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ACF Administration for Children and Families |
U.S.
DEPARTMENT OF HEALTH AND HUMAN SERVICES Administration for Children, Youth and Families |
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Log No.: 45 CFR Part 1357 | ||
Issuance Date: December 31, 1980 | ||
3. Originating Office: Office of Human Development Services |
ACTION: Interim Final Rule.
SUMMARY: The Office of Human Development Services is issuing a regulation which describes the systems and programs that the Secretary will find satisfactory as meeting the requirements of Section 427 of the Social Security Act (the Act). The Adoption Assistance and Child Welfare Act of 1980 (P.L. 96-272) amended the Social Security Act. The amended Act requires that in order to be eligible--
DATES:
This regulation is effective December 31, 1980. We will accept written comments on this regulation through March 16, 1981. See "Supplementary Information" for dates of public meetings.
ADDRESS:
Comments must be in writing and sent to:
Frank Ferro, P.O. Box
1182, Washington, D.C. 20013.
See "Supplementary Information" for addresses of public
meetings.
FOR FURTHER INFORMATION CONTACT:
Frank Ferro, Associate Chief, Children's Bureau, (292) 755-7418.
SUPPLEMENTARY INFORMATION:
Public Meetings. Public meetings on this proposed rulemaking will be held on the dates and at the locations listed below. For further information, contact the appropriate Regional Office of the Agency for Children, Youth and Families. January 9, Federal Reserve Bank Building Auditorium, 600 Atlantic Avenue, Boston, Massachusetts 02210,
Contact: Tina Janey
Burell
(617) 223-6450
January 9
Richard B. Russell Building,
75 Spring Street, N.W.,
Atlanta, Georgia 39323
Contact: James K.
Vaughn
(404) 221-2300
January 12
Federal Building,
Rooms 13029 and 15018,
450 Golden Gate Avenue,
San Francisco, California 94102
Contact:
Beverly Wood
(415) 556-6153
January 13
American Dental Society Building,
211 E. Chicago Avenue,
Chicago, Illinois 60606
Contact:
Forrest Lewis
(312) 353-1784
January 14
Dallas Public Library
Room: Auditorium
1954 Commerce Street
Dallas, Texas 75202
Contact: Patricia
Newlin
(214) 767-6596
January 16
Federal Building
Room 140
601 E. 12th Street
Kansas City, Missouri 6410
Contact: Richard
Schrader
(816) 374-5401
January 19
The Regency Inn
3900 Elati Street
House of Common
Denver, Colorado 90204
Contact: Sue
Dignum
(303) 837-3106
January 23
William J. Green
Federal Building
600 Arch Street
Philadelphia, Pennsylvania 19101
Contact: Donald
Barrow
(215) 596-0390
January 28
World Trade Center Building
Room 4430
2 World Trade Center,
New York, New York
Contact: Caroline
Gionta
(212)264-4118
January 29
New Federal Building
915 Second Avenue,
Seattle, Washington 98101
Contact: Jeanne
Craig
(206) 442-0838
The Department finds that it is impracticable and contrary to the public interest to follow notice and comment rulemaking procedures for this regulation and that good cause exists to publish this portion of the regulations as an interim final. This provision is being published as an interim final rule because the Department recognizes that States must be notified of the standards the Secretary will apply in determining whether the requirements of Section 427 of the Act have been met. It is particularly important that States be notified of these standards since States meeting these standards are eligible now to receive federal financial participation in the cost of voluntary placements. States also must be notified of these standards so that appropriate planning activities may occur to qualify States for the additional funds under Section 427(a) of the Act.
