PART 310—COMPUTERIZED TRIBAL IV-D SYSTEMS AND OFFICE AUTOMATION Authority: 42 U.S.C. 655(f) and 1302. Source: 75 FR 8520, Feb. 25, 2010, unless otherwise noted. Subpart A—General Provisions § 310.0 What does this part cover? This part addresses conditions for funding and requirements governing Computerized Tribal IV-D Systems and Office Automation including: (a) The automated systems options for comprehensive Tribal IV-D programs in § 310.5 of this part; (b) The functional requirements for the Model Tribal IV-D Systems in § 310.10 of this part; (c) The security and privacy requirements for Computerized Tribal IV-D Systems and Office Automation in § 310.15 of this part; (d) The conditions for funding the installation, operation, maintenance, and enhancement of Computerized Tribal IV-D Systems and Office Automation in § 310.20 of this part; (e) The conditions that apply to acquisitions of Computerized Tribal IV-D Systems in § 310.25 of this part; and (f) The accountability and monitoring of Computerized Tribal IV-D Systems in § 310.40 of this part. § 310.1 What definitions apply to this part? (a) The following definitions apply to this part and part 309: (1) Automated Data Processing Services (ADP Services) (2) Comprehensive Tribal IV-D agency (3) Computerized Tribal IV-D System (i) The Model Tribal IV-D System; or (ii) Access to a State or comprehensive Tribal IV-D agency's existing automated data processing computer system through an Intergovernmental Service Agreement; (4) Installation (5) Maintenance (6) Model Tribal IV-D System (7) Office Automation (8) Reasonable Cost (i) Whether the cost is of a type generally recognized as ordinary and necessary for the operation of a comprehensive Tribal IV-D agency; (ii) The restraints or requirements imposed by such factors as: Sound business practices; arms-length bargaining; Federal, Tribal laws and regulations; and terms and conditions of any direct Federal funding; (iii) Whether the individual concerned acted with prudence in the circumstances considering his or her responsibilities to the comprehensive Tribal IV-D agency, its employees, the public at large, and the Federal Government; (iv) Market prices for comparable goods or services; (v) Significant deviations from the established practices of the comprehensive Tribal IV-D agency which may unjustifiably increase the cost; and (vi) Whether a project's Total Acquisition Cost is in excess of the comprehensive Tribal IV-D agency's total Tribal IV-D program grant award for the year in which the request is made. (9) Service Agreement (i) Schedule of charges for each identified ADP service and a certification that these charges apply equally to all users; (ii) Description of the method(s) of accounting for the services rendered under the agreement and computing service charges; (iii) Assurances that services provided will be timely and satisfactory; (iv) Assurances that information in the computer system as well as access, use and disposal of ADP data will be safeguarded in accordance with proposed § 310.15; (v) Beginning and ending dates of the period of time covered by the Service Agreement; and (vi) Schedule of expected total charges for the period of the Service Agreement. (10) Simplified Acquisition Threshold (b) The following terms apply to this part and are defined in § 95.605 of this title: “Acquisition”; “Advance Planning Document (APD)”; “Design or System Design”; “Development”; “Enhancement”; “Federal Financial Participation (FFP)”; “Operation”; “Project”; “Software”; and “Total Acquisition Cost”. (c) All of the terms defined in § 309.05 of this chapter apply to this part. Subpart B—Requirements for Computerized Tribal IV-D Systems and Office Automation § 310.5 What options are available for Computerized Tribal IV-D Systems and office automation? (a) Allowable computerized support enforcement systems for a Comprehensive Tribal IV-D agency. (b) Computerized Tribal IV-D Systems. (1) Installation, operation, maintenance, or enhancement of the Model Tribal IV-D System designed by OCSE to address the program requirements defined in a Tribal IV-D plan in accordance with § 309.65(a) of this chapter and the functional requirements in § 310.10 of this part; (2) Establishment of Intergovernmental Service Agreements with a State or another comprehensive Tribal IV-D agency for access to that agency's existing automated data processing computer system to support comprehensive Tribal IV-D program operations. (c) Office Automation. (d) Alternative to Computerized Tribal IV-D Systems and Office Automation. § 310.10 What are the functional requirements for the Model Tribal IV-D System? A Model Tribal IV-D System must: (a) Accept, maintain and process the actions in the support collection and paternity determination processes under the Tribal IV-D plan, including: (1) Identifying information such as Social Security numbers, names, dates of birth, home addresses and mailing addresses (including postal zip codes) on individuals against whom paternity and support obligations are sought to be established or enforced and on individuals to whom support obligations are owed, and other data as may be requested by OCSE; (2) Verifying information on individuals referred to in paragraph (a)(1) of this section with Tribal, Federal, State and local agencies, both intra-tribal and intergovernmental; (3) Maintaining information pertaining to: (i) Applications and referrals for Tribal IV-D services, including: (A) Case