Exhibit C1 - Automated Systems for Child Support Enforcement A Guide for States~1.pdf

AUTOMATED SYSTEMS FOR

CHILD SUPPORT ENFORCEMENT:

A GUIDE FOR STATES

UPDATED 2017

U. S. DEPARTMENT OF HEALTH & HUMAN SERVICES

Administration for Children and Families

Office of Child Support Enforcement

Division of State and Tribal Systems

26DPP01287 T2314 - NJKiDS Application Maintenance and Support for NJ ACSES

Automated Systems for Child Support Enforcement:

A Guide for States Updated 2017

Preface

The federal Office of Child Support Enforcement (OCSE) developed this Child Support Enforcement Systems Guide to support states in the development of comprehensive, statewide automated child support systems. OCSE has updated this Guide to reflect changes in federal law, regulations, and policy since the last update to the Guide in 2009.

OCSE welcomes comments and suggestions from those using this Guide. Comments may be sent to:

Office of Child Support Enforcement

Director, Division of State and Tribal Systems

330 C Street SW, 5th Floor

Washington, DC 20201

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Table of Contents

PREFACE

CHAPTER I: INTRODUCTION

A. BACKGROUND AND OBJECTIVES

B. AUTHORITY

C. USING THIS GUIDE

CHAPTER II: GENERAL REQUIREMENTS

A. DEFINITIONS

B. TERMINOLOGY

CHAPTER III: CHILD SUPPORT ENFORCEMENT SYSTEMS REQUIREMENTS

A. CASE INITIATION

B. LOCATE

C. ESTABLISHMENT

D. CASE MANAGEMENT

E. ENFORCEMENT

F. FINANCIAL MANAGEMENT

G. REPORTING

H. SECURITY AND PRIVACY

I. CUSTOMER SERVICE

J. NEW TECHNOLOGIES

APPENDIX A: GUIDANCE IN PREPARING FOR CERTIFICATION REVIEWS

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Chapter I: Introduction

A. BACKGROUND AND OBJECTIVES

The Department of Health and Human Services (HHS), Administration for Children and Families (ACF) provides national leadership and direction in planning, managing, and coordinating the nationwide administration and financing of a broad range of comprehensive and supportive programs for children and families including child support.

State and local agencies in large part carry out the child support program. The federal Office of Child Support Enforcement (OCSE) retains the responsibility to monitor and evaluate programs to ensure that they are being operated as intended by law and regulation and that the expenditure of federal funds is made in accordance with federal regulation.

Since 1981, OCSE has supported the development of automated information systems for child support programs by providing enhanced federal financial participation (FFP) (up to 90 percent).

This support provides states with the financial resources to develop and acquire cost effective automated systems that meet the requirements of law. Despite the availability of FFP, state development and implementation of compliant child support systems was slow.

To stimulate development, Congress passed the Family Support Act of 1988 (FSA 88 Public Law (P.L.) 100-485), enacted October 13, 1988, mandating the implementation of automated child support systems in every state; requiring that such systems be fully operational not later than October 1, 1995; and rescinding enhanced FFP for child support system development and equipment costs effective September 30, 1995. P.L. 104-35 (enacted October 12, 1995) extended the deadline for implementing the automation requirements of FSA 88 to October 1, 1997. This statute did not extend the availability of FFP.

The Personal Responsibility and Work Opportunity Reconciliation Act of 1996 (PRWORA P.L.

104-193), enacted August 22, 1996, reinstated FFP at the 90 percent rate, with limits, retroactive to October 1, 1995, and through September 30, 1997, to enable states to complete the development and implementation of a child support system that meets FSA 88 requirements.

PRWORA also provided FFP at an enhanced rate of 80 percent (capped at $400 million federal share) for system development and implementation costs related to the Automated Data Processing (ADP) requirements of FSA 88 as well as the system requirements specified in

PRWORA.

This Guide addresses the requirements associated with federal certification of comprehensive, automated, statewide child support systems. It has been prepared to:

processing;

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• Ensure these functions are being performed effectively and efficiently to assure accurate and uniform application of policy; and

• Ensure federal reviews are conducted in a consistent manner and are well documented and substantiated.

