[Federal Register Volume 63, Number 2 (Monday, January 5, 1998)]
[Proposed Rules]
[Pages 187-193]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 98-088]


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DEPARTMENT OF HEALTH AND HUMAN SERVICES

Administration for Children and Families

45 CFR Parts 302, 303, and 304

RIN 0970-AB69


Child Support Enforcement Program; State Plan Requirements, 
Standards for Program Operations, and Federal Financial Participation

AGENCY: Office of Child Support Enforcement (OCSE), HHS.

ACTION: Notice of proposed rulemaking

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SUMMARY: This proposed rule would implement part of the paternity 
establishment provisions contained in section 331 of the Personal 
Responsibility and Work Opportunity

[[Page 188]]

Reconciliation Act of 1996 (PRWORA) and amended by section 5539 of Pub. 
L. 105-33, which impose new statutory requirements for a State's 
voluntary paternity acknowledgement process and require the Secretary 
to promulgate regulations governing voluntary paternity establishment 
services and identifying the types of entities other than hospitals and 
birth record agencies that may be allowed to offer voluntary paternity 
establishment services. States will be required to adopt laws and 
procedures that are in accordance with the statutory and regulatory 
provisions. These proposed regulations will address these procedures 
and related provisions.

DATES: Consideration will be given to written comments received by 
March 6, 1998.

ADDRESSES: Comments should be submitted in writing to the Office of 
Child Support Enforcement, Administration for Children and Families, 
370 L'Enfant Promenade, SW., 4th Floor, Washington, DC 20447, 
Attention: Director of Policy and Planning Division, Mail Stop: OCSE/
DPP. Comments may also be submitted by sending electronic mail (e-mail) 
to <a href="/cdn-cgi/l/email-protection#cbababa1b9a4bfa3b8bfaea2a58baaa8ade5afa3a3b8e5aca4bd">``<span class="__cf_email__" data-cfemail="076d7568736f7473626e694766646129636f6f7429606871">[email protected]</span></a>.'', or by telefaxing to 202-401-3444. This 
is not a toll-free number. Comments sent electronically must be in 
ASCII format. Comments will be available for public inspection Monday 
through Friday, 8:30 a.m. to 5:00 p.m. on the 4th floor of the 
Department's offices at the above address.

FOR FURTHER INFORMATION CONTACT: Jan Rothstein, OCSE Division of Policy 
and Planning, (202) 401-5073. Hearing impaired individuals may call the 
Federal Dual Party Relay Service at 800-877-8339 between 8:00 a.m. and 
7:00 p.m. Eastern time.

SUPPLEMENTARY INFORMATION:

