The Code of Federal Regulations of the United States of America

such provisions as he may from time to time find necessary to assure the correctness and verification of such reports.

(b) Conditions for optional use of microfilm copies. Certified microfilm copies of the substantiating documents required for Federal audit and review purposes may be substituted for the originals (ie., the originals may be destroyed), provided that:

(1) The State agency can show, on the basis of a study of its record storage situation, that the use of microfilm copies is in the interest of effciency and economy;

(2) The proposed microfilm system is adequate:

(i) To enable the State to discharge its own audit responsibility for propriety of expenditures for which Federal financial participation is claimed and in no way hinders the State agency's supervision and control of the programs; and

(ii) To enable the HEW Audit Agency and SRS to properly discharge their respective responsibilities for reviewing the manner in which all aspects of the public assistance programs are being administered in the State; and

(3) Prior approval is obtained from the regional office indicating that the system meets the conditions in subparagraph (2) of this paragraph and that the proposed microfilming procedures are reliable and are supported by an adequate retrieval system.

[37 F.R. 16080, Aug. 10, 1972]

§ 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 lo

cated 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, reg

ulations, 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 a description of the organization and functions of the medical assistance unit and an organizational chart of the unit, and

(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]

§ 205.102 Separation of services from assistance payments.

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

(1) For development of a plan for separation of services from assistance payments and for the establishment of a separated service system, which will accord with guidelines issued by the Social and Rehabilitation Service, and will be submitted no later than October 1,

1972, to the SRS Regional Commissioner for approval;

(2) For statewide operation of the approved separation plan no later than January 1, 1973; and

(3) For submittal of a progress report on the implementation of separation, no later than March 15, 1973.

(b) Definitions. (1) "Separation of services from assistance payments" means the administration and operation of the services function independently from the assistance payments function, with separate lines of authority for each function.

(i) In addition to the single State agency head, for both the services and the assistance payments functions, there may be a common head at the level of State supervision of local office operations and at the overall local administrative level.

(ii) There must be, at all levels, separate lines of authority and separate staff directly and exclusively responsible for services programs as distinguished from assistance payments programs. This includes all staff engaged in policy and program development, supervision of local operation of service programs, and actual provision of services to clients.

(iii) There may be common or separate facilitating services at any State or local agency level, depending on the need.

(iv) In the case of a sparsely populated geographical area, upon justification by the State agency documenting a lack of administrative feasibility in assigning separate local staff for services and for assistance payments functions, the SRS Regional Commissioner may approve alternate arrangements, based upon criteria set forth in SRS guides, and designed to achieve the purposes of separation in such area to the maximum extent possible, and to provide reporting and cost allocation methods which will assure compliance with other Federal requirements and proper claims for Federal financial participation.

(2) The "services function" encompasses those activities included in the approved State plan and carried out by the agency, pursuant to Parts 220, 222, 223, and 226 of this chapter, in order to enable an individual or family, or groups of individuals or families, to overcome barriers to the achievement

of their objectives and the goals of the public social services programs. It includes determination of eligibility for services of those individuals or families who are neither applicants for nor recipients of financial or medical assistance, and, under title IV-A, for those who can qualify under § 220.52(a) (3) (iii) or (iv) of this chapter.

(3) The "assistance payments function" encompasses all activities and payments for basic maintenance, i.e., furnishing the income to which an individual or family is entitled under the approved State plans for meeting dayto-day ongoing living costs and special needs. It includes the complete process of determining initial and continuing eligibility for financial and medical assistance and for commodities distribution or food stamps. It also includes maintaining the case in assistance payment or certification status.

[37 F.R. 11060, June 2, 1972]

§ 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;

(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:

(1) State (as distinguished from local) funds will be used in both assistance and administration; and

(2) State and Federal funds will be apportioned among the political subdivisions of the State on a basis consistent with equitable treatment of individuals in similar circumstances throughout the State.

(b) A State plan under title I, IV-A, X, XIV, or XVI of the Act must provide further that State funds will be used 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, subject to the following qualifications:

(a) The 3-year retention period starts from the date of submission of the final expenditure report;

(b) The records shall be retained beyond the 3-year period if audit findings have not been resolved;

(c) Records for nonexpendable property which was acquired with Federal grant funds shall be retained for 3 years after final disposition of such property. [37 F.R. 16080, Aug. 10, 1972]

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 will establish and maintain methods and procedures for properly charging the costs of activities under the plan to the program in accordance with Federal requirements (Bureau of the Budget Circular A-87 and Department and Social and Rehabilitation 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 as

(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;

(d) Types of construction;

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

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 authority (ies) on conditions which appear to be in violation of such standards.

(2) Federal financial participation is not available in the costs incurred by the standard-setting authority(ies) in establishing and maintaining standards for institutions.

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

§ 205.200 Standards of personnel

administration.

(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 poli

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