![]() |
![]() |
![]() |
![]() |
![]() |
![]() |
||||||||
![]() |
![]() |
|
|||||||||||
![]() |
Home| Services|Working with ACF|Policy/Planning|About ACF|ACF News | Search | |||||||||||
![]() |
![]() |
![]() |
[Code of Federal Regulations]
[Title 45, Volume 2, Parts 200 to 499]
[Revised as of October 1, 1998]
From the U.S. Government Printing Office via GPO Access
[CITE: 45CFR307]
[Page 186-198]
TITLE 45--PUBLIC WELFARE
AND HUMAN SERVICES
PART 307--COMPUTERIZED SUPPORT ENFORCEMENT SYSTEMS
Sec.
307.0 Scope of this part.
307.1 Definitions.
307.5 Mandatory computerized support enforcement systems.
307.10 Functional requirements for computerized support enforcement
systems in operation by October 1, 1997.
307.11 Functional requirements for computerized support enforcement
systems in operation by October 1, 2000.
307.13 Security and confidentiality for computerized support
enforcement systems in operation after October 1, 1997.
307.15 Approval of advance planning documents for computerized support
enforcement systems.
307.20 Submittal of advance planning documents for computerized support
enforcement systems.
[[Page 187]]
307.25 Review and certification of computerized support enforcement
systems.
307.30 Federal financial participation at the 90 percent rate for
statewide computerized support enforcement systems.
307.31 Federal financial participation at the 80 percent rate for
computerized support enforcement systems.
307.35 Federal financial participation at the applicable matching rate
for computerized support enforcement systems.
307.40 Suspension of approval of advance planning documents for
computerized support enforcement systems.
Authority: 42 U.S.C. 652 through 658, 664, 666 through 669A, and
1302.
Source: 49 FR 33260, Aug. 22, 1984, unless otherwise noted.
Sec. 307.0 Scope of this part.
This part implements sections 452(d) and (e), 454(16) and (24),
454A, and 455(a)(1)(A) and (B), and (a)(3)(A) of the Act which
prescribe:
(a) The requirement for computerized support enforcement systems;
(b) The functional requirements that a statewide computerized
support enforcement system must meet;
(c) Security and confidentiality requirements for computerized
support enforcement systems;
(d) The criteria the Office must determine exist prior to approving
an advance planning document (APD);
(e) The requirements and procedures for the submittal of an APD;
(f) The requirement for continuous review of each approved statewide
computerized support enforcement system;
(g) The availability of FFP at the 90 percent rate;
(h) The availability of FFP at the applicable matching rate; and
(i) The conditions under which the Office will suspend approval of
an APD.
[57 FR 47002, Oct. 14, 1992, as amended at 63 FR 44814, Aug. 21, 1998]
Sec. 307.1 Definitions.
(a) Alternative approach to APD requirements means that the State
has developed an APD that does not meet all conditions for APD approval
in Sec. 307.15(b) resulting in the need for a waiver under Sec. 307.5.
(b) Business day means a day on which State offices are open for
business.
(c) Alternative system means the separate manual and/or automated
processes that perform one or more of the required functions separately
from the base system and that interfaces with the base system to ensure
that the State can meet all requirements for purposes of the audit
prescribed in section 403(h) of the Act. These separate processes may
involve geographic areas, such as counties; administrative
jurisdictions, such as courts; or separate means by which the State
meets particular program requirements, e.g., collection of support for
non-AFDC cases.
(d) Alternative system configuration means an alternative to a
comprehensive computerized support enforcement system. It includes a
base system with electronic linkages to an alternative system(s), which
is not part of the State's computerized support enforcement project
(i.e., not the State's sole system effort), but which is necessary to
meet the functional requirements of the statewide, comprehensive
computerized support enforcement system under Sec. 307.10, or
Sec. 307.11.
(e) Base system means the hardware, operational software,
applications software and electronic linkages in an alternative system
configuration which allow the State to monitor, account for and control
all support enforcement services and activities under the State plan.
(f) Certification means approval of an operational computerized
support enforcement system based on a determination that the system has
an efficient and effective design and is comprehensive, except where a
waiver applies.
(g) Comprehensive means that a computerized support enforcement
system meets the requirements prescribed in Sec. 307.10, or Sec. 307.11
of this part, as further defined in the OCSE guideline entitled
``Automated Systems for Child Support Enforcement: A Guide for States.''
(h) Computerized support enforcement system means a comprehensive,
statewide system or an alternative system configuration which
encompasses all political subdivisions within the State and which
effectively and efficiently;
[[Page 188]]
(1) Introduces, processes, accounts for and monitors data used by
the Child Support Enforcement program in carrying out activities under
the State plan; and
(2) Produces utilization and management information about support
enforcement services as required by the State IV-D agency and Federal
government for program administration and audit purposes.