Paperwork Reduction Act

    Section 466(a)(5)(C) of the Social Security Act (the Act) as added 
by section 331 of Pub. L. 104-193 and amended by section 5539 of Pub. 
L. 105-33 contains a requirement that information be disclosed to a 
third party. As required by the Paperwork Reduction Act of 1995 (44 
U.S.C. 3507(d)), the Administration for Children and Families has 
submitted a copy of this section to the Office of Management and Budget 
(OMB) for its review.
    Section 466(a)(5)(C) of the Act as added by section 331 of Pub. L. 
104-193 and amended by section 5539 of Pub. L. 105-33 requires States 
to pass laws ensuring a simple civil process for voluntarily 
acknowledging paternity under which the State must provide that, before 
a mother and putative father can sign a voluntary acknowledgement of 
paternity, the mother and putative father must be given notice, orally 
or through the use of video or audio equipment and in writing of the 
alternatives to, the legal consequences of, and the rights (including 
any rights, if a parent is a minor, due to minority status) and 
responsibilities of acknowledging paternity. To comply with this 
requirement States must disclose information about these rights in 
written and oral formats or through the use of video or audio equipment 
to mothers and putative fathers. We estimate the time needed to 
disclose the information to mothers and putative fathers to be 
approximately 10 minutes. In order to ensure effective disclosure of 
this information, States will need to provide training to other State 
employees and the employees of local governments, non-profits and for 
profit businesses. We estimate this training will take an additional 
1,600 hours yearly for all entities. We have added these hours to the 
time estimated to be necessary for the third party disclosure in order 
to establish the total estimated burden hours for this requirement.
    Likely respondents to the third party disclosure include hospitals, 
TANF agencies, Food Stamp agencies, WIC centers, Maternal and Child 
Health centers, doctors, lawyers, and secondary schools. While the 
total number of potential respondents is approximately 2,000,000, we 
expect the actual number of respondents will be closer to 100,000. We 
estimate that 448,600 paternities will be voluntarily established in 
1998 and of that number half will be established in hospitals. The 
total burden hours estimated for the third party disclosure are 76,059.
    To ensure that public comments have maximum effect in developing 
the final regulations, ACF urges that persons wishing to comment 
clearly identify the specific section or sections of the regulations 
that the comment addresses and that comments be in the same order as 
the regulations.
    ACF will consider comments by the public on these proposed 
collections of information in:
    <bullet> Evaluating whether the proposed collections are necessary 
for the proper performance of the functions of ACF, including whether 
the information will have practical utility;
    <bullet> Evaluating the accuracy of ACF's estimate of the burden of 
the proposed collections of information, including the validity of the 
methodology and assumptions used;
    <bullet> Enhancing the quality, usefulness, and clarity of the 
information to be collected; and
    <bullet> Minimizing the burden of the collection of information on 
those who are to respond, including through the use of appropriate 
automated, electronic, mechanical, or other technology, e.g., 
permitting electronic submission of responses.
    OMB is required to make a decision concerning the collection of 
information contained in this proposed regulation between 30 and 60 
days after publication of this document in the Federal Register. 
Therefore, a comment is best assured of having its full effect if OMB 
receives it within 30 days of publication. This does not affect the 
deadline for the public to comment to the Department on the proposed 
regulations. Written comments to OMB for the proposed information 
collection should be sent directly to the following: Office of 
Management and Budget, Paperwork Reduction Project, 725 17th Street, 
NW., Washington DC 20503, Attn: Ms. Wendy Taylor.

Statutory Authority

    These proposed regulations are published under the authority of 
section 466(a)(5)(C) of the Act, as amended by section 331 of Pub.L. 
104-193. Section 466(a)(5)(C)(iii) of the Act requires the Secretary to 
promulgate regulations governing voluntary paternity establishment 
services and identifying the types of entities other than hospitals and 
birth record agencies that may be allowed to offer voluntary paternity 
establishment services. States will be required to adopt laws and 
procedures that are in accordance with the statutory and regulatory 
provisions.

Background

    Paternity establishment is a necessary first step for obtaining 
child support in cases where a child is born out-of-wedlock. In 
addition to child support, there are other potential financial benefits 
to establishing paternity, including establishing a child's rights to 
the father's Social Security benefits, veterans' benefits, pension 
benefits, and other rights of inheritance. Paternity establishment 
could also be the first step in developing a psychological and social 
bond between the father and child, in giving the child social and 
psychological advantages and a sense of family heritage, and in 
providing access to important medical history information.
    Congress and the Federal government have long recognized the 
importance of paternity establishment. In 1975, Title IV-D of the 
Social Security Act was

[[Page 189]]

enacted to require States to establish public child support agencies. 
These IV-D agencies provide child support enforcement services, 
including paternity establishment services. The Child Support 
Enforcement Amendments of 1984 required States to permit paternity to 
be established until a child's 18th birthday.
    The Family Support Act of 1988 contained several provisions 
designed to improve paternity establishment, including performance 
standards, timeframes for case processing, enhanced funding (90% 
Federal financial participation) for genetic testing, a requirement 
that States compel all parties in a contested paternity case to submit 
to genetic testing upon the request of a party, a requirement that 
States compel each parent to provide his or her social security number 
as part of the birth certificate issuance process, and a clarification 
of the earlier expansion of the requirement permitting paternity 
establishment to 18 years of age.
    The Omnibus Reconciliation Act of 1993 (OBRA '93) further reformed 
the child support enforcement program to increase the performance 
standards for both the number of paternities established for children 
born out-of-wedlock and the timeliness with which paternity 
establishment is accomplished. One major provision of OBRA '93 was the 
requirement that States have laws providing for voluntary paternity 
establishment services at birthing hospitals statewide.
    Partly as a result of these Federal and State statutory provisions 
and their implementation, the number of paternities established each 
year by the IV-D Child Support Enforcement program has increased 
substantially from about 270,000 in fiscal year (FY) 1987 to over 
553,000 in FY 1993, an increase of over 100 percent in just six years. 
Nearly a million paternities were established in FY 1996, an increase 
of over 80 percent in the three years since enactment of OBRA '93.
    Finally, in section 101 of PRWORA, Congress cited a number of 
social and statistical findings relating to the need for paternity 
establishment. In 1992, only 54 percent of single-parent families with 
children had a child support order established and, of that number, 
only about one-half received the full amount due. Of the cases enforced 
through the public child support enforcement system, only 18 percent of 
the caseload has a collection. The number of individuals receiving IV-D 
services more than tripled since 1965, and more than two-thirds of 
these recipients are children, with eighty-nine percent of children 
receiving Aid to Families with Dependent Children benefits living in 
homes in which no father is present. The increase in the number of 
children receiving public assistance is closely related to the increase 
in births to unmarried women. Congress further cited that between 1970 
and 1991, the percentage of live births to unmarried women increased 
nearly threefold, from 10.7 percent to 29.5 percent, and if the current 
trend continues, 50 percent of all births by the year 2015 will be out-
of-wedlock. The estimated rate of nonmarital teen pregnancy rose 23 
percent from 54 pregnancies per 1,000 unmarried teenagers in 1976 to 
66.7 pregnancies in 1991, while the overall rate of nonmarital 
pregnancy rose 14 percent from 90.8 pregnancies per 1,000 unmarried 
women in 1980 to 103 in both 1991 and 1992.

