[Federal Register: March 11, 2003 (Volume 68, Number 47)]
[Notices]               
[Page 11555-11562]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr11mr03-58]                         

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DEPARTMENT OF HEALTH AND HUMAN SERVICES

Office of the Secretary

 
Office of Budget, Technology and Finance; Statement of 
Organization, Functions, and Delegations of Authority

    Part A, Office of the Secretary, Statement of Organization, 
Functions and Delegations of Authority for the Department of Health and 
Human Services (HHS) is being amended as follows: Chapter AM, Office of 
Budget, Technology and Finance, as last amended at 66 FR 55666-55678, 
dated October 26, 2001. This reorganization will help streamline Office 
functions and better support the Office's ability to meet the goals of 
the President's Management Agenda.
    The changes are as follows:
    1. Under Part A, ``Office of the Secretary,'' delete Chapter AM in 
its entirety and replace with the following:

A. Chapter (AM) Office of Budget, Technology and Finance

    Section AM.00 Mission. The mission of the Office of Budget, 
Technology and Finance (OBTF) is to provide advice and guidance to the 
Secretary on budget, financial management, and information technology, 
and to provide for the direction and coordination of these activities 
throughout the Department.
    Section AM.10 Organization: The Office of Budget, Technology, and 
Finance is headed by the Assistant Secretary for Budget, Technology and 
Finance (ASBTF). The Assistant Secretary for Budget, Technology, and 
Finance is the Departmental Chief Financial Officer (CFO), and reports 
to the Secretary. The office consists of the following components:
    [sbull] Immediate Office of the ASBTF (AM)
    [sbull] Office of Budget (AML)
    [sbull] Office of Information Resources Management (AMM)
    [sbull] Office of Finance (AMS)

Section AM.20. Functions

    1. Immediate Office of the Assistant Secretary for Budget, 
Technology, and Finance/Chief Financial Officer (AM). Provides 
executive direction to OBTF components. The ASBTF is the principal 
adviser to the Secretary on all aspects of budgetary and financial 
management and information technology. By delegation from the 
Secretary, the ASBTF/CFO exercises full Department-wide authority of 
the Secretary in the assigned areas of responsibility to include all 
responsibilities provided by the Chief Financial Officers Act of 1990. 
This includes the approval of the job descriptions and skill 
requirements, and the selection of OPDIV CFOs as well as participation 
with the OPDIV Head in the annual performance plan/evaluation of the 
OPDIV CFO. In addition, the ASBTF/CFO provides Department-wide policy 
guidance on the qualifications, recruitment, performance, training, and 
retention of all financial management personnel. The ASBTF manages the 
Chief Information Officer (CIO) and the CIO's fulfillment of all 
functional responsibilities included in the Clinger-Cohen Act.
    2. Office of Budget (AML). The Office of Budget is headed by a 
Deputy Assistant Secretary for Budget. The Office: (1) Advises and 
supports the Secretary and the Assistant Secretary for Budget, 
Technology and Finance/CFO and oversees the preparation of the 
Departmental budget estimates and forecasts resources required to 
support programs and activities of the Department; (2) analyzes 
budgetary and financial management implications of new or proposed 
legislation, programs or activities; (3) appraises program activities 
and operations in terms of policies, goals and objectives of the 
Department; (4) operates HHS' integrated funding system; (5) recommends 
and administers policies and procedures for allocation and control of 
employment ceilings; (6) develops and executes Department-wide 
procedures relating to implementation and management of the Government 
Performance and Results Act (GPRA); (7) responsible for the Office of 
the

[[Page 11556]]

