ACYF-CB-PI-08-03

ACF Administration for Children and Families	U.S. DEPARTMENT OF HEALTH AND HUMAN SERVICES Administration on Children, Youth and Families
	1. Log No.: ACYF-CB-PI-08-03	2. Issuance Date: April 18, 2008
	3. Originating Office: Children's Bureau
	4. Key Words: Annual Progress and Services Report: State Title IV-B Child and Family Services Plan; Child Abuse Prevention and Treatment State Plan; Chafee Foster Care Independence and Education and Training Vouchers Program

PROGRAM INSTRUCTION

To: State Agencies, Territories and Insular Areas administering or supervising the administration of Title IV-B, subparts 1 and/or 2, and Title IV-E of the Social Security Act; State Office or Organization Designated by the Governor to Apply for Child Abuse and Neglect State Grant Funds; State Independent Living Coordinators; State Education and Training Voucher (ETV) Coordinators.

Subject: June 30, 2008 submission of the Annual Progress and Services Report (APSR) required under Title IV-B of the Social Security Act (the Act), the Child Abuse Prevention and Treatment Act (CAPTA), and the Chafee Foster Care Independence Program (CFCIP), including the ETV program; the submission of the CFS-101, Part I, Annual Budget Request, Part II, Annual Summary of Child and Family Services, and Part III, Annual Expenditure Report—Title IV-B, Subparts 1 and 2, CFCIP and ETV.

Legal and Related References: The Safe and Timely Interstate Placement of Foster Children Act of 2006 (Public Law (P.L.) 109-239); The Child and Family Services Improvement Act of 2006 (P.L. 109-288); Title IV-B, subparts 1 and 2, Sections 421-425, 428, 430-438, and Title IV-E, Section 477 of the Social Security Act; Section 106 of the CAPTA, as amended (42 U.S.C. 5101 et seq.); the Indian Child Welfare Act of 1978 (P. L. 95-608); the Indian Self-Determination and Education Assistance Act (P. L. 93-638); 45 CFR Parts 1355 and 1357; ACYF-CB-PI-04-01, issued February 2, 2004 (Fiscal Year 2005 - 2009, Child and Family Services Plan).

Purpose: This Program Instruction (PI) summarizes the actions required under title IV-B, subparts 1 and 2 and Section 477 of title IV-E of the Social Security Act, CAPTA, and Federal regulations at 45 CFR Part 1357 so that States may receive their allotments of Federal funds for Federal fiscal year (FFY) 2009 (subject to the availability of appropriations). This PI also announces the final FFY 2008 allotments, provides guidance regarding the reporting of FFY 2008 activities and accomplishments to date and provides instructions regarding application for FFY 2009 funds for States and Territories for the above programs.

June 30, 2008 Annual Progress and Services Report

Section A. Overview
Annual Progress and Services Report

Section B. Instructions for States, Puerto Rico and the District of Columbia APSR Submission

Program Service Description
Collaboration
Program Support
Tribal Consultation
Consultation with Physicians
Disaster Plans
Monthly Caseworker Visits
Child Abuse Prevention and Treatment Act
Chafee Foster Care Independence Program
Education and Training Vouchers
Financial and Statistical Information Reporting

Section C. Instructions for Territories

Section D. Supporting Information
Juvenile Justice Transfers
Inter-Country Adoptions
Child Welfare Demonstration Projects
Foster and Adoptive Parents Recruitment
Adoption Incentive Payments

Section E. Financial Information
Payment Limitations
FY 2008 Revised Budget Request
FY 2009 Budget Request
FY 2006 Annual Expenditures Financial Status Reports, SF 269

Section F. Attachments

Section A. Overview

Annual Progress and Services Report

Federal regulations at 45 CFR 1357.15 and 1357.16 provide the requirements for a five-year comprehensive Child and Family Services Plan (CFSP), which lays the groundwork for a system of coordinated, integrated, and culturally relevant family-focused services. The Annual Progress and Services Report (APSR) provides annual updates on the progress made toward accomplishing the goals and objectives in the CFSP. Completion of the APSR satisfies the Federal regulations by providing updates on a State's annual progress for the previous fiscal year and planned activities for the upcoming fiscal year.

In order for States and Territories to receive FFY 2009 funds for title IV-B, CAPTA, CFCIP and ETV programs, the APSR must be submitted to the Children's Bureau (CB) Regional Offices (ROs) by June 30, 2008. A signed CFS-101, Annual Budget Request for title IV-B, Subparts 1 and 2, CAPTA, CFCIP and ETV programs must be mailed or a signed .pdf file emailed to the ROs, as well. (See addresses at Attachment E.) The ROs will be working with States to ensure that the information provided adequately addresses the requirements. Upon approval, the RO will forward the State's request for funding to Central Office. The RO will not forward the CFS-101 to the CB Central Office for funding until all requirements for the APSR are met. The CFS-101, Parts I, II, and III, is located in Attachment B.