(i) Planning means: (1) The preliminary project activity to
determine the requirements necessitating the project, the activities to
be undertaken, and the resources required to complete the project;
(2) The preparation of an APD;
(3) The preparation of a detailed project plan describing when and
how the computer system will be designed or transferred and adapted; and
(4) The preparation of a detailed implementation plan describing
specific training, testing, and conversion plans to install the computer
system.
(j) The following terms are defined at 45 CFR part 95, subpart F, in
Sec. 95.605:
``Advance Planning Document'';
``Annually Updated APD'';
``Design'' or ``System Design'';
``Development'';
``Enhancement'';
``Implementation Advance Planning Document'';
``Initial APD'';
``Installation'';
``Operation'';
``Planning Advance Planning Document'';
``Requirements Analysis''; and
``Software''.
(k) The definitions found in Sec. 301.1 of this chapter are also
applicable to this part.
[57 FR 47002, Oct. 14, 1992, as amended at 63 FR 44814, Aug. 21, 1998]
Sec. 307.5 Mandatory computerized support enforcement systems.
(a) Basic requirement. (1) By October 1, 1997, each State must have
in effect an operational computerized support enforcement system, which
meets Federal requirements under Sec. 302.85(a)(1) of this chapter, OCSE
will review each system to certify that these requirements are met; and
(2) By October 1, 2000, each State must have in effect an
operational computerized support enforcement system, which meets Federal
requirements under Sec. 302.85(a)(2) of this chapter. OCSE will review
each system to certify that these requirements are met.
(b) Waiver option. A State may apply for a waiver of any functional
requirement in Sec. 307.10, or Sec. 307.11 by presenting a plan for an
alternative system configuration, or a waiver of any conditions for APD
approval in Sec. 307.15(b) by presenting an alternative approach. Waiver
requests must be submitted and approved as part of the State's APD or
APD update.
(c) Conditions for waiver. The Secretary may grant a State a waiver
if:
(1) The State demonstrates that it has an alternative approach to
the APD requirements or an alternative system configuration that enables
the State, in accordance with part 305 of this chapter, to be in
substantial compliance with the other requirements of this chapter; and
either:
(2) The waiver request meets the criteria set forth in section
1115(c) (1), (2) and (3) of the Act; or
(3) The State provides written assurance that steps will be taken to
otherwise improve the State's Child Support Enforcement program.
(d) APD submittal requirements for alternative system configuration.
APDs submitted by States which include requests for waiver for an
alternative system configuration must, in addition to meeting conditions
of Sec. 307.15(b):
(1) Describe the State's base system;
(2) Include a detailed description of the separate automated or
manual processes the State plans to use and how they will interface with
the base system;
(3) Provide documentation that the alternative system configuration
will enable the State to be in substantial compliance with title IV-D of
the Act in accordance with section 403(h) of the Act and implementing
regulations. In addition, if the State is subject to a Notice under
Sec. 305.99 of this part that it did not substantially comply with one
or more of the requirements of title IV-D of the Act, at the time a
waiver request is submitted, the State must:
[[Page 189]]
(i) Demonstrate that the deficiency is not related to or caused by
the performance of the system; or
(ii) Specify the corrective action taken to modify the system if the
system contributed to the deficiency.
(e) APD submittal requirements for alternative approach. APDs
submitted by States which include requests for waiver of conditions for
APD approval in Sec. 307.15(b) must demonstrate why meeting the
conditions is unnecessary or inappropriate.
(f) Review of waiver requests. (1) The Office will review waiver
requests to assure that all necessary information is provided, that all
processes provide for effective and efficient program operation, and
that the conditions for waiver in paragraph (d) of this section are met.
(2) When a waiver is approved, it becomes part of the State's
approved APD. A waiver is subject to the APD suspension provisions in
Sec. 307.40.
(3) When a waiver is disapproved, the APD will be disapproved. The
APD disapproval is a final administrative decision and is not subject to
administrative appeal.
(g) FFP limitations. (1) The provisions of Secs. 307.30 and 307.35
apply to requests for FFP for costs of computerized support enforcement
systems.
(2) FFP for alternative system configurations is further limited as
follows:
(i) FFP is available at the enhanced matching rate for development
of the base system and for hardware, operational system software, and
electronic linkages with the separate components of an alternative
system configuration.
(ii) FFP is available at the applicable matching rate for minor
alterations to the separate automated or manual processes that are part
of an alternative system configuration and for operating costs including
hardware, operational software and applications software of a
computerized support enforcement system.
(iii) FFP is not available for developing new systems or making
major changes and enhancements to separate automated or manual processes
so that alternative system configurations meet conditions for waiver.
[57 FR 47003, Oct. 14, 1992, as amended at 61 FR 67241, Dec. 20, 1996;
63 FR 44814, Aug. 21, 1998]
Sec. 307.10 Functional requirements for computerized support
enforcement systems in operation by October 1, 1997.