B. AUTHORITY

The origin of the programs overseen and financed by HHS/OCSE is the Social Security Act.

Included under OCSE’s scope of review authority is Title IV-D, Child Support Enforcement.

Public Law 96-265 provided for enhanced FFP in the establishment and implementation of comprehensive, automated, statewide management information systems supporting the child support program. The Child Support Enforcement Amendments of 1984 (P.L. 98-378) extended enhanced federal funding for income withholding activities and hardware to states.

Authority for the requirements described in this document is codified in the Social Security Act, Sections 451-469B. In addition, specific parts of the Code of Federal Regulations (CFR) apply, in particular:

45 CFR Part 75, Subpart D: Establishes retention requirements and access rights for programmatic, financial, statistical, and other types of records pertinent to grants. This subpart also sets requirements for contracting that ensure fair and equitable practices and procedures with contractors and consultants.

45 CFR Part 95, Subpart A: Sets a two-year limit for states to claim FFP in expenditures under state plans approved for certain titles of the Social Security Act, including the child support program under Title IV-D.

45 CFR Part 95, Subpart E: Establishes requirements for preparation, submission, approval of -and adherence to -- state cost allocation plans for public assistance programs.

45 CFR Part 95, Subpart F: Specifies the conditions for FFP in the cost of acquiring (as previously approved by OCSE) data processing equipment and services under an approved state plan; sets forth the approval and reporting processes of the Advanced Planning Document (APD) and updates; provides an exemption to the capitalization and depreciation provisions of Subpart G for ADP equipment; requires access by OCSE to all aspects of state systems; and sets states' responsibilities for ADP security. Authorizes the department to conduct periodic on-site surveys and reviews of state and local agency ADP methods and practices (§ 95.621).

45 CFR Part 95, Subpart G: Prescribes requirements concerning the computation of claims for FFP in the cost of equipment under public assistance programs and identifies requirements for the management and disposition of equipment. Applies to equipment purchased by state agencies and equipment purchased under service agreements with other state agencies and under cost-type contracts.

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45 CFR Parts 300 to 305: Sets forth operational procedures, reporting requirements, incentive payments process and requirements, and standards for audit for the Title IV-D program.

45 CFR Part 307: Sets forth the requirements for the acquisition and operation of comprehensive, statewide child support systems. This includes the programmatic conditions and functional requirements required for states to qualify for funding of systems acquisitions. This part also sets forth OCSE's oversight responsibilities.

In addition to the statute, regulations, and this document, the following guidelines apply:

• Action Transmittals (AT), Policy Interpretation Questions (PIQ), and Dear Colleague Letters (DCL) issued by OCSE that apply to the child support program;

C. USING THIS GUIDE

State personnel and their consultants and contractors working on systems subject to certification should use this Guide throughout the life cycle of the system development effort. The Guide should be reviewed and incorporated where appropriate in the state’s functional system requirements and system design documents.

The Guide is organized into two parts, which encompass general requirements and ten functional areas with their related system requirements. The functional objectives are:

Objective A – Case Initiation Objective B – Locate Objective C – Establishment Objective D – Case Management Objective E – Enforcement Objective F – Financial Management Objective G – Reporting Objective H – Security and Privacy Objective I – Customer Service Objective J – New Technologies

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Chapter II: General Requirements

A. DEFINITIONS

In order to be certified, a state’s automated child support system must be comprehensive, operate statewide, and meet the standards of efficiency and effectiveness and the principles of any integrated system as set forth below.

A comprehensive system performs all functional requirements within legislative timeframes specified in federal child support regulations and guidelines. Additionally, a comprehensive system electronically interfaces with other agencies’ and organizations’ systems - federal, state, tribal, international, and private - to improve program management and operations.

A statewide system effectively and efficiently encompasses all political subdivisions and other organizations that provide child support-related services.

To be considered an operational system by OCSE:

• The system must contain, with respect to each open case in the child support program, all data necessary to manage the case and must be able to meet federal reporting requirements. Data necessary to manage the case means data the state has defined in its regulations, policies, and procedures as necessary for the particular function within the processing cycle (e.g., case initiation, locate, distribution).