It is important that applicants address all requirements outlined in this PI, as missing or incomplete information will result in the withholding of funds for the program(s) affected until such time as the information is complete and approval can be granted by ACF. If there are questions in preparing the APSR, please contact the CB Regional Office State Liaison.

Plans and activities included in the APSR must meet the provisions of 45 CFR 1355.21, 45 CFR 1357, title IV-B, subparts 1 and/or 2, title IV-E, Section 477 of the Act, and CAPTA. These programs provide a critical source of funding for ensuring the safety, permanency, and well-being of children.

In preparing the APSR, each State must conduct an interim review of the progress made in the past year toward accomplishing the goals and objectives in the CFSP based on updated information and current data. When conducting this annual review, the State must include the agencies, organizations, and individuals, e.g., the State's Court Improvement Project, Tribes, providers, and faith-based and community organizations, in the CFSP-related consultation and coordination process, in accordance with 45 CFR 1357.15. ACF also expects States to integrate the findings of reviews including the Child and Family Services Review (CFSR), AFCARS, title IV-E, and other relevant Children's Bureau reviews, as well as planned activities identified in any Program Improvement Plans (PIPs) when addressing services and programs under this APSR. In accordance with 45 CFR 1355.53, States with a Statewide Automated Child Welfare Information System (SACWIS) are generally expected to utilize data obtained from the case management system in developing the APSR, citing the source as such.

Section B. Instructions for States, Puerto Rico and the District of Columbia

APSR Submission:

States and Territories must submit their APSR to the RO by June 30, 2008, including:

CFS-101, Part I for FY 2009 with signature, sent by fax or by e-mail in .pdf file format;
CFS-101, Part II with planned expenditures for FFY 2009;
CFS-101, Part III with estimated and actual expenditures for FFY 2006 for the title IV-B and, at State option, the CFCIP and ETV programs;
If appropriate, a revised and signed CFS-101, Part I for FFY 2008 indicating:
1. the amount of funds that the State does not expect to utilize from its FFY 2008 allotment during the upcoming year to carry out the title IV-B, CFCIP and/or ETV program activities; and/or
2. the amount of funds the State is requesting if additional funds become available for the title IV-B, CFCIP and/or ETV programs (if different from earlier requests);
Certifications and Assurances: Certifications and assurances submitted with the 2005-2009 CFSP do not need to be re-submitted unless a change in the State has occurred so that a new certificate is warranted. Copies of the full assurances can be found at http://www.acf.hhs.gov/programs/cb/laws_policies/policy/pi/2004/pi0401e.htm; and
APSR (via e-mail or compact disk).

The APSR must address each of the following:

Child Welfare Services (including child abuse and neglect prevention, intervention, and treatment services and foster care, adoption or other permanent living arrangements);
Promoting Safe and Stable Families programs
- Family Preservation
- Family Support
- Time-Limited Reunification
- Adoption Promotion and Support Services
CAPTA State grant program
Chafee Foster Care Independence Program
Education and Training Vouchers Program

1. Service Description for Each of the Programs Listed Above

Report on the specific accomplishments and progress achieved to date in the past fiscal year toward meeting each goal and objective in the CFSP including improved outcomes for children and families, as well as providing a more comprehensive, coordinated, and effective child and family services continuum (45 CFR 1357.16(a)(1)).
Describe the steps the State agency will take to expand and strengthen the range of existing services and to develop and implement services to improve child outcomes. Explain planned activities, new strategies for improvement, and the method(s) to measure progress in the upcoming fiscal year.
Explain any revisions to existing goals and objectives (45 CFR 1357.16(a)(2)).
Update the goals and objectives to incorporate areas needing improvement that were identified in a CFSR, title IV-E, AFCARS, or other improvement plans. If the current CFSP does not have a goal or objective that addresses the area needing improvement, the goal/objective must be added to the APSR.
Describe the services to be provided in FFY 2009, highlighting any changes or additions in services or program design and how the services will assist in achieving program purposes (45 CFR 1357.16(a)(4)). For each service described above, report:
1. the population(s) to be served;
2. the geographic areas where the services will be available; and
3. the estimated number of individuals and families to be served.
This information may be provided in Part II of the CFS-101 form (Attachment B).
Indicate if there are no planned changes to the program.

