| ACF Administration for Children and Families |
U.S. DEPARTMENT OF HEALTH AND HUMAN
SERVICES |
||
| 1. Log No.: ACYF-CB-PI-01-03 | 2. Issuance Date: February 14, 2001 | ||
| 3. Originating Office: Children's Bureau | |||
| 4. Key Word: Title IV-B Child and Family Services State Plan; CAPTA State Plan; Chafee Foster Care Independence Program; Annual Progress and Services Report | |||
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/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; and ACF Regional and Hub Directors.
SUBJECT: June 30, 2001 submission of the Annual Progress and Services Report required for: title IV-B of the Social Security Act (the Act), the Child Abuse Prevention and Treatment Act, and the Chafee Foster Care Independence Program; 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, Sections 471-472, 474-475, and 477 of the Social Security Act; Section 106 of the Child Abuse Prevention and Treatment Act, as amended (42 U.S.C. 5101 et seq.); the Indian Child Welfare Act of 1978 (Public Law 95-608); the Indian Self-Determination and Education Assistance Act (Public Law 93-638); the Social Security Act Amendments of 1994 (Public Law 103-432); Adoption and Safe Families Act of 1997 (Public Law 105-89); Intercountry Adoption Act of 2000 (Public Law 106-279); 25 CFR Ch.1, Part 23 Subparts A and B - Indian Child Welfare Act; 45 CFR Part 1357; ACYF-PI-CB-95-23, October 11, 1995, Multiethnic Placement Act (Diligent recruitment only); ACYF-PI-CB-98-03, March 5, 1998; ACYF-CB-PI-99-07 (Fiscal Year 2000 - 2004, Child and Family Services Plan); and ACYF-CB-PI-00-01-02, issued February 13, 2001.
PURPOSE: This Program Instruction (PI) summarizes the actions required under title IV-B, subparts 1 and 2 of the Act, the Child Abuse Prevention and Treatment Act (CAPTA), and Federal regulations at 45 CFR Part 1357 in order for States and Indian Tribes to receive their allotments of Federal funds for fiscal year (FY) 2002 under title IV-B and CAPTA (subject to the availability of funds).
BACKGROUND: In order to receive title IV-B and the Child Abuse Prevention and Treatment Act (CAPTA) funds for fiscal year 2002, States and Indian Tribes are required to submit the Annual Progress and Services Report (APSR) by June 30, 2001. The Federal regulation at 45 CFR Part 1357.15 requires States and Indian Tribes to submit a five-year plan and to update that plan each of the remaining years by submitting the APSR (45 CFR 1357.16). The APSR must contain information on the progress made on each goal and objective established in the Child and Family Services Plan (CFSP), changes made to the goals and objectives, and descriptions of the child welfare services provided by the State or Tribe. This PI references the items in the Federal regulation that must be included in the APSR, including information on CAPTA and the Chafee Foster Care Independence Program (CFCIP). Additionally, this PI contains those requirements that have not yet been codified in Federal regulation, but are required by statute.
In addition to meeting the requirements of title IV-B, subparts 1 and 2, States must include in their APSR information on their independent living programs under title IV-E of the Act (see section 1357.15(a)(2)(I)). The Foster Care Independence Act of 1999 (P.L. 106-169) was enacted on December 14, 1999. P.L. 106-169 amended section 477 of the Act to make additional funds available to States and provide them with greater flexibility in carrying out programs to help youth make the transition from foster care to self-sufficiency. The section below, "Chafee Foster Care Independence Program", provides additional information.
The CFS-101 is also 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 complete and submit to request their title IV-B, CAPTA and CFCIP funds. Part II is the Annual Summary of Child and Family Services form for States and Indian Tribes to include the estimated amount of funds to be spent in each program area by source, the estimated number of individuals or families to be served, and the geographic service area within which the service to be provided.
Child Abuse Prevention and Treatment Act State Plan (States only)
Section 106(b)(1)(A) of CAPTA requires the submission of a CAPTA State program plan every five years. In order to help States plan comprehensively for the full array of child welfare services, from prevention and protection through permanency, the CFSP and the CAPTA plans were consolidated beginning with FY 2000 (see ACYF-CB-PI-99-07). Therefore, States are required to provide an update on the progress in achieving stated goals and service delivery under CAPTA in the APSR. Please note that 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.