Description of Statutory Provisions

    Section 466(a)(5)(C)(iii)(II)(aa) of the Act as amended by Pub. L. 
104-193 requires that ``(T)he Secretary shall prescribe regulations 
governing voluntary paternity establishment services offered by 
hospitals and birth record agencies.'' Section 
466(a)(5)(C)(iii)(II)(bb) of the Act as amended by Pub. L. 104-193 
requires that ``(T)he Secretary shall prescribe regulations specifying 
the types of other entities that may offer voluntary paternity 
establishment services, and governing the provision of such services, 
which shall include a requirement that such an entity must use the same 
notice provisions used by, use the same materials used by, provide the 
personnel providing such services with the same training provided by, 
and evaluate the provision of such services in the same manner as the 
provision of such services is evaluated by, voluntary paternity 
establishment programs of hospitals and birth record agencies.''
    The statute also requires that States develop procedures for a 
simple civil process for voluntarily acknowledging paternity. This 
process must ensure that a mother and a putative father do not sign an 
acknowledgement of paternity before they are both given notice orally 
or through the use of video or audio equipment and in writing of the 
alternatives to, the legal consequences of, and the rights (including 
those rights due to minority status) and responsibilities of 
acknowledging paternity. In addition, section 466(a)(5)(M) of the Act 
requires that States develop procedures under which voluntary 
acknowledgements and adjudications of paternity by judicial or 
administrative processes are filed with the State registry of birth 
records for comparison with information in the State case registry. 
These changes required by PRWORA are largely expansions on requirements 
previously established under OBRA '93. However, as noted above, the Act 
now requires the Secretary to prescribe by regulations the types of 
other entities that may offer voluntary paternity establishment 
services and to write regulations governing the voluntary paternity 
establishment services offered by hospitals, birth record agencies, and 
other entities participating in the State's voluntary paternity 
establishment program.
    We propose to implement the requirements of amended section 
466(a)(5)(C) by amending Sec. 302.70, addressing State laws, 
Sec. 303.5, addressing establishment of paternity and Sec. 304.20, 
addressing availability and rate of Federal financial participation.

Regulatory Philosophy

    Historically in the child support enforcement program, the Federal 
government had specified in detailed regulations how things must be 
done by States. The Federal Office of Child Support Enforcement (OCSE) 
has entered an era which necessitates a new philosophy with respect to 
Federal mandates through regulation. Because the President is committed 
to reducing the burden on States and streamlining regulations, OCSE's 
new watchwords are partnership, results, flexibility, and 
accountability.
    Since OCSE's partnership with States is built on shared trust and 
the primary Federal concern is results, we believe our partners in 
State and local government should have a significantly greater degree 
of flexibility, within the constraints of the Federal statute, than 
previously permitted. Striking the appropriate balance between 
flexibility and standardization will be a continuing challenge as OCSE 
strives for an environment that encourages and rewards rather than 
stifles creativity throughout the child support community.
    These proposed regulations reflect OCSE's consultation with our 
partners and stakeholders on how detailed the required procedures 
should be and what other sources of voluntary paternity establishment 
services should be included in the list of entities. OCSE took into 
careful consideration the fact that so many of the Federal requirements 
in the new law will necessitate State legislation. In the past, there 
occasionally have been concerns when State legislatures enacted 
legislation in response to Federal

