+----+-----------------------------------------------------------------+
|    | **AUTOMATED SYSTEMS FOR**                                       |
|    |                                                                 |
|    | **TRIBAL CHILD SUPPORT ENFORCEMENT:**                           |
|    |                                                                 |
|    | **GUIDE FOR**                                                   |
|    |                                                                 |
|    | **TRIBES AND TRIBAL ORGANIZATIONS**                             |
|    |                                                                 |
|    | **TCSE ESSENTIAL REQUIREMENTS**                                 |
|    |                                                                 |
|    | **February 2005**                                               |
|    |                                                                 |
|    | ![](media/image1.wmf){width="1.775in"                           |
|    | height="1.8930555555555555in"}                                  |
|    |                                                                 |
|    | U. S. DEPARTMENT OF HEALTH & HUMAN SERVICES                     |
|    |                                                                 |
|    | Administration for Children and Families                        |
|    |                                                                 |
|    | Office of Child Support Enforcement                             |
|    |                                                                 |
|    | Division of State and Tribal Systems                            |
+----+-----------------------------------------------------------------+

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**TABLE OF CONTENTS**

[CHAPTER I: GENERAL REQUIREMENTS 1](#chapter-i-general-requirements)

[GENERAL POLICY DEFINITIONS 1](#general-policy-definitions)

[TERMINOLOGY 3](#terminology)

[CHAPTER II: TCSE SYSTEM REQUIREMENTS
5](#chapter-ii-tcse-system-requirements)

[A. CASE INITIATION 5](#a.-case-initiation)

[B. LOCATE 9](#b.-locate)

[C. ESTABLISHMENT 11](#c.-establishment)

[D. CASE MANAGEMENT 15](#d.-case-management)

[E. ENFORCEMENT 19](#e.-enforcement)

[F. FINANCIAL MANAGEMENT 21](#f.-financial-management)

[G. REPORTING 25](#g.-reporting)

[H. SECURITY AND PRIVACY 29](#h.-security-and-privacy)

[List of Acronyms 33](#list-of-acronyms)

[List of Reports 34](#list-of-reports)

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**BACKGROUND**

This document results from the 2004 Tribal Systems Workgroup review of
the *ACF Automated Systems for Child Support Enforcement: A Guide for
States* (updated August 2000) for applicability to tribal automated
systems. The document is intended as an example set of minimal
functional requirements for a tribal child support enforcement (TCSE)
system. It is not official, nor should it be interpreted as such.

During the Tribal Workgroup sessions, consensus was gained on
requirements, portions of requirements, and supplementary text as
falling into one of three categories:

> **Essential** Functional capabilities that all tribal systems must
> incorporate. "Essential" requirements are those without which a
> software deliverable would not be deemed acceptable, and which require
> no special justification for funding.
>
> **Conditional** Functional capabilities that may be incorporated into
> some tribal systems. "Conditional" requirements are those which a
> software deliverable could be deemed acceptable in the absence of, and
> for which individual Tribes or Tribal organizations may request
> funding without further justification.
>
> **Optional** Functional capabilities that are not necessarily needed
> in a software deliverable, but for which individual Tribes or Tribal
> organizations may request funding with additional justification or
> explanation.

This document contains the full text of requirements considered
"Essential" for any tribal system. "Conditional" and "Optional"
requirements are not included.

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# CHAPTER I: GENERAL REQUIREMENTS

## GENERAL POLICY DEFINITIONS

A *comprehensive system* performs all functional requirements within
legislated timeframes specified in Federal TCSE regulations and
guidelines. Additionally, a comprehensive system electronically
interfaces with other agencies\' and organizations\' systems when
appropriate \-- Federal, State, Tribes or Tribal organizations, and
private entities \-- to improve program management and operations.

To be considered an *operational system* by ACF:

-   The system must contain, with respect to each open case in the Title
    IV-D 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 Tribe or Tribal organization has defined in its
    regulations, policies and procedures as necessary for the particular
    function within the processing cycle (e.g., case initiation, locate,
    distribution, etc.).

-   The system must contain, with respect to certification requirements,
    the data necessary to meet all processing requirements. Tribes or
    Tribal organizations 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. Title IV-D
    cases closed prior to or during conversion should be retained in a
    form (e.g., magnetic tape, microfiche, paper files, etc.) 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.

To be considered an *efficient and effective system* by ACF:

-   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, allocable and allowable.

To be considered an *integrated system* by ACF, certain principles
apply.

-   The IV-D agency, through the comprehensive system, has the ability
    to control, account for, and monitor all factors in support of
    collection and paternity determination processes.

-   The system represents the sole system effort for administration of
    the IV-D program within the Tribe or Tribal organization.

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

-   There is one single application software development and maintenance
    effort and organization.

-   There is no duplicative data entry. Common data elements contained
    in more than one component are only entered once and updates to
    common data elements are automatically made in all components; that
    is, the data in all components are electronically synchronized.

-   All system components are electronically linked and the linkage is
    transparent to users.

Software production consists of three overlapping activities: planning,
development and maintenance.

-   The **Planning Phase** includes technical and management activities
    necessary for initiating and providing guidance for a software
    project. The first activity is to create a development plan to give
    a detailed description of the nature and scope of the activities to
    be undertaken and the methods to be used to accomplish the project,
    including defining the project life-cycle and the processes, methods
    and tools for software development. The plan should describe the
    projected resource requirements for staff, hardware, and other needs
    and the resources available or expected to be available to meet the
    requirements. The plan must also contain a proposed activity
    schedule for the project, a personnel resource statement indicating
    availability of qualified and adequate staff, a proposed budget
    including a description of estimated expenditures by category and
    amount, and the estimated total project cost. The plan should define
    the project's deliverables, work breakdown structure, quality goals,
    and risks, as well as processes for monitoring, controlling and
    reporting on the project throughout its life.

