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An Office of the Administration for Children & Families

ACF Home  »   Children's Bureau  »   Law & Policies    »   Child Welfare Policy Manual  

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Cumulative Change History of Questions & Answers

This page lists all of the changes made to the Child Welfare Policy Manual, in sequence, with the most current change listed first. Items with a star (*) and gray background have been modified from previous record.

4.3 MEPA/IEAP, Guidance for Compliance

Question Number 7:
12/30/2002 - Current
Question
May public agencies decline to transracially place any child with a foster/adoptive parent who has unsatisfactory cultural competency skills?
Answer
*Good practice requires an assessment of the capacity of potential foster/adoptive parents to accommodate all the needs of a particular child. It is conceivable that in a particular instance race, color or national origin would be a necessary consideration to achieve the best interests of the child. However, any placement decision must take place in a framework that assesses the strengths and weaknesses of prospective parents to meet all of a child's needs so as to provide for the child's best interests. Prospective parents should be offered, typically through training provided by an agency, information sufficient to confirm or broaden their understanding of what types of children for whom they might most appropriately provide a home.
Source/Date
ACYF-CB-IM-98-03 (5/11/98)
Legal and Related References
Social Security Act - Titles IV-B and IV-E; The Small Business Job Protection Act of 1996 (PL104-188); The Multiethnic Placement Act of 1994 (PL 103-382)

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02/19/2001 - 12/30/2002 (Original Record)
Question
May public agencies decline to transracially place any child with a foster/adoptive parent who has unsatisfactory cultural competency skills?
Answer
Good practice requires an assessment of the capacity of potential foster/adoptive parents to accommodate all the needs of a particular child. It is conceivable that in a particular instance race, color or national origin would be a necessary consideration to achieve the best interests of the child. However, any placement decision must take place in a framework that assesses the strengths and weaknesses of prospective parents to meet all of a child''s needs so as to provide for the child''s best interests. Prospective parents should be offered, typically through training provided by an agency, information sufficient to confirm or broaden their understanding of what types of children for whom they might most appropriately prove a home.
Source/Date
ACYF-CB-IM-98-03 (5/11/98)
Legal and Related References
Social Security Act - Titles IV-B and IV-E; The Small Business Job Protection Act of 1996 (PL104-188); The Multiethnic Placement Act of 1994 (PL 103-382)

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Question Number 8:
07/30/2010 - Current
Question
How can public agencies assure themselves that they have identified an appropriate placement for a child for whom racial, national origin, ethnic and/or cultural needs have been documented?
Answer
*Adoption agencies must consider all factors that may contribute to a good placement decision for a child, and that may affect whether a particular placement is in the best interests of the child. Such agencies may assure themselves of the fitness of their work in a number of ways, including case review conferences with supervisors, peer reviews, judicial oversight, and quality control measures employed by title IV-E agencies and licensing authorities. In some instances it is conceivable that, for a particular child, race, color or national origin would be such a factor. Permanency being the sine qua non of adoptive placements, monitoring the rates of disruption or dissolution of adoptions would also be appropriate. Where it has been established that considerations of race, color or national origin are necessary to achieve the best interests of a child, such factor(s) should be included in the agency's decision-making, and would appropriately be included in reviews and quality control measures such as those described above.
Source/Date
ACYF-CB-IM-98-03 (5/11/98)
Legal and Related References
Social Security Act - Titles IV-B and IV-E; The Small Business Job Protection Act of 1996 (PL104-188); The Multiethnic Placement Act of 1994 (PL 103-382)

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02/19/2001 - 07/30/2010 (Original Record)
Question
How can public agencies assure themselves that they have identified an appropriate placement for a child for whom racial, national origin, ethnic and/or cultural needs have been documented?
Answer
Adoption agencies must consider all factors that may contribute to a good placement decision for a child, and that may affect whether a particular placement is in the best interests of the child. Such agencies may assure themselves of the fitness of their work in a number of ways, including case review conferences with supervisors, peer reviews, judicial oversight, and quality control measures employed by State agencies and licensing authorities. In some instances it is conceivable that, for a particular child, race, color or national origin would be such a factor. Permanency being the sine qua non of adoptive placements, monitoring the rates of disruption or dissolution of adoptions would also be appropriate. Where it has been established that considerations of race, color or national origin are necessary to achieve the best interests of a child, such factor(s) should be included in the agency''s decision-making, and would appropriately be included in reviews and quality control measures such as those described above.
Source/Date
ACYF-CB-IM-98-03 (5/11/98)
Legal and Related References
Social Security Act - Titles IV-B and IV-E; The Small Business Job Protection Act of 1996 (PL104-188); The Multiethnic Placement Act of 1994 (PL 103-382)

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Question Number 9:
07/30/2010 - Current
Question
May a home finding agency that contracts with a public agency, but that does not place children, recommend only homes that match the race of the foster or adoptive parent to that of a child in need of placement?
Answer
*No. A public agency may contract with a home finding agency to assist with overall recruitment efforts. Some home finding agencies may be used because of their special knowledge and/or understanding of a specific community and may even be included in a public agency's targeted recruitment efforts. Targeted recruitment cannot be the only vehicle used by a title IV-E agency to identify families for children in care, or any subset of children in care, e.g., older or minority children. Additionally, a home finding agency must consider and include any interested person who responds to its recruitment efforts.
Source/Date
*ACYF-CB-IM-98-03 (5/11/98) (revised 07/14/10)
Legal and Related References
Social Security Act - Titles IV-B and IV-E; The Small Business Job Protection Act of 1996 (PL104-188); The Multiethnic Placement Act of 1994 (PL 103-382)

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02/19/2001 - 07/30/2010 (Original Record)
Question
May a home finding agency that contracts with a public agency, but that does not place children, recommend only homes that match the race of the foster or adoptive parent to that of a child in need of placement?
Answer
No. A public agency may contract with a home finding agency to assist with overall recruitment efforts. Some home finding agencies may be used because of their special knowledge and/or understanding of a specific community and may even be included in a public agency''s targeted recruitment efforts. Targeted recruitment cannot be the only vehicle used by a State to identify families for children in care, or any subset of children in care, e.g., older or minority children. Additionally, a home finding agency must consider and include any interested person who responds to its recruitment efforts.
Source/Date
ACYF-CB-IM-98-03 (5/11/98)
Legal and Related References
Social Security Act - Titles IV-B and IV-E; The Small Business Job Protection Act of 1996 (PL104-188); The Multiethnic Placement Act of 1994 (PL 103-382)

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Question Number 13:
07/30/2010 - Current
Question
Please provide examples of what is meant by delay and denial of placement in foster care, excluding situations involving adoption.
Answer
*Following are some examples of delay or denial in foster care placements:

1) A white newborn baby's foster placement is delayed because the social worker is unable to find a white foster home; the infant is kept in the hospital longer than would otherwise be necessary and is ultimately placed in a group home rather than being placed in a foster home with a minority family.

2) A minority relative with guardianship over four black children expressly requests that the children be allowed to remain in the care of a white neighbor in whose care the children are left. The title IV-E agency denies the white neighbor a restricted foster care license, which will enable her to care for the children. The agency's license denial is based on its decision that the best interests of the children require a same-race placement, which will delay the permanent foster care placement. There was no individualized assessment or evaluation indicating that a same-race placement is actually in the best interests of the children.

3) Six minority children require foster placement, preferably in a family foster home. Only one minority foster home is available; it is only licensed to care for two children. The children remain in emergency shelter until the agency can recertify and license the home to care for the six children. The children remain in an emergency shelter even though a white foster home with capacity and a license to care for six children is available.

4) Different standards may be applied in licensing white versus minority households resulting in delay or denial of the opportunity to be foster parents.

5) Foster parent applicants are discouraged from applying because they are informed that waiting children are of a different race.

6) There are placement delays and denials when title IV-E agencies expend time seeking to honor the requests of biological parents that foster parents be of the same race as the child.

Source/Date
*ACYF-CB-IM-98-03 (5/11/98) (revised 07/14/10)
Legal and Related References
Social Security Act - Titles IV-B and IV-E; The Small Business Job Protection Act of 1996 (PL104-188); The Multiethnic Placement Act of 1994 (PL 103-382)

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02/19/2001 - 07/30/2010 (Original Record)
Question
Please provide examples of what is meant by delay and denial of placement in foster care, excluding situations involving adoption.
Answer
Following are some examples of delay or denial in foster care placements:

1) A white newborn baby''s foster placement is delayed because the social worker is unable to find a white foster home; the infant is kept in the hospital longer than would otherwise be necessary and is ultimately placed in a group home rather than being placed in a foster home with a minority family.

2) A minority relative with guardianship over four black children expressly requests that the children be allowed to remain in the care of a white neighbor in whose care the children are left. The state agency denies the white neighbor a restricted foster care license, which will enable her to care for the children. The agency''s license denial is based on its decision that the best interests of the children require a same-race placement, which will delay the permanent foster care placement. There was no individualized assessment or evaluation indicating that a same-race placement is actually in the best interests of the children.

3) Six minority children require foster placement, preferably in a family foster home. Only one minority foster home is available; it is only licensed to care for two children. The children remain in emergency shelter until the agency can recertify and license the home to care for the six children. The children remain in an emergency shelter even though a white foster home with capacity and a license to care for six children is available.

4) Different standards may be applied in licensing white versus minority households resulting in delay or denial of the opportunity to be foster parents.

5) Foster parent applicants are discouraged from applying because they are informed that waiting children are of a different race.

6) There are placement delays and denials when states or agencies expend time seeking to honor the requests of biological parents that foster parents be of the same race as the child.

Source/Date
ACYF-CB-IM-98-03 (5/11/98)
Legal and Related References
Social Security Act - Titles IV-B and IV-E; The Small Business Job Protection Act of 1996 (PL104-188); The Multiethnic Placement Act of 1994 (PL 103-382)

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2.2 CAPTA, Citizen Review Panels

Question Number 1:
04/17/2006 - Current
Question
How will States know how many citizen review panels they must establish to meet the requirements of section 106(c)(1)(A)-(B) since that number is dependent upon the amount of funds received by the State under the Community-Based Grants for the Prevention of Child Abuse and Neglect Program under Title II of CAPTA?
Answer
*CAPTA requires that States establish a minimum of three citizen review panels. The only exception to this requirement is for States that receive the minimum allotment of $175,000 under Title II of CAPTA, and they are required to establish no less than one citizen review panel.

The Department has notified States in writing regarding whether one or three panels will be required in each State.

Source/Date
ACYF-NCCAN-PIQ-97-01 (3/4/97); updated 2/3/05
Legal and Related References
Child Abuse Prevention and Treatment Act (CAPTA), as amended (42 U.S.C. 5101 et seq.) - section 106(c)(1)(A)-(B) and Title II

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04/17/2006 - 12/12/2016
Question
*How will States know how many citizen review panels they must establish to meet the requirements of section 106(c)(1)(A)-(B) since that number is dependent upon the amount of funds received by the State under the Community-Based Grants for the Prevention of Child Abuse and Neglect Program under Title II of CAPTA?
Answer
*CAPTA requires that States establish a minimum of three citizen review panels. The only exception to this requirement is for States that receive the minimum allotment of $175,000 under Title II of CAPTA, and they are required to establish no less than one citizen review panel.

The Department has notifed States in writing regarding whether one or three panels will be required in each State.

Source/Date
*ACYF-NCCAN-PIQ-97-01 (3/4/97); updated 2/3/05
Legal and Related References
*Child Abuse Prevention and Treatment Act (CAPTA), as amended (42 U.S.C. 5101 et seq.) - section 106(c)(1)(A)-(B) and Title II

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02/03/2005 - 04/17/2006
Question
How will States know how many citizen review panels they will be required to establish to meet the requirements of section 106 (c)(1)(A)-(B) since that number is dependent upon the amount of funds received by the State under the Community-Based Family Resource and Support (CBFRS) Program?
Answer
CAPTA requires that States establish a minimum of three citizen review panels. The only exception to this requirement is for States that receive the minimum allotment of $175,000 under the CBFRS Program, and they are required to establish no less than one citizen review panel.

The Department has notifed States in writing regarding whether one or three panels will be required in each State.

Source/Date
*ACYF-NCCAN-PIQ-97-01 (3/4/97) (updated 2/3/05)
Legal and Related References
Child Abuse Prevention and Treatment Act (CAPTA), as amended (42 U.S.C. 5101 et seq.) - section 106

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07/25/2000 - 02/03/2005 (Original Record)
Question
How will States know how many citizen review panels they will be required to establish to meet the requirements of section 106 (c)(1)(A)-(B) since that number is dependent upon the amount of funds received by the State under the Community-Based Family Resource and Support (CBFRS) Program?
Answer
CAPTA requires that States establish a minimum of three citizen review panels. The only exception to this requirement is for States that receive the minimum allotment of $175,000 under the CBFRS Program, and they are required to establish no less than one citizen review panel.

The Department has notifed States in writing regarding whether one or three panels will be required in each State.

Source/Date
ACYF-NCCAN-PIQ-97-01 (3/4/97)
Legal and Related References
Child Abuse Prevention and Treatment Act (CAPTA), as amended (42 U.S.C. 5101 et seq.) - section 106

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Question Number 2:
09/28/2011 - Current
Question
*Do States have the flexibility to determine how to implement the citizen review panels requirement in section 106(b)(2)(B)(xiv) of CAPTA?
Answer
*Yes. States have the flexibility to implement the citizen review panel requirement in ways that best meet their needs, so long as the panels meet the requirements set forth under section 106 (c) of CAPTA.

States should pay particular note to section 106 (c)(2) of CAPTA which specifies the requirements for membership of the panel. We encourage the States to give special attention to the qualifications of the panelists to review complex cases of child maltreatment, including a balance among children's attorneys, child advocates and CASA volunteers who are familiar with the difficulties of the child protection system.

Source/Date
*ACYF-NCCAN-PIQ-97-01 (3/4/97); updated 9/27/11
Legal and Related References
*Child Abuse Prevention and Treatment Act (CAPTA), as amended (42 U.S.C. 5101 et seq.) - sections 106(b)(2)(B)(xiv) and (c)(2)

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04/17/2006 - 09/28/2011
Question
*Do States have the flexibility to determine how to implement the citizen review panels requirement in section 106(b)(2)(xiv) of CAPTA?
Answer
Yes. States have the flexibility to implement the citizen review panel requirement in ways that best meet their needs, so long as the panels meet the requirements set forth under section 106 (c) of CAPTA.

States should pay particular note to section 106 (c)(2) of CAPTA which specifies the requirements for membership of the panel. We encourage the States to give special attention to the qualifications of the panelists to review complex cases of child maltreatment, including a balance among children''s attorneys, child advocates and CASA volunteers who are familiar with the difficulties of the child protection system.

Source/Date
*ACYF-NCCAN-PIQ-97-01 (3/4/97); updated 2/3/05
Legal and Related References
*Child Abuse Prevention and Treatment Act (CAPTA), as amended (42 U.S.C. 5101 et seq.) - sections 106(b)(2)(xiv) and (c)(2)

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02/03/2005 - 04/17/2006
Question
Do States have the flexibility to determine how to implement the citizen review panels requirement in section 106 (b)(2)(x) of CAPTA?
Answer
Yes. States have the flexibility to implement the citizen review panel requirement in ways that best meet their needs, so long as the panels meet the requirements set forth under section 106 (c) of CAPTA.

States should pay particular note to section 106 (c)(2) of CAPTA which specifies the requirements for membership of the panel. We encourage the States to give special attention to the qualifications of the panelists to review complex cases of child maltreatment, including a balance among children''s attorneys, child advocates and CASA volunteers who are familiar with the difficulties of the child protection system.

Source/Date
*ACYF-NCCAN-PIQ-97-01 (3/4/97) (updated 2/3/05)
Legal and Related References
Child Abuse Prevention and Treatment Act (CAPTA), as amended (42 U.S.C. 5101 et seq.) - section 106

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07/25/2000 - 02/03/2005 (Original Record)
Question
Do States have the flexibility to determine how to implement the citizen review panels requirement in section 106 (b)(2)(x) of CAPTA?
Answer
Yes. States have the flexibility to implement the citizen review panel requirement in ways that best meet their needs, so long as the panels meet the requirements set forth under section 106 (c) of CAPTA.

States should pay particular note to section 106 (c)(2) of CAPTA which specifies the requirements for membership of the panel. We encourage the States to give special attention to the qualifications of the panelists to review complex cases of child maltreatment, including a balance among children''s attorneys, child advocates and CASA volunteers who are familiar with the difficulties of the child protection system.

Source/Date
ACYF-NCCAN-PIQ-97-01 (3/4/97)
Legal and Related References
Child Abuse Prevention and Treatment Act (CAPTA), as amended (42 U.S.C. 5101 et seq.) - section 106

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Question Number 3:
04/17/2006 - Current
Question
What are the functions that citizen review panels must perform?
Answer
*Pursuant to sections 106(c)(4)(A)(i) and (ii) of the Child Abuse Prevention and Treatment Act (CAPTA), each panel must evaluate the extent to which the State is fulfilling its child protection responsibilities in accordance with its CAPTA State plan by: (1) examining the policies, procedures and practices of State and local child protection agencies, and (2) reviewing specific cases, where appropriate. In addition, consistent with section 106(c)(4)(A)(iii) of CAPTA, a panel may examine other criteria that it considers important to ensure the protection of children, including the extent to which the State and local CPS system is coordinated with the title IV-E foster care and adoption assistance programs of the Social Security Act. This provision also authorizes the panels to review the child fatalities and near fatalities in the State.

In order to assess the impact of current procedures and practices upon children and families in the community and fulfill the above requirements, citizen review panels must provide for public outreach and comment (section 106(c)(4)(C) of CAPTA). Finally, each panel must prepare an annual report that summarizes the activities of the panel and makes recommendations to improve the CPS system at the State and local levels, and submit it to the State and the public (section 106(c)(6) of CAPTA).

Source/Date
*ACYF-CB-PI-99-09 (6/2/99); updated 3/22/06
Legal and Related References
*Child Abuse Prevention and Treatment Act (CAPTA), as amended (42 U.S.C. 5101 et seq.) - section 106(c)

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02/19/2001 - 04/17/2006 (Original Record)
Question
What are the functions that citizen review panels must perform?
Answer
Pursuant to sections 106 (c)(4)(A)(i) and (ii) of CAPTA, each panel must evaluate the extent to which the State is fulfilling its child protection responsibilities in accordance with its CAPTA State plan by: (1) examining the policies and procedures of State and local agencies, and (2) reviewing specific cases, where appropriate. In addition, consistent with section 106 (c)(4)(A)(iii) of CAPTA, a panel may review other criteria that it considers important to ensure the protection of children, including the extent to which the State CPS system is coordinated with the title IV-E foster care and adoption assistance programs of the Social Security Act, and the child fatalities and near fatalities in the State.
Source/Date
ACYF-CB-PI-99-09 (6/2/99)
Legal and Related References
Child Abuse Prevention and Treatment Act (CAPTA), as amended (42 U.S.C. 5101 et seq.) - section 106

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Question Number 4:
04/17/2006 - Current
Question
Section 106 (c)(5) of CAPTA requires States to provide citizen review panels with access to information on cases that the panel wants to review "if such information is necessary for the panel to carry out its functions". Who determines what confidential information is necessary for these functions?
Answer
The Congress intended that citizen review panels be established to evaluate the extent to which States are meeting the goals of protecting children and their responsibilities related to the State plan. In carrying out these responsibilities, it is important for the review panels to have access to confidential information, as necessary, to assist in their duties. The intent of section 106 (c)(5) was to direct States to provide the review panels with information that the panel determines is necessary to carry out these functions (Congressional Record - House, September 25, 1996, p. H11149).
Source/Date
*ACYF-NCCAN-PIQ-97-01 (3/4/97); updated 2/3/05
Legal and Related References
*Child Abuse Prevention and Treatment Act (CAPTA), as amended (42 U.S.C. 5101 et seq.) - section 106(c)(5)

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02/03/2005 - 04/17/2006
Question
Section 106 (c)(5) of CAPTA requires States to provide citizen review panels with access to information on cases that the panel wants to review "if such information is necessary for the panel to carry out its functions". Who determines what confidential information is necessary for these functions?
Answer
The Congress intended that citizen review panels be established to evaluate the extent to which States are meeting the goals of protecting children and their responsibilities related to the State plan. In carrying out these responsibilities, it is important for the review panels to have access to confidential information, as necessary, to assist in their duties. The intent of section 106 (c)(5) was to direct States to provide the review panels with information that the panel determines is necessary to carry out these functions (Congressional Record - House, September 25, 1996, p. H11149).
Source/Date
*ACYF-NCCAN-PIQ-97-01 (3/4/97) (updated 2/3/05)
Legal and Related References
Child Abuse Prevention and Treatment Act (CAPTA), as amended (42 U.S.C. 5101 et seq.) - section 106

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07/29/2001 - 02/03/2005 (Original Record)
Question
Section 106 (c)(5) of CAPTA requires States to provide citizen review panels with access to information on cases that the panel wants to review "if such information is necessary for the panel to carry out its functions". Who determines what confidential information is necessary for these functions?
Answer
The Congress intended that citizen review panels be established to evaluate the extent to which States are meeting the goals of protecting children and their responsibilities related to the State plan. In carrying out these responsibilities, it is important for the review panels to have access to confidential information, as necessary, to assist in their duties. The intent of section 106 (c)(5) was to direct States to provide the review panels with information that the panel determines is necessary to carry out these functions (Congressional Record - House, September 25, 1996, p. H11149).
Source/Date
ACYF-NCCAN-PIQ-97-01 (3/4/97)
Legal and Related References
Child Abuse Prevention and Treatment Act (CAPTA), as amended (42 U.S.C. 5101 et seq.) - section 106

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Question Number 5:
09/28/2011 - Current
Question
Do the confidentiality requirements in the Child Abuse Prevention and Treatment Act apply to the members of citizen review panels?
Answer
*Citizen review panel members are bound by the confidentiality restrictions in section 106 (c)(4)(B)(i) of CAPTA. Specifically, members and staff of a panel may not disclose identifying information about any specific child protection case to any person or government official, and may not make public other information unless authorized by State statute to do so. Further, section 106 (c)(4)(B)(ii) of CAPTA requires States to establish civil sanctions for violations of these confidentiality restrictions. States that already have civil sanctions in place for breaches of confidentiality need not enact new legislation, so long as their existing provisions encompass the CAPTA requirements.
Source/Date
*ACYF-BC-PI-98-01 (1/7/98); updated 9/27/11
Legal and Related References
*Child Abuse Prevention and Treatment Act (CAPTA), as amended (42 U.S.C. 5101 et seq.) - section 106(c)(4)(B)

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04/17/2006 - 09/28/2011
Question
Do the confidentiality requirements in the Child Abuse Prevention and Treatment Act apply to the members of citizen review panels?
Answer
Citizen review panel members are bound by the confidentiality restrictions in section 106 (c)(4)(B)(i) of CAPTA. Specifically, members and staff of a panel may not disclose identifying information about any specific child protection case to any person or government official, and may not make public other information unless authorized by State statute to do so. Further, section 106 (c)(4)(B)(ii) of CAPTA requires States to establish civil sanctions for violations of these confidentiality restrictions. States that already have civil sanctions in place for breaches of confidentiality need not enact new legislation, so long as their existing provisions encompass the CAPTA requirements.
Source/Date
*ACYF-BC-PI-98-01 (1/7/98); updated 2/3/05
Legal and Related References
Child Abuse Prevention and Treatment Act (CAPTA), as amended (42 U.S.C. 5101 et seq.) - section 106106 (b)(2)(A)(x) and (c)

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02/03/2005 - 04/17/2006
Question
Do the confidentiality requirements in the Child Abuse Prevention and Treatment Act apply to the members of citizen review panels?
Answer
Citizen review panel members are bound by the confidentiality restrictions in section 106 (c)(4)(B)(i) of CAPTA. Specifically, members and staff of a panel may not disclose identifying information about any specific child protection case to any person or government official, and may not make public other information unless authorized by State statute to do so. Further, section 106 (c)(4)(B)(ii) of CAPTA requires States to establish civil sanctions for violations of these confidentiality restrictions. States that already have civil sanctions in place for breaches of confidentiality need not enact new legislation, so long as their existing provisions encompass the CAPTA requirements.
Source/Date
*ACYF-BC-PI-98-01 (1/7/98) (updated 2/3/05)
Legal and Related References
Child Abuse Prevention and Treatment Act (CAPTA), as amended (42 U.S.C. 5101 et seq.) - section 106106 (b)(2)(A)(x) and (c)

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07/29/2001 - 02/03/2005 (Original Record)
Question
Do the confidentiality requirements in the Child Abuse Prevention and Treatment Act apply to the members of citizen review panels?
Answer
Citizen review panel members are bound by the confidentiality restrictions in section 106 (c)(4)(B)(i) of CAPTA. Specifically, members and staff of a panel may not disclose identifying information about any specific child protection case to any person or government official, and may not make public other information unless authorized by State statute to do so. Further, section 106 (c)(4)(B)(ii) of CAPTA requires States to establish civil sanctions for violations of these confidentiality restrictions. States that already have civil sanctions in place for breaches of confidentiality need not enact new legislation, so long as their existing provisions encompass the CAPTA requirements.
Source/Date
ACYF-BC-PI-98-01 (1/7/98)
Legal and Related References
Child Abuse Prevention and Treatment Act (CAPTA), as amended (42 U.S.C. 5101 et seq.) - section 106106 (b)(2)(A)(x) and (c)

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2.1A.4 CAPTA, Assurances and Requirements, Access to Child Abuse and Neglect Information, Public disclosure

Question Number 2:
08/07/2013 - Current
Question
The requirement for public disclosure states that "findings or information" about a case must be disclosed. Does this mean that States have the option to disclose either the findings of the case, or information which may be general in nature and address such things as practice issues rather than provide case-specific information?
Answer
*No. The intent of this provision was to assure that the public is informed about cases of child abuse or neglect which result in the death or near death of a child. As with the use of the other "or's" in this provision ("child abuse or neglect" and "child fatality or near fatality"), we understand the language to be inclusive and not limiting. Specifically, the reference to "findings or information" requires the disclosure of information about such a case even if there are no findings, in accordance with section 2.1A.4, Q/A #8 of the CWPM. Thus, when child abuse or neglect results in the death or near death of a child, the State must provide for the disclosure of the information required by section 2.1A.4, Q/A #8 of the CWPM. However, nothing in this provision should be interpreted to require disclosure of information which would fall within the specific exceptions that states are allowed to establish under section 2.1A.4, Q/A #8 of the CWPM.
Source/Date
*ACYF-NCCAN-PIQ-97-01 (3/4/97); updated 9/27/11; updated and reissued 8/06/13
Legal and Related References
Child Abuse Prevention and Treatment Act (CAPTA), as amended (42 U.S.C. 5101 et seq.) - section 106(b)(2)(B)(x)

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09/27/2011 - 08/07/2013
Question
*The requirement for public disclosure states that "findings or information" about a case must be disclosed. Does this mean that States have the option to disclose either the findings of the case, or information which may be general in nature and address such things as practice issues rather than provide case-specific information?
Answer
*Prior to the signing of Public Law (P.L.) 101-239 on December 19, 1989, section 474 of the Social Security Act (the Act) provided that States with plans approved under title IV-E shall be entitled to Federal matching funds for the proper and efficient administration of the State plan in the following proportions of total amounts expended: 75 percent for the training (including both short-term training and long-term training at educational institutions, through State grants to the institutions or by direct financial assistance to students enrolled in such institutions) of personnel employed or preparing for employment by the State agency or by the local agency administering the State title IV-E State plan; and 50 percent for the remainder of expenditures necessary for the proper and efficient administration of the State IV-E plan.

The regulations at 45 CFR 1356.60 specify what is considered a training cost and what is considered an administrative expense under title IV-E. Section 1356.60 (c) further explains that the State''s cost allocation plan shall identify which costs are allocated and claimed under title IV-E. With regard to costs of educational programs (approved by the State agency) leading to a baccalaureate or graduate degree, the regulations clearly indicate that training to prepare persons who are employed or about to be employed by the State agency administering the title IV-E plan can include such long-term training. Grants to the institution or to the person attending the institution are reimbursable at a Federal matching rate of 75 percent. (See 45 CFR 1356.60 (b)(1)(i), 235.63 (c) and 235.64 (c) for further clarification.)

Under section 474 (a)(3)(B) of the Act, federal financial participation is available at 75 percent "...for the short-term training of current or prospective foster or adoptive parents and the members of the staff of State-licensed or State-approved child care institutions providing care to foster and adopted children receiving assistance under this part, in ways that increase the ability of such current or prospective parents, staff members, and institutions to provide support and assistance to foster and adopted children, whether incurred directly by the State or by contract."

Beginning October 1, 2008, section 474(a)(3)(B) of the Act is expanded to authorize FFP for the short-term training of additional trainees. The additional trainees are: relative guardians (if the title IV-E agency has opted per section 471(a)(28) to offer a guardianship assistance program), members of licensed or approved child welfare agencies providing services to children receiving assistance under title IV-E, members of the staff of abuse and neglect courts, agency attorneys, attorneys representing children or parents, guardians ad litem, or other court-appointed special advocates representing children in the proceedings of such courts in ways that increase their ability to provide support and assistance to title IV-E eligible children. FFP is available for the additional categories of trainees in increasing rates rising to 75% in FY 2013. The specific rates of FFP are 55% in FY2009, 60% in FY2010, 65% in FY2011 and 70% in FY2012.

Costs matchable as training expenditures under this provision may include: (1) travel, per diem, tuition, books and registration fees for trainees; (2) salaries, fringe benefits, travel and per diem for staff development personnel assigned to training functions to the extent time is spent performing such functions; (3) salaries, fringe benefits, travel and per diem for experts outside the agency engaged to develop or conduct training programs; and (4) costs of space, postage, training supplies, and purchase or development of training material. Costs not allowable for trainees under this provision include salaries and fringe benefits.

Federal regulations at 45 CFR 1356.60 (b)(2) require that all training activities and costs funded under title IV-E must be included in the State agency''s training plan for title IV-B. States will be reimbursed under title IV-E for such costs only if the activities and costs are described and included in the State''s jointly developed and approved title IV-B plan.

All training costs must be allocated to Title IV-E, State foster care and other State/Federal programs in such a manner as to ensure that the cost is charged to the program in accordance with the relative benefits that the program receives from the training. States may determine the manner in which they allocate costs but must do so in accordance with the principles delineated at OMB Circular A-87 (also located at 2 C.F.R. 225).

Source/Date
*ACYF-NCCAN-PIQ-97-01 (3/4/97); updated 9/27/11
Legal and Related References
*Child Abuse Prevention and Treatment Act (CAPTA), as amended (42 U.S.C. 5101 et seq.) - section 106(b)(2)(B)(x)

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09/27/2011 - 09/14/2012
Question
*The requirement for public disclosure states that "findings or information" about a case must be disclosed. Does this mean that States have the option to disclose either the findings of the case, or information which may be general in nature and address such things as practice issues rather than provide case-specific information?
Answer
*No. The intent of this provision was to assure that the public is informed about cases of child abuse or neglect which result in the death or near death of a child. As with the use of the other "or''s" in this provision ("child abuse or neglect" and "child fatality or near fatality"), we understand the language to be inclusive and not limiting.

Specifically, the reference to "findings or information" requires the disclosure of information about such a case even if there are no findings. Thus, when child abuse or neglect results in the death or near death of a child, the State must provide for the disclosure of the available facts. However, nothing in this provision should be interpreted to require disclosure of information which would jeopardize a criminal investigation or proceeding.

Source/Date
*ACYF-NCCAN-PIQ-97-01 (3/4/97); updated 9/27/11
Legal and Related References
*Child Abuse Prevention and Treatment Act (CAPTA), as amended (42 U.S.C. 5101 et seq.) - section 106(b)(2)(B)(x)

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04/17/2006 - 09/27/2011
Question
The requirement for public disclosure states that "findings or information" about a case must be disclosed. Does this mean that States have the option to disclose either the findings of the case, or information which may be general in nature and address such things as practice issues rather than provide case-specific information?
Answer
No. The intent of this provision was to assure that the public is informed about cases of child abuse or neglect which result in the death or near death of a child. As with the use of the other "or''s" in this provision ("child abuse or neglect" and "child fatality or near fatality"), we understand the language to be inclusive and not limiting.

Specifically, the reference to "findings or information" requires the disclosure of information about such a case even if there are no findings. Thus, when child abuse or neglect results in the death or near death of a child, the State must provide for the disclosure of the available facts. However, nothing in this provision should be interpreted to require disclosure of information which would jeopardize a criminal investigation or proceeding.

Source/Date
*ACYF-NCCAN-PIQ-97-01 (3/4/97); updated 2/3/05
Legal and Related References
*Child Abuse Prevention and Treatment Act (CAPTA), as amended (42 U.S.C. 5101 et seq.) - section 106(b)(2)(A)(x)

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02/03/2005 - 04/17/2006
Question
The requirement for public disclosure states that "findings or information" about a case must be disclosed. Does this mean that States have the option to disclose either the findings of the case, or information which may be general in nature and address such things as practice issues rather than provide case-specific information?
Answer
No. The intent of this provision was to assure that the public is informed about cases of child abuse or neglect which result in the death or near death of a child. As with the use of the other "or''s" in this provision ("child abuse or neglect" and "child fatality or near fatality"), we understand the language to be inclusive and not limiting.

Specifically, the reference to "findings or information" requires the disclosure of information about such a case even if there are no findings. Thus, when child abuse or neglect results in the death or near death of a child, the State must provide for the disclosure of the available facts. However, nothing in this provision should be interpreted to require disclosure of information which would jeopardize a criminal investigation or proceeding.

Source/Date
*ACYF-NCCAN-PIQ-97-01 (3/4/97) (updated 2/3/05)
Legal and Related References
Child Abuse Prevention and Treatment Act (CAPTA), as amended (42 U.S.C. 5101 et seq.) - section 106

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07/26/2000 - 02/03/2005 (Original Record)
Question
The requirement for public disclosure states that "findings or information" about a case must be disclosed. Does this mean that States have the option to disclose either the findings of the case, or information which may be general in nature and address such things as practice issues rather than provide case-specific information?
Answer
No. The intent of this provision was to assure that the public is informed about cases of child abuse or neglect which result in the death or near death of a child. As with the use of the other "or''s" in this provision ("child abuse or neglect" and "child fatality or near fatality"), we understand the language to be inclusive and not limiting.

Specifically, the reference to "findings or information" requires the disclosure of information about such a case even if there are no findings. Thus, when child abuse or neglect results in the death or near death of a child, the State must provide for the disclosure of the available facts. However, nothing in this provision should be interpreted to require disclosure of information which would jeopardize a criminal investigation or proceeding.

Source/Date
ACYF-NCCAN-PIQ-97-01 (3/4/97)
Legal and Related References
Child Abuse Prevention and Treatment Act (CAPTA), as amended (42 U.S.C. 5101 et seq.) - section 106

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Question Number 3:
09/14/2012 - Current
Question
One State has child fatality review panels that are charged with the review and evaluation of child fatalities and near fatalities in the State. In this process, they evaluate the extent to which the agency is effectively discharging its child protection responsibilities. The child fatality review panels publish an annual report that includes information, findings and recommendations on each case, and this report is made public. Would this process meet the requirement in section 106(b)(2)(B)(x) for public disclosure of findings or information about cases of child abuse or neglect that result in child fatality or near fatality?
Answer
*If the minimum information that must be released per section 2.1A.4, Q/A #8 of the CWPM is included in the report, this process would meet the CAPTA requirement.
Source/Date
*ACYF-NCCAN-PIQ-97-03 (9/26/97); updated 9/27/11; 9/12/12
Legal and Related References
Child Abuse Prevention and Treatment Act (CAPTA), as amended (42 U.S.C. 5101 et seq.) - section 106(b)(2)(B)(x)

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09/27/2011 - 09/14/2012
Question
*One State has child fatality review panels that are charged with the review and evaluation of child fatalities and near fatalities in the State. In this process, they evaluate the extent to which the agency is effectively discharging its child protection responsibilities. The child fatality review panels publish an annual report that includes information, findings and recommendations on each case, and this report is made public. Would this process meet the requirement in section 106(b)(2)(B)(x) for public disclosure of findings or information about cases of child abuse or neglect that result in child fatality or near fatality?
Answer
*Yes. This process allows for public disclosure in such cases and would meet the CAPTA requirement.
Source/Date
*ACYF-NCCAN-PIQ-97-03 (9/26/97); updated 9/27/11
Legal and Related References
*Child Abuse Prevention and Treatment Act (CAPTA), as amended (42 U.S.C. 5101 et seq.) - section 106(b)(2)(B)(x)

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04/17/2006 - 09/27/2011
Question
*One State has child fatality review panels that are charged with the review and evaluation of child fatalities and near fatalities in the State. In this process, they evaluate the extent to which the agency is effectively discharging its child protection responsibilities. The child fatality review panels publish an annual report that includes information, findings and recommendations on each case, and this report is made public. Would this process meet the requirement in section 106(b)(2)(A)(x) for public disclosure of findings or information about cases of child abuse or neglect that result in child fatality or near fatality?
Answer
Yes. This process allows for public disclosure in such cases and would meet the CAPTA requirement.
Source/Date
*ACYF-NCCAN-PIQ-97-03 (9/26/97); updated 2/3/05
Legal and Related References
*Child Abuse Prevention and Treatment Act (CAPTA), as amended (42 U.S.C. 5101 et seq.) - section 106(b)(2)(A)(x)

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02/03/2005 - 04/17/2006
Question
One State has child fatality review panels that are charged with the review and evaluation of child fatalities and near fatalities in the State. In this process, they evaluate the extent to which the agency is effectively discharging its child protection responsibilities. The child fatality review panels publish an annual report that includes information, findings and recommendations on each case, and this report is made public. Would this process meet the requirement in section 106 (b)(2)(vi) for public disclosure of findings or information about cases of child abuse or neglect that result in child fatality or near fatality?
Answer
Yes. This process allows for public disclosure in such cases and would meet the CAPTA requirement.
Source/Date
*ACYF-NCCAN-PIQ-97-03 (9/26/97) (updated 2/3/05)
Legal and Related References
Child Abuse Prevention and Treatment Act (CAPTA), as amended (42 U.S.C. 5101 et seq.) - section 106

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09/15/2000 - 02/03/2005 (Original Record)
Question
One State has child fatality review panels that are charged with the review and evaluation of child fatalities and near fatalities in the State. In this process, they evaluate the extent to which the agency is effectively discharging its child protection responsibilities. The child fatality review panels publish an annual report that includes information, findings and recommendations on each case, and this report is made public. Would this process meet the requirement in section 106 (b)(2)(vi) for public disclosure of findings or information about cases of child abuse or neglect that result in child fatality or near fatality?
Answer
Yes. This process allows for public disclosure in such cases and would meet the CAPTA requirement.
Source/Date
ACYF-NCCAN-PIQ-97-03 (9/26/97)
Legal and Related References
Child Abuse Prevention and Treatment Act (CAPTA), as amended (42 U.S.C. 5101 et seq.) - section 106

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Question Number 4:
09/14/2012 - Current
Question
Section 106(b)(2)(B)(x) of the Child Abuse Prevention and Treatment Act (CAPTA) requires a State to provide an assurance that it will have provisions which "allow" for public disclosure when child abuse or neglect results in a child fatality or near fatality. Yet section 2.1A.1, Q/A #1 of the Child Welfare Policy Manual (CWPM) "requires" public disclosure in such cases. Can you explain the requirements for this State plan assurance?
Answer
"Provisions which allow for public disclosure" in section 106(b)(2)(B)(x) of CAPTA means that the State must have procedures or provisions that allow the public to access information when child abuse or neglect results in a child fatality or near fatality. The State does not have discretion in whether to allow the public access to the child fatality or near fatality information; rather, the public has the discretion as to whether to access the information. In other words, the State is not required to provide the information to the public unless requested. However, once a request has been made, the State must provide the information in accordance with section 2.1A.4, Q/A #8 of the CWPM.

Finally, States also should ensure that they are complying with any other relevant Federal confidentiality laws. In particular, entities that are subject to the Health Insurance Portability and Accountability Act of 1996 (HIPAA) must ensure that they do not disclose confidential information in violation of HIPAA's privacy regulations. *

* For more detailed information about the circumstances under which State agencies or other covered entities can disclose confidential information under HIPAA's privacy regulations, contact the U.S. Department of Health and Human Services' Office for Civil Rights or the State Attorney General's Office.

