Montana. Dept. of Social and Rehabilitation Servic.

Final report, national social service reform 1115 project (Volume 1973) online

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in a substitute home which is suitable
to his needs, supervision of such iiome,
and periodic review of the placement, at
least annually, to determine its continued
appropriateness. Foster care services do
not include activities of the hom^ in pro-
viding care or supervision of the indi-
vidual during the period of his place-
ment in the home.

(8) Foster care services for children. —
This means placement of a child in a
foster family home, or appropriate group
care facility (i) as a result of a judicial
determination to the effect that continu-
ation of care in the child's own home
would be contrary to the welfare of such
child, and (ii) at the option of the
State, at the request of the legal guardi-
an; services needed by such child while
awaiting placement; supervision of the
care of such child in foster care and of
the foster care home or facility, to as-
sure appropriate care; counseling with
the parent or other responsible relative
to improve home conditions and enable
such child to return to his own home
or the home of another relative, as soon
as feasible; and periodic review of the
placement, at least annually, to deter-
mine its continuing appropriateness.
Poster care services do not include activi-
ties of the foster care home or facility
in providing care or supervision of the
child during the period of placement of
the child in the home or facility. A
foster care home or facility used for
care of children must be licensed by the
State in which it is situated or have

.been approved, by the agency of such
£ tate responsible for licensing home or
facilities of this type, as meeting the
standards established for such licensing.

(9) Health-related services. — This
means helping Individuals and families
to identify health- needs and to secure
needed health services available under
medicaid, medicare, maternal and child
health programs, handicapped children's
programs or other agency health services
programs and from other public or pri-
vate agencies or providers of health
services; planning, as appropriate, with
the individual and health providers to
help assure continuity of treatment and
carrying out of health recommendations;
and helping such individual to secure
admission to medical institutions and
other health related facilities.

(10) Home delivered or congregate
meals. — This means the preparation and



delivery of hot meals to an individual
in his home or in a central dining facility
as necessary to prevent institutionaliza-
tion or malnutrition.

(11) Homemaker services. — (i) For
family services this means care of indi-
viduals in their own homes, and helping
individual caretaker relatives to achieve
adequate household and family manage-
ment, through the services of a trained
and supervised homemaker.

(ii) For adult services this means care
of individuals in their own homes, and
helping mdividuals in maintaining,
strengthening, and safeguarding their
functioning in the home through the
services of a trained and supervised
homemaker.

(12) Home management and other
functional educational services. — This
means formal or informal instruction
and training in management of house-
hold budgets, maintenance and care of
the home, preparation of food, nutrition,
consumer education, child rearing, and
health maintenance.

(13) Housing improvement services. —
This means helping families and indi-
viduals to obtain or retain adequate
housing. Housing and relocation costs,
including construction, renovation or re-
pair, moving of families or individuals,
rent, deposits, and home purchase, may
not be claimed as service costs.

(14) Legal services. — This means the
services of a lawyer in solving legal prob-
lems of eligible individuals to the extent
necessary to obtain or retain employ-
ment. This excludes all other legal serv-
ices, including fee generating cases, crim-
inal cases, class actions, community or-
ganization, lobbying, and political action.

(15) Protective services for adults. —
This means identifying and helping to
correct hazardous living conditions or
situations of an individual who is unable
to protect or care for himself.

(16) Protective services for children. —
This means responding to instances, and
substantiating the evidence, of neglect,
abuse, or exploitation of a child; helping
parents recognize the causes thereof and
strengthening (through arrangement of
one or more of the services included in
the State plan) parental ability to pro-
vide acceptable care; or, if that is not
possible, bringing the situation to the
attention of appropriate courts or law
enforcement agencies, and furnishing
relevant data.

(17) Special services for the blind. —
This means helping to alleviate the han-
dicapping effects of blindness through:
Training in mobility, personal care, home
management, and communication skills;
special aids and appliances; special
counseling for caretakers of blind chil-
dren and adults; and help in securing
talking-book machines.

(18) Transportation services. — This
means transportation necessary to travel
to and from community facilities or re-
sources for receipt of mandatory or op-
tional services.



