ACYF-CB-PI-9-07

ACF Administration for Children and Families	U.S. DEPARTMENT OF HEALTH AND HUMAN SERVICES Administration for Children, Youth and Families
	1. Log No: ACYF-CB-PI-99-07	2. Issuance Date: March 25, 1999
	3. Originating Office: Children's Bureau
	4. Key Words: Title IV-B Child and Family Services State Plan; CAPTA State Plan; ILP

PROGRAM INSTRUCTION

TO: State Agencies, Indian Tribes, Indian Tribal Organizations Territories and Insular Areas Administering or Supervising the Administration of Title IV-B, subparts 1 and 2, or subpart 2 only, of the Social Security Act, Title IV-E of the Social Security Act; and State Office or Organization Designated by the Governor to Apply for Child Abuse and Neglect State Grant Funds.

SUBJECT: June 30, 1999 Submission of: (1) the Child and Family Services Plan Final Report required for title IV-B of the Social Security Act (the Act); (2) the Fiscal Year 2000 - 2004 Child and Family Services Plan; (3) the CFS-101, Annual Budget Request and Annual Summary of Child and Family Services; (4) the Child Abuse and Neglect State Plan; and (5) the application for the Independent Living program (optional).

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-93-16, December 10, 1993, Independent Living Program; ACYF-PI-CB-95-12, August 11, 1995, Indian Child Welfare Act; ACYF-PI-CB-95-23, October 11, 1995, Multiethnic Placement Act (Diligent recruitment only); and ACYF-PI-CB-98-05, April 28, 1998, Title IV-B, subparts 1 and 2, State Plan Assurances.

PURPOSE: This Program Instruction (PI) provides guidance to States and eligible Indian Tribes on actions they are required to take in order to receive their allotments for fiscal year 2000 (subject to the availability of appropriations) authorized under title IV-B, subparts 1 and/or 2, and for States only, the Child Abuse Prevention and Treatment Act (CAPTA). It also affords States an opportunity to apply for FY 2000 funds for the Independent Living Program. In order to receive funds for fiscal year 2000, State and Indian Tribal actions will involve developing and submitting, by June 30, 1999:

A final report for fiscal years 1995-1999 on services provided under the CFSP and CAPTA State plans;
A five-year Child and Family Services Plan for fiscal years 2000-2004 for title IV-B, subparts 1 and/or 2, including the title IV-B State plan requirements mandated by the Adoption and Safe Families Act of 1997 (P. L. 105-89), and for States a five-year CAPTA State Plan; and
The CFS-101 for title IV-B, subparts 1 and 2, and for States only, CAPTA, for FY 2000.

BACKGROUND:

Child and Family Services Plan

The Federal regulation at 45 CFR 1357 applies to State and Indian Tribes receiving funds under title IV-B, subparts 1 and/or 2. It includes the requirements for a five-year comprehensive Child and Family Services Plan (CFSP), annual updates, and a final report on the progress made toward accomplishing the goals and objectives in the CFSP. Paragraph (e) of 45 CFR 1357.16 requires that in Fiscal Year (FY) 1999, States and eligible Indian Tribes conduct a final review of the progress made toward accomplishing the goals and objectives in the CFSP for FYs 1995-1999. On the basis of the final review, States and eligible Indian Tribes must prepare a final report and submit the report to ACF. Paragraph (f) of 45 CFR 1357.16 requires States and eligible Indian Tribes to prepare a new five-year CFSP that is based on the final review and the requirements in 45 CFR 1357.15.

Since the submission of the first five year CFSP, the Adoption and Safe Families Act (ASFA) of 1997 was signed into law on November 19, 1997. Among other things, ASFA amended title IV-B, subparts 1 and 2 by:

adding new assurances to the State plan under title IV-B, subparts 1 and 2 (sections 422(b)(12) and 432(a)(9));
emphasizing safety in the delivery of services in sections 422(b)(B)(iii), (iv) and section 431(a)(1)(2) of the Act;
defining "non-Federal" funds (section 431(a)(9));
adding two new services (time-limited family reunification services, and adoption promotion and support services) under title IV-B, subpart 2 (sections 431(a)(7) and (8)) (see ACYF-CB-PI-98-03, March 3, 1998); and,
requiring a significant portion of funds be spent on all four services under title IV-B, subpart 2.

