[Federal Register Volume 59, Number 191 (Tuesday, October 4, 1994)]
[Unknown Section]
[Page 0]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 94-24325]
[[Page Unknown]]
[Federal Register: October 4, 1994]
_______________________________________________________________________
Part II
Department of Health and Human Services
_______________________________________________________________________
Administration for Children and Families
_______________________________________________________________________
45 CFR Parts 1355, 1356, and 1357
Family Preservation and Support Services Program; Proposed Rule
DEPARTMENT OF HEALTH AND HUMAN SERVICES
Administration for Children and Families
45 CFR Parts 1355, 1356, and 1357
RIN 0970-AB34
Foster Care Maintenance Payments, Adoption Assistance, Child
Welfare Services
AGENCY: Administration on Children, Youth and Families (ACYF),
Administration for Children and Families (ACF), HHS.
ACTION: Notice of proposed rulemaking.
-----------------------------------------------------------------------
SUMMARY: The Administration for Children and Families is proposing to
amend existing regulations pertaining to child and family services to
implement a new services program, ``Family Preservation and Support
Services,'' subpart 2 of title IV-B of the Social Security Act.
This new subpart aims to promote family strength and stability,
enhance parental functioning, and protect children through funding a
capped entitlement for States and eligible Indian tribes to develop,
establish, expand, and operate family preservation services and
community-based family support services, which the law defines broadly.
To receive funding in FY 1995, States and eligible Indian tribes
are required to submit a five-year plan, which must be developed
jointly by the State or Indian tribe and ACF after broad consultation
with appropriate public and nonprofit private agencies and community-
based organizations with experience in administering programs of
services for children and families, including family support and
preservation services. The plan may be submitted at any time after
completion of the planning processes but no later than June 30, 1995.
In order to reduce administrative burden and emphasize the
potential for a more comprehensive effective child and family services
system, the regulations propose to consolidate this plan with similar
plan requirements under title IV-B, subpart 1, ``Child Welfare
Services.'' In addition, we propose to require that the plan include
information on three closely related child and family services
programs: the Independent Living Program under Section 477 of the
Social Security Act; and two State formula grants under the Child Abuse
Prevention and Treatment Act: Part I, Basic State grants and Part II,
Medical Neglect/Disabled Infants State grants.
DATES: In order to be considered, comments on this Notice of Proposed
Rulemaking must be received on or before December 5, 1994.
ADDRESSES: Please address comments to Commissioner, Administration on
Children, Youth and Families, P.O. Box 1182, Washington, DC, 20013,
Attention: Dan Lewis.
ACF will not accept comments by FAX.
It would be helpful if agencies and organizations submitted copies
in duplicate. Two weeks after the close of the comment period, all
comments and letters will be available for public inspection in Room
2070, 330 C Street, SW., Washington, DC 20201, Monday through Friday
between the hours of 9 a.m. and 4 p.m.
FOR FURTHER INFORMATION CONTACT:
(1) Carol Williams, Associate Commissioner, Children's Bureau,
Administration on Children, Youth and Families or
(2) Dan Lewis, Deputy Associate Commissioner, Children's Bureau,
Administration on Children, Youth and Families, Telephone (202) 205-
8622 or (202) 205-8618
SUPPLEMENTARY INFORMATION: The preamble to this Notice of Proposed
Rulemaking (NPRM) is organized as follows:
I. Introduction
A. Overview
B. Enactment of New Legislation: Family Preservation and Support
Services
C. Previous Legislation: Adoption Assistance and Child Welfare
Act of 1980 (Pub.L. 96-272)
D. Family Preservation and Family Support: Services and
Principles
E. Development of Family Support and Family Preservation
Services
F. ACF Implementation of the New Legislation: Lessons Learned
from the Field
G. Vision for Family Preservation and Family Support Services
II. Section by Section Discussion of the NPRM
A. Highlights of the NPRM
B. Section by Section Discussion
III. Impact Analysis
I. Introduction
A. Overview
While many public, private, and nonprofit entities provide a wide
range of services to families in need, the primary governmental
responsibility for child and family services rests with the States.
Each State has its own legal and administrative structures and programs
that address the needs of children and families.
The Federal government assists States, and, under some programs,
Indian tribes, to provide services to children and families through a
variety of block grants; formula grants; discretionary grants; and
national efforts in the areas of research, evaluation, technical
assistance, and data collection.
Title IV-B of the Social Security Act has been a part of the Act
since its inception in 1935. Historically, title IV-B has provided
Federal formula grants to States to establish, extend, and strengthen
child welfare services. Services are available to all children
including the disabled, homeless, neglected, and dependent. Title IV-B
grants to Indian tribes were first awarded in FY 1983.
Closely related programs include title IV-E of the Social Security
Act (an open-ended entitlement program providing funds to States for
foster care maintenance and adoption assistance payments and a formula
grant program providing funds for independent living services for
youth); title XX of the Social Security Act (the social services block
grant which States use to fund a wide range of social services); State
formula grants to assist States to provide child abuse and neglect
prevention, intervention, and treatment services; the Head Start
program; and in recent years, a number of discretionary grant programs,
e.g., Abandoned Infants, Temporary Child Care and Crisis Nurseries, the
Comprehensive Child Development Program, and the Family Resource and
Support program.
B. Enactment of New Legislation: Family Preservation and Support
Services
In August, 1993, under the Omnibus Budget Reconciliation Act of
1993, Pub. L. 103-66, Congress amended title IV-B to change the name of
the title from ``Child Welfare Services'' to ``Child and Family
Services;'' create a new subpart 1 entitled ``Child Welfare Services''
from existing statutory language; and add a new subpart 2, ``Family
Preservation and Support Services.'' (42 U.S.C. 630-635)
The FY 1994 appropriation for this new legislation (subpart 2) is
$60 million. Of this amount, $2 million is reserved for Federal
evaluation, research, and training and technical assistance; $600,000
is reserved for grants to Indian tribes. The balance is available for
grants to States to fund planning and services for family support and
family preservation.
For FY 1995, the authorization increases to $150 million. Of this
amount, $6 million is reserved for Federal evaluation, research, and
training and technical assistance; $1.5 million is reserved for grants
to Indian tribes. A new program of grants to State courts will be
initiated at a funding level of $5 million. The balance is available
for grants to States for family preservation and family support
services.
C. Previous Legislation: Adoption Assistance and Child Welfare Act of
1980 (Pub. L. 96-272)
Enactment of a new subpart 2 to title IV-B of the Social Security
Act is the first major change in this title since the amendments made
by Pub. L. 96-272, the Adoption Assistance and Child Welfare Act of
1980.
The goals of that legislation were to:
Prevent the unnecessary separation of children from their
families;
Improve the quality of care and services to children and
their families; and
Ensure permanency for children through reunification with
parents, through adoption, or through another permanent living
arrangement.
These goals have not been fully realized. A wide variety of reasons
have been suggested by researchers and practitioners, including:
Social, cultural, and economic changes (increases in
substance abuse, community violence, restructuring of the economy,
poverty, and homelessness, for example), which have affected the number
of families coming to the attention of child welfare agencies and the
severity of their problems;
Rising rates of child abuse and neglect reports,
particularly for child sexual abuse;
A child welfare system unable to keep up with these
increased demands, given constrained resources, high caseloads, and
overburdened workers;
Services planning that focuses most resources on crisis
intervention (e.g., investigation and placement) and too few on
prevention and treatment;
Lack or shortage of services that fit the real needs of
families and often are available only when families are in crisis; and
The isolation of the child welfare services system from
other services needed by vulnerable families, such as housing,
employment, and substance abuse services.
Acknowledging that the system was not working for our most
vulnerable children and their families, Congress amended title IV-B to
provide States and eligible Indian tribes with new Federal dollars for
preventive services (family support services) and services to families
at risk or in crisis (family preservation services).
This legislation provides a new opportunity for States and local
communities and eligible Indian tribes to review their current
strategies for meeting the service needs of children and their
families, identify service gaps and barriers to coordination of
services, and develop and carry out a comprehensive five-year plan for
providing a continuum of services to families and their children.
D. Family Preservation and Family Support: Services and Principles
As one part of our implementation plan, ACF convened a series of
focus groups on family preservation and family support services in the
fall of 1993. Both the discussion at the focus groups and the
literature on professional practice reflected general agreement on the
goals for family support and family preservation services. These
services should be directed towards:
Assuring the safety of all family members;
Enhancing parents' ability to create safe, stable, and
nurturing home environments that promote healthy child development;
Assisting children and families to resolve crises, connect
with necessary and appropriate services, and remain safely together in
their homes whenever possible; and
Avoiding unnecessary out-of-home placement of children,
and helping children already in out-of-home care to be returned to and
be maintained with their families or in another planned, permanent
living arrangement.
Family support services are primarily community-based preventive
activities designed to alleviate stress and promote parental
competencies and behaviors that will increase the ability of families
to successfully nurture their children; enable families to use other
resources and opportunities available in the community; and create
supportive networks to enhance child-rearing abilities of parents and
help compensate for the increased social isolation and vulnerability of
families.
Examples of community-based family support services and activities
include:
Respite care for parents and other caregivers;
Early developmental screening of children to assess the
needs of these children and assistance in obtaining specific services
to meet their needs;
Mentoring, tutoring, and health education for youth; and
A range of center-based activities (informal interactions
in drop-in centers, parent support groups) and home visiting
activities.
Family preservation services typically are services designed to
help families alleviate crises that might lead to out-of-home placement
of children; maintain the safety of children (and other family members)
in their own homes; support families preparing to reunite or adopt; and
assist families in obtaining services and other supports necessary to
address their needs in a culturally sensitive manner. (If a child
cannot be protected from harm without placement, family preservation
services are not appropriate).
Examples of family preservation activities and services include:
Intensive preplacement preventive services;
Respite care for parents and other caregivers (including
foster parents);
Services to improve parenting skills and support child
development;
Follow-up services to support adopting and reunifying
families;
Services for youth and families at risk or in crisis; and
Community-based intervention and advocacy services for
victims of domestic violence and their dependents.
Guiding Principles
Both family support and family preservation services are based on a
common set of principles or characteristics which help assure their
responsiveness and effectiveness for children and their families. Focus
group participants frequently pointed out that, while various models of
services or programs are available, it is an approach based on these
principles that should provide an organizing framework for planning for
these new services.
The principles emphasize safety for all family members; a family-
focused approach while allowing for individual needs; and a service
delivery approach that stresses flexibility, accessibility,
coordination, and respect for cultural and community strengths. (See 45
CFR 1355.25)
E. Development of Family Support and Family Preservation Services
Family support and family preservation services are not new. They
date back to the turn of the century, e.g., Hull House and the
settlement house movement. Recently, however, there has been increased
interest in such programs.
Over the last several years, State and local governments,
foundations, national organizations, nonprofit agencies, and
professional organizations have begun to develop and implement family
support and family preservation programs; push for change in child
welfare programs, including reform of State laws and policies to
support ``family-centered practice;'' and experiment with changing the
way child welfare services are organized and delivered, including
strengthening linkages with other agencies and resources and moving
toward greater community direction and control of services.
A few examples of such efforts include the American Public Welfare
Association's policy on Commitment to Change, the ``decategorization of
funding'' and collaborative planning efforts in a number of States, the
Children's Trust Funds and Children's Cabinets, and support for
demonstrations of improved planning and child welfare service delivery
from the Edna McConnell Clark Foundation, the Annie E. Casey
Foundation, and the Kellogg Foundation.
Today, there are a variety of models of family preservation
providing services to families at risk or in crisis. These models
differ in level of intensity, services approaches, duration of
services, and entrance parameters. Specific program models include
Homebuilders, the Families First programs, Family Services America
programs, and Maryland's Intensive Family Services program.
Also, today, there are hundreds of community-based family support
programs nationwide including center-based models (family resource
centers); school-based models; home-based models, including home
visiting programs; and models that combine several approaches, such as
Parents and Teachers, the Home Instruction Program for Preschool
Youngsters (HIPPY), and the Healthy Families America initiative. The
Family Services America programs are considered both family
preservation and family support.
Many Indian tribes and tribal organizations also have developed and
implemented family-centered or family-based services, including family
preservation and family support programs. Tribal programs may be
center-based, home-based (include home visiting), or contain elements
of both. Most programs seek to build on family strengths and use
traditional and cultural activities as a part of their services
approach.
Several Federal programs or initiatives also have focused on
prevention, family-centered practice, and a community-based approach.
Some examples include:
The Head Start Bureau's Family Services and Family Support
Projects, and Parent and Child Centers;
The National Comprehensive Child Development Program
demonstration;
The National Center on Child Abuse and Neglect's State
community-based prevention grants associated with Children's Trust
Funds;
The National Family Support Resource Center and the
National Family-Based Services Resource Center (beginning in 1994, it
will be known as the National Family-Centered Practice Resource Center)
funded by the Children's Bureau;
The Family and Youth Services Bureau's Family Resource and
Support program;
The Public Health Services' (PHS) ``Healthy Start''
program;
The Office of Community Services' Family Support Centers
(homeless families demonstration);
The Department of Housing and Urban Development's (HUD)
Family Self-Sufficiency demonstration program; and
The PHS Child and Adolescent Services System Program
(CASSP), a planning model for coordinated mental health services for
children now implemented in all States.
F. ACF Implementation of the Family Preservation and Support Services
Legislation: Lessons Learned From the Field
The Administration for Children and Families (ACF) recognized that
for the new program to be effective, we needed to engage in a variety
of learning activities that would support the development of useful
guidance and appropriate Federal regulations.
As one part of our implementation of this new legislation, we
convened a series of focus groups in both the Central and Regional
Offices with family support and family preservation program directors,
practitioners, and experts; State, county, and city child welfare
administrators; State and local agencies with experience in providing
such services; representatives of Indian tribes and regional and
national Tribal organizations; national advocacy, interest group, and
professional organizations; representatives of national organizations
representing Governors, State legislators, and counties; and parents,
foster parents, and consumers of child welfare services. In addition,
we met with or received written materials and recommendations from a
number of other experts and practitioners in the field.
The suggestions, guidance, and information we received through this
process have been invaluable to us in the development of the Program
Instructions to States and Indian tribes on applying for FY 1994 funds
(ACYF-PI-94-01, January 18, 1994, and ACYF PI-94-04, January 18, 1994)
and this Notice of Proposed Rulemaking (NPRM):
First, both the Program Instructions (PIs) and this NPRM
follow the statutory requirements closely. In the NPRM, we have sought
to avoid detailed prescriptions or requirements for specific models of
services in order to allow States, Indian tribes, and local communities
significant flexibility. Instead, we have identified principles of
effective family support and preservation services that should guide
grantees and others in conducting their planning process and designing
specific services programs that meet the needs of children and
families.
Second, both the PIs and this NPRM focus on the statutory
requirement for a five-year plan; they emphasize, for States and Indian
tribes as appropriate, the opportunity provided by the law in making
available 100 percent Federal funding for planning activities leading
to the development of the five-year plan. In particular, they stress
the value of a thoughtful, strategic planning process that includes
broad consultation and involvement of State and local public agencies,
nonprofit private agencies, parents and other consumers,
representatives of professional and advocacy organizations, and
community-based organizations with experience in administering programs
for children and families (including family support and family
preservation).
Third, while focusing on the development and expansion of
services, the PIs and this NPRM highlight the opportunity provided by
the statutory requirement for broad consultation and coordination of
services. In particular, we urge States and Indian tribes to use this
new legislation, the new planning requirements, and the 100 percent
funding as a catalyst for establishing a continuum of coordinated and
integrated, culturally relevant, family-focused services for children
and families regardless of funding streams. Thus, the NPRM requires
consultation and coordination both within the child and family services
system and among the other service delivery systems providing social,
economic, and health-related support to children and their families.
Fourth, we recognized that we could not expect
coordination and collaboration across service delivery systems at the
State and local level if we did not take steps toward improved
coordination at the Federal level. We have been working with the
Maternal and Child Health Bureau (MCHB), the Center for Mental Health
Services, the Health Resources and Services Administration, the
Department of Justice, and other agencies to explore and act on
collaboration opportunities. An early example of this effort to support
children and family services is the discretionary announcement by the
MCHB to support the State's first year family preservation and support
planning process. Another example is the joint funding of a training
and technical assistance center that will focus on services integration
among child welfare, maternal and child health, and mental health
services delivery systems.
Finally, recommendations from the field influenced the
development of our evaluation and training and technical assistance
plans which are both aimed at supporting and strengthening effective
service delivery for children and family services.
G. Vision for Family Preservation and Family Support Services
In passing the family preservation and support legislation,
Congress recognized that new funding alone would not be sufficient to
meet the goals of the legislation and Pub. L. 96-272. New or expanded
services are just one element needed to improve the child and family
service system. In order to ensure that services are part of a
comprehensive, coordinated service delivery system that draws heavily
on community-based programs in its design and implementation, States,
Indian tribes, and communities are encouraged to use these new
resources strategically to carry out major changes in the ways services
are delivered and in the systems that deliver them.
Based on the collective views of parents, practitioners, advocates,
researchers, and others who shared with ACF their concerns and hopes
for strengthening the American family, the vision States, communities,
and Indian tribes are encouraged to develop is of a child and family
service system that:
Keeps children and family members safe at all times;
Builds on the resources and strengths of families;
Offers a continuum of services to children and families
that is family-focused, easily accessible, and respectful of cultural
and community characteristics; and
Links the child and family continuum of services to other
community child and family services and service delivery systems (e.g.,
mental health, education, housing, substance abuse) and the courts, to
ensure that families have access to comprehensive services to meet
their individual needs.
That is, in addition to providing funds for expanding services,
this new program offers States and eligible Indian tribes an
extraordinary opportunity to assess and make changes in service
delivery to children and families. The purpose of these changes is to
assure safety and achieve improved well-being for vulnerable children
and their families, particularly those experiencing, or at risk for,
abuse and neglect. Because the multiple needs of these vulnerable
children and families cannot be addressed adequately through
categorical programs and fragmented service delivery systems, we
encourage States and Indian tribes to use the planning process under
the new program to help establish a continuum of coordinated and
integrated, culturally relevant, family-focused services for children
and families.
Among the elements that would ideally be part of the child and
family services continuum, depending on family needs, are family
support and family preservation services; child welfare services,
including child abuse and neglect prevention, intervention, and
treatment services, and foster care; and services to support
reunification, adoption, kinship care, independent living, or other
permanent living arrangements. Linkages to other services and service
systems such as health, mental health, housing, employment, education,
and child care, complete the picture of a responsive service delivery
system.