FEDERAL REGISTER, VOL. CB, NO. 83 — TUESDAY, MAY 1, 1973



10786



RULES AND REGULATIONS



§ 221 .30 Purchase of services.

(a) A State plan under title I, rV-A, X,
xrv, or XVI of the act, whlcli authorizes
the provision of services by purchase
from other State or local public agencies,
from nonprofit or proprietary private
agencies or organizations, or from In-
dividuals, must with respect to services
which are purchased :

(1) Include a description of the scope
and types of services which may be pur-
chased under the State plan;

(2) Provide that the State or local
agency will negotiate a \iTitten purchase
of services agreement with each public
or private agency or organization in ac-
cordance with requirements prescribed
by SRS. Effective upon issuance of this
regulation, all new agreements for pur-
chased services must m.eet the require-
ments of this paragraph; existing agree-
ments must meet the requirements by
July 1, 1973. A written agreement or
written instructions which meet the re-
quirements of this paragraph must also
be executed or issued by the single State
or local agency where services are pro-
vided under the plan directly by the State
or local agency in respect to activities
added by reorganization of administra-
tive structure, redesignation of the State
or local agency, or otherwise, occurlng
after February 15, 1973, or are provided
by any public agency as to which a
waiver of the single State agency re-
quirement pursuant to section 204 of the
Intergovernmental Cooperation Act is
granted after February 15, 1973. These
written purchase of service agreements
and other written agreements or instruc-
tions are subject to prior review and ap-
proval by the SRS regional office to the
extent prescribed in, and in accordance
with, instructions issued by SRS;

(3) Provide that services will be pur-
chased- only if such services are not avail-
able without cost;

(4) Provide that purchase of services
from individuals will be documented as
to type, cost, and quantity. If an in-
dividual acts as an agent for other pro-
viders, he must enter into a formal pur-
chase of services agreement with the

• State or local agency in accordance with
paragraph (a)i2) of this section;

(5) Provide that overall planning for
purchase of services, and monitormg and
evaluation of purchased services, must be
done directly by staff of the State or local
agency;

(6) Provide that the State or local
agency will determine the eligibHity of
individuals for services and will authorize
the types of services to be provided to
each individual and specify the duration
of the provision of such services to each
individual ;

(7) Assure that the sources from which
services are purchased are licensed or
otherwise meet State and Federal
standards;

(8) (1) Provide for the establishment
of rates of payment for such services
which do not exceed the amounts reason-
able and necessary to assure quality of
service, and in the case of services pur-



chased from other public agencies, are
in accordance with the cost reasonably
assignable to such services;

(li) Describe the methods used in es-
tablishing and maintaining such rates;
and

(iii) Indicate that information to sup-
port such rates of jiayment will be main-
tained in accessible form; and

(9) Provide that, where payment for
services is made to the recipient for pay-
ment to the vendor, the State or local
agency will specify to the recipient the
type, cost, quantity, and the vendor of
the service, and the agency will establish
procedures to Insure proper delivery of
the service to, and jjayment by, the re-
cipient.

(b) In the case of services provided,
by purchase, as emergency assistance to
needy families with children under title
rV-A, the State plan may provide for
an exception from the requirements in
paragraph (a) (2), (4), (7), and (8) of
this section, but only to the extent and
for the period necessary to deal with the
emergency situation.

(c) All other requirements governing
the State plan are applicable to the pur-
chase of services, including;

(1) General provisions such as those
relating to single State agency, griev-
ances, safeguarding of Information, civil
rights, and financial control and report-
ing requirements ; and

(2) Specific provisions as to the pro-
grams of services such as those on re-
quired services, maximum utilization of
other agencies providing services, and re-
lating services to defined goals.

Subpart B — Federal Financial Participation

Titles I, IV-A, X, XTV, and XVI
§ 221.51 General.