Child Abuse Prevention and Treatment Act State Plan (States only)

Section 106(b)(1)(A) of CAPTA requires the submission of a State program plan every five years. This plan is to be used for the support and improvement of State child protective services (CPS) systems in one or more of the nine program areas set forth in section 106(a) of CAPTA. Section 106(b)(2)(A) further requires an assurance (in the form of a certification by the Governor of the State) that the State has in effect and is enforcing a State law, or has in effect and is operating a statewide program, relating to several areas of child abuse and neglect.

In order to help States to plan comprehensively for the full array of child welfare services, from prevention and protection through permanency, we have consolidated the CFSP and the CAPTA plans. In addition, such consolidation reduces duplicative information requirements for the CFSP and the CAPTA plans. (See also ACYF-NCCAN-PI-97-01, March 12, 1997 and ACYF-CB-PI-97-03, May 16, 1997.)

Compliance with the eligibility requirements for a CAPTA State plan is a prerequisite for eligibility for funds under the Children ’s Justice Act State Grant Program authorized by Section 107(a) of CAPTA.

Independent Living Program (ILP) (States only)

In addition to meeting the requirements of title IV-B, subparts 1 and 2, States must include in their CFSP information on the ILP under title IV-E of the Social Security Act (see section 1357.15(a)(2)(I)). States may consolidate the ILP application into the title IV-B CFSP and still meet the requirement in 45 CFR 1357.16(a)(4). By doing so, States can receive their ILP funds earlier in the fiscal year.

Although consolidation of the ILP application into the title IV-B planning process is encouraged, pooled funding among the programs is not allowed, since separate funding streams and accountability are still required by statute. While the information on the two programs may be consolidated into one plan, eligibility and funding for the individual programs will be kept separate and funding will not be delayed for one program due to potential eligibility issues in the ther program.

INSTRUCTION: This section describes the requirements States and eligible Indian Tribes must meet to receive their title IV-B and CAPTA (States only) allotments for FY 2000. The final report, the FY 2000-2004 CFSP, and the CFS-101 for FY 2000 must be submitted to ACF by June 30, 1999. The Final Report and the five-year CFSP should meet the requirements of 45 CFR 1357 and title IV-B, subparts 1 and 2 of the Act. The following sections provide additional guidance as a result of either previous Children ’s Bureau issuances or due to changes in title IV-B resulting from ASFA.

A. Final Report for Fiscal Years 1995-1999 for the CFSP and CAPTA State Plans
1. The final report may be submitted in the format of the State ’s or Indian Tribe’s choice. (Insular Areas that submitted a CFSP should also submit a final report on their CFSP.)
2. Each State and each Indian Tribe must conduct a review of the progress made toward accomplishing the goals and objectives in the CFSP. When conducting the final review, the State and the Indian Tribe must involve the agencies, organizations, and individuals that are a part of the on going CFSP-related consultation and coordination process. The final report must include the progress made on the goals and objectives for FY 1995 through FY 1999.
  
  Indian Tribes that became eligible for title IV-B, subpart 2, funds after June 30, 1995, are to submit a final report for the years covered by their CFSP.
3. The final report must include, at a minimum:
  1. A description of the specific accomplishments and progress made toward meeting each goal and objective in the State’s and Indian Tribe’s CFSP, including information on outcomes for children and families, and a more comprehensive, coordinated, effective child and family services continuum. In describing the accomplishments and progress in the final report, States and Indian Tribes should incorporate their initial baseline data and information, as well as that data and information gathered in subsequent annual reviews. In developing the final report the State or Indian Tribe should address barriers, unexpected events, etc. that impacted their accomplishment of the goals and objectives.
  2. A description of the progress made in the areas of training, technical assistance, research, evaluation, or management information systems in support of the goals and objectives in the CFSP.
  3. A description of the progress and accomplishments made 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.
  4. CAPTA information:
    1. Accomplishments to date under the CAPTA portion of the consolidated CFSP.
    2. States that did not meet the assurance requirements set forth under sections 106(b)(2)(A)(I)(xiii), 106(b)(2)(B) and 106(b)(2)(d) of CAPTA, but certified they would meet them by October 3, 1998 or June 30, 1999, need to provide information whether they have met the outstanding requirements. If the State is not in complete compliance, what was done to come into compliance, why was compliance not achieved, and what actions are being taken to try to meet the outstanding requirements’
    3. States with established citizen review panels, submit a copy of the annual report(s) from the citizen review panels. Section 106(d) of CAPTA requires that the citizen review panels develop annual reports and make them available to the public. The report should include, at a minimum, a summary of the panel’s activities, the recommendations of the panel based upon its activities and findings, and include information on the progress States are making in implementing the recommendations of the panels.
  5. For States operating a child welfare demonstration project under section 1130 of the Social Security Act (the Act), a description of the accomplishments and progress in the demonstration project as they relate to the goals and objectives in the State’s CFSP.
  6. Provide information in the final report on the status of implementing the transition rules as they apply to "new" and "current" children in foster care as described in PI ACYF-CB-PI-98-14, August 20, 1998.
  7. Any other information the State or the Indian Tribe wishes to include.
B. Five-year Child and Family Services Plan
1. Title IV-B, subparts 1 and 2, Child Welfare Services and Promoting Safe and Stable Families; 45 CFR 1357.15
  