Source/Date
*updated 9/27/11; 9/12/12
Legal and Related References
Child Abuse Prevention and Treatment Act (CAPTA), as amended (42 U.S.C. 5101 et seq.) ¿ section 106; Child Welfare Policy Manual - sections 2.1A.1 Q/A #1, 2 & 4 and 2.1A.4 Q/A #2

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09/14/2012 - 09/14/2012
Question
*Section 106(b)(2)(B)(x) of the Child Abuse Prevention and Treatment Act (CAPTA) requires a State to provide an assurance that it will have provisions which "allow" for public disclosure when child abuse or neglect results in a child fatality or near fatality. Yet section 2.1A.1, Q/A #1 of the Child Welfare Policy Manual (CWPM) "requires" public disclosure in such cases. Can you explain the requirements for this State plan assurance?
Answer
*"Provisions which allow for public disclosure" in section 106(b)(2)(B)(x) of CAPTA means that the State must have procedures or provisions that allow the public to access information when child abuse or neglect results in a child fatality or near fatality. The State does not have discretion in whether to allow the public access to the child fatality or near fatality information; rather, the public has the discretion as to whether to access the information. In other words, the State is not required to provide the information to the public unless requested. However, once a request has been made, the State must provide the information in accordance with section 2.1A.4, Q/A #8 of the CWPM.

Finally, States also should ensure that they are complying with any other relevant Federal confidentiality laws. In particular, entities that are subject to the Health Insurance Portability and Accountability Act of 1996 (HIPAA) must ensure that they do not disclose confidential information in violation of HIPAA''s privacy regulations. *

* For more detailed information about the circumstances under which State agencies or other covered entities can disclose confidential information under HIPAA''s privacy regulations, contact the U.S. Department of Health and Human Services'' Office for Civil Rights or the State Attorney General''s Office.

Source/Date
*9/27/11; 9/12/12
Legal and Related References
Child Abuse Prevention and Treatment Act (CAPTA), as amended (42 U.S.C. 5101 et seq.) ¿ section 106; Child Welfare Policy Manual - sections 2.1A.1 Q/A #1, 2 & 4 and 2.1A.4 Q/A #2

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09/27/2011 - 09/14/2012
Question
*Section 106(b)(2)(B)(x) of the Child Abuse Prevention and Treatment Act (CAPTA) requires a State to provide an assurance that it will have provisions which "allow" for public disclosure in the case of child abuse or neglect that results in a child fatality or near fatality. Section 2.1A.1, Q/A #1 of the Child Welfare Policy Manual (CWPM) "requires" public disclosure in such cases. Does a State have the option of disclosing information on these child fatalities and near fatalities, for example, when full disclosure may be contrary to the best interests of the child, the child's siblings, or other children in the household?
Answer
*No. "Provisions which allow for public disclosure" in section 106(b)(2)(B)(x) of CAPTA means that the State must have procedures or provisions that allow the public to access findings or information about a child abuse or neglect case that results in the fatality or near fatality of a child. The State does not have discretion in whether to allow the public access to the child fatality or near fatality information; rather, the public has the discretion as to whether to access the information. In other words, the State is not required to provide the information to the public unless requested, but may not withhold the facts about a case unless doing so would jeopardize a criminal investigation. Also see Q/A #2 under section 2.1A.4 of the CWPM for further discussion of this CAPTA provision.

Finally, States also should ensure that they are complying with any other relevant State or Federal confidentiality laws. In particular, entities that are subject to the Health Insurance Portability and Accountability Act of 1996 (HIPAA) must ensure that they do not disclose confidential information in violation of HIPAA?s privacy regulations. *

* For more detailed information about the circumstances under which State agencies or other covered entities can disclose confidential information under HIPAA''s privacy regulations, contact the U.S. Department of Health and Human Services'' Office for Civil Rights or the State Attorney General''s Office.

Source/Date
*updated 9/27/11
Legal and Related References
*Child Abuse Prevention and Treatment Act (CAPTA), as amended (42 U.S.C. 5101 et seq.) ¿ section 106; Child Welfare Policy Manual - sections 2.1A.1 Q/A #1, 2 & 4 and 2.1A.4 Q/A #2

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10/26/2006 - 09/27/2011 (Original Record)
Question
Section 106(b)(2)(A)(x) of the Child Abuse Prevention and Treatment Act (CAPTA) requires a State to provide an assurance that it will have provisions which "allow" for public disclosure in the case of child abuse or neglect that results in a child fatality or near fatality. Section 2.1A.1, Q/A #1 of the Child Welfare Policy Manual (CWPM) "requires" public disclosure in such cases. Does a State have the option of disclosing information on these child fatalities and near fatalities, for example, when full disclosure may be contrary to the best interests of the child, the child's siblings, or other children in the household?
Answer
No. "Provisions which allow for public disclosure" in section 106(b)(2)(B)(x) of CAPTA means that the State must have procedures or provisions that allow the public to access findings or information about a child abuse or neglect case that results in the fatality or near fatality of a child. The State does not have discretion in whether to allow the public access to the child fatality or near fatality information; rather, the public has the discretion as to whether to access the information. In other words, the State is not required to provide the information to the public unless requested, but may not withhold the facts about a case unless doing so would jeopardize a criminal investigation. Also see Q/A #2 under section 2.1A.4 of the CWPM for further discussion of this CAPTA provision.

Finally, States also should ensure that they are complying with any other relevant State or Federal confidentiality laws. In particular, entities that are subject to the Health Insurance Portability and Accountability Act of 1996 (HIPAA) must ensure that they do not disclose confidential information in violation of HIPAA?s privacy regulations. *

* For more detailed information about the circumstances under which State agencies or other covered entities can disclose confidential information under HIPAA''s privacy regulations, contact the U.S. Department of Health and Human Services'' Office for Civil Rights or the State Attorney General''s Office. /sup>

Source/Date
10/24/2006
Legal and Related References
Child Abuse Prevention and Treatment Act (CAPTA), as amended (42 U.S.C. 5101 et seq.) ¿ section 106; Child Welfare Policy Manual - section 2.1A.4 Q/A #2

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10/26/2006 - 09/27/2011 (Original Record)
Question
Section 106(b)(2)(A)(x) of the Child Abuse Prevention and Treatment Act (CAPTA) requires a State to provide an assurance that it will have provisions which "allow" for public disclosure in the case of child abuse or neglect that results in a child fatality or near fatality. Section 2.1A.1, Q/A #1 of the Child Welfare Policy Manual (CWPM) "requires" public disclosure in such cases. Does a State have the option of disclosing information on these child fatalities and near fatalities, for example, when full disclosure may be contrary to the best interests of the child, the child's siblings, or other children in the household?
Answer
No. "Provisions which allow for public disclosure" in section 106(b)(2)(A)(x) of CAPTA means that the State must have procedures or provisions that allow the public to access findings or information about a child abuse or neglect case that results in the fatality or near fatality of a child. The State does not have discretion in whether to allow the public access to the child fatality or near fatality information; rather, the public has the discretion as to whether to access the information. In other words, the State is not required to provide the information to the public unless requested, but may not withhold the facts about a case unless doing so would jeopardize a criminal investigation. Also see Q/A #2 under section 2.1A.4 of the CWPM for further discussion of this CAPTA provision.

Finally, States also should ensure that they are complying with any other relevant State or Federal confidentiality laws. In particular, entities that are subject to the Health Insurance Portability and Accountability Act of 1996 (HIPAA) must ensure that they do not disclose confidential information in violation of HIPAA?s privacy regulations. *

* For more detailed information about the circumstances under which State agencies or other covered entities can disclose confidential information under HIPAA''s privacy regulations, contact the U.S. Department of Health and Human Services'' Office for Civil Rights or the State Attorney General''s Office.

Source/Date
10/24/2006
Legal and Related References
Child Abuse Prevention and Treatment Act (CAPTA), as amended (42 U.S.C. 5101 et seq.) ¿ section 106; Child Welfare Policy Manual - section 2.1A.4 Q/A #2

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Question Number 5:
09/14/2012 - Current
Question
Section 106(b)(2)(B)(x) of the Child Abuse Prevention and Treatment Act (CAPTA) requires a State to have provisions that allow for public disclosure of the findings or information about the case of child abuse or neglect that results in a child's fatality or near fatality. Is the State required to turn over all of the information in the entire case record, when requested?
Answer
*No. The State is not required to release all of the information in the entire case record. Rather, the State must provide for the disclosure of findings and information in accordance with section 2.1A.4, Q/A #8 of the CWPM. As such, the State may determine its procedures in accordance with these parameters, and can release the full investigation; a summary of the investigation; or a statement of findings and information about the incident among other options. Finally, States also should ensure that they are complying with any other relevant Federal confidentiality laws. In particular, entities that are subject to the Health Insurance Portability and Accountability Act of 1996 (HIPAA) must ensure that they do not disclose confidential information in violation of HIPAA's privacy regulations. *

* For more detailed information about the circumstances under which State agencies or other covered entities can disclose confidential information under HIPAA's privacy regulations, contact the U.S. Department of Health and Human Services' Office for Civil Rights or the State Attorney General's Office.

Source/Date
*updated 9/27/11; 9/12/12
Legal and Related References
*Child Abuse Prevention and Treatment Act (CAPTA), as amended (42 U.S.C. 5101 et seq.) - section 106;

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09/27/2011 - 09/14/2012
Question
*Section 106(b)(2)(B)(x) of the Child Abuse Prevention and Treatment Act (CAPTA) requires a State to have provisions that allow for public disclosure of the findings or information about the case of child abuse or neglect that results in a child's fatality or near fatality. Is the State required to turn over all of the information in the entire case record, when requested?
Answer
*No. The State is not required to release all of the information in the entire case record. Rather, the State must provide for the disclosure of the "available facts" in such situations. As such, the State may determine its procedures in accordance with these parameters, and can release the full investigation; a summary of the investigation; or a statement of findings or available facts about the incident among other options. Also, see section 2.1A.4, Q/A #2, of the Child Welfare Policy Manual for further discussion on this issue.

Finally, States also should ensure that they are complying with any other relevant State or Federal confidentiality laws. In particular, entities that are subject to the Health Insurance Portability and Accountability Act of 1996 (HIPAA) must ensure that they do not disclose confidential information in violation of HIPAA''s privacy regulations. *

* For more detailed information about the circumstances under which State agencies or other covered entities can disclose confidential information under HIPAA''s privacy regulations, contact the U.S. Department of Health and Human Services'' Office for Civil Rights or the State Attorney General''s Office.

Source/Date
*updated 9/27/11
Legal and Related References
Child Abuse Prevention and Treatment Act (CAPTA), as amended (42 U.S.C. 5101 et seq.) - section 106; Child Welfare Policy Manual - section 2.1A.4 Q/A #2

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10/26/2006 - 09/27/2011 (Original Record)
Question
Section 106(b)(2)(A)(x) of the Child Abuse Prevention and Treatment Act (CAPTA) requires a State to have provisions that allow for public disclosure of the findings or information about the case of child abuse or neglect that results in a child's fatality or near fatality. Is the State required to turn over all of the information in the entire case record, when requested
Answer
No. The State is not required to release all of the information in the entire case record. Rather, the State must provide for the disclosure of the "available facts" in such situations. As such, the State may determine its procedures in accordance with these parameters, and can release the full investigation; a summary of the investigation; or a statement of findings or available facts about the incident among other options. Also, see section 2.1A.4, Q/A #2, of the Child Welfare Policy Manual for further discussion on this issue.

Finally, States also should ensure that they are complying with any other relevant State or Federal confidentiality laws. In particular, entities that are subject to the Health Insurance Portability and Accountability Act of 1996 (HIPAA) must ensure that they do not disclose confidential information in violation of HIPAA''s privacy regulations. *

* For more detailed information about the circumstances under which State agencies or other covered entities can disclose confidential information under HIPAA''s privacy regulations, contact the U.S. Department of Health and Human Services'' Office for Civil Rights or the State Attorney General''s Office.

Source/Date
10/24/2006
Legal and Related References
Child Abuse Prevention and Treatment Act (CAPTA), as amended (42 U.S.C. 5101 et seq.) - section 106; Child Welfare Policy Manual - section 2.1A.4 Q/A #2

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Question Number 6:
09/14/2012 - Current
Question
*When child abuse or neglect results in a child fatality or near fatality, is the State required to disclose to the public personal information about the child, including name, date of birth and date of death?
Answer
*As required by CWPM section 2.1A.4 Q/A #8, the State is required to provide the child's age and gender when child abuse or neglect results in a child's death or near fatality; disclosure of the child's name, date of birth, date of death or other personal information is not a Federal requirement. However, a State is not prohibited by CAPTA from having procedures or policies that release such information.

Finally, States also should ensure that they are complying with any other relevant Federal confidentiality laws. In particular, entities that are subject to the Health Insurance Portability and Accountability Act of 1996 (HIPAA) must ensure that they do not disclose confidential information in violation of HIPAA's privacy regulations. *

* For more detailed information about the circumstances under which State agencies or other covered entities can disclose confidential information under HIPAA's privacy regulations, contact the U.S. Department of Health and Human Services' Office for Civil Rights or the State Attorney General's Office.

Source/Date
*updated 9/27/11; 9/12/12
Legal and Related References
Child Abuse Prevention and Treatment Act (CAPTA), as amended (42 U.S.C. 5101 et seq.) - section 106

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09/27/2011 - 09/14/2012
Question
In a case of child abuse or neglect that results in a child fatality or near fatality, is the State required by Federal law to disclose to the public personal information about the child, including name, date of birth and date of death?
Answer
*No. Section 106(b)(2)(B)(x) of the Child Abuse Prevention and Treatment Act (CAPTA) only requires the State to release to the public findings or information about a case of child abuse or neglect that results in a child''s death or near fatality; disclosure of the child''s name, date of birth, date of death or other personal information is not a Federal requirement. However, a State is not prohibited by CAPTA from having procedures or policies that release such information. Finally, States also should ensure that they are complying with any other relevant State or Federal confidentiality laws. In particular, entities that are subject to the Health Insurance Portability and Accountability Act of 1996 (HIPAA) must ensure that they do not disclose confidential information in violation of HIPAA''s privacy regulations. *

* For more detailed information about the circumstances under which State agencies or other covered entities can disclose confidential information under HIPAA''s privacy regulations, contact the U.S. Department of Health and Human Services'' Office for Civil Rights or the State Attorney General''s Office.

Source/Date
*updated 9/27/11
Legal and Related References
Child Abuse Prevention and Treatment Act (CAPTA), as amended (42 U.S.C. 5101 et seq.) - section 106

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10/26/2006 - 09/27/2011 (Original Record)
Question
In a case of child abuse or neglect that results in a child fatality or near fatality, is the State required by Federal law to disclose to the public personal information about the child, including name, date of birth and date of death?
Answer
No. Section 106(b)(2)(A)(x) of the Child Abuse Prevention and Treatment Act (CAPTA) only requires the State to release to the public findings or information about a case of child abuse or neglect that results in a child''s death or near fatality; disclosure of the child''s name, date of birth, date of death or other personal information is not a Federal requirement. However, a State is not prohibited by CAPTA from having procedures or policies that release such information. Finally, States also should ensure that they are complying with any other relevant State or Federal confidentiality laws. In particular, entities that are subject to the Health Insurance Portability and Accountability Act of 1996 (HIPAA) must ensure that they do not disclose confidential information in violation of HIPAA''s privacy regulations. *

* For more detailed information about the circumstances under which State agencies or other covered entities can disclose confidential information under HIPAA''s privacy regulations, contact the U.S. Department of Health and Human Services'' Office for Civil Rights or the State Attorney General''s Office.

Source/Date
10/24/2006
Legal and Related References
Child Abuse Prevention and Treatment Act (CAPTA), as amended (42 U.S.C. 5101 et seq.) - section 106

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Question Number 7:
09/14/2012 - Current
Question
In a case of child abuse or neglect that results in a child fatality or near fatality, is the State required to provide information on the child's siblings, or other children in the household?
Answer
*Generally no. The information about another child in the household who is not a fatality or near fatality victim is not subject to the CAPTA public disclosure requirement unless this information is pertinent to the child abuse or neglect that led to the fatality or near fatality. This information in fact may be protected by the confidentiality requirements applicable to titles IV-B/IV-E of the Social Security Act. Finally, States also should ensure that they are complying with any other relevant Federal confidentiality laws. In particular, entities that are subject to the Health Insurance Portability and Accountability Act of 1996 (HIPAA) must ensure that they do not disclose confidential information in violation of HIPAA's privacy regulations. *

* For more detailed information about the circumstances under which State agencies or other covered entities can disclose confidential information under HIPAA's privacy regulations, contact the U.S. Department of Health and Human Services' Office for Civil Rights or the State Attorney General's Office.

Source/Date
*10/24/2006; updated 9/12/12
Legal and Related References
Child Abuse Prevention and Treatment Act (CAPTA), as amended (42 U.S.C. 5101 et seq.) - section 106

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10/26/2006 - 09/14/2012 (Original Record)
Question
In a case of child abuse or neglect that results in a child fatality or near fatality, is the State required to provide information on the child's siblings, or other children in the household?
Answer
No. The information about another child in the household who is not a fatality or near fatality victim is not subject to the CAPTA public disclosure requirement. This information in fact may be protected by the confidentiality requirements applicable to titles IV-B/IV-E of the Social Security Act. Finally, States also should ensure that they are complying with any other relevant State or Federal confidentiality laws. In particular, entities that are subject to the Health Insurance Portability and Accountability Act of 1996 (HIPAA) must ensure that they do not disclose confidential information in violation of HIPAA''s privacy regulations. *

* For more detailed information about the circumstances under which State agencies or other covered entities can disclose confidential information under HIPAA''s privacy regulations, contact the U.S. Department of Health and Human Services'' Office for Civil Rights or the State Attorney General''s Office.

Source/Date
10/24/2006
Legal and Related References
Child Abuse Prevention and Treatment Act (CAPTA), as amended (42 U.S.C. 5101 et seq.) - section 106

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2.1A.2 CAPTA, Assurances and Requirements, Access to Child Abuse and Neglect Information, Expungement

Question Number 1:
09/27/2011 - Current
Question
*How will States be able to determine whether a pattern of abuse or neglect exists if unsubstantiated records must be expunged? While the statute allows these records to be kept in casework files, if the files are not maintained in a central location, previous unsubstantiated report(s) may go undetected if a subsequent report comes into another office, or even another worker.
Answer
*The impetus behind the expungement requirement was the concern of Congress that families are negatively and sometimes unjustly affected by maintenance of public records of unsubstantiated allegations of abuse or neglect. However, it was not the intent of Congress to prevent CPS agencies from keeping information on unsubstantiated reports for use in future risk and safety assessments (Senate Report 104-117, dated July 10, 1995, p. 14). While CAPTA requires prompt expungement of records that are accessible to the general public or are used for purposes of employment or other background checks in cases determined to be unsubstantiated, it also allows CPS agencies to retain information on unsubstantiated reports in their casework files.

Since the issue for Congress is disclosure of information regarding cases that are unsubstantiated or unfounded, this requirement should not adversely affect a State's ability to determine possible cumulative harm. For instance, a State could choose to implement a system which would consider an unsubstantiated case "expunged" for any purpose other than investigation of a new report. This should be possible even in States where casework files are computerized.

Source/Date
*ACYF-NCCAN-PIQ-97-01 (3/4/97); updated 9/27/11
Legal and Related References
*Child Abuse Prevention and Treatment Act (CAPTA), as amended (42 U.S.C. 5101 et seq.) - section 106(b)(2)(B)(xii)

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04/17/2006 - 09/27/2011
Question
How will States be able to determine whether a pattern of abuse or neglect exists if unsubstantiated records must be expunged? While the statute allows these records to be kept in casework files, if the files are not maintained in a central location, previous unsubstantiated report(s) may go undetected if a subsequent report comes into another office, or even another worker.
Answer
*The impetus behind the expungement requirement was the concern of Congress that families are negatively and sometimes unjustly affected by maintenance of public records of unsubstantiated allegations of abuse or neglect. However, it was not the intent of Congress to prevent CPS agencies from keeping information on unsubstantiated reports for use in future risk and safety assessments (Senate Report 104-117, dated July 10, 1995, p. 14). While CAPTA requires prompt expungement of records that are accessible to the general public or are used for purposes of employment or other background checks in cases determined to be unsubstantiated, it also allows CPS agencies to retain information on unsubstantiated reports in their casework files.

Since the issue for Congress is disclosure of information regarding cases that are unsubstantiated or unfounded, this requirement should not adversely affect a State''s ability to determine possible cumulative harm. For instance, a State could choose to implement a system which would consider an unsubstantiated case "expunged" for any purpose other than investigation of a new report. This should be possible even in States where casework files are computerized.

Source/Date
*ACYF-NCCAN-PIQ-97-01 (3/4/97); updated 2/3/05
Legal and Related References
*Child Abuse Prevention and Treatment Act (CAPTA), as amended (42 U.S.C. 5101 et seq.) - section 106(b)(2)(A)(xii)

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02/03/2005 - 04/17/2006
Question
How will States be able to determine whether a pattern of abuse or neglect exists if unsubstantiated records must be expunged? While the statute allows these records to be kept in casework files, if the files are not maintained in a central location, previous unsubstantiated report(s) may go undetected if a subsequent report comes into another office, or even another worker.
Answer
The impetus behind the expungement requirement was the concern of Congress that families are negatively and sometimes unjustly affected by maintenance of public records of unsubstantiated allegations of abuse or neglect. However, it was not the intent of Congress to prevent CPS agencies from keeping information on unsubstantiated reports for use in future risk and safety assessments (Senate Report 104-117, dated July 10, 1995, p. 14). While CAPTA requires prompt expungement of records that are accessible to the general public or are used for purposes of employment or other background checks in cases determined to be unsubstantiated, they also allow CPS agencies to retain information on unsubstantiated reports in their casework files.

Since the issue for Congress is disclosure of information regarding cases that are unsubstantiated or unfounded, this requirement should not adversely affect a State''s ability to determine possible cumulative harm. For instance, a State could choose to implement a system which would consider an unsubstantiated case "expunged" for any purpose other than investigation of a new report. This should be possible even in States where casework files are computerized.

Source/Date
*ACYF-NCCAN-PIQ-97-01 (3/4/97) (updated 2/3/05)
Legal and Related References
Child Abuse Prevention and Treatment Act (CAPTA), as amended (42 U.S.C. 5101 et seq.) - section 106

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07/25/2000 - 02/03/2005 (Original Record)
Question
How will States be able to determine whether a pattern of abuse or neglect exists if unsubstantiated records must be expunged? While the statute allows these records to be kept in casework files, if the files are not maintained in a central location, previous unsubstantiated report(s) may go undetected if a subsequent report comes into another office, or even another worker.
Answer
The impetus behind the expungement requirement was the concern of Congress that families are negatively and sometimes unjustly affected by maintenance of public records of unsubstantiated allegations of abuse or neglect. However, it was not the intent of Congress to prevent CPS agencies from keeping information on unsubstantiated reports for use in future risk and safety assessments (Senate Report 104-117, dated July 10, 1995, p. 14). While CAPTA requires prompt expungement of records that are accessible to the general public or are used for purposes of employment or other background checks in cases determined to be unsubstantiated, they also allow CPS agencies to retain information on unsubstantiated reports in their casework files.

Since the issue for Congress is disclosure of information regarding cases that are unsubstantiated or unfounded, this requirement should not adversely affect a State''s ability to determine possible cumulative harm. For instance, a State could choose to implement a system which would consider an unsubstantiated case "expunged" for any purpose other than investigation of a new report. This should be possible even in States where casework files are computerized.

Source/Date
ACYF-NCCAN-PIQ-97-01 (3/4/97)
Legal and Related References
Child Abuse Prevention and Treatment Act (CAPTA), as amended (42 U.S.C. 5101 et seq.) - section 106

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Question Number 2:
09/27/2011 - Current
Question
How does the CAPTA expungement requirement affect States that have a three-tier system which includes a middle category that indicates a reasonable basis for concern?
Answer
This requirement relates only to unsubstantiated or unfounded cases and would not affect retention of records for a middle category which indicates that there is reason to suspect that child abuse or neglect has occurred.
Source/Date
*ACFY-NCCAN-PIQ-97-01 (3/4/97); updated 9/27/11
Legal and Related References
*Child Abuse Prevention and Treatment Act (CAPTA), as amended (42 U.S.C. 5101 et seq.) - section 106(b)(2)(B)(xii)

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04/17/2006 - 09/27/2011
Question
How does the CAPTA expungement requirement affect States that have a three-tier system which includes a middle category that indicates a reasonable basis for concern?
Answer
This requirement relates only to unsubstantiated or unfounded cases and would not affect retention of records for a middle category which indicates that there is reason to suspect that child abuse or neglect has occurred.
Source/Date
*ACYF-NCCAN-PIQ 97-01 (3/4/97); updated 2/3/05
Legal and Related References
*Child Abuse Prevention and Treatment Act (CAPTA), as amended (42 U.S.C. 5101 et seq.) - section 106(b)(2)(A)(xii)

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02/03/2005 - 04/17/2006
Question
How does the CAPTA expungement requirement affect States that have a three-tier system which includes a middle category that indicates a reasonable basis for concern?
Answer
This requirement relates only to unsubstantiated or unfounded cases and would not affect retention of records for a middle category which indicates that there is reason to suspect that child abuse or neglect has occurred.
Source/Date
*ACYF-NCCAN-PIQ 97-01 (3/4/97) (updated 2/3/05)
Legal and Related References
Child Abuse Prevention and Treatment Act (CAPTA), as amended (42 U.S.C. 5101 et seq.) - section 106

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07/25/2000 - 02/03/2005 (Original Record)
Question
How does the CAPTA expungement requirement affect States that have a three-tier system which includes a middle category that indicates a reasonable basis for concern?
Answer
This requirement relates only to unsubstantiated or unfounded cases and would not affect retention of records for a middle category which indicates that there is reason to suspect that child abuse or neglect has occurred.
Source/Date
ACYF-NCCAN-PIQ 97-01 (3/4/97)
Legal and Related References
Child Abuse Prevention and Treatment Act (CAPTA), as amended (42 U.S.C. 5101 et seq.) - section 106

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8.1D Candidates for title IV-E foster care

Question Number 1:
12/17/2019 - Current
Question
May we claim Federal financial participation (FFP) for the administrative costs associated with foster care candidates even for children who never enter foster care?
Answer
Yes. Federal financial participation for administrative costs listed at 45 CFR 1356.60(c) may be claimed regardless of whether the child is actually placed in foster care and becomes a recipient of title IV-E foster care benefits. However, reimbursement is limited to those individuals the title IV-E agency reasonably views as candidates for title IV-E foster care maintenance payments consistent with section 472(i)(2) of the Social Security Act.

The three acceptable methods of documentation indicating that a child is a candidate for title IV-E foster care benefits are: (1) A defined case plan which clearly indicates that, absent effective preventive services, foster care is the planned arrangement for the child, (2) an eligibility determination form which has been completed to establish the child's eligibility under title IV-E, or (3) evidence of court proceedings in relation to the removal of the child from the home, in the form of a petition to the court, a court order or a transcript of the court's proceedings.

Should the title IV-E agency determine that the child is no longer a candidate for foster care at any point prior to the removal of the child from his home, subsequent activities will not be allowable for reimbursement of costs under title IV-E.

Source/Date
*ACYF-CB-PA-87-05 (10/22/87); 7/7/2006; (12/17/2019)
Legal and Related References
Social Security Act - sections 471(a)(15), 472(i)(2), and 479B; DHHS Grant Appeals Board Decision No. 844; ACYF-CB-IM-06-02

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12/17/2019 - 12/17/2019
Question
May we claim Federal financial participation (FFP) for the administrative costs associated with foster care candidates even for children who never enter foster care?
Answer
*A candidate for foster care is a child who is at serious risk of removal from home as evidenced by the title IV-E agency either pursuing his/her removal from the home or making reasonable efforts to prevent such removal. The basis for determining when a child may be considered a candidate for foster care can be found in statute, Departmental policy, and Departmental Appeals Board (DAB) decisions:

STATUTE: Section 471(a)(15)(B)(i) of the Act provides the frame of reference for determining the point at which a child becomes a candidate for foster care by requiring a title IV-E agency to make reasonable efforts to prevent a child''s removal from home. A child may not be considered a candidate for foster care solely because the title IV-E agency is involved with the child and his/her family. In order for the child to be considered a candidate for foster care, the title IV-E agency''s involvement with the child and family must be for the specific purpose of either removing the child from the home or satisfying the reasonable efforts requirement with regard to preventing removal.

DEPARTMENTAL POLICY: Stipulates the three acceptable methods for documenting a child''s candidacy for title IV-E foster maintenance payments. The existence of these forms of documentation indicates that a child legitimately may be considered a candidate for foster care:

1) A defined case plan which clearly indicates that, absent effective preventive services, foster care is the planned arrangement for the child.

The decision to remove a child from home is a significant legal and practice issue that is not entered into lightly. Therefore, a case plan that sets foster care as the goal for the child absent effective preventive services is an indication that the child is at serious risk of removal from his/her home because the title IV-E agency believes that a plan of action is needed to prevent that removal.

2) An eligibility determination form which has been completed to establish the child''s eligibility for title IV-E foster care maintenance payments.

Completing the documentation to establish a child''s title IV-E eligibility is an indication that the title IV-E agency is anticipating the child''s entry into foster care and that s/he is at serious risk of removal from home. Eligibility forms used to document a child''s candidacy for foster care should include evidence that the child is at serious risk of removal from home. Evidence of AFDC eligibility in and of itself is insufficient to establish a child''s candidacy for foster care.

3) Evidence of court proceedings in relation to the removal of the child from the home, in the form of a petition to the court, a court order or a transcript of the court proceedings.

Clearly, if the title IV-E agency has initiated court proceedings to effect the child''s removal from home, s/he is at serious risk of removal from the home.

DAB DECISIONS: DAB Decision No. 1428 offers the following guidance for identifying the point at which a child may be considered a candidate:

"...The methods of documenting candidacy [identified in the Department''s policy guidance] involve activities which occur at a point when the state has initiated efforts to actually remove a child from his or her home or at the point the state has made a decision that the child should be placed in foster care unless preventive services are effective..."

The DAB also ruled in Decision No. 1428 that a report of child abuse or neglect is insufficient for establishing a child''s candidacy for foster care:

"...The fact that a child is the subject of [a child abuse/neglect report] falls far short of establishing that the child is at serious risk of placement in foster care and thus of becoming eligible for IV-E assistance..."

A candidate, in the opinion of the DAB, is a child who is at serious risk of removal from his/her home because the title IV-E agency is either pursuing that removal or attempting to prevent it. A child cannot be considered a candidate for foster care when the title IV-E agency has no formal involvement with the child or simply because s/he has been described as "at risk" due to circumstances such as social/interpersonal problems or a dysfunctional home environment.

Source/Date
*ACYF-CB-PA-87-05 (10/22/87); 7/7/2006; 12/17/19
Legal and Related References
*Social Security Act - sections 471(a)(15), 472(i)(2), and 479B; DHHS Grant Appeals Board Decision No. 844; ACYF-CB-IM-06-02

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07/12/2006 - 12/17/2019
Question
May we claim Federal financial participation (FFP) for the administrative costs associated with foster care candidates even for children who never enter foster care?
Answer
*A candidate for foster care is a child who is at serious risk of removal from home as evidenced by the State agency either pursuing his/her removal from the home or making reasonable efforts to prevent such removal. The basis for determining when a child may be considered a candidate for foster care can be found in statute, Departmental policy, and Departmental Appeals Board (DAB) decisions:

STATUTE: Section 471(a)(15)(B)(i) of the Act provides the frame of reference for determining the point at which a child becomes a candidate for foster care by requiring a State to make reasonable efforts to prevent a child''s removal from home. A child may not be considered a candidate for foster care solely because the State agency is involved with the child and his/her family. In order for the child to be considered a candidate for foster care, the State agency''s involvement with the child and family must be for the specific purpose of either removing the child from the home or satisfying the reasonable efforts requirement with regard to preventing removal.

DEPARTMENTAL POLICY: stipulates the three acceptable methods for documenting a child''s candidacy for title IV-E foster maintenance payments. The existence of these forms of documentation indicates that a child legitimately may be considered a candidate for foster care:

1) A defined case plan which clearly indicates that, absent effective preventive services, foster care is the planned arrangement for the child.

The decision to remove a child from home is a significant legal and practice issue that is not entered into lightly. Therefore, a case plan that sets foster care as the goal for the child absent effective preventive services is an indication that the child is at serious risk of removal from his/her home because the State agency believes that a plan of action is needed to prevent that removal.

2) An eligibility determination form which has been completed to establish the child''s eligibility under title IV-E.

Completing the documentation to establish a child''s title IV-E eligibility is an indication that the State is anticipating the child''s entry into foster care and that s/he is at serious risk of removal from home. Eligibility forms used to document a child''s candidacy for foster care should include evidence that the child is at serious risk of removal from home. Evidence of AFDC eligibility in and of itself is insufficient to establish a child''s candidacy for foster care.

3) Evidence of court proceedings in relation to the removal of the child from the home, in the form of a petition to the court, a court order or a transcript of the court proceedings.

Clearly, if the State agency has initiated court proceedings to effect the child''s removal from home, s/he is at serious risk of removal from the home.

DAB DECISIONS: DAB Decision No. 1428 offers the following guidance for identifying the point at which a child may be considered a candidate:

"...The methods of documenting candidacy [identified in the Department''s policy guidance] involve activities which occur at a point when the state has initiated efforts to actually remove a child from his or her home or at the point the state has made a decision that the child should be placed in foster care unless preventive services are effective..."

The DAB also ruled in Decision No. 1428 that a report of child abuse or neglect is insufficient for establishing a child''s candidacy for foster care:

"...The fact that a child is the subject of [a child abuse/neglect report] falls far short of establishing that the child is at serious risk of placement in foster care and thus of becoming eligible for IV-E assistance..."

A candidate, in the opinion of the DAB, is a child who is at serious risk of removal from his/her home because the State is either pursuing that removal or attempting to prevent it. A child cannot be considered a candidate for foster care when the State agency has no formal involvement with the child or simply because s/he has been described as "at risk" due to circumstances such as social/interpersonal problems or a dysfunctional home environment.

Source/Date
*ACYF-CB-PA-87-05 (10/22/87); 7/7/2006
Legal and Related References
*Social Security Act - sections 471 (a)(15) and 472(i)(2); DHHS Grant Appeals Board Decision No. 844; ACYF-CB-IM-06-02

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07/31/2000 - 07/12/2006 (Original Record)
Question
May we claim Federal financial participation (FFP) for the administrative costs associated with foster care candidates even for children who never enter foster care?
Answer
Yes. Federal financial participation for administrative costs listed at 45 CFR l356.60 (c) may be claimed regardless of whether the child is actually placed in foster care and becomes a recipient of title IV-E foster care benefits. However, reimbursement is limited to those individuals the State reasonably views as candidates for foster care maintenance payments.

The three acceptable methods of documentation indicating that a child is a candidate for foster care benefits are: (l) A defined case plan which clearly indicates that, absent effective preventive services, foster care is the planned arrangement for the child, (2) an eligibility determination form which has been completed to establish the child''s eligibility under title IV-E, or (3) evidence of court proceedings in relation to the removal of the child from the home, in the form of a petition to the court, a court order or a transcript of the court''s proceedings.

Should the State determine that the child is no longer a candidate for foster care at any point prior to the removal of the child from his home, subsequent activities will not be allowable for reimbursement of costs under title IV-E.

Source/Date
ACYF-CB-PA-87-05 (10/22/87)
Legal and Related References
Social Security Act - sections 471 (a)(15) and (16); DHHS Grant Appeals Board Decision No. 844

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Question Number 2:
12/17/2019 - Current
Question
At what point may a child be considered a candidate for foster care?
Answer
A candidate for foster care is a child who is at serious risk of removal from home as evidenced by the title IV-E agency either pursuing his/her removal from the home or making reasonable efforts to prevent such removal. The basis for determining when a child may be considered a candidate for foster care can be found in statute, Departmental policy, and Departmental Appeals Board (DAB) decisions:

STATUTE: Section 471(a)(15)(B)(i) of the Act provides the frame of reference for determining the point at which a child becomes a candidate for foster care by requiring a title IV-E agency to make reasonable efforts to prevent a child's removal from home. A child may not be considered a candidate for foster care solely because the title IV-E agency is involved with the child and his/her family. In order for the child to be considered a candidate for foster care, the title IV-E agency's involvement with the child and family must be for the specific purpose of either removing the child from the home or satisfying the reasonable efforts requirement with regard to preventing removal.

DEPARTMENTAL POLICY: Stipulates the three acceptable methods for documenting a child's candidacy for title IV-E foster maintenance payments. The existence of these forms of documentation indicates that a child legitimately may be considered a candidate for foster care:

1) A defined case plan which clearly indicates that, absent effective preventive services, foster care is the planned arrangement for the child.

The decision to remove a child from home is a significant legal and practice issue that is not entered into lightly. Therefore, a case plan that sets foster care as the goal for the child absent effective preventive services is an indication that the child is at serious risk of removal from his/her home because the title IV-E agency believes that a plan of action is needed to prevent that removal.

2) An eligibility determination form which has been completed to establish the child's eligibility for title IV-E foster care maintenance payments.

Completing the documentation to establish a child's title IV-E eligibility is an indication that the title IV-E agency is anticipating the child's entry into foster care and that s/he is at serious risk of removal from home. Eligibility forms used to document a child's candidacy for foster care should include evidence that the child is at serious risk of removal from home. Evidence of AFDC eligibility in and of itself is insufficient to establish a child's candidacy for foster care.

3) Evidence of court proceedings in relation to the removal of the child from the home, in the form of a petition to the court, a court order or a transcript of the court proceedings.

Clearly, if the title IV-E agency has initiated court proceedings to effect the child's removal from home, s/he is at serious risk of removal from the home.

DAB DECISIONS: DAB Decision No. 1428 offers the following guidance for identifying the point at which a child may be considered a candidate:

"...The methods of documenting candidacy [identified in the Department's policy guidance] involve activities which occur at a point when the state has initiated efforts to actually remove a child from his or her home or at the point the state has made a decision that the child should be placed in foster care unless preventive services are effective..."

The DAB also ruled in Decision No. 1428 that a report of child abuse or neglect is insufficient for establishing a child's candidacy for foster care:

"...The fact that a child is the subject of [a child abuse/neglect report] falls far short of establishing that the child is at serious risk of placement in foster care and thus of becoming eligible for IV-E assistance..."

A candidate, in the opinion of the DAB, is a child who is at serious risk of removal from his/her home because the title IV-E agency is either pursuing that removal or attempting to prevent it. A child cannot be considered a candidate for foster care when the title IV-E agency has no formal involvement with the child or simply because s/he has been described as "at risk" due to circumstances such as social/interpersonal problems or a dysfunctional home environment.

