Arkansas Administrative Code
Agency 016 - DEPARTMENT OF HUMAN SERVICES
Division 14 - Department of Finance (Administrative Services)
Rule 016.14.12-002 - Social Services Block Grant (SSBG) Pre-expenditure Report for the Fiscal Year 2013

A. Organization of DHS

Arkansas DHS is the State agency designated to administer the State's SSBG program. DHS is a cabinet agency within the executive branch of Arkansas government. The DHS Director reports to the Governor of Arkansas and is responsible for the administration of this unified human service delivery agency. In its delivery of services to the citizens of Arkansas, DHS exemplifies its Mission Statement: "Together we improve the quality of life of all Arkansans by protecting the vulnerable, fostering independence, and promoting better health."

DHS is organized into the following divisions and offices:

Office of Finance and Administration (OFA)

Division of Aging and Adult.Services (DAAS)

Division of Behavioral Health Services (DBHS)

Division of Child Care and Early Childhood Education (DCCECE)

Division of Children and Family Services (DCFS)

Division of County Operations (DCO)

Division of Developmental Disabilities Services (DDS)

Division of Medical Services (DMS)

Division of Services for the Blind (DSB)

Division of Community Service and Nonprofit Support (DCSNS)

Division of Youth Services (DYS)

Office of Chief Counsel (OCC)

The functions of each division and office involved in the delivery of services funded through SSBG are described below.

OFA manages SSBG funding for DHS and is responsible for preparation of the Pre-expenditure Report and Post-expenditure Report. OFA develops and reviews DHS contracts for social services funded by SSBG and monitors them for administrative compliance and compatibility with the five statutory goals of SSBG.

DAAS is responsible for promoting the health, safety, and independence of older citizens and adults with physical disabilities by advocating, planning, and developing programs to meet their specific needs. DAAS is involved with chore services, adult day care, in-home services, and protective services for adults. Priority services include transportation, nutrition, and socialization. DAAS has also been charged with the Office of Public Guardian for Adults and the State Long Term Care Ombudsman Program.

DBHS is responsible for:

? developing comprehensive mental health programs at the community and state levels;

? searching for new prevention and treatment programs;

« providing leadership in mental health research and training;

? providing detoxification services;

? providing Drug and Alcohol Safety Educational Programs;

? planning, establishing, maintaining, coordinating and evaluating projects for the development of more effective prevention, intervention and treatment programs/activities to deal with alcohol and other drug abuse;

® administering the Governor's Office portion of the Department of Education Drug-Free Schools and Communities;

? developing and implementing broadly-based programs of alcohol and drug abuse education and prevention, including programs for high-risk youth; and

? providing drug abuse resistance education and replication of successful drug education programs.

DBHS assists several facilities to provide varying types of mental health and substance abuse services, including the Arkansas State Hospital at Little Rock, AR (for intensive care), the Arkansas Health Center at Benton, AR (for comprehensive care), and local private nonprofit organizations (which provide inpatient and out-patient mental health services and drug and alcohol abuse and treatment services).

DCFS is responsible for the delivery and coordination of services for children and families, including foster care, protective services and other child welfare services. DCFS also purchases treatment programs for youth with emotional/behavioral problems. DCFS has the responsibility to inspect, monitor, investigate and make licensing recommendations to the Child Welfare Agency Review Board. The Board licenses all non-exempt child welfare agencies (residential, foster care and adoption). DCFS is a member of the Child Welfare League of America.

DCO has responsibility for the administration of the DHS county offices. DCO determines eligibility for the Medicaid, Temporary Assistance to Needy Families (Transitional Employment Assistance [TEA] and WORK PAYS), and Supplemental Nutrition Assistance Program (SNAP, formerly Food Stamp) programs. DCO also provides Commodity Distribution, Community Services (which includes Community Services Block Grant services, Homeless services, Weatherization and Low Income Energy Assistance), and Emergency Food.

DDS is charged with development, funding, and licensing of program services for persons of all ages with a developmental disability. This includes the coordination of a continuum of services ranging from case management to residential placement. DDS provides technical assistance and program support functions to all service providers. The Board of Developmental Disabilities Services operates human development centers which offer residential care to persons with developmental disabilities at six locations in the state.