  Development of the CFSP provides an opportunity to lay the groundwork for a system of coordinated, integrated, culturally relevant family-focused services. States and Indian Tribes should keep in mind the requirements of ASFA as they plan for the full continuum of child welfare services in the new CFSP. Additionally, the CFSP should be developed reflecting the service principles at 45 CFR 1355.25. We especially encourage States to work toward preventing and eliminating discrimination in the placement of children for adoption and foster care on the basis of race, color or national origin. The process of coordination and collaboration implemented during the previous plan development, and continued annually for the Annual Progress and Services Report (APSR), should be continued in the development of the CFSP for FYs 2000 - 2004. The initial baseline information, as updated in each APSR, should serve as a basis for the development of the State’s and Indian Tribe’s CFSP vision, goals, objectives, funding, and service decisions.
  
  As State and Indian Tribal staff develop the CFSP to meet the requirements in 45 CFR 1357, they must apply each section of this regulation to the two new services under title IV-B, subpart 2. The only paragraph not applicable to the new services is 45 CFR 1357.15(r). This paragraph is applicable only to family support services.
  
  In addition to the requirements of 45 CFR 1357 and title IV-B, subparts 1 and/or 2, the following must also be incorporated into the CFSP. These requirements apply to States and Indian Tribes applying for funds for one or both subparts of title IV-B, unless otherwise noted.
  1. The development of the CFSP for FYs 2000-2004 must be based on information in the final report, and meet the requirements in 45 CFR 1357. The CFSP must include information on:
    - Child Welfare Services
    - Family Support
    - Family Preservation
    - Time - Limited Family Reunification Services
    - Adoption Promotion and Support Services
    - Child Abuse Prevention and Treatment Act (CAPTA) Services
    - The Independent Living Program (ILP)
    - Child Welfare Demonstrations approved under section 1130 of the Act, as appropriate.
  2. Services in relation to permanency planning, 45 CFR 1357.15(q). For States and Indian Tribes administering both title IV-B programs (subparts 1 and 2), or title IV-B, subpart 1 only, the CFSP must explain how these services (e.g., preplacement preventive services, time-limited family reunification services, independent living services) will help meet the permanency provisions for children and families in sections 422(b)(10) and 471 of the Act and meet the provisions for promoting safe and stable families in section 432(a). For additional information and guidance refer to ACYF-PI-CB-98-05, April 28, 1998 (Attachment G).
  3. States and Indian Tribes are to submit the assurances listed in 45 CFR 1357.15(c) and the two new assurances added to title IV-B (sections 422(b)(12) and 432(a)(9)). A form is attached listing these assurances, States and Indian Tribes may sign Attachment A and submit it with the CFSP or include them as part of the CFSP narrative.
  4. In addition to the information in 45 CFR 1357.15, States and Indian Tribes (if applicable), must provide the following information in the CFSP:
    1. States and Indian Tribes must collect and analyze State/Tribal-wide information on time-limited family reunification services and adoption promotion and support services currently available to families and children; 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.
    2. Significant portion of funds used for title IV-B, subpart 2, Promoting Safe and Stable Families (45 CFR 1357.15(s)) (States only). For the purpose of applying for FY 2000 funds, States must indicate the specific percentages of title IV-B, subpart 2 funds that the State will expend on actual service delivery of family preservation, community-based family support, time-limited family reunification and adoption promotion and support services, as well as planning and service coordination, with a rationale for the decision. The State must have an especially strong rationale if the percentage provided is below 20% for any one of the four service categories. 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. (See ACYF-PI-CB-98-03, March 5, 1998).
    3. Diligent recruitment. The State and Indian Tribe must provide for the diligent recruitment of potential foster and adoptive families that reflect the ethnic and racial diversity of children in the State/Tribe for whom foster and adoptive homes are needed. (See section 422(b)(9).) This applies to States and Indian Tribes applying for title IV-B, subpart 1, funds.