Secretary activities under the Paperwork Reduction Act; (8) with 
particular reference to the Office of the Secretary (OS), works closely 
with the Office of the Assistant Secretary for Administration and 
Management (OASAM) in coordinating and consolidating the OS budget; (9) 
works closely with OASAM in OS budget operations, the development of 
budget policy and management of positions and financial resources for 
the OS; and (10) reviews proposed recommendation on draft regulations 
and proposed legislation.
    3. Office of Information and Resources Management (AMM). The Deputy 
Assistant for Information Resources Management (DASIRM), who is also 
the HHS Chief Information Officer, heads the Office of Information 
Resources Management (OIRM). OIRM provides the Secretary and the 
Assistant Secretary for Budget, Technology, and Finance (ASBTF) with 
strategic planning, information resources management and technology 
policy, architecture, investment review, and Office of the Secretary 
(OS) computer operations management support. More specifically, OIRM, 
in collaboration with the HHS agencies and Staff Divisions; (1) 
develops and updates the Information Technology Five Year Strategic 
Plan; (2) develops and coordinates information resources management 
policies applicable across the Department and the Office of the 
Secretary, including the creation, handling, storage, dissemination, 
and disposition of information; (3) leads the development and 
implementation of an enterprise information infrastructure across the 
Department; (4) manages risks associated with major information systems 
and information technology; (5) evaluates major investments in 
information technology, and is responsible for their subsequent 
periodic review; (6) guides and oversees the development of information 
systems and communications networks; (7) leads e-government activities; 
and (8) provides data processing and communications equipment for the 
Office of the Secretary and participating HHS agencies, and implements, 
operates, and maintains standards office automation applications 
running on the OS network.
    4. Office of Finance (AMS). The Office of Finance is headed by the 
Deputy Assistant Secretary for Finance who is also the Deputy Chief 
Financial Officer. The Officer of Finance: (1) Advises and supports the 
Secretary and the Assistant Secretary for Budget, Technology, and 
Finance/CFO on all aspects of financial activities across the 
Department; (2) as directed by the Secretary, oversees the design and 
implementation of a unified financial management system for the 
Department consisting of two major components: the Healthcare 
Integrated General Ledger Accounting System (HIGLAS) at the Centers for 
Medicare and Medicaid Services (CMS) and a system for the rest of the 
Department; (3) coordinates CFO activities and reports throughout HHS, 
including the preparation of audited financial statements and the 
preparation of the annual CFO report for submission to the OMB and 
Congress; (4) in coordination with other ASBTF components, participates 
in the clearance/approval process for program information systems that 
provide financial and/or program performance data which are used in 
financial statements; (5) provides advice to the ASBTF/CFO on approval 
of the job descriptions and skills requirements for OPDIV CFOs and on 
the approval of the selection of OPDIV CFOs; (6) provides advice to the 
ASBTF/CFO who participates with each OPDIV Head in the annual 
performance plan/evaluation of the OPDIV's CFO; (7) provides advice to 
the ASBTF/CFO on the qualifications, recruitment, performance, training 
and retention of all financial management personnel; (8) serves as the 
Departmental liaison with GAO, OMB, Treasury, and other Federal 
agencies on financial matters; (9) maintains Departmental finance and 
accounting standards; (10) resolves monetary findings involving 
management systems; (11) directs regional review of cost allocation 
activities; (12) ensures compliance with the Departmental reporting 
requirements of the Federal Managers Financial Integrity Act (FMFIA); 
(13) establishes Departmental policy in the management of Inspector 
General reports and audits; and (14) manages the day-to-day finance and 
accounting activities of the Office of the Secretary and other 
Departmental components as determined by the ASBTF/CFO.

B. Chapter AML, Office of Budget

    Section AML.00 Mission. The Office of Budget provides advice and 
support to the Secretary and the Assistant Secretary for Budget, 
Technology, and Finance on matters pertaining to: Formulation of the 
HHS and President's budgets, management of program assessment and 
performance reporting, presentation of budgets and reconciliation 
legislation to OMB and the Congress, and resolution of issues arising 
from the execution of final appropriations.
    Section AML.10 Organization. The Office of Budget is headed by the 
Deputy Assistant Secretary for Budget who reports to the Assistant 
Secretary Budget, Technology, and Finance/Chief Financial Officer and 
includes the following:

[sbull] Division of Discretionary Programs (AML1)
[sbull] Division of Health Benefits and Income Support (AML3)
[sbull] Division of Budget Policy, Execution and Review (AML4)

Section AML.20 Functions.

    1. Division of Discretionary Programs. The Division:
    a. Provides analytical services and assistance to the Secretary, 
the Assistant Secretary for Budget, Technology, and Finance, and 
Department OPDIV Heads in their budgetary management of the 
Department's principal discretionary programs, including science and 
health services programs administered by the Public Health Service 
components; and social service programs of the Administration for 
Children and Families and the Administration on Aging.
    b. Reviews budgets and related requests for resources, and analyzes 
plans and proposals for new or alternative legislation.
    c. Analyzes proposed regulations, reorganizations, or program 
initiatives to determine their policy, resource and budgetary 
implications.
    d. Proposes recommendations on draft regulations, proposed 
legislation and reorganization proposals.
    e. Proposes budget options and policy in initiatives as necessary 
to achieve program objectives established by the Secretary.
    f. Assists in the development of strategies for the presentation of 
the budget to the Office of Management and Budget and the Congress, and 
develops materials for key Departmental officials who testify at 
hearings before these bodies.
    g. provides guidance to OPDIV's in the formulation of their 
budgets.
    h. Conducts special reviews and analyses to examine assigned OPDIV 
program operations and effectiveness.
    i. Assists in the development of performance plans, reports, and 
program assessments under the Government Performance and Results Act.
    j. Assists in the presentation of the Department's budget to the 
public by developing material for use of Departmental officials, and 
reviews press statements and other public documents for consistency 
with approved budgets and plans.
    2. Division of Health Benefits and Income Support. The Division:

