[Code of Federal Regulations]
[Title 45, Volume 4]
[Revised as of October 1, 2002]
From the U.S. Government Printing Office via GPO Access
[CITE: 45CFR1357.15]

[Page 372-377]
 
                        TITLE 45--PUBLIC WELFARE
 
CHAPTER XIII--OFFICE OF HUMAN DEVELOPMENT SERVICES, DEPARTMENT OF HEALTH 
                           AND HUMAN SERVICES
 
PART 1357--REQUIREMENTS APPLICABLE TO TITLE IV-B--Table of Contents
 
Sec. 1357.15  Comprehensive child and family services plan requirements.

    (a) Scope. (1) The CFSP provides an opportunity to lay the 
groundwork for a system of coordinated, integrated, culturally relevant 
family focused services. This section describes the requirements for the 
development, implementation and phase-in of the five-year comprehensive 
child and family services plan (CFSP). The State's CFSP must meet the 
requirements of both of the following programs. The Indian Tribe's CFSP 
must meet the requirements of one or both of the following programs 
depending on the Tribe's eligibility:
    (i) Child welfare services under title IV-B, subpart 1; and
    (ii) Family preservation and family support services under title IV-
B, subpart 2.
    (2) For States only, the CFSP also must contain information on the 
following programs:
    (i) The independent living program under title IV-E, section 477 of 
the Act; and
    (ii) The Child Abuse and Neglect State grant program (known as the 
Basic State Grant) under the Child Abuse Prevention and Treatment Act 
(CAPTA) (42 U.S.C. 5101 et. seq.).
    (3) States must meet all requirements of this section except those 
that apply only to Indian Tribes. Indian Tribes must meet the 
requirements of this section only as specified.
    (4) States and eligible Indian Tribes have the option to phase-in 
the requirements for a consolidated CFSP. The consolidated CFSP 
requirements must be in place by June 30, 1997 and meet the requirements 
of 45 CFR 1357.16.
    (b) Eligibility for funds. (1) In order to receive funding under 
title IV-B, subparts 1 and 2, each State and eligible Indian Tribe must 
submit and have approved a consolidated, five-year Child and Family 
Services Plan (CFSP) and a CFS-101, Budget Request and Estimated 
Expenditure Report that meets the requirements under 45 CFR 1357.16.
    (2) States and Indian Tribes that are consolidating the requirements 
for a CFSP in FY 1995, in accordance with Sec. 1357.15(a), must submit 
the CFSP and a CFS-101 for FY 1995 and 1996 by June 30, 1995.
    (3) States and eligible Indian Tribes choosing to phase-in the 
requirements for a consolidated CFSP in FY 1996 and 1997 must submit the 
CFSP, the CFS-101 for FY 1995 for subpart 1 and 2, and the CFS-101 for 
subpart 2 for FY 1996 by June 30, 1995.
    (4) The CFSP will be approved only if the plan was developed jointly 
by ACF and the State (or the Indian Tribe), and only after broad 
consultation by the State (and the Indian Tribe) with a wide range of 
appropriate public and non-profit private agencies and community-based 
organizations with experience in administering programs of services for 
children and families (including family preservation and support 
services).
    (5) By June 30, 1996, each grantee must submit and have approved the 
first Annual Progress and Services Report and a CFS 101 for FY 1997 that 
meets the statutory and regulatory requirements of title IV-B, subparts 
1 and 2.
    (6) The Annual Progress and Services Report will be approved if it 
was developed jointly by ACF and the State (or the Indian Tribe) and if 
it meets the requirements of 45 CFR 1357.16.
    (7) The five-year CFSP for FYs 1995-1999 may be submitted in the 
format of the State's or the Indian Tribe's choice and must be submitted 
no later than June 30, 1995, to the appropriate ACF Regional Office.
    (c) Assurances. The following assurances will remain in effect on an 
ongoing basis and will need to be re-submitted only if a significant 
change in