At a minimum, each State's computerized support enforcement system
established under the title IV-D State plan at Sec. 302.85(a)(1) of this
chapter must:
(a) Be planned, designed, developed, installed or enhanced in
accordance with an initial and annually updated APD approved under
Sec. 307.15; and
(b) Control, account for, and monitor all the factors in the support
collection and paternity determination processes under the State plan.
At a minimum this must include:
(1) Maintaining identifying information such as social security
numbers, names, dates of birth, home addresses and mailing addresses
(including postal zip codes) on individuals against whom support
obligations are sought to be established or enforced and on individuals
to whom support obligations are owed, and other data as required by the
Office;
(2) Periodically verifying the information on individuals referred
to in paragraph (b)(1) of this section with Federal, State and local
agencies, both intrastate and interstate;
(3) Maintaining data necessary to meet Federal Reporting
Requirements on a timely basis as prescribed by the Office;
(4) Maintaining information pertaining to:
(i) Delinquency and enforcement activities;
(ii) Intrastate, interstate and Federal location of absent parents;
(iii) The establishment of paternity; and
(iv) The establishment of support obligations;
(5) Collecting and distributing both intrastate and interstate
support payments;
(6) Computing and distributing incentive payments to political
subdivisions which share in the cost of funding the
[[Page 190]]
program and to other political subdivisions based on efficiency and
effectiveness if the State has chosen to pay such incentives;
(7) Maintaining accounts receivable on all amounts owed, collected,
and distributed;
(8) Maintaining costs of all services rendered, either directly or
by interfacing with State financial management and expenditure
information;
(9) Accepting electronic case referrals and update information from
the State's title IV-A program and using that information to identify
and manage support enforcement cases;
(10) Transmitting information electronically to provide data to the
State's TANF system so that the IV-A agency can determine (and report
back to the IV-D system) whether a collection of support causes a change
in eligibility for, or the amount of aid under, the AFDC program;
(11) Providing security to prevent unauthorized access to, or use
of, the data in the system;
(12) Providing management information on all IV-D cases under the
State plan from initial referral or application through collection and
enforcement;
(13) Providing electronic data exchange with the State Medicaid
system to provide for case referral and the transfer of the medical
support information specified in 45 CFR 303.30 and 303.31;
(14) Using automated processes to assist the State in meeting State
plan requirements under part 302 of this chapter and Standards for
program operations under part 303 of this chapter, including but not
limited to:
(i) The automated maintenance and monitoring of accurate records of
support payments;
(ii) Providing automated maintenance of case records for purposes of
the management ant tracking requirements in Sec. 303.2 of this chapter;
(iii) Providing title VI-D case workers with on-line access to
automated sources of absent parent employer and wage information
maintained by the State when available, by establishing an electronic
link or by obtaining an extract of the data base and placing it on-line
for access throughout the State;
(iv) Providing locate capability by automatically referring cases
electronically to locate sources within the State (such as State motor
vehicle department, State department of revenue, and other State
agencies), and to the Federal Parent Locator Service and utilizing
electronic linkages to receive return locate information and place the
information on-line to title IV-D case workers throughout the State;
(v) Providing capability for electronic funds transfer for purposes
of income withholding and interstate collections;
(vi) Integrating all processing of interstate cases with the
computerized support enforcement system, including the central registry;
and
(15) Providing automated processes to enable the Office to monitor
State operations and assess program performance through the audit
conducted under section 452(a) of the Act.
[57 FR 47003, Oct. 14, 1992, as amended at 63 FR 44815, Aug. 21, 1998]
Sec. 307.11 Functional requirements for computerized support
enforcement systems in operation by October 1, 2000.
At a minimum, each State's computerized support enforcement system
established and operated under the title IV-D State plan at
Sec. 302.85(a)(2) of this chapter must:
(a) Be planned, designed, developed, installed or enhanced, and
operated in accordance with an initial and annually updated APD approved
under Sec. 307.15 of this part;
(b) Control, account for, and monitor all the factors in the support
collection and paternity determination processes under the State plan.
At a minimum, this includes the following:
(1) The activities described in Sec. 307.10, except paragraphs
(b)(3), (8) and (11); and
(2) The capability to perform the following tasks with the frequency
and in the manner required under, or by this chapter:
(i) Program requirements. Performing such functions as the Secretary
may specify related to management of the State IV-D program under this
chapter including:
[[Page 191]]
(A) Controlling and accounting for the use of Federal, State and
local funds in carrying out the program either directly, through an
auxiliary system or through an interface with State financial management
and expenditure information; and
(B) Maintaining the data necessary to meet Federal reporting
requirements under this chapter in a timely basis as prescribed by the
Office;
(ii) Calculation of Performance Indicators. Enabling the Secretary
to determine the incentive payments and penalty adjustments required by
sections 452(g) and 458 of the Act by:
(A) Using automated processes to:
(1) Maintain the requisite data on State performance for paternity
establishment and child support enforcement activities in the State; and
(2) Calculate the paternity establishment percentage for the State
for each fiscal year;
(B) Having in place system controls to ensure the completeness, and
reliability of, and ready access to, the data described in paragraph
(b)(2)(i)(A)(1) of this section, and the accuracy of the calculation
described in paragraph (b)(2)(i)(A)(2) of this section; and
(iii) System Controls: Having systems controls (e.g., passwords or
blocking of fields) to ensure strict adherence to the policies described
in Sec. 307.13(a); and
(3) Activities described in the Act that were added by the Personal
Responsibility and Work Opportunity Reconciliation Act of 1996, Pub. L.