[[Page 11557]]

    a. Provides analytical services and assistance to the Secretary, 
the Assistant Secretary for Budget, Technology, and Finance, and the 
Department OPDIV Heads in the budgetary management of the Department's 
principal entitlement programs including Medicare, Medicaid, Family 
Support Payments and other entitlements in support of children and 
families.
    b. Reviews budget and related requests for resources; analyzes 
plans and proposals for new legislation, regulations, or program 
initiatives to determine their resource and policy implications; 
proposes recommendations for the Deputy Assistant Secretary for Budget 
on budget requests, draft regulations, proposed legislation, and 
reorganization proposals.
    c. Assists the Secretary, the Assistant Secretary for Budget, 
Technology, and Finance and the OPDIV heads in evaluating programs and 
budgetary proposals by developing reliable cost projections for 
legislative and planning proposals, and ensuring that proposals are 
consistent with approval plans and policies.
    d. Coordinates the preparation of budget estimates and forecasts of 
resources required to support the programs and operations of the 
Department.
    e. Reviews reprogramming requests and recommend appropriate action 
to the Deputy Assistant Secretary for Budget.
    f. Provides guidance in budget formulation for the appropriate 
OPDIV.
    g. Conducts special reviews and analyses, and develops options to 
ensure efficient and effective program operations and to encourage 
improvements.
    h. Proposes budget options and policy initiatives as necessary to 
achieve program objectives established by the Secretary.
    i. Assists in the development of strategies for presentation of the 
budget to the Office of Management and Budget and the Congress and 
develops materials for key Department officials who testify at hearings 
before these bodies.
    j. Assists in the development of performance plans, reports, and 
program assessments under the Governmental Performance and Results Act.
    k. Manages the overall allocation of Health Care Fraud and Abuse 
Control (HCFAC) funds.
    3. Division of Budget Policy, Execution and Review. The Division:
    a. Directs the formulation and presentation of the HHS budget by 
developing and promulgating to the OPDIVs and others the policies, 
procedures, guidance, and schedules for preparing budget submissions.
    b. Coordinates the presentation of the Department's budget and 
performance plan to Congress, including preparation and submission of 
justifications, reports, significant items, and crosscutting materials; 
preparation of the Secretary's testimony before the Appropriations 
Committees; and coordination of transcripts, questions for the record, 
and other hearing materials.
    c. Provides advice and analysis to support Department-wide budget 
decision-making.
    d. Maintains active communication with Department budget officers 
with regard to budget events and activities with OMB, GAO, Congress and 
other parties.
    e. Manages a computerized budget information system reflecting data 
on a HHS-wide basis and coordinates OPDIV input into the system.
    f. Provides direct staff support to the Secretary in preparation 
for appropriation hearings and other budget related presentations and 
briefings.
    g. Actively communicates with the Budget and Appropriations 
Committees in the Congress and provides intelligence and analyses of 
budget decisions to senior HHS staff and the Operating Divisions.
    h. Coordinates preparation of guidelines governing reprogrammings, 
transfers between accounts, and other crosscutting funding methods; 
provides recommendations and staff support in managing and processing 
crosscutting funding proposals.
    i. Analyzes and prepares reports on HHS performance in managing FTE 
levels and FTE policy, and provides advice on Department-wide staffing.
    j. Provides leadership and direction in the Department-wide review, 
analysis and appraisal of financial elements of program execution and 
the development and execution of policies related to efficient 
allocation, expenditure and control of funds.
    k. Coordinates and tracks outlay projections: (1) To assist OMB in 
the continuing effort to monitor spending and to thereby improve the 
management of the Government's overall cash and debt operations; and 
(2) in support of formulation of the budget, including the maintenance 
of HHS ceiling controls and the development of outlay estimates shown 
in the President's Budget for controllable programs.
    l. Promulgates Departmental spending policies, especially in the 
event of Continuing Resolutions and possible suspension of operations 
due to the failure of the Congress to enact appropriations on time, and 
works with agency budget officers and the Office of Budget in 
formulating agency funding plans.
    m. Maintains a system of Department-wide budget execution, 
including the management and control of the apportionment of funds in 
accordance with the requirements of the Anti-Deficiency Act and OMB 
regulations; and request and monitors the receipt of Treasury warrants.
    n. Serves as principal staff advisor to the ASBTF on all matters 
involving budget execution.
    o. Acts as liaison on behalf of HHS with the Office of Management 
and Budget, the Treasury Department, the Congressional Budget Office, 
and other agencies on matters involving budget execution.
    p. Responsible for the development and maintenance of a system of 
financial information which involves the collection, organization, and 
maintenance of financial data in electronic form as well as the 
development of reporting mechanisms for making the financial 
information useful and available for decision making.
    q. Reviews and analyzes the budget of the Staff Divisions 
(STAFFDIVS) funded by the General Departmental Management (GDM), Office 
of Inspector General (OIG) and Office of Civil Rights (OCR) 
appropriations. Prepares special analyses of these budgets for use in 
decision-making, particularly for evaluating capacity and determining 
if alternative approaches are feasible. Monitors Congressional 
appropriations hearings in which the GDM STAFFDIVS, OIG and OCR are 
participants.
    r. Works closely with OASAM in planning and formulating the GDM 
budget justification for presentation to the Secretary, Office of 
Management and Budget and the Congress.
    s. Represents the Department in government-wide activities to 
implement the development and implementation of performance measures 
under GRPA and budget-related GPRA performance planning policies, 
requirements and processes. Manages program performance assessment 
activities.
    t. Provides special management review services for selected 
activities.
    u. Provides staff assistance to the Secretary, the Assistant 
Secretary for Budget, Technology and Finance, the Service and Supply 
Funds (SSF) Board of Directors, OPDIV Budget Officers and STAFFDIV 
Heads in the budgetary and