2. Collaboration

Describe activities in the ongoing process of coordination and collaboration efforts conducted across the entire spectrum of the child and family service delivery system. This should include stakeholder or partner involvement in the review of progress made in the past fiscal year and expected updates for the coming year (45 CFR 1357.15(l)).
Update the State's demonstration of substantial, ongoing, and meaningful collaboration between the child welfare agency and the courts with regard to the development of the APSR and any CFSR or title IV-E program improvement plans (Section 422(b)(13) of the Act).
The current administration has identified major initiatives in areas that it believes will benefit children, adults, and society. The initiatives include the Department's Healthy Marriage, Responsible Fatherhood, Youth Development, Rural, and Faith-based and Community Initiatives.
1. Describe the services that the State provided, using only title IV-B funds, during FFY 2008 that support the above initiatives.
2. Discuss how these initiatives are improving outcomes for children.
3. Identify who is providing the service (i.e. contractor or county).
4. Describe services that the State plans to provide, using only title IV-B funds, in FFY 2009 that support the above initiatives.

3. Program Support

Discuss updates to the training plan including staff development plans paid for by the caseworker visit funding (Section 436 (b)(4) of the Act). This may include activities designed to improve caseworker retention, recruitment, training, and access to technology. Training paid for with title IV-E funds must be included. (See ACYF -CB-PI-04-01 for further guidance.)
Discuss the State technical assistance provided to counties and other local or regional entities that operate State programs.
Discuss the technical assistance that the State anticipates requesting from the ACF Training and Technical Assistance network as it implements current or new Federal requirements.
Discuss child and family services related research, evaluation, management information systems, and/or quality assurance systems that will be updated or implemented in FFY 2009. Specify any additions or changes in services or program design that have been found to be particularly effective or ineffective based on the State's evaluation of programs.

4. Tribal Consultation

Provide an update, developed in consultation with Indian Tribes in the State, of the specific measures taken by the State in the past year to improve or maintain compliance with the Indian Child Welfare Act (ICWA) (Section 422(b)(9) of the Act). States should also provide a description of the process used to consult with Tribes. States should assess the level of compliance and the progress made to improve compliance during the past year as well as update the goals and activities that have been undertaken to improve or maintain compliance with ICWA. Include laws, policies, and/or trainings implemented to increase compliance with ICWA. (States without Federally recognized Tribes within their borders should still consult with Tribal representatives per 45 CFR 1357.15(l).)

Listed below are some components in ICWA that the State must address in discussions with Tribes and in the APSR:

Notification of Indian parents and Tribes of State proceedings involving Indian children and their right to intervene.
Placement preferences of Indian children in foster care, pre-adoptive, and adoptive homes.
Active efforts to prevent the breakup of the Indian family when parties seek to place a child in foster care or for adoption.
Tribal right to intervene in State proceedings, or transfer proceedings to the jurisdiction of the Tribe.

Provide a description of the understanding, gathered from State consultation with Tribes, as to who is responsible for providing the assurances for Tribal children delineated at Section 422(b)(8) of the Act, whether children are in State or Tribal custody, for each Tribe in the State.
Provide information regarding consultations with Indian Tribes in the State specifically as it relates to determining eligibility for benefits and services and ensuring fair and equitable treatment for Indian youth under the Chafee Foster Care Independence Act (Section 477(b)(3)(G) of the Act). This instruction is further delineated in item #9 below.

5. Consultations with Physicians or Appropriate Medical Professionals

Provide an update regarding ongoing efforts by the State agency to actively involve and consult physicians or other appropriate medical professionals in assessing the health and well-being of foster children and determining appropriate medical treatment (Section 422(b)(15) of the Act).

6. Disaster Plans

Provide an updated State Disaster Plan, highlighting any significant revisions made in the past year. Please ensure that the plan meets the requirements in Section 422(b)(16) of the Act described below:

Identify, locate and continue availability of services for children under State care or supervision who are displaced or adversely affected by a disaster;
Respond to new child welfare cases in areas adversely affected by a disaster, and provide services in those cases;
Remain in communication with caseworkers and other essential child welfare personnel who are displaced because of a disaster;
Preserve essential program records; and
Coordinate services and share information with other States.

7. Monthly Caseworker Visit Data and State Plan Requirements

States are required to collect and report data on caseworker visits (Section 424(e)(1) and (2) of the Act). The statute requires States to collect the following data on caseworker visits:

the percentage of children in foster care under the responsibility of the State who were visited on a monthly basis by the caseworker handling the case of the child; and
the percentage of the visits that occurred in the residence of the child.

Every State submitted baseline data for FFY 2007. However, because we have determined that we were in error in the instructions previously provided for counting children who have run away from a foster care placement and because we want to ensure that the rest of our instructions were clear, we are taking this opportunity to restate the way in which the percentages must be calculated. We are also providing an opportunity for States to submit revised baseline data. This will ensure that all States are starting from a reliable baseline and are continuing to measure progress in a consistent manner when submitting data for FFYs 2008 - 2011.

