[Congressional Bills 103th Congress]
[From the U.S. Government Publishing Office]
[S. 2214 Introduced in Senate (IS)]

103d CONGRESS
  2d Session
                                S. 2214

  To amend the Social Security Act to establish grants for States to 
    carry out Children's Ombudsman programs, and for other purposes.


_______________________________________________________________________


                   IN THE SENATE OF THE UNITED STATES

                June 20 (legislative day, June 7), 1994

Mr. Riegle (for himself and Mrs. Boxer) introduced the following bill; 
     which was read twice and referred to the Committee on Finance

_______________________________________________________________________

                                 A BILL


 
  To amend the Social Security Act to establish grants for States to 
    carry out Children's Ombudsman programs, and for other purposes.

    Be it enacted by the Senate and House of Representatives of the 
United States of America in Congress assembled,

SECTION 1. SHORT TITLE.

    This Act may be cited as the ``Children's Ombudsman Act''.

SEC. 2. GRANTS FOR STATE CHILDREN'S OMBUDSMAN PROGRAMS.

    Title IV of the Social Security Act (42 U.S.C. 601 et seq.) is 
amended by adding at the end the following:

             ``Part G--State Children's Ombudsman Programs

                            ``state programs

    ``Sec. 491. (a) Definitions.--As used in this section:
            ``(1) Child.--The term `child' means an individual who is 
        younger than 18 years of age.
            ``(2) Children's services.--The term `children's services' 
        means child welfare services, as defined in section 425, child 
        protective services, including investigation and intervention 
        in response to cases of reported child abuse and neglect, and 
        services authorized to be provided under part E.
            ``(3) Facility.--The term `facility' means--
                    ``(A) a child-care institution, or a foster family 
                home, as defined in section 472(c), or an entity 
                eligible to carry out activities under part E;
                    ``(B) an entity eligible to carry out activities 
                under part B; and
                    ``(C) an entity providing child protective 
                services, including investigation and intervention in 
                response to cases of reported child abuse and neglect.
            ``(4) Legal assistance.--The term ``legal assistance''--
                    ``(A) means legal advice provided by an attorney to 
                children; and
                    ``(B) includes--
                            ``(i) to the extent feasible, counseling or 
                        other appropriate assistance by a paralegal or 
                        law student under the direct supervision of an 
                        attorney; and
                            ``(ii) counseling by a nonlawyer where 
                        permitted by law.
            ``(5) Local ombudsman entity.--The term `local Ombudsman 
        entity' means an entity designated under subsection (c)(5)(A) 
        to carry out the duties described in subsection (c)(5)(B) with 
        respect to a service area described in subsection 
        (c)(1)(D)(iii) or other substate area.
            ``(6) Nonprofit.--The term `nonprofit', as applied to any 
        organization or entity, means an organization or entity that 
        is, or is owned and operated by, one or more corporations or 
        associations no part of the net earnings of which inures, or 
        may lawfully inure, to the benefit of any private shareholder 
        or individual.
            ``(7) Office.--The term `Office' means the office 
        established in subsection (c)(1)(D)(i).
            ``(8) Ombudsman.--The term `Ombudsman' means the individual 
        described in subsection (c)(2).
            ``(9) Program.--The term `program' means the State 
        Children's Ombudsman program established in subsection 
        (c)(1)(D)(ii).
            ``(10) Representative.--The term `representative' includes 
        an employee or volunteer who represents an entity designated 
        under subsection (c)(5)(A) and who is individually designated 
        by the Ombudsman.
            ``(11) Recipient.--The term `recipient' means a child who 
        receives, or who is eligible to receive, children's services.
            ``(12) State agency.--The term `State agency' means the 
        agency designated under subsection (c)(1)(A).
    ``(b) Grants.--
            ``(1) In general.--The Secretary shall award grants to not 
        more than 10 States to carry out Children's Ombudsman programs.
            ``(2) Award of grants.--In awarding grants under paragraph 
        (1), the Secretary shall--
                    ``(A) award the grants so as to support a variety 
                of approaches to carrying out the programs;
                    ``(B) award at least one such grant to a State to 
                carry out a program by contract or other arrangement 
                with a nonprofit private organization; and
                    ``(C) give preference in the award of grants to 
                States that have demonstrated the availability of non-
                Federal sources of funds to carry out State Children's 
                Ombudsman programs.
            ``(3) Period.--In awarding a grant under paragraph (1), the 
        Secretary shall award the grant for a period of 3 years.
            ``(4) Limitation.--A State that receives a grant under 
        paragraph (1) shall use not more than 10 percent of the amounts 
        made available through the grant to conduct the evaluation 
        described in subsection (c)(1)(C).
    ``(c) Establishment.--
            ``(1) In general.--
                    ``(A) State agency.--In order for a State to be 
                eligible to receive a grant under subsection (b), the 
                State shall, in accordance with guidance provided by 