    4. Indian Child Welfare Act (States only). The State must provide a description, developed in consultation with Indian Tribes in the State, of the specific measures to be taken by the State to comply with the Indian Child Welfare Act. These measures must, at a minimum, provide for the identification of Indian children, notification of such to the relevant Indian Tribe, and for giving preference to Indian caregivers when determining out-of-home or permanent placements for Indian children, provided that the Indian caregivers meet all relevant child protection standards. (See section 422(b)(11).)
    5. Cross-jurisdictional resources. The CFSP must contain assurances that the State and Indian Tribes shall develop plans for the effective use of cross-jurisdictional resources to facilitate timely adoptive or permanent placements for waiting children. (See section 422(b)(12).) This applies to States and Indian Tribes applying for title IV-B, subpart 1, funds.
    6. Child welfare demonstrations activities (States only). The State will provide a description of the coordination efforts to integrate the activities under the CFSP with the goals and objectives of the demonstration, where applicable. In particular, the State will discuss how title IV-B monies are used to maximize the use of flexible title IV-E dollars in the demonstration.
    7. For those States receiving an adoption incentive payment, specify the services that have been, or will be, provided to children and families with the adoption incentive funds.
    8. Describe the capacity of the State child welfare agency and the State judicial system to implement and meet the requirement to file a petition to terminate the parental rights of the child’;s parents, if the exclusions do not apply, when a child has been in foster care for 15 of the most recent 22 months.
  5. The Federal regulation at 45 CFR 1357.32(f) (maintenance of effort) uses the States’ 1992 fiscal year as the base year for determining maintenance of effort. For purposes of this PI, the base year will remain the same for all four service areas under title IV-B, subpart 2.
  6. The Virgin Islands, Guam, American Samoa, and the Northern Mariana Islands may submit consolidated grant applications in accordance with 45 CFR Part 97. These jurisdictions need not submit an application under this Program Instruction but may choose to have their title IV-B, subparts 1 and/or 2, allotments included in a consolidated grant and expend these funds under authority of another program that is available for consolidation. If the Insular Areas choose to consolidate their application for title IV-B, subparts 1 and/or 2, they must notify their ACF Regional Office in writing of their intent by June 30, 1999.
    
    Insular Areas that choose to submit a CFSP may do so and submit the plan to their ACF Regional Office by June 30, 1999.
2. Child Abuse Prevention and Treatment Act State Plan (States only)
  
  States must develop a five-year plan for improvement of their CPS system and consolidate it with their CFSP in order to be eligible to receive a grant under section 106. The CAPTA plan must include the following information:
  1. (a) The program areas selected for improvement from the nine areas in section 106 (a) (1) through (9) of CAPTA;
  2. (b) An outline of activities that the State intends to carry out with its Basic State Grant funds;
  3. (c) A description of the services and training to be provided under the Basic State Grant as required by section 106 (b) (2) (C) of CAPTA;
  4. (d) Include the assurances form (Attachment B) that has been completed and signed by the Chief Executive Officer of the State;
  5. (e) Notification regarding 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. Note: States do not have to notify the ACF of statutory changes or submit them for review if they are not substantive and would not affect eligibility; and
  6. (f) Include a request for FY 2000 funds in the CFS-101 at Attachment D.
  The Virgin Islands, Guam, American Samoa, and the Northern Mariana Islands may submit consolidated grant applications in accordance with 45 CFR Part 97. These jurisdictions need not submit an application under this Program Instruction but may choose to have their allotments included in a consolidated grant and expend these funds under authority of another program that is available for consolidation.
3. Independent Living (States only)
  1. (a) States are required to include in the CFSP a description of the independent living services to be provided in the upcoming fiscal year (FY 2000) (see 45 CFR 1357.16(a)(4)).
  2. (b) States may elect to consolidate the ILP application information into the CFSP and apply for FY 2000 ILP funds. If the ILP application is not incorporated into the June 30, 1999 CFSP, then the State must submit the ILP application for FY 2000 by January 31, 2000. States are encouraged to incorporate the ILP application with the CFSP in order to receive their ILP funding at the start of the fiscal year. The requirements for ILP funding as outlined in ACYF-PI-93-16, December 10, 1993 (Attachment F) must be included in the CFSP if a State chooses to consolidate.
  3. (c) ILP Program Reports must be submitted no later than January 1, 2000 for FY 1999.

