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Office of Recovery Act Coordination (ORAC)

Office of the Assistant Secretary for Financial Resources Functional Statement

The Functional Statement for the Office of the Assistant Secretary for Financial Resources describes the official roles and responsibilities of the office. 

Approvals:

  1. The Assistant Secretary for Administration and Management (ASAM) on 2/28/2003 and published in 68 FR 11555-62 on 3/11/2003; 
  2. The ASAM on 7/28/2003 and published in 68 FR 57695-96 on 10/06/2003; 
  3. The ASAM on 4/1/2005 and published in 70 FR 17690-91 on 4/7/2005; 
  4. The ASAM on 7/18/2005 and published in 70 FR 42321-24 on 7/22/2005; 
  5. The Secretary on 6/30/2006 and published in 71 FR 38884-88 on 7/10/2006; 
  6. The ASAM on 1/10/2007 and published in 72 FR 2282-83 dated 1/18/2007; 
  7. The ASAM on 9/18/2007 and published in 72 FR 56074, 10/2/2007;
  8. The Acting Secretary on 3/12/2009 and published in 74 FR 18238-39 on 4/21/2009;
  9. The ASAM on 7/30/2009 and published in 74 FR 39325-27 on 8/6/2009;
  10. The Secretary on 11/1/2009 and published in 74 FR 57679-82 on 11/9/2009.

Links to Office Sections:

Office of the Assistant Secretary for Financial Resources (OASFR)

Section AM.00 Mission. The mission of the Assistant Secretary for Financial Resources (ASFR) is to advise the Secretary on all aspects of budget, grants, financial management and acquisition and to provide for the direction of these activities throughout HHS. The ASFR also coordinates HHS' implementation and reporting regarding the American Recovery and Reinvestment Act (Recovery Act).

Section AM.10 Organization. The Assistant Secretary for Financial Resources has several formal and informal roles, including Chief Financial Officer (CFO), Chief Acquisition Officer, HHS audit follow-up official, and lead official for budget and grants. The Assistant Secretary is a close advisor to the Secretary on policy issues. The ASFR accomplishes its work through its component offices:

  • Immediate Office of the Assistant Secretary (AM).
  • Office of Budget (AML).
  • Office of Finance (AMS).
  • Office of Grants and Acquisition Policy and Accountability (AMT).
  • Office of Recovery Act Coordination (AMV).

Section AM.20 Functions.

1. Immediate Office of the Assistant Secretary for Financial Resources / Chief Financial Officer (AM). Provides executive direction to ASFR components. The Assistant Secretary for ASFR is the principal adviser to the Secretary on all aspects of budgetary and financial management and information technology. By delegation from the Secretary, the ASFR/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 Operating Division (OPDIV) CFOs as well as participation with the OPDIV Head in the annual performance plan/evaluation of the OPDIV CFO. In addition, the Assistant Secretary for ASFR/CFO provides Department-wide policy guidance on the qualifications, recruitment, performance, training, and retention of all financial management personnel.

2. Office of Budget (AML).  The Office of Budget is headed by a Deputy Assistant Secretary for Budget.

3. 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.

4. Office of Grants and Acquisition Policy and Accountability (AMT). The Office of Grants and Acquisition Policy and Accountability is headed by the Deputy Assistant Secretary for Grants and Acquisition Policy and Accountability.

5. Office of Recovery Act Coordination (AMV). The Office of Recovery Act Coordination is headed by the Deputy Assistant Secretary for Recovery Coordination.

Go to Section:

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 Financial Resources 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 for Financial Resources/Chief Financial Officer and includes the following:

  • Division of Discretionary Programs (AML1).
  • Division of Health Benefits and Income Support (AML3).
  • Division of Budget Policy, Execution and Management AML4).
  • Division of the Office of the Secretary Budget (AML5).

Section AML.20 Functions.

