variances. A case must be reported as containing a client-caused
variance if the reviewer determines:
•
A household member(s) reported to be a U.S. citizen or an eligible noncitizen is actually not a citizen or is an ineligible non-citizen
A case must be reported as containing an agency-caused variance if the reviewer
determines:
•
•
The agency had information of the status of the household member(s) as
non-citizen(s) that did not meet the criteria of any of the classes eligible for
participation in SNAP, and failed to take appropriate action to remove the
individual(s), or
The eligibility worker failed to verify the eligibility status of a non- citizen,
as required, and the non-citizen is ineligible for SNAP
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In making the error determination, the reviewer will exclude the ineligible
member(s) in determining SNAP benefits for the sample month. The income and
resources of any ineligible member(s) shall be handled in accordance with
certification policy.
In addition, if the reviewer determines that any eligible non-citizen(s) have been
improperly excluded from the household, then a variance will be cited. The error
determination will be completed by including the eligible non- citizen(s) in the
household.
Apply appropriate time frames and requirements for reporting and acting on
changes in the household circumstances. Deficiencies, other than those
referenced above, must not be included in the error determination.
823
Reports Concerning Illegal Non-citizens. If the reviewer
determines the presence in the household of a person or persons who have entered
or remained illegally in the United States, QC staff must:
•
•
•
•
Determine if USCIS has declined a deportation action, as indicated by
documentation in the case record. If there is documentation that USCIS has
declined deportation, Section 823 does not apply, and this must be
documented on the FNS-Form 380
Enter this information on the worksheet in column 3
Forward a report to the local agency identifying the illegal non-citizen as a
non-household member
Not contact USCIS regarding information obtained relative to illegal noncitizens
830
RESIDENCY - 140. The reviewer must determine that the household
831
Standard Verification. The reviewer may use, but is not limited to,
resided in the state or project area as of review the date (AORD). In unusual cases
(such as homeless households, some migrant farmworker households or households
newly arrived in the area) where verification of residency cannot reasonably be
accomplished, the reviewer must document that he/she attempted to verify
residency. Verifications for other elements can be used to verify residency, like
shelter or utility verifications. Verification of residency is not required for
categorically eligible households.
the following:
•
•
•
Statement from a non-relative landlord
Rent or mortgage receipt from non-relative landlord showing the address
given
Official records confirming ownership of a house at the address given
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•
•
•
•
•
•
•
•
•
•
•
•
Employer's statement
List of residents from a responsible official of a drug/alcoholic treatment
center or group home, who is not the household's authorized
representative
Tax office records
Post Office records
Church or synagogue records
Utility company records or bills
Signed statement, or documented verbal statement, from non- relative
Item of mail with household name and address with postmark or date
AORD
Other property records
Current driver's license
Department of Motor Vehicles document(s)
Voter Registration
832
Resident of Institution. If a household is found to have been a
resident of a type of institution which makes the household ineligible, that fact
must be documented under this element and also noted under Element 150 Household Composition.
Documentation must include the type of institution, name and title of person
providing information, institution name, address, phone number and date of
contact.
840
HOUSEHOLD COMPOSITION AND LIVING ARRANGEMENT 150. The reviewer must determine household composition.
This is done by verifying and documenting:
•
•
•
If any individuals were included in the household who should not
have been included or should have been determined an ineligible
household member
If any individuals were not included in the household
who should have been included; and
Who these individuals were
This includes household eligibility with respect to residence in institutions
as verified under Element 140 RESIDENCY.
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841
Categorically Eligible Households. The reviewer must first verify
the household's correct composition.
The reviewer must then verify whether all household members received or were
authorized to receive Public Assistance (PA), Supplemental Security Income (SSI),
State or local General Assistance (GA) payment or benefits from a State Program
conferring categorical eligibility.
The reviewer must then determine certain household characteristics that would
prohibit households or individuals in households from being eligible under
categorical eligibility procedures.
The entire household must not be considered categorically eligible and must be
reviewed under all regular SNAP eligibility and benefit provisions if:
•
•
•
•
•
•
•
•
Any member of the household has been disqualified for an Intentional
Program Violation (IPV)
The household has refused to cooperate in providing information to the
State agency that is necessary for making a determination of eligibility or
for completing any subsequent review of its eligibility
The household is ineligible under striker provisions
The household is ineligible because it knowingly transferred resources for
the purposes of qualifying or attempting to qualify for SNAP
The household has failed to comply with monthly reporting requirements
Any member failed to comply with workfare requirements
The head of household has been disqualified for failure to comply with
work requirements, or
Any member of the household has been found ineligible by virtue of a
drug-related felony conviction
If categorical eligibility is conferred by a State Program, the reviewer must verify
the case record is documented as such and review the case as categorically eligible,
unless one of the prohibitions above exists or existed at the time of the last
certification action that established categorical eligibility.
When determining household composition, certain individuals are prohibited from
being included as members of a categorically eligible household and will usually be
ineligible, generally, from participating in SNAP. For these individuals, they must be
removed from the household and their participation, including any resources,
income, or deductions, must be reviewed under all normal SNAP eligibility and
benefit determination rules while the remaining household is reviewed under
categorical eligibility if otherwise eligible. Such individuals include:
•
•
Ineligible non-citizens
Ineligible students
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•
•
•
•
Disqualified for failure to provide or apply for an SSN
SSI recipients in a cash-out State
Persons institutionalized in a nonexempt facility, and
Individuals, other than the head of household (in which case the
prohibition from categorical eligibility is extended to the whole
household, as indicated above), who are found ineligible for failure to
comply with work requirements
The reviewer need not review the following elements of eligibility which are
deemed by categorical eligibility. Included variances cannot exist in these
elements:
•
•
•
•
•
Resources
Gross and net income limits
Social Security Number (SSN)
Residency, and
Sponsored non-citizen information
Although categorically eligible households are exempt from gross and net
income limits, the reviewer is still required to determine the household's income
for the appropriate budget/sample month in order to establish the correct
benefit level.
842
Method of Verifying Household Composition. Household
composition must be established early on in the review process to ensure an
efficient, effective and conclusive review. Because household composition will
typically be explored early in the interview process, it is presented here as a series
of sequential inquiries to guide the reviewer to some of the more common situations
affecting household composition. The issues discussed here are not inclusive of all
possible issues but provide a framework for the reviewer to follow. Documentation
of all household composition agreements and disagreements by the household must
be included on Form FNS-380.
842.1 Household Statement and Reviewer Inquiry About
Membership. During the interview, the reviewer must:
•
•
•
Ask the household to state who was in the household AORD
Ask the household if there were any other household members AORD and
Ask the relationship or significance among the various individuals in the
household AORD
Based on the results of this inquiry, the reviewer will obtain statements and
information from the household that either agrees with or contradicts information
discovered during the case record review. The reviewer will first attempt to clarify
and resolve discrepancies on household composition with the household before
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contacting collateral contacts, as required, to ensure any discrepancies that cannot
be resolved by the household will be addressed with minimal burden on collateral
contacts, such as multiple discussions with the same collateral contact. The
reviewer’s actions before contacting the collateral contact, then, will be guided by
the household’s initial responses as they relate to the case record and are as
follows:
1. Household Statement Agrees with Case Record. If the household's
statement agrees with the case record, the reviewer must:
•
•
Document this and obtain the name of a collateral contact the
household believes to be best able to verify household composition
Obtain verification from other collateral contacts if the household
cannot provide a collateral contact. Possibilities include:
Landlords
School officials
Ministers
Physicians
Visiting nurses, and
Neighbors
The criteria for acceptable collateral contacts for this element are discussed in
Section 842.2.
2. Household Statement Disagrees with Case Record. The reviewer must ask
about the status of individuals if the household's statement:
•
•
Includes person(s) not listed in the case record as member(s) of the
household, or
Does not include person(s) listed in the case record as member(s) of
the household
When the household statement disagrees with the case record, the reviewer must
clear this discrepancy. To do so, the reviewer’s actions will depend upon the
manner in which the household has responded to the difference in household
composition.
•
Additional Members. When the discrepancy regards an additional
household member not found in the case record and the:
Household Acknowledges Other Members. If the household
acknowledges other members, the reviewer must obtain the
appropriate information about those individuals and proceed with
routine verification using collateral contacts
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Household Denies Any Other Members. Reviewer action when
the household denies that there were additional household
members depends on whether there is reason to doubt the
household's statement
Reviewer Has No Reason to Doubt Household's Statement. If the
reviewer has no reason to doubt the household's denial of any other
members AORD, and there is no evidence to the contrary, then
further discussion with the household about this matter is not
necessary
Reviewer Has Reason to Doubt the Household's Statement. There
are several reasons why a reviewer may doubt the household's
statement. For example, the reviewer may observe other
individuals in the house or evidence of others living there. When a
reviewer has reason to doubt a household's denial of others in the
household, the reviewer must specifically question the household
about this
•
Unreported Member. When the discrepancy regards a household
member that the household asserts should not be included and the:
Household Disclaims Person Shown in Case Record. If the
household asserts that a person shown in the case record was not a
member AORD, the reviewer must obtain and document the
household’s statement of where the person was AORD
If the household asserts that the person was elsewhere, the
reviewer must verify that statement using collateral contacts or
other evidence
If the household admits that the person was present but claims
he/she is not a household member, the reviewer must obtain
specific information about the person to determine their status
using household composition policy. This should lead to a
determination of whether there is proof the person was or was not
a household member (for example, a live-in attendant, boarder, or
a member of a group sharing living quarters but not purchasing and
preparing food together with that household). Using the
information obtained, the reviewer must verify the individual’s
status as a household or non-household member using collateral
contacts
3. Household statement/State QC Reviewer work above does not resolve
discrepancy. Any difference still unresolved must be handled using collateral
contacts as discussed in the following sections. Section 842.2 discusses
inquiries to collateral contacts generally, and Section 842.3 discusses ways to
deal with discrepancies in household statements and collateral contact
statements.
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842.2 Inquiry to Collateral Contacts About Household Members.
Reviewers are required to verify household composition with at least one individual who is
not a household member and does not live with the household.
Evidence for standard verification of household composition is information from a
collateral contact that positively identifies the household members. A list of names
of presumed household members must not be provided to the collateral contact for
confirmation. The reviewer must ask the collateral contact to specifically name the
individuals who live in the household.
Collateral contacts may state there are additional members in the household other
than those the reviewer has already identified in interviewing the household.
Whether or not such statements are made, the reviewer must ask collateral contacts
if there are any other household members and document the worksheet with the
response.
•
•
If the collateral contact's statement of all individuals in the household
matches the household composition as determined by the reviewer from the
household interview, the household composition is considered verified
If this level of verification is unsuccessful, documentation on the worksheet
must show the reason and how any inconsistencies were resolved
842.3 Inconsistencies in Information About Household Composition.
Inconsistencies between household statement of composition and the case record
are discussed in 842.1. This section discusses statements by collateral contacts
relative to household composition issues.
•
•
Collateral Contacts Indicate Additional Members - A collateral contact
indicates there was an individual in the household which the household did
not claim as a member
Collateral Contacts Indicate a Claimed Household Member Was Not a
Member - A collateral contact indicates an individual whom the household
claimed was a household member was not
When the reviewer discovers inconsistent information between household
statements on composition and collateral contacts statements, the reviewer must
use the procedures in Section 842.4.
842.4
Actions to Resolve Inconsistencies. Reviewers must resolve
inconsistencies in information about household composition by contacting collateral
contacts and by re-contacting the household, as appropriate.
Household Agrees with Collateral Contact Verification: If, as a result of the
reviewer re-contacting it, the household acknowledges a member other than ones it
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had previously claimed and/or acknowledges a claimed member was not one; the
reviewer proceeds with the review using the adjusted household composition.
Household Disagrees with Collateral Contact Verification: If, the household
contends that its assertion is correct and the reviewer does not have strong
evidence to the contrary; then the reviewer must use the household composition
based on the information provided by the household.
Several aspects of this situation need to be noted.
•
First, the statement must be positive and specific
Example: A landlord states he knows for a fact that a certain individual
moved out prior to the time when the individual would have been included
in the household. The household would need to be re-contacted in this type
of situation.
•
Second, in some situations, re-contacting the household is not necessary
Example: A minister or physician verifies that an individual, whom the
household claimed as a member, died prior to the time the individual could
have been included as a household member.
Reviewer Action When Verification Is Unobtainable or Inadequate. When the
reviewer cannot obtain verification or it is inadequate, either for the entire
household or some of its members, the household's statement must be used for
household composition.
Important: In all instances in which inconsistencies must be resolved, the reviewer
must document all contacts with the household and collaterals as well as the
reviewer’s reasoning for their final determination on Form FNS-380.
843
Residents of Certain Institutions. When a household member(s) was
a resident of an institution AORD that makes them ineligible, verification must be
documented under Element 140 – RESIDENCY. A note must be made under Element
150 – HOUSEHOLD COMPOSITION. Refer to Chapter 5 for documentation
requirements.
844
Error Determination. In the majority of cases with a variance in
household composition, the variance will be handled by simply adding or subtracting
the individual and their circumstances from the household.
844.1
Household Consolidation/Movement. The procedures in this
section apply to situations involving two or more separately certified households,
regardless of size, that should have been certified as one household AORD. They do
not apply to duplicate participation situations (see 844.2) or situations involving an
individual member of a certified household moving in with another separately
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certified household (see 844.3). This may or may not involve movement of the
households.
Example: A mother, her 4 children, and 2 grandchildren live together in the
household. The mother and 3 of the children are certified on one SNAP case, and the
4th child, a 21-year-old daughter and her 2 children are certified on a separate SNAP
case. Based on certification policy, the 21-year-old and her children should have
been certified on the same case as part of her mother’s SNAP household.
The procedures below apply to whichever household is sampled.
•
Include all households with their income, deductions, resources, etc., in a
computation of what the household should have received for the sample
month
• Add up all SNAP issuances received by all individuals who should have been
included in the household for the sample month
• Compare the allotment amount the household should have received to the
combined total issued for the sample month
• If the difference is less than or equal to the current FY error threshold, the
allotment issued to the case under review, the review finding (correct,
overissuance, underissunace, or ineligible) and the error amount (if the
case is an error) must be reported. For overissunaces and underissuances
that are less than or equal to the current FY error threshold, the case will
be treated as correct when calculating the State’s official error rate.
• If the household was ineligible, the allotment issued to the case under
review is reported as being in error
• If the entire household was eligible, but was underissued or overissued by
more than the current FY error threshold, the reviewer must proceed to
the next step
• Calculate the percentage of the total issued that is the allotment issued to
the case under review
• Multiply the amount underissued or overissued by this percentage, rounding
the answer down to the nearest whole dollar figure
• For the error determination:
If the result is less than or equal to the current FY error threshold, the
allotment issued to the case under review is reported as not containing
an error included in the State’s official error rate
If the result is more than the current FY error threshold, the result is
reported as the amount in error for the case under review
Note: Although the total amount of SNAP benefits issued to the household
is used to calculate the dollar loss, only the amount authorized to the case
selected for review will be reflected on Form FNS-380-1 as the allotment
amount.
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Example of Determining the Amount of Error when Households Should Have
Been Combined: There were two certified households that should have been
certified as one household. The first certified household which was selected for
review had 3 members and received an allotment of $248. The second certified
household had 2 members and received an allotment of $53.
When considering all of the individuals and what benefits they should have
received as a single household, the reviewer determines they were entitled to
$107 in benefits.
Household #1 allotment - $248 + Household # 2 allotment - $53 = $301
$301 allotment the household received - $107 allotment the household should have
received = $194 overissuance
The difference is greater than the current FY error threshold; therefore the
reviewer must:
1. Calculate the percentage that the allotment issued to the case under review
is of the total issued;
$248 x 100 = 24,800 / $301 = 82.39%
2. Multiply the amount under or overissued by this percentage, rounding
the answer down to the nearest whole dollar figure;
$194 overissuance x 82.39% = $159.83 round down to $159
Since this is greater than FY error threshold, the error for the case under review
is $159.
844.2 Duplicate Participation by All or Some Members of the Same
Household. The procedures in this section are used when all members of one
certified household are also participating as members of another separately
certified household. This may or may not involve movement of the household.
These procedures apply if either household is sampled.
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When the reviewer verifies that an
individual or group of individuals have
been included as household members in
the case under review, and the
individual(s) received an allotment as a
separate household for the sample
month, the reviewer must determine
which case was the first to be correctly
authorized to receive benefits. If that
case is sampled it would be correct for
this element.
Example of the Review Procedure
for Duplicate Participation: The
State agency correctly certified a
household with five members (Case
A). The State agency later certified
two members of household A as
another household (Case B). The
result is that all members of Case B
are duplicate participants. If A is
sampled, A is correct for this
element. If B is sampled, there is a
variance as the members were
already included in Case A, and the
total allotment issued to household
B should be considered an
overpayment.
Example: A mother, her 4 children,
and 2 grandchildren live together in
the household. They are all certified
together as one household in January
(Case A). A few months later,
certified beginning April, the 4th
child, a 23-year-old daughter and
her 2 children are certified on a
separate SNAP case, stating they
now purchase and prepare
separately (Case B). The sample
month is June. If Case A is sampled
and the reviewer determines the
household did purchase and prepare
together at that time; then it is
correct for this element because it
was the first case correctly certified.
If Case B is sampled; there is a
variance because all members were
already included in Case A, and the
total allotment issued to the
household in Case B is considered an
overissuance.
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Note: Households on Indian reservations are not eligible to participate in both the
Food Distribution Program and SNAP simultaneously. A household that participated
in both programs in the sample month is ineligible for SNAP if it was certified for the
Food Distribution Program first.
844.3
Transfer/Movement of Individuals into, Out of, and
Between SNAP Households. The procedures in this section pertain to an
individual member(s) of one certified household moving/transferring into another
certified household, and may or may not involve duplicate participation of the
individual member. These procedures apply if either household is sampled. This
section does not apply to movement/consolidation of the entire household. (See
Section 844.1.)
Note the following household scenarios:
•
•
•
•
If an individual is certified as a one-person household, and moves into
another certified household, use review procedures at 844.1 or 844.2 as
appropriate
When one or more individuals move from one certified household to another
certified household, the reviewer must ensure that the individual(s) and any
associated income and/or deductions are not used in both households'
budget calculations
If the agency policy requires that individuals and their circumstances be
included in the gaining household AORD, but fails to include them in the
gaining household's budget calculations; a variance exists and the reviewer
must include the individual(s) and their circumstances in the gaining
household's budget for the issuance month
Similarly, if the agency fails to remove the individual(s) and their
circumstances from a losing household's budget AORD, a variance exists, and
the reviewer must remove the individual(s) from the losing household's
budget
Important: A problem in a case related to the case under review through movement
of individuals does not necessarily result in a variance in the case under review.
Example: The case under review is a household losing an individual to another
participating SNAP household and the transfer should have been made AORD. No
variance would exist in the case under review if the individual and his/her
circumstances had been removed from this household, even if the individual was
never added to the gaining household's budget.
The determination of whether a variance exists depends upon whether the case
under review is the household gaining or losing members, and whether the change
must be effective AORD, considering requirements for reporting and acting on
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changes.
Situations
Individual(s)
included in both
households
Individual(s) not
included in either
household
Individual(s)
included in losing
household only
Gaining household
under review
No variance in
household
composition
Variance- Add
individual(s) to
household
Variance- Add
individual(s) to
household
Losing household
under review
Variance- Remove
individual(s) from
household
No variance in
household
composition
Variance- Remove
individual(s) from
household
845 New Members Added to a Retrospectively Budgeted Household
- Two-Month System. The following applies when a household reports the
addition of an individual during the processing month of a two-month system:
•
•
•
•
•
The agency may have to include the individual(s) and their circumstances in
the household's eligibility and allotment determinations for the sample
month's issuance even if the change is reported after submission of a
monthly report
The agency would not include an individual who was already participating as
part of another household in the sample month
If the agency failed to make a required change, the variance is included in
the error determination
If a new member was not certified for SNAP prior to joining a
retrospectively budgeted SNAP household, the new member must be added
using prospective eligibility and budgeting procedures for the new member
Household composition must be determined prospectively, and the new
member's circumstances must be determined prospectively and added to
the household's prospective or retrospective circumstances depending upon
whether the household was subject to prospective or retrospective
eligibility
The new member's circumstances for the issuance month must be added to the
household's circumstances for the budget month for the calculation of benefits.
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If a new member moved out of one
Example of adding new members
to a retrospectively budgeted
household: For example, a twoperson household was participating
in a two-month retrospective
budgeting system based on monthly
income of $200. On July 29, in the
processing month, the household
reported a new member moved in.
He had $100 unearned income in
June and July and anticipated no
income in August. The new member
was not previously certified for
SNAP. The State must add the new
member prospectively to the
retrospectively budgeted household
for the issuance month of August.
Therefore, eligibility and the
allotment would be based on three
members with $200 income.
SNAP household and into a
retrospectively budgeted household,
with no break in participation, the new
member must be added to the
household using the new member's
circumstances from the budget month
for allotment purposes. Whether the
new member's circumstances will be
determined prospectively or
retrospectively for eligibility purposes
will depend upon whether the
household was subject to prospective
or retrospective eligibility.
846
Separated Households. If a household separated and became two
or more separate SNAP households at some time prior to the date for which
household composition must be determined, use the following procedures to
determine which household to review.
If the State agency assigns case numbers by SSN:
•
•
Review the household with the majority of members, who were certified as
members of the sampled case, provided the majority contains an adult
member who was certified as a member of the sampled case
If there is no majority or no adult from the sampled household in the
majority, review the household that contains the individual with the social
security number that corresponds to the sampled case
If the State agency assigns case numbers by some means other than SSN:
•
•
Review the household that would have retained the sampled case number
using the State's procedures
If neither household would have retained the case number, review the
household that contains the majority of the members, who were certified as
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•
members of the sampled case, provided the majority contains an adult
member who was certified as a member of the sampled case
If there is no majority or no adult from the sampled household in the
majority; review the household that contains the individual who was head
of the household before it separated
847
Recipient Disqualification - 151. The reviewer must complete an
inquiry for each adult household member, 18 years of age or older, with the Electronic
Disqualified Recipient System (eDRS). This system is used to verify the possible presence of
individual(s) in the household who have been disqualified from participation in the SNAP
program AORD. Use the following procedures for this element:
•
•
•
If eDRS does not indicate the presence of any disqualified members in the
household, and no indication of information to the contrary has arisen
during other collateral contacts; then no further verification is required
If eDRS does indicate the presence of a possible disqualified individual(s) in
the household, the reviewer must verify the eligibility status of the
individual(s) by contacting the agency that submitted the information to
eDRS
If the reviewer determines a household member is an individual disqualified
from SNAP AORD, the case must be reported as containing a variance. To
determine the eligibility and benefit level of the household for the error
determination, the reviewer must:
Exclude the individual from the household, and
Include the correct share of the individual’s income and resources
•
If the reviewer determines an individual is not disqualified from SNAP AORD,
and has been erroneously excluded from the household under review, the
case must be reported as containing a variance. To determine the
eligibility and benefit level of the household for the error determination,
the reviewer must:
Include the individual in the household, and
Include the individual’s income and resources, as appropriate
If the reviewer determines there was a variance as the result of a change,
the reviewer must document the variance and determine whether the
variance is included or excluded based on the reporting requirements and
exclusionary time periods.
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848
Ineligibility Due to a Drug Related Conviction, Fleeing Felon
Status and Probation/Parole Violations. Unless a State agency has opted
out of the provision, household members convicted of a drug related felony that
occurred after August 22, 1996, are ineligible for SNAP. In addition, household
members who are fleeing felons or probation/parole violators are ineligible.
Fleeing felon. An individual determined to be a fleeing felon is an ineligible
household member. To establish an individual as a fleeing felon, a State agency
must:
•
•
Verify that an individual is a fleeing felon as defined by the four-part test
below, or
Verify by a law enforcement official acting in his or her official capacity
providing the State agency with a felony warrant as defined in the
alternative test below
The State agency must specify in its State plan of operation which fleeing felon test
it has adopted.
Four-part test to establish fleeing felon status. To establish that an individual is
a fleeing felon, the State agency must verify that:
1. There is an outstanding felony warrant for the individual by a Federal,
State, or local law enforcement agency, and the underlying cause for the
warrant is for committing or attempting to commit a crime that is a felony
under the law of the place from which the individual is fleeing or a high
misdemeanor under the law of New Jersey
2. The individual is aware of, or should reasonably have been able to expect
that, the felony warrant has already or would have been issued
3. The individual has taken some action to avoid being arrested or jailed. and
4. The Federal, State, or local law enforcement agency is actively seeking
the individual
Alternative test to establish fleeing felon status (also known as the Martinez
test). A State agency may establish that an individual is a fleeing felon when a
Federal, State, or local law enforcement officer acting in his or her official
capacity presents an outstanding felony arrest warrant to the State agency to
obtain information on the location of and other information about the individual
named in the warrant. Such a warrant must conform to one of the following
National Crime Information Center Uniform Offense Classification Codes:
•
•
•
Escape (4901)
Flight to Avoid (prosecution, confinement, etc.) (4902), or
Flight-Escape (4999)
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Probation and parole violator. An individual determined a parole or probation
violator is considered to be an ineligible household member. To be considered a
probation or parole violator, an impartial party, as designated by the State agency,
must determine that the individual violated a condition of his or her probation or
parole imposed under Federal or State law, and that Federal, State, or local law
enforcement authorities are actively seeking the individual to enforce the
conditions of the probation or parole.
Actively seeking is defined as follows:
•
•
•
A Federal, State, or local law enforcement agency informs a State agency
that it intends to enforce an outstanding felony warrant, or to arrest an
individual for a probation or parole violation within 20 days of submitting a
request for information about the individual to the State agency
A Federal, State, or local law enforcement agency presents a felony arrest
warrant; or
A Federal, State, or local law enforcement agency states that it intends to
enforce an outstanding felony warrant, or to arrest an individual for a
probation or parole violation within 30 days of the date of a request from a
State agency about a specific outstanding felony warrant, or probation or
parole violation
Application processing. The State agency must continue to process the application
while awaiting verification of fleeing felon, or probation or parole violator status. If
the State agency is required to act on the case without being able to determine
fleeing felon, or probation or parole violator status in order to meet the processing
time standards; the State agency must process the application without
consideration of the individual's fleeing felon, or probation or parole violator status.
Verification. The reviewer must examine agency records to determine whether
the agency was aware of drug related convictions, or that a household member
was a fleeing felon or a probation/parole violator. The QC reviewer must verify
and document:
•
•
•
•
•
The date on which the State agency became aware of the information
Date the drug related felony occurred (if applicable)
The option adopted by the State agency for determining fleeing felon
status and how the agency established the selected option criteria was
met (if applicable)
How the State agency established probation/parole violator status
How the State agency verified (must consist of documentation contained
in the records of the State agency, or information that is otherwise known
to the State agency)
We expect that at some time in the future there will be databases available to
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check for drug convictions and possibly for fleeing felons. As these become
available, the QC review procedures will be expanded and may require inquiries of
these databases.
Variances. If the reviewer determines that the agency was aware of the household
member(s) status as ineligible and failed to take appropriate action to remove the
individual(s), the case must be reported as containing an agency- caused variance.
In making the error determination the reviewer must:
•
•
•
Exclude the ineligible member(s) in determining SNAP benefits for the
sample month
Handle income and resources of any ineligible member(s) in accordance
with certification procedures
Apply the appropriate requirements and time frames for reporting and
acting on changes
Deficiencies, other than those referenced above, are not included in the error
determination.
Under no circumstances is the reviewer to question the household regarding possible
ineligibility due to a felony drug conviction or possible status as a fleeing felon or
probation/parole violator. This is for the reviewer’s personal safety, and to ensure
that QC staff does not interfere with any ongoing law enforcement activities.
In the course of conducting the review, the reviewer could become aware through
other sources that a household member(s) was ineligible because of one of these
provisions. If the State agency was unaware of this information, then a report must
be forwarded to the local agency identifying the individual’s status as an ineligible
household member.
QC staff must not contact law enforcement agencies with information regarding the
whereabouts of any fleeing felons or probation/parole violators.
850
WORK REQUIREMENTS AS A CONDITION OF PARTICIPATION.
850.1
Work Registration - 162. As a condition of participation in SNAP,
eligible recipients are required to register for work unless they are exempt. If the
household member, unless otherwise exempt, refuses to work or fails without good
cause to register, the individual is ineligible until the individual registers or becomes
exempt from work registration requirements.
The reviewer is required to verify and document:
•
•
If each household member was required to register for work
If the household member(s) required to register for work were registered
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•
•
If any exemptions allowed by the State were correct, and
If a member or the entire household should have been disqualified AORD
because an individual refused without good cause to work register
Verification. The following primary sources are used to verify work registration:
•
•
•
•
Employment registration form
Employment agency printout
Contact with the employment office
Case record documentation of the date on which current registration was
validated
Variances. If the reviewer determines that a household member has refused or
failed without good cause to register, the case must be reported as containing a
variance. The reviewer must follow the guidance below:
•
•
•
•
•
•
•
Lack of a work registration form in the case record is not evidence of
refusal or failure to cooperate without good cause
If a required good cause determination was not made by the State agency,
the reviewer must verify whether there was good cause
If a good cause determination was made by the State agency, that good
cause determination itself is not subject to examination by the reviewer
If the reviewer determines there is a variance for refusal or failure without
good cause to register for work, the reviewer must consider the individual
ineligible
Work registration variances are not cited for individuals added to the
household's composition (and for whom a household composition variance
has been cited) as a result of the QC review
If the reviewer determines a member of the household failed or refused
with good cause to register and was erroneously excluded in the household
under review, the reviewer must consider the individual eligible and report
the case as containing an agency-caused variance
If the state agency has imposed a disqualification period upon a household
member AORD, the reviewer must not consider the individual to be either
eligible or ineligible based solely on the timeliness of the disqualification
action. Specific circumstances of the disqualification action must be
examined to determine its correctness
Exemptions. The verification sources for exemptions from work registration vary
with the basis for exemption. The reviewer must verify each exemption with the
appropriate source.
850.2
Employment and Training - 160. As a condition of
participation in SNAP, eligible recipients who have registered for work may be
required to participate in an employment and training program operated by the
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State. Employment and training programs may include:
•
•
•
•
•
•
•
•
A job search program
A job search training and job placement program
A workfare program
A program to improve employability
An educational program
A program to increase self-sufficiency
A job retention service
A work experience/training program
If the State exempted an individual from the employment and training program,
the reviewer must determine if the exemption was correct. The reviewer must
determine if a member of the household or the entire household should have been
disqualified AORD because an individual refused without good cause to participate
in employment and training.
•
Verification. Participation in employment and training may be verified by
contact with the appropriate operating Employment and Training offices or
by reports from the appropriate office. Employment and training may be
operated by the State agency or by other entities
•
Variances. If the reviewer determines that an individual(s) has refused or
failed without good cause to comply with employment and training
requirements and the individual(s) was not disqualified from the program,
the case shall be reported as containing a variance. If a required good
cause determination was not made by the State agency, the reviewer must
make a determination by verifying whether there was good cause. If a good
cause determination was made by the agency, that good cause
determination itself is not subject to examination by the reviewer. If the
reviewer determines that there is a variance for refusal or failure without
good cause to comply with employment and training requirements, the
reviewer shall consider the individual or household ineligible
If the reviewer determines there is no documentation to support that a member of
the household has refused or failed without good cause to comply with employment
and training requirements, and that individual has been erroneously disqualified, the
case shall be reported as containing a variance. Such a variance will result in a
determination that the individual or household is eligible.
If, AORD, the State agency has imposed a disqualification period upon an individual,
the reviewer shall not consider the individual to be either eligible or ineligible based
solely on the timeliness of the disqualification action. The specific circumstances of
the disqualification action must be examined in order to determine its correctness.
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Exemptions. The verification sources for exemptions from employment and training
vary with the basis for exemption. The reviewer should verify each exemption with
the appropriate source.
850.3
Acceptance of Employment - 166. As a condition of participation
in SNAP, eligible recipients are required to report to an employer when referred and
to accept a bona fide offer of suitable employment. The reviewer must determine
if a member of the household or the entire household should have been disqualified
AORD because an individual refused without good cause to accept suitable
employment. If the State disqualified the individual for failure to comply, the
reviewer must determine if the disqualification was correct.
Verification. The reviewer must look for information in the case record that
indicates noncompliance without good cause. If a required good cause
determination was not made by the agency, the reviewer must make a
determination by verifying whether there was good cause. If a good cause
determination was made by the State agency, that good cause determination itself
is not subject to examination by the reviewer.
Variances. If there is no indication of noncompliance, the reviewer must presume
the household complied. The reviewer must use the following guidance:
•
•
•
•
A determination by, or notification to, the agency of failure or refusal to
comply without good cause must be reviewed to determine the period of
ineligibility
If the reviewer determines that a member of the household failed or
refused without good cause to accept employment and was erroneously
included in the household, the reviewer must consider the individual or
the household (as appropriate) ineligible and the case must be reported
as containing a variance
If the reviewer determines that a member of the household failed or
refused with good cause to comply and was erroneously excluded from
the household, the reviewer must consider the individual eligible and the
case must be reported as containing an agency-caused variance
If the State agency imposed a disqualification period upon an individual
AORD, the reviewer must not consider the individual to be either eligible
or ineligible based solely on the timeliness of the disqualification action.
Specific circumstances of the disqualification action must be examined in
order to determine its correctness
Exemptions. The verification sources for exemptions from the requirement to
accept suitable employment vary with the basis for exemption. The reviewer
must verify each exemption with the appropriate source.
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850.4
Employment Status/Job Availability - 165. As a condition of
participation in SNAP, eligible recipients are required to provide information on an
on-going basis to allow the State agency to determine the employment status or
job availability of the individual and members of the household. The reviewer
must determine:
•
•
If a member of the household or the entire household should have been
disqualified AORD because an individual without good cause failed or
refused to provide information relative to their employment status or job
availability, and
If any disqualification the agency imposed on an individual or household
for failure to comply, was correct
Verification. The reviewer must look for information such as reports from the State
agency in the case record indicating noncompliance without good cause. If a
required good cause determination was not made by the State agency, the reviewer
must make a determination by verifying whether there was good cause. If a good
cause determination was made by the State agency, that good cause determination
itself is not subject to examination by the reviewer.
Variances. If there is no indication of noncompliance, the reviewer must presume
the household complied. The reviewer must use the following guidance:
•
•
•
A determination by, or notification to, the agency of failure or refusal to
comply without good cause must be reviewed to determine the period of
ineligibility
If the reviewer determines that a member of the household failed or
refused with good cause to comply with reporting requirements and was
erroneously excluded in the household, the reviewer must consider the
individual eligible and report the case as containing an agency- caused
variance
If the agency imposed a disqualification period upon a household member
AORD, the reviewer must not consider the individual to be either eligible or
ineligible based solely on the timeliness of the disqualification action.
Specific circumstances of the disqualification action must be examined in
order to determine its correctness
Exemptions. The verification sources for exemptions from the reporting
requirements vary with the basis for exemption. The reviewer must verify each
exemption with the appropriate source.
850.5
Voluntary Quit/Reducing Work Effort - 163. As a condition of
participation in SNAP, eligible recipients must not voluntarily quit without good
cause, or reduce hours of employment to less than the required number of hours per
week without good cause. If a non-exempt individual voluntarily quits or reduces
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their work hours without good cause, the individual or household is ineligible to
participate. The reviewer must determine:
•
Whether the member of the household voluntarily quit his/her job without
good cause, and whether the household should have been disqualified AORD
as the result
If a good cause determination of voluntary quit is made by the State
agency, that good cause determination itself is not subject to
examination by the reviewer
•
Whether the member of the household voluntarily quit a job if:
There is an indication in the case record of a quit (unless
documentation shows good cause)
IEVS data that was previously obtained indicates recently terminated
employment
During the interview the household indicates an individual recently
became unemployed or reduced their work hours; or
An indication of a quit or reduction is found through collateral contacts
Verification. Primary responsibility for providing verification and/or collateral
contacts rests with the household member. The reviewer must verify the following
information to determine whether a member of the household should have been
disqualified because of the quit or reduction.
•
•
•
When the quit or reduction occurred
If it was voluntary, and
The number of hours or weekly wages
Verification sources include, but are not limited to:
•
•
•
Previous employer(s)
Employee associations
Union representatives, and/or grievance committees or organizations
If a good cause determination was not made by the State agency, the reviewer must
make a determination by verifying whether there was good cause. If a good cause
determination of voluntary quit was made by the State agency, that good cause
determination itself is not subject to examination by the reviewer.
Reviewers must apply State agency definitions for “voluntary quit” and “reducing
work efforts” in completing the review of these provisions.
Variances. If there is no indication of noncompliance, the reviewer must presume
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the household complied. The reviewer must use the following guidance:
•
•
850.6
If the reviewer was unable to obtain verification because the quit or
reduction resulted from circumstances that cannot be verified (i.e., a
resignation from employment due to discrimination practices or
unreasonable demands by an employer, or because the employer cannot be
located), no variance exists in this element
If the State agency has imposed a disqualification period upon an individual
AORD, the reviewer must not consider the individual to be either eligible or
ineligible based solely on the timeliness of the disqualification action.
Specific circumstances of the disqualification action must be examined in
order to determine its correctness
Workfare and Comparable Workfare - 164. As a condition of
participation in SNAP, State agencies may require recipients to participate in an
optional workfare program. Such a workfare program may also include comparable
workfare programs approved by the State, i.e., self-directed workfare. The
reviewer must use the procedures in this section for individuals participating in such
a program.
Individuals or households are disqualified from SNAP when the State agency
determines that a workfare participant failed or refused without good cause to
comply with the requirements of workfare. Such disqualifications do not apply if
participation by the SNAP recipient was voluntary. The reviewer must determine if
individuals should have been disqualified AORD because they did not comply with
workfare requirements.
Verification. The reviewer must look for information such as reports in the case
record that indicate noncompliance with the workfare requirements without good
cause.
Variances. If there is no indication of noncompliance, the reviewer must presume
the household complied. The reviewer must use the following guidance:
•
•
•
A determination by, or notification to, the agency of failure or refusal to
comply without good cause with workfare requirements must be reviewed
to determine the period of ineligibility
If the reviewer determines that a member of the household refused or
failed without good cause to comply with workfare requirements and has
been erroneously included in the household, the reviewer must consider the
individual or household ineligible and the case must be reported as
containing an agency caused variance
If the reviewer determines that a member of the household failed or
refused with good cause to comply with workfare requirements and has
been erroneously excluded from the household under review, the reviewer
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•
must consider the individual eligible and the case must be reported as
containing an agency-caused variance
If the state agency imposed a workfare disqualification period upon a
household member AORD, the reviewer must not consider the individual to
be either eligible or ineligible based solely on the timeliness of the
disqualification action. Specific circumstances of the disqualification action
must be examined in order to determine its correctness
Exemptions. The verification sources for exemptions from workfare requirements
vary with the basis for exemption. The reviewer must verify each exemption with
the appropriate source.
850.7
Time Limited Participation - 161. Able-bodied adults between
the ages of 18 and 49 without dependents (ABAWDs) are eligible for participation in
SNAP for only 3 months within a 36-month period of time without working or
participating in a work or workfare program, unless exempt. ABAWD individuals
meeting certain criteria may qualify for 3 additional consecutive months of
participation in the 36-month period.