[[Page 190]]

statutory and regulatory requirements, but had to return in a later 
session to enact State laws in response to new or additional Federal 
regulations. We were concerned to avoid that situation here, if at all 
possible.
    Because the Federal statute and regulations are fairly explicit 
with respect to State requirements governing paternity establishments, 
we believe it prudent to merely extend existing regulatory requirements 
which govern voluntary paternity acknowledgement in hospitals to govern 
birth record agencies and other entities participating in the State's 
voluntary paternity establishment program as well.
    Other paternity establishment provisions contained in section 331 
of Pub. L. 104-193, as well as other portions of Pub. L. 104-193 that 
address paternity issues, are not addressed in this proposed 
rulemaking. Necessary changes to existing regulations which are 
inconsistent with new Federal mandates will be addressed in a separate 
omnibus rule-making. While we do not intend at this time to restate 
Federal statutory requirements in regulations, should the need arise 
based on unforeseen circumstances, we will work with our partners and 
stakeholders to determine if further regulation and guidance is needed 
to ensure consistent and effective compliance with Federal statutory 
requirements and expectations.
    In considering how best to implement the statutory requirement that 
the Secretary promulgate regulations for expanding voluntary paternity 
establishment services to include not only birthing hospitals, but also 
birth record agencies and other entities, OCSE has looked for guidance 
from the President's National Performance Review guidelines for 
reinventing regulations. The guiding principles are to: cut obsolete 
regulations; reward results, not red tape; get out of Washington to 
create grass roots partnerships; and negotiate, not dictate.

Consultation Process

    With these guidelines and OCSE's watchwords of partnership, 
results, flexibility, and accountability, we elicited input from our 
partners, including State and local IV-D administrators, State and 
Federal birth record agencies, and others with empirical and applied 
knowledge of voluntary paternity establishment services. OCSE has 
consulted with the National Governors' Association, the American Public 
Welfare Association, the National Conference of State Legislatures, the 
National Association of Counties, the AFL-CIO, the Center for Law and 
Social Policy, the Children's Defense Fund, the Center for Budget and 
Policy Priorities, the United States Conference of Mayors, the National 
League of Cities, Child Trends, the Manpower Development Research 
Corporation, the Urban Institute, the Coalition on Human Needs, the 
National Association of Social Workers, the National Organization for 
Women's Legal Defense Fund, the American Association of University 
Women, and others. Some of our partners have long-term experience in 
the in-hospital program for voluntary paternity establishment services, 
others have a wider breadth of experience from a vital records 
perspective, and still others have come from a child support 
enforcement background with varied experience in working with and 
through their partners, and in achieving legislative enactments and 
implementation successes. With their help, we developed the list of 
entities where States may make voluntary paternity establishment 
services available.

Description of Regulatory Provisions--Section 302.70(a)(5)(iii)

Current Regulations

    Current Sec. 302.70(a)(5)(iii) requires States to have in effect 
laws requiring the use of procedures for a simple civil process for 
voluntarily acknowledging paternity under which the State must provide 
that the rights and responsibilities of acknowledging paternity are 
explained, and ensure that due process safeguards are afforded. Such 
procedures must include a hospital-based program for the voluntary 
acknowledgement of paternity in the period immediately before or after 
the birth of a child to an unmarried woman, and a requirement that all 
public and private birthing hospitals participate in the program. Such 
procedures must also include a process for voluntarily acknowledging 
paternity outside of hospitals.