• The system must contain, with respect to certification requirements, the data necessary to meet all processing requirements. The state may exercise discretion regarding individual data elements as long as all processing requirements are met.

• The system must contain all data, for the period prior to conversion of a case, necessary to manage the case, currently and prospectively, including data necessary to process or take action on a case and the date of the most recent action that triggered the next appropriate program standards timeframe. Such historical data, including data necessary to meet federal reporting requirements, may be converted to the system or otherwise maintained. However, readily available data should be converted in order to avoid duplicative efforts in maintaining multiple recordkeeping systems.

The child support cases closed prior to or during conversion should be retained in a form that is easily accessible.

• The system must contain, for the period subsequent to conversion of a case, data necessary to manage the case, as defined earlier, and all data necessary to meet federal reporting requirements.

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To be considered an efficient and effective system by OCSE:

• The system must improve program management and administration;

• The system’s design must be integrated and appropriately apply computer technology;

• The system’s design must not require duplicative application software development or application software maintenance;

• Costs must be reasonable, appropriate, and beneficial.

To be considered an integrated system by OCSE, certain principles apply:

• The system represents the sole system effort for administration of the child support program within the state.

• The child support agency, through the statewide, comprehensive system, has the ability to control, account for, and monitor all factors in support collection, paternity/parentage determination, enforcement, and case management processes.

• The child support agency will control, account for, and monitor all software development and maintenance efforts for the system, even if the system is developed or maintained by the state’s IT organization or other agency.

• There is no duplicative application software; that is, the same functions are not performed by different software modules or components.

• There is no duplicative data entry. Common data elements contained in more than one module or component are only entered once and updates to common data elements are automatically made in all components. For example, an address change made in the locate module must automatically update all common addresses maintained throughout the system.

• Any information derived from the base data should be consistent between application modules, components, and functions. For example, if age is derived from birthdate, this derivation should be consistent throughout the system.

• There is a common data model. A single data model and database support management system is used by all components of the system.

• Every data element has a common definition throughout the system. For example, address information should have common, consistent definitions throughout.

Additional information on tools and options for standardization of data elements can be found in Section J of Chapter III of this document.

• The system must allow definition of shared business rules that are applied consistently throughout the system.

• The system should employ consistent, easily understandable headings, labels, and mnemonics on screens and reports.

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• All components should use consistent navigation features to increase operator efficiency. For example, if one component uses menu bars and shortcut icons, all components should use similar menu bars and shortcut icons.

• There must be a single authentication. Components cannot employ multiple requests for a user id and password combination. Once a session has been authorized, this authorization should remain in effect regardless of the component used.

• User IDs and security profiles should be administered from a single point and apply across the entire application. For example, adding a new user should be performed only once, not once per component.

B. TERMINOLOGY

Throughout the certification criteria, certain terms are used to describe the degree of automation expected from the system. To ensure that all parties consistently interpret these terms, the following expanded definitions are provided:

1. Automated Generation of Documents - The system must be programmed to recognize situations requiring certain documents or notices and then generate the document without caseworker intervention.

2. Case History – This must be a recorded history, in chronological order, of all activities pertaining to a case. All transactions entered into the system are automatically recorded in the case history file with date and time and an identifier of the caseworker making the change.

3. Systems Initiated Actions - To the extent possible, the systems must take the next appropriate case action without caseworker intervention. If a caseworker decision is needed, options are automatically presented to the caseworker and a timeline for taking action is established.

4. Caseworker Edits - The system must not accept caseworker edits to system initiated actions and the state must establish time limits for editing records of manually initiated actions.

5. Electronic Data Interchange - Data must be exchanged through an electronic forum, either on-line or by batch processing, and the resultant data must be available on-line to all appropriate parties.

6. System Modification - The system must be programmed in a manner that provides for modification with a minimal amount of effort.

7. Minimum Data Elements - Minimum data elements identify needed information and should not be considered naming conventions or required. States may opt for differing approaches to data collection as long as the underlying processing requirements and program standards are met.

8. The OCSE Data Standards Registry (DSR) – A database file is available for researching recommended data element definitions and transaction formats. The DSR is operational and includes over 3,000 principle data elements. The DSR

Page: 8 contains data elements that are exchanged among child support partners, and includes their definition, name, and other defining attributes. A copy of the DSR is available from OCSE upon request.