Although consolidation of CAPTA into the title IV-B planning process is required, pooled funding among the programs is not allowed, since separate funding streams and accountability are still required by statute. States must comply with statutory and regulatory provisions as they apply to their title IV-B and CAPTA programs. Eligibility and funding for the individual programs are kept separate and funding will not be delayed for one program due to potential eligibility issues in the other program.
Chafee Foster Care Independence Program (CFCIP) (States and Puerto Rico)
The Foster Care Independence Act of 1999 authorizes States to apply for funds for a period of five consecutive fiscal years by submitting a plan that meets specified requirements in section 477(b)(2) of the Act. To assist States in planning comprehensively for the full array of child welfare services, from prevention and protection through permanency, we are consolidating the CFSP and the CFCIP plans. This consolidation is consistent with both the requirements in CFCIP (see section 477(b)(3)(F)) and the regulation on the comprehensive CFSP (see 45 CFR 1357.15). The CFCIP requires a certification by the chief executive officer of the State to " make every effort to coordinate the State programs with other Federal and State programs for youth " (section 477(b)(2)(F)). The regulations for the CFSP require States to include information on their independent living program under title IV-E of the Act in the CFSP and the APSR in order to be eligible for funds under title IV-B. In addition, such consolidation reduces duplicative information requirements for the CFSP and the CFCIP plans.
In order to bring the two State plans into the same time frame, States applying for CFCIP funds are required to submit a four-year (FY 2001 - 2004) CFCIP plan with the APSR, due no later than June 30, 2001. Instructions for developing the CFCIP plan are in ACYF-CB-PI-01-02, issued February 13, 2001 (see Attachment B). In addition to submitting a four-year CFCIP plan, States and Puerto Rico are required to provide an annual update to their CFCIP plan for each of the four years under the plan, which is incorporated into the APSR.
As a prerequisite to receiving CFCIP funds for FY 2000, all States had to submit an application for CFCIP funds under Program Instruction ACYF-CB-PI-00-04, issued April 20, 2000. The application process was an abbreviated one due to the passage of the Foster Care Independence Act in December, 1999, and represented a one-year plan. Accordingly, States will address the activities conducted during FY 2000 in their June 30, 2001, APSR as instructed in ACYF-CB-PI-01-02.
The CFS-101, Part I, Annual Budget Request form has been modified to reflect the new name for the independent living program and for requesting funds. The CFS-101, Part II, Annual Summary of Child and Family Services form, has also been modified to reflect the CFCIP. These forms can be found at Attachment E.
Indian Child Welfare Act
In 1978, the Indian Child Welfare Act (ICWA) was enacted. Indian Tribes were granted extensive jurisdiction in child welfare cases involving Indian children, recognizing "that there is no resource that is more vital to the continued existence and integrity of Indian Tribes than their children." ICWA "established minimum standards for the removal of Indian children from their families and the placement of such children in foster or adoptive homes, which will reflect the unique values of Indian culture". States are required to comply with this law in their child welfare practices. Many States have policies and procedures that address the specific elements laid out in the legislation. However, there were no Federal requirements for States reporting on ICWA compliance in either the legislation or subsequent regulations.
In October 1994, P.L. 103-432 was passed, which amended the Social Security Act. This statute amended section 422(b) by adding paragraph (11) that requires States, in consultation with Tribes and Tribal organizations, to describe the specific measures taken by the State to comply with ICWA. (Tribal organizations are defined in Section 4 of P.L. 93-638, the Indian Self-Determination and Education Assistance Act). Additionally, States are to provide an update to the goals and activities that have been undertaken, and will be completed, to improve, or maintain, compliance with ICWA. The major ICWA requirements are listed under Attachment A to provide a clear understanding of what the law requires.
Consultation with Tribes:
A central element of P.L. 103-432 is that the States' actions must be developed "after consultation with Tribal organizations". Tribes and Tribal organizations determine who speaks for them. The nature of the State/Tribal relationship should be reflected in appropriate persons of authority (high level leaders, officials or managers) from both the State and Tribe participating in consultations/meetings. A face-to-face contact with Tribes and Tribal organizations, providing an opportunity for everyone to speak, is seen as an optimal format. Existing forums for State/Tribal discussion may be used to meet this requirement. Flexibility must be allowed to meet individual situations.
In those States where there are no Federally recognized Tribes, other resources such as urban Indian organizations and national Indian organizations should be consulted. Tribes and States have suggested several activities that would be helpful in achieving State compliance with ICWA. Optional areas that States may choose to address in their CFSP include: training programs about ICWA for State employees; development of State caseworker compliance expectations or measures; and State partnership agreements with Tribes and Tribal organizations, for example, Tribal-State agreements on training.