                the Secretary, designate a State agency as the sole 
                State agency to carry out the duties described in 
                subparagraphs (B), (C), and (D). The State may not 
                designate a State agency that is responsible for the 
                licensing or regulation of a facility in the State.
                    ``(B) State plan.--
                            ``(i) In general.--In order for a State to 
                        be eligible to receive such a grant, the State 
                        agency shall submit an application to the 
                        Secretary at such time, in such manner, and 
                        containing such information as the Secretary 
                        may require.
                            ``(ii) Contents.--The application shall 
                        include, at a minimum, a State plan that 
                        contains information indicating the manner in 
                        which the State will carry out a program in 
                        accordance with the requirements of this 
                        section.
                    ``(C) Implementation.--The State agency shall 
                administer the State plan within such State, and be 
                primarily responsible for the planning, policy 
                development, administration, coordination, priority 
                setting, and evaluation of all State activities carried 
                out under the State plan.
                    ``(D) Program.--The State agency shall, in 
                accordance with this section--
                            ``(i) establish and operate an Office of 
                        the State Children's Ombudsman;
                            ``(ii) carry out through the Office a State 
                        Children's Ombudsman program; and
                            ``(iii) divide the State into distinct 
                        service areas, or designate the entire State as 
                        a single service area, in accordance with 
                        guidelines issued by the Secretary.
            ``(2) Ombudsman.--The Office shall be headed by an 
        individual, to be known as the State Children's Ombudsman, who 
        shall be selected from among individuals with expertise and 
        experience in the fields regarding care and advocacy for 
        children.
            ``(3) Functions.--The Ombudsman shall serve on a full-time 
        basis, and shall, personally or through representatives of the 
        Office--
                    ``(A) identify, investigate, and resolve complaints 
                that--
                            ``(i) are made by, or on behalf of, 
                        recipients or the parents or guardians of 
                        recipients; and
                            ``(ii) relate to action, inaction, or 
                        decisions, that may adversely affect the 
                        health, safety, welfare, or rights of the 
                        recipients, of--
                                    ``(I) providers, or representatives 
                                of providers, of children's services;
                                    ``(II) public agencies; or
                                    ``(III) health and social service 
                                agencies;
                    ``(B) inform the parents or guardians of recipients 
                about means of obtaining children's services provided 
                by providers or agencies described in subparagraph 
                (A)(ii);
                    ``(C) provide administrative and technical 
                assistance to entities designated under paragraph (5) 
                to assist the entities in participating in the program;
                    ``(D)(i) analyze, comment on, and monitor the 
                development and implementation of Federal, State, and 
                local laws, regulations, and other governmental 
                policies and actions, that pertain to the health, 
                safety, welfare, and rights of the recipients, with 
                respect to the adequacy of facilities and children's 
                services for children in the State;
                    ``(ii) recommend to the Governor of the State, the 
                State legislature, and appropriate State agencies, such 
                changes in State laws, regulations, policies, and 
                actions as the Office determines to be appropriate; and
                    ``(iii) facilitate public comment on the Federal, 
                State, and local laws, regulations, policies, and 
                actions;
                    ``(E)(i) provide for recruiting and training 
                representatives of the Office; and
                    ``(ii) promote the development of citizen 
                organizations, to participate in the program; and
                    ``(F) carry out such other activities as the 
                Secretary determines to be appropriate.
            ``(4) Contracts and arrangements.--
                    ``(A) In general.--Except as provided in 
                subparagraph (B), the State agency may establish and 
                operate the Office, and carry out the program, 
                directly, or by contract or other arrangement with any 
                public agency or nonprofit private organization.
                    ``(B) Licensing or regulation entities; 
                associations.--Except as provided in subparagraph (C), 
                the State agency may not enter into the contract or 
                other arrangement described in subparagraph (A) with--
                            ``(i) an agency or organization that is 
                        responsible for the licensing or regulation of 
                        a facility in the State; or
                            ``(ii) an association (or an affiliate of 
