Foster Care Maintenance Payments, Adoption Assistance, Child Welfare Services

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 servic

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