> Activities in this phase may include (in addition to creating the
> development plan): performing a Requirements Analysis, preparing a
> Functional Requirements Specification, assessing other systems for
> transfer, prototyping all or part of a proposed new system, installing
> hardware and networks for development and testing, preparing a General
> System Design, and any related procurements to support planning and/or
> securing system development and implementation resources.

-   The **Development Phase** includes all the activities required to
    create acceptable software deliverables as required by the
    development plan. These activities should include detailed design
    (defining how the system is decomposed and organized into
    components), construction (the building of working, meaningful
    software through a combination of coding, validation, and unit
    testing), system testing (the dynamic verification of the behavior
    of a program on a set of test cases), and installation (the
    integrated testing of software and hardware subsystems, hardware and
    operating system software procurement and installation, system
    conversion, and turnover to operational status).

-   The **Maintenance Phase** is the totality of activities required to
    provide cost-effective support to a software system. Maintenance
    activities are performed during the pre-delivery stage as well as
    the post-delivery stage. Pre-delivery activities include planning
    for post-delivery operations, supportability, and logistics
    determination. Post-delivery activities include minor software
    modification, on-going and refresher training, and operating a help
    desk.

## TERMINOLOGY

Throughout the *Guide*, 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:

-   *Automated Data Processing System.* The data, information, business
    rules, and requirements, built into process-specific software
    applications, supported by operating system software and computer
    hardware and telecommunications equipment, that when combined and
    interfaced will meet an organization's operational business
    requirements and goals. A child support enforcement system is an
    example of an automated data processing (ADP) system in the human
    services arena, as is, for example, a financial management and
    accounting system in a bank's finance department. A copy of
    Microsoft Windows© is not an automated data processing system;
    rather, it is but one component (the operating system) of a larger,
    overall ADP system.

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

-   *Case History.* A recorded history, in chronological order, of all
    activities pertaining to a case. All critical transactions entered
    to the system are automatically recorded in the case history file.

-   *Caseworker Edits.* The system must not accept caseworker edits to
    system initiated actions and the Tribe or Tribal organization must
    establish time limits for editing records of manually initiated
    actions, not to exceed one workday.

-   *Electronic Data Interchange (EDI)*. Data is exchanged through an
    electronic forum, either on-line or by batch processing, and the
    resultant data is available on-line to all appropriate parties.

-   *Office Automation*. Office automation is not specifically designed
    to meet the programmatic and business-centric needs of an
    organization. Rather, office automation is a generic adjunct
    component that supports the routine administrative functions in an
    organization, as well as certain functions of an automated data
    processing system. For example, office automation might include the
    word processing capabilities needed to enable the child support
    enforcement system (the actual ADP system) to produce summons and
    petitions. Office automation might also describe the creation of
    certain reports or accounting spreadsheets that serve to streamline
    an otherwise wholly manual business function through the use of
    macros to merge data and text into a usable management productivity
    tool. Office automation components can include some or all of the
    following:

```{=html}
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```
-   Personal computers and workstations

-   Networking and application servers

-   Telecommunications and network wiring to connect the computers in a
    unified network environment

-   Network Operating Systems (NOS) and workstation and personal
    computer operating system software, such as Microsoft Windows XP© or
    Red Hat Linux©

-   Office productivity software, such as Microsoft Office©, Microsoft
    Project© or WordPerfect©

-   Electronic mail and Internet access services, such as T-1, DSL, or
    56K dial-up (e.g., AOL© and Earthlink©.)