Therefore, we expect that a major goal of the planning process
States and Indian tribes will undertake in FY 1994-95 will be to
examine the changes that are needed to make delivery of services more
responsive to the needs of individuals and communities and more
sensitive to the context in which they are to be delivered.
II. Section by Section Discussion of the NPRM
A. Highlights of the NPRM
1. Approach to Writing This NPRM
In implementing this new legislation, our primary aim has been to
follow closely the statutory requirements as mandated by Congress. Our
approach reflects not only the recommendations we received based on a
broad consultation process with many outside agencies, but also our
commitment to flexibility; reducing administrative burden; and
supporting State and Indian tribal efforts to improve the health,
development, and well-being of children, youth, and families.
Overall, we have emphasized the importance of a serious planning
process and the development of a five-year plan that is a dynamic,
operational document. The NPRM proposes considerable flexibility but
also contains specific minimum requirements in several areas which we
believe will assist States and Indian tribes to strengthen and expand
services and improve service delivery.
2. Principles of Child and Family Services
As guidance to States and Indian tribes, we have included
principles of services most often identified by practitioners and
others as helping to assure effective services for children, youth and
families. (See Sec. 1355.25)
3. Comprehensive Child and Family Services Plan (CFSP)
We propose to consolidate into one five-year plan (rather than two
plans, one of which currently is due on a one, two, or three-year
cycle) all requirements applicable to the two service programs under
title IV-B. These two programs are administered by the same agency,
generally serve the same populations, contain similar (in some
instances identical) planning requirements, and are a part of the child
and family services continuum. (See Sec. 1357.15)
4. Description of Other Services Included in the CFSP
Because services under the Independent Living Program and the Child
Abuse Prevention and Treatment Act are also a part of the child and
family services continuum, we propose that the CFSP describe the
services provided under these funding sources and that the State
explain how these funds are coordinated with and integrated into the
services continuum. (See Sec. 1357.15 (a), (n) and (o))
5. Joint Planning and Approval of the CFSP and the Annual Progress and
Services Report
We have proposed an ongoing joint planning partnership to implement
the statutory requirement that the CFSP may not be approved unless it
was jointly developed by ACF and the State (or the Indian tribe). Both
the CFSP and the Annual Progress and Services Report must be jointly
developed and approved in order for a grantee to receive funding. (See
Sec. 1357.10(c) and Sec. 1357.15(b))
6. Content of the CFSP
In designing their family preservation and family support services
programs, States and Indian tribes may select the services to be
provided, the target populations, and the geographic areas where
services will be provided. We have not required specific ``core''
services, model service approaches, client eligibility criteria, or
methods for the selection of priority populations or geographic areas.
In addition to the statutory requirement for goals, measures of
progress toward the goals, and annual services reports, we propose to
require that the CFSP include:
A vision statement (Sec. 1357.15(g));
Measurable objectives to implement goals
(Sec. 1357.15(i)); and
Brief descriptions of how family preservation and support
services in the CFSP are or will be linked to other services in the
child and family services continuum; how the title IV-B services will
help meet the permanency planning requirements in the Act; how the
child and family services continuum is designed to meet the service
principles; and how the services in the continuum will be coordinated
with other public services and service systems. (See Sec. 1357.15 (o),
(p), and (q))
7. Planning Processes
We have proposed flexibility but also included minimum specific
requirements to implement the statutory provisions for consultation and
coordination of services. (See Sec. 1357.15 (l) and (m))
In addition, we have proposed that the State and the Indian tribe,
as appropriate, collect existing or available information as the basis
for planning, priority setting, targeting of services, funding
decisions, and measuring progress toward the goals and objectives. (See
Sec. 1357.15(k))
8. Requirements for Indian Tribes
Taking into account the resources, needs, and circumstances of
Indian tribes, we have waived some and modified other programmatic and
fiscal requirements for Indian tribes. (See Sec. 1357.15 and
Sec. 1357.50(f))
We have also proposed a procedure for allowing additional Indian
tribes to become eligible in FY 1996-1998. (See Sec. 1357.50(d))
9. Administrative Costs
We have proposed what we believe is a definition of administrative
costs that will be easy for States to administer. (See Sec. 1357.32(g))
10. Technical, Editorial, and Conforming Changes
Because 45 CFR Parts 1355, 1356, and 1357 have not been amended
recently, we are taking advantage of this opportunity to make
technical, editorial, and conforming changes.
We welcome comments on all aspects of the NPRM, particularly on the
scope of the plan and the level of effort and usefulness of the
proposed planning process.
In the regulatory text, we specify which sections are applicable to
States and which are applicable to Indian tribes. In those sections
that apply to both States and Tribes, we use general language such as
``The CFSP must include--'' to indicate that all grantees must meet
this provision.
B. Section-by-Section Discussion
We are proposing major amendments in 45 CFR part 1357 and primarily
technical and editorial changes in 45 CFR parts 1355 and 1356.
The most important change is found in 45 CFR 1357.15, comprehensive
child and family services plan requirements, in which we propose a
planning process leading to the development of a consolidated five-year
plan for the two Federal child and family services programs under
subparts 1 and 2 of title IV-B.
Our discussion of these proposed amendments will follow in
numerical order, beginning with a change in the title of subchapter G
of chapter XIII of title 45 of the Code of Federal Regulations. In the
title, we propose to delete the term ``child welfare'' and replace it
with the term ``child and family services'' to reflect the change in
the name of title IV-B of the Social Security Act made by Pub. L. 103-
66.
1. Part 1355--General
Section 1355.10 Scope
This part contains general requirements applicable to both title
IV-B and title IV-E of the Social Security Act. We are proposing to
clarify in Sec. 1355.10 that the title IV-B requirements also are
applicable to Indian tribes unless otherwise specified.
Section 1355.20 Definitions
In Sec. 1355.20, we are proposing to make technical changes in four
definitions and to add one new definition. The terms ``ACYF'' and
``Commissioner'' are revised to reflect a change in name and
organizational structure which combined two of the Department's
operating divisions (Family Support Administration and Office of Human
Development Services) into the Administration for Children and Families
in 1991.
The term ``State'' is revised to delete an outdated cross-reference
to two sections in 45 CFR part 1356 and to clarify which jurisdictions
are eligible for funding under titles IV-B and IV-E.
The term ``State agency'' is revised to reflect the requirement in
sections 422 and 471 of the Social Security Act that the State title
IV-B, title IV-E, and title XX (social services block grant) programs
must be administered by the same State agency. An exception to this
requirement for States with certain administrative structures in place
on December 1, 1974, is permitted by section 103(d) of Pub. L. 96-272
and is included in the definition.
Because the Independent Living Program (ILP) is now permanently
authorized under section 477 of the Social Security Act and is a part
of the State's child and family services continuum, we have added a
definition of the ILP in this section.
Section 1355.21 State Plan Requirements for Titles IV-B and IV-E
We are proposing a conforming amendment in Sec. 1355.21(c) to
clarify that the State and the Indian tribe must make the five-year
Child and Family Services Plan and the Annual Progress and Services
Reports available for public review and inspection. The requirement
that the State title IV-E plan also be available is a current
requirement in Sec. 1355.21(c).
Section 1355.25 Principles of Child and Family Services
A new Sec. 1355.25, Principles of child and family services, is
proposed to be added. These general principles are provided as guidance
to States and Indian tribes as they develop and operate child and
family services and move towards a more coordinated service delivery
system for children and families. These are the principles most often
identified by practitioners and others as helping to ensure responsive
and effective services, particularly for family support and
preservation services.
The principles emphasize the paramount importance of the safety of
all members of the family, including victims of child abuse and neglect
and victims of domestic violence and their dependents. ``Family
preservation'' does NOT mean that the family must stay together or ``be
preserved'' under all circumstances.
At the same time, the principles reflect the goal of supporting,
preserving, and strengthening families as the best way to promote the
safety, well-being, and the healthy development of children. They
emphasize family-focused services where family strengths are
identified, enhanced, respected, and mobilized.
The service principles also address the needs of individual family
members who may need protection or special treatment and whose ``best
interest'' may be temporary care or permanent placement away from the
family. They also address the need for permanency for all children,
including services to emancipating youth.
In addition, the principles provide guidance in bringing about
changes in State, local, and Indian tribal child and family service
delivery. They emphasize the importance of accessibility, flexibility,
coordination, and building on community and cultural strengths. A
service delivery system organized as a continuum with linkages to other
supports and programs is seen as most effective in serving children and
families.
Accessibility in Relation to the Americans With Disabilities Act
Related to the principle that services should be accessible is the
civil rights requirement under the Americans with Disabilities Act
(ADA) for accessibility to services by the disabled. Enacted on July
26, 1990, the ADA provides comprehensive civil rights protection to
individuals with disabilities in the areas of employment, public
accommodation, State and local government services, and
telecommunications. The ADA defines public accommodations as facilities
whose operations affect commerce and fall within twelve specified
categories, including social service center establishments. Title II of
the ADA governs actions by State and local governments; title III
governs actions by public accommodation.
The ADA is administered by the U.S. Department of Justice (DOJ).
However, most States have established a central contact, usually in the
Office of the Governor or Attorney General, and questions about the ADA
should be referred to that contact first. In addition, DOJ has
established a technical assistance Information Line for public
inquiries. The Information Line is available 24 hours daily at (202)
514-0301 (voice) or (202) 514-0381 (TDD). (This number will be replaced
with a toll free 800 number in the future.) Lastly, written inquiries
about the ADA may be directed to: U.S. Department of Justice, Civil
Rights Division, Public Access Section, P.O. Box 66738, Washington, DC
20035-6738.
Section 1355.30 Other Applicable Regulations
This section is amended to provide an updated and corrected list of
other regulations applicable to titles IV-B and IV-E. We also have
indicated which regulations or which sections of the regulations apply
to which titles. We have added:
Part 30 (claims collection);
Part 76 (drug free work place requirements);
Parts 80, 81, 84, and 91 (implementation of the civil
rights statutes);
Part 92 (uniform administrative requirements for grants to
States);
Part 93 (lobbying restrictions);
Part 97 (consolidated grants to insular areas); and
Part 100 (consolidation and simplification of State
plans).
We also propose to delete two regulations. The requirements in
Sec. 205.101 that identifying and organizational information must be
provided by the administering agency are now incorporated into proposed
Sec. 1357.15 (e) and (f); Section 205.150 is proposed to be deleted as
the cost allocation plan requirements now are found in 45 CFR part 95.
We want to call attention to a proposed change in the applicability
of 45 CFR part 95, subpart A. Subpart A, Time Limits for States to File
Claims, is based on section 1132 of the Act and now covers title IV-B
and the Independent Living Program (as part of title IV-E). However,
the States do not submit claims for the title IV-B programs or the
Independent Living Program (ILP) in accordance with section 1132.
Accordingly, we propose to specify that part 95, subpart A, does not
apply to these programs.
The statute for both the ILP and title IV-B, subpart 2, requires
that funds be expended (liquidated) within two years. For these two
programs, States (and Indian tribes participating in the subpart 2
program) must file a Standard Form SF-269 expenditure report 90 days
after the end of the two-year expenditure period. Therefore, other time
limits to file claims are not applicable, i.e., subpart A of part 95.
We have proposed in Sec. 1357.30(i) a two year expenditure period
for title IV-B, subpart 1 funds. If approved, this change will have the
operational effect of requiring an SF-269 expenditure report for all
three programs.
States typically have no difficulty in accounting for their
expenditures within the two year period. Therefore, we see no need to
keep title IV-B funds open on an extended basis as currently allowed in
subpart A of part 95. We believe this provision has been burdensome
administratively to both Federal and State offices.
2. Part 1356--Requirements Applicable to Title IV-E
In Sec. 1356.10, we have revised the language to indicate that part
1356 now contains requirements applicable to the Independent Living
Program.
A new Sec. 1356.80, Independent Living Program (ILP), is added to
summarize the statutory provisions applicable to this program.
3. Part 1357--Requirements Applicable to Title IV-B
Section 1357.10 Scope and Definitions
Paragraph (a) of Sec. 1357.10 is revised to expand the scope of
part 1357 to include the new subpart 2 of title IV-B (family
preservation and support services).
Paragraph (b) of this section is amended to provide that the
services under both subparts 1 and 2 of title IV-B must be available on
the basis of the need for the service and may not be denied on the
basis of income or length of residence in the State or the Indian
tribe's jurisdiction. This general eligibility statement does not
preclude a State or an Indian tribe from selecting populations or
geographic areas to which family preservation and family support
services will be targeted nor from moving toward Statewideness of child
welfare services as required in Section 422 of the Act.
In paragraph (c), we have revised the three definitions currently
in paragraph (c) and added five definitions or clarifications of the
following terms: children, community-based services, families, family
preservation services, and family support services. The following three
definitions are revised:
a. The current definition of ``Child welfare services plan (CWSP)''
is revised to reflect the broader, more comprehensive scope and content
of the proposed ``Child and Family Services Plan (CFSP).''
b. The revised definition of ``Child welfare services'' (title IV-
B, subpart 1) is taken verbatim from section 425 of the Act. We propose
to include this language because we believe that as many public and
private agencies and organizations work together to provide new and
more effective services and bring about changes in how services are
delivered, a clear understanding of the purposes to which child welfare
services are directed would be helpful.
c. The current definition of ``Joint planning'' is revised to
propose a revitalized partnership process between ACF and the State and
between ACF and the Indian tribe in the development and implementation
of child and family services programs. This process is intended to be
characterized by mutual respect and shared responsibility on the part
of all participants.
Joint planning is required for approval of the five-year Child and
Family Services Plan (section 432(b) of the Act) and is proposed for
the development and approval of the Annual Progress and Services Report
(Sec. 1357.15(b)(4)).
We view joint planning as a process of discussion, consultation,
and negotiation between the parties. It also may include Federal
technical assistance, as needed. Through joint planning, State and
Federal staff, and Indian tribes and Federal staff, with appropriate
consultation and participation of other State, local, and community-
based stakeholders, review and discuss key strategic decisions such as:
Priorities for services and for target populations;
Proposed goals and objectives;
Unmet needs, services gaps, and overlaps in funding;
Other funding resources available to provide the services
needed;
The State and local organizations, foundations, and
agencies with which the State or Indian tribe can consult and
coordinate services;
Ongoing plans to move toward the goals and objectives by
improving the service delivery system and ensuring a more efficient
comprehensive system of care for children and families; and
Methods for reviewing progress toward the selected goals
and objectives.
Joint planning also includes Federal guidance and technical
assistance after the plan has been developed and approved. This is
provided through follow-up review and discussion of progress in
accomplishing the goals and objectives identified in the plan and
updating the plan as appropriate.
The following new definitions and clarifications of terms are
proposed:
a. The term children refers to individuals from birth to the age of
21, with special emphasis on serving youth, adolescents, and young
adults because too often they are overlooked as child and family
services are developed.
This proposed language is not intended to supersede a State's legal
definition of child, children, or age of majority. Rather, it is
intended to emphasize that there are no age restrictions for the
purpose of providing services to children under title IV-B.
b. The term community-based services refers to service programs
characterized by accessibility and responsiveness to individual,
family, and community needs and which may be provided by public or
private nonprofit agencies or organizations including community-based
organizations. The proposed language is intended as guidance to States
and Indian tribes in identifying and working with those local agencies
and organizations whose services are most likely to exemplify the
principles of child and family services in 45 CFR 1355.25.
c. The term families is proposed to include persons needing
services regardless of their family configuration. The language of the
new family support and family preservation legislation explicitly
refers to biological, adoptive, foster, and extended families as
recipients of these services. Several agencies, organizations and focus
group participants urged that we use the broadest possible language in
this definition, e.g., ``families as defined by themselves.'' Although
we did not include this phrase in the proposed definition, we are in
general agreement with its intent.
d. The proposed definitions of the terms family preservation
services and family support services are taken from the statute.
(Section 431 of the Act) In addition, language from the Conference
Report has been added to provide additional examples of family support
services.
The literature on professional practice and the discussion at the
focus groups reflected general agreement on the goals for family
support and family preservation services. These services should be
directed towards:
Enhancing parents' ability to create safe, stable and
nurturing home environments that promote healthy child development;
Assisting children and families to resolve crises, connect
with necessary and appropriate services, and remain safely together in
their homes;
Avoiding unnecessary out-of-home placement of children;
and
Helping children already in out-of-home care to be
returned to and be maintained with their families or in another
planned, permanent living arrangement.
Currently, a number of program models, approaches, and levels of
family preservation services are in operation. In this NPRM, the term
``family preservation'' is used to include all such service options. We
do not plan to require and do not endorse any specific program model
for implementation. Some activities, such as respite care, home
visiting, and assistance in obtaining services, may be considered
either a family support or a family preservation service.
Section 1357.15(a) Scope
Section 1357.15 contains the requirements we are proposing for the
development of the comprehensive five-year Child and Family Services
Plan (CFSP). We solicit comment on the overall requirements of the plan
and welcome suggestions which could result in minimizing the collection
and analysis of information and the reporting requirements in the plan.
This section consists of twenty-two paragraphs (a) through (v). The
paragraphs cover discrete topics such as general provisions related to
scope, eligibility for funds, and required assurances; paragraphs on
the specific content of the comprehensive plan, including a vision
statement, goals, and objectives; requirements for the description of
the services to be provided, the populations to be served, and the
geographic areas to be targeted; specific proposals for the planning
process leading to the development of the plan; and other provisions
focused on the continuum of services, permanency planning efforts, and
other statutory requirements.
Paragraph (a)(1) of this section specifies the overall scope of the
plan by proposing the consolidation into one comprehensive five-year
plan of both the family preservation and family support services and
the child welfare services programs under title IV-B of the Social
Security Act.
Paragraph (a)(2) proposes that the plan must include information on
the Independent Living Program (ILP) and two formula grant programs
under the Child Abuse Prevention and Treatment Act (CAPTA).
Paragraph (a)(3) clarifies that some requirements in Sec. 1357
apply only to States, some apply only to Indian tribes, and some apply
to both as specified.
Overall, paragraph (a) is based on section 432 of the Act (subpart
2) which requires States and eligible Indian tribes to submit a five-
year plan for family preservation and family support services. It is
also based on section 422 of the Act (subpart 1) which requires a State
plan for child welfare services.
