Appendix B: Authorities

The origin of many of the programs overseen and financed by HHS is the Social Security Act. Included under HHS' scope of review authority are:

Title IV-A: Temporary Assistance to Needy Families (TANF)
Title IV-B: Child Welfare Services
Title IV-D: Child Support Enforcement
Title IV-E: Foster Care and Adoptive Services

Also included is the Refugee Resettlement program authorized under the Refugee Act of 1980, Title IV, Chapter 2 of the Immigration and Nationality Act (8 U.S.C. 1521 et seq.), and under Title V of Public Law 96-422, the Refugee Education Assistance Act of 1980.

The State systems activities for these programs are managed and reviewed in accordance with rules codified in the Code of Federal Regulations (CFR). Regulations generally applicable across programs¹⁸ include:

45 CFR Part 74, Subpart D: Establishes retention requirements and access rights for programmatic, financial, statistical, and other types of records pertinent to grants.

45 CFR Part 74, Appendix J: Codifies the Office of Management and Budget's (OMB's) audit requirements for State and local governments that receive Federal aid and defines Federal responsibilities for implementing and monitoring those requirements.

45 CFR Part 95, Subpart A: Sets a two-year limit (15 months in some cases) for a State to claim Federal financial participation (FFP) in expenditures under State plans approved for certain titles of the Social Security Act.

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

45 CFR Part 95, Subpart F: Specifies the conditions for FFP in the cost of acquiring data processing equipment and services under an approved State plan; sets forth the approval and reporting processes of the Advance Planning Document (APD) and Advance Planning Document Updates (APDUs); and requires access by HHS to all aspects of State systems. Authorizes under section 95.621 the Department to conduct "periodic on-site surveys and reviews of State and local agency ADP methods and practices."

45 CFR Part 95, Subpart G: Prescribes requirements concerning the computation of claims for FFP in the cost of equipment under public assistance programs and identifies requirements for the management and disposition of equipment. Applies to equipment purchased by State agencies and equipment purchased under service agreements with other State agencies and under cost-type contracts. Allows an exemption under .95.641 to the capitalization and depreciation provisions for ADP equipment if previously approved by HHS.

Program-specific rules codified in the CFR, but not addressed in this guide, include:

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

45 CFR Part 307: Governs enhanced funding for the acquisition and operation of comprehensive, statewide Child Support Enforcement systems. Includes the programmatic conditions and functional requirements required for States to qualify for funding of systems acquisitions. Sets forth HHS' oversight responsibilities.

45 CFR Part 1355: Sets forth requirements for Statewide Automated Child Welfare Information Systems (SACWIS).

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

Action Transmittals issued by HHS;
OMB Circular A-87, which establishes principles and standards for determining costs applicable to grants, contracts, and other agreements with State and local governments;¹⁹
OMB Circular A-102, which sets consistent and uniform Federal policy in the management of grants and cooperative agreements with State and local governments;
OMB Circular A-128, which establishes uniform Federal audit requirements for State and local governments that receive Federal aid codified in 45 CFR Part 74, Appendix J;
ACF's Information Systems Review Guide;
ACF's guide, Feasibility, Alternatives, and Cost/Benefit Analysis;
ACF's Companion Guide: Cost/Benefit Analysis Illustrated; and
Program-specific guides as applicable.

Because guidance is regularly released by HHS, State and Federal personnel must routinely update their guidance files. In order to obtain information about currently effective Action Transmittals and other ACF guidance, reviewers may contact the ACF's Office of Information Systems Management, State Systems Policy Staff, on 202-401-6414, or visit the Office of State Systems' home page at this location: http://www.acf.dhhs.gov/programs/oss/.

¹⁸ Regulations specific to programs, such as IV-A and IV-D, are outside the scope of this document. back
¹⁹ OMB Circulars can be obtained by calling the Office of Management and Budget on 202-395-3000 and asking for publications. back

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