9. Intergovernmental Case – This is a IV-D case in which the noncustodial parent lives or works in a different jurisdiction than the custodial parent and child(ren) that has been referred by an initiating agency to a responding agency for services. An intergovernmental IV-D case may include any combination of referrals between states, tribes, and foreign countries and may include cases in which a state agency is seeking only to collect support arrearages, whether owed to the family or assigned to the state.

All system requirements related to intergovernmental cases are included within each functional area of this Guide and in Section D-7.

10. Hague Child Support Convention – This is the 2007 Convention on the International Recovery of Child Support and other Forms of Family Maintenance.

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Chapter III: Child Support Enforcement Systems

Requirements

services.

Federal Statutory and Regulatory Authority:

Section 454(6)(B) of the Social Security Act (Act)

Section 454A(e) of the Act

45 CFR 302.33(a)(1)(i)

45 CFR 303.2

45 CFR 307.10(b)(14)

State System Requirements:

a. Upon receipt of an application for child support services, the system must maintain:

rights and responsibilities, and cost recovery and distribution policies were sent to the applicant, and

3. The date the signed application and fee were received.

Note: The date a child support application is requested and the date the application and program information are provided must be maintained in an auditable manner, e.g., a manual log. This information need not be maintained on the system prior to receipt of the application.

Note: If state law permits, electronic signatures may be used for application for child support services. The state needs to determine if electronic signatures are appropriate and assess the possibility of false applications, the risk of data breaches, and the capacity of the system to handle large volumes of electronic applications. If permitted, the state should publish procedural guidelines for the use of electronic signatures.

b. Within 20 calendar days of receipt of a signed application for non-IV-A services, the system must:

paternity/parentage establishment),

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Guidance Document:

PIQ-09-02, Use of Electronic Signatures on Applications for IV-D Services This PIQ responds to a question regarding the use of electronic signature on applications for IV-D services.

http://www.acf.hhs.gov/programs/css/resource/use-of-electronic-signatures-on applications-for-iv-d-services

A-2 OBJECTIVE: The system must automatically accept and process referrals from the state’s Title IV-A Temporary Assistance for Needy Families (TANF) agency.

Federal Statutory and Regulatory Authority:

Section 454A(e) of the Act

45 CFR 235.70

45 CFR 303.2

45 CFR 307.10(b)(9) and (14)

45 CFR 307.11(f)(3)

a. The system must automatically accept automated referrals from the IV-A agency.

Note: If an automated interface is not available, procedures must be established and used to ensure the transmittal of case information from IV-A to IV-D within two working days of furnishing aid or determining eligibility, however, if the IV-A system is Financial Accounting Management Information System certified, an automated interface with the child support system must be established.

b. The system must automatically record, in the automated case record, the date the referral was received.

c. Program information describing services and fees, rights and responsibilities, and cost recovery and distribution policies must be provided to IV-A recipients, and the date the information was provided recorded in the comprehensive, chronological case history.

d. Minimum Data Elements: The system must accept and process the following referral information:

Custodial Parent:

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7. If the IV-A agency is responsible for good cause, information on good cause (include whether a claim or final determination of good cause for non cooperation was made),

Note: Effective October 1, 2009, or as early as October 1, 2008 at state option, Section 408(a)(3) of the Act is amended to limit the assignment of support rights set as a condition of eligibility for TANF to the support which accrues during the period that a family receives TANF.

Noncustodial Parent:

Child(ren):

name of the carrier and the policy number.

Support Order:

agency, directly to recipient (if directly to recipient, whether money is retained by recipient or turned over to court/SDU/IV-D agency),

paternity/parentage establishment),

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Guidance Document:

This link provides guidance on the Federal Parent Locator Service (FPLS):

http://www.acf.hhs.gov/programs/css/fpls

A-3 OBJECTIVE: The system must automatically accept and process referrals from the state's Title IV-E (Foster Care) agency.

Federal Statutory and Regulatory Authority:

Section 454A(e) of the Act

45 CFR 303.2

a. The system must automatically accept and process automated referrals from the IV-E agency if the state IV-E system is automated.

