\[Federal Register: March 11, 2003 (Volume 68, Number 47)\]

\[Notices\]

\[Page 11555-11562\]

From the Federal Register Online via GPO Access \[wais.access.gpo.gov\]

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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

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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:

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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

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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

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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.

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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

\[\[Page 11562\]\]

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