104-193, not otherwise addressed in this part.
(c) Collection and Disbursement of Support Payments. To the maximum
extent feasible, assist and facilitate the collection and disbursement
of support payments through the State disbursement unit operated under
section 454B of the Act through the performance of functions which, at a
minimum, include the following:
(1) Transmission of orders and notices to employers and other
debtors for the withholding of income:
(i) Within 2 business days after receipt of notice of income, and
the income source subject to withholding from a court, another State, an
employer, the Federal Parent Locator Service, or another source
recognized by the State; and
(ii) Using uniform formats prescribed by the Secretary;
(2) Ongoing monitoring to promptly identify failures to make timely
payment of support; and
(3) Automatic use of enforcement procedures, including procedures
under section 466(c) of the Act if payments are not timely;
(d) Expedited Administrative Procedures. To the maximum extent
feasible, be used to implement the expedited administrative procedures
required by section 466(c) of the Act.
(e) State case registry. Have a State case registry that meets the
requirements of this paragraph.
(1) Definitions. When used in this paragraph and paragraph (f) of
this section, the following definitions shall apply.
(i) Participant means an individual who owes or is owed a duty of
support, imposed or imposable by law, or with respect to or on behalf of
whom a duty of support is sought to be established, or who is an
individual connected to an order of support or a child support case
being enforced.
(ii) Participant type means the custodial party, non-custodial
parent, putative father, or child, associated with a case or support
order contained in the State or Federal case registry.
(iii) locate request type refers to the purpose of the request for
additional matching services on information sent to the Federal case
registry, for example, a IV-D locate (paternity or support establishment
or support enforcement), parental kidnapping or custody and visitation.
(iv) locate source type refers to the external sources a locate
submitter desires the information sent to the Federal case registry to
also be matched against.
(2) The State case registry shall contain a record of:
(i) Every IV-D case receiving child support enforcement services
under an approved State plan; and
(ii) Every support order established or modified in the State on or
after October 1, 1998.
[[Page 192]]
(3) Standardized data elements shall be included for each
participant. These data elements shall include:
(i) Names;
(ii) Social security numbers;
(iii) Dates of birth;
(iv) Case identification numbers;
(v) Other uniform identification numbers;
(vi) Data elements required under paragraph (f)(1) of this section
necessary for the operation of the Federal case registry;
(vii) Issuing State of an order; and
(viii) Any other information that the Secretary may require.
(4) The record required under paragraph (e)(2) of this section shall
include information for every case in the State case registry receiving
services under an approved State plan that has a support order in
effect. The information must include:
(i) The amount of monthly (or other frequency) support owed under
the order;
(ii) Other amounts due or overdue under the order including
arrearages, interest or late payment penalties and fees;
(iii) Any amounts described in paragraph (e)(4) (i) and (ii) of this
section that have been collected;
(iv) The distribution of such collected amounts;
(v) The birth date and, beginning no later than October 1, 1999, the
name and social security number of any child for whom the order requires
the provision of support; and
(vi) The amount of any lien imposed in accordance with section
466(a)(4) of the Act to enforce the order.
(5) Establish and update, maintain, and regularly monitor case
records in the State case registry for cases receiving services under
the State plan. To ensure information on an established IV-D case is up
to date, the State should regularly update the system to make changes to
the status of a case, the participants of a case, and the data contained
in the case record. This includes the following:
(i) Information on administrative and judicial orders related to
paternity and support;
(ii) Information obtained from comparisons with Federal, State or
local sources of information;
(iii) Information on support collections and distributions; and
(iv) Any other relevant information.
(6) States may link local case registries of support orders through
an automated information network in meeting paragraph (e)(2)(ii) of this
section provided that all other requirements of this paragraph are met.
(f) Information Comparisons and other Disclosures of Information.