We elected to consolidate the planning and reporting requirements
for the two title IV-B programs for several reasons. Child welfare
services and family preservation and family support services are both a
part of the child and family services continuum; both programs are
administered by the same agency and address common problems of the same
population of children and families. In addition, focus group
participants urged us to consolidate planning, application
requirements, and program reporting, where possible.
Currently under subpart 1, States and Indian tribes may submit
their child welfare services plan at one, two, or three year intervals.
Combining the planning and reporting requirements for subparts 1 and 2
will reduce the number of plans and, consequently, the administrative
burden. More importantly, one comprehensive plan will assist both
States and Indian tribes to plan for and make more effective use of
resources and develop a more integrated, coordinated, and family-
focused service system.
We considered requiring States to consolidate three additional
programs in the CFSP--the Independent Living Program (ILP) under title
IV-E, section 477; and the two child abuse and neglect formula grant
programs under the Child Abuse Prevention and Treatment Act (CAPTA):
Part I (Basic State grants) and Part II (Medical Neglect/Disabled
Infants State grants) (sections 107(a) and 107(g) of CAPTA).
However, although the ILP and the CAPTA programs are both a part of
the State's child and family services continuum, and their inclusion in
the CFSP would reinforce and strengthen the comprehensiveness and
usefulness of the CFSP, the current statutory and administrative
requirements in these three programs are barriers to consolidation at
this point. We may propose the inclusion of additional programs in the
CFSP at a future date.
Instead, paragraph (a)(2) proposes to require that the State's CFSP
must contain the same descriptive services information on the ILP and
the two CAPTA formula grant programs as on other child and family
services. (See 45 CFR 1357.15(n)) We believe that the inclusion of this
information will facilitate ongoing coordination, consultation, and
joint planning efforts among these programs and assist States to move
toward a more comprehensive service delivery system. In addition,
representatives of the ILP and CAPTA programs will be involved in the
development and implementation of the CFSP, e.g., the consultation, and
other processes leading to the development of goals and objectives and
the required description of services in the plan. (See paragraph (l) of
this section.)
Although there are barriers to requiring the ILP in the plan, there
is nothing to prohibit a State from including in the CFSP the
information needed to receive annual ILP funding. Section 477 of the
Act requires that the annual ILP application be submitted prior to
February 1. As long as this date is met, States may submit the required
program and fiscal information and assurances either in the CFSP or by
the statutory due date. For example, States could submit information
for the FY 1996 ILP application either as a part of the FY 1995 CFSP
(due June 30, 1995) or by January 31, 1996. If a State elects to
consolidate the ILP application information into the CFSP, funding for
the independent living program will not be withheld in the event that a
State's CFSP is not approved for reasons unrelated to the ILP program.
States and Indian tribes may, and are encouraged to, include
additional child and family services programs in the CFSP, at their
option. (See 45 CFR 100.12.)
Section 1357.15(b) Eligibility for Funds
Paragraph (b) specifies the eligibility requirements for receipt of
funds under title IV-B, subparts 1 and 2.
Paragraph (b)(1) requires that, in order to receive FY 1995 title
IV-B funding, States and Indian tribes must submit for approval a five-
year Child and Family Services Plan (CFSP). In order to receive funding
in subsequent years, States and Indian tribes must submit for approval
an Annual Progress and Services Report that meets the statutory and
regulatory requirements of title IV-B, subparts 1 and 2.
Assuming that Congress appropriates the necessary funds, FY 1995
funds will be available when the CFSP has been submitted and is
approved; FY 1996 funds will be available in FY 1996 based on the
projected FY 1996 services information included in the CFSP. FY 1997
funds will be available in FY 1997 based on the Annual Progress and
Services Report due to ACF June 30, 1996.
Paragraph (b)(2) states the requirements in section 432 (a) and (b)
of the Act that a plan will be approved only if it was developed
through a process of joint planning between ACF and the State (or the
Indian tribe), and only after broad consultation by the State (and the
Indian tribe as indicated) with appropriate public and nonprofit
private agencies and community-based organizations with experience in
administering programs of services for children, youth and families.
Paragraph (b)(3) proposes to require that the Annual Progress and
Services Report will be approved only if it was developed through a
process of joint planning between ACF and the State (or the Indian
tribe) and if it meets the requirements of Sec. 1357.16 of this Part.
Paragraph (b)(4) proposes to give the State and the Indian tribe
the option of submitting the FY 1995-1999 CFSP and the FY 1996 Annual
Progress and Services Report in the format of its choice, but requires
that these two documents be submitted to the appropriate ACF Regional
Office no later than June 30, 1995.
Section 1357.15(c) Assurances
We are proposing in Sec. 1357.15(c) that the CFSP must contain the
assurances applicable to both title IV-B programs.
Once signed by the appropriate official, the assurances will remain
in effect on an ongoing basis (not just during the five-year plan) and
will need to be re-submitted only if significant changes in the State's
or the Indian tribe's program affects an assurance.
In the interest of clarity and convenience for grantees, ACYF will
develop a compilation of all assurances for the two title IV-B
programs.
Section 1357.15(d) The Child and Family Services Plan (CFSP): General
Section 1357.15(d) proposes that the CFSP must be developed based
on three important planning activities, two of which are found in both
subparts of title IV-B (sections 422 and 432 of the Act). Subsequent
paragraphs of this section contain specific requirements for these
activities. The two statutory requirements are:
Broad involvement and consultation with a wide range of
appropriate public and nonprofit private agencies and community-based
organizations, parents, and others (see also Sec. 1357.15(l)); and
Coordination of the provision of services with other
Federal and federally assisted programs serving children and families,
including youth and adolescents (see also Sec. 1357.15(m)).
In addition, we propose to add, as a necessary basis for planning
and developing the CFSP, the collection of baseline information (see
also Sec. 1357.15 (k)). We are not proposing the collection of
extensive new data by States or Indian tribes, but are emphasizing the
use of existing and available data supplemented, if needed, by specific
studies. We believe such information will help States and Indian tribes
determine those programmatic and/or geographic areas where the well-
being of children and families is threatened; assess needs and existing
services and resources; identify gaps in services; select priorities
for services funding; assist in the selection of goals and objectives;
and develop opportunities for bringing about more effective and
accessible services for children, youth, and families.
Child welfare information systems which States currently are
designing and implementing based on recently authorized enhanced
funding will be one source of valuable information during the
implementation of the CFSP.
Section 1357.15(e) State Agency Administering the Programs
We are proposing in Sec. 1357.15(e) that the CFSP identify the name
of the State agency that will administer the title IV-B programs under
the plan. Except as provided by statute, the same agency must
administer or supervise the administration of the programs under titles
IV-B, IV-E, and XX of the Act. (See definition of State agency in 45
CFR 1355.20.)
We are further proposing in paragraph (e) that the CFSP include a
description of the organization and function of the State agency and
organizational charts as appropriate. It also must identify the
organizational unit(s) within the State agency responsible for the
operation and administration of the CFSP, and include a description of
the unit's organization and function and a copy of the organizational
chart(s). This information is currently required by 45 CFR 205.101 (see
also 45 CFR 1355.30). We are proposing to include the required
information here and delete the cross-reference in 45 CFR 1355.30.
Section 1357.15(f) Indian Tribal Organization Administering the
Program(s)
We are proposing in Sec. 1357.15 (f) that the Indian tribe's CFSP
must provide the name of the Indian tribal organization (ITO)
designated to administer funds under title IV-B, subpart 1, child
welfare services and/or under title IV-B, subpart 2, family
preservation and family support services. If the Indian tribe receives
funds under both subparts, the same agency or organization must
administer both programs.
Section 1357.15(f) also proposes that the CFSP of the Indian tribe
must include a description of the organization and function of the
office responsible for the operation and administration of the CFSP, an
organizational chart of that office, and a description of how that
office relates to tribal and other offices operating or administering
services programs within the Indian tribe's service area, e.g., Indian
Health Service.
Section 1357.15(g) Vision Statement
The new focus on family-based services and community linkages
requires changes in vision, philosophy, and in the design and delivery
of child and family services. In order for States and Indian tribes to
develop a realistic yet forward looking CFSP, we believe that they must
first set forth their vision in providing services to children and
their families.
The Program Instructions encouraged States and Indian tribes to use
up to $1 million of the 100 percent Federal FY 1994 funds and the
planning period to help articulate that vision. Paragraph (g) proposes
that the CFSP must include the vision statement as developed by the
State and the Indian tribe.
Section 1357.15(h) Goals
Section 432(a)(2) of the Act requires that the CFSP describe the
goals to be accomplished in the five-year plan and describe the methods
to be used to measure progress toward the goals.
We are proposing in paragraph (h) that States and Indian tribes
build on their vision statement and philosophy and develop goals for
the next five years. Goals must be stated in the CFSP and must be
expressed in terms of the improved outcome expected for children, youth
and families, and for their safety and well-being. Goals also must be
stated in terms of the development of a more comprehensive,
coordinated, and effective child and family service delivery system.
States and Indian tribes should utilize data on the well being of
children and families, needs, resources, and other information obtained
during the planning process in the development of goals.
Section 1357.15(i) Objectives
We propose in paragraph (i)(1) that goals must be translated into
realistic, specific, and measurable objectives which must be included
in the CFSP. The objectives should focus on outcomes for children,
youth, and/or families or on elements of service delivery that are
linked to outcomes in important ways.
Each objective should include interim benchmarks (or due dates) and
a long-term timetable, as appropriate.
Paragraph (i)(2) incorporates the requirements of section 422(b)(6)
of the Act that requires the plan to include objectives directed to
covering additional political subdivisions, reaching additional
children in need of services, expanding and strengthening existing
services, and developing new types of services.
The objectives should reflect analysis of information on families
and children and on existing child welfare and related social services,
assessing where needs have been growing; where there are gaps in
services; what needs should be prioritized and what populations and
geographic areas should be targeted; where there is a capacity for
better integration and accessibility of services for children and
families; and what data source(s) will be used to measure the outcomes
of services.
Well-stated objectives will reflect the work of the State and
Indian tribe during the consultation, coordination, and information
analysis processes. Objectives also will reflect State and Indian
tribal priorities, funding decisions, and strategies for implementing
child and family services.
The following illustrate how an objective might be drafted. For
example, objectives regarding foster care and adoption might be stated:
By (date) , appropriately reduce the length of time spent
in out-of-home placement for children in State agency foster care
(target population) in the State (geographic area) from (x) days to (y)
days or by (x) percentage.
(Data source to measure progress: __)
By (date) , reduce the time between termination of
parental rights and finalized adoption by (x) percentage or (y) time
period for all children in State agency care.
(Data source to measure progress: ____)
A family support objective might read:
By (date) , increase the number and proportion of families
with children under age six in high poverty neighborhoods in
(geographic areas) that receive family support services from ________
to ________.
(Data source to measure progress: ____)
Other objective might read:
By (date) , reduce the number of reports of child abuse and neglect
involving serious injury in four counties/cities from (x) to (y) .
(Data source to measure progress: ________)
By (date) , increase the number or proportion of substance abusing
parents who receive family preservation, substance abuse treatment, and
other needed services and who are reunited with their children.
(Date source to measure progress: ________)
We encourage States and Indian tribes to share with us additional
examples of goals and measurable objectives or approaches to drafting
measurable objectives. We are considering developing model plan
guidelines for States and would encourage comments on the content and
usefulness of such a document.
We recommend that family preservation and family support services
be targeted on populations and in geographic areas of greatest need.
Targeting may include a range of vulnerable populations (children,
youth and/or families) in specific geographic regions, counties,
cities, communities, census tracts, or neighborhoods. States should
also consider targeting services to support community-based strategies
which draw on multiple funding streams and which bring a critical mass
of resources to bear in high-need communities (e.g., Empowerment Zones/
Enterprise Cities, Children's Cabinet initiatives).
There is no requirement that services must be statewide, although
States are encouraged to move in that direction.
Section 1357.15(j) Measures of Progress
We are proposing in Sec. 1357.15 (j) that States and Indian tribes
describe in the CFSP how they will measure the results,
accomplishments, and annual progress toward meeting the goals and
objectives in the CFSP.
Depending on the goals, objectives, and outcomes selected,
measuring progress should be based, in part, on quantifiable indicator
data (e.g., numbers of substantiated child abuse and neglect reports)
or on the results of activities such as monitoring mechanisms, quality
assurance efforts, other information collection activities, other
planning processes, and internal evaluations.
SACWIS/AFCARS/NCANDA
Three interrelated information systems, currently being
established, will assist States in obtaining information to measure the
annual progress toward meeting the goals and objectives in the CFSP, to
quantify and document the improvements achieved, as well as identify
future problem areas. These systems are the Statewide Automated Child
Welfare Information System (SACWIS); the Adoption and Foster Care
Analysis and Reporting System (AFCARS), a part of the SACWIS; and the
National Child Abuse and Neglect Data System (NCANDS). The SACWIS/
AFCARS data is expected to be available within the next two to three
years during the implementation of the CFSP. Phase I of the NCANDS is
operational at the present time.
SACWIS.
As a part of the Omnibus Budget Reconciliation Act of 1993, funding
is available to States for the planning, design, development, and
installation of Statewide automated child welfare information systems.
Such systems must be comprehensive in that they must meet the
requirements for an Adoption and Foster Care Analysis and Reporting
System (AFCARS) required by section 479 (b)(2) of the Social Security
Act and implementing regulations. To the extent practicable, these
systems must also be capable of interfacing with State child abuse and
neglect automated systems and with State automated systems for
determining eligibility for title IV-A assistance. The Department must
also determine that the system will be likely to provide more
efficient, economical, and effective administration of the programs
under title IV-B and title IV-E of the Act.
Enhanced Federal funding at the 75 percent matching rate is
provided for such activities as well as for the cost of hardware
components beginning October 1, 1993. This funding rate is eliminated
in the statute after September 30, 1996, at which time a Federal
matching rate of 50 percent is available. Also effective October 1,
1993, Federal financial participation is available for the operation of
such systems at the 50 percent matching rate.
AFCARS.
The purpose of AFCARS is to collect information on children in
foster care and children adopted through the public child welfare
system. This information will be essential for data analysis and
reporting, addressing program management issues, and making policy and
planning decisions. The AFCARS final rule was published in the Federal
Register in December of 1993. The first reporting period is October 1,
1994 to March 31, 1995 for which data must be received in ACF no later
than May 15, 1995.
NCANDS.
The National Center on Child Abuse and Neglect (NCCAN) is
continuing the development and implementation of the National Child
Abuse and Neglect Data System (NCANDS). The NCANDS consists of two
parts:
The Summary Data Component (SDC), a compilation of key
indicators of State child abuse and neglect statistics; and
The Detailed Case Data Component (DCDC), a compilation of
detailed case-level data that can be used to examine trends and issues
in the field.
NCANDS summary data has been collected for the last three years.
The most recent information and data regarding the NCANDS is published
in a report entitled ``Child Maltreatment 1992: Reports From the States
to the National Center on Child Abuse and Neglect.'' This report is
available through the Clearinghouse on Child Abuse and Neglect
Information (800-FYI-3366 or 703-385-7565). When this national data
base on child abuse and neglect is fully implemented, it will have the
flexibility to respond to a wide range of policy and program analysis
needs.
Section 1357.15(k) Baseline Information
In paragraph (k) we propose both general and specific requirements
for the collection, analysis, and use of planning related information.
In section 1357.15(k)(1), we are proposing to require that States
and Indian tribes base the development of the CFSP goals, objectives,
and funding and service decisions on an analysis of available
information on the well-being of children and families; the needs of
children and families; the nature, scope, and adequacy of existing
child and family and related social services programs; and the trends
of these indicators over time.
We further propose that additional and updated information must
also be obtained throughout the five-year period to annually measure
the progress in accomplishing the goals and objectives. We do not
require the collection of specific measures or indicators in
recognition of the variety of kinds of information available to States
and Indian tribes.
Paragraph (k)(2) requires the collection of specific information
about existing family preservation and family support services, because
we believe this information is important, widely available, and central
to the CFSP development and implementation process.
In Sec. 1357.15(k)(3), we are proposing that the CFSP must include
the information used in developing the CFSP; an explanation of how the
information was used to develop the goals and objectives and to
determine the specific services to be provided, the populations to be
served, and the geographic areas where services will be available; a
description of how information will be used to measure progress
annually over the five-year CFSP period; and explanation of how
information will be used to facilitate the coordination of services.
A variety of sources of information on the well-being of children
and families and service delivery capability are available. For
example, the local United Way agency, Mayor's Offices, anti-poverty
agency, other city/county development offices, academic institutions,
and other public and private efforts are sources of information. Many
States also participate in the collection of information on families
and children in the Voluntary Cooperative Information System (VCIS),
the ``Kids Count Data Book'' compiled by the Annie E. Casey Foundation
which includes county-by-county profiles. State Health Departments also
are sources of information on child fatalities, low birth weight in
infants, teen pregnancy, and child/youth suicides as well as State and
local initiatives such as Healthy Start. State Education Departments
frequently have information on children in special education, drop-
outs, and expulsions as well as school-based and after school programs.
The Census Bureau, Chamber of Commerce, and the AFDC agency may be
sources of data on economic status indicators such as the percent or
number of children in poverty, and percent or number of families
receiving AFDC, Food Stamps, or medical assistance. States and
communities preparing applications for the new funds under the
Empowerment Zones/Enterprise Communities Program will also have
collected useful data.
The SACWIS and AFCARS data will be a useful tool in measuring
progress including among other data, information on the status of
children placed in foster care and those placed in adoption. An
additional data collection system, NCANDS, will report information on
child abuse and neglect.
When fully operational, these data systems will facilitate the
quantification and documentation of the improvements expected and
achieved, as well as providing information on the status of the goals
and objectives.
Because we believe so strongly that baseline information is
essential to realistic and meaningful planning, goal setting, and
progress measurement and yet recognize the variety of data availability
in different States and Indian tribes, we have included some
suggestions of possible indicators of child and family well being and
service delivery status. Some of those indicators will be useful for
setting goals and objectives, some for targeting services
geographically and to priority populations, some for detailed service
planning, and some for assessing progress.
(1) Examples of indicators on child and family well-being: Number
of initial reports and substantiated reports of child abuse and
neglect, percent of children born addicted or drug exposed, child death
rate, incidence of domestic violence, number of children in out-of-home
care, number of children in psychiatric placements, number of children
awaiting adoption, youth in stable living situations after exiting
foster care, and length of time spent in substitute care.