DSB provides services which aid blind and visually impaired persons in attaining self-sufficiency and self-support through training, counseling, and other supportive activities. DSB operates programs focusing on independent living and vocational counseling. In addition, DSB operates the State's blind vending facility program.

DYS provides overall management and administration of juvenile services for adjudicated delinquents and families in need of services and certain categories of non-adjudicated youth. DYS is responsible for funding, oversight and monitoring and for providing technical assistance to the contracted juvenile treatment and specialized treatment centers throughout Arkansas and to a statewide network of community-based programs. DYS also administers the Juvenile Justice and Delinquency Prevention Act formula grant funds for the development and implementation of juvenile justice education, prevention, diversion, treatment and rehabilitative programs. The Arkansas Coalition on Juvenile Justice, appointed by the Governor, provides policy direction and sub-grant approval.

OCC, through its sections of Legal Operations, County Operations, Quality Assurance (Fraud Investigations and Audit), and Appeals and Hearings, provides legal review and representation, fraud, and internal investigations, audit functions, and administrative hearings for all of DHS.

The following Arkansas State agencies, which are NOT within DHS, also utilize SSBG funding:

« Arkansas Department of Career Education, Arkansas Rehabilitation Services (ARS)

? Arkansas Spinal Cord Commission (SCC)

B. Non-discrimination Policy

DHS is in compliance with Titles VI and Vil of the Civil Rights Act and is operated, is managed, and delivers services without regard to age, religion, disability, political affiliation, veteran status, sex, race, creed, color or national origin. DHS gives assurance that it will comply with the applicable nondiscrimination provisions of the Civil Rights Act of 1964, Sections 503 and 504 of the Rehabilitation Act of 1973, Title IX of the Education Amendments of 1972, the Age Discrimination Act of 1975, the Americans with Disabilities Act of 1990, and the provisions of 45 CFR, Part 92.

C. Certifications

In consideration of and for the purpose of obtaining the federal financial assistance requested through this Pre-expenditure Report, DHS certifies adherence to the following, copies of which can be found in the Appendices.

© Certification Regarding Debarment, Suspension and Other Responsibility Matters

? Certification Regarding Environmental Tobacco Smoke

» Certification Regarding Drug-free Workplace Requirements

? Certification Regarding Lobbying

D. Program Coordination and Utilization

The provision of social services under SSBG is coordinated with other programs providing related human services within the State. It is vital to continually coordinate these programs in order to appropriately utilize social service dollars and service programs to meet the needs of the low income population. Some of the programs with which the provision of social services under SSBG is coordinated include:

A. introduction

Federal funding is made available to states through SSBG which was established in October, 1981, and which continued the service program funding initially made available through Title XX of the Social Security Act, which was established in 1975.

At the outset of Title XX in 1975, the federal funding level was set at $2.5 billion nationwide, available to states at a 75 percent rate with 25 percent matching required; an additional $200 million nationwide was appropriated for day care programs, but without the matching requirement.

With the enacting of SSBG in 1981, the funding was combined into one allotment. The total of this federal funding has varied oyer the years of the program's operation.

For federal fiscal year 20i3, Arkansas is anticipating an allotment of $15,965,786

Federal funding allotments to states are based on the federal fiscal year which is in effect from October 1 through September 30. The Arkansas SSBG program operates on the state fiscal year which runs from July 1 through June 30. This is done so that the program can be coordinated as closely as possible with the state budget cycle.

B. Planning Financial Data ?

Total funding for the Arkansas SSBG program is made up of funds from SSBG and state and local matching (donated and appropriated). The table below shows funding from each source and total estimated funding for state fiscal year 2012.

ESTIMATED SSBG FUNDING FOR ARKANSAS FOR STATE FISCAL YEAR 2013

Based upon historical data, funding availability, and anticipated needs, the DHS

Director allocates funds to each program area within DHS and to ARS and Arkansas SCC. In turn, these agencies set funding levels for services, based upon historical usage, public input, anticipated needs, and available resources, -.. upon other things.

SSBG funding is utilized to purchase services from public and private community programs throughout the state (purchased services) and to pay for the cost of services delivered by staff of agencies within the state, i.e., DHS, ARS, and Arkansas SCC (direct services). Some of the costs incurred by the state in administering the program (administrative costs) are also funded through SSBG.

