ACYF-CB-PI-98-03

ACF Administration for Children and Families	U.S. DEPARTMENT OF HEALTH AND HUMAN SERVICES Administration for Children, Youth and Families
	1. Log No. ACYF-PI-CB-98-03	2. Issuance Date: March 5, 1998
	3. Originating Office: Children's Bureau
	4. Key Words: Title IV-B, subparts 1 and 2 State Plan; Annual Progress and Services Report; Child Abuse Prevention and Treatment Act; Independent Living Program

PROGRAM INSTRUCTION

TO: State Agencies, Territories and Indian Tribes Administering or Supervising the Administration of Title IV-B, subparts 1 and/or 2 of the Social Security Act. State Agencies Administering or Supervising the Administration of Title IV-E of the Social Security Act and programs under the Child Abuse Prevention and Treatment Act.

SUBJECT:June 30, 1998 submission of the Annual Progress and Services Report required for title IV-B of the Social Security Act (the Act) and the CFS-101, Annual Budget Request and Annual Summary of Child and Family Services.

LEGAL AND RELATED REFERENCES: Title IV-B, subparts 1 and 2 and Title IV-E, Section 477 of the Act; Section 106 of the Child Abuse Prevention and Treatment Act, as amended (42 U.S.C. 5101 et seq.); Adoption and Safe Families Act of 1997 (Public Law 105-89); 45 CFR 1357; ACYF-PI-CB-95-12, August 11, 1995; ACYF-PI-CB-95-23, October 11, 1995; ACYF-CB-PI-97-03, May 16, 1997; ACYF-CB-IM-97-09, December 24, 1997.

PURPOSE: The purposes of this Program Instruction (PI) are to: 1) advise States and Indian Tribes that the Annual Progress and Services Report (APSR) for title IV-B, subparts 1 and 2, is due by June 30, 1998; 2) provide information to States and Indian Tribes on the new title IV-B State plan requirements mandated by the Adoption and Safe Families Act of 1997 (P. L. 105-89); and, 3) provide all States, Territories and Indian Tribes with notice of their FY 1998 allotments for title IV-B, subparts 1 and 2.

BACKGROUND: The Federal regulations at 45 CFR 1357.15 set forth the requirement for a five year comprehensive Child and Family Services Plan (CFSP). These plans were submitted to the Administration for Children and Families (ACF) on June 30, 1995. For the remaining four years of the plan, annual updates (the Annual Progress and Services Report (APSR)) must be provided to ACF on the progress made on each goal and objective established in the CFSP, changes made to the goals and objectives, and descriptions of the child welfare services, including the Independent Living program (ILP) and the programs under the Child Abuse Prevention and Treatment Act (CAPTA). A CFS-101 is to be submitted with the APSR. The CFS-101 has two parts: Part I is the budget request form that States and Indian Tribes must submit to request their title IV-B and CAPTA Basic State Grant (BSG) funds; Part II is the required annual summary of Child and Family Services form for States and Indian Tribes to demonstrate the amount of funds to be spent in each program area by source, the number of individuals or families to be served and the geographic service area.

Amendments to title IV-B, subparts 1 and 2

On November 19, 1997, the Adoption and Safe Families Act of 1997 (P. L. 105-89) was signed into law. The law amended title IV-B, subparts 1 and 2 by:

Adding the following assurances to the title IV-B State plan --
1. Under section 422(b)(12), the State shall develop plans for the effective use of cross-jurisdictional resources to facilitate timely adoptive or permanent placements for waiting children.
2. Under section 432(a)(9), the State is to assure that in conducting service programs, the safety of the children to be served shall be of paramount concern.
Reauthorizing and expanding title IV-B, subpart 2 --
1. The heading of title IV-B, subpart 2 was changed from Family Preservation and Support Services to "Promoting Safe and Stable Families".
2. The definitions of family preservation and support services in section 431(a)(1) and (2) were amended to emphasize the safety of children.
3. Time-limited family reunification services and adoption promotion and support services, as defined in section 431(a)(7) and (8), were added.
4. Section 431(a)(9) added a statutory definition of "non-Federal" funds to mean "State funds, or at the option of a State, State and local funds."
The amendments to title IV-B, subpart 2, supersedes two sections of 45 CFR 1357. These are:
1. 45 CFR 1357.15(s), significant portion of funds used for family preservation and family support. The requirement for significant portion previously required States to provide a strong rationale if they planned to expend less than 25% of their title IV-B, subpart 2 funds for either family preservation or family support. As a result of the expansion of title IV-B, subpart 2 to include two new services, that definition no longer applies. In the absence of a final rule we are providing guidance (see "Instruction") to States on how to determine the significant portion requirement for fiscal year 1999.
2. 45 CFR 1357.32(f), maintenance of effort. For the purpose of implementing the maintenance of effort requirement, "non-Federal funds" means State funds, or at the option of the State, State and local funds. ACF will collect information annually from each State on expenditures for family preservation, family support, time-limited family reunification, and adoption promotion or support services using the State fiscal year 1992 as the base year. For fiscal year 1999 only, the amount to be spent on the four services must be equal to or exceed the amount spent in 1992 for family preservation and family support services. Additionally, the amended definition for "non-federal" funds under 45 CFR 1357.32(f) is retroactive to October 1, 1993. States may now apply the option in the new definition as they choose in implementing and expanding their service programs under title IV-B, subpart 2.

INSTRUCTION: This section describes the requirements States and Indian Tribes must meet to receive their title IV-B funds and CAPTA allotments (States only). States were required to consolidate the title IV-B State plan requirements and the CAPTA BSG State plan requirements in the June 30, 1997 APSR. A separate PI will provide States with the criteria for FY 1999 funding under CAPTA. The title IV-B, subpart 1, allotments for States and Indian Tribes for fiscal year 1998 and the estimated fiscal year 1999 allotments for title IV-B, subpart 2, are included in Attachment B of this PI.

States and Indian Tribes with an approved CFSP and applying for subpart 1 and/or 2 funds for FY 1999 must:
1. Submit an APSR and a CFS-101 (see Attachment A) that meets the requirements of 45 CFR 1357.16 by June 30, 1998.
  
  Note: For the maintenance of effort requirement in paragraph (6) of 45 CFR 1357.16 see the new definition in the background section of this Program Instruction.
2. Include the following information in the APSR:
  1. [An assurance] "... that the State shall develop plans for the effective use of cross-jurisdictional resources to facilitate timely adoptive or permanent placements for waiting children" [422(b)(12)];
  2. [An assurance] "... that in administering and conducting service programs under the plan, the safety of the children to be served shall be of paramount concern" [432(9)];
  3. A description of how the State or Indian Tribe will develop and implement time-limited family reunification services. If the State or Indian Tribe has existing time-limited family reunification services that meet the definition in section 431(a)(7), those services, goals and objectives should be described briefly.
  4. A description of how the State or Indian Tribe will develop and implement adoption promotion and support services. If the State or Indian Tribe has existing adoption promotion and support services that meet the definition in section 431(a)(8), those services, goals and objectives should be described briefly.
    