Proposed Regulations

    We propose that section 302.70(a)(5)(iii) be revised to require a 
State to have in effect laws requiring procedures for a simple civil 
process for voluntarily acknowledging paternity. Under these 
procedures, before a mother and putative father can sign a voluntary 
acknowledgement of paternity, the mother and the putative father must 
be given notice, orally or through the use of video or audio equipment 
and in writing, of the alternatives to, the legal consequences of, and 
the rights (including any rights, if a parent is a minor, due to 
minority status) and responsibilities of acknowledging paternity, and 
ensure that due process safeguards are afforded. This section would be 
further revised to specify that both parents are to sign the voluntary 
acknowledgement.
    We propose to revise paragraph (a)(5)(iii)(B) to require that State 
procedures must include a program for voluntary acknowledgement of 
paternity in birth record agencies and in other entities participating 
in the State's voluntary paternity establishment program. We propose to 
add a new paragraph (a)(5)(iii)(C) to require that State procedures 
governing hospital-based programs and birth record agencies must also 
apply to other entities participating in the State's voluntary 
paternity establishment program, including the use of the same notice 
provisions, the same materials, the same evaluation methods, and the 
same training for the personnel of these other entities providing 
voluntary paternity establishment services.

Description of Regulatory Provisions--Section 303.5(g)

Current Regulations

    Current Sec. 303.5(g) requires States to establish, in cooperation 
with hospitals, a hospital-based program in every public and private 
birthing hospital, by January 1, 1995, for voluntary paternity 
acknowledgement during the period immediately before or after the birth 
of a child to an unmarried woman.
    The hospital-based program:
    (1) Must provide to both the mother and alleged father, if he is 
present in the hospital, written materials about paternity 
establishment, the forms necessary to voluntarily acknowledge 
paternity, a written description of the rights and responsibilities of 
acknowledging paternity, and the opportunity to speak with staff, 
either by telephone or in person, who are trained to clarify 
information and answer questions about paternity establishment;
    (2) Must also provide the mother and alleged father, if he is 
present, the opportunity to voluntarily acknowledge paternity in the 
hospital, afford due process safeguards, and forward the completed 
acknowledgments or copies to the entity designated by the State; and
    (3) Need not provide the voluntary paternity acknowledgement 
services in cases where the mother or alleged father is a minor or a 
legal action is already pending, if the provision of such services is 
precluded by State law.
    The State must:

[[Page 191]]

    (1) Require that a voluntary acknowledgment obtained through a 
hospital-based program be signed by both parents, and that the parents' 
signatures be authenticated by a notary or witness(es);
    (2) Provide to all public and private birthing hospitals in the 
State written materials about paternity establishment, forms necessary 
to voluntarily acknowledge paternity, and copies of a written 
description of the rights and responsibilities of acknowledging 
paternity;
    (3) Provide training, guidance, and written instructions regarding 
voluntary acknowledgment of paternity, as necessary to operate the 
hospital-based program;
    (4) Assess each birthing hospital's program on at least an annual 
basis; and
    (5) Designate an entity to which hospital-based programs must 
forward completed voluntary acknowledgments or copies. Under the State 
procedures, this entity must be responsible for promptly recording 
identifying information about the acknowledgments with a statewide 
database, and the IV-D agency must have timely access to whatever 
identifying information and documentation it needs to determine if an 
acknowledgment has been recorded and to seek a support order on the 
basis of a recorded acknowledgment.

