[Federal Register: March 11, 2003 (Volume 68, Number 47)]
[Notices]
[Page 11555-11562]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr11mr03-58]
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DEPARTMENT OF HEALTH AND HUMAN SERVICES
Office of the Secretary
Office of Budget, Technology and Finance; Statement of
Organization, Functions, and Delegations of Authority
Part A, Office of the Secretary, Statement of Organization,
Functions and Delegations of Authority for the Department of Health and
Human Services (HHS) is being amended as follows: Chapter AM, Office of
Budget, Technology and Finance, as last amended at 66 FR 55666-55678,
dated October 26, 2001. This reorganization will help streamline Office
functions and better support the Office's ability to meet the goals of
the President's Management Agenda.
The changes are as follows:
1. Under Part A, ``Office of the Secretary,'' delete Chapter AM in
its entirety and replace with the following:
A. Chapter (AM) Office of Budget, Technology and Finance
Section AM.00 Mission. The mission of the Office of Budget,
Technology and Finance (OBTF) is to provide advice and guidance to the
Secretary on budget, financial management, and information technology,
and to provide for the direction and coordination of these activities
throughout the Department.
Section AM.10 Organization: The Office of Budget, Technology, and
Finance is headed by the Assistant Secretary for Budget, Technology and
Finance (ASBTF). The Assistant Secretary for Budget, Technology, and
Finance is the Departmental Chief Financial Officer (CFO), and reports
to the Secretary. The office consists of the following components:
[sbull] Immediate Office of the ASBTF (AM)
[sbull] Office of Budget (AML)
[sbull] Office of Information Resources Management (AMM)
[sbull] Office of Finance (AMS)
Section AM.20. Functions
1. Immediate Office of the Assistant Secretary for Budget,
Technology, and Finance/Chief Financial Officer (AM). Provides
executive direction to OBTF components. The ASBTF is the principal
adviser to the Secretary on all aspects of budgetary and financial
management and information technology. By delegation from the
Secretary, the ASBTF/CFO exercises full Department-wide authority of
the Secretary in the assigned areas of responsibility to include all
responsibilities provided by the Chief Financial Officers Act of 1990.
This includes the approval of the job descriptions and skill
requirements, and the selection of OPDIV CFOs as well as participation
with the OPDIV Head in the annual performance plan/evaluation of the
OPDIV CFO. In addition, the ASBTF/CFO provides Department-wide policy
guidance on the qualifications, recruitment, performance, training, and
retention of all financial management personnel. The ASBTF manages the
Chief Information Officer (CIO) and the CIO's fulfillment of all
functional responsibilities included in the Clinger-Cohen Act.
2. Office of Budget (AML). The Office of Budget is headed by a
Deputy Assistant Secretary for Budget. The Office: (1) Advises and
supports the Secretary and the Assistant Secretary for Budget,
Technology and Finance/CFO and oversees the preparation of the
Departmental budget estimates and forecasts resources required to
support programs and activities of the Department; (2) analyzes
budgetary and financial management implications of new or proposed
legislation, programs or activities; (3) appraises program activities
and operations in terms of policies, goals and objectives of the
Department; (4) operates HHS' integrated funding system; (5) recommends
and administers policies and procedures for allocation and control of
employment ceilings; (6) develops and executes Department-wide
procedures relating to implementation and management of the Government
Performance and Results Act (GPRA); (7) responsible for the Office of
the
[[Page 11556]]
Secretary activities under the Paperwork Reduction Act; (8) with
particular reference to the Office of the Secretary (OS), works closely
with the Office of the Assistant Secretary for Administration and
Management (OASAM) in coordinating and consolidating the OS budget; (9)
works closely with OASAM in OS budget operations, the development of
budget policy and management of positions and financial resources for
the OS; and (10) reviews proposed recommendation on draft regulations
and proposed legislation.
3. Office of Information and Resources Management (AMM). The Deputy
Assistant for Information Resources Management (DASIRM), who is also
the HHS Chief Information Officer, heads the Office of Information
Resources Management (OIRM). OIRM provides the Secretary and the
Assistant Secretary for Budget, Technology, and Finance (ASBTF) with
strategic planning, information resources management and technology
policy, architecture, investment review, and Office of the Secretary
(OS) computer operations management support. More specifically, OIRM,
in collaboration with the HHS agencies and Staff Divisions; (1)
develops and updates the Information Technology Five Year Strategic
Plan; (2) develops and coordinates information resources management
policies applicable across the Department and the Office of the
Secretary, including the creation, handling, storage, dissemination,
and disposition of information; (3) leads the development and
implementation of an enterprise information infrastructure across the
Department; (4) manages risks associated with major information systems
and information technology; (5) evaluates major investments in
information technology, and is responsible for their subsequent
periodic review; (6) guides and oversees the development of information
systems and communications networks; (7) leads e-government activities;
and (8) provides data processing and communications equipment for the
Office of the Secretary and participating HHS agencies, and implements,
operates, and maintains standards office automation applications
running on the OS network.