DIRECT: Direct program costs are those specifically identified with the delivery of a particular service or activity to achieve one of the five statutory goals of the SSBG program. Direct program costs also include technical assistance and management expenditures related directly to the provision of any of those services; they include activities with administrative qualities that support the provision of a particular SSBG service, not general administration of the grant. Direct program support for SSBG goals and service categories is provided by seven program divisions and two offices of DHS, as well as by ARS and Arkansas SCC.

NOTE: For OFA, Contract Support Section, a support office to the seven program divisions, those costs that are not administrative in nature are allocated to costs of services purchased by the program divisions. Direct activities for OFA may include meeting with service providers and clients, developing and reviewing contractual documents for the purchase of services, and relevant travel for these activities.

? ADMINISTRATIVE: Only DBHS, DSB, OFA, and DCFS utilize SSBG funding for administrative costs. Administrative costs are those associated with central executive functions that do not directly support the provision of a specific project or service within the scope of coverage of SSBG. Administrative costs are those which cannot be attributed to service recipients and are incurred for common objectives that Benefit multiple programs. Activities considered administrative include cost of overall program planning, policy development, budgeting, funds management, reporting, personnel activity, generalized training, and office management.

No more than 9% of the total expenditures of federal funds will be dedicated to administrative costs.

Historical data maintained by DBHS and OFA regarding their time and activities support their allocation of costs between direct and administrative. The only administrative cost DCFS plans to fund with SSBG is the purchase of child abuse and neglect training for their staff.

DHS has elected to fund all other SSBG administrative expenditures from other sources in order to have more SSBG funds available for the purchase or direct delivery of services. For those situations, only the costs funded by SSBG have been shown.

DHS ALLOCATIONS FOR SSBG FUNDING

FOR STATE FISCAL YEAR 2013

C. Total Estimated Funding per Source by Division/Office

* Of the planned federal amount, the following is dedicated for Administrative expenses:

6.05% of planned federal allocation

D. Funding Percentages

Approximate funding percentages are as follows:

E. Reporting

Arkansas has a reimbursement system that provides service delivery data to provide an accurate picture of service delivery patterns for the Arkansas SSBG program, which is instrumental in the planning process.

OFA prepares and compiles reports containing information about services delivered to clients and service expenditures. This Post-expenditure Report addresses expenditures by service, age range of recipients, and statutory goals. /"

F. Program Monitoring and Evaluation

Each DHS division and office is responsible for monitoring and evaluating (either directly or through contract) all services provided with its allocation of SSBG funds. This monitoring is crucial to determining the effectiveness of the SSBG-funded programs and, therefore, significant in future planning. Evaluations include on-site monitoring visits on a sampling basis.

The reviews are based on federal and state regulations, the contract agreement, licensing and certification standards, program criteria and guidelines, and social work practice. In addition to the monitoring and evaluation performed by the appropriate division or office, each contract provider is to utilize an internal monitoring and evaluation process. The monitoring component should insure that the services billed are delivered to eligible clients in accordance with the terms of the contract. The evaluation should indicate the degree of achievement attributable to the program in relation to stated program goals and objectives.

G. Other Funding for Services

DHS divisions and offices, as well as the two agencies which are not within DHS (ARS and SCO, utilize a variety of federal, state, and other funding along with SSBG funding in the programs for which they are responsible, to maximize service provision.

H. Cost Allocation

DHS Divisions/Offices: Costs are allocated to programs, including SSBG, in accordance with the DHS Cost Allocation Plan approved by the federal Department of Health and Human Services, Division of Cost Allocation. Expenditures are charged directly to the program(s) involved, through the Cost Center(s)/lnternal Order(s) in which they incurred.

For ARS and SCC, similarly, expenditures are charged directly to the program(s) involved, through the cost Center(s)/lnternal Order(s) in which they incurred.

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A. Statutory Goals

Each service provided to an individual must be directed at one of the following statutory goals:

B. Eligibility Requirements

SSBG funded services are provided free of cost to those who are eligible.

In order to receive a service paid through SSBG funds, an individual must meet three basic requirements:

® The individual must need the service in order to attain or maintain one of the five statutory goals.

® The individual must be a legal resident of the State of Arkansas while receiving the service.

