such provisions as he may from time to time find necessary to assure the correctness and verification of such reports. [36 F.R. 3861, Feb. 27, 1971]

§ 205.70 Availability of agency program manuals.

State plan requirements. A State plan under title I, IV-A, IV-B, X, XIV, XVI, or XIX of the Social Security Act must provide that:

(a) Program manuals and other policy issuances which affect the public, including the State agency's rules and regulations governing eligibility, need and amount of assistance, recipient rights and responsibilities, and services offered by the agency, will be maintained in the State office and in each local and district office for examination on regular workdays during regular office hours by individuals, upon request for review, study, or reproduction by the individual.

(b) (1) A current copy of such material will be made available without charge for access by the public through custodians who (i) request the material for this purpose, (ii) are centrally 10cated and publicly accessible to a substantial number of the recipient population they serve, and (iii) agree to accept responsibility for filing all amendments and changes forwarded by the agency.

(2) Under this requirement the material, if requested, must be made available without charge to public or university libraries, the local or district offices of the Bureau of Indian Affairs, and welfare or legal services offices or organizations. The material may also be made available, with or without charge, to other groups and to individuals. Wide availability of agency policy materials is recommended.

(c) Upon request, the agency will reproduce without charge the specific policy materials necessary for an applicant or recipient, or his representative, to determine whether a fair hearing should be requested or to prepare for a fair hearing; and will establish policies for reproducing policy materials without charge, or at a charge related to cost, for any individual who requests such material for other purposes.

[35 F.R. 17546, Nov. 14, 1970]

§ 205.100 Single State agency.

(a) State plan requirements. A State plan under title I, IV-A, X, XIV, XVI, or XIX of the Social Security Act must: (1) Except as provided in paragraph

(b) of this section, provide for the establishment or designation of a single State agency with authority to administer or supervise the administration of the plan.

(2) Include a certification by the attorney general of the State identifying the single State agency and citing the legal authority under which such agency administers, or supervises the administration of, the plan on a statewide basis including the authority to make rules and regulations governing the administration of the plan by such agency or rules and regulations that are binding on the political subdivisions, if the plan is administered by them.

(3) In the event the single State agency responsible for the plan for MA is other than the State agency responsible for the plan for OAA or for AABD (insofar as it relates to the aged), provide:

(i) That determination of eligibility for medical assistance under the plan will be made by the State or local agency administering such plan for OAA or for AABD (insofar as it relates to the aged) in accordance with standards, rules, regulations, and policies established by the single State agency responsible for the MA program, and

(ii) That there is a written agreement between the two State agencies, showing the relationships and respective responsibilities of the two agencies. Such agreement should include provision for employment by the OAA or AABD agency of sufficient personnel with appropriate skills to cary out effectively the responsibilities and relationships covered by the agreement.

(b) Exceptions. (1) A State plan for AABD may provide for the designation of a separate State agency to administer or supervise the administration of the plan which relates to blind individuals, but only if, on January 1, 1962, and on the date of the submittal of the plan for AABD, such separate agency was responsible for the plan for AB and was different from the State agency responsible for the plans for OAA and APTD. In such case, the requirements and conditions of this section must be met by each such agency.

(2) A State plan for MA may provide for the designation of a separate State agency to administer or supervise the administration of the plan which relates to blind individuals, but only if, on January 1, 1965, and on the date of the submittal of the plan for MA,

such separate agency was responsible for the plan for AB or for AABD (insofar as it relates to the blind) and was different from the State agency responsible for the plan for OAA or for AABD (insofar as it relates to the aged). In such case, the requirements and conditions of this section must be met by each such agency.

(c) Conditions for implementing the requirements of paragraph (a) of this section. (1) The State agency will not delegate to other than its own officials its authority for exercising administrative discretion in the administration or supervision of the plan, including the issuance of policies, rules, and regulations on program matters.