Note: If the Title IV-E agency is not automated, procedures must be established to ensure timely transmittal of information from the IV-E agency to the IV-D agency.

b. The system must automatically record, in the automated case record, the date the referral is received.

c. The system must be able to link two noncustodial parents to a child(ren) in the custody of the IV-E agency.

d. Minimum Data Elements: The system must accept and process the following information:

Foster Care Agency/Child Custodial:

(including whether a claim or final determination of good cause for non cooperation has been made), and

6. Information on assignment of rights.

Noncustodial Parent(s):

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Child(ren):

name of the carriers and the policy numbers.

Support Order:

Foster Care agency,

A-4 OBJECTIVE: The system must automatically accept appropriate referrals from the state’s Title XIX (Medicaid) agency.

Federal Statutory and Regulatory Authority:

Section 454A(e) of the Act

45 CFR 303.2

45 CFR 307.10(b)(13) and (14)

45 CFR 307.11(f)(3)

a. The system must automatically accept and process automated case referrals from the state Title XIX agency for non-IV-A Title XIX cases if the state Title XIX system is automated.

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Note: If the state Title XIX agency is not automated, procedures must be established to ensure timely transmittal of information from the Title XIX agency to the IV-D agency.

Note: If appropriate information is available from the Title XIX agency regarding the noncustodial parent, the system must ensure that all electronic referrals meet the definition of a Title IV-D case.

b. The system must automatically record, in the automated appropriate case record, the date the referral is received.

c. Program information describing services and fees, rights, and responsibilities, and cost recovery distribution policies must be provided to Title XIX recipients and the date the information was provided recorded in the comprehensive, chronological case history.

d. Minimum Data Elements: The system must accept and process the following referral information:

Custodial Parent:

(including whether a claim or final determination of good cause for non cooperation has been made),

Noncustodial Parent:

Child(ren):

name of the carrier and the policy number.

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Support Order:

owed on behalf of the child),

paternity/parentage establishment),

Guidance Documents:

IM-14-01, Medicaid Referrals to the IV-D Agency -- Policy on Medicaid referrals resulting from an application for medical insurance via the Healthcare Marketplace http://www.acf.hhs.gov/css/resource/medicaid-referrals-to-the-iv-d-agency

This link is to the Child Support Enforcement Network (CSENet) Interface Guidance Document, which provides data elements and recommended data transmission formats via CSENet.

http://www.acf.hhs.gov/programs/css/resource/csenet-interface-guidance-document

A-5 OBJECTIVE: If the state elects to provide for paternity only limited services for non-IV-A cases in an intrastate case, the system must accept, maintain, and process information.

Federal Statutory and Regulatory Authority:

Section 454(13) of the Act

Section 454(6)(B) of the Act

Section 454A(e) of the Act

45 CFR 302.33(a)(1)(i) and (6)

45 CFR 303.2(a)(2), (3) and 3(b)

a. Upon receipt:

1. The date the application was requested, Page: 16 26DPP01287 T2314 - NJKiDS Application Maintenance and Support for NJ ACSES http://www.acf.hhs.gov/programs/css/resource/medicaid-referrals-to-the-iv-d-agency http://www.acf.hhs.gov/css/resource/medicaid-referrals-to-the-iv-d-agency http://www.acf.hhs.gov/programs/css/resource/csenet-interface-guidance-document

2. The date the application and program information describing paternity services, fees, rights and responsibilities was sent to the applicant, and

3. The date the signed application and fee were received.

Note: The date a child support application is requested and the date the application and program information are provided must be maintained in an auditable manner, e.g., a manual log. This information need not be maintained on the system prior to receipt of the application.

Note: If state law permits, electronic signatures may be used for application for paternity only limited IV-D services. The state needs to determine if electronic signatures are appropriate and assess the possibility of false applications, the risk of data breaches, and the capacity of the system to handle large volumes of electronic applications. If permitted, the state should publish procedural guidelines for the use of electronic signatures.

b. Within 20 calendar days of receipt of a signed application for paternity only limited non-IV-A services, the system must:

paternity/parentage),

A-6 OBJECTIVE: The system must use case identifiers and uniquely identify and edit various case types.