1.  Division of Discretionary Programs (AML1): The Division of Discretionary Programs:

  1. Provides analytical services and assistance to the Secretary, the Assistant Secretary for Financial Resources (ASFR), and HHS Operating Division (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.
  2. Reviews budgets and related requests for resources, and analyzes plans and proposals for new or alternative legislation.
  3. Analyzes proposed regulations, reorganizations, or program initiatives to determine their policy, resource and management implications.
  4. Proposes recommendations on draft regulations, proposed legislation and reorganization proposals.
  5. Proposes budget options and policy initiatives as necessary to achieve program objectives established by the Secretary.
  6. Assists in the development of strategies for the presentation of the budget to the Office of Management and Budget (OMB) and the Congress, and develops materials for key Departmental officials who testify at hearings before these bodies.
  7. Provides guidance to OPDIVs in the formulation of their budgets.
  8. Conducts special reviews and analyses to examine assigned OPDIV program operations and management effectiveness.
  9. Assists in the development of performance plans, reports, and program assessments under the Government Performance and Results Act.
  10. 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 (AML3). The Division:

  1. Provides analytical services and assistance to the Secretary, the ASFR, 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.
  2. Reviews budget and related requests for resources; analyzes plans and proposals for new legislation, regulations, or program initiatives to determine their resource, policy, and management implications; proposes recommendations for the Deputy Assistant Secretary for Budget on budget requests, draft regulations, proposed legislation, and reorganization proposals.
  3. Assists the Secretary, the ASFR 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 approved plans and policies.
  4. Coordinates the preparation of budget estimates and forecasts of resources required to support the programs and operations of the Department.
  5. Reviews reprogramming requests and recommends appropriate action to the Deputy Assistant Secretary for Budget.
  6. Provides guidance in budget formulation for the appropriate OPDIV.
  7. Conducts special management reviews and analyses, and develops management options to ensure efficient and effective program operations and to encourage management improvements.
  8. Proposes budget options and policy initiatives as necessary to achieve program objectives established by the Secretary.
  9. 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.
  10. Assists in the development of performance plans, reports, and program assessments under the Government Performance and Results Act.
  11. Manages the overall allocation of Health Care Fraud and Abuse Control (HCFAC) funds.

3. Division of Budget Policy, Execution and Review (AML4). The Division of Budget Policy, Execution and Review (DBPER):

  1. 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.
  2. 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.
  3. Provides advice and analysis to support Department-wide budget decision-making.
  4. Maintains active communication with Department budget officers with regard to budget events and activities with OMB, GAO, Congress and other parties.
  5. Manages a computerized budget information system reflecting data on a HHS-wide basis and coordinates OPDIV input into the system.
  6. Provides direct staff support to the Secretary in preparation for appropriation hearings and other budget related presentations and briefings.
  7. 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 OPDIVs.
  8. 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.
  9. Analyzes and prepares reports on HHS performance in managing Full Time Equivalent (FTE) levels and in implementing FTE policy, and provides expert advice on Department-wide staffing.
  10. 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.
  11. 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.
  12. 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 OMB in formulating agency funding plans.
  13. 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 requests and monitors the receipt of Treasury warrants.
  14. Serves as principal staff advisor to the ASFR on all matters involving budget execution.
  15. Acts as liaison on behalf of HHS with OMB, the Treasury Department, the Congressional Budget Office, and other agencies on matters involving budget execution.
  16. 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.
  17. Represents the Department in government-wide activities to implement the development and implementation of performance measures and budget-related performance planning policies, requirements and processes. Manages program performance assessment activities.
  18. Provides special management review services for selected activities.