[[Page 11558]]

financial management of the Service and Supply Fund.
    v. Provides for budget policy management and financial integrity of 
the SSF in the provision of Department common use administrative 
services.
    w. Assists in the planning and preparation of the SSF budget for 
presentation to the SSF Board, the Office of Management and Budget, and 
Congress.
    x. Prepares apportionment requests for the Service and Supply fund.

C. Chapter AMMN, Office of Information Resources Management

    AMM.00 Mission. The Office of Information Resources Management 
advises the Secretary and the Assistant Secretary for Budget, 
Technology and Finance on matters pertaining to the use of information 
and related technologies to accomplish Department goals and program 
objectives. The mission of the Office is to establish and provide: 
assistance and guidance on the use of technology-supported business 
process reengineering; investment analysis; performance measurement; 
strategic development and application of information systems and 
infrastructure; policies to provide improved management of information 
resources and technology; and better, more efficient service to our 
clients and employees.
    The Office is responsible for: information resources management 
throughout the Department; representing the Department to central 
management agencies (e.g., the Office of Management and Budget); 
directing the Enterprise Architecture efforts and the enterprise 
solutions across the Department; developing and maintaining the 
Department's information technology architecture; developing and 
establishing Department information technology policies, and advocating 
rigorous methods for analyzing, selecting, developing, operating, and 
maintaining information systems.
    The Office collaborates with the Operating Divisions (OPDIVs) and 
Staff Divisions (STAFFDIVs) of the Department to review and resolve 
policy and management issues, manage risk associated with major 
information systems, evaluate and approve investments in technology, 
monitor adherence to Departmental policy and architectural standards, 
and share best practices. The Office exercises authorities delegated by 
the Secretary to the Deputy Assistant Secretary for Information 
Resources Management, as the CIO for the Department. These authorities 
derive from the Information Technology Management Reform Act of 1996, 
the Paperwork Reduction Act of 1995, the Computer Matching and Privacy 
Act of 1988, the Computer Security Act of 1987, the Government 
Information Security Reform Act (GISRA), the National Archives and 
Records Administration Act of 1984, the Competition in Contracting Act 
of 1984, the Federal Records Act of 1950, OMB Circulars A-130 and A-11, 
Government Printing and Binding Regulations issued by the Joint 
Committee on Printing, and Presidential Decision Directive 63. Section 
AMM.10 Organization. The Office of Information Resources Management 
(OIRM) is supervised by the Deputy Assistant Secretary for Information 
Resources Management/HHS CIO, who reports to the Assistant Secretary 
for Budget, Technology and Finance. The CIO serves as the primary IT 
leader for the Department.
    OIRM consists of the following:

[sbull] Immediate Office (AMM1)
[sbull] Office of IT Policy Development and Implementation (AMM2)
[sbull] Office of OS IT Development and Services (AMM3)
[sbull] Office of HHS Enterprise Operations (AMM4)
[sbull] Office of Information Security Development and Implementation 
(AMM5)