```{=html}
<!-- -->
```
-   *Recommended Data Elements*. Recommended data elements identify
    needed information and should not be considered naming conventions
    or required. Tribes or Tribal organizations may opt for differing
    approaches to data collection as long as the underlying processing
    requirements and program standards are met.

-   *System Initiated Actions.* To the extent possible, the system
    should take the next appropriate case action without caseworker
    intervention. If a caseworker decision is needed, options can be
    automatically presented to the caseworker and a timeline for taking
    action is established.

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

-   *X-Timeframe (TBD).* A timeframe for action that must be determined
    by each Tribe or Tribal organization prior to setting up the system
    for use. Data elements may need to be added to the system to capture
    and monitor the X-Timeframe.

# CHAPTER II: TCSE SYSTEM REQUIREMENTS

## A. CASE INITIATION

**A-1 OBJECTIVE:** The system must accept, maintain, and process
information for non-IV-A services.

### Related Program Statutes and Regulations:

45 CFR 309.85(a)

45 CFR 309.95

45 CFR 309.110

45 CFR 309.160

### System Certification Requirements:

a\. Upon receipt of a signed application for non-IV-A services, the
system must maintain the date the signed application was received.

**A-2 OBJECTIVE:** The system must accept and process referrals from the
Title IV-A (TANF) agency of the State, Tribe, or Tribal
organization**.**

### Related Program Statutes and Regulations:

45 CFR 309.85(a)

45 CFR 309.95

45 CFR 309.110

45 CFR 309.160

### System Certification Requirements:

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

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

c\. The system must accept and process referral information on each
custodial parent, non-custodial parent, and child, and referral
information on the case and support order, including payment and
arrearage data.

d\. Within X-Timeframe (TBD) of receipt of a referral, the system must:

1\. Establish a case record;

2\. Refer the case to the appropriate processing unit (e.g., locate or
paternity establishment); and

3\. Notify the caseworker of the case.

**A-3 OBJECTIVE:** The system must uniquely identify and edit various
case types**.**

### Related Program Statutes and Regulations:

45 CFR 309.80

45 CFR 309.85

### System Certification Requirements:

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

b\. At a minimum, the system must be able to identify the following case
types:

1\. Title IV-D

2\. Non-IV-D: Cases maintained on the system, which are not recipients
of IV-D services (e.g., payment processing-only type cases).

c\. The system must identify foreign jurisdiction cases.

**A-4 OBJECTIVE:** The system must establish an automated case record
for each application/referral.

### Related Program Statutes and Regulations:

45 CFR 309.65(a)

45 CFR 309.85

45 CFR 309.95

45 CFR 309.110

45 CFR 309.160

### System Certification Requirements:

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

b\. At a minimum, the system must maintain case history on-line for a
period of X-Timeframe (TBD). Previous history may be stored off-line, as
long as it is maintained in an automated manner for retrieval purposes.

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

**A-5 OBJECTIVE:** The system must accept and maintain identifying
information on all case participants.

### Related Program Statutes and Regulations:

45 CFR 309.85

### System Certification Requirements:

a\. The system must maintain identifying information about the
non-custodial parent, including, at a minimum, the following:

1\. Name (including aliases and maiden name),

2\. Sex,

3\. Race (including a choice of "undisclosed"),

4\. Social Security Number and alias or aliases,

5\. Home Address including reservation address indicator,

6\. Mailing Address including reservation address indicator,

7\. Date of Birth,

8\. Place of Birth (City, State, and/or reservation address indicator),

9\. Employer Information (name, address, Federal employer identification
number (FEIN)),

10\. IV-D Participant Number,

11\. Information on receipt of Federal benefits,

12\. Tribal affiliation (including a choice of "none"), and

13\. Other information as specified by the Tribe or Tribal organization.

b\. The system must maintain identifying information about the custodial
parent, including at a minimum, the following:

1\. Name (including aliases and maiden name),

2\. Sex,

3\. Race (including a choice of "undisclosed"),

4\. Social Security Number and alias or aliases,

5\. Home Address including reservation address indicator,

6\. Mailing Address including reservation address indicator,

7\. Date of Birth,

8\. Place of Birth (City, State, and/or reservation address indicator),

9\. Employer Information (name, address, Federal employer identification
number (FEIN)),

10\. IV-D Participant Number,

11\. Information on receipt of Federal benefits,

12\. Tribal affiliation (including a choice of "none"), and

13\. Other information as specified by the Tribe or Tribal organization.

c\. The system must maintain identifying information about the
child(ren), including at a minimum:

1\. Name (including aliases and maiden name),

2\. Sex,

3\. Race (including a choice of "undisclosed"),

4\. Social Security Number and alias or aliases,

5\. Home Address including reservation address indicator (or notation
that it is same as the custodial parent),

6\. Mailing Address including reservation address indicator (or notation
that it is same as the custodial parent),

7\. Date of Birth,

8\. Place of Birth (City, State, and/or reservation address indicator),

9\. Father\'s Name,

10\. Mother\'s Name,

11\. IV-D Participant Number,

12\. Military Service Information,

13\. Information on receipt of Federal benefits,

14\. Paternity information,

15\. Tribal affiliation (including a choice of "none), and

16\. Other information as specified by the Tribe or Tribal organization.

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

## B. LOCATE

**B-1 OBJECTIVE:** The system must support electronic interface with all
appropriate sources, whether automated or manual, to obtain and verify
locate, asset and other information on the non-custodial/putative parent
or custodial parent. The system should automatically generate any needed
documents**.**

### Related Program Statutes and Regulations:

45 CFR 309.85(a)

45 CFR 309.95

45 CFR 309.110

45 CFR 309.160

### System Certification Requirements:

a\. If an automated interface cannot be established for a specific
source:

1\. The system should automatically prepare the documents required to
submit the 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
their results.

b\. The system should automatically follow up when information is
solicited and no response is received within a reasonable amount of
time, based on Tribal experience. The system should:

1\. Re-access the source using an automated interface, if available; or

2\. Automatically generate the documents necessary to encourage a
response if an automated interface is not available or notify the
caseworker as appropriate.

c\. The system must accept unsolicited locate information.