4. Division of the Office of the Secretary Budget (AML5). The Division of the Office of the Secretary Budget (DOSB):

  1. Reviews and analyzes the budgets of the Staff Divisions (STAFFDIVS) funded by the General Departmental Management (GDM), Office of Inspector General (OIG) and Office for 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.
  2. Works closely with OASAM in planning and formulating the GDM budget justification for presentation to the Secretary, Office of Management and Budget (OMB) and the Congress.
  3. Reviews budgets and related requests for resources, and analyzes plans and proposals for new or alternative legislation.
  4. Analyzes proposed regulations, reorganizations, or program initiatives to determine their policy, resource and management implications.
  5. Proposes recommendations on draft regulations, proposed legislation and reorganization proposals.
  6. Proposes budget options and policy initiatives as necessary to achieve program objectives established by the Secretary.
  7. Assists in the development of strategies for the presentation of the budget to the OMB and the Congress, and develops materials for key Departmental officials who testify at hearings before these bodies.
  8. Provides guidance to STAFFDIVs in the formulation of their budgets.
  9. Conducts special reviews and analyses to examine assigned STAFFDIV program operations and management effectiveness.
  10. Provides staff assistance to the Secretary, the ASFR, the Service and Supply Funds (SSF) Board of Directors, OPDIV Budget Officers and STAFFDIV Heads in the budgetary and financial management of the SSF.
  11. Provides for budget policy management and financial integrity of the SSF in the provision of Departmental common use administrative services.
  12. Assists in the planning and preparation of the SSF budget for presentation to the SSF Board, the OMB, and Congress.
  13. Provides budget policy and technical support to the Program Support Center Director (and other activity managers) on all SSF activities.
  14. Directs and provides technical guidance to SSF activity managers in preparing annual budgets.
  15. Directs and provides technical guidance to SSF accountants in preparing annual financial statements. Assists in the planning and preparation of these statements for presentation to the SSF Board, auditors, and the Office of Management and Budget.
  16. Establishes Department policy in receiving and responding to Inspector General reports and audits.
  17. Prepares apportionment requests for the SSF.

Go to Section:

Office of Finance

Section AMS.00 Mission.  The Office of Finance advises and supports the Secretary and the Assistant Secretary for Financial Resources/CFO on all aspects of financial activities across the Department.

Section AMS.10 Organization. The Office of Finance (OF) is headed by the Deputy Assistant Secretary for Finance (DASF), who is also the Deputy Chief Financial Officer, and reports to the ASFR/Chief Financial Officer (CFO). The Office includes the following:

  • Immediate Office (AMS)
  • Office of Financial Policy and Reporting (AMSI)
  • Office of Program Management and Systems Policy (AMS2)

Section AMS.20 Functions

1. Immediate Office (AMS). The Immediate Office is responsible for support and coordination of the Office of Finance components in their management of the areas listed under section AMS.00 Mission above, especially for ensuring compliance with the Departmental reporting requirements of the Federal Managers' Financial Integrity Act (FMFIA) as Departmental FMFIA Coordinator. In addition, the Immediate Office recommends ASFR/CFO approval of the job description and skill requirements for OPDIV CFOs, advises the ASFR/CFO on the selection of OPDIV CFOs; and advises the ASFR/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 and Reporting (AMS1). The Office of Financial Policy and Reporting (OFPR) consists of:

  • Division of Financial Management Policy (AMS11)
  • Division of Financial Statements and Audits (AMS12)

a.  Division of Financial Management Policy (AMS11). The Division of Financial Management Policy (DFMP):

(1) Ensures that proper internal controls are implemented and maintained under OMB Circular A-123, Management's Responsibility for Internal Control;

(2) Coordinates with the OPDIVs in the preparation of the corrective action plan (CAP), which is submitted quarterly to OMB and reflects the material weaknesses and reportable conditions from the annual CFO audit and the Federal Managers' Financial Integrity Act (FMFIA) report;

(3) 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; 

(4) Establishes a financial management planning process for the development of strategic and tactical plans, and provides guidance and financial management indicators that enable the ASFR/CFO to evaluate the financial management programs and activities of the Department; 

(5) Provides support to the OPDIV CFOs for financial planning and improvement initiatives; 

(6) Serves as principal staff advisor on financial management policy matters to the Office of Finance; 

(7) Maintains liaison with OMB, the Treasury, the GSA and other agencies on financial management policy matters; 

(8) Prepares, analyzes, coordinates and assesses financial data reflecting financial, accounting and performance information of the Departmental financial activities; 

(9) Recommends policy and maintains a system for tracking and improving cash and credit management and debt collection performance throughout the Department; 

(10) Prepares the annual HHS report on CFO activities as guided by the DASF/Deputy CFO.

b. Division of Financial Statements and Audits (AMS12): The Division of Financial Statements and Audits:

(1) Oversees the preparation and submission of quarterly and annual consolidated financial statements for the Departments;

(2) Acts as the principal contact with the OIG in planning the annual financial statement audit strategy under the CFO Act and the 1994 amendments under the Government Management Reform Act (GMRA);

(3) Reviews and interprets OMB, GAO, Treasury and Federal Accounting Standards Board (FASAB) guidance related to government wide accounting policy and standards and develops the Department's policy for implementation of these requirements and assures that policies and procedures are in accordance with internal control and reporting standards of financial management activities;