Verification. The reviewer must verify AORD both the status of individual
household members as ABAWDs, and also the SNAP participation history of any
members determined to be ABAWDs, using the following procedures:
•
•
•
•
•
•
•
The reviewer must examine agency records
Verification must consist of documentation contained in the records of the
State agency, or information that is otherwise known to the agency
Agency issuance records must be used to verify SNAP participation of any
individuals determined to be ABAWDs
The reviewer must explore the eligibility status of the ABAWD as a routine
part of the field review of the case
Household members must be questioned regarding the history of SNAP
participation on the part of any ABAWD household members
The reviewer must verify the date on which the State agency became aware
of any pertinent ABAWD information
If there are no indications from the review of agency records or from the
field review that any household members may be ineligible ABAWDs, then
the household’s statement may be accepted
No further investigation of the matter is necessary
There is no requirement that the reviewer contact agencies
administering the program in other states if there are no indications
that the ABAWD has participated within another jurisdiction
•
When a household admits that a household member is an ABAWD, or agency
records and/or collateral contacts indicate that a household member may
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•
be an ABAWD, the reviewer must verify the eligibility status of the
individual(s) through the examination of agency records and collateral
contacts with organizations administering the program in other States
The records of the State agency responsible for the administration of SNAP
where the recipient potentially participated are the only acceptable source
of verification regarding the individual(s) ABAWD status
Variances. The reviewer must use the following procedures in making the error
determination:
• For each household member, determine AORD whether the individual is an
ABAWD
• If the reviewer determines that, AORD, the agency has improperly excluded
an individual who was not subject to the time limit restrictions, or who had
not yet exceeded the time limits for SNAP participation; a variance exists,
and the reviewer must use the following procedures in making the error
determination:
Include the eligible member(s) in determining SNAP benefits for the
sample month
Apply the appropriate time frames and requirements for reporting and
acting on changes in the household circumstances
•
•
If the State agency has imposed an ABAWD disqualification period AORD
upon a household member, the reviewer must not consider the individual to
be either eligible or ineligible based solely on the timeliness of the
disqualification action. Specific circumstances of the disqualification action
must be examined in order to determine its correctness
For those individuals determined AORD to be an ABAWD, the reviewer must
proceed with the review steps below
Determine whether these individuals have exceeded their time limits
for SNAP participation. If yes, a variance must be cited and the
reviewer must proceed to the next step
In making the error determination the reviewer must:
1. Exclude the ineligible member(s) in determining SNAP benefits for the
sample month.
2. Include reportable changes that are not reported, and that impact the
eligibility status of an ABAWD individual.
Exemptions. The verification sources for exemptions from the time limit
requirements vary with the basis for exemption. The reviewer must verify each
exemption with the appropriate source.
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860 SOCIAL SECURITY NUMBERS - 170. Applicants and participants in
SNAP must provide the State agency with the SSN of each household member, or
provide proof they have applied for one before certification. Refusal or failure
without good cause results in disqualification only of the individual for whom an SSN
was not obtained. No verification of SSN is required for a member of a household
who has chosen not to be included as a recipient of SNAP because they do not wish
to provide their SSN.
860.1
Verification.
Verification of SSNs is not required for households that are categorically eligible
based on PA or SSI payments. However, an SSN may be verified for a member of a
categorically eligible household when the number is needed to do an IEVS check,
and the SSN is not in the case record or it appears to be incorrect.
For other households, including those households that are categorically eligible
based on GA payments, verification must be obtained for each household member.
Verification based on viewing the social security card is not acceptable.
Verification must be based on one of the following sources:
•
•
•
•
Collateral contact with SSA
SSA printouts or documents such as a Form SS-5 (Application for an SSN) or
SSA-5028 (Receipt for Application for an SSN) or other similar forms
Documentation that the SSN had been verified by another program
participating in IEVS
Documentation in the case record that shows that a Form SS-5 was sent to
SSA on a specific date
Birth document issued by the hospital in the case record that shows that a
SSN was applied for or other receipt showing this, if it contains identifying
information that includes the names of the baby and the parent(s), and the
date of birth of the baby
Important: Under no circumstances should the reviewer contact a
hospital to verify whether or not a SNAP applicant or recipient applied
for a newborn baby's SSN while in that hospital. The reviewer must:
Explore the case record for a copy of verification from the hospital
that shows an application for a SSN was made, and
Document the verification used to show that the individual did or did
not have a SSN
860.2
Variances. A variance must only be cited, and the household member
determined ineligible, in the following circumstances based on the reviewer’s
determination:
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•
An individual refused, or failed without good cause, to provide or apply for
an SSN, based on documentation in the case record
The individual must be determined ineligible
•
If no evidence establishes refusal; then the reviewer must determine
whether good cause existed for the individual's failure to provide or apply
for an SSN
Good cause is established through documentary evidence that the
individual made every effort to supply the necessary information to
complete an application for an SSN
•
The household knowingly provided an incorrect SSN for an individual or
knowingly failed to provide all SSNs for an individual
The individual must be determined ineligible
•
An individual was disqualified by the State agency
The reviewer must determine if the disqualification was correct AORD
Deficiencies, other than those referenced above, must not be included in the error
determination.
•
•
•
If an individual who was added to household composition as a result of the
QC review (and for whom a household composition variance has been cited)
does not have an SSN, an SSN variance is not cited
If the findings of a QC review result in a variance cited in household
composition because a member was incorrectly excluded, and that
individual does not have an SSN; the reviewer must not cite an SSN variance
Failure on the part of the agency to process an SS-5 or to inform the
household member that an SSN must be obtained within the allowed time
frames is not considered a variance and does not affect the error
determination
When an individual is determined ineligible or has chosen not to receive SNAP
benefits for themselves, the reviewer must:
•
•
Exclude the individual from the household, and
Consider all resources and a pro rata share of the individual’s income in
determining the household’s eligibility and benefits
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870
DISABLED INDIVIDUALS. Disabled household members are entitled to
some special eligibility and benefit standards:
•
•
•
•
The net income standard
The excess medical deduction
The uncapped shelter deduction, and
Special household composition considerations
Disability status must be verified in connection with application of these special
standards.
“Disabled” status that entitles a member to the special eligibility and benefit
standards is defined in SNAP regulations. Only individuals meeting the criteria listed
in the regulatory definition is considered disabled for purposes of the special
eligibility and benefit standards.
870.1
Verification. The source of verification varies depending upon the
basis for the entitlement to disability status. The verification must originate with
the government agency that provided the basis for the disability determination.
Verification may be in the form of documentation (official government documents),
computer listings, or collateral contacts.
Example: If the basis for the disability determination is receipt of SSI, then
verification must consist of SSA documentation or computer listings which verify the
information, or a collateral contact with SSA.
870.2
•
•
Variances.
If the reviewer determines that an incorrect disability status determination
has been made (a disabled household member has been considered nondisabled, or a non-disabled household member has been considered
disabled), then a variance exists
If the reviewer determines that the variance is the result of a change, the
reviewer must determine if the variance is included or excluded based on
the reporting requirements and exclusionary time periods
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Variances in disability status are
not coded on Form FNS-380-1 as
disability variances, rather they
should be coded in the element
that is affected by the disability
status variance.
Example of Coding a Variance That Was Related to
Disability Status: A household is given an uncapped
shelter deduction on the basis that a household
member is disabled. The reviewer discovers that the
household member is not disabled, and the household
is not entitled to an uncapped shelter deduction. The
variance must be coded in Element 363, shelter
deduction.
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Chapter 9
RESOURCES
900
VERIFICATION STANDARDS FOR RESOURCES – 200-299.
910
GENERAL REQUIREMENTS. This chapter discusses the general
requirements for verification of resources.
911
Purpose of Verification of Resources. Except for categorically
eligible households, the reviewer must verify the household's liquid and non-liquid
resources.
Liquid Resources include such things as:
•
•
•
•
•
Cash on hand
Money in checking or savings accounts
Savings certificates
Stocks or bonds
Lump sum payments as specified in the regulations
Non-liquid Resources include such things as:
•
•
•
•
•
Personal property
Licensed and unlicensed vehicles
Buildings and/or land
Recreational properties, and
Any other property, provided these resources are not specifically excluded in
the regulations
Note: The value of nonexempt resources, except for licensed vehicles, is the
equity value. The equity value is the fair market value less encumbrances.
After verifying the household’s liquid and non-liquid resources, the reviewer must
determine if the household's nonexempt resources exceeded the resource eligibility
standard.
Fluctuations in resources over the certification period, even in excess of the
household's standard, are not considered variances. Thus, the reviewer will only
cite a variance in this element when:
•
•
The applicable resource standard was exceeded as of the QC verification
date (See Section 710.)
The household fails to report the acquisition of certain vehicles, or
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•
Policy was misapplied by the agency
The reviewer must apply the exclusionary time periods in Chapter 7, for variances
resulting from changes.
Important: In determining whether a variance exists, the reviewer must ensure
that the same money is not counted both as income in the month it was received
and as a liquid resource in the same month.
912
Eligibility Standards.
There are statutory resource limits for all
households. The reviewer must determine the resource limit that applies to each household
except those households that are categorically eligible (CE).
913 Categorical Eligibility. Households are categorically eligible if:
•
•
All household members received or were authorized to receive Public
Assistance (PA), Supplemental Security Income (SSI), State or local General
Assistance (GA) payments, or
Benefits from a State Program conferring categorical eligibility
If all household members met these criteria of categorical eligibility, the household
was eligible for SNAP as it relates to this element. This applies even if there was
more than one PA unit in the SNAP household. The reviewer is not required to
review the household's resources if it was categorically eligible, except to
determine if the resources provided any income to the household such as interest or
rent.
If the reviewer becomes aware that the PA/SNAP household had more resources
than allowed by the PA standard, this information must be reported to the agency.
This information does not result in the case being reported as ineligible for SNAP
benefits.
When a case is found to be incorrectly classified as categorically eligible, the
reviewer must use the applicable resource standard. For example, if the reviewer
finds that a household contained an individual who was not included in the PA
budget, the SNAP resource limit would be used. If the resources exceeded the
resource limit, the case was ineligible.
914
Combined Resources - 225. The reviewer must calculate the total of
all verified nonexempt resources and compare that amount to the appropriate
resource limit to determine if there was a variance. The worksheet must show the
combined resource calculation and the resource limit used. Documentation must
include identifying what resources are being included in the calculation.
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915
Acceptable Case Record Verification. Reviewers may accept
documentation and verification contained in the case record if it is not subject to change
and applies to the budget/sample month.
•
For non-liquid resources, the reviewer may accept as current any
appropriate case record verification stating the amount of the resource
during the 30 days before or after the review date
Example: An appraisal, obtained during the 30 days before
or after review date, for a piece of property, would be
acceptable.
•
916
For liquid resources, the reviewer may only accept case record verification
stating the amount of resources as of the QC review date
Transfer of Resources. The reviewer must ask the household if it
transferred any resources during the three months prior to application or after its
eligibility was determined.
If the household admits to a transfer of resources, the reviewer must:
•
•
•
Identify the resource
Specify when the transfer occurred, and
Determine whether the transfer was knowingly made in order to qualify for
SNAP benefits
The household's documents verifying the transfer may be used. If the Eligibility
Worker (EW) documented in the case record that the household reported a transfer
of resources, the reviewer must determine if the household would be eligible for
the sample month in accordance with certification procedures.
A household may use its resources without having that use considered as a transfer
of resources. For example, a household that had $3,000 in a bank account and used
$2,000 to re-roof its home would not be ineligible based on a transfer of resources.
Note: Transfer of property is to be examined for CE households at certification.
920
NONEXEMPT RESOURCES. The reviewer must verify the amount of
nonexempt resources declared by the household. In addition, the reviewer must
explore the household circumstances to reasonably establish the absence of any
undeclared resources. The evidence required to support the positive and negative
allegations is specified in this chapter. The countable amount of a non-liquid
resource is its fair market value less encumbrances (except for licensed vehicles).
See Section 980.
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930
EXEMPT RESOURCES. Certain resources are not included when
establishing eligibility for SNAP. The reviewer must determine that such resources
were properly exempted in the calculation of the household's resources.
931
Resources of Non-Household Members. The reviewer must verify
resources were counted according to certification policy for household members
disqualified including:
•
•
•
•
Intentional program violations
Failure to comply with the work requirements
Ineligible non-citizens, and
Social Security Number (SSN) disqualified persons
The reviewer must verify that resources of all other non-household members were
included/excluded as determined by certification policy.
932
Resources of Non-Citizen Sponsors. The reviewer must verify the
amount of any resources which are required to be deemed to the household from a
sponsor (and the sponsor’s spouse) of a non-citizen.
933
Resources Jointly Owned With Non-Household Members. The
reviewer must verify the amount of any jointly owned resources. Resources owned
jointly by separate households are to be considered available based upon
certification policy and applicable State laws.
934
Resources Which Are Accessible to the Household But Not
Owned By The Household. The inclusion or exclusion of resources which are
accessible to the household, but not owned by the household must be based upon
certification policy and applicable State laws.
940
BANK ACCOUNTS OR CASH ON HAND - 211. The reviewer must
ask the household if any member had liquid resources which include cash or any
financial instrument, which can be readily converted to cash. An Income and
Eligibility Verification System (IEVS) inquiry must be completed to check for
resources for all household members. In addition, the reviewer must specifically
question whether any member of the household has a bank account. The
household’s response, any applicable verification and the reviewer’s determination
must be documented. Documentation regarding each individual member of the
household must be included in Column 3, Review Finding. Simply checking yes or no
for the entire element is not acceptable documentation; details about the liquid
resource(s) for each member is necessary.
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Examples:
•
•
•
•
•
•
•
•
•
•
941
Cash on hand
Money in savings and checking accounts
Money available in any debit or similar type account
Instruments issued by banks and credit unions, such as certificates of
deposit
Stock ownership in corporations
Bonds, such as savings bonds
Shares in mutual funds
Nonrecurring lump-sum payments such as income tax refunds
Individual Retirement Accounts
Debit cards received
Inquiry Into Available Balance of Accounts. The reviewer must
not consider any money as both income and a resource in the same month. Funds
counted as income for a month must be deducted from the available balance of an
account into which they were deposited. Additionally, the reviewer must deduct
any outstanding checks or drafts against an account when determining the balance
available as a resource.
•
•
942
For retrospectively eligible cases, resources are determined as of the last
day of the budget month
For prospectively eligible cases, resources are determined as of the review
date (AORD)
Inquiry About Declared Liquid Resources. When a household
declares a liquid resource not identified in the case record or for which verification
is not current, the reviewer must verify and document:
•
•
•
•
•
•
Name, address and phone number of the financial institution
Type of account
Account number
Amount of the resource
Type of ownership, and
If it is an interest bearing account
Note: Only verification from a financial institution is acceptable.
943
943.1
Verification of Declared Liquid Resources.
Cash. Reviewers may accept the household's statement about the
amount of cash on hand. A household may be in possession of a check or other
financial instrument they have not yet cashed or deposited into an account. Such a
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resource must be considered cash, and can be verified by viewing the payment
check. An example might be a lump-sum payment or the result of the conversion of
another resource, such as selling a vehicle or other property.
943.2 Other Liquid Resources. To verify any other liquid resources
declared for a household member, the reviewer must contact the financial
institution and verify the net amount of the resource. The reviewer must also
inquire if other household members have resources there or if the member who has
declared the resource has any other resources there. Amounts of all resources must
be verified and documented.
943.3
Conditions Affecting Further Verification. The reviewer must
check the accuracy of account information provided by the individual and check for
the existence of non-declared accounts through inquiries to banks or banking
institutions in the following situations:
•
•
•
•
Household member alleges ownership of an account
Evidence appears to contradict household's negative allegation of an
account
Household member uses a banking institution to cash checks or for direct
deposit of checks
IEVS or other collateral inquiry reveals possible resources
NONRECURRING LUMP-SUM PAYMENTS - 212. Household
950
circumstances may indicate the possibility of a recent lump-sum payment. Examples
might include:
•
•
A household in which there has been a recent death may have received a
lump-sum insurance settlement, or
A household that recently moved may have received a refund of rental or
utility deposits
Payments such as these that have been deposited in bank accounts should appear in
routine verification of liquid resources. If there is reason to believe the household
received a lump sum payment and it does not appear as a declared resource, the
reviewer must ask the household if it received such a payment and document the
worksheet accordingly.
960
OTHER LIQUID ASSETS. If the household owns any personal property
that is not exempt from consideration as a resource, the reviewer must determine
the value of the property through any reliable and reasonable method, such as:
•
•
Sales slips
Personal property tax assessment
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•
•
•
Catalog
Existing insurance appraisal, and
Local merchants
In the absence of evidence to the contrary, the reviewer may accept a household's
statement that they own no such personal property.
970
REAL PROPERTY - 221. The reviewer must determine if the
household owns any real property (i.e., land or buildings). If real property is
discovered, the reviewer must determine if it is considered excludable as a
resource, such as:
•
•
A home and lot, or
Property producing income consistent with its value
The value of any property, countable as a resource, such as recreational property,
must also be verified and documented.
971
When Property Is Acknowledged. Where it is known from either
the household's statement, the case record, or other sources that the household
owns property, the reviewer must verify what property is excludable and the equity
value of property not excludable. Sources of verification include:
•
•
•
•
•
Courthouse Records
Tax Records
Real Estate Transfer Division
Title Search
Municipal Building Inspection Compliance records
972
When No Property Is Acknowledged. When no property is
acknowledged, or only excludable property, the reviewer must follow up to
determine the household owns no real property, or owns only excludable property.
For the following households, the reviewer may accept the household's statement
that it has no property unless there is evidence to contradict the household's
negative allegation.
•
Household resided AORD in government/tribal public housing or federally
subsidized housing such as the Housing Authority/Tribal Housing Authority
(THA), Housing and Urban Development (HUD) or Section 8
• Household was homeless AORD
For all other households, the reviewer must routinely check for property ownership
through county records or other official sources. When available searches yield no
information, and there is no reason to believe there is property or only excludable
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property, the household’s statement may be accepted. The reviewer must clearly
document their attempts to verify, as well as their determination.
980
VEHICLES - 222. For each adult household member, the reviewer
must document the household's positive or negative allegation of vehicle ownership.
Whether the household alleges ownership of a motor vehicle or not, the reviewer
must check the accuracy of the information, and explore potential ownership of
other vehicles via inquiry through the State Department of Motor Vehicles (DMV) or
its equivalent. This inquiry must be completed even if the household provides proof
of ownership. Additional verification or contact with other collateral sources is
required if DMV records differ from the household's statement.
The reviewer must determine the status (with respect to use and license) and the
value of all vehicles owned by the household. The value of some licensed vehicles is
excluded as a resource. To establish the value of motor vehicles, the reviewer must
use the National Automobile Dealers Association (NADA), “blue book", or equivalent.
Other sources (i.e., car dealers) can provide an approximate valuation based on
make, model and year of the vehicle. In determining the effect of motor vehicle
ownership on eligibility, additional information may be required such as purchase
price, encumbrances against the vehicle, and the name of the organization
financing the purchase.
When ownership of a motor vehicle by the household is established, the reviewer
must verify and document the following information:
•
•
•
•
•
•
Registered owner
Make
Model
Year
Verification used
Reviewer’s determination of any countable value
990
OTHER NON-LIQUID RESOURCES - 224. The reviewer must verify
and document ownership, equity value, and whether included or excluded for all
non-liquid resources not covered in Elements 221 and 222. Documents that can be
used as the basis of verification of such items are things such as sales agreements
and tax records, as well as items mentioned under Sections 970 and 980 above.
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Chapter 10
INCOME
1000
GENERAL. This chapter describes the procedures for verifying household
income and for determining variances in income.
1010 VERIFICATION AND VARIANCE DETERMINATION PROCEDURES.
1011
Verification. Households may receive income from one or more types
and sources, such as:
•
•
•
•
Wages or a salary
A public assistance (PA) grant
A self-employment enterprise
Alimony payments
The procedures used to verify income are based on the source of the income.
Different procedures may apply to different types and sources of income. Income is
verified for the budget/sample or issuance month(s), depending upon the specific
eligibility, budgeting, and reporting requirements of the household. (Refer to Chapter
7.) In some instances, income must also be verified for other months, e.g., the
receipt of a student grant that must be prorated over a specific period.
1012
Variance Determination. The variance determination process
depends upon numerous factors specific to the case being reviewed, such as:
•
How the income is received. Including but not limited to:
•
•
•
•
•
•
1013
Stable
Fluctuating
Annualized, or
Received on some other schedule
The manner in which the eligibility worker (EW) treated the income
If the EW correctly applied the certification policy
If the EW made any computational errors
If the recipient correctly reported income
If the recipient correctly reported income changes and
If the EW correctly handled reported or unreported changes
Terminology. In general, the procedures in this chapter are based
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upon the following terminology.
1013.1
Annualized Income - refers to a process used when a household
derives their annual income in a period of time shorter than a full year. Such a
household may have their income averaged over a 12-month period, or over the time
period it is intended to cover. Examples include:
•
Self-employment, such as farmers and sharecroppers
Does not apply to migrant or seasonal farm workers
•
Contract income such as teachers or other school employees and other
contract labor
Contract income, which is not the household's annual income and is not
paid on an hourly or piecework basis, must be prorated over the period
it is intended to cover
Procedures for annualized income (self-employment and contract) are found in
1065.1 and 1066.
1013.2
Anticipated Income - is counted when its receipt is reasonably
certain. The State agency must:
•
•
Determine whether receipt of income is “reasonably certain" on a case-bycase basis, and
Use information provided by the household, along with any necessary
verification to confirm the decision
The provisions on change reporting in Section 223 concerning earliest date is
applicable to determining when income can be reasonably anticipated.
1013.3
Averaged Income - is the process used when the household’s income
is expected to fluctuate over the certification period. The State agency must use the
anticipated monthly fluctuations to calculate a representative average to project
through the certification period. Averaging methods may be established by the State
agency to be applied to certain types of households. The reviewer must use the
averaging method established by the State agency.
Note: The process of converting income from weekly or bi-weekly to a monthly
amount does not constitute averaging. (See 1013.4 below for conversion procedures.)
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1013.4
Conversion - is a process used to change income received weekly or
biweekly to a monthly amount by:
•
•
•
Multiplying weekly amounts by 4.3
Biweekly amounts by 2.15 or
By using the State agency's public assistance conversion standard, as defined
in the State Plan and Certification policy for the State agency
When processing monthly reports, State agencies have the option of converting
income that is received weekly or biweekly to a regular monthly amount. The State
agency must choose one option for all monthly reporters and one option for all change
reporters.
If the EW was required to convert income, the QC reviewer must also convert. If the
EW was not permitted to convert income (i.e., the recipient receives less than a full
month’s income from the source), the QC reviewer must not convert. The QC
reviewer is required to use the applicable conversion method adopted by the State
agency. If the State agency did not select an option, the QC reviewer will use actual
income.
1013.5
Fluctuating Income - is earned or unearned income that varies
monthly in amount and/or by source. Such income may be averaged or not averaged.
1013.6
•
•
•
Prorated Income - is income that is divided:
Among the household members (including any ineligible household members,
if appropriate) or
Among the individuals for whom it is intended or
By the months for which it is intended to cover, e.g., a student grant
1013.7
Stable Income - is income that is received in a fixed amount from
the same source(s) on a regular schedule.
1020
1020.1
VERIFICATION REQUIREMENTS - EARNED INCOME.
Credit Check for Verification of Earned Income. This inquiry
will serve as an optional tool for the verification of earned income. A credit check
may be used when the reviewer wants to further investigate or establish a financial
profile of household members.
1021
Wages and Salaries - 311. This element refers to income earned by
a recipient through the receipt of wages, salaries, tips, or commissions. The reviewer
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must verify and document whether any household members were employed, and the
amount and frequency of earnings. (See Section 512.)
1021.1
Positive Allegation. When the household states a member earns
wages or salaries, the reviewer must obtain details about the employment, and verify
and document the information using the following procedures:
•
Obtain the following information by questioning the household and following
up as needed with collateral sources:
Employer’s name, address, and telephone number
Hourly rate and number of hours worked
Any regular overtime, bonus payments, tips, or commissions paid
Whether wages are received in cash, by check, or by direct deposit to a
bank account or debit card
Frequency of pay
Full-time or Part-time
Hire/start date, and termination date if applicable
•
•
•
•
•
Identify any changes, when they occurred, whether they were reported or
unreported and whether or not the changes were required to be reported
Explore further, as needed, if there is an indication of other employment. For
example, the household has expenses that are currently being met by income
which has not been accounted for
Conduct Income and Eligibility Verification System (IEVS) matches and other
available employment verification sources, such as the Work Number, to
determine if there are other employers or if there are periods when income
increases or decreases
Obtain verification from the employer or examine pay stubs, earnings
statements, or other official pay documents
Include in the QC file all verification documents obtained; or thoroughly
document if the reviewer viewed the verification, but was unable to obtain
copies
Important: Failure to question, verify, and document the client’s statements
regarding earnings and any changes in the household’s circumstances introduces bias
into the QC system and is not acceptable.
1021.2
Negative Allegation. When a household denies any member earns
wages, salaries or other employment income, the reviewer must further explore the
household circumstances, and verify and document using the following procedures:
•
Explore past employment, including types of work and former employers,
which may indicate employment did exist during the appropriate month(s)
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•
•
Question collateral contacts made during the course of the review process,
who may provide information indicating a member of the household is or has
been employed
Investigate situations indicating the possibility of employment, such as:
Statements made by relatives, friends, landlords, or other collateral
contacts that a household member is frequently absent from home,
leaves at the same time every day, etc.
The reviewer has difficulty finding household members at home
Household lives in an area where seasonal employment is likely during
the time period under review
Shelter costs or claimed expenses are higher than reported income
•
•
•
•
For known or claimed past employment, verify any changes(such as
termination dates, final pay dates, and receipt dates), when they occurred,
whether they were reported or unreported, and whether or not the changes
were required to be reported
Conduct IEVS matches and other available employment verification sources,
such as the Work Number, to verify any current or prior employment
Obtain verification from the employer or examine pay stubs, earnings
statements, or other official pay documents, as needed to verify termination
and final pay information, as needed
Include in the QC file all verification documents obtained, or thoroughly
document if the reviewer viewed the verification, but was unable to obtain
copies
1021.3
Verification. The verification requirements in this section are
minimum requirements (See Section 513). It is the responsibility of the reviewer to
find all sources of income in determining the household’s actual circumstances for the
review period. If the reviewer finds reason to doubt the household circumstances
(i.e., unexplained income, suspected seasonal work, etc.), the reviewer must:
•
•
•
•
Thoroughly investigate questionable information
Verify the information
Resolve conflicting information and
Document how they determined which information is correct and why the
differing statement was incorrect or incomplete
IEVS. The reviewer must complete an IEVS check for all adult household members as
a source to confirm the household's positive or negative allegation of earned income.
(See Section 512 on IEVS matching.)
No Further Investigation. When an IEVS check is done in accordance with Section
512, if the IEVS records do not indicate recent employment and no indication of
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information to the contrary has arisen from other collateral contacts, or in other
elements which would indicate questionable management of household expenses,
then no further verification is required.
Further Investigation. When the IEVS check is done in accordance with Section 512,
and the results indicate employment within the most recent three quarters; the
reviewer must contact the household and these employers. Verification of the
employment status and any earnings during the period under review must be
documented.
1022
Self-Employment - 312. Reviewers must ask all households if they have
any income from self-employment enterprises. Examples of self-employment income
include but are not limited to:
•
•
•
•
Farming or ranching
Income derived from rental property when a member of the household is
actively engaged in management of the property at least an average of 20
hours per week
Payments from a roomer or boarder and
Independent contracting
Self-employment income may be received in a variety of forms and payment
schedules, including a lump sum payment, in fluctuating payments, seasonal
payments, or regular "salary" payments. Frequently, more than one form of income
will appear for a self-employment enterprise.
1022.1
Positive Allegation. When the household admits to or claims any
self-employment, the reviewer must describe the type of enterprise and verify the
amount of income by using as many of the following documents as necessary to
establish an accurate record of income:
• Recent tax returns or business records
• Receipts for business expenses
• Household's statement about estimated earnings
In determining expenses, the reviewer must follow certification policy to determine
allowable business expenses.
1022.2
Negative Allegation. Denials of self-employment must be verified in
the same manner as denials of wages and salaries discussed in Section 1021.2.
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1023
Other Earned Income - 314. The reviewer must ask if the
household received other earned income, which includes but is not limited to:
• Income from other work or odd jobs (such as a paper route, running errands,
cutting lawns, babysitting, or doing other "cash" jobs), and
• Training allowance from vocational and rehabilitative programs sponsored by
Federal, State, or local governments to the extent they are:
Not a reimbursement, or
Not excludable by Federal law
1023.1
Positive Allegation. The reviewer must follow procedures in the
preceding sections on earned income to verify and document any other form of
earnings acknowledged by the household. Other appropriate verifications such as
receipts and statements by collateral contacts may be used.
1023.2
Negative Allegation. In the absence of contradictory evidence, the
reviewer may accept the household's claim of no other earned income. The reviewer
must document why the household’s claim was accepted.
1030
VERIFICATION STANDARDS FOR UNEARNED GOVERNMENT
BENEFITS. The reviewer must ask the household about the receipt and amounts of
any unearned income identified in the case record. The household must also be
questioned about any other unearned income by specifically mentioning each of the
other types listed in the following sections. The reviewer must verify any such income
items the household receives.
Negative allegations by the household of unearned income should be evaluated in the
context of its complete circumstances and history. For example, review of the
recipient's employment history may indicate possible eligibility for unemployment
compensation or veterans’ benefits. When such circumstances exist, the reviewer
must document a basis for a decision of non-receipt of benefits regardless of the
recipient’s denial of receipt of income. (See Section 512.)
1031
Retirement, Survivors, and Disability Insurance (RSDI)
Benefits - 331. The reviewer must check Social Security Administration's (SSA)
data exchange system for all household members to verify their positive or negative
allegation, and the accuracy of the information they provide. Additional verification
may be required, such as:
•
•
•
Current SSA award letter
Other SSA correspondence or
Direct contact with the SSA office to obtain RSDI benefit information
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1032
Veterans' Benefits – 332.
Positive Allegation. For standard verification, use the following:
•
•
Current Veterans Benefits Administration (VBA) Award notice
Direct contact with a VBA representative
Negative Allegation. See IEVS Matching, Section 512.
1033
Supplemental Security Income (SSI) - 333. The reviewer must
check the SSA’s data exchange system for all household members to verify their
positive or negative allegation, and the accuracy of any information they provide.
Additional verification may be required, such as:
•
•
•
Current SSA award letter
Other SSA correspondence or
Direct contact with the SSA district office to obtain SSI benefit information
1034
Unemployment Compensation - 334.
1034.1
Positive Allegation. The reviewer must verify the amount and date
unemployment compensation was received. For standard verification use the
following:
• Current award certificate
• Official correspondence
• Direct contact with the appropriate agency administering the unemployment
compensation program
1034.2
Negative Allegation. (See IEVS Matching, Section 512.)
1035
Workers’ Compensation - 335.
1035.1
Positive Allegation. For standard verification, the Workers’
Compensation award notice is the best evidence. When the award notice is
unavailable, the reviewer must contact the Workers’ Compensation office to verify the
amount of the payment received during the appropriate month.
1035.2
Negative Allegation. (See Section 512.)
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1036
Other Government Benefits - 336. Other government benefits
include but are not limited to Black Lung Benefits, Railroad Retirement payments, and
payments to farmers by USDA.
1036.1
•
•
•
Positive Allegation. For standard verification use the following:
Current award certificate
Official correspondence
Direct contact with the appropriate agency that provides the payments
1036.2
Negative Allegation. (See Section 512.)
1040
VERIFICATION STANDARDS FOR OTHER UNEARNED INCOME.
1041
Contributions/Income-In-Kind - 342.
1041.1
Alimony Payments. One important type of contribution is alimony
payments. The reviewer must consider the household composition and circumstances
to determine the likelihood of possible receipt of alimony or child support payments.
See Section 1050 for verification procedures for child support.
Positive Allegation. The primary source of verification for declared support payments
and contributions is contact with the person making the contribution. When support
payments or contributions are made through a third party, such as a court or
probation office, verification can be made through that agency.
The reviewer must carefully evaluate the date of receipt and payment amount
relative to the review date.
Negative Allegation. The household’s denial of receipt of alimony payments or
contributions may be accepted in the absence of evidence to the contrary. If a
conflict exists between the client’s statement and other information from collateral
sources, the reviewer must resolve the conflict. Verification, such as a statement
from the person making the payments or copies of cancelled checks, must be obtained
and the reviewer’s determination documented.
Verification. The reviewer must pay particular attention to the dates of documents
provided for verification. Documents that are old may have been amended later, and
not be correct or current information.
•
From Household. The following are documents or other records for
verification generally available from the household:
Divorce or separation decree
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•
Court order
Alimony check
Alimony agreement
Correspondence regarding alimony payments
Veterans Affairs / Department of Defense (DoD) documents
From Other Sources. The following are other sources available for
verification:
1041.2
Court records
Lawyer's records
Canceled check of person making contribution
Income tax returns or
Employer's record of attached wages
Income-In-Kind. Reviewers must verify no income-in-kind is counted
as income in the calculation of the household's SNAP benefit. An example of incomein-kind is a rent-free apartment furnished as a part of the compensation package for a
recipient working as a building manager. Income-in-kind should be excluded.
1042
Deemed Income - 343. If the household with a non-citizen member
alleges no sponsor of the non-citizen, the reviewer must contact US Citizenship and
Immigration Services (USCIS) for verification. If USCIS states that there is a sponsor,
the reviewer must follow up appropriately.
The amount of income deemed to the household from the sponsor (and the sponsor’s
spouse) of a non-citizen member of the household must be verified. This may be
found by reviewing the documentation in the case record, including any corresponding
Temporary Assistance for Needy Families (TANF) case information. If adequate
verification is not found in the case records, the household must obtain the necessary
documents from the sponsor or the sponsor’s spouse. In addition, the reviewer must
explore the possibility of income in excess of the amount deemed from a sponsor (or a
sponsor’s spouse). Any additional deemed income must be verified, documented, and
included as income to the household. (See Section 822.1.)
1043
PA or GA - 344. The receipt and amount of any PA or General
Assistance (GA) payments which the household claims must be verified either through
contact with the paying agency or from official correspondence from the agency. (See
Section 512.)
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1044
Educational Grants, Scholarships, and Loans - 345. The
reviewer must verify the following information:
•
•
•
•
•
•
The source of income (i.e., Title IV, BIA, JTPA, Perkins Act)
The amount of income
The period of time it was intended to cover
Any earmarked amounts for allowable expenses
Amounts used for tuition, mandatory fees, books, supplies, transportation,
and other miscellaneous personal expenses (other than living expenses) for
the same period of time, and
Origination fees and insurance premiums on loans
Mandatory fees include the rental or purchase of any equipment, materials, and
supplies related to the pursuit of the course of study involved.
Most educational assistance and tuition, as well as mandatory fees and earmarked
amounts, can be verified by contacting the school the student attended. The provider
agency, e.g., the Veterans Benefits Administration for some veterans’ educational
benefits, may provide verification for the exclusion of amounts used for the allowable
costs.
Household circumstances regarding educational grants, scholarships, and loans, must
be documented on Form FNS-380, even if it is waived from counting as income.
1044.1
Positive Allegation. When a household admits that a household
member receives educational grants, scholarships, and loans, the reviewer must verify
the income and expenses through sources such as the following:
•
•
•
•
Contact with the school the student attended
Contact with the provider agency
Receipts for expenses
Prevailing transportation rates
1044.2
Negative Allegation. If there was no member who was a student,
1045
Other Unearned Income - 346. The exploration of all income
the household's denial of receipt of educational funds may be accepted in the absence
of evidence to the contrary. At a minimum, for households with a student, the
reviewer must contact the school to verify whether or not the student received
educational assistance.
sources is an important part of the review, and unearned income, while always
explored, may be particularly helpful in determining household management of
expenses. The reviewer must verify the receipt and amount of other types of
unearned income. Several examples are discussed below. (See Section 512.)
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1045.1
Foster Care Payments. When there is a foster child or adult in the
1045.2
Dividends and Interest. Reviewers must obtain statements that
household, the reviewer must verify through the appropriate office whether the child
or adult is legally assigned to the household. The reviewer must also obtain
verification of the amount of monthly foster care payments made to the household.
may show interest or dividends. Interest on savings accounts, bonds, and dividends,
from investments such as stocks, may be paid annually or more frequently. At the
time the household is certified, the participant is required to report such income.
The EW may have averaged this income at the request of the household or may have
counted the income only in the month it was expected to be received.
The reviewer must determine if the household reported the receipt of such money,
and the amount that should be considered income, during the appropriate month. If
such income was averaged, the reviewer must also average in accordance with
certification procedures. If the reviewer discovers such income, which was not
reported either at the time of certification or at the time it was received, the interest
or dividend must be counted as income in the month in which it was received.
1045.3
Rental Income. Gross income derived from rental property must be
verified. The costs of doing business must be verified and excluded from the gross
income.
1045.4
Pensions and Union Benefits. The reviewer must question the
household about the receipt of any pension(s) or union benefits. The recipient's
employment history may indicate possible eligibility for a company retirement
pension. Past union membership could indicate possible benefits from that source.
If the household states it received pension(s) or union benefits, the source and
amount must be verified using the procedures in Section 1021.1. If the household
denies receipt of such and there is no evidence to the contrary, the client’s statement
is sufficient. If the household circumstance or employment history indicate the
possible entitlement or receipt of pension or union benefits, the reviewer must fully
explore and document the basis for their determination.
1046
TANF - 347. (See Section 1043.)
1050
CHILD SUPPORT PAYMENTS RECEIVED FROM ABSENT
PARENT - 350. One common type of household income in many SNAP cases is
child support income. The composition of the household may indicate whether the
reviewer should seek additional information with regard to the probability of support
payments.
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Positive Allegation. The primary source of verification for declared support payments
and contributions is contact with the person making the payments. When support
payments or contributions are made through a third party, such as a court or
probation office, verification can be obtained through that agency. The reviewer must
carefully evaluate the date of receipt and amount relative to the QC review date.
Negative Allegation. The reviewer may accept the household’s negative allegation
if:
•
•
The absent parent is making child support payments to the child support
enforcement agency, or
The absent parent is incarcerated
If the absent parent is not incarcerated, and no payments are found through the child
support agency:
•
•
•
The reviewer must explore the possibility of support payments made directly
to the household or voluntary contributions being made without legal liability
to do so
The reviewer must attempt to contact the person potentially liable for
support if the location of the person is known
The reviewer must verify required information through the child support
enforcement agency if the person denies making support payments during the
period under review, or the person’s location is not known, or they cannot be
contacted
When contact is attempted, the reviewer should be sensitive to the delicate nature of
the contact and proceed accordingly. When no contact is attempted because it would
be inappropriate, the reviewer must document the circumstances and their decision.
In situations involving family violence no contact should be attempted with the absent
parent; however, documentation must be present, justifying the reviewer’s decision
not to contact the person.
If a conflict exists between the client’s statement and that of the absent parent or
other collateral sources, the reviewer must resolve the conflict. Verification, such as
a statement from the person making the payments, copies of canceled checks, or
official documents from the child support agency, must be obtained and the
reviewer’s determination documented.
Verification.
