encumbrances or commitments which are supported by contracts or other evidence of liability consistent with State purchasing procedure.

§ 220.78

Liquidation of obligations.

All obligations of the State agency incurred in carrying out the annual budget shall be liquidated within 2 years after the close of the fiscal year in which the obligation was incurred unless otherwise authorized by the Social and Rehabilitation Service.

§ 220.79 Interest and refunds.

Interest earned on payments made under the Act and the regulations in this subpart and any amount refunded or repaid to the State shall be duly reported for any necessary adjustment in accordance with § 220.74(c).

§ 220.80 Apportionment of costs.

Where an expenditure is made for the benefit of this program and any other programs the amount to be charged as a cost of carrying out the State plan shall not exceed the amount arrived at by a reasonable apportionment except that, as may be authorized by applicable law and policy, the expenditure may be chargeable in whole either to this program or another program.

§ 220.81

Equipment and supplies.

All items of equipment or supply purchased in carrying out the annual budget shall be used only for purposes for which expenditures may be included in the annual budget, and the State agency shall maintain a complete equipment inventory and adequate property controls covering such items.

§ 220.82 Effect of payments.

Neither approval of the State plan nor any payments to the State pursuant thereto shall be deemed to waive the failure of the State to observe before or after such administrative action any Federal requirements or the right or duty of the Federal government to withhold funds by reason thereof.

with the effect given by section 423 (c) of the Act.

§ 220.84 Reallotment of funds.

Under section 424 of the Act the amount of any allotment to a State under section 421 of the Act for any fiscal year which the State certifies will not be required for carrying out the State plan shall be available for reallotment to other States in accordance with the following:

(a) On or before dates fixed by the Social and Rehabilitation Service each State shall certify on an official form whether or not it will require the full amount of its allotment for carrying out the State plan for the fiscal year. If it is certified that the full amount will not be required, the certification shall contain the amount of the allotment not so required. If it is certified that the full amount will be required, and if the State has need for and will be able to use sums in excess of its allotment in carrying out the State plan, the State agency may so state in a letter to the Social and Rehabiliation Service together with an estimate of the amount of such sums.

(b) The total amount certified by States as not being required for carrying out their State plan for the fiscal year shall be tentatively apportioned among those States which have stated need for and capacity to use sums in excess of their allotments in carrying out their plans: Provided, That in no event shall the amount of such apportionment to a State exceed the estimated amount of its request under paragraph (a) of this section, and any excess shall be tentatively apportioned among the remaining States. The Social and Rehabilitation Service promptly shall notify such States of such tentative apportionment. Each such State, after taking into consideration the amount of the tentative apportionment to it, shall notify the Social and Rehabilitation Service on or before a date fixed by the Social and Rehabilitation Service whether or not it desires to continue to be considered for purposes of the reallotment.

(c) In the event that all such States notify the Social and Rehabilitation Service that they desire to continue to be considered for purposes of the reallotment, each State shall develop jointly with the Social and Rehabilitation Service a revision to the State plan covering

the amount tentatively apportioned to it.

(d) In the event that a State notifies the Social and Rehabilitation Service that it does not desire to continue to be considered for purposes of the reallotment the tentative apportionment shall be recomputed without the withdrawing State. Each of the remaining States shall be notified of the recomputation and shall develop jointly with the Social and Rehabilitation Service a revision to the State plan covering the amount tentatively apportioned to it under the

recomputation.

(e) Reallotment shall be made among those States which have plan revisions pursuant to paragraph (c) or (d) of this section and which the Social and Rehabilitation Service determines (1) have need in carrying out their State plan for the additional funds and (2) will be able to use such additional funds during the fiscal year.

(f) In computing the amount of the reallotted funds to each State consideration shall be given to the population under the age of 21 and the per capita income of each such State as compared with the population under the age of 21 and the per capita income of all such States participating in the reallotment.

(g) Any amount reallotted to a State shall be deemed part of its allotment under section 421 of the Act.

PART 222-SERVICE PROGRAMS FOR AGED, BLIND, OR DISABLED PERSONS: TITLES I, X, XIV, AND XVI OF THE SOCIAL SECURITY ACT

66-100 0-72- -5

Sec.

222.88 Provisions governing costs of certain services.

222.89

222.90

222.91

Kinds of expenses for which Federal financial participation is available. Rates of Federal financial participation.

Donated private funds.

AUTHORITY: The provisions of this Part 222 issued under 49 Stat. 647, 70 Stat. 848-850, 76 Stat. 173-182, 198, 202-204, 81 Stat. 897898; 42 U.S.C. 1302, 302-303, 1202-1203, 13521353, 1382-1383.

SOURCE: The provisions of this Part 222 appear at 35 F.R. 18170, Nov. 26, 1970, unless otherwise noted.

Subpart A-Mandatory Provisions for All Service Programs

A State plan under title I, X, XIV, or XVI of the Social Security Act that provides for any services to aged, blind, or disabled persons, must:

(a) Describe the services available under the State plan to current applicants and recipients.

(b) Identify which, if any, of the optional groups described in § 222.55 are also eligible for services.

(c) Specify the services to be made available to each such group.

(d) Commit the State to meet the requirements in this Subpart.

§ 222.2 Advisory committees.

(a) An advisory committee on aged, blind, and disabled must be established at the State level and at the local levels where the programs are locally administered, except that in local jurisdictions with small caseloads alternate procedures for securing similar participation may be established. The advisory committee, which may be combined with AFDC-CWS advisory committee (as required in § 220.4 of this chapter), will: (1) Advise the principal policy setting and administrative officials of the agency and have adequate opportunity for meaningful participation in policy development and program administration, including the furtherance of recipient participation in the program of the agency.