Section AMM.20 Functions

    1. Immediate Office of Information Resources Management--This 
Office supports the DASIRM/CIO, and also provides leadership in OS IT 
issues, HHS IT architecture, use of technology in HHS and the HHS Web 
site. It performs the following functions:
    a. Provides continuous development and implementation of effective 
strategic solutions for enabling the HHS mission. Provides advice and 
counsel to the Secretary and the Assistant Secretary for Budget, 
Technology and Finance.
    b. Provides executive direction to align Departmental strategic 
planning for information resources and technology with the Department's 
strategic business planning.
    c. Provides executive direction to develop and maintain 
Departmental information technology policy and architecture.
    d. Promotes business process reengineering, investment analysis, 
and performance measurement throughout the Department, to capitalize on 
evolving information technology.
    f. Represents the Department in Federal Government-wide initiatives 
to develop policy and implement an information infrastructure.
    g. Provides leadership to the Department's Information Technology 
Investment Review Board (ITIRB) and the Department's Chief Information 
Officers' Advisory Council.
    h. Oversees enterprise IT efforts and any similar OPDIV efforts 
related to architecture, technology and the HHS web site. Provides 
review and guidance to the ITIRB and CIO Council via analyses of 
alternative analyses strategies, standards compliance, architectural 
conformance and technology solutions.
    i. Develops and maintains the HHS-wide Architecture, including the 
business, data, application and technology components. Establishes 
architecture tools and repositories, coordinates with OPDIV 
architectures, develops technical guidance, assists managers of 
applications systems, and coordinates expert working groups to populate 
the architecture.
    j. Advises the HHS ASBTF, agency CIOs and other senior officials on 
matters relating to technology. Leads the development of a department-
wide investment strategy for advanced, innovative technology, and 
reviews agency technology policies, programs, processes and 
capabilities to ensure that HHS technology programs support the 
Department's objectives.
    k. Performs alternative analysis for key emerging and enabling 
technologies. Coordinates or directs pilot project in these areas to 
establish proof of concept, confirm return on investment, or implement 
initial production implementation.
    l. Leads the development of HHS web communications to provide users 
with a single access point for HHS information. Leads the development 
of an enterprise information portal to improve the ability of HHS 
employees to communicate and collaborate with each other.
    2. Office of IT Policy Development & Implementation (OITP)--The 
Office of IT Policy Development & Implementation is primarily 
responsible for IT policy development, capital planning, IT budgeting 
and investment control, Paperwork Reduction Act activities, and IT 
planning and review. The Office performs the following functions:
    a. Works with OPDIV Chief Information Officers (CIOs) to support 
Government-wide initiatives of the Federal CIO Council and to identify 
opportunities for participation and consultation in information 
technology projects with major effects on OPDIV program performance.
    b. OITP provides leadership in the planning, design, and evaluation 
of major Departmental projects and

[[Page 11559]]

oversight throughout project rollout and perform post implementation 
performance assessments.
    c. Assesses risk that major information systems pose to performance 
of program operations and administrative business throughout the 
Department, develops risk assessment policies and standard operating 
procedures and tools, and uses program outcome measures to gauge the 
quality of Departmental information resources management.
    d. Coordinates the Department's strategic planning and budgeting 
process for information technology, and provides direct planning 
development and support to assure that IRM plans support agency 
business planning and mission accomplishment.
    e. Coordinates the activities of the Departmental Information 
Technology Investment Review Board (ITIRB) in assessing and 
prioritizing the Department's major information systems, and in 
analyzing and evaluating IT investment decisions. Reviews OPDIV ITIRB 
implementations, IT capital funding decisions, and use of performance 
metrics to evaluate program for both initial and continued funding.
    f. Develops policies and guidance on information resources and 
technology management, including telecommunications, as required by law 
or regulation or to fulfill CIO responsibilities and Departmental 
initiatives.
    g. Coordinates and supports the Department's Chief Information 
Officer's Advisory Council, whose membership consists of Chief 
Information Officers from OPDIVs.
    h. Representing the Department through participation on interagency 
and Departmental work groups and task forces, as appropriate.
    i. Working with OPDIV Chief Information Officers to identify 
opportunities for administering information management functions and 
telecommunications initiatives with major effects on OPDIV performance. 
OITP provides leadership primarily in defining alternatives for 
acquisition of telecommunications services and coordinating 
implementation of information management initiatives in conjunction 
with the Chief Technology Officer and the Department Architect.
    j. Managing, in accordance with the Paperwork Reduction Act of 
1980, as amended, the OS activities related to the review and approval 
of all public use reports and record-keeping requirements that impose a 
paperwork burden on the public. Developing policies for and managing 
the OS Information Collection Budget. Developing policies and 
procedures for the OS and carrying out analyst and oversight activities 
related to the Department's paperwork burden reductions efforts.
    k. Approving and reporting on computer matching activities as 
required by law through the Departmental Data Integrity Board.
    l. Managing the Departmental printing management, records 
management, and mail management policy programs.
    m. Providing support for special priority initiatives identified by 
the CIO.
    3. Office of OS IT Development and Services--The Office of OS IT 
Development and Services is responsible for providing Network Services, 
Help Desk Services, OS Security, Secretary's Command Center and 
Continuity of Operations Planning (COOP) support, and OS Outreach/
Customer Relationship Management (CRM). It is directed by the CIO for 
the Office of the Secretary. It is also a primary resource for advising 
the CIO on technology implementation, and for piloting CIO special 
programs. The Office of OS IT Development and Services is responsible 
for the following:
    a. Operating, maintaining, and enhancing the OS computer network 
and services, including services for participating HHS organizations.
    b. Implementing and monitoring network policies and procedures, and 
developing plans and budgets for network support services.
    c. Identifying, implementing, and maintaining standard office 
automation applications running on the OS network.
    d. Ensuring reliable, high-performance network services.
    e. Implementing and operating electronic tools to enhance 
Secretarial communications with all HHS personnel.
    f. Coordinating with the STAFFDIVs to develop the OS IT capital 
planning and budgeting processes, providing direct planning support to 
assure that IRM plans support agency business planning and mission 
accomplishment.
    g. Implementing policies and guidance on information resources 
management within the Office of the Secretary for acquisition and use 
of information technology, development of architectural standards for 
interoperability, and coordination of implementation procedures.
    h. Maintaining and operating the inventory of automated data 
processing equipment for the Office of the Secretary.
    i. Operating and maintaining an information technology support 
service (Help Desk) for participating HHS components.
    j. Managing contracts for equipment and support services related to 
the provision of IT services in OS and participating agencies.
    k. Chairing and supporting the Office of the Secretary Information 
Resources Management Policy and Planning Board, an advisory body whose 
membership consists of the Staff Division Chief Information Officers.
    l. Representing OS and/or the Department through participation on 
interagency and Departmental work groups and task forces, as 
appropriate.
    m. Responsible for OS compliance with and implementation of all 
applicable Federal Laws regarding IT Security.
    4. Office of HHS Enterprise Operations--The Office of Enterprise 
Operations is responsible for Applications Development and OIRM 
Business Operations. The Office advises the CIO and OIRM managers on 
all administrative functions and activities, and coordinates the 
strategic planning and budgeting processes for information technology, 
operations and administrative management for the Office of Information 
Resources Management. The Office coordinates e-government efforts 
across the Department, and provides recommendations regarding funding 
of e-government efforts, strategies on agency-specific system 
integration, and reviews new projects for possible redundancy with 
existing e-gov initiatives. It coordinates Department enterprise 
applications with the Chief Department Architect and Chief Technology 
Officer. The Office is responsible for the following:
    Leading Departmental efforts to expand the availability of 
electronic means for conducting business.
    a. Coordinates HHS activities that support the President's 
Management Agenda's objective for E-Government.
    b. Coordinates planning and task tracking across OIRM to ensure 
effective utilization of staff and other resources.
    c. Prepares, manages, integrates and coordinates budget 
formulation, presentation and execution with respect to the Office of 
Information Resources Management. Conducts analyses of budget 
implementation for both the DASIRM. Identifies IT budget related cross-
cutting issues that cross-cut the OPDIVs and STAFFDIVs.
    e. As directed by the DASIRM, prepares staffing forecasts, analyzes 
staffing requirements and utilization, and recommends strategies for 
changes in human capital for OIRM.