Other suggested activities include: developing culturally appropriate standards for American Indian foster home licensing, recruiting of Indian foster homes, promoting relative placement of Indian children, and recognizing and using tribal licensed foster homes for the placement of Indian children.
Intercountry Adoption Act of 2000
On October 6, 2000, the Intercountry Adoption Act (ICAA) of 2000 (P.L. 106-279) was signed into law. The ICAA provides for the implementation by the United States of the Hague Convention on Protection of Children and Cooperation in Respect to Intercountry Adoption. The purposes of this Act and the Convention are:
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"to protect the rights of, and prevent abuses against, children, birth families, and adoptive parents involved in adoptions (or prospective adoptions) subject to the Convention, and to ensure that such adoptions are in the children's best interests; and
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to improve the ability of the Federal Government to assist United States citizens seeking to adopt children from abroad and residents of other countries party to the Convention seeking to adopt children from the United States." (Section 2(b)(2-3))
The ICAA, among other things, amended title IV-B, subpart 1, by adding paragraphs 13 and 14 to section 422(b). These paragraphs are as follows:
"Each plan for child welfare services under this subpart shall --
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contain a description of the activities that the State has undertaken for children adopted from other countries, including the provision of adoption and post-adoption services; and
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provide that the State shall collect and report information on children who are adopted from other countries and who enter into State custody as a result of the disruption of a placement for adoption or the dissolution of an adoption, including the number of children, the agencies who handled the placement or the adoption, the plans for the child, and the reasons for the disruption or dissolution."
These requirements were effective upon enactment and must be reported on in the APSR.
Additionally, the ICAA does not affect the application of the Indian Child Welfare Act of 1978.
FY 2001 Appropriations and Estimated FY2002 Allotments
For FY 2001, Congress has appropriated a total of $291,986,000 for the Child Welfare Services State Grant Program, $285,950,000 for the Promoting Safe and Stable Families Program for States, $3,050,000 for the Promoting Safe and Stable Families Program for eligible Indian Tribes, $21,026,000 for CAPTA, and $140,000,000 for CFCIP. The amount of each grantee's final allotment for FY 2001 under title IV-B and CAPTA is listed in Attachment D. Also, the FY 2002 estimated allotments for States and Indian Tribes for title IV-B, subparts 1 and 2, and CAPTA are included under Attachment C.
INSTRUCTIONS: This section describes the requirements that the States and eligible Indian Tribes must meet in order to receive their allotments of FY 2002 funds under title IV-B, CAPTA (States only), and FY 2001 funds for the CFCIP (States and Puerto Rico only). The completed APSR must meet the requirements of 45 CFR 1357.16, 45 CFR 1357.32, 45 CFR 1357.40, 45 CFR 1357.50, title IV-B, subparts 1 and/or 2, title IV-E, section 477 of the Act and CAPTA.
According to 45 CFR 1357.16, each State and Indian Tribe must conduct an interim review of the progress made in the previous year toward accomplishing the goals and objectives in the CFSP, based on updated information. The State and Indian Tribe must involve the agencies, organizations, and individuals that are part of the on going CFSP related consultation and coordination process. On the basis of this review, each State and Indian Tribe must prepare and submit an APSR to ACF. When conducting this review, States may want to consider assessing and evaluating their progress based on the effectiveness of their efforts in achieving the desired results. Additionally, the States should incorporate use of the Statewide Assessment tools of the Child and Family Services Reviews as part of the APSR review process.
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This section describes the requirements that the States and eligible Indian Tribes must meet in order to receive their title IV-B and CAPTA (States only) allotments of funds for FY 2002.
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Requirements under 1357.16 (Title IV-B, subparts 1 and/or 2)
The APSR must include the following:
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A report on the specific accomplishments and progress made in the past fiscal year toward meeting each goal and objective, including improved outcomes for children and families, and a more comprehensive, coordinated, effective child and family services continuum;
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Any revisions in the statement of goals and objectives, or to the training plan, if necessary, to reflect changed circumstances;
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For Indian Tribes, a description of the child welfare and/or family preservation, family support services, time-limited family reunification services, and adoption promotion and support services to be provided in the upcoming fiscal year, highlighting any changes in services or program design and including the information required in 45 CFR 1357.15(n);
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For States, a description of the child protective, child welfare, family preservation, family support, time-limited family reunification services, adoption promotion and support services, and independent living services to be provided in the upcoming fiscal year highlighting any additions or changes in services or program design and including the information required in 45 CFR 1357.15(n);
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Information on activities in the areas of training, technical assistance, research, evaluation, or management information systems that will be carried out in the upcoming fiscal year in support of the goals and objectives in the plan.