    States and Indian Tribes will be required to provide complete information on the planning for and delivery of time-limited reunification and adoption promotion and support services in the next five year Child and Family Services Plan.
  5. Significant portion. For the purpose of applying for FY 1999 funds only, States must indicate the specific percentage of title IV-B, subpart 2 funds that will be expended on actual service delivery of family preservation, community-based family support, time-limited family reunification and adoption promotion and support services, with a rationale for the decision. The State must have a strong rationale if the percentage provided is below 20% for any one of the service categories. The amount allocated to each of the service categories should not include funds for planning or service coordination - only service delivery. States should report separately the amount to be allocated to planning and service coordination.
  6. An update on the progress the State has made in the "... diligent recruitment of potential foster and adoptive families that reflect the ethnic and racial diversity of children in the State for whom foster and adoptive homes are needed" [422(b)(9); ACYF-PI-CB-95-23; ACYF-CB-PI-97-03];
  7. An update on the "... specific measures taken by the State to comply with the Indian Child Welfare Act" [422(b)(11); ACYF-PI-CB-95-12; ACYF-CB-PI-97-03];
  8. The CAPTA State plan information required for BSG funding. Funding will not be delayed for one program due to potential eligibility issues in the other program.
  9. The ILP application information (at the State option) into the APSR and apply for FY 1999 ILP funds. The requirements for ILP funding as outlined in ACYF-IM-CB-97-09 must be included in the APSR.
Indian Tribes that utilized FY 1998 title IV-B, subpart 2 funds as planning funds must:
1. Meet the requirements of 45 CFR 1357.15 for a one year CFSP for FY 1999 and the applicable requirements in section I, above.
2. Submit the CFSP and CFS-101 (see Attachment A) by June 30, 1998.
Indian Tribes newly eligible for FY 1999 title IV-B, subpart 2, funds.
1. Newly eligible Indian Tribes may use FY 1999 title IV-B, subpart 2, funds for planning or for services.
  1. Indian Tribes that elect to use these funds for planning must submit an application by June 30, 1998. A five year CFSP will be due in FY 1999 that is based on the planning process.
  2. Indian Tribes that elect to use these funds for services must submit a one year CFSP and a CFS-101 (see Attachment A) by June 30, 1998. The CFSP must meet the requirements of 45 CFR 1357.15 and the applicable requirements in section I, above. A five year CFSP will be due in FY 1999.
2. For additional guidance on the use of funds for planning or services, see ACYF-PI-94-04, January 1, 1994 and ACYF-CB-PI-97-03, May 16, 1997.

SUBMITTALS: An original and two copies of the APSR (Planning Application or the CFSP) and the CFS-101 must be submitted to the Administration for Children and Families (ACF) Federal Regional Office (see Attachment C). The Regional Office is to submit the original copy of the CFS-101 (signed and dated), to the following address:

Division of Formula, Entitlement and Block Grants
Office of Administrtation
Administration for Children and Families
370 L'Enfant Promenade, S.W.
Washington, D.C. 20447

Note: Fiscal Year 1998 appropriations (see Attachment B)If the amount previously requested on the CFS-101 for title IV-B, subpart 1 is less than the amount appropriated to a State or Indian Tribe, then a revised CFS-101 must be submitted. Submit an original of the revised CFS-101 to the appropriate ACF Regional Office by June 12, 1998 (no exceptions to this deadline will be granted). The ACF Regional Office will approve and date the CFS-101 before forwarding it to the Division of Formula, Entitlement and Block Grants.

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 valid OMB Control Number assigned to this information collection is 0980-0047, expiration date 12/31/98.

Public reporting burden for the APSR and the CFS-101 is estimated to average 125 hours per response. The public reporting burden for the CFSP is estimated to average 500 hours.

INQUIRIES TO:	ACF Regional Offices
	James A. Harrell
	Deputy Commissioner
	Administration on Children, Youth and Families

ATTACHMENTS

CFS-101, Parts I and II

Fiscal Year 1998 title IV-B Allotments

Attachment A-    Title IV-B, Subpart 1, FY 98 State Allotments
Attachment B-    Allotments For Direct Grants To Indian Tribes Under Section 428 Of The Social Security Act For Fiscal Year 1998
Attachment C-    Title IV-B, subpart 2, Promoting Safe and Stable Families
Attachment D-    Title IV-B, subpart 2, Promoting Safe and Stable Families
Attachment E-    US Department Of Health And Human Services, Administration For Children And Families, Regional Offices