Source/Date
*ACYF-CB-PA-01-02 (7/3/01); (12/17/2019)
Legal and Related References
Social Security Act - sections 471(a)(15), 472(i), and 479B; Departmental Appeals Board Decision No. 1428
Question Number 3:
12/17/2019 - Current
Question
Can children on trial home visits be considered candidates for title IV-E foster care?
Answer
Yes. A title IV-E agency often will provide supportive services to a child and family during the course of a trial home visit to facilitate the success of such visit. We believe that the services and supports provided to a child on a trial home visit can be considered reasonable efforts to prevent the child's removal from the home and return to foster care in accordance with section 471(a)(15) of the Social Security Act (the Act). If the title IV-E agency determines that the child on a trial home visit meets the other criteria in section 472(i)(2) of the Act, the title IV-E agency, may claim Federal reimbursement for the allowable title IV-E administrative costs associated therewith. However, a child may not be simultaneously both in foster care and a candidate for foster care. In addition, the title IV-E agency must document the child's candidacy for foster care pursuant to one of the approved methods. For example, the title IV-E agency may document in the child's case plan its intent for the child to return to foster care if the services provided during the course of the trial home visit prove unsuccessful.
Source/Date
*ACYF-CB-PA-01-02 (7/3/01); 7/7/2006; (12/17/2019)
Legal and Related References
The Social Security Act - sections 471(a)(15), 472(i)(2) and 479B; 45 CFR 1356.21(e) and 1356.60; ACYF-CB-IM-06-02

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12/17/2019 - 12/17/2019
Question
Can children on trial home visits be considered candidates for title IV-E foster care?
Answer
Yes. A title IV-E agency often will provide supportive services to a child and family during the course of a trial home visit to facilitate the success of such visit. We believe that the services and supports provided to a child on a trial home visit can be considered reasonable efforts to prevent the child''s removal from the home and return to foster care in accordance with section 471(a)(15) of the Social Security Act (the Act). If the title IV-E agency determines that the child on a trial home visit meets the other criteria in section 472(i)(2) of the Act, the title IV-E agency, may claim Federal reimbursement for the allowable title IV-E administrative costs associated therewith. However, a child may not be simultaneously both in foster care and a candidate for foster care. In addition, the title IV-E agency must document the child''s candidacy for foster care pursuant to one of the approved methods. For example, the title IV-E agency may document in the child''s case plan its intent for the child to return to foster care if the services provided during the course of the trial home visit prove unsuccessful.
Source/Date
ACYF-CB-PA-01-02 (7/3/01); 7/7/2006; 12/17/19
Legal and Related References
*The Social Security Act - sections 471(a)(15), 472(i)(2) and 479B; 45 CFR 1356.21(e) and 1356.60; ACYF-CB-IM-06-02

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12/17/2019 - 12/17/2019
Question
*Can children on trial home visits be considered candidates for title IV-E foster care?
Answer
*Yes. A title IV-E agency often will provide supportive services to a child and family during the course of a trial home visit to facilitate the success of such visit. We believe that the services and supports provided to a child on a trial home visit can be considered reasonable efforts to prevent the child''s removal from the home and return to foster care in accordance with section 471(a)(15) of the Social Security Act (the Act). If the title IV-E agency determines that the child on a trial home visit meets the other criteria in section 472(i)(2) of the Act, the title IV-E agency, may claim Federal reimbursement for the allowable title IV-E administrative costs associated therewith. However, a child may not be simultaneously both in foster care and a candidate for foster care. In addition, the title IV-E agency must document the child''s candidacy for foster care pursuant to one of the approved methods. For example, the title IV-E agency may document in the child''s case plan its intent for the child to return to foster care if the services provided during the course of the trial home visit prove unsuccessful.
Source/Date
*ACYF-CB-PA-01-02 (7/3/01); 7/7/2006; 12/17/19
Legal and Related References
*The Social Security Act - sections 471(a)(15), 472(i)(2)s and 479B; 45 CFR 1356.21(e) and 1356.60; ACYF-CB-IM-06-02

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07/12/2006 - 12/17/2019
Question
Can children on trial home visits be considered candidates for foster care?
Answer
*Yes. A State often will provide supportive services to a child and family during the course of a trial home visit to facilitate the success of such visit. We believe that the services and supports provided to a child on a trial home visit can be considered reasonable efforts to prevent the child''s removal from the home and return to foster care in accordance with section 471(a)(15) of the Act. If the State determines that the child on a trial home visit meets the other criteria in section 472(i)(2) of the Social Security Act (the Act), the State, may claim Federal reimbursement for the allowable title IV-E administrative costs associated therewith. However, a child may not be simultaneously both in foster care and a candidate for foster care. In addition, the State must document the child''s candidacy for foster care pursuant to one of the approved methods. For example, the State may document in the child''s case plan its intent for the child to return to foster care if the services provided during the course of the trial home visit prove unsuccessful.
Source/Date
*ACYF-CB-PA-01-02 (7/3/01); 7/7/2006
Legal and Related References
*The Social Security Act ¿ section 472(i)(2); 45 CFR 1356.21(e) and 1356.60; ACYF-CB-IM-06-02

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07/29/2001 - 07/12/2006 (Original Record)
Question
Can children on trial home visits be considered candidates for foster care?
Answer
Yes. A State often will provide supportive services to a child and family during the course of a trial home visit to facilitate the success of such visit. We believe that the services and supports provided to a child on a trial home visit can be considered reasonable efforts to prevent the child''s removal from the home and return to foster care. The State, therefore, may claim Federal reimbursement for the allowable title IV-E administrative costs associated therewith. However, a child may not be simultaneously both in foster care and a candidate for foster care. In addition, the State must document the child''s candidacy for foster care pursuant to one of the approved methods. For example, the State may document in the child''s case plan its intent for the child to return to foster care if the services provided during the course of the trial home visit prove unsuccessful.
Source/Date
ACYF-CB-PA-01-02 (7/3/01)
Legal and Related References
45 CFR 1356. 21(e) and 1356.60

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Question Number 4:
12/17/2019 - Current
Question
Can children in aftercare be considered candidates for title IV-E foster care?
Answer
Yes. During aftercare, the services or supports provided to the newly reunited family can be considered the title IV-E agency's reasonable efforts to prevent the child's removal from the home and re-entry into foster care in accordance with section 471(a)(15) of the Social Security Act (the Act). If the title IV-E agency determines that the child in aftercare meets the other criteria in section 472(i)(2) of the Act, the title IV-E agency may claim Federal reimbursement for the allowable title IV-E administrative costs associated therewith. However, in order to consider a child who is newly reunited with his/her family a candidate for foster care, the title IV-E must document the child's candidacy pursuant to one of the approved methods. The title IV-E agency may, for example, develop a case plan that demonstrates its intent to remove the child from home and return him/her to foster care if the aftercare services prove unsuccessful.
Source/Date
*ACYF-CB-PA-01-02 (7/3/01); 7/7/2006; (12/17/2019)
Legal and Related References
The Social Security Act - sections 471(a)(15), 472(i)(2), and 479B; Departmental Appeals Board Decision No. 844; ACYF-CB-IM-06-02

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12/17/2019 - 12/17/2019
Question
*Can children in aftercare be considered candidates for title IV-E foster care?
Answer
*Yes. During aftercare, the services or supports provided to the newly reunited family can be considered the title IV-E agency''s reasonable efforts to prevent the child''s removal from the home and re-entry into foster care in accordance with section 471(a)(15) of the Social Security Act (the Act). If the title IV-E agency determines that the child in aftercare meets the other criteria in section 472(i)(2) of the Act, the title IV-E agency may claim Federal reimbursement for the allowable title IV-E administrative costs associated therewith. However, in order to consider a child who is newly reunited with his/her family a candidate for foster care, the title IV-E must document the child''s candidacy pursuant to one of the approved methods. The title IV-E agency may, for example, develop a case plan that demonstrates its intent to remove the child from home and return him/her to foster care if the aftercare services prove unsuccessful.
Source/Date
*ACYF-CB-PA-01-02 (7/3/01); 7/7/2006; 12/17/19
Legal and Related References
*The Social Security Act - sections 471(a)(15), 472(i)(2), and 479B; Departmental Appeals Board Decision No. 844; ACYF-CB-IM-06-02

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07/12/2006 - 12/17/2019
Question
Can children in aftercare be considered candidates for foster care?
Answer
*Yes. During aftercare, the services or supports provided to the newly reunited family can be considered the State agency''s reasonable efforts to prevent the child''s removal from the home and re-entry into foster care in accordance with section 471(a)(15) of the Act. If the State determines that the child in aftercare meets the other criteria in section 472(i)(2) of the Social Security Act (the Act), the State may claim Federal reimbursement for the allowable title IV-E administrative costs associated therewith. However, in order to consider a child who is newly reunited with his/her family a candidate for foster care, the State must document the child''s candidacy pursuant to one of the approved methods. The State may, for example, develop a case plan that demonstrates its intent to remove the child from home and return him/her to foster care if the aftercare services prove unsuccessful.
Source/Date
*ACYF-CB-PA-01-02 (7/3/01); 7/7/2006
Legal and Related References
*The Social Security Act ¿ section 472(i)(2); Departmental Appeals Board Decision No. 844; ACYF-CB-IM-06-02

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07/29/2001 - 07/12/2006 (Original Record)
Question
Can children in aftercare be considered candidates for foster care?
Answer
Yes. Departmental Appeals Board Decision No. 844 permits States to consider a child who is receiving aftercare services to be a candidate for foster care. In such circumstances, services or supports provided to the newly reunited family can be considered the State agency''s reasonable efforts to prevent the child''s removal from the home and re-entry into foster care. The State, therefore, may claim Federal reimbursement for the allowable title IV-E administrative costs associated therewith. However, in order to consider a child who is newly reunited with his/her family a candidate for foster care, the State must document the child''s candidacy pursuant to one of the approved methods. The State may, for example, develop a case plan that demonstrates its intent to remove the child from home and return him/her to foster care if the aftercare services prove unsuccessful.
Source/Date
ACYF-CB-PA-01-02 (7/3/01)
Legal and Related References
Departmental Appeals Board Decision No. 844

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Question Number 5:
12/17/2019 - Current
Question
What is the maximum length of time a child may be held in candidate status?
Answer
Pursuant to Departmental Appeals Board Decision No. 844, the Department has instructed title IV-E agencies to cease claiming Federal reimbursement when the title IV-E agency determines, at any point prior to the removal of a child from home, that such child is no longer a candidate. By definition, a candidate is a child for whom the title IV-E agency is either pursuing or making reasonable efforts to prevent a removal, suggesting a child may be considered a candidate only for a finite period of time. We do not prescribe the maximum length of time a child may be considered a candidate; however, a title IV-E agency must document its justification for retaining a child in candidate status for longer than six months.
Source/Date
*ACYF-CB-PA-01-02 (7/3/01); (12/17/2019)
Legal and Related References
Departmental Appeals Board Decision No. 844; Social Security Act - sections 472(i) and 479B

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12/17/2019 - 12/17/2019
Question
What is the maximum length of time a child may be held in candidate status?
Answer
*Pursuant to Departmental Appeals Board Decision No. 844, the Department has instructed title IV-E agencies to cease claiming Federal reimbursement when the title IV-E agency determines, at any point prior to the removal of a child from home, that such child is no longer a candidate. By definition, a candidate is a child for whom the title IV-E agency is either pursuing or making reasonable efforts to prevent a removal, suggesting a child may be considered a candidate only for a finite period of time. We do not prescribe the maximum length of time a child may be considered a candidate; however, a title IV-E agency must document its justification for retaining a child in candidate status for longer than six months.
Source/Date
*ACYF-CB-PA-01-02 (7/3/01); 12/17/19
Legal and Related References
*Departmental Appeals Board Decision No. 844; Social Security Act - sections 472(i) and 479B

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07/29/2001 - 12/17/2019 (Original Record)
Question
What is the maximum length of time a child may be held in candidate status?
Answer
Pursuant to Departmental Appeals Board Decision No. 844, the Department has instructed States to cease claiming Federal reimbursement when the State determines, at any point prior to the removal of a child from home, that such child is no longer a candidate. By definition, a candidate is a child for whom the State is either pursuing or making reasonable efforts to prevent a removal, suggesting a child may be considered a candidate only for a finite period of time. We do not prescribe the maximum length of time a child may be considered a candidate; however, a State must document its justification for retaining a child in candidate status for longer than six months.
Source/Date
ACYF-CB-PA-01-02 (7/3/01)
Legal and Related References
Departmental Appeals Board Decision No. 844

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Question Number 6:
12/17/2019 - Current
Question
Who must make the determination with respect to foster care candidacy?
Answer
The title IV-E agency (or another public agency that has entered into an agreement with the title IV-E agency pursuant to section 472(a)(2) of the Social Security Act (the Act)) must determine whether a child is a candidate. The basis for this clarification is set forth in regulation and Departmental policy:

REGULATION: A determination with respect to candidacy is a type of eligibility determination because title IV-E funds are expended as the result of a determination with respect to a child's status. The regulations at 45 CFR 205.100 require that officials of the title IV-E agency perform administrative functions that require the exercise of discretion. Under long-standing Departmental policy that originates with the 1939 amendments to the Social Security Act, the determination of an individual's eligibility for a Federal entitlement is considered a function that requires the exercise of discretion. Accordingly, determinations with respect to foster care candidacy must be made by employees of the title IV-E agency, or of another public agency that has entered into an agreement with the title IV-E agency pursuant to section 472(a)(2) of the Act. We are aware that some States and Tribes with an approved title IV-E plan contract with consultants to assist in identifying children in the foster care caseload who may be eligible for title IV-E. These contractors are not employees of the title IV-E agency and may not make determinations with respect to title IV-E eligibility or foster care candidacy. The same holds true for the contractors of public agencies that enter into title IV-E agreements pursuant to section 472(a)(2) of the Act. Only employees of the public agency are authorized to make the determination of title IV-E eligibility and/or foster care candidacy.

DEPARTMENTAL POLICY: The three acceptable forms of documentation that establish a child's candidacy for title IV-E foster care maintenance payments that the title IV-E agency must make the determination with respect to candidacy:

1) A defined case plan which clearly indicates that, absent effective preventative services, foster care is the planned arrangement for the child.

The DAB, in Decision No. 844, ruled that the development of a case plan is a title IV-E administrative function that may be performed on behalf of candidates in accordance with section 471(a)(16) of the Act. The case plan identified above is thus the title IV-E agency's case plan developed in compliance with section 471(a)(16) of the Act.

2) An eligibility determination form which has been completed to establish the child's eligibility under title IV-E.

As stated earlier, only employees of the title IV-E agency can make the determination with respect to candidacy because it is a type of eligibility determination. The form referenced above is thus the title IV-E agency's documentation of the child's eligibility for title IV-E foster care maintenance payments.

3) Evidence of court proceedings in relation to the removal of the child from the home, in the form of a petition to the court, a court order or a transcript of the court proceedings.

A candidate is a child for whom the title IV-E agency is either seeking a removal or fulfilling the statutory requirement to attempt to prevent removal from the home. Among other things, the title IV-E agency is required to obtain a judicial determination sanctioning or approving such an attempt to prevent removal with respect to reasonable efforts to qualify the child for title IV-E foster care maintenance payments. The judicial proceedings referenced above are those proceedings the title IV-E agency initiates to obtain the judicial determinations related to the removal of a child from home.

Source/Date
*ACYF-CB-PA-01-02 (7/3/01); (12/17/2019)
Legal and Related References
Social Security Act - sections 471(a)(16) 472(a) and (i) and 479B; 45 CFR 205.100; Departmental Appeals Board Decision No. 844

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12/17/2019 - 12/17/2019
Question
Who must make the determination with respect to foster care candidacy?
Answer
*The title IV-E agency (or another public agency that has entered into an agreement with the title IV-E agency pursuant to section 472(a)(2) of the Social Security Act (the Act)) must determine whether a child is a candidate. The basis for this clarification is set forth in regulation and Departmental policy:

REGULATION: A determination with respect to candidacy is a type of eligibility determination because title IV-E funds are expended as the result of a determination with respect to a child''s status. The regulations at 45 CFR 205.100 require that officials of the title IV-E agency perform administrative functions that require the exercise of discretion. Under long-standing Departmental policy that originates with the 1939 amendments to the Social Security Act, the determination of an individual''s eligibility for a Federal entitlement is considered a function that requires the exercise of discretion. Accordingly, determinations with respect to foster care candidacy must be made by employees of the title IV-E agency, or of another public agency that has entered into an agreement with the title IV-E agency pursuant to section 472(a)(2) of the Act. We are aware that some States and Tribes with an approved title IV-E plan contract with consultants to assist in identifying children in the foster care caseload who may be eligible for title IV-E. These contractors are not employees of the title IV-E agency and may not make determinations with respect to title IV-E eligibility or foster care candidacy. The same holds true for the contractors of public agencies that enter into title IV-E agreements pursuant to section 472(a)(2) of the Act. Only employees of the public agency are authorized to make the determination of title IV-E eligibility and/or foster care candidacy.

DEPARTMENTAL POLICY: The three acceptable forms of documentation that establish a child''s candidacy for title IV-E foster care maintenance payments that the title IV-E agency must make the determination with respect to candidacy:

1) A defined case plan which clearly indicates that, absent effective preventative services, foster care is the planned arrangement for the child.

The DAB, in Decision No. 844, ruled that the development of a case plan is a title IV-E administrative function that may be performed on behalf of candidates in accordance with section 471(a)(16) of the Act. The case plan identified above is thus the title IV-E agency''s case plan developed in compliance with section 471(a)(16) of the Act.

2) An eligibility determination form which has been completed to establish the child''s eligibility under title IV-E.

As stated earlier, only employees of the title IV-E agency can make the determination with respect to candidacy because it is a type of eligibility determination. The form referenced above is thus the title IV-E agency''s documentation of the child''s eligibility for title IV-E foster care maintenance payments.

3) Evidence of court proceedings in relation to the removal of the child from the home, in the form of a petition to the court, a court order or a transcript of the court proceedings.

A candidate is a child for whom the title IV-E agency is either seeking a removal or fulfilling the statutory requirement to attempt to prevent removal from the home. Among other things, the title IV-E agency is required to obtain a judicial determination sanctioning or approving such an attempt to prevent removal with respect to reasonable efforts to qualify the child for title IV-E foster care maintenance payments. The judicial proceedings referenced above are those proceedings the title IV-E agency initiates to obtain the judicial determinations related to the removal of a child from home.

Source/Date
*ACYF-CB-PA-01-02 (7/3/01); 12/17/19
Legal and Related References
*Social Security Act - sections 471(a)(16) 472(a) and (i) and 479B; 45 CFR 205.100; Departmental Appeals Board Decision No. 844

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07/29/2001 - 12/17/2019 (Original Record)
Question
Who must make the determination with respect to foster care candidacy?
Answer
The State agency (or another public agency that has entered into an agreement with the State title IV-E agency pursuant to section 472(a)(2) of the Social Security Act (the Act)) must determine whether a child is a candidate. The basis for this clarification is set forth in regulation and Departmental policy:

REGULATION: A determination with respect to candidacy is a type of eligibility determination because title IV-E funds are expended as the result of a determination with respect to a child''s status. The regulations at 45 CFR 205.100 require that officials of the State agency perform administrative functions that require the exercise of discretion. Under long-standing Departmental policy that originates with the 1939 amendments to the Social Security Act, the determination of an individual''s eligibility for a Federal entitlement is considered a function that requires the exercise of discretion. Accordingly, determinations with respect to foster care candidacy must be made by employees of the State agency, or of another public agency that has entered into an agreement with the State agency pursuant to section 472(a)(2) of the Act. We are aware that some States contract with consultants to assist in identifying children in the foster care caseload who may be eligible for title IV-E. These contractors are not employees of the State agency and may not make determinations with respect to title IV-E eligibility or foster care candidacy. The same holds true for the contractors of public agencies that enter into title IV-E agreements pursuant to section 472(a)(2) of the Act. Only employees of the public agency are authorized to make the determination of title IV-E eligibility and/or foster care candidacy.

DEPARTMENTAL POLICY: The three acceptable forms of documentation that establish a child''s candidacy for title IV-E support that the State agency must make the determination with respect to candidacy:

1) A defined case plan which clearly indicates that, absent effective preventative services, foster care is the planned arrangement for the child.

The DAB, in Decision No. 844, ruled that the development of a case plan is a title IV-E administrative function that may be performed on behalf of candidates in accordance with section 471(a)(16) of the Act. The case plan identified above is thus the State agency''s case plan developed in compliance with section 471(a)(16) of the Act.

2) An eligibility determination form which has been completed to establish the child''s eligibility under title IV-E.

As stated earlier, only employees of the State agency can make the determination with respect to candidacy because it is a type of eligibility determination. The form referenced above is thus the State agency''s documentation of the child''s eligibility for title IV-E.

3) Evidence of court proceedings in relation to the removal of the child from the home, in the form of a petition to the court, a court order or a transcript of the court proceedings.

A candidate is a child for whom the State agency is either seeking a removal or fulfilling the statutory requirement to attempt to prevent removal from the home. Among other things, the State agency is required to obtain a judicial determination sanctioning or approving such an attempt to prevent removal with respect to reasonable efforts to qualify the child for title IV-E foster care maintenance payments. The judicial proceedings referenced above are those proceedings the State agency initiates to obtain the judicial determinations related to the removal of a child from home.

Source/Date
ACYF-CB-PA-01-02 (7/3/01)
Legal and Related References
Social Security Act - section 472(a); 45 CFR 205.100; Departmental Appeals Board Decision No. 844

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Question Number 7:
12/17/2019 - Current
Question
Are children placed in facilities that are outside the scope of what is considered title IV-E foster care candidates for the purpose of claiming title IV-E administrative costs?
Answer
No. A child who has been removed from his/her home is not a candidate for foster care. Moreover, title IV-E agencies should note that, in accordance with long-standing Departmental policy, title IV-E administrative costs cannot be claimed on behalf of a child who is placed in a facility that is not a foster care facility, even if the title IV-E agency intends to place such child in foster care at a later date. Facilities that are outside the scope of foster care include, but are not limited to: detention facilities; psychiatric hospitals; forestry camps; or facilities that are primarily for the detention of children who are adjudicated delinquent.
Source/Date
*ACYF-CB-PIQ-85-06 (4/12/85); ACYF-CB-PA-01-02 (7/3/01); (12/17/2019)
Legal and Related References
Social Security Act - sections 472(c)(2) and (i), and 479B

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12/17/2019 - 12/17/2019
Question
*Are children placed in facilities that are outside the scope of what is considered title IV-E foster care candidates for the purpose of claiming title IV-E administrative costs?
Answer
*No. A child who has been removed from his/her home is not a candidate for foster care. Moreover, title IV-E agencies should note that, in accordance with long-standing Departmental policy, title IV-E administrative costs cannot be claimed on behalf of a child who is placed in a facility that is not a foster care facility, even if the title IV-E agency intends to place such child in foster care at a later date. Facilities that are outside the scope of foster care include, but are not limited to: detention facilities; psychiatric hospitals; forestry camps; or facilities that are primarily for the detention of children who are adjudicated delinquent.
Source/Date
*ACYF-CB-PIQ-85-06 (4/12/85); ACYF-CB-PA-01-02 (7/3/01); 12/17/19
Legal and Related References
*Social Security Act - sections 472(c)(2) and (i), and 479B

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07/29/2001 - 12/17/2019 (Original Record)
Question
Are children placed in facilities that are outside the scope of what is considered foster care candidates for the purpose of claiming title IV-E administrative costs?
Answer
No. A child who has been removed from his/her home is not a candidate for foster care. Moreover, States should note that, in accordance with long-standing Departmental policy, title IV-E administrative costs cannot be claimed on behalf of a child who is placed in a facility that is not a foster care facility, even if the State intends to place such child in foster care at a later date. Facilities that are outside the scope of foster care include, but are not limited to: detention facilities; psychiatric hospitals; forestry camps; or facilities that are primarily for the detention of children who are adjudicated delinquent.
Source/Date
ACYF-CB-PIQ-85-06 (4/12/85); ACYF-CB-PA-01-02 (7/3/01)
Legal and Related References
Social Security Act - section 472 (c)(2)

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Question Number 8:
12/17/2019 - Current
Question
What constitutes a case plan for the purposes of documenting a child's candidacy for foster care?
Answer
The development of a case plan in compliance with sections 471(a)(16) of the Social Security Act (the Act) is an allowable title IV-E function performed on behalf of candidates for foster care. The requirements for case plans developed pursuant to section 471(a)(16) of the Act are set forth in regulation at 45 CFR 1356.21(g). The provisions at 45 CFR 1356.21(g) are, therefore, to the extent that they are applicable to pre-placement, controlling with respect to case plans used to document candidacy for foster care. Specifically, the provisions at 45 CFR 1356.21(g)(1) and (4) apply. The case plan used to document a child's candidacy for foster care must be a written document that is developed jointly with the parent(s) or guardian of the child and include a description of the services offered and provided to prevent removal of the child from the home. In addition, the title IV-E agency must document, in said plan, that the goal for the child is foster care if the services described in the plan are not effective.

Adherences to the regulatory case plan provisions increase the likelihood that the plan will be effective, either in preventing or pursuing the removal of the child from the home. Nonetheless, title IV-E claims for administrative costs on behalf of candidates for foster care are not based on the completeness of the case plan. While we expect the case plan requirements that apply to a candidate to be met, the title IV-E agency may claim administrative costs in the month that it determines and documents a child is a candidate for title IV-E foster care consistent with section 472(i)(2) of the Act (see Section 8.1C QA #5 of the Child Welfare Policy Manual).

Source/Date
*8/16/02; 7/7/2006; (12/17/2019)
Legal and Related References
Social Security Act - sections 471(a)(16), 472(i), 475(1), and 479B; 45 CFR 1356.21(g); Departmental Appeals Board Decision No. 844 ; Child Welfare Policy Manual Section 8.1C QA #5; ACYF-CB-IM-06-02

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12/17/2019 - 12/17/2019
Question
What constitutes a case plan for the purposes of documenting a child's candidacy for foster care?
Answer
*The development of a case plan in compliance with sections 471(a)(16) of the Social Security Act (the Act) is an allowable title IV-E function performed on behalf of candidates for foster care. The requirements for case plans developed pursuant to section 471(a)(16) of the Act are set forth in regulation at 45 CFR 1356.21(g). The provisions at 45 CFR 1356.21(g) are, therefore, to the extent that they are applicable to pre-placement, controlling with respect to case plans used to document candidacy for foster care. Specifically, the provisions at 45 CFR 1356.21(g)(1) and (4) apply. The case plan used to document a child''s candidacy for foster care must be a written document that is developed jointly with the parent(s) or guardian of the child and include a description of the services offered and provided to prevent removal of the child from the home. In addition, the title IV-E agency must document, in said plan, that the goal for the child is foster care if the services described in the plan are not effective.

Adherences to the regulatory case plan provisions increase the likelihood that the plan will be effective, either in preventing or pursuing the removal of the child from the home. Nonetheless, title IV-E claims for administrative costs on behalf of candidates for foster care are not based on the completeness of the case plan. While we expect the case plan requirements that apply to a candidate to be met, the title IV-E agency may claim administrative costs in the month that it determines and documents a child is a candidate for title IV-E foster care consistent with section 472(i)(2) of the Act (see Section 8.1C QA #5 of the Child Welfare Policy Manual).

Source/Date
*8/16/02; 7/7/2006; 12/17/19
Legal and Related References
*Social Security Act - sections 471(a)(16), 472(i), 475(1), and 479B; 45 CFR 1356.21(g); Departmental Appeals Board Decision No. 844 ; Child Welfare Policy Manual Section 8.1C QA #5; ACYF-CB-IM-06-02

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07/12/2006 - 12/17/2019
Question
What constitutes a case plan for the purposes of documenting a child's candidacy for foster care?
Answer
*The development of a case plan in compliance with sections 471(a)(16) of the Social Security Act (the Act) is an allowable title IV-E function performed on behalf of candidates for foster care. The requirements for case plans developed pursuant to section 471(a)(16) of the Act are set forth in regulation at 45 CFR 1356.21(g). The provisions at 45 CFR 1356.21(g) are, therefore, to the extent that they are applicable to pre-placement, controlling with respect to case plans used to document candidacy for foster care. Specifically, the provisions at 45 CFR 1356.21(g)(1) and (4) apply. The case plan used to document a child''s candidacy for foster care must be a written document that is developed jointly with the parent(s) or guardian of the child and include a description of the services offered and provided to prevent removal of the child from the home. In addition, the State must document, in said plan, that the goal for the child is foster care if the services described in the plan are not effective.

Adherences to the regulatory case plan provisions increase the likelihood that the plan will be effective, either in preventing or pursuing the removal of the child from the home. Nonetheless, State claims for administrative costs on behalf of candidates for foster care are not based on the completeness of the case plan. While we expect the case plan requirements that apply to a candidate to be met, the State may claim administrative costs in the month that it determines and documents a child is a candidate for foster care consistent with section 472(i)(2) of the Act (see Section 8.1C QA #5 of the Child Welfare Policy Manual).

Source/Date
*8/16/02; 7/7/2006
Legal and Related References
*Social Security Act -- Sections 471(a)(16) and 475(1) 45 CFR 1356.21(g); Departmental Appeals Board Decision No. 844 ; Child Welfare Policy Manual Section 8.1C QA #5; ACYF-CB-IM-06-02

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08/26/2002 - 07/12/2006 (Original Record)
Question
What constitutes a case plan for the purposes of documenting a child's candidacy for foster care?
Answer
The development of a case plan is an allowable title IV-E function performed on behalf of candidates for foster care pursuant to Departmental Appeals Board (DAB) Decision No. 844. In the aforementioned Decision, the Board found that, pursuant to section 471(a)(16) of the Social Security Act (the Act), a State could begin to develop a case plan prior to a child''s placement in foster care and claim the attendant title IV-E administrative funds. Pursuant to DAB No. 844, the case plan developed to document a child''s candidacy for foster care is the plan that the State agency develops in compliance with section 471(a)(16) of the Act.

The requirements for case plans developed pursuant to section 471(a)(16) of the Act are set forth in regulation at 45 CFR 1356.21(g). The provisions at 45 CFR 1356.21(g) are, therefore, to the extent that they are applicable to pre-placement, controlling with respect to case plans used to document candidacy for foster care. Specifically, the provisions at 45 CFR 1356.21(g)(1) and (4) apply. The case plan used to document a child''s candidacy for foster care must be a written document that is developed jointly with the parent(s) or guardian of the child and include a description of the services offered and provided to prevent removal of the child from the home. In addition, the State must document, in said plan, that the goal for the child is foster care if the services described in the plan are not effective.

Source/Date
8/16/02
Legal and Related References
Social Security Act -- Section 471(a)(16); 45 CFR 1356.21(g)

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Question Number 9:
12/17/2019 - Current
Question
The title IV-E agency is permitted to claim administrative costs for a candidate for foster care if a potentially title IV-E eligible child is at imminent risk of removal from the home and the title IV-E agency is either pursing the removal of the child from the home or providing reasonable efforts to prevent the removal in accordance with section 471(a)(15) of the Social Security Act (the Act). Section 472(i)(2) of the Act requires the title IV-E agency to redetermine that a candidate for foster care remains at imminent risk of removal at least every six months. What happens if the title IV-E agency does not complete this redetermination timely?
Answer
The statute is very specific that the title IV-E agency may claim administrative costs for a candidate for foster care only if the title IV-E agency is providing reasonable efforts in accordance with section 471(a)(15) of the Act or pursuing the removal of the child from the home and redetermines at least every six months that the child remains at imminent risk of removal from the home. Therefore, if the title IV-E agency does not make this determination at the six-month point, the title IV-E agency must cease claiming administrative costs on behalf of the child.
Source/Date
*8/7/2006; (12/17/2019)
Legal and Related References
Social Security Act - sections 471(a)(15), 472(i)(2), and 479B

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12/17/2019 - 12/17/2019
Question
*The title IV-E agency is permitted to claim administrative costs for a candidate for foster care if a potentially title IV-E eligible child is at imminent risk of removal from the home and the title IV-E agency is either pursing the removal of the child from the home or providing reasonable efforts to prevent the removal in accordance with section 471(a)(15) of the Social Security Act (the Act). Section 472(i)(2) of the Act requires the title IV-E agency to redetermine that a candidate for foster care remains at imminent risk of removal at least every six months. What happens if the title IV-E agency does not complete this redetermination timely?
Answer
*The statute is very specific that the title IV-E agency may claim administrative costs for a candidate for foster care only if the title IV-E agency is providing reasonable efforts in accordance with section 471(a)(15) of the Act or pursuing the removal of the child from the home and redetermines at least every six months that the child remains at imminent risk of removal from the home. Therefore, if the title IV-E agency does not make this determination at the six-month point, the title IV-E agency must cease claiming administrative costs on behalf of the child.
Source/Date
*8/7/2006; 12/17/19
Legal and Related References
*Social Security Act - sections 471(a)(15), 472(i)(2), and 479B

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08/16/2006 - 12/17/2019 (Original Record)
Question
The State is permitted to claim administrative costs for a candidate for foster care if a potentially title IV-E eligible child is at imminent risk of removal from the home and the State is either pursing the removal of the child from the home or providing reasonable efforts to prevent the removal in accordance with section 471(a)(15) of the Social Security Act (the Act). Section 472(i)(2) of the Act requires the State to redetermine that a candidate for foster care remains at imminent risk of removal at least every six months. What happens if the State does not complete this redetermination timely?
Answer
The statute is very specific that the State may claim administrative costs for a candidate for foster care only if the State is providing reasonable efforts in accordance with section 471(a)(15) of the Act or pursuing the removal of the child from the home and redetermines at least every six months that the child remains at imminent risk of removal from the home. Therefore, if the State does not make this determination at the six-month point, the State must cease claiming administrative costs on behalf of the child.
Source/Date
8/7/2006
Legal and Related References
Social Security Act - Section 472(i)(2)

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Question Number 10:
12/17/2019 - Current
Question
Section 472(i)(2) of the Social Security Act (the Act) describes a candidate for foster care as a child at "imminent" risk of removal. Does the title IV-E agency have to use the term "imminent risk" in the case plan to document a child's candidacy? Or, is it permissible for the title IV-E agency to document that the child is at "serious risk of removal" from the home to satisfy this requirement?
Answer
We consider the term "serious risk of removal" to be synonymous with "imminent risk of removal." As such, the title IV-E agency may use this term in the case plan to document a child's candidacy. The title IV-E agency also may use alternate descriptions that are equivalent to "imminent" or "serious risk of removal." In addition, the title IV-E agency must ensure that the child meets all other criteria in section 472(i)(2) of the Act and the Child Welfare Policy Manual at Section 8.1, to be a candidate for foster care.
Source/Date
*1/29/2007; (12/17/2019)
Legal and Related References
Social Security Act - sections 472(i)(2) and 479B

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12/17/2019 - 12/17/2019
Question
*Section 472(i)(2) of the Social Security Act (the Act) describes a candidate for foster care as a child at "imminent" risk of removal. Does the title IV-E agency have to use the term "imminent risk" in the case plan to document a child's candidacy? Or, is it permissible for the title IV-E agency to document that the child is at "serious risk of removal" from the home to satisfy this requirement?
Answer
*We consider the term "serious risk of removal" to be synonymous with "imminent risk of removal." As such, the title IV-E agency may use this term in the case plan to document a child''s candidacy. The title IV-E agency also may use alternate descriptions that are equivalent to "imminent" or "serious risk of removal." In addition, the title IV-E agency must ensure that the child meets all other criteria in section 472(i)(2) of the Act and the Child Welfare Policy Manual at Section 8.1, to be a candidate for foster care.
Source/Date
*1/29/2007; 12/17/19
Legal and Related References
*Social Security Act - sections 472(i)(2) and 479B

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02/02/2007 - 12/17/2019 (Original Record)
Question
Section 472(i)(2) of the Social Security Act (the Act) describes a candidate for foster care as a child at "imminent" risk of removal. Does the State have to use the term "imminent risk" in the case plan to document a child's candidacy? Or, is it permissible for the State to document that the child is at "serious risk of removal" from the home to satisfy this requirement?
Answer
We consider the term "serious risk of removal" to be synonymous with "imminent risk of removal." As such, the State may use this term in the case plan to document a child''s candidacy. The State also may use alternate descriptions that are equivalent to "imminent" or "serious risk of removal." In addition, the State must ensure that the child meets all other criteria in section 472(i)(2) of the Act and the Child Welfare Policy Manual at Section 8.1, to be a candidate for foster care.
Source/Date
1/29/2007
Legal and Related References
Social Security Act ¿ section 472(i)(2)

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Question Number 11:
12/17/2019 - Current
Question
In order for a child to be considered a foster care candidate for purposes of section 472(i)(2) of the Social Security Act (the Act), among other things, the title IV-E agency must have documented that the child is at imminent risk of removal from the home. Does the out of home placement for the child have to be a foster care setting?
Answer
Yes. Section 472(i)(2) of the Act explicitly states that, among other requirements, to be a candidate for foster care, a child has to be potentially eligible for title IV-E foster care benefits. Therefore, this means that the title IV-E agency has made a decision that the out of home placement for the child will be a foster care setting. A child is not a candidate for foster care when the planned out of home placement for the child is an arrangement outside of foster care, such as a detention facility.
Source/Date
*12/31/07; (12/17/2019)
Legal and Related References
Social Security Act - sections 472(i)(2) and 479B

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12/17/2019 - 12/17/2019
Question
*In order for a child to be considered a foster care candidate for purposes of section 472(i)(2) of the Social Security Act (the Act), among other things, the title IV-E agency must have documented that the child is at imminent risk of removal from the home. Does the out of home placement for the child have to be a foster care setting?
Answer
*Yes. Section 472(i)(2) of the Act explicitly states that, among other requirements, to be a candidate for foster care, a child has to be potentially eligible for title IV-E foster care benefits. Therefore, this means that the title IV-E agency has made a decision that the out of home placement for the child will be a foster care setting. A child is not a candidate for foster care when the planned out of home placement for the child is an arrangement outside of foster care, such as a detention facility.
Source/Date
*12/31/07; 12/17/19
Legal and Related References
*Social Security Act - sections 472(i)(2) and 479B

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12/31/2007 - 12/17/2019 (Original Record)
Question
In order for a child to be considered a foster care candidate for purposes of section 472(i)(2) of the Social Security Act (the Act), among other things, the State must have documented that the child is at imminent risk of removal from the home. Does the out of home placement for the child have to be a foster care setting?
Answer
Yes. Section 472(i)(2) of the Act explicitly states that, among other requirements, to be a candidate for foster care, a child has to be potentially eligible for title IV-E foster care benefits. Therefore, this means that the State has made a decision that the out of home placement for the child will be a foster care setting. A child is not a candidate for foster care when the planned out of home placement for the child is an arrangement outside of foster care, such as a detention facility.
Source/Date
12/31/07
Legal and Related References
Social Security Act ¿ section 472(i)(2)

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2.1A.3 CAPTA, Assurances and Requirements, Access to Child Abuse and Neglect Information, Open courts

Question Number 1:
04/17/2006 - Current
Question
*Would there be a conflict with the Child Abuse Prevention and Treatment Act (CAPTA) confidentiality requirements if a State chooses to open proceedings relating to child abuse and neglect to the public?
Answer
*No. The 2003 amendments to CAPTA specifically give States the flexibility to determine State policies with respect to open courts, so long as such policies ensure the safety and well-being of the child, parents and families (last paragraph of section 106(b)(2)). There may be other Federal confidentiality restrictions for the State to consider when implementing this CAPTA provision.
Source/Date
*ACYF-NCCAN-PIQ-97-01 (3/4/97); updated 3/22/06
Legal and Related References
*Child Abuse Prevention and Treatment Act (CAPTA), as amended (42 U.S.C. 5101 et seq.) - section 106(b)(2); Titles IV-E and IV-B of the Social Security Act

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08/07/2000 - 04/17/2006 (Original Record)
Question
Would there be a conflict with the CAPTA confidentiality requirements if a State chooses to open proceedings relating to child abuse and neglect to the public?
Answer
Juvenile courts were set up separately from adult court proceedings in order to have non-criminal civil proceedings that would create an environment to assist in family problem-solving while protecting the privacy rights of the child and family. The opening of these proceedings would not in itself be in conflict with the statute in that the statute requires confidentiality for "reports and records". However, to the extent that the proceedings involve CPS reports and records which are otherwise confidential, there would be a conflict unless there are provisions to maintain the confidentiality of these records vis-a-vis the public.
Source/Date
ACYF-NCCAN-PIQ-97-01 (3/4/97)
Legal and Related References
Child Abuse Prevention and Treatment Act (CAPTA), as amended (42 U.S.C. 5101 et seq.) - section 106

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8.3A.9b TITLE IV-E, Foster Care Maintenance Payments Program, Reasonable efforts, to prevent a removal

Question Number 1:
07/24/2006 - Current
Question
Does the initial "reasonable efforts to prevent removal" determination affect the child's initial eligibility for title IV-E foster care payments, or does this determination constitute FFP criteria for claiming foster care maintenance payments?
Answer
Pursuant to the regulations at section 1356.21(b) (1) (ii), judicial determinations regarding reasonable efforts to prevent removal must be made in accordance with the criteria and time frames specified therein, or the child is not eligible under the title IV-E foster care maintenance payments program for the duration of that stay in foster care.
Source/Date
Questions and Answers on the Final Rule (65 FR 4020) (1/25/00)
Legal and Related References
*Social Security Act - section 472 (a)(2)(A)(ii); 45 CFR 1356.21 (b)

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08/14/2000 - 07/24/2006 (Original Record)
Question
Does the initial "reasonable efforts to prevent removal" determination affect the child's initial eligibility for title IV-E foster care payments, or does this determination constitute FFP criteria for claiming foster care maintenance payments?
Answer
Pursuant to the regulations at section 1356.21(b) (1) (ii), judicial determinations regarding reasonable efforts to prevent removal must be made in accordance with the criteria and time frames specified therein, or the child is not eligible under the title IV-E foster care maintenance payments program for the duration of that stay in foster care.
Source/Date
Questions and Answers on the Final Rule (65 FR 4020) (1/25/00)
Legal and Related References
Social Security Act - section 472 (a); 45 CFR 1356.21 (b)

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Question Number 2:
03/02/2020 - Current
Question
When must the "reasonable efforts to prevent removal" criteria be met; in the initial court order that removes the child or 60 days from the date the child is removed?
Answer
*Pursuant to 45 CFR 1356.21(b)(1)(i), the title IV-E agency must obtain a judicial determination that it either made or was not required to make reasonable efforts to prevent a child's removal from the home no later than 60 days from the date the child was removed from the home. However, the title IV-E agency may obtain such a determination earlier than 60 days from the date of removal.
Source/Date
*Questions and Answers on the Final Rule (65 FR 4020) (1/25/00); (3/2/20)
Legal and Related References
*Social Security Act - section 471(a)(15) and 479B; 45 CFR 1356.21(b)

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08/14/2000 - 03/02/2020 (Original Record)
Question
When must the "reasonable efforts to prevent removal" criteria be met; in the initial court order that removes the child or 60 days from the date the child is removed?
Answer
Pursuant to 45 CFR 1356.21 (b)(1)(i), the State agency must obtain a judicial determination that it either made or was not required to make reasonable efforts to prevent a child''s removal from the home no later than 60 days from the date the child was removed from the home. However, the State agency may obtain such a determination earlier than 60 days from the date of removal.
Source/Date
Questions and Answers on the Final Rule (65 FR 4020) (1/25/00)
Legal and Related References
Social Security Act - section 471 (a)(15); 45 CFR 1356.21 (b)

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Question Number 3:
03/02/2020 - Current
Question
*Title IV-E eligibility for an entire foster care episode is prohibited if the reasonable efforts to prevent removal requirements are not satisfied. Please explain the rationale for this policy.
Answer
*The requirement for the title IV-E agency to make reasonable efforts to prevent removals is a fundamental protection under the Social Security Act and one of several criteria used in establishing title IV-E eligibility. From both a practice and an eligibility perspective, it is impossible for the title IV-E agency to provide efforts to prevent the removal of a child from home after the fact.