[[Page 11560]]

    f. Oversees full life-cycle of OIRM contracts. Works with HHS 
contracting organizations, contractors and other parties to ensure that 
contractual transactions are substantively correct, and to track 
completion of tasks.
    g. Oversees and manages employee performance improvement programs 
to develop and maintain the technical expertise and qualifications of 
employees in OIRM.
    h. Coordinates and directs the Department's IT systems in 
compliance with Section 508 of the Rehabilitation Act (1973).
    5. The Office of HHS Security Development and Implementation--The 
Office of HHS Security Development and Implementation is responsible 
for developing, implementing and administering the program to protect 
the information resources of the Department. This includes management 
and oversight of activities under the Government Information Security 
Reform Act (GISRA), IT critical infrastructure protection (CIP), and 
Department-wide security contracts and high level project management of 
OPDIV security programs, such as corrective action plans and security 
policies. The Office is responsible for the following:
    a. Implementing and administering the program to protect the 
information resources of the Department in compliance with legislation, 
Executive Orders, directives of the OMB, or other mandates requirements 
(e.g., the Clinger-Cohen Act, Presidential Decision Directive 63, OMB 
Circular A-130), the National Security Agency, and other Federal 
agencies.
    b. Directing the development of and implementing cyber security 
policies and guidance for the Department, including requirements for 
employees and contractors who are responsible for systems or data, or 
for the acquisition, management, or use of information resources. 
Updating the HHS Automated Information Systems Security Program and 
book as needed.
    c. Monitoring information system security program activities in the 
Department by reviewing OPDIVs and STAFFDIVs security plans for 
sensitive systems, recommending improvements, and evaluating safeguards 
to protect major information systems, or IT infrastructure.
    d. Responding to requests in conjunction with OMB Circular A-130, 
the Computer Security Act of 1987, and Presidential Decision Directive 
63, or other legislative or mandated requirements related to IT 
security or privacy.
    e. Monitoring all Departmental systems development and operations 
for security and privacy compliance and providing advice and guidance 
to ensure compliance standards are included throughout system life 
cycle development. Reviews Departmental ITIRB and CIO Council business 
cases (as well as OMB circular A-11 requirements) for assurance of 
security and privacy compliance.
    f. Recommending to the CIO to grant or deny programs the authority 
to operate information systems, based on security compliance.
    g. Establishing and leading inter-OPDIV teams to conduct reviews to 
protect HHS cyber and personnel security programs and conduct 
vulnerability assessments of HHS critical assets. This includes regular 
certification of existing systems as well as newly implemented systems.
    h. Reviewing the Department's information resources for fraud, 
waste, and abuse to avoid having redundant resources, in conformance 
with the Clinger-Cohen Act.
    i. Developing, implementing, and evaluating an employee cyber 
security awareness and training program to meet the requirements as 
mandated by OMB Circular A-130 and the Company Security Act.
    j. Establishing and providing leadership to the Subcommittee of the 
HHS CIO Council on Security.
    k. Establishing and leading the HHS Computer Security Incident 
Response Capability team, the Department's overall cyber security 
incident response/coordination center and primary point of contact for 
Federal Computer Incident Response Capability (FedCIRC) and National 
Infrastructure Protection Center (NIPC).

