Code of Federal Regulations: Containing a Codification of Documents of ...

(ii) With respect to Puerto Rico, the Virgin Islands, and Guam, the Federal share:

(a) For services and training and staff development for the fiscal year ending June 30, 1969, and subsequent years, is 60 percent, except 75 percent for emergency assistance in the form of services.

(b) For family planning services and referral for participation under the Work Incentive Program for any fiscal year beginning on or after July 1, 1967 to:

(1) Puerto Rico shall not exceed $2 million.

(2) The Virgin Islands shall not exceed $65,000.

(3) Guam shall not exceed $90,000. (2) Time limited rates are applicable to certain service costs. The total costs of salaries and travel of workers carrying responsibility for both services and eligibility functions and supervisory costs related to such workers, and all or part of the salaries of supporting secretarial, stenographic, or clerical staff depending on whether they work fulltime or part-time for the workers specified in this subparagraph (2), are subject to the following rates of Federal financial participation:

(1) 75 percent for the fiscal year ending June 30, 1969 (57 percent for Puerto Rico, the Virgin Islands, and Guam).

(11) For the fiscal year ending June 30, 1970, at a rate, determined in accordance with standards and methods prescribed by the Secretary from time to time, which gives due regard to the amount of services furnished.

(iii) 50 percent for all subsequent years.

(3) For the period January 1, 1968, through June 30, 1968, Federal financial participation is available at the 75 percent rate for expenditures for services included in a State plan approved under the service policies previously in effect, except that the rate of 85 percent is applicable to expenditures for services furnished under an approved plan pursuant to section 402(a) (14) and (15) of the Social Security Act. However, Federal financial participation is not available for the purchase of service prior to June 10, 1968 from sources other than State agencies.

(4) Federal financial participation at the 50 percent rate is available in the costs of the following activities that are

separate from but relevant to the costs of services:

(i) Salaries and travel of staff primarily engaged in determining eligibility and their supervisors and supporting staff (clerks, secretaries, stenographers, etc.).

(ii) Salaries and travel of staff primarily engaged in developing eligibility provisions and the determination processes (either at the State or local agency level).

(iii) Expenses related to such staff, and for staff specified in paragraph (f) (2) of this section, such as for communications, equipment, supplies and office space.

(iv) Costs of State or local staff engaged in the collection of support and accounting for such funds and determining the effect of support funds on eligibility or assistance payments. No Federal financial participation is available in the costs of agency staff engaged in apprehension, arrests, or enforcement activities.

(v) Costs of reimbursing courts and law enforcement officials for their increased effort or additional staff time in assisting the State or local agency in respect to its program to secure support and establish paternity. Such reimbursement is for costs that are specific to carrying out any of the following activities which the State agency believes will contribute to optimum results in securing support and establishing paternity:

(a) Consultation to State and local agencies on appropriateness of cases for court action to secure support or establish paternity.

(b) Consultation to State and local agencies on the development of evidence for court hearings.

(c) Developing information as to the location of parents and other legally liable persons, when all location efforts of the State or local agency have failed.

(d) Consultation and participation in the development of support on a voluntary basis; and followup services on court orders for support.

(e) Costs in presenting support and paternity actions to the court.

(f) Necessary fees for court judicial actions, when these are not waived.

(g) Costs of court and other officials providing training to public welfare staff may be included as staff development costs.

(h) Costs of the judiciary system, apprehension and arrest are not included.

(vi) Other expenses of administration not specified at the 75 percent (85 percent) rate for services.

(g) Federal financial participation in Work Incentive Program.

(1) Federal financial participation in expenditures for any services furnished by the State agency relating to the Work Incentive Program, including additional expenses attributable to an individual's participation in a program of institutional and work experience training under the Work Incentive Program, and the costs of prereferral medical examinations for all participants, as found necessary by the Secretary for the proper and efficient administration of the plan, is subject to the service rate of matching for which the State qualifies.