4. Office of Finance (AMS). The Office of Finance is headed by the
Deputy Assistant Secretary for Finance who is also the Deputy Chief
Financial Officer. The Officer of Finance: (1) Advises and supports the
Secretary and the Assistant Secretary for Budget, Technology, and
Finance/CFO on all aspects of financial activities across the
Department; (2) as directed by the Secretary, oversees the design and
implementation of a unified financial management system for the
Department consisting of two major components: the Healthcare
Integrated General Ledger Accounting System (HIGLAS) at the Centers for
Medicare and Medicaid Services (CMS) and a system for the rest of the
Department; (3) coordinates CFO activities and reports throughout HHS,
including the preparation of audited financial statements and the
preparation of the annual CFO report for submission to the OMB and
Congress; (4) in coordination with other ASBTF components, participates
in the clearance/approval process for program information systems that
provide financial and/or program performance data which are used in
financial statements; (5) provides advice to the ASBTF/CFO on approval
of the job descriptions and skills requirements for OPDIV CFOs and on
the approval of the selection of OPDIV CFOs; (6) provides advice to the
ASBTF/CFO who participates with each OPDIV Head in the annual
performance plan/evaluation of the OPDIV's CFO; (7) provides advice to
the ASBTF/CFO on the qualifications, recruitment, performance, training
and retention of all financial management personnel; (8) serves as the
Departmental liaison with GAO, OMB, Treasury, and other Federal
agencies on financial matters; (9) maintains Departmental finance and
accounting standards; (10) resolves monetary findings involving
management systems; (11) directs regional review of cost allocation
activities; (12) ensures compliance with the Departmental reporting
requirements of the Federal Managers Financial Integrity Act (FMFIA);
(13) establishes Departmental policy in the management of Inspector
General reports and audits; and (14) manages the day-to-day finance and
accounting activities of the Office of the Secretary and other
Departmental components as determined by the ASBTF/CFO.
B. Chapter AML, Office of Budget
Section AML.00 Mission. The Office of Budget provides advice and
support to the Secretary and the Assistant Secretary for Budget,
Technology, and Finance on matters pertaining to: Formulation of the
HHS and President's budgets, management of program assessment and
performance reporting, presentation of budgets and reconciliation
legislation to OMB and the Congress, and resolution of issues arising
from the execution of final appropriations.
Section AML.10 Organization. The Office of Budget is headed by the
Deputy Assistant Secretary for Budget who reports to the Assistant
Secretary Budget, Technology, and Finance/Chief Financial Officer and
includes the following:
[sbull] Division of Discretionary Programs (AML1)
[sbull] Division of Health Benefits and Income Support (AML3)
[sbull] Division of Budget Policy, Execution and Review (AML4)
Section AML.20 Functions.
1. Division of Discretionary Programs. The Division:
a. Provides analytical services and assistance to the Secretary,
the Assistant Secretary for Budget, Technology, and Finance, and
Department OPDIV Heads in their budgetary management of the
Department's principal discretionary programs, including science and
health services programs administered by the Public Health Service
components; and social service programs of the Administration for
Children and Families and the Administration on Aging.
b. Reviews budgets and related requests for resources, and analyzes
plans and proposals for new or alternative legislation.
c. Analyzes proposed regulations, reorganizations, or program
initiatives to determine their policy, resource and budgetary
implications.
d. Proposes recommendations on draft regulations, proposed
legislation and reorganization proposals.
e. Proposes budget options and policy in initiatives as necessary
to achieve program objectives established by the Secretary.
f. Assists in the development of strategies for the presentation of
the budget to the Office of Management and Budget and the Congress, and
develops materials for key Departmental officials who testify at
hearings before these bodies.
g. provides guidance to OPDIV's in the formulation of their
budgets.
h. Conducts special reviews and analyses to examine assigned OPDIV
program operations and effectiveness.
i. Assists in the development of performance plans, reports, and
program assessments under the Government Performance and Results Act.
j. Assists in the presentation of the Department's budget to the
public by developing material for use of Departmental officials, and
reviews press statements and other public documents for consistency
with approved budgets and plans.