Federal financial participation is avail-
able for expenditures under the State
plan which are:

(a) Found by the Secretary to be
necessary for the proper and efficient ad-
ministration of the State plan;

(b) (1) For services under the State
plan provided, under the procedures for
program control and coordination spec-
ified in this part, to families and indi-
viduals included under the State plan
who have been determined (and rede-
termined) to be eligible pursuant to the
provisions of this part;

(2) For other activities which are es-
sential to the management and support
of such services;

(3) For emergency assistance in the
form of services to needy families with
children (see § 233.120 of this chapter) ;
and

(c) Identified and allocated in accord-
ance with SRS instructions and OMB
Circular A-87.

§ 221.52 Expenditures for which Federal
financial participation is available.

Federal financial participation is avail-
able in expenditures for;

(a) Salary, fringe benefits, and travel
costs of staff engaged in carrying out
service work or service-related work;



(b) Costs of related expenses, such ae
equipment, furniture, supplies, communi-
cations, and office space ;

(c) Costs of services purchased in ac-
cordance with this part;

( d ) Costs of State advisory committees
on day-care services for children. Includ-
ing expenses of members In attending
meetings,' supportive staff, and other
technical assistance;

(e) Costs of agency staff attendance at
meetings pertinent to the development or
Implementation of Federal and State
service policies and programs;

(f) Cost to the agency for the use of
volunteers;

(g) Costs of operation of agency facili-
ties used solely for the provision of serv-
ices, except that appropriate distribution
of costs is necessai-y when other agencies
also use such facilities In carrying out
their functions, as might be the case In
comprehensive neighborhood service
centers;

(li) Costs of administrative support
activities furnished by other public
agencies or other units within the single
State agency which are allocated to the
service programs in accordance with an
approved cost allocation plan or an ap-
proved indirect cost rate as provided In
OMB Circular A-87;

(i) With prior approval by &-:.S, costs
of technicEd assistance, surveys, and
studies performed by other public agen-
cies, private organizations, or individuals
to assist the agency in developing, plan-
nmg, monitoring, and evaluating the
services program when such assistance Is
not available without cost;

(j) Costs of emergency assistance in
the farm of services under title IV-A;

(k) Costs incurred on behalf of an in-
dividual under title I, X, XTV, or XVI
for securing guardianship or commit-
ment ;

(1) Costs of public liability and other
insurance protection;

(m;> Costs of provision of informa-
tion about and referral to appropriate
community resources for purposes of as-
sisting an individual in securing employ-
ment or training or information about
employment or training, without regard
to eligibility for assistance or other serv-
ice; and

(n) Other costs, upon approval by
SRS.

§ 221.53 Expenditures for wliicli Fic!-
eral financial participation is not
available.

Federal financial participation is not
available under this part in expenditures
for:

(a) Carrying out any assistance pay-
ments functions. Including the assistance
payments share of costs of planning and
implementing the separation of services
from assistance payments;

(b) Activities which are not related to
services provided by agency staff or vol-
unteers, by arrangements with other
agencies, organizations, or Individuals, at
no cost to the service program, or by
purcha.-e;



FEDERAL REGISTER, VOL. 38, NO. 83— TUESDAY, MAY 1, 1973



RULES AND REGULATIONS



10787



(c) Purchased services which are not
secured In accordance with this part;

(d) Construction and major renova-
N tions:

j (e) Vendor payments for foster care
(they are assistance payments) ;

(f ) Issuance of licenses or the enforce-
ment of licensing standards;

(g) Education programs and educa-
tional services except those defined In
§ 221.9 (b)(4) and (5);

(h) Housing and relocation costs, in-
cluding construction, renovation or re-
pair, moving ol families or individuals,
rent, deposits, and home purchase;

(1) Medical, mental health, or reme-
dial care or services, except when they
are:

(1) Part of the family planning serv-
ices under title IV-A, including medical
services or supplies for family planning
purposes; or

(2) Medical examinations which are
required for admission to child-care
facilities or for persons caring for chil-
dren under agency auspices, and then,
only to the extent that the examina-
tion is not available under medicaid or
not otherwise available without cost;

(j) Subsistence and other mainte-
nance assistance items;

(k) Costs of day-care services for chil-
dren of families having incomes in ex-
cess of 233 Va percent of the State's fi-
nancial assistance payment standard;

(1) Transportation which is provided
imder the State's title XIX plan;

(m) Effective January 1, 1974, costs
of employment services (non-WIN)
under title IV-A provided to persons who
are eligible to participate in WIN under
title IV-C of the act, unless the "WIN
program has not been initiated in the
local jurisdiction; and

(n) Other costs not approved by SRS.