? The individual must meet the financial criteria peculiar to the service for which application is made.

The eligibility categories for financial criteria are defined as follows:

TEA/WORK PAYS: This category refers to recipients of TEA/WORK PAYS as well as essential persons and adult relatives whose needs were taken into account in determining the TEA/WORK PAYS grant.

SSB: This category refers to any aged, blind, or disabled individual receiving SSI benefits.

Income Eligible Recipients: This category refers to individuals whose income does not exceed the income levels shown below. Eligibility under this category is based on percentages of median income adjusted by family size. The income scale is based on the Estimated State Median Income for Federal Fiscal Year 1998 issued by the Administration for Children and Families, Department of Health and Human Services.

Without Regard to income: This category refers to individuals for whom financial status is not considered.

Individuals receiving Protective Services for Adults or Protective Services for Children are eligible for SSBG services,under this designation. When required by a protective service case plan, any service funded by SSBG and described in this Pre-expenditure Report may be provided without regard to income.

Services to DCFS clients may be provided without regard to income if they are needed as a result of a case plan for:

family support/reunification,

H prevention or remedy of abuse, neglect or exploitation of children,

H crisis intervention with children and families, or

helping adoptive and extended families at risk or in crisis.

Documentation supporting the use of this category for DCFS clients must be retained in the provider's case record.

Services to DDS clients that are needed as a result of a case plan for DDS may be provided without regard to income. The required documentation is an Individual Program Plan and DDS eligibility determination, which must be retained in the provider's case record.

Services by Special Olympics of Arkansas needed as a result of a determination of eligibility for Special Olympics services by an agency or a professional in any given local area may be provided without regard to income. The required documentation showing eligibility for Special Olympics services, legal Arkansas residency and need for service would be at the local level. These requirements would result in an exception to completing the DHS100 for the participants/guardians who would not have to complete the form.

Individuals who need services provided from ARS as a result of a case plan for services related to obtaining employment, independent living or supported employment. The documentation required to be retained in the client's record consists of the ARS Certification of Eligibility and the Individualized Plan for Employment, Independent Living or Supported Employment.

Status Eligible: This category can be used to establish eligibility for clients of DYS who fall into the priority target population of DYS. Youth in this category are eligible regardless of financial status; however, documentation must exist in the provider's case record that the youth is either a delinquent or family in need of services or at risk when referred by parent or guardian,

law enforcement, mental health professional, or school.

Additional or substitute requirements to satisfy eligibility standards may only be established on an individual contract basis upon written approval by the DHS Chief Fiscal Officer or designee.

C. Application Process

Application for services may be made either by the applicant or the applicant's authorized representative in the office of a contract provider or in the DHS County office in the county in which the applicant resides.

D. Maximum Allowable Income

Under the direction of OFA, contract provider agencies generally assume responsibility for completion of application documents, determination of the client's residency and eligibility, and authorization for purchased services as j appropriate.

Financial eligibility is determined on the basis of the applicants' statements (referred to as the Declaration Method). The staff shall inform the applicant that he or she has a right to a hearing if dissatisfied either with the handling of the application or the length of time between a favorable decision of eligibility and receipt of the service.

MAXIMUM ALLOWABLE INCOME FOR SSBG ELIGIBILITY FOR PROGRAM YEAR SFY 2012, SHOWN BY FAMILY SIZE

BASED ON GROSS 1998 MEDIAN INCOME SCALE Sixty Percent Scale

For over ten family members, add $693 to the annual income for a family size of ten for each additional member.

A family is one or more adults and children, if any, related by blood or law and residing together in the same household. Spouses are legally responsible for each other and shall be considered as a part of the same family unit unless they reside in separate households (e.g., one spouse in a supervised living facility). If either spouse has legal responsibility for a child, then both spouses and the child are considered as a family unit. Where adults other than spouses reside together, each is considered a separate family by the State. Emancipated minors and children living under the care of individuals not legally responsible for their care are considered one-person families by the State.