The following data are required to compute the percentages:

The aggregate number of children served in foster care for at least one full calendar month during the FFY,
The number of children visited each and every full calendar month that they were in foster care during the FFY,
The total number of visit months¹ for children who were visited each and every calendar month that they were in foster care during the FFY, and
The total number of visit months in which at least one child visit occurred in the child's residence.²

Based on these data, States must perform the following calculations:

The percentage of children in foster care who were visited during each and every calendar month is determined by dividing the number of children who were visited each and every full calendar month that they were in care (item #2 above) by the number of children served in foster care for at least one full calendar month during the Federal fiscal year (item #1 above). The quotient is multiplied by 100 and expressed as a percentage, rounded to the nearest whole number.
The percentage of visits that occurred in the residence of the child is determined by dividing the number of visit months that occurred in the residence of the child (item #4 above) by the total number of visit months for children visited each and every full calendar month they were in care during the year (item # 3 above). The quotient is multiplied by 100 and expressed as a percentage, rounded to the nearest whole number.

The caseworker visit data for any Federal fiscal year must comprise the full 12-month period, e.g., for FFY 2008, data must cover the period from October 1, 2007 through September 30, 2008.

In determining which children are in the population, all children who have been in foster care for at least one full calendar month are included. Children with more than one episode during the 12 month period are considered as one child. Children who are placed in an out-of-state foster care placement are included in the population. If a State considers children who have gone home for a trial home visit to be in foster care, then the children are included in the population. Children who have run away must also be included in the population. We previously provided instructions to exclude such children during the months in which they had run away. However, upon further reflection, we determined that the statute does not provide us the authority to exclude these children from the calculation.

States that did not calculate the FFY 2007 baseline caseworker data in a manner consistent with the instructions above are required to re-submit their baseline caseworker visit data to reflect the corrected data collection methodology, reporting period, and/or child population. One exception to this requirement is that if a State, based on our earlier instructions, excluded from their baseline count children who had runaway from foster care placements, but in all other respects followed the procedures outlined above, the State is not required to resubmit the baseline data. However, if in the judgment of the State, re-calculating the baseline data to include the children who had runaway will significantly change their baseline performance or affect their ability to show year-to-year improvement in the percentage of children who were visited on a monthly basis, the State may resubmit baseline data. Prior to making the determination to resubmit, States must consult with their Regional Office State Liaison. Revised baseline data for FFY 2007 must be submitted with the APSR due June 30, 2008.
States may elect to use sampling to meet the caseworker visit data collection requirement. A sampling methodology, developed by the Children's Bureau Data Team, was made available to all States (see Attachment C for the Children's Bureau sampling strategy and syntax for data extraction). Alternatively, States may use their own sampling methodology if it has been approved by the Children's Bureau RO, in consultation with the Children's Bureau Data Team. States that have not had their sampling methodology approved by the Children's Bureau must work with their RO to gain approval prior to submitting either revised FFY 2007 baseline or FFY 2008 data.
States' FFY 2008 caseworker visit data must be reported to the ROs by November 30, 2008. Beginning with the FY 2008 caseworker visit data and all following years, runaway children may not be excluded from the population.
In the June 30, 2008 APSR States must provide target data percentages for the percentage of children in foster care who were visited during each and every calendar month to be reached for each of fiscal years 2008 through 2011 (section 424(e)(2)(A) of the Act). The State must establish target percentages that will ensure that, by October 1, 2011, 90 percent of children in foster care are visited by their workers on a monthly basis.
States must also include an outline of the steps they will take to ensure that, by October 1, 2011, 90 percent of children in foster care are visited by their workers on a monthly basis, and that the majority of the visits occur in the residence of the child. The steps may include activities designed to improve caseworker retention, recruitment, training, and ability to access the benefits of technology (section 424(e)(2)(A) of the Act).
If States fail to meet the target percentages for the children in foster care who were visited during each and every calendar month established in the June 30, 2008 APSR for any subsequent year (FFY 2008 through 2011,) ACF will reduce the Federal match rate for title IV-B, subpart 1 funds in proportion to the amount that the State failed to reach its target (section 424(e)(2)(B) of the Act).

If the State falls short of the target percentage established by:	The Federal match for title IV-B, subpart 1 will be reduced by:
Less than 10%	1%
10% to 19%	3%
20% or more	5%

In any year in which a State fails to reach its target, ACF will continue to make the full Federal allotment available to the State, but the State will need to increase its match rate in order to access the full Federal allotment.³ The reduction will be applied to the title IV-B, subpart 1 funding allocation for the fiscal year following the year for which the target was not met.