***Note**: The Tribe or Tribal organization must establish appropriate
data elements for interfacing with each specific interface information
source.*

**B-2 OBJECTIVE:** The system must record, maintain, and track locate
activities to ensure compliance with program standards.

### Related Program Statutes and Regulations:

45 CFR 309.85(a)

45 CFR 309.95

45 CFR 309.110

45 CFR 309.160

### System Certification Requirements:

a\. The system should, when locate action is required, be able to:

1\. Support the automatic submission of cases to all appropriate locate
sources (whether automated or not);

2\. Track responses from each locate source, including verified address
information;

3\. Support the tracking of information from manual locate sources;

4\. Record and maintain information on positive responses received from
locate sources; and

5\. Forward cases to the next appropriate function when sufficient
information is available.

b\. If caseworker action is required, the system must alert the
caseworker of the needed action.

c\. The system should automatically follow up when information is
solicited and no response is received after a reasonable amount of time.
The system should:

1\. Re-access the source using an automated interface, if available; or

2\. If an automated interface is not available, notify the caseworker
and automatically generate the documents necessary to encourage a
response.

d\. Whenever key locate data elements are added or changed due to the
receipt of new information, the system must immediately notify the
worker to take action, such as resubmitting the case to all appropriate
automated and manual locate sources.

## C. ESTABLISHMENT

**C-1 OBJECTIVE:** The system must automatically track, monitor, and
report on the status of paternity establishment and support Federal
regulations and State or Tribal codes or laws and procedures for
establishing paternity.

### Related Program Statutes and Regulations:

45 CFR 309.65(a)

45 CFR 309.85

45 CFR 309.95

45 CFR 309.100

45 CFR 309.110

45 CFR 309.160

### System Certification Requirements:

a\. The system must support actions for the establishment of paternity,
for all cases in which paternity has not yet been established.

***Note**: The IV-D agency need not attempt to establish paternity in
any case involving incest or forcible rape, or in any case in which
legal proceedings for adoption are pending, if, in the opinion of the
IV-D agency, it would not be in the best interests of the child to
establish paternity.*

b\. The system should support, to the degree applicable, automatic
generation of completed administrative or judicial documents which are
required to establish paternity. The date and type of documents
generated must be automatically entered in the case record.

c\. The system must periodically support the re-initiation of
service-of-process for those cases where previous attempts have failed,
but adequate information exists to attempt service-of-process.

d\. The system should support to the degree applicable, automatic
generation of the required documents to petition the court or
administrative authority to require case participants to submit to
genetic testing.

**C-2 OBJECTIVE:** The system must automatically record, track, and
monitor information on obligations, and generate documents to establish
support.

### Related Program Statutes and Regulations:

45 CFR 309.65(a)

45 CFR 309.85

45 CFR 309.95

45 CFR 309.100

45 CFR 309.105

45 CFR 309.110

45 CFR 309.160

### System Certification Requirements:

a\. The system must monitor case activities to ensure that the following
activities are completed within X-Timeframe (TBD) of the location of the
alleged father or non-custodial parent regardless of whether paternity
has been established.

1\. Complete service-of-process necessary to commence proceedings to
establish a support order, and if necessary, paternity;

2\. Establish an order for support which may be based on a voluntary
acknowledgment of paternity; or

3\. Document, in accordance with Tribal or Tribal organization
procedures, unsuccessful attempts to serve process in accordance with
the diligent effort guidelines of the Tribe or Tribal organization.

b\. The system must monitor and identify cases to support the review and
modification procedures of the Tribe or Tribal organization.

c\. The system should support the automatic generation of required
documents to establish an order of support or to serve process. The date
and type of documents generated must be automatically recorded in the
case record.

d\. The system should support the initiation of necessary actions to
meet the Tribe's or Tribal organization's guidelines for diligent
efforts to serve process. In particular, the system should periodically
re-initiate service-of-process in cases where previous attempts have
failed but adequate identifying information exists.

e\. The system must automatically record all critical system-initiated
actions and accept entry of data regarding all actions taken outside the
system. The system must not accept edits to system initiated actions and
the Tribe or Tribal organization must establish time limits for editing
records on manually initiated actions not to exceed one business day
from the entry of data.

f\. If the court/administrative authority dismisses a support order
petition without prejudice, a code in the automated case record must
indicate the reason for dismissal. In such cases, the IV-D agency must
determine a date when it would be appropriate to re-seek an order and
enter this date into the case record. The system must support the
automatic re-initiation action to obtain a support order at that time.

**C-3 OBJECTIVE:** The system must accept, maintain, and process
information concerning established support orders.

### Related Program Statutes and Regulations:

45 CFR 309.65(a)

45 CFR 309.85

45 CFR 309.95

45 CFR 309.105

45 CFR 309.110

45 CFR 309.160

### System Certification Requirements:

a\. In establishing the order, the system must use the Tribe's or Tribal
organization's approved child support guidelines to automatically
calculate the support obligation amount.

b\. The system must maintain case data on the application of the
guidelines and deviations from the guidelines for the required four-year
guideline review.

c\. When an order is established, the following information must be
recorded in the case record:

1\. Type of obligations (child, spousal, medical, arrearage-only),

2\. Date of order,

3\. Date adjusted (if adjusted),

4\. Amount of order,

5\. Payment frequency,

6\. Arrearage (if any),

7\. Method of payment (e.g., in-kind payments),

8\. Payment due date, and

9\. Issuing jurisdiction of order.

d\. The system must maintain a history of all previously established
orders.

e\. The system must individually identify and link multiple obligations
(support orders).

f\. The system must identify obligations as voluntary, administrative,
or court ordered.

g\. If Tribal law provides authority for the administrative
establishment of support, the system must support the administrative
establishment of support orders, including the generation of appropriate
documents.

h\. The system must generate a notice to the custodial parent (CP) and