Federal Statutory and Regulatory Authority:

Section 454A(f)(1) of the Act

45 CFR 302.15(a)

45 CFR 307.10(b)(1)

45 CFR 307.11(f)(1)(ii)

a. The system must automatically establish unique numbers (i.e., IV-D case identification numbers and participant identification numbers) that allow for case identification and the linking of cases to multiple noncustodial parents and obligations.

b. At a minimum, the system must use and include, or accept the IV-D case identifier when:

transaction to another jurisdiction, Page: 17

4. Generating documents to other state or tribal IV-D agencies, or to foreign countries,

Note: The impact of state IV-D program cooperation with tribal IV-D programs and distribution by states of collections sent to or received from tribal IV-D programs will depend on each state’s automated system. Federal funding is available for 66 percent of all appropriate and allowable costs associated with any needed programming changes to state automated systems.

D services,

2. Foster Care IV-D case: Child(ren) are entitled to IV-E foster care and referral was made for IV-D services,

3. Former Assistance IV-D case: Recipients of IV-D services who formerly received IV-A, or IV-E Foster Care services,

4. Never Assistance IV-D case: Recipients of IV-D services who have never received IV-A or IV-E services, including Medicaid Only cases,

5. Medicaid Only IV-D case: Case involving Title XIX recipients who are not IV

A or IV-E Foster Care recipients,

6. Arrears-Only IV-D case: Case remains open only to collect child or medical support arrears for the state or family,

7. State-Tribal IV-D case: A case under the state’s IV-D program received from or sent to a tribal IV-D program for case processing,

8. International IV-D case: An international case under the state’s IV-D program received from or referred to a foreign country in which the Hague Child Support Convention is in force with respect to the U.S. (a Foreign Treaty Country or FTC) that has entered into an agreement under section 459A of the Social Security Act with the U.S. (a Foreign Reciprocating Country or FRC), a foreign country with which the state has entered a reciprocal arrangement.

International cases also include IV-D cases in which there is an application for services from a resident of a foreign country,

9. Non-IV-D case: Cases maintained on the system, which are not recipients of IV-D services.

Note: The non-IV-D case type is not needed if the state does not have non-IV-D child support cases on the statewide child support system, but obtains this information through a linkage of local registries of support orders which interfaces with the state child support systems.

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d. The system must identify interstate cases and must also identify non-IV-D cases requesting ‘FPLS-only’ services (such as parental kidnapping cases) if such cases are maintained on the system.

e. For Medicaid-Only IV-D cases, a code must indicate if the individual only wants services related to securing medical support. (In cases where the code is present, the system must only initiate medical support services. In cases where the code is not present, the system must initiate all appropriate IV-D services).

A-7 OBJECTIVE: The system must establish an automated case record for each application/referral.

Federal Statutory and Regulatory Authority:

45 CFR 302.15(a)

45 CFR 303.2(c)

45 CFR 307.10(b)(1), (4) and (14)

45 CFR 307.11(e)

a. The automated case record must provide a comprehensive and chronological case history of all actions taken, whether manual or automated.

b. At a minimum, the system must maintain one year's case history online. Previous history may be stored off-line, as long as it is maintained in an easily accessible, automated manner for program and audit purposes.

c. The automated case record must include data to allow the system to effectively monitor program time standards.

A-8 OBJECTIVE: The system must accept and maintain identifying information on all case participants.

Federal Statutory and Regulatory Authority:

45 CFR 303.2(c)

45 CFR 307.10(b)(1)

a. The system must maintain identifying information including at a minimum:

Noncustodial Parent:

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(FEIN)],

Custodial Parent

Children

b. The system must maintain information that indicates whether a participant is subject to family violence as determined by state policy.

Note: If state law recognizes multiple (more than two) parents for a child, the system must maintain data for all parties involved with the case.

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It is recommended that state systems maintain more than one Social Security Number (SSN) data field including the Social Security Administration’s verification codes.