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the State or the Indian Tribe's program affects an assurance:
    (1) The State or Indian Tribe must assure that it will participate 
in any evaluations the Secretary of HHS may require.
    (2) The State or Indian Tribe must assure that it will administer 
the CFSP in accordance with methods determined by the Secretary to be 
proper and efficient.
    (3) The State or Indian Tribe must assure that it has a plan for the 
training and use of paid paraprofessional staff, with particular 
emphasis on the full-time or part-time employment of low-income persons, 
as community service aides; and a plan for the use of nonpaid or 
partially paid volunteers in providing services and in assisting any 
advisory committees established by the State or Tribe.
    (4) The State or Indian Tribe must assure that standards and 
requirements imposed with respect to child care under title XX shall 
apply with respect to day care services, if provided under the CFSP, 
except insofar as eligibility for such services is involved.
    (d) The child and family services plan (CFSP): general. The State 
and the Indian Tribe must base the development of the CFSP on a planning 
process that includes:
    (1) broad involvement and consultation with a wide range of 
appropriate public and non-profit private agencies and community-based 
organizations, parents, including parents who are involved or have 
experience with the child welfare system, and others;
    (2) coordination of the provision of services under the plan with 
other Federal and federally assisted programs serving children and 
families, including youth and adolescents; and
    (3) collection of existing or available information to help 
determine vulnerable or at-risk populations or target areas; assess 
service needs and resources; identify gaps in services; select 
priorities for targeting funding and services; formulate goals and 
objectives; and develop opportunities for bringing about more effective 
and accessible services for children and families.
    (e) State agency administering the programs. (1) The State's CFSP 
must identify the name of the State agency that will administer the 
title IV-B programs under the plan. Except as provided by statute, the 
same agency is required to administer or supervise the administration of 
all programs under titles IV-B and IV-E of the Act and the social 
services block grant program under title XX of the Act. (See the 
definition of ``State agency'' in 45 CFR 1355.20.)
    (2) The CFSP must include a description of the organization and 
function of the State agency and organizational charts as appropriate. 
It also must identify the organizational unit(s) within the State agency 
responsible for the operation and administration of the CFSP, and 
include a description of the unit's organization and function and a copy 
of the organizational chart(s).
    (f) Indian Tribal organization administering the program(s). (1) The 
Indian Tribe's CFSP must provide the name of the Indian Tribal 
organization (ITO) designated to administer funds under title IV-B, 
subpart 1, child welfare services and/or under subpart 2, family 
preservation and family support services. If the Indian Tribe receives 
funds under both subparts, the same agency or organization must 
administer both programs.
    (2) The Indian Tribe's CFSP must include a description of the 
organization and function of the office responsible for the operation 
and administration of the CFSP, an organizational chart of that office, 
and a description of how that office relates to Tribal and other offices 
operating or administering services programs within the Indian Tribe's 
service area (e.g., Indian Health Service.)
    (g) Vision Statement. The CFSP must include a vision statement which 
articulates the grantee's philosophy in providing child and family 
services and developing or improving a coordinated service delivery 
system. The vision should reflect the service principles at section 
1355.25.
    (h) Goals. The CFSP must specify the goals, based on the vision 
statement, that will be accomplished during and by the end of the five-
year period of the plan. The goals must be expressed in terms of 
improved outcomes for and

[[Page 374]]