•
From Household. The following are documents or other records for
verification generally available from the participant:
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•
Divorce or separation decree
Court order
Contribution check
Support agreement or
Correspondence regarding support payments
From Other Sources. The following are other sources available for
verification:
Court records
Payment history from a child support agency
Lawyer’s records
Canceled check of person making contribution
Income tax returns or
Employer’s record of attached wages
1060
VARIANCE DETERMINATIONS. Once income has been verified, the
reviewer must determine whether any variances exist in eligibility or budgeting.
•
•
Procedures in Section 1061 must be used for determining eligibility.
Procedures in Sections 1062, 1063, 1064, 1065, 1066, 1070, and 1080 must be
used for budgeting.
The variance determination process for income is dependent on the type of income
and the reporting requirements of the household. Chapters 2 and 7 outline the review
procedures used in determining variances for households subject to:
•
•
•
•
Monthly reporting
Quarterly reporting
Simplified reporting, and
For households receiving transitional benefits allowances
1061
Eligibility. Households must meet the gross and net income tests,
unless the household was categorically eligible. Households that contain an elderly or
disabled member must only meet the net income test. All other households must meet
both the gross and net income tests.
1061.1
Prospective Eligibility. For households participating based on
prospective eligibility, the reviewer must apply the appropriate income test(s) to the
income verified for the budget/sample month. If the household's budget/sample
month income meets the income test(s), the household is prospectively eligible based
upon income.
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If the household's budget/sample month income exceeds the income limit(s), the
reviewer must determine whether this is the result of a variance that is included in
the error determination. If the variance is included, the case must be reported as
ineligible. The reviewer must use the appropriate time frames for reporting and
acting on changes to determine whether there is an excluded variance. (See Chapter
7.)
1061.2
Retrospective Eligibility. For households participating based on
1061.3
Categorical Eligibility. A categorically eligible household is eligible
retrospective eligibility, the reviewer must apply the appropriate gross/net income
test(s) to the income verified for the budget month. If the household's budget month
income meets the income test(s), the household is eligible based upon income. If the
household's budget month income exceeds the income limit(s), the case must be
reported as ineligible and a variance cited.
for SNAP benefits regardless of whether its income exceeded the limit(s), unless
household member(s) are prohibited as indicated in Section 841.
If the reviewer becomes aware that a categorically eligible PA household has more
income than allowed by the PA limit(s), this information must be reported to the
agency but does not result in the case being reported as ineligible for SNAP benefits.
When a case is found to have been incorrectly classified as categorically eligible, the
reviewer must use the income test(s) as applicable.
Example: The reviewer finds that a household contained an elderly
individual who was not included in the PA budget and who did not receive
SSI. The SNAP benefit net income test would be used. If the income
exceeded the household's net income limit, the household was ineligible.
1062
Unearned Income. Households subject to change reporting
requirements are only required to report changes in unearned income of more than
$100 in monthly income. QC must use the following procedures when reviewing
unearned income in cases subject to change reporting requirements. These
procedures apply to:
•
•
•
•
Stable and fluctuating income
Prospectively and retrospectively budgeted
Reported/processed sources and
Unreported/unprocessed sources of unearned income
A. Compare the QC verified budget month income to the worksheet amount.
•
In prospectively budgeted cases the budget month is the sample month
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•
•
•
•
In retrospectively budgeted cases the budget month is one or two months
prior to the budget month, depending on the system used by the State
If there is no difference, there is no variance
Use the verified budget month amount in the error determination process
If there is a difference, proceed to Step B
B. Correct the worksheet amount for:
•
•
Misapplication of policy and/or computational errors by the EW and
Incorrect reporting (including failure to report) by the household at the time
of certification, recertification, or the last reported change
C. Compare the QC verified budget month amount to the corrected worksheet
amount.
•
•
If there is no difference, use the corrected worksheet amount in the error
determination process, or
If there is a difference, go to Step D
D. Determine if the difference can be excluded based on:
•
•
Reporting requirements in Chapter 2, or
Exclusionary time periods in Chapter 7
E. In the error determination process, QC must use:
•
•
Corrected worksheet amount from Step B, if the difference is excludable,
(resulting in no variance cited) or
QC verified sample/budget month amount if the difference is not excludable
(resulting in a variance cited)
Note: If there was more than one source of unearned income, the reviewer must
total the corrected worksheet unearned income, and compare it to the total QC
verified budget/sample month unearned income, to determine if there was a change
of more than $100 in monthly income.
1062.1
More Than One Variance in an Income Source. If there is more
than one variance in an income source, the reviewer must arrange all variances in
chronological order. The reviewer must then determine if the latest variance is an
included or an excluded variance based upon time frames for reporting and acting on
changes.
• If the latest variance is an included variance, the reviewer shall use the QC
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verified budget month amount in the error determination process
• If the latest variance is an excluded variance, the reviewer shall use the
income amount that reflects the full effect of the latest included variance(s)
1063
Prospectively Budgeted Earned Income $100 Change
Reporting. The following procedures apply to households that are required to report
changes greater than $100 in the total monthly earned income, including:
•
•
Reported/processed sources of income and
Income received in beginning and other months
Each State has the option of averaging, or not averaging, fluctuating earned income.
Any income not meeting the definition of averaging must be considered as income
that is not averaged. The same basic review procedure must be used for:
•
•
•
Fluctuating income that was averaged
Fluctuating income that was not averaged and
Stable earned income
For averaged income, QC must use the most recently calculated averaged income that
is (or should have been) in effect for the sample month.
Example: The EW calculated a new income (for any reason) after
certification but prior to the review date. QC determines the new average
should have been used to determine the sample month's issuance, but was
not. For the corrected EW figure, QC must use the newly calculated
income average.
When assessing the accuracy of the EW budget, QC must:
•
•
Convert verified income for the appropriate month(s) if the EW was required
to convert and
Correct any misapplications of policy or incorrect computations
In the error determination process, QC must use the following procedures for any
vacation or sick pay received by the household.
•
•
•
Count as income in the month received
Treat it as it’s from the same source as the normal pay source, unless it is a
terminated source
Treat as a non-recurring lump-sum payment if it was from a terminated
source and was received once in a lump sum
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Section 722 must be used to determine whether income from a new or terminated
source is used in the error determination process.
Before completing the calculations outlined in Sections 1063.1 and 1063.2, all
reported earned income sources must be added together. If a case contains both
reported and unreported sources of earned income, QC must treat:
•
•
Any reported sources in accordance with Section 1063.1 and 1063.2, as
appropriate and
Any unreported sources in accordance with Section 1063.3
Interim Change.
1. For purposes of determining the effective month of a certification action under
1063.1 and 1063.2; an interim change is a recalculation of a case’s SNAP benefits
resulting from:
•
•
Change(s) reported by the household or
Change(s) the agency becomes aware of through a source other than the
household, including income-related mass changes, which includes but is not
limited to:
SSA and SSI Cost-of-Living Adjustments (COLAs) and
Across the board adjustments to TANF
Note: This does not include non-income related mass changes such as:
Adjustments to standard utility allowances (SUAs)
2. The recalculation does not have to result in a change to the allotment. In order to
be considered an interim change under this definition, the certification record
must document two things have occurred:
•
•
A change is reported by the household, or the agency becomes aware of the
change and
The EW is required to act on the change, and the EW documented their
decision that the household’s allotment will not be affected by the change
Effective Date of a Certification, Recertification, or Interim Change. In determining
whether to use procedures in 1063.1 (first and second month) or 1063.2 (third month
and later), the QC reviewer must consider when a certification action became
effective rather than when the action was taken.
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Example of an Effective Month
After the Date of the Action:
The EW recertifies a household
on April 25 for May through
October. May is the first
effective month of the
certification action.
Example of an Effective Month Before the
Date of the Action: A household applies
for benefits on September 10. On October
4, the EW certifies the household for
September through December and issues
benefits retroactively for September. Even
though the certification action did not occur
until October 4, the first effective month of
the certification action is September, the
month of initial certification.
The reviewer must use the following procedures to determine whether any variances
exist. These procedures apply to both stable and fluctuating sources of earned
income.
1063.1
First and Second Effective Months of a Certification Action.
If the budget/sample month was the first or second effective month of an initial
certification, a recertification, or an interim change, the reviewer must review income
using the procedures in this section.
This section must also be used for the third effective month if using procedures at
1063.2 would take the QC reviewer outside of the effective period of a certification
action.
In the steps below, QC must use converted income as appropriate.
Comparison I.
Verify the sample month income. This income is used in the Comparison I allotment
test at Section 621. If the Comparison I allotment test results in an allotment
difference greater than the current FY error threshold from the authorized allotment,
proceed to the next comparison.
Comparison II.
1. Correct the worksheet income figure for the time income from each source was
last calculated for the allotment under review for:
•
•
Incorrect reporting by the household and
Misapplication of policy and/or computation errors by the EW
In the case of previously known and processed sources of income, in which a
change has been reported by the household, or otherwise become known to the
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agency, and the EW has failed to process the change, correct the EW income figure
for the time the change was reported or became known by the agency.
2. Using 722, determine whether any changes occurred in the household's
circumstances that should have been in effect as of the review date, excluding
unreported/unprocessed income. If any change should have been in effect, use
the change in the error determination. If there was no change that should have
been in effect, use the eligibility worker's corrected figure in the error
determination.
Example of case in which the eligibility worker’s figures are used in the error
determination:
Certification Period:
Sample Month:
Certified:
March 1 through July 31
March
February 25
Verified March Income:
Income on Worksheet:
$1025
$890
The eligibility worker correctly added together eight weekly pay stubs from January
and February and converted the income to $890 monthly. The household correctly
reported at the time of certification.
The reviewer will use $890 in the error determination process because the income was
correctly determined at the time of certification, and AORD insufficient time has
passed since the certification action for any changes to be included in the error
determination.
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Example of case in which the corrected eligibility worker’s figures are used in the
error determination:
Certification Period:
Sample Month:
Certified:
March 1 through August 31
March
February 25
Verified March Income:
Income on Worksheet:
$1530
$890
The eligibility worker added together biweekly pay stubs from January and February
and converted the income to $890 monthly; however, the QC reviewer discovered
that the household actually received income weekly. The QC reviewer must correct
the EW's figure by adding together the weekly pay stubs for January and February
using the correct weekly conversion factor. The corrected figure must be used in
the error determination process. Insufficient time has passed since the certification
action for any changes to be included in the error determination, so only the error
at certification is included.
Example of case in which the eligibility worker’s figures, following an
interim change, are used in the error determination:
Certification Period:
Month:
Certified:
Interim Change:
Verified June Income:
Income on Worksheet:
January 1 through August 31 Sample
June
January 15
May 10
$1000
$1204
The recipient was interviewed on January 2 and certified on January 15 with a
monthly income of $210. On May 1, the recipient's employment changed from parttime to full-time. She received her first full-time paycheck on May 7.
She reported the change to the State agency on May 8 and provided verification that
she could expect to work about 35 hours per week at $8.00 per hour. On May 10, the
State agency prepared a budget for June through August, based on monthly income of
$1204 ($8 x 35 x 4.3). The reviewer will use $1204 in the error determination process
because the income was correctly determined at the time of the interim change, and
AORD insufficient time has passed since the interim certification action for any
changes to be included in the error determination.
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Example of case in which the sample month is the third effective month of a
certification action and an unreported change has occurred which must be
included in the error determination:
Certification Period:
Sample Month:
Recertified:
June 1 through May 30
August
May 20
Verified August Income:
Income on Worksheet:
$460
$325
The State agency has a 12-day NOAA period, requires averaging at least two full
months of income to determine a "best estimate" of anticipated income, and requires
reporting of actual changes of more than $100 from the monthly average.
Although August is the third effective month of a certification action, using
procedures at 1063.2 would take the reviewer outside of the effective period of the
certification action, since the State agency has a 12-day NOAA (i.e., the first full
month ending 32 days prior to the review date is May which is prior to certification).
Therefore, procedures at 1063.1 are used in reviewing income.
In recertifying the household, the EW correctly averaged income from April ($300) and
May ($350) to compute a best estimate of $325. On June 5, the household received its
June paycheck of $460 that was neither reported by the household nor processed by
the State agency.
The QC reviewer determined that the change to $460 must be included in the error
determination since the household was aware of the change more than 32 days
prior to the review date, and the change exceeded the best estimate of $325 by
more than $100. Based on certification policy, the QC reviewer determined one
way to include this change was by averaging income from April, May and June
[($300 + $350 + $460) ÷ 3 = $370]. Thus, $370 is used in determining the error
amount. It should be noted that $370 is used in the error determination even
though it differs by $100 less from the corrected EW's figure.
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1063.2
Third Effective Month or Later Following a Certification,
Recertification, or Interim Change. If the sample month was the third effective
month of an initial certification, a recertification, or an interim change, the reviewer
must review the income using the procedures in this section.
If the review date is such that the following procedures would take the QC reviewer
outside of the effective period of the certification action, QC must use Section 1063.1.
This will apply to most States for completion of March sample month cases, as well as
States with 10+ days notice of adverse action periods.
In the steps below, QC must use converted income as appropriate.
Comparison I.
Verify the sample month income. This income is used in the Comparison I allotment test
at Section 621. If the Comparison I allotment test results in an allotment difference
greater than the current FY error threshold from the authorized allotment, proceed to
the next comparison.
Comparison II.
1. Correct the worksheet income figure for the time income from each source was last
calculated for the allotment under review for:
•
•
Incorrect reporting by the household, and
Misapplication of policy and/or computation errors by the EW
In the case of previously known and processed sources of income, in which a change
has been reported by the household, or otherwise become known to the agency, and
the EW has failed to process the change, correct the EW income figure for the time
the change was reported or became known by the agency.
2. Compare the QC verified sample month's income to the corrected EW's income figure
or use EW figure if no correction was required.
3. In the error determination, QC must use:
•
•
The corrected EW income amount if the comparison results in a difference of
$100 or less
If greater than $100, proceed to step 4
4. Determine the amount of fluctuating income in the error determinant month.
•
This is the first full month ending 30 days prior to the review
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•
•
date
The 30-day period is based upon regulatory time frames for reporting and acting
upon changes
For States with notice of adverse action periods other than 10 days, the 30-day
time frame must be adjusted up or down accordingly
5. Compare the income in the error determinant month to the corrected EW income
figures.
6. In the error determination process, QC must use:
•
•
The corrected EW income amount if the comparison results in a difference of
$100 or less
The income amount from the error determinant month if the comparison results
in a difference greater than $100
In the following examples, the State agency has a 10-day notice of adverse action period
unless otherwise specified.
Example of case in which the eligibility worker’s figures are used in
the error determination (EW’s figures vary by less than $100 from the
sample month):
Sample Month: November
Income for November:
Nov. 6
Nov. 13
Nov. 20
Nov. 27
Total
Income for May, June, July:
May 4
May 11
May 18
May 25
$209.42
201.46
122.13
260.48
Total
$793.49
June 1
June 8
June 15
June 22
June 29
$203.76
213.40
212.25
195.39
215.46
$1,040.26
$230.91
224.13
260.93
209.15
$925.12
July 6
July 13
July 20
July 27
$194.64
213.25
147.16
226.40
$781.45
The eligibility worker, using the pay stubs from May, June, and July,
calculated an average monthly income of $872. The verified income for the
sample month of November is $925. The eligibility worker correctly
computed an average. The income received during the sample month is
within $100 of the eligibility worker's figures. Therefore, $872 would be
used in the error determination process.
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Example of case with conversion error: Use the same income for May
($793.49), June ($1040.26), and July ($781.45) as in the previous example. The
eligibility worker was required to convert the income, but did not. The
reviewer must correct the eligibility worker's figures by converting the income.
The corrected income amount would be used as the corrected eligibility worker
figure in the error determination process. The QC reviewer would convert the
income for the sample month and for the first full month 30 days prior to the
review date in doing the error determination.
Example of case in which the error determinant month is not the month two
months prior to the sample month:
Certification Period:
31 Sample Month:
Review Date:
Verified November Income:
Verified August Income:
EW’s figure for Income:
June 1 through December
November
Nov. 1
$850
$950
$700
The State agency has a 13-day notice of adverse action period. The EW
correctly computed monthly income of $700 at certification. No interim
changes have been processed since certification. The verified sample month
income is $850. Since this amount differs by more than $100 from the EW's
figure, the QC reviewer verifies income for August - the first full month ending
33 days prior to the review date. August income of $950 is compared to the
EW's figure and used in the error determination since it differs by more than
$100 from the EW's figure.
1063.3
Unreported/Unprocessed Sources of Earned Income. If the
existence of a source of earned income is never reported to the agency, never processed
by the agency, or reported but never processed by the agency; QC must use the verified
income received in the sample month (converted as appropriate) in the error
determination process. The QC reviewer must:
•
•
•
Use the procedures in Section 1065, for unreported/unprocessed sources of
income that should have been annualized or prorated
Use procedures in Section 1062, for unreported/unprocessed sources of
unearned income
Exclude any unreported source that began within the exclusionary timeframes
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1064
Prospectively Budgeted Earned Income - Status
Reporting. Households subject to status reporting requirements are only
required to report changes in earned income when there is a change in:
•
•
•
Source
Hourly rate/salary or
Employment status (part-time to full-time, or full-time to part-time)
QC must use the following procedures when reviewing earned income (both
reported and unreported sources) in cases subject to status reporting. Income
must be converted as appropriate.
1. Compare the QC verified sample month income to the EW income amount.
•
•
•
Comparisons must be made separately for each source of earned income
rather than totaling income from all sources prior to the comparison
If there is no difference, there is no variance. Use the EW income
amount in the error determination process
If there is a difference, proceed to step 2
2. If incorrect at the time of certification, recertification, or the last reported
change, QC must correct the EW income figure for:
•
•
Incorrect reporting by the household and
Misapplication of policy and/or computation errors by the EW
3. Compare the QC verified sample month amount to the corrected EW income
amount (or use EW figure, if no correction required).
•
•
•
Comparisons must be made separately for each source of earned income
rather than totaling income from all sources prior to the comparison
If there is no difference, the reviewer must use the corrected worksheet
amount in the error determination process
If there is a difference, proceed to step 4
4. Determine if the difference can be excluded based on:
•
•
Reporting requirements in Chapter 2 or
Exclusionary time periods in Chapter 7
5. In the error determination process, QC must use:
•
Corrected EW income amount from step 2, if the difference is the result
of an excludable change (resulting in no variance cited)
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•
The QC verified sample month income if the difference is not excludable,
(resulting in a variance cited)
1064.1
Multiple Variances in an Income Source – Status
Reporting. QC must use the following procedures when more than one variance
is found in an income source:
1. Arrange all variances in chronological order
2. Determine if the latest variance is includable or excludable based upon:
•
•
Reporting requirement time frames (in Chapter 2) and
Time frames for acting on changes (in Section 720)
3. In the error determination process, QC must use:
•
•
QC verified budget/sample month amount if the latest variance is
includable
Income amount reflecting the full effect of the latest includable
variance(s) if the latest variance is excludable
1065
Annualized and Prorated Income.
1065.1
Self-Employment. Income from self-employment (SE) is budgeted
based on the time period it is intended to meet the household’s needs.
•
The reviewer must annualize SE income over a 12-month period when it
is intended to meet the household’s needs for the entire year, even
when:
The SE income is received during only part of the year or
The household received income from other sources in addition to
the SE income
•
The reviewer must prorate the SE income over the period of time it is
intended to cover when it is intended to meet the household’s needs for
only part of the year
Reported Source of SE Income - When reviewing self-employment income, the
reviewer must focus on the actions taken by the EW in handling the income and
allowable income exclusions when the income was last calculated.
If incorrect at the time of certification, recertification, or when changes were
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subsequently reported, the reviewer must correct the EW income amount for:
•
•
Incorrect reporting by the household and
Misapplication of policy and/or computation errors by the EW
This must be done regardless of whether the EW anticipated income or projected
income. Unreported changes in amount after the time of certification or
recertification are not considered. This corrected worksheet amount must be
used in the error determination process.
Unreported Source of SE Income - When a household fails to report a source of
SE income, the reviewer must calculate an average monthly figure to be used in
the error determination process based on the best information available AORD
provided:
•
The source was in existence at the time of certification or recertification
or
•
The household subsequently became self-employed and the change
cannot be excluded based on the time frames for reporting and acting on
changes
1065.2
Contract Income. Households that derive their annual income
by contract in a period of time shorter than one year must have the contract
income averaged over a 12-month period, provided it is not received on an hourly
or piecework basis.
Reported Source of Contract Income – If
incorrect at the time of certification or
recertification, QC must correct the EW
amount for:
•
•
Incorrect reporting by the
household, and
Misapplication of policy and/or
computational errors by the EW
Example of an Unreported Change in a
Reported Source:
A household was certified from October
through the following September based
on an annual income of $27,000 or
$2,250 a month. The teacher received a
2 percent pay raise on January 1 but
failed to report the change. The sample
month was March. The reviewer must
re-annualize over the 12-month period
and divide by 12 to determine the
monthly income amount to be used in
the error determination process.
The reviewer must then make an
adjustment for any subsequent changes
that cannot be excluded based on the
reporting requirements and the time
frames for reporting and acting on
changes. This corrected monthly amount
must be included in the error determination process.
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Unreported Source of Contract Income - When a household failed to report a
source of contract income, the reviewer must calculate an average monthly figure
to be used in the error determination based on the best information available
AORD, provided:
•
•
The source was in existence at the time of certification or
The household subsequently obtained the contract income, and the change
cannot be excluded based on the time frames for reporting and acting on
changes
1065.3
Educational Income. Scholarships, deferred educational loans and
other educational grants, after exclusions, must be averaged over the period it is
intended to cover. Educational income is not counted until the month in which it is
received or anticipated with reasonable certainty to be received. Once counted,
the income, after allowable exclusions, is prorated over the entire period it is
intended to cover.
Reported Source of Educational Income - If incorrect at the time of certification
or recertification, QC must correct the EW income amount for:
•
•
Incorrect reporting by the household and
Misapplication of policy and/or computational errors by the EW
The reviewer must make an adjustment for any subsequent changes that cannot be
excluded based on the reporting requirements and the time frames for reporting
and acting on changes. This corrected monthly amount must be used in the error
determination process.
Unreported Source of Educational Income - When a household failed to report a
source of educational income which should have been included in the budget
month income, QC must calculate an average monthly figure to be used in the
error determination process based on the best information AORD, provided:
•
•
1066
The source was in existence at the time of certification or
recertification, or
The household subsequently received the income and the change
cannot be excluded based on reporting requirements and the time
frames for acting on changes.
Households with More Than One Type of Income. This
section is used for households with more than one type of reported/processed
income. Types of income include:
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•
•
•
Earned (status or change reporting)
Unearned
Annualized or prorated income
This section must not be used for households with income from more than one
source when the sources are the same type of income or they have the same
reporting requirements.
Example: A household is certified with income from two different employers. Even
though there are two sources of income, there is only one type since both are
earned, and both are subject to the same household reporting requirement.
Therefore, income in this example is reviewed using procedures for earned income,
based on the household’s income reporting requirement.
When a household has more than one type of income, QC must use the procedures
below, converting income as appropriate:
Comparison I.
1. Verify the amount of each type and source of income in the sample month
income, including any unreported/unprocessed income. All types of income
must be added together. This income is used in the Comparison I allotment test
at Section 621.
2. If the Comparison I allotment test results in an allotment difference greater than
the current FY error threshold from the authorized allotment, proceed to the
next comparison.
Comparison II.
1. Follow the appropriate procedures from Sections 1062, 1063, 1064, and/or 1065
for the various types of income received by the household. The reviewer must
separately evaluate each type of income.
2. Use the total of these separately determined income figures in the error
determination process.
In the following examples, the State agency has a 10-day notice of adverse action
period unless otherwise specified.
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Example of three types of income, with a change that was too small for a
significant impact on the allotment:
Sample Month:
Certified:
No interim change
August
May 15
At Certification
Type of Income
Verified for August
Earned income amount:
325
312
Unearned income amount:
100
100
Prorated income amount:
225
225
Total
Allotment for 3
650
235
637
238
The QC reviewer determined that the income used at certification was correct. Since the
allotment based on the sample month income varies by less than the current FY error
threshold for citing a QC allotment error, the case is determined correct.
Example of three types of income, with a change that was not included in the
final error determination:
August
May 15
Sample Month:
Certified:
No interim change
Type of Income
At
Certification
Earned income amount:
Unearned income amount:
Prorated income amount:
Total
Allotment for 3
Verified
for August
325
100
225
650
235
610(status)
100
225
935
167
Final Error
Amount
325
100
225
650
235
The QC reviewer determined that the income used at certification was correct. Since the
allotment based on the sample month income varies by more than the current FY error
threshold for citing a QC allotment error, the reviewer must review each income type
independently. Section 1062 was used to evaluate the unearned income which was
determined to be correct. Section 1065 was used to evaluate the prorated income which
was determined correct. Section 1064 was used to evaluate the status reporting earned
income and it was determined that the income at certification was correct and there
were no reportable changes. The overall error determination was that the case was
correct.
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Example of two types of income, with changes that must be included in
the final error determination:
Sample Month:
Certified:
No interim change
Type of Income
Earned income amount:
Unearned income amount:
Total
Allotment for 3
August
May 15
520
400
920
166
560(status)
510
1070
113
560
480
1040
132
The QC reviewer determined that the income used at certification was correct. Since
the allotment based on the sample month income varies by $53 (more than the current
FY error threshold for citing a QC allotment error), the reviewer must review each
income type independently. Section 1062 was used to evaluate unearned income. The
reviewer determined that there were two unreported changes. Unearned income
became $480 in July and $510 in August. The change to $480 is an includable variance.
The change to $510 is excludable as it is within the timeframes for reporting and acting
on changes. Section 1064 was used to evaluate the status reporting earned income, and
it was determined that there was an unreported wage increase from $6.00 per hour to
$6.50 per hour in June, which is an includable variance. The final error determination
is based on income of $1040 and results in an allotment error of $34 (166 – 132), which
is below the current FY error threshold to be included in the State’s official error rate.
1070
INCOME FROM INELIGIBLE HOUSEHOLD MEMBERS. The size of
1070.1
Income That Must be Counted Entirely. The income received
a SNAP household is always reduced by the number of ineligible members; however,
the manner in which income is handled varies depending upon the reason for which
an individual is ineligible.
by a household member disqualified for certain program violations is considered
available to the household in its entirety; however, for purposes of the eligibility
income test(s), the household size must be reduced by the number of disqualified
individuals. In all other respects, the income received by these ineligible household
members is examined consistent with the policies and procedures for any other
income.
1070.2
Income That Must be Counted on a Prorated Basis. In some
instances, the income received by individuals who are ineligible for the program is
prorated among the ineligible individual(s) and the remaining household members.
The reviewer must use these procedures when an individual is ineligible for certain
disqualifications, sanctions, etc.:
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•
•
•
1080
Reduce the household size by the number of ineligible individuals in
establishing income eligibility standards for the household
Exclude the prorated share attributed to the ineligible individual(s)
from the eligibility income test(s)
In all other respects, the income received by these ineligible
household members is examined consistent with the policies and
procedures for any other income
NON-COMPLIANCE WITH OTHER PROGRAM RULES. Some
households receive cash assistance through a Federal, State, or local means-tested
program such as TANF. Failure of a household member to perform an action
required by such a public assistance program may result in their cash benefit being
reduced, suspended, or terminated. The household’s SNAP allotment must not be
increased as the result of the decrease in the cash assistance income.
The State agency may reduce the household’s allotment by not more than 25%. The
25% reduction in SNAP benefits must be based on the amount of SNAP benefits the
household should have received under the regular SNAP benefit formula, taking into
account its actual (reduced) income.
Note: Examples of programs which are not means-tested include RSDI, Railroad
Retirement, and Unemployment Compensation. These benefits are not considered
under this provision.
1081
Desk Review. The reviewer must examine all State agency records for
the household to determine if the State agency was aware of a penalty AORD. If so,
the reviewer must also determine whether the State agency was aware the penalty
was caused by a failure to comply.
1082
Field Review. The reviewer is not required to investigate penalties of
which the State agency was not aware; however, if the reviewer uncovers a type of
assistance that was received AORD but not included in the certification action, the
reviewer must, if necessary, re-examine the State agency's records about the
penalty.
The determination regarding failure to comply with another program’s requirements
is made by the agency administering that program. Under no circumstances should
the QC reviewer make a determination or challenge a determination that has
already been made.
If a good cause determination for failure to comply with program requirements has
been made by the State agency, that good cause determination itself is not subject
to challenge by the reviewer.
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1083
Verification. The reviewer must examine State agency records to
determine whether the State agency was aware of any reduction, suspension, or
termination of any Federal, State, or local means-tested assistance program as of
the sample month. A determination by another agency that the penalty was caused
by the failure of the household to perform a required action must be accepted, and
is not subject to further examination by QC.
Verification of this element consists of documentation provided to the State agency
by the agency administering the program to which the penalty is being applied, or
information that is otherwise known to the State agency. The reviewer must verify
the following:
•
•
•
1084
Amount of the penalty for the appropriate months
Reason for the penalty, and
Date of which the State agency became aware of the amount and reason
Identification of Variances. A variance exists only if:
• The household’s penalty was caused by a failure to comply, the State
agency was aware of both the penalty and the cause, and the State agency
either did not count or counted the wrong amount of the penalty as
income; or
• The State agency erroneously reduced SNAP benefits
1085
Treatment of Variances. The reviewer must consider the date the
State agency became aware of the penalty and its cause as the date of a reported
change. The reviewer must apply appropriate time frames and requirements for
reporting and acting on changes in household circumstances.
Variances will only be cited if the State agency was aware of the penalty in the
other means-tested program, and failed to adjust the SNAP benefits appropriately.
In the error determination process, the reviewer must:
•
•
Include the benefit amount of the other program, which should have been
used in determining SNAP benefits for the sample month
Exclude penalties of which the State Agency was not previously aware
If a variance is included, the reviewer must correct the EW figure for:
•
•
•
Misapplication of policy
Failure to act or correctly act on reported information and
Computational errors
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For purposes of correcting the EW figures, the reviewer must use State agency
procedures as long as these procedures meet minimum Federal guidelines. In
the absence of procedures, or when procedures do not meet Federal
guidelines, the reviewer must use the penalty amount from the budget month.
The corrected figure is used in the error determination process.
1086
Other Deficiencies. Deficiencies in this element, other than
those specified above, must not be considered variances for purposes of QC
and need not be reported. For example, the State agency's failure to
investigate the cause of a decrease in another program's benefits must not be
considered as a variance unless the case record contains documentation
identifying the penalty as an intentional failure to comply.
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Chapter 11
DEDUCTIONS
1100
DEDUCTIONS. In SNAP there are six allowable deductions from a
household's gross income:
•
•
•
•
•
•
Earned income deduction
Dependent care deduction
Standard deduction
Shelter deduction
Medical deduction
Legally obligated child support payment deduction
1110
REVIEW OF DEDUCTIONS. What follows is a general discussion and
illustrations by example of the handling of allowable deductions.
1111
Deductions as Billed. In general, a household becomes entitled
to a deduction when it receives a bill or, if there is no bill, when the expense
otherwise becomes due. Exceptions to this general rule are noted in this chapter.
When an expense is paid through a charge or credit card account, the expense is
considered "billed" when the household received its charge account or credit card
statement.
•
•
•
A household may choose to
average periodic billings over the
interval between scheduled
billings or over the period the
expense is intended to cover
A household may choose to
average one-time only expenses
(other than medical expenses)
over the entire certification
period in which they are billed
A household may choose to
average one-time only medical
expenses over the remainder of
its certification period
11—1
Example of Allowing a Deductible
Expense as Billed, not as Paid: A
household did not receive a monthly bill
for its rent; however, it did sign a lease
that required a rental payment of $125
monthly throughout the certification
period. In calculating the household's
shelter expenses, the reviewer would
include the rent of $125 as "otherwise
becoming due." A household paid $17.62
for electricity on March 7th (billed in
February). The household was billed
$32.16 for electricity on March 20th. In
calculating the household's shelter
expenses for March, the reviewer would
consider $32.16 for March, as the amount
billed.
FNS Handbook 310
SNAP does not allow deductions solely
based on a household's actual payments.
For these deductions, the reviewer must
concentrate on dates and amounts of
billings, and not on dates and amounts of
payments. The reviewer must discuss
and document billing of deductions with
the household. Documentation should
include the discussion with the client
about when they considered the expense
billed. An exception to this general rule
is the child support deduction.
Example of When an Expense is
Considered Billed If Paid by Credit
Card: Example 1: An elderly household
member visited a doctor on March 8th.
Since payment was due at the time of
service, she charged the bill on her
credit card that same day. The credit
card company billed the household
member on a statement that she
received on May 2nd. After discussion
with the client the eligibility worker
(EW) would consider this expense as
billed in May because the client states
she is billed when she gets her credit
card statement.
The reviewer may use information about
the method of payment to determine
when an expense was billed (as with
credit cards and charge accounts). However, payments are not the basis for
deductions. The reviewer must use information about payments to determine a
household's cash flow. For example, does the household spend more than it
receives? This information may be useful in investigating household composition and
income.
1112
Expenses Paid by
Excluded Vendor Payment.
When a person or organization
outside the household pays a
household's expenses directly to
another party (like a doctor, a
landlord, or a babysitter), those
payments are called vendor
payments. SNAP excludes some
vendor payments from the
household's income.
When vendor payments are
excluded from income, the
household is not allowed a
deduction for the expenses covered
by the vendor payments. The
reviewer must ensure that
dependent care, shelter, and
medical expenses are not deducted
when someone pays those expenses
Example of an Expense Paid by Excluded
Vendor Payment: A household was billed
$200 for rent each month of its certification
period. A charity paid $150 of the rent each
month directly to the landlord. In calculating
the shelter deduction, the household's rent
was $50. The $150 charity payment is an
excluded vendor payment.
Example of Assistance That Was Not an
Excluded Vendor Payment: A household was
billed $200 for rent each month of its
certification period. A charity gave the
household $150 each month to help pay the
rent. In calculating the shelter deduction, the
household's rent was $200. The $150 charity
payment to the household was not an excluded
vendor payment. The $150 given directly to
the client is counted as income, and they get
the full shelter deduction.
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by excluded vendor payment, except for Low Income Home Energy Assistance Act
payments.
1113
Deductions Disallowed at Certification or Recertification.
When a household was entitled to a
deduction at the time of the most
recent certification or recertification
and did not receive it, the case has an
included variance. There are three
exceptions to this rule:
1. The household reported the
expense but chose not to
receive the deduction.
2. The State agency asked for
verification, the household
did not provide it, and the
State agency certified the
household without the
deduction.
3. The household fails to
report expenses at
certification or
recertification after the
State agency has informed
the household that such
failure will result in the
forfeiture of the right to a
deduction.
Example of an Expense Disallowed for
Failure to Report Expense at Application: A
household indicated on its application at
certification that it incurred shelter
expenses of $500 in rent. No utility
expenses are reported. The EW certifies the
household with only the $500 rent used in
the determination of the shelter deduction.
The application contains a statement
informing the household that they forfeit the
right to deduction of household expenses if
they fail to report the expense. The
reviewer verified shelter expenses of $500
rent, plus utilities. In completing the final
review findings for the case the reviewer
would include only the rent, not the utilities,
in the shelter deduction calculation.
(Assuming no other variances exist, this case
would be completed as correct, no error)
Example of an Expense Disallowed for
Failure to Report Expense at Application:
A household indicated on its application at
certification that it did not incur any
dependent care expenses. The EW noted in
the casefile that the client was informed at
the certification interview that they forfeit
the right to deduction of household expenses
if they fail to report the expense. The
reviewer found the household had
unreported dependent care expenses. The
reviewer would not include a dependent care
deduction in the calculation because it was
unreported at certification.
For the first two exceptions, the
reviewer must exclude these variances
if the State agency documented the
case record to show why the
household did not receive the
deduction for these reported
expenses. The State agency
documentation must be dated
between the household's application
date covering the sample month and
the review date. The reviewer must document on the 380 their reason for excluding
the variance, including what the EW documented in the case record.
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For the third exception, the reviewer must exclude these variances if the State
agency documented the case record to show the statement informing the household
of its right to claim the deduction. The documentation must be dated for the time
of the certification action covering the sample month. Statements subsequent to the
review date, by the State agency or by the household, must not be taken into
account. The reviewer must document on the 380, the reason the variance is
excluded and the statement documented by the EW in the case record.
Unique Circumstances: Deductions
disallowed at certification or
recertification under one of the
provisions listed above must be
included in the error determination
under certain unique circumstances.
Example of an Expense Disallowed for No
Documented Reason: A household stated at
certification that it paid court ordered child
support of $400 monthly. The EW did not allow
a child support deduction, and there was no
documentation in the case record explaining
why the deduction was not allowed. The
reviewer verified the court ordered child
support payments of $400 monthly. In
completing the final review findings the
reviewer would include a child support
deduction of $400 in the calculation. Assuming
no other variances exist, this variance would
cause an underissuance.
When the household reports and/or
verifies an expense and the agency
fails to allow the deduction; include
the deduction in the error
determination. The household must
have reported the expense
subsequent to the certification
action but prior to the sample month (allow for exclusionary time frames).
Example of an Expense Not Reported After Certification or Recertification: A
household indicated on its application at certification that it incurred no shelter
expenses. The application contains a statement informing the household that they
forfeit the right to a deduction of household expenses if they fail to report the expense.
The reviewer verified shelter expenses of $400 in rent and utilities billed separately
existed at the time of certification. While the reviewer determined the household
incurred shelter expenses of $400 which included rent and utilities, the household is not
entitled to the deduction; therefore, the expense is forfeited. The reviewer further
verified that the household moved two months after certification and failed to report
the move. The move occurred three months prior to the QC sample month and the
reviewer verified that the shelter expenses in the new home included $300 in rent as
well as utilities for heating and or cooling. This entitled the household to the Standard
Utility Allowance (SUA).
This policy affects only certification and recertification actions, and not the
requirement to report moves occurring after recertification. In completing the final
review findings for the case, the reviewer would therefore include the rent of $300 plus
the SUA from the unreported move in the shelter deduction calculation. (Assuming no
other variances exist, this case would be completed as containing an underissuance.)
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1114
Special Treatment of Variances. Procedures in Chapter 7
outline most instructions for including and excluding variances; however, there are
particular aspects of the deductions that require special treatment. These aspects
are outlined under the subject "special treatment of variances" which appears under
the dependent care, shelter, and medical headings.
Example of One Way to
Calculate the Earned Income
Deduction:
1120
EARNED INCOME
DEDUCTION - 321. The earned
income deduction is 20% of the
household's total earned income. The
reviewer must exclude the costs of doing
business of self-employment enterprises
to arrive at total earned income. The
total earned income amount appears on
line 1 of the computation sheet.
$763 total earned income
x.20 deductible percentage
$153 deductible amount
$763 total earned income
-$153 deductible amount
$610 earned income minus the deduction
Example of Another Way to
Calculate the Earned Income
Deduction:
$763 total earned income
x.80 non-deductible percentage
$610 earned income minus the
deduction
1120.1
Documentation. Documentation (other than on the computation
1120.2
Verification. Verification of the earned income deduction is not
sheet) is necessary only if there was a variance in the amount of the earned income
deduction. If there was such a variance, the reviewer must explain the mistake in
policy or in arithmetic computation.
required since the amount of the deduction depends totally upon verified earned
income.
