| ACF
Administration for Children and Families |
U.S. DEPARTMENT
OF HEALTH AND HUMAN SERVICES Administration for Children, Youth and Families |
|
| 1. Log No. Log No.:ACYF-CB-PI-00-03 | 2. Issuance Date: April 18,2000 | |
| 3. Originating Office: | ||
| 4. Key Word: Title IV-B Child and Family Services State Plan; CAPTA State Plan; ILP; Annual Progress and Services Report | ||
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, 2000 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 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); 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 and ACYF-CB-PI-99-07 Fiscal Year 2000 - 2004, Child and Family Services Plan).
PURPOSE: In order to receive title IV-B and the Child Abuse Prevention and Treatment Act (CAPTA) funds for fiscal year 2001, States and Indian Tribes are required to submit the Annual Progress and Services Report (APSR) by June 30, 2000. This Program Instruction (PI) summarizes the actions required under title IV-B, subparts 1 and 2, CAPTA, and Federal regulations at 45 CFR Part 1357 in order for States and Indian Tribes to receive their allotments for fiscal year (FY) 2001 (subject to the availability of appropriations).
BACKGROUND: The Federal regulation at 45 CFR Part 1357 applies to States and Indian Tribes receiving funds under title IV-B, subparts 1 and/or 2. These regulations require States and Indian Tribes to submit a five-year plan and to update that plan each of the remaining years by submitting the Annual Progress and Services Report (APSR). 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, including the Independent Living program (ILP) and the programs under the Child Abuse Prevention and Treatment Act (CAPTA). States and Indian Tribes submitted new five-year plans June 30, 1999. The first update to that plan is due by June 30, 2000. This PI references the items in the Federal regulation that must be included in the APSR, including information on CAPTA and ILP. Additionally, this PI contains those requirements that have not yet been codified in Federal regulation, but are required by statute.
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 submit to request their title IV-B and/or CAPTA 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.
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 the CAPTA application 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. 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.
Independent Living Program (ILP) (States and Puerto Rico)
In addition to meeting the requirements of title IV-B, subparts 1 and 2, States must include in their APSR information on the ILP under title IV-E of the Social Security Act (the Act) (see section 1357.15(a)(2)(I)). Recently the ILP was revised and amended by the Foster Care Independence Act of 1999 (P.L. 106-169). Therefore, the Children's Bureau is currently in the process of developing guidance to States on how to apply for FY 2000 only Chafee Foster Care Independence Program (CFCIP) funds. That guidance will provide information on submitting an abbreviated application in order to receive FY 2000 funds. Additional information will then later be provided on how to apply for FY 2001 and how to consolidate the five-year CFCIP plan with the CFSP. States are still required, however, to provide information in this year's APSR on how the ILP was coordinated with other child welfare services during FY 2000.
The CFS-101, Part I, Annual Budget Request form that is included as Attachment D currently includes space for requesting ILP funds, item #9. Please leave this space blank when submitting your FY 2001 budget request. Information for requesting the CFCIP funds will be included in the forthcoming CFCIP Program Instruction. States that have already applied for FY 2000 ILP funds must refer to the new PI for additional instructions.
Indian Child Welfare Act
In 1978, the Indian Child Welfare Act (ICWA) was passed. 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 State 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 the legislation 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, promotion of relative placement of Indian children, and recognition and use of tribal licensed foster homes for placement of Indian children.
FY 2000 Funding
Congress has approved a total of $291,986,000 for the Child Welfare Services State Grant Program, $276,050,000 for the Promoting Safe and Stable Families Program for States, $2,950,000 for the Promoting Safe and Stable Families Program for eligible Indian Tribes and, $21,026,000 for CAPTA. Allotments for Tribes for titles IV-B, subparts 1 and 2 are included. The amount of each grantee's final allotment for FY 2000 is listed in Attachment B. The listing of each State's allocation for funding under the new John H. Chafee Foster Care Independence Program has been included in Information Memorandum ACYF-CB-IM-00-03, dated March 16, 2000.