Information should also incorporate CFCIP-specific training offered, technical assistance, research, or evaluation that was conducted during fiscal year 2000 in support of the goals and objectives of the States' CFCIP (Section 477(b)(3)(D));
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For States only, the information required to meet the maintenance of effort (non-supplantation) requirement in section 432(a)(7) of the Act and Federal regulation at 45 CFR 1357.32(f) (maintenance of effort);
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For States only, significant portion of funds used for title IV-B, subpart 2, Promoting Safe and Stable Families (45 CFR 1357.15(s)). For the purpose of applying for FY 2002 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).
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Any other information the State or the Indian Tribe wishes to include;
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A request for FY 2002 funds in the CFS-101 at Attachment E
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Additional Required Information
In addition to the information required in 45 CFR 1357.16, States and Indian Tribes (if applicable), must provide the following information in the APSR. Most of this information results from changes in title IV-B resulting from the Adoption and Safe Families Act (ASFA), or amendments to the Act. The APSR must include:
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A description of the States' and Indian Tribes' 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. (See section 422(b)(9) of the Act);
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A description of the States' and Indian Tribes' plans for the effective use of cross-jurisdictional resources to facilitate timely adoptive or permanent placements for waiting children. (See section 422(b)(12) of the Act). This applies to States and Indian Tribes applying for title IV-B, subpart 1, funds;
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For States only, an update on the "... specific measures taken by the State to comply with the Indian Child Welfare Act" (See section 422(b)(11) of the Act);
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For States only, a description of the activities that the State has undertaken for children adopted from other countries, including the provision of adoption and post-adoption services (See Section 422(b)(13) of the Act);
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For States only, the number of children who were adopted from other countries and who enter into State custody as a result of the disruption of a placement for adoption or the dissolution of an adoption, the agencies who handled the placement or the adoption, the plans for the child, and the reasons for the disruption or dissolution (See Section 422(b)(13) of the Act. This provision was effective October 6, 2000);
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For States operating a child welfare demonstration project under section 1130 of 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, 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;
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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;
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For those States that have not yet fully implemented the transition rules, provide information on the specific measures taken to implement such rules that apply to section 475(5)(E) of the Act, and the outcomes of the implementation. See ACYF-CB-PI-98-14, August 20, 1998 regarding "new" and "current" children in foster care.
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Requirements under the Child Abuse Prevention and Treatment Act (States only)
States with an existing CAPTA/CFS Plan, must include the following information regarding CAPTA in the APSR:
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Accomplishments to date under the CAPTA portion of the consolidated CFSP;
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An update on the program areas selected for improvement from the nine areas in section 106(a) (1) through (9) of CAPTA;
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An update of activities that the State intends to carry out with its CAPTA State Grant funds and any changes in activities for FY 2002 funds;
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States that indicated in the FY 2000 CFSP/final report that they did not meet the assurance requirements set forth under sections 106(b)(2)(A - B) and 106(b)(2)(D) of CAPTA should indicate if they are now in complete compliance with those assurances. If the State is not in complete compliance, describe what has been done in an effort to come into compliance, what issues are preventing complete compliance, and what actions are being taken to resolve the outstanding requirements’
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A description of the services and training provided under the CAPTA State Grant as required by section 106(b)(2)(C) of CAPTA;
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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;
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States with established citizen review panels must submit a copy of the annual report(s) from the citizen review panels. Section 106(c) 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 information on the progress States are making in implementing the recommendations of the panels.
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Include a request for FY 2002 funds in the CFS-101 at Attachment E.
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Chafee Foster Care Independence Program (CFCIP) (States and Puerto Rico)
States must include the following information regarding CFCIP in the APSR:
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A State plan for FY 2001-2004, which meets the requirements in ACYF-CB-PI-01-02, issued February 13, 2001. This plan must be submitted with the APSR and should be integrated into the overall plan for services provided by the State;
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A request for FY 2002 funds in the CFS-101 at Attachment E.
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This section describes the requirements for the Virgin Islands, Guam, American Samoa, and the Northern Mariana Islands in order to receive title IV-B allotments for FY 2002.
Consolidated grant applications may be submitted in accordance with 45 CFR Part 97. These jurisdictions need not submit an application under this PI 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, 2001.