(2) Examples of indicators related to other services systems:
Percent of low birth-weight babies, percent of births that are to
single teens, teen pregnancy rate, immunization rate, percent of
children in poverty, percent of children in single-parent families,
percent of families receiving AFDC, runaway and homeless youth rate,
child/youth suicide rates, juvenile violent crime arrest rate, teen
violent death rate, percent teens not in school and not in labor force,
percent teens graduating from high school on time, high school dropout
rate, and percent of eligible children in Head Start.
(3) Examples of indicators on the State's (or the Indian tribe's,
as appropriate) service delivery capacity: The extent to which child
welfare, family preservation, and family support services are available
and being provided (e.g., number and percentage of families served,
waiting lists, etc.); the extent to which child welfare workers'
caseloads (intake, protective, foster care, adoption, etc.) permit
adequate protection of and service delivery to children and families;
the availability of out-of-home care and placement (including adoption)
resources; the availability of prevention and intervention services;
the availability of critically needed services such as housing, mental
health services, and substance abuse treatment; the extent to which
existing services are coordinated with the provision of other child and
family services, particularly child protective services and independent
living services (e.g., indicators of successful referrals); and the
funding resources and expenditures, geographic availability, numbers of
persons served, and insufficient service capacity (unmet needs) related
to these services.
(4) Examples of indicators States or Indian tribes, as appropriate,
might use or seek to develop relating to strengthening the delivery of
services and accomplishing goals and objectives: The extent to which
resources are available for training, technical assistance, and
consultation, including leadership development, staff development, and
interdisciplinary training; the existence and utilization of quality
assurance measures, program development and management and data
analysis; and the implementation, expansion, and utilization of
management information systems.
Indian tribes will want to obtain a general picture of the well-
being of children and families in their area of jurisdiction and use
available data in determining goals, objectives, and services in the
CFSP. Indian tribes should use the examples of indicators and suggested
sources of information as it meets their needs and circumstances.
The requirement in paragraph (k)(2) for the collection and analysis
of statewide information on family preservation and family support
services is an extension of the requirement in the FY 1994 Program
Instructions. Most States and Indian tribes have begun to identify
existing family preservation and support programs as a part of their
consultation, coordination of services, and planning processes.
Specific information on geographic availability; mismatches among
scope, availability, and family needs; and the identifications of both
public and privately funded programs must be known as the basis for
State decisions on future services funding.
Finally, the collection and analysis of data is related not only to
the priorities and outcomes the States and Indian tribes want to
achieve but should be used in the consultation and coordination
processes to identify what additional data are needed, which data will
serve as baseline information on which to measure progress, and what
future goals and objectives the CFSP should address.
We ask States to comment on their experiences identifying and
gathering existing statewide baseline information including information
on the well-being and needs of children and families; the quality and
usefulness of the information gathered or expected to be gathered;
information on the nature, scope, and adequacy of existing child- and
family-related social service programs; and data on existing family
preservation and family support services (including important gaps in
service and mismatches between available services and family needs).
We solicit comment not only on the proposed indicators and their
usefulness in planning, but also recommendations on how the indicators
might be improved. We also seek comments on the usefulness of defining
indicators more concisely so that uniform definitions can be developed.
Section 1357.15(l) Consultation
In Sec. 1357.15(l), we are proposing to implement Section 432(b)(1)
of the law. As a condition of CFSP approval, Section 432 requires that
the plan be developed by the State and the Indian tribe after
consultation with a wide range of appropriate public and nonprofit
private agencies and community-based organizations with experience in
administering services for children and families (including family
preservation and family support services).
Briefly, we are proposing, in paragraph (l)(1), that States must
describe in the CFSP the internal and external consultation process
used to obtain broad and active involvement of major actors across the
entire spectrum of the child and family service delivery system in the
development of the CFSP and to explain how this process was coordinated
with or was a part of other planning processes in the State.
Paragraph (l)(2) proposes that Indian tribes carry out a
consultation process involving representatives of child and family
services programs within their areas of jurisdiction and appropriate to
their needs and circumstances.
In paragraph (l)(3), we propose nine categories of agencies,
organizations, and individuals with whom the State and the Indian
tribes, as appropriate, must consult.
Finally, paragraph (l)(4), proposes that the CFSP must contain a
description of how each grantee will ensure that an active consultation
process continues over the five-year period.
Both those States and Indian tribes with experience in providing
family preservation and family support, and those with little
experience in providing youth service can benefit from a broad, active
consultation process. Overall, the process will strengthen the
comprehensive planning and implementation of the CFSP. Specifically, it
will provide expert guidance to and assist in the development of the
CFSP, including the selection of goals, objectives, and outcomes, and
the design and expansion of family preservation, family support, and
child welfare services; and support agency efforts to address common
problems which diminish child and family well-being.
We have not mandated a particular consultation process to carry out
this statutory provision. We recognize that there may be existing
processes, such as State Children's Cabinets and the State Child and
Adolescent Service System Program (CASSP) that can be used in the
development of the CFSP. However, we have proposed specific minimum
requirements which we believe are necessary to assure an active
planning process, reflecting broad experience and expertise, and
leading to the development of a plan that is more than a ``paper
exercise.''
The consultation process will also be closely linked to service
coordination. Collaborative initiatives to improve access to service
delivery can develop by consulting with others in the field of child
and family services. The information generated during the consultation
process may also supplement the collection of baseline information
required for the development of goals, objectives and funding decisions
in Sec. 1357.15 (k).
We believe that the nine required categories of participants in the
consultation process proposed in paragraph (l)(3) represent a minimal
level of programmatic, political/administrative, and experiential
involvement in this process. We encourage States and Indian tribes to
go beyond this proposed list and include other categories of
organizations and individuals based on State and local circumstances.
This list of participant categories emphasizes both an internal and
external consultation process because we believe it is critical to
include the expertise of offices within the child and family service
agency as well as the experience of community-based organizations and
others.
The internal consultation process is particularly important to
assure the participation of all major programs in the child and family
services continuum. The active involvement of child protective services
and the independent living program is critical, given the requirement
for information on these program areas in the plan.
With regard to consultation with courts, we want to call the
States' attention to the collaborative requirements between courts and
State agencies in a new program of grants to the highest State Court in
each State. Beginning in FY 1995, that court is eligible for a grant
from ACF to assess and improve the handling of child welfare judicial
proceedings under the new ``Court Improvement Program,'' authorized by
Pub. L. 103-66. Courts are strongly encouraged to collaborate with the
State title IV-B agency in their assessment and improvement activities.
A Program Instruction was issued June 27, 1994, to the highest State
Courts requesting applications for FY 1995 funds.
Given the differing organizational structure, contacts, and
resources available to each Indian tribe, the tribal consultation
process will vary from the State process. If an Indian tribe has
another planning process in place, we encourage it to build on the
existing process rather than duplicating efforts.
Depending on the circumstances, including availability of
resources, Indian tribes may choose to include other interested
individuals and organizations, as appropriate. Federal and federally
assisted programs operated by the Tribe should be involved, e.g.,
Family Violence Prevention and Services, Community Services block
grant, the JOBS program, Head Start. Additionally, if the Indian Health
Service and/or the Bureau of Indian Affairs is providing services
within the Tribes' area of jurisdiction, representatives from these
agencies also should be involved in the tribal consultation process.
The Department of Education provides supplemental funds for tutoring,
home/school liaison, and cultural activities to both public and BIA
schools serving Indian children. Representatives of this program may
also be an appropriate participant. Indian tribes also may wish to
involve representatives from other Indian tribes, especially those with
experience in child welfare, family support, and family preservation
services.
Paragraph (l)(4) requires a description of the ongoing consultation
process. Progress on goals and objectives in the CFSP will need to be
reviewed annually and revisions made to reflect changed circumstances,
if necessary. Participants can offer updated information, suggestions
regarding revisions in the goals and/or objectives, and advice
regarding funding of services for the upcoming fiscal year. These
activities will be part of the annual progress reviews and services
reports described in Sec. 1357.16.
In summary, from consultation with these internal and external
sources, the States and tribes could learn the current status of child
and family well-being in a variety of areas; gain insight on needs,
existing services, and gaps; receive advice on controversial or
challenging issues; gain support for their own efforts to improve child
and family services; and cultivate activities to coordinate services.
This wealth of expertise from a collection of individuals and
organizations, in conjunction with an analysis of baseline information,
is needed to develop and fully implement the comprehensive child and
family services plan.
Section 1357.15(m) Services Coordination
In Sec. 1357.15(m), we propose to implement sections 432(a)(3) and
422(b) of the Act which require that the plan provide for coordination
of services under the plan with the provision of services or benefits
under other Federal or federally assisted programs serving the same
populations.
We have not mandated a specific service coordination process
because State, local, and Tribal needs and circumstances vary. In
addition, many States and Indian tribes have a number of existing
processes and coordination efforts already in place to carry out this
requirement.
We have mandated in paragraph (m)(1), however, that the State's on-
going coordination process must include representatives of the child
and family services provided by the State agency as well as other
service delivery systems providing social, health, education, and
economic services to children.
We propose in paragraph (m)(2), that the State's CFSP must describe
how services under the plan will be coordinated over the five-year
period with services or benefits under other Federal and federally
assisted programs serving the same populations to achieve the goals and
objectives in the plan. Additionally, we propose that the description
must include the participants in the service coordination process and
examples of how the process led or will lead to additional coordination
of services.
With respect to Indian tribes, in paragraph (m)(3), we propose that
the Indian tribe must include in the coordination process
representatives of other Federal or federally assisted child and family
services or related programs as appropriate to their circumstances. The
Indian tribe's CFSP must describe how services under the plan will be
coordinated over the five-year period with services or benefits under
other Federal or federally assisted programs serving the same
populations to achieve the goals and objectives in the plan. For
example, the Tribe may coordinate family preservation, family support
and/or child welfare services provided by the Indian Health Service and
the Bureau of Indian Affairs, if these agencies are providing services
within the Tribe's jurisdiction. They may also coordinate services with
public schools receiving supplemental education funds which may provide
support services. The description must include the participants in the
process and examples of how the process led or will lead to additional
coordination of services.
Examples of services and programs are:
Within the State agency: existing family support and
family preservation; child abuse and neglect prevention, intervention,
and treatment; foster care, and reunification, adoption, and
independent living services;
Other public and nonprofit private agencies, including
community-based organizations, which provide Federal or federally
assisted services or benefits. (These programs may be administered
within the State title IV-B agency, by another State agency, by private
nonprofit agencies and organizations, or by a combination of public and
private support.)
Examples of major programs are: the social services block grant;
title IV-A (income maintenance, child care, employment and training);
title IV-A (emergency assistance); child support; maternal and child
health; title XIX (Medicaid, EPSDT); mental health and substance abuse
services; child abuse prevention (Children's Trust Funds); transitional
living; runaway youth and youth gang prevention; education;
developmental disabilities; juvenile justice; early childhood education
and child development programs (Head Start); domestic violence;
housing; nutrition (Food Stamps, Special Supplemental Food Program for
Women, Infants and Children (WIC)); child care and development block
grant and other child care programs; the community services block
grant; Empowerment Zones and Enterprise Communities program (EZ/EC);
education (school-based services); and justice programs.
We believe that the ultimate purpose of service coordination is to
improve the well-being of children, youth and families. Focus group
participants, and others, emphasized that effective coordination of a
broad spectrum of services provides a holistic approach to serving
children and families and increases the likelihood of matching
families' needs with appropriate services rather than merely providing
available services. Their view was that, in isolation, individual
services are not likely to address the needs of children and families;
many families need support and services that transcend any single
agency mission; no one agency has the resources to meet all needs of
all families; vulnerable families with multiple needs are less likely
to independently access and integrate all the services they need; and
service systems which view families' needs categorically reduce the
likelihood of overall family improvement.
Section 1357.15(n) Services
At the heart of the State and Indian tribal plans are the child and
family services. Paragraph (n) requires a description of the publicly
funded child and family services that will be provided in FY 1995 and
FY 1996, based on the requirement for a description of the family
preservation and family support services in section 432(a)(5) of the
Act and for a description of the child welfare services in section
422(b)(5) of the Act.
Specifically, the State's CFSP must describe the publicly funded
child and family services continuum to be provided in FY 1995 and FY
1996: the family support services; the family preservation services;
the child welfare services (including child abuse and neglect
prevention, intervention, and treatment services and foster care); and
the services to support reunification, adoption, kinship care,
independent living, or other permanent living arrangement.
The Indian tribe's CFSP must describe the child welfare (including
the child abuse and neglect prevention, intervention, and treatment
services and foster care) and/or the family support and family
preservation services to be provided in FY 1995 and FY 1996.
In addition, we propose in paragraph (n)(3), that for each service,
the CFSP must indicate the population(s) to be served; the geographic
areas where services will be available; the estimated number of
individuals and/or families to be served; and the estimated
expenditures for these services from Federal, State, local, and donated
sources.
This would include, among other sources of funds, expenditure data
on title IV-B, subparts 1 and 2, on the two CAPTA programs, and on the
Independent Living Program. Expenditure data must include all services
expenditures, i.e., those funded directly and those funded through
subrecipients.
We believe that this description of services represents one of the
most important sections of the CFSP. Not only will it provide a
comprehensive picture of the services provided and resources available,
it can clearly illustrate State and Indian tribal decision-making in
directing services toward the goals and objectives in the CFSP. By
providing a unified picture of the services available, it will form a
basis for discussion of future coordination of services and improved
service delivery. This information also will be studied by national
evaluators and other researchers.
We believe the requirements of paragraph (n) will not be burdensome
as much of the information on child protective services, child welfare
services, foster care, and adoption is already being reported on the
current CWS-101, the Annual Summary of Child Welfare Services (OMB
approval no. 0980-0047, expiration date 9/30/95). We propose to add in
the CFSP reporting of information on CAPTA and ILP services (which is
currently available). Information will be reported for the first time
on new or expanded family support and family preservation services
using subpart 2 funds.
We have drafted a revised CWS-101 form for illustrative purposes.
It is included as an Appendix to the NPRM, but it will not become a
permanent part of the final rule or the Code of Federal Regulations. We
welcome suggestions for additions or improvements in the scope of the
description of services.
Section 1357.15(o) Family Preservation and Family Support Services and
Linkages to Other Social and Health Services
We are proposing in paragraph (o)(1) that the State must provide
information specifically on the development and/or expansion of family
preservation and family support services; how these services relate to
existing family preservation and family support services; and how they
link to the child and family services continuum (of which family
support and family preservation services, child protective services,
foster care and adoption services, reunification services, and
independent living services, are a part).
Paragraph (o)(2) proposes to require an explanation in the CFSP of
whether and/or how CAPTA and ILP funds are coordinated with or
integrated into the child and family services continuum.
In paragraph (o)(3), we are proposing that the CFSP include a
description of how the services in the child and family services
continuum are linked to services in other Federal and non-federally
funded public and nonprofit private programs, e.g., AFDC, Food Stamps,
WIC, child care, health, education, housing, substance abuse, juvenile
justice, Children's Trust Funds, and private foundations.
In meeting the requirement in paragraph (o)(1), States will use, in
part, the information gathered on the availability of family
preservation and family support services (Sec. 1357.15(k)(2)). FY 1995
will be the first year in which all States will be implementing title
IV-B family preservation and family support services. Thus, the
information in paragraph (o)(1) will provide a national overview of the
development, operation, and/or expansion of family preservation and
family support services in all States as well as identify the processes
States are using to develop coordinated systems of care. We believe it
also will provide a picture of implementation efforts and relationships
for national evaluation purposes.
For similar reasons, we are proposing to request the information in
paragraphs (o)(2) and (o)(3) on linkages with other services and
service delivery systems. We believe this information will be useful to
obtain a clearer understanding of each State's efforts and activities
to bring about services linkages both within the child and family
services continuum and with other public and privately funded service
systems. It will also provide a broader national picture of such
efforts.
Section 1357.15(p) Services in Relation to Service Principles
We are proposing in Sec. 1357.15(p) that the CFSP describe how the
child and family services are designed to assure the safety and
protection of children, as well as the preservation and support of
families, and the how services in the CFSP are or will be designed to
meet the other service principles in 45 CFR 1355.25, e.g., services
that are flexible, easily accessible, and respectful of cultural and
community strengths. We believe these principles are the basis for the
development of effective, responsive, and quality services programs.
Section 1357.15(q) Services in Relation to Permanency Planning
We are proposing in Sec. 1357.15(q) that the State CFSP must
describe how these services will help meet the permanency provisions
for children and families in sections 427 and 471 of the Act, e.g.,
preplacement preventive services, reunification and adoption services,
and long-term foster care/independent living services.
The ``permanency provisions'' were enacted by the Adoption
Assistance and Child Welfare Act of 1980 (Pub. L. 96-272) which was
passed in an effort to improve child welfare services nationwide; it
focused on the importance of providing preventive and crisis
intervention services and establishing permanency for the children in
foster care. Through permanency planning, children were to be placed in
permanent living arrangements as quickly as possible. At the heart of
this concept is the ``reasonable efforts'' requirement to prevent
family separation in cases where a child could be kept safely at home,
provide appropriate services for family reunification once a child was
placed in foster care, or to make another permanent living arrangement,
such as adoption.
We believe that the funds authorized by the new family preservation
and family support legislation provide an opportunity for States to
recommit themselves to the goals of Pub. L. 96-272 and to use these
funds to help bring about the changes that will assure permanency for
all children.
Section 1357.15(r) Decision-Making Process: Selection of family
Support Programs for Funding
We are proposing in Sec. 1357.15(r) that the State's CFSP include
an explanation of how agencies and organizations were selected to
provide family support services and how these agencies and
organizations meet the requirement that family support services be
``community-based.'' This paragraph proposes to implement section
431(a)(2) of the Act which states that ``family support services means
community-based services to promote the well-being of children and
families * * *''
Community-based services can be provided under a variety of
auspices. (See Sec. 1357.10(c).) Therefore, we urge the State to
consider a wide range of family support providers in selecting the most
appropriate agencies or organizations to provide this service based on
the goals and objectives in the CFSP. These may include community-based
organizations (CBOs), public or private nonprofit agencies, and Indian
tribal organizations.