2. Division of Health Benefits and Income Support. The Division:
[[Page 11557]]
a. Provides analytical services and assistance to the Secretary,
the Assistant Secretary for Budget, Technology, and Finance, and the
Department OPDIV Heads in the budgetary management of the Department's
principal entitlement programs including Medicare, Medicaid, Family
Support Payments and other entitlements in support of children and
families.
b. Reviews budget and related requests for resources; analyzes
plans and proposals for new legislation, regulations, or program
initiatives to determine their resource and policy implications;
proposes recommendations for the Deputy Assistant Secretary for Budget
on budget requests, draft regulations, proposed legislation, and
reorganization proposals.
c. Assists the Secretary, the Assistant Secretary for Budget,
Technology, and Finance and the OPDIV heads in evaluating programs and
budgetary proposals by developing reliable cost projections for
legislative and planning proposals, and ensuring that proposals are
consistent with approval plans and policies.
d. Coordinates the preparation of budget estimates and forecasts of
resources required to support the programs and operations of the
Department.
e. Reviews reprogramming requests and recommend appropriate action
to the Deputy Assistant Secretary for Budget.
f. Provides guidance in budget formulation for the appropriate
OPDIV.
g. Conducts special reviews and analyses, and develops options to
ensure efficient and effective program operations and to encourage
improvements.
h. Proposes budget options and policy initiatives as necessary to
achieve program objectives established by the Secretary.
i. Assists in the development of strategies for presentation of the
budget to the Office of Management and Budget and the Congress and
develops materials for key Department officials who testify at hearings
before these bodies.
j. Assists in the development of performance plans, reports, and
program assessments under the Governmental Performance and Results Act.
k. Manages the overall allocation of Health Care Fraud and Abuse
Control (HCFAC) funds.
3. Division of Budget Policy, Execution and Review. The Division:
a. Directs the formulation and presentation of the HHS budget by
developing and promulgating to the OPDIVs and others the policies,
procedures, guidance, and schedules for preparing budget submissions.
b. Coordinates the presentation of the Department's budget and
performance plan to Congress, including preparation and submission of
justifications, reports, significant items, and crosscutting materials;
preparation of the Secretary's testimony before the Appropriations
Committees; and coordination of transcripts, questions for the record,
and other hearing materials.
c. Provides advice and analysis to support Department-wide budget
decision-making.
d. Maintains active communication with Department budget officers
with regard to budget events and activities with OMB, GAO, Congress and
other parties.
e. Manages a computerized budget information system reflecting data
on a HHS-wide basis and coordinates OPDIV input into the system.
f. Provides direct staff support to the Secretary in preparation
for appropriation hearings and other budget related presentations and
briefings.
g. Actively communicates with the Budget and Appropriations
Committees in the Congress and provides intelligence and analyses of
budget decisions to senior HHS staff and the Operating Divisions.
h. Coordinates preparation of guidelines governing reprogrammings,
transfers between accounts, and other crosscutting funding methods;
provides recommendations and staff support in managing and processing
crosscutting funding proposals.
i. Analyzes and prepares reports on HHS performance in managing FTE
levels and FTE policy, and provides advice on Department-wide staffing.
j. Provides leadership and direction in the Department-wide review,
analysis and appraisal of financial elements of program execution and
the development and execution of policies related to efficient
allocation, expenditure and control of funds.
k. Coordinates and tracks outlay projections: (1) To assist OMB in
the continuing effort to monitor spending and to thereby improve the
management of the Government's overall cash and debt operations; and
(2) in support of formulation of the budget, including the maintenance
of HHS ceiling controls and the development of outlay estimates shown
in the President's Budget for controllable programs.
l. Promulgates Departmental spending policies, especially in the
event of Continuing Resolutions and possible suspension of operations
due to the failure of the Congress to enact appropriations on time, and
works with agency budget officers and the Office of Budget in
formulating agency funding plans.
m. Maintains a system of Department-wide budget execution,
including the management and control of the apportionment of funds in
accordance with the requirements of the Anti-Deficiency Act and OMB
regulations; and request and monitors the receipt of Treasury warrants.
n. Serves as principal staff advisor to the ASBTF on all matters
involving budget execution.
o. Acts as liaison on behalf of HHS with the Office of Management
and Budget, the Treasury Department, the Congressional Budget Office,
and other agencies on matters involving budget execution.
p. Responsible for the development and maintenance of a system of
financial information which involves the collection, organization, and
maintenance of financial data in electronic form as well as the
development of reporting mechanisms for making the financial
information useful and available for decision making.
q. Reviews and analyzes the budget of the Staff Divisions
(STAFFDIVS) funded by the General Departmental Management (GDM), Office
of Inspector General (OIG) and Office of Civil Rights (OCR)
appropriations. Prepares special analyses of these budgets for use in
decision-making, particularly for evaluating capacity and determining
if alternative approaches are feasible. Monitors Congressional
appropriations hearings in which the GDM STAFFDIVS, OIG and OCR are
participants.