(2) In the event that any rules and regulations or decisions of the single State agency are subject to review, clearance, or other action by other offices or agencies of the State government, the requisite authority of the single State agency will not be impaired.

(3) In the event that any services are performed for the single State agency by other State or local agencies or offices, such agencies and offices must not have authority to review, change, or disapprove any administrative decision of the single State agency, or otherwise substitute their judgment for that of the agency as to the application of policies, rules, and regulations promulgated by the State agency.

[36 F.R. 3861, Feb. 27, 1971]

§ 205.101 Organization for administration.

(a) A State plan under title I, IV-A, X, XIV, XVI, or XIX of the Social Security Act shall include a description of the organization and functions of the single State agency and an organizational chart of the agency.

(b) A State plan under title XIX of the Act must:

(1) Provide for the establishment of a medical assistance unit in the single State agency which shall include the program director and other appropriate staff for participation in the development, analysis, and evaluation of the State's medical assistance program, (2) Include description of the organization and functions of the medical assistance unit and an organizational chart of the unit, and

a

(3) Include a description of the kinds and numbers of professional medical personnel and supporting staff that will be used in the administration of the

plan and of the responsibilities they will have.

(c) Where applicable, a State plan under title I, IV-A, X, XIV, or XVI of the Act shall identify the organizational unit within the State agency which is responsible for operation of the plan, and shall include a description of its organization and functions and an organizational chart of the unit. (See also Part 220 of this Chapter for requirements concerning the organization for administration of the service programs under title IV-A and title IV-B of the Act.) [36 F.R. 3862, Feb. 27, 1971] § 205.120

Statewide operation.

State plan requirements: A State plan under title I, IV-A, X, XIV, XVI, or XIX of the Social Security Act must provide that:

(a) It shall be in operation, through a system of local offices, on a statewide basis in accordance with equitable standards for assistance and administration that are mandatory throughout the State;

(b) If administered by political subdivisions of the State, the plan will be mandatory on such political subdivisions;

(c) The State agency will assure that the plan is continuously in operation in all local offices or agencies through:

(1) Methods for informing staff of State policies, standards, procedures and instructions; and

(2) Regular planned examination and evaluation of operations in local offices by regularly assigned State staff, including regular visits by such staff; and through reports, controls, or other necessary methods.

[36 F.R. 3862, Feb. 27, 1971]

§ 205.130 State financial participation. State plan requirements:

(a) A State plan under title I, IV-A, X, XIV, XVI, or XIX of the Social Security Act must provide that:

to pay a substantial part of the total costs of the assistance programs.

(c) A State plan under title XIX of the Act must provide further that State funds will be used to pay not less than 40 percentum of the non-Federal share of the total expenditures under the plan and either:

(1) State funds will be used to pay all of the non-Federal share of the total expenditures under the plan, or

(2) If there is local financial participation, there will be a method of apportioning State and Federal funds among the political subdivisions of the State on an equalization or other basis that will assure that lack of funds from local sources does not result in lowering the amount, duration, scope, or quality of care and services or level of administration under the plan in any part of the State.

[36 F.R. 3862, Feb. 27, 1971]

§ 205.145 Fiscal policies and accountability.

State plan requirements: A State plan under title I, IV-A, X, XIV, XVI, or XIX of the Social Security Act must provide that the State agency, in discharging its fiscal accountability, will maintain an accounting system and supporting fiscal records adequate to assure that claims for Federal funds are in accord with applicable Federal requirements. Under this requirement, State and, where applicable, local agencies are required to maintain accounting records, identifiable for each of the above titles of the Act, for a period of 3 years after the end of the Federal fiscal year if audit by or on behalf of the Department has occurred by that time. If such audit has not occurred, the records must be retained until audit or until 5 years following the end of the Federal fiscal year, whichever is earlier. However, in all cases, records shall be retained until resolution of audit questions.