                        such an association) of facilities.
                    ``(C) Waiver.--The Secretary may waive the 
                requirements of subparagraph (B) with respect to not 
                more than 3 programs.
            ``(5) Designation of local ombudsman entities and 
        representatives.--
                    ``(A) Designation.--In carrying out the duties of 
                the Office, the Ombudsman may designate an entity as a 
                local Ombudsman entity, and may designate a full-time 
                employee or a volunteer to represent the entity.
                    ``(B) Duties.--An individual so designated shall, 
                in accordance with the policies and procedures 
                established by the Office and the State agency--
                            ``(i) identify, investigate, and resolve 
                        complaints as described in paragraph (3)(A);
                            ``(ii)(I) review, and if necessary, comment 
                        on any existing and proposed laws, regulations, 
                        and other government policies and actions, that 
                        pertain to the rights and well-being of 
                        recipients or of the parents or guardians of 
                        recipients; and
                            ``(II) facilitate the ability of the public 
                        to comment on the laws, regulations, policies, 
                        and actions; and
                            ``(iii) carry out other activities that the 
                        Ombudsman determines to be appropriate.
                    ``(C) Eligibility for designation.--Entities 
                eligible to be designated as local Ombudsman entities, 
                and individuals eligible to be designated as 
                representatives of such entities, shall--
                            ``(i) have demonstrated capability to carry 
                        out the responsibilities of the Office;
                            ``(ii) be free of conflicts of interest;
                            ``(iii) in the case of the entities, be 
                        public or nonprofit private entities; and
                            ``(iv) meet such additional requirements as 
                        the Ombudsman may specify.
                    ``(D) Policies and procedures.--
                            ``(i) In general.--The State agency shall 
                        establish, in accordance with the Office, 
                        policies and procedures for monitoring local 
                        Ombudsman entities designated to carry out the 
                        duties of the Office.
                            ``(ii) Confidentiality and disclosure.--The 
                        State agency shall develop the policies and 
                        procedures in accordance with all provisions of 
                        this part regarding confidentiality and 
                        conflict of interest.
    ``(d) Procedures for Access.--
            ``(1) In general.--The State shall ensure that 
        representatives of the Office shall have--
                    ``(A) access to facilities, recipients, and the 
                parents or guardians of recipients;
                    ``(B) appropriate access to review the medical and 
                social records of a recipient;
                    ``(C) access to the administrative records, 
                policies, and documents, of facilities, in any case in 
                which the parents or guardians of recipients have 
                access, or the general public has access, to such 
                records, policies, and documents; and
                    ``(D) access to and, on request, copies of all 
                licensing or oversight records maintained by the State 
                with respect to facilities.
            ``(2) Procedures.--The State agency shall establish 
        procedures to ensure the access described in paragraph (1).
    ``(e) Reporting System.--The State agency shall establish a 
statewide uniform reporting system to--
            ``(1) collect and analyze data relating to complaints and 
        conditions in facilities, to recipients, and to the parents or 
        guardians of recipients, for the purpose of identifying and 
        resolving significant problems; and
            ``(2) submit the data, on a regular basis, to--
                    ``(A) the agency of the State responsible for 
                licensing, regulation, or oversight of facilities in 
                the State;
                    ``(B) the Governor of the State, the State 
                legislature, and other State and Federal entities that 
                the Ombudsman determines to be appropriate; and
                    ``(C) the Secretary.
    ``(f) Disclosure.--
            ``(1) In general.--The State agency shall establish 
        procedures for the disclosure by the Ombudsman or local 
        Ombudsman entities of files maintained by the program, 
        including records described in subsection (d)(1) or (e).
            ``(2) Identity of complainant or recipient.--The procedures 
        described in paragraph (1) shall--
                    ``(A) provide that, subject to subparagraph (B), 
                the files and records described in paragraph (1) may be 
                disclosed only at the discretion of the Ombudsman (or 
                the person designated by the Ombudsman to disclose the 
                files and records); and
                    ``(B) prohibit the disclosure of the identity of 
                any complainant, recipient, or parent or guardian of a 
                recipient, with respect to whom the Office maintains 
                such files or records unless--
                            ``(i) the complainant, the parent or 
                        guardian of the recipient, or the legal 
                        representative of the complainant or recipient, 