From a practice perspective, the removal of a child from the home, even temporarily, makes a profound impact on a family that cannot be undone. If the child is returned after services have been delivered, or even immediately, the title IV-E agency has reunified the family, not prevented a removal.

The statute requires that title IV-E eligibility be established at the time of a removal. If the title IV-E agency does not make reasonable efforts to prevent a removal or fails to obtain a judicial determination with respect to such efforts, the child can never become eligible for title IV-E funding for that entire foster care episode because there is no opportunity to establish eligibility at a later date.

Source/Date
*Preamble to the Final Rule (65 FR 4020) (1/25/00); (3/2/20)
Legal and Related References
*Social Security Act - section 472(a)(2) and 479B; 45 CFR 1356.21(b)(1)

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09/15/2000 - 03/02/2020 (Original Record)
Question
Title IV-E eligibility for an entire foster care episode is prohibited if the reasonable efforts to prevent removal requirements are not satisfied. Please explain the rationale for this policy.
Answer
The requirement for the State to make reasonable efforts to prevent removals is a fundamental protection under the Social Security Act and one of several criteria used in establishing title IV-E eligibility. From both a practice and an eligibility perspective, it is impossible for the State to provide efforts to prevent the removal of a child from home after the fact.

From a practice perspective, the removal of a child from the home, even temporarily, makes a profound impact on a family that cannot be undone. If the child is returned after services have been delivered, or even immediately, the State has reunified the family, not prevented a removal.

The statute requires that title IV-E eligibility be established at the time of a removal. If the State does not make reasonable efforts to prevent a removal or fails to obtain a judicial determination with respect to such efforts, the child can never become eligible for title IV-E funding for that entire foster care episode because there is no opportunity to establish eligibility at a later date.

Source/Date
Preamble to the Final Rule (65 FR 4020) (1/25/00)
Legal and Related References
45 CFR 1356.21 (b)(1)

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8.4B TITLE IV-E, General Title IV-E Requirements, Aliens/Immigrants

Question Number 2:
06/11/2013 - Current
Question
Are unaccompanied minor refugee children eligible for title IV-E payments for foster care?
Answer
*In order to be eligible for foster care payments under title IV-E any child must meet the requirements of section 406(a) or of section 407 of the Social Security Act (the Act) (as such sections were in effect on July 16, 1996) except for his removal from the home of a relative (specified in section 406(a)), in addition to meeting the other requirements found in section 472(a) of the Act. If a title IV-E agency is able to document that the child meets the requirements found in the Act, the unaccompanied minor refugee child is eligible for title IV-E payment, provided he/she is a qualified alien.

One of the major problems, however, is that because the child is unaccompanied, documentation is not ordinarily available to substantiate the child's age, financial need, and deprivation of parental support or care by reason of death of a parent, continued absence of the parent from the home, or physical or mental incapacity of a parent (45 CFR 233.90(c)).

In addition, the child must meet the requirements of section 472 (a) of the Act. These requirements include, for example, the existence of a voluntary placement agreement entered into by the child's parent or legal guardian or a judicial determination that continuation of the child in his home would be contrary to his welfare. Another requirement is that the child either received aid under section 402 of the Act (as in effect on July 16, 1996) in the month in which the agreement or judicial determination was made, or would have received aid in or for that month if an application had been made and the child had been living with a specified relative within six months prior to the month in which the agreement was made or the judicial proceeding was initiated.

Therefore, although the unaccompanied minor refugee child may clearly be in need of foster care upon his arrival in this country, he must also meet the eligibility requirements of title IV-E (section 472(a)) if Federal financial participation is claimed by the title IV-E agency. If it can be documented that he meets the requirements, then he would be eligible for title IV-E payments.

The circumstances of a refugee child who comes into the country with his family are different from the unaccompanied child in that the first child is "living with" his family. Assuming the degree of kinship is that cited in section 406(a) of the Act, this accompanied child could later become eligible for title IV-E foster care payments, if all criteria in section 472(a) are met and the documentation of age, need and deprivation can be reviewed in relation to the home (in the U.S.) from which he is removed.

Source/Date
*ACYF-CB-PIQ-83-07 (10/24/83); ACYF-CB-PIQ-99-01 (1/14/99) (revised 6/6/13)
Legal and Related References
Social Security Act - sections 406 (a), 407 (as in effect on July 16, 1996) and 472; 45 CFR 233.90

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07/24/2006 - 06/11/2013
Question
Are unaccompanied minor refugee children eligible for title IV-E payments for foster care?
Answer
*In order to be eligible for foster care payments under title IV-E any child must meet the requirements of section 406(a) or of section 407 of the Social Security Act (the Act) (as such sections were in effect on July 16, 1996) except for his removal from the home of a relative (specified in section 406(a)), in addition to meeting the other requirements found in section 472(a) of the Act. If a State is able to document that the child meets the requirements found in the Act, the unaccompanied minor refugee child is eligible for title IV-E payment, provided he/she is a qualified alien.

One of the major problems, however, is that because the child is unaccompanied, documentation is not ordinarily available to substantiate the child''s age, financial need, and deprivation of parental support or care by reason of death of a parent, continued absence of the parent from the home, or physical or mental incapacity of a parent (45 CFR 233.90(c)).

In addition, the child must meet the requirements of section 472 (a)( of the Act. These requirements include, for example, the existence of a voluntary placement agreement entered into by the child''s parent or legal guardian or a judicial determination that continuation of the child in his home would be contrary to his welfare. Another requirement is that the child either received aid under section 402 of the Act (as in effect on July 16, 1996) in the month in which the agreement or judicial determination was made, or would have received aid in or for that month if an application had been made and the child had been living with a specified relative within six months prior to the month in which the agreement was made or the judicial proceeding was initiated.

Therefore, although the unaccompanied minor refugee child may clearly be in need of foster care upon his arrival in this country, he must also meet the eligibility requirements of title IV-E (section 472(a)) if Federal financial participation is claimed by the State. If it can be documented that he meets the requirements, then he would be eligible for title IV-E payments.

The circumstances of a refugee child who comes into the country with his family are different from the unaccompanied child in that the first child is "living with" his family. Assuming the degree of kinship is that cited in section 406(a) of the Act, this accompanied child could later become eligible for title IV-E foster care payments, if all criteria in section 472(a) are met and the documentation of age, need and deprivation can be reviewed in relation to the home (in the U.S.) from which he is removed.

Source/Date
ACYF-CB-PIQ-83-07 (10/24/83); ACYF-CB-PIQ-99-01 (1/14/99)
Legal and Related References
Social Security Act - sections 406 (a), 407 (as in effect on July 16, 1996) and 472; 45 CFR 233.90

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09/15/2000 - 07/24/2006 (Original Record)
Question
Are unaccompanied minor refugee children eligible for title IV-E payments for foster care?
Answer
In order to be eligible for foster care payments under title IV-E any child must meet the requirements of section 406(a) or of section 407 of the Social Security Act (the Act) (as such sections were in effect on July 16, 1996) except for his removal from the home of a relative (specified in section 406(a)), in addition to meeting the other requirements found in section 472(a) of the Act. If a State is able to document that the child meets the requirements found in the Act, the unaccompanied minor refugee child is eligible for title IV-E payment, provided he/she is a qualified alien.

One of the major problems, however, is that because the child is unaccompanied, documentation is not ordinarily available to substantiate the child''s age, financial need, and deprivation of parental support or care by reason of death of a parent, continued absence of the parent from the home, or physical or mental incapacity of a parent (45 CFR 233.90(c)).

In addition, the child must meet the requirements of section 472 (a)(1) through (4) of the Act. These requirements include, for example, the existence of a voluntary placement agreement entered into by the child''s parent or legal guardian or a judicial determination that continuation of the child in his home would be contrary to his welfare. Another requirement is that the child either received aid under section 402 of the Act (as in effect on July 16, 1996) in the month in which the agreement or judicial determination was made, or would have received aid in or for that month if an application had been made and the child had been living with a specified relative within six months prior to the month in which the agreement was made or the judical proceeding was initiated.

Therefore, although the unaccompanied minor refugee child may clearly be in need of foster care upon his arrival in this country, he must also meet the eligibility requirements of title IV-E (section 472(a)) if Federal financial participation is claimed by the State. If it can be documented that he meets the requirements, then he would be eligible for title IV-E payments.

The circumstances of a refugee child who comes into the country with his family are different from the unaccompanied child in that the first child is "living with" his family. Assuming the degree of kinship is that cited in section 406(a) of the Act, this accompanied child could later become eligible for title IV-E foster care payments, if all criteria in section 472(a) are met and the documentation of age, need and deprivation can be reviewed in relation to the home (in the U.S.) from which he is removed.

Source/Date
ACYF-CB-PIQ-83-07 (10/24/83); ACYF-CB-PIQ-99-01 (1/14/99)
Legal and Related References
Social Security Act - sections 406 (a), 407 (as in effect on July 16, 1996) and 472; 45 CFR 233.90

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Question Number 3:
06/11/2013 - Current
Question
It is our understanding that qualified aliens, regardless of whether they entered the United States before or after the date of enactment of the Personal Responsibility and Work Opportunity Reconciliation Act (PRWORA), August 22, 1996, are eligible for Federal foster care maintenance and adoption assistance payments. Is this a correct interpretation?
Answer
*Not entirely. If the child is a qualified alien who is placed with a qualified alien or United States citizen, the date the child entered the United States is irrelevant. However, if the child is a qualified alien who entered the United States on or after August 22, 1996 and is placed with an unqualified alien, the child would be subject to the five-year residency requirement for Federal means-tested public benefits at section 403(a) of PRWORA unless the child is in one of the excepted groups identified at section 403(b). As a general matter, we do not expect these situations to arise very often. In the event such situations do arise, State, Tribal or local funds may be used to support these children.
Source/Date
*ACYF-CB-PIQ-99-01 (1/14/99) (revised 6/6/13)
Legal and Related References
Social Security Act- sections 472(a)(4) and 473(a)(2)(B); The Personal Responsibility and Work Opportunity Reconciliation Act of 1996 (PL 104-193)

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07/24/2006 - 06/11/2013
Question
It is our understanding that qualified aliens, regardless of whether they entered the United States before or after the date of enactment of the Personal Responsibility and Work Opportunity Reconciliation Act (PRWORA), August 22, 1996, are eligible for Federal foster care maintenance and adoption assistance payments. Is this a correct interpretation?
Answer
Not entirely. If the child is a qualified alien who is placed with a qualified alien or United States citizen, the date the child entered the United States is irrelevant. However, if the child is a qualified alien who entered the United States on or after August 22, 1996 and is placed with an unqualified alien, the child would be subject to the five-year residency requirement for Federal means-tested public benefits at section 403(a) of PRWORA unless the child is in one of the excepted groups identified at section 403(b). As a general matter, we do not expect these situations to arise very often. In the event such situations do arise, State or local funds may be used to support these children.
Source/Date
ACYF-CB-PIQ-99-01 (1/14/99)
Legal and Related References
*Social Security Act- sections 472(a)(4) and 473(a)(2)(B); The Personal Responsibility and Work Opportunity Reconciliation Act of 1996 (PL 104-193)

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05/06/2001 - 07/24/2006 (Original Record)
Question
It is our understanding that qualified aliens, regardless of whether they entered the United States before or after the date of enactment of the Personal Responsibility and Work Opportunity Reconciliation Act (PRWORA), August 22, 1996, are eligible for Federal foster care maintenance and adoption assistance payments. Is this a correct interpretation?
Answer
Not entirely. If the child is a qualified alien who is placed with a qualified alien or United States citizen, the date the child entered the United States is irrelevant. However, if the child is a qualified alien who entered the United States on or after August 22, 1996 and is placed with an unqualified alien, the child would be subject to the five-year residency requirement for Federal means-tested public benefits at section 403(a) of PRWORA unless the child is in one of the excepted groups identified at section 403(b). As a general matter, we do not expect these situations to arise very often. In the event such situations do arise, State or local funds may be used to support these children.
Source/Date
ACYF-CB-PIQ-99-01 (1/14/99)
Legal and Related References
The Personal Responsibility and Work Opportunity Reconciliation Act of 1996 (PL 104-193)

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Question Number 4:
06/11/2013 - Current
Question
Does the welfare reform legislation concerning benefits for immigrants/aliens have any impact on title IV-E eligibility for legal aliens, persons permanently residing under color of law (PRUCOL), etc.?
Answer
*Yes. Alien children must be qualified aliens in order to be eligible for title IV-E payments and independent living services. Not all legal aliens or aliens with PRUCOL status necessarily meet the criteria for qualified alien status.
Source/Date
*ACYF-CB-PIQ-99-01 (1/14/99) (revised 6/6/13)
Legal and Related References
*Social Security Act- sections 472(a)(4), 473(a)(2)(B) and 473(d); The Personal Responsibility and Work Opportunity Reconciliation Act of 1996 (PL 104-193)

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07/24/2006 - 06/11/2013
Question
Does the welfare reform legislation concerning benefits for immigrants/aliens have any impact on title IV-E eligibility for legal aliens, persons permanently residing under color of law (PRUCOL), etc.?
Answer
Yes. Alien children must be qualified aliens in order to be eligible for Federal foster care maintenance and adoption assistance payments and independent living services. Not all legal aliens or aliens with PRUCOL status necessarily meet the criteria for qualified alien status.
Source/Date
ACYF-CB-PIQ-99-01 (1/14/99)
Legal and Related References
*Social Security Act- section 472(a)(4)and 473(a)(2)(B); The Personal Responsibility and Work Opportunity Reconciliation Act of 1996 (PL 104-193)

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05/06/2001 - 07/24/2006 (Original Record)
Question
Does the welfare reform legislation concerning benefits for immigrants/aliens have any impact on title IV-E eligibility for legal aliens, persons permanently residing under color of law (PRUCOL), etc.?
Answer
Yes. Alien children must be qualified aliens in order to be eligible for Federal foster care maintenance and adoption assistance payments and independent living services. Not all legal aliens or aliens with PRUCOL status necessarily meet the criteria for qualified alien status.
Source/Date
ACYF-CB-PIQ-99-01 (1/14/99)
Legal and Related References
The Personal Responsibility and Work Opportunity Reconciliation Act of 1996 (PL 104-193)

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Question Number 5:
06/11/2013 - Current
Question
Does title IV of the Personal Responsibility and Work Opportunity Reconciliation Act (PRWORA) supersede the provision in section 472(a) of the Social Security Act (the Act) which affords title IV-E eligibility to certain alien children who would be otherwise eligible for title IV-E but for their disqualification for the Aid to Families with Dependent Children (AFDC) program due to their alien status?
Answer
*Yes. Title IV-E agencies must follow the rule in PRWORA section 401(a) that: "(n)otwithstanding any other provision of law ... an alien who is not a qualified alien ... is not eligible for any Federal public benefit..."
Source/Date
*ACYF-CB-PIQ-99-01 (1/14/99) (revised 6/6/13)
Legal and Related References
Social Security Act - section 472 (a); tThe Personal Responsibility and Work Opportunity Reconciliation Act of 1996 (PL 104-193)

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05/06/2001 - 06/11/2013 (Original Record)
Question
Does title IV of the Personal Responsibility and Work Opportunity Reconciliation Act (PRWORA) supersede the provision in section 472(a) of the Social Security Act (the Act) which affords title IV-E eligibility to certain alien children who would be otherwise eligible for title IV-E but for their disqualification for the Aid to Families with Dependent Children (AFDC) program due to their alien status?
Answer
Yes. States must follow the rule in PRWORA section 401(a) that: "(n)otwithstanding any other provision of law ... an alien who is not a qualified alien ... is not eligible for any Federal public benefit..."
Source/Date
ACYF-CB-PIQ-99-01 (1/14/99)
Legal and Related References
Social Security Act - section 472 (a); tThe Personal Responsibility and Work Opportunity Reconciliation Act of 1996 (PL 104-193)

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Question Number 6:
03/27/2020 - Current
Question
*Section 108(d) of the Personal Responsibility and Work Opportunity Reconciliation Act (PRWORA) (as amended by the Balanced Budget Act of 1997, P.L. 105-33) links eligibility for Federal foster care and adoption assistance to the Aid to Families with Dependent Children (AFDC) program as it was in effect on July 16, 1996. Section 401(a) of PRWORA limits Federal public benefits to "qualified aliens." The term "qualified alien" was not defined or in use on July 16, 1996. How are title IV-E agencies to apply these two provisions?
Answer
*Alien children must be eligible for AFDC under a State's July 16, 1996 plan and must also meet the PRWORA definition of "qualified alien" to be eligible for title IV-E foster care maintenance or adoption assistance.
Source/Date
*ACYF-CB-PIQ-99-01 (1/14/99) (revised 6/6/13; 3/27/20)
Legal and Related References
*Social Security Act - sections 472(a)(4) and 473(a)(2)(B); The Personal Responsibility and Work Opportunity Reconciliation Act of 1996 (PL 104-193); Balanced Budget Act of 1997 (PL 105-33)

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06/11/2013 - 03/27/2020
Question
*Section 108 (d) of the Personal Responsibility and Work Opportunity Reconciliation Act (PRWORA) (as amended by the Balanced Budget Act of 1997, P.L. 105-33) links eligibility for Federal foster care and adoption assistance to the Aid to Families with Dependent Children (AFDC) program as it was in effect on July 16, 1996. Section 401(a) of PRWORA limits Federal public benefits to "qualified aliens." The term "qualified alien" was not defined or in use on July 16, 1996. How are title IV-E agencies to apply these two provisions?
Answer
Alien children must be eligible for AFDC under a State''s July 16, 1996 plan and must also meet the PRWORA definition of "qualified alien" to be eligible for Federal foster care maintenance or adoption assistance (except that children receiving adoption assistance pursuant to agreements signed before August 22, 1996 may continue to receive such assistance).
Source/Date
*ACYF-CB-PIQ-99-01 (1/14/99) (revised 6/6/13)
Legal and Related References
Social Security Act - Title IV-E; The Personal Responsibility and Work Opportunity Reconciliation Act of 1996 (PL 104-193)

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05/06/2001 - 06/11/2013 (Original Record)
Question
Section 108 (d) of the Personal Responsibility and Work Opportunity Reconciliation Act (PRWORA) (as amended by the Balanced Budget Act of 1997, P.L. 105-33) links eligibility for Federal foster care and adoption assistance to the Aid to Families with Dependent Children (AFDC) program as it was in effect on July 16, 1996. Section 401(a) of PRWORA limits Federal public benefits to "qualified aliens." The term "qualified alien" was not defined or in use on July 16, 1996. How are States to apply these two provisions?
Answer
Alien children must be eligible for AFDC under a State''s July 16, 1996 plan and must also meet the PRWORA definition of "qualified alien" to be eligible for Federal foster care maintenance or adoption assistance (except that children receiving adoption assistance pursuant to agreements signed before August 22, 1996 may continue to receive such assistance).
Source/Date
ACYF-CB-PIQ-99-01 (1/14/99)
Legal and Related References
Social Security Act - Title IV-E; The Personal Responsibility and Work Opportunity Reconciliation Act of 1996 (PL 104-193)

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Question Number 9:
06/14/2013 - Current
Question
*Are title IV-E agencies required to verify the citizenship or immigration status of individuals receiving services or payments under title IV-E?
Answer
Title IV-E agencies are required to verify the citizenship or immigration status of all children receiving Federal foster care maintenance payments, adoption assistance payments, or independent living services.

Title IV-E agencies are not required to verify the citizenship or alien status of foster or adoptive parents, with one exception. Title IV-E agencies must verify the citizenship or immigrant status of potential foster or adoptive parents when placing a qualified alien child who entered the United States on or after 8/22/96 and has been in the United States as a qualified alien for less than five years. In order to be exempt from the five year residency requirement imposed at section 403 of the Personal Responsibility and Work Opportunity Reconciliation Act, a qualified alien child must be placed with a citizen or a qualified alien; hence, citizenship/alien status of prospective foster or adoptive parents must be verified in such circumstances.

Source/Date
ACYF-CB-PIQ-99-01 (1/14/99) (revised 6/6/13)
Legal and Related References
Social Security Act - Title IV-E; The Personal Responsibility and Work Opportunity Reconciliation Act of 1996 (PL 104-193)

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06/11/2013 - 06/14/2013
Question
*Are title IV-E agencis required to verify the citizenship or immigration status of individuals receiving services or payments under title IV-E?
Answer
*Title IV-E agencies are required to verify the citizenship or immigration status of all children receiving Federal foster care maintenance payments, adoption assistance payments, or independent living services.

Title IV-E agencies are not required to verify the citizenship or alien status of foster or adoptive parents, with one exception. Title IV-E agencies must verify the citizenship or immigrant status of potential foster or adoptive parents when placing a qualified alien child who entered the United States on or after 8/22/96 and has been in the United States as a qualified alien for less than five years. In order to be exempt from the five year residency requirement imposed at section 403 of the Personal Responsibility and Work Opportunity Reconciliation Act, a qualified alien child must be placed with a citizen or a qualified alien; hence, citizenship/alien status of prospective foster or adoptive parents must be verified in such circumstances.

Source/Date
*ACYF-CB-PIQ-99-01 (1/14/99) (revised 6/6/13)
Legal and Related References
Social Security Act - Title IV-E; The Personal Responsibility and Work Opportunity Reconciliation Act of 1996 (PL 104-193)

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05/06/2001 - 06/11/2013 (Original Record)
Question
Are States required to verify the citizenship or immigration status of individuals receiving services or payments under title IV-E?
Answer
States are required to verify the citizenship or immigration status of all children receiving Federal foster care maintenance payments, adoption assistance payments, or independent living services.

States are not required to verify the citizenship or alien status of foster or adoptive parents, with one exception. States must verify the citizenship or immigrant status of potential foster or adoptive parents when placing a qualified alien child who entered the United States on or after 8/22/96 and has been in the United States as a qualified alien for less than five years. In order to be exempt from the five year residency requirement imposed at section 403 of the Personal Responsibility and Work Opportunity Reconciliation Act, a qualified alien child must be placed with a citizen or a qualified alien; hence, citizenship/alien status of prospective foster or adoptive parents must be verified in such circumstances.

Source/Date
ACYF-CB-PIQ-99-01 (1/14/99)
Legal and Related References
Social Security Act - Title IV-E; The Personal Responsibility and Work Opportunity Reconciliation Act of 1996 (PL 104-193)

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Question Number 10:
06/11/2013 - Current
Question
Can you explain section 472(a)(4) of the Social Security Act (the Act) and how it applies to Aid to Families with Dependent Children (AFDC) eligibility under title IV-E?
Answer
*Section 472(a)(4) of the Act is no longer applicable to the title IV-E program. This provision essentially "deemed" certain alien children who were "temporary" legal residents as eligible for AFDC, thereby granting them access to the title IV-E program if other eligibility requirements were met. This provision was made obsolete by title IV of the Personal Responsibility and Work Opportunity Reconciliation Act (PRWORA) of 1996 (Public Law 104-193). Under PRWORA, a child must be a qualified alien or a citizen in order to receive title IV-E payments. (See Child Welfare Policy Manual section 8.4B Q&A5 and 6).
Source/Date
*12/31/07 (revised 6/6/13)
Legal and Related References
Social Security Act ¿ section 472(a)(4), Personal Responsibility and Work Opportunity Reconciliation Act of 1996 (Public Law 104-193) ¿ section 401(a), Child Welfare Policy Manual section 8.4B Q&A5 and 6

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06/11/2013 - 06/11/2013
Question
Answer
java.lang.NullPointerException
Source/Date
Legal and Related References

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Question Number 12:
05/05/2011 - Current
Question
Section 471(a)(27) of the Social Security Act (the Act) requires title IV-E agencies to have in effect procedures for verifying the United States (U.S.) citizenship or immigration status of any child in foster care under the responsibility of the State or Tribe. When determining U.S. citizenship for a child in title IV-E foster care under the responsibility of the Tribe, may Federally recognized Tribes use Tribal enrollment cards to verify U.S. citizenship?
Answer
*No. A Tribal enrollment card alone is not sufficient to meet the citizenship verification requirement of section 471(a)(27) of the Act. As a general rule, Tribal membership itself does not speak to the citizenship of the individual. The "Interim Guidance on Verification of Citizenship, Qualified Alien Status ad Eligibility Under Title IV of the Personal Responsibility and Work Opportunity Reconciliation Act of 1996" published in the Federal Register on November 17, 1997 (62 FR 61344) by the Department of Justice should be used as guidance for verifying citizenship.
Source/Date
05/04/11
Legal and Related References
Social Security Act ¿ section 471(a)(27); 62 FR 61344

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05/05/2011 - 05/05/2011 (Original Record)
Question
Section 471(a)(27) of the Social Security Act (the Act) requires title IV-E agencies to have in effect procedures for verifying the United States (U.S.) citizenship or immigration status of any child in foster care under the responsibility of the State or Tribe. When determining U.S. citizenship for a child in title IV-E foster care under the responsibility of the Tribe, may Federally recognized Tribes use Tribal enrollment cards to verify U.S. citizenship?
Answer
No. A Tribal enrollment card alone is not sufficient to meet the citizenship verification requirement of section 471(a)(27) of the Act. As a general rule, Tribal membership itself does not speak to the citizenship of the individual. The ?Interim Guidance on Verification of Citizenship, Qualified Alien Status ad Eligibility Under Title IV of the Personal Responsibility and Work Opportunity Reconciliation Act of 1996? published in the Federal Register on November 17, 1997 (62 FR 61344) by the Department of Justice should be used as guidance for verifying citizenship.
Source/Date
05/04/11
Legal and Related References
Social Security Act ¿ section 471(a)(27); 62 FR 61344

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8.3A.9c TITLE IV-E, Foster Care Maintenance Payments Program, Reasonable Efforts, Qualifying Language in Court Orders

Question Number 1:
03/02/2020 - Current
Question
*Some States have begun to use qualifying language in court orders, which restricts the purpose of the reasonable efforts findings to title IV-E funding purposes only. For example, in one State, the court annotates its orders with the phrase "for Federal funding purposes only" in order to address parental concerns that the order is entered without prejudice. Another State proposes adding language to the court order that "the title IV-E judicial determination shall not be given any effect in subsequent court proceedings." Is the use of qualifiers to the judicial determination of reasonable efforts allowable under title IV-E?
Answer
*No. It is not permissible for a title IV-E agency to use such restrictive language in making the required judicial findings. When a judicial determination is qualified by language stating or implying that it has been made for the purpose of Federal funding only or that it has no precedential effect, then a bona fide judicial determination has not been made. An official notation that a finding is for a limited purpose only suggests that it must be "re-made" in order for it to become valid.

This policy is consistent with legislative history and was addressed in the preamble to the 2000 regulations, which quote S. Rep. No. 336, 96th Cong., 2d Sess. 16 (1980) and make the point that the required judicial determinations should not become "...a mere pro forma exercise in paper shuffling to obtain Federal funding..." (pg. 4056, 65 Fed. Reg.).

Court orders containing judicial determinations qualified by restrictive language such as that described above will not satisfy title IV-E eligibility requirements for Federal financial participation (FFP).

Source/Date
*7/6/05; (3/2/20)
Legal and Related References
*Social Security Act - Sections 471(a)(15)(B), 472(a)(2)(A)(ii), and 479B

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07/24/2006 - 03/02/2020
Question
Some States have begun to use qualifying language in court orders, which restricts the purpose of the reasonable efforts findings to title IV-E funding purposes only. For example, in one State, the court annotates its orders with the phrase "for Federal funding purposes only" in order to address parental concerns that the order is entered without prejudice. Another State proposes adding language to the court order that "the title IV-E judicial determination shall not be given any effect in subsequent court proceedings." Is the use of qualifiers to the judicial determination of reasonable efforts allowable under title IV-E?
Answer
To be eligible for title IV-E funding, a child must, among other things, be removed from the home of a relative as the result of a voluntary placement agreement or a judicial determination that continuation in the home would be contrary to the child''s welfare. The statute allows a six-month period of time during which the child can live with an interim caretaker, relative or non-relative, and still be eligible for title IV-E. Under prior policy, we interpreted the term "removal" to mean a physical removal. As a result, if the interim caretaker was a relative, and the State intended to remove custody from the parent but let the child remain with that interim caretaker relative, the child could not be eligible for title IV-E funding because the child was not physically removed from the home of a relative. This policy created a disincentive for relative placements. To remove this inequity between relative and non-relative caregivers, we now permit the removal of the child from the home, in this circumstance, to be a "constructive" (i.e., nonphysical, paper, or legal) removal.

We offer a summary of examples to clarify when a child would be eligible for title IV-E foster care pursuant to a constructive removal. These examples presume that the child is eligible for Aid to Families with Dependent Children (AFDC) in the home of the parent or other specified relative:

The child lived with either a related or non-related interim caretaker for less than six months prior to the State''s petition to the court for removal of the child. The State licenses the home as a foster family home and the child continues to reside in that home in foster care. The child is eligible for title IV-E foster care since s/he lived with the parent within six months of the State''s petition to the court, and was constructively removed from the parent (i.e., there was a paper removal of custody).

The child lived with either a related or non-related interim caretaker for more than six months prior to the State''s petition to the court. The State licenses the home as a foster family home and the child remains in that home in foster care. The child is ineligible for title IV-E foster care since s/he had not lived with the parent within six months of the State''s petition to the court, and was not removed from the home of a relative. (Although constructively removed, the child is ineligible for title IV-E because it had been more than six months since the child lived with the parent.)

The child lives with a related interim caretaker for seven months before the caretaker contacts the State to remove the child from his/her home. The agency petitions the court and the court removes the custody from the parents and physically removes the child from the home of the interim related caretaker. The child would not be eligible for title IV-E foster care since s/he had not lived with the parent or other specified relative from whom there was a constructive removal within six months of the initiation of court proceedings. (Although the child was physically removed from the home of the related interim caretaker, that removal cannot be used to determine title IV-E eligibility since the removal was not the result of a voluntary placement agreement or judicial determination, as required in section 472 (a)(2)(A) of the Act. Moreover, the child is ineligible for title IV-E because it had been more than six months since the child lived with the parent from whom s/he was removed.)

The child lived with a non-related interim caretaker for seven months before the caretaker asks the State to remove the child from his/her home and place in foster care. The child is ineligible for title IV-E foster care because s/he had not lived with a parent or specified relative within six months of the petition.

The child is in a three-generation household in which the mother leaves the home. The grandmother contacts the State agency four months later and the agency petitions the court within six months of the date the child lived with the mother in the home. The State licenses the grandmother''s home as a foster family home and the child continues to reside in the home in foster care. The child is eligible for title IV-E foster care since s/he lived with the parent within six months of the State''s petition to the court, and was constructively removed from the parent''s custody.

Source/Date
7/6/05
Legal and Related References
*Social Security Act -- Sections 471(a)(15)(B) and 472(a)(2)(A)(ii)

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07/12/2005 - 07/24/2006 (Original Record)
Question
Some States have begun to use qualifying language in court orders, which restricts the purpose of the reasonable efforts findings to title IV-E funding purposes only. For example, in one State, the court annotates its orders with the phrase "for Federal funding purposes only" in order to address parental concerns that the order is entered without prejudice. Another State proposes adding language to the court order that "the title IV-E judicial determination shall not be given any effect in subsequent court proceedings." Is the use of qualifiers to the judicial determination of reasonable efforts allowable under title IV-E?
Answer
No. It is not permissible for a State to use such restrictive language in making the required judicial findings. When a judicial determination is qualified by language stating or implying that it has been made for the purpose of Federal funding only or that it has no precedential effect, then a bona fide judicial determination has not been made. An official notation that a finding is for a limited purpose only suggests that it must be "re-made" in order for it to become valid.

This policy is consistent with legislative history and was addressed in the preamble to the 2000 regulations, which quote S. Rep. No. 336, 96th Cong., 2d Sess. 16 (1980) and make the point that the required judicial determinations should not become "...a mere pro forma exercise in paper shuffling to obtain Federal funding..." (pg. 4056, 65 Fed. Reg.).

Court orders containing judicial determinations qualified by restrictive language such as that described above will not satisfy title IV-E eligibility requirements for Federal financial participation (FFP).

Source/Date
7/6/05
Legal and Related References
Social Security Act -- Sections 471(a)(15)(B) and 472(a)(1)

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7.4 TITLE IV-B, Use of Funds

Question Number 1:
02/22/2007 - Current
Question
May States use title IV-B funds to pay for adoptive parents to attend adoption conferences?
Answer
*States may utilize title IV-B funds for purposes consistent with those specified in section 421 of the Social Security Act. This may include paying for the costs of adoptive parents' attendance at conferences which have training components or which include discussions of significant issues covering adoption and the needs of children.

Costs for adoptive parents to attend such conferences under title IV-B would be reimbursable at the 75% matching rate (section 424(a)).

The placement of children in adoptive homes when they cannot return to their biological family is an essential child welfare service. Today's emphasis on placing children with special needs in adoption poses many problems and needs for adoptive parents. By attending and participating in conferences which have training components related to adoption and discussions of adoption issues, adoptive parents may better learn how to deal with special problems and enhance their parenting skills by sharing experiences with others in similar circumstances. Active participation of adoptive parents in such conferences may result in improved adoption planning and policy development through their advisory relationships with public agencies, and thereby assist in extending and strengthening adoption services to children and adoptive parents.

Source/Date
ACYF-CB-PA-82-03 (10/14/82)
Legal and Related References
*Social Security Act - sections 421 and 424(a).

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08/14/2000 - 02/22/2007 (Original Record)
Question
May States use title IV-B funds to pay for adoptive parents to attend adoption conferences?
Answer
States may utilize title IV-B funds for the purposes of paying for the costs of adoptive parents'' attendance at conferences which have training components or which include discussions of significant issues covering adoption and the needs of children. Title IV-B includes in the definition of child welfare service those services which are directed toward placing children in suitable adoptive homes where restoration to the biological family is not possible or appropriate.

Costs for adoptive parents to attend such conferences under title IV-B would be reimbursable at the 75% matching rate (section 423 (a)).

The placement of children in adoptive homes when they cannot return to their biological family is an essential child welfare service. Today''s emphasis on placing children with special needs in adoption poses many problems and needs for adoptive parents. By attending and participating in conferences which have training components related to adoption and discussions of adoption issues, adoptive parents may better learn how to deal with special problems and enhance their parenting skills by sharing experiences with others in similar circumstances. Active participation of adoptive parents in such conferences may result in improved adoption planning and policy development through their advisory relationships with public agencies, and thereby assist in extending and strengthening adoption services to children and adoptive parents.

Source/Date
ACYF-CB-PA-82-03 (10/14/82)
Legal and Related References
Social Security Act - sections 423 (a), 425 (a)(1)(E)

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Question Number 2:
02/22/2007 - Current
Question
Is foster parent insurance allowable as an administrative cost under title IV-B?
Answer
*This cost may be claimed under title IV-B, but is included in the limitation on maintenance expenditures described in section 424(c)of the Act because "liability insurance" is not considered to be a service and is primarily related to foster care maintenance. However, States may select Insurance protection for foster parents as an activity to be funded under the Social Services Block Grant (amended title XX). The State chooses the title of the Social Security Act under which it will claim Federal financial participation (FFP) in the costs of insurance.

Some States include payment for insurance coverage in the monthly foster care payment to foster parents; others provide the protection through a group insurance policy or through the State's self-insuring procedures. Using self-insurance, the State may be able to provide broad coverage at low cost.

Source/Date
ACYF-CB-PIQ-82-04 (1/29/82)
Legal and Related References
*: Social Security Act - sections 424(a) and (c), 475 (4)

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10/01/2000 - 02/22/2007 (Original Record)
Question
Is foster parent insurance allowable as an administrative cost under title IV-B?
Answer
This cost may be claimed under title IV-B, but is included in the limitation on maintenance expenditures described in section 423 (c)(1) of the Act because "liability insurance" is not considered to be a service and is primarily related to foster care maintenance. However, States may select Insurance protection for foster parents as an activity to be funded under the Social Services Block Grant (amended title XX). The State chooses the title of the Social Security Act under which it will claim Federal financial participation (FFP) in the costs of insurance.

Some States include payment for insurance coverage in the monthly foster care payment to foster parents; others provide the protection through a group insurance policy or through the State''s self-insuring procedures. Using self-insurance, the State may be able to provide broad coverage at low cost.

Source/Date
ACYF-CB-PIQ-82-04 (1/29/82)
Legal and Related References
Social Security Act - sections 423 (a) and (c), 475 (4)

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Question Number 3:
02/22/2007 - Current
Question
*There appears to be no agreement between insurers on the meaning of "liability insurance". Is the interpretation to include coverage of damages to the home or property of the foster parents as well as coverage for harm done by the child to another party, or accidental harm done by the foster parents to the child?
Answer
*The terminology may be misleading, because foster parents are interested in more than "liability insurance". The correct interpretation includes coverage of damages to the home or property of the foster parents, as well as liability for harm done by the child to another party. In addition, protection against suit for possible malpractice or situations such as alienation of affection are often realistic concerns of persons who care for the children of others.

Several States have responded to these concerns by providing coverage for foster parents under a "pooled" liability program which provides in effect a self-insurance for departments of State government. Other States have legislated or otherwise defined foster parents as employees or as persons acting on behalf of the State, thus providing protection to those persons for claims made against them as agents of the State. Some States have purchased insurance coverage for foster parents, although the policies available often do not cover all of the risks incurred.