the safety, permanency and well-being of children and families, and in 
terms of a more comprehensive, coordinated, and effective child and 
family service delivery system.
    (i) Objectives. (1) The CFSP must include the realistic, specific, 
quantifiable and measurable objectives that will be undertaken to 
achieve each goal. Each objective should focus on outcomes for children, 
youth, and/or their families or on elements of service delivery (such as 
quality) that are linked to outcomes in important ways. Each objective 
should include both interim benchmarks and a long-term timetable, as 
appropriate, for achieving the objective.
    (2) For States and Indian Tribes administering the title IV-B, 
subpart 1 program, the CFSP must include objectives to make progress in 
covering additional political subdivisions, reaching additional children 
in need of services, expanding and strengthening the range of existing 
services, and developing new types of services.
    (j) Measures of progress. The CFSP must describe the methods to be 
used in measuring the results, accomplishments, and annual progress 
toward meeting the goals and objectives, especially the outcomes for 
children, youth, and families. Processes and procedures assuring the 
production of valid and reliable data and information must be specified. 
The data and information must be capable of determining whether or not 
the interim benchmarks and multiyear timetable for accomplishing CFSP 
goals and objectives are being met.
    (k) Baseline information. (1) For FY 1995, the State and the Indian 
Tribe must base the development of the CFSP vision, goals, objectives, 
and funding and service decisions on an analysis of available baseline 
information and any trends over time on indicators in the following 
areas: the well-being of children and families; the needs of children 
and families; the nature, scope, and adequacy of existing child and 
family and related social services. Additional and updated information 
on service needs and organizational capacities must be obtained 
throughout the five-year period to measure progress in accomplishing the 
goals and objectives cited in the CFSP. A description of how this 
process will continue to be carried out must be included in the CFSP, 
and any revisions should be provided in the Annual Progress and Services 
Report.
    (2) The State must collect and analyze State-wide information on 
family preservation and family support services currently available to 
families and children, including the nature and scope of existing public 
and privately funded family support and family preservation services; 
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. Other services which impact on the ability to 
preserve and support families may be included in the assessment. The 
Indian Tribe must collect and analyze information on family preservation 
and family support services currently available within their service 
delivery area including the information in this paragraph as 
appropriate. An Indian Tribe may submit documentation prepared to 
satisfy the requirements of other Federal child welfare grants, or 
contracts (such as the section 638 reporting form), along with a 
descriptive addendum addressing specifically the family preservation and 
family support services available.
    (3) The CFSP must include a summary of the information used in 
developing the plan; an explanation of how this information and analysis 
were used in developing the goals, objectives, and funding and service 
decisions, including decisions about geographic targeting and service 
mix; a description of how information will be used to measure progress 
over the five-year period; and how this information will be used to 
facilitate the coordination of services.
    (l) Consultation. (1) The State's CFSP must describe the internal 
and external consultation process used to obtain broad and active 
involvement of major actors across the entire spectrum of the child and 
family service delivery system in the development of the plan. The 
description should explain how

[[Page 375]]