r. Works closely with OASAM in planning and formulating the GDM
budget justification for presentation to the Secretary, Office of
Management and Budget and the Congress.
s. Represents the Department in government-wide activities to
implement the development and implementation of performance measures
under GRPA and budget-related GPRA performance planning policies,
requirements and processes. Manages program performance assessment
activities.
t. Provides special management review services for selected
activities.
u. Provides staff assistance to the Secretary, the Assistant
Secretary for Budget, Technology and Finance, the Service and Supply
Funds (SSF) Board of Directors, OPDIV Budget Officers and STAFFDIV
Heads in the budgetary and
[[Page 11558]]
financial management of the Service and Supply Fund.
v. Provides for budget policy management and financial integrity of
the SSF in the provision of Department common use administrative
services.
w. Assists in the planning and preparation of the SSF budget for
presentation to the SSF Board, the Office of Management and Budget, and
Congress.
x. Prepares apportionment requests for the Service and Supply fund.
C. Chapter AMMN, Office of Information Resources Management
AMM.00 Mission. The Office of Information Resources Management
advises the Secretary and the Assistant Secretary for Budget,
Technology and Finance on matters pertaining to the use of information
and related technologies to accomplish Department goals and program
objectives. The mission of the Office is to establish and provide:
assistance and guidance on the use of technology-supported business
process reengineering; investment analysis; performance measurement;
strategic development and application of information systems and
infrastructure; policies to provide improved management of information
resources and technology; and better, more efficient service to our
clients and employees.
The Office is responsible for: information resources management
throughout the Department; representing the Department to central
management agencies (e.g., the Office of Management and Budget);
directing the Enterprise Architecture efforts and the enterprise
solutions across the Department; developing and maintaining the
Department's information technology architecture; developing and
establishing Department information technology policies, and advocating
rigorous methods for analyzing, selecting, developing, operating, and
maintaining information systems.
The Office collaborates with the Operating Divisions (OPDIVs) and
Staff Divisions (STAFFDIVs) of the Department to review and resolve
policy and management issues, manage risk associated with major
information systems, evaluate and approve investments in technology,
monitor adherence to Departmental policy and architectural standards,
and share best practices. The Office exercises authorities delegated by
the Secretary to the Deputy Assistant Secretary for Information
Resources Management, as the CIO for the Department. These authorities
derive from the Information Technology Management Reform Act of 1996,
the Paperwork Reduction Act of 1995, the Computer Matching and Privacy
Act of 1988, the Computer Security Act of 1987, the Government
Information Security Reform Act (GISRA), the National Archives and
Records Administration Act of 1984, the Competition in Contracting Act
of 1984, the Federal Records Act of 1950, OMB Circulars A-130 and A-11,
Government Printing and Binding Regulations issued by the Joint
Committee on Printing, and Presidential Decision Directive 63. Section
AMM.10 Organization. The Office of Information Resources Management
(OIRM) is supervised by the Deputy Assistant Secretary for Information
Resources Management/HHS CIO, who reports to the Assistant Secretary
for Budget, Technology and Finance. The CIO serves as the primary IT
leader for the Department.
OIRM consists of the following:
[sbull] Immediate Office (AMM1)
[sbull] Office of IT Policy Development and Implementation (AMM2)
[sbull] Office of OS IT Development and Services (AMM3)
[sbull] Office of HHS Enterprise Operations (AMM4)
[sbull] Office of Information Security Development and Implementation
(AMM5)
Section AMM.20 Functions
1. Immediate Office of Information Resources Management--This
Office supports the DASIRM/CIO, and also provides leadership in OS IT
issues, HHS IT architecture, use of technology in HHS and the HHS Web
site. It performs the following functions:
a. Provides continuous development and implementation of effective
strategic solutions for enabling the HHS mission. Provides advice and
counsel to the Secretary and the Assistant Secretary for Budget,
Technology and Finance.
b. Provides executive direction to align Departmental strategic
planning for information resources and technology with the Department's
strategic business planning.
c. Provides executive direction to develop and maintain
Departmental information technology policy and architecture.
d. Promotes business process reengineering, investment analysis,
and performance measurement throughout the Department, to capitalize on
evolving information technology.
f. Represents the Department in Federal Government-wide initiatives
to develop policy and implement an information infrastructure.
g. Provides leadership to the Department's Information Technology
Investment Review Board (ITIRB) and the Department's Chief Information
Officers' Advisory Council.
h. Oversees enterprise IT efforts and any similar OPDIV efforts
related to architecture, technology and the HHS web site. Provides
review and guidance to the ITIRB and CIO Council via analyses of
alternative analyses strategies, standards compliance, architectural
conformance and technology solutions.