Source/Date
ACYF-CB-PIQ-82-04 (1/29/82)
Legal and Related References
*Social Security Act - section 424(a)

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10/01/2000 - 02/22/2007 (Original Record)
Question
There appears to be no agreement between insurers on the meaning of "liability insurance". Is the interpretation to include coverage of damages to the home or property of the foster parents as well as coverage for harm done by the child to another party, or accidental harm done by the foster parents to the child?
Answer
The terminology may be misleading, because foster parents are interested in more than "liability insurance". The correct interpretation includes coverage of damages to the home or property of the foster parents, as well as liability for harm done by the child to another party. In addition, protection against suit for possible malpractice or situations such as alienation of affection are often realistic concerns of persons who care for the children of others.

Several States have responded to these concerns by providing coverage for foster parents under a "pooled" liability program which provides in effect a self-insurance for departments of State government. Other States have legislated or otherwise defined foster parents as employees or as persons acting on behalf of the State, thus providing protection to those persons for claims made against them as agents of the State. Some States have purchased insurance coverage for foster parents, although the policies available often do not cover all of the risks incurred.

Source/Date
ACYF-CB-PIQ-82-04 (1/29/82)
Legal and Related References
Social Security Act - section 423 (a)

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Question Number 8:
11/29/2023 - Current
Question
May title IV-B, subparts 1 and 2 funds, including State or Tribal Court Improvement Program (CIP) funds, be used to pay the per diem, travel expenses, childcare, and compensation for external partners, including those with lived experience with the child welfare system, who are engaged by the agency or courts in the development of the five-year Child and Family Services Plan (CFSP) and Annual Progress and Services Reports (APSR), the Child and Family Services Review (CFSR) and program improvement plan (PIP), CIP Self-Assessment and Strategic Plans, or similar assessments/planning for CIP?
Answer
Yes. These funds may be used consistent with the program purposes (see sections 421, 430, and 438 of the Social Security Act and 45 CFR 1357.15(l)(3)(iv)). This includes paying for those costs for external partners who are engaged by the agency in the development of the CFSP and APSRs, participating in the CFSR/PIPs, and planning related to CIP. This also includes the individual’s participation in preparatory calls, webinars, or post-event activities. All costs must be consistent with the cost principles of 2 CFR Part 200 and 45 CFR Part 75, including that the costs must be reasonable and documented. See 45 CFR 75.459 and 2 CFR 200.459.
Source/Date
11/29/2023
Legal and Related References
*Social Security Act – Sections 421, 430, and 438, 45 CFR 1357.15(d)(1) and (l), CWPM §5.1 Q/A # 3, §8.1B Q/A #9, CWPM §3.3E Q/A # 4, 45 CFR 75.459 and 2 CFR 200.459

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11/29/2023 - 11/29/2023
Question
May title IV-B, subparts 1 and 2 funds, including State or Tribal Court Improvement Program (CIP) funds, be used to pay the per diem, travel expenses, childcare, and compensation for external partners, including those with lived experience with the child welfare system, who are engaged by the agency or courts in the development of the five-year Child and Family Services Plan (CFSP) and Annual Progress and Services Reports (APSR), the Child and Family Services Review (CFSR) and program improvement plan (PIP), CIP Self-Assessment and Strategic Plans, or similar assessments/planning for CIP?
Answer
Yes. These funds may be used consistent with the program purposes (see sections 421, 430, and 438 of the Social Security Act and 45 CFR 1357.15(l)(3)(iv)). This includes paying for those costs for external partners who are engaged by the agency in the development of the CFSP and APSRs, participating in the CFSR/PIPs, and planning related to CIP. This also includes the individual���s participation in preparatory calls, webinars, or post-event activities. All costs must be consistent with the cost principles of 2 CFR Part 200 and 45 CFR Part 75, including that the costs must be reasonable and documented. See 45 CFR 75.459 and 2 CFR 200.459.
Source/Date
11/29/2023
Legal and Related References
*Social Security Act – Sections 421, 430, and 438, 45 CFR 1357.15(d)(1) and (l), CWPM §5.1 Q/A # 3, §8.1B Q/A #9, CWPM §3.3E Q/A # 4

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11/29/2023 - 11/29/2023 (Original Record)
Question
May title IV-B, subparts 1 and 2 funds, including State or Tribal Court Improvement Program (CIP) funds, be used to pay the per diem, travel expenses, childcare, and compensation for external partners, including those with lived experience with the child welfare system, who are engaged by the agency or courts in the development of the five-year Child and Family Services Plan (CFSP) and Annual Progress and Services Reports (APSR), the Child and Family Services Review (CFSR) and program improvement plan (PIP), CIP Self-Assessment and Strategic Plans, or similar assessments/planning for CIP?
Answer
Yes. These funds may be used consistent with the program purposes (see sections 421, 430, and 438 of the Social Security Act and 45 CFR 1357.15(l)(3)(iv)). This includes paying for those costs for external partners who are engaged by the agency in the development of the CFSP and APSRs, participating in the CFSR/PIPs, and planning related to CIP. This also includes the individual���s participation in preparatory calls, webinars, or post-event activities. All costs must be consistent with the cost principles of 2 CFR Part 200 and 45 CFR Part 75, including that the costs must be reasonable and documented. See 45 CFR 75.459 and 2 CFR 200.459.
Source/Date
11/29/2023
Legal and Related References
Social Security Act – Sections 421, 430, and 438, 45 CFR 1357.15(d)(1) and (l), CWPM §5.1 Q/A # 3, §8.1B Q/A #9, NEW Q/A BELOW, 45 CFR 75.459 and 2 CFR 200.459.

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2.1I CAPTA, Assurances and Requirements, Referrals to IDEA, Part C

Question Number 1:
09/28/2011 - Current
Question
Must a State refer every child under the age of three in a substantiated case of child abuse or neglect to the Individuals with Disabilities Education Act (IDEA) Part C agency, or may the State first screen these children to determine whether such a referral is needed?
Answer
*The Child Abuse Prevention and Treatment Act (CAPTA) provision at section 106(b)(2)(B)(xxi) requires that States have provisions and procedures for the referral of children under the age of three who are involved in substantiated cases of child abuse or neglect to early intervention services funded by Part C of the Individual with Disabilities Act (IDEA). Part C of the IDEA, which was reauthorized on December 3, 2004 by Public Law 108-446, contains a provision very similar to the one in CAPTA. The Conference Report accompanying the IDEA legislation indicates that the conferees did not intend the IDEA provision to require every child under the age of three who is involved in a substantiated case of child abuse or neglect to receive an evaluation. Rather, the intention was that such children be screened to determine whether a referral to early intervention services is warranted (House Report 108-779, p. 241).

CAPTA does not specifically require that every child under the age of three who is involved in a substantiated case of child abuse or neglect must be referred to Part C services. Therefore, States have the discretion as to whether to refer every such child under the age of three for early intervention services, or to first employ a screening process to determine whether a referral is needed. We believe that this is consistent with the purpose of the provision, which is to assure that all children who have a substantiated case of child abuse or neglect will be given special attention to determine whether they need early intervention services and to assure referral when such services are warranted.

It is up to the State to determine how children referenced in section 106(b)(2)(B)(xxi) of CAPTA will be screened and, if appropriate, referred to the Part C early intervention program in the State. The IDEA regulations at 34 CFR 303.321(d) provide procedures for use by primary referral sources for referring a child to a Part C agency for evaluation and assessment or appropriate services. Under 34 CFR 303.321(d)(3) primary referral sources include hospitals, physicians and social service agencies, which can include the Child Protective Services (CPS) agency, as well as other sources. Some State CPS agencies are using other primary referral sources to assist in screening a child (after substantiation), while other State IDEA Part C programs are working with CPS agencies and training CPS social workers to conduct appropriate screenings. Both approaches meet the CAPTA requirements. There may be Federal confidentiality restrictions for the State to consider when implementing this CAPTA provision.

Source/Date
*updated 9/27/11
Legal and Related References
*Child Abuse Prevention and Treatment Act (CAPTA), as amended (42 U.S.C. 5101 et seq.) ¿ section 106(b)(2)(B)(xxi); Public Law 108-446; House Report 108-779, p. 241; 34 CFR 303.321(d).

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05/16/2006 - 09/28/2011 (Original Record)
Question
Must a State refer every child under the age of three in a substantiated case of child abuse or neglect to the Individuals with Disabilities Education Act (IDEA) Part C agency, or may the State first screen these children to determine whether such a referral is needed?
Answer
The Child Abuse Prevention and Treatment Act (CAPTA) provision at section 106(b)(2)(A)(xxi) requires that States have provisions and procedures for the referral of children under the age of three who are involved in substantiated cases of child abuse or neglect to early intervention services funded by Part C of the Individual with Disabilities Act (IDEA). Part C of the IDEA, which was reauthorized on December 3, 2004 by Public Law 108-446, contains a provision very similar to the one in CAPTA. The Conference Report accompanying the IDEA legislation indicates that the conferees did not intend the IDEA provision to require every child under the age of three who is involved in a substantiated case of child abuse or neglect to receive an evaluation. Rather, the intention was that such children be screened to determine whether a referral to early intervention services is warranted (House Report 108-779, p. 241).

CAPTA does not specifically require that every child under the age of three who is involved in a substantiated case of child abuse or neglect must be referred to Part C services. Therefore, States have the discretion as to whether to refer every such child under the age of three for early intervention services, or to first employ a screening process to determine whether a referral is needed. We believe that this is consistent with the purpose of the provision, which is to assure that all children who have a substantiated case of child abuse or neglect will be given special attention to determine whether they need early intervention services and to assure referral when such services are warranted.

It is up to the State to determine how children referenced in section 106(b)(2)(A)(xxi) of CAPTA will be screened and, if appropriate, referred to the Part C early intervention program in the State. The IDEA regulations at 45 CFR 303.321(d) provide procedures for use by primary referral sources for referring a child to a Part C agency for evaluation and assessment or appropriate services. Under 45 CFR 303.321(d)(3) primary referral sources include hospitals, physicians and social service agencies, which can include the Child Protective Services (CPS) agency, as well as other sources. Some State CPS agencies are using other primary referral sources to assist in screening a child (after substantiation), while other State IDEA Part C programs are working with CPS agencies and training CPS social workers to conduct appropriate screenings. Both approaches meet the CAPTA requirements. There may be Federal confidentiality restrictions for the State to consider when implementing this CAPTA provision.

Source/Date
05/02/06
Legal and Related References
Child Abuse Prevention and Treatment Act (CAPTA), as amended (42 U.S.C. 5101 et seq.) ¿ section 106(b)(2)(A)(xxi); Public Law 108-446; House Report 108-779, p. 241; 45 CFR 303.321(d).

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Question Number 2:
09/28/2011 - Current
Question
*Can the provision at section 106(b)(2)(B)(xxi) of the Child Abuse Prevention and Treatment Act (CAPTA), which requires referral of a child under the age of three who is involved in a substantiated case of child abuse or neglect to early intervention services, be read to mean that children who are wards of the State must be so referred?
Answer
*No. The statute specifically requires the State to refer children under the age of three who are involved in substantiated cases of child abuse and neglect to early intervention services funded under Part C of the Individuals with Disabilities Education Act (IDEA). Therefore, since many children who are involved in substantiated cases of child abuse and neglect never come into foster care, we cannot narrow the requirement to children who are wards of the State. There may be Federal confidentiality restrictions for the State to consider when implementing this CAPTA provision.
Source/Date
*updated 9/27/11
Legal and Related References
*Child Abuse Prevention and Treatment Act (CAPTA), as amended (42 U.S.C. 5101 et seq.) ¿ section 106(b)(2)(B)(xxi)

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05/16/2006 - 09/28/2011 (Original Record)
Question
Can the provision at section 106(b)(2)(A)(xxi) of the Child Abuse Prevention and Treatment Act (CAPTA), which requires referral of a child under the age of three who is involved in a substantiated case of child abuse or neglect to early intervention services, be read to mean that children who are wards of the State must be so referred?
Answer
No. The statute specifically requires the State to refer children under the age of three who are involved in substantiated cases of child abuse and neglect to early intervention services funded under Part C of the Individuals with Disabilities Education Act (IDEA). Therefore, since many children who are involved in substantiated cases of child abuse and neglect never come into foster care, we cannot narrow the requirement to children who are wards of the State. There may be Federal confidentiality restrictions for the State to consider when implementing this CAPTA provision.
Source/Date
05/02/06
Legal and Related References
Child Abuse Prevention and Treatment Act (CAPTA), as amended (42 U.S.C. 5101 et seq.) ¿ section 106(b)(2)(A)(xxi)

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Question Number 3:
09/28/2011 - Current
Question
*Does the "child" as mentioned in section 106(b)(2)(B)(xxi) of the Child Abuse Prevention and Treatment Act (CAPTA) include only those children under the age of three who are involved in a substantiated case of child abuse or neglect or does this include any child in the family or household who is under the age of three?
Answer
*CAPTA requires the State to refer any child under the age of three who is the subject of a substantiated case of child abuse or neglect to early intervention services under Part C of the Individuals with Disabilities Education Act. The State is not required to refer other children in the household under the CAPTA provision. However, we encourage States to refer all children who are suspected of having a disability and warranting a referral to early intervention services, taking into consideration Federal confidentiality restrictions when implementing this CAPTA provision.
Source/Date
*updated 9/27/11
Legal and Related References
*Child Abuse Prevention and Treatment Act (CAPTA), as amended (42 U.S.C. 5101 et seq.) ¿ section 106(b)(2)(B)(xxi).

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05/16/2006 - 09/28/2011 (Original Record)
Question
Does the "child" as mentioned in section 106(b)(2)(A)(xxi) of the Child Abuse Prevention and Treatment Act (CAPTA) include only those children under the age of three who are involved in a substantiated case of child abuse or neglect or does this include any child in the family or household who is under the age of three?
Answer
CAPTA requires the State to refer any child under the age of three who is the subject of a substantiated case of child abuse or neglect to early intervention services under Part C of the Individuals with Disabilities Education Act. The State is not required to refer other children in the household under the CAPTA provision. However, we encourage States to refer all children who are suspected of having a disability and warrant a referral to early intervention services, taking into consideration Federal confidentiality restrictions when implementing this CAPTA provision.
Source/Date
05/02/06
Legal and Related References
Child Abuse Prevention and Treatment Act (CAPTA), as amended (42 U.S.C. 5101 et seq.) ¿ section 106(b)(2)(A)(xxi).

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2.1G CAPTA, Assurances and Requirements, Triage

Question Number 1:
12/13/2011 - Current
Question
*Section 106(b)(2)(B)(v) of the Child Abuse Prevention and Treatment Act (CAPTA) requires the State to have triage procedures, including the use of differential response, for the appropriate referral of a child not at risk of imminent harm to a community organization or voluntary protective service. At what point must the State Child Protective Services (CPS) agency refer a child ¿ at the point there is a report of abuse or neglect on a child; at the point the child is screened out of CPS; or after the results of the investigation determine that there is no imminent risk of harm to the child?
Answer
*The statute does not prescribe a point in time in which a referral to a community organization must be made. Thus, the State has the flexibility to determine appropriate procedures for when and how to refer a child it determines is not at imminent risk to a community organization or voluntary protective services provider. There may be Federal confidentiality restrictions for the State to consider when implementing this CAPTA provision.
Source/Date
*05/02/06; updated 12/9/11
Legal and Related References
*Child Abuse Prevention and Treatment Act (CAPTA), as amended (42 U.S.C. 5101 et seq.) ¿ section 106(b)(2)(B)(v); Sections 1171 through 1179 of the Social Security Act; and 45 CFR Parts 160 and 164, Subpart E

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05/16/2006 - 12/13/2011 (Original Record)
Question
Section 106(b)(2)(A)(v) of the Child Abuse Prevention and Treatment Act (CAPTA) requires the State to have triage procedures for the appropriate referral of a child not at risk of imminent harm to a community organization or voluntary protective service. At what point must the State Child Protective Services (CPS) agency refer a child ¿ at the point there is a report of abuse or neglect on a child; at the point the child is screened out of CPS; or after the results of the investigation determine that there is no imminent risk of harm to the child?
Answer
The statute does not prescribe a point in time in which a referral to a community organization must be made. Thus, the State has the flexibility to determine appropriate procedures for when and how to refer a child it determines is not at imminent risk to a community organization or voluntary protective services provider. There may be Federal confidentiality restrictions for the State to consider when implementing this CAPTA provision.
Source/Date
05/02/06
Legal and Related References
Child Abuse Prevention and Treatment Act (CAPTA), as amended (42 U.S.C. 5101 et seq.) ¿ section 106(b)(2)(A)(v); Sections 1171 through 1179 of the Social Security Act; and 45 CFR Parts 160 and 164, Subpart E

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6.6 Data exchanges

6.11 Other APD requirements

Question Number 1:
02/19/2021 - Current
Question
Which Advance Planning Document (APD) regulations apply to CCWIS projects below the APD thresholds described at 45 CFR 95.611?
Answer
*A title IV-E agency claiming title IV-E federal financial participation (FFP) for CCWIS projects below the APD submission thresholds at 45 CFR 95.611 is subject to certain portions of the APD rules that are necessary for effective project management per paragraph 1355.52(j), including:

- 95.613 - Procurement standards;

- 95.615 - Access to systems and records;

- 95.617 - Software and ownership rights;

- 95.619 - Use of Automated Data Processing (ADP) systems;

- 95.621 - Automated Data Processing (ADP) Reviews;

- 95.626 - Independent Verification and Validation;

- 95.627 - Waivers;

- 95.631 - Cost identification for purpose of FFP claims;

- 95.633 - Nondiscrimination requirements;

- 95.635 - Disallowance of FFP for automated systems that fail to comply substantially with requirements; and

- 95.641 - Applicability of rules for charging equipment in Subpart G.

Source/Date
11/09/16
Legal and Related References
45 CFR 95, Subpart F; 45 CFR 1355.52(j); 80 FR 48200 at 48217 (issued August 11, 2016)

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11/09/2016 - 02/19/2021 (Original Record)
Question
Which Advance Planning Document (APD) regulations apply to CCWIS projects below the APD thresholds described at 45 CFR 95.611?
Answer
*A title IV-E agency claiming title IV-E federal financial participation (FFP) for CCWIS projects below the APD submission thresholds at 45 CFR 95.611 is subject to certain portions of the APD rules that are necessary for effective project management per paragraph 1355.52(j), including:

  • 95.613 - Procurement standards;
  • 95.615 - Access to systems and records;
  • 95.617 - Software and ownership rights;
  • 95.619 - Use of Automated Data Processing (ADP) systems;
  • 95.621 - Automated Data Processing (ADP) Reviews;
  • 95.626 - Independent Verification and Validation;
  • 95.627 - Waivers;
  • 95.631 - Cost identification for purpose of FFP claims;
  • 95.633 - Nondiscrimination requirements;
  • 95.635 - Disallowance of FFP for automated systems that fail to comply substantially with requirements; and
  • 95.641 - Applicability of rules for charging equipment in Subpart G.
Source/Date
11/09/16
Legal and Related References
45 CFR 95, Subpart F; 45 CFR 1355.52(j); 80 FR 48200 at 48217 (issued August 11, 2016)

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11/09/2016 - 11/11/2016 (Original Record)
Question
Which Advance Planning Document (APD) regulations apply to CCWIS projects below the APD thresholds described at 45 CFR 95.611?
Answer
*A title IV-E agency claiming title IV-E federal financial participation (FFP) for CCWIS projects below the APD submission thresholds at 45 CFR 95.611 is subject to certain portions of the APD rules that are necessary for effective project management per paragraph 1355.52(j), including:

  • 95.613 ������ Procurement standards;
  • 95.615 ������ Access to systems and records;
  • 95.617 ������ Software and ownership rights;
  • 95.619 ������ Use of Automated Data Processing (ADP) systems;
  • 95.621 ������ Automated Data Processing (ADP) Reviews;
  • 95.626 ������ Independent Verification and Validation;
  • 95.627 ������ Waivers;
  • 95.631 ������ Cost identification for purpose of FFP claims;
  • 95.633 ������ Nondiscrimination requirements;
  • 95.635 ������ Disallowance of FFP for automated systems that fail to comply substantially with requirements; and
  • 95.641 ������ Applicability of rules for charging equipment in Subpart G.
Source/Date
11/09/16
Legal and Related References
45 CFR 95, Subpart F; 45 CFR 1355.52(j); 80 FR 48200 at 48217 (issued August 11, 2016)

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11/09/2016 - 11/11/2016 (Original Record)
Question
Which Advance Planning Document (APD) regulations apply to CCWIS projects below the APD thresholds described at 45 CFR 95.611?
Answer
A title IV-E agency claiming title IV-E federal financial participation (FFP) for CCWIS projects below the APD submission thresholds at 45 CFR 95.611 is subject to certain portions of the APD rules that are necessary for effective project management per paragraph 1355.52(j), including:

  • 95.613 ������ Procurement standards;
  • 95.615 ������ Access to systems and records;
  • 95.617 ������ Software and ownership rights;
  • 95.619 ������ Use of Automated Data Processing (ADP) systems;
  • 95.621 ������ Automated Data Processing (ADP) Reviews;
  • 95.626 ������ Independent Verification and Validation;
  • 95.627 ������ Waivers;
  • 95.631 ������ Cost identification for purpose of FFP claims;
  • 95.633 ������ Nondiscrimination requirements;
  • 95.635 ������ Disallowance of FFP for automated systems that fail to comply substantially with requirements; and
  • 95.641 ������ Applicability of rules for charging equipment in Subpart G.
Source/Date
11/09/16
Legal and Related References
45 CFR 95, Subpart F; 45 CFR 1355.52(j); 80 FR 48200 at 48217 (issued August 11, 2016)

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6.6D External child welfare systems

Question Number 3:
02/12/2018 - Current
Question
If a title IV-E agency operating a CCWIS wants to exchange data with the National Electronic Interstate Compact Enterprise (NEICE) Case Management System (CMS) is a bidirectional data exchange required, per paragraph 1355.52(e)(1)(iv)?
Answer
*Yes. A bi-directional data exchange is required because the NEICE CMS is considered an external system to CCWIS, per paragraph 1355.52(e)(1)(iv).
Source/Date
11/07/16
Legal and Related References
45 CFR 1355.52(e)(1)(iv); 81 FR 35450 at 35463 - 35464 (June 2, 2016); 80 FR 48200 at 48212 (issued August 11, 2016)

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02/12/2018 - 02/13/2018
Question
*If a title IV-E agency operating a CCWIS wants to exchange data with the National Electronic Interstate Compact Enterprise (NEICE) Case Management System (CMS) is a bidirectional data exchange required, per paragraph 1355.52(e)(1)(iv)?
Answer
Yes. A bi-directional data exchange is required because NEICE qualifies as a system external to CCWIS used by title IV-E agency staff to collect CCWIS data, per paragraph 1355.52(e)(1)(iv).
Source/Date
11/07/16
Legal and Related References
45 CFR 1355.52(e)(1)(iv); 81 FR 35450 at 35463 - 35464 (June 2, 2016); 80 FR 48200 at 48212 (issued August 11, 2016)

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11/07/2016 - 02/12/2018 (Original Record)
Question
Is a bi-directional data exchange between the National Electronic Interstate Compact Enterprise (NEICE) and CCWIS required, per paragraph 1355.52(e)(1)(iv)?
Answer
Yes. A bi-directional data exchange is required because NEICE qualifies as a system external to CCWIS used by title IV-E agency staff to collect CCWIS data, per paragraph 1355.52(e)(1)(iv).
Source/Date
11/07/16
Legal and Related References
*45 CFR 1355.52(e)(1)(iv); 81 FR 35450 at 35463 - 35464 (June 2, 2016); 80 FR 48200 at 48212 (issued August 11, 2016)

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11/07/2016 - 01/24/2018 (Original Record)
Question
Is a bi-directional data exchange between the National Electronic Interstate Compact Enterprise (NEICE) and CCWIS required, per paragraph 1355.52(e)(1)(iv)?
Answer
Yes. A bi-directional data exchange is required because NEICE qualifies as a system external to CCWIS used by title IV-E agency staff to collect CCWIS data, per paragraph 1355.52(e)(1)(iv).
Source/Date
11/07/16
Legal and Related References
45 CFR 1355.52(e)(1)(iv); 81 FR 35450 at 35463 – 35464 (June 2, 2016); 80 FR 48200 at 48212 (issued August 11, 2016)

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Question Number 4:
02/12/2018 - Current
Question
*Would a web-portal external to CCWIS that is used to enter information that is then sent to the National Electronic Interstate Compact Enterprise (NEICE) Clearinghouse comply with the CCWIS bi-directional data exchange requirements?
Answer
*No. CCWIS bi-direction data exchanges must be capable of both sending data to, and receiving data from the other system. A web-portal used by child welfare workers only to access the NEICE Clearinghouse does not meet the automation requirements for CCWIS data exchanges.
Source/Date
11/07/16
Legal and Related References
45 CFR 1355.52(e)(1)(iv); 81 FR 35450 at 35463 - 35464 (June 2, 2016); 80 FR 48200 at 48211 - 48212 (issued August 11, 2016); Action Transmittal ACF-OSS-05 (issued August 21, 1998)

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11/07/2016 - 02/12/2018 (Original Record)
Question
Does the National Electronic Interstate Compact Enterprise (NEICE) web-portal meet the data exchange requirements of paragraph 1355.52(e)(1)(iv)?
Answer
No. CCWIS bi-direction data exchanges must be capable of sending data to, and receiving data from the other system. A web-portal used by child welfare workers to access NEICE does not meet the automation requirements for CCWIS data exchanges.
Source/Date
11/07/16
Legal and Related References
*45 CFR 1355.52(e)(1)(iv); 81 FR 35450 at 35463 - 35464 (June 2, 2016); 80 FR 48200 at 48211 - 48212 (issued August 11, 2016); Action Transmittal ACF-OSS-05 (issued August 21, 1998)

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11/07/2016 - 01/24/2018 (Original Record)
Question
Does the National Electronic Interstate Compact Enterprise (NEICE) web-portal meet the data exchange requirements of paragraph 1355.52(e)(1)(iv)?
Answer
No. CCWIS bi-direction data exchanges must be capable of sending data to, and receiving data from the other system. A web-portal used by child welfare workers to access NEICE does not meet the automation requirements for CCWIS data exchanges.
Source/Date
11/07/16
Legal and Related References
45 CFR 1355.52(e)(1)(iv); 81 FR 35450 at 35463 – 35464 (June 2, 2016); 80 FR 48200 at 48211 – 48212 (issued August 11, 2016); Action Transmittal ACF-OSS-05 (issued August 21, 1998)

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Question Number 5:
02/12/2018 - Current
Question
*If a county has a contract with a child welfare contributing agency (CWCA), may the required bi-directional data exchange with CCWIS "go through" a county system?
Answer
Yes, with ACF approval.This question and answer is repeated in the child welfare contributing agencies section.
Source/Date
4/24/2017
Legal and Related References
*45 CFR 1355.52(e)(1)(ii), (iv); 81 FR 35450 at 35463 - 35464 (issued June 2, 2016); 80 FR 48200 at 48212 (issued August 11, 2015); CWPM 6.1 #3 and 6.6D #1 and #2.

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02/12/2018 - 02/13/2018
Question
If a title IV-E agency modifies the National Electronic Interstate Compact Enterprise (NEICE) Case Management System (CMS) so it is integrated as an automated function in the CCWIS, is the modified and integrated NEICE CMS considered an external system requiring a bi-directional data exchange with CCWIS as described in paragraph 1355.52(e)(1)(iv)?
Answer
No. An automated function integrated into CCWIS is not considered an external system as described in paragraph 1355.52(e)(1)(iv).
Source/Date
2/12/2018
Legal and Related References
*45 CFR 1355.52(e)(1)(iv); 81 FR 35450 at 35463 - 35464 (June 2, 2016); 80 FR 48200 at 48211 - 48212 (issued August 11, 2016); Action Transmittal ACF-OSS-05 (issued August 21, 1998))

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02/12/2018 - 02/12/2018
Question
*If a title IV-E agency modifies the National Electronic Interstate Compact Enterprise (NEICE) Case Management System (CMS) so it is integrated as an automated function in the CCWIS, is the modified and integrated NEICE CMS considered an external system requiring a bi-directional data exchange with CCWIS as described in paragraph 1355.52(e)(1)(iv)?
Answer
*No. An automated function integrated into CCWIS is not considered an external system as described in paragraph 1355.52(e)(1)(iv).
Source/Date
*2/12/2018
Legal and Related References
*45 CFR 1355.52(e)(1)(iv); 81 FR 35450 at 35463 ¿ 35464 (June 2, 2016); 80 FR 48200 at 48211 ¿ 48212 (issued August 11, 2016); Action Transmittal ACF-OSS-05 (issued August 21, 1998))

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02/12/2018 - 02/12/2018
Question
*How frequently must data be electronically exchanged between CCWIS and county child welfare information systems?
Answer
*The title IV-E agency has discretion to determine the frequency of data exchanges that support the requirement to provide data in a timely manner, pursuant to paragraph 1355.52(d)(1)(i).
Source/Date
*4/24/2017
Legal and Related References
*45 CFR 1355.52(d)(1)(i), (e)(1)(iv); 81 FR 35450 at 35456 - 35457 and 35463 - 35464 (issued June 2, 2016); 80 FR 48200 at 48208 - 48209 and 48212 (issued August 11, 2015).

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02/12/2018 - 02/12/2018
Question
*If a title IV-E agency modifies the National Electronic Interstate Compact Enterprise (NEICE) Case Management System (CMS) so it is integrated as an automated function in the CCWIS, is the modified and integrated NEICE CMS considered an external system requiring a bi-directional data exchange with CCWIS as described in paragraph 1355.52(e)(1)(iv)?
Answer
*No. An automated function integrated into CCWIS is not considered an external system as described in paragraph 1355.52(e)(1)(iv).
Source/Date
*2/12/2018
Legal and Related References
*45 CFR 1355.52(e)(1)(iv); 81 FR 35450 at 35463 ¿ 35464 (June 2, 2016); 80 FR 48200 at 48211 ¿ 48212 (issued August 11, 2016); Action Transmittal ACF-OSS-05 (issued August 21, 1998))

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04/24/2017 - 02/12/2018 (Original Record)
Question
*If a county has a contract with a child welfare contributing agency (CWCA), may the required bi-directional data exchange with CCWIS "go through" a county system?
Answer
Yes, with ACF approval.

This question and answer is repeated in the child welfare contributing agencies section.

Source/Date
4/24/2017
Legal and Related References
*45 CFR 1355.52(e)(1)(ii), (iv); 81 FR 35450 at 35463 - 35464 (issued June 2, 2016); 80 FR 48200 at 48212 (issued August 11, 2015); CWPM 6.1 #3 and 6.6D #1 and #2.

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04/24/2017 - 01/24/2018 (Original Record)
Question
If a county has a contract with a child welfare contributing agency (CWCA), may the required bi-directional data exchange with CCWIS “go through” a county system?
Answer
*Yes, with ACF approval.

This question and answer is repeated in the child welfare contributing agencies section.

Source/Date
4/24/2017
Legal and Related References
*45 CFR 1355.52(e)(1)(ii), (iv); 81 FR 35450 at 35463 – 35464 (issued June 2, 2016); 80 FR 48200 at 48212 (issued August 11, 2015); CWPM 6.1 #3 and 6.6D #1 and #2.

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04/24/2017 - 06/15/2017 (Original Record)
Question
If a county has a contract with a child welfare contributing agency (CWCA), may the required bi-directional data exchange with CCWIS “go through” a county system?
Answer
Yes, with ACF approval.
Source/Date
4/24/2017
Legal and Related References
45 CFR 1355.52(e)(1)(ii), (iv); 81 FR 35450 at 35463 – 35464 (issued June 2, 2016); 80 FR 48200 at 48212 (issued August 11, 2015); CWPM 6.1 #3 and 6.6D #1 and #2. This question and answer is repeated in the child welfare contributing agencies section.

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8.2A.2 TITLE IV-E, Adoption Assistance Program, Agreements, Means test

Question Number 1:
10/25/2017 - Current
Question
*May a title IV-E agency employ a means test when negotiating adoption assistance agreements?
Answer
*The use of a means test is prohibited in the process of selecting a suitable adoptive family, or in negotiating an adoption assistance agreement, including the amount of the adoption assistance payment. Once a child has been determined eligible under section 473 of the Act, adoptive parents cannot be rejected for adoption assistance or have payments reduced without their agreement because of their income or other resources. In addition, the title IV-E agency cannot arbitrarily reject a request for an increase in the amount of subsidy (up to the amount the child would have received in foster care) in cases where the adoptive parents make life choices such as resigning one's job to stay at home with the adopted child or to return to school. Adoptive parents can request a fair hearing if the title IV-E agency rejects such requests.

The circumstances of the adopting parents must be considered together with the needs of the child when negotiating the adoption assistance agreement. Consideration of the circumstances of the adopting parents has been interpreted by the Department to pertain to the adopting family's capacity to incorporate the child into their household in relation to their lifestyle, standard of living and future plans, as well as their overall capacity to meet the immediate and future needs (including educational) of the child. This means considering the overall ability of the family to incorporate an individual child into their household. Families with the same incomes or in similar circumstances will not necessarily agree on identical types or amounts of assistance. The uniqueness of each child/family situation may result in different amounts of payment.

Source/Date
ACYF-CB-PA-01-01 (1/23/01)
Legal and Related References
45 CFR 1356.40 (c)

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10/25/2017 - 10/25/2017
Question
*May a title IVE agency employ a means test when negotiating adoption assistance agreements?
Answer
*The use of a means test is prohibited in the process of selecting a suitable adoptive family, or in negotiating an adoption assistance agreement, including the amount of the adoption assistance payment. Once a child has been determined eligible under section 473 of the Act, adoptive parents cannot be rejected for adoption assistance or have payments reduced without their agreement because of their income or other resources. In addition, the title IVE agency cannot arbitrarily reject a request for an increase in the amount of subsidy (up to the amount the child would have received in foster care) in cases where the adoptive parents make life choices such as resigning one''s job to stay at home with the adopted child or to return to school. Adoptive parents can request a fair hearing if the title IVE agency rejects such requests.

The circumstances of the adopting parents must be considered together with the needs of the child when negotiating the adoption assistance agreement. Consideration of the circumstances of the adopting parents has been interpreted by the Department to pertain to the adopting family''s capacity to incorporate the child into their household in relation to their lifestyle, standard of living and future plans, as well as their overall capacity to meet the immediate and future needs (including educational) of the child. This means considering the overall ability of the family to incorporate an individual child into their household. Families with the same incomes or in similar circumstances will not necessarily agree on identical types or amounts of assistance. The uniqueness of each child/family situation may result in different amounts of payment.

Source/Date
ACYF-CB-PA-01-01 (1/23/01)
Legal and Related References
45 CFR 1356.40 (c)

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02/19/2001 - 10/25/2017 (Original Record)
Question
May a State employ a means test when negotiating adoption assistance agreements?
Answer
A State is required to enter into an adoption assistance agreement with the adoptive parents of a child with special needs (as defined in section 473(c) of the Social Security Act (the Act)) and provide adoption assistance if the child meets specific requirements. There are four ways that a child can be eligible for title IV-E adoption assistance:

1. Child is eligible for Aid to Families with Dependent Children (AFDC) and meets the definition of a child with special needs - Adoption assistance eligibility that is based on a child''s AFDC eligibility (in accordance with the program rules in effect on July 16, 1996) is predicated on a child meeting the criteria for such at the time of removal. In addition, the State must determine that the child meets the definition of a child with special needs prior to finalization of the adoption.

The method of removal has the following implications for the AFDC-eligible child''s eligibility for title IV-E adoption assistance: If the child is removed from the home pursuant to a judicial determination, such determination must indicate that it was contrary to the child''s welfare to remain in the home; or if the child is removed from the home pursuant to a voluntary placement agreement, that child must actually receive title IV-E foster care payments to be eligible for title IV-E adoption assistance.

Children placed pursuant to a voluntary placement agreement under which a title IV-E foster care maintenance payment is not made are not eligible to receive title IV-E adoption assistance.

2. Child is eligible for Supplemental Security Income (SSI) benefits and meets the definition of a child with special needs - A child is eligible for adoption assistance if the child meets the requirements for title XVI SSI benefits and is determined by the State to be a child with special needs prior to the finalization of the adoption.

There are no additional criteria that a child must meet to be eligible for title IV-E adoption assistance when eligibility is based on a special needs child meeting SSI requirements. Specifically, how a child is removed from his or her home or whether the State has responsibility for the child''s placement and care is irrelevant in this situation.

Unlike AFDC eligibility that is determined by the State child welfare agency, only a designated Social Security Administration claims representative can determine SSI eligibility and provide the appropriate eligibility documentation to the State.

3. Child is eligible as a child of a minor parent and meets the definition of a child with special needs - A child is eligible for title IV-E adoption assistance in this circumstance if: prior to the finalization of the adoption, the child''s parent was in foster care and received a title IV-E foster care maintenance payment that covered both the minor parent and the child of the minor parent and is determined by the State to meet the definition of a child with special needs.

There are no additional criteria that must be met in order for a child to be eligible for title IV-E adoption assistance if the child''s eligibility is based on his or her minor parent''s receipt of a foster care maintenance payment while placed with the minor parent in foster care. As with SSI, there is no requirement that a child must have been removed from home pursuant to a voluntary placement agreement or as a result of a judicial determination.

4. Child is eligible due to prior title IV-E adoption assistance eligibility and meets the definition of a child with special needs - In the situation where a child is adopted and receives title IV-E adoption assistance, but the adoption later dissolves or the adoptive parents die, a child may continue to be eligible for title IV-E adoption assistance in a subsequent adoption. The only determination that must be made by the State prior to the finalization of the subsequent adoption is whether the child is a child with special needs, consistent with the requirements in section 473(c) of the Act. Need and eligibility factors in section 473(a)(2)(A) of the Act must not be redetermined when such a child is subsequently adopted because the child is to be treated as though his or her circumstances are the same as those prior to his or her previous adoption. Since title IV-E adoption assistance eligibility need not be re-established in such subsequent adoptions, the manner of a child''s removal from the adoptive home, including whether the child is voluntarily relinquished to an individual or private agency, is irrelevant.

Source/Date
ACYF-CB-PA-01-01 (1/23/01)
Legal and Related References
45 CFR 1356.40 (c)

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6.10B On-going submission

Question Number 2:
07/11/2023 - Current
Question
*If the title IV-E agency's CCWIS is part of an enterprise system in which at least one automated function is shared between at least two programs, what automated functions must the title IV-E agency report on the list of automated functions required under 1355.52(i)(1)(ii)? For example, the agency's intake function is part of an enterprise system between child welfare and Medicaid.
Answer
The title IV-E agency must report only automated functions that support the child welfare program on the list of automated functions. This includes: 1) automated functions that only support child welfare; and 2) automated functions that support child welfare and another program. Previous policy required that a title IV-E agency developing or operating a CCWIS as part of an enterprise system report all automated functions of the entire system. We revised this policy to reduce requirements and provide more flexibility in meeting the CCWIS design requirements.

This question and answer is repeated in the Initial Submission section.

Source/Date
09/19/2019; updated 07/11/2023
Legal and Related References
45 CFR 95. 605; 45 CFR 95.610; 45 CFR 1355.52(i)(1)(ii) and 1355.53(a); 80 FR 48200 at 48216 - 48218 (issued August 11, 2015)

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05/15/2020 - 05/15/2020
Question
*If the title IV-E agency''s CCWIS is part of an enterprise system in which at least one automated function is shared between at least two programs, must the title IV-E agency report the entire system's automated functions on the list of automated functions required under 1355.52(i)(1)(ii)? For example, the agency’s intake function is part of an enterprise system between child welfare and Medicaid.
Answer
*Yes. The title IV-E agency must report all automated functions for the project.

This question and answer is repeated in the On-going submission section.shared platform, such as a document management function, that support the administration of title IV-B and IV-E plans;

  • and the shared platform, per 1355.52(i)(1)(ii).
  • Source/Date
    09/19/2019
    Legal and Related References
    45 CFR 95. 605; 45 CFR 95.610; 45 CFR 1355.52(i)(1)(ii); 80 FR 48200 at 48216 - 48217 (issued August 11, 2015)

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    09/19/2019 - 05/15/2020 (Original Record)
    Question
    If the title IV-E agency's CCWIS is part of a system that supports programs in addition to child welfare, such as child support, Medicaid, or Temporary Assistance for Needy Families, must the title IV-E agency report the entire system's automated functions on the list of automated functions required under 1355.52(i)(1)(ii)?
    Answer
    Yes. The title IV-E agency must report all automated functions for the project.