Extract information, at such times and in such standardized format or
formats, as may be required by the Secretary, for purposes of sharing
and comparing with, and receiving information from, other data bases and
information comparison services, to obtain or provide information
necessary to enable the State, other States, the Office or other Federal
agencies to carry out this chapter. As applicable, these comparisons and
disclosures must comply with the requirements of section 6103 of the
Internal Revenue Code of 1986 and the requirements of section 453 of the
Act. The comparisons and sharing of information include:
(1) Effective October 1, 1998, (or for the child data, not later
than October 1, 1999) furnishing the following information to the
Federal case registry on participants in cases receiving services under
the State plan and in support orders established or modified on or after
October 1, 1998, and providing updates of such information within five
(5) business days of receipt by the IV-D agency of new or changed,
information, including information which would necessitate adding or
removing a Family Violence indicator and notices of the expiration of
support orders:
(i) State Federal Information Processing Standard (FIPS) code and
optionally, county code;
(ii) State case identification number;
(iii) State member identification number;
(iv) Case type (IV-D, non-IV-D);
(v) Social security number and any necessary alternative social
security numbers;
(vi) Name, including first, middle, last name and any necessary
alternative names;
[[Page 193]]
(vii) Sex (optional);
(viii) Date of birth;
(ix) Participant type (custodial party, non-custodial parent,
putative father, child);
(x) Family violence indicator (domestic violence or child abuse);
(xi) Indication of an order;
(xii) Locate request type (optional);
(xiii) Locate source (optional); and
(xiv) Any other information of the Secretary may require.
(2) Requesting or exchanging information with the Federal parent
locator service for the purposes specified in section 453 of the Act;
(3) Exchanging information with State agencies, both within and
outside of the State, administering programs under titles IV-A and XIX
of the Act, as necessary to perform State agency responsibilities under
this chapter and under such programs; and
(4) Exchanging information with other agencies of the State, and
agencies of other States, and interstate information networks, as
necessary and appropriate, to assist the State and other States in
carrying out the purposes of this chapter.
[63 FR 44815, Aug. 21, 1998]
Sec. 307.13 Security and confidentiality for computerized support
enforcement systems in operation after October 1, 1997.
The State IV-D agency shall:
(a) Information integrity and security. Have safeguards on the
integrity, accuracy, completeness of, access to, and use of data in the
computerized support enforcement system. These safeguards shall include
written policies concerning access to data by IV-D agency personnel, and
the sharing of data with other persons to:
(1) Permit access to and use of data to the extent necessary to
carry out the State IV-D program under this chapter; and
(2) Specify the data which may be used for particular IV-D program
purposes, and the personnel permitted access to such data; and
(3) Permit access to and use of data for purposes of exchanging
information with State agencies administering programs under titles IV-A
and XIX of the Act to the extent necessary to carry out State agency
responsibilities under such programs in accordance with section
454A(f)(3) of the Act.
(b) Monitoring of access. Monitor routine access to and use of the
computerized support enforcement system through methods such as audit
trails and feedback mechanisms to guard against, and promptly identify
unauthorized access or use;
(c) Training and information. Have procedures to ensure that all
personnel, including State and local staff and contractors, who may have
access to or be required to use confidential program data in the
computerized support enforcement system are:
(1) Informed of applicable requirements and penalties, including
those in section 6103 of the Internal Revenue Service Code and section
453 of the Act; and
(2) Adequately trained in security procedures; and
(d) Penalties. Have administrative penalties, including dismissal
from employment, for unauthorized access to, disclosure or use of
confidential information.
[63 FR 44816, Aug. 21, 1998]
Sec. 307.15 Approval of advance planning documents for computerized
support enforcement systems.
(a) Approval of an APD. The Office shall not approve the APD and
annually updated APD unless the document, when implemented, will carry
out the requirements of Sec. 307.10, or Sec. 307.11 of this part.
Conditions for APD approval are specified in this section.
(b) Conditions for initial approval. In order to be approvable, an
APD for a statewide computerized support enforcement system described
under Sec. 307.10, or Sec. 307.11 must meet the following requirements:
(1) The APD must represent the sole systems effort being undertaken
by the State in accordance with Sec. 307.10, or Sec. 307.11. If the
State is requesting a waiver under Sec. 302.85 of this chapter, the APD
must specify the conditions for which waiver is requested;
(2) The APD must specify how the objectives of the computerized
support enforcement system in Sec. 307.10, or Sec. 307.11 will be
carried out throughout the State; this includes a projection of
[[Page 194]]
how the proposed system will meet the functional requirements of
Sec. 307.10, or Sec. 307.11 and how the single State system will
encompass all political subdivisions in the State by October 1, 1997, or
October 1, 2000 respectively.
(3) The APD must assure the feasibility of the proposed effort and
provide for the conduct of a requirements analysis study which address
all system components within the State and includes consideration of the
program mission, functions, organization, services and constraints
related to the computerized support enforcement system;
(4) The APD must indicate how the results of the requirements
analysis study will be incorporated into the proposed system design,
development, installation or enhancement;
(5) The APD must contain a description of each component within the
proposed computerized support enforcement system as required by
Sec. 307.10, or Sec. 307.11 and must describe information flows, input
data, and output reports and uses;
(6) The APD must describe the security requirements to be employed
in the proposed computerized support enforcement system;
(7) The APD must describe the intrastate and interstate interfaces
set forth in Sec. 307.10, or Sec. 307.11 to be employed in the proposed
computerized support enforcement system;
(8) The APD must describe the projected resource requirements for
staff, hardware, and other needs and the resources available or expected
to be available to meet the requirements;
(9) The APD must contain a proposed budget and schedule of life-
cycle milestones relative to the size, complexity and cost of the
project which at a minimum address requirements analysis, program
design, procurement and project management; and, a description of
estimated expenditures by category and amount for:
(i) Items that are eligible for funding at the enhanced matching
rate, and
(ii) Items related to developing and operating the system that are
eligible for Federal funding at the applicable matching rate;
(10) The APD must contain an implementation plan and backup
procedures to handle possible failures in system planning, design,
development, installation or enhancement.