1130
DEPENDENT CARE DEDUCTION - 323. A household is entitled to
the dependent care deduction, if it incurs out-of-pocket costs for the care of a
dependent because such care is necessary for a household member to:
• Accept employment
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•
•
•
•
•
•
Continue employment
Search for employment
Comply with Employment and Training requirements
Make an effort equivalent to job search if not subject to job search
Attend training
Pursuing education that is preparatory to employment
If an attendant care expense can qualify as both a dependent care deduction and a
medical deduction, the state can choose which deduction type the household
receives. The household cannot get both deduction types for the same expense.
1130.1
Deductible Expenses. A household may deduct the amount of the
dependent care expense billed by the person who provides the care. The care
provider cannot be a member of the SNAP household requesting the deduction, but
they can be living at the same address. In-kind benefits, like meals and lodging, are
not deductible expenses. The reviewer will convert or prorate expenses as
appropriate.
Expenses include transportation costs to and from the care facility, activity fees or
other fees. Examples include subsidy expenses and late fees associated with the
care provided to the dependent that are necessary for the party to participate in
the dependent care (these expenses and fees do not have to be mandatory, but
must be specific and identifiable).
Deductions are governed by certification policy.
1130.2
Documentation. The reviewer must document:
• The name of each dependent receiving the dependent care
• The name, address and phone number of the person providing the
dependent care
• The reason the household was entitled to a deduction
• The amount of the dependent care cost in the appropriate month or months
including frequency of pay
• The time periods covered by dependent care expenses
• The verification obtained, including the date verification was received and
how it was obtained
• Explanation of any variances, including whether the variance is included or
excluded
1130.3
Standard Verification.
• Bills for deductible expenses from the appropriate month or months
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• A statement from the provider concerning the appropriate month(s) and the
amount(s) and date(s) billed
Example of the Household’s Failure to
1130.4 Special Treatment of
Report an expense: At certification, the
household failed to report a $200 monthly
Variances. This section provides
dependent care expense. The reviewer
instructions on special handling of the
verified the household was billed $200
dependent care deduction.
monthly for dependent care. Although the
• Expenses Not Reported at
household failed to report the expense at
Certification or Recertification. A
certification, the expense did exist for the
State agency’s application and
budget month and the reviewer must
recertification forms for SNAP do not
include the expense for the time of
include a statement about forfeiting
certification.
the household’s right to a deduction
for failing to report expenses. If the household failed to report a dependent
care expense at certification and a dependent care expense existed for the
budget month, the reviewer will determine the error by using the amount of
the expense at the time of certification.
If the household failed to report a periodic or annual expense at
certification and the expense existed for the budget month, the reviewer
will prorate the bill over the interval between billings. The reviewer will
then use the amount prorated for the time of certification.
•
Change Reporting and Unreported Changes Subsequent to Certification
or Recertification. A change reporting household is not required to report
changes in its dependent care costs. Therefore, if a variance is attributed
to an unreported change subsequent to certification, the reviewer will
exclude the variance and document the reason for the variance exclusion.
Example of a Reported Change the State Was Required to Have Processed, and an
Unreported Change the Household was Not Required to Report: A household correctly
reported and received a deduction for $100 in monthly dependent care costs for a three-month old
child. Halfway through its certification period, on May 14th, the household learned that its costs
would drop to $80 monthly. The household reported the change to the local SNAP office, and the
agency failed to act on the reported change.
On July 20th, the household's dependent care costs dropped again to $60 monthly, but the household
did not report the change. The reviewer verified $60 in monthly dependent care costs for the
budget/sample month of September (change reporting, prospective eligibility and budgeting). The
reviewer would exclude this variance, because the household was not required to report the drop in
its dependent care expense.
In calculating the allotment, the reviewer must include the household's first change in monthly
dependent care costs to $80 as a variance, because the change was reported and should have been in
effect as of review date (AORD).
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•
Expenses Reported at Any Time and Not Correctly Processed.
If a household reports its circumstances and the State agency does
not correctly process the deduction, the reviewer must follow this
procedure (converting or prorating as appropriate)
If the State agency made a mathematical mistake, the reviewer
must correct the mistake
If the State agency misapplied policy, the reviewer must correctly
apply policy
STANDARD DEDUCTION - 361. The State agency must deduct the
1140
standard deduction for all households. The amount of the standard deduction is
determined by household size and minimum deduction amounts.
1140.1
Documentation. Documentation (other than on the computation
1140.2
Verification. Verification of the standard deduction is not required.
1150
SHELTER DEDUCTION - 363. A household may deduct some
sheet) is necessary only if there was a variance in the amount. If there was such a
variance, the reviewer must explain the mistake in policy or in arithmetic.
or all of its excess shelter expenses.
Excess Shelter Expense = Total Shelter - (Income - Other Deductions)
2
1150.1
•
•
Calculation of Shelter Deduction.
Elderly/Disabled Households. These households may deduct all of their
excess shelter expenses because there is no excess shelter limit for
elderly/disabled households
Other Households. Households other
Example of a Second Mortgage: A
than elderly/disabled may deduct
household's monthly payment on its
their excess shelter expenses up to
first mortgage was $350. The
the limit for their area. The State
household also took out a second
agency must use the limit for the
mortgage to buy an automobile. The
sample month
monthly amount of that mortgage
was $75. In calculating the shelter
expenses, the reviewer would allow
$425 in monthly mortgage expenses.
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1151
Rent or Mortgage. The entire rent or mortgage payment for the
household's shelter is a deductible expense. Mortgage payments include condo and
association fees, or other continuing charges leading to the ownership of the
shelter. Multiple mortgages (like second mortgages) for the same shelter are all
deductible, as are lot rents for trailers/mobile homes. (See Section 1154,
Unoccupied Home.)
Households in which all members are homeless but are incurring or reasonably
expect to incur shelter expenses within the month, are subject to special provisions
in the calculation of shelter expenses. The shelter expenses for these households
must be:
• A State agency may provide the standard homeless shelter deduction (See
Section 1157) or
• At the option of the household, actual verified shelter expenses that exceed
the standard homeless shelter deduction
1151.1
•
•
•
•
Address or location of the dwelling
Type of billing (rent or mortgage)
Verification obtained and the date obtained
Explanation of any variances, including whether the variance is included or
excluded and correct calculations when necessary
1151.2
•
•
•
•
Documentation. The reviewer must document the:
Standard Verification.
Current statement from the institution(s) holding the mortgage(s)
Current rent or mortgage receipt
Current statement by the landlord or manager
Current lease
1152
Property Taxes. Property taxes, State assessments, and local
1152.1
Documentation. The reviewer must document:
assessments on the household's home and property are deductible expenses.
Personal property taxes are not deductible expenses.
•
•
•
•
•
•
The types of taxes and assessments
The amounts of taxes and assessments
The time period covered by taxes and assessments
The verification obtained and date obtained
Whether the property taxes are part of the mortgage payment
Explanation of any variances, including whether the variances are included
or excluded and correct calculations when necessary
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1152.2
Standard Verification.
• Bills from the taxing authorities
• Statements from the taxing authorities
1153
Property Insurance. Property insurance premiums on the home
1153.1
Documentation. The reviewer must document:
itself are deductible expenses. Insurance premiums on personal property and
furnishings are not deductible.
•
•
•
•
•
•
•
The type of property insurance
The amounts of property insurance bills
The time periods covered by insurance bills
The name, address and phone number of the insurance company
The verification obtained and date obtained
Whether the property insurance premium is part of the mortgage payment
Explanation of any variances, including whether the variances are included
or excluded and correct calculations when necessary
1153.2
Standard Verification.
• Bills from the insurance company
• Statements from the insurance company
• Insurance policies
1154
Unoccupied Home. A household may deduct the shelter
costs of a temporarily unoccupied home under certain conditions.
The absence from the unoccupied home must be due to one of the following
circumstances:
•
•
•
•
Employment away from home
Training away from home
Illness
Abandonment caused by a natural disaster or casualty loss
In addition, the household must meet all of the following circumstances:
• The household must intend to return to the home
• Any resident of the home during the budget/sample month must not be
claiming the shelter expenses for SNAP benefits in another case, and
• The home must not be leased or rented during the household's absence
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1154.1
•
•
•
•
Address of the unoccupied home
Household's entitlement to the deduction
Verification obtained and date obtained
Explanation of any variances, including whether the variances are included
or excluded
1154.2
•
•
•
Documentation. The reviewer must document the:
Standard Verification.
Standard verification as listed for other shelter expenses
Statements from any persons residing in the other home
Documented statements from the case record
1155
Repairing a Damaged Home. The repair costs of a home are
deductible only if the home was substantially damaged or destroyed by a natural
disaster. These repair costs are not deductible if they have been or will be
reimbursed from any source.
1155.1
•
•
•
•
Documentation. The reviewer must document:
Cause of the damage
Cost of the repair
Verification obtained and date obtained
Explanation of any variances, including whether the variances are included
or excluded and correct calculations when necessary
1155.2
Standard Verification.
• Bills from providers
• Correspondence from the providers
1156
Utilities (Other Than the Standard Utility Allowance). A
household may deduct a utility expense unless the State agency certified the
household by using a standard utility allowance. Deductible utilities include (but
are not limited to):
•
•
•
•
•
•
Fuel for cooking
Cooling or heating costs
Electricity
Wood purchased for heating
Water
Sewage
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• Garbage and trash collection
• The basic service fee for one telephone (landline or cellular phone, contract
or non-contract, including tax on the basic fee)
• Fees charged by the provider for installing the utility
An expense is not allowable if it is covered by an excluded vendor payment or by a
reimbursement. The only exception to this concerns households who, in the month
of or the 12 months prior to application, received the minimum payment for Low
Income Home Energy Assistance Act (LIHEAA) that SNAP allows the SUA to be used.
1156.1
•
•
•
•
•
•
Documentation. The reviewer must document the:
Type of utility
Amounts of bills
Utility companies
Time periods covered by utility bills
Verification obtained and date obtained
Explanation of any variances, including whether the variances are included
or excluded and correct calculations, when necessary
1156.2
Standard Verification.
• Bills from the utility companies
• Statements from the utility companies
• Statements or receipts from the company or individual from whom wood is
purchased.
Note: A landlord’s statement is only acceptable to verify utility expenses if the
landlord bills for individual usage, or charges a flat rate separately, from the rent
for utilities; otherwise, the standard verifications listed above must be used.
1157
Homeless Shelter Deduction. A State agency may use a
1157.1
Documentation. The reviewer must document:
standard homeless shelter deduction in place of the usual shelter deduction. In
those States that use this deduction, the following applies.
• The household’s status as a homeless household
• The household’s incurring of shelter expenses that entitle it to the
homeless shelter deduction during the budget month
• The amount the household declares it incurred in shelter expenses
1157.2
Standard Verification. For the household’s homeless status and for
the incurring of shelter expenses:
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• Statements from employees and volunteers of homeless shelters,
halfway houses, etc.
• Statements from individuals who made temporary
accommodations available
• Statements from providers of social services
Note: The reviewer need not verify all of the homeless household’s actual shelter
expenses for the budget/sample month. The reviewer must seek verification to
indicate that the household incurred the minimum amounts of shelter costs to
qualify for the standard.
1157.3
exist:
Variances. The following are some examples of variances that may
• The state gave a household the homeless shelter deduction although
the household was not homeless
• The state gave a household this deduction although the household
received free shelter throughout the month
• The state gave a household this deduction although the household’s
shelter expenses were extremely low, and the state agency’s policy was
not to use the deduction in that situation
• The state did not give this deduction when the household was entitled to it
• The state gave this deduction when the household was entitled to
deduct actual shelter expenses
Whether these variances are included or excluded depends upon the ordinary
requirements for reporting and acting on information at certification actions and
when changes occur. Documentation must indicate the household’s circumstances,
as well as, reviewer reasoning for including or excluding a variance.
1160
STANDARD UTILITY ALLOWANCE - 364. The State agency may
offer a household a standard utility allowance (SUA) or actual expenses if the
household verified higher expenses. The state agency may also mandate use of the
SUA. If the State agency mandates the use of the SUA, the household cannot use
actual expenses and SUA is not prorated between separate households.
The State agency may choose to offer SUAs in these ways:
• A single SUA mandated for all households
• A separate SUA for each utility
• A single SUA including heating or cooling, which is available to all entitled
households
• Two single SUAs including heating or cooling:
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One of these would be used by entitled households who receive nonLIHEAA indirect energy assistance payments
The other would be used by all other entitled households (including
recipients of LIHEAA payments)
• A Limited Utility Allowance for households with no heating or cooling
expenses, but who are billed for at least two utilities, one of which may be
the telephone
• A SUA for households billed for only one utility, other than the
telephone
The State agency may develop a variety of SUAs, depending upon such factors as:
•
•
•
•
•
Household size
Regions within States
Season
Month of application
Length of the certification period
If the State agency does not mandate the use of the SUA, an individual household is
entitled to use a SUA if:
• The household receives or expects to receive a LIHEAA payment for its
current residence or
• The household meets all of the following criteria:
The expense is not totally covered by an excluded vendor payment or
reimbursement
The household incurs an expense covered by the allowance (in the
case of a single allowance that includes heating and cooling costs, it
must incur heating or cooling expenses separate and apart from rent)
The expense is incurred during the certification period or the period
covered by the SUA
The household is billed on a regular basis, or if it resides in private
rental housing and is billed by their landlords on the basis of
individual usage, or is charged a flat rate separately from the rent
Note: Residents of public housing units, that have central utility meters and only
charge households for excess heating or cooling costs, are not entitled to a standard
that includes heating or cooling costs based only on the charge for excess usage.
If the State agency mandates the use of the SUA, the household must receive the
SUA if:
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• The household is entitled to the SUA (see above) or
• The household resides in a public housing with central meters, paying only
excess heating or cooling (when the allowance includes heating or cooling)
The State agency may not prorate the SUA of households that share utility expenses.
1160.1
•
•
•
•
•
Documentation. The reviewer must document the:
Type of allowance
Household's entitlement to that allowance
Source of excluded vendor payments
Verification obtained
Explanation of any variances, including whether the variances are included
or excluded, and correct calculations when necessary
1160.2
•
•
•
•
Standard Verification.
Bills from the utility companies
Statements from the utility companies
Statements from providers of LIHEAA payments
Statements or receipts from the company or individual from whom the
wood is purchased
Note: A landlord’s statement is only acceptable to verify utility expenses if the
landlord bills for individual usage or charges a flat rate separately from the rent for
utilities; otherwise, the standard verifications listed above must be used.
1160.3
•
•
•
•
•
Variances.
If the household was entitled to the SUA, and received it, there was no
variance
If the household was not entitled to the SUA, but the EW used the SUA, the
reviewer must determine whether the household was entitled to deduct its
actual utility expenses at the time of certification, recertification or when a
utility expense was reported
If the household was entitled to deduct actual expenses, the reviewer will
include the variance by using the actual expenses from certification,
recertification or when the utility expenses were reported, whichever is the
most recent
If the household was not entitled to the SUA or to actual expenses, but
received either the SUA or the actual expense, the reviewer will include the
variance by not deducting any utility expenses
If the household moved and was no longer entitled to the SUA, but received
it, the reviewer will handle the variance in accordance with the household's
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•
•
•
reporting and budgeting time frames
If the household was entitled to either actual expenses or the SUA, but
received neither, the reviewer will use the SUA unless the certification
record documents that the household elected to use actual expenses. If
such documentation exists, the reviewer will use actual expenses
If the household was entitled to either actual expenses or the SUA and the
certification record documents that the household chose to deduct the SUA
at certification, but received a deduction for actual expenses instead, the
reviewer will use the SUA when determining a variance
If the State mandates the use of the SUA and the household was entitled to
the SUA but received actual expenses instead, the reviewer will use the SUA
when determining a variance
The reviewer must determine whether the State agency reasonably anticipated at
certification, recertification or when a utility expense was reported, that the
household would be entitled to the SUA. If the State agency's anticipation was
reasonable, and the household received the SUA, there is no variance in the case.
For unreported and incorrectly processed changes, see Section 1161.1.
1160.4
•
•
•
•
Prorated SUA. The reviewer must prorate the SUA if:
The State does not mandate the use of the SUA, and
Two or more households live together, and
They share utility expenses, and
The household being reviewed is entitled to the SUA and did not choose to
verify actual higher costs
If the reviewer determines that the SUA should have been prorated for the
household, the reviewer will prorate according to the State agency's procedure and
document how the client qualified for the proration, as well as the calculation of
the proration.
1161
Special Treatment of Variances. This section provides the
1161.1
Expenses Not Reported at Certification/Recertification. If
instructions on special handling of shelter deductions including dwelling(s) and
utilities.
the household failed to report a monthly expense at certification and the expense
existed for the budget month, the reviewer will determine the error by using the
amount of the expense at the time of certification. This does not apply to State
agencies with applications containing the statement that informs the household that
failure to report or verify existing deductions at certification or recertification will
result in the forfeiture of the right to a deduction.
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If the household failed to report a periodic or annual expense at certification and
the expense existed for the budget/sample month, the reviewer will prorate the bill
over the interval between billings. The reviewer will then use the amount prorated
for the time of certification.
1161.2
Change Reporting and Unreported Changes Subsequent to
Certification/ Recertification. A change reporting household must report its
shelter expenses only when it moves. (This does not impact the recipient’s
obligation to report changes in income.)
• The reviewer must exclude any variances caused by unreported changes
subsequent to certification when the household did not move
• The reviewer must include any variances caused by a move subsequent to
certification if the change should have been reported and acted upon AORD.
Example of an Unreported Change That the Household Was Required to Report:
A household was certified, with prospective eligibility and budgeting, based upon
monthly rent of $175. On March 16th, the household signed a lease for a different
apartment, beginning May 1st, at $190 each month. In calculating shelter expenses
for May, the reviewer would allow rent of $190, because the change was required to
be reported by the household.
Example of an Unreported Change That the Household Was Not Required to
Report: A household was certified with prospective eligibility, retrospective
budgeting. At the time of certification, the household's monthly rent was $225. On
June 1st, the household's rent for the same apartment changed to $300. The
household did not report the change. In calculating shelter expenses for the budget
month of August, the reviewer would allow rent of $225, because the change was
not required to be reported. The increase in rent is an excludable variance.
1161.3
Expenses Reported at Any Time and Not Correctly
Processed. If a household reports its circumstances and the State agency does not
correctly process the deduction, the reviewer will follow this procedure (converting
or prorating as appropriate):
• If the State agency made a mathematical mistake, the reviewer will correct
the mistake
• If the State agency misapplied policy, the reviewer will correctly apply
policy
11-28-18 (Change 3)
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Example of the State Agency’s
Failure to Process a Reported
Change: A household was billed $240
for annual property taxes on November
3. When the household applied the
next day, it reported and verified the
expense. The EW did not allow the
expense. In determining the variance,
the reviewer will use $20, the amount
of the expense prorated to the time of
certification.
Example of a Mistake in Arithmetic: At
certification, the household reported and
verified a biweekly rental expense of
$100. The EW converted the household's
biweekly rent as follows:
$100.00 biweekly rent
X 2.15 conversion factor
$250.00 monthly rent
The reviewer discovered a
mathematical mistake:
$100.00 biweekly rent
x 2.15 conversion factor
$215.00 monthly rent
The reviewer corrected the mathematical
mistake by using the correct figures.
1161.4
Monthly Reporting and
Actual Expenses. Some households
must report and verify their expenses each
month. If such a household failed to report
or to verify its actual utility expenses on
the monthly report and the household is
not receiving a SUA, the reviewer must
determine the variance by not considering
that utility expense.
1170
Example of a Monthly Reporting
Household’s Failure to Report Actual
Expenses: A household was certified on
the basis of an averaged electricity
expense of $32 monthly. On its monthly
report for the budget month of April, the
household did not report its actual
electric bill of $36. The reviewer will
determine error by using $0 for the
electricity expense.
MEDICAL DEDUCTION - 365. A household may deduct the
reported medical expenses (in excess of $35) of any household member who is
elderly or disabled provided the expenses are not being reimbursed. This includes
any anticipated changes in the household's medical expenses that can be reasonably
anticipated for the certification period based on available information about the
household member's medical condition, public or private insurance coverage, and
current verified medical expenses.
11-28-18 (Change 3)
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States utilizing a standard medical deduction under an approved demonstration
project must determine medical expenses according to the conditions in the
approval and document the case accordingly.
1170.1
Deductible Expenses. A household may deduct the medical
expenses of its entitled members to the extent that they exceed $35 for each
household each month.
When performed, prescribed, or approved by a licensed practitioner, qualified
health professional, or recognized facility, the following medical expenses are
deductible:
• Basic care:
Medical care, dental care, psychotherapy, and rehabilitation
Hospitalization and outpatient care
Nursing care and nursing home care
• Hospitalization, outpatient, nursing and nursing home care for an individual
who was a household member immediately prior to entering a hospital or
nursing home
• Drugs:
Prescription drugs
Over-the-counter drugs (when prescribed by a licensed practitioner)
• Equipment:
Medical supplies
Sick-room equipment
Dentures
Hearing aids
Prosthetics
Prescribed eye glasses
Other prescribed equipment
• Health and hospitalization insurance policy premiums.
• Medicare/Medicaid:
Medicare premiums
Medicaid cost-sharing expenses
Billed spend-down expenses
11-28-18 (Change 3)
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• Service animals (e.g., seeing eye dogs):
Securing and maintaining a service animal
Animal food
Veterinary care
• Reasonable costs of transportation and lodging to obtain medical treatment
or services
• Attendant, homemaker, home health aide, child care services, or
housekeeper necessary due to age, infirmity, or illness. Amount equal to
the one-person coupon allotment if the household furnishes the majority of
a home care attendant's meals
If an expense qualifies as both a dependent care deduction and a medical
deduction, the expense may be deducted as either a dependent care expense, or
a medical expense, but not both.
A household may not deduct the following expenses:
• Premiums for health and accident policies that pay lump sum
settlements for death or dismemberment
• Premiums for health and accident policies that are payable as income
maintenance, mortgage continuance or loan payments while the
beneficiary is disabled
• Expenses that have not been verified as non-reimbursable
1170.2
•
•
•
•
•
•
Documentation. The reviewer must document the:
Household members' entitlement to the deduction
Deductible expenses
Treatment of reimbursements
Time periods covered by medical bills
Verification obtained and the date obtained
Explanation of any variances, including whether the variances are included
or excluded and correct calculations, when necessary
1170.3
Standard Verification.
Positive Allegation:
• Bills from the providers of health insurance, services, and products
• Statements from these providers
• Health insurance policies clearly describing their areas of coverage
11-28-18 (Change 3)
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Negative Allegation: In the absence of contradictory information, the reviewer
may accept the household's disclaimer of deductible medical expenses and health
insurance.
1170.4
Calculation of Medical Expenses. The reviewer must
review medical expenses as follows:
Comparison I. Verify actual medical expenses that are billed or otherwise became
due in the budget/sample month. This figure includes any prorated amounts
allocated to the budget/sample month. These figures are used in the comparison I
allotment test. (See Section 621.)
Comparison II.
•
Correct the worksheet expense figure for:
•
•
Misapplication of policy
Failure to act or correctly act on reported changes
Computational errors by the eligibility worker
Incorrect reporting, failure to report or failure to verify by the
household at the time of certification/recertification
Exclude variances attributable to an unreported change subsequent to a
certification/recertification
Use the corrected worksheet figure in the error determination process
1170.5
Special Treatment of Variances. This section provides the
instructions on special handling of medical deductions
Reimbursement. If the EW requested
verification of reimbursement from the
household and the household was certified
without the expense because it did not
provide the verification, the reviewer must
not allow the medical expense.
If the case record does not contain
documentation of the EW's request for
verification of reimbursement, or if the
household did not report the medical
expense at certification/ recertification;
the reviewer must verify whether or not
11—21
Example of an Expense That the
State Disallowed Because There
Was No Verification: A household
stated at certification that it incurred
a monthly medical expense of $50 for
visits to a doctor. The EW requested
verification that the expense was not
reimbursable. The household did not
provide the verification, so the EW
did not allow a medical deduction.
There was no variance.
FNS Handbook 310
•
the household member had medical
Example of a Reported Expense That
insurance, Medicaid, or Medicare
the State Did Not Process, for No
AORD and the type of expenses
Apparent Reason: A household
covered.
stated at certification that it incurred
1. If there was no insurance, the
a monthly medical expense of $40 for
reviewer must allow the
visits to a doctor. The EW did not
expense.
allow a medical deduction. The
2. If the household had insurance
reviewer verified that the household
but the verification clearly
had no medical insurance or Medicare
showed that a type of expense
AORD and included a variance.
or portion of the expense was
not covered by insurance, the portion of the expense not covered by
insurance would be allowed.
Example of a Change That Was
3. If the household had insurance
Reported, But Not Processed: In
but there was no clear
the middle of the certification period,
verification of whether an
a household reported a new expense
expense was covered by the
for a quarterly health insurance
insurance or the amount that the
premium of $165. The household
insurance would pay, the
requested that the expense be
expense would not be allowed.
prorated. The EW did not process this
change. As the household reported
Reported Medical Expenses.
the change and requested proration,
the reviewer would allow the expense
Recurring Medical Expenses.
and prorate to the time the change
Recurring medical expenses such as
was reported.
doctors’ visits and prescriptions are
considered by developing a monthly
amount based on frequency.
Example of Correct Proration of an
Incorrectly Reported Expense:
When a household applied on April
Processed Expenses. If the medical
3rd, it reported a bimonthly dog food
expense sources and amounts are
bill of $40 for its seeing-eye dog and
correct, but the agency misapplied
requested proration of the expense.
policy or made expense
The EW prorated this expense and
computational mistakes; the
allowed $15 each month. The
reviewer must use these correct
reviewer verified that at the time of
amounts and apply correct policy in
application the household’s bimonthly
determining the medical expenses.
expense was actually $40; therefore,
the reviewer corrected the EW’s
The reviewer will consider periodic
figures and used $20, the correct
medical expenses that were
amount prorated to the time of
prorated, to have been prorated
certification.
based on the household's request for
proration, unless the case record discloses a conflicting request by the
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household that the expense be deducted in the month that the expense was
billed or otherwise became due. If the case supports a conflicting request,
the periodic medical expense must be deducted only in the month in which
it was billed or otherwise became due.
Example of a Mistake in Prorating:
If the EW incorrectly prorated or did
During its certification interview, a
not prorate a medical expense that
household reports and requests
should have been prorated, the
proration for a bimonthly health
reviewer must calculate the correct
insurance premium of $40. The EW
prorated medical expense. The
prorated the premium over the
reviewer must correct any variance
interval between billings but
that occurred at the most recent
incorrectly allowed $25 monthly.
certification/recertification or
The reviewer verified a $40 expense
reported change.
at certification. The reviewer
corrected the proration and used
Unprocessed Expenses. If the
$20, the correct amount prorated to
household reported an expense at
the time of certification.
certification and the EW did not
process the expense, the reviewer will
allow the expense. If the household requested proration, the expense will
be prorated over the certification period.
If the household reported a change
subsequent to certification and the
EW did not process it, but should have
in accordance with the time frames in
Section 720, the reviewer must allow
the expense. If the household
requested proration, the expense will
be prorated to the time the change
was reported.
One-Time Medical Expenses. Onetime medical expenses are prorated
over the remainder of the months in
the certification period or deducted in
the month the expense is billed or
otherwise becomes due. Discussion
with the client by the EW is required
to determine how the household wants
the expense budgeted.
11—23
Example of a Reported Expense
That the State Prorated Over Too
Many Months: A household
reported, and verified a one-time,
non-reimbursable, hospital bill of
$500 in September. The household
requested that the expenses be
prorated. The EW prorated the bill
over October and November. The
household's certification period was
scheduled to end on December 31st.
Any proration of this expense can be
done only over the remainder of the
certification period. The reviewer
must prorate the amount of the
reported change over the remaining
months of the certification period;
therefore, it should be prorated for
October, November and December.
FNS Handbook 310
Processed Expenses. When one-time medical expenses have been prorated,
the reviewer will consider the request for proration to have been made by
the household unless the case record discloses a conflicting request (that the
expense be deducted in the month that
Example of a Processed, Onethe expense was billed or otherwise
Time Expense: A household was
became due). If the case supports a
certified in January for 12 months.
conflicting request, the one-time
On June 2, the household reported
medical expense must be deducted only
a one-time non-reimbursable
in the month in which it was billed or
medical expense of a $400 hospital
otherwise became due.
bill. The household requested that
the expense be prorated. The EW
If the EW incorrectly prorated a medical
prorated the expense over seven
expense that should be prorated, the
reviewer must calculate the correct
months (June - December) and
prorated medical expense. The
allowed $57.14 for each month.
reviewer must correct for any variance
Since the expense was not included
that occurred at the most recent
in the June allotment, the reviewer
certification/ recertification or reported
must prorate the expense over six
change.
months (July - December) and use
$66.66 in the medical expense
Unprocessed Expenses. If the
calculation.
household reported an expense at
certification and the EW did not process
the expense, the reviewer will allow the Example of a Reported, But
Unprocessed Expense: A certified
expense in the medical expense
household incurred a
calculation. If the household requested
$600 deductible medical expense in
proration, the expense will be prorated
December, the last month of its
over the certification period.
certification period. Although the
household reported the expense at its
If the household reported a change
December certification interview and
subsequent to certification and the EW
requested proration, the EW did not
did not process it, but should have in
deduct it. The household's new
accordance with the time frames in
certification period was January
Section 720, the reviewer must allow
through June, and the sample month
the expense in the medical expense
is one of these months. The reviewer
calculation. If the household requested
corrects the EW's misapplication of
proration, the expense will be prorated
policy by prorating the reported
to the time the change was reported.
change over the 6 months of the new
certification period.
Unreported Expenses. The reviewer
must verify the household's unreported expenses at the time of
certification or recertification and use the amount in the calculations for
Comparison II specified in Section 1170.4 review instructions. Unreported
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expenses are to be deducted in the month that the expense was billed or
otherwise became due.
A household is not required to report changes in its medical expenses
subsequent to certification or recertification; therefore, the reviewer must
verify expenses and exclude any variances that are attributed to unreported
changes in medical expenses during the certification period.
1180
CHILD SUPPORT PAYMENT DEDUCTION - 366. A household is
entitled to the child support payment deduction if it incurs legally obligated costs
for any child support, and payments are made to a non-household member for the
care of a child. This includes legally obligated vendor payments made to a third
party on behalf of a child. Voluntary support payments are not a deductible
expense.
Example of the Difference Between Legally-Obligated and Voluntary Expenses:
During its certification interview, a household reports a monthly child support
payment in the amount of $150. In addition to the $150 monthly payment, the EW
allowed a deduction for a payment in the amount of $25 to a day care center. The
reviewer verified that the household was legally obligated and actually paying $150 a
month in child support payments, and that the $25 payment to the day care center
was voluntary. The reviewer corrected the misapplication of policy and used $150 in
the error determination process.
1180.1
Documentation. The reviewer must document:
• Who is legally obligated to pay child support
• The amount, and payment schedule, that the household member is legally
obligated to pay
• Who received the child support payments
• Who actually provided the child support payments and the dates and
amounts actually paid
• Why the household was entitled to a deduction
• How much the child support payments were in the appropriate month
or months subject to review
• The time periods covered by child support payments which were made
• The type of verification obtained
• Explanation of any variances, including whether the variances are included
or excluded, and correct calculations when necessary
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1180.2
Verification. The reviewer must verify the household's legal
obligation to pay child support, the amount of the obligation, and the dates and
amounts actually paid. The primary source of verification for declared child support
payments is the household making the contribution. When support payments are
made through a third party, such as a court or probation office, verification must be
made through that agency. Verification can also be made through the person, or
persons, in receipt of the child support payments. The reviewer must be alert to
the effect of timing and amount of payment relative to the review date.
Child support payments should be verified through use of the following
documentation:
From the Household. Documents or other records generally available from the
household include:
•
•
•
•
Canceled checks
Wage withholding statements
Income tax returns
Divorce or separation decrees may
be used, but attention to dates and
potential modifications made
• Court order
• Support agreements
• Correspondence regarding support
payments
From Other Sources. Documents or other
records available from other sources for
verification include:
• Statements from the custodial
parent
• Court records
• Lawyer's records
• Divorce or separation decrees may
be used, but attention to dates and
potential modifications made.
• Employer's records showing
attachment of wages
• Title IV-D and Child Support
Enforcement agencies
11—26
Example of Incorrect Reporting of
Deductible Expenses: At the
certification interview on July 11th,
the household stated that it was
legally obligated and actually paying
$60 a month in child support
expenses. The EW allowed a child
support deduction in the amount of
$60. The reviewer verified that in
addition to the $60 payment, the
household actually paid $25 monthly
for health insurance. The divorce
decree (dated January 5th) stated
that the household was legally
obligated to pay $25 monthly for
health insurance. The household
actually paid the expenses and the
difference existed at the time of
certification; therefore, the reviewer
will use $85 in the error
determination process.
FNS Handbook 310
1180.3 Calculation of the Child Support Deductions. The reviewer must
review child support deductions as follows:
Comparison I.
Verify the actual amount of the legally obligated child support payment in the
budget/sample month. Convert if required. This figure is used in the comparison I
allotment test.
Comparison II.
A. Correct the worksheet expense figure for
•
•
•
•
Misapplication of policy
Failure to act or correctly act on reported changes
Computational errors by the eligibility worker, and
Incorrect reporting or failure to report at the time of certification or
recertification by the household
B. Exclude variances attributable to an unreported change subsequent to
certification/recertification.
C. Use the corrected worksheet figure in the error determination process.
Example of a Reported, but Unprocessed Change: At certification, the household
reported a $40 child support payment. The EW allowed a child support deduction in
the amount of $40. The reviewer verified that the household's legal separation
agreement had been amended one week after the household was certified and that
the household actually paid $125 a month for child support. The reviewer found that
the EW had documented receiving a call from the household reporting that its child
support payment had increased to $125, but failed to take any action. In accordance
with the reporting requirements and time frames, the change should have been in
effect AORD; therefore, the reviewer would use $125 in the error determination
process.
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Chapter 12
MAKING THE REVIEW DECISION
1200
GENERAL. The review decision consists of determining whether there
is an error in the case and, if so, the dollar amount of the error. The procedures to
be used and the documentation requirements are described in this chapter. See
Chapter 6, covering the eligibility and allotment tests which are integral to making
the review decision.
The State agency may also opt to establish the dollar error amount associated with
individual variances (See Section 1233.2).
1210
THE COMPUTATION SHEET. The SNAP computation sheet of Form
1211
Column (1). Column (1) of the computation sheet must be completed
1212
Column (2). Column (2) of the computation sheet must be completed
FNS-380 is to be used to document all completed active case reviews. The only
exceptions are reviews of households that were ineligible for reasons other than
income. Columns (1) and (2) are required to be completed. Columns (3), (4), and
(5) are optional, however it is suggested that Columns 3 and 4 be used for
Comparison I and Comparison II, respectively, and that the final budget amount is
transferred to Column 2. Regardless of the use of columns (3), (4), and (5),
Columns (1) and (2) must be used as outlined in sections 1211 and 1212 below.
for all active case reviews. In this column, record the figures that the eligibility
worker (EW) used to compute the allotment for the sample month.
for all active case reviews. Record in this column the final State Agency Quality
Control (SAQC) determination figures based on the result of the review. The figures
to use as final SAQC determination depend upon the results of the Eligibility and
Allotment Tests of the Error Determination Process. See the guidance below and
refer to Chapter 6.
If the household was ineligible because of gross or net income, the reviewer may
stop at the appropriate income line.
1212.1
In the three cases below, the figures to use for final SAQC figures in
Column (2) are the figures based upon verified circumstances, including or excluding
variances as appropriate.
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FNS Handbook 310
Case 1:
Case 2:
ELIGIBILITY TEST = Ineligible
ELIGIBILITY TEST = Eligible
ALLOTMENT TEST = N/A
ALLOTMENT TEST =
COMPARISON I = The difference
in the allotments is less than the
error threshold or is equal to the
error threshold.
Column 2 is filled out to the
point of ineligibility.
(See Section 610.)
COMPARISON II = N/A
Column 2 is filled out with the
Comparison I figures.
(See Section 621.3.)
If the case has no countable error, the reviewer must not complete Comparison II.
Errors that are below the error threshold level will not be included in the final
determination of a State’s official error rate. These amounts issued in error are
considered an overissuance or an underissuance and must be recorded on Form FNS380-1.
For cases that are ineligible, the total allotment amount is issued in error (See
Section 622.3).
Case 3:
ELIGIBILITY TEST = Eligible
ALLOTMENT TEST:
COMPARISON I = The difference in the allotments is more than the error
threshold.
COMPARISON II = The difference in the allotments is more than the error
threshold
Column 2 is filled out with the figures with the smallest error amount from
Comparison I or Comparison II.
(See Section 622.4.)
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1212.2
In the case below, the figures to use as final SAQC figures in Column (2)
are the figures based upon verified circumstances, including all variances. No
variances are to be excluded.
Case 4:
ELIGIBILITY TEST = Eligible
ALLOTMENT TEST:
COMPARISON I = The difference in the allotments is more than the
error threshold.
COMPARISON II = The difference in the allotments is less than the error
threshold or is equal to the error threshold.
Column 2 is filled out with the Comparison II figures. There is no countable
error in this case.
Errors that are below the error threshold level will not be included in the final
determination of a State’s official error rate. These amounts issued in error are
considered an overissuance or an underissuance and must be recorded on Form FNS380-1. For cases that are ineligible, the total allotment amount is issued in error
(See Section 622.3).
1213 Columns (3), (4), and (5). It is suggested that Columns 3 and 4 be used
for Comparison I and Comparison II, respectively, and that the final finding is
transferred to Column 2. Column 5 of the computation sheet is included for the
convenience of States and may be used for recording:
• The impacts of individual variances
• A retrospectively budgeted household's prospective eligibility
• Any other State identified purpose
1220
COMPUTING THE AMOUNT ISSUED IN ERROR. The amount
issued in error is the difference between the allotment amount authorized by the
EW for issuance for the sample month (last line of Column (1) of the SNAP
computation sheet) and the allotment amount computed by the SAQC reviewer (last
line of Column (2) of the SNAP computation sheet), including eligible cases with
differences that are less than or equal to the error threshold. Although errors
below the threshold level will not be included in the final determination of a
State’s official error rate, the amounts issued in error are considered an
overissuance or an underissuance and must be recorded on Form FNS-380-1.
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For cases that are ineligible, the total allotment amount is issued in error. There is
no comparison to the current error threshold. If the difference between the
amounts is greater than error threshold, there is an error in the allotment amount
authorized for the sample month. This amount must be included in the error rate.
The reviewer must use the figures from either Comparison I or Comparison II to
determine the amount in error. The figures used must be whichever figures result
in the least quantitative error for the case. (See chapter 6.)
1230
THE REVIEW SCHEDULE. The Review Schedule Form FNS-380-1 is to
1231
Coding the Review Findings - Item 8. For Item 8 of Form FNS-380-
be used to record error findings from reviews of active cases. A line-by- line description
of this form is contained in Appendix C following the form. For purposes of this chapter,
the completion of items 8 (Review Findings), 10 (Error Amount), and 16 (Error Amount
(Optional)) of Form FNS-380-1 are described below.
1, indicate the results of the Quality Control review by entering one of the following
codes:
CODE
1
2
3
4
DESCRIPTION
Amount correct (allotment difference $0)
Overissuance (regardless of the error threshold)
Underissuance (regardless of the error threshold)
Ineligible
Example of the Coding of Case Findings: This shows the coding for the
cases illustrated in Section 1212 above.