(4) Develops uniform business rules, data standards and accounting policy and procedures in support of new financial system implementations. Ensures the development of ongoing accounting policy that further supports the consistent development and implementation of these systems; 

(5) Provides advice and assistance to OPDIVs and STAFFDIVs on financial accounting and related fiscal matters, and advises the DASF on such matters as they relate to financial system implementations; 

(6) Maintains liaison with OMB, the Treasury, and other agencies on accounting, financial policy and fiscal matters; 

(7) Maintains the Departmental Accounting Manual (DAM) which is the official accounting standard for recording and reporting accounting transactions; (8) 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.

3. Office of Program Management and Systems Policy (AMS2). The Office of Program Management and Systems Policy (OPMSP) has the following components:

  • Program Management Office (AMS21)
  • Division of Systems Policy, Payment Integrity and Audit Resolution (AMS22)

a. Program Management Office (AMS21): The Program Management Office (PMO) is responsible for overseeing the design and implementation of enterprise financial management systems, with a current priority on the unified financial management system (UFMS) consistent with the Secretary's June 2001 directive. The system consists of two major components: the Healthcare Integrated General Ledger Accounting System (HIGLAS) at the Centers for Medicare & Medicaid Services (CMS) and a system for the rest of the Department. The office's responsibilities include: 

(1) Serving as a focal point for 

(a) overseeing the design, development, and implementation of the UFMS and the development of life-cycle and budgetary plans; 

(b) monitoring the milestones and schedules as well as budget expenditures; and 

(c) the mediation and coordination of activities throughout all levels of HHS; 

(2) Ensuring that the UFMS complies with applicable Federal accounting concepts and standards, as well as HHS accounting policies and procedures; 

(3) 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; 

(4) Overseeing a comprehensive program of change management that includes addressing Departmental communication, training plans and human resource issues; 

(5) Coordinating with workgroups to maximize the input from the cross-functional areas of HHS into the implementation process; and 

(6) Overseeing risk management plans to ensure that risks to the program are identified and effective mitigation strategies developed.

b. Division of Systems Policy, Payment Integrity, and Audit Resolution (AMS22). The Division is responsible for overseeing the financial systems policy, payment integrity and audit resolution functions: 

(1) The financial system policy function oversees Department-wide financial systems policy development and implementation for HHS financial and mixed financial systems for adherence to government-wide and Departmental financial systems policy and standards; oversees the Department's compliance with the Federal Financial Management Improvement Act of 1996 and Section 4 of the Federal Managers' Financial Integrity Act; and helps ensure the financial accountability for these systems in conjunction with the HHS Office of Chief Information Officer. This includes the following functions: 

(a) Develops Department-wide policies and standards for financial and mixed financial systems; 

(b) Provides advice and serves as the focal point with OMB, Treasury and other Federal control agencies on financial systems compliance matters; 

(c) Provides for the establishment of Department-wide financial definitions and data structures;

(d) 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; 

(e) Manages the Capital Planning Investment Control (CPIC) process and the OMB Exhibit 300 business case development and review process for IT systems including financial management systems throughout HHS in support of the Department's Information Technology Investment Review Board (ITIRB); 

(f) Oversees and monitors existing Department-wide and component accounting and financial management systems; 

(g) Advises the DASF on financial systems related matters in collaboration with the Office of Financial Policy and Reporting; and 

(2) The payment integrity function oversees the Department's improper payment reduction initiatives which include recovery auditing, program risk assessments, estimating and reducing improper payments for high risk programs and reporting to OMB, Congress, and others on these estimates and the Department related actions. This includes: 

(a) Providing analyses of high risk programs and improper payment identification strategies and formulating recommendations on best approaches to meeting the requirements of the Improper Payments Information Act of 2002 (IPIA) and other related legislation, regulation and policy; 

(b) Identifying improvements to the HHS Risk Assessment Model and providing assistance to the OPDIVs in completing required IPIA program risk assessments, and addressing issues as they arise about the appropriateness of risk assessment conclusions; 

(c) Preparing reports, presentations and briefings for the Department's top management, OPDIVs, OMB and other organizations, on the improper payment initiative. This includes preparing the Appendix, “Information on HHS Improper Payment and Recovery Auditing Initiative,'' which is included in the Department's annual Performance and Accountability Report (PAR). 