Proposed Regulations

    We propose to revise 45 CFR 303.5(g)(1) to require that the State 
voluntary paternity establishment program also be available at the 
State birth record agency, local birth record agencies designated by 
the State and at other entities designated by the State. The 
designation of the particular entities that may offer voluntary 
paternity establishment services would be the responsibility of the 
State.
    These entities to be identified by the State could include the 
following and similar entities: public health clinics (including 
Supplementary Feeding Program for Women, Infants, and Children (WIC) 
and Maternal and Child Health (MCH) clinics); private health care 
providers (including obstetricians, gynecologists, pediatricians, and 
midwives); agencies providing assistance or services under title IV-A 
of the Act; agencies providing food stamp eligibility services; 
agencies providing child support enforcement (IV-D) services; Head 
Start and child care agencies (including child care information and 
referral providers); individual child care providers; Community Action 
Agencies and Community Action Programs; secondary education schools 
(particularly those that have parenthood education curricula); Legal 
Aid agencies; and private attorneys; and any similar public or private 
health, welfare, or social services organization.
    Although the Secretary is required to prescribe in regulations the 
``types of entities'' which States may designate to provide voluntary 
paternity services, we wish to allow States the broadest possible 
discretion to determine which entities within their jurisdiction should 
be designated, trained and empowered to provided this important 
service.
    We also propose to revise Sec. 303.5(g), to replace the reference 
to the requirement that the State designate an entity to which the 
voluntary acknowledgement program must forward completed voluntary 
acknowledgement forms or copies with a requirement that the State 
designate the State registry of birth records as the entity to which 
the voluntary acknowledgement program must forward completed voluntary 
acknowledgment forms or copies. We also propose to replace references 
to the hospital-based voluntary paternity establishment program with 
references to hospitals, birth record agencies, and other entities 
participating in the State's voluntary paternity establishment program.
    By making these changes, we propose to expand the applicability of 
all existing provisions in Sec. 303.5(g)(2)-(8) to birth record 
agencies and other entities participating in the State's voluntary 
paternity establishment program. This is consistent with the statutory 
requirement that the Secretary prescribe regulations governing the 
provision of services by the other entities. The statute specifies that 
the other entities participating in the State's voluntary paternity 
establishment program must use the same materials and be trained and 
evaluated in the same manner as the voluntary paternity establishment 
programs of hospitals and birth record agencies. We believe this 
consistency will greatly facilitate the establishment of paternities by 
entities other than hospitals and birth record agencies.
    Additionally, to reflect other new statutory requirements, we 
propose to revise Sec. 303.5(g)(2)(i)(C) and Sec. 303.5(g)(5)(iii), to 
require that hospitals, birth record agencies, and other entities 
participating in the voluntary paternity establishment program provide 
to the mother, and the father if present, an oral as well as written 
description of the consequences of voluntarily acknowledging paternity. 
The information about consequences may also be provided through the use 
of video or audio equipment.
    The description must address not only the rights and 
responsibilities of acknowledging paternity, but also the alternatives 
to, and the legal consequences of, acknowledging paternity. In 
addition, the description must ensure that due process safeguards are 
afforded and that any rights due to minority status be described to the 
parents if a parent is a minor.

Description of Regulatory Provisions--Section 304.20(b)(2)

Current Regulations

    Under current Sec. 304.20(b)(2)(vi), Federal financial 
participation is available for State administrative costs for paternity 
establishment services, including payments up to $20 to birthing 
hospitals and other entities that provide prenatal or birthing services 
for each voluntary acknowledgment obtained pursuant to an agreement 
with the IV-D agency. Under current Sec. 304.20(b)(2)(vii), Federal 
financial participation is available for developing and providing to 
birthing hospitals and other entities that provide prenatal or birthing 
services written and audiovisual materials about paternity 
establishment and forms necessary to voluntarily acknowledge paternity. 
Under current Sec. 304.20(b)(2)(viii), Federal financial participation 
is available for reasonable and essential short-term training regarding 
voluntary acknowledgment of paternity associated with a State's 
hospital-based program.

Proposed Regulations

    We propose to revise these paragraphs to allow Federal financial 
participation in these allowable costs with respect to birth record 
agencies and other entities participating in the voluntary paternity 
establishment program. This is consistent with our proposal to expand 
the applicability of all existing provisions in Sec. 303.5(g) (2)-(8) 
to birth record agencies and other entities participating in the 
State's voluntary paternity establishment program.

Regulatory Flexibility Analysis

    The primary impact of these regulations is on State governments and 
individuals, which are not considered small entities under the 
Regulatory Flexibility Act. Most of the requirements being imposed on 
entities are required by statute. The regulations require hospitals, 
birth record agencies and the other entities participating in the 
State's voluntary paternity establishment program to be subject only to 
certain minimal requirements.

[[Page 192]]

These requirements include: undergoing training, being evaluated 
annually, providing oral and written information to mothers and 
putative fathers, and transmitting the acknowledgements to the State 
registry of birth records. The information about consequences may also 
be provided through the use of video or audio equipment. The Federal 
regulations do not specify the nature or extent of the training, 
evaluation or materials to be provided. The States will furnish the 
training, conduct the evaluation, and provide the materials and forms 
to be used. The requirements imposed by the regulations do not result 
in a significant impact on a substantial number of small entities. 
Therefore, the Secretary certifies, under 5 U.S.C. 605(b), as enacted 
by the Regulatory Flexibility Act (Pub. L. 96-354), that these proposed 
regulations will not result in a significant impact on a substantial 
number of small entities.

Executive Order 12866

    Executive Order 12866 requires that regulations be reviewed to 
ensure that they are consistent with the priorities and principles set 
forth in the Executive Order. The Department has determined that this 
rule is consistent with these priorities and principles. The proposed 
regulations are required by PRWORA and represent expansion of the 
existing regulations to cover birth record agencies and other entities.