i. Develops and maintains the HHS-wide Architecture, including the
business, data, application and technology components. Establishes
architecture tools and repositories, coordinates with OPDIV
architectures, develops technical guidance, assists managers of
applications systems, and coordinates expert working groups to populate
the architecture.
j. Advises the HHS ASBTF, agency CIOs and other senior officials on
matters relating to technology. Leads the development of a department-
wide investment strategy for advanced, innovative technology, and
reviews agency technology policies, programs, processes and
capabilities to ensure that HHS technology programs support the
Department's objectives.
k. Performs alternative analysis for key emerging and enabling
technologies. Coordinates or directs pilot project in these areas to
establish proof of concept, confirm return on investment, or implement
initial production implementation.
l. Leads the development of HHS web communications to provide users
with a single access point for HHS information. Leads the development
of an enterprise information portal to improve the ability of HHS
employees to communicate and collaborate with each other.
2. Office of IT Policy Development & Implementation (OITP)--The
Office of IT Policy Development & Implementation is primarily
responsible for IT policy development, capital planning, IT budgeting
and investment control, Paperwork Reduction Act activities, and IT
planning and review. The Office performs the following functions:
a. Works with OPDIV Chief Information Officers (CIOs) to support
Government-wide initiatives of the Federal CIO Council and to identify
opportunities for participation and consultation in information
technology projects with major effects on OPDIV program performance.
b. OITP provides leadership in the planning, design, and evaluation
of major Departmental projects and
[[Page 11559]]
oversight throughout project rollout and perform post implementation
performance assessments.
c. Assesses risk that major information systems pose to performance
of program operations and administrative business throughout the
Department, develops risk assessment policies and standard operating
procedures and tools, and uses program outcome measures to gauge the
quality of Departmental information resources management.
d. Coordinates the Department's strategic planning and budgeting
process for information technology, and provides direct planning
development and support to assure that IRM plans support agency
business planning and mission accomplishment.
e. Coordinates the activities of the Departmental Information
Technology Investment Review Board (ITIRB) in assessing and
prioritizing the Department's major information systems, and in
analyzing and evaluating IT investment decisions. Reviews OPDIV ITIRB
implementations, IT capital funding decisions, and use of performance
metrics to evaluate program for both initial and continued funding.
f. Develops policies and guidance on information resources and
technology management, including telecommunications, as required by law
or regulation or to fulfill CIO responsibilities and Departmental
initiatives.
g. Coordinates and supports the Department's Chief Information
Officer's Advisory Council, whose membership consists of Chief
Information Officers from OPDIVs.
h. Representing the Department through participation on interagency
and Departmental work groups and task forces, as appropriate.
i. Working with OPDIV Chief Information Officers to identify
opportunities for administering information management functions and
telecommunications initiatives with major effects on OPDIV performance.
OITP provides leadership primarily in defining alternatives for
acquisition of telecommunications services and coordinating
implementation of information management initiatives in conjunction
with the Chief Technology Officer and the Department Architect.
j. Managing, in accordance with the Paperwork Reduction Act of
1980, as amended, the OS activities related to the review and approval
of all public use reports and record-keeping requirements that impose a
paperwork burden on the public. Developing policies for and managing
the OS Information Collection Budget. Developing policies and
procedures for the OS and carrying out analyst and oversight activities
related to the Department's paperwork burden reductions efforts.
k. Approving and reporting on computer matching activities as
required by law through the Departmental Data Integrity Board.
l. Managing the Departmental printing management, records
management, and mail management policy programs.
m. Providing support for special priority initiatives identified by
the CIO.
3. Office of OS IT Development and Services--The Office of OS IT
Development and Services is responsible for providing Network Services,
Help Desk Services, OS Security, Secretary's Command Center and
Continuity of Operations Planning (COOP) support, and OS Outreach/
Customer Relationship Management (CRM). It is directed by the CIO for
the Office of the Secretary. It is also a primary resource for advising
the CIO on technology implementation, and for piloting CIO special
programs. The Office of OS IT Development and Services is responsible
for the following:
a. Operating, maintaining, and enhancing the OS computer network
and services, including services for participating HHS organizations.
b. Implementing and monitoring network policies and procedures, and
developing plans and budgets for network support services.
c. Identifying, implementing, and maintaining standard office
automation applications running on the OS network.
d. Ensuring reliable, high-performance network services.
e. Implementing and operating electronic tools to enhance
Secretarial communications with all HHS personnel.
f. Coordinating with the STAFFDIVs to develop the OS IT capital
planning and budgeting processes, providing direct planning support to
assure that IRM plans support agency business planning and mission
accomplishment.
g. Implementing policies and guidance on information resources
management within the Office of the Secretary for acquisition and use
of information technology, development of architectural standards for
interoperability, and coordination of implementation procedures.
h. Maintaining and operating the inventory of automated data
processing equipment for the Office of the Secretary.
i. Operating and maintaining an information technology support
service (Help Desk) for participating HHS components.
j. Managing contracts for equipment and support services related to
the provision of IT services in OS and participating agencies.
k. Chairing and supporting the Office of the Secretary Information
Resources Management Policy and Planning Board, an advisory body whose
membership consists of the Staff Division Chief Information Officers.
l. Representing OS and/or the Department through participation on
interagency and Departmental work groups and task forces, as
appropriate.
m. Responsible for OS compliance with and implementation of all
applicable Federal Laws regarding IT Security.