We considered requiring the State to pass through a certain
percentage of the funds to CBOs to provide family support services but
concluded that the circumstances in each State are so varied and
allotments to the States are not large enough to justify such a
requirement.
In making funding decisions, however, we strongly recommend that
States examine the work and accomplishments of community-based
organizations and look to them as highest priority potential providers
of family support services. It is these organizations, based in and
trusted by the community, which typically have the knowledge and
expertise to provide these services.
Section 1357.15(s) Significant Portion of Funds Used for Family
Support and Family Preservation Services
We are proposing in Sec. 1357.15(s) that the State (not the Indian
tribes) specify in the CFSP the percentage of FY 1995 and FY 1996
family preservation and family support funds (title IV-B, subpart 2)
that the State will expend for each type of service. States should
provide an explanation for how this distribution was reached and how it
meets the requirement that a ``significant portion'' of the service
funds must be spent for both family preservation and family support
services.
Paragraph (s) is based on a statutory requirement in section
432(a)(4) of the Act which provides that a ``significant portion'' of
the service expenditures must be used for family preservation services
and family support services. While there is no minimum percentage that
defines significant, we have proposed that the State's rationale will
need to be especially strong if the request for either allocation is
below 25 percent.
We considered a number of alternatives based on recommendations
from focus group participants and others:
That we require the State to allocate equal amounts or a
fixed amount for both family preservation and family support services;
That we prescribe a certain amount to be spent on each
service and require States to pass through the family support
allocation directly to CBOs to provide family support services;
That a minimum of a third of the service dollars be used
for family support; a third for family preservation; and the remainder
for either family support services, family preservation services or a
combination of the approaches depending on the needs of the State and
community; and
That we allow the State agency to have complete
flexibility to decide how to expend the funds.
We recognize that there are differences among the States in the
level at which States and communities are operating services programs.
We also recognize that the needs of families and children are not
identical in all jurisdictions. Therefore, our proposal reflects our
desire to provide flexibility to accommodate a wide range of
differences among States, to reflect the legislative history, and to
strike a reasonable balance that assures the requirements of the Act
are met.
Section 1357.15(t) Staff Training, Technical Assistance and Evaluation
Section 1357.15(t)(1), is based on section 422(b) of the Act. We
are proposing that States include in the CFSP a staff development and
training plan which addresses the two title IV-B programs. This
training plan must also be combined with the training plan under title
IV-E based on 45 CFR 1356.60(b)(2).
In paragraph (t)(2), we have proposed that the technical assistance
activities that will be undertaken to support the goals and objectives
in the plan be described in the CFSP.
In paragraph (t)(3), we propose that the State's CFSP provide a
description of any evaluation and/or research activities on child and
family services, underway or planned, and how they relate to the goals
and objective in the CFSP.
On-going training and technical assistance activities are critical
to support the continuous improvement efforts under the five-year CFSP.
Focus group participants recommended training for the entire staff for
the child and family services agency in order to implement the new
vision and the principles of child and family services, including
county administrators, supervisors, front-line staff, foster parents,
State administrators, and volunteers who provide services.
Furthermore, they emphasized the importance of interdisciplinary
training, particularly including the courts which carry out
requirements related to child protective services, foster care and
permanency planning.
Regarding our proposal for information on evaluations in paragraph
(t)(3), we want to emphasize that States are not required to conduct
evaluations and/or research activities related to the CFSP. We know,
however, that some States are conducting such activities, and we are
interested in learning about these. We know, for example, that a few
States use CAPTA funds for research activities and a few States are
undertaking studies to evaluate family preservation services.
Section 435 of the law requires the Department to conduct national
evaluations on the effectiveness of family preservation and family
support programs. The Department has recently released an RFP for three
national evaluation studies. To the extent feasible, we intend to
coordinate these national evaluation projects with evaluations being
conducted by States, and we look forward to the States' participation
in the national studies. We also encourage States to participate in a
GAO study currently underway to collect information for a report to
Congress on family support and family preservation.
Section 1357.15(u) Quality Assurance
We are proposing in Sec. 1357.15(u) that the State describe in the
CFSP the quality assurance system it will use to regularly assess the
quality of services provided under the CFSP.
There is agreement by practitioners in the field and others that
the quality of child welfare services needs improvement. This includes
both quality standards for services as well as best practices for
casework. We also consider quality services to be an integral part of
achieving better outcomes for children and families.
We encourage and support State efforts as they develop creative
ways to determine and strengthen the effectiveness of their services.
In designing, expanding, and implementing quality assurance activities,
States may wish to refer to the principles in 45 CFR 1355.25. Examples
of quality assessment techniques include:
Soliciting input on the effectiveness of services from
public and private service providers, parents, foster parents, children
and youth, other clients, and various representatives of the public.
Reviewing case records based on a random sample of cases
representative of the population of children and families served.
Compliance with the recommended standards of national
professional organizations serving children and families e.g., Child
Welfare League of America, Council on Accreditation of Child and Family
Service.
Establishing specific reporting requirements to monitor
contractual service providers.
We considered establishing minimum Federal standards for quality
services. However, due to the wide range of differing State
circumstances, we decided that, at this point, it should be left to
each State to design its own quality assurance system. ACF may review,
at some later date, the quality assurance systems established by the
States and may consider alternate approaches to improve the quality of
services. We solicit recommendations for model approaches and
procedures as well as measures or indicators of quality deemed to be
basic.
Section 1357.15(v) Distribution of the CFSP and the Annual Progress
and Services Report
Section 432(a)(5) requires that an annual report on services
(Annual Progress and Services Report) must be made available to the
public. Section 1355.21(c) also requires that the title IV-B and IV-E
plans be made available for public review and inspection. We are
proposing in Sec. 1357.15(v) to further implement these requirements by
specifying that the CFSP must include a description of how the State
and the Indian tribe will make these documents available. In addition,
we propose to require that State agency and Indian tribal organizations
within the State receiving title IV-B, subpart 2 funds, exchange copies
of their CFSPs and their Annual Progress and Services Reports.
We believe it will be useful to States and Indian tribes to share
the CFSP and the Annual Progress and Services Reports, both with each
other and with those individuals, agencies, and organizations a part of
the ongoing consultation and coordination effort. Such dissemination
can lead to increased support and coordination of services. Annual
Progress and Services Reports may also be used in preparing briefings
for State Advisory Councils, State legislators and budget officials,
and in highlighting accomplishments in the media.
We have not specified the form or process such distribution should
take. A variety of dissemination methods may be used, e.g., newspapers,
newsletters, distribution to participants in the planning process,
meetings with advocacy and constituency organizations, and electronic
bulletin board notices.
Section 1357.16 Annual Progress Reviews and Services Reports
This new section of Part 1357 implements and closely follows the
requirements of section 432 of the Act. In summary, sections 432 (a)(2)
and (a)(5) require that once the five-year plan is developed and in
operation, the State and the Indian tribe annually must review the
progress made in accomplishing the goals in the plan; and, on the basis
of the annual (interim) review, must:
Periodically update or revise the statement of goals in
the plan, if necessary, to reflect changed circumstances;
Prepare, send to ACF, and make available to the public, a
description of the services that will be provided in the immediately
succeeding fiscal year under the plan; and
Include in the description of services the population(s)
to be served and the geographic area(s) where services will be
available.
Paragraph (a) reflects the statutory requirement for an annual
review of progress toward accomplishing the goals and objectives in the
plan and the preparation of an Annual Progress and Services Report,
based on updated information. It also requires that the State and the
Indian tribe involve the agencies, organizations, and individuals who
are a part of the on-going consultation and coordination process in the
development of paragraphs (a)(2) through (a)(4), i.e., revisions in the
statement of goals and objectives and descriptions of services to be
provided in the up-coming fiscal year.
Paragraphs (a) (1) through (7) propose that the content of the
report must include: A report on specific accomplishments and progress
made toward meeting goals and objectives; any revisions to the goals
and objectives; a description of the continuum of services to be
provided in the upcoming year (see Sec. 1357.15 (n)); information on
training, technical assistance, research, evaluation, and management
information systems efforts; and, for States only, information required
to document the maintenance of effort (supplantation) requirement.
The annual review must be based on updated information in order to
measure progress in achieving the goals and objectives in the CFSP.
States and Indian tribes may utilize various sources of information (as
they did in establishing the goals and objectives in the five-year
plan) such as future State management information system reports (e.g.,
SACWIS/AFCARS/NCANDS); other planning processes; available public and
private data sources (e.g., health departments, ``Kids Count Data
Book''); and outcomes of other activities such as monitoring, quality
assurance efforts, and service delivery improvements.
We believe the information we propose to require in the Annual
Progress and Services Report, like the information required in 45 CFR
1357.15(n), is a modest extension of information available to and, for
most of the services in the continuum, already being provided to ACF.
We also believe that this information is and will be important, useful,
and necessary as States, Indian tribes, public and private agencies and
organizations, advocacy groups, parents, and others continue to work
over the five-year plan period to bring about improved well-being for
children and families.
In paragraph (b) we propose deadlines for submitting the Annual
Progress and Services Report to ACF, based on the requirement in
section 432(a)(5).
In paragraph (c), we specify the information that should be
reported by those States and Indian tribes that used FY 1994 funds for
services.
Paragraph (d) proposes to require each State and Indian tribe to
make the Annual Progress and Services Reports available to the agencies
and organizations and others with whom they are consulting and working
to coordinate services. We do not specify a mechanism(s) that must be
used to do this; we believe there are many options for this purpose
including newsletters, public reports to the media, and use of
electronic bulletin boards.
Paragraphs (e) and (f) reflect requirements in section 432 (a)(2)
of the Act for a final review in FY 1999 of progress made toward
accomplishing the goals and objectives in the five-year plan and the
development of a new plan for the next five-year period. States and
Indian tribes must conduct a final review; prepare a final Progress and
Services report; send the final report to ACF, and make it available to
the public; and, in consultation with a broad range of agencies,
organizations, practitioners, and others, develop a new five-year plan
following the requirements in Sec. 1357.15.
Section 1357.20 Child Abuse and Neglect Programs
This section is revised to update and correct the citations to the
Child Abuse Prevention and Treatment Act and to include the subject of
those citations for clarity.
Section 1357.30 State Fiscal Requirements (Title IV-B, Subpart 1,
Child Welfare Services)
In this section, we are proposing a number of editorial and
technical changes and one major policy change regarding time limits on
expenditures for subpart 1 funds. The editorial and technical changes
are: revising the section title to indicate that these fiscal
provisions apply only to States receiving funds under title IV-B,
subpart 1; adding titles as needed to all paragraphs in this section;
redesignating paragraphs as needed for clarity; and adding a reference
to title IV-B, subpart 1, in paragraphs (a), (d), (e)(3), and the
introductory language to paragraphs (e) and (e)(2) for specificity and
clarity. The major policy change regarding time limits on expenditures
is found in new paragraph (i).
Current rules in paragraphs (h) and (i) of this section require an
obligation period (within the year the Federal funds were awarded) and
a liquidation period either ``within two years or the period within
which claims must be filed under title IV-B, whichever is earlier.''
These requirements have proven to be unnecessarily confusing to and
burdensome on States.
Therefore, we propose to delete the requirement for an obligation
period and propose that subpart 1 funds must be expended (liquidated)
by September 30 of the fiscal year following the fiscal year in which
the funds were awarded. This will mean an identical expenditure period
for funds under title IV-B, subparts 1 and 2, and the independent
living program. We believe this simplification and congruence of rules
will be welcomed by States administering these programs. A conforming
amendment has been made in 45 CFR 1355.30 to clarify that 45 CFR part
95, subpart A, is not applicable to title IV-B programs.
Section 1357.32 State Fiscal Requirements (Title IV-B, Subpart 2,
Family Preservation and Family Support Services)
We propose to add a new Sec. 1357.32 to specify the fiscal
requirements for the State administration of title IV-B, subpart 2. We
considered putting the fiscal requirements for both subpart 1 and
subpart 2 of title IV-B in one section, but because of the considerable
differences in statutory requirements, this did not appear to be a
useful approach.
The proposed regulation reflects statutory requirements in sections
432, 433, and 434 of the Act.
In paragraph (d), the requirement for 75 percent Federal
reimbursement of allowable expenditures and the matching rate also is
taken from the Act (it is the same reimbursement rate for both subparts
1 and 2). The State's match may be computed either as 25 percent of
total funds or 33 percent of the Federal share.
Paragraph (e) contains the statutory requirement against
supplantation, i.e., using subpart 2 funds to take the place of funds
currently being spent for family support or family preservation
services, thus reducing the level of services being provided.
Section 432(a)(7) of the Act requires that funds under subpart 2
must not be used to supplant ``Federal or non-Federal funds'' for these
services. We propose to define ``non-Federal'' to mean State and local
public funds. Nongovernmental funds would not be included.
We believe States should be held accountable for a maintenance of
effort, and ACF will be collecting information annually on State level
spending to monitor this provision. Local public entities will provide
assurances on maintenance of effort to the State and maintain
sufficient information to document this maintenance of effort upon
request.
Paragraph (g) on administrative costs reflects the requirement in
section 432 (a)(4) of the Act that States using funds for services may
not use more than ten percent of total Federal and State funds under
title IV-B, subpart 2, for administrative costs.
We received many recommendations on how administrative costs should
be defined, e.g., providing a complete list of all items considered
``administrative'' or allowing States to use their own definition of
administrative costs.
In paragraph (g) we have proposed what we believe is a reasonable
yet flexible approach by defining administrative costs as those costs
allocable to title IV-B, subpart 2, in a State's cost allocation plan
for auxiliary functions to support development and implementation of
the Child and Family Services Plan and Annual Progress and Services
Report. These auxiliary functions (e.g., costs incurred for a common or
joint purpose) may include but are not limited to such items as
procurement; payroll; management, maintenance, and operation of space
and property; and indirect costs.
As the funds a State will receive under subpart 2 are not large, we
believe most States easily will be able to identify such costs equal to
ten percent of their allotment, based on their cost allocation plans.
(Administrative costs over and above the ten percent limit must be
funded from other non-Federal sources of funds.)
Also we have added a clarification in paragraph (g)(3) to explain
that costs directly associated with implementing the CFSP are not
considered administrative costs, e.g., service delivery, ongoing
planning activities, training, supervision.
Finally, paragraph (g) also proposes that, for the purpose of
computing the 10 percent limitation, the administrative costs of State
subrecipients must also be taken into account. The State, therefore,
must calculate what it will spend on administrative costs, and what
will be available for subrecipients and obtain assurances from the
subrecipients to ensure that the total for administrative costs does
not exceed the 10 percent limitation.
We look forward to receiving alternate recommendations if this
approach to defining administrative costs is viewed as not workable.
Additional Issue for Public Comment: Permitting In-Kind Matching Funds
We are requesting public comment on an issue about which we did not
propose a change in current policy. In revised fiscal sections
Sec. 1357.30 and Sec. 1357.40, and proposed new fiscal sections
Sec. 1357.32 and Sec. 1357.50 for States and Indian tribes we have
continued the current requirement that matching funds must be cash or
donated funds. We are interested in public comment, however, on whether
we should permit States and Indian tribes to use in-kind funds to meet
the match requirement under the title IV-B programs.
On the one hand, allowing in-kind funds to be used to meet the
match requirement provides additional flexibility to States and Indian
tribes in providing the match; it may also encourage participation in
the services program among community-based organizations. On the other
hand, there has been some concern in other programs where in-kind match
has been permitted that the provision may be used inappropriately and
may not ensure that the full matching resources are new resources
directed to the purpose of the legislation.
We would welcome the views particularly of States, Indian tribes,
nonprofit and community-based agencies and organizations, and advocacy
organizations on this issue. We especially would appreciate not only a
statement of position but also the reasons for the position and how
allowing (or not allowing) in-kind match would (or would not) benefit
the title IV-B programs.
Section 1357.40 Direct Payments to Indian Tribal Organizations (Title
IV-B, Subpart 1, Child Welfare Services)
This section contains fiscal and administrative requirements
applicable to Indian tribes eligible for and administering grants under
title IV-B, subpart 1.
Most of the changes proposed in this section are editorial, i.e.,
to revise the title of the section and paragraphs (d)(1) and (d)(5) to
clarify that this section applies only to Indian tribal grantees under
title IV-B, subpart 1; to delete paragraphs (b), (c), (d) and (e) (on
joint planning, title IV-B plan requirements, submittal of the plan and
the annual budget request, and coordination of services respectively)
as these provisions are now incorporated into the child and family
services plan requirements in Sec. 1357.15; and to redesignate
remaining paragraphs.
One major change has been proposed. A new paragraph (b) proposes
that in order to receive funding under subpart 1, an Indian tribe must
have in effect an approved five-year child and family services plan
that meets the requirements applicable to Indian tribes in
Sec. 1357.15.
Currently, Indian tribes may submit their title IV-B (subpart 1,
child welfare) services plan at one, two, or three year intervals with
annual updates. We believe a five-year plan will not only reduce
administrative burden but will enable the Indian tribe to deliver
services in the context of a plan that includes both short-term
objectives and long-term goals, supported by consultation and
coordination activities, leading to more coordinated and effective
services.
As noted in the discussion on Sec. 1357.15, not all requirements
are applicable to Indian tribes. We especially ask for comment from the
Indian tribes, either on this section or on Sec. 1357.15, as to whether
the five-year comprehensive plan requirements as proposed will help
Indian tribes better serve children and families.
New paragraph (c) entitled ``Information related to the
requirements of Section 427 of the Act'' retains language from current
paragraphs (c)(9) through (c)(15). The remaining provisions in current
paragraph (c) are found in Sec. 1357.15(b).
In paragraphs (b)(2) and (g)(5), we have summarized and corrected
references to specific fiscal and administrative requirements for
Indian tribes. The cross references in paragraph (g)(5) pertain to five
requirements in Sec. 1357.30 applicable to Indian tribes which we have
not repeated in this section.
Section 1357.50 Direct Payments to Indian Tribal Organizations (Title
IV-B, Subpart 2, Family Preservation and Family Support Services)
Section 1357.50 is a new section added to propose requirements
applicable only to Indian tribes eligible for and administering grants
under title IV-B, subpart 2. We considered combining into one section
all fiscal and administrative requirements for Indian tribes under
title IV-B, subparts 1 and 2 but, as with the State fiscal requirements
in Secs. 1357.30 and 1357.32, the statutory requirements for Indian
tribes are different in each subpart. It appeared to be simpler and
clearer to put them in separate sections.