this process was coordinated with or was a part of other planning 
processes in the State; how it led or will lead to improved coordination 
of services.
    (2) The Indian Tribe's CFSP must describe the consultation process 
appropriate to its needs and circumstances used to obtain the active 
involvement of major actors providing child and family services within 
the Tribe's area of jurisdiction.
    (3) For States and Indian Tribes, the consultation process must 
involve:
    (i) All appropriate offices and agencies within the State agency or 
within the Indian Tribal service delivery system (e.g., child protective 
services (CPS), foster care and adoption, the social services block 
grant, reunification services, independent living, and other services to 
youth;)
    (ii) In a State-supervised, county-administered State, county social 
services and/or child welfare directors or representatives of the county 
social services/child welfare administrators' association;
    (iii) A wide array of State, local, Tribal, and community-based 
agencies and organizations, both public and private nonprofit with 
experience in administering programs of services for infants, children, 
youth, adolescents, and families, including family preservation and 
family support services;
    (iv) Parents, including birth and adoptive parents, foster parents, 
families with a member with a disability, children both in and outside 
the child welfare system, and consumers of services from diverse groups;
    (v) For States, representatives of Indian Tribes within the State;
    (vi) For States, representatives of local government (e.g., 
counties, cities, and other communities, neighborhoods, or areas where 
needs for services are great;)
    (vii) Representatives of professional and advocacy organizations 
(including, for example foundations and national resource centers with 
expertise to assist States and Indian Tribes to design, expand, and 
improve the delivery of services); individual practitioners working with 
children and families; the courts; representatives or other States or 
Indian Tribes with experience in administering family preservation and 
family support services; and academicians, especially those assisting 
the child and family service agency with management information systems, 
training curricula, and evaluations;
    (viii) Representatives of State and local agencies administering 
Federal and federally assisted programs which may include: Head Start; 
the local education agency (school-linked social services, adult 
education and literacy programs, Part H programs); developmental 
disabilities; nutrition services (Food Stamps, Special Supplemental Food 
Program for Women, Infants and Children (WIC)); Title IV-A; runaway 
youth, youth gang, juvenile justice programs and youth residential and 
training institutions; child care and development block grant (CCDBG) 
and respite care programs; domestic and community violence prevention 
and services programs; housing programs; the health agency (substance 
abuse, Healthy Start, maternal and child health, Early and Periodic 
Screening, Diagnosis, and Treatment (EPSDT), mental health, and public 
health nursing); law enforcement; Children's Trust Funds; Community-
Based Family Resource Programs, and new Federal initiatives such as the 
Empowerment Zones and Enterprise Communities Program; and
    (ix) Administrators, supervisors and front line workers (direct 
service providers) of the State child and family services agency.
    (4) The CFSP must describe the ongoing consultation process that 
each grantee will use to ensure the continued involvement of a wide 
range of major actors in meeting the goals and objectives over the five-
year operational period of the plan and developing the Annual Progress 
and Services Report.
    (m) Services coordination. (1) States must include in the ongoing 
coordination process representatives of the full range of child and 
family services provided by the State agency as well as other service 
delivery systems providing social, health, education, and economic 
services (including mental health, substance abuse, developmental 
disabilities, and housing) to improve access and deliver a range of 
services to children and their families.

[[Page 376]]

    (2) The State's CFSP must describe how services under the plan will 
be coordinated over the five-year period with services or benefits under 
other Federal or federally assisted programs serving the same 
populations to achieve the goals and objectives in the plan. The 
description must include the participants in the process and examples of 
how the process led or will lead to additional coordination of services 
(e.g., integrated service models, improved accessibility, use of a 
consolidated application or intake form, inter-disciplinary training, 
coordinated case management for several programs, pooled resources 
through blended financing, shared information across services providers 
and compatible and linked automated information systems, co-location of 
several services or programs.)
    (3) The Indian Tribe must include in the coordination process 
representatives of other Federal or federally assisted child and family 
services or related programs. The Indian Tribe's CFSP must describe how 
services under the plan will be coordinated over the five-year period 
with services or benefits under other Federal or federally assisted 
programs serving the same populations to achieve the goals and 
objectives in the plan. The descriptions must include the participants 
in the process and any examples of how the process led or will lead to 
additional coordination of services.
    (n) Services. (1) The State's CFSP must describe the publicly funded 
child and family services continuum: child welfare services (including 
child abuse and neglect prevention, intervention, and treatment 
services; and foster care); family preservation services; family support 
services; and services to support reunification, adoption, kinship care, 
independent living, or other permanent living arrangements.
    (2) The Indian Tribe's CFSP must describe the child welfare services 
(including child abuse and neglect prevention, intervention, treatment 
services and foster care) and/or the family support and family 
preservation services to be provided.
    (3) For each service described, the CFSP must include the following 
information, or it must be listed on the CFS-101, Part II:
    (i) The population(s) to be served;
    (ii) The geographic area(s) where the services will be available;
    (iii) The estimated number of individuals and/or families to be 
served;
    (iv) The estimated expenditures for these services from Federal, 
State, local, and donated sources, including title IV-B, subparts 1 and 
2, the CAPTA program referenced in paragraph (a) of this section, and 
the independent living program.
    (o) Family preservation and family support services and linkages to 
other social and health services. (1) The State's CFSP must explain how 
the funds under title IV-B, subpart 2 of the Act, will be used to 
develop or expand family support and family preservation services; how 
the family support and family preservation services relate to existing 
family support and family preservation services; and how these family 
support and preservation services will be linked to other services in 
the child and family services continuum.
    (2) The State's CFSP must explain whether and/or how funds under the 
CAPTA and independent living programs are coordinated with and 
integrated into the child and family services continuum described in the 
plan.
    (3) The State's CFSP must describe the existing or current linkages 
and the coordination of services between the services in the child and 
family services continuum and the services in other public services 
systems (e.g., health, education, housing, substance abuse, the courts), 
and other Federal and non-federally funded public and nonprofit private 
programs (e.g., Children's Trust Funds, Community-Based Family Resource 
Programs, private foundations.)
    (p) Services in relation to service principles. The CFSP must 
describe how the child and family services to be provided are designed 
to assure the safety and protection of children as well as the 
preservation and support of families, and how they are or will be 
designed to be consistent with the other service principles in 45 CFR 
1355.25.
    (q) Services in relation to permanency planning. For States 
administering