(3) The audit resolution function provides leadership in resolving crosscutting audit findings. It performs the following functions: 

(a) Reviews and resolves audit findings pertaining to monetary and/ or systemic findings of grantee and contractor organizations affecting the programs of more than one Operating or Staff Division or Federal agencies. Conducts or arranges for additional reviews as needed; 

(b) 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; 

(c) Makes recommendations to the Secretary, the ASFR 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 as deemed necessary; 

(d) Provides technical assistance to grantees, contractors, and other Operating and Staff Divisions related to the resolution of findings contained in audits of HHS awardees and financial management of grants and contracts; 

(e) Establishes and monitors policy regarding audit issuance, follow-up and resolution for the Department in support of the function of the HHS audit follow-up official as required by OMB Circular A-50; 

(f) Oversees the submission of required grantee audit reports; 

(g) Coordinates status of final action on OS audits with the ASFR Office of Budget; and

(h) Prepares the Management Report on Final Action for the Department's annual Performance and Accountability Report.

Go to Section:

Chapter AMT, Office of Grants and Acquisition Policy and Accountability

Section AMT.00 Mission. The Office of Grants and Acquisition Policy and Accountability (OGAPA) provides Department-wide leadership and management in the areas of grants and acquisition management through policy development, data systems operations and analysis, performance measurement, oversight and workforce training, development, and certification. OGAPA fosters collaboration, innovation, and accountability in the administration and management of the grants and acquisition functions throughout the Department.  In addition to facilitating Departmental implementation of and compliance with existing grants and acquisition laws and regulations, OGAPA provides Departmental and government-wide leadership on implementation of the Federal Financial Accountability and Transparency Act (FFATA) for grant and acquisition activities. OGAPA is the organizational location for Grants.gov, which provides a Government- wide electronic portal for citizens to “Find'' and “Apply'' for Federal grant opportunities. OGAPA represents the Department in dealing with the Office of Management and Budget (OMB), U.S. Government Accountability Office (GAO), other Federal agencies, and Congress in the area of grants (to include mandatory and discretionary grants administration and electronic grants systems) and acquisition management.

Section AMT.10 Organization. OGAPA is headed by a Deputy Assistant Secretary for Grants and Acquisition Policy and Accountability who reports to the Assistant Secretary for Financial Resources. OGAPA consists of the following components:

  • Immediate Office of Grants and Acquisition Policy and Accountability (AMT).
  • Division of Grants (AMT1).
    • Office of Grants Policy, Oversight & Evaluation (AMT11).
    • Office of Grants Systems & Modernizations (AMT12).
  • Division of Acquisition (AMT2).
    • Office of Acquisition Policy (AMT21).
    • Office of Acquisition Program Support (AMT22).
  • Office of Small & Disadvantaged Business Utilization (AMT3).

Section AMT.20 Functions.

1. Immediate Office of Grants and Acquisition Policy and Accountability (AMT). The Immediate Office of Grants and Acquisition Policy and Accountability consists of the Deputy Assistant Secretary and support staff who assist in the management and administration of the Office's functions.

2. Division of Grants (AMT1). The Division of Grants is headed by an Associate Deputy Assistant Secretary who serves as the Division Director and provides leadership, policy, guidance, oversight, and coordination of HHS grants management practices and its supporting grants management systems. The Division supports government-wide grants management initiatives, as well as outreach to grantors and grantees and interface with HHS agencies, OMB, the Federal Chief Information Officers (CIO) Council, the Grants Policy Council and Grants Executive Board, and HHS leadership on the Grants.gov systems and Tracking Accountability in Government Grants Systems (TAGGS), as appropriate. The Division also provides technical assistance to the Operating Divisions (OPDIVs) and evaluates effectiveness of the Department's grant programs, including the development of performance standards and grant processing systems. The Division of Grants (AMT1) consists of the following components:

  • Office of Grants Policy, Oversight & Evaluation (AMT11).
  • Office of Grants Systems & Modernizations (AMT12).

a. Office of Grants Policy, Oversight & Evaluation (AMT11). The Office of Grants Policy, Oversight and Evaluation (OGPOE) is headed by a Director. The Office formulates, oversees, and evaluates Department-wide implementation of grants policies governing the award and management of grants throughout HHS, in support of existing laws, regulations, and OMB Circulars. Additionally, OGPOE:

(1) Develops and implements HHS grants management regulations and publishes new policies and modifications in the HHS Grants Policy Directives (GPDs), including all directives necessary to implement new intergovernmental and HHS policies;

(2) Represents the Department and serves as its liaison in interagency grants policy and management activities; maintains working relationships with OMB, U.S. General Services Administration (GSA), GAO and other Federal agencies to coordinate and assist in the development of proposed legislation and policy; and

(3) Develops strategy and related training opportunities to enhance the career development of grants management professionals both within the Department and Government-wide so as to facilitate the hiring and retention of a well qualified and fully certified workforce of grants management professionals.

b. Office of Grants Systems & Modernizations (AMT12). The Office of Grants Systems & modernization (OGSM) is headed by a Director. The organization consists of the following components:

    • Grants.gov Program Management Office (AMT121).
    • Grants Management Systems Branch (AMT122).

    • (1) Grants.gov Program Management Office (AMT121). The Grants.gov Program Management Office (GPMO) is headed by a Program Manager and provides leadership to Federal and non-Federal members of the Grant Community as the system manager of Grants.gov--the government-wide central portal where citizens can find and apply for Federal grants.  The GPMO manages the full life cycle of Grants.gov system operations and maintenance including short-term and long-term enhancement activities to ensure users have a reliable system to find and apply for Federal grants. In addition, the GPMO:

      • (a) Collects and evaluates user requirements and as appropriate integrates these adaptations into system change requests which are planned and executed according to government-wide capital planning and investment control practices;

        (b) Leads a government-wide collaborative effort to design, build and implement the “next generation'' of Grants.gov;

        (c) Manages and collects funds to support the full lifecycle of Grants.gov system operations, maintenance and enhancement activities;

        (d) Serves as a liaison to ensure coordination with OMB, Federal CIO Council, Grants Policy Committee, Grants Executive Board and HHS leadership and other oversight organizations on the government-wide electronic grants initiative;

        (e) Manages the clearance and revision of government-wide grant forms and data elements used on Grants.gov; and

        (f) Conducts and coordinates outreach and training for grants management professionals, grantees and grantors on the use and capabilities of Grants.gov.

    • (2) Grants Management Systems (AMT122). The Grants Management Systems Branch (GMSB) is headed by a Branch Chief. This Branch plans, directs and coordinates the activities of the Division of Grants with respect to Departmental implementation of all electronic grants initiatives, such as: TAGGS, Government-wide Grants Management Line of Business, as well as management of select Grants Internet and Intranet sites. GMSB represents the Department or the Division of Grants on matters of electronic assistance administration policy in dealing with recipients, OMB, other Federal agencies, and the public in general and leads Departmental coordination of grants system activities in support of the Federal Financial Accountability and Transparency Act including system interfaces with USASpending.gov.

3. Division of Acquisition (AMT2). The Division of Acquisition is headed by an Associate Deputy Assistant Secretary, who serves as the Division Director, and provides management direction and leadership, policy, guidance, and supervision to constituent organizations, and coordinates long and short-range planning. The Division also provides technical assistance to the Department's OPDIVs, evaluates effectiveness of the acquisition programs and processes, develops pertinent HHS-wide performance standards, maintains Departmental contract information, and conducts special Departmental initiatives. It also serves as the focal point for cross-cutting Freedom of Information Act (FOIA) requests and audits regarding acquisition. The Division Director serves as the Department's Senior Procurement Executive and leads the Department's Executive Committee for Acquisition. The Division of Acquisition (AMT2) consists of the following components:

  • Office of Acquisition Policy (AMT21).
  • Office of Acquisition Program Support (AMT22).

a. Office of Acquisition Policy (AMT21). The Office of Acquisition Policy (OAP) is headed by a Director. The Office provides leadership in the area of acquisition through policy development and implementation and workforce planning, development, and training. The Office is responsible for formulating Department-wide acquisition policies governing acquisition activities, publishing and maintaining the HHS Acquisition Regulation (HHSAR), participating in government-wide acquisition rule-making through the Civilian Agency Acquisition Council, providing advice and technical assistance on matters related to HHS acquisition programs, managing workforce development issues for the Department's acquisition workforce, managing the Departmental Contract Information System; and monitoring the adoption of acquisition policies by the Department's OPDIVs and Staff Divisions (STAFFDIVs) to ensure consistent policy interpretation.