                        parent, or guardian, consents to the disclosure 
                        and the consent is given in writing;
                            ``(ii)(I) the complainant, or the parent or 
                        guardian of the recipient gives consent orally; 
                        and
                            ``(II) the consent is documented 
                        contemporaneously in a writing made by a 
                        representative of the Office in accordance with 
                        such requirements as the State agency shall 
                        establish; or
                            ``(iii) the disclosure is required by court 
                        order.
    ``(g) Consultation.--In planning and operating the program, the 
State agency shall consider the views of--
            ``(1) agencies providing services for children;
            ``(2) children;
            ``(3) providers of care for children;
            ``(4) State child advocacy groups and local child advocacy 
        groups;
            ``(5) juvenile court judges and family court judges; and
            ``(6) persons representing programs that provide court-
        appointed representation for children.
    ``(h) Conflict of Interest.--The State agency shall--
            ``(1) ensure that no individual, or member of the immediate 
        family of an individual, involved in the designation of the 
        Ombudsman (whether by appointment or otherwise) or the 
        designation of an entity designated under subsection (c)(5), is 
        subject to a conflict of interest;
            ``(2) ensure that no officer or employee of the Office, 
        representative of a local Ombudsman entity, or member of the 
        immediate family of the officer, employee, or representative, 
        is subject to a conflict of interest;
            ``(3) ensure that the Ombudsman--
                    ``(A) except in the case of an Ombudsman with a 
                waiver under subsection (c)(4)(C), does not have a 
                direct involvement in the licensing or regulation of a 
                facility or of a provider of children's services;
                    ``(B) does not have an ownership or investment 
                interest (represented by equity, debt, or other 
                financial relationship) in a facility or in children's 
                services;
                    ``(C) is not employed by, or participating in the 
                management of, a facility; and
                    ``(D) does not receive, or have the right to 
                receive, directly or indirectly, remuneration (in cash 
                or in kind) under a compensation arrangement with an 
                owner or operator of a facility; and
            ``(4) establish, and specify in writing, mechanisms to 
        identify and remove conflicts of interest referred to in 
        paragraphs (1) and (2), and to identify and eliminate the 
        relationships described in subparagraphs (A) through (D) of 
        paragraph (3), including such mechanisms as--
                    ``(A) the methods by which the State agency will 
                examine individuals, and immediate family members, to 
                identify the conflicts; and
                    ``(B) the actions that the State agency will 
                require the individuals and such family members to take 
                to remove such conflicts.
    ``(i) Legal Counsel.--The State agency shall ensure that--
            ``(1) adequate legal counsel is available, and is able, 
        without conflict of interest, to--
                    ``(A) provide advice and consultation needed to 
                protect the health, safety, welfare, and rights of 
                recipients; and
                    ``(B) assist the Ombudsman and representatives of 
                the Office in the performance of the official duties of 
                the Ombudsman and representatives; and
            ``(2) legal representation is provided to any 
        representative of the Office against whom suit or other legal 
        action is brought or threatened to be brought in connection 
        with the performance of the official duties of the Ombudsman or 
        such a representative.
    ``(j) Administration.--The State agency shall require the Office 
to--
            ``(1) prepare an annual report--
                    ``(A) describing the activities carried out by the 
                Office in the year for which the report is prepared;
                    ``(B) containing and analyzing the data collected 
                under subsection (e);
                    ``(C) evaluating the problems experienced by, and 
                the complaints made by or on behalf of, recipients or 
                parents or guardians of recipients;
                    ``(D) containing recommendations for--
                            ``(i) improving quality of the care and 
                        life of the recipients; and
                            ``(ii) protecting the health, safety, 
                        welfare, and rights of the recipients;
                    ``(E)(i) analyzing the success of the activities of 
                the Office; and
                    ``(ii) identifying barriers that prevent the 
                optimal operation of the Office; and
                    ``(F) providing policy, regulatory, and legislative 
                recommendations to solve identified problems, to 
                resolve the complaints, to improve the quality of care 
                and life of recipients, to protect the health, safety, 
                welfare, and rights of recipients, and to remove the 
                barriers;
            ``(2) analyze, comment on, and monitor the development and 
        implementation of Federal, State, and local laws, regulations, 
        and other government policies and actions that pertain to 
        facilities and children's services, and to the health, safety, 