(2) Include representatives of other State agencies concerned with services, representatives of professional, civic or other public or private organizations, private citizens interested and experienced in service programs, and recipients of assistance or services or their repre

(4) Be provided with financial arrangements, where necessary, to make possible the participation of recipients in the work of the committee structure.

(b) The State agency must maintain information about the structure and functions of the State and local advisory committees with representation from the aged, blind, and disabled; their relationship to other boards and committees associated with the State and local agencies; and the system for selecting recipients or their representatives. The State advisory committee for aged, blind, and disabled must be established no later than 120 days after plan approval.

§ 222.3 Training and use of subprofessionals and volunteers.

The State agency must conform to the regulations in Part 225 of this chapter, Training and Use of Subprofessionals and Volunteers.

§ 222.4 Relationship to and use of other agencies.

(a) There must be maximum utilization of and coordination with other public and voluntary agencies, including with respect to the latter their experience as well as their facilities, providing services similar or related to the services provided under the plan, where such services are available without additional cost.

(b) Consideration must be given to the appropriate use of other public and voluntary agencies as sources for the purchase of care and services and such use must be based on a determination that required program standards will be met, and a comparison of the effectiveness with which the services are likely to be rendered and the anticipated costs thereof.

(c) The State plan must show ways in which public and voluntary agencies will be used, including types of services to be purchased, if any.

(d) The State agency must conform to the regulations in Part 226 of this chapter, Purchase of Services under Public Assistance Programs.

(a) There must be provision under the agency's established fair hearings procedures for a fair hearing under which applicants and recipients may appeal denial of or exclusion from a service program or failure to take account of recipient choice of a service. Provisions governing fair hearings in relation to financial and medical assistance shall apply. The results of appeals pertaining to services must be formally recorded and made available to the State advisory committee on services and all applicants and recipients must be advised of their right to appeal and the procedures for such appeal.

(b) There must be a system through which recipients may present grievances about the operation of the service program.

§ 222.10 Reports and evaluations.

Such reports and evaluations must be furnished to the Secretary as he may specify, showing scope, results, and costs of services for aged, blind, or disabled persons.

§ 222.11 Special service units.

If the State agency establishes special service units in metropolitan or rural settings, it must maintain information on the specific purposes and functions of such special service units.

A State plan under title I, X, XIV, or XVI, to be eligible for 75 percent Federal financial participation in the costs of providing services, must:

(a) Commit the State to meet the requirements of this subpart.

(b) Commit the State to progress in the extension and improvement of services.

(c) Provide for the submission of such implementation and progress reports as may be specified.

ORGANIZATION AND ADMINISTRATION

§ 222.21 Policy and program development and implementation.

In administering the program there must be:

(a) A State level position (or positions) with authority and responsibility for the direction and development of the adult services program.

(b) The use of State staff to supervise local agency performance in developing, maintaining, improving, and extending services, to assure proper program implementation.

§ 222.22 Individual service plans.

There must be assessment of the individual's service needs and implementation of individual service plans in all cases where it is agreed between the agency and the applicant, or the person applying on his behalf, for service that service is needed. Each plan must be re

viewed as often as necessary but at least annually, to assure that it is practically related to the individual's needs and is being effectively implemented. Each service plan and the services provided must be recorded.

§ 222.23

Full-time staff for services.

(a) The functions of arranging or providing services to individuals should, to the maximum extent feasible, be performed by persons other than those who determine eligibility for financial and medical assistance and provide financial assistance.

(b) There must be adequate numbers of full-time staff assigned to service functions at all levels of agency operations and, to this end, there must be progress toward the objectives of relieving all staff of nonservice functions. (This includes service at intake, i.e., providing information, screening, and referral within the agency and community for all aged, blind, or disabled persons seeking agency help; and determining need for specific services.) § 222.24 Use of professional staff.

There must be adequate numbers and suitable qualifications for personnel drawn from appropriate disciplines, e.g. social work, rehabilitation counseling, home economics, to plan, develop, and supervise services and, when applicable, to provide specialized services to aged, blind, or disabled persons; and there must be an adequate system of career development and progression for such individuals. § 222.25

ards.

Caseloads and workload stand

The State agency must make available on request an explanation of how the quantity and quality of services will be maintained in instances where the number of personnel performing direct service functions results in a caseload or workload higher than that in effect during fiscal year 1968 for the service programs in the States which qualified for Federal financial participation at the 75percent rate. § 222.26

Bilingual interpreters.

Provision must be made for bilingual staff or interpreters when there are substantial numbers of non-English-speaking applicants and recipients.

§ 222.27 Delivery and utilization of

services.

(a) There must be progress in achieving organizational patterns and simplified administrative procedures that assure effective delivery and utilization of services.

(b) The State plan must also provide for continued assessment and necessary adaptations to achieve this requirement. § 222.23 Public information program.

There must be provision for a continuing program of public information specifically designed to assure that information about all the services the State agency provides in its plan, and how they may be secured, is effectively and appropriately promulgated throughout the State in a manner calculated to reach current and potential applicants and recipients for service and sources of referral of potential applicants. When there are substantial numbers of non-Englishspeaking applicants and recipients the informational materials must also be published in the native language most commonly used in the area.

The State plan must provide for the required services (§§ 222.41-222.45) to be made available to all persons eligible under the State plan.

§ 222.41 Information and referral services.

Such services must be available, without regard to eligibility for assistance or other service, to any aged, blind, or disabled person seeking information or advice with respect to his needs which can properly be met by the provision of direct information or referral to appropriate community resources.

$222.42 Protective services.

Services must include, but are not limited to:

(a) Arranging for medical (including psychiatric) services to evaluate, and whenever possible, safeguard and improve the circumstances of those with serious impairments.

(b) Arrangments for guardianship, commitment, or other protective placement when necessary by the agency directly or through referral to another appropriate agency.