(2) Any amounts included in the assistance grants of participants, such as the supplementation of earnings on special work projects under the Work Incentive Program are matchable under the assistance formula. Payments into the account referred to in § 220.35(a) (13) (i) are also matchable as assistance.

(3) Any refund from such account to the State welfare agency will be regarded as an overpayment to the State and the Federal share thereof must be adjusted. This may be reflected in the State agency's claim for Federal financial participation for the month in which the money is received.

[34 F.R. 1354, Jan. 28, 1969, as amended at 34 F.R. 9715, June 21, 1969]

§ 220.62 Federal financial participation; CWS.

(a) Federal share. The Federal share of service programs under title IV-B shall be at the rate specified in or promulgated pursuant to section 423 of the Act.

(b) Persons eligible for service. (1) Federal financial participation under title IV-B is available to serve all families and children in need of child welfare services without respect to whether they are receiving AFDC.

(2) Expenditures for care of children in foster family homes, group homes, institutions, family day care homes or day care centers, or for care of unmarried mothers in foster family homes, group homes, institutions, or independent or other living situations, shall be for those children or unmarried mothers for whom the public welfare agency, through its

child welfare services program, accepts responsibility for providing or purchasing such care. This responsibility includes: determining the need for such care and that the type of care is in the best interest of the child and his family or of the unmarried mother; determining the ability of the family to contribute to the cost of care; and developing a plan for continuing supervision of the child or unmarried mother in care.

(1) By State or local agency staff, i.e., full- or part-time employed staff, and volunteers, or

(2) By purchase, contract, or other cooperative arrangements with public or private agencies or individuals, provided that such services are not available without cost from such sources.

(d) Kinds of expenses included. Federal financial participation is available for expenditures for the following purposes: personnel services; professional education; institutes, conferences and short-term courses; foster care of children; care of unmarried mothers; day care of children; purchase of homemaker services; specialized services; return of runaway children; research and special facilitative services; merit system costs; advisory committees; membership fees; supplies, equipment and communication; and occupancy and maintenance of space.

§ 220.63 Relationship of costs under parts A and B of title IV.

(a) There must be methods of allocating the costs of providing services under the child welfare services program and providing services under the AFDC program.

(b) Service expenses that Jointly benefit title IV-A and B programs may be allocated between them using any reasonable basis or may be charged entirely to IV-A or B if they are considered to be of primary benefit to such program. The title IV-A program may be considered to be primarily benefited if the number of AFDC children served represents at least 85 percent of the total children served. The 85 percent computation may be based on local agency totals or on statewide totals.

States can elect to charge educational leave totally either to AFDC under title IV-A or child welfare services under title IV-B, without regard to the proportion of time devoted to either program before or after educational leave. The only condition to be met is that the person returning from educational leave be employed in the single organizational unit supervising or providing all services for families and children under title IV-A and/or title IV-B of the Social Security Act, as amended. Where a single organization unit has not been established an allocation of costs must be made in accordance with existing policy.

(a) Expenditures for certain functions under both parts A and B of title IV shall be in accordance with the other provisions governing:

(1) Employee benefit costs; as described in "Federal Participation in Costs of Employee Benefit Systems"

(2) Organization memberships; as described in "Federal Participation in Costs of State Agency Memberships in Organizations."

(3) Occupancy or maintenance of space; as described in "Expenditures by State of Granted Funds for Occupancy and Maintenance of Space."

(b) (1) Donated private funds for services may be considered as State funds in claiming Federal reimbursement where such funds are:

(1) Transferred to the State or local agency and under its administrative control; and

(ii) Donated on a unrestricted basis (except that funds donated to support a particular kind of activity, e.g., day care, or to support a particular kind of activity in a named community, are acceptable provided the donating organization is not the sponsor or operator of the activity being funded).

(2) Donated private funds for services may not be considered as State funds in claiming Federal reimbursement where such funds are:

(1) Contributed funds which revert to the donor's facility or use.

(ii) Donated funds which are earmarked for a particular individual or for members of a particular organization.

§ 220.65 Amount of Federal funding.