    This question and answer is repeated in the On-going submission section.

    Source/Date
    09/19/2019
    Legal and Related References
    45 CFR 95. 605; 45 CFR 95.610; 45 CFR 1355.52(i)(1)(ii); 80 FR 48200 at 48216 - 48217 (issued August 11, 2015)

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    Question Number 3:
    07/11/2023 - Current
    Question
    *If the title IV-E agency's CCWIS is part of an enterprise system running on a shared platform used by other programs such as child support and Medicaid, what automated functions must the title IV-E agency report on the list of automated functions?
    Answer
    On the list of automated functions, the title IV-E agency must report:

    • The shared platform;
    • automated functions that support the child welfare program but are not on the shared platform; and
    • automated functions running on the shared platform, such as a document management function, that support the administration of title IV-B and IV-E plans, per 1355.52(i)(1)(ii).

    We revised this policy to reduce requirements and provide more flexibility in meeting the CCWIS design requirements.

    This question and answer is repeated in the Initial Submission section.

    Source/Date
    5/15/20; updated 07/11/2023
    Legal and Related References
    45 CFR 95.610; 45 CFR 1355.52(i)(1)(ii); 81 FR 45450 at 35467 – 35468 (issued June 2, 2016); 80 FR 48200 at 48216 – 48217 (issued August 11, 2015)

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    07/17/2020 - 07/17/2020
    Question
    *If the title IV-E agency's CCWIS is part of an enterprise system running on a shared platform used by other programs such as child support and Medicaid, what automated functions must the title IV-E agency report on the list of automated functions?
    Answer

    • All automated functions included in the CCWIS;

    • Automated functions running on the shared platform, such as a document management function, that support the administration of title IV-B and IV-E plans;
    • and the shared platform, per 1355.52(i)(1)(ii).
    Source/Date
    5/15/20
    Legal and Related References
    45 CFR 95.610; 45 CFR 1355.52(i)(1)(ii); 81 FR 45450 at 35467 – 35468 (issued June 2, 2016); 80 FR 48200 at 48216 - 48217 (issued August 11, 2015)

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    07/17/2020 - 07/17/2020
    Question
    *If the title IV-E agency's CCWIS is part of an enterprise system running on a shared platform used by other programs such as child support and Medicaid, what automated functions must the title IV-E agency report on the list of automated functions? TEST's
    Answer

    • All automated functions included in the CCWIS;

    • Automated functions running on the shared platform, such as a document management function, that support the administration of title IV-B and IV-E plans;
    • and the shared platform, per 1355.52(i)(1)(ii).
    Source/Date
    5/15/20
    Legal and Related References
    45 CFR 95.610; 45 CFR 1355.52(i)(1)(ii); 81 FR 45450 at 35467 – 35468 (issued June 2, 2016); 80 FR 48200 at 48216 - 48217 (issued August 11, 2015)

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    05/15/2020 - 07/17/2020 (Original Record)
    Question
    If the title IV-E agency's CCWIS is part of an enterprise system running on a shared platform used by other programs such as child support and Medicaid, what automated functions must the title IV-E agency report on the list of automated functions?
    Answer

    • All automated functions included in the CCWIS;

    • Automated functions running on the shared platform, such as a document management function, that support the administration of title IV-B and IV-E plans;
    • and the shared platform, per 1355.52(i)(1)(ii).
    Source/Date
    5/15/20
    Legal and Related References
    45 CFR 95.610; 45 CFR 1355.52(i)(1)(ii); 81 FR 45450 at 35467 – 35468 (issued June 2, 2016); 80 FR 48200 at 48216 - 48217 (issued August 11, 2015)

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    8.3A.12 TITLE IV-E, Foster Care Maintenance Payments Program, Eligibility, Responsibility for placement and care

    Question Number 1:
    03/02/2020 - Current
    Question
    *What does "responsibility for placement and care" mean? Are there certain activities which cannot be delegated? If so, which activities? Can the "case plan" be delegated while the child is under the care of the nonprofit agency? Does "responsibility for placement and care" mean that the title IV-E agency must have custody of the child or can the court give custody to a private nonprofit agency? We think "responsibility for placement and care" follows custody.
    Answer
    *The title IV-E agency, or another public agency with whom the title IV-E agency has made an agreement which is still in effect, is to be assigned the overall responsibility for placement and care of the child, although many of the activities associated with the placement and care may be performed by others. Clearly, if the court assigns the responsibility for a child to an agency or institution other than the title IV-E agency or to another public agency with which the title IV-E agency has no agreement, no Federal financial participation (FFP) will be allowable.

    Under title IV-E, to be eligible for FFP, section 472(a)(2)(B) of the Social Security Act (the Act) requires that the responsibility for placement and care of the child is with the title IV-E agency administering the plan approved under section 471 of the Act, or any other public agency with whom the title IV-E agency has made an agreement which is in effect.

    A major responsibility in placement and care is the development of an individual case plan for the child, including periodic review of the appropriateness and suitability of the plan and the foster care placement, to ensure that proper care and services are provided to facilitate return to the child's own home or to make an alternative permanent placement. The case plan activities, such as assessing family strengths and needs, identifying and using community resources, and the periodic review and determination of the continued appropriateness of placement, and the efforts to finalize a permanency plan may be carried out by agencies from which services are purchased. However, the ultimate responsibility for ensuring that there is an appropriate plan of care, case review, and activities to improve the home of the child or identify and work toward a permanency plan for the child remains with the title IV-E agency identified in the title IV-E plan as having responsibility for the placement and care of the child. Thus, the title IV-E agency must actively supervise the various activities performed by the contractor or other agency. This supervision includes case plan assessment and case review functions and adherence to the requirements of the Act, Federal rules, regulations and policy interpretations in operation of the foster care maintenance program. The title IV-E agency is ultimately responsible for proper operation of the foster care program.

    Although responsibility for placement and care generally is associated with child custody, custody of the child is not a requirement of Federal law or policy under title IV-E and the title IV-E agency need not be given custody, but must be given responsibility for placement and care of the child. Custody may be retained by the court or be given to a private nonprofit agency. However, the title IV-E agency administering the title IV-E plan or another public agency with which the title IV-E agency has a currently effective agreement can be given "responsibility for placement and care" in order to claim FFP for foster care costs under this program.

    Source/Date
    *ACYF-CB-PIQ-82-07 (8/25/82); (3/2/20)
    Legal and Related References
    *Social Security Act - sections 471, 472, and 479B

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    07/24/2006 - 03/02/2020
    Question
    *What does "responsibility for placement and care" mean? Are there certain activities which cannot be delegated? If so, which activities? Can the "case plan" be delegated while the child is under the care of the nonprofit agency? Does "responsibility for placement and care" mean that the State agency must have custody of the child or can the court give custody to a private nonprofit agency? We think "responsibility for placement and care" follows custody.
    Answer
    *The title IV-E agency, or another public agency with whom the State agency has made an agreement which is still in effect, is to be assigned the overall responsibility for placement and care of the child, although many of the activities associated with the placement and care may be performed by others. Clearly, if the court assigns the responsibility for a child to an agency or institution other than the State or local agency administering the title IV-E foster care program or to another public agency with which the title IV-E agency has no agreement, no Federal financial participation (FFP) will be allowable.

    Under title IV-E, to be eligible for FFP, section 472 (a)(2)(B) of the Social Security Act (the Act) requires that the responsibility for placement and care of the child is with the State agency administering the plan approved under section 471 of the Act, or any other public agency with whom the State agency administering or supervising the administration of the State plan approved under section 471 has made an agreement which is in effect.

    A major responsibility in placement and care is the development of an individual case plan for the child, including periodic review of the appropriateness and suitability of the plan and the foster care placement, to ensure that proper care and services are provided to facilitate return to the child''s own home or to make an alternative permanent placement. The case plan activities, such as assessing family strengths and needs, identifying and using community resources, and the periodic review and determination of the continued appropriateness of placement, and the efforts to finalize a permanency plan may be carried out by agencies from which services are purchased. However, the ultimate responsibility for ensuring that there is an appropriate plan of care, case review, and activities to improve the home of the child or identify and work toward a permanency plan for the child remains with the State agency identified in the State plan as having responsibility for the placement and care of the child. Thus, the State agency must actively supervise the various activities performed by the contractor or other agency. This supervision includes case plan assessment and case review functions and adherence to the requirements of the Act, Federal rules, regulations and policy interpretations in operation of the foster care maintenance program. The State is ultimately responsible for proper operation of the foster care program.

    Although responsibility for placement and care generally is associated with child custody, custody of the child is not a requirement of Federal law or policy under title IV-E and the State agency need not be given custody, but must be given responsibility for placement and care of the child. Custody may be retained by the court or be given to a private nonprofit agency. However, the State agency administering the title IV-E plan or another public agency with which the title IV-E agency has a currently effective agreement can be given "responsibility for placement and care" in order to claim FFP for foster care costs under this program.

    Source/Date
    ACYF-CB-PIQ-82-07 (8/25/82)
    Legal and Related References
    Social Security Act - sections 471 and 472

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    09/15/2000 - 07/24/2006 (Original Record)
    Question
    What does "responsbility for placement and care" mean? Are there certain activities which cannot be delegated? If so, which activities? Can the "case plan" be delegated while the child is under the care of the nonprofit agency? Does "responsibility for placement and care" mean that the State agency must have custody of the child or can the court give custody to a private nonprofit agency? We think "responsibility for placement and care" follows custody.
    Answer
    The title IV-E agency, or another public agency with whom the State agency has made an agreement which is still in effect, is to be assigned the overall responsibility for placement and care of the child, although many of the activities associated with the placement and care may be performed by others. Clearly, if the court assigns the responsibility for a child to an agency or institution other than the State or local agency administering the title IV-E foster care program or to another public agency with which the title IV-E agency has no agreement, no Federal financial participation (FFP) will be allowable.

    Under title IV-E, to be eligible for FFP, section 472 (a)(2) of the Social Security Act (the Act) requires that the responsibility for placement and care of the child is with the State agency administering the plan approved under section 471 of the Act, or any other public agency with whom the State agency administering or supervising the administration of the State plan approved under section 471 has made an agreement which is in effect.

    A major responsibility in placement and care is the development of an individual case plan for the child, including periodic review of the appropriateness and suitability of the plan and the foster care placement, to ensure that proper care and services are provided to facilitate return to the child''s own home or to make an alternative permanent placement. The case plan activities, such as assessing family strengths and needs, identifying and using community resources, and the periodic review and determination of the continued appropriateness of placement, and the efforts to finalize a permanency plan may be carried out by agencies from which services are purchased. However, the ultimate responsibility for ensuring that there is an appropriate plan of care, case review, and activities to improve the home of the child or identify and work toward a permanency plan for the child remains with the State agency identified in the State plan as having responsibility for the placement and care of the child. Thus, the State agency must actively supervise the various activities performed by the contractor or other agency. This supervision includes case plan assessment and case review functions and adherence to the requirements of the Act, Federal rules, regulations and policy interpretations in operation of the foster care maintenance program. The State is ultimately responsible for proper operation of the foster care program.

    Although responsibility for placement and care generally is associated with child custody, custody of the child is not a requirement of Federal law or policy under title IV-E and the State agency need not be given custody, but must be given responsibility for placement and care of the child. Custody may be retained by the court or be given to a private nonprofit agency. However, the State agency administering the title IV-E plan or another public agency with which the title IV-E agency has a currently effective agreement can be given "responsibility for placement and care" in order to claim FFP for foster care costs under this program.

    Source/Date
    ACYF-CB-PIQ-82-07 (8/25/82)
    Legal and Related References
    Social Security Act - sections 471 and 472

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    Question Number 2:
    03/02/2020 - Current
    Question
    Can foster care payments under title IV-E be made on behalf of a child initially placed under the care of another public agency (and no inter-agency agreement exists), when and if the responsibility for the placement and care of the child is later transferred to the title IV-E agency?
    Answer
    *Yes. Section 472(a)(2)(B) of the Social Security Act (the Act) does not require that the child's placement and care be the initial responsibility of the title IV-E agency, nor does it conversely prohibit a subsequent transfer from another public (or private) agency to the title IV-E agency from triggering eligibility for foster care payments for an otherwise eligible child. When all eligibility criteria in section 472(a) are met, a title IV-E agency may claim FFP from the first day of placement in the month in which all eligibility criteria have been met. FFP may not be retroactive to the time of removal.

    Once the responsibility for placement and care has been given to the title IV-E agency, all of the title IV-E plan requirements in sections 471(a)(15) and (16) of the Act are applicable, including the title IV-E case plan and case review requirements.

    Source/Date
    ACYF-CB-PIQ-87-03 (6/1/87); (3/2/20)
    Legal and Related References
    Social Security Act - sections 471, 472, and 479B

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    07/24/2006 - 03/02/2020
    Question
    *Can foster care payments under title IV-E be made on behalf of a child initially placed under the care of another public agency (and no inter-agency agreement exists), when and if the responsibility for the placement and care of the child is later transferred to the title IV-E agency?
    Answer
    *Yes. Section 472(a)(2)(B) of the Social Security Act (the Act) does not require that the child''s placement and care be the initial responsibility of the title IV-E agency, nor does it conversely prohibit a subsequent transfer from another public (or private) agency to the title IV-E agency from triggering eligibility for foster care payments for an otherwise eligible child. When all eligibility criteria in section 472(a) are met, a title IV-E agency may claim FFP from the first day of placement in the month in which all eligibility criteria have been met. FFP may not be retroactive to the time of removal.

    Once the responsibility for placement and care has been given to the title IV-E agency, all of the title IV-E plan requirements in sections 471(a)(15) and (16) of the Act are applicable, including the title IV-E case plan and case review requirements.s.

    Source/Date
    *ACYF-CB-PIQ-87-03 (6/1/87); (3/2/20)
    Legal and Related References
    *Social Security Act - sections 471, 472, and 479B

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    07/24/2006 - 03/02/2020
    Question
    Can foster care payments under title IV-E be made on behalf of a child initially placed under the care of another public agency (and no inter-agency agreement exists), when and if the responsibility for the placement and care of the child is later transferred to the State title IV-E agency?
    Answer
    *Yes. Section 472 (a)(2)(B) of the Social Security Act (the Act) does not require that the child''s placement and care be the initial responsibility of the State title IV-E agency, nor does it conversely prohibit a subsequent transfer from another public (or private) agency to the State agency from triggering eligibility for foster care payments for an otherwise eligible child. When all eligibility criteria in section 472(a) are met, a State may claim FFP from the first day of placement in the month in which all eligibility criteria have been met. FFP may not be retroactive to the time of removal.

    Once the responsibility for placement and care has been given to the State agency, all of the State plan requirements in sections 471(a)(15) and (16) of the Act are applicable, including the title IV-E case plan and case review requirements.

    Source/Date
    ACYF-CB-PIQ-87-03 (6/1/87)
    Legal and Related References
    Social Security Act - sections 471 and 472

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    10/05/2000 - 07/24/2006 (Original Record)
    Question
    Can foster care payments under title IV-E be made on behalf of a child initially placed under the care of another public agency (and no inter-agency agreement exists), when and if the responsibility for the placement and care of the child is later transferred to the State title IV-E agency?
    Answer
    Yes. Section 472 (a)(2) of the Social Security Act (the Act) does not require that the child''s placement and care be the initial responsibility of the State title IV-E agency, nor does it conversely prohibit a subsequent transfer from another public (or private) agency to the State agency from triggering eligibility for foster care payments for an otherwise eligible child. When all eligibility criteria in section 472(a) are met, a State may claim FFP from the first day of placement in the month in which all eligibility criteria have been met. FFP may not be retroactive to the time of removal.

    Once the responsibility for placement and care has been given to the State agency, all of the State plan requirements in sections 471(a)(15) and (16) of the Act are applicable, including the title IV-E case plan and case review requirements.

    Source/Date
    ACYF-CB-PIQ-87-03 (6/1/87)
    Legal and Related References
    Social Security Act - sections 471 and 472

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    Question Number 3:
    03/02/2020 - Current
    Question
    *The regulations at 45 CFR 1356.21(g)(3) specify that Federal financial participation (FFP) for title IV-E foster care maintenance payments may not be claimed when a court orders a placement with a specific foster care provider. In situations where the court specifies the placement in a court order after hearing testimony from various sources, including the title IV-E agency, is FFP available? Is availability of FFP affected when the court disagrees with the agency's placement recommendation and specifies another placement in the order?
    Answer
    *Title IV-E requires, as a condition of eligibility, that a child's placement and care responsibility be vested either with the title IV-E agency, or another public agency with which the title IV-E agency has an agreement. The purpose of the regulatory provision in question is to assure that the authority of the title IV-E agency with placement and care responsibility for the child is not usurped. A "court-ordered" placement, as prohibited in the rule, involves the court taking placement and care responsibility away from the agency and assuming placement and care responsibility by choosing the child's placement without bona fide consideration of the agency's recommendation regarding placement. This does not mean that the court must always concur with the agency's recommendation in order for the child to be eligible for title IV-E foster care payments. As long as the court hears the relevant testimony and works with all parties, including the agency with placement and care responsibility, to make appropriate placement decisions, we will not disallow the payments. The prohibition in the rule also does not apply to situations where the court merely names the child's placement in the court order as an endorsement or approval of the agency's placement choice.
    Source/Date
    *Questions and Answers on the Final Rule (65 FR 4020) (1/25/00); (3/2/20)
    Legal and Related References
    *Social Security Act - section 472 and 479B; 45 CFR 1356.21(g)(3)

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    05/06/2001 - 03/02/2020 (Original Record)
    Question
    The regulations at 45 CFR 1356.21(g)(3) specify that Federal financial participation (FFP) for title IV-E foster care maintenance payments may not be claimed when a court orders a placement with a specific foster care provider. In situations where the court specifies the placement in a court order after hearing testimony from various sources, including the State IV-E agency, is FFP available? Is availability of FFP affected when the court disagrees with the agency's placement recommendation and specifies another placement in the order?
    Answer
    Title IV-E requires, as a condition of eligibility, that a child''s placement and care responsibility be vested either with the State agency, or another public agency with which the State has an agreement. The purpose of the regulatory provision in question is to assure that the authority of the State title IV-E agency with placement and care responsibility for the child is not usurped. A "court-ordered" placement, as prohibited in the rule, involves the court taking placement and care responsibility away from the agency and assuming placement and care responsibility by choosing the child''s placement without bona fide consideration of the agency''s recommendation regarding placement. This does not mean that the court must always concur with the agency''s recommendation in order for the child to be eligible for title IV-E foster care payments. As long as the court hears the relevant testimony and works with all parties, including the agency with placement and care responsibility, to make appropriate placement decisions, we will not disallow the payments. The prohibition in the rule also does not apply to situations where the court merely names the child''s placement in the court order as an endorsement or approval of the agency''s placement choice.
    Source/Date
    Questions and Answers on the Final Rule (65 FR 4020) (1/25/00)
    Legal and Related References
    45 CFR 1356.21 (g)(3)

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    Question Number 4:
    03/02/2020 - Current
    Question
    Does responsibility for placement and care of the child as used in section 472(a)(2)(B) of title IV-E of the Social Security Act (the Act) equate with custody?
    Answer
    *Not necessarily. The title IV-E foster care program requires, as a condition of eligibility, that a child's placement and care responsibility be vested either with the title IV-E agency or another public agency with which the title IV-E agency has a bona fide agreement pursuant to section 472(a)(2)(B)(ii) of the Act. The term placement and care means that the title IV-E agency is legally accountable for the day-to-day care and protection of the child who has come into foster care through either a court order or a voluntary placement agreement. Sometimes this responsibility translates to "custody" or "care and control" of the child via a court order, but custody is not a title IV-E requirement. Placement and care responsibility allows the title IV-E agency to make placement decisions about the child, such as where the child is placed and the type of placement most appropriate for the child. It also ensures that the title IV-E agency provides the child with the mandated statutory and regulatory protections, including case plans, administrative reviews, permanency hearings, and updated health and education records.
    Source/Date
    *ACYF-CB-PIQ-82-07 (8/25/82); 6/23/03; (3/2/20)
    Legal and Related References
    *Social Security Act - sections 471, 472, and 479B

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    07/24/2006 - 03/02/2020
    Question
    *Does responsibility for placement and care of the child as used in section 472(a)(2)(B) of title IV-E of the Social Security Act (the Act) equate with custody?
    Answer
    *Not necessarily. The title IV-E foster care program requires, as a condition of eligibility, that a child''s placement and care responsibility be vested either with the State agency or another public agency with which the State has a bona fide agreement pursuant to section 472(a)(2)(B)(ii) of the Act. The term placement and care means that the State agency is legally accountable for the day-to-day care and protection of the child who has come into foster care through either a court order or a voluntary placement agreement. Sometimes this responsibility translates to "custody" or "care and control" of the child via a court order, but custody is not a title IV-E requirement. Placement and care responsibility allows the State agency to make placement decisions about the child, such as where the child is placed and the type of placement most appropriate for the child. It also ensures that the State provides the child with the mandated statutory and regulatory protections, including case plans, administrative reviews, permanency hearings, and updated health and education records.
    Source/Date
    ACYF-CB-PIQ-82-07 (8/25/82); 6/23/03
    Legal and Related References
    Social Security Act - sections 471 and 472

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    12/01/2004 - 07/24/2006
    Question
    *Does responsibility for placement and care of the child as used in section 472(a)(2) of title IV-E of the Social Security Act (the Act) equate with custody?
    Answer
    Not necessarily. The title IV-E foster care program requires, as a condition of eligibility, that a child''s placement and care responsibility be vested either with the State agency or another public agency with which the State has a bona fide agreement pursuant to section 472(a)(2) of the Act. The term placement and care means that the State agency is legally accountable for the day-to-day care and protection of the child who has come into foster care through either a court order or a voluntary placement agreement. Sometimes this responsibility translates to "custody" or "care and control" of the child via a court order, but custody is not a title IV-E requirement. Placement and care responsibility allows the State agency to make placement decisions about the child, such as where the child is placed and the type of placement most appropriate for the child. It also ensures that the State provides the child with the mandated statutory and regulatory protections, including case plans, administrative reviews, permanency hearings, and updated health and education records.
    Source/Date
    ACYF-CB-PIQ-82-07 (8/25/82); 6/23/03
    Legal and Related References
    Social Security Act - sections 471 and 472

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    07/11/2003 - 12/01/2004
    Question
    Does ?responsibility for placement and care of the child? as used in section 472(a)(2) of title IV-E of the Social Security Act (the Act) equate with custody?
    Answer
    Not necessarily. The title IV-E foster care program requires, as a condition of eligibility, that a child''s placement and care responsibility be vested either with the State agency or another public agency with which the State has a bona fide agreement pursuant to section 472(a)(2) of the Act. The term placement and care means that the State agency is legally accountable for the day-to-day care and protection of the child who has come into foster care through either a court order or a voluntary placement agreement. Sometimes this responsibility translates to "custody" or "care and control" of the child via a court order, but custody is not a title IV-E requirement. Placement and care responsibility allows the State agency to make placement decisions about the child, such as where the child is placed and the type of placement most appropriate for the child. It also ensures that the State provides the child with the mandated statutory and regulatory protections, including case plans, administrative reviews, permanency hearings, and updated health and education records.
    Source/Date
    *ACYF-CB-PIQ-82-07 (8/25/82); 6/23/03
    Legal and Related References
    Social Security Act - sections 471 and 472

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    06/27/2003 - 07/11/2003 (Original Record)
    Question
    Does ?responsibility for placement and care of the child? as used in section 472(a)(2) of title IV-E of the Social Security Act (the Act) equate with custody?
    Answer
    Not necessarily. The title IV-E foster care program requires, as a condition of eligibility, that a child''s placement and care responsibility be vested either with the State agency or another public agency with which the State has a bona fide agreement pursuant to section 472(a)(2) of the Act. The term placement and care means that the State agency is legally accountable for the day-to-day care and protection of the child who has come into foster care through either a court order or a voluntary placement agreement. Sometimes this responsibility translates to "custody" or "care and control" of the child via a court order, but custody is not a title IV-E requirement. Placement and care responsibility allows the State agency to make placement decisions about the child, such as where the child is placed and the type of placement most appropriate for the child. It also ensures that the State provides the child with the mandated statutory and regulatory protections, including case plans, administrative reviews, permanency hearings, and updated health and education records.
    Source/Date
    ACYF-CB-PIQ-82-07 (8/25/82)
    Legal and Related References
    Social Security Act - sections 471 and 472

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    3.1H INDEPENDENT LIVING, Certifications and Requirements, Training

    Question Number 1:
    03/28/2019 - Current
    Question
    What funds under section 477(b)(3)(D) of the Social Security Act (the Act) will be used for training the individuals listed there and whose responsibility is it to train them?
    Answer
    *The certification at section 477(b)(3)(D) of the Act requires the State or Tribe receiving Chafee funds to train the categories of people enumerated therein and to utilize the funds that are available for this purpose. The funds specified at section 474(a)(3) of the Act are the administrative dollars which can be claimed for such training. Under that section of the Act, the cost of training certain individuals is reimbursable from title IV-E administrative funds at the rate of up to 75 percent Federal Financial Participation (FFP). If the State/Tribe with an approved title IV-E plan contracts with private entities to perform case management functions, it may claim the percent reimbursement permitted by statute for training the contractor's staff to perform the contracted functions. The certification for training in the Chafee Program simply adds independent living training to the pool of allowable title IV-E training activities; it has no general impact on the FFP match for training costs. In addition, regulations at 45 CFR 1356.60(b)(2) require that all training activities and costs funded under title IV-E shall be included in the title IV-E agency's training plan for title IV-B.
    Source/Date
    *Questions and Answers on the Chafee Foster Care Independence Program; revised 08/31/09; (3/28/2019)
    Legal and Related References
    *Social Security Act - sections 474(a)(3), 477(b)(3)(D), and (j); 45 CFR 1356.60(b)(2)

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    09/01/2009 - 03/28/2019
    Question
    *What funds under section 477(b)(3)(D) of the Social Security Act (the Act) will be used for training the individuals listed there and whose responsibility is it to train them?
    Answer
    *The certification at section 477(b)(3)(D) of the Act requires the State or Tribe receiving Chafee funds to train the categories of people enumerated therein and to utilize the funds that are available for this purpose. The funds specified at section 474(a)(3) of the Act are the administrative dollars which can be claimed for such training. Under that section of the Act, the cost of training certain individuals is reimbursable from title IV-E administrative funds at the rate of up to 75 percent Federal Financial Participation (FFP). If the State/Tribe with an approved title IVE plan contracts with private entities to perform case management functions, it may claim the percent reimbursement permitted by statute for training the contractor''s staff to perform the contracted functions. The certification for training in the CFCIP law simply adds independent living training to the pool of allowable title IV-E training activities; it has no general impact on the FFP match for training costs. In addition, regulations at 45 CFR 1356.60 (b)(2) require that all training activities and costs funded under title IV-E shall be included in the title IV-E agency''s training plan for title IV-B. The certification at section 477(b)(3)(D) of the Act also encourages such training to be coordinated with the Chafee Foster Care Independence Program training conducted for youth participants.
    Source/Date
    *Questions and Answers on the Chafee Foster Care Independence Program; revised 08/31/09
    Legal and Related References
    Social Security Act - sections 474 and 477

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    07/29/2001 - 09/01/2009 (Original Record)
    Question
    What funds under section 477(b)(3)(D) of the Social Security Act (the Act) will be used for training the individuals listed there and whose responsibility is it to train them?
    Answer
    The certification at section 477(b)(3)(D) of the Act requires the State to train the categories of people enumerated therein and to utilize the funds that are available for this purpose. The funds specified at section 474(a)(3) of the Act are the administrative dollars which can be claimed for such training. Under that section of the Act, the cost of training employees of the State agency (or individuals preparing for employment with the State agency), foster parents, adoptive parents, and the staff of State licensed or approved child-care institutions is reimbursable from title IV-E administrative funds at the rate of 75 percent Federal Financial Participation (FFP). If the State contracts with private entities to perform case management functions, it may claim 50 percent reimbursement for training the contractor''s staff to perform the contracted functions. The certification for training in the CFCIP law simply adds independent living training to the pool of allowable title IV-E training activities; it has no general impact on the FFP match for training costs. In addition, regulations at 45 CFR 1356.60 (b)(2) require that all training activities and costs funded under title IV-E shall be included in the State agency''s training plan for title IV-B. The certification at section 477(b)(3)(D) of the Act also encourages such training to be coordinated with the Chafee Foster Care Independence Program training conducted for youth participants.
    Source/Date
    Questions and Answers on the Chafee Foster Care Independence Program
    Legal and Related References
    Social Security Act - sections 474 and 477

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    Question Number 2:
    09/01/2009 - Current
    Question
    Does the law permit training to be directly charged to title IV-E or must the training costs be cost allocated?
    Answer
    *States and Tribes receiving Chafee funds should treat independent living training for foster parents, adoptive parents, case managers and workers in group homes on independent living issues like any other training costs under title IV-E and allocate appropriately.
    Source/Date
    *Questions and Answers on the Chafee Foster Care Independence Program; revised 08/31/09
    Legal and Related References
    *Social Security Act - sections 477 and 474; 45 CFR 235, 45 CFR 1356.60

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    11/13/2001 - 09/01/2009
    Question
    Does the law permit training to be directly charged to title IV-E or must the training costs be cost allocated?
    Answer
    *No general statutory or policy changes were made to title IV-E training. States should treat independent living training for foster parents, adoptive parents, case managers and workers in group homes on independent living issues like any other training costs under title IV-E and allocate appropriately.
    Source/Date
    Questions and Answers on the Chafee Foster Care Independence Program
    Legal and Related References
    Social Security Act - sections 477 and 474; 45 CFR 235

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    11/13/2001 - 11/13/2001
    Question
    Does the law permit training to be directly charged to title IV-E or must the training costs be cost allocated?
    Answer
    Section 475 (4)(B) of the Act requires that foster care maintenance payments for a minor parent in foster care cover a child of such parent if the child is placed with the minor parent. Neither the statute nor regulations require the State to have placement and care responsibility of the child in order for such costs to be included in the minor parent''s foster care maintenance payment. Good social work practice suggests that the minor parent?s case plan include the needs of the child and that the child?s needs and interests be addressed during the six-month periodic reviews and permanency hearings held on behalf of the minor parent. However, the State is not required to satisfy these requirements independently on behalf of the child because s/he has not been removed from her/his biological parent and; therefore, pursuant to Federal law and regulations, is not in foster care.

    In cases where the State has placement and care responsibility for both the minor parent and child, and has placed them in different foster homes, title IV-E eligibility would have to be determined individually for each. Likewise, if a minor parent leaves the foster home and does not take the child, the child''s eligibility for foster care then would be based upon his or her individual circumstances. In addition, the State would have to obtain responsibility for placement and care of the child through either a voluntary placement agreement or a court order with the required judicial determinations. Once the child is placed separately from the minor parent, s/he is considered to be in foster care and the requirements of the case review system at section 475(5) of the Act apply.

    When a child is placed with his/her minor parent, no administrative costs may be claimed on her/his behalf because s/he is not eligible for nor a recipient of title IV-E foster care maintenance payments. The State is merely increasing the amount of the title IV-E foster care maintenance payment made on behalf of the eligible minor parent to accommodate the board and care of the child. In situations where the eligibility of the minor parent and his/her infant is determined separately and the two are placed separately, the State may claim administrative costs for the child because s/he is eligible for and receiving title IV-E maintenance payments in her/his own right.

    Section 473 (a)(2) of the Act provides that the child whose costs in a foster family home or child-care institution are covered by the title IV-E foster care payment made with respect to the parent is eligible for adoption assistance under title IV-E, if determined by the State to be a child with special needs under section 473 (c).

    Section 472 (h) of the Act makes clear that the child whose costs are covered by the title IV-E payment made with respect to the parent shall be considered a child with respect to whom foster care maintenance payments are made under title IV-E and is thus eligible for medical assistance and social services under titles XIX and XX.

    Source/Date
    Questions and Answers on the Chafee Foster Care Independence Program
    Legal and Related References
    Social Security Act - sections 477 and 474; 45 CFR 235

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    Question Number 3:
    03/28/2019 - Current
    Question
    *May States claim the costs of training foster parents under their Chafee Program funds?
    Answer
    *No.The certification at 477(b)(3)(D) specifies that States "will use training funds provided under the program of Federal payments for foster care and adoption assistance" to provide training including training on youth development to help foster parents, adoptive parents, workers in group homes, and case managers understand and address issues confronting youth preparing for a successful transition to adulthood and making a permanent connection with a caring adult. Since the statute expressly directs that title IV-E administrative funds be used for training, Chafee funds are not permitted for this use.
    Source/Date
    *7/25/02; (3/28/2019)
    Legal and Related References
    Social Security Act - section 477(b)(3)(D)

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    07/31/2002 - 03/28/2019 (Original Record)
    Question
    May States claim the costs of training foster parents under their CFCIP funds?
    Answer
    No. The certification at 477(b)(3)(D) specifies that States "will use training funds provided under the program of Federal payments for foster care and adoption assistance" to provide training to help foster parents, adoptive parents, workers in group homes, and case managers understand and address issues confronting adolescents. Since the statute expressly directs that title IV-E administrative funds be used for training, Chafee funds are not permitted for this use.
    Source/Date
    7/25/02
    Legal and Related References
    Social Security Act - section 477(b)(3)(D)

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    3.4 INDEPENDENT LIVING, Related Foster Care Requirements

    Question Number 2:
    07/31/2002 - Current
    Question
    *What is the definition of "foster care" to be used in connection with the Chafee Foster Care Independence Program?
    Answer
    *In general, the definition of foster care at 45 CFR 1355.20 applies. It defines foster care as "24 hour substitute care for all children placed away from their parents or guardians and for whom the State agency has placement and care responsibility..." However, in light of the requirement from the Social Security Act in section 477(b)(3)(G) that States make benefits and services available to Indian children on the same basis as other children in the State, children in Tribal or BIA placements who are otherwise eligible are considered to have been "in foster care" for purposes of this program.
    Source/Date
    *7/25/02
    Legal and Related References
    *Social Security Act - section 477(b)(3)(G), 45 CFR 1355.20

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    07/29/2001 - 07/31/2002 (Original Record)
    Question
    What is the definition of "foster care" to be used in connection with the Chafee Foster Care Independence Program?
    Answer
    The definition of foster care at 45 CFR 1355.20 applies. It defines foster care as "24 hour substitute care for all children placed away from their parents or guardians and for whom the State agency has placement and care responsibility...".
    Source/Date
    Questions and Answers on the Chafee Foster Care Independence Program
    Legal and Related References
    45 CFR 1355.20

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    2.1D CAPTA, Assurances and Requirements, Guardian Ad Litems

    Question Number 1:
    12/13/2011 - Current
    Question
    *What is the meaning of the requirement in section 106(b)(2)(B)(xiii) of CAPTA for guardians ad litem, including the requirement that they obtain a first-hand understanding of the situation and needs of the child?
    Answer
    *In order to provide States with more flexibility in appointing a guardian ad litem, the CAPTA clarifies that such guardian does not have to be an attorney, but also may be a court-appointed special advocate for the child. The Congress (in 1996) noted that, under the current system, there are more and more cases where an appointed guardian ad litem has no contact with the child and makes uninformed recommendations to the court. Therefore, language was added to clarify that the role of such individuals include obtaining a first-hand understanding of the situation in order to make an informed recommendation to the court (Congressional Record - House, September 25, 1996, p. H11149). In addition, Congress added language to this provision in 2003 via Public Law 108-36 to require that States train guardians ad litem appropriate to their role in representing children. Public law 111-320 (2010) further amended section 106(b)(2)(B)(xiii) to require that the training include early childhood, child, and adolescent development.
    Source/Date
    *ACYF-NCCAN-PIQ-97-01 (3/4/97); updated 2/3/05; 12/9/11
    Legal and Related References
    *Child Abuse Prevention and Treatment Act (CAPTA), as amended (42 U.S.C. 5101 et seq.) - section 106(b)(2)(B)(xiii)

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    04/17/2006 - 12/13/2011
    Question
    What is the meaning of the requirement in section 106 (b)(2)(ix) of CAPTA for guardians ad litem, including the requirement that they obtain a first-hand understanding of the situation and needs of the child?
    Answer
    *In order to provide States with more flexibility in appointing a guardian ad litem, the CAPTA clarifies that such guardian does not have to be an attorney, but also may be a court-appointed special advocate for the child. The Congress (in 1996) noted that, under the current system, there are more and more cases where an appointed guardian ad litem has no contact with the child and makes uninformed recommendations to the court. Therefore, language was added to clarify that the role of such individuals include obtaining a first-hand understanding of the situation in order to make an informed recommendation to the court (Congressional Record - House, September 25, 1996, p. H11149). In addition, Congress added language to this provision in 2003 via Public Law 108-36 to require that States train guardians ad litem appropriate to their role in representing children.
    Source/Date
    *ACYF-NCCAN-PIQ-97-01 (3/4/97); updated 2/3/05
    Legal and Related References
    *Child Abuse Prevention and Treatment Act (CAPTA), as amended (42 U.S.C. 5101 et seq.) - section 106(b)(2)(A)(xiii)

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    02/03/2005 - 04/17/2006
    Question
    What is the meaning of the requirement in section 106 (b)(2)(ix) of CAPTA for guardians ad litem, including the requirement that they obtain a first-hand understanding of the situation and needs of the child?
    Answer
    In order to provide States with more flexibility in appointing a guardian ad litem, the CAPTA clarifies that such guardian does not have to be an attorney, but also may be a court-appointed special advocate (CASA). The Congress noted that, under the current system, there are more and more cases where an appointed guardian ad litem has no contact with the child and makes uninformed recommendations to the court. Therefore, language was added to clarify that the role of such individuals include obtaining a first-hand understanding of the situation in order to make an informed recommendation to the court (Congressional Record - House, September 25, 1996, p. H11149).
    Source/Date
    *ACYF-NCCAN-PIQ-97-01 (3/4/97) (updated 2/3/05)
    Legal and Related References
    Child Abuse Prevention and Treatment Act (CAPTA), as amended (42 U.S.C. 5101 et seq.) - section 106

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    07/25/2000 - 02/03/2005 (Original Record)
    Question
    What is the meaning of the requirement in section 106 (b)(2)(ix) of CAPTA for guardians ad litem, including the requirement that they obtain a first-hand understanding of the situation and needs of the child?
    Answer
    In order to provide States with more flexibility in appointing a guardian ad litem, the CAPTA clarifies that such guardian does not have to be an attorney, but also may be a court-appointed special advocate (CASA). The Congress noted that, under the current system, there are more and more cases where an appointed guardian ad litem has no contact with the child and makes uninformed recommendations to the court. Therefore, language was added to clarify that the role of such individuals include obtaining a first-hand understanding of the situation in order to make an informed recommendation to the court (Congressional Record - House, September 25, 1996, p. H11149).
    Source/Date
    ACYF-NCCAN-PIQ-97-01 (3/4/97)
    Legal and Related References
    Child Abuse Prevention and Treatment Act (CAPTA), as amended (42 U.S.C. 5101 et seq.) - section 106

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    Question Number 2:
    12/13/2011 - Current
    Question
    The Child Abuse Prevention and Treatment Act (CAPTA) provision at section 106(b)(2)(B)(xiii) requires that attorneys or court-appointed special advocates who are appointed as guardians ad litem (GAL) receive training appropriate to their role. What are the minimum conditions for this requirement?
    Answer
    *The statute is clear that the State must have provisions and procedures in place to assure that every child who is the subject of an abuse or neglect proceeding is appointed a GAL, and that the GAL receive training appropriate to the role, including training that addresses early childhood, child, and adolescent development, prior to being appointed to represent the child in the proceeding regardless of whether the GAL is an attorney or court-appointed special advocate. The specifics of a State's plan for training its guardians ad litem may vary, depending upon individual State circumstances and needs. So long as the GAL is trained before s/he is appointed to represent a child, the CAPTA requirement will be met.
    Source/Date
    05/02/06; updated 12/9/11
    Legal and Related References
    Child Abuse Prevention and Treatment Act (CAPTA), as amended (42 U.S.C. 5101 et seq.) - section 106(b)(2)(B)(ix)

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    12/13/2011 - 12/13/2011
    Question
    *The Child Abuse Prevention and Treatment Act (CAPTA) provision at section 106(b)(2)(B)(xiii) requires that attorneys or court-appointed special advocates who are appointed as guardians ad litem (GAL) receive training appropriate to their role. What are the minimum conditions for this requirement?
    Answer
    *The statute is clear that the State must have provisions and procedures in place to assure that every child who is the subject of an abuse or neglect proceeding is appointed a GAL, and that the GAL receive training appropriate to the role, including training that addresses early childhood, child, and adolescent development, prior to being appointed to represent the child in the proceeding regardless of whether the GAL is an attorney or court-appointed special advocate. The specifics of a State?s plan for training its guardians ad litem may vary, depending upon individual State circumstances and needs. So long as the GAL is trained before s/he is appointed to represent a child, the CAPTA requirement will be met.
    Source/Date
    *05/02/06; updated 12/9/11
    Legal and Related References
    *Child Abuse Prevention and Treatment Act (CAPTA), as amended (42 U.S.C. 5101 et seq.) - section 106(b)(2)(B)(ix)

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    05/16/2006 - 12/13/2011 (Original Record)
    Question
    The Child Abuse Prevention and Treatment Act (CAPTA) provision at section 106(b)(2)(A)(xiii) requires that attorneys or court-appointed special advocates who are appointed as guardians ad litem (GAL) receive training appropriate to their role. What are the minimum conditions for this requirement?
    Answer
    The statute is clear that the State must have provisions and procedures in place to assure that every child who is the subject of an abuse or neglect proceeding is appointed a GAL, and that the GAL receive training appropriate to the role prior to being appointed to represent the child in the proceeding ? regardless of whether the GAL is an attorney or court-appointed special advocate. The specifics of a State?s plan for training its guardians ad litem may vary, depending upon the State?s individual circumstances and needs. So long as the GAL is trained before s/he is appointed to represent a child, the CAPTA requirement will be met.
    Source/Date
    05/02/06
    Legal and Related References
    Child Abuse Prevention and Treatment Act (CAPTA), as amended (42 U.S.C. 5101 et seq.) - section 106(b)(2)(A)(ix)

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    8.3A.1 TITLE IV-E, Foster Care Maintenance Payments Program, Eligibility, Adjudicated delinquents

    Question Number 1:
    10/23/2019 - Current
    Question
    Are adjudicated delinquents eligible for title IV-E foster care maintenance payments?
    Answer
    The question of eligibility for Federal reimbursement in the case of adjudicated delinquents rests on two factors: (1) eligibility of the child, and (2) the type of facility in which the child is placed. Any child for whom title IV-E foster care maintenance payments are claimed must meet the eligibility criteria described in section 472 (a) of the Social Security Act (the Act). These general requirements are: (a) The child must be a "dependent child" as defined in section 406 (a) or 407 of the Act (as in effect on July 16, 1996) and the applicable regulation, 45 CFR 233.90 (c)(1), but for his or her removal from the home of a specified relative; (b) That the child was eligible for Aid to Families with Dependent Children (AFDC) in the month described in section 472 (a)(3)(A)(i) of the Act and consistent with the contingencies explained in section 472 (a)(3)(A)(ii) of the Act; (c) The child must be removed from the home of a relative pursuant to a voluntary placement agreement or as the result of a judicial determination to the effect that continuation in the home would be contrary to the welfare of the child and that reasonable efforts were made prior to placement to prevent the need for removal of the child from his home; and (d) The child's placement and care must be the responsibility of the title IV-E agency or another public agency with whom the title IV-E agency has a currently effective agreement.

