New Federal Intergovernmental Regulations

Eliza Lowe, OCSELaShawn Williams, OCSEDiane Sinkus, PACSETI

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Overview

• Purpose and Scope

• Major Areas of the Final Rule

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Purpose and Scope

• Comprehensive intergovernmental regulation (states, tribes, foreign countries)

• Replaces 1988 interstate regulation 45 CFR 303.7

• Applies only to state IV-D programs

• Effective date: January 3, 2011

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Purpose and Scope

• Clarifies state IV-D initiating and responding responsibilities

• Assigns responsibility for determining the controlling child support order in multiple order cases

• Recognizes electronic communication advancements

• Makes conforming changes

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Major Areas of the Final Rule

• General Definitions (§301.1)

• State Plan Requirements for the provision of services in intergovernmental cases (§302.36)

• Standards for Program Operations for the provision of services in intergovernmental cases (§303.7)

• Case Closure Criteria (§303.11)

• Standards for Determining Substantial Compliance with IV-D Requirements (§305.63)

• Required Program Compliance Criteria (§308.2)

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General Definitions (§301.1)11 Definitions added• Central Authority • Controlling Order State• Country• Form• Initiating Agency • Intergovernmental IV-D Case• Interstate IV-D Case• One-state Remedies• Responding Agency• Tribunal• Uniform Interstate Family Support Act

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State Plan Requirements for the Provision of Services in Intergovernmental IV-D Cases

(§302.36)

• Requires that each state’s child support state plan provides that the full range of child support services be provided to any:(a)(1) State IV-D program(a)(2) Tribal IV-D program(a)(3) “Country” as defined in §303.1• Foreign Reciprocating Countries (FRCs)• Countries with state-level agreements

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Standards for Program Operations for the Provision of Services in Intergovernmental IV-

D Cases (§303.7)

• Reorganized to lay out state IV-D agency responsibilities– Subsection (a): General– Subsection (b): Central Registry– Subsection (c): Initiating State– Subsection (d): Responding State– Subsection (e): Payment and Recovery of Costs in Intergovernmental IV-D Cases

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Subsection (a): General Responsibilities

(a)(1) Establish and use procedures for managing intergovernmental IV-D caseload, ensuring provision of services and maintenance of records (existing responding)

(a)(2) Periodically review program performance for effectiveness (existing responding)

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Subsection (a): General Responsibilities

(a)(3) Ensure adequate staffing to provide services in intergovernmental cases, including review and adjustment

(existing responding, revised)

(a)(4) Use federally approved forms unless a country has provided alternative forms as part of its chapter in a Caseworker’s Guide to Processing Cases with Foreign Reciprocating Countries. When using paper version, provide the number of copies required by the responding agency (existing initiating revised)

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Subsection (a): General Responsibilities

(a)(5) Transmit requests for information and provide requested information electronically as much as possible (new)

(a)(6) Provide any order and payment record information requested by a state IV-D agency for a determination of controlling order (DCO) and reconciliation of arrearages within 30 working days of the request or notify the state IV-D agency when the information will be provided (new)

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Subsection (a): General Responsibilities

(a)(7) Notify the other agency within 10 working days of receipt of new information (existing initiating and responding)

(a)(8) Cooperate with requests for the following limited services: Quick locate, service of process, assistance with discovery, assistance with genetic testing, teleconferenced hearings, administrative reviews, AEI, and copies of court orders and payment records. States may honor requests for other limited services. (new)

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Subsection (b): Central Registry Responsibilities

(b)(1) Establish a central registry responsible for receiving, transmitting and responding to inquiries on all incoming intergovernmental IV-D cases. (existing)

(b)(2) Within 10 working days of receipt of the case (existing):(i) Review case documentation for completeness(ii) Forward the case for necessary action(iii) Acknowledge receipt of the case and request

any missing documentation(iv) Inform the initiating agency where the case was

sent for action

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Subsection (b): Central Registry Responsibilities

(b)(3) Forward the case for any action which can be taken pending any necessary action by the initiating agency. (existing)

(b)(4) Respond to inquiries from the initiating agency within 5 working days of receipt of the request for a case status review. (existing)

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Subsection (c): Initiating State Responsibilities

• Seven major areas of responsibility– Determination of Controlling Order (DCO)– Use of Long-Arm Jurisdiction– Referring Cases to Another State for Action– Necessary Information and Forms– Initiating State Enforcement Activities– Initiating State Responsibility for Distribution

and Disbursement for Collections– Initiating State Notice of Case Closure

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Subsection (c): Initiating State Responsibilities