D. Chapter AMS, Office of Finance

    Section AMS.10 Mission. The Office of Finance provides financial 
management advice and leadership to the Secretary and the Assistant 
Secretary for Budget, Technology and Finance, and the Operating 
Divisions' Chief Financial Officers (CFOs).
    Section AMS.20 Organization. The Office of Finance is headed by the 
Deputy Assistant Secretary for Finance (DASF), who is also the Deputy 
Chief Financial Officer, and reports to the Assistant Secretary for 
Budget, Technology and Finance (ASBTF)/Chief Financial Officer (CFO). 
The Office includes the following:

[sbull] Immediate Office (AMS)
[sbull] Office of Financial Policy (AMS1)
[sbull] Program Management and Systems Policy Office (AMS4)
[sbull] Office of Audit Resolution and Cost Policy (AMSA5)

Section AMS.20 Functions

    1. Immediate Office (AMS). The Immediate Office is responsible for 
support and coordination across the Office of Finance in the following 
areas: (1) Standards for financial systems and financial reporting; (2) 
cash and credit management, debt management, payment management 
including disbursement activities and functions, (3) the design and 
development of Department-wide and component financial systems; (4) the 
HHS Financial Management Plan and the HHS Annual Performance and 
Accountability Report; (5) the development of outcome-based financial 
performance measures and plans through facilitation and training forums 
and best practices; (6) coordination with other ASBTF components in the 
clearance/approval process for program information systems that provide 
financial and/or program performance data which are used in financial 
statements; (7) the implementation of a unified financial management 
system across HHS; (8) the preparation of financial statements that 
accurately represent HHS' financial condition; and (9) ensuring 
compliance with the Departmental reporting requirements of the Federal 
Managers Financial Integrity Act (FMFIA). In addition, the Immediate 
Office recommends CFO approval of the job descriptions and skill 
requirements for OPDIV CFOs advises the ASBTF/CFO on the selection of 
OPDIV CFOs; and advises the ASBTF/CFO regarding the annual performance 
plan/evaluation of each OPDIV CFO. The office also provides guidance on 
the qualifications, recruitment, training and retention of all 
financial management personnel.
    2. Office of Financial Policy (AMS1). The Office of Financial 
Policy comprises the Division of Financial Management Policy (DFMP).

Division of Financial Management Policy (AMS11)

    a. Develops Department-wide policies, procedures, and standards for 
financial management areas including cash management, credit 
management, debt management, payment and disbursement activities and 
functions, and promulgates these and related government-wide financial 
management requirements through the Departmental Accounting Manual 
system;
    b. Establishes a financial management planning process for the 
development of strategic and tactical plans, preparation of the 
Department's Annual Financial Management Plan under the CFO Act,

[[Page 11561]]

and provision of guidance and financial management indicators that 
enable that ASBTF/CFO to evaluate the financial management programs and 
activities of the Department;
    c. Provides support to the OPDIVs' Chief Financial Officers for 
financial planning and improvement initiatives;
    d. Serves as principal staff advisors on fiscal and accounting 
policy matters to the Office of Finance;
    e. Maintains liaison with the Office of Management and Budget 
(OMB), the Treasury Department, the General Accounting Office (GAO), 
the General Services Administration and other agencies on all financial 
management policy matters;
    f. Maintains the Department Accounting Manual (DAM) which is the 
official accounting standard for recording and reporting accounting 
transactions;
    g. Provides advice and assistance to OPDIVs and STAFFDIVs on 
financial accounting and related fiscal matters, government-wide 
accounting standards and serves as principal advisor to the DASF as it 
relates to financial statement preparation, audit and financial 
reporting;
    h. Prepares, analyzes, coordinates and assesses financial data 
reflecting financial, accounting and performance information of the 
department financial activities;
    i. Recommends policy and maintains a system for tracking and 
improving cash and credit management and debt collection performance 
throughout the Department;
    j. Prepares the annual HHS report on CFO activities as guided by 
the DASF/Deputy CFO.
    3. Program Management and Systems Policy Office (AMS4). The Program 
Management and Systems Policy Office has the following components:

[sbull] Program Management Office (AMSA)
[sbull] Division of Accounting and Fiscal Policy (AMS41)
[sbull] Division of Financial Systems Policy (AMS42)
    a. Program Management Office (AMSA). The Office is responsible for 
overseeing the design and implementation of a department-wide unified 
financial management system (UFMS) consistent with the Secretary's 
directive. The system consists of two major components: the Healthcare 
Integrated General Ledger Accounting System (HIGLAS) at the Centers for 
Medicare and Medicaid Services (CMS) and a system for the rest of the 
Department. The office's responsibilities include:
    (1) Overseeing the design, development, and implementation of the 
UFMS and the development of life-cycle and budgetary plans;
    (2) Monitoring the milestones and schedules as well as budget 
expenditures;
    (3) The meditation and coordination of UFMS activities throughout 
all levels of HHS;
    (4) Ensuring that the UFMS complies with applicable Federal 
accounting concepts and standards, as well as all HHS accounting 
policies and procedures;
    (5) Ensuring that business requirements are met, the future 
direction of the initiative is consistent with HHS planning, and the 
status of the project is appropriately communicated to internal and 
external organizations;
    (6) Overseeing a comprehensive program of change management that 
includes addressing department communication, training plans and human 
resource issues;
    (7) Coordinating with workgroups to maximize the input from the 
cross-functional areas of HHS into the implementation process; and
    (8) Overseeing all risk management plans to ensure that risks to 
the Program are identified and effective mitigation strategies 
developed.
    b. Division of Accounting and Fiscal Policy (AMS41) The Division:
    (1) Develops uniform business rules, data standards and accounting 
policy and procedures in support of new financial systems 
implementations. Ensures the development of ongoing accounting policy 
that further supports the consistent development and implementation of 
these systems;
    (2) In collaboration with the Office of Financial Policy, provides 
advice and assistance to OPDIVs and STAFFDIVs on financial accounting 
and related fiscal matters, and advises the DASF on such matters as 
they related to financial systems implementations; anD
    (3) Maintains liaison with the Office of Management and Budget 
(OMB), the Treasury Department, the General Accounting Office (GAO), 
and other agencies on accounting and fiscal years matters as they 
relate to financial systems implementations.
    c. Division of Financial Systems Policy (AMS42) The Division:
    (1) Develops department-wide policies and standards for financial 
and mixed financial systems;
    (2) Provides advice and serves as the focal point with OMB, 
Treasury, GAO and other Federal control agencies on financial systems 
compliance matters;
    (3) Provides for the establishment of Department-wide financial 
definitions and data structures;
    (4) Provides for the administration of a data integrity and quality 
control program to ensure compliance with applicable Federal 
directives, Departmental financial systems policy and automated 
financial data exchange requirements;
    (5) Oversees and monitors existing Department-wide and component 
accounting and financial management systems;
    (6) In collaboration with the Office of Financial Policy, advises 
the DASF on financial systems related matters; and
    (7) Maintains liaison with the OMB, Treasury, GAO and other 
agencies on matters involving financial systems.
    4. Office of Audit Resolution and Cost Policy (AMS5). The Office of 
Audit Resolution and Cost Policy provides leadership in the areas of 
resolving cross-cutting audit findings and managing cost policy. The 
Office has functional responsibility for cost principles and 
Department-wide cost policies and procedures affecting grants and 
contracts. It performs the following functions.
    a. Serves as the Departmental liaison and maintains working 
relationships with OMB and other Federal agencies in the development of 
government-wide cost principles and Department-wide audit resolution 
policies; maintains similar relationships with associations of State, 
universities and other grantee and contractor organizations;
    b. Reviews and resolves audit reports containing monetary and/or 
systemic findings of grantee and contractor organizations affecting the 
programs of more than one Operating or Staff Division or Federal 
agency. Conducts or arranges for additional reviews as needed;
    c. Coordinates where necessary with other affected Federal agencies 
to establish a uniform Federal position on the actions needed to be 
taken and negotiates resolution on behalf of all Federal Departments 
and agencies;
    d. When deemed necessary to protect the interests of the 
Department, makes recommendations to the Secretary, the ASBTF and other 
officials on safeguards or other actions against a grantee or 
contractor, where the organization is unwilling or unable to correct 
serious deficiencies in a timely manner;
    e. Provides and arranges for technical assistance and/or training 
programs to grantee, contractors, and other Operating and Staff 
divisions on audit resolution, cost reimbursement and financial 
management of grants and contracts;
    f. Upon request, reviews and approves accounting or other systems 
developed

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by grantees and contractors to meet Federal cost principle 
requirements;
    g. Establishes and monitors policy regarding audit issuance, 
follow-up and resolution for the Department in support of the function 
of the HHS audit followup official as required by OMB Circular A-50;
    h. Coordinates status of final action on OS audits with the ASBTF 
Office of Budget; and
    i. Prepares Management Report and Final Action for the Performance 
and Accountability Report.
    II. Delegation of Authority--All delegations and redelegations of 
authority made to officials and employees of affected organizational 
components will continue in them or their successors pending further 
redelegation, provided they are consistent with this reorganization.

    Dated: February 28, 2003.
Ed Sontag,
Assistant Secretary for Administration and Management.
[FR Doc. 03-5722 Filed 3-10-03; 8:45 am]

BILLING CODE 4150-04-M