SUBMITTALS: The originals of the Final Report, the CFSP, the CFS-101, and the signed Assurances and Certifications included under Attachments A - C must be submitted by June 30, 1999, to the ACF Federal Regional Office.

States and Indian Tribes may submit the above documents as a paper copy or submit the documents on a 3.5 diskette to the Regional Office. Please specify what format the files are in (i.e., Word, WordPerfect, Excel, etc.). This is optional and States and Indian Tribes are not required to submit a diskette.

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 Administration
Administration for Children and Families
370 L’Enfant Promenade, S.W.
Washington, D.C. 20447

Fiscal Reports

Title IV-B, subparts 1 and 2

States and Indian Tribes are required to submit fiscal reports at the end of each 12 months of the grant period. Fiscal reports covering the first 12 months of a budget period are interim reports and the report covering the entire grant period is the final report. The first report is due 30 days after the end of each 12 months budget period. The final report is due 90 days after the end of the fiscal year succeeding the fiscal year of the grant award (December 31). Funds under title IV-B must be expended by September 30 of the fiscal year following the fiscal year in which the funds were awarded. Expenditures under title IV-B are to be reported by the State or Indian Tribe using a Standard Form 269, Financial Status Report, and submitted directly to the appropriate Regional HUB Director or Administrator.

CAPTA

States are required to submit fiscal reports at the end of each 12 months of the grant period. Fiscal reports covering the first 12 months of a budget period are interim reports and the report covering the entire grant period is the final report. The first report is due 30 days after the end of each 12 months budget period. The final report is due 90 days after the end of the fiscal year succeeding the fiscal year of the grant award (December 31). Funds under CAPTA must be expended within five years from the date of the award. Expenditures under CAPTA are to be reported by the State using a Standard Form 269, Financial Status Report, and submitted directly to the appropriate Regional HUB Director or Administrator.

ILP

Expenditures under the ILP are to be reported by States on a Standard Form 269 (SF-269), Financial Status Report. To minimize the burden, SF-269s are required on a semi-annual basis, except for the first SF-269 of the two-year expenditure period which will be due at twelve months. Reports will be due 30 days after each reporting period. The final report will be due 90 days after the end of the grant year. The first report covering the period October 1 through September 30 of the first year will be due 30 days after the end of the expenditure period, or October 31. The second report covering the period October 1 through March 31 will be due 30 days after the end of the expenditure period, or April 30. The final report covering the period April 1 through September 30 of the second year will be due 90 days after the end of the expenditure period, or December 31. The Standard Form 269 should be submitted directly to the appropriate Regional HUB Director or Administrator. (For additional information, see ACYF-PI-93-16.)

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.

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 300 hours.

INQUIRIES TO:	ACF Regional Offices
	Patricia Montoya
	Deputy Commissioner
	Administration on Children, Youth and Families

ATTACHMENTS

Attachment A-    Title IV-B Child And Family Services Plan: Assurances
Attachment B-    State Chief Executive Officer's Assurance Statement For The Child Abuse And Neglect State Plan
Attachment C-   Certifications    (Note: This link will open up another window)

Attachment D: CFS 101

Part I
CFS-101 Instructions
CFS-101 Part I: Instructions
Part I, Annual Budget Request

Part II
Part II, Instructions
Part II, Annual Summary of Child and Family Services

Title IV-B, Sub-part 1

Child Welfare Services
FY 1999 Child Welfare Services Funds for Indian Tribes

Title IV-B, Sub-part 2 -- Promoting Safe and Stable Families:

FY 2000 Estimated Allotment at $295,000,000

Estimated FY 2000 Funds for Indian Tribes

FY 1999 Funds for States

FY 1999 Funds for Eligible Indian Tribes

Independent Living Program

CAPTA

Attachment E:   ACYF-PI-93-16, December 10, 1993
Attachment F:   ACYF-PI-CB-98-05, April 28, 1998
Attachment G:   ACF Regional Administrators