In paragraph (a), we have included the definitions from section
431(a) of the Act for the terms ``Alaska Native organization,''
``Indian tribe,'' and ``tribal organization.'' These are included for
clarity; the tribal allotments are computed based on the first two
definitions, and the definition of tribal organization is included
because section 434 of the Act provides that ACF will pay to the tribal
organization of the Indian tribe any amount to which the Indian tribe
is entitled under subpart 2.
Paragraph (b)(1) explains the statutory requirement for eligibility
for funds in FY 1994 which is based on the Indian tribe's FY 1995
allotment. (The FY 1995 allotment must be at least $10,000 for the
Indian tribe to be eligible in FY 1994.) Additional explanation on
eligibility was sent to Indian tribes and others in Program Instruction
ACYF-PI-94-04, January 18, 1994.
Paragraph (c) proposes that, beginning in FY 1995, in order to
receive title IV-B, subpart 2 funds, an Indian tribe must submit a
comprehensive child and family services plan that meets the
requirements applicable to Indian tribes in Sec. 1357.15.
In order to fund as many eligible Indian tribes as possible under
the law, we have proposed in paragraph (d) a process for adding Indian
tribal grantees in FY 1996 through FY 1998.
For FY 1996, FY 1997, and FY 1998, we propose to calculate
allotments as required in section 433 of the Act. Those Indian tribes
whose allotment is at least $10,000 (the minimum for eligibility
specified in the law), will be invited to apply. As in FY 1995, in
order to receive funding, the Indian tribe must submit a comprehensive
child and family services plan that meets the requirements applicable
to Indian tribes in Sec. 1357.15. The statute does not make available
100 percent Federal funds for planning in FYs 1996-1998.
We want to point out that while this proposal increases the number
of Indian tribes receiving funds, it will decrease the amount the
Indian tribes eligible in the first year (FY 1994) will otherwise
receive in FYs 1996-98. Although we have received recommendations that
funding additional Indian tribes should be our first priority, we also
are concerned that the size of most of the grants to Indian tribes is
small. Indian tribes have been creative in the past in using
comparatively small grants to provide services, but we are concerned
that smaller grants will be less effective in helping Indian tribes
develop and operate the needed services. We look forward to hearing
from the Indian community on this proposal.
Another issue about which we have received many recommendations is
that of funding consortia of Indian tribes, e.g., to permit two or more
tribes to apply for funding whose combined total grant would equal
$10,000. We have researched the legislative history and analyzed the
statute and can find no basis for funding consortia, given the clear
language of the law.
Paragraph (e) specifies that the allotments will be computed based
on section 433 of the Act.
We have accepted recommendations from Indian tribes and other
Indian advocacy groups to waive certain statutory requirements. This
waiver authority is based on the Secretary's discretion in section
432(b) of the Act to waive any provision in section 432 that is
determined to be inappropriate to Indian tribes, taking into account
the resources, needs, and other circumstances of the Indian tribe. In
paragraph (f), we propose to waive three statutory provisions for
Indian tribes: the ten percent limit on administrative costs, the
supplantation provision, and the requirement that a significant portion
of funds must be used for both family preservation and family support
services.
We believe that waiving the supplantation and significant portion
provisions are reasonable, given the limited dollars available to the
Indian tribes, our desire to reduce inappropriate requirements, and the
circumstances of tribal services programs. We believe that waiving the
ten percent administrative cost limitation and allowing Indian tribes
to use their current negotiated indirect cost rates is reasonable based
on the need for flexibility in working with small grantees and our
understanding that, in some cases, some service-related costs are
reflected in the indirect cost rates negotiated by some Indian tribes.
Paragraph (g) reflects the statutory requirement for a 25 percent
match rate. Although we received many recommendations that this
provision also be waived, we do not have the authority to do so.
Section 432(b) of the Act permits waivers only of requirements in
section 432. The match requirement is in section 434 of the Act.
However, we have included in paragraph (g)(2) a list of three Federal
sources of funds which Indian tribes may use as a source of matching
funds.
Paragraph (h) states the time limit on expenditure of funds
(section 434(b) of the Act). This means that Indian tribes must submit
their Standard Form (SF) 269 expenditure reports annually, 90 days
after the end of the expenditure period, i.e., by December 30 of each
year. In addition, paragraph (h) references other applicable fiscal and
administrative requirements (that may be found in the Program
Instruction (ACYF-PI-94-04, January 18, 1994)) and which will be
prepared by ACF in the form of assurances for all grantees.
III. Impact Analysis
Regulatory Impact Analysis
Executive Order 12866 requires that regulations be drafted to
ensure that they are consistent with the priorities and principles set
forth in the Executive Order. The Department has determined that this
rule is consistent with these priorities and principles. This Notice of
Proposed Rulemaking implements statutory authority for a broad
consultation and coordination process leading to the development of a
five-year child and family services plan.
The Executive Order also encourages agencies, as appropriate, to
provide the public with meaningful participation in the regulatory
process. As described earlier in the preamble, ACF held focus group
discussions with State, local, and tribal officials, and a broad range
of private nonprofit agencies, organizations, practitioners,
researchers, parents, and others to obtain their views on planning and
implementation issues for this new title IV-B program. We believe this
NPRM reflects, to a considerable degree, the recommendations of the
focus group participants for flexibility, accountability, and reduced
administrative burden on both States and Indian tribes.
Regulatory Flexibility Analysis
The Regulatory Flexibility Act (5 U.S.C. Ch. 6) requires the
Federal government to anticipate and reduce the impact of rules and
paperwork requirements on small businesses and other small entities.
Small entities are defined in the Act to include small businesses,
small non-profit organizations, and small governmental entities. This
regulation, if promulgated, will affect only States and certain Indian
tribes. Therefore, the Secretary certifies that this rule will not have
a significant impact on a substantial number of small entities.
Paperwork Reduction Act
This rule contains information collection activities which are
subject to review and approval by the Office of Management and Budget
(OMB) under the Paperwork Reduction Act of 1980 (44 U.S.C 35).
In accordance with the Paperwork Reduction Act of 1980, the
Department will submit for OMB approval the reporting requirements for
the five-year comprehensive child and family services plan (CFSP) and
Annual Progress and Service Reports in 45 CFR 1357.15 and 1357.16. The
CFSP incorporates previously approved planning requirements for title
IV-B, subpart 1 (OMB control number 0980-0142).
The Annual Summary of Child Welfare Services (CWS-101) also will be
modified and submitted to OMB for approval. (The CWS-101 currently is
approved under OMB control number 0980-0047.)
Organizations and individuals desiring to submit comments on the
information collection and recordkeeping requirements should direct
them to the agency official(s) designated for this purpose whose name
appears at the beginning of this preamble, and to the Office of
Information and Regulatory Affairs, Office of Management and Budget,
Room 10235, New Executive Office Building, Washington, D.C. 20503.
Attn: Wendy Taylor, Desk Officer for ACF/HHS.
List of Subjects
45 CFR Part 1355
Adoption and foster care; Child abuse and neglect; Child and family
services; Child welfare services; Data collection; Definitions--Grant
Programs social programs; Family preservation and family support
services.
45 CFR Part 1356
Adoption and foster care; Administrative costs; Child and family
services; Child welfare services; Fiscal requirements (title IV-E);
Grant Programs--Social programs; Independent living program; Statewide
information systems.
45 CFR Part 1357
Adoption and foster care; Child abuse and neglect; Child and family
services; Child welfare services; Family preservation and family
support services; Independent living program.
(Catalog of Federal Domestic Assistance Program No. 93.556--Family
Preservation and Support Services; No 93.645--Child Welfare
Services--State Grants; No. 93.669--Child Abuse and Neglect--State
Grants; and No. 93-674--Independent Living)
Dated: August 10, 1994.
Mary Jo Bane,
Assistant Secretary for Children and Families.
Approved: August 31, 1994.
Donna E. Shalala,
Secretary.
For the reasons set forth in the preamble, 45 CFR Chapter XIII,
subchapter G, is proposed to be amended as follows:
1. Subchapter G is amended by revising the heading to read as
follows:
SUBCHAPTER G--THE ADMINISTRATION ON CHILDREN, YOUTH AND FAMILIES,
FOSTER CARE MAINTENANCE PAYMENTS, ADOPTION ASSISTANCE, AND CHILD AND
FAMILY SERVICES
PART 1355--GENERAL
2. The authority citation for Part 1355 continues to read as
follows:
Authority: 42 U.S.C. 620 et seq., 42 U.S.C. 670 et seq. and 42
U.S.C. 1301 and 1302.
3. Section 1355.10 is revised to read as follows:
Sec. 1355.10 Scope.
Unless otherwise specified, this Part 1355 applies to States and
Indian tribes and contains general requirements for Federal financial
participation under titles IV-E and IV-B of the Social Security Act.
4. Section 1355.20(a) is amended by revising four definitions and
by adding one definition to read as follows:
Sec. 1355.20 Definitions.
(a) * * *
ACYF means the Administration on Children, Youth and Families,
Administration for Children and Families (ACF), U. S. Department of
Health and Human Services.
* * * * *
Commissioner means the Commissioner on Children, Youth and
Families, Administration for Children and Families, U.S. Department of
Health and Human Services.
* * * * *
Independent Living Program (ILP) means the programs and activities
established and implemented by the State to assist youth, as defined in
section 477(a)(2) of the Act, to prepare to live independently upon
leaving foster care. Programs and activities that may be provided are
found in section 477(d) of the Act.
State means, for title IV-B, the 50 States, the District of
Columbia, the Commonwealth of Puerto Rico, Guam, the Virgin Islands,
the Commonwealth of the Northern Mariana Islands, and American Samoa.
For title IV-E, the term ``State'' means the 50 States and the District
of Columbia.
State agency means the State agency administering or supervising
the administration of the title IV-E and title IV-B State plans and the
title XX social services block grant program. An exception to this
requirement is permitted by section 103(d) of the Adoption Assistance
and Child Welfare Act of 1980 (Pub. L. 96-272). Section 103(d) provides
that, if on December 1, 1974, the title IV-B program (in a State or
local agency) and the social services program under section 402(a)(3)
of the Act (the predecessor program to title XX) were administered by
separate agencies, that separate administration of the programs could
continue at State option.
* * * * *
5. Section 1355.21(c) is revised to read as follows:
Sec. 1355.21 State plan requirements for titles IV-E and IV-B.
* * * * *
(c) The State agency and the Indian tribe must make available for
public review and inspection the Child and Family Services Plan (CFSP)
and the Annual Progress and Services Reports. (See 45 CFR 1357.15 and
1357.16.) The State agency also must make available for public review
and inspection the title IV-E State Plan.
6. A new Sec. 1355.25 is added to read as follows:
Sec. 1355.25 Principles of child and family services.
The following principles, most often identified by practitioners
and others as helping to assure effective services for children, youth,
and families, should guide the States and Indian tribes in developing
and operating child and family services and implementing improvements
in service delivery systems.
(a) The safety and well-being of children and of all family members
is assured. When safety can be assured, strengthening and preserving
families is seen as the best way to promote the healthy development of
children. One important way to keep children safe is to stop violence
against their mothers.
(b) Services are focused on the family as a whole; service
providers work with families as partners in identifying and meeting
individual and family needs; family strengths are identified, enhanced,
respected, and mobilized to help families solve the problems which
compromise their functioning and well-being.
(c) Services promote the healthy development of children and youth,
promote permanency for all children, and help prepare youth
emancipating from the foster care system for self-sufficiency and
independent living.
(d) Services may focus on intervention, protection, treatment, or
other services to meet the needs of the family and the best interests
of the individual who may be placed in out-of-home care.
(e) Services are flexible, coordinated, and accessible to families
and individuals, often delivered in the home or the community, and are
delivered in a manner that is respectful of and builds on the strengths
of community and cultural groups.
(f) Services are organized as a continuum, designed to achieve
measurable outcomes, and are linked to a wide variety of supports and
services outside the child and family services system (e.g., housing,
substance abuse treatment, mental health, health, education, and job
training, child care, informal support networks) which can be crucial
to meeting families' and children's needs.
(g) Many child and family services are community-based and involve
community organizations and residents (including parents) in their
design and delivery.
(h) Services are intensive enough to meet family needs and keep
children safe. The level of intensity and duration of services needed
to achieve these goals may vary greatly between preventive (family
support) and crisis intervention services (family preservation), based
on the changing needs of children and families at various times in
their lives. A family or an individual does not need to be in crisis in
order to receive services.
7. Section 1355.30 is revised to read as follows:
Sec. 1355.30 Other applicable regulations.
Except as specified, the following regulations are applicable to
all programs funded under titles IV-B and IV-E of the Act.
(a) 45 CFR part 16--Procedures of the Departmental Grant Appeals
Board.
(b) 45 CFR part 30--Claims Collection.
(c) 45 CFR part 74--Administration of Grants (Applicable only to
title IV-E foster care and adoption assistance, except that: (1)
Subpart G, Cost sharing or Matching, and Subpart I, Financial Reporting
Requirements, will not apply. ACF will provide forms and instructions
for financial reporting; and (2) Sec. 74.4(a)(2) contains requirements
applicable to title IV-B (Subparts 1 and 2) and the Independent Living
Program.).
(d) 45 CFR part 76--Governmentwide Debarment and Suspension
(Nonprocurement) and Governmentwide Requirements for Drug-Free
Workplace (Grants).
(e) 45 CFR part 80--Nondiscrimination Under Programs Receiving
Federal Assistance Through the Department of Health and Human Services
Effectuation of Title VI of the Civil Rights Act of 1964.
(f) 45 CFR part 81--Practice and Procedure for Hearings Under part
80 of this title.
(g) 45 CFR part 84--Nondiscrimination on the Basis of Handicap in
Programs and Activities Receiving Federal Financial Assistance.
(h) 45 CFR part 91--Nondiscrimination on the Basis of Age in HHS
Programs or Activities Receiving Federal Financial Assistance.
(i) 45 CFR part 92--Uniform Administrative Requirements for Grants
and Cooperative Agreements to State and Local Governments (Applicable
only to the title IV-B programs and the Independent Living Program
under Section 477 of the Act).
(j) 45 CFR part 93--New Restrictions on Lobbying.
(k) 45 CFR part 95--General Administration--Grant Programs (Public
Assistance and Medical Assistance). (Applicable to title IV-B and title
IV-E except that, notwithstanding 45 CFR 95.1(a), subpart A, Time
Limits for States to File Claims, does not apply to title IV-B
(subparts 1 and 2) and the Independent Living Program.)
(l) 45 CFR part 97--Consolidation of Grants to the Insular Areas.
(Applicable only to the title IV-B programs).
(m) 45 CFR part 100--Intergovernmental Review of Department of
Health and Human Services Programs and Activities. (Only one section is
applicable: 45 CFR 100.12, How may a State simplify, consolidate, or
substitute federally required State plans?).
(n) 45 CFR part 201--Grants to States for Public Assistance
Programs. Only the following sections are applicable:
(1) Sec. 201.5--Grants. (Applicable to title IV-E foster care and
adoption assistance only.)
(2) Sec. 201.6--Withholding of payment; reduction of Federal financial
participation in the costs of social services and training.
(3) Sec. 201.7--Judicial review.
(4) Sec. 201.15--Deferral of claims for Federal financial
participation. (Applicable only to title IV-E foster care and adoption
assistance.)
(5) Sec. 201.66--Repayment of Federal funds by installments.
(Applicable only to title IV-E foster care and adoption assistance.)
(o) 45 CFR 204.1--Submittal of State Plans for Governor's Review.
(p) 45 CFR part 205--General Administration--Public Assistance
Programs. Only the following sections are applicable:
(1) Sec. 205.5--Plan amendments.
(2) Sec. 205.10--Hearings (Applicable only to title IV-E foster care
and adoption assistance.)
(3) Sec. 205.50--Safeguarding information for the financial assistance
programs.
(4) Sec. 205.100--Single State agency.
PART 1356--REQUIREMENTS APPLICABLE TO TITLE IV-E
8. The authority citation for part 1356 is revised to read as
follows:
Authority: 42 U.S.C. 620 et seq., 42 U.S.C. 670 et seq., and 42
U.S.C. 1302.
9. Section 1356.10 is revised to read as follows:
Sec. 1356.10 Scope.
This part applies to State programs for foster care maintenance
payments, adoption assistance payments, related foster care and
adoption administrative and training expenditures, and the independent
living services program under title IV-E of the Act.
10. Section 1356.80 is added to part 1356 to read as follows:
Sec. 1356.80 Independent Living Program (ILP).
(a) Scope. To receive payments under section 477 of the Act, the
State agency must meet the applicable requirements of sections 472,
474, 475, and 477 of the Act.
(b) Application requirements. Based on section 477 of the Act, each
State must submit an annual application for funds under the Independent
Living Program (ILP).
(c) Allotments. Payments to each State will be made in accordance
with section 477(e)(1) of the Act.
(d) Matching funds. (1) States are entitled to their share of the
basic amount of $45 million of the ILP appropriation with no
requirement for matching funds.
(2) States are required to match dollar-for-dollar any of the funds
they receive, through additional or reallocated funds, over their share
of the $45 million basic amount.
(3) The State's contribution may be in cash or donated funds.
(4) Matching contributions must be for costs otherwise allowable
under section 477 of the Act, e.g., matching contributions for the
provision of room and board are not allowable.
(e) Reallocation of funds. Basic funds and additional funds not
requested by a State will be available for reallocation to other States
under the provisions of section 477(e)(2) of the Act.
(f) Expenditure of funds. Section 477(f)(3) of the Act requires
that funds must be expended by September 30 of the fiscal year
following the fiscal year in which the funds were awarded.
(g) Maintenance of effort. Amounts payable under section 477 of the
Act shall supplement and not replace:
(1) Title IV-E foster care funds available for maintenance payments
and administrative and training costs; and
(2) Any other State funds available for independent living
activities and services.
(h) Prohibition. ILP funds may not be used for room and board
(section 477(e)(3) of the Act).
PART 1357--REQUIREMENTS APPLICABLE TO TITLE IV-B
11. The authority citation for part 1357 is revised to read as
follows:
Authority: 42 U.S.C. 620 et seq., 42 U.S.C. 670 et seq., and 42
U.S.C. 1302.
12. Section 1357.10 is revised to read as follows:
Sec. 1357.10 Scope and definitions.