1232
Case 1
Code 4 - Ineligible
Case 2
Code 1, Code 2 or Code 3, as appropriate
Case 3
Code 2 or Code 3, as appropriate
Case 4
Code 1, Code 2 or Code 3, as appropriate
Error Amount - Item 10. For Item 10 of Form FNS-380-1, indicate the
dollar amount issued in error, computed as in Section 1220 above. This must include
amounts that are less than the error threshold.
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As an example, the cases illustrated in Section 1212 above would be handled as follows:
Example of the Coding the Amount of Error: This shows the coding for the
cases illustrated in Section 1212 above.
DOLLAR AMOUNT ISSUED IN ERROR
Case 1
Entire allotment amount was issued in error
Case 2
Allotment difference regardless of error threshold
Case 3
Least error amount from Comparison 1 or Comparison 2
Case 4
Allotment difference regardless of error threshold
1233
Item 16.
Coding the Dollar Amount Associated With Variances -
1233.1
Mandatory Use. All State agencies must compute and enter the
1233.2
Optional Use. At its option the State agency may elect to code the
dollar amount associated with excluded variances that resulted from correctly
processed information. The State agency will use the method outlined in the
paragraph entitled “One Variance” in Section 1233.2 when there is only one
variance in the case. When there is more than one variance, the State agency may
use the simple calculation method outlined in the first bulleted subsection, entitled
“Simple Calculation Method,” under the paragraph entitled “Multiple Variances,” in
Section 1233.2 or an alternate method to determine the dollar amount of the
errors.
dollar error amount associated with individual included variances. The dollar
amount of all included variances must be reported as a total in Item 10, Error
Amount. For those State agencies electing to code the dollar error amount
associated with individual variances, the following guidance is offered.
One Variance. If only one variance exists in the case, the dollar amount of error
to be recorded in Item 16 is the same as the amount recorded in Item 10. (See
Section 1232.) No further calculations are necessary. Complete the other items in
Section 2 of Form FNS-380-1, as appropriate.
Multiple Variances. If more than one variance exists in the case, the dollar
amount of error to be recorded in Item 16 is calculated for each variance. Use the
SNAP computation sheet, Columns 3, 4, or 5, and one of the methods below (or
another method) to determine the impact (error amount) attributable to each
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individual variance. If the case has more than three variances, or if additional
columns are needed for some other reason, use additional computation sheets.
After the individual impacts are determined, complete the items in Section 2 of
Form FNS-380-1.
• Simple Calculation Method.
The simple calculation involves taking a separate look at each variance and
identifying the dollar impact of the variance when looked at in isolation of anything
else happening in the case. To do this, use the EW’s figures for everything except
the variance being calculated.
When using this method, the sum of the impacts of the individual variances
does not equal the amount of the overissuance or underissuance identified for
the case.
To calculate the impact of the individual variances, complete a separate
column of the SNAP computation worksheet.
At the top of the column, identify the variance being examined
Use the EW's figures for all elements, except the element containing
the variance under examination
For any element containing two or more variances in a single element,
treat each variance separately
Compute an allotment amount based upon the EW’s figures for
everything except the variance being calculated. For the variance
being examined use the corrected figure
Compare this allotment amount with the allotment amount authorized
by the EW for the issuance month. The difference between these two
amounts is the dollar impact, associated with that particular variance
Repeat all steps for each variance.
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Example: If the calculation using the variance yields an allotment of $125
and the EW figures calculated an allotment of $100, the impact of the
variance is a lowering of the allotment by $25. This would be indicated as a
negative number, - 25.
If the calculation using the variance yields an allotment of $85 and the EW
figures calculated an allotment of $100, the impact of the variance is an
increase of the allotment by $15. This would be indicated as a positive
number, + 15.
(See the example case and figure 1.)
• Refined Calculation for Multiple Variances.
The refined calculation method is an expansion on the simple calculation
method. When using the simple calculation method, for more than one
variance in a case, the sum of the impacts of the individual variances do not
equal the amount of the overissuance or underissuance. The refined
calculation is a methodology to follow which takes the actual amount
established as the overissuance or underissuance, and identifies the impact of
the individual variance relative to the error amount. This method goes a step
beyond the simple calculation to ensure that the sum of the impacts equals the
amount of overissuance/underissuance for the case. This places the impacts of
individual variances more into perspective.
Perform all the steps of the Simple Calculation method above to establish the
impact of the individual variances.
Total the resultant individual dollar impact amounts. In doing this total,
negative numbers are subtracted from positive numbers.
Determine the percentage of the actual error dollars for the case relative to
the total of the individual impacts of the variances. By determining the
percentage that the error dollars are to the sum of the individual impacts of
the variances, you can apply this resultant percentage to the individual
impacts of a variance to determine its relative impact to the error dollars of
the case.
To determine the percentage, divide the overissuance/underissuance amount
for the case by the total of the impact of the individual variances.
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Percentage of error dollars of total impact of the individual variances:
Overissuance/Underissuance Error Dollars
X 100
Total of the Dollar impact of the individual variances
Multiply each individual dollar impact for a variance by the determined percentage.
Each resultant figure represents the dollar impact, associated with that particular
variance.
(See the example case and figure 2.)
Example Case:
Household Description: The household was comprised of Jan Williams (age 35)
and her two children, Alan (age 15) and Terry (age 11). Mrs. Williams' mother,
Mary Bailey (age 61), also lived in the household. All 4 purchased and prepared
their meals together. No one was disabled. Jan Williams earned $650 a month
working part-time at a local hardware store. She netted $500 a month from rental
property that she did not actively manage. She also received $400 a month for
child support from her ex-husband. Her mother, Mrs. Bailey, earned
$450 a month working part-time at the local movie theater. The rent and
utilities for their apartment totaled $1050 a month. The household was
certified as a 3-person household for October 2001.
EW actions: The EW correctly identified Jan Williams' earned income from the
hardware store, her unearned income from the rental property, and correctly
computed the shelter costs.
Variances: There are 4 variances in the case: 1) The EW failed to include the
unearned income from child support, 2) The EW incorrectly excluded Mrs. Bailey
from the household, and in doing so, failed to include Mrs. Bailey's $450 a month
earned income, 3) used the allotment amount for a household of 3, instead of a
household of 4, and 4) incorrectly allowed medical deductions for Jan Williams and
her sons.
Impact Calculation: Figures 1 and 2 below, trace the calculation of the impact of
each of the individual variances in the example case.
Simple Calculation Method (Figure 1)
Refined calculation Method (Figure 2)
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Figure 1
Simple Calculation of Variance Dollar Amounts Associated
With Individual Variances
EW
SAQC
Variance
A
B
C
D
Earned Income
650
1100
A
1100
650
650
650
Unearned Income
500
900
B
500
900
500
500
1150
2000
1600
1550
1150
1150
Earned Income Deduction
130
220
220
130
130
130
Standard Deduction
•
•
Excess Medical Costs
•
Allowable Shelter •
Deduction
•
(Actual costs = $1050)
•
•
Net Monthly Income
134
134
134
134
134
134
30
0
30
30
0
30
622
227
332
422
607
622
234
1419
1104
834
279
234
Thrifty Food Plan
356
452
356
356
356
452
30% of Net Income
71
426
332
251
84
71
285
26
24
105
272
381
259
261
180
13
-96
Gross Monthly Income
Allotment
Over/Underissuance
or Impact
C
D
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Variance A = $450 in earned income not counted by EW. Individual impact =
$261 overissuance.
Variance B = $400 in unearned income not counted by EW. Individual impact =
$180 overissuance.
Variance C = EW incorrectly allowed medical costs (not elderly/disabled). Individual
impact = $13 overissuance.
Variance D = Household size was 4, not 3. TFP = $452. Individual impact = $96
underissuance.
Note: Using this method, the sum of the individual impacts ($358) is not equal to
the overissuance ($259).
Figure 2
Refined Calculation of Variance Dollar Amounts Associated
With Individual Variances
Calculation of Refinement Factor:
259 (Over/Underissuance)
÷ 358 (Sum of Impacts)
= .72 (Refinement Factor)
$ Impact by Individual Variances
A
Impacts by Simple Calculation Method
261
Times Refinement Factor
.72
Impacts by Refined Calculation Method
188
Sum of Impacts = 259
B
180
.72
130
C
13
.72
10
D
-96
.72
-69
Using this method, the sum of the impacts ($259) is equal to the overissuance ($259).
1240 TRANSMISSION/RELEASE OF ACTIVE CASE FINDINGS TO FNS,
DATA CHECKING, AND CHANGING CASE FINDINGS. Once the error
determination process is completed and the review decision has been made, the
case findings shall be transmitted/released to FNS. Once a completed case has been
transmitted/released, the protected field findings for that case may not be
changed.
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Chapter 13
NEGATIVE ACTION RECORD REVIEWS
1300
INTRODUCTION. This chapter describes reviews of negative
1310
PURPOSE AND SCOPE OF THE NEGATIVE ACTION REVIEW.
actions.
This section provides guidance on conducting reviews of the household’s case record
including documentation of verification contained in the case record and obtaining
verification from collateral contacts. The negative action review does not include a
field investigation to ascertain the total circumstances of the household as of the
review date. Instead, the negative action review is primarily a desk review with
possible contact with the household or a collateral contact.
Negative actions are actions that were taken to deny, terminate, or suspend a
household’s benefits. The purpose of the negative action review is to verify,
through documentation contained in the case record, whether the State agency’s
action to deny, terminate, or suspend the household was valid. A valid negative
action is one that is based on a valid reason, documented in the case record,
where the action and reason are properly communicated to the household in easily
understandable language. Certain required application and recertification
application processing procedures are reviewed in determining validity (Section
1340).
In constructing the negative sample frame the action date will be sampled and
must fall within the sample month. The action (review) date for negative actions
could be:
• The date of the agency’s decision to deny, terminate or suspend program
benefits;
• The date on which the decision is entered into the computer system; or
• The date of the notice to the household, depending on the characteristics
of individual State Systems.
State agencies must consistently apply the same definition for the review date to
all sample actions of the same classification. Only the action sampled is subject to
review. Other actions, including actions taken on the case after sampling are not
considered a part of the review.
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1320
NEGATIVE DEFINITIONS.
Action (review) date could be the date of the agency’s decision to deny,
terminate or suspend program benefits, the date on which the decision is entered
into the computer system, or the date of the notice to the household, depending on
the characteristics of individual State Systems.
Case and Procedural Error Rate (CAPER) – The measurement of negative case
reviews.
Decision Date – The date that a decision was made to deny an application,
terminate or suspend a household’s participation in SNAP.
Denial – An action taken to implement a determination that a household is
ineligible for SNAP.
Invalid - An action to deny, terminate or suspend in which the eligibility
determination, case processing procedures, and/or notification to the client was not
correct.
Negative Action – Any process, manual or automatic, to deny benefits to a
SNAP applicant household, terminate benefits of certified SNAP households or
suspend benefits of certified SNAP households.
Notices – Documented communication(s) (non-verbal) that are sent to SNAP
applicant households and SNAP participant households. Some communications
describe negative actions and some do not. Examples of such notices include:
Notice of Adverse Action, Denial Notice, Suspension Notice, Notice of Missed
Interview, Notice of Missing Verification, Request for Contact, Reminder notice,
etc.
Procedurally Appropriate –Having accurately applied policy; the SNAP
certification/recertification process leading up to and as part of the action taken
against the household was done in accordance with the procedures set by SNAP's
certification policy rules.
QC Negative Action Review – The review of the action taken to deny benefits
to a SNAP applicant household, or the action to terminate benefits of certified
SNAP households or the action to suspend benefits of certified SNAP
households.
Review Date – The date of the sampled action that is being reviewed as a
negative action.
Suspension - An action taken to suspend benefits when a household has not
been terminated from the Program but is ineligible for benefits or is eligible for
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zero benefits.
Termination – An action taken to discontinue SNAP benefits.
Valid - An action to deny, terminate or suspend in which the eligibility
determination, case processing procedures, and notification to the client was
correct.
1330
DISPOSITION OF ACTION REVIEWS. Each negative action
1331
Actions Subject to Review. The following actions are subject
selected in the sample of negative actions must be coded and summarized (See
Appendix D) on the FNS-245 form by classifying it as review completed (See
Section 1350), not subject to review (NSTR)/listed in error, case deselected
(See Section 1332), or incomplete (See Section 1333).
to review:
• Any action to deny initial benefits
• Any action to deny benefits at recertification
• Any action to terminate benefits. A termination is the result of a
deliberate State agency action
• Any action to terminate the SNAP benefits of a former TANF household that
should be receiving transitional benefits
• Any deliberate termination action (not a certification period expiration)
taken in response to a reported change in household circumstances, even if
the certification period would have ended
• Any action to terminate a household that continued to receive benefits
pending a fair hearing
• Any action to shorten a certification period
• Any action to suspend a household’s benefits; including suspended
households whose benefits were later restored
• Any suspended household that continued to receive benefits Pending a fair
hearing
• Households whose certification periods expired that should have received
transitional benefits and did not
1332
Actions Not Subject to Review. Certain types of negative
actions are to be excluded from the QC sample. These are normally eliminated in
the sampling process; however, if such actions reach the reviewer, they must be
eliminated at that point and reported as NSTR on the Quality Control Negative
Action Review Schedule, Form FNS-245. Actions that meet the criterial to be
considered NSTR from the list below take precedence over any other finding. Such
actions include:
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• Households that have withdrawn an application prior to the agency’s
determination
• Households that at the time of sampling are:
1. Under active investigation for intentional SNAP violation (IPV)
2. Scheduled for an IPV investigation sometime during the next five
months, or
3. Pending an IPV hearing.
• Households that have their SNAP case closed when their assigned
certification period ends, i.e., the household is not recertified. The
certification period closure itself is NSTR. If the household applied for
recertification and, for whatever reason, the recertification application was
denied, that denial is subject to review
• Actions removed from the sample as a result of a correction for
oversampling
• Households that have been sent a notice of pending status but were not
actually denied participation.
• Actions listed in error. This category of actions includes administrative
actions necessitated by a State agency’s certification system and/or
procedures, where there is no intent to deny or terminate a household’s
program benefits, only to correct an administrative fault in the case. An
example would be an action where the household was erroneously
registered (wrong SSN, etc.) and was subsequently denied because it was
already registered under another case number (before any benefits were
issued). Other examples would include situations where a household has
filed multiple applications and only one needs to be processed while the
others are removed from the system, or situations in which the certification
system will only allow the reclassification of an action (PA/SNAP to nonPA/SNAP, for example) by closing the case under the original case number
and on the same day reopening under a new case number. Adequate
documentation must be provided to support this finding.
Example of Administrative Denial: On 1/5 the household applies for SNAP
using the State’s website on-line application. On 1/7 the household also files a
paper application in the local certification office. Both applications are input
into the State’s certification system. When the EW interviews the household
on 1/10 the duplicate applications are discovered, the EW removes the 1/7
application from the system and processes the 1/5 (first one received)
application for certification. The removal of the 1/7 application from the
system is an administrative action NSTR for QC negative review.
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Example of Administrative Denial: On 1/5 the household applies only for
Medicaid benefits using the State’s multiple program (TANF/SNAP/Medicaid)
application. On 1/14 the EW denies the household’s application for Medicaid
and the State’s certification system issues denial notices for Medicaid, and
TANF and SNAP as well. The SNAP denial of the 1/5 application for Medicaid
is a NSTR administrative action. If there is no application for SNAP there can
be no denial for SNAP that is subject to QC negative review.
Example of Administrative Termination: A woman and her two daughters
are receiving TANF and SNAP benefits under case number PA1775713. On
1/14 she reports that the children are now living with their father. The EW
processes the reported change to terminate the TANF income, update the
household size from 3 to 1, and recalculate a new lower SNAP allotment
effective 2/1 under case number NPA3140822.
Case number PA1775713 is shut down at the same time that case number
NPA3140822 is opened up. The reclassification of the household and
subsequent assignment of a new case number in the certification system is an
administrative action NSTR for QC negative review.
• Households denied SNAP benefits under a disaster certification
authorized by FNS.
• Household’s benefits which are terminated or suspended for failure to file
a complete monthly report by the extended filing date, but who were
reinstated when, subsequently, the complete report was filed before the
end of the issuance month, and the household received the full months’
SNAP benefits.
Example of an action following a Failure to File Report that is NSTR: The
household has been certified from January thru December and is on
monthly reporting in a two month retrospective budgeting system. The
monthly report is due on the 5th of every month. The household fails to
submit the monthly report for May by 6/5, and on 6/15 the EW terminates
the case effective 6/30 and sends a Notice of Termination for failure to
file the monthly report. The household files the report on 6/28 and on 7/3
certification is restored and full benefits for July are authorized.
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Example of an action following a Failure to File Report that is Subject to
Review: The household has been certified from January thru December and
is on monthly reporting in a two month retrospective budgeting system.
The monthly report is due on the 5th of every month. The household fails to
submit the monthly report for May by 6/5, and on 6/15 the EW terminates
the case effective 6/30 and sends a Notice of Termination for failure to file
the monthly report. The household files the report on 7/5 and on 7/10
certification is restored and prorated benefits for July are authorized.
• Households that experience a break in participation due to a computer
malfunction that is not the result of a deliberate action by the State agency
to terminate benefits.
• A suspended case after the initial month of a multi-month suspension.
1333
Incomplete Cases. A negative action is to be reported as
incomplete if, after all reasonable efforts, the reviewer is unable to locate the case
record. The case record may consist of a paper or electronic record, however
limited. If what constitutes the case record for a specific action does not document
the specific negative action under review, the action must be coded as invalid.
Since automation has advanced over time, most actions will have some records to
review. An action should have a disposition of incomplete only on the rare occasion
when there are no paper documents and no automated record on the household.
This is the only reason for which a reviewer may designate a sampled action as
incomplete.
1340 APPLICATION PROCESSING ASPECTS OF THE NEGATIVE REVIEW.
SNAP policy requires case files be documented to support eligibility, ineligibility,
and benefit level determinations. Documentation must be in sufficient detail to
permit a reviewer to determine the reasonableness and accuracy of the
determination.
Negative actions are reviewed to determine the validity of the agency's action to
deny, terminate, or suspend the household. Certain failures to complete
application processing requirements correctly are part of that review and may
result in a negative action being determined to be inappropriate and, therefore,
invalid. Some examples of failures to complete application processing requirements
include, but are not limited to, the following (unless an approved waiver is in place
for the state agency):
• Failure to send an Appointment Letter/Notice of Missed Interview
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(NOMI)/Reminder notice/Notice of Required Verification/Notice of Denial,
when required, or sending the required letter or notice to an incorrect
address; notification to the household must be made accurately.
• Failure to provide expedited service where appropriate;
• Denial of action prior to the 30th day when verification was requested.
Example of Invalid Application Processing: On 6/2 the household applies for
SNAP benefits. On 6/10 the household is interviewed and asked to provide
verification of income by 6/20. The household does not provide the requested
verification the 30th day following the application is 7/2, a Saturday. The EW
denies the application on Friday, 7/1 for failure to provide verification. This
action is invalid as the agency failed to wait the entire 30 days following the date
of application before denying the application.
• Denial of an application after the 30th day when not properly pended.
• Failure to take action on an application by the 30th day following the date
of the application, or the 60th day of the application (for those states with
the option to pend for requested verification rather than deny at the end
of the original 30 day period). This results in withholding benefits to a
household through inaction rather than an actual action. When the 30th
(60th) day falls on a weekend or holiday, the action must be taken on the
next business day following the weekend or holiday to be considered
timely.
• Failure to take actions required during recertification application
processing or failure to perform required actions in the denial of an
application for recertification of benefits.
Example of an Invalid Application Processing: On 1/20 the household applies for
SNAP benefits. On 4/27 the household is sent a letter scheduling a certification
interview on 5/5. The letter is returned by the Post Office marked “Addressee
moved, no forwarding address”. On 5/10 the 1/20 application is denied, with the
reason cited as the household’s failure to attend a certification interview. This
action is invalid as the agency failed to process the application for SNAP benefits
within 30 days of the date of application.
Example of Valid Application Processing: On 6/2 the household applies for SNAP
benefits. On 6/10 the household is interviewed and asked to provide verification
of income by 6/20. The household does not provide the requested verification.
The 30th day following the date of application is 7/2, a Saturday. Monday, 7/4 is a
Federal holiday. The EW denies the application on Tuesday, 7/5 for failure to
provide verification. A proper Denial Notice is sent. This action is valid as the
agency correctly waited until the first business day the agency was open 30 days
following the date of application before denying the application.
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Example of Untimely denial for NOMI: Household applies on 4/8 for SNAP Benefits.
An interview is set for 4/10. The household fails to show for the schedule interview.
The EW takes action on 4/15 to deny the application for failure to appear for the
scheduled interview. On 4/28, the EW sends the NOMI letter to the household. This is
an invalid denial action since the NOMI was sent after the action to deny was taken.
Example of Untimely Denial: Household applies on 3/4 for SNAP Benefits. On 3/8,
the EW sends a request for verification letter stating the information must be received
by 3/18. On 3 / 16, the EW takes action to deny the application for failure to provide
verification. This is an invalid denial action since the full 10 days were not given for
the household to provide the requested verification.
Example of Invalid Recertification Application Processing: Household applies
timely for recertification on 6/10 for continuation of their SNAP Benefits starting 7/1.
The State schedules the interview on 6/25, which the client attends, and the EW
requests additional required verification and establishes the due date as 7/1. On 7/2,
the EW takes action to deny the recertification application for failure to provide
verification. This is an invalid denial action since the EW did not schedule the
household’s interview when the household would have at least 10 days after the
interview to provide verification before the certification period would expire.
These procedures are to be assessed in Section 1350.2 (Step 2). If it has been
determined that any of these application processing requirements were not
properly followed the action is invalid.
1350 CONDUCTING NEGATIVE ACTION REVIEWS. The negative
review consists of four successive steps. The progression from one step to the
next is dependent on whether a decision of invalidity is made at a step. The
four steps of the negative action review are:
• Step 1: Review the circumstances of the action and ensure the
action is Subject to Review; (See Section 1332)
• Step 2: Review of action sampled to determine, if based upon the known
circumstances, the negative action should have been initiated. In addition,
the reason provided to the household must clearly explain what the action
was and why it was taken. (See Section 1350.2);
• Step 3: Collateral and/or household contact for purposes of obtaining
verification supporting the reason given for the negative action (optional)
(See Section 1350.3); and
• Step 4: Documentation and reporting of review findings (See Section
1350.4).
1350.1
Step 1: Determine Subject to Review Status. Review the
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circumstances of the action and determine if it is NSTR using Section 1332 as a
guide. If the action meets the circumstances to be NSTR then proceed to
1350.4 Step 4. If one of the NSTR reasons does not apply, the action is subject to
review and the reviewer should continue to 1350.2 Step 2.
1350.2
Step 2: Review of Action Sampled. The reviewer shall evaluate
the stated reason(s) for the negative action. Generally, the notice(s) to the
household will be the source of the information for the reason(s) for the negative
action. If the reviewer cannot find the notice, the reviewer shall review the case
file to determine if the reason(s) for the action can be found and the method by
which the action was provided to the household. During this evaluation the
reviewer examines all of the information available to determine:
• The reason for the negative action that was sampled
• Whether the household was appropriately notified of the reason(s) for the
negative action that was sampled. The notification to the household will
be considered timely, and therefore procedurally appropriate, if it is sent
to the household no later than 2 business days following the regulatory
required date of the negative action
• Whether the action was procedurally appropriate for the
situation, and
• Whether the validity of the action was adequately documented as
described in Section 1360
In situations where there are multiple reasons for an action that are included on a
notice, all reasons must be accurate and must clearly describe the situation so that
the household is able to clearly understand why the negative action has been
taken. If there are reasons that have been indicated that are not applicable or if
any reason is not correct, the negative action will be determined to be invalid.
This determination shall take into account the additional application processing
requirements of the negative action review found in Section 1340 to determine that the
eligibility worker followed all of the appropriate procedural steps.
The basic review process is as follows:
• If the action results in the determination of a valid decision and correct notice,
then the review is complete and the reviewer shall skip to Step 4 and document
the review findings as specified in Section 1350.4.
• If the reviewer is unable to determine the specific reason(s) given for the action
due to inadequate documentation in the case file, the case is invalid and the
reviewer shall proceed to Step 4.
• If verification is inadequate or if there is conflicting information, the reviewer
may proceed to Step 3 (Section 1350.3) to obtain the necessary verification to
determine the validity of the action and/or to reconcile conflicting information
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in the case file.
• If the reviewer opts not to perform Step 3, the reviewer shall proceed to Step 4.
• Once the reviewer has determined the validity or invalidity of the action, the
reviewer shall go to Step 4 and document the review findings as specified in
Section 1350.4.
Transitional Benefits. In States with transitional benefits, if the eligibility worker failed
to establish transitional benefits for a household that should have been receiving
transitional benefits, the action must be reviewed in accordance with review procedures
specified in this section. The reviewer must determine if the household meets any of the
following criteria that would render the action ineligible to receive transitional benefits:
1. The household lost its TANF cash assistance because of a sanction
2. The household was disqualified from SNAP
3. The household is in a category of households designated by the State as
ineligible for transitional benefits, or
4. The household returned to TANF
If the reviewer verifies that the household should have received TBA, the action shall be
coded as invalid.
1350.3
Step 3: Collateral and/or Household Contact (Optional).
The reviewer may contact the household or a collateral contact if the eligibility
element(s) that caused the denial, termination, or suspension action to be taken
need to be verified due to inadequate documentation and/or if conflicting
information in the case record must be resolved to confirm the validity of the
action. The reviewer shall not make a contact if the information regarding this
element(s) is clear and accurate. If any information is obtained that is not relevant
to the item for which the contact was made, that information shall not be
considered in the review decision. The contact must focus only on the element(s)
that led to the negative action under review that were inadequately addressed and
documented in the record or to clarify conflicting information pertaining to the
denial reason. The reviewer is basing the determination strictly on the element(s)
of eligibility leading to the negative action and the information regarding those
element(s) which existed and were available to the eligibility worker at that time.
The procedures in Sections 424.7, Obtaining Collateral Contacts, and 430,
Collateral Contacts, must be used in establishing collateral contacts. The reviewer
must use the most reliable collateral verification available (e.g., banks, payroll
listings, etc.) and must thoroughly document and/or attach all verification
obtained.
The telephone shall be the primary method of contacting the household or a
collateral contact for a negative action review. If a telephone contact is not
possible or is unsuccessful, the reviewer may send a letter. The reason for using a
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letter must be documented on the FNS-245 and a copy of the letter included. The
letter must clearly address the element(s) in question. Absent such documentation
or if the letter addresses areas beyond the element(s) in question, information
obtained through the use of a letter shall not be allowed in the error analysis.
• If any information obtained by the reviewer differs from that given by
the household, the reviewer must resolve the differences. The manner
in which the conflicting information is resolved must include recontacting
the household about the specific information in question. If the household
cannot be reached, the reviewer must accept the collateral verification as
valid. The reviewer must document the attempts to contact the household.
• If the reviewer determines that the verification received is adequate
documentation to determine that the negative action was valid then it is to
be documented as specified in Step 4 (Section 1350.4).
• If the household/collateral contact cannot be found, does not cooperate
and/or the reviewer is unable to obtain the verification necessary to
demonstrate that the negative action was valid then it is determined to be
an invalid negative and documented as specified in Step 4 (Section 1350.4).
1350.4
Step 4: Documentation and Reporting of Review Findings.
The reviewer is to complete the FNS-245 and document the reasons for denial,
termination or suspension. A complete explanation of the negative action taken,
narrative or documentation to show the appropriateness of the action, including all
applicable dates. All supporting documentation must be attached. If a household
or collateral contact was made, the FNS-245 must indicate why and identify who
was contacted and the results of that contact.
When the action to deny, terminate or suspend an action is found to be invalid, a
variance exists in the action. The action is invalid if the reviewer cannot confirm
the validity of the eligibility worker's decision in the case record to deny, terminate
or suspend the action for the stated reason(s).
When a negative action is invalid, the reviewer must document the QC file with the
inaccuracies of the case and report that the case requires corrective action by State
operations/policy. Such action will depend on the reason the action is invalid.
For instance, problems with notices or timely processing would require different
corrective action than an incorrect evaluation of a household’s income or resources.
The reviewer must code and record all of the appropriate variance(s) and explain
the review findings for the error determination on Form FNS-245.
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Flowchart of Steps 1-4 of the Negative Review
Step 1
Determine Subject to Review
Status
NSTR
STR
Step 2
Review of Action Sampled
Valid—
Invalid—
All Reasons
Invalid for
are
reason cited/
Accurate/HH
application
Notified of
not
Correct
processed
Reason/
appropriately
Procedurally
Appropriate/
Adequate
Documentation
Invalid—
All Reasons not
Accurate/HH
Not Notified of
Correct
Reason/
Procedurally
Inappropriate/
specific
reason(s) for
the action
Inadequately
Documented
Verfication Related to the
Action is Inadequately
Documented and/or there is
conflicting information
Step 3 OPTIONAL
Collateral and/or
Household Contact
Valid
Invalid
Step 4
Documentation
and Reporting of
Review Findings
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1360
ACCEPTABLE DOCUMENTATION. The case record may contain
documents or statements that the reviewer may use as verification if the
documentation is adequate and it applies to the appropriate time period.
• Examples of documents or statements that can be considered acceptable
documentation are copies of official documents or reports, information on a
signed application, electronic data, check stubs, receipts or full recording by
a person, including the eligibility worker, who has secured information
directly from public or other records.
• Acceptable documentation must clearly demonstrate ineligibility. For
example, an action that has been denied for being over the gross income
limit based upon earnings, must have a complete explanation including the
earning figures (each week’s pay, etc.) used to calculate the monthly
earnings and showing the calculation/conversion.
• Documentation must be relevant to the time period under review. Outdated
information (information from a time period that does not affect the current
application or reapplication under review) or information that was not
available at the time of the action is not appropriate documentation.
To determine whether the action and notice are valid, the reviewer must verify the
element(s) of eligibility pertaining to the action recorded and the notice, depending
on the circumstances of each action and the information included in the case record.
Documentation in the case record must be sufficient to support the reviewer's
decision on the status of the action.
The first source of documentation in a negative case record may be a written
statement made by the participant. Statements made by participants that are
documented in the case record need not be verified. For example, if a household has
been found ineligible because of its resources and the household’s application
reports resources that exceed the amount allowed, the reviewer need not verify the
statement with the household.
The reviewer need only verify information used to determine the validity of the
decision to deny, terminate, or suspend the household and address the adequacy of
the notice provided to the household.
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Examples of Acceptable Documentation for Negatives
Code
Recorded Reason
for the Action
01
Resident of an institution
not authorized by FNS
02
Outside of project area or
State
03
Ineligible striker
04
Ineligible non-citizen
05
Ineligible student
06
Ineligible boarder
07
Missed scheduled
interview(s)
08
Failed to provide
verification
09
Refusal to cooperate
10
Refusal to supply SSN
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Example of Acceptable
Documentation
Collateral contact with an official at
the institution, contact with the State
Agency to confirm that the institution
is not authorized by FNS
Household’s statement, copy of
notification from other State Agency
Household’s statement, collateral
contact with employer or other
individuals knowledgeable of the
strike
Household’s statement or
documentation from other Federal
agencies
Documentation of student status,
work hours, TANF, absence of
documentation of an exemption
Household’s description of boarder
status
Copy of the eligibility worker’s letter
to the household scheduling the
interview and any notices sent to the
household by the eligibility worker
Copy of the eligibility worker’s letter
to the household listing the type of
SNAP related information needed and
requesting that the information be
provided, documentation of the
absence of the requested information
Eligibility worker’s notes about the
refusal, household’s statement, letter
indicating refusal
Eligibility worker’s notes about the
refusal, household’s statement, letter
indicating refusal
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Code
Recorded Reason
for the Action
11
Gross monthly income
exceeds maximum
allowance
12
Net monthly income
exceeds maximum
allowance
13
Exceeds resource standard
14
Transfer of resources
15
Failure to comply, without
good cause, with work
registration/job search
requirements
16
Voluntary quit
17
Failure to submit/complete
required report
18
Voluntary withdrawal after
certification
19
Termination/denial due to
TANF termination/denial
20
21
Intentional program
violation
Termination/denial due to
Program disqualification
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Example of Acceptable
Documentation
Information about how gross income
was calculated, pay amounts and
frequency of pay, comparison of the
household’s gross income to the gross
income limit, the household’s size
Information about how net income
was calculated, pay amounts and
frequency of pay, comparison of the
household’s net income to the net
income limit, the household’s size
Household’s statement about the type
of resource and value of the resource,
collateral contact or source
knowledgeable about to the value of
the resource
Household’s statement/collateral
contact about the type of resource,
value of the resource, and date of the
transfer
State work registration workers
documentation of the Household’s
failure and lack of documentation of
any exemptions
Household’s statement or
documentation of the household’s
statement and lack of documentation
of any exemptions
Eligibility worker’s documentation of
non-receipt of the required report
and absence of the report
Household’s statement or
documentation of the household’s
statement
Absence of documentation indicating
that the change would have been
processed as a change in lieu of a
termination
Document that the IPV was
determined.
Disqualification letter or record of
the disqualification
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Code
Recorded Reason
for the Action
Example of Acceptable
Documentation
22
Termination/denial of
household of able-bodied
adult(s) whose time-limited
period of SNAP eligibility has
expired
Participation history or a description
of how the eligibility worker
determined that the household’s time
limit had expired
23
Failure to comply, without
good cause, with SNAP work
requirements
24
25
26
27
28
State work registration workers
documentation of the household’s
failure and absence of participation
records for workfare, E&T, etc.
Describe household’s eligibility and
Eligible for zero benefits
how benefits were calculated, attach
supporting documents
Benefit history which indicates that
Failure to access EBT benefits
the benefits were not accessed
Documentation of efforts made to
Loss of contact with
contact the household and lack of any
household
evidence of contact
Applicant/household
Record indicating the death of
deceased
applicant/household
Documentation of household’s
Not eligible for separate
circumstances that require combined
household status
household composition with others
29
Not eligible due to status as
Documentation of status that caused
fleeing felon, parole
ineligibility
violation, drug conviction etc.
30
Reason for
denial/termination
/suspension not documented
Documentation of all available
evidence why the negative action may
have been taken
99
Other
Documentation of circumstances of
the negative action
1370
TRANSMISSION OF NEGATIVE CASE FINDINGS TO FNS,
DATA CHECKING, AND CHANGING CASE FINDINGS. Once the error
determination process is completed and the review decision has been made, the
case findings shall be transmitted to FNS. Once a case has been
transmitted/released, the protected field findings for that case may not be
changed.
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Chapter 14
INFORMAL RESOLUTION AND ARBITRATION
1400
INFORMAL RESOLUTION AND ARBITRATION.
1410
INFORMAL RESOLUTION. Informal resolution is a process that
provides an avenue for States to dispute what they believe to be incorrect Federal
findings. This is not a process of negotiation or compromise between the Federal
and State agencies.
The official regional findings letter is sent electronically to the State with a read
return receipt. Upon receipt of the finding States have the right to request informal
resolution through phone calls, electronic email, data faxes, etc.
When contacted by the State, the FNS regional office should make every effort to
explore the State's dispute of finding as quickly as possible bearing in mind that the
State is held to the overall 20 day arbitration deadline.
Informal resolution must end on the earlier of:
• The date the arbitrator receives the State’s request for
arbitration, or
• The State’s 20-day deadline for requesting arbitration for that
review
If informal resolution results in a revised Federal finding the revised regional finding
must be sent to the State agency via a new regional finding letter. The State agency
has the right to request arbitration of the revised Federal finding; that is subject to
a new 20-day time limit.
Informal resolution can be continued up to the regulatory time limit for requesting
arbitration (20 days). The onset or continuance of informal resolution does not
postpone the 20-day time limit for requesting arbitration. The 20-day time limit
begins from the date the regional finding letter is received by the State agency.
Informal resolution may continue until the disagreement is resolved, arbitration is
requested, or when the 20-day limit for requesting arbitration expires, whichever is
earlier.
1420
ARBITRATION. The purpose of the arbitration process is to resolve
disagreements between the State agency and the FNS regional office concerning
individual QC case findings and the appropriateness of actions taken to dispose of an
individual case. The following are circumstances that are subject to arbitration:
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• Disagree cases (where the Federal findings disagreed with the State
agency’s findings)
• Cases where the FNS regional office disagreed with the State agency’s
disposition of the cases, including disputes over whether a case is subject
to review or incomplete
• Cases where the application of policy in a particular QC case impacts
the difference in a disposition/finding
Established policy, and comments on or coding of procedural deficiencies that do
not impact the findings/disposition are not subject to arbitration. Federal
disagreements with timeliness coding, in active cases, for application processing or
recertification processing do not impact the findings/disposition and are not
subject to arbitration. The State may utilize the informal resolution process to
resolve any differences. The decision reached by FNS in the informal resolution
process will be the final determination.
Agree cases are not subject to arbitration, however can be discussed through the
informal resolution process. If, as a result of informal resolution, the State and the
FNS regional office decide the previously issued agree findings no longer apply (e.g.,
the State found new information about the case), the regional office will issue a
new regional finding letter disagreeing with the State’s original findings. At this
point, this disagree case is subject to arbitration and the 20-day time limit for
requesting arbitration restarts.
Arbitration is a one-tier process. The State agency appeals to the SNAP Quality
Control Arbitrator if the State agency does not agree with the regional office
findings. The decision of the QC Arbitrator is final.
Arbitration is limited to an examination of specific issues supporting the findings or
disposition being challenged. However, the arbitrator cannot ignore any
mathematical errors on the computation sheet that are discovered during the
review of the case. The impact of the mathematical errors must be included in
the final benefit calculation.
1421
Documentation. It is the responsibility of the State agency to include
all the necessary documentation to support its position when submitting a case for
arbitration. It is the region’s responsibility to defend its finding and to provide the
arbitrator with the supporting evidence for that finding.
Failure to include a single important piece of information could result in an adverse
decision for either party. The documentation to support findings may include, but is
not necessarily limited to:
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• The region's finding and all subsequent correspondence from the FNS
regional office related to the finding (i.e. all e-mail correspondence relative
to the case decision.)
• A copy of the applicable worksheet(s) and related attachments
Actives- Form FNS-380, Form FNS-380-1, attachments to Form
FNS-380
Negatives- FNS-245 and attachments (including related notices)
to the FNS-245
• Relative State option information such as budgeting and reporting options
• The existence and provisions of all waivers applicable to the case
circumstances, including the approval, implementation dates, and
expiration dates
• Applicable State policies including implementation dates, e.g., pages of the
State manual indicating the conversion method selected, applicable
standard utility allowance(s)
• Written policy interpretations provided by FNS and the date provided to the
State agency
• A clear record of all actions taken by the reviewer in completing the case
• Appropriate verification and clear, concise documentation of every aspect
of the household’s circumstances, and
• Legible, complete copies of all case record material (a half cut-off copy of a
court record on child support payments that is not identifiable cannot be
considered by the arbitrator)
If the arbitrator needs additional information, or clarification of material
presented, it is the arbitrator's prerogative to request the needed information
from the relevant party.
The arbitration decision will fully explain the rationale for the final decision,
addressing each point in consideration.
1422
Usual Timeframe for Requesting Arbitration.