4. Office of HHS Enterprise Operations--The Office of Enterprise
Operations is responsible for Applications Development and OIRM
Business Operations. The Office advises the CIO and OIRM managers on
all administrative functions and activities, and coordinates the
strategic planning and budgeting processes for information technology,
operations and administrative management for the Office of Information
Resources Management. The Office coordinates e-government efforts
across the Department, and provides recommendations regarding funding
of e-government efforts, strategies on agency-specific system
integration, and reviews new projects for possible redundancy with
existing e-gov initiatives. It coordinates Department enterprise
applications with the Chief Department Architect and Chief Technology
Officer. The Office is responsible for the following:
Leading Departmental efforts to expand the availability of
electronic means for conducting business.
a. Coordinates HHS activities that support the President's
Management Agenda's objective for E-Government.
b. Coordinates planning and task tracking across OIRM to ensure
effective utilization of staff and other resources.
c. Prepares, manages, integrates and coordinates budget
formulation, presentation and execution with respect to the Office of
Information Resources Management. Conducts analyses of budget
implementation for both the DASIRM. Identifies IT budget related cross-
cutting issues that cross-cut the OPDIVs and STAFFDIVs.
e. As directed by the DASIRM, prepares staffing forecasts, analyzes
staffing requirements and utilization, and recommends strategies for
changes in human capital for OIRM.
[[Page 11560]]
f. Oversees full life-cycle of OIRM contracts. Works with HHS
contracting organizations, contractors and other parties to ensure that
contractual transactions are substantively correct, and to track
completion of tasks.
g. Oversees and manages employee performance improvement programs
to develop and maintain the technical expertise and qualifications of
employees in OIRM.
h. Coordinates and directs the Department's IT systems in
compliance with Section 508 of the Rehabilitation Act (1973).
5. The Office of HHS Security Development and Implementation--The
Office of HHS Security Development and Implementation is responsible
for developing, implementing and administering the program to protect
the information resources of the Department. This includes management
and oversight of activities under the Government Information Security
Reform Act (GISRA), IT critical infrastructure protection (CIP), and
Department-wide security contracts and high level project management of
OPDIV security programs, such as corrective action plans and security
policies. The Office is responsible for the following:
a. Implementing and administering the program to protect the
information resources of the Department in compliance with legislation,
Executive Orders, directives of the OMB, or other mandates requirements
(e.g., the Clinger-Cohen Act, Presidential Decision Directive 63, OMB
Circular A-130), the National Security Agency, and other Federal
agencies.
b. Directing the development of and implementing cyber security
policies and guidance for the Department, including requirements for
employees and contractors who are responsible for systems or data, or
for the acquisition, management, or use of information resources.
Updating the HHS Automated Information Systems Security Program and
book as needed.
c. Monitoring information system security program activities in the
Department by reviewing OPDIVs and STAFFDIVs security plans for
sensitive systems, recommending improvements, and evaluating safeguards
to protect major information systems, or IT infrastructure.
d. Responding to requests in conjunction with OMB Circular A-130,
the Computer Security Act of 1987, and Presidential Decision Directive
63, or other legislative or mandated requirements related to IT
security or privacy.
e. Monitoring all Departmental systems development and operations
for security and privacy compliance and providing advice and guidance
to ensure compliance standards are included throughout system life
cycle development. Reviews Departmental ITIRB and CIO Council business
cases (as well as OMB circular A-11 requirements) for assurance of
security and privacy compliance.
f. Recommending to the CIO to grant or deny programs the authority
to operate information systems, based on security compliance.
g. Establishing and leading inter-OPDIV teams to conduct reviews to
protect HHS cyber and personnel security programs and conduct
vulnerability assessments of HHS critical assets. This includes regular
certification of existing systems as well as newly implemented systems.
h. Reviewing the Department's information resources for fraud,
waste, and abuse to avoid having redundant resources, in conformance
with the Clinger-Cohen Act.
i. Developing, implementing, and evaluating an employee cyber
security awareness and training program to meet the requirements as
mandated by OMB Circular A-130 and the Company Security Act.
j. Establishing and providing leadership to the Subcommittee of the
HHS CIO Council on Security.
k. Establishing and leading the HHS Computer Security Incident
Response Capability team, the Department's overall cyber security
incident response/coordination center and primary point of contact for
Federal Computer Incident Response Capability (FedCIRC) and National
Infrastructure Protection Center (NIPC).