(a) Scope. This part applies to State and Indian tribal programs
for child welfare services under subpart 1, and family preservation and
family support services under subpart 2 of title IV-B of the Act.
(b) Eligibility. Child and family services under title IV-B,
subparts 1 and 2, must be available on the basis of need for services
and must not be denied on the basis of income or length of residence in
the State or within the Indian tribe's jurisdiction.
(c) Definitions.
Child and Family Services Plan (CFSP) means the document, developed
through joint planning, which describes the publicly-funded State child
and family services continuum (family support and family preservation
services; child welfare services, including child abuse and neglect
prevention, intervention, and treatment services and foster care; and
services to support reunification, adoption, kinship care, independent
living, or other permanent living arrangements); for Indian tribes,
describes the child welfare and/or family preservation and support
services to be provided by the Indian tribe; includes goals and
objectives both for improved outcomes for the safety and well-being of
children and families and for service delivery system reform; specifies
the services and other implementation activities that will be
undertaken to carry out the goals and objectives; and includes plans
for program improvement and allocation of resources.
Child welfare services means the definition contained in section
425(a)(1) of the Act. These are public social services directed to
accomplish the following purposes:
(1) Protecting and promoting the welfare of all children, including
handicapped, homeless, dependent, or neglected children;
(2) Preventing or remedying, or assisting in the solution of
problems which may result in the neglect, abuse, exploitation, or
delinquency of children;
(3) Preventing the unnecessary separation of children from their
families by identifying family problems, assisting families in
resolving their problems, and preventing breakup of the family where
the prevention of child removal is desirable and possible;
(4) Restoring to their families children who have been removed, by
the provision of services to the child and the family;
(5) Placing children in suitable adoptive homes, in cases where
restoration to the biological family is not possible or appropriate;
and
(6) Assuring adequate care of children away from their homes, in
cases where the child cannot be returned home or cannot be placed for
adoption.
Children refers to individuals from birth to the age of 21
including infants, children, youth, adolescents, and young adults.
Community-based services refers to programs delivered in accessible
settings in the community and responsive to the needs of the community
and the individuals and families residing therein. These services may
be provided under public or private nonprofit auspices.
Families includes, but is not limited to, biological, adoptive,
foster, and extended families.
Family preservation services means services for children and
families designed to help families (including adoptive and extended
families) at risk or in crisis, including--
(1) Services programs designed to help children, where appropriate,
return to families from which they have been removed; or be placed for
adoption, with a legal guardian, or, if adoption or legal guardianship
is determined not to be appropriate for a child, in some other planned,
permanent living arrangement;
(2) Preplacement preventive services programs, such as intensive
family preservation programs, designed to help children at risk of
foster care placement remain with their families;
(3) Service programs designed to provide follow-up care to families
to whom a child has been returned after a foster care placement;
(4) Respite care of children to provide temporary relief for
parents and other caregivers (including foster parents); and
(5) Services designed to improve parenting skills (by reinforcing
parents' confidence in their strengths, and helping them to identify
where improvement is needed and to obtain assistance in improving those
skills) with respect to matters such as child development, family
budgeting, coping with stress, health, and nutrition.
Family support services means community-based services to promote
the well-being of children and families designed to increase the
strength and stability of families (including adoptive, foster, and
extended families), to increase parents' confidence and competence in
their parenting abilities, to afford children a stable and supportive
family environment, and otherwise to enhance child development. Family
support services may include:
(1) Services, including in-home visits, parent support groups, and
other programs, designed to improve parenting skills (by reinforcing
parents' confidence in their strengths, and helping them to identify
where improvement is needed and to obtain assistance in improving those
skills) with respect to matters such as child development, family
budgeting, coping with stress, health, and nutrition;
(2) Respite care of children to provide temporary relief for
parents and other caregivers;
(3) Structured activities involving parents and children to
strengthen the parent-child relationship;
(4) Drop-in centers to afford families opportunities for informal
interaction with other families and with program staff;
(5) Information and referral services to afford families access to
other community services, including child care, health care, nutrition
programs, adult education and literacy programs, and counseling and
mentoring services; and
(6) Early developmental screening of children to assess the needs
of such children, and assistance to families in securing specific
services to meet these needs.
Joint Planning means an ongoing partnership process between ACF and
the State and between ACF and an Indian tribe for the review and
analysis of the State's and the Indian tribe's child and family
services, including analysis of the service needs of children, youth,
and families; selection of unmet service needs that will be addressed;
and development of goals and objectives that will result in improved
outcomes for children and families and the development of a more
comprehensive, coordinated and effective child and family services
delivery system.
13. Section 1357.15 is revised to read as follows:
Sec. 1357.15 Comprehensive child and family services plan
requirements.
(a) Scope. (1) This section describes the requirements for the
development and implementation of the five-year comprehensive child and
family services plan (CFSP). The State's CFSP must meet the
requirements of both of the following programs; the Indian tribe's CFSP
must meet the requirements of one or both of the following programs
depending on the Tribe's eligibility:
(i) child welfare services under title IV-B, subpart 1; and
(ii) family preservation and family support services under title
IV-B, subpart 2.
(2) For States only, the CFSP also must contain information on the
following programs:
(i) The independent living program under title IV-E, section 477 of
the Act; and
(ii) Two child abuse and neglect formula grant programs under the
Child Abuse Prevention and Treatment Act (CAPTA): Part I (Basic State
grants) and Part II (Medical Neglect/Disabled Infants State grants)
(sections 107(a) and 107(g) of CAPTA).
(3) States must meet all requirements of this section except those
that apply only to Indian tribes. Indian tribes must meet the
requirements of this section only as specified.
(b) Eligibility for funds. (1) In order to receive funding under
title IV-B, subparts 1 and 2, beginning in FY 1995, each State and
eligible Indian tribe must submit and have approved a five-year Child
and Family Services Plan (CFSP); beginning in FY 1996, each grantee
must submit and have approved an Annual Progress and Services Report
that meets the statutory and regulatory requirements of title IV-B,
subparts 1 and 2.
(2) The CFSP will be approved only if the plan was developed
jointly by ACF and the State (or the Indian tribe), and only after
broad consultation by the State (and the Indian tribe) with a wide
range of appropriate public and non-profit private agencies and
community-based organizations with experience in administering programs
of services for children and families (including family preservation
and support services).
(3) The Annual Progress and Services Report will be approved if it
was developed jointly by ACF and the State (or the Indian tribe) and if
it meets the requirements of 45 CFR 1357.16.
(4) The five-year CFSP for FYs 1995-1999 may be submitted in the
format of the State's or the Indian tribe's choice and must be
submitted no later than June 30, 1995, to the appropriate ACF Regional
Office.
(c) Assurances. The CFSP must contain the assurances applicable to
each title IV-B program. The assurances will remain in effect on an
ongoing basis and will need to be re-submitted only if a significant
change in the State or the Indian tribe's program affects an assurance.
(d) The child and family services plan (CFSP): General. The State
and the Indian tribe must base the development of the CFSP on a
planning process that includes:
(1) Broad involvement and consultation with a wide range of
appropriate public and non-profit private agencies and community-based
organizations, parents, and others;
(2) Coordination of the provision of services under the plan with
other Federal and federally assisted programs serving children and
families, including youth and adolescents; and
(3) Collection of existing or available information to help
determine vulnerable or at-risk populations or target areas; assess
service needs and resources; identify gaps in services; select
priorities for targeting funding and services; formulate goals and
objectives; and develop opportunities for bringing about more effective
and accessible services for children and families.
(e) State agency administering the programs. (1) The State's CFSP
must identify the name of the State agency that will administer the
title IV-B programs under the plan. Except as provided by statute, the
same agency is required to administer or supervise the administration
of all programs under titles IV-B and IV-E of the Act and the social
services block grant program under title XX of the Act. (See the
definition of ``State agency'' in 45 CFR 1355.20.)
(2) The CFSP must include a description of the organization and
function of the State agency and organizational charts as appropriate.
It also must identify the organizational unit(s) within the State
agency responsible for the operation and administration of the CFSP,
and include a description of the unit's organization and function and a
copy of the organizational chart(s).
(f) Indian tribal organization administering the program(s). (1)
The Indian tribe's CFSP must provide the name of the Indian tribal
organization (ITO) designated to administer funds under title IV-B,
subpart 1, child welfare services and/or under subpart 2, family
preservation and family support services. If the Indian tribe receives
funds under both subparts, the same agency or organization must
administer both programs.
(2) The Indian tribe's CFSP must include a description of the
organization and function of the office responsible for the operation
and administration of the CFSP, an organizational chart of that office,
and a description of how that office relates to tribal and other
offices operating or administering services programs within the Indian
tribe's service area, e.g., Indian Health Service.
(g) Vision statement. The CFSP must include a vision statement and
a statement of the grantee's philosophy in providing child and family
services and developing or improving a coordinated service delivery
system.
(h) Goals. The CFSP must specify the goals, based on the vision
statement, that will be accomplished during the five-year period of the
plan. The goals must be expressed in terms of improved outcomes for and
the safety and well-being of children and families, and in terms of a
more comprehensive, coordinated, and effective child and family service
delivery system.
(i) Objectives. (1) The CFSP must include the realistic, specific,
measurable objectives that will be undertaken to achieve each goal.
Each objective should focus on outcomes for children, youth, and/or
their families or on elements of service delivery (such as quality)
that are linked to outcomes in important ways. Each objective should
include both interim benchmarks and a long-term timetable, as
appropriate, for achieving the objective.
(2) For States and Indian tribes administering the title IV-B,
subpart 1 program, the CFSP must include objectives to make progress in
covering additional political subdivisions, reaching additional
children in need of services, expanding and strengthening the range of
existing services, and developing new types of services.
(j) Measures of progress. The CFSP must describe how the grantee
plans to measure the results, accomplishments, and annual progress
toward meeting the goals and objectives, especially the outcomes for
children, youth, and families.
(k) Baseline information. (1) For FY 1995, the State and the Indian
tribe must base the development of the CFSP goals, objectives, and
funding and service decisions on an analysis of available information
on the well-being of children and families; the needs of children and
families; the nature, scope, and adequacy of existing child and family
and related social services; and the trends of these indicators over
time. Additional and updated information must be obtained throughout
the five-year period to measure progress in accomplishing the goals and
objectives.
(2) The State must collect and analyze State-wide information on
family preservation and family support services currently available to
families and children, including the nature and scope of existing
public and privately funded family support and family preservation
services; the extent to which each service is available and being
provided in different geographic areas and to different types of
families; and important gaps in service, including mismatches between
available services and family needs as identified through baseline data
and the consultation process. Other services which impact on the
ability to preserve and support families may be included in the
assessment. The Indian tribe must collect and analyze information on
family preservation and family support services currently available
within their service delivery area including the information in this
paragraph as appropriate.
(3) The CFSP must include the information used in developing the
plan; an explanation of how this information and analysis were used in
developing the goals, objectives, and funding and service decisions,
including decisions about geographic targeting and service mix; a
description of how information will be used to measure progress over
the five-year period; and how this information will be used to
facilitate the coordination of services.
(l) Consultation. (1) The State's CFSP must describe the internal
and external consultation process used to obtain broad and active
involvement of major actors across the entire spectrum of the child and
family service delivery system in the development of the plan. The
description should explain how this process was coordinated with or was
a part of other planning processes in the State.
(2) The Indian tribe's CFSP must describe the consultation process
appropriate to its needs and circumstances used to obtain the active
involvement of major actors providing child and family services within
the tribe's area of jurisdiction.
(3) For States (and Indian tribes), the consultation process must
involve:
(i) All appropriate offices and agencies within the State agency
(or within the Indian tribal service delivery system), e.g., child
protective services (CPS), foster care and adoption, the social
services block grant, emergency assistance, reunification services,
independent living, and other services to youth;
(ii) In a State-supervised, county-administered State, county
social services and/or child welfare directors or representatives of
the county social services/child welfare administrators' association;
(iii) A wide array of State, local, tribal, and community-based
agencies and organizations, both public and private nonprofit with
experience in administering programs of services for infants, children,
youth, adolescents, and families, including family preservation and
family support services;
(iv) Parents, including birth and adoptive parents, foster parents,
families with a member with a disability, and consumers of services;
(v) For States, representatives of Indian tribes within the State;
(vi) For States, representatives of local government, e.g.,
counties, cities, and other communities, neighborhoods, or areas where
needs for services are great;
(vii) Representatives of professional and advocacy organizations
(including, for example foundations and national resource centers with
expertise to assist States and Indian tribes to design, expand, and
improve the delivery of services); individual practitioners working
with children and families; the courts; representatives or other States
or Indian tribes with experience in administering family preservation
and family support services; and academicians, especially those
assisting the child and family service agency with management
information systems, training curricula, and evaluations;
(viii) Representatives of State and local agencies administering
Federal and federally assisted programs including, but not limited to,
Head Start; the local education agency (school-linked social services,
adult education and literacy programs, Part H programs); developmental
disabilities; nutrition services (Food Stamps, Special Supplemental
Food Program for Women, Infants and Children (WIC)); Title IV-A
(Emergency Assistance, income maintenance, child care, employment and
training); runaway youth, youth gang, juvenile justice programs and
youth residential and training institutions; child care and development
block grant (CCDBG) and respite care programs; domestic and community
violence prevention and services programs; housing programs; the health
agency (substance abuse, Healthy Start, maternal and child health,
Early and Periodic Screening, Diagnosis, and Treatment (EPSDT), mental
health, and public health nursing); law enforcement; and new Federal
initiatives such as the Empowerment Zones and Enterprise Communities
Program; and
(ix) Administrators, supervisors and front line workers (direct
service providers) of the State child and family services agency.
(4) The CFSP must describe the ongoing consultation process that
each grantee will use to ensure the continued involvement of a wide
range of major actors in meeting the goals and objectives over the
five-year operational period of the plan and developing the Annual
Progress and Services Report.
(m) Services coordination. (1) States must include in the ongoing
coordination process representatives of the full range of child and
family services provided by the State agency as well as other service
delivery systems providing social, health, education, and economic
services to children and their families.
(2) The State's CFSP must describe how services under the plan will
be coordinated over the five-year period with services or benefits
under other Federal or federally assisted programs serving the same
populations to achieve the goals and objectives in the plan. The
description must include the participants in the process and examples
of how the process led or will lead to additional coordination of
services, e.g., integrated service models, improved accessibility, use
of a consolidated application or intake form, inter-disciplinary
training, coordinated case management for several programs, pooled
resources through blended financing, shared information across services
providers, co-location of several services or programs.
(3) The Indian tribe must include in the coordination process
representatives of other Federal or federally assisted child and family
services or related programs. The Indian tribe's CFSP must describe how
services under the plan will be coordinated over the five-year period
with services or benefits under other Federal or federally assisted
programs serving the same populations to achieve the goals and
objectives in the plan. The descriptions must include the participants
in the process and any examples of how the process led or will lead to
additional coordination of services.
(n) Services. (1) The State's CFSP must describe the publicly
funded child and family services continuum: Child welfare services
(including child abuse and neglect prevention, intervention, and
treatment services; and foster care); family preservation services;
family support services; and services to support reunification,
adoption, kinship care, independent living, or other permanent living
arrangement to be provided in FY 1995 and FY 1996.
(2) The Indian tribe's CFSP must describe the child welfare
services (including child abuse and neglect prevention, intervention,
and treatment services and foster care) and/or the family support and
family preservation services to be provided in FY 1995 and FY 1996.
(3) For each service described, the CFSP must indicate:
(i) The population(s) to be served;
(ii) The geographic area(s) where the services will be available;
(iii) The estimated number of individuals and/or families to be
served; and
(iv) The estimated expenditures for these services from Federal,
State, local, and donated sources, including title IV-B, subparts 1 and
2, the two CAPTA programs referenced in paragraph (a) of this section,
and the independent living program.
(o) Family preservation and family support services and linkages to
other social and health services. (1) The State's CFSP must explain how
the funds under title IV-B, subpart 2 of the Act, will be used to
develop or expand family support and family preservation services; how
the family support and family preservation services to be provided in
FY 1995 and FY 1996 relate to existing family support and family
preservation services; and how these family support and preservation
services will be linked to other services in the child and family
services continuum.
(2) The State's CFSP must explain whether and/or how funds under
the CAPTA and independent living programs are coordinated with and
integrated into the child and family services continuum described in
the plan.
(3) The State's CFSP must describe the existing or current linkages
and the coordination of services between the services in the child and
family services continuum and the services in other Federal and non-
federally funded public and nonprofit private programs, including
Children's Trust Funds and private foundations.
(p) Services in relation to service principles. The CFSP must
describe how the child and family services are designed to assure the
safety and protection of children as well as the preservation and
support of families, and how they are or will be designed to meet the
other service principles in 45 CFR 1355.25, e.g., services that are
flexible, easily accessible, and respectful of cultural and community
diversity.
(q) Services in relation to permanency planning. For States
administering both title IV-B programs (subparts 1 and 2), the CFSP
must explain how these services will help meet the permanency
provisions for children and families in sections 427 and 471 of the
Act, e.g., preplacement preventive services, reunification services,
independent living services.
(r) Decision-making process: selection of family support programs
for funding. The State's CFSP must include an explanation of how
agencies and organizations were selected for funding to provide family
support services and how these agencies and organizations meet the
requirement that family support services be community-based.
(s) Significant portion of funds used for family support and family
preservation services. Each State must indicate the specific percentage
of FY 1995 and FY 1996 family preservation and family support funds
(title IV-B, subpart 2), that the State will expend for community-based
family support and for family preservation services, and the rationale
for the choice. It must also include an explanation of how this
distribution was reached and why it meets the requirements that a
``significant portion'' of the service funds must be spent for each
service. Examples of important considerations might include the nature
of the planning efforts that led to the decision, the level of existing
State effort in each area, and the resulting need for new or expanded
services. While there is no minimum percentage that defines
significant, the State must have an especially strong rationale if the
request for either allocation is below 25 percent.
(t) Staff training, technical assistance, and evaluation. (1) The
State's CFSP must include a staff development and training plan in
support of the goals and objectives in the CFSP which addresses both of
the title IV-B programs covered by the plan. This training plan also
must be combined with the training plan under title IV-E as required by
45 CFR 1356.60(b)(2).
(2) The State's CFSP must describe the technical assistance
activities that will be undertaken in support of the goals and
objectives in the plan.
(3) The State's CFSP must describe any evaluation and research
activities underway or planned with which the State agency is involved
or participating and which are related to the goals and objectives in
the plan.