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both title IV-B programs (subparts 1 and 2), the CFSP must explain how 
these services will help meet the permanency provisions for children and 
families in sections 422(b)(9) and 471 of the Act (e.g., preplacement 
preventive services, reunification services, independent living 
services.) The CFSP must describe the arrangements, jointly developed 
with the Indian Tribes within its borders, made for the provision of the 
child welfare services and protections in section 422(b)(9) to Indian 
children under both State and Tribal jurisdiction.
    (r) Decision-making process: selection of family support programs 
for funding. The State's CFSP must include an explanation of how 
agencies and organizations were selected for funding to provide family 
support services and how these agencies and organizations meet the 
requirement that family support services be community-based.
    (s) Significant portion of funds used for family support and family 
preservation services. With each fiscal year's budget request, each 
State must indicate the specific percentage of family preservation and 
family support funds (title IV-B, subpart 2) that the State will expend 
for community-based family support and for family preservation services, 
and the rationale for the decision. The State must have an especially 
strong rationale if the request for either percentage is below 25 
percent. It must also include an explanation of how this distribution 
was reached and why it meets the requirements that a ``significant 
portion'' of the service funds must be spent for each service. Examples 
of important considerations might include the nature of the planning 
efforts that led to the decision, the level of existing State effort in 
each area, and the resulting need for new or expanded services.
    (t) Staff training, technical assistance, and evaluation. (1) The 
State's CFSP must include a staff development and training plan in 
support of the goals and objectives in the CFSP which addresses both of 
the title IV-B programs covered by the plan. This training plan also 
must be combined with the training plan under title IV-E as required by 
45 CFR 1356.60(b)(2). Training must be an on-going activity and must 
include content from various disciplines and knowledge bases relevant to 
child and family services policies, programs and practices. Training 
content must also support the cross-system coordination consultation 
basic to the development of the CFSP.
    (2) The State's CFSP must describe the technical assistance 
activities that will be undertaken in support of the goals and 
objectives in the plan.
    (3) The State's CFSP must describe any evaluation and research 
activities underway or planned with which the State agency is involved 
or participating and which are related to the goals and objectives in 
the plan.
    (u) Quality assurance. The State must include in the CFSP a 
description of the quality assurance system it will use to regularly 
assess the quality of services under the CFSP and assure that there will 
be measures to address identified problems.
    (v) Distribution of the CFSP and the annual progress and services 
report. The CFSP must include a description of how the State and the 
Indian Tribe will make available to interested parties the CFSP and the 
Annual Progress and Services Report. (See 45 CFR 1355.21(c) and 45 CFR 
1357.16(d)). State agencies and Indian Tribal organizations within the 
State must exchange copies of their CFSPs and their annual services 
reports.

(This requirement has been approved by the Office of Management and 
Budget under OMB Control Number 0980-0047. In accordance with the 
Paperwork Reduction Act of 1995, 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.)

[61 FR 58656, Nov. 18, 1996, as amended at 66 FR 58677, Nov. 23, 2001]