record; (B) Referral to the appropriate processing unit (i.e., locate or paternity establishment); (C) Caseworker notification; (D) Case Identification Number; and (E) Participant Identification Number; (ii) Delinquency and enforcement activities; (iii) Intra-tribal, intergovernmental, and Federal location of the putative father and noncustodial parents; (iv) The establishment of paternity; (v) The establishment of support obligations; (vi) The payment and status of current support obligations; (vii) The payment and status of arrearage accounts; (4) Maintaining data on case actions administered by both the initiating and responding jurisdictions in intergovernmental cases; (b) Update, maintain and manage all IV-D cases under the Tribal IV-D plan from initial application or referral through collection and enforcement, including any events, transactions, or actions taken therein; (c) Record and report any fees collected, either directly or by interfacing with State or Tribal financial management and expenditure information; (d) Distribute current support and arrearage collections in accordance with Federal regulations at § 309.115 of this chapter and Tribal laws; (e) Maintain, process and monitor accounts receivable on all amounts owed, collected, and distributed with regard to: (1) Detailed payment histories that include the following: (i) Amount of each payment; (ii) Date of each collection; (iii) Method of payment; (iv) Distribution of payments; and (v) Date of each disbursement; (2) Automated income withholding activities such as: (i) Recording and maintaining any date the noncustodial parent defaults on payment of the support obligation in an amount equal to the support payable for one month; (ii) Generating the Standard Federal Income Withholding Form; and (iii) Allocating amounts received by income withholding according to §§ 309.110 and 309.115 of this chapter. (f) Maintain and automatically generate data necessary to meet Federal reporting requirements on a timely basis as prescribed by OCSE. At a minimum this must include: (1) Yearly notices on support collected, which are itemized by month of collection and provided to families receiving services under the comprehensive Tribal IV-D program as required in § 309.75(c) of this chapter, to all case participants regarding support collections; and (2) Reports submitted to OCSE for program monitoring and program performance as required in § 309.170 of this chapter; (g) Provide automated processes to enable OCSE to monitor Tribal IV-D program operations and to assess program performance through the audit of financial and statistical data maintained by the system; and (h) Provide security to prevent unauthorized access to, or use of, the data in the system as detailed in § 310.15 of this part. § 310.15 What are the safeguards and processes that comprehensive Tribal IV-D agencies must have in place to ensure the security and privacy of Computerized Tribal IV-D Systems and Office Automation? (a) Information integrity and security. (1) Periodic evaluations of the system for risk of security and privacy breaches; (2) Procedures to allow Tribal IV-D personnel controlled access and use of IV-D data, including: (i) Specifying the data which may be used for particular IV-D program purposes, and the personnel permitted access to such data; (ii) Permitting access to and use of data for the purpose of exchanging information with State and Tribal agencies administering programs under titles IV-A, IV-E and XIX of the Act to the extent necessary to carry out the comprehensive Tribal IV-D agency's responsibilities with respect to such programs; (3) Maintenance and control of application software program data; (4) Mechanisms to back-up and otherwise protect hardware, software, documents, and other communications; and, (5) Mechanisms to report breaches or suspected breaches of personally identifiable information to the Department of Homeland Security, and to respond to those breaches. (b) Monitoring of access. (c) Training and information. (d) Penalties. Subpart C—Funding for Computerized Tribal IV-D Systems and Office Automation § 310.20 What are the conditions for funding the installation, operation, maintenance and enhancement of Computerized Tribal IV-D Systems and Office Automation? (a) Conditions that must be met for FFP at the applicable matching rate in § 309.130(c) of this chapter for Computerized Tribal IV-D Systems. (1) A comprehensive Tribal IV-D agency must have submitted, and OCSE must have approved, an Advance Planning Document (APD) for the installation and enhancement of a Computerized Tribal IV-D System. (2) An APD for installation of a Computerized Tribal IV-D System must: (i) Represent the sole systems effort being undertaken by the comprehensive Tribal IV-D agency under this part; (ii) Describe the projected resource requirements for staff, hardware, software, network connections and other needs and the resources available or expected to be available to meet the requirements; (iii) Contain a proposed schedule of project milestones with detail sufficient to describe the tasks, activities, and complexity of the initial implementation project; (iv) Contain a proposed budget including a description of expenditures by category and amount for items related to installing, operating, maintaining, and enhancing the Computerized Tribal IV-D System; and (v) Contain a statement that the comprehensive Tribal IV-D agency agrees in writing to use the