(i) These backup procedures must include provision for independent
validation and verification (IV&V) analysis of a State's system
development effort in the case of States:
(A) That do not have in place a statewide automated child support
enforcement system that meets the requirements of the FSA of 1988;
(B) States which fail to meet a critical milestone, as identified in
their APDs;
(C) States which fail to timely and completely submit APD updates;
(D) States whose APD indicates the need for a total system redesign;
(E) States developing systems under waivers pursuant to section
452(d)(3) of the Social Security Act; or,
(F) States whose system development efforts we determine are at risk
of failure, significant delay, or significant cost overrun.
(ii) Independent validation and verification efforts must be
conducted by an entity that is independent from the State (unless the
State receives an exception from OCSE) and the entity selected must:
(A) Develop a project workplan. The plan must be provided directly
to OCSE at the same time it is given to the State.
(B) Review and make recommendations on both the management of the
project, both State and vendor, and the technical aspects of the
project. The IV&V provider must provide the results of its analysis
directly to OCSE at the same time it reports to the State.
(C) Consult with all stakeholders and assess the user involvement
and buy-in regarding system functionality and the system's ability to
meet program needs.
(D) Conduct an analysis of past project performance sufficient to
identify and make recommendations for improvement.
(E) Provide risk management assessment and capacity planning
services.
(F) Develop performance metrics which allow tracking project
completion against milestones set by the State.
[[Page 195]]
(iii) The RFP and contract for selecting the IV&V provider (or
similar documents if IV&V services are provided by other State agencies)
must include the experience and skills of the key personnel proposed for
the IV&V analysis and specify by name the key personnel who actually
will work on the project and must be submitted to OCSE for prior
approval.
(11) The APD must describe each system considered during planning
including the advantages of selecting the proposed solution. If a
transfer system is not selected as the proposed solution, a transfer
system must be among those systems considered. If a system that is
already in place in the State could be enhanced to meet the requirements
for a computerized support enforcement system, that system must be among
the solutions considered;
(12) The APD must contain a cost benefit analysis of the proposed
computerized support enforcement system and all alternatives considered
that describes the proposed improvements to the IV-D program in both
qualitative and quantitative terms;
(13) The APD must specify the basis for determining direct and
indirect costs of the computerized support enforcement system during
development and operation, including the methodology for determining
costs of planning, design, development, installation or enhancement that
are eligible for 90 percent Federal funding versus costs of development
and operations that are eligible for Federal funding at the applicable
matching rate;
(14) The APD must contain a statement indicating the period of time
the State expects to use the proposed computerized support enforcement
system; and
(15) The APD must include any waiver requested in accordance with
Sec. 307.5 of this chapter.
(c) Conditions for approval of annual update. The APD for a
computerized support enforcement system described under Sec. 307.10, or
Sec. 307.11 must be updated annually. In order to be approvable, the
annual update of an APD for a computerized support enforcement system
described under Sec. 307.10 must meet only those requirements of
paragraph (b) of this section that are prescribed by instructions issued
by the Office.
(Approved by the Office of Management and Budget under control number
0960-0343)
[49 FR 33260, Aug. 22, 1984, as amended at 51 FR 37732, Oct. 24, 1986;
55 FR 4379, Feb. 7, 1990; 57 FR 47004, Oct. 14, 1992; 61 FR 67241, Dec.
20, 1996; 63 FR 44816, Aug. 21, 1998]
Sec. 307.20 Submittal of advance planning documents for computerized
support enforcement systems.
The State IV-D agency must submit an APD for a computerized support
enforcement system, approved and signed by the State IV-D Director and
the appropriate State official, in accordance with the submission
process prescribed in 45 CFR part 95, subpart F.
[55 FR 4379, Feb. 7, 1990, as amended at 57 FR 47005, Oct. 14, 1992]
Sec. 307.25 Review and certification of computerized support
enforcement systems.
The Office will review, assess and inspect the planning, design,
development, installation, enhancement and operation of computerized
support enforcement systems developed under Sec. 307.10, or Sec. 307.11
to determine the extent to which such systems:
(a) Meet the requirements found in Sec. 307.15; and
(b) Can be certified as meeting the requirements described in
Sec. 307.10 and in the OCSE guideline entitled ``Automated Systems for
Child Support Enforcement: A Guide for States''.
[57 FR 47005, Oct. 14, 1992, as amended at 63 FR 44817, Aug. 21, 1998]
Sec. 307.30 Federal financial participation at the 90 percent rate for
statewide computerized support enforcement systems.