A. Social Services Delivery in Arkansas

Federal SSBG legislation enables DHS to provide social services to eligible individuals and families throughout the State. These services are provided directly by agencies within DHS and through public or private community based service providers. All services are available statewide. The following services are offered by DHS through SSBG, numerically by SSBG code:

B. SSBG SERVICES SUMMARY OF DMSION/OFFJCE PARTfiC!PATIQN

C. INTRODUCTION TO SERVICE DEFINITIONS

Service definitions provide a general, overall picture of service activities and objectives. A particular service may be provided by one or more program agencies; regardless of which agency provides the service, the definition v always remains the same. Services are tailored specifically to the client population served by a division or office through choices of goals, eligibility categories, and allowable activities. Detailed service pages for each program agency are located in the Social Services Block Grant Program Manual.

D. SERVICE DEFINITIONS

Adoption Services (corresponding federal name. Adoption Services):

Services or activities provided to assist in bringing about the adoption of a child. Component services and activities may include but are not limited to counseling the biological parent(s), recruitment of adoptive homes, and pre- and post-placement training and/or counseling.

Case Management Services (corresponding federal name. Case Management Services):

Services provided by a certified case manager chosen by the consumer whose role is to locate, coordinate and monitor a group of services. Services may include:

Chore Services (corresponding federal name, Home-Based Services):

The performance of household chores such as running errands, preparing food, performing simple household tasks, doing heavy cleaning, and providing yard and walk maintenance which a client is unable to do alone and which do not require the services of a trained homemaker or other specialist. Chore services do not include medically-oriented Personal Care tasks or any household management tasks such as menu planning, bill paying, checking account management, etc.

? -) '"?''

Community Integration Services (corresponding federal name. Prevention and intervention):

Services to children and their families and adults based upon a Multi-Agency Plan of Services. The services are designed to allow persons the supports needed for them to function in a community setting.

Congregate Meals (corresponding federal name. Congregate Meals):

Services to provide hot meals (or others, as appropriate) that contain at least 1/3 of the nutritional value of the Recommended Daily Allowance. Meals are served in a group setting such as a senior center or elderly housing facility.

Coordinated Court Services (corresponding federal name. Legal Services):

Services delivered at the request of a court which may include gathering information about a family or families and presentation of the information to the court in a written report. Testimony in court about the report may be required. Supervision of visitation and development of a written report resulting from the visitation may also be included.

Day Care for Adults (corresponding federal name. Day Care - Adults):

A group program designed to provide care and supervision to meet the needs of four or more functionally impaired adults for, periods of less than twenty-four hours but more than two hours per day in a place other than the adult's home.

Day Services for Developmental Disabled Children (corresponding federal name, Day Care - Children):

Services to children and families of children based on an individual family services plan. These services allow children and families to receive training to strengthen the child/family functioning in their home and community.

Developmentally Disabled Services (corresponding federal name. Special Services - Disabled):

Services necessary to maintain a person with a developmental disability in his/her community. Services are based on an individual service plan and include such services as adult development, vocational maintenance and personal care.

Home Delivered Meals (corresponding federal name Home-Delivered Meals):

Services to provide a hot meal (or other as appropriate) that contains at least 1/3 of the nutritional value of the Recommended Daily Allowance. Meals are delivered to the client's home.

Interstate Compact on. Juveniles (corresponding federal name Special Services Youth at Risk):

Services provided for the out-of-state supervision of delinquent juveniles and the return of runaways who have not been adjudicated delinquent. This service provides authorized agreements for- the cooperative institutionalization of certain juveniles and provides for the return of absconders and escapees.

Mental Health Services (corresponding federal name. Counseling Services):

Organized efforts performed by trained personnel in certified mental health facilities to help individuals to overcome mental, emotional, social, and psychological dysfunction.

Non-Residential Services for Youth (corresponding federal name, Special Services - Youth at Risk):

Services directed toward amelioration of behavioral and/or emotional problems in order to allow the juvenile to transition back into his or her home or community, and to prevent or reduce the need for re-institutionalization.

Non-Residential Services for Youth, Additional Units (corresponding federal name. Special Services - Youth at Risk):

Services directed toward amelioration of behavioral and/or emotional problems in order to allow the juvenile to transition back into his or her home or community, and to prevent or reduce the need for re-institutionalization.

Prevention/intervention Services (corresponding federal name. Prevention and Intervention):

Services designed to provide early identification and/or timely intervention to support children/adolescents and their families and to prevent or ameliorate the consequences of abuse, neglect, or family violence, or to assist in making arrangement for alternate placements or living arrangements where necessary. Such services may also be provided to prevent the removal of a child from the home.