non-custodial parent (NCP) of all proceedings in which support
obligations might be established or modified.

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## D. CASE MANAGEMENT

**D-1 OBJECTIVE:** The system must automatically direct cases to the
appropriate case activity**.**

### Related Program Statutes and Regulations:

45 CFR 309.85

45 CFR 309.95

45 CFR 309.110

45 CFR 309.160

### System Certification Requirements:

a\. Upon case initiation, the system should provide an automated means
to direct the case to the appropriate function, e.g., locate, paternity
establishment, and initiate the appropriate case action.

b\. After each function is completed, the system should provide an
automated means to direct the case to the next appropriate function and
initiate the appropriate case action.

c\. To allow the tracking of compliance with program performance
standards, the system must record in the automated case record:

1\. The date a case is moved into a specific function,

2\. The dates and actions taken within the function,

3\. The results of such actions including appropriate dates, and

4\. The date of referral to the next appropriate function.

d\. The system must track actions and dates to ensure that:

1\. All new cases requiring locate services are referred to the locate
function (unit) within X-Timeframe (TBD) of receipt of the referral or
filing of an application for services, and

2\. Incoming foreign cases are automatically referred to the appropriate
processing function within X-Timeframe (TBD) of receipt.

**D-2 OBJECTIVE:** The system must support the automatic acceptance and
processing of case updates and provide information to other programs on
a timely basis**.**

### Related Program Statutes and Regulations:

45 CFR 309.85

45 CFR 309.85

45 CFR 309.110

45 CFR 309.160

### System Certification Requirements:

a\. The system must support acceptance and update automated case
information received from various sources, e.g. county attorney,
caseworker, locate staff, IV-A, IV-E, Title XIX, etc.

b\. The system must perform initial edit/validation checks, including
numeric and character checks and cross references, to ensure the
accuracy and completeness of fields.

c\. The system must update common data elements in all linked case
records.

**D-3 OBJECTIVE:** The system must update and maintain in the automated
case record information, facts, events, and transactions necessary to
describe a case and actions taken in a case.

### Related Program Statutes and Regulations:

45 CFR 309.85

45 CFR 309.95

45 CFR 309.110

45 CFR 309.115

45 CFR 309.130

45 CFR 309.160

45 CFR 309.170

### System Certification Requirements:

a\. Documents generated, critical data element changes, and all positive
locate interface actions must be maintained in the automated case
record.

b\. The system must accept entry of information on actions taken outside
of the system by the caseworker.

> ***Note**: Many worklist items, when accomplished, should be annotated
> in the automated case record to provide a complete historical record
> of activities related to a case. Event codes, preformatted narrative
> entries, or other means should be provided in the automated case
> record to identify telephone calls, visits, and other manual actions.*

c\. The system must not accept edits to system initiated actions and the
Tribe or Tribal organization must establish time limits for editing
records on manually initiated actions not to exceed one business day
from the entry of the data.

**D-4 OBJECTIVE:** The system must perform routine case functions, keep
the caseworker informed of significant case events, monitor case
activity, provide case status information, and ensure timely case
action.

### Related Program Statutes and Regulations:

45 CFR 309.85(a)

45 CFR 309.95

45 CFR 309.110

45 CFR 309.160

### System Certification Requirements:

a\. The system must perform case monitoring to ensure that case actions
are accomplished within required timeframes. The system must track dates
to ensure that the Tribal program timeframes for locate, paternity
establishment, support order establishment, review and adjustment, and
enforcement (including wage withholding) are met.

b\. Whenever possible, the system should automatically initiate the next
step in case processing without being prompted by the caseworker. The
system should automatically:

1\. Generate documents and notices;

2\. Accept, edit, and verify information and data from various sources;

3\. Flag cases for potential review and adjustment of support
obligations;

4\. Process and distribute collections; and

5\. Direct cases to the next appropriate processing unit once action is
completed in a unit.

**D-5 OBJECTIVE:** The system must support the review and adjustment of
support obligations.

### Related Program Statutes and Regulations: 

45 CFR 309.85

45 CFR 309.95

45 CFR 309.105(a)(4)

45 CFR 309.110

45 CFR 309.130

45 CFR 309.160

45 CFR 309.170

### System Certification Requirements:

a\. The system must track the review and adjustment process to ensure
that the following timeframe is met:

1\. Within X-Timeframe (TBD) after issuance of any order modifying a
child support obligation or a determination of no change in the amount
of child support, the system must:

> \(a\) Alert the caseworker to provide each party with a copy of the
> order, record that copies were provided; or
>
> \(b\) In the case of a petition for modification, the system must
> generate a notice of determination that there should be no change in
> the amount of the child support award.

b\. All information received and actions taken must be recorded in the
automated case record. Data elements must indicate the amount of any
adjustments, including the reason for no adjustment being pursued.

**D-6 OBJECTIVE:** The system must allow for appropriate case closure as
determined by the Tribe or Tribal organization.

### Related Program Statutes and Regulations:

45 CFR 309.65(a)(14)

45 CFR 309.75(d)

45 CFR 309.85

45 CFR 309.95

45 CFR 309.105

45 CFR 309.110

45 CFR 309.130

45 CFR 309.135

45 CFR 309.160

45 CFR 309.170

### System Certification Requirements:

a\. The system must be capable of identifying cases eligible for case
closure.

**D-7 OBJECTIVE:** The system must provide for management of all foreign
cases.

### Related Program Statutes and Regulations:

45 CFR 309.85

45 CFR 309.95

45 CFR 309.105(a)(4)

45 CFR 309.105

45 CFR 309.110

45 CFR 309.115

45 CFR 309.120

45 CFR 309.130

45 CFR 309.160

45 CFR 309.170

### System Certification Requirements:

a\. The system must ensure that foreign cases receive the same services
as intra-Tribal cases.

b\. The system must identify a case as foreign and identify the other
State, Tribe, or Tribal organization and its FIPS identifier.

**D-8 OBJECTIVE:** The system must manage initiating-jurisdiction and
responding-jurisdiction case actions.

### Related Program Statutes and Regulations:

45 CFR 309.85

45 CFR 309.95

45 CFR 309.105

45 CFR 309.110

45 CFR 309.115

45 CFR 309.120

45 CFR 309.130

45 CFR 309.160

45 CFR 309.170

### System Certification Requirements:

a\. In both initiating-jurisdiction and responding-jurisdiction cases,
the system must support the tracking and recording of dates to ensure
that appropriate actions are taken within program standard timeframes.