Issuance of this regulation as interim final will also allow States to make application for one or more of the above options to be effective as early as the first quarter of FY 81 rather than waiting until the final regulation is issued. Notwithstanding the omission of notice and comment procedures, comments will be accepted for a seventy-five (75) day comment period. The Department will carefully review all comments received during this period before publishing the final rule. Legislative Authority The President signed the Adoption Assistance and Child Welfare Act of 1980 (Pub. L. 96-272) into law on June 17, 1980. These Amendments made some changes in title IV-B of the Act which provides States with child welfare services funds and create a new title IV-E to provide reimbursement to States for foster care maintenance and adoption assistance for eligible children. Regulatory Analysis Based upon the conditions established in Executive Order 12044 and the Secretary's implementing instructions, a threshold study has determined that a full regulatory analysis is not required of this significant regulation. (Catalog of Federal Domestic Assistance Program No. 13.645 Child Welfare Services--State Grants) Dated: December 22, 1980. Cesar A. Perales, Assistant Secretary for Human Development Services. Approved: December 23, 1980. Patricia Roberts Harris, Secretary of Health and Human Services. 45 CFR is amended by adding a new Part 1357 to contain requirements applicable to Title IV-B of the Social Security Act.
PART 1357--REQUIREMENTS APPLICABLE TO TITLE IV-B s 1357.30 Requirements for state eligibility for additional payments.
(a)For any fiscal year after FY 1979 in which a sum in excess of $141,000,000 is appropriated under Section 420 of the Act, a State shall not be eligible for payment of an amount greater than the amount for which it would be eligible if the appropriation were equal to $141,000,000 unless the following conditions have been met--
(a)(1) The State has conducted an inventory of all children who have been in foster care under the responsibility of the State for a period of six months or more preceding the inventory as described in paragraph (a)(3) of this section.
(a)(2) The State has implemented and is operating--
(i) A Statewide information system as described in paragraph (a)(4) of this section;
(ii) A case review system as described in paragraph (d) of this section for all children receiving foster care under the supervision of the State; and
(iii) A program of services designed to reunify children with their parents or families or to provide alternative permanent placements through adoption or legal guardianship as described in paragraph (a)(5) of this section.
(a)(3) Inventory.
The inventory shall be a listing of all children who have been in foster care for six months or more, by case number, date of birth, date of initial and current placement, and date of last administrative or judicial review, and for each child listed in the inventory the State agency shall determine--
(i) The appropriateness of and necessity for the current foster care placement;
(ii) Whether the child can or should be returned to his parents or freed for adoption; and
(iii) The services necessary to facilitate either return to the parents, placement for adoption or legal guardianship for the child.
(iv) In making the determinations required in this paragraph the State agency may use information from a case review conducted within the preceding six months, or the determinations may be made at the time of the child's next scheduled case review or earlier, at the option of the State.
If the determinations are made independently from the case review, the State agency shall follow the procedures required in paragraph (d) of this section, (Case Review System), to determine--
(a)(3)(A) The appropriateness and necessity of the current foster care placement;
(a)(3)(B) Whether to focus on reunification or adoption; and
(a)(3)(C) The services necessary to attain the placement goals.
(v) The State shall submit to the Secretary (in a form and manner to be prescribed) a report of the data gathered and the manner in which the inventory was conducted. The report shall be submitted no later than seven (7) months after the start of the inventory and shall include--
(v)(A) The total number of children in foster care at the time of the inventory by age, legal status, race, and sex;
(v)(B) The number of children in foster care six months or more at the time of the inventory, by case plan goal, age, race, and sex. Case plan goals to be used in the report shall be returned to own home; place for adoption; place with legal guardian(s); independent living; other permanent placement; long term foster care; and other (specify).
(v)(C) The number of children who are free for adoption and the approximate number thought to be eligible for adoption assistance under title IV-E.
(v)(C)(4) Information System.
The State agency shall establish a permanent Statewide information system. The system shall make it possible: to determine the locations of all children who have been in foster care during the preceding twelve months; to help ensure progress in moving children into permanent status wherever possible, through return home or through adoption; to document preplacement preventive services; to support proper case management; to provide a source of data for the reporting, monitoring, evaluation and inventory requirements of the Act; and to provide the State and Federal government with information for planning, policy development, technical assistance and budgeting.
(i) The statewide information system shall be capable of providing data from which the legal status, demographic characteristics, location and goals for placement of every child currently receiving foster care services or who has been in foster care within the preceding twelve months, may readily be determined.