[36 F.R. 3862, Feb. 27, 1971]

bilitation Service regulations and instructions). Such methods and procedures and revisions of them are subject to approval by the Department; revisions must be submitted promptly and in no case later than 12 months following the effective date of the change. The State's methods and procedures must include a description of the method for:

(a) Allocating all administrative costs of the State department in which the State agency is located between Federal and non-Federal programs;

(b) Identifying, of the costs applicable to more than one of the Federal programs, those applicable to each of the separate programs, in accordance with program classifications specified by the Secretary; and

(c) Segregating costs in paragraph (b) of this section by service and income maintenance functions, where applicable, and such other classifications as are found necessary by the Secretary. [36 F.R. 3862, Feb. 27, 1971]

§ 205.170 State standards for office space, equipment, and facilities.

State plan requirements: A State plan under title I, IV-A, X, XIV, XVI, or XIX of the Social Security Act must provide that:

(a) The State agency will establish and maintain standards for office space, equipment, and facilities that will adequately and effectively meet program and staff needs. Under this requirement, offices must be well marked and clearly identifiable in the community as a public service.

(b) The State agency will assure that the standards are continuously in effect in all State and local offices or agencies, including agency suboffices, and special centers through:

(1) Making information about the standards available to State and local staff and other appropriate persons;

(2) Regular planned evaluation of housing and facilities by regularly assigned staff through visits, reports, controls and other necessary methods;

(3) Methods for enforcement when necessary to secure compliance with State standards.

[36 F.R. 3862, Feb. 27, 1971] § 205.190

Standard-setting authority for

institutions.

(a) State plan requirements. If a State plan under title I, X, XIV, XVI, or XIX of the Social Security Act includes

financial or medical assistance to or in behalf of individuals in institutions as defined in § 233.60 (b) (1) and (2) of this chapter, the plan must:

(1) Provide for the designation of a State authority or authorities which shall be responsible for establishing and maintaining standards for such institutions;

(2) Provide that the State agency will keep on file and make available to the Social and Rehabilitation Service upon request:

(i) A listing of the types or kinds of institutions in which an individual may receive financial and/or medical assistance;

(ii) A record naming the State authority (ies) responsible for establishing and maintaining standards for such types of institutions;

(iii) The standards to be utilized by such State authority (ies) for approval or licensing of institutions including, to the extent applicable, standards related to the following factors:

(a) Health (continuing physician and nursing services, dietary standards, drug controls, and accident prevention);

(b) Humane treatment;

(c) Sanitation;

(d) Types of construction;

(e) Physical facilities, including space and accommodations per person;

(f) Fire and safety;

(g) Staffing, in number and qualifications, related to the purposes and scope of services of the institution;

(h) Patient records;

(i) Admission procedures;

(j) Administrative and fiscal records; (k) The control by the individual, or his guardian or protective payee, of the individual's personal affairs.

A plan under title XIX must describe these standards.

(3) Provide for cooperative arrangements with the standard-setting authority (ies) in the development of standards directed toward assuring adequate quality of care; in upgrading of institutional programs and practice; in actions necessary to close institutions that mistreat or are hazardous to the safety of the patients; and in planning so that institutions may be geographically located in accordance with need. (b) Federal financial participation.

(1) Federal financial participation is available in staff and related costs of the State or local agency that are necessary

to discharge the responsibilities of the State agency under this section, including such costs for staff:

(i) Participating with other agencies and community groups in activities to set up the authority (ies) and to advise on the formulation of policy for the establishment and maintenance of standards;

(ii) On loan for a time limited period to work with the standard-setting authority (ies) in upgrading institutional care;

(iii) Engaged in the function of coordination in States where there is more than one authority; and

(iv) Engaged in adjusting complaints and making reports and recommendations to the standard-setting thority (ies) on conditions which appear to be in violation of such standards.