(c)(1) Determine whether there is an existing order(s) in effect. (new)

(c)(2) Determine in which State a determination of controlling order and reconciliation of arrearages may be made, if multiple orders exist. (new)

(c)(3) Determine if the noncustodial parent is in another jurisdiction and if it is appropriate to use one-state remedies to establish paternity and to establish, modify, and enforce a support order, including medical support and income withholding. (revised)

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Subsection (c): Initiating State Responsibilities(c)(4) Within 20 calendar days of completing the actions

in paragraphs (1) through (3), and if appropriate, receipt of any necessary information needed to process the case. (revised):(i) ask the appropriate intrastate tribunal, or refer the case to

the appropriate responding state IV-D agency, for a determination of controlling order and for reconciliation of arrearages if necessary; and

(ii) refer any intergovernmental IV-D case to the appropriate responding agency for action if use of one-state remedies is not appropriate. (State central registry, Tribal IV-D program, or central authority of a country)

(c)(5) Provide responding agency sufficient, accurate information, using intergovernmental forms. (existing)

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Subsection (c): Initiating State Responsibilities

(c)(6) Provide responding agency requested information or notification of when the information will be provided within 30 calendar days of request. (existing)

(c)(7) Provide annual notice to responding agency regarding amount of interest charges owed on overdue support on an initiating state order and upon request in an individual case. (new)

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Subsection (c): Initiating State Responsibilities

(c)(8) Submit cases with qualified past due support for federal tax refund offset. (new)

(c)(9) Send a request for review of a support order to another state within 20 calendar days of determining review is appropriate and receipt of information necessary to conduct the review. (existing)

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Subsection (c): Initiating State Responsibilities

(c)(10) Distribute and disburse support collections received. (new)

(c)(11) Notify responding agency within 10 working days of case closure and provide the basis for closure. (new)

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Subsection (c): Initiating State Responsibilities

(c)(12) Instruct the responding state to close its case and to stop any withholding order or notice before the initiating state transmits a withholding order or notice to an employer, unless the two states reach another agreement on how to proceed. (new)

(c)(13) Make a diligent effort to locate an obligee, and to accept, distribute and disburse any payment received from the responding agency, if the initiating state has closed its case without notifying the responding agency. (new)

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Subsection (c): Initiating State Responsibilities

(c)(12) Instruct the responding state to close its case and to stop any withholding order or notice before the initiating state transmits a withholding order or notice to an employer, unless the two states reach another agreement on how to proceed. (new)

(c)(13) Make a diligent effort to locate an obligee, and to accept, distribute and disburse any payment received from the responding agency, if the initiating state has closed its case without notifying the responding agency. (new)

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Subsection (d): Responding State Responsibilities

• Six major areas of responsibility– Accepting and Processing Intergovernmental Requests for

Service– Processing Cases when Noncustodial Parent is Found in a

Different State– Determination of Controlling Order– Provision of Necessary Services– Notice of Fees and Costs Deducted– Case Closure in Direct Income Withholding Cases

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Subsection (d): Responding State Responsibilities

(d)(1) Accept and process an intergovernmental request for services regardless of whether the initiating agency opted not to use long-arm jurisdiction. (new)

(d)(2) Within 75 calendar days of receipt from central registry. (existing)(i) Provide locate services as needed(ii) Notify the initiating agency of additional documents or

information needed to proceed(iii) Process the case to the extent possible pending

necessary information from the initiating agency

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Subsection (d): Responding State Responsibilities

(d)(3) Within 10 working days of locating the noncustodial parent in different state, must return forms and documentation, including new location, to initiating agency unless directed by initiating agency to forward/transmit forms and documentation to the central registry in state where noncustodial parent is located. And to notify responding state’s central registry where case has been sent. (existing)

(d)(4) Within 10 working days of locating noncustodial parent in different jurisdiction within the state, forward/transmit forms and documentation to that jurisdiction and inform initiating agency and responding state’s own central registry. (existing)

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Subsection (d): Responding State Responsibilities

(d)(5) If a determination of controlling order (DCO) is requested. (new)(i) File the DCO request with the appropriate tribunal in the

state within 30 calendar days of receipt of the request or location of the noncustodial parent (whichever is later) AND

(ii) Notify the initiating state agency, the controlling order state, and any other state where a support order in the case was issued or registered, of the controlling order determination and any reconciled arrearages within 30 calendar days of receipt of the determination from the tribunal.