A State agency must request arbitration within 20 calendar days of receipt of the
regional findings letter. The first day of the 20-day period begins with the day
after the day the State agency receives the findings.
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In situations when a State agency timely
disposes of a review as incomplete or not
subject to review, and later completes the
review. In such a situation, if the
completed case is selected for Federal
subsampling, the State agency has the full
20-day period to request arbitration. For
each day late that a case was disposed of
and the findings reported, the State agency
shall have one less day to request
arbitration of the case.
Example of a request that is timely:
The regional findings were issued to the
State agency on February 27 and
received by the State agency on March
1. The case is a disagree case. The
State agency's request for arbitration is
postmarked March 15. This case is
subject to arbitration.
Example of a request that is timely
because FNS issued a new finding
letter: The regional findings were
received by the State agency on March
1. The FNS regional office agreed with
the State agency findings. On April 5,
the State agency requested arbitration
based on new information disputing its
initial findings. The regional office had
issued a new letter on March 20
disagreeing with the State’s original
findings. This case is subject to
arbitration.
Example of the First Day of the 20- Day
Period: The State agency receives the
findings letter on June 8. June 9 is the
first day of the 20-day period. If mailed,
the postmark on the State agency's
request will be used to determine
whether a request was submitted timely.
Example of a request that is too late
for arbitration: The regional
findings were issued to the State
agency on March 4 and received by the
State agency on March 8. The case is
a disagree case. The State agency's
request for arbitration is postmarked
April 11. This case is not subject to
arbitration as it was submitted late.
Example of how the usual timeframe is
reduced: The review’s sample month
was April. The deadline for disposing
the review was August 3. The State
agency disposed of the review on August
5. The State agency received the
Federal finding on October 6. The usual
deadline for requesting arbitration
would be October 26, but because the
disposition was two days late, the
deadline for requesting arbitration is
October 24.
1423
Unusual Timeframe for Requesting Arbitration. A State
agency is supposed to dispose of each review no later than 120 days after the end of
the sample month. For every day that disposition is late, the State agency loses a
day to request arbitration.
Example of a late request because of a late disposition: The State agency was ten
days late in disposing the review. The State agency received the finding letter on
November 7. The State agency requested arbitration on November 19. The case is not
subject to arbitration because it was submitted late.
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1430
SNAP QUALITY CONTROL ARBITRATION.
1431
General. SNAP quality control arbitration is the final level in the
process of resolving differences in the disposition and findings of cases within the
program. As such, when the arbitrator makes a determination, that decision is
final. Due to the finality of arbitration, it is very important that the case record be
complete when the case is submitted to the arbitrator.
1432
Quality Control Arbitrator. This individual must not be a QC
reviewer, oversee QC reviewers, or in any way be directly involved in the validation
effort.
1433
Quality Control Arbitration Procedures. The State agency will
have 20 days from the date of the receipt of the regional findings letter to request
arbitration of a disagree case. If the last day of the period falls on a Saturday,
Sunday, or Federal or State holiday, the 20-day time frame runs to the end of the
next work day.
1433.1 Requests for arbitration must be sent directly to the quality control
arbitrator. The arbitrator accepts requests by regular mail, facsimile, and e-mail.
Please indicate, “SBU” (Sensitive But Unclassified), in subject lines of e-mails and on
cover pages to faxes and mailed items sent to the arbitrator.
Please use the appropriate address below based on the request method:
Mailing Address:
Ronald Gwinn
SNAP Quality Control Arbitrator
USDA- Food and Nutrition Service
Supplemental Nutrition Assistance Program
3101 Park Center Drive, 4th Floor
Alexandria, Virginia 22302
Facsimile Number:
(703) 305-2821
E-Mail Address:
[email protected]
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1433.2 The State agency must notify the appropriate FNS regional office when
arbitration is being requested. A copy of the arbitration request must be sent to the
Regional office.
1433.3 The arbitration request must include all appropriate documentation
specified in Section 1421 of this chapter; however, additional information may be
submitted after the request, provided it is submitted within the 20-day time frame.
1433.4 The arbitrator may request additional information from the State agency
whenever necessary. The arbitrator will notify the State agency of the decision,
explaining the rationale for the decision.
1440
HANDLING CASE FINDINGS. In determining State agency error
rates, the FNS regional office will use the results of its review unless the arbitrator
decides in favor of the State agency or an alternate finding. Once the arbitrator's
decision has been made, the FNS regional office will make any changes necessary to
the State and/or regional disposition or findings.
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APPENDIX A
SNAP QC Error Threshold
The SNAP QC review process includes an error threshold (QC tolerance level) for its
active frame cases. This threshold determines which cases reviewed by QC will end
up in the calculation of a State’s official error rate. Prior to FY 2014, the threshold
required a regulatory or legislative change for the threshold amount to be adjusted.
However, in 2014, an act of Congress required the FY 2014 threshold to be used as a
baseline for all fiscal years moving forward. For fiscal years 2015 and thereafter,
the 2014 QC tolerance level is adjusted annually by the percentage by which the
Thrifty Food Plan (TFP) for the 48 contiguous States and the District of Columbia is
adjusted. This appendix will be updated annually with the revised threshold
amount.
Cases with a final error allotment amount less than or equal to (≤) the threshold
are not included in the calculation of a State agency’s official error rate for that
fiscal year.
Cases with a final error allotment amount greater than (>) the threshold are
included in the calculation of the State agency’s official error rate for that fiscal
year.
Fiscal Year
Threshold Amount
2021
$39
2020
$37
2019
$ 37
2018
$ 37
2017
$ 38
2016
$ 38
2015
$ 38
2014
$ 37
2013
$ 50
2012
$ 50
2010 - 2011
$ 25
2009 (6 mo only)
$ 50
2000 - part of 2009
$ 25
1979-1999
$5
Important notes:
• All cases determined ineligible for SNAP as a result of the final QC review,
regardless of the error amount, are included in the calculation of a State’s
official error rate.
•
All errors found during a QC review, regardless of its inclusion in the State’s
official error rate determination, must be cited and reported to the appropriate
office(s) within the State agency that addresses SNAP overissuances,
underissuances, and corrective action/improvement initiatives.
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A-1
APPENDIX B
WORKSHEET FOR QUALITY CONTROL REVIEWS
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B-13
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B-14
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B-15
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B-16
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B-17
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INSTRUCTIONS FOR COMPLETING FORM FNS-380,
THE WORKSHEET FOR SNAP PROGRAM
QUALITY CONTROL REVIEWS
GENERAL
The standard worksheet appears in this Handbook in Appendix B. The
automated worksheet may be downloaded from the USDA SNAP Quality
Control homepage at the following address:
http://www.fns.usda.gov/snap/qc/default.htm. The user’s manual for the
automated worksheet follows Form FNS-380 and the instructions for filling in
the form.
Some States have designed their own worksheet for SNAP’s Quality Control
(QC) reviews. These States must submit for approval their designed
worksheets to the FNS regional office (RO). The worksheet will be reviewed
and States will then be notified of the decision.
FACESHEET – PAGE 1 (Form FNS-380)
This is page one of the Worksheet for SNAP Quality Control reviews. There
are four sections:
•
•
•
•
Section A, is for identifying information and tracking
information about the QC review.
Section B, lists persons living in the home.
Section C, lists significant persons not living in the home.
Section D, is a summary of the review findings.
SECTION A – IDENTIFYING INFORMATION
1.
Agency - Enter name of local agency.
2.
Case Name - Enter the name of the recipient by which the case is
identified.
3.
Address - Enter the complete address at which the recipient resides.
4.
Telephone Number - Enter the telephone number at which the
recipient can be reached.
5.
Directions to Locate - Enter the directions to the address where the
recipient resides. (This is particularly significant where the mailing
address is a post office box number or rural route number.)
6.
Case Number - Enter the number assigned by the local agency to
identify the household that was certified.
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7.
Review Number - Enter the number assigned to the Quality Control
Review.
8.
Review Date/Month - Enter month, day, and year for which case
eligibility and benefit level were reviewed.
9.
Reserved - Leave blank.
10.
Most Recent Action: Date and Type - Enter the effective date
(month, day, and year) of the most recent certification or
recertification action prior to or concurrent with the review date. This
date cannot be prior to the start of the most recent certification
period.
•
A certification means the first time a case has been certified or
a certification action following a break in participation.
•
A recertification means the initial certification period has
expired and the agency has (a) completed a reexamination of all
factors of eligibility subject to change following a period of time
during which the recipient has been determined eligible and (b)
made a decision to continue eligibility.
11.
Certification Period - Enter the period for which the case was
certified.
12.
Participated During Sample Month - Check (-.) the appropriate box to
indicate if the household participated during the sample month.
13.
Received Expedited Service - Check (-.) the appropriate box to
indicate if the household was certified using expedited service
procedures.
14.
Categorically Eligible Household - Check (-.) the appropriate box to
indicate whether the household was categorically eligible.
15.
Reviewer - Enter the name of the QC reviewer conducting the review
and/or the reviewer’s identification number.
Date Assigned - Enter the month, day and year the sample case was
received by the QC reviewer.
16.
17.
Date of Case Readings - Enter the month, day and year the QC
reviewer read the local office record of the recipient.
18.
Date of Personal Interview - Enter the month, day and year a
personal interview was held with the recipient.
19.
Date Completed - Enter the month, day and year the Quality Control
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review was completed.
20.
Supervisor - Enter the name of the QC reviewer’s supervisor(s).
21.
Date Cleared - Enter the month, day and year the review was cleared
by the supervisor for statistical processing.
SECTION B – PERSONS LIVING IN THE HOME
Name - Enter the names of all persons living in the household. These would include
the recipient, and both related and unrelated persons, including roomers and
boarders. The first person listed should be the head of the household.
If additional space is needed, use the reverse side of the facesheet. For additional
space on the automated worksheet, press enter on the button labeled “Click for
more HH members”.
Birth Date - Enter the birth dates of all persons listed as members of the SNAP
household.
Age - Enter the age of all persons listed as members of the SNAP household.
Relationship or Significance - Enter letters to show the relationship of the
household members to the head of the household such as:
•
•
•
•
•
•
SP - spouse
S - son
D - daughter
GS - grandson
N - niece
FR - friend, etc.
Note: If the person is not included in the SNAP household under review but is a
SNAP recipient indicate the case number under which he/she is receiving SNAP
benefits.
Social Security - Enter the social security number of each household member.
Enter “unknown” if the number cannot be determined from the case record or
field investigation. Enter “none” if it is known that the household member never
had a social security number.
Recipient - Indicate whether the agency included this person in the sampled
household.
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SECTION C – SIGNIFICANT PERSONS NOT LIVING IN THE HOME
Name - Enter the names of all persons, including responsible relatives not residing
in the household, living or dead, who are of significance to the members of the
SNAP benefit household. This includes all absent parents (and alleged parents) of
children in the household whether or not they are known to contribute to the
person’s support.
If the identity of the absent parent of a member of the household listed in Section
B is unknown write “father/mother unknown” in this column and indicate the line
number of the member in Section B.
Relationship or Significance - Enter the relationship of each person to the
member of the household listed in Section B, and identify by line number, the
individual to whom the relationship pertains.
Social Security Number - Enter the social security number (SSN), if known, of
persons listed in this section.
•
•
Enter “unknown” if the number cannot be determined from the case
record or field investigation.
Enter “none” if it is known that the person never had a SSN.
Address - Enter the address of each person listed. If the address cannot be
determined either from the case record or from the field investigation enter
“unknown”.
Phone Number - Enter the telephone number of each person listed.
Financial Support - Check (-.) this box for any person who provided financial
support to a member of the SNAP benefit household during the budget or review
month.
SECTION D – REVIEW FINDINGS
This section provides a brief summary of the review findings. Enter the allotment
amount authorized for the review month. (See section 232.) Check (-.) the box that
corresponds to the findings of the review of the case. If an error exists, enter the
amount of the error.
WORKSHEET NARRATIVE- PAGES 2 THROUGH 14 (FORM FNS-380) GENERAL
INSTRUCTIONS
Use the remaining portion of the worksheet to document each step of the
independent full-field investigation and to evaluate each step in determining
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eligibility and appropriate benefit level. Record the facts sufficiently to establish
the basis on which the decision was made on each element.
COLUMN 1, ELEMENTS OF ELIGIBILITY AND BASIS OF ISSUANCE
Listed are a number of elements associated with eligibility and benefit level.
Definitions of these elements and verification requirements are found in Chapters
8 through 11. States may add, under each area, any additional State eligibility
requirements not included herein.
COLUMN 2, QC ANALYSIS OF CASE RECORD
Use this column to record documentation contained in the case record and to
assist in planning for the field investigation. Enter details of recorded information
that need not be reverified in this column. Note any pertinent facts; also record
whether anything is questionable about the information. Identify questions that
pertain to some but not all persons in the family. Indicate any of the following:
conflicts in information recorded, factors subject to change, reliability of
information recorded, reliability of source used, and missing information.
Use this column selectively to highlight other points to be considered when
conducting the field investigation or to remind you of the case situation.
COLUMN 3, FINDINGS OF FIELD INVESTIGATION
Record the results of the field investigation. Information in this column provides
the basis for completing the review findings and detailed error finding portions of
the QC Review Schedule. The QC review is a review of the validity of the case at a
given point in time in accordance with the provisions of Federal law, regulations,
and implementing memoranda. Therefore, the entries in this column will relate to
the facts of the situation affecting eligibility as of the review date even though
the specific findings may or may not constitute a case error.
Answer any questions raised in Column 2 in this section. Entries such as “correct”,
“verified”, and “OK” do not constitute adequate information. Document the
specific sources used as verification or any attempts to verify the element for all
applicable elements of eligibility and basis of issuance. Information must be
provided in sufficient detail for anyone reviewing the case at a later time to
clearly understand the conclusions on each element and the final conclusions on
the case.
Where there are eligibility or basis of issuance variances based on circumstances
as of the review date, record the date the variances first occurred.
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COLUMN 4, RESULTS
Complete each element by circling one of the following to indicate the final
decision:
1. = No error
2. = Agency error
3. = Client error
An agency error is defined as the failure of the agency to discharge its
responsibilities in a proper and timely manner.
A client error is defined as the failure of the recipient, guardian, or
authorized representative to provide correct information or to otherwise
discharge his/her responsibility in a proper and timely manner.
Where both the agency and the client are responsible for the same error in an
element the agency error takes precedence on the basis that the client’s
failure would have been negated, and no discrepancy would have existed had
the agency acted proper.
COMPUTATION SHEETS – PAGES 15 THROUGH 17 (FORM FNS-380)
General Instructions
The computation sheets are to be used to document all completed active
case reviews. The only exceptions are reviews of households that were
ineligible for reasons other than income. Columns (1) and (2) are required to
be completed, Columns (3), (4) and (5) are optional. Regardless of the use
of Columns (3), (4), and (5), Columns (1) and (2) must be used as outlined
below.
COLUMN 1, ELIGIBILITY WORKER
Column (1), record the figures that the eligibility worker used to compute the
allotment for the sample month.
COLUMN 2, FINAL SAQC DETERMINATION
Column (2), record the final quality control determination figures based on the
results of the review.
Note: If the household was ineligible because of gross or net income the reviewer
may stop at the appropriate income line.
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COLUMNS 3, 4, 5
Columns (3), (4), and (5) of the computation sheets are optional. They are
included for the convenience of States and may be used for recording:
•
•
•
•
•
Comparison I
Comparison II
Illustrating the impacts of individual variances
Reflecting a retrospectively budgeted household’s prospective eligibility
Any other State identified purpose
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Supplemental Nutrition Assistance Program
Quality Control
Automated Form FNS-380
380 Guide From SNAP QCS
User’s Manual
(For the full version of SNAPQCS’ user’s manual please go to:
https://snapqcs.fns.usda.gov
USDA E-Authentication Credentials required)
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The Home Page will have the Help menu with a detailed User’s Guide for using
the Automated Forms FNS-380 and FNS-380-1.
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APPENDIX C
QUALITY CONTROL REVIEW SCHEDULE
09-15-2020 (Change 5)
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09-15-2020 (Change 5)
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APPENDIX C
INSTRUCTIONS FOR COMPLETING FORM FNS-380-1,
QUALITY CONTROL REVIEW SCHEDULE
GENERAL INFORMATION
The Quality Control Review Schedule (QCRS) is the data entry form to record the
results of SNAP Quality Control reviews.
The schedule consists of seven sections:
1.
2.
3.
4.
5.
6.
7.
Review Summary
Detailed Error Findings
Household Characteristics
Information on Each Household Member
Income Identified by Household Member
Reserved Coding
Optional For State Systems Only
All entries in the QCRS are dollar amounts, dates, or numeric codes.
Dates - Use six or eight-digit numbers as the entry requires. For example, October
3, 2003 would be coded:
1
0
0
3
2
0
0
3
The October sample month would be coded:
1
0
2
0
0
3
Dollar Amounts - Round all dollar amounts to the nearest dollar; leading zeros
are not required. For example, $165.00 is entered:
1
6
5
Not Applicable – If an item does not apply to the case reviewed, leave the
applicable boxes blank:
Unknown - If an item is known to exist but the specific amount is not known, fill
in all boxes for that item with 9’s:
9
9
9
9
If no information is available or if the item does not apply to the household, leave
the boxes blank. Do not enter zeros to indicate no information.
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Stratum - States with stratified samples should submit to the FNS regional office a
listing of the numeric codes utilized to identify stratum. Stratum codes are assigned
by the State agency when the sample is stratified. If stratum codes are not used,
leave blank or enter other identifying information at State option.
Local Agency Code – This code is used to group data by county or county
equivalent or smaller areas. The system requires a three-digit code. The State may
use Federal Information Processing Standards (FIPS) codes or use an alternative
method to designate local agency. Once a State has selected a method, submit to
the FNS regional office a listing of the local agencies and corresponding codes.
FIPS Codes – The National Institute of Standards and Technology has developed
codes for classification of counties and county equivalents. These codes were
devised by listing counties alphabetically and assigning sequentially odd integers;
e.g., 001, 003, 005.
QUALITY CONTROL REVIEW SCHEDULE
SECTION 1 - REVIEW SUMMARY
This section records the final determination of the QC review. It is used to
compute the State’s payment error rate.
1.
QC Review Number - Enter the number assigned to the Quality Control
2.
Case Number - Enter the number assigned by the local agency to the
3.
State Code - Enter the two digit State code from the following list of codes
review.
household that was certified and has been reviewed.
of National Institute of Standards and Technology.
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State Codes - National Institute of Standards and Technology
State
Code
State
Alabama
Alaska
Arizona
Arkansas
California
Colorado
Connecticut
Delaware
District of Columbia
Florida
Georgia
Guam
Hawaii
Idaho
Illinois
Indiana
Iowa
Kansas
Kentucky
Louisiana
Maine
Maryland
Massachusetts
Michigan
Minnesota
Mississippi
Missouri
01
02
04
05
06
08
09
10
11
12
13
66
15
16
17
18
19
20
21
22
23
24
25
26
27
28
29
Montana
Nebraska
Nevada
New Hampshire
New Jersey
New Mexico
New York
North Carolina
North Dakota
Ohio
Oklahoma
Oregon
Pennsylvania
Rhode Island
South Carolina
South Dakota
Tennessee
Texas
Utah
Vermont
Virgin Islands
Virginia
Washington
West Virginia
Wisconsin
Wyoming
Code
30
31
32
33
34
35
36
37
38
39
40
41
42
44
45
46
47
48
49
50
78
51
53
54
55
56
4.
Local Agency Code – Enter the three-digit code designating the local
5.
Sample Month and Year - Enter the month and year for which the case
6.
Stratum - Enter the two-digit stratum codes if sampling is stratified. If not
agency for this case.
eligibility and benefit level were reviewed.
stratified enter a State optional code or leave blank.
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7.
Disposition - Enter one of the following codes:
1-Complete
2-Not subject to review
3-Incomplete
4-Case deselected
If codes 2, 3, or 4 are used, no further entries are required on the remainder
of the review schedule except item 68, reserved code for Timeliness of
Application Processing (Expedited and 30 Day Requirement), item 69,
reserved code for QC Interview, and item 70, reserved code for Timeliness of
Recertification.
8.
Review Findings - Enter one of the following codes:
1-Amount correct
2-Overissuance
3-Underissuance
4-Ineligible
Enter actual finding regardless of whether it is below the error threshold. Do
not complete Sections 4 and 5 if code 4, ineligible, is used.
9.
10.
SNAP Allotment Under Review - Enter the authorized amount of SNAP
subject to review for the sample month.
Error Amount - Enter the dollar amount of any identified error. The dollar
amount of the error is the difference between the benefits the State
authorized and the benefits the State should have authorized regardless of
the error threshold. Use the lower error amount from comparison one or
comparison two.
• For overissuance or underissuance errors, enter the actual error amount
whether or not it exceeds the current FY error threshold
• For ineligible errors, enter the full amount of the error
11.
Case Classification - Enter one of the following codes:
1-Included in error rate calculation
2-Excluded from error rate calculation - processed by SSA worker
3-Excluded from error rate calculation, as designated by FNS (e.g.
demo project, simplified SNAP)
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SECTION 2 – DETAILED ERROR FINDINGS
This section provides for the detailed coding of each variance identified during the
QC review. If additional lines are needed to code error findings, attach an
additional page. Since the information recorded in this section is the basis for
corrective actions, the accuracy of the information is important. If more than one
variance is identified, the variance that the agency believes is most significant in
leading to the error should be listed first.
12.
Element - Enter the appropriate element number of the review for each
13.
Nature codes - Enter the appropriate code for the nature of each variance.
variance identified.
The following provides the element and nature codes to be used in items 12
and 13.
These nature codes may be used in any element:
Nature code (97) – Not required to be reported or acted upon based on
timeframes and reporting requirements for allotment differences below the
error threshold.
Nature code (98) - Transcription or computation errors.
Nature code (99) – Other. Use this nature code in the following situations:
a) If no specific nature code is listed under an element
b) If the nature of the error is clearly understood by looking at the
agency/client code recorded for the error, or
c) If none of the listed nature codes under an element apply to the
error being recorded
BASIC PROGRAM REQUIREMENTS – (100)
Element 111 - Student Status
Nature codes:
6 - Eligible person(s) excluded
7 - Ineligible person(s) included
Element 130 – Citizenship and Non-Citizen Status
Nature codes: Citizens
6 - Eligible person(s) excluded
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7 - Ineligible person(s) included
124 -Variance resulting from use of automatic Federal information exchange
system
Non-Citizens
200 – Eligible non-citizen excluded
201 – Ineligible non-citizen included
124 – Variance resulting from use of automatic Federal information
exchange system
Element 140 - Residency
Nature codes: 99 – Other
Element 150 - Household Composition
Note: Variances should be coded under this element if a person or persons are
unreported or incorrectly reported, unprocessed or incorrectly processed, and
these persons also have income, resources or deductible expenses, which must
be considered in the error determination.
For example: the discovery of an unreported 62 year old with earned income, a
bank account, and medical expenses would be recorded under Element 150
(Household Composition), not Elements 211 (Bank Accounts or Cash on Hand),
311 (Wages and Salaries), and 365 (Medical Deduction).
Variances should not be coded under this Element for persons with
characteristics that are specifically addressed under other 100 Series Elements
(Student Status through Social Security Number). For example: the discovery of
an eligible non- citizen in the household who was improperly excluded would be
coded under Element 130 (Citizenship and Non-Citizen Status), not under
Element 150 (Household Composition).
Nature codes:
7 - Ineligible person(s) included
12 - Eligible person(s) with no income, resources, or deductible expenses
excluded
13 - Eligible person(s) with income excluded
14 - Eligible person(s) with resources excluded
15 - Eligible person(s) with deductible expenses excluded
16 - Newborn infant improperly excluded
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Element 151 - Recipient Disqualification
Nature codes:
6 - Eligible person(s) excluded
7 - Ineligible person(s) included
Element 160 – Employment & Training Programs
Nature codes:
6 - Eligible person(s) excluded
7 - Ineligible person(s) included
Element 161 – Time-limited Participation
Nature codes:
6 - Eligible person(s) excluded
7 - Ineligible person(s) included
Element 162 – Work Registration Requirements
Nature codes:
6 - Eligible person(s) excluded
7 - Ineligible person(s) included
Element 163 – Voluntary Quit/Reduced Work Effort
Nature codes:
6 - Eligible person(s) excluded
7 - Ineligible person(s) included
Element 164 – Workfare and Comparable Workfare
Nature codes:
6 - Eligible person(s) excluded
7 - Ineligible person(s) included
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Element 165 – Employment Status/Job Availability
Nature codes:
6 - Eligible person(s) excluded
7 - Ineligible person(s) included
Element 166 – Acceptance of Employment
Nature codes:
6 - Eligible person(s) excluded
7 - Ineligible person(s) included
Element 170 – Social Security Number
Nature codes:
6 - Eligible person(s) excluded
7 - Ineligible person(s) included
RESOURCES - (200)
Liquid Resources
Element 211 – Bank Accounts or Cash on Hand
Nature codes:
24 - Resource should have been excluded
30 – Resource should have been included
Element 212 – Nonrecurring Lump-sum Payment
Nature codes:
24 - Resource should have been excluded
30 – Resource should have been included
Element 213 – Other Liquid Assets
Nature codes:
24 - Resource should have been excluded
30 – Resource should have been included
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Non-Liquid Resources
Element 221 – Real Property
Nature codes:
24 - Resource should have been excluded
30 – Resource should have been included
Element 222 – Vehicles
Nature codes:
24 - Resource should have been excluded
30 – Resource should have been included
Element 224 – Other Non-Liquid Resources
Nature codes:
24 - Resource should have been excluded
30 – Resource should have been included
Element 225 – Combined Resources
Nature codes:
20 - Incorrect resource limit applied
29 - Exceeds prescribed limit
INCOME (300)
Earned Income
Element 311 – Wages and Salaries
Nature codes:
32 - Failed to consider or incorrectly considered income of an ineligible
member
35 – Unreported source of income (do not use for change in employment
status)
36 – Rounding used/not used or incorrectly applied
38 – More income received from this source than budgeted
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39 - Employment status changed from unemployed to employed
40 - Employment status changed from employed to unemployed
41 - Change only in amount of earnings
42 - Conversion to monthly amount not used or incorrectly applied
43 - Averaging not used or incorrectly applied
44 – Less income received from this source than budgeted
46 - Failed to consider/anticipate month with extra pay date
123 – Income incorrectly prorated
Element 312 – Self-Employment
Nature codes:
32 - Failed to consider or incorrectly considered income of an ineligible
member
35 – Unreported source of income (do not use for change in employment
status) 36 - Rounding used/not used or incorrectly applied
38 – More income received from this source than budgeted
39 - Employment status changed from unemployed to employed
40 - Employment status changed from employed to unemployed
41 - Change only in amount of earnings
42 - Conversion to monthly amount not used or incorrectly applied
43 - Averaging not used or incorrectly applied
44 – Less income received from this source than budgeted
45 - Cost of doing business not used or incorrectly applied
Element 314 – Other Earned Income
Nature codes:
32 - Failed to consider or incorrectly considered income of an ineligible
member
35 – Unreported source of income (do not use for change in employment
status)
36 - Rounding used/not used or incorrectly applied
38 – More income received from this source than budgeted
39 - Employment status changed from unemployed to employed
40 - Employment status changed from employed to unemployed
41 - Change only in amount of earnings
42 - Conversion to monthly amount not used or incorrectly applied
43 - Averaging not used or incorrectly applied
44 – Less income received from this source than budgeted
45 - Cost of doing business not used or incorrectly applied
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Deductions
Element 321 – Earned Income Deductions
Nature codes:
52 - Deduction that should have been included was not
53 - Deduction included that should not have been
Element 323 – Dependent Care Deduction
Nature codes:
52 - Deduction that should have been included was not
53 - Deduction included that should not have been
Unearned Income
Element 331 – RSDI Benefits
Nature codes:
35 - Unreported source of income
37 - All income from source was known but not included
38 - More income received from this source than budgeted
44 - Less income received from this source than budgeted
124 - Variance resulting from use of automatic Federal information exchange
system
Element 332 – Veterans Benefits
Nature codes:
35 - Unreported source of income
37 - All income from source was known but not included
38 - More income received from this source than budgeted
44 - Less income received from this source than budgeted
124 - Variance resulting from use of automatic Federal information
exchange system
Element 333 – SSI and/or State SSI Supplement
Nature codes:
35 - Unreported source of income
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37 - All income from source was known but not included
38 - More income received from this source than budgeted
44 - Less income received from this source than budgeted
124 - Variance resulting from use of automatic Federal information
exchange system
Element 334 – Unemployment Compensation
Nature codes:
35 - Unreported source of income
37 - All income from source was known but not included
38 - More income received from this source than budgeted
44 - Less income received from this source than budgeted
124 - Variance resulting from use of automatic Federal information
exchange system
Element 335 – Worker’s Compensation
Nature codes:
35 - Unreported source of income
37 - All income from source was known but not included
38 - More income received from this source than budgeted
44 - Less income received from this source than budgeted
124 - Variance resulting from use of automatic Federal information
exchange system
Element 336 – Other Government Benefits
Nature codes:
35 - Unreported source of income
37 - All income from source was known but not included
38 - More income received from this source than budgeted
44 - Less income received from this source than budgeted
124 - Variance resulting from use of automatic Federal information
exchange system
Element 342 – Contributions
Note: Errors in Child Support Payments should not be recorded in this Element.
See Element 350 (Child Support Payments Received from Absent Parent).
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Nature codes:
35 - Unreported source of income
37 - All income from source was known but not included
38 - More income received from this source than budgeted
44 - Less income received from this source than budgeted
124 - Variance resulting from use of automatic Federal information
exchange system
Element 343 – Deemed Income
Nature codes:
35 - Unreported source of income
37 - All income from source was known but not included
38 - More income received from this source than budgeted
44 - Less income received from this source than budgeted
124 - Variance resulting from use of automatic Federal information
exchange system
Element 344 – TANF, PA, or GA
Nature codes:
35 - Unreported source of income
37 - All income from source was known but not included
38 - More income received from this source than budgeted
44 - Less income received from this source than budgeted
120 - Variance/errors resulting from noncompliance with this means-tested
public assistance program
124 - Variance resulting from use of automatic Federal information
exchange system
Element 345 – Educational Grants/Scholarships/Loans
Nature codes:
35 - Unknown source of income
37 - All income from source was known but not included
38 - More income received from this source than budgeted
44 - Less income received from this source than budgeted
124 - Variance resulting from use of automatic Federal information
exchange system
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Element 346 – Other Unearned Income
Nature codes:
35 37 38 44 120 -
Unreported source of income
All income from source was known but not included
More income received from this source than budgeted
Less income received from this source than budgeted
Variance/errors resulting from noncompliance with this means-tested
public assistance program
124 - Variance resulting from use of automatic Federal information
exchange system
Element 350 – Child Support Payments Received from Absent
Parent
Nature codes:
35 - Unreported source of income
37 - All income from source was known but not included
38 - More income received from this source than budgeted
44 - Less income received from this source than budgeted
111 - Child support payment(s) not considered or incorrectly applied for
initial month(s) of eligibility
112 - Retained child support payment(s) not considered or incorrectly
applied
124 - Variance resulting from use of automatic Federal information
exchange system
127 - Pass through not considered or incorrectly applied
Element 361 – Standard Deduction
Nature codes:
52 - Deduction that should have been included was not
53 - Deduction included that should not have been
65 – Incorrect standard used resulting from a change in household size
Element 363 - Shelter Deduction
Nature codes:
52 - Deduction that should have been included was not
53 – Deduction included that should not have been
64 - Incorrect amount used resulting from a change in residence
123 - Incorrectly prorated
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Element 364 - Standard Utility Allowance
Nature codes:
52 – Deduction that should have been included was not
53 - Deduction included that should not have been
54 - Incorrect standard used (Not as a result of a change in household size
or move)
64 - Incorrect amount used resulting from a change in residence
123 - Incorrectly prorated
Element 365 - Medical Deductions
Nature codes:
52 - Deduction that should have been included was not
53 - Deduction included that should not have been
Element 366 - Child Support Payment Deduction
Nature codes:
52 - Deduction that should have been included was not
53 - Deduction included that should not have been
Element 371 - Combined Gross Income
Nature codes:
28 - Incorrect income limit applied
29 - Exceeds prescribed limit
Element 372 - Combined Net Income
Nature codes:
28 - Incorrect income limit applied
29 - Exceeds prescribed limit
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OTHER - (500 and 800)
Element 520 - Arithmetic Computation
Nature codes:
75 - Benefit/allotment/eligibility incorrectly computed
79 – Incorrect use of allotment tables
80 - Improper proration of initial month’s benefits
Element 530 – Transitional Benefits
Nature codes:
75 - Benefit/allotment/eligibility incorrectly computed
77 - Household not entitled to transitional benefits
99 - Other
Element 560 - Reporting Systems
Note: This element should be used to record errors resulting from the
household being certified under an incorrect reporting system given the
household’s characteristics and the State agency’s chosen options. Possible
Reporting Systems include: Monthly Reporting, Quarterly Reporting, SemiAnnual Limited Reporting, Change Reporting, Status Reporting, 5 Hour
Reporting and no reporting (transitional benefits).
Nature codes:
301 302 303 304 305 306 307 308 309 -
Household improperly participating under retrospective budgeting
Household improperly participating under prospective budgeting
Household improperly participating under monthly reporting
Household improperly participating under quarterly reporting
Household improperly participating under semi-annual reporting
Household improperly participating under change reporting
Household improperly participating under status reporting
Household improperly participating under 5 hour reporting
Household improperly participating in transitional benefits
Element 810 - SNAP Simplification Project
Nature codes:
98 - Transcription or computation errors
99 - Other
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Element 820 - Demonstration Projects
Nature codes:
98 - Transcription or computation errors
99 – Other
14.
Cause - Enter one of the following codes to indicate the primary cause for
each variance identified.
1 - Information not reported. (Client failed to report information or
changes that are required to be reported. Use this code only if the
State could not know this information from another source or could not
have anticipated the change.)
2 - Incomplete or incorrect information provided. (Client provided
information that is incorrect or incomplete and the agency was not
required to verify.)
3 – Information withheld by client. (Case being referred for IPV investigation.)
4 - Incorrect information provided by client. (Case being referred for IPV
investigation.)
7 - Information reported by a collateral contact inaccurate. (The agency
acted upon information provided by a collateral contact, which was
verified by QC to be inaccurate, i.e. the client’s employer reported
incorrect salary information.
8 - Acted on incorrect Federal computer match information that was not
required to be verified. (This variance is excluded from the error
determination but must be recorded.)
10 - Policy incorrectly applied. (The agency used the wrong
policy/incorrectly applied policy when determining eligibility or
processing change information.)
12 - Reported information disregarded or not applied. (The agency failed to
take action on information reported by the client or information that
became known through some other source, such as non-federal match
information.)
14 - Agency failed to follow up on inconsistent or incomplete information.
(Information provided by the household or collateral source was
inconsistent with other information in the case record or incomplete but
the agency failed to request verification.)
15 - Agency failed to follow up on impending changes. (The agency failed to
take follow up action on a change that was anticipated, i.e.
unemployment ending within the certification period, pregnancy, etc.)
16 - Agency failed to verify required information. (The agency failed to use
third party information or documentation to establish the accuracy of
statements on the application or change report form which are required
to
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be verified. If the agency is not required to verify reported information
use code 2.)
17 - Computer programming error. (The agency eligibility system caused the
error due to a programming related problem, i.e. an incorrect amount
for standard deduction was programmed into the system, the agency
authorized the use of workarounds to the computer system that resulted
in an error, etc.)
18 – Data entry and/or coding error. (The agency made a data entry error
when keying into the State/local agency eligibility system, includes
selection of incorrect codes.)
19 – Mass Change. (The error was due to a problem with a computer
generated mass change, i.e. mass change was run late or incorrectly
updated the
case.)
20 - Arithmetic computation. (The agency made an error in computation or
transcription, which was not related to computer programming or data
entry.)
21 - Computer user error. (The EW failed to use computer system properly
or used an unauthorized process to work around the system.)
99 - Other. (Variance caused by the agency, which does not fall under any
of the specific causes listed above.)
15.
Error Finding – (Optional). This item provides a means for reviewers to
identify the impact of individual variances. If only one variance is recorded
for an error case, the error finding code for this item and item 8, finding,
should be the same. Enter the appropriate code for each variance:
2 – Overissuance
3 – Underissuance
4 – Ineligible
16.
Error Amount - (Optional) Compute and enter the dollar amount of each
17.
Discovery - Enter one of the following codes to indicate how the variance
separate variance. If one variance is coded, then the amount in this item
should be the same as the error amount in item 10. If more than one
variance is coded, the agency may use the optional guidance provided in
Chapter 12 or use State developed procedures for assigning dollar amounts.
Some agencies find this calculation helpful as an aid in prioritizing error
causes for corrective actions.
was discovered:
1 - Variance clearly identified from case record: documentation is not from
an automated match
2 - Variance clearly identified from case record: documentation is from an
automated match
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3456789–
18.
Variance discovered from recipient interview
Employer (present or former)
Financial institution, insurance company, or other business
Landlord
Government agency or public records, not automated match
Government agency or public records, automated match
Other
Verified - Enter one of the following codes to indicate how the variance was
verified:
1 - From case record: verification is not from an automated match
2 - From case record: verification is from an automated match
3 - From information provided by recipient
4 - Employer (present or former)
5 - Financial institution, insurance company, or other business
6 - Landlord
7 - Government agency or public records, not automated match
8 - Government agency or public records, automated match (may not apply
to tax information)
9 – Other
19.
Occurrence - Complete the following for each variance:
a.
b.
Date - Enter the date (month and year) the variance occurred.
Time Period - Enter the appropriate code to indicate the time
period during which the variance occurred.
1 - Before most recent action by agency (The most recent action would be
either a certification or a recertification.)
2 - At time of most recent action by agency
3 - After the most recent action by agency
9 - Time of occurrence cannot be determined
SECTION 3 - HOUSEHOLD CHARACTERISTICS
This section collects information about the household’s processing and specifics
about resources, income, and deductions that were the basis of their SNAP benefits.
Some specific items come from the case record (Items 20-24, and 26-27). These
items are: most recent action, type of action, length of certification period,
allotment adjustment, amount of adjustment, receipt of expedited service, and
authorized representative.
For all other items use information from the final QC determination.
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20.
21.
Most Recent Certification Action - Enter the effective date (month,
day and year) of the most recent certification or recertification action prior
to or concurrent with the review date. This date cannot be prior to the start
of the most recent certification period and should be in the case record.
Type of Action – Based on information in the case record, indicate the
type of action by entering one of the following codes:
1 - Certification
2 - Recertification
Certification means the first time a case has been certified or a
certification action following a break in participation.
Recertification means the initial certification period has expired and the
agency has (a) completed a reexamination of all factors of eligibility subject
to change following a period of time during which the recipient has been
determined eligible and (b) made a decision to continue eligibility.
22.
Length of Certification Period - Enter the number of months the
23.
Allotment Adjustment – This item records whether there was any
household was certified to participate during the current certification or
recertification. For households that are participating in months for which
they have not been certified enter the code 98. This information should be
found in the case record.
adjustment from the standard amount for the household size and income
level of the household. Proration is providing less than a full month’s
allotment due to the date of application or receipt of verification. Other
adjustments include claims recoupment, sanctions, and adjustments for
failure to comply with other means tested programs. Supplements included
in the allotment are not considered as allotment adjustments for this item.