(ii) The information system shall, at a minimum, meet the following criteria--
(A) Provide individual and aggregate data on all children receiving services for each political subdivision of the state;
(v)(B) Provide for the use of uniform definitions as the Secretary may require;
(v)(C) Provide for aggregation of data for the State consistent with dates, format and procedures as the Secretary may require; and
(v)(D) Provide for access to the case record for each child which will facilitate tracking and case management.
The data record shall include--
(v)(E) Assure compliance with Part 95, Subpart F of title (HHS approval of systems procurements in excess of $100,000 for which Federal financial participation is requested); and (v)(F) Assure protection of government rights to systems developed with Federal financial participation, as described in 45 CFR 74.145, Nonrevocable, royalty-free license.
(v)(F)(iii) The requirements under paragraph (a)(4)(ii) of this section shall be applicable to all children in foster care on October 1, 1980, or the date upon which the State desires to be found eligible for funds.
(v)(F)(iv) The case-specific information described in paragraph (a)(4)(ii)(D) of this section shall be maintained in a manner which will facilitate State annual reporting on title IV-E eligible children in placement under voluntary agreement beginning in FY 81. This report shall be submitted to the ACYF on the last day of November each year.
(v)(F)(v) States shall report and cooperate with studies [as prescribed by the Secretary] on children served in foster care or while remaining at home and on services provided to their parents. Forms and instructions will be furnished to the States after OMB approval.
(v)(F)(vi) To meet Federal reporting requirements, States shall provide information as the Secretary specifies.
(v)(F)(vi)(5) Services Designed to Reunify Families or Achieve Other Permanent Placements.
(v)(F)(vi)(5)(i) The program of services designed to help children return to their homes shall include--
The guidelines shall contain principles, policies and procedures which workers must follow--
The program of services designed to facilitate adoption or legal guardianship shall include--
(v)(F)(vi)(5)(iii) For each child under the care of the State, the case plan as required in paragraph (d) of this section, Case Review System, shall include--
(v)(F)(vi)(5)(iii)(1) Goals for reunification with families, or a discussion of factors considered in a determination that the child cannot be returned home and goals for alternative permanent placement; and
(v)(F)(vi)(5)(iii)(2) Documentation of the caseworker's actions in application of the principles, policies, and procedures set forth in the State's guidelines as required in sub-paragraph (a)(6)(i)(C) or (a)(6)(ii)(C) as appropriate.
(v)(F)(vi)(5)(iv) A description of the program of services to reunify families to achieve other permanent placement shall be submitted to the RPD for review and approval.
(v)(F)(vi)(6) Determinations as to whether a State agency has met the requirements of paragraph (a) of this section shall be based upon the reports submitted and on-site surveys of implementation and shall be made prior to award of additional payments. (b) If, for any two consecutive fiscal years after Fiscal Year 1979, there is appropriated under Section 420 of the Act a sum equal to or greater than $266,000,000, a State's allotment amount for any fiscal year after those two consecutive fiscal years shall be reduced to an amount equal to its allotment amount for Fiscal Year 1979 unless the following conditions have been met--
(b)(1) The State agency has completed an inventory of children in foster care and determination of the appropriateness of placement and the report of the type specified in paragraphs (a), (3), and (4) of this section;
(b)(2) The State agency has implemented and is operating--
(b)(2)(i) A statewide information system as described in paragraph (a)(4) of this section;
(b)(2)(ii) A case review system as described in paragraph (d) of this section for all children receiving foster care under the supervision of the State; and
(b)(2)(iii) A program of services designed to reunify children with their parents or families or to provide alternative permanent placements through adoption or legal guardianship as described in paragraph (a)(5) of this section.
(b)(3)The State agency has implemented and is operating a program of pre- placement preventive services, policies and procedures designed to help children remain with their families. The State agency's program of pre-placement preventive services shall include--
(i) Twenty-four hour emergency caretaker and homemaker services, day care, crisis counseling, individual and family counseling, emergency shelters, procedures and arrangements for access to available emergency financial assistance; and arrangements for the provision of temporary child care to provide respite to the family for a brief period, as part of a plan for preventing foster care placement.