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Subsection (d): Responding State Responsibilities(d)(6) Provide any necessary services as in an intrastate

case, including: (d)(6) (revised)(i) Establish paternity and, if the agency elects, seek a

judgment for costs(ii) Establish a support order(iii) Report overdue support to Consumer Reporting Agencies

(new)(iv) Process and enforce support orders using appropriate

remedies and submit the case for appropriate federal remedies

(v) Collect and monitor support payments and forward to location specified by the initiating agency. Must include sufficient information to identify the case, date of collection, and responding state’s case identifier and locator code

(vi) Review and adjust support orders upon request

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Subsection (d): Responding State Responsibilities(d)(9) Stop the responding state’s income withholding

order or notice and close the intergovernmental case within 10 working days of receipt of instructions for case closure from an initiating state under paragraph (c)(12) of this section, unless the two states reach an alternative agreement. (new)

(d)(10) Notify the initiating agency when a case is closed pursuant to one of the case closure criteria under 303.7(d)(9) and 303.11(b)(12) through (14). (existing, revised)

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Subsection (e): Payment and Recovery of Costs in Intergovernmental IV-D Cases

(e)(1) Responding state IV-D agency pays costs incurred in processing interstate cases, including cost of genetic testing. If paternity is established, and at the state’s election, judgment may be sought against alleged father who denied paternity for testing costs. (revised)

(e)(2) Permits cost recovery in intergovernmental non-IV-A cases EXCEPT agency may not recover costs from a Foreign Reciprocating Country or foreign obligee in that FRC. (revised)

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Case Closure Criteria (§303.11)

(b) A case is eligible for case closure if…(b)(12) the state IV-D agency documents failure by the

initiating agency to take an action which is essential for the next step in providing services. (existing)

Note: a notification process under 303.11(c) is required before the responding state closes the case.

(b)(13) the initiating agency has notified the responding state that the initiating state has closed its case under §303.7(c)(11). (new)

(b)(14) the initiating agency has notified the responding state that its intergovernmental services are no longer needed. (new)

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Summary: Responding State Case ClosureA responding state may close an intergovernmental case if: – It can document non-cooperation by the initiating agency, and

provides proper notice to the initiating agency [§303.11(b)(12) and (c)].

– It is notified that the initiating state has closed its case [§303.11(b)(13); corresponds with §303.7(c)(11)].

– It is notified that the initiating agency no longer needs its services [§303.11(b)(14)].

A responding state must close an interstate case if:– The initiating state instructs it to stop income withholding and

close its intergovernmental case [§303.7(d)(9); corresponds with §303.7(c)(12)].

When a responding state closes an intergovernmental Case, it must notify the initiating agency [§303.7(d)(10)].

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Standards for Determining Substantial Compliance with IV-D Requirements (§305.63)

• Conforming changes to correct outdated cross-references and to include cross-references to the new §303.7.

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Required Program Compliance Criteria (§308.2)• Paragraph (g) revised to replace “interstate” with

“intergovernmental,” and to make conforming changes to correct outdated cross-references and include cross-references to the new §303.7.

• Two new program compliance criteria for State Self Assessments. – 308.2(g)(1)(vi) and (2)(vi)• 30 working days for a state to provide any information

requested for a controlling order determination and reconciliation of arrearages, or notify the state IV-D agency when the information will be provided, pursuant to §303.7(a)(6)

• Applies to both initiating and responding states.

– 308.2(g)(1)(iv)• 10 working days for the initiating state to notify the

responding agency that it has closed its case pursuant to §303.7(c)(11)

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State Plan Amendments• States are required to resubmit 2 state plan preprint

pages to certify compliance with the Intergovernmental Child Support Final Rule.

1. Preprint page 2.6 is revised and now titled Provision of Services in Intergovernmental IV-D Cases

2. Preprint page 2.15, Annual State Self-Assessment Review and Report, has not been revised

• State plan amendments were due by March 31, 2011.

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Helpful Resources• AT-08-02: Distribution of Federally Approved Standard

Intergovernmental Child Support Enforcement (CSE) Forms http://www.acf.hhs.gov/programs/cse/pol/AT/2008/at-08-02.htm

• AT-08-12: Notice of Proposed Rulemaking: Child Support Enforcement Program; Intergovernmental Child Support http://www.acf.hhs.gov/programs/cse/pol/AT/2008/at-08-12.htm

• AT-10-06: Final Rule: Intergovernmental Child Support http://www.acf.hhs.gov/programs/cse/pol/AT/2010/at-10-06.htm

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