b. Office of Acquisition Program Support (AMT22). The Office of Acquisition Program Support (OAPS) is headed by a Director and provides advice, oversight and support regarding operational acquisition and business practices and issues. This Office conducts procurement management reviews, promotes consistent and standardized business practices, and facilitates and improves the acquisition system by:

(1) Developing innovative processes and tools;

(2) Acquiring, adopting, tailoring and sharing best practices;

(3) Leading the Department's Strategic Sourcing Program and the acquisition aspects of the environmental program;

(4) Providing expert consultation services; and

(5) Managing the Department's Government Purchase Card Program. The Office serves as the Department's liaison relating to acquisition issues for OMB, Congress, GAO and the Office of the Inspector General (OIG) when requested.

4. Office of Small & Disadvantaged Business Utilization (AMT3).  The Office of Small & Disadvantaged Business Utilization (OSDBU) fosters the use of small business as Federal contractors pursuant to Public Law 95-507 and is also referred to within HHS as the Office of Small Business Programs (OSBP). OSDBU manages the development and implementation of appropriate outreach programs aimed at heightening the awareness of the small business community to the contracting opportunities available within HHS. OSDBU issues policy and guidance on all small business programs for HHS. The Director of OSDBU reports directly to the Deputy Secretary and is administratively supported by OGAPA. OSDBU:

(1) Provides leadership, policy, guidance and supervision, as well as coordinating short- and long-range strategic planning for the Secretary and the Deputy Secretary to assure that small business vendors have a fair opportunity to compete for and receive business with the Department;

(2) Has responsibility within the Department for policy, plans, and oversight to execute the functions under Sections 8 & 15 of the Small Business Act;

(3) Provides leadership to the development and assessment of the Department's programs and policies to develop a unified small business voice;

(4) Publishes and maintains the HHS Small Business Program Policy Manual (SBPPM);

(5) Collaborates with the acquisition and program offices of HHS to ensure compliance with the Small Business Act, the Federal Acquisition Regulation (FAR) and

the HHSAR;

(6) Prepares documentation and reports to the Executive Office of the President, Congress, OMB, the Small Business Administration, and other agencies, as required;

(7) Provides input for coordinated Department positions on proposed legislation and Government regulations on matters affecting cognizant socioeconomic programs and maintains liaison with Congress through established Department channels;

(8) Is responsible for the Departmental review and evaluation of planned procurement by program and procurement offices to ensure that Small Business Programs are given thorough consideration throughout the decision-making process; and (9) Builds strong relationships with internal, as well as, external stakeholders and partners of HHS.

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Chapter AMV, Office of Recovery Act Coordination

Section AMV.00 Mission.  The Office of Recovery Act Coordination (ORAC) is responsible for

coordinating the implementation of the American Recovery and Reinvestment Act of 2009 (ARRA or Recovery Act) within the Department of Health and Human Services. The ORAC ensures that HHS meets the statutory requirements of the Recovery Act and follows the Office of Management and Budget's (OMB) implementing guidance. ORAC acts as the official repository of HHS Recovery Act information and data. As such, it is the authoritative source for information and data for all memoranda and reports provided to the Secretary, and formal communications to OPDIVs and STAFFDIVs. The ORAC is also the authoritative source for accurate and up-to-date information for all communications, including electronic communication, to OMB, the Congress and the public.

To carry out its mission, the ORAC coordinates with all relevant business management functions managed by STAFFDIVs, such as public affairs, grants and contract management, financial management, budget, planning and evaluation, information technology, and the Office of the General Counsel. It also coordinates closely with the OPDIVs that manage appropriated funds and programs authorized under the Recovery Act.

By convening meetings and workgroups of senior HHS program and business managers and by working in close collaboration with existing business management and program offices, the ORAC ensures that funds are awarded in a prompt, fair and reasonable manner; that recipients and users of all funds are transparent to the public; that the public benefits of these funds are reported clearly and accurately; that reporting due dates are met; that performance outcomes are established and tracked; that projects and activities funded under the Recovery Act are achieved while mitigating risk; and that the Office of the Assistant Secretary for Public Affairs is able to keep the public constantly informed through the web and other means of communications.