b\. All actions, including the transfer of the case to another
jurisdiction if the non-custodial parent is located there, must be
automatically noted in the automated case record.

c\. When a case is closed by either the initiating or responding
jurisdiction, the reason and date of closure must be entered in the
automated case record.

## E. ENFORCEMENT

**E-1 OBJECTIVE:** The system must support the monitoring of compliance
with support orders and support the initiation of enforcement actions.

### Related Program Statutes and Regulations:

45 CFR 309.85(a)(2), (3), (4)

45 CFR 309.95

45 CFR 309.110

45 CFR 309.115

45 CFR 309.160

### System Certification Requirements:

a\. The system must automatically:

1\. Monitor and identify cases in which there is a failure to comply
with the support obligation (e.g., delinquency monitoring); and

2\. Initiate appropriate enforcement action (a report, worklist or a
tickler to the appropriate worker).

b\. The system must record and maintain the date the non-custodial
parent fails to make payments in an amount equal to the support payable
for one month or an earlier date in accordance with Tribal law.

**E-2 OBJECTIVE:** The system must support income withholding
activities.

### Related Program Statutes and Regulations: 

45 CFR 309.85(a)

45 CFR 309.95

45 CFR 309.110

45 CFR 309.160

### System Certification Requirements:

a\. The system must automatically allocate amounts received by
withholding, when there is more than one notice for withholding against
the non-custodial parent, among obligations subject to withholding with
priority given to current support.

b\. The system should support the generation of documents necessary to
effect wage withholding on a case.

c\. The system should track dates necessary to monitor the success of
wage withholding ordered on a case, and notify the responsible worker to
take follow-up action when a failure to comply with a wage withholding
order by an employer occurs.

**E-3 OBJECTIVE:** In cases where previous enforcement attempts have
failed, the system must periodically re-initiate enforcement actions.

### Related Program Statutes and Regulations:

45 CFR 309.85

45 CFR 309.95

45 CFR 309.110

45 CFR 309.160

### System Certification Requirements: 

a\. The system should automatically track dates/time periods and take
required actions to re-initiate enforcement actions where previously
actions were unsuccessful.

## F. FINANCIAL MANAGEMENT

**F-1 OBJECTIVE:** The system must automatically process all payments
received.

### Related Program Statutes and Regulations:

45 CFR 309.75(e)

45 CFR 309.85(a)(4), (5)

45 CFR 309.105

45 CFR 309.110

45 CFR 309.115

45 CFR 309.120

45 CFR 309.160

### System Certification Requirements:

a\. The system must accept and uniquely identify all payments.

b\. The system must provide financial controls for balancing and posting
all payment transactions.

c\. The system must generate documents required to support the deposit
of payments/collections in accordance with written procedures.

d\. The system must be capable of adjusting, with supervisory approval,
previously processed payments.

e\. The system must accept and process unidentified and/or suspended
payments in accordance with Tribal written procedures and must support
the identification of such payments.

f\. For each case, the system must maintain a payment history containing
the following information on each payment: amount of the payment; date
of collection; method of payment; and date of disbursement.

**F-2 OBJECTIVE:** The system\'s accounting process must accept and
maintain all financial information, and perform all calculations
relevant to the IV-D program.

### Related Program Statutes and Regulations:

45 CFR 309.65(a)

45 CFR 309.75(e)

45 CFR 309.85

45 CFR 309.85

45 CFR 309.100

45 CFR 309.105(a)(4)

45 CFR 309.110

45 CFR 309.120

45 CFR 309.130

45 CFR 309.145(a)(3)

45 CFR 309.170

### System Certification Requirements:

a\. The system must maintain an audit trail for all transactions.

b\. The system must distribute all current support collections.

c\. The system must calculate, distribute and maintain arrearage
information.

**F-3 OBJECTIVE:** The system must distribute collections in accordance
with Tribal regulations, and any applicable guidance as provided in
Action Transmittals.

### Related Program Statutes and Regulations: 

45 CFR 309.85(a)(4)

45 CFR 309.105

45 CFR 309.110

45 CFR 309.115

45 CFR 309.120

45 CFR 309.160

### System Certification Requirements:

a\. Each time distribution and disbursement takes place, the system must
support the recording of the amount, date of distribution, date of
disbursement, and the recipient.

b\. In inter-jurisdictional cases, the responding jurisdiction's
financial subsystem must provide for disbursement to the initiating
jurisdiction within X-Timeframe (TBD) of receipt. All transfers must be
recorded in or linked to the automated client record. Data to the
initiating jurisdiction must include: identifying case numbers, payment
amount, date of collection, non-custodial parent\'s name and Social
Security Number.

**F-4 OBJECTIVE:** The system must generate notices, to IV-A and former
IV-A recipients continuing to receive IV-D services, about the amount of
support collections and must notify the IV-A agency about collections
for IV-A recipients.

### Related Program Statutes and Regulations:

45 CFR 309.75(c)

45 CFR 309.85(a)

45 CFR 309.95

45 CFR 309.110

45 CFR 309.115

45 CFR 309.160

### System Certification Requirements:

a\. When a collection is received, the financial subsystem must
automatically produce a annual notice of assigned support collections
for IV-A and former IV-A custodial parents who continue to receive IV-D
services and have outstanding arrearages that have been assigned to
another jurisdiction, to the Tribe, or Tribal organization. The annual
notice must separately list payments collected from each non-custodial
parent, if appropriate, and must indicate the amount of current support,
the amount of arrearage collected, and the amount of support collected
which was disbursed to the family.

b\. If applicable, the IV-D agency must provide the IV-A agency
information on the amount of monthly support collections received for
each IV-A case. The information must be provided within X-Timeframe
(TBD) in working days of the end of the month in which those collections
were received by the IV-D agency responsible for final distribution. The
information must include the amount, case number, and date of collection
for each payment.

.

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## G. REPORTING

**G-1 OBJECTIVE:** The system must maintain information required to
prepare Federal reports.

### Related Program Statutes and Regulations:

45 CFR 309.130

45 CFR 309.170

### System Certification Requirements:

a\. The TCSE system or the accounts management system of the Tribe or
Tribal organization should maintain all appropriate information required
to complete the Statistical and Narrative Report.

b\. The system should maintain all information required to complete the
OCSE-34A report.

c\. The TCSE system or the accounts management system of the Tribe or
Tribal organization should maintain all information required to complete
the Standard Form 269 report.