INSTRUCTIONS:
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This section describes the requirements States and eligible Indian Tribes must meet in order to receive their title IV-B and CAPTA (States only) allotments of funds for FY 2001. The completed APSR must meet the requirements of 45 CFR 1357.16, 45 CFR 1357. 32, 45 CFR 1357.40, 45 CFR 1357.50 and title IV-B, subparts 1 and/or 2 of the Social Security Act (the Act).
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Requirements under 1357.16 (Title IV-B, subparts 1 and/or 2.):
Each State and each Indian Tribe must conduct an interim review of the progress made in the previous fiscal year toward accomplishing the goals and objectives in the CFSP, based on updated information. In developing the APSR, States and the Indian Tribes must involve the agencies, organizations, and individuals who are a part of the on-going CFSP-related consultation and coordination process. 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;
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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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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 2001 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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Include a request for FY 2001 funds in the CFS-101 at Attachment D.
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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. 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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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 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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Please provide information on the specific measures taken to implement the transition 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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An update on 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.
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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 2001 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 was done to come into compliance, why was compliance not achieved, and what actions are being taken to try to meet 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 include information on the progress States are making in implementing the recommendations of the panels.
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Include a request for FY 2001 funds in the CFS-101 at Attachment D.
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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 allotments for FY 2001.
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, 2000.
Insular Areas that choose to submit an APSR may do so and must submit it to their ACF Regional Office by June 30, 2000.
FY 2000 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 2000, then a revised budget form (CFS-101, Part I) must be submitted if they wish to receive the full share of FY 2000 funds. This form should be submitted as soon as possible and no later than June 30, 2000.
SUBMITTALS:
States and Indian Tribes are to submit an original of the APSR and two originals of the CFS-101 by June 30, 2000, to the ACF Regional Office. States and Indian Tribes are to use the estimated figures for FY 2001 allotments found in Attachment C.
States and Indian Tribes may submit the 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. If a State or Indian Tribe chooses to submit the APSR electronically, a hard copy of the original signed CFS-101 is still required
The Regional Office is to submit the original copy of the CFS-101 (signed and dated) to the following address:
- Administration on Children, Youth and Families
Office of Management Services
330 C Street, S.W., Room 1427
Washington, D.C. 20447
Fiscal Reports (SF-269)
Expenditures under title IV-B and CAPTA are to be reported by the State or Indian Tribe using a Standard Form 269, Financial Status Report. 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 1427
Washington, D.C. 20447
Title IV-B, subparts 1 and 2
States and Indian Tribes are required to submit fiscal reports for 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.
A negative grant award will recoup unobligated and/or unliquidated funds reported on the final financial status report (SF-269).
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/
Patricia Montoya
Commissioner
Administration on Children, Youth and Families
Attachments
Attachment A: Major
ICWA Requirements
Attachment B: Title IV-B and CAPTA FY 2000 Final
Allotments
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FY 2000 Allotments Title IV-B, subpart
1, Child Welfare Services
FY 2000 Allotments for Indian Tribes Title IV-B, subpart 1, Child Welfare Services
FY 2000 Allotments Title IV-B, subpart 2, Promoting Safe and Stable Families
FY 2000 Allotments Title IV-B, subpart 2, Promoting Safe and Stable Families Indian Tribes
FY 2000 Allotments Child Abuse and Neglect Prevention and Treatment Act State Grants
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FY 2001 Estimated Allotments Title IV-B,
subpart 1, Child Welfare Services
FY 2001 Estimated Allotments for Indian Tribes Title IV-B, subpart 1, Child Welfare Services
FY 2001 Estimated Allotments Title IV-B, subpart 2, Promoting Safe and Stable Families
IV-B, Subpart 2 Promoting Safe and Stable Families estimated FY 2001 Eligible Indian Tribe Allotments
FY 2001 Estimated Allotments Child Abuse and Neglect Prevention and Treatment State Grants
Attachment D:
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CFS-101
Instructions
CFS 101, Part I, Annual Budget Request for Title IV-B, Subparts 1 and 2, CAPTA and Independent Living Program Instructions
Budget Request Form (html version)
Budget Request Form (pdf version) (9 KB)
CFS 101, Part II, Annual Summary of Child and Family Services
Annual Summary of Child and Family Services Form (html version)
Annual Summary of Child and Family Services Form (pdf version) (14 KB)