Enter the code that indicates whether or not the allotment was adjusted or
prorated. If more than one adjustment was made, enter the code for the
adjustment with the greatest impact on the SNAP allotment. Supplements
included in the allotment are not considered as allotment adjustments for
this item.
1- No adjustment
2- Prorated benefit
3 - Other adjustment
24.
Amount of Allotment Adjustment - Enter the amount of the
allotment adjustment from the record. If more than one adjustment was
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applied, enter the total amount of the difference between the allotment
for the household size and income of the household and the amount the
household actually received. If item 23 is coded 1, no adjustment, leave
this item blank. Enter 9 if the amount of adjustment is unknown.
25.
Number of Household Members - Enter the number of person(s)
26.
Receipt of Expedited Service – Using information from the case record,
determined to be a part of the SNAP household and eligible to receive
benefits based on the final QC determination. Include persons who should
have been in the household but were not in the State’s original
determination. Do not include persons whose income/resources are
considered but are not receiving SNAP benefits or SNAP household members
who have been disqualified from the program. If the household was
ineligible for benefits, enter zero.
enter the appropriate code for the household’s entitlement to expedited
service at the most recent certification in effect at the time of the sample
month:
1 - Entitled to expedited service and received benefits within the Federal
timeframe
2 - Entitled to expedited service but did not receive benefits within the
Federal timeframe
3 - Not entitled to expedited service
27.
Authorized Representative Used at Application - Enter the
appropriate code using information from the case record. An authorized
representative is a responsible adult designated by the household, in writing, to
apply for benefits on behalf of the household. Did an authorized representative
make application for the household?
1 - Yes
2 - No
28.
Categorical Eligibility Status – Was the household categorically eligible for
benefits based on the final QC determination?
1 - Yes
2 - No
29. Reporting Requirement - Select the code that describes the reporting
system used to certify the household. If the household was certified under sixmonth reporting, enter code “6”, simplified reporting (also called six month
reporting or semiannual reporting), even if QC determined that the appropriate
reporting system should have been something else.
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1- Change Reporting with $100 change in earned income
2- Change Reporting with change of wage rate, salary, or change in
employment status
3- 5-Hour change in hours worked and expected to continue over a month
4- Simplified Reporting (exceeding 130% of income poverty guidelines)
5- Quarterly Reporting
6- Simplified Monthly Reporting
7- Transitional benefits (no reporting requirement)
Resources:
30.
Liquid Assets – Enter the dollar value of liquid assets such as cash on hand,
31.
Real Property (Excluding Home) - Enter the dollar value of land and
checking and savings accounts, money market accounts, stocks, bonds, income
tax refunds using information from the final QC determination. For amounts
greater than $99,998 enter the code 99998. When there is an indication that a
resource type was present but that amount is unknown, enter the code 99999.
If an approximate amount is known, enter that amount.
buildings owned, excluding the primary residence using information from the
final QC determination. For amounts greater than $99,998 enter the code
99998. When there is an indication that a resource type was present but that
amount is unknown, enter the code 99999. If an approximate amount is known,
enter that amount.
32(a). Vehicle - Code information on up to two vehicles in items (a) and (b). Use
information from the final QC determination. Vehicles should be entered in
descending order based on the fair market value.
1 - No vehicles
2 - Vehicle exempt because used for producing income, as a home, to
transport a physically disabled member, for long distance travel (other
than commuting), or to carry fuel or water
3 - Vehicle exempt because inaccessible resource (equity value is $1,500
or less)
4 - Vehicle exempt due to categorical eligibility
5 - Vehicle excluded under State TANF standard (vehicle of noncategorically eligible household members only)
6 - Vehicle is registered and is attributable to an adult household member
or is used by a person under 18 for employment or education (subject
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to fair market value only)
7 - Vehicle not registered (equity test only)
8 - Vehicle is not excluded and is not included in code 6 (subject to fair
market value or equity test, whichever is greater)
32(b). Status 2nd Vehicle – Use the codes 2 through 8 from 32(a).
33.
Countable Vehicle Assets – Record that portion of a vehicle’s value
34.
Other Non-liquid Assets – Enter the dollar value of non-liquid assets such
counted toward the household’s resource limit using information from the
final QC determination.
as boats and trailers using information from the final QC determination. For
amounts greater than $99,998 enter the code 99998. When there is an
indication that a resource type was present but that amount is unknown,
enter the code 99999. If an approximate amount is known, enter that
amount.
Income:
35.
Gross Countable Income - Enter the countable gross monthly income of
36.
Net Countable Income - Enter the countable net monthly income from
the SNAP household before applying any deductions to the income from the
final QC determination. Enter all countable income. Include prorated
amounts from ineligible household members.
the final QC determination used to compute the amount of the SNAP
allotment for the sample month after application of all appropriate
deductions.
Deductions:
37.
Earned Income - Enter the amount of the earned income deduction that
38.
Medical - Enter the amount of the allowable medical expenses for elderly
the household was eligible to receive based on the final QC determination.
and disabled household members based on the final QC determination.
Do not record the value of the allowable medical deduction ($35). Enter
those medical expenses in excess of $35 per month.
For example, if a household was billed $100 for medical expenses, enter $65
($100 minus the medical deduction of $35).
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39.
Dependent Care - Enter the total dependent care deduction to which the
40.
Child Support - Enter the dollar value of the child support payment
41.
Shelter - Enter the dollar value of the shelter deduction from the final QC
42.
Homeless - Select the code that applies to this household based on the
household was entitled based on the final QC determination.
deduction from the final QC determination.
determination.
final QC determination.
1 - Not homeless
2 - Homeless, not receiving homeless shelter allowance
3 - Homeless, receiving homeless shelter allowance
Additional Information on Shelter Costs:
43.
Rent/Mortgage - Enter the amount the household was billed for
44.
Use of SUA – This entry has two boxes that are used to collect different
rent/mortgage from the final QC determination. Include taxes, insurance,
condo fees and homeowner association fees.
information about the SUA. Do not complete 44(b) if 44(a) is coded 1.
a.Usage - Enter the code which describes usage and entitlement to the
SUA based on the final QC determination:
123456–
7–
9-
No utilities and no LIHEAA
Uses actual expenses
Uses higher standard based on LIHEAA
Uses higher standard and does not receive LIHEAA
Uses lower standard
Uses phone only standard
Uses individual standards
Other
LIHEAA is the Low Income Home Energy Assistance Act, your State
program may have another name such as Home Energy Assistance Program
(HEAP)
Higher Standard is an SUA based upon receipt of heating or cooling and
includes all utilities
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Lower Standard is an SUA based upon all utilities but is for households
who do not incur heating or cooling or receive LIHEAA.
b. Proration - Select the code that identifies whether the SUA amount
was prorated (e.g. prorated among non-household members of the
residence).
1 - Not prorated
2 – Prorated
45.
Utilities (SUA or Actual) - This item should be completed for all cases.
For households using actual utility expenses, enter the actual amount that
was billed for all utilities (gas, water, phone, electric, etc.) based on the
final QC determination. For households using an SUA, enter the amount of
the SUA that was used, based on the final QC determination. Enter $0 if
there were no utility expenses.
SECTION 4 – INFORMATION ON EACH HOUSEHOLD MEMBER
Complete the following section, using information from the final QC determination,
for eligible SNAP households. Enter information on each household member,
including individuals whose income and resources were considered in establishing
SNAP benefit level. If the number of household members exceeds the number of
lines available, attach an additional page to allow for coding detailed person-level
information on all SNAP household members. You may currently enter information
on up to 16 individuals on the automated system, but you may record information
on all household members using the paper form. If the entire household is ineligible
do not enter any information in this section.
For disqualified or ineligible SNAP household members, items 46, 47, 48, and 58, if
applicable, (person number, SNAP program participation, relationship to head of
household, and dependent care costs) of this section must be completed.
Information on income for these members must also be recorded in Section 5. For
disqualified or ineligible members, the rest of the information in this section should
be completed based on information known through observation or available in the
case record.
Note: Do not enter zeros in items 48, 50-52, and 54-58 (Relationship to Head of
Household, Sex, Race, Citizenship Status, Employment Status, Work Registration,
Employment and Training Program Status, ABAWD Status, and Dependent Care
Cost).
46.
Person Number - Assign and enter a number for each SNAP household
member (1, 2, etc.). This will include ineligible SNAP household members
whose resources and income are considered in the eligibility determination.
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Use this assigned number to identify household members with income in
Section 5. Code the head of the household as person 1.
47.
SNAP Program Participation – For each person indicate his/her
eligibility or ineligibility for participation in the SNAP (i.e., either, eligible
for participation and entitled to benefits, or a reason for ineligibility. For
ineligible non-citizens, whether they participate in a State funded SNAP).
1 – Eligible member of SNAP case under review and entitled to receive
benefits
2 – Reserved
3 – Reserved
4 - Member is an ineligible non-citizen and is not participating in a State
funded SNAP
5 - Member not paying/cooperating with Child Support agency
6 - Member is an ineligible striker
7 - Member is an ineligible student
8 - Member is disqualified for program violation
9 - Member is ineligible to participate due to disqualification for failure to
meet work requirements (work registration, E&T, acceptance of
employment, employment status/job availability, voluntary quit/reducing
work effort, workfare/comparable and workfare)
10 - ABAWD time limit exhausted and the ABAWD is ineligible to participate
due to failure to meet ABAWD work requirements, to work at least 20
hours per week, to participate at least 20 hours per week in qualifying
educational training activities or to participate in workfare
11 - Fleeing felon or parole and probation violator
12 – Reserved
13 - Convicted drug felon
14 - Social Security Number disqualified
15 - SSI recipient in California.
16 - Prisoner in detention center
17 - Foster care
18 - Member is an ineligible non-citizen and is participating in a State-funded
SNAP Program
99 – Unknown
48.
Relationship to Head of Household - Enter the code that shows the
relationship (including by marriage) of the person indicated in item 46
(person number) to the head of the household, as defined by the SNAP
Program from final QC determination.
1 - Head of household
2 - Spouse
3 - Parent
4 - Daughter, stepdaughter, son, stepson
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5 - Other related person (brother, sister, niece, nephew, grandchild, greatgrandchild, cousin)
6 – Foster Child
7 - Unrelated person
49.
Age - Enter the age (in years) from the final QC determination, of each
50.
Sex - Enter the appropriate code:
household member. For children less than 1 year old, enter 0. For persons
98 and older enter 98. If exact age is unknown, enter the best available
information.
1 - Male
2 – Female
51.
Race - Enter the race of each person living in the household.
This is to collect racial and ethnic data as required by the May 18, 2006
regulation Food Stamp Program: Civil Rights Data Collection. Under the
rules, applicants are asked to voluntarily fill out ethnicity and race on
their applications. Eligibility workers identify information for the
applicant when they have not voluntarily filled out the information. QC
reviewers are to collect only the information that has been recorded on
the application.
Information Not Available
1 – The application was not found during the QC review therefore
racial/ethnic data is not available
2 – Not recorded on the application for this individual
Not Hispanic or Latino
3–
45–
6–
7–
American Indian or Alaska Native
Asian
Black or African American
Native Hawaiian or other Pacific Islander
White
Multiple races reported
8 – (American Indian or Alaska Native) and White
9 – Asian and White
10 – (Black or African American) and White
11 – (American Indian or Alaska Native) and (Black or African American)
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12 – Respondent reported more than one race and does not fit into the
above categories (code 8 through 11)
Hispanic or Latino
13 – (Hispanic or Latino) and (American Indian or Alaska Native)
14 – (Hispanic or Latino) and Asian
15 – (Hispanic or Latino) and (Black or African American)
16 – (Hispanic or Latino) and (Native Hawaiian or Other Pacific Islander)
17 – (Hispanic or Latino) and White
Multiple races reported
18 –
19 –
20 –
21 –
(Hispanic or Latino) and (American Indian or Alaska Native) and White
(Hispanic or Latino) and Asian and White
(Hispanic or Latino) and (Black or African American) and White
(Hispanic or Latino) and (American Indian or Alaska Native) and
(Black or African American)
22 – (Hispanic or Latino) and Respondent reported more than one race and
does not fit into the above categories (code 18 through 21)
52.
Citizenship Status - Enter the appropriate code.
1 - U.S. born citizen
2 - Naturalized Citizen
3 - Legal permanent resident with 40 quarters, military service, five years
legal United States residency, disability, or under 18 years of age.
4 - Reserved
5 - Person admitted as refugee, granted asylum or given a stay of
deportation.
6 - Other eligible non-citizen
7 - Non-citizen legally in US who does not meet one of the above codes and
who is not receiving SNAP benefits but whose income and resources
must be considered in determining benefits.
8 - Other ineligible legal non-citizen (e.g. visitor, tourist, student,
diplomat)
9 - Undocumented non-citizen
10 - Non-citizen, status unknown
99 - Unknown
53.
Educational Level - Enter highest educational level completed for each
member of the household from the final QC determination:
0 - None
1 - Grade 1
2 - Grade 2
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3 - Grade 3
4 - Grade 4
5 - Grade 5
6 - Grade 6
7 - Grade 7
8 - Grade 8
9 - Grade 9
10 - Grade 10
11 - Grade 11
12 - High school diploma or GED*
13 - Post secondary education (e.g. technical education or some college)
14 - College graduate or post-graduate degree
99 - Unknown
If member attended grade 12 but did not graduate, use code 11.
54.
Employment - Enter information on the current employment status of all persons
based on the final QC determination.
First box: Status
1 – Not in labor force and not looking for work
2 – Unemployed and looking for work
3 – Active duty military
4 – Migrant farm laborer
5 – Non-migrant farm laborer
6 – Self-employed, farming
7 - Self-employed, non-farming
8 – Employed by other
Second box: Hours Worked
1
2
3
4
5
55.
–
–
–
–
–
Not employed
1-19 hours per week
20-29 hours per week
30-39 hours per week
40+ hours per week
SNAP Program Work Registration - Enter information on the work registration
status at the time of application, recertification, or when a change is reported of all
persons as known by the State agency based on the final QC determination:
1 - Work Registrant
2 – Federal exemption, physically or mentally unfit for employment
3 - Federal exemption, care of a child under 6 or an incapacitated person
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4 - Federal exemption, working and/or earning the equivalent of 30 hours
per week
5 - Federal exemption, other
56.
SNAP Employment and Training (E&T) Program Status - Enter information
on the current E&T program status of all household members as known by the State
agency based on the final QC determination:
0 - Not participating in any employment and training activity
1 - Participating in non-SNAP E&T activity (such as TANF)
2 - Participating in a SNAP job search/job search training as a mandatory participant
3 - Participating in a SNAP job search/job search training as a voluntary participant
4 - Participating in a SNAP E&T workfare/work experience as a mandatory participant
5 - Participating in a SNAP E&T workfare/work experience as a voluntary participant
6 - Participating in a SNAP E&T education/training (basic education, remedial
education, career/technical education, or other post-secondary) as a mandatory
participant
7 - Participating in a SNAP E&T education/training (Basic education,remedial
education, career/technical education, or other post-secondary) as a voluntary
participant
8 - Participating in other SNAP E&T component as a mandatory participant
9 - Participating in other SNAP E&T component as a voluntary participant
57.
ABAWD Status - An able-bodied adult without dependents (ABAWD) is a nondisabled adult aged 18 through 49 who does not meet an exemption at 7 CFR
273.24(c). An ABAWD who does not meet the work requirement at 273.24(a)(1) is only
eligible for 3 months in a 36-month period-unless the ABAWD resides in an area where
the time limit is temporarily waived, receives a discretionary (12 percent) exemption
from the State, receives 3 additional consecutive months of eligibility under 7 CFR
273.24(e), or becomes exempt. For individuals who have been deemed an ineligible
ABAWD, the reviewer must first document the individual's status under item 47 by
selecting Code 10, then by selecting Code 2 under item 57. To document the ABAWD
status of an individual, enter one of the following codes from the final QC
determination:
1 - Not an ABAWD (meets an exemption at 7 CFR 273.24(c)
2 - Ineligible household member
3 - ABAWD meeting work requirement at 7 CFR 273.24(a)(1)
4 - ABAWD meeting work requirement (in 3 months of eligibility)
5 - ABAWD in waived area
6 - Exempt based on discretionary exemption
58.
Dependent Care Cost - For each child/adult with associated dependent care
expenses enter the amount of the expense that the household is responsible for paying
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using information from the final QC determination. If the cost for more than one
child/adult is combined, divide the cost evenly amongst each child/adult receiving
care.
SECTION 5 – INCOME IDENTIFIED BY HOUSEHOLD MEMBER
This section collects detailed information on known income sources, by type and
amount, based on the final QC determination. Information can be collected on up to
four sources of income for up to ten household members. If income exists but is not
attached to any specific member, assign the income to the payee. Enter all income
amounts rounded to the nearest dollar.
59.
Person Number – Enter the person number from Section 4 for each SNAP
household member with income based on information from the final QC
determination. (This number is assigned in Section 4, item 46).
Source 1
60.
Income Type - (This instruction applies to items 60, 62, 64, and 66). Based on the
final QC determination, identify the type of countable income as listed below for each
type of income received by a SNAP household member.
Earned Income (Not Subsidized)
11 - Wages and salaries
12 - Self-employment
14 - Other earned income
Subsidized Earned Income
16 - Wage supplementation - enter earnings that are above cash
assistance and/or SNAP amount.
Unearned Income
15 - Energy Assistance income
31 - RSDI benefits
32 - Veterans benefits
33 – SSI
34 - Unemployment Compensation
35 - Workmen’s Compensation
36 - Other government benefits
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37 – Foster care income
42 - Contribution
43 - Deemed income
44 - State general assistance or other State-funded welfare (not TANF)
45 - Educational grants/scholarships/loans
46 – Other
47 – TANF
48 - State only diversion payment
49 – Interest income
50 - Court ordered child support payments received from absent
parent or responsible person
99 - Unknown
61.
Amount - (This instruction applies to Items 61, 63, 65, and 67.) Enter the gross
amount of countable income received by the SNAP household member for the
month from the final QC determination.
Source 2
62.
Income Type - Second type of income. See item 60.
63.
Amount - Second amount of income. See item 61.
Source 3
64.
Income Type - Third type of income. See item 60.
65.
Amount - Third amount of income. See item 61.
Source 4
66.
Income Type - Fourth type of income. See item 60.
67.
Amount - Fourth amount of income. See item 61.
SECTION 6 - RESERVED CODING
68. Timeliness of Application Processing (Expedited and 30 Day Requirement)–A
determination of timeliness of application processing is to be made only for cases
when a new application was filed in the current Federal Fiscal Year. If there is more
than one application in the current Fiscal Year, measure timeliness for the most
recent application for or prior to the sample month.
NOTE: Quality control only collects data for timeliness of application
processing measure. Refer to policy guidance on the timeliness measure for
additional information in determining whether a case was processed timely,
not timely, or other as stated below.
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Timeliness of application processing according to Federal processing standards.
A household entitled to expedited service must be provided the opportunity to
participate within 7 days. Households not entitled to expedited service must be
provided the opportunity to participate by the 30th day following the date of
application. A case that meets the applicable Federal processing standard is
coded 1 – timely. A case that fails to meet the applicable Federal processing
standard is coded 2 – not timely.
The following cases should be coded 3- Other: cases where no new application
was filed in the review year, cases with only recertification applications filed
(including those filed within 30 days after the certification period expired), and
cases in which the new application was properly pended for incomplete
verification. Cases in which a new application was improperly pended will be
coded 2 - not timely.
If after a thorough review of case circumstances and records there is no
documentation, application or other information to determine timeliness, the
case should be coded 3. For cases with this problem, every effort should be
made to determine the timeliness of the case before deciding to use the
"Other" code.
Please indicate the appropriate code:
1 – Timely
2 – Not timely
3 - Other
69.
QC Interview – Enter the appropriate code from the following:
1 - Telephonic personal interview with household
2 - No Interview with household - Failure or Refusal to Cooperate OR Not
Subject to Review
3 - No interview with household (Ineligible determination prior to interview)
4 - Alaska – remote area - no interview or telephone interview
5 – Person interviewed in own home
6 – Person interviewed in local office
7 - Person interviewed in mutually agreed upon location
8 – Video interview – person interviewed in own home
9 - Video interview – person interviewed in local office
0 – Video interview – person interviewed in mutually agreed upon location
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70.
Timeliness of Recertification Processing - Use this process to review an active
case in which the most recent application was a recertification. If there is more than
one recertification application, measure for the most recent recertification
application which is for or prior to the sample month.
NOTE: Quality control only collects data for timeliness of recertification processing.
Refer to policy guidance on the timeliness measure for additional information in
determining whether a case was processed timely or not timely as stated below.
Measure the timeliness of recertification application processing according to Federal
processing standards. (The regulations include an application for recertification as an
application taken within 30 days after the certification period expired; these
application should be included for this measure and not the Application Processing
Timeliness Measure.) If there was no recertification processed within the last 12
months prior to the sample month, the case will not be used in the timeless of
recertification rate.
For re-certifications to be considered timely they must either have been 1)
properly determined expedited and allowed to participate within 7 days, or 2)
appropriately determined as not expedited and allowed to participate within
30 days of submitting recertification application. For all cases coded Agency
Caused or Client Cause Not Timely, indicate the cause for the delay. If multiple
causes are identified, indicate the cause that comes first in the list. For
example, if the agency sent out the NOE late and the interview was scheduled
late, the reviewer should use code 11.
Indicate the appropriate code for 70:
01 – Timely
Not Timely – Agency Caused
11 - Agency failed to contact or did not contact client timely. This would
include situations in which the agency failed to contact or did not
contact client timely with notice of expiration (NOE), with recertification
packet, to schedule interview, or to request verification.
12 - Agency lost or misfiled the verification or application for
recertification. This would include any lost or misfiled application
completed or otherwise.
13 - Agency failed to act on completed recertification application.
This would include any completed recertification application that a
caseworker failed to act on for whatever reason.
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Not Timely – Client Caused
24 - Client did not file the recertification application by the 15th of the last
month of the certification period
25 - Client missed the first scheduled interview
26 - Client did not return the required verification timely
27 - Other client caused delay
30 - Benefits issued outside the certification period
40 - Not yet due for recertification
50 - No recertification within the 12 months prior to the sample
month
71.
Allotment Test - Enter the appropriate code that reflects which of the Allotment
Tests (Comparison I or Comparison II) has been recorded in Item #10. Enter one of the
following codes:
1 – Comparison I recorded, Comparison II was not needed
2 – Did Comparison II, recorded Comparison I
3 – Did Comparison II, recorded Comparison II
4 – Comparison I equaled Comparison II
5 – Case ineligible, no Comparison I or Comparison II done
SECTION 7 – OPTIONAL FOR STATE USE
There are 4 lines of spaces available to the State to code additional information.
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APPENDIX D – FNS-245
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APPENDIX D
INSTRUCTIONS FOR COMPLETING FORM FNS-245,
SUPPLEMENTAL NUTRITION ASSISTANCE PROGRAM (SNAP)
CASE AND PROCEDRUAL QUALITY CONTROL REVIEW SCHEDULE
GENERAL INSTRUCTIONS
The CAPER Case Action Review Schedule was developed to serve as the data entry and review
form for CAPER action reviews. It is to be used as both a worksheet and the review schedule.
The schedule consists of five sections as follows:
I
II
III
IV
V
-
Case Management Information
Identifying Information
Analysis of Review Activity
Description of Variances
Explanation of Review Findings
SECTION I - CASE MANAGEMENT INFORMATION
This section provides case management information and household identity.
A.
Case Name - Enter the name of the applicant or recipient whose household’s
B.
Telephone Number - Enter the telephone number of the household.
C.
Mailing Address - Enter the mailing address of the household.
D.
Actual Address/Directions to Locate - Enter the actual address at which
participation was denied, terminated or suspended.
the household resides, if different from the mailing address.
E.
Date Assigned - Enter the month, day, and year (MM DD YYYY) the review
F.
Date Complete/Disposed of - Enter the month, day, and year (MM DD
G.
Date Cleared - Enter the month, day, and year (MM DD YYYY) the supervisor
was assigned to the QC reviewer.
YYYY) the review was finalized; the reviewer’s name/ID entry indicates who
did the review.
cleared the review; the supervisor’s name/ID entry indicates completeness and
approval of the review.
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SECTION II - IDENTIFYING INFORMATION
This section provides identifying information related to the action under review. For all
actions, fill in 1 through 9.
1.
Review Number - Enter the number assigned to the action under review.
2.
Case Number - Enter the case number assigned by the State agency.
3.
State and Local Agency Code:
•
State Agency Code - In the first two blocks, enter your two-digit State code.
These are the codes used by the National Institute of Standards and Technology.
•
Local Agency Code - In the last three blocks, enter the same three-digit code
that the State agency uses to code local agencies for the QC review of active
cases.
4.
Sample Month and Year – Enter the month and year for which the action
5.
Stratum - Enter the two-digit stratum code. Stratum codes are assigned by
6.
Notice Date - Enter the month, day and year (MM DD YYYY) the notice was
7.
Action Date - Enter the month, day and year (MM DD YYYY) the action was
8.
Action Type - Enter the action taken by the State agency using the
was selected for review. The sample month for a action is based upon how the
case was selected for review. State agencies must identify for the reviewer
how cases are sampled so that the appropriate sample month and year are
entered. Each State agency has an FNS approved sample plan.
the State agency when the sample is stratified. If stratum codes are not used
by the State, other information may be entered here as a State option.
sent for the action selected for review. If no notice was sent, enter nines.
taken by the State agency for the action selected for review.
appropriate code as follows:
1 - Denial of SNAP application
2 - Termination of SNAP benefits
3 - Suspension of SNAP benefits
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9.
Case Classification - Enter the appropriate code as follows:
1 - Included in error rate calculation.
2 - Excluded from error rate calculation, processed by SSA worker.
3 - Excluded from error rate calculation, as designated by FNS (e.g. demo project).
SECTION III - ANALYSIS OF REVIEW ACTIVITY
This section provides information regarding the action taken and the analysis of the review of
the action to deny a SNAP application, terminate SNAP benefits or suspend SNAP
participation. For completed cases, fill in 10 through 20. For cases that are not subject to
review fill in 10(a) and 10(b).
10.
Disposition of Review
(a) Disposition - Enter the appropriate code that reflects the disposition
of the review.
1 - Review completed.
2 - Not Subject to Review/Listed in Error. Cases that are not subject to
review are defined in Chapter 13 of the FNS Handbook 310. 10(b) is
required. 11-20 are not required.
3 - Incomplete/Review Not Processed. Prior FNS approval is required for use
of this code.
4 - Case deselected/correction for oversampling. No further codes are
required.
(b) NSTR Reason - Enter the code that accurately reflects the reason this
action has been determined to be Not Subject To Review.
01 - Households that have withdrawn an application prior to the agency’s
determination.
02 - Households that at the time of sampling are under active investigation for
intentional program violation (IPV).
03 - Households that at the time of sampling are scheduled for an IPV
investigation sometime during the next five months.
04 - Households that at the time of sampling are pending an IPV hearing.
05 - Households that have their SNAP case closed when their assigned
certification period ends, i.e., the household is not recertified. The
certification period closure itself is NSTR. (If the household applied for
recertification and, for whatever reason, the recertification application
was denied, that denial is subject to review).
06 - Actions removed from the sample as a result of a correction for
oversampling.
07 - Households that have been sent a notice of pending status but were
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not actually denied participation.
08 - Actions listed in error. This category of actions includes administrative
actions necessitated by a State agency’s certification system and/or
procedures, where there is no intent to deny or terminate a household’s
program benefits, only to correct an administrative fault in the action.
09 - Households denied SNAP benefits under a disaster certification authorized
by FNS.
10 - Actions terminated or suspended for failure to file a complete monthly
report by the extended filing date, but reinstated when subsequently
filed the complete report before the end of the issuance month, and
received the full months’ SNAP benefits.
11 - Households that experience a break in participation due to
computer malfunction or error that is not the result of a deliberate
action by the State agency to terminate benefits. (Use of this code
requires prior approval from FNS)
12 - A suspended action after the initial month of a multi-month
suspension
11.
Finding - Final Analysis of the QC Review of the Action - Enter the
appropriate code to identify if 1) the action taken was appropriate; and 2) the
reason for the action was correct; and 3) the household was notified on a clear,
correct, complete notice with the correct reason for the action.
1 - Valid indicates that all three components were correct.
2 - Invalid indicates that one or more of the three components were
incorrect. For example if 12(b)=2 then the case must be coded invalid.
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12.
Case Record Review
(a) Recorded Reason for Action- Enter the appropriate code to
indicate the reason the action was taken by the State agency as
reflected by the entire case record. This is not necessarily the reason
stated on the notice to the household.
01 02 03 04 05 06 07 08 09 10 11 12 13 14 15 -
Resident of an institution not authorized by FNS
Outside of project area or State
Ineligible striker
Ineligible noncitizen
Ineligible student
Ineligible boarder
Missed scheduled interview(s)
Failed to provide verification
Refusal to cooperate
Refusal to supply SSN
Gross monthly income exceeds maximum allowance
Net Monthly income exceeds maximum allowance
Exceeds resource standard
Transfer of resources
Failure to comply, without good cause, with work registration/job
search requirements
16 - Voluntary quit
17 - Failure to submit/complete report
18 - Voluntary withdrawal after certification
19 - Termination/denial due to TANF termination/denial
20 - Intentional program violation
21 - Termination/denial due to program disqualification
22 - Termination/denial of household of able bodied adult(s) whose
time limited period of SNAP eligibility has expired
23 - Failure to comply, without good cause, with SNAP work
requirements
24 - Eligible for zero benefits
25 - Failure to access EBT benefits
26 - Loss of contact with household
27 - Applicant/household deceased
28 - Not eligible for separate household status
29 - Not eligible due to status as fleeing felon, parole violation, drug
conviction etc.
30 - Reason for denial/termination/suspension not documented
31 – Household received benefits in another SNAP household for same
time period
32 - Household received benefits in another state for the same time
period
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33 – Household received tribal commodities and is not eligible to
receive SNAP benefits
99 – Other
00 – Cannot be determined
(b) Accuracy of Recorded Reason – Enter the appropriate code to
indicate whether the recorded reason for the agency's action was in
accordance with policy and supported by the information in the case
record.
1 - Accurate. The information in the case record supports the reason
given for the agency's action.
2 - Inaccurate. The information in the case record does not support the
reason given for the agency's action.
3 – Insufficient information. There is not enough information in the case
record to determine the accuracy of the recorded reason for action.
13.
Notice Requirements - Enter the appropriate code to indicate if the notice
of denial, termination or suspension was required to be sent and if the notice
was sent.
1234–
14.
Notice was required and sent.
Notice was required and not sent.
No requirement to issue a notice on this action and did send notice.
No requirement to issue a notice on this action and did not send.
Household Notice
(a) Required Language on the Notice of Adverse Action/Denial –
Enter the code that reflects if the notice contains all required language
as specified by the Food and Nutrition Act of 2008, Federal regulations,
and FNS policy memos.
1 – All Required Language/Information Included
2 – All Required Language/Information Not Included
3 – No notice sent to household
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(b) Notice Specific, Clear, and Understandable - Enter the
appropriate code regarding the notice to the household. The notice
must be specific regarding the reason for the action; the explanation of
the action must be clearly understandable. This measure is not to
evaluate the validity of the reason; it is to evaluate the clarity of the
notice.
1 - Yes, the reason for the action stated on the notice is specific, the notice
is clear and the notice is understandable for the action.
2 - No, either the reason for the action stated on the notice is not specific,
or the notice is not clear or the notice is not understandable for the
action; or any combination of the three. A detailed and thorough
explanation is required in Section V.
3 - No notice sent to household.
(c) Reason to HH Enter the appropriate code to indicate the reason for
the action as written on the notice.
01
02
03
04
05
06
07
08
09
10
11
12
13
14
15
-
16
17
18
19
20
21
22
-
23 24 25 -
Resident of an institution not authorized by FNS
Outside of project area or State
Ineligible striker
Ineligible noncitizen
Ineligible student
Ineligible boarder
Missed scheduled interview(s)
Failed to provide verification
Refusal to cooperate
Refusal to supply SSN
Gross monthly income exceeds maximum allowance
Net Monthly income exceeds maximum allowance
Exceeds resource standard
Transfer of resources
Failure to comply, without good cause, with work registration/job search
requirements
Voluntary quit
Failure to submit/complete report
Voluntary withdrawal after certification
Termination/denial due to TANF termination/denial
Intentional program violation
Termination/denial due to program disqualification
Termination/denial of household of able bodied adult(s) whose time
limited period of SNAP eligibility has expired
Failure to comply, without good cause, with SNAP work requirements
Eligible for zero benefits
Failure to access EBT benefits
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26
27
28
29
-
30 31 –
32 –
33 –
99 00 -
Loss of contact with household
Applicant/household deceased
Not eligible for separate household status
Not eligible due to status as fleeing felon, parole violation, drug
conviction etc.
Reason for denial/termination/suspension not documented
Household received benefits in another SNAP household for same time
period
Household received benefits in another state for the same time period
Household received tribal commodities and is not eligible to receive SNAP
benefits
Other
No notice sent to household
(d) Accuracy of Reason on Notice to Household - Enter the
appropriate code to indicate if the reason on the notice to the household
was in accordance with policy and supported by the information in the
case record and if the reason matches 12(a), the recorded reason for the
action.
11 –
12 –
21 –
22 –
00 -
15.
Accurate, matches recorded reason.
Accurate, does not match recorded reason.
Inaccurate, matches recorded reason.
Inaccurate, does not match recorded reason.
No notice sent to household.
Procedural Requirements – This section must be filled out for all
completed reviews.
(a) Notice of Missed Interview – NOMI
1 – Required and completed correctly
2 - Required and not completed correctly
3 - Not required
(b) Request for Contact
1 – Required and completed correctly
2 - Required and not completed correctly
3 - Not required
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(c) Request for Verification
1 – Required and completed correctly
2 - Required and not completed correctly
3 - Not required
(d) Periodic Report
1 – Required and sent to household
2 - Required and not sent to household
3 - Not required
16.
Timeliness of the Action
(a) Timeliness of Action – Enter the appropriate code to identify if
the action was taken within the appropriate timeframes.
1 - Action taken timely
2 - Action taken too early
3 - Action taken late
(b) Number of Days Action Early/Late – If the Action was taken
early or late, enter the number of days early or late. Enter 99 for 99+
days late.
(c) Timeliness of Notice - Enter the appropriate code to identify if
the notice was sent within the appropriate timeframes.
1 – Notice sent timely
2 - Notice sent late
3 – No notice sent
(d) Number of Days Notice Late – If the Notice was sent late, enter
the number of days late. Enter 99 for 99+ days late.
SECTION IV DESCRIPTION OF VARIANCES
This section provides for the description of variances identified in the review. Items 17 and
18 must be completed whenever the final determination for 11 is invalid (code 2).
17.
Element - Enter the appropriate three digit element number of the review
for each variance identified.
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18.
Nature Codes - Enter the appropriate three digit code for the nature of
the identified variance(s). Possible nature codes for the specific Element are
listed below the Element code and title. The nature codes may be used in
any element.