Guidance Documents:

DCL-11-04, Standard Verification of Employment Response Form -- The information contained in this document includes the latest version of the voluntary Standard Verification of Employment response form and a list of states agreeing to accept it.

http://www.acf.hhs.gov/programs/css/resource/standard-verification-of-employment response-form

DCL-14-19, Discontinuing Manual Review of SSNs -- Announces discontinuation of the Requires Manual Review (RMR) process http://www.acf.hhs.gov/css/resource/discontinuing-manual-review-of-ssns

A-9 OBJECTIVE: The system must accept information for non-IV-D orders.

Federal Statutory and Regulatory Authority:

Section 454A(e) of the Act

45 CFR 303.21

45 CFR 307.11(e) and (f)

45 CFR 307.13

a. The system must accept and maintain the following information on non-IV-D orders established or modified in the state on or after October 1, 1998, for inclusion with IV-D cases in the State Case Registry (SCR) for transmission to the FCR:

1. Information on the custodial parent, noncustodial parent and child participant including (name, Social Security Number, date of birth, gender (optional), participant ID),

number, other uniform identification number, issuing state of order, Case Type (i.e., non-IV-D), and Participant Type (custodial parent, noncustodial parent, child) and any other information that the Secretary may require as specified in an Action Transmittal.

b. The system must accept updates to the mandatory data elements for non-IV-D cases and requests for deletion of non-IV-D orders on the SCR.

Note: The SCR may be comprised of IV-D cases in the statewide automated child support system and an automated information linkage to the non-IV-D orders in the SDU, local courts, or other entities.

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Guidance Documents:

PIQ-10-01, Federal Financial Participation and Non-IV-D Activities -- Responds to questions regarding non-IV-D activities that qualify or do not qualify for FFP.

http://www.acf.hhs.gov/css/resource/federal-financial-participation-and-non-iv-d activities

Information and guidance on family violence can be found on the OCSE web site at:

http://www.acf.hhs.gov/programs/css/family-violence

A-10 OBJECTIVE: The system must automatically interface with the FCR.

Federal Statutory and Regulatory Authority:

Section 454A(f) of the Act 45 CFR 307.11(e) and (f)

State System Requirements:

a. The system must transmit and register to the FCR all new cases (IV-D) and orders

(non-IV-D), including all participants associated with those cases and orders.

b. The system must notify the FCR of changes or deletions to the information provided to the FCR within five business days of receipt by the IV-D agency of new or changed information.

c. The system must accept and process all administrative information received from the FCR (e.g., acknowledgments, rejections, SSN verification, errors, and warnings).

Processing FCR administrative information includes:

1. Providing system related warnings and rejections to a system administrator or other technical staff so they can be evaluated and any appropriate action taken, and

2. Providing errors, warnings, and rejections related to corrective case actions to a caseworker.

d. The system must communicate with the FCR via the network provided by the FPLS for this purpose. File transfer protocols are required on the network provided by the

FPLS.

e. The system must send the following referral information to the FCR to add cases and participants.

Case:

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Participant:

f. At a minimum, the system must make data received from the FCR available online to the caseworker along with the capability to electronically record in the case record any data sent to or received from the FCR.

Guidance Documents:

AT-98-29, Policy Questions and Answers regarding the Multistate Provisions of the Financial Institution Data Match under Title IV-D of the Social Security Act http://www.acf.hhs.gov/programs/css/resource/multistate-provisions-of-the-financial institution-data-match

AT-99-09, Policy Questions and Responses Regarding Requests for Information from the Federal Parent Locator Service under Title IV-D of the Social Security Act http://www.acf.hhs.gov/programs/css/resource/policy-questions-and-responses information-fpls

DCL-00-27, State Best Practices -- The Guide describes the innovations and procedures that states have developed to take advantage of tools in child support, especially those provided by the Personal Responsibility and Work Opportunity Reconciliation Act

(PRWORA).

http://www.acf.hhs.gov/programs/css/resource/state-best-practices-fpls-tips-2000

This hyperlink takes you to the OCSE website information on the FCR Interface Guidance Document, FCR Technical Assistance Guide, and FCR Release Specifications.

http://www.acf.hhs.gov/programs/css/resource/federal-case-registry-interface guidance-document

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obtain and verify locate, asset and other information on the noncustodial/putative parent or custodial parent.