Protective Services for Adults (corresponding federal name. Protective Services - Adults):

Services'to or on behalf of adults (age eighteen and over) who are threatened by harm through the action or inaction of another individual or through other hazardous circumstances.(Add a space.)

Protective Services for Children (corresponding federal name. Protective Services - Children):

Services on behalf of neglected, abused, or exploited children (including runaways), which are designed to prevent or remedy that situation and include strengthening parental child care capacity, preserving family life, and providing a safe environment for the child.(Add a space) Socialization/Recreation Services (corresponding federal name. Recreation Services): '

Services to facilitate the client's involvement (as spectator or participant) in activities, sports, arts, crafts, and games for social interaction to promote personal enrichment, satisfying use of leisure time, development of new skills or knowledge, and/or reduction in social isolation.

Speciai Services for the Disabled (corresponding federal name. Special Services - Disabled):

Services designed to assist persons to function at their highest level of independence despite any limiting physical or mental conditions which may include drug and alcoholdependence.

Substitute Care for Children (corresponding federal name. Residential Treatment): [GREATER THAN]

Services provide selective placement in an alternate living situation, such as a foster home, group home, or residential treatment facility for a planned period of time for a child who has to be separated from his natural or legal parents. This service includes casework and intervention services with the child, his parents/guardians, caregivers and community resources.

Substitute Care for Youth (corresponding federal name. Residential Treatment):

Services provide selective placement in a foster home, group home, or residential treatment facility for a planned period of time for delinquent youth committed to DYS by a Juvenile Chancery Court. This service includes casework and intervention services with the youth, parents/guardians, caregivers and community resources.

Substitute Care for Youth, Additional Units (corresponding federal name, Independent/Transitional Living Services):

Services provide selective placement*in a foster home, group home, or residential treatment facility for a planned period of time for delinquent youth committed to DYS by a Juvenile Chancery Court. This service includes casework and intervention services with the youth, parents/guardians, caregivers and community resources.

Supervised Living Services (corresponding federal name. Substance Abuse Services): (Add a space)

The service is a provision of care in a group living facility for all or any part of a calendar day for individuals with socially diagnosed problems of functional dependency, alcoholism, or drug abuse, medically and/or psychologically diagnosed problems of emotional illness or mental retardation/developmental disabilities, and youth in need.

Supported Living Services (corresponding federal name, Special Services -Disabled):

A community residential service to provide supervision when necessary and coordinate support services to allow the individual to maintain an independent life style.

Supportive Services for the Blind (corresponding federal name. Employment Services):

Services uniquely required by blind and visually impaired persons. These services are designed to provide the client with personal training to overcome barriers to effective participation in community life skills activities.

Supportive Services for Children and Families (corresponding federal name, Prevention and intervention):

Services designed to address a wide range of problems. This service is intended to help parents in their child-rearing role, promote healthy development and social functioning of children, prevent unnecessary removal of children from their homes, strengthen family functioning, and meet the needs of families in crisis.

Training and Education Services (corresponding federal name. Education and Training Services):

Those activities which, when not otherwise available, are planned with individuals in order that they may fulfill their intellectual potential for employment through education or training denied to them without positive intervention.

Transportation Services (corresponding federal name. Transportation Services):

Transporting a client from one location to another by public or private vehicle so that client has access to needed service, care or assistance. SSBG funding may be used for this service only when the service is not available through Title XVIII or XIX of the Social Security Act.

E. Piiot Projects

Certain aspects Of purchased services may,be initiated as pilot projects and may continue until sufficient data has been gathered and verified to determine the feasibility of incorporating the project into general use.

F. Service Summary Sheets

Summary Sheets for each division/office (and ARS and SCO follow. Each sheet reflects the following: -

«, The services to be provided and whether that service is provided

Directly by the division/office or is Purchased; © The amount and source of funding for each service (federal, state, local donated/or local appropriated); «, Estimates of number of clients to be served and age range, for each service; and o Statutory goal(s) applicable for each service.

A. Part A - Estimated Expenditures and Proposed Provision Method

B. Part B - Estimated Recipients

A. Documentation of Public Hearing

B. Proof of Audit

C. Certifications