(ii) Other services which the agency identified as necessary and appropriate, such as home-based family services; self-help groups; provision of, or arrangements for, mental health, drug and alcohol abuse counseling, and vocational counseling or vocational rehabilitation;
(iii) Written guidelines which workers shall use for assessing the feasibility and appropriateness of services to support and improve family functioning or for determining when a child should be removed from a home and which specify the factors to be considered in making such a decision, including who within the agency shall be involved in the decision.
(iv) Written guidelines which specify the circumstances in which prior efforts to prevent placement would not be required, including situations when--
(b)(3)(A) The circumstances in the home present a substantial risk of harm to the child's welfare; or (b)(3)(B) Preventive services have been offered but were refused by the family.
(b)(4) For each child under the care of the State, there shall be documentation in the case plan of caseworker efforts to prevent placement through the application of the principles, policies and procedures set forth in the State's guidelines as specified in paragraph (b)(3)(iii) and a statement as to why such efforts failed to prevent the child's removal or why these efforts were not required.
(b)(5) A description of the program of pre-placement preventive services shall be submitted to the RPD for review and approval.
(b)(6) Determination as to whether a State agency has met the conditions of paragraph (b) of this section shall be based upon the reports submitted and on- site surveys of implementation. (c) Amount expended by the State for the purposes of complying with the requirements of paragraphs (a) and (b) of this section shall be conclusively presumed to have been expended for child welfare services.
(d) Case Review System. The State agency shall develop and implement a case review system that shall ensure, for each child receiving foster care maintenance payments under the State title IV-E plan, a case plan, periodic review of the child's status, and procedural safeguards regarding the rights of the child and the parent(s).
(d)(1) Definition of Terms.
(d)(1)(i) Appropriate
Notice to the Child means written notice or person-to- person discussion that takes into account the child's ability to understand what is being conveyed without raising excessive anxiety or fear.
(d)(1)(ii) Child of Appropriate Age means that the child is able to understand the circumstances and implications of the situation in which he or she is involved and is able to participate in the decision or process without excessive anxiety or fear.
(d)(1)(iii) Close Proximity to Parent(s) Home means a placement nearest the home community or residence of the child's parent(s) or legal guardian(s) that is consistent with the child's best interest and special needs. Factors to be considered include ease with which the child, his or her parent(s) and family may visit each other and the availability of services the child may require.
(d)(1)(iv) Determining the Continuing Necessity and Appropriateness of Placement means an assessment of the conditions in the child's own home to determine whether the child should return home. If the review of the home indicates that continued foster care is required, the assessment shall also include a determination of whether the placement and the services provided are appropriate to the child's needs and whether the service goals in the case plan are still appropriate.
(d)(1)(v) Placement in the Least Restrictive Setting means the most family- like setting that can provide the environment and services needed to serve the child's best interests and special needs. In order of consideration, this means placement with relative(s), tribal member(s), foster family care, group home care and institutional care.
(d)(2) Case Plan.
(d)(2)(i) The State agency shall develop written policies and appropriate procedures to be in effect throughout the State which will assure that children will be placed in the least restrictive setting available and in close proximity to the parent(s)' or family home, consistent with the best interests and special needs of the child. The State agency shall develop a Statewide procedure for approving out-of-state placements or placements beyond a specified distance from the child's home.
(d)(2)(ii) The case plan shall be a separate, identifiable written document which includes for each child a relevant history and diagnostic assessment, sets goals, and describes significant transactions involving the child, including, after October 1, 1983, the preventive services which were offered or provided prior to placement.
(d)(2)(iii) The case plan shall be developed within a 30 day period, starting at the time the agency assumes responsibility for providing services or placing the child, and shall include at a minimum--
(d)(3) Periodic Review. The case review system shall provide for a review of the status of each child no less frequently than once every six months by a court, or by an administrative review.
The periodic review shall include--
(d)(3)(i) A determination of the continuing necessity for and appropriateness of the child's placement;
(d)(3)(ii) A discussion of the extent to which all parties have complied with the case plan and achieved the goals described in the plan;
(d)(3)(iii) A summary of progress toward alleviating or mitigating the circumstances necessitating placement; and
(d)(3)(iv) A target date by which the child may be returned home or placed for adoption, legal guardianship or other permanent placement.