D. Chapter AMS, Office of Finance
Section AMS.10 Mission. The Office of Finance provides financial
management advice and leadership to the Secretary and the Assistant
Secretary for Budget, Technology and Finance, and the Operating
Divisions' Chief Financial Officers (CFOs).
Section AMS.20 Organization. The Office of Finance is headed by the
Deputy Assistant Secretary for Finance (DASF), who is also the Deputy
Chief Financial Officer, and reports to the Assistant Secretary for
Budget, Technology and Finance (ASBTF)/Chief Financial Officer (CFO).
The Office includes the following:
[sbull] Immediate Office (AMS)
[sbull] Office of Financial Policy (AMS1)
[sbull] Program Management and Systems Policy Office (AMS4)
[sbull] Office of Audit Resolution and Cost Policy (AMSA5)
Section AMS.20 Functions
1. Immediate Office (AMS). The Immediate Office is responsible for
support and coordination across the Office of Finance in the following
areas: (1) Standards for financial systems and financial reporting; (2)
cash and credit management, debt management, payment management
including disbursement activities and functions, (3) the design and
development of Department-wide and component financial systems; (4) the
HHS Financial Management Plan and the HHS Annual Performance and
Accountability Report; (5) the development of outcome-based financial
performance measures and plans through facilitation and training forums
and best practices; (6) coordination with other ASBTF components in the
clearance/approval process for program information systems that provide
financial and/or program performance data which are used in financial
statements; (7) the implementation of a unified financial management
system across HHS; (8) the preparation of financial statements that
accurately represent HHS' financial condition; and (9) ensuring
compliance with the Departmental reporting requirements of the Federal
Managers Financial Integrity Act (FMFIA). In addition, the Immediate
Office recommends CFO approval of the job descriptions and skill
requirements for OPDIV CFOs advises the ASBTF/CFO on the selection of
OPDIV CFOs; and advises the ASBTF/CFO regarding the annual performance
plan/evaluation of each OPDIV CFO. The office also provides guidance on
the qualifications, recruitment, training and retention of all
financial management personnel.
2. Office of Financial Policy (AMS1). The Office of Financial
Policy comprises the Division of Financial Management Policy (DFMP).
Division of Financial Management Policy (AMS11)
a. Develops Department-wide policies, procedures, and standards for
financial management areas including cash management, credit
management, debt management, payment and disbursement activities and
functions, and promulgates these and related government-wide financial
management requirements through the Departmental Accounting Manual
system;
b. Establishes a financial management planning process for the
development of strategic and tactical plans, preparation of the
Department's Annual Financial Management Plan under the CFO Act,
[[Page 11561]]
and provision of guidance and financial management indicators that
enable that ASBTF/CFO to evaluate the financial management programs and
activities of the Department;
c. Provides support to the OPDIVs' Chief Financial Officers for
financial planning and improvement initiatives;
d. Serves as principal staff advisors on fiscal and accounting
policy matters to the Office of Finance;
e. Maintains liaison with the Office of Management and Budget
(OMB), the Treasury Department, the General Accounting Office (GAO),
the General Services Administration and other agencies on all financial
management policy matters;
f. Maintains the Department Accounting Manual (DAM) which is the
official accounting standard for recording and reporting accounting
transactions;
g. Provides advice and assistance to OPDIVs and STAFFDIVs on
financial accounting and related fiscal matters, government-wide
accounting standards and serves as principal advisor to the DASF as it
relates to financial statement preparation, audit and financial
reporting;
h. Prepares, analyzes, coordinates and assesses financial data
reflecting financial, accounting and performance information of the
department financial activities;
i. Recommends policy and maintains a system for tracking and
improving cash and credit management and debt collection performance
throughout the Department;
j. Prepares the annual HHS report on CFO activities as guided by
the DASF/Deputy CFO.