(a) Conditions that must be met for FFP. During the Federal fiscal
years 1996, and 1997, Federal financial participation is available at
the 90 percent rate in expenditures for the planning, design,
development, installation or enhancement of a computerized support
enforcement system as described in Secs. 307.5 and 307.10 limited to the
amount in an advance planning document, or APDU submitted on or before
[[Page 196]]
September 30, 1995, and approved by OCSE if:
(1) The Office has approved an APD in accordance with Sec. 307.15 of
this part;
(2) The system meets the requirements specified in Sec. 307.10;
(3) The Office determines that the expenditures incurred are
consistent with the approved APD;
(4) The Office determines that the computerized support enforcement
system or alternative system configuration is designed effectively and
efficiently and will improve the management and administration of the
State IV-D plan;
(5) The State IV-D agency agrees in writing to use the system for a
period of time which is consistent with the APD approved by the Office;
and
(6) The State or local government has ownership rights in software,
software modifications and associated documentation that is designed,
developed, installed, or enhanced with 90 percent FFP under this section
subject to the Department of Health and Human Services license specified
in paragraph (c) of this section.
(b) Federal financial participation in the costs of hardware and
proprietary software. (1) Until September 30, 1997, FFP at the 90
percent rate is available in expenditures for the rental or purchase of
hardware for the planning, design, development, installation or
enhancement of a computerized support enforcement system as described in
Sec. 307.10 in accordance with the limitation in paragraph (a) of this
section.
(2) Until September 30, 1997, FFP at the 90 percent rate is
available for expenditures for the rental or purchase of proprietary
operating/vendor software necessary for the operation of hardware during
the planning, design, development, installation or enhancement of a
computerized support enforcement system in accordance with the
limitation in paragraph (a) of this section, and the OCSE guideline
entitled ``Automated Systems for Child Support Enforcement: A Guide for
States.'' FFP at the 90 percent rate is not available for proprietary
application software developed specifically for a computerized support
enforcement system. Sec. 307.35 of this part regarding reimbursement at
the applicable matching rate.)
(c) HHS rights to software. The Department of Health and Human
Services reserves a royalty-free, non-exclusive and irrevocable license
to reproduce, publish or otherwise use, and to authorize others to use
for Federal government purposes, software, software modifications, and
documentation developed under Sec. 307.10. This license would permit the
Department to authorize the use of software, software modifications and
documentation developed under Sec. 307.10 in another project or activity
funded by the Federal government.
(d) Consequences of suspension of the APD. If the Office suspends
approval of an APD in accordance with Sec. 307.40 of this part during
the planning design, development, installation, enhancement or operation
of the system:
(1) The Office shall disallow FFP as of the date the State failed to
comply substantially with the approved APD; and
(2) FFP at the 90 and applicable matching rates is not available in
any expenditures incurred under the APD after the date of the suspension
until the date the Office determines that the State has taken the
actions specified in the notice of suspension described in
Sec. 307.40(a)(2) of this part. The Office will notify the State in
writing upon making such a determination. (See Sec. 307.35(b) regarding
reimbursement for disallowed expenditures under part 95, subpart F of
this title.)
[49 FR 33260, Aug. 22, 1984, as amended at 50 FR 19657, May 9, 1985; 55
FR 4379, Feb. 7, 1990; 57 FR 47005, Oct. 14, 1992; 63 FR 44817, Aug. 21,
1998]
Sec. 307.31 Federal financial participation at the 80 percent rate for
computerized support enforcement systems.
(a) Conditions that must be met for 80 percent FFP. Until September
30, 2001, Federal financial participation is available at the 80 percent
rate to States, Territories and systems defined in 42 U.S.C.
655(a)(3)(B)(iii) [455(a)(3)(B)(iii) of the Act] (hereafter referred to
as
[[Page 197]]
``States'') for expenditures for the planning, design, development,
installation, or enhancement of a computerized support enforcement
system meeting the requirements as described in Secs. 307.5 and 307.10
or 42 U.S.C. Sec. 654(16) [454(16) of the Act], if:
(1) The Office has approved an APD in accordance with Sec. 307.15;
(2) The Office determines that the system meets the requirements
specified in Sec. 307.10, or 42 U.S.C. 654(16) [454(16) of the Act];
(3) The Office determines that the expenditures incurred are
consistent with the approved APD;
(4) The Office determines that the computerized support enforcement
system is designed effectively and efficiently and will improve the
management and administration of the State IV-D plan;
(5) The State IV-D agency agrees in writing to use the system for a
period of time which is consistent with the APD approved by the Office;
and
(6) The State or local government has ownership rights in software,
software modifications and associated documentation that is designed,
developed, installed or enhanced under this section subject to the
Department of Health and Human Services license specified in paragraph
(c) of this section.
(b) Federal financial participation in the costs of hardware and
proprietary software.