Unfunded Mandates Act

    The Department has determined that this proposed rule is not a 
significant regulatory action within the meaning of the Unfunded 
Mandates Reform Act of 1995.

List of Subjects in 45 CFR Parts 302, 303, and 304

    Accounting, Child support, Grant programs--social programs, and 
Reporting and recordkeeping requirements.

(Catalog of Federal Domestic Assistance Program No. 93.563, Child 
Support Enforcement Program)

    Dated: July 30, 1997.
Olivia A. Golden,
Principal Deputy Assistant Secretary for Children and Families.

    Approved: September 25, 1997.
Donna E. Shalala,
Secretary, Department of Health and Human Services.

    For the reasons stated in the preamble, we propose to amend title 
45 CFR chapter III of the Code of Federal Regulations as follows:

PART 302--STATE PLAN REQUIREMENTS

    1. The authority citation for Part 302 continues to read as 
follows:

    Authority: 42 U.S.C. 651 through 658, 664, 666, 667, 1302, 
1396a(a)(25), 1396b(d)(2), 1396b(o), 1396b(p) and 1396(k).

    2. Section 302.70 is amended by revising paragraph (a)(5)(iii) 
introductory by revising paragraph (a)(5)(iii)(B), and by adding 
paragraph (a)(5)(iii)(C) to read as follows:


Sec. 302.70  Required State laws.

    (a) * * *
    (5) * * *
    (iii) Procedures for a simple civil process for voluntarily 
acknowledging paternity under which the State must provide that, before 
a mother and putative father can sign a voluntary acknowledgement of 
paternity, the mother and the putative father must be given notice, 
orally or through video or audio equipment, and in writing, of the 
alternatives to, the legal consequences of, and the rights (including 
any rights, if a parent is a minor, due to minority status) and 
responsibilities of acknowledging paternity, and ensure that due 
process safeguards are afforded. Such procedures must include:
    (A) * * *
    (B) A process for voluntary acknowledgement of paternity in birth 
record agencies, and in other entities participating in the State's 
voluntary paternity establishment program; and
    (C) A requirement that the procedures governing hospital-based 
programs and birth record agencies must also apply to other entities 
participating in the State's voluntary paternity establishment program, 
including the use of the same notice provisions, the same materials, 
the same evaluation methods, and the same training for the personnel of 
these other entities providing voluntary paternity establishment 
services.
* * * * *

PART 303--STANDARDS FOR PROGRAM OPERATIONS

    3. The authority citation for Part 303 continues to read as 
follows:

    Authority: 42 U.S.C. 651 through 658, 660, 663, 664, 666, 667, 
1302, 1396a(a)(25), 1396b(d)(2), 1396b(o), 1396b(p) and 1396(k).

    4. Section 303.5 is amended by revising paragraph (g) to read as 
follows:


Sec. 303.5  Establishment of paternity.

* * * * *
    (g) Voluntary paternity establishment programs. (1) The State must 
establish, in cooperation with every hospital and birth record agency 
and with all other entities participating in the State's voluntary 
paternity establishment program, a program for voluntary paternity 
establishment services.
    (i) The hospital-based portion of the voluntary paternity 
establishment services program must be operational in private and 
public birthing hospitals statewide and must provide voluntary 
paternity establishment services focusing on the period immediately 
before and after the birth of a child born out-of-wedlock.
    (ii) The voluntary paternity establishment services program must 
also be available at the State birth record agency, every local birth 
record agency within the State, and at all other entities participating 
in the State's voluntary paternity establishment program. These 
entities may include the following types of entities:
    (A) Public health clinics (including Supplementary Feeding Program 
for Women, Infants, and Children (WIC) and Maternal and Child Health 
(MCH) clinics), and private health care providers (including 
obstetricians, gynecologists, pediatricians, and midwives);
    (B) Agencies providing assistance or services under title IV-A of 
the Act, agencies providing food stamp eligibility service, and 
agencies providing child support enforcement (IV-D) services;
    (C) Head Start and child care agencies (including child care 
information and referral providers), and individual child care 
providers;
    (D) Community Action Agencies and Community Action Programs;
    (E) Secondary education schools (particularly those that have 
parenthood education curricula);
    (F) Legal Aid agencies, and private attorneys; and
    (G) Any similar public or private health, welfare or social 
services organization.
    (2) The hospitals, birth record agencies, and other entities 
participating in the State's voluntary paternity establishment program 
must, at a minimum:
    (i) Provide to both the mother and alleged father, if he is 
present:
    (A) Written materials about paternity establishment,
    (B) The forms necessary to voluntarily acknowledge paternity,
    (C) A written and oral or through the use of video or audio 
equipment description of the alternatives to, the legal consequences 
of, and the rights (including any rights, if a parent is a minor, due 
to minority status) and responsibilities of acknowledging paternity, 
and