8. CAPTA State Grant

Please note that compliance with the eligibility requirements for a CAPTA State Grant Program is a prerequisite for eligibility for funds under the Children's Justice Act State Grant Program authorized by Section 107(a) of CAPTA. In addition to the information provided under Section B, items 1-3, above, the following must be included for the CAPTA State grant:

Update the program areas selected for improvement from one or more of the 14 program areas set forth in Section 106(a) of CAPTA.
Identify the activities that the State intends to implement with its CAPTA State grant funds and any changes in activities for FFY 2009.
Describe any updates to the services and training to be provided under the CAPTA State grant as required by Section 106(b)(2)(C) of CAPTA.
Explain substantive changes, if any, in State law that could affect eligibility, including an explanation from the State Attorney General as to why the change would, or would not, affect eligibility (Section 106(b)(1)(B) of CAPTA). Include a copy of any relevant State statute. Note: States do not have to notify ACF of statutory changes or submit them for review if they are not substantive and would not affect eligibility.
Submit a copy of the annual report(s) from the citizen review panels and a copy of the State agency's most recent response(s) to the panels and State and local child protective services agencies, as required by Section 106(c)(6) of CAPTA.
Describe any changes to the State's provisions and procedures for criminal background checks identified in the State's CFSP for prospective foster and adoptive parents and other adult relatives and non-relatives residing in the household (Section 106(b)(2)(A)(xxii) of CAPTA).

It is important that the APSR address all of the CAPTA State Plan items listed above. Missing or incomplete information will result in the withholding of CAPTA funds until such time as approval can be granted by ACF. Additional questions regarding the CAPTA State Plan requirements should be addressed to the CB Regional Office State Liaison.

9. Chafee Foster Care Independence Program

Include the following information for the CFCIP, in addition to the information required under Section B, items 1-3, above:

Report on the specific accomplishments achieved in FFY 2008 and planned activities for FFY 2009 for each of the five purpose areas:
1. Assist youth to transition from dependency to self-sufficiency;
2. Help youth receive the education, training, and services necessary to obtain employment;
3. Help youth prepare for and enter post-secondary training and educational institutions;
4. Provide personal and emotional support to youth through mentors and the promotion of interactions with dedicated adults; and
5. Provide financial, housing, counseling, employment, education, and other appropriate services and support to former foster care recipients between 18 and 21 years of age.
Report service collaboration activities achieved in FFY 2008 and planned for FFY 2009 with other Federal and State programs for youth including transitional living youth projects funded under the Runaway and Homeless Youth Act (Title III of the Juvenile Justice and Delinquency Prevention Act of 1974), abstinence education programs, local housing programs, programs for disabled youth (especially sheltered workshops), and school-to-work programs offered by high schools or local workforce agencies in accordance with Section 477(b)(3)(F) of the Act.
Provide information on specific training that was conducted during FFY 2008 and planned for FFY 2009 in support of the goals and objectives of the States' CFCIP. CFCIP training may be incorporated into the training information discussed under Section B, item 2, but should be identified as pertaining to CFCIP.
Update the service design and delivery of a new or changed trust fund program for States that choose to establish a trust fund program for youth receiving independent living services or transition assistance. Note: CFCIP funds placed in a trust fund must be expended during the applicable grant period. Refer to ACYF-CB-PI-05-06 for current guidance on trust funds.
Describe any activities undertaken to involve youth (up to age 21) in State agency efforts such as the CFSR/PIP process and agency improvement planning efforts.
Describe, if applicable, how the State utilizes, or plans to utilize, the option to expand Medicaid to provide services to youth ages 18 to 20 years old who have aged out of foster care.
Describe the results of the Indian Tribe consultation (Section 477(b)(3)(G) of the Act) specifically as it relates to determining eligibility for benefits and services and ensuring fair and equitable treatment for Indian youth in care:
1. Describe how each Indian Tribe in the State has been consulted about the programs to be carried out under the CFCIP.
2. Describe the efforts to coordinate the programs with such Tribes.
3. Discuss how the State ensures that benefits and services under the programs are made available to Indian children in the State on the same basis as to other children in the State.
4. Report the CFCIP benefits and services currently available and provided for Indian children and youth in fulfillment of this section and the purposes of the law.

10. Education and Training Vouchers

Include the following information in addition to the information required under Section B, items 1-3, above for the ETV program:

Describe the specific accomplishments and progress to establish, expand, or strengthen the State's postsecondary educational assistance program to achieve the purpose of the ETV program.
Indicate how the ETV program is administered, whether by the State child welfare agency in collaboration with another State agency or with an outside entity such as Orphan Foundation of America.

