[Code of Federal Regulations]

[Title 45, Volume 4]

[Revised as of October 1, 2005]

From the U.S. Government Printing Office via GPO Access

[CITE: 45CFR1357.15]



[Page 321-327]

 

                        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.



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    (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 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,



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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 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



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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 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,



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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.

    (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.



[[Page 326]]



    (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 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



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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]