        welfare, and rights of recipients, in the State, and recommend 
        any changes in such laws, regulations, and policies as the 
        Office determines to be appropriate;
            ``(3)(A) provide such information as the Office determines 
        to be necessary to public and private agencies, legislators, 
        and other persons, regarding--
                    ``(i) the problems and concerns of recipients, and 
                parents or guardians of recipients; and
                    ``(ii) recommendations related to the problems and 
                concerns; and
            ``(B) make available to the public, and submit to the 
        Secretary, the chief executive officer of the State, the State 
        legislature, the State agency responsible for licensing, 
        regulation, or oversight of facilities, and other appropriate 
        governmental entities, each report prepared under paragraph 
        (1);
            ``(4) disseminate information regarding the services 
        provided through the Office--
                    ``(A) by providing a toll-free telephone number for 
                inquiries about the services;
                    ``(B) through television, radio, and newspaper 
                advertising; and
                    ``(C) through placement of notices in facilities 
                and other appropriate locations;
            ``(5)(A) not later than 1 year after the date of the 
        enactment of this section, establish procedures for the 
        training of the representatives of the Office, including unpaid 
        volunteers, based on model standards established by the 
        Secretary, in consultation with representatives of citizen 
        groups, providers of care for children, and the Office, that--
                    ``(i) specify a minimum number of hours of initial 
                training;
                    ``(ii) specify the content of the training, 
                including training relating to--
                            ``(I) Federal, State, and local laws, 
                        regulations, and policies, with respect to 
                        facilities in the State;
                            ``(II) investigative techniques;
                            ``(III) alternative dispute resolution, 
                        including mediation; and
                            ``(IV) such other matters as the State 
                        determines to be appropriate; and
                    ``(iii) specify an annual number of hours of in-
                service training for all designated representatives; 
                and
            ``(B) require implementation of the procedures not later 
        than 21 months after the date of the enactment of this section;
            ``(6) prohibit any representative of the Office (other than 
        the Ombudsman) from carrying out any activity described in 
        subparagraphs (A) through (D) of subsection (c)(3) unless the 
        representative--
                    ``(A) has received the training required under 
                paragraph (5); and
                    ``(B) has been approved by the Ombudsman as 
                qualified to carry out the activity on behalf of the 
                Office; and
            ``(7) permit any local Ombudsman entity to carry out the 
        responsibilities described in paragraph (1), (2), (3), or (4).
    ``(k) Liability.--The State shall ensure that no representative of 
the Office will be liable under State law for the good faith 
performance of official duties.
    ``(l) Noninterference.--The State shall--
            ``(1) ensure that willful interference with representatives 
        of the Office in the performance of the official duties of the 
        representatives (as defined by the Secretary) shall be 
        unlawful;
            ``(2) prohibit retaliation and reprisals by a facility or 
        other entity with respect to any recipient, employee, or other 
        person for filing a complaint with, providing information to, 
        or otherwise cooperating with any representative of, the 
        Office; and
            ``(3) provide for appropriate sanctions with respect to the 
        interference, retaliation, and reprisals.
    ``(m) Guidance.--The Secretary shall issue and periodically update 
guidance respecting--
            ``(1) conflicts of interest by persons described in 
        paragraphs (1) and (2) of subsection (h); and
            ``(2) the relationships described in subparagraphs (A) 
        through (D) of subsection (h)(3).
    ``(n) Training, Technical Assistance, and Research.--The Secretary 
shall reserve not more than 10 percent of the amounts appropriated 
under subsection (p) to provide technical assistance and training to 
Offices and local Ombudsman entities, and to conduct research related 
to the State and local operation of programs. The Secretary may provide 
such technical assistance and training, and conduct such research, 
directly or by awarding grants to appropriate entities.
    ``(o) Coordination With Department of Justice.--To carry out this 
Act and the State challenge activities under section 285 of the 
Juvenile Justice and Delinquency Prevention Act of 1974 (42 U.S.C. 
5667c), in planning for, and awarding, grants under this section, the 
Secretary shall coordinate the award of such grants with--
            ``(1) the Coordinating Council on Juvenile Justice and 
        Delinquency Prevention, established under section 206 of 
        Juvenile Justice and Delinquency Prevention Act of 1974 (42 
        U.S.C. 5616); and
            ``(2) the Office of Justice and Delinquency Prevention of 
        the Department of Justice, created under section 201 of such 
        Act (42 U.S.C. 5611).
    ``(p) Authorization of Appropriations.--There are authorized to be 
appropriated to carry out this section $7,000,000 for fiscal year 1995 
and such sums as may be necessary for each subsequent fiscal year.''.

                                 <all>

S 2214 IS----2
S 2214 IS----3