BASIC PROGRAM REQUIREMENTS – (100)
Element 111 - Student Status
Nature codes:
001 002 003 014 015 019 044 096 131 132 133 134 135 136 137 138 139 -
Eligible person(s) excluded
Ineligible person(s) included
Agency failed to follow up on inconsistent or incomplete information
Eligible student incorrect income
Eligible student incorrect student deductions
Eligible student was denied for failing to verify student status which was
previously verified
Failed to consider or incorrectly considered Eligible Student status
Policy incorrectly applied
Eligible student excluded and met exemption - 17 and younger / 50 and older
Eligible student excluded and met exemption - Enrollment as part of Job
Eligible student excluded and met exemption – On-the-job training
Eligible student excluded and met exemption - Employment requirements met
Eligible student excluded and met exemption - Physically or mentally unfit
Eligible student excluded and met exemption - Receiving TANF
Eligible student excluded and met exemption - Responsible for care of child
under 6
Eligible student excluded and met exemption - Single parent, child under 12,
enrolled full time
Eligible student excluded and met exemption - State or Federal Work Study
Element 130 - Citizenship and Non-Citizen Status
Nature codes:
001 002 003 096 140 141 142 143 144 145 -
Eligible person(s) excluded
Ineligible person(s) included
Agency failed to follow up on inconsistent or incomplete information
Policy incorrectly applied
Eligible qualified alien excluded – Amerasians
Eligible qualified alien excluded - Asylees or Deportation Withheld
Eligible qualified alien excluded - Certain American Indians born Abroad
Eligible qualified alien excluded - Children under 18
Eligible qualified alien excluded - Cuban or Haitian Entrant
Eligible qualified alien excluded - Elderly lawfully residing in U.S. age 65 or older
on August 22, 1996
146 - Eligible qualified alien excluded - Hmong or Highland Laotian tribal members
147 - Eligible qualified alien excluded - Individuals receiving benefits for blindness or
disability
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148 149 150 151 152 153 -
Eligible qualified alien excluded - Iraqi or Afghan Special Immigrants
Eligible qualified alien excluded - LPR with 40 qualifying quarters of work
Eligible qualified alien excluded - LPR with living in US 5 years
Eligible qualified alien excluded - military connection
Eligible qualified alien excluded – Refugee
Eligible qualified alien excluded - Victims of Severe Trafficking
Element 140 - Residency
Nature codes:
003 088 096 099 154 -
Agency failed to follow up on inconsistent or incomplete information
Improper denial or termination, not out of the project area
Policy incorrectly applied
Other
Improper denial - Homeless household denied for failing to provide address
Element 150 - Household Composition
Nature codes:
002 003 006 007 008 009 010 011 096 -
Ineligible person(s) included
Agency failed to follow up on inconsistent or incomplete information
Entitled to separate status
Eligible person(s) with no income, resources, or deductible expenses excluded
Eligible person(s) with income excluded
Eligible person(s) with resources excluded
Eligible person(s) with deductible expenses excluded
Newborn infant improperly excluded
Policy incorrectly applied
Element 151 - Recipient Disqualification
Nature codes:
002 - Ineligible person(s) included
018 - Eligible person(s) disqualified
096 - Policy incorrectly applied
Element 160 - Employment & Training Programs
Nature codes:
004 - Agency failed to follow up on known and reported impending changes
018 - Eligible person(s) disqualified
054 - Failure to cooperate with work program when not required to register for work
program
060 - Household not notified of requirement to register with work program
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096 - Policy incorrectly applied
155 - Individual inappropriately sanctioned
Element 161 - Time-limited participation
Nature codes:
004 018 096 156 157 -
Agency failed to follow up on known and reported impending changes
Eligible person(s) disqualified
Policy incorrectly applied
Improper denial - met ABAWD exemption
Months incorrectly calculated
Element 162 - Work Registration Requirements
Nature codes:
001 002 004 096 158 159 160 161 162 163 164 165 -
Eligible person(s) excluded
Ineligible person(s) included
Agency failed to follow up on known and reported impending changes
Policy incorrectly applied
Eligible person(s) excluded - exempt from work requirements - care for
dependent under age 6 or incapacitated person
Eligible person(s) excluded - exempt from work requirements - due to age
Eligible person(s) excluded - exempt from work requirements - employed
Eligible person(s) excluded - exempt from work requirements - participation in
drug addiction or alcohol treatment program
Eligible person(s) excluded - exempt from work requirements - physically or
mentally unfit
Eligible person(s) excluded - exempt from work requirements - received or
applied for unemployment compensation
Eligible person(s) excluded - exempt from work requirements - student enrolled
at least half time
Eligible person(s) excluded - exempt from work requirements - subject to and in
compliance with TANF work requirements
Element 163 - Voluntary Quit/Reduced Work Effort
Nature codes:
016 017 096 166 -
Head of household did not voluntarily quit
Voluntary quit of non-head of household
Policy incorrectly applied
Improper Sanction - entire household sanction for non-head of household
voluntarily quit
167 - Household member met good cause
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Element 164 - Workfare and Comparable Workfare
Nature codes:
018 - Eligible person(s) disqualified
096 - Policy incorrectly applied
155 - Individual inappropriately sanctioned
Element 165 - Employment Status/Job Availability
Nature codes:
004 - Agency failed to follow up on known and reported impending changes
018 - Eligible person(s) disqualified
096 - Policy incorrectly applied
Element 166 - Acceptance of Employment
Nature codes:
003 - Agency failed to follow up on inconsistent or incomplete information
018 - Eligible person(s) disqualified
096 - Policy incorrectly applied
Element 170 - Social Security Number
Nature codes:
018 020 021 096 -
Eligible person(s) disqualified
Good cause for failure/refusal
Social Security Numbers provided
Policy incorrectly applied
RESOURCES – (200)
Liquid Resources
Element 211 - Bank Accounts or Cash on Hand
Nature codes:
003 024 031 074 096 -
Agency failed to follow up on inconsistent or incomplete information
Resource should have been excluded
Incorrect limit applied
Improper denial - resource counted as income
Policy incorrectly applied
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Element 212 - Nonrecurring Lump-sum Payment
Nature codes:
003 004 024 031 074 096 -
Agency failed to follow up on inconsistent or incomplete information
Agency failed to follow up on known and reported impending changes
Resource should have been excluded
Incorrect limit applied
Improper denial - resource counted as income
Policy incorrectly applied
Element 213 - Other Liquid Assets
Nature codes:
003 004 024 031 074 096 -
Agency failed to follow up on inconsistent or incomplete information
Agency failed to follow up on known and reported impending changes
Resource should have been excluded
Incorrect limit applied
Improper denial - resource counted as income
Policy incorrectly applied
Non-Liquid Resources
Element 221 - Real Property
Nature codes:
003 004 024 027 028 029 031 074 096 -
Agency failed to follow up on inconsistent or incomplete information
Agency failed to follow up on known and reported impending changes
Resource should have been excluded
Used for self-employment
Fair market value incorrect
Equity value incorrect
Incorrect limit applied
Improper denial - resource counted as income
Policy incorrectly applied
Element 222 - Vehicles
Nature codes:
003 004 024 027 028 029 031 -
Agency failed to follow up on inconsistent or incomplete information
Agency failed to follow up on known and reported impending changes
Resource should have been excluded
Used for self-employment
Fair market value incorrect
Equity value incorrect
Incorrect limit applied
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074 - Improper denial - resource counted as income
096 - Policy incorrectly applied
Element 224 - Other Non-Liquid Resources
Nature codes:
003 004 024 027 028 029 031 074 096 -
Agency failed to follow up on inconsistent or incomplete information
Agency failed to follow up on known and reported impending changes
Resource should have been excluded
Used for self-employment
Fair market value incorrect
Equity value incorrect
Incorrect limit applied
Improper denial - resource counted as income
Policy incorrectly applied
Element 225 - Combined Resources
Nature codes:
022 023 025 026 030 031 096 097 -
Did not transfer resources
Did not exceed limit
Incorrectly applied resources of non-citizen sponsor
Included resources of a non-household member
Does not exceed prescribed limit
Incorrect limit applied
Policy incorrectly applied
Resource counted as income
INCOME (300)
Earned Income
Element 311 - Wages and Salaries
Nature codes:
003 004 032 033 034 035 036 037 038 -
Agency failed to follow up on inconsistent or incomplete information
Agency failed to follow up on known and reported impending changes
Failed to consider or incorrectly considered income of an ineligible member
Rounding used/not used or incorrectly applied
Income from known/processed source included that should not have been
Household unemployed
Conversion to monthly amount not used or incorrectly applied
Averaging not used or incorrectly applied
MRRB household not temporarily over the limit
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039 041 042 046 096 168 169 170 -
Employment status changed from unemployed to employed
Change only in amount of earnings
Failed to consider/anticipate month with extra pay date
Failed to consider or incorrectly considered reported information
Policy incorrectly applied
Improper income calculation
Improper calculation - Income included holiday or overtime pay
Improper calculation - Income averaged incorrectly
Element 312 - Self-Employment
Nature codes:
003 004 032 033 034 035 036 037 038 039 041 042 046 096 168 170 171 -
Agency failed to follow up on inconsistent or incomplete information
Agency failed to follow up on known and reported impending changes
Failed to consider or incorrectly considered income of an ineligible member
Rounding used/not used or incorrectly applied
Income from known/processed source included that should not have been
Household unemployed
Conversion to monthly amount not used or incorrectly applied
Averaging not used or incorrectly applied
MRRB household not temporarily over the limit
Employment status changed from unemployed to employed
Change only in amount of earnings
Failed to consider/anticipate month with extra pay date
Failed to consider or incorrectly considered reported information
Policy incorrectly applied
Improper income calculation
Improper calculation - Income averaged incorrectly
Income is Self-Employment income - not identified as Self-Employment
Element 313 - Other Earned Income
Nature codes:
003 004 032 033 034 035 036 037 038 039 041 046 096 -
Agency failed to follow up on inconsistent or incomplete information
Agency failed to follow up on known and reported impending changes
Failed to consider or incorrectly considered income of an ineligible member
Rounding used/not used or incorrectly applied
Income from known/processed source included that should not have been
Household unemployed
Conversion to monthly amount not used or incorrectly applied
Averaging not used or incorrectly applied
MRRB household not temporarily over the limit
Employment status changed from unemployed to employed
Change only in amount of earnings
Failed to consider or incorrectly considered reported information
Policy incorrectly applied
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Deductions
Element 321 - Earned Income Deductions
Nature codes:
043 046 096 125 -
Deduction that should have been included was not
Failed to consider or incorrectly considered reported information
Policy incorrectly applied
Deduction applied to earnings after child support exclusion
Element 323 - Dependent Care Deduction
Nature codes:
043 - Deduction that should have been included was not
046 - Failed to consider or incorrectly considered reported information
096 - Policy incorrectly applied
Unearned Income
Element 331 - RSDI Benefits
Nature codes:
003 004 034 046 096 -
Agency failed to follow up on inconsistent or incomplete information
Agency failed to follow up on known and reported impending changes
Income from known/processed source included that should not have been
Failed to consider or incorrectly considered reported information
Policy incorrectly applied
Element 332 - Veterans Benefits
Nature codes:
003 004 034 046 096 -
Agency failed to follow up on inconsistent or incomplete information
Agency failed to follow up on known and reported impending changes
Income from known/processed source included that should not have been
Failed to consider or incorrectly considered reported information
Policy incorrectly applied
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Element 333 - SSI and/or State SSI Supplement
Nature codes:
003 004 034 046 096 -
Agency failed to follow up on inconsistent or incomplete information
Agency failed to follow up on known and reported impending changes
Income from known/processed source included that should not have been
Failed to consider or incorrectly considered reported information
Policy incorrectly applied
Element 334 - Unemployment Compensation
Nature codes:
003 004 034 046 096 -
Agency failed to follow up on inconsistent or incomplete information
Agency failed to follow up on known and reported impending changes
Income from known/processed source included that should not have been
Failed to consider or incorrectly considered reported information
Policy incorrectly applied
Element 335 - Worker's Compensation
Nature codes:
003 004 034 046 096 -
Agency failed to follow up on inconsistent or incomplete information
Agency failed to follow up on known and reported impending changes
Income from known/processed source included that should not have been
Failed to consider or incorrectly considered reported information
Policy incorrectly applied
Element 336 – Other Government Benefits
Nature codes:
003 004 034 046 096 -
Agency failed to follow up on inconsistent or incomplete information
Agency failed to follow up on known and reported impending changes
Income from known/processed source included that should not have been
Failed to consider or incorrectly considered reported information
Policy incorrectly applied
Element 342 – Contributions
Errors in Child Support Payments should not be recorded in this Element. See Element
350.
Nature codes:
003 - Agency failed to follow up on inconsistent or incomplete information
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004 034 046 096 -
Agency failed to follow up on known and reported impending changes
Income from known/processed source included that should not have been
Failed to consider or incorrectly considered reported information
Policy incorrectly applied
Element 343 - Deemed Income
Nature codes:
003 004 034 046 096 -
Agency failed to follow up on inconsistent or incomplete information
Agency failed to follow up on known and reported impending changes
Income from known/processed source included that should not have been
Failed to consider or incorrectly considered reported information
Policy incorrectly applied
Element 344 - TANF, PA OR GA
Nature codes:
003 004 034 046 096 -
Agency failed to follow up on inconsistent or incomplete information
Agency failed to follow up on known and reported impending changes
Income from known/processed source included that should not have been
Failed to consider or incorrectly considered reported information
Policy incorrectly applied
Element 345 - Educational Grants/Scholarships/Loans
Nature codes:
003 004 034 046096 -
Agency failed to follow up on inconsistent or incomplete information
Agency failed to follow up on known and reported impending changes
Income from known/processed source included that should not have been
Failed to consider or incorrectly considered reported information
Policy incorrectly applied
Element 346 - Other Unearned Income
Nature codes:
003 004 034 046 096 -
Agency failed to follow up on inconsistent or incomplete information
Agency failed to follow up on known and reported impending changes
Income from known/processed source included that should not have been
Failed to consider or incorrectly considered reported information
Policy incorrectly applied
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Element 350 - Child Support Payments Received from Absent
Parent
Nature codes:
003 004 034 046 096 111 -
Agency failed to follow up on inconsistent or incomplete information
Agency failed to follow up on known and reported impending changes
Income from known/processed source included that should not have been
Failed to consider or incorrectly considered reported information
Policy incorrectly applied
Child support payments(s) not considered or incorrectly applied for initial
month(s) of eligibility
112 - Retained child support payment(s) not considered or incorrectly applied
127 - Pass through not considered or incorrectly applied
170 - Improper calculation - Income averaged incorrectly
Other Deductions
Element 361 - Standard Deduction
Nature codes:
043 - Deduction that should have been included was not
096 - Policy incorrectly applied
Element 363 - Shelter Deduction
Nature codes:
043 047 051 053 096 -
Deduction that should have been included was not
Failed to consider or incorrectly considered Shelter deductions
Incorrect amount used resulting from a change in residence
Incorrectly prorated
Policy incorrectly applied
Element 364 - Standard Utility Allowance (SUA)
Nature codes:
043 048 050 051 052 053 096 -
Deduction that should have been included was not
Failed to consider or incorrectly considered SUA deductions
Incorrect standard used (not as a result of a change in household size or move)
Incorrect amount used resulting from a change in residence
Incorrect standard used resulting from a change in household size
Incorrectly prorated
Policy incorrectly applied
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Element 365 - Medical Deductions
Nature codes:
043 - Deduction that should have been included was not
045 - Failed to consider or incorrectly considered Medical deductions
096 - Policy incorrectly applied
Element 366 - Child Support Payment Deduction (includes
exclusions)
Nature codes:
040 - Failed to consider or incorrectly considered Child Support deductions
(exclusions)
043 - Deduction (exclusion) that should have been included was not
096 - Policy incorrectly applied
111 - Child support payment(s) not considered or incorrectly applied for initial
month(s) of eligibility
Element 371 - Combined Gross Income
Nature codes:
030 - Does not exceed prescribed limit
031 - Incorrect limit applied
096 - Policy incorrectly applied
Element 372 - Combined Net Income
Nature codes:
030 - Does not exceed prescribed limit
031 - Incorrect limit applied
096 - Policy incorrectly applied
Other
Element 412 - Budgeting System
Nature codes:
063 064 065 096 101 -
Deductions excluded that should not have been
Household improperly participating under retrospective budgeting
Household improperly participating under prospective budgeting
Policy incorrectly applied
Simplified reporting household
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Element 413 - Application
Nature codes:
059 066 073 076 077 078 079 081 082 096 117 -
Household expedited and should have received postponed verification
Improper denial within 30-day period for missing interview(s)
Improper denial - failed to screen for expedited service
Failed to provide expedited service to expedited eligible household
Failed to issue a required Notice of Missed Interview (NOMI)
Denial before the 30th day
Incorrect use of allotment tables
Late denial agency failed to process the application timely
Improper denial for missing interview when interview never scheduled
Policy incorrectly applied
Failed to process the reapplication timely (recertification application)
Element 414 - Joint TANF/SNAP Processing and Reporting
Nature codes:
067 - Improper termination/denial/suspension when TANF was terminated/ denied
068 - Benefits improperly terminated due to non-submission of monthly report
096 - Policy incorrectly applied
Element 415 - Verification
Nature codes:
003 - Agency failed to follow up on inconsistent or incomplete information
004 - Agency failed to follow up on known and reported impending changes
056 - Improper Denial/Termination -failure to provide - verification was received or
was in case file
069 - Improper denial prior to end of timeframe for providing verification
080 - No application or case record information to support
denial/termination/suspension
096 - Policy incorrectly applied
102 - Verification of income requested for a person not associated with current
application
103 - Verification of resources requested for a person not associated with current
application
105 - Verification was in case file
172 - Improper Denial/Termination - failure to provide - case should have been
processed without the deduction
173 - Improper Denial/Termination - failure to provide - categorically eligible
household with deemed eligibility elements
174 - Improper Denial/Termination - failure to provide - failed to send a request for
contact
175 - Improper Denial/Termination - failure to provide – verification requested was for
another program
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176 - Improper Denial/Termination - failure to provide - household never notified of
needed verification
177 - Improper Denial/Termination - failure to provide - household not given at least
10 days to provide
178 - Improper Denial/Termination - failure to provide - prior to the 30th day
Element 416 - Action Type
Nature codes:
070 071 072 096 -
Improper denial or termination when the case should have been suspended
Improper suspension when the case should have been denied or terminated
Improper termination or suspension for failure to meet reporting requirements
Policy incorrectly applied
Element 511 - Other
Nature codes:
005 - Computer programming error
012 - Computer user error (improper use of system or unauthorized process or work
around)
013 - Data entry and/or coding error (includes selection of incorrect codes)
055 - Failure to provide verification for a period of time not associated with current
application
084 - Information reported by a bank or financial institution contact inaccurate
085 - Information reported by a collateral contact inaccurate
086 - Information reported by an employer contact inaccurate
087 - Information reported by a landlord contact inaccurate
095 - Other public assistance case was terminated / denied
096 - Policy incorrectly applied
099 - Other. This code is to be used in situations not covered by the other existing
element codes.
Element 520 - Arithmetic Computation
Nature codes:
061 - Benefit/allotment/eligibility incorrectly computed
062 - Incorrect use of allotment tables
096 - Policy incorrectly applied
Element 530 - Transitional Benefits
Nature codes:
075 - Eligible for transitional benefits
096 - Policy incorrectly applied
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Element 540 - Notices
Nature codes:
049 089 090 091 092 093 094 096 -
Failed to send notice of action
Notice did not include date of intended action
Notice did not include rights of household
Notice not clearly understandable
Notice reason does not match reason for action
Notice was not complete
Notice was sent to wrong address
Policy incorrectly applied
RESERVED
This section provides information for the evaluation of the action and case record. This
section will be completed for all cases by the State agency.
19.
Collateral and/or Household Contact –
Enter the appropriate code which
reflects the decision of the reviewer to make a collateral and/or household contact.
The reason for contacting the collateral source or the household (by telephone or a
letter or in person) must be documented in Section V – Narrative. The narrative
must clearly address the element(s) in question.
01 - No collateral or household contact was conducted.
02 - Telephone contact made to a collateral source - information in case record
regarding an element(s) was not clear and accurate.
03 – Telephone contact made to the household - information in case record
regarding an element(s) was not clear and accurate.
04 - Letter contact made to a collateral source - information in case record
regarding an element(s) was not clear and accurate. The reason for using a
letter must be documented on the FNS-245 Section V and a copy of the letter
included. The letter must clearly address the element(s) in question.
05 – Letter contact made to the household - information in case record regarding
an element(s) was not clear and accurate. The reason for using a letter must
be documented on the FNS-245 Section V and a copy of the letter included.
The letter must clearly address the element(s) in question.
06 - Face-to-face contact made to a collateral source - information in case record
regarding an element(s) was not clear and accurate.
07 – Face-to-face contact made to the household - information in case
record regarding an element(s) was not clear and accurate
20.
Action Initiated By - Enter the appropriate two digit code to indicate the
initial event that prompted the action by the State agency. This information
will be used for administrative purposes and possibly to direct corrective
action.
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01 - Reported information from the household
02 - Reported information from an automated source
03 - Reported information from other source
04 - Application for assistance submitted by the household
05 - Interim report completed by the household
06 - Interim report not submitted07 - Failure to provide requested
information from an application
08 - Failure to provide requested information from an interim report
09 - Re-certification for assistance submitted by the household
10 - Failure to provide requested information from a re-certification
11 – Other
OPTIONAL (FOR STATE SYSTEMS ONLY)
There is one line of spaces available for the State to code information to capture additional
data as designated by the State.
SECTION V EXPLANATION OF REVIEW FINDINGS
This section will be used to document the results of the review. The reviewer must
record information used to determine the validity of the action and, if necessary,
information on the status of the case as of the review date. The reviewer may
document a single element of eligibility or all elements, depending upon the
circumstances of each case. Documentation must be sufficient to support the
reviewer’s decision on the status of the case (both a valid and an invalid
determination) and the identification of any variances, if the action was found to
be invalid.
The narrative should contain a descriptive explanation of the circumstances from
the case record regarding why the action was initiated, what information the
agency used to arrive at the decision, what decision was made, and whether the
notice that was issued was specific, and clearly understandable. QC findings should
summarize the agreement or disagreement with the actions taken by the agency.
The narrative should answer these questions:
If no notice was sent, is it within the certification guidelines to not send a notice?
Did the action taken reflect what was known by the EW?
Did the EW make a mistake?
Did the notice reflect what the EW thought was happening?
Does the notice indicate what happened?
Is the notice clearly understandable and specific about what was happening?
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APPENDIX E
INTERVIEWING GUIDE FOR SNAP
QUALITY CONTROL
Interviewing plays a vital role in the quality control review process. Skillful
interviewing is a means of obtaining accurate, reliable information from SNAP
households and collateral sources. While the reviewer obtains some information
through correspondence; interviews with households and collateral contacts are a
time-consuming portion of the reviewer’s time. Making effective use of this
opportunity to talk with the household and collaterals is an important aspect of the
reviewer’s job.
The interviewing techniques presented here provide a basis of knowledge to use in a
variety of circumstances. These techniques alone cannot make a QC reviewer skilled
at the interview process. Each person’s personality and experience affects how the
techniques learned are applied to the various interview situations. Acquiring these
skills along with preparation and knowledge of the case record before the contact
with the household and collaterals will reduce anxiety and free the reviewer to be
more responsive in the interview situation.
The Nature of Interviewing
An interview differs from a general conversation in that it has a clearly defined
purpose of fact-finding, and is directed by the interviewer to achieve that
objective.
The QC reviewer will face a variety of interviewing situations with:
•
•
•
•
•
•
Households
Businesses
Governmental agencies
Other professionals
Neighbors and acquaintances of the households, and
Others with information about the household circumstances
Building a good rapport with the household and other collateral contacts will aid the
QCR in obtaining needed information and may expedite the review.
Interviews with the household are usually conducted in their home. However, some
may take place in offices, over the telephone, by video conferencing, or at a
mutually agreed upon location.
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Regardless where the interview is held or with whom; the purpose remains the same
– obtaining accurate, factual information for the QC review.
General Rules for Effective Interviews
1.
2.
The reviewer must listen to the other person
The reviewer must create a feeling of trust and confidence with the
household. Fairness and honesty must exist
The household must be put at ease. Some “small talk” might help
The reason for the interview must be clear in the minds of both persons
Words and phrases used must have a common meaning for both persons
The reviewer must give undivided attention to the household. As far as
possible, there should be no interruptions from the telephone or any other
source
3.
4.
5.
6.
Introductions
The initial introduction lays the groundwork for what may become:
•
•
A successful interview, or
A complete refusal
For an interview to be successful, the reviewer must:
•
•
•
Introduce oneself and establish a good relationship with the household
Seek to alleviate the apprehensions or fears that may be present in the
recipient’s mind
Understand and address the typical questions that arise when the household
finds someone at their door claiming to be a Government representative
Step One:
Introduce oneself and explain the reason for the visit.
Although introductions vary somewhat, the language commonly used is:
•
•
•
“My name is (reviewer’s name). I work for SNAP, (reviewer’s state) Public
Assistance Office, (use whatever name used by the local State agency)”
The term “SNAP” and State public assistance office are usually understood.
Identifying the name of your State Agency will help associate the reviewer
as a government representative
By stating “I am with” or “I am working for”; the household can relate to
the reviewer as an ordinary working person with whom they can talk
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•
Referring to a previous call or appointment letter that scheduled the
interview, will also remind the household of the purpose for the reviewer’s
visit
Step Two:
Show your identification card.
•
•
Be sure the recipient has enough time to read it
Showing an official identification will serve to alleviate suspicion and
uncertainty
Next Steps:
Explain the purpose of the visit and make the household aware of the importance of
the interview.
•
•
Leave the description in general terms since the results of the review
depend largely on the spontaneity of the household’s comments
Avoid suggesting possible answers to questions that will be asked
Explain how the participant was randomly selected for the interview. This may be
done somewhat as follows:
•
"Reviews are done in an effort to ensure households are receiving the
correct amount of benefits. Your case was randomly selected through an
automated system for a review”
In Summary:
The introduction should not be a “canned” speech recited the same way each time
it is used.
•
•
Make it natural, conversational, and try to engage the participant and
stimulate their interest
Learn to gain the intuitive “hunches” about what to say to any particular
participant. (This is an acquired skill as an interviewer)
In general, introductions should contain the following elements:
•
•
•
•
Identifying oneself as a SNAP representative
Showing the identification card
Explaining the purpose of the interview and its importance
Explaining how the particular household was chosen
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Creating Rapport
The QC interview is intensive as it seeks to attain a full and spontaneous discussion
of the household’s circumstances. Creating a personal relationship between the
interviewer and the household is a necessary element in every interviewing
situation.
These simple steps will help the household accept the reviewer and respond to them
as person to whom the household can relate on common ground.
•
•
•
•
•
The first impression made by the reviewer during the introduction will
determine to a large degree, the rapport developed with the household,
i.e., the friendliness and trust
The more natural the approach, the better
Dress simply and appropriately
Use a level of language suitable to the interview style
Show a sincere interest in the work and in the household’s answers
Sometimes the reviewer may feel the introduction process alone has not established
her/him firmly enough to proceed at once with the interview.
A common procedure in such situations is talking about a topic in which both
persons have an interest. A good rule in building rapport is talking about things with
which the household is familiar or interested in discussing.
Some things that may help to ease the situation include:
•
•
•
Discussing the weather or the latest baseball scores
Commenting on the household’s garden, or
Being friendly with the children or the family pet
Encouraging Discussion
To be successful, an interview requires management and direction to attain the
desired goals. This may involve taking steps to overcome unresponsiveness when it
occurs, and other measures to achieve a positive two-way flow of communication.
Take the initiative.
•
•
•
Some households will naturally be hesitant at first to discuss their
household circumstances
The reviewer must help the communication process get underway
Initiate the discussion after introductory remarks and the initial
explanation of the interview process
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Provide support.
Offering certain feedback indicates the interviewer is attentive and is attaching
proper importance to what the household is saying.
•
•
•
•
Show the household you want to know what she/he is talking about
Encouragement comes from visual as well as verbal feedback
Encourage the household visually with an expression of interest on your
face, following the conversation of the household, etc.
Encourage the household verbally with brief, interjectory statements to
stir the speaker to say more, such as:
“I see”
“Uh-huh”
“Is that so?”
“Yes, I understand, go on”
Don’t be afraid of silence.
Often, an interviewer may talk too much or move the conversation along too
quickly because they feel uncomfortable when there are moments of silence.
•
•
•
•
Pauses shouldn’t be embarrassing or awkward
Silence often draws people out
Pauses can be valuable if a recipient responded too briefly to a question
Such a pause may be sufficient to encourage the respondent to elaborate
on their answer
Use neutral questions.
Neutral questions may be used to elicit more complete responses to questions.
These are examples of the type of questions that may be used to encourage the
recipient to further explain their response.
•
•
•
“Why do you think that is so?”
“I’d be interested in hearing your reason for that,” or
“Just how do you mean?”
It is best to avoid a blunt “Why?” since it tends to make the household feel that
she/he is being “put on the spot”.
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Repeat the question.
•
•
Repeating the question is a useful device when the household seems
unable to make up her/his mind or strays from the topic
Rephrasing the question may help the household when they seem to
find it difficult to answer a question
Restate.
One technique to encourage discussion is restating what the household or collateral
contact just said.
•
•
The reviewer can end with “Is that correct?”
Restating what the household said has two advantages:
1) The reviewer clearly establishes in her/his own mind what the
household said, and
2) The household may feel compelled to elaborate on any parts of the
answer they think the reviewer didn’t completely understand.
Summarize.
Like restatement, the purpose of summarizing is to validate the correctness of the
information the reviewer has obtained.
•
•
•
Summarizing is especially useful to clarify what was said and prompt the
recipient to expound further on their statement
Summarizing all that has been said will help to clarify information and
overall understanding
Summarizing establishes a basis for further discussion of any issues that
may have arisen
Asking Questions
Since much of interviewing is based on the art of asking questions, the right
questions must be asked in order to obtain appropriate and complete
responses.
Formulating the Question.
Questions should be clear and specific as to the information desired.
•
•
Do not permit an unclear interpretation
Word the question broadly enough to allow a full response
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•
Avoid questions that permit a simple yes or no response, although there
are times when such a response is necessary
When a response is incomplete or vague; a follow-up question is necessary.
Elicit a more precise response by rephrasing with statements such as:
•
•
“I am not clear on the point you made about...,” or
“Will you tell me more about...?”
When the meaning of the response is unclear, repeating the response gives the
household the opportunity to confirm, deny, or clarify their answer. For example:
•
“Did I understand you to say that (whatever the recipient stated) is the
situation?”
When a response is incomplete, misleading, or only hinted at, the reviewer must
probe for more detailed information. This may be done by asking such questions
as:
•
•
•
•
•
•
•
“Why is that so?”
“Can you tell me about that?”
“It seems that you are saying....”
“Will you give me some details about the situation?”
“Then what?”
“Is that so?”
“Tell me more”
Avoiding Pitfalls.
Interviewing can involve some pitfalls related to techniques of asking questions.
Some of the traps to avoid are:
1) When asking questions, the reviewer must not tip off the answers.
•
Give the recipient latitude to make a response
Example:
Do not say, “You do not have any money in the bank, do you?”
Ask instead, “What bank(s) do you use?”
Example:
Do not say “How much is your rent?”
Ask instead, “Tell me about your rental situation.”
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2) Avoid entrapment, unless there is a specific reason to suspect the household is
being untruthful.
Example:
Avoid asking, “In what bank do you have your savings account?”
This applies unless circumstances point to the existence of a
previously unreported bank account.
3) Avoid remarks that can be construed as passing judgment on the recipient or
the household’s responses.
4) Tactfully interrupt the person if necessary to go on to the next question.
Long, elaborate explanations by the household that add excessive detail are
unnecessary.
Listening
Another technique of interviewing is the art of listening. Effective listening
requires considerable practice and involves learning new skills.
The complexity of effective listening is evident considering the reviewer is
engaged in a number of complicated activities simultaneously, including:
•
•
•
•
•
•
Receiving and absorbing the household’s response
Coordinating it with information already received
Evaluating the response
Seeking to establish its meaning in relation to other known facts
Framing a follow-up question; and
Trying to fulfill the overall plan for the interview
Understanding the meaning of the response is enhanced by carefully noting:
•
•
•
The household’s tone of voice
The emphasis given, and
The inflections in their voice
Non-Verbal Communication
In addition to verbal communication, households respond to different forms of nonverbal communication.
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During the course of the interview, both the reviewer and household make
observations about one another about such things as:
•
•
•
•
•
•
•
Manner of dress
Facial expressions
Head-nodding
Posture
Hand gestures
Eye movements, and
Seating arrangements, etc.
If properly interpreted, non-verbal signs may help one better understand the
thoughts expressed. These signs cannot be taken alone at face value. Non-verbal
expressions:
•
•
•
•
May not convey the entire story or the implications we believe they
convey
May support or contradict the verbal message, e.g., the household may
verbally express agreement but show uncertainty or disagreement by their
facial expression
May supplement the verbal expression of the household, particularly when
there are language difficulties
May amplify, underline, and at times, contradict what is conveyed
verbally
The reviewer must be aware of their own thoughts, feelings and expressions. Use
caution that non-verbal signs do not inadvertently convey false impressions to the
household.
Note-Taking
The purpose of the quality control interview is gathering specific factual information.
This lends itself naturally to the practice of note-taking.
Some reviewers are concerned about taking notes during the interview.
•
•
Taking notes is only a problem if it interferes with the flow of
communication by distracting the reviewer from what the household is
saying, or even distracting the household
The reviewer is not expected to accurately remember detailed information,
such as:
Names
Addresses
Telephone numbers
E-9
FNS HANDBOOK 310
Amounts of income and deductions, and
Dates, etc.
•
•
The recipient may have more confidence when he sees the reviewer
writing down what the household is saying
The household may wonder why the reviewer asked for the information in
the first place, or question their sincerity, if the reviewer does not write
down the recipient’s statements
It is a businesslike procedure to take notes in the presence of the household to
maintain the accuracy of the household’s statements.
The reviewer is required to:
•
•
•
Request and obtain verification and documents to be copied or scanned,
necessary to examine the household’s eligibility and benefit allotment, or
Sufficiently document all elements of eligibility necessary to examine the
household’s eligibility and benefit allotment (See Chapter 5), and
Inform the household what information is still needed in writing prior to
the end of the interview
It is a good practice to explain to the household the need for taking notes.
•
•
•
The household may question what the reviewer is writing
Explain this is a way to ensure retention of accurate information
This alerts the household to the note-taking process
The general rule for note-taking is this:
•
•
Do not become preoccupied to the degree that continuous writing becomes
distracting
Do not let note-taking interfere with your attention to what the recipient is
saying
E-10
FNS HANDBOOK 310
Best Practice for Completing Cases: Send the household another reminder of
verification needed when the reviewer returns to his or her office.
After the interview, the reviewer may determine additional information is
needed from the household to complete the review. The reviewer must:
•
•
Make every attempt to obtain that information from the household by calling
and sending a letter
Use collateral contacts if the household does not respond or is unable to
provide the necessary information (See Chapter 5)
Closing the Interview
It is important to leave the household with a favorable impression toward the
reviewer and the agency they represent.
•
•
•
•
Clear up any questions or doubts about the interview expressed by the
household before leaving
Inform the household that any new information provided during the QC
interview that needs to be reported to the local office, still needs to be
reported by the household to the local office in order to meet their reporting
requirements
Ensure the household knows their time was well spent
Express a few words of thanks so the household feels their efforts were
appreciated
E-11
FNS HANDBOOK 310
INDEX
Correct System
A
D
ABAWDs- Able-bodied Adults
without Dependents
7—15, 8—29:30
Acceptance of Employment
8-25
Active Case
1-2
Age
8-1
Alimony Payments
10-9
Allotment Amount
2—8
Allotment Test
6-1
Annualized Income
10-2
Anticipated Income
10-2
AORD- As of the Review Date
1-2
Arbitration
14-1
Arbitration Procedures
14-5
Averaged Income
10-2
Deductions Disallowed at Cert/Recert 11-3
Deemed Income
10-10, C-17, C-35, D-21
Denial
13-2
Dependent care deduction
11-5, C-15,
D-19
Disabled
8-33
Disaster Cases
3-8
Disqualification - Recipient
8-19
Dividends
10-11
Documentation
1-4,1-5, 5-1, 13-13, 15
Drug Convictions
8-22
Duplicate participation
8-14
E
B
Bank Accounts
Beginning Months
Bias
Budget Month
Budgeting
2-1
Earned income deduction
Education(al)
Grants
Income
Loans
Eligibility Test
Employment and Training
Employment Status
Error
Error Determinant Month
Expedited Service
Expired Certification Periods
4-17,5-8,9-4
7-32:33
1-10
1-2
2-3
C
Case Record
1-3,3-1
Cash on Hand
9-1
Categorical Eligibility
1—3:-4, 9-2,10-15
Certification Action
1-4
Certification Errors
2-7
Change
1-4
Change Reporting
1-8,11-17
Change Reporting - $100 Change in
Earned Income
7-5
Child Support
Payment Deduction
11-24
Payments from Absent Parent
10-12
Citizenship
8-2
Collateral Contact
1-4,4-10, 5-7, 8-12
Comparable Workfare
8-28
Comparison I
6-2
Comparison II
6-2
Consolidation/Movement Household
8-12
Contract Income
10-28
Conversion
10-2
11-1,11-5
10-10
10-29
10-29
6-1
8-24
8-26
1-5
1-5
7-36
7-36
F
Federal Mass Changes
7-35
Federal Written Policy
7-38
Field Review
2-1,3-3:5,4-1:2,4-7:8
4-10, 8-29, 10-33
Fleeing Felons
4-2, 8-20:22,13-15
Fluctuating Income
4-17, 10-3,10-15
10-17, 10-23
Form FNS-245 Instructions
D-3:27
Form FNS-380 Instructions
B-18:30
Form FNS-380-1 Instructions
C-5:39
Foster Care Payment
10-11
H
Homeless Shelter Deduction 11-9,11-12:13
i-1
FNS HANDBOOK 310
M
Mass changes
Medical Deduction
Missing Reports
Monthly Reporting
Household
Composition
1-13, 1-16, 2-5:6, 3-5
4-6:7, 4-9, 6-1:2, 7-3:4,
8-6:12, 8-17:18, 8-23,
8-32:33, 10-9, 11-2, 13-5
Consolidation/Movement 8-12:14, 8-16
Interview
4-3:4, 8-11
Verifying
8-8, 9-1, 9-3, 10-1
Separated
8-18:19, 13-15
Transfer/Movement of
Individuals
7-29,8-16
Mortgage
N
Nature Codes
C-9,D-12
Negative
Action
13-1:3
Negative Action Review
13-1:2,13-6:7
Case
1-1,1-3,1-7,1-9
Definitions
13-1
13-1:2
Review date
Suspension
13-2
Negative
1-7
New regulations
7-38
Non-citizen
8-2:5
Non-compliance with other
Means-tested Programs
2-9
Non-liquid Resources
9-1,9-3,9-8
Nonrecurring Lump-sum Payments
9-6
NSTR- Not Subject to Review
Active Cases
3-7
Negative Cases
13-3
I
IEVS- Income and Eligibility
Verification System 4-17, 5-2, 5-4:6,
8-27, 8-31,9-4, 9-6,
10-4:5, 10-6,10-8
Illegal Non-citizens
8-5
Information from a Federal Source
7-37
Initial Month
1-6,7-1,7-6,13-5
Interest
9-2, 9-5, 10-12
Interim Change
1-4, 1-6, 3-1, 3-3,
10-18:19,10-23
Interviewing
E-1
Asking questions
E-6
Closing the interview
E-11
Creating rapport
E-4
Encouraging discussion
E-4
General rules
E-2
Introduce oneself
E-2
Listening
E-8
Non-verbal communication
E-8
Note-taking
E-9
Invalid
13-2, 13-5:11
Issuance month
1-2:3, 1-6:9, 2-3, 2-8,
2-13, 7-1:5, 7-7:9, 7-11, 7-13:14,
7-32, 8-16:18, 10-1, 12-6, 13-5
O
Overissuance
PA or GA- Public Assistance or
General ssistance
1-8, 3-2, 7-4,10-10
Pensions
10-12
Processing Month
1-7
Property Insurance
11-10
Property Taxes
11-9
Prorated Income
7-3,10-3
Prospective Budgeting
1-3,1-8,2-8
Prospective Eligibility
1-8
Public Assistance
1-8
8-26
L
Likely Conclusion
Liquid Resources
Living Arrangement
1-6
P
J
Job Availability
7-33,7-35
11-1,11-18,11-21
7-35:36
1-8:9, 2-6, 7-10:11,
7-33,7-35,10-3
11-9
Q
1-7,1-15,3-7,4-17:18
9-1,9-3:6
8-6
QC Universe
Quality Control Review
Quarterly Reporting
i-2
1-17
1-8
1-9, 7-14
FNS HANDBOOK 310
Simplified Reporting
7-15,7-25
Social Security Changes
7-35
Social Security Numbers
8-31
SSI - Supplemental Security Income
10-8
Stable Income
10-3
Staffing Standards
1-11
Standard Deduction
11-1
Standard Utility Allowance
11-13
Status reporting
7-5,10-26
Student Status
8-2
R
Real property
9-7
Recertification
1-7
Recipient disqualification
8-19
Recording household statements
4-8
Reducing work effort
8-27
Refined calculation for multiple
variances
12-7
Refusal and Failure to cooperate
4-14
Regulatory changes
7-34
Rent
11-9
Rental income
10-12
Repairing a Damaged Home
11-11
Residency
8-5
Resources
Categorical Eligibility
9-2
Combined
9-2
Exempt
9-4
Nonexempt
9-3
Resources of Non-citizen Sponsors
9-4
Resources of Non-household
Members
9-4
That are accessible to the household but
not owned by the household
9-4
That are jointly owned with nonhousehold members
9-4
Transfer of Resources
9-3
Retrospective Budgeting
1-9
Retrospective Eligibility
1-9,10-15
Review date
1-2,1-8, 2-10
RSDI – Retirement Survivors’ and
Disability Insurance Benefits
7-35,10-7
T
TANF- Temporary Assistance for
Needy Families
10-13
Time-limited Participation
8-29
Timeframes – Disposing Cases
1-19
Timeliness of Application Processing C-36
Tolerance Level
1-6, A-1
Transitional Benefits
7-4, 7-27, 13-10
Transmission of Negative case
13-16
U
Underissuance
1-10
Unearned Income
10-7,10-9,10-11,10-15
Union Benefits
10-12
Universe
1-11,1-17
Unoccupied Home
11-10
Unreported Changes
7-6
Utilities
11-11
V
Variance
Vehicles
Verification
Voluntary Quit
S
Sample Month
110
SAVE – Systematic Alien Verification
for Entitlements
7-37
Scholarships
10-11
School Enrollment
8-1
Self-employment
10-6,10-27
Shelter Deduction
11-8
Simple Calculation Method
12-6
1-11
9-8
1-11,5-1
8-26
W
Wages and Salaries
Work Registration
Work Requirements
Workers' Compensation
i-3
10-3
8-22
8-22
10-8
FNS HANDBOOK 310
FNS
310
HANDBOOK
October 2018
| File Type | application/pdf |
| File Title | FNS Handbook 310 |
| Subject | SNAP QC |
| Author | SNAP QCB;USDA;FNS/PAAD: |
| File Modified | 2021-03-26 |
| File Created | 2020-10-02 |