Section AMV.10 Organization.  The Office of Recovery Act Coordination is headed by a Deputy Assistant Secretary for Recovery Coordination, reports to the Assistant Secretary for Financial Resources, and is responsible for meeting performance objectives set by the HHS Senior Accountable official.   ORAC includes the following components:

  • Immediate Office of the Recovery Act Coordination (AMV).
  • Division of Management and Performance (AMV1).
  • Division of Planning and Presentation (AMV2).
  • Division of Project Coordination (AMV3).

Section AMV.20 Function

1. Immediate Office of Recovery Act Coordination (AMV).  The Immediate Office of Recovery Act Coordination (ORAC) is responsible for:

(a) providing advice and counsel to the Secretary, the Senior Accountable Official, and the Assistant Secretary for Financial Resources (ASFR) on all issues related to the Recovery Act; and

(b) convening senior HHS program and business mangers in order to coordinate activities of the Recovery Act and the Office of Management and Budget's (OMB's) implementing guidelines related to the Recovery Act.

2. Division of Management and Performance (AMV1).  The Division of Management and Performance (DMP) is responsible for:

(a) Ensuring that accountability measures for all ARRA projects and activities are identified, coordinated with the HHS Office of Inspector General (OIG) and implemented according to schedules.

(b) Coordinating with the General Accounting Office (GAO) and the OIG on all matters relating to the integrity of projects and activities supported by the ARRA.

(c) Managing HHS contacts with the Recovery Accountability and Transparency Board.

(d) Identifying and coordinating the timely preparation of all reports required by ARRA and OMB's guidance.

(e) Coordinating the development and implementation of procedures for performance reporting by recipients of funds under the ARRA.

(f) Providing management support to the Deputy Assistant Secretary and ORAC staff including correspondence control.

(g) Establishing and maintaining all files and records related to the Recovery Act.

(h) Managing the distribution and maintenance of all guidance developed by ORAC.

3. Division of Planning and Presentation (AMV2).  The Division of Planning and Presentation (DPP) is responsible for:

(a) Designing and assembling project plans for implementing all essential projects and activities required by the American Recovery and Reinvestment Act (ARRA) and related Office of Management and Budget guidance.

(b) Identifying for each project plan the key tasks, milestones, and activities requiring coordination with HHS program and business functions managed by OPDIVs and STAFFDIVs.

(c) Updating the project plans regularly as required.

(d) Preparing executive level reports that portray the overall status of ARRA implementation based on individual project and activity plans. These status reports will provide the basis for ARRA briefings and reports to the Secretary, the ARRA Implementation Team, the Recovery Act Technical Council, OMB, the Congress, and the public.

(e) Reviewing and coordinating external communications related to ARRA implementation. As the authoritative source for information on ARRA implementation, DPP will work closely with the Office of the Assistant Secretary for Public Affairs (ASPA), STAFFDIVs and OPDIVs on the preparation of all public statements and web communication related to ARRA.

(f) Preparing presentations and briefings on ARRA implementation to the Secretary, OMB, and in consultation, with the Office of the Assistant Secretary for Legislation, the Congress.

(g) Coordinating the preparation of the Implementation Plan required by ARRA and other similar reports to the Congress and OMB.

(h) Convening meetings and workgroups of senior HHS program and business managers in order to coordinate the development of the Recovery Act plans and projects.

4. Division of Project Coordination (DMV3).  The Division of Project Coordination (DPC) is responsible for:

(a) Establishing systems and procedures for coordinating the implementation plans for all relevant projects and activities of the ARRA and preparing guidance to all relevant HHS components specifying the roles and responsibilities of key components.

(b) Coordinating, through its project officers, each project and activity using the project plan designed by DPP as the framework for identifying key tasks, milestones and the matrix of business functions and offices that are involved in implementation.

(c) Identifying and resolving issues arising during implementation using coordination as a primary means for issue resolution.

(d) Preparing status reports against project plans as specified by DPP.

(e) Providing support to the Recovery Act Technical Council and the ARRA Implementation Team.

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Last Updated: 01/20/2010

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