3. Program Management and Systems Policy Office (AMS4). The Program
Management and Systems Policy Office has the following components:
[sbull] Program Management Office (AMSA)
[sbull] Division of Accounting and Fiscal Policy (AMS41)
[sbull] Division of Financial Systems Policy (AMS42)
a. Program Management Office (AMSA). The Office is responsible for
overseeing the design and implementation of a department-wide unified
financial management system (UFMS) consistent with the Secretary's
directive. The system consists of two major components: the Healthcare
Integrated General Ledger Accounting System (HIGLAS) at the Centers for
Medicare and Medicaid Services (CMS) and a system for the rest of the
Department. The office's responsibilities include:
(1) Overseeing the design, development, and implementation of the
UFMS and the development of life-cycle and budgetary plans;
(2) Monitoring the milestones and schedules as well as budget
expenditures;
(3) The meditation and coordination of UFMS activities throughout
all levels of HHS;
(4) Ensuring that the UFMS complies with applicable Federal
accounting concepts and standards, as well as all HHS accounting
policies and procedures;
(5) Ensuring that business requirements are met, the future
direction of the initiative is consistent with HHS planning, and the
status of the project is appropriately communicated to internal and
external organizations;
(6) Overseeing a comprehensive program of change management that
includes addressing department communication, training plans and human
resource issues;
(7) Coordinating with workgroups to maximize the input from the
cross-functional areas of HHS into the implementation process; and
(8) Overseeing all risk management plans to ensure that risks to
the Program are identified and effective mitigation strategies
developed.
b. Division of Accounting and Fiscal Policy (AMS41) The Division:
(1) Develops uniform business rules, data standards and accounting
policy and procedures in support of new financial systems
implementations. Ensures the development of ongoing accounting policy
that further supports the consistent development and implementation of
these systems;
(2) In collaboration with the Office of Financial Policy, provides
advice and assistance to OPDIVs and STAFFDIVs on financial accounting
and related fiscal matters, and advises the DASF on such matters as
they related to financial systems implementations; anD
(3) Maintains liaison with the Office of Management and Budget
(OMB), the Treasury Department, the General Accounting Office (GAO),
and other agencies on accounting and fiscal years matters as they
relate to financial systems implementations.
c. Division of Financial Systems Policy (AMS42) The Division:
(1) Develops department-wide policies and standards for financial
and mixed financial systems;
(2) Provides advice and serves as the focal point with OMB,
Treasury, GAO and other Federal control agencies on financial systems
compliance matters;
(3) Provides for the establishment of Department-wide financial
definitions and data structures;
(4) Provides for the administration of a data integrity and quality
control program to ensure compliance with applicable Federal
directives, Departmental financial systems policy and automated
financial data exchange requirements;
(5) Oversees and monitors existing Department-wide and component
accounting and financial management systems;
(6) In collaboration with the Office of Financial Policy, advises
the DASF on financial systems related matters; and
(7) Maintains liaison with the OMB, Treasury, GAO and other
agencies on matters involving financial systems.
4. Office of Audit Resolution and Cost Policy (AMS5). The Office of
Audit Resolution and Cost Policy provides leadership in the areas of
resolving cross-cutting audit findings and managing cost policy. The
Office has functional responsibility for cost principles and
Department-wide cost policies and procedures affecting grants and
contracts. It performs the following functions.
a. Serves as the Departmental liaison and maintains working
relationships with OMB and other Federal agencies in the development of
government-wide cost principles and Department-wide audit resolution
policies; maintains similar relationships with associations of State,
universities and other grantee and contractor organizations;
b. Reviews and resolves audit reports containing monetary and/or
systemic findings of grantee and contractor organizations affecting the
programs of more than one Operating or Staff Division or Federal
agency. Conducts or arranges for additional reviews as needed;
c. Coordinates where necessary with other affected Federal agencies
to establish a uniform Federal position on the actions needed to be
taken and negotiates resolution on behalf of all Federal Departments
and agencies;
d. When deemed necessary to protect the interests of the
Department, makes recommendations to the Secretary, the ASBTF and other
officials on safeguards or other actions against a grantee or
contractor, where the organization is unwilling or unable to correct
serious deficiencies in a timely manner;
e. Provides and arranges for technical assistance and/or training
programs to grantee, contractors, and other Operating and Staff
divisions on audit resolution, cost reimbursement and financial
management of grants and contracts;
f. Upon request, reviews and approves accounting or other systems
developed
[[Page 11562]]
by grantees and contractors to meet Federal cost principle
requirements;
g. Establishes and monitors policy regarding audit issuance,
follow-up and resolution for the Department in support of the function
of the HHS audit followup official as required by OMB Circular A-50;
h. Coordinates status of final action on OS audits with the ASBTF
Office of Budget; and
i. Prepares Management Report and Final Action for the Performance
and Accountability Report.
II. Delegation of Authority--All delegations and redelegations of
authority made to officials and employees of affected organizational
components will continue in them or their successors pending further
redelegation, provided they are consistent with this reorganization.
Dated: February 28, 2003.
Ed Sontag,
Assistant Secretary for Administration and Management.
[FR Doc. 03-5722 Filed 3-10-03; 8:45 am]
BILLING CODE 4150-04-M