d\. The TCSE system or the accounts management system of the Tribe or
Tribal organization should maintain all information necessary to
complete other reports defined as necessary by the Tribal government, or
for which instructions have been issued by OCSE to complete its Annual
Report to Congress.

**G-2 OBJECTIVE:** The system must provide an automated daily
report/worklist to each caseworker to assist in case management and
processing.

### Related Program Statutes and Regulations:

45 CFR 309.85(a)(7)

### System Certification Requirements:

a\. The system must generate operational reports at the caseworker and
unit level to facilitate their day-to-day work. As determined necessary
by the IV-D agency, the report/worklist, whether manual or automated,
must provide the following types of information:

1\. Cases needing review per prioritization or case aging (e.g., program
standards and timeframes) criteria;

2\. Any required follow-up case reviews and/or actions triggered
manually by the caseworker, unit or jurisdiction, or automatically by
the system;

3\. Cases to be automatically acted on by the system, e.g., wage
withholding cases, which may require caseworker review and/or action;
and

4\. Cases newly assigned that require caseworker review and/or action.

***Note**: All triggered caseworker review and action requirements on
the automated daily report/worklist should include some form of case
aging indicator, relative to applicable Federal and Tribal IV-D program
standards and timeframes.*

**G-3 OBJECTIVE:** The system must generate reports required to ensure
and maintain the accuracy of data and to summarize accounting
activities.

### Related Program Statutes and Regulations:

45 CFR 309.85

45 CFR 309.110

45 CFR 309.115

45 CFR 309.130

45 CFR 309.170

### System Certification Requirements:

a\. The system must ensure the validity of data entered into the system
and generate error/edit reports.

b\. The system should generate reports pertaining to the following
financial activities, as applicable:

1\. Collections,

2\. Escrowed collectibles,

3\. Adjustments,

4\. Fees collected,

5\. Future and arrearage payments,

6\. Inter-jurisdiction collections,

7\. Checks and check registers,

8\. Summary of distribution of child support,

9\. Summary of receipts by collecting agency, and

10\. Interest collected.

**G-4 OBJECTIVE:** The system should provide management reports for
monitoring and evaluating both employee, office/unit and program
performance.

### Related Program Statutes and Regulations:

45 CFR 309.85(a)(7)

### System Certification Requirements:

The system must have a reporting capability to provide management the
flexibility to obtain information on an as-needed basis and to satisfy
new information needs.

**G-5 OBJECTIVE:** The system must support the expeditious review and
analysis of all data that is maintained, generated, and reported by the
system.

### Related Program Statutes and Regulations:

45 CFR 309.160

### System Certification Requirements:

a\. All program, financial, statistical, and other data maintained by
the system must be auditable.

b\. The system must generate an automated case history, as defined by
the Tribal program, for each case that includes actions taken, the dates
of actions, and, if appropriate, the results of these actions.

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## H. SECURITY AND PRIVACY

**H-1 OBJECTIVE:** The Tribe or Tribal organization must have policies
and procedures to evaluate the system for risk on a periodic basis. The
Tribal agency shall have in effect safeguards on the integrity,
accuracy, and completeness of, access to, and use of data in the
automated system required by this section, which shall include the
following (in addition to such other safeguards as the Secretary may
specify in regulations). The Tribal agency shall have written policies,
concerning access to data by Tribal agency personnel and sharing of data
with other persons, which permit access to and use of data only to the
extent necessary to carry out the Tribal program under this part; and
specify the data which may be used for particular program purposes, and
the personnel permitted access to such data**.**

### Related Program Statutes and Regulations:

45 CFR 309.80(b)

45 CFR 309.85(a)(7)

### System Certification Requirements:

a\. Responsibility for conducting periodic risk analysis must be
formally assigned.

b\. Security and data integrity, accuracy and completeness will be
periodically assessed.

c\. A specific timetable for conducting a risk analysis must be
established. The plan must ensure that special evaluations are performed
whenever a significant change to the system\'s physical security,
hardware, or operating system software occurs.

**H-2 OBJECTIVE:** The system must be protected against unauthorized
access to computer resources and data in order to reduce erroneous or
fraudulent activities and protect the privacy rights of individuals
against unauthorized disclosure of confidential information.

### Related Program Statutes and Regulations:

45 CFR 309.80(b)

45 CFR 309.85(a)(7)

### System Certification Requirements:

a\. System, terminal, and password identifications must be controlled,
and must uniquely identify the system user.

b\. The system must automatically require the system user to change
passwords periodically.

c\. The system must provide security levels for access to records and
files and utilize automatic sign-off techniques.

d\. Procedures for system and terminal user identification assignment,
maintenance, and cancellation must be in place.

1\. Delegation and maintenance of the password system must be limited to
a select number of people; and

2\. A mechanism must be in place to quickly notify those responsible
when there are personnel changes.

e\. The system must detect, record, and lock out unauthorized attempts
to gain access to system software and data.

f\. Access to negotiable or sensitive forms must be restricted.

g\. For security purposes, the system must be capable of maintaining
information on all changes to critical records and/or data fields (e.g.,
Arrearage Balance, Monthly Court-Ordered Support Amounts, Social
Security Number (SSN), Name, Family Violence Indicator, etc.) including
identification of the responsible system user/caseworker and date/time
of the change.

h\. The system must be capable of routinely monitoring the access to use
of the automated system.

i\. The system must prevent disclosure of information on persons
designated as subject to family violence.

**H-3 OBJECTIVE:** The Tribe or Tribal organization must have procedures
in place for the retrieval, maintenance, and control of the application
software**.**

### Related Program Statutes and Regulations:

45 CFR 309.80(b)

45 CFR 309.85(a)(7)

### System Certification Requirements:

a\. Change control procedures must be established to verify and validate
changes to master files and application software.

b\. Change control procedures must ensure that only authorized changes
are made to the application software and that these changes are fully
tested, approved, and migrated into production in a controlled manner,
and documented to provide an audit trail of all system maintenance.

c\. Application software development must also include recovery and