§ 221.54 Rates and amounts of Federal
financiul participation.

(a) Federal financial participation is
available at the 75-percent rate for serv-
ice costs identified in § 221.52: Provided,
The State plan is approved as meeting
the requirements of subpart A of this
part under this provision:

(1) Federal financial participation at
the 75-percent rate includes:

(i) Salary, fringe benefits and travel
costs of service workers and their super-
visors giving full time to services and
lor staff entirely engaged (either at the
State or local level) in developing, plan-
ning, and evaluating senices;

'ii) Salary costs of service-related
staff, such as supervisors, clerks, secre-
taries, and stenographers, which repre-
sent that portion of the time spent in
supporting full-time service staff; and

(iii) All indrect costs which have been
allocated in accordance with an approved
cost allocation plan and with the re-
quirements of OMB Circular A-87.

(2) Federal financial participation at
the 50-percent rate is available for:

(i) Salary, fringe benefits, and travel
cost allocation plan and with the re-
for both services and assistance pay-
ments functions and supervisory costs
related to such workers;



(ii) Salary costs of related staff, such
as administrators, supervisors, clerks sec-
retaries, and stenographers, which repre-
sent that portion of the time spent in
supporting staff carrying responsibility
for both services and assistance payments
functions; and

(iil) All indirect costs which have been
allocated In accordance with an approved
cost allocatign plan and with the re-
quirements of OMB Circular A-87.

(b) Federal financial participation for
purchased services. — (1) Federal finan-
cial participation is available at the 75-
percent rate in expenditures for purchase
of service under the State plan to the
extent that payment for purchased serv-
ices is in accordance with rates of pay-
ment established by the State which do
not exceed the amounts reasonable and
necessary to assure quality of service
and, in the case of services purchased
from other public agencies, the cost rea-
sonablj' assignable to such services, pro-
vided the services are purchased in ac-
cordance with the requirements of this
part.

(2) Services which may be purchased
with Federal financial participation are
those for which Federal financial partici-
pation is otherwise available under title
I, IV-A, X, XIV, or XVI of the act and
which are included xmder the approved
State plan, except as limited by the pro-
visions of paragraph (b) (3) of this
section.

(3) (i) Effective March 1, 1973, through
June 30, 1973, Federal financial partici-
pation Is available for a new purchase of
services from another pubUc agency only
for ser\ ices beyond those represented by
fiscal year 1972 expenditures of the pro-
vider agency (or its predecessors) for the
type of service and the type of persons
covered by the agreement. A new pur-
chase of service from another public
agency is any purchase of services other
than a purchase for the type of service
and the type of persons covered by an
agreement that was validly subject to
Federal financial participation under
title I, IV-A, X, XIV, or XVI prior to
February 16, 1973.

(ii) Effective July 1, 1973, subject to
the conditions in subdivision (i) of this
subparagraph (3), Federal financial par-
ticipation is available for a new purchase
of service as follows:

(A) July 1, 1973-June 30, 1974 — only
for services beyond those represented by
75 percent of fiscal year 1973 expendi-
tures.

(B) July 1, 1974-June 30, 1975— only
for services beyond those represented by
50 percent of fiscal year 1973 expendi-
tures.

(C) July 1, 1975-June 30, 1976— only^
for services beyond those represented by
25 percent of fiscal year 1973 expendi-
tures.

(4) The provisions of paragraph (b)
(3) of this section also apply to services
provided, directly or through purchase,
by:

(i) Any public agency as to which a
waiver of the single State agency re-
quirement pursuant to section 204 of the



Intergovernmental Cooperation Act is
granted after February 15, 1973, or

(ii) The State or local agency, as to
activities added by reorganization of ad-
ministrative structure, redesignation of
the State or local agency, or otherwise,
occurring after February 15, 1973.

§ 221.55 Limitations on total nniount of
Federal funds payable to Slates for
services.