    If the child meets the title IV-E eligibility requirements, FFP may be claimed for foster care costs in licensed or approved facilities as described in sections 472 (b) and (c) of the Act. Such facilities, however, may not include "detention facilities, forestry camps, training schools, or any other facility operated primarily for the detention of children who are determined to be delinquent."

    Source/Date
    *ACYF-CB-PIQ-82-10 (8/11/82); ACYF-CB-PIQ-88-03 (4/11/88); 10/23/2019
    Legal and Related References
    *Social Security Act - sections 406 (a) and 407 (as in effect on July 16, 1996) 472 and 479B; 45 CFR 1355.20 and 233.90 (c)(1)

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    07/24/2006 - 10/23/2019
    Question
    Are adjudicated delinquents eligible for title IV-E foster care maintenance payments?
    Answer
    *The question of eligibility for Federal reimbursement in the case of adjudicated delinquents rests on two factors: (1) eligibility of the child, and (2) the type of facility in which the child is placed. Any child for whom title IV-E foster care maintenance payments are claimed must meet the eligibility criteria described in section 472 (a) of the Social Security Act (the Act). These general requirements are: (a) The child must be a "dependent child" as defined in section 406 (a) or 407 of the Act (as in effect on July 16, 1996) and the applicable regulation, 45 CFR 233.90 (c)(1), but for his or her removal from the home of a specified relative; (b) That the child was eligible for Aid to Families with Dependent Children (AFDC) in the month described in section 472 (a)(3)(A)(i) of the Act and consistent with the contingencies explained in section 472 (a)(3)(A)(ii) of the Act; (c) The child must be removed from the home of a relative pursuant to a voluntary placement agreement or as the result of a judicial determination to the effect that continuation in the home would be contrary to the welfare of the child and that reasonable efforts were made prior to placement to prevent the need for removal of the child from his home; and (d) The child''s placement and care must be the responsibility of the State title IV-E agency or another public agency with whom the State agency has a currently effective agreement.

    If the child meets the title IV-E eligibility requirements, FFP may be claimed for foster care costs in licensed or approved facilities as described in section 472 (b) and (c) of the Act. Such facilities, however, may not include "detention facilities, forestry camps, training schools, or any other facility operated primarily for the detention of children who are determined to be delinquent."

    Source/Date
    ACYF-CB-PIQ-82-10 (8/11/82); ACYF-CB-PIQ-88-03 (4/11/88)
    Legal and Related References
    Social Security Act - sections 406 (a) and 407 (as in effect on July 16, 1996) and 472; 45 CFR 1355.20 and 233.90 (c)(1)

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    09/15/2000 - 07/24/2006 (Original Record)
    Question
    Are adjudicated delinquents eligible for title IV-E foster care maintenance payments?
    Answer
    The question of eligibility for Federal reimbursement in the case of adjudicated delinquents rests on two factors: (1) eligibility of the child, and (2) the type of facility in which the child is placed. Any child for whom title IV-E foster care maintenance payments are claimed must meet the eligibility criteria described in section 472 (a) of the Social Security Act (the Act). These general requirements are: (a) The child must be a "dependent child" as defined in section 406 (a) or 407 of the Act (as in effect on July 16, 1996) and the applicable regulation, 45 CFR 233.90 (c)(1), but for his or her removal from the home of a specified relative; (b) That the child was eligible for Aid to Families with Dependent Children (AFDC) in the month described in section 472 (a)(4)(A) of the Act and consistent with the contingencies explained in section 472 (a)(4)(B) of the Act; (c) The child must be removed from the home of a relative pursuant to a voluntary placement agreement or as the result of a judicial determination to the effect that continuation in the home would be contrary to the welfare of the child and that reasonable efforts were made prior to placement to prevent the need for removal of the child from his home; and (d) The child''s placement and care must be the responsibility of the State title IV-E agency or another public agency with whom the State agency has a currently effective agreement.

    If the child meets the title IV-E eligibility requirements, FFP may be claimed for foster care costs in licensed or approved facilities as described in section 472 (b) and (c) of the Act. Such facilities, however, may not include "detention facilities, forestry camps, training schools, or any other facility operated primarily for the detention of children who are determined to be delinquent."

    Source/Date
    ACYF-CB-PIQ-82-10 (8/11/82); ACYF-CB-PIQ-88-03 (4/11/88)
    Legal and Related References
    Social Security Act - sections 406 (a) and 407 (as in effect on July 16, 1996) and 472; 45 CFR 1355.20 and 233.90 (c)(1)

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    Question Number 2:
    07/24/2006 - Current
    Question
    If a temporary detention order states that the child is to be detained until sentencing because there is reason to believe he would run away, would this satisfy the requirement for a determination regarding "contrary to the welfare?"
    Answer
    No. This language could not be construed to mean that to continue in the home would be "contrary to the (child's) welfare." It is important to remember that the judicial determinations required for title IV-E eligibility were intended to ensure that children were not removed from their homes unnecessarily. In juvenile justice procedures, where children are removed for correctional purposes, the courts must determine that continuation in the home would be contrary to the child's welfare if title IV-E eligibility is to be established.
    Source/Date
    ACYF-CB-PIQ-91-03 (4/3/91)
    Legal and Related References
    *Social Security Act - sections 472 (a)(2)(A)(ii)

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    09/15/2000 - 07/24/2006 (Original Record)
    Question
    If a temporary detention order states that the child is to be detained until sentencing because there is reason to believe he would run away, would this satisfy the requirement for a determination regarding "contrary to the welfare?"
    Answer
    No. This language could not be construed to mean that to continue in the home would be "contrary to the (child''s) welfare." It is important to remember that the judicial determinations required for title IV-E eligibility were intended to ensure that children were not removed from their homes unnecessarily. In juvenile justice procedures, where children are removed for correctional purposes, the courts must determine that continuation in the home would be contrary to the child''s welfare if title IV-E eligibility is to be established.
    Source/Date
    ACYF-CB-PIQ-91-03 (4/3/91)
    Legal and Related References
    Social Security Act - sections 472 (a)(1)

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    Question Number 3:
    07/24/2006 - Current
    Question
    Court orders that sentence a child to a juvenile detention facility often include language which differs from that in a dependency order resulting in a foster care placement. Does language in a detention order indicating that the child is a "threat to himself or the community" meet the requirement in section 472 of the Social Security Act regarding "contrary to the welfare?"
    Answer
    A court order indicating that the child is a threat to himself satisfies the requirement of a determination that remaining in the home would be contrary to the child's welfare. However, if the court order indicates only that the child is a threat to the community, such language would not satisfy the requirement for a determination that continuation in the home would be contrary to the child's welfare.
    Source/Date
    ACYF-CB-PIQ-91-03 (4/3/91)
    Legal and Related References
    *Social Security Act - sections 472 (a)(2)(A)(ii)

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    10/01/2000 - 07/24/2006 (Original Record)
    Question
    Court orders that sentence a child to a juvenile detention facility often include language which differs from that in a dependency order resulting in a foster care placement. Does language in a detention order indicating that the child is a "threat to himself or the community" meet the requirement in section 472 of the Social Security Act regarding "contrary to the welfare?"
    Answer
    A court order indicating that the child is a threat to himself satisfies the requirement of a determination that remaining in the home would be contrary to the child''s welfare. However, if the court order indicates only that the child is a threat to the community, such language would not satisfy the requirement for a determination that continuation in the home would be contrary to the child''s welfare.
    Source/Date
    ACYF-CB-PIQ-91-03 (4/3/91)
    Legal and Related References
    Social Security Act - sections 472 (a)(1)

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    8.2B.4 TITLE IV-E, Adoption Assistance Program, Eligibility, Deceased adoptive parents/dissolved adoptions

    Question Number 1:
    10/25/2017 - Current
    Question
    Please explain the requirements regarding a child's eligibility for title IV-E adoption assistance when the adoptive parents die or the adoption is dissolved.
    Answer
    *In the situation where a child is adopted and receives title IV-E adoption assistance, but the adoption later dissolves or the adoptive parents die, a child may continue to be eligible for title IV-E adoption assistance in a subsequent adoption. The only determination that must be made by the title IV-E agency prior to the finalization of the subsequent adoption is whether the child is a child with special needs, consistent with the requirements in section 473(c) of the Act. Eligibility factors in sections 473(a)(2)(A) of the Act must not be redetermined when such a child is subsequently adopted because the child is to be treated as though his or her circumstances are the same as those prior to his or her previous adoption. Since title IV-E adoption assistance eligibility need not be re-established in such subsequent adoptions, the manner of a child's removal from the adoptive home, including whether the child is voluntarily relinquished to an individual or private agency, is irrelevant.
    Source/Date
    ACYF-CB-PA-01-01 (1/23/01)
    Legal and Related References
    Social Security Act - section 473(a)(2)(A) and (C) and 473(c)

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    07/24/2006 - 10/25/2017
    Question
    Please explain the requirements regarding a child's eligibility for title IV-E adoption assistance when the adoptive parents die or the adoption is dissolved.
    Answer
    *In the situation where a child is adopted and receives title IV-E adoption assistance, but the adoption later dissolves or the adoptive parents die, a child may continue to be eligible for title IV-E adoption assistance in a subsequent adoption. The only determination that must be made by the State prior to the finalization of the subsequent adoption is whether the child is a child with special needs, consistent with the requirements in section 473 (c) of the Act. Need and eligibility factors in sections 473 (a)(2)(A) of the Act must not be redetermined when such a child is subsequently adopted because the child is to be treated as though his or her circumstances are the same as those prior to his or her previous adoption. Since title IV-E adoption assistance eligibility need not be re-established in such subsequent adoptions, the manner of a child''s removal from the adoptive home, including whether the child is voluntarily relinquished to an individual or private agency, is irrelevant.
    Source/Date
    ACYF-CB-PA-01-01 (1/23/01)
    Legal and Related References
    *Social Security Act - section 473(a)(2)(A) and (C) and 473(c)

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    02/19/2001 - 07/24/2006 (Original Record)
    Question
    Please explain the requirements regarding a child's eligibility for title IV-E adoption assistance when the adoptive parents die or the adoption is dissolved.
    Answer
    In the situation where a child is adopted and receives title IV-E adoption assistance, but the adoption later dissolves or the adoptive parents die, a child may continue to be eligible for title IV-E adoption assistance in a subsequent adoption. The only determination that must be made by the State prior to the finalization of the subsequent adoption is whether the child is a child with special needs, consistent with the requirements in section 473 (c) of the Act. Need and eligibility factors in sections 473 (a)(2)(A) and (B) of the Act must not be redetermined when such a child is subsequently adopted because the child is to be treated as though his or her circumstances are the same as those prior to his or her previous adoption. Since title IV-E adoption assistance eligibility need not be re-established in such subsequent adoptions, the manner of a child''s removal from the adoptive home, including whether the child is voluntarily relinquished to an individual or private agency, is irrelevant.
    Source/Date
    ACYF-CB-PA-01-01 (1/23/01)
    Legal and Related References
    Social Security Act - section 473(a)(2) and 473(c)

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    7.2 TITLE IV-B, Confidentiality

    Question Number 1:
    09/28/2011 - Current
    Question
    What are the title IV-B confidentiality requirements?
    Answer
    *In accordance with 45 CFR 1355.30 (p)(3) records maintained under title IV-B of the Act are subject to the confidentiality provisions in 45 CFR 205.50. Among other things, 45 CFR 205.50 restricts the release or use of information concerning individuals receiving financial assistance under the programs governed by this provision to certain persons or agencies that require the information for specified purposes. The authorized recipients of this information are in turn subject to the same confidentiality standards as the agencies administering those programs. To the extent that the records of the title IV-B agency contain information regarding child abuse and neglect reports and records, such information is subject to the confidentiality requirements at section 106 of the Child Abuse Prevention and Treatment Act (CAPTA).
    Source/Date
    *ACYF-NCCAN-PIQ-97-03 (9/27/97); ACYF-CB-PIQ-98-01 (6/29/98); updated 9/27/11
    Legal and Related References
    *Social Security Act - section 471 (a)(8); 45 CFR 205.50Child Abuse Prevention and Treatment Act (CAPTA), as amended (42 U.S.C. 5101 et seq.) - sections 106 (b)(2)(B) (viii), (ix), and (x) and 106(c)(4)(B)

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    08/07/2000 - 09/28/2011 (Original Record)
    Question
    What are the title IV-B confidentiality requirements?
    Answer
    In accordance with 45 CFR 1355.30 (p)(3) records maintained under title IV-B of the Act are subject to the confidentiality provisions in 45 CFR 205.50. Among other things, 45 CFR 205.50 restricts the release or use of information concerning individuals receiving financial assistance under the programs governed by this provision to certain persons or agencies that require the information for specified purposes. The authorized recipients of this information are in turn subject to the same confidentiality standards as the agencies administering those programs.

    To the extent that the records of the title IV-B agency contain information regarding child abuse and neglect reports and records, such information is subject to the confidentiality requirements at section 106 of the Child Abuse Prevention and Treatment Act (CAPTA).

    Source/Date
    ACYF-NCCAN-PIQ-97-03 (9/27/97); ACYF-CB-PIQ-98-01 (6/29/98)
    Legal and Related References
    Social Security Act - section 471 (a)(8); 45 CFR 205.50; 45 CFR 1355.21 (a); Child Abuse Prevention and Treatment Act (CAPTA), as amended (42 U.S.C. 5101 et seq.) - sections 106 (b)(2)(A)(v) and (vi)

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    Question Number 5:
    09/28/2011 - Current
    Question
    *Will States compromise compliance with title IV-B of the Social Security Act if they comply with the confidentiality requirements in sections 106 (b)(2)(B)(viii), (ix), and (x) of CAPTA?
    Answer
    *Records maintained under title IV-B (which is subject to the Department's confidentiality provisions in 45 CFR 205.50) are to be safeguarded against unauthorized disclosure. The regulation at 45 CFR 205.50 states that the release or use of information concerning individuals applying for or receiving financial assistance is restricted to certain persons or agencies that require it for specified purposes. Such recipients of information are in turn subject to standards of confidentiality comparable to those of the agency administering the financial assistance programs. There may be instances where CPS information is subject both to disclosure requirements under CAPTA and to the confidentiality requirements under 45 CFR 205.50. To the extent that the CAPTA provisions require disclosure (such as in section 106 (b)(2)(B)(ix), the CAPTA disclosure provision would prevail in the event of a conflict since the CAPTA confidentiality provisions were most recently enacted. Whereas the CAPTA provision is permissive (such as in sections 106 (b)(2)(B)(viii)(I)-(VI)), it allows States to disclose such information without violating CAPTA, but it does not make such disclosure permissible in other programs if it is not otherwise allowed under the other program's governing statute or regulations.
    Source/Date
    *ACYF-NCCAN-PIQ-97-03 (9/26/97); updated 9/27/11
    Legal and Related References
    Child Abuse Prevention and Treatment Act (CAPTA), as amended (42 U.S.C. 5101 et seq.) - section 106

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    11/05/2000 - 09/28/2011 (Original Record)
    Question
    Will States compromise compliance with title IV-B of the Social Security Act if they comply with the confidentiality requirements in sections 106 (b)(2)(v) and (vi) of CAPTA?
    Answer
    Records maintained under title IV-B (which is subject to the Department''s confidentiality provisions in 45 CFR 205.50) are to be safeguarded against unauthorized disclosure. The regulation at 45 CFR 205.50 states that the release or use of information concerning individuals applying for or receiving financial assistance is restricted to certain persons or agencies that require it for specified purposes. Such recipients of information are in turn subject to standards of confidentiality comparable to those of the agency administering the financial assistance programs.

    There may be instances where CPS information is subject both to disclosure requirements under CAPTA and to the confidentiality requirements under 45 CFR 205.50. To the extent that the CAPTA provisions require disclosure (such as in section 106 (b)(2)(A)(vi), the CAPTA disclosure provision would prevail in the event of a conflict since the CAPTA confidentiality provisions were most recently enacted. Whereas the CAPTA provision is permissive (such as in sections 106 (b)(2)(A)(v)(I)-(VI)), it allows States to disclose such information without violating CAPTA, but it does not make such disclosure permissible in other programs if it is not otherwise allowed under the other program''s governing statute or regulations.

    Source/Date
    ACYF-NCCAN-PIQ-97-03 (9/26/97)
    Legal and Related References
    Child Abuse Prevention and Treatment Act (CAPTA), as amended (42 U.S.C. 5101 et seq.) - section 106

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    Question Number 6:
    06/19/2008 - Current
    Question
    *Some States have enacted laws that allow open courts for juvenile protection proceedings, including child in need of protection or services hearings, termination of parental rights hearings, long-term foster care hearings and in courts where dependency petitions are heard. Questions have arisen about whether courts that are open to the public and allow a verbal exchange of confidential information meet the confidentiality requirements under title IV-B. Do the confidentiality provisions for title IV-B restrict the information that can be discussed in open court?
    Answer
    *No. Section 471(c) of the Social Security Act allows States to set their own policies relating to public access to court proceedings to determine child abuse and neglect or other court hearings held pursuant to titles IV-B or IV-E. Such policies must, at a minimum, ensure the safety and well-being of the child, his or her parents and family.
    Source/Date
    *06/19/08
    Legal and Related References
    *Social Security Act - section 471 (a)(8) and (c)

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    04/01/2001 - 06/19/2008 (Original Record)
    Question
    Some States have enacted laws that allow open courts for juvenile protection proceedings, including child in need of protection or services hearings, termination of parental rights hearings, long-term foster care hearings and in courts where dependency petitions are heard. Questions have arisen about whether courts that are open to the public and allow a verbal exchange of confidential information meet the confidentiality requirements under title IV-B. Do the confidentiality provisions for title IV-B restrict the information that can be discussed in open court?
    Answer
    Yes. The purpose of the confidentiality provision is to protect the privacy rights of individuals receiving services or assistance under this program and to assure that confidential information is not disclosed to unauthorized recipients. Although, under title IV-B, confidential information may be shared with the courts, there is no provision which allows for public disclosure of such information. The confidentiality requirements of title IV-B do not prohibit open courts per se. However, to the extent that the proceedings involve discussion of confidential information concerning a child or family who is receiving the title IV-B child welfare services, the confidentiality requirements apply. Accordingly, such information cannot be discussed in a public forum, including an open court. To the extent that confidential information is relevant to the proceedings, it must be discussed in the court''s chambers or some other restricted setting, and the pertinent sections of the transcript must be kept confidential as well.

    Violation of the Federal confidentiality provision is a State plan compliance issue under title IV-B.

    Source/Date
    ACYF-CB-PIQ-98-01 (6/29/98)
    Legal and Related References
    Social Security Act - section 471 (a)(8); Child Abuse Prevention and Treatment Act (CAPTA), as amended (42 U.S.C. 5101 et seq.) - section 106; 45 CFR 205.50; 45 CFR 1355.21 (a)

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    8.1E TITLE IV-E, Administrative Functions/Costs, Contracting

    Question Number 1:
    12/17/2019 - Current
    Question
    Under the title IV-E foster care program may the title IV-E agency contract for some child foster care functions (administrative or otherwise) and still be eligible for Federal financial participation (FFP), as long as the title IV-E agency retains responsibility for the placement and care of the child?
    Answer
    Yes. Under title IV-E, such functions as training, recruiting or licensing of foster homes for which the title IV-E agency contracts with private agencies are defined as allowable costs for the proper administration of the title IV-E plan and may be claimed for purposes of Federal financial participation (FFP). Responsibility for the placement and care of the foster child, however, must remain with the title IV-E agency.
    Source/Date
    *ACYF-CB-PIQ-82-07 (8/25/82); (12/17/2019)
    Legal and Related References
    Social Security Act - sections 474(a)(3)(B) and 479B

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    12/17/2019 - 12/17/2019
    Question
    *Under the title IV-E foster care program may the title IV-E agency contract for some child foster care functions (administrative or otherwise) and still be eligible for Federal financial participation (FFP), as long as the title IV-E agency retains responsibility for the placement and care of the child?
    Answer
    *Yes. Under title IV-E, such functions as training, recruiting or licensing of foster homes for which the title IV-E agency contracts with private agencies are defined as allowable costs for the proper administration of the title IV-E plan and may be claimed for purposes of Federal financial participation (FFP). Responsibility for the placement and care of the foster child, however, must remain with the title IV-E agency.
    Source/Date
    *ACYF-CB-PIQ-82-07 (8/25/82); 12/17/19
    Legal and Related References
    *Social Security Act - sections 474(a)(3)(B) and 479B

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    09/11/2000 - 12/17/2019 (Original Record)
    Question
    Under the title IV-E foster care program may the title IV-E State agency contract for some child foster care functions (administrative or otherwise) and still be eligible for Federal financial participation (FFP), as long as the State agency retains responsibility for the placement and care of the child?
    Answer
    Yes. Under title IV-E, such functions as training, recruiting or licensing of foster homes for which the State contracts with private agencies are defined as allowable costs for the proper administration of the State plan and may be claimed for purposes of Federal financial participation (FFP). Responsibility for the placement and care of the foster child, however, must remain with the State agency.
    Source/Date
    ACYF-CB-PIQ-82-07 (8/25/82)
    Legal and Related References
    Social Security Act - section 474 (a)(3)(B)

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    Question Number 2:
    12/17/2019 - Current
    Question
    Title IV-E administrative costs may be claimed for activities completed by child placing agencies. When an institution participates in case review, case supervision and case management, can an allocated amount of this time be charged to title IV-E administration? If not, what is the appropriate way of allocating these costs? When an institution participates in making a treatment plan and in daily recording of a child's progress, to what should these activities be allocated?
    Answer
    The first statement in the question is not entirely accurate. Title IV-E administrative costs may be claimed when the title IV-E agency contracts with child-placing agencies to perform foster care related administrative functions of the title IV-E agency.

    45 CFR 1356.60(c)(2) includes in the list of allowable title IV-E administrative costs as those costs which are necessary for the administration of the foster care program.

    Costs for these title IV-E administrative activities, when performed by a child-care institution, may be claimed by the title IV-E agency as title IV-E administrative costs if the title IV-E agency contracts with the institution to perform these activities. These costs may not also be claimed as part of the child's title IV-E maintenance payment.

    The institution's provision of social services in relation to the child's personal or behavioral problems, counseling to ameliorate home conditions and daily recording of progress would not be considered administrative activities of the title IV-E foster care maintenance program and the costs are not allowable for purposes of Federal financial participation (45 CFR 1356.60(c)(3)).

    Source/Date
    *ACYF-CB-PIQ-85-06 (6/5/85); (12/17/2019)
    Legal and Related References
    Social Security Act - sections 474 and 479B; 45 CFR 1356.60(c)

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    12/17/2019 - 12/17/2019
    Question
    *Title IV-E administrative costs may be claimed for activities completed by child placing agencies. When an institution participates in case review, case supervision and case management, can an allocated amount of this time be charged to title IV-E administration? If not, what is the appropriate way of allocating these costs? When an institution participates in making a treatment plan and in daily recording of a child's progress, to what should these activities be allocated?
    Answer
    *The first statement in the question is not entirely accurate. Title IV-E administrative costs may be claimed when the title IV-E agency contracts with child-placing agencies to perform foster care related administrative functions of the title IV-E agency.

    45 CFR 1356.60(c)(2) includes in the list of allowable title IV-E administrative costs as those costs which are necessary for the administration of the foster care program.

    Costs for these title IV-E administrative activities, when performed by a child-care institution, may be claimed by the title IV-E agency as title IV-E administrative costs if the title IV-E agency contracts with the institution to perform these activities. These costs may not also be claimed as part of the child''s title IV-E maintenance payment.

    The institution''s provision of social services in relation to the child''s personal or behavioral problems, counseling to ameliorate home conditions and daily recording of progress would not be considered administrative activities of the title IV-E foster care maintenance program and the costs are not allowable for purposes of Federal financial participation (45 CFR 1356.60(c)(3)).

    Source/Date
    *ACYF-CB-PIQ-85-06 (6/5/85); 12/17/19
    Legal and Related References
    *Social Security Act - sections 474 and 479B; 45 CFR 1356.60(c)

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    10/01/2000 - 12/17/2019 (Original Record)
    Question
    Title IV-E administrative costs may be claimed for activities completed by child placing agencies. When an institution participates in case review, case supervision and case management, can an allocated amount of this time be charged to title IV-E administration? If not, what is the appropriate way of allocating these costs? When an institution participates in making a treatment plan and in daily recording of a child's progress, to what should these activities be allocated?
    Answer
    The first statement in the question is not entirely accurate. Title IV-E administrative costs may be claimed when the State contracts with child-placing agencies to perform foster care related administrative functions of the State.

    45 CFR 1356.60 (c)(2) includes in the list of allowable State administrative costs those costs which are necessary for the administration of the foster care program.

    Costs for these State administrative activities, when performed by a child-care institution, may be claimed by the State as the State''s administrative costs if the State contracts with the institution to perform these activities. These costs may not also be claimed as part of the child''s title IV-E maintenance payment.

    The institution''s provision of social services in relation to the child''s personal or behavioral problems, counseling to ameliorate home conditions and daily recording of progress would not be considered administrative activities of the title IV-E foster care maintenance program and the costs are not allowable for purposes of Federal financial participation (45 CFR 1356.60 (c)(3)).

    Source/Date
    ACYF-CB-PIQ-85-06 (6/5/85)
    Legal and Related References
    45 CFR 1356.60 (c)

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    Question Number 3:
    12/17/2019 - Current
    Question
    May title IV-E agencies contract with another organization, such as a community college to conduct training on behalf of the title IV-E agency? This training would be considered title IV-E agency training, not educational institution training?
    Answer
    Yes. Section 474(a)(3)(A) of the Social Security Act provides for Federal financial participation (FFP) in the costs of training personnel employed by or preparing for employment with the title IV-E agency. Section 474(a)(3)(B) covers other administrative expenditures, including the training of foster parents. It is within the discretion and flexibility of the title IV-E agency to determine the most efficacious and cost effective means of meeting the short and long term training needs of the title IV-E agencies.
    Source/Date
    *ACYF-CB-PIQ-82-17 (10/14/82); (12/17/2019)
    Legal and Related References
    Social Security Act - sections 474(a) and 479B

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    12/17/2019 - 12/17/2019
    Question
    *May title IV-E agencies contract with another organization, such as a community college to conduct training on behalf of the title IV-E agency? This training would be considered title IV-E agency training, not educational institution training?
    Answer
    *Yes. Section 474(a)(3)(A) of the Social Security Act provides for Federal financial participation (FFP) in the costs of training personnel employed by or preparing for employment with the title IV-E agency. Section 474(a)(3)(B) covers other administrative expenditures, including the training of foster parents. It is within the discretion and flexibility of the title IV-E agency to determine the most efficacious and cost effective means of meeting the short and long term training needs of the title IV-E agencies.
    Source/Date
    *ACYF-CB-PIQ-82-17 (10/14/82); 12/17/19
    Legal and Related References
    *Social Security Act - sections 474(a) and 479B

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    05/06/2001 - 12/17/2019 (Original Record)
    Question
    May State agencies contract with another organization, such as a community college to conduct training on behalf of the State agency? This training would be considered State agency training, not educational institution training?
    Answer
    Yes. Section 474 (a)(3)(A) of the Social Security Act provides for Federal financial participation (FFP) in the costs of training personnel employed by or preparing for employment with the State or local agency. Section 474 (a)(3)(B) covers other administrative expenditures, including the training of foster parents. It is within the discretion and flexibility of the State agency to determine the most efficacious and cost effective means of meeting the short and long term training needs of the State and local agencies.
    Source/Date
    ACYF-CB-PIQ-82-17 (10/14/82)
    Legal and Related References
    Social Security Act - section 474 (a)

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    Question Number 4:
    03/14/2007 - Current
    Question
    May title IV-E foster care maintenance payments flow through a for-profit entity to the foster care provider?
    Answer
    *Yes. The Fair Access Foster Care Act of 2005 (Public Law 109-113), which took effect on November 22, 2005, amended section 472(b) of the Social Security Act to eliminate the prohibition against making foster care maintenance payments through a for-profit entity.
    Source/Date
    *01/29/07
    Legal and Related References
    *Social Security Act, section 472; Public Law 109-113

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    05/06/2001 - 03/14/2007 (Original Record)
    Question
    May title IV-E foster care maintenance payments flow through a for-profit entity to the foster care provider?
    Answer
    No. Foster care maintenance payments must be made directly to foster family homes or child-care institutions from the State child welfare agency or through the public or private nonprofit child-placement or child-care agency with which the State contracts for making and/or supervising placements. Federal financial participation is not available for foster care maintenance payments made through a for-profit child-placing or child-care agency.
    Source/Date
    ACYF-CB-PA-97-01 (7/25/97)
    Legal and Related References
    Social Security Act - sections 472 and 473

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    8.5C.1 Guardianship Assistance Program, Payments, Termination

    Question Number 1:
    03/11/2011 - Current
    Question
    May a title IV-E agency include a provision in the Guardianship Assistance Program (GAP) agreement terminating payments if the guardian and the child move to another country?
    Answer
    *Yes. The title IV-E agency has the flexibility to include a provision in the GAP agreement terminating payments if the guardian and the child move to another country. ACYF-CB-PI-10-11 states that a title IV-E agency has broad discretion to establish how it will evaluate, reevaluate, or terminate GAP agreements. The PI states, "[f]or example, a title IV-E agency may establish agreements that: . . . allow the agency to suspend or discontinue guardianship assistance payments when a certain event occurs." Accordingly, a title IV-E agency may provide in the GAP agreement that moving to another country is an event that could cause the suspension or discontinuation of GAP payments.
    Source/Date
    2/24/2011
    Legal and Related References
    Social Security Act ¿ Section 473(d)(1), ACYF-CB-PI-10-11

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    02/25/2011 - 03/11/2011 (Original Record)
    Question
    May a title IV-E agency include a provision in the Guardianship Assistance Program (GAP) agreement terminating payments if the guardian and the child move to another country?
    Answer
    Yes. The title IV-E agency has the flexibility to include a provision in the GAP agreement terminating payments if the guardian and the child move to another country. ACYF-CB-PI-10-11 states that a title IV-E agency has broad discretion to establish how it will evaluate, reevaluate, or terminate GAP agreements. The PI states, ?[f]or example, a title IV-E agency may establish agreements that: . . . allow the agency to suspend or discontinue guardianship assistance payments when a certain event occurs.? Accordingly, a title IV-E agency may provide in the GAP agreement that moving to another country is an event that could cause the suspension or discontinuation of GAP payments.
    Source/Date
    2/24/2011
    Legal and Related References
    Social Security Act ¿ Section 473(d)(1), ACYF-CB-PI-10-11

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    6.1 CCWIS Definitions

    6.3 CCWIS data

    6.3A Federal data

    Question Number 1:
    01/11/2017 - Current
    Question
    What federal data are required to be maintained in CCWIS per paragraph 1355.52(b)?
    Answer
    *The federal data required to be maintained in CCWIS are described in federal child welfare laws and policies. Because the required federal data may change as laws and policies change, paragraph 1355.52(b) lists categories of data from these laws and policies rather than specify a comprehensive set of federal data. ACF will use the federal laws, regulations, and policies effective at the time of a CCWIS review to determine compliance with paragraph 1355.52(b). Below are examples of required federal data, based on laws and policies in effect at the time the CCWIS final rule was published.

    Examples of federal data required to be maintained in CCWIS for ongoing federal child welfare reports include:

    - All AFCARS data;

    - For state title IV-E agencies, NYTD case management data must be maintained in CCWIS, although NYTD outcomes information collected from periodic surveys may be maintained in external systems;

    - Financial information for the CB-496, such as training costs, demonstration project costs, and administrative costs may be maintained in a separate financial system that exchanges data with CCWIS per paragraph 1355.52 (e)(1)(i). Other data, such as the average monthly number of children receiving title IV-E Foster Care maintenance assistance payments, may be derived from CCWIS case management and placement records.

    - Examples of federal data required for title IV-E eligibility determinations, authorizations of services, and expenditures under titles IV-B and IV-E include:

    - Data necessary for title IV-E eligibility determinations includes data such as the factors used to demonstrate the child would qualify for AFDC under the 1996 plan, placement licensing and background check information, and court findings.

    - Data required for authorizations of services and other expenditures under titles IV-B and IV-E includes data such as documentation of services authorized, records that the services were delivered, payments processed, and payment status, including whether the payment will be allocated to one or more federal, state, or tribal programs for reimbursement, and the payment amount allocated.

    - Financial information may be maintained in a financial system exchanging data with CCWIS.

    Examples of federal data documenting interactions with and on behalf of clients that the title IV-E agency determines is needed to support federal child welfare laws, regulations, and policies include:

    - case management information,

    - recommended services,

    - placement data, and

    - licensing information on foster care providers.

    Examples of federal case management data collected in the course of casework with clients that may be needed for a Child and Family Services Review (CFSR) includes:

    - abuse and neglect reports,

    - case plans, and

    - placement histories.

    Source/Date
    10/27/2016
    Legal and Related References
    Section 474(a)(3)(C)(i) of the Social Security Act; 45 CFR 1355.52(b); 81 FR 35450 at35454 - 35455 (issued June 2, 2016); 80 FR 48200 at 48206 - 48207 (issued August 11, 2016); ACYF-CB-PI-10-04 (issued April 2, 2010)

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    01/11/2017 - 02/19/2021
    Question
    What federal data are required to be maintained in CCWIS per paragraph 1355.52(b)?
    Answer
    The federal data required to be maintained in CCWIS are described in federal child welfare laws and policies. Because the required federal data may change as laws and policies change, paragraph 1355.52(b) lists categories of data from these laws and policies rather than specify a comprehensive set of federal data. ACF will use the federal laws, regulations, and policies effective at the time of a CCWIS review to determine compliance with paragraph 1355.52(b). Below are examples of required federal data, based on laws and policies in effect at the time the CCWIS final rule was published.

    Examples of federal data required to be maintained in CCWIS for ongoing federal child welfare reports include:

    • All AFCARS data;
    • For state title IV-E agencies, NYTD case management data must be maintained in CCWIS, although NYTD outcomes information collected from periodic surveys may be maintained in external systems;
    • Financial information for the CB-496, such as training costs, demonstration project costs, and administrative costs may be maintained in a separate financial system that exchanges data with CCWIS per paragraph 1355.52 (e)(1)(i). Other data, such as the average monthly number of children receiving title IV-E Foster Care maintenance assistance payments, may be derived from CCWIS case management and placement records.

    Examples of federal data required for title IV-E eligibility determinations, authorizations of services, and expenditures under titles IV-B and IV-E include:

    • Data necessary for title IV-E eligibility determinations includes data such as the factors used to demonstrate the child would qualify for AFDC under the 1996 plan, placement licensing and background check information, and court findings.
    • Data required for authorizations of services and other expenditures under titles IV-B and IV-E includes data such as documentation of services authorized, records that the services were delivered, payments processed, and payment status, including whether the payment will be allocated to one or more federal, state, or tribal programs for reimbursement, and the payment amount allocated.
    • Financial information may be maintained in a financial system exchanging data with CCWIS.

    Examples of federal data documenting interactions with and on behalf of clients that the title IV-E agency determines is needed to support federal child welfare laws, regulations, and policies include:

    • case management information,
    • recommended services,
    • placement data, and
    • licensing information on foster care providers.

    Examples of federal case management data collected in the course of casework with clients that may be needed for a Child and Family Services Review (CFSR) includes:

    • abuse and neglect reports,
    • case plans, and
    • placement histories.
    Source/Date
    10/27/2016
    Legal and Related References
    *Section 474(a)(3)(C)(i) of the Social Security Act; 45 CFR 1355.52(b); 81 FR 35450 at35454 - 35455 (issued June 2, 2016); 80 FR 48200 at 48206 - 48207 (issued August 11, 2016); ACYF-CB-PI-10-04 (issued April 2, 2010)

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    01/11/2017 - 01/28/2018
    Question
    *What federal data are required to be maintained in CCWIS per paragraph 1355.52(b)?
    Answer
    *The federal data required to be maintained in CCWIS are described in federal child welfare laws and policies. Because the required federal data may change as laws and policies change, paragraph 1355.52(b) lists categories of data from these laws and policies rather than specify a comprehensive set of federal data. ACF will use the federal laws, regulations, and policies effective at the time of a CCWIS review to determine compliance with paragraph 1355.52(b). Below are examples of required federal data, based on laws and policies in effect at the time the CCWIS final rule was published.

    Examples of federal data required to be maintained in CCWIS for ongoing federal child welfare reports include:

    • All AFCARS data;
    • For state title IV-E agencies, NYTD case management data must be maintained in CCWIS, although NYTD outcomes information collected from periodic surveys may be maintained in external systems;
    • Financial information for the CB-496, such as training costs, demonstration project costs, and administrative costs may be maintained in a separate financial system that exchanges data with CCWIS per paragraph 1355.52 (e)(1)(i). Other data, such as the average monthly number of children receiving title IV-E Foster Care maintenance assistance payments, may be derived from CCWIS case management and placement records.