au

(a) A State plan under title I, IV-A, X, XIV, XVI, or XIX of the Social Security Act must provide that methods of personnel administration will be established and maintained in the State agency administering or supervising the State plan and in local agencies administering the State plan in conformity with the Standards for a Merit System of Personnel Administration, 45 CFR Part 70. Under this requirement, laws, rules, regulations, and policy statements effectuating such methods of personnel administration are a part of the State plan. Statements of acceptance of these standards by all official local agencies included in the State plan must be obtained and methods must be established by the State to assure compliance by local jurisdictions. These statements and citations of applicable State laws, rules, regulations, and policies which provide assurance of conformity to the standards in 45 CFR Part 70 must be submitted to the Department of Health, Education, and Welfare for determination as to adequacy. Copies of the materials cited and of similar local materials maintained by a State official responsible for compliance by local jurisdictions must be furnished to the Department on request.

(b) The Secretary of Health, Education, and Welfare shall exercise no au

thority with respect to the selection, tenure of office, or compensation of any individual employed in accordance with such methods.

[36 F.R. 3863, Feb. 27, 1971]

§ 205.202 Staff development.

(a) State plan requirements. A State plan under title I, IV-A, X, XIV, XVI, or XIX of the Social Security Act must provide for a staff development program for personnel in all classes of positions and for volunteers, to improve the operation of the State program and to assure a high quality of service, including:

(1) An orientation program for new staff;

(2) A program of continuing training opportunities held under expert leadership at suitable intervals;

(3) Provision for paid educational leave to enable subprofessional, technical, and professional staff to improve their performance and to advance to more responsible positions.

(b) Conditions for staff development programs. A staff development program under paragraph (a) of this section shall:

(1) If it includes educational leave for employees in a worker-in-training classification, provide that the tenure of such employees will be limited to the period of education and that such persons will be promoted to the appropriate regular classification upon successful completion of the education;

(2) If it includes educational grants for persons preparing for employment, provide for

(i) The use of criteria for selection of candidates, and

(ii) Conditions under which such grants are to be made;

(3) If it includes teaching grants to educational institutions, provide that such grants are made only to establish or expand educational programs necessary to prepare persons for the administration of the agency's program, and only to institutions accredited by the appropriate accrediting body.

(c) Federal financial participation. (1) For the State plan under title IV-A of the Act, Federal financial participation is available at 75 percent for training and staff development costs.

(2) For the State plans under titles I, X, XIV, and XVI of the Act, Federal

financial participation is available at 75 percent for training and staff development costs if the plan provides for social services in accordance with the regulations in Part 222, Subparts A and B of this chapter. Otherwise, Federal financial participation in such costs is available at 50 percent.

(3) Costs which may be claimed under titles I, IV-A, X, XIV, and XVI of the Act are the following:

(i) State and local staff development personnel. Payment of personal services for staff development personnel, including clerical and other staff, and all other expenses, e.g., travel, per diem, rent, postage, communications, equipment, etc. Only personnel who are assigned at least half time to staff development or who are detailed to staff development activities for at least 4 consecutive weeks may be considered staff development personnel.

(ii) Agency session planned to train staff in content dealing with public assistance. (a) Costs of operating training centers, including personal services and travel of staff, equipment, rental of space, and other expenses of operating the center.

services,

(b) Payment of personal travel, per diem and training expenses of staff while attending full-time training sessions which are for four or more consecutive work weeks

(c) Payment of travel, per diem and educational expenses of staff while attending training sessions which are for less than 4 consecutive work weeks.

(d) Payment for purchase and development of necessary teaching materials and equipment: e.g., books, audiovisual aids, and technical devices.

(e) Costs of maintaining and operating the agency library as an essential resource to the agency's in-service training program. If the library is maintained as a general reference library for total agency operations, the staff development director and the librarian will recommend the appropriate proportion of library costs to be charged to the training program.

(f) Payment to outside experts employed to conduct special courses, including personal services, travel, and per diem.

(g) Payment of the costs of special courses developed outside the agency, in