(a) The amount of Federal funds available for services under title IV-A is dependent upon the availability of and extent of matching State funds, except as stated in § 220.61(f), for Puerto Rico, Virgin Islands, and Guam.

(b) The amount of Federal funds under title IV-B may not exceed the amount available under the allotment formula prescribed by law. The availability of these funds is dependent upon matching State funds determined according to the formula prescribed by law. Subpart D-Other Provisions Governing Child Welfare Services Programs

SOURCE: The provisions of this Subpart D appear at 35 F.R. 315, Jan. 8, 1970, unless otherwise noted.

§ 220.70 Meaning of terms.

Unless the context otherwise requires, the following terms, as used in this subpart have the following meanings:

(a) "Act" means title IV, part B of the Social Security Act, 42 U.S.C. 601626.

(b) "Social and Rehabilitation Service" means the Social and Rehabilitation Service in the Department of Health, Education, and Welfare.

(d) "State agency" means the public welfare agency of a State which has been designated as the single agency for the purpose of administering or supervising the administration of a State plan for child welfare services.

(e) "Local agency" means the public welfare agency of a political subdivision of a State which is engaged in the administration of that part of the State plan that pertains to the locality and which, in such administration, is under the supervision of the State agency.

(f) "Official forms" means forms supplied by the Social and Rehabilitation Service to State agencies for submitting required information and requests.

(g) "Children" means those individuals under the age of 21 years who are homeless, dependent, neglected or in danger of becoming delinquent regardless of the fact that they also may fall into other categories, and for whom services under the State program of child

welfare services are authorized by State law.

(h) "Child welfare services" means public social services which supplement, or substitute for, parental care and supervision for the purposes set forth in section 425 of the Act.

(i) "Establishing, extending, and strengthening" means stabilizing, increasing where necessary and desirable the applicability of, and making stronger the State program of child welfare services and undertaking new child welfare services where necessary and desirable for meeting the unmet needs of children.

(j) "State plan" means the plan developed jointly by the State agency and the Social and Rehabilitation Service for establishing, extending and strengthening the State program of child welfare services, taking into account the condition of such program, the needs of children and the potential for meeting the unmet needs of children through Federal financial participation. It includes the basic plan and the annual budget pursuant to § 220.71.

§ 220.71 The State plan; the annual budget; submission, approval, duration, purpose, revision.

(a) Submission, approval, duration. Upon adoption by the State of a State plan (including a basic plan and an annual budget jointly developed by the State agency the Social and Rehabilitation Service) it shall be certified by a duly authorized officer of the State agency and submitted to the Social and Rehabilitation Service for approval. Upon approval the State plan shall be in effect for the purposes of the Act. The basic plan, as approved and as it may be revised in accordance with paragraph (d) of this section from time to time, shall remain in continuous effect without periodic renewal. The annual budget, as it may be revised in accordance with paragraph (d) of this section during the fiscal year, shall be in effect only for the fiscal year for which it is approved.

(b) Basic plan, content, purpose. The basic plan, as a part of the State plan, shall be a narrative description, together with appropriate illustrations, of the total State program of child welfare services. It shall be developed in accordance with instructions as to form and

subject matter issued by the Social and Rehabilitation Service. A basic plan which is in effect in accordance with paragraph (a) of this section shall be the State plan for the purpose of allotment to the State of sums appropriated under the Act. From time to time, as determined by the Social and Rehabilitation Service, a new plan may be required of all States.

(c) Annual budget, content, purpose. The annual budget, as a part of the State plan, shall be jointly developed annually for the fiscal year and submitted by the State agency on official forms to the Social and Rehabilitation Service for approval. It shall be a statement, certified by a duly authorized officer of the State agency, which includes proposed and estimated expenditures for carrying out those items described in the basic plan which the State agency and the Social and Rehabilitation Service have agreed upon as establishing, extending, and strengthening the State program of child welfare services for the fiscal year. The annual budget, upon approval, and subject to applicable provisions of the Act, the regulations in this subpart and the basic plan, shall be the State plan for the fiscal year for purposes of determining the amount of the Federal share of the total sum expended thereunder, and making payments to the State out of the sums allotted to it for the fiscal year.