Computerized Tribal IV-D System for a minimum period of time. (3) The following conditions, in addition to those in paragraphs (a)(1) and (2) of this section, must be met to obtain FFP in the installation costs of access to a State or another comprehensive Tribal IV-D program's ADP system established under an Intergovernmental Service Agreement. The comprehensive Tribal IV-D agency must: (i) Maintain a copy of each intergovernmental cooperative agreement and Service Agreement in its files for Federal review; and (ii) Ensure that the: (A) Service Agreement for which FFP is being sought, meets the definition of a Service Agreement as defined in § 310.1 of this title; (B) Claims for FFP conform to the timely claim provisions of part 95 subpart A of this title; and (C) Service Agreement was not previously disapproved by the Department. (4) The following conditions, in addition to those in paragraphs (a)(1) through (3) of this section, must be met in order for a comprehensive Tribal IV-D agency to obtain FFP in the costs of enhancements to its Computerized Tribal IV-D System: (i) The project's Total Acquisition Cost cannot exceed the comprehensive Tribal IV-D agency's total Tribal IV-D program grant award for the year in which the acquisition request is made; and (ii) The APD budget, schedule and commitment to use the Computerized Tribal IV-D System for a specified minimum period of time must be updated to reflect the enhancement project. (5) To receive FFP in the costs of the operation and maintenance of a Computerized Tribal IV-D System installed under § 310.20 or developed under § 309.145(h)(5), which refers to a Tribal automated data processing system that is funded entirely with Tribal funds, the comprehensive Tribal IV-D agency must include operation and maintenance costs in its annual Title IV-D program budget submission in accordance with § 309.15(c) of this chapter. (6) To receive FFP in the costs of the installation, operation, and maintenance of essential Office Automation capabilities, the comprehensive Tribal IV-D agency must include such costs in its annual Title IV-D program budget submission in accordance with § 309.15(c) of this chapter. (b) Procedure for APD Submittal. [75 FR 8520, Feb. 25, 2010, as amended at 89 FR 9793, Feb. 12, 2024] § 310.25 What conditions apply to acquisitions of Computerized Tribal IV-D Systems? (a) APD approval. (b) Procurements. (c) Software and ownership rights. (2) OCSE reserves a royalty-free, nonexclusive, and irrevocable license to reproduce, publish, or otherwise use and to authorize others to use for Federal Government purposes, such software, modifications and documentation. (3) FFP is not available for the costs of rental or purchase of proprietary application software developed specifically for a Computerized Tribal IV-D System. Commercial-off-the-shelf (COTS) software packages that are sold or leased to the general public at established catalog or market prices are not subject to the ownership and license provisions of this requirement. (d) Requirements for acquisitions under the threshold amount. § 310.30 Under what circumstances would FFP be suspended or disallowed in the costs of Computerized Tribal IV-D Systems? (a) Suspension of APD approval. (b) Suspension of FFP. § 310.35 Under what circumstances would emergency FFP be available for Computerized Tribal IV-D Systems? (a) Conditions that must be met for emergency FFP. (1) The comprehensive Tribal IV-D agency must submit a written request to OCSE prior to the acquisition of any ADP equipment or services. The written request must be sent by registered mail and include: (i) A brief description of the ADP equipment and/or services to be acquired and an estimate of their costs; (ii) A brief description of the circumstances which resulted in the comprehensive Tribal IV-D agency's need to proceed prior to obtaining approval from OCSE; and (iii) A description of the harm that will be caused if the comprehensive Tribal IV-D agency does not acquire immediately the ADP equipment and services. (2) Upon receipt of the information, OCSE will, within 14 working days of receipt, take one of the following actions: (i) Inform the comprehensive Tribal IV-D agency in writing that the request has been disapproved and the reason for disapproval; or (ii) Inform the comprehensive Tribal IV-D agency in writing that OCSE recognizes that an emergency exists and that within 90 calendar days from the date of the initial written request under paragraph (a)(1) of this section the comprehensive Tribal IV-D agency must submit a formal request for approval which includes the information specified at § 310.25 of this title in order for the ADP equipment or services acquisition to be considered for OCSE's approval. (b) Effective date of emergency FFP. Subpart D—Accountability and Monitoring Procedures for Computerized Tribal IV-D Systems § 310.40 What requirements apply for accessing systems and records for monitoring Computerized Tribal IV-D Systems and Office Automation? In accordance with part 95 of this title, a comprehensive Tribal IV-D agency must allow OCSE access to the system in all of its aspects, including installation, operation, and cost records of contractors and subcontractors, and of Service Agreements at such intervals as are deemed necessary by OCSE to determine whether the conditions for FFP approval are being met and to determine the efficiency, effectiveness, reasonableness of the system and its cost.