11. Financial and Statistical Information Reporting

For the purpose of applying for FFY 2009 funds, States must indicate specific percentages of title IV-B, subpart 2 funds that the State will expend on planning and service coordination and on actual delivery of family preservation, community-based family support, time-limited family reunification, and adoption promotion and support services. For each service category with a percentage of funds that does not approximate 20 percent, the State must provide a rationale for the disproportion. The State must have an especially strong rationale if the percentage provided is below 20 percent of the total Federal allotment for any one of the four service categories and must include such rationale in the narrative of the APSR. The amount allocated to each of the service categories should only include funds for service delivery. States should report separately the amount to be allocated to planning and service coordination.
Provide the estimated and actual amounts of FFY 2006 Federal funds expended:
- Under title IV-B, subpart 1;
- For each of the four categories of services for title IV-B, subpart 2;
- For those costs identified as administrative in title IV-B programs; and
- For monthly caseworker visits under title IV-B, subpart 2.
Utilizing the CFS-101-Part III, the State must compare FFY 2006 actual expenditures with FFY 2006 estimated expenditures in each category for the title IV-B programs and, at State option, the CFCIP and ETV program (Attachment B). Provide an explanation for any differences between the FFY 2006 actual expenditures and estimated costs in the APSR narrative.
Provide State and local share expenditure amounts for title IV-B, subpart 2 for FFY 2006 for comparison with the State's 1992 base year amount as required to meet the non-supplantation requirements in Section 432(a)(7)(A) of the Act.
At State option, provide actual expenditures of CFCIP allocated funds for FFY 2006 (final) and FFY 2007 (year-to-date). Identify the amount of CFCIP funds used to provide room and board for youth ages 18-21 in the last fully reportable year, FFY 2006 (on the CFS-101, Part III at Attachment B). Report how the funds were used and any planned changes to service provision.
Identify the number of youth that received ETV awards in FFY 2007 and FFY 2008 (year-to-date). This number should include youth who are receiving ongoing vouchers. For example, include new voucher recipients in FFY 2006 continuing to receive vouchers in FFY 2007 and FFY 2008 as well as those who were new recipients in FFY 2007 and continue into FFY 2008. Separately identify the number of youth who have received an award for the first time in FFY 2008.
Identify the estimated number of youth the State plans to award ETV vouchers in FFY 2009 via ongoing and new vouchers (see CFS-101, Part II at Attachment B).
At State option, provide actual expenditures of ETV allocated funds for FFY 2006 (see CFS-101, Part III at Attachment B) and FFY 2007 (year-to-date).

Section C. Instructions for Territories

The Territories of American Samoa, Northern Mariana Islands, Guam, and the Virgin Islands:

May submit consolidated grant applications in accordance with 45 CFR Part 97;
- May choose to have title IV-B, subparts 1 and/or 2, and CAPTA allotments included in a consolidated grant and expend these funds under authority of another program that is available for consolidation;
- Notify your ACF RO in writing of your intent to consolidate your application for title IV-B, subparts 1 and/or 2, and CAPTA by June 30, 2008. A failure to submit such a notice of intent by that date will preclude use of the consolidated grant approach for FFY 2009;

May choose to submit an APSR to your ACF RO by June 30, 2008. Follow the guidance included under Section B if you choose to submit an APSR.

Section D. Supporting Information

The following information must be reported in the APSR:

1. Juvenile Justice Transfers

Report the number of children under the care of the State child protection system who are transferred into the custody of the State juvenile justice system (Section 106(d)(14) of CAPTA).
Discuss contextual information such as State's definition of the reporting population and other pertinent information.

2. Inter-Country Adoptions

Identify the number of children who were adopted from other countries and entered into State custody in FFY 2007 as a result of the disruption of a placement for adoption or the dissolution of an adoption (Section 422(b)(12) of the Act).
Describe the reasons for the disruptions or dissolutions and the permanency plan for the children. ACF has clarified the circumstances under which children need to be reported. The question/answer specific to inter-country adoptions is located at Section 7.3, Question 4 of the Child Welfare Policy Manual, which is available at: http://www.acf.hhs.gov/j2ee/programs/cb/laws_policies/laws/cwpm/policy_dsp.jsp?citID=178#1200
Identify the agencies that handled the placement or adoption.
Describe the activities that the State has undertaken for children adopted from other countries, including the provision of adoption and post-adoption services (Section 422(b)(11) of the Act).

Child Welfare Demonstration Projects

Describe the accomplishments and progress in the child welfare demonstration project as they relate to the goals and objectives in the State's CFSP, where applicable.
Discuss how title IV-B funds are used to maximize the use of flexible title IV-E dollars in the demonstration (required for States participating in a child welfare demonstration project).
Identify if the State does not have a child welfare demonstration project.

Foster and Adoptive Parent Recruitment

Describe the State's progress and accomplishments made in FFY 2008 with regard to the diligent recruitment of potential foster and adoptive families that reflects the ethnic and racial diversity of children in the State for whom foster and adoptive homes are needed.
Describe planned activities for recruiting foster and adoptive families in FFY 2009.