(u) Quality assurance. The State must include in the CFSP a
description of the quality assurance system it will use to regularly
assess the quality of services under the CFSP and assure that there
will be measures to address identified problems.
(v) Distribution of the CFSP and the annual progress and services
report. The CFSP must include a description of how the State and the
Indian tribe will make available to interested parties the CFSP and the
Annual Progress and Services Report. (See 45 CFR 1355.21(c) and 45 CFR
1357.16(d).) State agencies and Indian tribal organizations within the
State must exchange copies of their CFSPs and their annual services
reports.
14. A new Sec. 1357.16 is added to read as follows:
Sec. 1357.16 Annual progress reviews and services reports.
(a) Annual progress reviews and services reports. Annually, each
State and each Indian tribe must conduct an interim review of the
progress made in the previous year toward accomplishing the goals and
objectives in the plan, based on updated information. In developing
paragraphs (a)(2) through (a)(4), the State and the Indian tribe must
involve the agencies, organizations, and individuals who are a part of
the on-going CFSP-related consultation and coordination process. On the
basis of this review, each State and Indian tribe must prepare and
submit to ACF, and make available to the public, an Annual Progress and
Services Report which must include the following--
(1) A report on the specific accomplishments and progress made in
the past fiscal year toward meeting each goal and objective, e.g.,
toward improved outcomes for children and families and a more
comprehensive, coordinated, effective child and family services
continuum;
(2) Any revisions in the statement of goals and objectives, if
necessary, to reflect changed circumstances;
(3) For Indian tribes, a description of the child welfare and/or
family preservation and family support services to be provided in the
upcoming fiscal year highlighting any changes in services or program
design and including the information required in 45 CFR 1357.15(n);
(4) For States, a description of the child protective, child
welfare, family preservation, family support, and independent living
services to be provided in the upcoming fiscal year highlighting any
additions or changes in services or program design and including the
information required in 45 CFR 1357.15(n);
(5) Information on activities in the areas of training, technical
assistance, research, evaluation, or management information systems
that will be carried out in the upcoming fiscal year in support of the
goals and objectives in the plan;
(6) For States only, the information required to meet the
maintenance of effort (supplantation) requirement in section 432(a) (7)
and (8) of the Act; and
(7) Any other information the State or the Indian tribe wishes to
include.
(b) Submittal of the annual progress and services report. The State
and the Indian tribe must send the Annual Progress and Services Report
to the appropriate ACF Regional Office no later than June 30 of the
year prior to the fiscal year in which the services will be provided,
i.e., the report submitted and made public by June 30, 1995, as a part
of the CFSP will describe the services to be provided in FY 1996. The
report covering FY 1997 services must be submitted by June 30, 1996.
(c) Annual progress and services reports on FY 1994 family support
and family preservation services. Each State and Indian tribe that used
FY 1994 funds under title IV-B, subpart 2, for services must describe
in the CFSP what services were provided, the population(s) served, and
the geographic areas where services were available. The CFSP also must
include the amount of FY 1994 funds used for planning, for family
preservation services, for family support services, and a brief
statement on how these services met the service priorities of the State
or the Indian tribe.
(d) Availability of the annual progress and services report. The
State and the Indian tribe must make the Annual Progress and Services
Report available to the public including the agencies, organizations,
and individuals with which the State or the Indian tribe is
coordinating services or consulting and to other interested members of
the public. Each State and each Indian tribe within the State must
exchange copies of their Annual Progress and Services Reports.
(e) FY 1999 Final Review. In FY 1999, each State and each Indian
tribe must conduct a final review of progress toward accomplishing the
goals and objectives in the plan. On the basis of the final review, it
must--
(1) Prepare a final report on the progress made toward
accomplishing the goals and objectives; and
(2) Send the final report to the ACF Regional Office and make it
available to the public.
(f) FY 2000 Five-Year State Plan. Based on the FY 1999 final review
and final Annual Progress and Services Report, and in consultation with
a broad range of agencies, organizations, and individuals, the State
and Indian tribe must develop a new five-year CFSP following the
requirements of 45 CFR 1357.15.
15. Section 1357.20 is revised to read as follows:
Sec. 1357.20 Child abuse and neglect programs.
The state agency must assure that, with regard to any child abuse
and neglect programs or projects funded under title IV-B of the Act,
the requirements of section 107(f) of the Child Abuse Prevention and
Treatment Act, as amended (42 U.S.C. 5106(f)) are met. These
requirements relate to the reporting of known and suspected incidents
of child abuse and neglect; the prompt investigation of reports and the
protection of children in danger of abuse and neglect; confidentiality;
the cooperation of law enforcement officials, courts, and appropriate
State agencies providing human services; and responding to reports of
medical neglect.
16. Section 1357.30 is revised to read as follows:
Sec. 1357.30 State fiscal requirements (title IV-B, subpart 1, child
welfare services).
(a) Scope. The requirements of this section shall apply to all
funds allotted or reallotted to States under title IV-B, subpart 1, and
to all funds not needed for foster care which are transferred from
title IV-E and awarded to States under title IV-B.
(b) Allotments. Allotments for each State shall be determined in
accordance with section 421 of the Act.
(c) Payments. Payments to States shall be made in accordance with
section 423 of the Act.
(d) Enforcement and termination. In the event of a State's failure
to comply with the terms of the grant under title IV-B, subpart 1, the
provisions of 45 CFR 92.43 and 92.44 will apply.
(e) Matching or cost-sharing. Federal financial participation is
available only if costs are incurred in implementing sections 422, 423,
and 425 and, when applicable, section 427 of the Act in accordance with
the grants administration requirements of 45 CFR Part 92 except that--
(1) Non-public third party in-kind contributions may not be used to
meet the requirements of the non-Federal share of the costs of programs
funded under this part.
(2) The total of Federal funds used for the following purposes
under title IV-B may not exceed an amount equal to the FY 1979 Federal
payment under title IV-B:
(i) Child day care necessary solely because of the employment, or
training to prepare for employment, of a parent or other relative with
whom the child involved is living, plus;
(ii) Foster care maintenance payments, plus;
(iii) Adoption assistance payments.
(3) Notwithstanding paragraph (e)(2) of this section, State
expenditures required to match the title IV-B, subpart 1 allotment may
include foster care maintenance expenditures in any amount.
(f) Prohibition against purchase or construction of facilities.
Funds awarded under title IV-B may not be used for the purchase,
construction, or other capital costs for child care facilities.
(g) Maintenance of effort. (1) A State may not receive an amount of
Federal funds under title IV-B in excess of the Federal payment made in
FY 1979 under title IV-B unless the State's total expenditure of State
and local appropriated funds for child welfare services under title IV-
B of the Act is equal to or greater than the total of the State's
expenditure from State and local appropriated funds used for similar
covered services and programs under title IV-B in FY 1979.
(2) In computing a State's level of expenditures under this section
in FY 1979 and any subsequent fiscal year, the following costs shall
not be included--
(i) Expenditures and costs for child day care necessary to support
the employment of a parent or other relative;
(ii) Foster care maintenance payments; and
(iii) Adoption assistance payments.
(3) A State applying for an amount of Federal funds under title IV-
B greater than the amount of title IV-B funds received by that State in
FY 1979 shall certify:
(i) The amount of their expenditure in FY 1979 for child welfare
services as described in paragraphs (g) (1) and (2) of this section,
and
(ii) The amount of State and local funds that have been
appropriated and are available for child welfare services as described
in paragraphs (g) (1) and (2) of this section for the fiscal year for
which application for funds is being made.
Records verifying the required certification shall be maintained by the
State and made available to the Secretary as necessary to confirm
compliance with this section.
(h) Reallotment. (1) When a State certifies to the Commissioner
that funds available to that State under its title IV-B, subpart 1
allotment will not be required, those funds shall be available for
reallotment to other States.
(2) When a State, after receiving notice from the Commissioner of
the availability of funds, does not certify by a date fixed by the
Commissioner that it will be able to expend during the period stated in
paragraph (i) of this section all of the funds available to it under
its title IV-B, subpart 1 allotment, those funds shall be available for
reallotment to other States.
(3) The Commissioner may reallot available funds to another State
when he determines that--
(i) The requesting State's plan requires funds in excess of the
State's original allotment; and
(ii) The State will be able to expend the additional funds during
the period stated in paragraph (i) of this section.
(i) Time limit on expenditures. Funds under title IV-B, subpart 1,
must be expended by September 30 of the fiscal year following the
fiscal year in which the funds were awarded.
17. A new Sec. 1357.32 is added to read as follows:
Sec. 1357.32 State fiscal requirements (title IV-B, subpart 2, family
preservation and family support services).
(a) Scope. The requirements of this section apply to all funds
allocated to States under title IV-B, subpart 2, of the Act.
(b) Allotments. The annual allotment to each State shall be made in
accordance with section 433 of the Act.
(c) Payments. Payments to each State will be made in accordance
with section 434 of the Act.
(d) Matching funds. (1) Funds used to provide services in FY 1994
and in subsequent years will be federally reimbursed at 75 percent of
allowable expenditures. Federal funds, however, will not exceed the
amount of the State's allotment.
(2) The State's contribution may be in cash or donated funds.
(3) Except as provided by Federal statute, other Federal funds may
not be used to meet the matching requirement.
(e) Supplantation (Maintenance of effort). States may not use the
Federal funds under title IV-B, subpart 2, to supplant Federal or non-
Federal funds for existing family preservation and family support
services. For the purpose of implementing this requirement, ``non-
Federal funds'' means State and local public funds. Local public
entities will provide assurances on their maintenance of effort to the
State and maintain sufficient information to document this maintenance
of effort upon request. ACF will collect information annually from each
State on expenditures for family support and family preservation using
the State fiscal year 1992 as the base year.
(f) Time limits on expenditures. Funds must be expended by
September 30 of the fiscal year following the fiscal year in which the
funds were awarded.
(g) Administrative costs. (1) States using funds for services in FY
1994 and subsequent years may not use more than 10 percent of total
Federal and State service expenditures under subpart 2 for
administrative costs at either State or subrecipient levels. States
must obtain such assurances from subrecipients as to ensure that no
more than 10 percent of total State funds are used for administrative
costs.
(2) For the purposes of title IV-B, subpart 2, ``administrative
costs'' are costs properly identified through an agency's accounting
system (meeting the requirements of 45 CFR Parts 92 and 95) which are:
(i) Allocable (in accordance with the agency's approved cost
allocation plan) to the title IV-B, subpart 2 program cost centers; and
(ii) Costs of auxiliary functions necessary to sustain the direct
effort involved in administering the state plan for title IV-B, subpart
2, or an activity providing service to the program. These services may
be centralized in the grantee department or in some other agency, and
may include but are not limited to the following: Procurement; payroll
processing; personnel functions; management, maintenance and operation
of space and property; data processing and computer services;
accounting; budgeting; auditing; and indirect costs.
(3) Program costs are costs, other than administrative costs,
incurred in connection with developing and implementing the CFSP (e.g.,
delivery of services, planning, consultation, coordination, training,
or supervision).
18. Section 1357.40 is revised to read as follows:
Sec. 1357.40 Direct payments to Indian Tribal Organizations (title IV-
B, subpart 1, child welfare services).
(a) Who may apply for direct funding? Any Indian Tribal
Organization (ITO) that meets the definitions in section 428(c) of the
Act, or any consortium or other group of eligible tribal organizations
authorized by the membership of the tribes to act for them is eligible
to apply for direct funding if:
(1) The Indian tribe (or tribes comprising the ITO) is providing,
under a contract (or grant) with the Secretary of the Interior under
section 102 of the Indian Self-Determination Act (25 U.S.C. 450f) child
welfare services which would otherwise be provided directly by the
Secretary of the Interior; and
(2) The Indian tribe, consortium or group has a plan for child
welfare services provided by the ITO that is jointly developed by the
Indian Tribal Organization and the Department.
(b) Title IV-B Child and Family Services Plan (CFSP). (1) In order
to receive funds under title IV-B, subpart 1, beginning in FY 1995, the
Indian tribe or tribal organization must have in effect an approved
five-year child and family services plan that meets the applicable
requirements of Sec. 1357.15 of this part.
(2) The Indian tribe or tribal organization must also comply with
section 422 of the Act; 45 CFR part 1355 (except that the requirements
in Sec. 1355.30 for a single State agency and Governor's review of the
CFSP do not apply); and other applicable requirements of section 1357
of this part.
(c) Information related to the requirements of Section 427 of the
Act. The following information must be submitted along with the
assurances required to be eligible for title IV-B, subpart 1 funds:
(1) A statement of the legal responsibility, if any, for children
who are in foster care on the reservation and those awaiting adoption;
(2) A description of tribal jurisdiction in civil and criminal
matters, existence or nonexistence of a tribal court and the type of
court and codes, if any;
(3) An identification of the standards for foster family homes and
institutional care and day care;
(4) The Indian tribal organization's political subdivisions, if
any;
(5) Whether the tribal organization is controlled, sanctioned or
chartered by the governing body of Indians to be served and if so,
documentation of that fact;
(6) Any limitations on authorities granted to the Indian tribal
organizations; and
(7) The tribal resolution(s) authorizing an application for a
direct title IV-B, subpart 1 grant under this Part.
(d) Grants: General. (1) Grants may be made to eligible Indian
tribal organizations in a State which has a jointly developed child and
family services plan approved and in effect.
(2) Federal funds made available for a direct grant to an eligible
ITO shall be paid by the Department, from the title IV-B allotment for
the State in which the ITO is located. Should a direct grant be
approved, the Department shall promptly notify the State(s) affected.
(3) If an eligible ITO includes population from more than one
State, a proportionate amount of the grant will be paid from each
State's allotment.
(4) The receipt of title IV-B funds must be in addition to and not
a substitute for funds otherwise previously expended by the ITO for
child welfare services.
(5) Only the following fiscal and administrative requirements in 45
CFR 1357.30 apply to Indian tribal grants under this section:
(i) Sec. 1357.30(d) Enforcement and termination;
(ii) Sec. 1357.30(e) Matching and cost sharing;
(iii) Sec. 1357.30(f) Prohibition against purchase or construction
of facilities;
(iv) Sec. 1357.30(g) Maintenance of effort; and
(v) Sec. 1357.30(i) Time limit on expenditures.
19. A new Sec. 1357.50 is added to read as follows:
Sec. 1357.50 Direct payments to Indian tribal organizations (title IV-
B, subpart 2, family preservation and support services).
(a) Definitions. Alaska Native Organization means any organized
group of Alaska Natives eligible to operate a Federal program under the
Indian Self-Determination Act (Pub.L. 93-638) or such group's designee
as defined in section 482(i)(7)(A) of the Act.
Indian tribe means any tribe, band, nation, or other organized
group or community of Indians that is recognized as eligible for the
special programs and services provided by the United States to Indians
because of their status as Indians; and for which a reservation
(including Indian reservations, public domain Indian allotments, and
former Indian reservations in Oklahoma) exists.
Tribal organization means the recognized governing body of the
Indian tribe.
(b) Eligibility for funds: FY 1994. (1) Section 432(b)(2) of the
Act provides that the Secretary may not approve a plan of an Indian
tribe whose FY 1995 allotment under subpart 2 would be less than
$10,000. Therefore, only those Indian tribes whose FY 1995 allotment is
$10,000 or more are eligible to receive funds beginning in FY 1994.
(2) ACF will pay any amount to which an Indian tribe is entitled to
the tribal organization of the Indian tribe.
(c) Eligibility for funds: FY 1995. In order to receive funds under
title IV-B, subpart 2, in FY 1995, an Indian tribe eligible for
planning funds in FY 1994 must submit a Child and Family Services Plan
that meets the applicable requirements in section 1357.15 of this Part.
(d) Eligibility for funds: FY 1996 through FY 1998. (1) ACF will
make grants to additional Indian tribes in FYs 1996 through 1998, based
on anticipated increases in appropriations.
(2) Allotments will be calculated in FYs 1996, 1997, and 1998 as
required in Section 433 of the Act. Those Indian tribes in each year
whose allotment is at least $10,000 will be notified of their
eligibility to apply.
(3) In order to receive funds, an Indian tribe must submit a Child
and Family Services Plan (CFSP) that meets the applicable requirements
of 45 CFR 1357.15. The plan must cover a one, two, or three year period
(between FY 1996-FY 1998), depending on when the Indian tribe applies.
There are no funds available for planning in FYs 1996-98, but the
Regional Office staff of ACF will, through the joint planning process,
assist the Indian tribe in developing its CFSP.
(e) Allotments. Allotments to Indian tribes are computed based on
section 433 of the Act and are based on a ratio of the number of
children in each Indian tribe with an approved plan compared to the
number of children in all Indian tribes with approved plans, based on
the most current and reliable data available.
(f) Waivers of requirements. ACF has waived for Indian tribes three
statutory requirements:
(1) The limitation on administrative costs to 10 percent of total
Federal and tribal funds; (Indian tribes may use the indirect cost rate
agreement in effect for the Tribe.);
(2) The requirement that funds under this program may not be used
to supplant other Federal and non-Federal funds; and
(3) The requirement that a significant portion of funds must be
used for both family support and family preservation services.
(g) Matching requirement. (1) Funds used to provide services in FY
1994 and in subsequent years will be federally reimbursed at 75 percent
of allowable expenditures. (This is the same Federal financial
participation rate as title IV-B, subpart 1.) The Indian tribe's share
must be at least 25 percent of the total or 33 percent of the Federal
share. Federal funds, however, will not exceed the amount of the Indian
tribe's allotment.
(2) The Indian tribe's contribution may be in cash or donated
funds. In addition, Indian tribes, by statute, may use the following
three Federal sources of funds as matching funds: Indian Child Welfare
Act funds, Indian Self-Determination and Education Assistance Act
funds, and Community Development Block Grant funds.
(h) Fiscal and administrative requirements. An Indian tribe must
expend all funds by September 30 of the fiscal year following the
fiscal year in which the funds were awarded. Other fiscal and
administrative requirements will be found in the compilation of
statutory assurances to be prepared by ACF.
Appendix to the NPRM: Revised reporting form--Annual Summary of
Child and Family Services. (This Appendix will not be published as a
part of the final rule.)
BILLING CODE 4184-01-P
TP04OC94.004
[FR Doc. 94-24325 Filed 10-3-94; 8:45 am]
BILLING CODE 4184-01-C