[[Page 193]]

    (D) The opportunity to speak with staff, either by telephone or in 
person, who are trained to clarify information and answer questions 
about paternity establishment;
    (ii) Provide the mother and alleged father, if he is present, the 
opportunity to voluntarily acknowledge paternity;
    (iii) Afford due process safeguards; and
    (iv) Forward completed acknowledgements or copies to the State 
registry of birth records.
    (3) The hospitals, birth record agencies, and other entities 
participating in the State's voluntary paternity establishment program 
need not provide services specified in paragraph (g)(2) of this section 
in cases where the mother or alleged father is a minor or a legal 
action is already pending, if the provision of such services is 
precluded by State law.
    (4) The State must require that a voluntary acknowledgement be 
signed by both parents, and that the parents' signatures be 
authenticated by a notary or witness(es).
    (5) The State must provide to all hospitals, birth record agencies, 
and other entities participating in the State's voluntary paternity 
establishment program:
    (i) Written materials about paternity establishment, ii) forms 
necessary to voluntarily acknowledge paternity, and
    (ii) Form necessary to voluntarily acknowledge paternity, and
    (iii) Copies of a written description of the alternatives to, the 
legal consequences of, and the rights (including any rights, if a 
parent is a minor, due to minority status) and responsibilities of 
acknowledging paternity.
    (6) The State must provide training, guidance, and written 
instructions regarding voluntary acknowledgment of paternity, as 
necessary to operate the voluntary paternity establishment services in 
the hospitals, birth record agencies, and other entities participating 
in the State's voluntary paternity establishment program.
    (7) The State must assess each hospital, birth record agency, and 
other entity participating in the State's voluntary paternity 
establishment program that are providing voluntary paternity 
establishment services on at least an annual basis.
    (8) The State must designate the State registry of birth records as 
the entity to which hospitals, birth record agencies, and other 
entities that are participating in the State's voluntary paternity 
establishment program must forward completed voluntary acknowledgements 
or copies in accordance with Sec. 303.5(g)(2)(iv). Under State 
procedures, the State registry of birth records must be responsible for 
promptly recording identifying information about the acknowledgements 
with a statewide database, and the IV-D agency must have timely access 
to whatever identifying information and documentation it needs to 
determine in accordance with Sec. 303.5(h) if an acknowledgement has 
been recorded and to seek a support order on the basis of a recorded 
acknowledgement in accordance with Sec. 303.4(f).
* * * * *

PART 304--FEDERAL FINANCIAL PARTICIPATION

    5. The authority citation for Part 304 continues to read as 
follows:

    Authority: 42 U.S.C. 651 through 655, 657, 1302, 1396a(a)(25), 
1396b(d)(2), 1396b(o), 1396b(p) and 1396(k).

    6. Section 304.20 is amended by revising paragraph (b)(2)(vi) 
through paragraph (6)(2)(viii) to read as follows:


Sec. 304.20  Availability and rate of Federal financial participation.

    (b) * * *
    (2) * * *
    (vi) Payments up to $20 to hospitals, birth record agencies, and 
other entities participating in the State's voluntary paternity 
establishment program, under Sec. 303.5(g) of this chapter, for each 
voluntary acknowledgement obtained pursuant to an agreement with the 
IV-D agency;
    (vii) Developing and providing to hospitals, birth record agencies, 
and other entities participating in the State's voluntary paternity 
establishment program, under Sec. 303.5(g) of this chapter, written and 
audiovisual materials about paternity establishment and forms necessary 
to voluntarily acknowledge paternity; and
    (viii) Reasonable and essential short-term training associated with 
the State's program of voluntary paternity establishment services under 
Sec. 303.5(g).
* * * * *
[FR Doc. 98-088 Filed 1-2-98; 8:45 am]
BILLING CODE 4184-01-P


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