2013 Memorandums

IM-#84      09/20/13

P.O. BOX 2320


The purpose of this memo is to explain the levels of compliance reviews for the Family Support Division and introduce the Family Support Division External Audit Protocol.

Explanation of Audits, Monitoring Visits, and Quality Control Reviews

External Audit Protocol

Explanation of Audits, Monitoring Visits, and Quality Control Reviews:

It is the policy of the Family Support Division (FSD) to fully cooperate with agencies charged with oversight of FSD programs.

All FSD programs are subject to Office of Management and Budget (OMB) A-133 audit. The A-133 audit is also called a single audit. In Missouri, the State Auditor's Office performs these audits on behalf of the federal agencies that provide funds for the programs. These are rigorous audits to determine if the FSD is complying with federal and state requirements. If the auditors find issues that result in questioned costs, the FSD has to repay the federal funds. The audits are performed no less than every three years and may be performed annually when there are identified areas of concern.

Federal agencies such as the United State Department of Agriculture (USDA) Food and Nutrition Service (FNS), Department of Health and Human Services (DHHS) Administration for Children and Families (ACF) and the Centers for Medicare and Medicaid Services (CMS) conduct additional program reviews and monitoring visits.

All of these compliance reviews may result in the FSD developing corrective action plans to address findings, or may result in multi-million dollar repayments to the federal government.

Additionally, the FSD Quality Control/Compliance unit completes internal reviews. They are responsible for reviewing Food Stamp case records for compliance with FNS regulations and reporting the error rate to the FNS. If the QC reported error rate exceeds the federal standard, the FSD has to repay federal funds. The QC unit also reviews MO HealthNet cases for Payment Error Rate Measurement (PERM).

External Audit Protocol:

The Department of Social Services, Division of Finance and Accounting Service –Compliance and Quality Control Unit will oversee all audits and may request information on any on-going audit findings. DFAS-CQC will coordinate all audit requests through FSD's Audit Liaison (AL).

Gary Hinzpeter serves as the FSD AL. All FSD requests for audits and meetings are to be coordinated through the AL. If you receive an initial audit request directly from an audit agency, redirect them to Gary Hinzpeter. His contact information is: 573-751-1385. If he is unavailable please contact Debra Black, at 573-751-3216.

When an audit is scheduled DFAS-CQC will coordinate with FSD's AL. FSD's AL, Gary Hinzpeter, will collaborate with the manager of the unit that is to be audited to determine the best method of communication with the Auditor. The preferred method of information sharing will be dependent upon the scope of the audit.

Once an audit has begun, staff involved in the audit may receive requests for various documents. If you receive a request for documents from an auditor, provide the auditor with the Audit Document Request Form and Instructions. These requests will be routed through the AL for tracking purposes and staff assignment.

Audit reviews are time sensitive. Provide the requested document for an audit as soon as possible. Requested documentation should be provided electronically to the AL. If the information is not available in an electronic format, provide two hard copies: one for the auditor and one to retain in the FSD's audit file.

Staff must comply with all requests from the AL within five (5) business days or less. If requested documentation is not available within this time frame, provide the AL a written explanation for the delay and the expected date it will be provided

Because of the importance to the agency, when a case record is requested for an audit:




2013 Memorandums