(a) The amount of Federal funds pay-
able to the 50 States and the District of
Columbia under titles I, IV-A. X, XIV,
and XVI for any fiscal year (commenc-
ing with the fiscal year beginning July 1,
1972) with respect to expenditures made
after Jvne 30, 1972 (see para, (b) of this
section), for services (other than WIN
support services, and emergency assist-
ance in the form of sen'lces. under title
IV-A) is subject to the following limita-
tions:

( 1 ) The total amount of Federal funds
paid to the State under all of the titles
for any fiscal year with respect to ex-
penditures made for such services shall
not exceed the State's allotment, as de-
termined under paragraph (c) of this
section; and

(2) The amounts of Federal funds paid
to the State under all of the titles for
any ascal year with respect to expendi-
tures made for such services shall not
exceed the limits pertaining to the ty, is
of individuals served, as specified under
paragraph id) of this section.

Notwithstanding the provisions of para-
graphs (c) (1) and (d) of this section, a
State's allotment for the fiscal year com-
mencing July 1, 1972, shall consist of the
sum of:

(i) An amount not to exceed $50 mil-
lion payable to the State with respect
to the total expenditures incurred, for
the calendar quarter beginning July 1,
1972, for matchable costs of services of
the type to which the allotment provi-
sions apply, and

(ii) An amount equal to three-fourths
of the State's allotment as determined
in accordance with paragraphs (cXl)
and (d) of this section.

However, no State's allotment for such
fiscal year shall be less than It would
otherwise be under the provisions of
paragraphs (c)(1) and (d) of this sec-
tion.

(b) For purposes of this section, ex-
penditures for services are ordinarily
considered to be incurred on the date
on which the cash transactions occur
or the date to which allocated in ac-
cordance with OMB Circular A-87 and
cost allocation procedures prescribed by
SRS. In the case of local administra-
tion, the date of expenditure by the local
agency governs. In the case of purchase
of services from another public agency,
the date of expenditure by such other
public agency governs. Different rules
may be applied with respect to a State,
either generally or for particular classes
of expenditures, only upon justification
by the State to the Administrator and
approval by him. In reviewing State re-
quests for approval, the Administrator
will consider generally applicable State



FEDERAL REGISTER, VOL, 38, NO. 83— TUESDAY, MAY 1, 1973



10788



RULES AND REGULATIONS



law, consistency of State practice, par-
ticularly in relation to periods prior to
July 1, 1972, and other factors relevant
to the purposes of this section.

(c) (1) For each fiscal year (conuiienc-
ing with the fiscal year beginning on
July 1, 1972) each State shall be allotted
an amount which bears the same ratio to
$2,500 million as the population of such
State bears to the population of all the

(2) The allotment for each State will
be promulgated for each fiscal year by
the Secretary between July 1 and Au-
gust 31 of the calendar year immediately
preceding such fiscal year on the basis
of the population of each State and of all
the States as determined from tlie most
recent satisfactory data available from
the Department of Commerce at such
time.

(d) Not more than 10 percent of the
Federal funds shall be paid with respect
to expenditures in providing services to
individuals (eligible for services) who
are not recipients of aid or assistance
under State plans approved under such
titles, or applicants for such aid or as-
sistance, except that this limitation does
not apply to the following ser\'iceE pro-
vided to eligible persons :

(1) Services provided to mret the needs
of a child for personal care, protection,
and supervision (as defined under day
care services for children) but only in
the case of a child where the provision
of such services is necessary in order to
enable a member of .such child's family to
accept or continue in employment or to
participate in training to prepare such
member for employment, or because of
the death, continued absence from home,
or incapacity of the child's mother and
the inability of any m.ember of such
child's family to provide adaquate and
necessary care and supervision for such
child;

( 2 ) Family planning services ;

(3) Any services included in the ap-
proved State plan that are provided to
an individual diagnosed as mentally re-
tarded by a State mental retardation
clinic or other agency or orranization
recogni:ied by the State agency as com-
petent to make such diagnoses, or by a li-
censed physician, but only if such serv-
ices are needed for such individual by
reason of his condiiion of being mentally
retarded:

(4) Any services included in the ap-


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