(d)(4) Administrative Review.
(d)(4)(i) When the periodic review is an administrative review it shall be conducted by a panel of appropriate persons, at least one of whom is not a part of the direct line of supervision in the delivery of services to the child or parent(s) being reviewed. The review panel may include agency staff, staff of other agencies, officers of the court and citizens qualified by experience, professional background or training.
(d)(4)(ii) Members of the administrative review panel shall receive instructions which will enable them to understand the review process and their roles as participants.
(d)(4)(iii) The administrative review shall be open to the participation of the parent(s) and the child, if of appropriate age, and may include the foster parents. The agency shall develop methods and procedures for assuring that written notice will be sent to the child's parent(s) two weeks prior to the review, notifying them of the date and location of the review, and the rights of parent(s) and the child to be accompanied by a representative of their choice.
(d)(4)(iv) Following the review, a written statement of the conclusions and recommendations shall be made available to all participants in the review, subject to agency safeguards relative to the confidentiality of information.
(d)(5) Dispositional Hearings.
(d)(5)(i) The case review system shall require a dispositional hearing for each child no later than 18 months after placement; and shall have additional dispositional hearing(s) annually thereafter, unless otherwise determined by a court of competent jurisdiction.
(d)(5)(ii) The dispositional hearing shall be held by a family, juvenile or other court of competent jurisdiction, including a tribal court, or by an administrative body appointed or approved by the court.
(d)(5)(iii) The hearing shall determine the child's future status, including whether--
(d)(6) Procedural Safeguards for the Rights of Parents and Children.
(d)(6)(i) Procedural safeguards shall be applied with respect to the rights of parents, families and children pertaining to--
(d)(6)(i)(A) Removal of the child from the home of his or her parent(s) or other family member(s);
(d)(6)(i)(B) Any change in the child's foster care placement; and
(d)(6)(i)(C) Any determination affecting the visitation arrangements of the parent(s) or other family member(s).
(d)(6)(ii) Procedural safeguards shall include--
(d)(6)(ii)(A) Prior written notice of the agency's intent to petition the court to remove a child from the home of his or her parent(s) or other family member(s). Notice shall be provided two weeks in advance of the intended action and shall specify the nature of the hearing; how counsel may be obtained; the right to written findings from the hearing and how they may be obtained; and the right to appeal.
The State shall have a method of verifying that the parent(s) or family received the notice. This prior notice requirement will apply to all court proceedings with regard to neglect, dependency or termination of parental rights unless the child's health or well-being would be endangered if prior notice were given.
(d)(6)(ii)(B) A method of ensuring that notice of the intent to petition the court to remove the child from the home or to terminate parental rights is given in the language of the family and/or is given orally if there are indications that the parent does not read.
(d)(6)(ii)(C) Written notice of any intended change in placement or visitation agreement.
The Notice shall be sent to the parent(s) or family two weeks in advance, with a statement advising them of their right to comment and to a review and discussion of the proposed change with a person not responsible for the case management or delivery of services to the parent(s) or child, unless the child's health or well-being is endangered by delaying the action or would be endangered if prior notice were given;
(d)(6)(ii)(D) Procedures which shall ensure review of the parent(s)' objection(s) and provide for a discussion of the proposed change with the parent(s); and
(d)(6)(ii)(E) Appropriate notice of the intended change in placement or visitation arrangement to the child, given two weeks in advance, unless the child's health or well-being is endangered by delaying the action or would be endangered if prior notice were given. (Adoption Assistance and Child Welfare Act of 1980, Pub. L. 96-272, 42 U.S.C. 670 et seq., 94 Stat. 501, 42 U.S.C. 620, 94 Stat. 516 et seq., Section 1102 of the Social Security Act, as amended, 42 U.S.C. 1302) 45 FR 86812-01
Attachments:
Attachment 1: Notice of Proposed Rulemaking
Attachment 2: Parts 1355, 1356 and 1357