(1) Until September 30, 2001, FFP at the 80 percent rate is
available for expenditures for the rental or purchase of hardware for
the planning, design, development, installation, or enhancement of a
computerized support enforcement system as described in Sec. 307.10 or
42 U.S.C. 654(16) [454(16) of the Act].
(2) Until September 30, 2001, FFP at the 80 percent rate is
available for the rental or purchase of proprietary operating/vendor
software necessary for the operation of hardware during the planning,
design, development, installation, enhancement or operation of a
computerized support enforcement system in accordance with the OCSE
guideline entitled ``Automated Systems for Child Support Enforcement: A
Guide for States.'' FFP at the 80 percent rate is not available for
proprietary application software developed specifically for a
computerized support enforcement system. (See Sec. 307.35 regarding
reimbursement at the applicable matching rate.)
(c) HHS rights to software. The Department of Health and Human
Services reserves a royalty-free, non-exclusive and irrevocable license
to reproduce, publish or otherwise use, and to authorize others to use
for Federal government purposes, software, software modifications, and
documentation developed under Sec. 307.10 or 42 U.S.C. 654(16) [454(16)
of the Act]. This license would permit the Department to authorize the
use of software, software modifications and documentation developed
under Sec. 307.10 or 42 U.S.C. 654(16) [454(16) of the Act] in another
project or activity funded by the Federal government.
(d) Consequences of suspension of the APD. If the Office suspends
approval of an APD in accordance with Sec. 307.40 during the planning,
design, development, installation, enhancement or operation of the
system:
(1) The Office shall disallow FFP as of the date the State failed to
comply substantially with the approved APD; and
(2) FFP at the 80 percent and applicable matching rates is not
available in any expenditure incurred under the APD after the date of
the suspension until the date the Office determines that the State has
taken the actions specified in the notice of suspension described in
Sec. 307.40(a). The Office will notify the State in writing upon making
such a determination.
(e) Limitation on 80 percent funding. Federal financial
participation at the 80 percent rate may not exceed $400,000,000 in the
aggregate for fiscal years 1996 through 2001.
(f) Allocation formula. Payments at the 80 percent rate to
individual States, Territories and systems defined in 42 U.S.C.
655(a)(3)(B)(iii) [455(a)(3)(B)(iii) of the Act] (hereafter referred to
as ``States'') will be equal to the sum of:
(1) A base amount of $2,000,000; and
(2) An additional amount defined as the Allocation Factor computed
as follows:
[[Page 198]]
(i) Allocation Factor--an average of the Caseload and Census Factors
which yields the percentage that is used to calculate a State's
allocation of the funds available, less amounts set aside pursuant to
paragraph (f)(1) of this section.
(ii) Caseload Factor--a ratio of the six-year average IV-D caseload
as reported by a State for fiscal years 1990 through 1995 to the total
six-year average IV-D caseload in all States for the same period;
(iii) Census Factor--a ratio of the number of children in a State
with one parent living elsewhere as reported in the 1992 Current
Population Survey--Child Support Supplement to the total number of such
children in all States.
[63 FR 44405, Aug. 19, 1998]
Sec. 307.35 Federal financial participation at the applicable matching
rate for computerized support enforcement systems.
Federal financial participation at the applicable matching rate is
available only in computerized support enforcement systems expenditures
for:
(a) The operation of a system that meets the requirements specified
in Sec. 307.10, or Sec. 307.11 if the conditions for APD approval in
Secs. 307.5 and 307.15 are met; or
(b) Systems approved in accordance with part 95, subpart F of this
title. This may include expenditures for a system which were disallowed
by the Office because the system failed to comply substantially with an
APD approved under Sec. 307.15.
[49 FR 33260, Aug. 22, 1984, as amended at 50 FR 19658, May 9, 1985; 57
FR 47005, Oct. 14, 1992; 63 FR 44817, Aug. 21, 1998]
Sec. 307.40 Suspension of approval of advance planning documents for
computerized support enforcement systems.
(a) Suspension of approval. The Office will suspend approval of the
APD for a computerized support enforcement system approved and developed
under Sec. 307.10, or Sec. 307.11 as of the date that the system ceases
to comply substantially with the criteria, requirements, and other
provisions in the APD, including conditions in Sec. 307.15(b) and the
requirements in Sec. 307.10 or Sec. 307.11 of this part covered under a
waiver granted in accordance with Sec. 307.5. Federal funding will be
disallowed as described in Sec. 307.30(d) and Sec. 307.31(d).
(b) Duration of suspension. The suspension of approval of an APD
under paragraph (a) shall remain in effect until the Office determines
that actions required for Federal funding in the future, as specified in
the notice of suspension, have been taken and the Office so notifies the
State.
[49 FR 33260, Aug. 22, 1984, as amended at 57 FR 47005, Oct. 14, 1992;
63 FR 44405, Aug. 19, 1998; 63 FR 44817, Aug. 21, 1998]
PARTS 308--399 [RESERVED]
[[Page 199]]