Federal Statutory and Regulatory Authority:

Section 454(8) and (9)(B) of the Act

Section 454A(e) and (f) of the Act

45 CFR 303.2

45 CFR 303.3(b)(1) and (2)

45 CFR 307.10(b)(2), (4)(ii), (9), (13) and (14)

a. The system must have automated interfaces with federal, interstate, and intrastate sources, when appropriate; e.g., feasible and cost-effective for obtaining and verifying case information. Interfaces should include, but not be limited to, the following sources:

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Note: Data required to be furnished to the NDNH by the state under the three components of NDNH (i.e., new hire information, Quarterly Wage and Unemployment Insurance claimant information) need not be submitted by the statewide automated system. The decision as to which state entity will report this information to the NDNH is determined by the state. However, if data is not reported as required, the Title IV-D agency will be held accountable.

case to the information source, and

2. The system must provide an easily accessible means to enter into the automated case record all manual attempts to obtain information and the results.

c. The system must automatically follow up when information is solicited and no response is received within a reasonable amount of time, based on state experience.

The system must:

automatically generate the documents necessary to encourage a response.

d. The system must accept unsolicited locate information from the FPLS as proactive matches occur between state participants registered through the FCR and as state FCR participants are matched to New Hire, Quarterly Wage and Unemployment Insurance claim records on the NDNH.

e. At a minimum, the system must make data received electronically through any of the interfaces listed under paragraph (a) above available online to the caseworker along with the capability to electronically record in the case record any data received through an interface.

f. Optional: Even if the state has an automated interface, there is benefit to being able to also submit a manual locate request to several sources.

g. Optional: The state may choose to use the services of a verification of employment company or consumer credit reporting agency to verify locate, asset and other information on the noncustodial or custodial parent.

Guidance Documents:

DCL-16-01, Guidance about Third Party Verification of Employment Providers.

http://www.acf.hhs.gov/css/resource/guidance-about-third-party-verification-of employment-providers

For New Hire – This link provides information on the Guide for Data Submission from State New Hire Directories to the National Directory of New Hires.

http://www.acf.hhs.gov/programs/css/resource/a-guide-to-the-national-directory-of new-hires

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h. Optional: It is recommended that the system interface with the OCSE Child Support Portal (Portal). The Portal provides various functionality, including:

1. QUICK - web-based access for authorized state users to the Query Interstate

Cases of Kids (QUICK) application

2. Locates – information on IV-D and other participants from the National

Directory of New Hires and the FPLS external locate sources to include SSA, VA, IRS, FBI, and DOD.

3. Department of Defense Entitlements – military information to include base salary, allotments, and bonuses.

4. Debt Inquiry – information on noncustodial parent’s eligibility for payout of bonuses or lump sums from employers or insurers.

5. Federal Collection and Enforcement – information used by federal offset and passport denial programs.

6. Employer Search – name or FEIN search of employers participating in e-IWO.

For additional information on the Child Support Portal, visit the following links:http://www.acf.hhs.gov/programs/css/fpls/child-support-portal

Portal at a Glance:

http://www.acf.hhs.gov/programs/css/resource/state-services-portal-at-a-glance

Guidance Documents:

PIQ-10-01, Federal Financial Participation and Non-IV-D Activities -- Responds to questions regarding non-IV-D activities that qualify or do not qualify for FFP.

http://www.acf.hhs.gov/programs/css/resource/federal-financial-participation-and non-iv-d-activities

IM-12-02, Requests for Locate Services, Referrals, and Electronic Interface -- Provides information regarding the child support agency's authority to share case information with child welfare.

http://www.acf.hhs.gov/programs/css/resource/requests-for-locate-services-referrals and-electronic-interface

DCL-12-07, FPLS State Services Portal -- Announces the addition of applications to the FPLS Child Support Portal to provide web-based access to QUICK.

http://www.acf.hhs.gov/programs/css/resource/fpls-state-services-portal

DCL-13-27, Annual Wage Record (AWR) Sweep Process Discontinued -- Announces decision to terminate the annual AWR Sweep process.

http://www.acf.hhs.gov/programs/css/resource/annual-wage-record-awr-sweep process-discontinued

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