(d) Revision. The State plan shall be revised whenever necessary because of any material change in the program provided by the plan, in the organization, policies or operations relating to the program, or any changes in pertinent law, and as may otherwise be deemed necessary by the Social and Rehabilitation Service. Revisions are subject to joint development by the State agency and the Social and Rehabilitation Service, and shall be submitted to the Social and Rehabilitation Service, certified by a duly authorized officer of the State agency, for approval. Revisions shall be incorporated into the State plan and shall be in effect for the purposes of the Act upon, and in accordance with, the approval. Except when it is not feasible for a revision to the annual budget to be submitted to the Social and Rehabilitation Service a reasonable time in advance of being

In order to be entitled to payments from the sums available from the State's allotment under section 421 of the Act in the amount of the Federal share, up to the amount of such sums, the State must make expenditures under the Annual budget equal to the State's share from State or local funds.

§ 220.73 Allotment of Federal funds.

Section 421 of the Act prescribes the following method for determining a State's allotment for State child welfare services for each fiscal year:

(a) (1) From the sums appropriated for each fiscal year for grants to States for State child welfare services, each State shall be entitled to an allotment of $70,000, and

(2) Each State shall be entitled to an allotment from the remainder of the sums appropriated of an amount which bears the same ratio to such remainder as the product of the population of such State under the age of 21 and its allotment percentage bears to the sum of the corresponding products of all the States.

(b) The "allotment percentage" for any State shall be 100 per centum less the State percentage, which is that percentage which bears the same ratio to 50 per centum as the per capita income of such State bears to the per capita income of the United States, except that the allotment percentage shall in no case be less than 30 per centum or more than 70 per centum, and the allotment percentage for Puerto Rico, the Virgin Islands, and Guam shall be 70 per centum. § 220.74 Payments from allotments.

Payments to a State from the sums available from its allotments under section 421 of the Act shall be computed and made pursuant to sections 422 and 423 of the Act, as follows:

(a) For any fiscal year the "Federal share" for any State shall be 100 per centum less that percentage which bears the same ratio to 50 per centum as the per capita income of such State bears to the per capita income of the United States except that the Federal share shall in no case be less than 333 per centum or more than 663 per centum, and the Federal share for Puerto Rico,

the Virgin Islands and Guam shall be 6623 per centum.

(b) Estimates: Prior to the beginning of each fiscal quarter an authorized official of the State agency should submit to the Social and Rehabilitation Service on official forms an estimate of the amount of the Federal share which it will require from the sums available from its allotments under section 421 of the Act in carrying out the annual budget during such quarter.

(c) Payments: On the basis of the annual budget and the quarterly estimates submitted by the State agency, each State shall be paid from the sums available from its allotments, the estimated Federal share of the cost of carrying out the annual budget for such fiscal quarter. The amount so to be paid to the State shall be reduced or increased, as the case may be, by any overpayment or underpayment to the State for any prior quarter not previously adjusted under this paragraph.

§ 220.75 Records and audit.

The State agency shall establish and maintain such accounts, records, and supporting documents as will permit an accurate and expeditious Federal audit of the program to be made at any time. Such accounts, records and supporting documents shall be maintained until the completion of such audits (including the final resolution of any questions raised thereby) or for 3 years, whichever is later, unless the State agency is requested to retain particular accounts, records, or supporting documents for a longer period.

§ 220.76 Custody and methods of dis

bursement.

Except as otherwise provided in the Act and the regulations in this subpart, State laws, rules, regulations, and standards governing the custody and methods of disbursement of State funds shall govern the custody and methods of disbursement of Federal funds paid to the State.

§ 220.77 Fiscal year to which expenditures chargeable.

An expenditure under an annual budget will be charged to that Federal fiscal year in which the obligation was incurred: Provided, That obligation incurred in 1 fiscal year for services and expenses continuing into the next fiscal year may be charged to the allotment for either year when consistent with the

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