re-start capabilities for events such as operator errors, data errors
and/or hardware/software failures.

d\. All testing of programs must be accomplished using test data as
opposed to \"live (production) data\".

***Note**: The use of \"live (production) data\" in a test environment
is acceptable, and encouraged.*

e\. An audit trail of all operating system actions must be maintained
either on the automatic console log or on the computer system\'s job
accounting file.

f\. Access to system utility programs must be limited to necessary
individuals with specific designation.

**H-4 OBJECTIVE:** The Tribe or Tribal organization must have procedures
in place for the retrieval, maintenance, and control of program
data**.**

### Related Program Statutes and Regulations:

45 CFR 309.80(b)

45 CFR 309.85(a)(7)

### System Certification Requirements:

a\. All changes to master files must be authorized and initiated by
persons independent of the data processing function.

b\. Override capability or bypassing of data validation on editing
problems must be restricted to supervisory personnel.

**H-5 OBJECTIVE:** The system hardware, software, documentation, and
communications must be protected and back-ups must be available.

### Related Program Statutes and Regulations:

45 CFR 309.80(b)

45 CFR 309.85(a)(7)

### System Certification Requirements:

a\. The Tribe or Tribal organization must have an approved disaster
recovery plan which provides detailed actions to be taken in the event
of a natural disaster (fire, water damage, etc.) or a disaster resulting
from negligence, sabotage, mob action, etc. The disaster recovery plan
should at a minimum include:

1\. Documentation of approved backup arrangements,

2\. Formal agreement of all parties,

3\. An established processing priority system, and

4\. Periodic testing of the backup procedures.

b\. The Tribe or Tribal organization must maintain a listing of
retention periods for all application and operating system files and
program versions.

c\. The system must have, or be supported by, a recovery and restore
capability in case of system malfunction or failure.

d\. The Tribe or Tribal organization must conduct routine, periodic
backups of all child support system data files, application programs,
and documentation.

e\. The Tribe or Tribal organization must store duplicate sets of files,
programs, documentation, etc., off-site in secure waterproof and
fireproof facilities.

**H-6 OBJECTIVE:** The system must be capable of processing data related
to calendar year 2000**.**

### Related Program Statutes and Regulations:

45 CFR 309.85(a)(7)

### System Certification Requirements:

All information technology hardware, software, and firmware product
utilized by the comprehensive automated child support enforcement system
shall be able to accurately process date/time data (including, but not
limited to, calculating, comparing, and sequencing) from, into, and
between the twentieth and twenty-first centuries, and the years 1999 and
2000 and leap year calculations to the extent that other information
technology, used in combination with the information technology being
acquired, properly exchanges date/time data with it.

# List of Acronyms

**45 CFR 309** Code of Federal Regulations, Title 45, Chapter III --
Office of Child Support Enforcement, Part 309_Tribal Child Support
Enforcement (IV-D) Program.

**ACF** The Administration for Children and Families (ACF), within the
Department of Health and Human Services (HHS) is responsible for federal
programs that promote the economic and social well-being of families,
children, individuals, and communities.

**ADP** Automated data processing system

**CSE** Child Support Enforcement

**CP** Custodial Parent

**EDI** Electronic Data Interchange

**FIPS** Federal Information Processing Standard (FIPS) 6-4 provides the
names and codes that represent the counties and other entities treated
as equivalent legal and/or statistical subdivisions of the 50 States,
the District of Columbia, and the possessions and freely associated
areas of the United States.

**HHS** Health and Human Services

**NCP** Non-Custodial Parent

**NOS** Network Operating System

**Non-IV-A cases** Cases maintained on the system which are not
recipients of IV-A (TANF) services.

**Non-IV-D cases** Cases maintained on the system which are not
recipients of IV-D services (e.g., payment-processing-only type cases).

**OCSE** Office of Child Support Enforcement, within the Administration
for Children and Families.

**SSN** Social Security Number

**TANF** See Title IV-A.

**TCSE** Tribal Child Support Enforcement (IV-D Program). See Title
IV-D.

**Title IV-A** Title IV, Part A of the Social Security Act, Temporary
Assistance to Needy Families (TANF). The Personal Responsibility and
Work Opportunity Reconciliation Act of 1996 (PRWORA) (Pub. L. 104-193),
as amended, established the Temporary Assistance for Needy Families
(TANF) block grant program.

**Title IV-D** Title IV, Part D of the Social Security Act, Child
Support and Establishment of Paternity (Child Support Enforcement
Program). See also the Personal Responsibility and Work Opportunity
Reconciliation Act of 1996 (PRWORA) (Pub. L. 104-193).

**Title IV-E** Title IV, Part E of the Social Security Act, Federal
Payments for Foster Care and Adoption Assistance (Foster Care). See also
the Personal Responsibility and Work Opportunity Reconciliation Act of
1996 (PRWORA) (Pub. L. 104-193).

**Title XIX** Title XIX of the Social Security Act, Medical Assistance
Programs (Medicare and Medicaid Programs).

# List of Reports

**Annual Report to Congress**. Statistical report of national child
support data. This report is now available on the OCSE website at\
<http://www.acf.dhhs.gov/programs/cse/prgrpt.htm>

**OCSE 34-A Report**. Child Support Enforcement Program: Quarterly
Report of Collections (Form OCSE-34A). See OCSE Action Transmittal 03-04
(OCSE-AT-03-04).

**SF 269 Report** Office of Management and Budget (OMB) Standard Form
269, prescribed by OMB Circulars A-102 and A-110. Federal agencies
require grantees to use the SF-269, Financial Status Report-Long Form,
or SF-269a, Financial Status Report-Short Form, to report the status of
funds for all non-construction projects or programs.

**Statistical and Narrative Report**. In accordance with 45 CFR 309.170
(c), the Tribal IV-D program statistical and narrative reports for each
funding period, including data on:

> \(1\) Total number of cases and, of the total number of cases, the
> number that are State or Tribal TANF cases and the number that are
> non-TANF cases;
>
> \(2\) Total number of out-of-wedlock births in the previous year and
> total number of paternities established or acknowledged;
>
> \(3\) Total number of cases and the total number of cases with a
> support order;
>
> \(4\) Total amount of current support due and collected;
>
> \(5\) Total amount of past-due support owed and total collected;
>
> \(6\) A narrative report on activities, accomplishments, and progress
> of the program, including success in reaching the performance targets
> established by the Tribe or Tribal organization;
>
> \(7\) Total costs claimed;
>
> \(8\) Total amount of fees and costs recovered; and
>
> \(9\) Total amount of laboratory paternity establishment costs.