Insular Areas that choose to submit an APSR may do so and must submit it to their ACF Regional Office by June 30, 2001.
FY 2001 Funding
If States, Territories, and Indian Tribes requested less than the amount for which they were eligible for under Title IV-B, Subparts 1 or 2, or CAPTA for FY 2001, then a revised budget form (CFS-101, Part I) must be submitted if they wish to receive the full share of FY 2001 funds. This form should be submitted as soon as possible and no later than June 30, 2001.
SUBMITTALS: States and Indian Tribes are to submit an original of the APSR and the CFS-101 by June 30, 2001, to their ACF Regional Office (see Attachment F for addresses). States and Indian Tribes should use the estimated figures for FY 2002 allotments found in Attachment C when completing the CFS-101, Part I.
States and Indian Tribes may submit the documents as a paper copy, or at their option, submit the documents on a 3.5 diskette to the Regional Office. In the latter case, please specify what format the files are in (i.e., Word, WordPerfect, Excel, etc.). If a State or Indian Tribe chooses to submit the APSR electronically, a paper copy of the original signed CFS-101 is still required.
The Regional Office is to submit a copy of the approved CFS-101 to the following address:
Administration on Children, Youth and Families
Office of Management Services
330 C Street, S.W., Room 1416
Washington, D.C. 20447
Fiscal Reports (SF-269)
Expenditures under title IV-B, CAPTA, and CFCIP are to be reported by the State, Puerto Rico, or Indian Tribe using the Financial Status Report, SF-269. Submit the original to your ACF Regional Office and a copy to the address below:
Administration on Children, Youth and Families
Office of Management Services
330 C Street, S.W., Room 1416
Washington, D.C. 20447
Title IV-B, subparts 1 and 2
States and Indian Tribes are required to submit fiscal reports for expenditures under each subpart of title IV-B at the end of each 12 months of the two-year expenditure period. Fiscal reports covering each 12 month budget period are interim reports and the report covering the entire grant period is the final report. Interim reports are due 90 days after the end of each 12-month 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). The required 25% State match must be reported on the final report. 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.
CAPTA
States are required to submit fiscal reports at the end of each fiscal year of the five-year expenditure period. Fiscal reports covering each 12-month budget period are interim reports and the report covering the entire grant period is the final report. Interim reports are due 90 days after the end of each 12-month budget period. The final report is due 90 days after the end of the five-year period (December 31). Funds under CAPTA must be expended within five years.
CFCIP
States and Puerto Rico are required to submit fiscal reports on an annual basis. Reports will be due 90 days after the end of each reporting period (October 1 - September 30). The final report for FY 2000 funds will be due December 31, 2001, 90 days after the end of the two-year expenditure period.
A negative grant award will recoup unobligated and/or unliquidated funds reported on the final financial status report (SF-269) for title IV-B, CAPTA and CFCIP.
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.
INQUIRIES TO: ACF Regional Offices
/s/
James A. Harrell
Acting Commissioner
Administration on Children, Youth and Families
Attachments
Attachment A: Major ICWA
Requirements
Attachment B: ACYF-CB-PI-01-02, February
13, 2001
Attachment C: Title IV-B and CAPTA FY 2002 Estimated
Allotments
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Title IV-B, Subpart 1, Child Welfare
Services Fiscal Year 2002 Estimates
Title IV-B, Subpart 1, Child Welfare Services Fiscal Year 2002 Estimates: Child Population and Federal Share Of Funds
Title IV-B, Subpart 2, Promoting Safe and Stable Families
Title IV-B, Subpart 2, Promoting Safe and Stable Families: FY2002 Indian Tribe Estimated Allotments
Child Abuse and Neglect Prevention and Treatment Act (CAPTA) FY 2002 Estimated Allotments
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Title IV-B Subpart 1, Child Welfare
Services FY 2001 Allotments
Title IV-B Subpart 1, Child Welfare Services FY 2001 Allotments: Child Population and Federal Share Of Funds
Title IV-B Subpart 2, Promoting Safe and Stable Families: Final State Allotments - FY 2001
Title IV-B Subpart 2, Promoting Safe and Stable Families: Final Tribal Allotments - FY 2001
Child Abuse and Neglect Prevention and Treatment Act - Final State Allotments - FY 2001
CFS-Instructions
CFS-101, Part I: Annual Budget Request for
Title IV-E, Subparts 1 and 2, CAPTA and Independent Living
Program
Budget Request Form
CFS-101, Part II
Annual Summary of Child and Family
Services