Adoption Incentive Payments

Specify the services that have been, or will be, provided to children and families with the adoption incentive funds, if applicable.

Section E. Financial Information

1. Payment Limitations—Title IV-B, subpart 1:

States may not spend more title IV-B, subpart 1 funds for child care, foster care maintenance and adoption assistance payments in FFY 2009 than the State expended for those purposes in FFY 2005 (Section 424(c) of the Act).
The amount of State expenditures of non-Federal funds for foster care maintenance payments that may be used as match for the FFY 2009 title IV-B, subpart 1 award may not exceed the amount of such non-Federal expenditures applied as State match for title IV-B, subpart 1 in FFY 2005 (Section 424(d) of the Act).
States may spend no more than ten percent of title IV-B, subpart 1 funds for administrative costs (Section 422 (b)(14) of the Act).

2. FFY 2008 Funding—Revised Budget Request

Unneeded portions of State allocations of title IV-B, CFCIP, and ETV funds may be re-allotted to other States so that the total appropriation remains available for program purposes (Sections 423(e), 433(d) and 477(d)(4) of the Act).

In order to receive the full share of FFY 2008 funds allotted, States must submit a revised FFY 2008 budget form (CFS-101, Part I). Note: The revised request must be equal to or less than the sum of the reallotment request(s) and the amount the State is eligible to receive in FFY 2008 under title IV-B, subparts 1 or 2, CAPTA, and/or CFCIP and ETV (see Attachment A).
Indicate on line 7a or 7b of the FFY 2008 CFS-101, Part I (Annual Budget Request) if the State intends to release or apply for, respectively, FFY 2008 title IV-B, subpart 2 funds for reallocation. If the State determines that it will not obligate all of its FFY 2008 allotment by September 30, 2009, show the estimated unobligated balance on line 7a and ACF will re-allocate the funds in accordance with the prescribed formulas. Funds will be re-allocated prior to the end of the fiscal year.

3. FFY 2009 Budget Request—CFS 101 (See Attachment B)

Complete Part I of the CFS 101 form to request title IV-B, CAPTA, CFCIP and ETV funds.
Complete Part II to include the estimated amount of funds to be spent in each program area by source, the estimated number of individuals and families to be served, and the geographic service area within which the services are to be provided.
Use the FFY 2008 allocation tables as the basis for budget requests for title IV-B, subparts 1 and 2, CAPTA, CFCIP, and ETV funds. Use the FFY 2009 estimated allotment table as the basis for budget requests for the Monthly Caseworker Visit funds under title IV-B, subpart 2. The tables are included in Attachment A.

4. FFY 2006 Title IV-B Expenditure Report—CFS-101, Part III

Complete the CFS-101, Part III to include the actual amount of funds expended in each program area of title IV-B funding by source, the number of individuals and families served, and the geographic service area within which the services were provided. The State must track and report annually its actual title IV-B expenditures, including administrative costs for the most recent preceding fiscal year. States must report the actual title IV-B expenditures of FFY 2006 funds.

5. Financial Status Reports—SF 269

Submission requirements for expenditures of title IV-B, CAPTA, and CFCIP funds must be met by all grantees on the Financial Status Report SF-269 and are listed below. The SF-269 covering the first 12-month budget period is the interim report and the report covering the entire grant period is the final report. Each report is due 90 days after the end of the fiscal year (December 31). A negative grant award will recoup unobligated and/or unliquidated funds reported on the final SF-269 for the title IV-B, CAPTA, CFCIP and ETV programs.

Title IV-B, subparts 1 and 2

Submit a separate SF-269 (by December 31) for expenditures made under each subpart of title IV-B at the end of each 12 months (October 1-September 30) of the two-year expenditure period.
Report the cumulative amount of funds expended and the required 25 percent State match on the final SF-269.
Expend title IV-B funds by September 30 of the fiscal year following the fiscal year in which the funds were awarded (i.e., for FFY 2008, funds must be obligated by September 30, 2009 and liquidated by December 31, 2009).
For the FFY 2006 allocation for caseworker visits under title IV-B, subpart 2, States must submit a separate SF-269 within 90 days of the end of each 12 month expenditure period. Federal funds awarded in FFY 2006 must be obligated by September 30, 2009, with a final report due December 31st of that year. For the FFY 2008 allocation for caseworker visits, funds must be obligated by September 30, 2009, with a final report due December 31st of that year. As Congress did not appropriate title IV-B, subpart 2 funds for monthly caseworker visits in FFY 2007, no financial reporting is required for FFY 2007.
No separate reporting is required to distinguish between the expenditure of the PSSF discretionary funds and the PSSF mandatory funds.

CAPTA Grants

CAPTA funds must be obligated within five years from October 1 of the fiscal year in which they were awarded.
Submit the SF-269 fiscal report (by December 31) for CAPTA State grants at the end of each 12 months (October 1-September 30) of the five-year expenditure period.

CFCIP and ETV

Submit a separate SF-269 (by December 31) for expenditures made under the CFCIP and ETV programs.
Include the required 20 percent State match in the final report for each program.
Obligate CFCIP and ETV funds by September 30 of the fiscal year following the fiscal year in which the funds were awarded.

States are strongly encouraged to submit an electronic SF-269 for the above listed programs through the ACF Online Data Collection (OLDC) system. Contact your ACF RO for more information on gaining access to and using the OLDC submission process.

Alternatively, States may submit the original SF-269 for each program to your ACF RO and a copy to the following address:

Division of Mandatory Grants
Office of Administration
Administration for Children and Families
370 L’Enfant Promenade, S.W.
Washington, D.C. 20447

Paperwork Reduction Act

Under the Paperwork Reduction Act of 1995 (Public Law 104-13), an agency may not conduct or sponsor, and a person is not required to respond to, a collection of information unless it displays a currently valid OMB control number. The OMB control number is #0980-0047, approved through October 31, 2008. Reporting burden for the APSR and the CFS-101 is estimated to average 97 hours per response.

Inquiries To: Children’s Bureau Regional Program Managers (Attachment E)

Joan E. Ohl
Commissioner
Administration on Children,
Youth and Families

Section F. Attachments

PI 08-03
HTML or PDF (141 KB)

Attachment A: FFY 2008 Allocation Tables:

Title IV-B, subpart 1, Child Welfare Services (CWS)
HTML or PDF (19 KB)
Title IV-B, subpart 2, Promoting Safe and Stable Families (PSSF)
HTML or PDF (42 KB)
Child Abuse and Neglect Prevention and Treatment Act (CAPTA)
HTML or PDF (18 KB)
Chafee Foster Care Independence Program (CFCIP)
HTML or PDF (38 KB)
Education and Training Vouchers (ETV)
HTML or PDF (17 KB)
FFY 2008 and 2009 Estimated Allotments for Monthly Caseworker Visits
HTML or PDF (17 KB)

Attachment B: CFS-101

Part I: Annual Budget Request for Title IV-B, Subpart 1 & 2 Funds, CAPTA, CFCIP, and ETV Instructions
HTML or PDF (34 KB)
Part I: Annual Budget Request for Title IV-B, Subpart 1 & 2 Funds, CAPTA, CFCIP, and ETV Form
HTML or PDF (10 KB) or Word (41 KB)
Part II: Annual Summary of Child and Family Services Instructions
HTML or PDF (41 KB)
Part II: Annual Summary of Child and Family Services Form
HTML or PDF (31 KB) or Word (84 KB)
Part III: Annual Expenditures for Title IV-B, Subparts 1 and 2, Chafee Foster Care Independence (CFCIP) and Education And Training Voucher (ETV) Instructions
HTML or PDF (29 KB)
Part III: Annual Expenditures for Title IV-B, Subparts 1 and 2, Chafee Foster Care Independence (CFCIP) and Education And Training Voucher (ETV) Form
HTML or PDF (24 KB) or Word (54 KB)

Attachment C: Children's Bureau Sampling Strategy for Caseworker Visits Data
HTML or PDF (13 KB)

Attachment D: Assurances and Certificates
HTML or PDF (61 KB) or Word (53 KB)

Attachment E: Children's Bureau Regional Program Managers
HTML or PDF (16 KB)

¹ The following simplified example describes how to calculate visit months. If 5 children were visited each and every calendar month they were in foster care during the period and 1 child was in foster care 12 calendar months, 2 children were in foster care 11 calendar months, and 2 children were in foster care 9 calendar months, the total visit months is calculated as: (1 child*12 months) + (2 children*11 months) + (2 children*9 months) = 52 visit months. We emphasize that months and not individual visits are totaled; therefore, if a child has more than one visit in a calendar month, that is considered one visit month. (back)
² A visit month is included in this total if, for example, a child had three visits in one month and at least one of the three visits occurred in the child's residence. A "child's residence" is defined as the home where the child is residing, whether in-state or out-of-state, and can include the foster home or child care institution. (back)
³ For example, if a State falls shorts of the target percentage by less than 10%, the Federal financial participation (FFP) matching rate will be reduced by 1%. Since the FFP matching rate for title IV-B, subpart 1 is 75% (section 424(a) of the Act), in this example, the FFP rate would be 74%. Likewise, in this example, the State share would increase to 26%, from 25% in order for the State to access the full Federal allotment.(back)