    Examples of federal data required for title IV-E eligibility determinations, authorizations of services, and expenditures under titles IV-B and IV-E include:

    • Data necessary for title IV-E eligibility determinations includes data such as the factors used to demonstrate the child would qualify for AFDC under the 1996 plan, placement licensing and background check information, and court findings.
    • Data required for authorizations of services and other expenditures under titles IV-B and IV-E includes data such as documentation of services authorized, records that the services were delivered, payments processed, and payment status, including whether the payment will be allocated to one or more federal, state, or tribal programs for reimbursement, and the payment amount allocated.
    • Financial information may be maintained in a financial system exchanging data with CCWIS.

    Examples of federal data documenting interactions with and on behalf of clients that the title IV-E agency determines is needed to support federal child welfare laws, regulations, and policies include:

    • case management information,
    • recommended services,
    • placement data, and
    • licensing information on foster care providers.

    Examples of federal case management data collected in the course of casework with clients that may be needed for a Child and Family Services Review (CFSR) includes:

    • abuse and neglect reports,
    • case plans, and
    • placement histories.
    Source/Date
    10/27/2016
    Legal and Related References
    Section 474(a)(3)(C)(i) of the Social Security Act; 45 CFR 1355.52(b); 81 FR 35450 at35454 – 35455 (issued June 2, 2016); 80 FR 48200 at 48206 – 48207 (issued August 11, 2016); ACYF-CB-PI-10-04 (issued April 2, 2010)

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    10/27/2016 - 01/11/2017 (Original Record)
    Question
    What federal data are required to be in CCWIS per paragraph 1355.52(b)?
    Answer
    The federal data required to be in CCWIS are described in federal child welfare laws and policies. Because the required federal data may change as laws and policies change, paragraph 1355.52(b) lists categories of data from these laws and policies rather than specify a comprehensive set of federal data. ACF will use the federal laws, regulations, and policies effective at the time of a CCWIS review to determine compliance with paragraph 1355.52(b). Below are examples of required federal data, based on laws and policies in effect at the time the CCWIS final rule was published.

    Examples of federal data required for ongoing federal child welfare reports include:

    • All AFCARS data;
    • NYTD outcomes information as described in Program Instruction ACYF-CB-PI-10-04 (issued April 2, 2010), although CCWIS must maintain NYTD case management data;
    • Financial information for the CB-496, such as training costs, demonstration project costs, and administrative costs may be maintained in a separate financial system that exchanges data with CCWIS per paragraph 1355.52 (e)(1)(i). Other data, such as the average monthly number of children receiving title IV-E Foster Care maintenance assistance payments, may be derived from CCWIS case management and placement records.

    Examples of federal data required for title IV-E eligibility determinations, authorizations of services, and expenditures under titles IV-B and IV-E include;

    • Data necessary for title IV-E eligibility determinations includes data such as the factors used to demonstrate the child would qualify for AFDC under the 1996 plan, placement licensing and background check information, and court findings.
    • Data required for authorizations of services and other expenditures under titles IV-B and IV-E includes data such as documentation of services authorized, records that the services were delivered, payments processed, and payment status, including whether the payment will be allocated to one or more federal, state, or tribal programs for reimbursement, and the payment amount allocated.
    • Financial information may be maintained in a financial system exchanging data with CCWIS.

    Examples of federal data documenting interactions with and on behalf of clients that the title IV-E agency determines is needed to support federal child welfare laws, regulations, and policies include:

    • case management information,
    • recommended services,
    • placement data, and
    • licensing information on foster care providers.

    Examples of federal case management data collected in the course of casework with clients that may be needed for a Child and Family Services Review (CFSR) includes:

    • abuse and neglect reports,
    • case plans, and
    • placement histories.
    Source/Date
    10/27/2016
    Legal and Related References
    Section 474(a)(3)(C)(i) of the Social Security Act; 45 CFR 1355.52(b); 81 FR 35450 at35454 – 35455 (issued June 2, 2016); 80 FR 48200 at 48206 – 48207 (issued August 11, 2016); ACYF-CB-PI-10-04 (issued April 2, 2010)

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    Question Number 3:
    02/03/2022 - Current
    Question
    Is the title IV-E agency required to maintain information in CCWIS confirming that a service provider processed a payment for a child (such as information that the provider cashed a check)?
    Answer
    *No. The CCWIS must maintain data required for authorizations of services and other expenditures that may be claimed for reimbursement under titles IV-B and IV-E. However, the automated functions that use this information, such as those that support financial claims processing and payments, are not required to be a part of the CCWIS (45 CFR 1355.52(b)(1)(ii); 80 FR 48200 at 48207).
    Source/Date
    12/14/2021
    Legal and Related References
    45 CFR 1355.52(b)(1)(ii); 45 CFR 1356.71(b)(2); 81 FR 35450 at 35455 (issued June 2, 2016); 80 FR 48200 at 48207 (issued August 11, 2015)

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    12/14/2021 - 02/03/2022 (Original Record)
    Question
    Is the title IV-E agency required to maintain information in CCWIS confirming that a service provider processed a payment for a child (such as information that the provider cashed a check)?
    Answer
    No. The CCWIS must maintain data required for authorizations of services and other expenditures that may be claimed for reimbursement under titles IV���B and IV���E. However, the automated functions that use this information, such as those that support financial claims processing and payments, are not required to be a part of the CCWIS (45 CFR 1355.52(b)(1)(ii); 80 FR 48200 at 48207).
    Source/Date
    12/14/2021
    Legal and Related References
    45 CFR 1355.52(b)(1)(ii); 45 CFR 1356.71(b)(2); 81 FR 35450 at 35455 (issued June 2, 2016); 80 FR 48200 at 48207 (issued August 11, 2015)

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    3.1C INDEPENDENT LIVING, Certifications and Requirements, Coordination

    Question Number 1:
    03/28/2019 - Current
    Question
    *What is specifically being asked of the State/Tribe regarding the coordination requirement at 477(b)(3)(F) of the Social Security Act?
    Answer
    *The law requires each State/Tribe to coordinate its Independent Living Program and services with other agencies and providers that serve youth. Programs listed in the legislation (transitional living programs, abstinence education programs, local housing programs, programs for disabled youth and school-to-work programs) must be included in the State's/Tribe's coordination effort; however, we encourage States/Tribes to coordinate with an even broader range of youth-oriented agencies and programs such as health-related programs, local job training and employment programs, community colleges and youth shelters. Regulations at 45 CFR 1357 offer guidance on how to consult and coordinate with other public/private entities for the title IV-B program that might be useful in implementing the Chafee Program.
    Source/Date
    *Questions and Answers on the Chafee Foster Care Independence Program; (3/28/2019)
    Legal and Related References
    *Social Security Act - section 477(b)(3)(F) and (j); 45 CFR 1357

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    07/29/2001 - 03/28/2019 (Original Record)
    Question
    What is specifically being asked of the State regarding the coordination requirement at 477(b)(3)(F) of the Social Security Act?
    Answer
    The law requires each State to coordinate its Independent Living Program and services with other agencies and providers that serve youth. Programs listed in the legislation (transitional living programs, abstinence education programs, local housing programs, programs for disabled youth and school-to-work programs) must be included in the State''s coordination effort; however, we encourage States to coordinate with an even broader range of youth-oriented agencies and programs such as health-related programs, local job training and employment programs, community colleges and youth shelters. Regulations at 45 CFR 1357 offer guidance on how the State must consult and coordinate with other public/private entities for the title IV-B program that might be useful to the State in implementing the CFCIP program.
    Source/Date
    Questions and Answers on the Chafee Foster Care Independence Program
    Legal and Related References
    Social Security Act - section 477(b)(3)(F); 45 CFR 1357

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    8.3B.2 TITLE IV-E, Foster Care Maintenance Payments Program, Payments, Rates

    Question Number 1:
    11/07/2019 - Current
    Question
    What are the restrictions for rate setting with respect to for-profit child-care institutions?
    Answer
    *States used non-Federal dollars when contracting with for-profit child-care institutions prior to the amendments to section 472 (c) of Social Security Act (the Act) which provide Federal financial participation (FFP) for children placed in for-profit child-care institutions. The availability of FFP should have little or no impact on title IV-E agency's rate setting practices for for-profit child-care institutions if a single set of standards has been utilized for facilities regardless of title IV-E eligibility. The approved rates should, however, clearly identify and separate payments for foster care maintenance, as defined at section 475 (4)(A) of the Act, from those for tuition, treatment, social services, and other expenditures not reimbursable under title IV-E foster care maintenance.
    Source/Date
    *ACYF-CB-PA-97-01 (7/25/97); (11/07/19)
    Legal and Related References
    *Social Security Act - sections 472, 475, and 479B; the Personal Responsibility Work Opportunity Reconciliation Act (PRWORA) (PL 104-193)

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    07/27/2000 - 11/07/2019 (Original Record)
    Question
    What are the restrictions for rate setting with respect to for-profit child-care institutions?
    Answer
    States used non-Federal dollars when contracting with for-profit child-care institutions prior to the amendments to section 472 (c) of Social Security Act (the Act) which provide Federal financial participation (FFP) for children placed in for-profit child-care institutions. The availability of FFP should have little or no impact on States'' rate setting practices for for-profit child-care institutions if a single set of standards has been utilized for facilities regardless of title IV-E eligibility. The approved rates should, however, clearly identify and separate payments for foster care maintenance, as defined at section 475 (4)(A) of the Act, from those for tuition, treatment, social services, and other expenditures not reimbursable under title IV-E foster care maintenance.
    Source/Date
    ACYF-CB-PA-97-01 (7/25/97)
    Legal and Related References
    Social Security Act - sections 472 and 475; the Personal Responsibility Work Opportunity Reconciliation Act (PRWORA) (PL 104-193)

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    Question Number 2:
    11/07/2019 - Current
    Question
    In our State, we pay four different rates for foster care maintenance. A basic rate to all foster parents covers food, clothing, shelter, and personal incidentals. In addition, there are three levels of supplements which are paid to foster parents who care for children with varying degrees of physical or emotional handicaps. The higher rates in these cases relate to the increased supervision required for children with special needs and are considered a part of the foster care maintenance payment. Are these supplemental payments to foster parents allowable for reimbursement under title IV-E foster care as a maintenance cost?
    Answer
    *Yes. These costs are allowable for Federal financial participation under the title IV-E foster care program. Certain categories of children, including those with physical or emotional disabilities, may require more day-to-day supervision and attention than those without such conditions. Although Congress did not intend that salaries be paid under title IV-E to foster parents for ordinary parental duties, "daily supervision" is one of the items included in the definition of "foster care maintenance payments" in section 475(4) of the Social Security Act. A supplement to the basic maintenance payment for a particular child is justified when the child has greater than usual needs for the items included in the definition, as determined by the title IV-E agency.
    Source/Date
    *ACYF-CB-PIQ-86-04 (8/20/86); (11/7/19)
    Legal and Related References
    *Social Security Act - section 475 (4) and 479B

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    02/19/2001 - 11/07/2019 (Original Record)
    Question
    In our State, we pay four different rates for foster care maintenance. A basic rate to all foster parents covers food, clothing, shelter, and personal incidentals. In addition, there are three levels of supplements which are paid to foster parents who care for children with varying degrees of physical or emotional handicaps. The higher rates in these cases relate to the increased supervision required for children with special needs and are considered a part of the foster care maintenance payment. Are these supplemental payments to foster parents allowable for reimbursement under title IV-E foster care as a maintenance cost?
    Answer
    Yes. These costs are allowable for Federal financial participation under the title IV-E foster care program. Certain categories of children, including those with physical or emotional disabilities, may require more day-to-day supervision and attention than those without such conditions. Although Congress did not intend that salaries be paid under title IV-E to foster parents for ordinary parental duties, "daily supervision" is one of the items included in the definition of "foster care maintenance payments" in section 475(4) of the Social Security Act. A supplement to the basic maintenance payment for a particular child is justified when the child has greater than usual needs for the items included in the definition, as determined by the State agency.
    Source/Date
    ACYF-CB-PIQ-86-04 (8/20/86)
    Legal and Related References
    Social Security Act - section 475 (4)

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    8.2E TITLE IV-E, Adoption Assistance Program, Promoting Adoption Assistance

    Question Number 1:
    03/03/2020 - Current
    Question
    *What is the title IV-E agency's responsibility for notifying prospective adoptive parents about the availability of adoption assistance?
    Answer
    The title IV-E agency is required to actively seek ways to promote the adoption assistance program. This means that it is incumbent upon the title IV-E agency to notify prospective adoptive parents about the availability of adoption assistance for the adoption of a child with special needs. There is no prescribed way in which promotion of the program must be accomplished. One example would be to alert potential adoptive parents during a recruitment campaign for adoptive homes (websites, newspapers, flyers, etc.). Another example would be to alert every prospective adoptive parent who inquires to the title IV-E agency about adoption.

    The primary goal of the title IV-E adoption assistance program is to provide financial support to families who adopt difficult-to-place children from the public child welfare system. These are children who otherwise would grow up in foster care systems if a suitable adoptive parent could not be found. Thus, the title IV-E agency is responsible for assuring that prospective adoptive families with whom they place eligible children who are under their responsibility are apprised of the availability of title IV-E adoption assistance.

    However, in circumstances where the title IV-E agency does not have responsibility for placement and care, or is otherwise unaware of the adoption of a potentially special needs child, it is incumbent upon the adoptive family to request adoption assistance on behalf of the child. It is not the responsibility of the title IV-E agency to seek out and inform individuals who are unknown to the agency about the possibility of title IV-E adoption assistance for special needs children who also are unknown to the agency. This policy is consistent with the intent and purpose of the statute, and that is to promote the adoption of special needs children who are in the public foster care system.

    Source/Date
    ACYF-CB-PA-01-01 (1/23/01); (03/03/2020)
    Legal and Related References
    45 CFR 1356.40(f)

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    03/03/2020 - 03/10/2020
    Question
    What is the State's responsibility for notifying prospective adoptive parents about the availability of adoption assistance?
    Answer
    The title IV-E agency is required to actively seek ways to promote the adoption assistance program. This means that it is incumbent upon the title IV-E agency to notify prospective adoptive parents about the availability of adoption assistance for the adoption of a child with special needs. There is no prescribed way in which promotion of the program must be accomplished. One example would be to alert potential adoptive parents during a recruitment campaign for adoptive homes (websites, newspapers, flyers, etc.). Another example would be to alert every prospective adoptive parent who inquires to the title IV-E agency about adoption.The primary goal of the title IV-E adoption assistance program is to provide financial support to families who adopt difficult-to-place children from the public child welfare system. These are children who otherwise would grow up in foster care systems if a suitable adoptive parent could not be found. Thus, the title IV-E agency is responsible for assuring that prospective adoptive families with whom they place eligible children who are under their responsibility are apprised of the availability of title IV-E adoption assistance.

    However, in circumstances where the title IV-E agency does not have responsibility for placement and care, or is otherwise unaware of the adoption of a potentially special needs child, it is incumbent upon the adoptive family to request adoption assistance on behalf of the child. It is not the responsibility of the title IV-E agency to seek out and inform individuals who are unknown to the agency about the possibility of title IV-E adoption assistance for special needs children who also are unknown to the agency. This policy is consistent with the intent and purpose of the statute, and that is to promote the adoption of special needs children who are in the public foster care system.

    Source/Date
    ACYF-CB-PA-01-01 (1/23/01); (03/03/2020)
    Legal and Related References
    45 CFR 1356.40(f)

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    8.1A TITLE IV-E, Administrative Functions/Costs, Allowable Costs - Adoption Assistance Program

    Question Number 1:
    12/17/2019 - Current
    Question
    What are the allowable administrative costs in the title IV-E Adoption Assistance Program?
    Answer
    The Social Security Act, at section 474(a)(3), permits title IV-E agencies to be reimbursed at a 50 percent matching rate for the costs of administrative activities as found necessary by the Secretary for the proper and efficient administration of the title IV-E plan.

    45 CFR 1356.60(c), entitled "Federal matching funds for other State and local administrative expenditures for foster care and adoption assistance under title IV-E" interprets section 474(a)(3) of the Act. All of the sections of that regulatory section apply to the administrative expenditures of both the Foster Care and Adoption Assistance Programs.

    In paragraph (1) of 45 CFR 1356.60(c), certain identified costs are deemed allowable administrative costs of the Adoption Assistance Program under title IV-E. Federal financial participation for these costs may not be claimed under any other section of Federal regulations or Federal program. They are: the determination and redetermination of eligibility; fair hearings and appeals; rate setting; and other costs directly related only to the administration of the adoption assistance program.

    In addition, the following administrative costs are also considered to be directly related only to the administration of the Adoption Assistance Program, and are therefore also allowable under 45 CFR 1356.60(c)(1): grievance procedures; negotiation and review of adoption agreements; and post-placement management of subsidy payments.

    The following are examples provided by 45 CFR 1356.60(c)(2) of allowable administrative costs considered necessary for the administration of the Adoption Assistance Program for which Federal financial participation may be claimed under title IV-E: recruitment of adoptive homes; placement of the child in the adoptive home; case reviews conducted during a specific preadoptive placement for children who are legally free for adoption; case management and supervision prior to a final decree of adoption; a proportionate share of related agency overhead; referral to services; and development of the case plan.

    The following administrative costs are also considered to be necessary for the proper and efficient operation of the Adoption Assistance Program and are therefore allowable under 45 CFR 1356.60(c): home studies, and a proportionate share of the development and use of adoption exchanges.

    Attention is also called to paragraph (3) of 45 CFR 1356.60(c) and 45 CFR 1356.60(b)(1)(ii) regarding restrictions on certain types of costs, i.e., social services and limitations on training costs for adoptive parents.

    Source/Date
    *ACYF-CB-PA-83-01 (10/1/80); (12/17/2019)
    Legal and Related References
    Social Security Act - sections 473, 474, and 479B; 45 CFR 1356.60

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    12/17/2019 - 12/17/2019
    Question
    What are the allowable administrative costs in the title IV-E Adoption Assistance Program?
    Answer
    *The Social Security Act, at section 474(a)(3), permits title IV-E agencies to be reimbursed at a 50 percent matching rate for the costs of administrative activities as found necessary by the Secretary for the proper and efficient administration of the title IV-E plan.

    45 CFR 1356.60(c), entitled "Federal matching funds for other State and local administrative expenditures for foster care and adoption assistance under title IV-E" interprets section 474(a)(3) of the Act. All of the sections of that regulatory section apply to the administrative expenditures of both the Foster Care and Adoption Assistance Programs.

    In paragraph (1) of 45 CFR 1356.60(c), certain identified costs are deemed allowable administrative costs of the Adoption Assistance Program under title IV-E. Federal financial participation for these costs may not be claimed under any other section of Federal regulations or Federal program. They are: the determination and redetermination of eligibility; fair hearings and appeals; rate setting; and other costs directly related only to the administration of the adoption assistance program.

    In addition, the following administrative costs are also considered to be directly related only to the administration of the Adoption Assistance Program, and are therefore also allowable under 45 CFR 1356.60(c)(1): grievance procedures; negotiation and review of adoption agreements; and post-placement management of subsidy payments.

    The following are examples provided by 45 CFR 1356.60(c)(2) of allowable administrative costs considered necessary for the administration of the Adoption Assistance Program for which Federal financial participation may be claimed under title IV-E: recruitment of adoptive homes; placement of the child in the adoptive home; case reviews conducted during a specific preadoptive placement for children who are legally free for adoption; case management and supervision prior to a final decree of adoption; a proportionate share of related agency overhead; referral to services; and development of the case plan.

    The following administrative costs are also considered to be necessary for the proper and efficient operation of the Adoption Assistance Program and are therefore allowable under 45 CFR 1356.60(c): home studies, and a proportionate share of the development and use of adoption exchanges.

    Attention is also called to paragraph (3) of 45 CFR 1356.60(c) and 45 CFR 1356.60(b)(1)(ii) regarding restrictions on certain types of costs, i.e., social services and limitations on training costs for adoptive parents.

    Source/Date
    *ACYF-CB-PA-83-01 (10/1/80); 12/17/19
    Legal and Related References
    *Social Security Act - sections 473, 474, and 479B; 45 CFR 1356.60

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    08/14/2000 - 12/17/2019 (Original Record)
    Question
    What are the allowable administrative costs in the title IV-E Adoption Assistance Program?
    Answer
    The Social Security Act, at section 474(a)(3)(B), permits States with approved title IV-E plans to be reimbursed at a 50 percent matching rate for the costs of administrative activities as found necessary by the Secretary for the proper and efficient administration of the State plan.

    45 CFR 1356.60 (c), entitled "Federal matching funds for other State and local administrative expenditures for foster care and adoption assistance under title IV-E" interprets section 474 (a)(3)(B) of the Act. All of the sections of that regulatory section apply to the administrative expenditures of both the Foster Care and Adoption Assistance Programs.

    In paragraph (1) of 45 CFR 1356.60 (c), certain identified costs are deemed allowable administrative costs of the Adoption Assistance Program under title IV-E. Federal financial participation for these costs may not be claimed under any other section of Federal regulations or Federal program. They are: the determination and redetermination of eligibility; fair hearings and appeals; rate setting; and other costs directly related only to the administration of the adoption assistance program.

    In addition, the following administrative costs are also considered to be directly related only to the administration of the Adoption Assistance Program, and are therefore also allowable under 45 CFR1356.60 (c)(1): grievance procedures; negotiation and review of adoption agreements; and post-placement management of subsidy payments.

    The following are examples provided by 45 CFR 1356.60 (c)(2) of allowable administrative costs considered necessary for the administration of the Adoption Assistance Program for which Federal financial participation may be claimed under title IV-E: recruitment of adoptive homes; placement of the child in the adoptive home; case reviews conducted during a specific preadoptive placement for children who are legally free for adoption; case management and supervision prior to a final decree of adoption; a proportionate share of related agency overhead; referral to services; and development of the case plan.

    The following administrative costs are also considered to be necessary for the proper and efficient operation of the Adoption Assistance Program and are therefore allowable under 45 CFR 1356.60 (c): home studies, and a proportionate share of the development and use of adoption exchanges.

    Attention is also called to paragraph (3) of 45 CFR 1356.60 (c) and 45 CFR 1356.60 (b)(1)(ii) regarding restrictions on certain types of costs, i.e., social services and limitations on training costs for adoptive parents.

    Source/Date
    ACYF-CB-PA-83-01 (10/1/80)
    Legal and Related References
    Social Security Act - sections 473 and 474; 45 CFR 1356.60

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    Question Number 2:
    12/17/2019 - Current
    Question
    Under the Adoption Assistance Program, is Federal financial participation (FFP) for administrative costs associated with case review, case management, and supervision prior to a final decree of adoption available only for children in preadoptive placements?
    Answer
    Yes. Federal financial participation is available in the costs of the administration of the Adoption Assistance Program beginning when the title IV-E agency determines that: (1) an eligible child (section 473(a)) cannot or should not be returned to the home of his parents; (2) the goal for the child is adoption (section 473(c)(1)); and (3) the child has been determined to be a 'child with special needs' (section 473(c)).

    In addition, the child must be legally free for adoption and that the goal of adoption must be documented in the case plan for the child and in the report of the periodic review. Case reviews, case management and supervision are allowable costs only when provided on behalf of a child who is already placed in a preadoptive home.

    Costs under the Adoption Assistance Program must be directly related to the administration of the Adoption Assistance Program and to children for whom adoption is a definite plan, rather than just a long range goal which may not materialize. Therefore, the child must be in placement in a specific preadoptive home, rather than in a foster care placement where the goal is eventual adoptive placement.

    Source/Date
    *ACYF-CB-PIQ-85-06 (6/5/85); (12/17/2019)
    Legal and Related References
    Social Security Act - sections 473 and 479B

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    12/17/2019 - 12/17/2019
    Question
    Under the Adoption Assistance Program, is Federal financial participation (FFP) for administrative costs associated with case review, case management, and supervision prior to a final decree of adoption available only for children in preadoptive placements?
    Answer
    *Yes. Federal financial participation is available in the costs of the administration of the Adoption Assistance Program beginning when the title IV-E agency determines that: (1) an eligible child (section 473(a)) cannot or should not be returned to the home of his parents; (2) the goal for the child is adoption (section 473(c)(1)); and (3) the child has been determined to be a ''child with special needs'' (section 473(c)).

    In addition, the child must be legally free for adoption and that the goal of adoption must be documented in the case plan for the child and in the report of the periodic review. Case reviews, case management and supervision are allowable costs only when provided on behalf of a child who is already placed in a preadoptive home.

    Costs under the Adoption Assistance Program must be directly related to the administration of the Adoption Assistance Program and to children for whom adoption is a definite plan, rather than just a long range goal which may not materialize. Therefore, the child must be in placement in a specific preadoptive home, rather than in a foster care placement where the goal is eventual adoptive placement.

    Source/Date
    *ACYF-CB-PIQ-85-06 (6/5/85); 12/17/19
    Legal and Related References
    *Social Security Act - sections 473 and 479B

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    02/03/2001 - 12/17/2019 (Original Record)
    Question
    Under the Adoption Assistance Program, is Federal financial participation (FFP) for administrative costs associated with case review, case management, and supervision prior to a final decree of adoption available only for children in preadoptive placements?
    Answer
    Yes. Federal financial participation is available in the costs of the administration of the Adoption Assistance Program beginning when the State determines that: (1) an eligible child (section 473 (a)) cannot or should not be returned to the home of his parents; (2) the goal for the child is adoption (section 473 (c)(1)); and (3) the child has been determined by the State or local agency to be a ''child with special needs'' (section 473 (c)).

    In addition, the child must be legally free for adoption and that the goal of adoption must be documented in the case plan for the child and in the report of the periodic review. Case reviews, case management and supervision are allowable costs only when provided on behalf of a child who is already placed in a preadoptive home.

    Costs under the Adoption Assistance Program must be directly related to the administration of the Adoption Assistance Program and to children for whom adoption is a definite plan, rather than just a long range goal which may not materialize. Therefore, the child must be in placement in a specific preadoptive home, rather than in a foster care placement where the goal is eventual adoptive placement.

    Source/Date
    ACYF-CB-PIQ-85-06 (6/5/85)
    Legal and Related References
    Social Security Act - section 473

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    Question Number 3:
    12/17/2019 - Current
    Question
    Can a title IV-E agency claim title IV-E administrative costs for activities performed on behalf of a child in a finalized adoption?
    Answer
    A title IV-E agency may claim Federal financial participation for activities performed on behalf of a child in a finalized adoption that are consistent with 45 CFR 1356.60(c) and the title IV-E agency’s approved cost allocation plan or methodology. Under the title IV-E adoption assistance program, a title IV-E agency may claim for administrative activities that occur post-finalization, such as fair hearings and appeals, management of the adoption subsidy, review and renegotiation of the adoption assistance agreement, referral to services, and case management performed to implement an adoption assistance agreement.

    Furthermore, if the title IV-E agency determines that the adoptive placement is in jeopardy and demonstrates that the adopted child is a candidate for foster care, the title IV-E agency may claim allowable title IV-E administrative costs under the foster care program for activities performed on behalf of the child as a candidate.

    Source/Date
    *8/16/02; (12/17/2019)
    Legal and Related References
    Social Security Act - sections 474(a)(3)(B) and 479B; 45 CFR 1356.60(c); CWPM Sections 8.1A, 8.1B and 8.1D

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    12/17/2019 - 12/17/2019
    Question
    *Can a title IV-E agency claim title IV-E administrative costs for activities performed on behalf of a child in a finalized adoption?
    Answer
    *A title IV-E agency may claim Federal financial participation for activities performed on behalf of a child in a finalized adoption that are consistent with 45 CFR 1356.60(c) and the title IV-E agency��s approved cost allocation plan or methodology. Under the title IV-E adoption assistance program, a title IV-E agency may claim for administrative activities that occur post-finalization, such as fair hearings and appeals, management of the adoption subsidy, review and renegotiation of the adoption assistance agreement, referral to services, and case management performed to implement an adoption assistance agreement.

    Furthermore, if the title IV-E agency determines that the adoptive placement is in jeopardy and demonstrates that the adopted child is a candidate for foster care, the title IV-E agency may claim allowable title IV-E administrative costs under the foster care program for activities performed on behalf of the child as a candidate.

    Source/Date
    *8/16/02; 12/17/19
    Legal and Related References
    *Social Security Act - sections 474(a)(3)(B) and 479B; 45 CFR 1356.60(c); CWPM Sections 8.1A, 8.1B and 8.1D

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    08/26/2002 - 12/17/2019 (Original Record)
    Question
    Can a State claim title IV-E administrative costs for activities performed on behalf of a child in a finalized adoption?
    Answer
    A State may claim Federal financial participation for activities performed on behalf of a child in a finalized adoption that are consistent with 45 CFR 1356.60(c) and the State''s approved cost allocation plan. Under the title IV-E adoption assistance program, a State may claim for administrative activities that occur post-finalization, such as fair hearings and appeals, management of the adoption subsidy, review and renegotiation of the adoption assistance agreement, referral to services, and case management performed to implement an adoption assistance agreement.

    Furthermore, if the State determines that the adoptive placement is in jeopardy and demonstrates that the adopted child is a candidate for foster care, the State may claim allowable title IV-E administrative costs under the foster care program for activities performed on behalf of the child as a candidate.

    Source/Date
    8/16/02
    Legal and Related References
    Social Security Act - section 474(a)(3)(B); 45 CFR 1356.60(c); CWPM Sections 8.1A, 8.1B and 8.1D

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    8.3A.8a TITLE IV-E, Foster Care Maintenance Payments Program, Eligibility, Facilities requirements, child-care institution

    Question Number 3:
    10/25/2016 - Current
    Question
    What is the operative definition of the term "primarily" when used to describe a facility for the detention of children?
    Answer
    *Section 472 (c)(2) of the Social Security Act (the Act) defines "child-care institution". The word "primarily" is used to modify the use of the facility for detention purposes. The following questions are asked when determining the "primarily" issue: (a) Who operates the facility? (b) For what purposes does it exist? (c) Is it licensed or approved? If so, for what use and by whom? (d) From whom does it receive its major financial resources? (e) What type of children are residents? (f) Would it be viable without the need to house children adjudicated delinquent? (g) Is the facility physically restrictive?

    In addition to these questions, the Department would look to the specific facts of a given situation. However, it is important to keep in mind that separation of serious juvenile offenders from foster care children (including status offenders) is a most significant practice issue.

    Source/Date
    *ACYF-CB-PIQ-82-10 (8/11/82); ACYF-CB-PIQ-88-03 (4/11/88); 10/25/16
    Legal and Related References
    Social Security Act - sections 472; 45 CFR 1355.20

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    02/19/2001 - 10/25/2016 (Original Record)
    Question
    What is the operative definition of the term "primarily" when used to describe a facility for the detention of children?
    Answer
    Section 472 (c)(2) of the Social Security Act (the Act) defines "child-care institution". The word "primarily" is used to modify the use of the facility for detention purposes. The following questions are asked when determining the "primarily" issue: (a) Who operates the facility? (b) For what purposes does it exist? (c) Is it licensed or approved? If so, for what use and by whom? (d) From whom does it receive its major financial resources? (e) What type of children are residents? (f) Would it be viable without the need to house children adjudicated delinquent? (g) Is the facility physically restrictive?

    In addition to these questions, the Department would look to the specific facts of a given situation. However, it is important to keep in mind that separation of serious juvenile offenders from foster care children (including status offenders) is a most significant practice issue. To expose a dependent child to the potentially negative influence of delinquent children, would usually be considered an inappropriate foster care placement decision.

    Source/Date
    ACYF-CB-PIQ-82-10 (8/11/82); ACYF-CB-PIQ-88-03 (4/11/88)
    Legal and Related References
    Social Security Act - sections 472; 45 CFR 1355.20

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    Question Number 4:
    07/14/2004 - Current
    Question
    Is Federal financial participation available for children placed in for-profit child-care institutions?
    Answer
    Formerly, title IV-E foster care maintenance payments for placements in child-care institutions were restricted to public or private nonprofit institutions. Effective August 22, 1996 with the enactment of the Personal Responsibility and Work Opportunity Reconciliation Act, title IV-E reimbursement became available for State foster care maintenance expenditures incurred through placements made in eligible private "for-profit" child-care institutions.
    Source/Date
    ACYF-CB-PA-97-01 (7/25/97)
    Legal and Related References
    *Social Security Act - section 472 (c)(2).

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    05/06/2001 - 07/14/2004 (Original Record)
    Question
    Is Federal financial participation available for children placed in for-profit child-care institutions?
    Answer
    Formerly, title IV-E foster care maintenance payments for placements in child-care institutions were restricted to public or private nonprofit institutions. Effective August 22, 1996 with the enactment of the Personal Responsibility and Work Opportunity Reconciliation Act, title IV-E reimbursement became available for State foster care maintenance expenditures incurred through placements made in eligible private "for-profit" child-care institutions.
    Source/Date
    ACYF-CB-PA-97-01 (7/25/97)
    Legal and Related References
    Social Security Act - section 472 (e)(2); the Personal Responsibility and Work Opportunity Reconciliation Act (PRWORA) of 1996 (PL 104-193)

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    05/06/2001 - 07/13/2004 (Original Record)
    Question
    Is Federal financial participation available for children placed in for-profit child-care institutions?
    Answer
    Formerly, title IV-E foster care maintenance payments for placements in child-care institutions were restricted to public or private nonprofit institutions. Effective August 22, 1996 with the enactment of the Personal Responsibility and Work Opportunity Reconciliation Act, title IV-E reimbursement became available for State foster care maintenance expenditures incurred through placements made in eligible private "for-profit" child-care institutions.
    Source/Date
    ACYF-CB-PA-97-01 (7/25/97)
    Legal and Related References
    Social Security Act - section 472 (e)(2); the Personal Responsibility and Work Opportunity Reconciliation Act (PRWORA) of 1996 (PL 104-193)

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    Question Number 5:
    07/15/2005 - Current
    Question
    If an otherwise eligible title IV-E child is placed in a child care institution that has locked living units for the child's benefit or safety, does this render the facility "physically restrictive," such that the child is ineligible for title IV-E?
    Answer
    *Not necessarily. A facility that has locked living units may meet the Federal definition of a child care institution enabling the State to claim title IV-E on behalf of a child. The statute at section 472 (c)(2) of the Social Security Act requires the State to place the child in a child care institution that meets certain statutory and regulatory requirements. The law stipulates that a child care institution shall not include detention facilities "or any other facility operated primarily for the detention of children who are determined to be delinquent". The definition of child care institution in Federal regulations at 45 CFR 1355.20 states that:

    [A] Detention facility in the context of the definition of child care institution in section 472 (c)(2) of the [Social Security] Act means a physically restricting facility for the care of children who require secure custody pending court adjudication, court disposition, execution of a court order or after commitment.

    It is clear that States may not claim title IV-E for a child if the facility is "physically restrictive" in that it is used primarily to detain children who require secure custody. If a facility is not used primarily for this purpose, but the facility has some restrictions for the benefit or safety of the child, then the State may make title IV-E claims on behalf of an otherwise eligible child placed there.

    While the State may claim title IV-E for a child placed in a child care institution that is secured for his or her benefit or safety, we want to note one caveat. The Departmental Appeals Board (California Department of Social Services Decision No. 960) noted in its decision that "a mixture of detention and treatment is common in juvenile law." Adding a treatment component to a facility that is used primarily to secure delinquent children does not render the child care institution consistent with the strictures of title IV-E.

    Source/Date
    6/23/03
    Legal and Related References
    Social Security Act - Section 472 (c)(2); 45 CFR 1355.20; Departmental Appeals Board California Department of Social Services Decision No. 960.

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    07/15/2005 - 07/15/2005
    Question
    *If an otherwise eligible title IV-E child is placed in a child care institution that has locked living units for the child's benefit or safety, does this render the facility "physically restrictive," such that the child is ineligible for title IV-E?
    Answer
    Not necessarily. A facility that has locked living units may meet the Federal definition of a child care institution enabling the State to claim title IV-E on behalf of a child. The statute at section 472 (c)(2) of the Social Security Act requires the State to place the child in a child care institution that meets certain statutory and regulatory requirements. The law stipulates that a child care institution shall not include detention facilities?or any other facility operated primarily for the detention of children who are determined to be delinquent (emphasis added). The definition of child care institution in Federal regulations at 45 CFR ? 1355.20 states that:

    [A] Detention facility in the context of the definition of child care institution in section 472 (c)(2) of the [Social Security] Act means a physically restricting facility for the care of children who require secure custody pending court adjudication, court disposition, execution of a court order or after commitment.

    It is clear that States may not claim title IV-E for a child if the facility is ?physically restrictive? in that it is used primarily to detain children who require secure custody. If a facility is not used primarily for this purpose, but the facility has some restrictions for the benefit or safety of the child, then the State may make title IV-E claims on behalf of an otherwise eligible child placed there.

    While the State may claim title IV-E for a child placed in a child care institution that is secured for his or her benefit or safety, we want to note one caveat. The Departmental Appeals Board (California Department of Social Services Decision No. 960) noted in its decision that "a mixture of detention and treatment is common in juvenile law." Adding a treatment component to a facility that is used primarily to secure delinquent children does not render the child care institution consistent with the strictures of title IV-E.

    Source/Date
    6/23/03
    Legal and Related References
    Social Security Act - Section 472 (c)(2); 45 CFR 1355.20; Departmental Appeals Board California Department of Social Services Decision No. 960.

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    07/11/2003 - 07/15/2005
    Question
    If an otherwise eligible title IV-E child is placed in a child care institution that has locked living units for the child?s benefit or safety, does this render the facility ?physically restrictive,? such that the child is ineligible for title IV-E?
    Answer
    Not necessarily. A facility that has locked living units may meet the Federal definition of a child care institution enabling the State to claim title IV-E on behalf of a child. The statute at section 472 (c)(2) of the Social Security Act requires the State to place the child in a child care institution that meets certain statutory and regulatory requirements. The law stipulates that a child care institution shall not include detention facilities?or any other facility operated primarily for the detention of children who are determined to be delinquent (emphasis added). The definition of child care institution in Federal regulations at 45 CFR ? 1355.20 states that:

    [A] Detention facility in the context of the definition of child care institution in section 472 (c)(2) of the [Social Security] Act means a physically restricting facility for the care of children who require secure custody pending court adjudication, court disposition, execution of a court order or after commitment.

    It is clear that States may not claim title IV-E for a child if the facility is ?physically restrictive? in that it is used primarily to detain children who require secure custody. If a facility is not used primarily for this purpose, but the facility has some restrictions for the benefit or safety of the child, then the State may make title IV-E claims on behalf of an otherwise eligible child placed there.

    While the State may claim title IV-E for a child placed in a child care institution that is secured for his or her benefit or safety, we want to note one caveat. The Departmental Appeals Board (California Department of Social Services Decision No. 960) noted in its decision that "a mixture of detention and treatment is common in juvenile law." Adding a treatment component to a facility that is used primarily to secure delinquent children does not render the child care institution consistent with the strictures of title IV-E.

    Source/Date
    *6/23/03
    Legal and Related References
    Social Security Act - Section 472 (c)(2); 45 CFR 1355.20; Departmental Appeals Board California Department of Social Services Decision No. 960.

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    06/27/2003 - 07/11/2003 (Original Record)
    Question
    If an otherwise eligible title IV-E child is placed in a child care institution that has locked living units for the child?s benefit or safety, does this render the facility ?physically restrictive,? such that the child is ineligible for title IV-E?
    Answer
    Not necessarily. A facility that has locked living units may meet the Federal definition of a child care institution enabling the State to claim title IV-E on behalf of a child. The statute at section 472 (c)(2) of the Social Security Act requires the State to place the child in a child care institution that meets certain statutory and regulatory requirements. The law stipulates that a child care institution shall not include detention facilities�or any other facility operated primarily for the detention of children who are determined to be delinquent (emphasis added). The definition of child care institution in Federal regulations at 45 CFR � 1355.20 states that:

    [A] Detention facility in the context of the definition of child care institution in section 472 (c)(2) of the [Social Security] Act means a physically restricting facility for the care of children who require secure custody pending court adjudication, court disposition, execution of a court order or after commitment.

    It is clear that States may not claim title IV-E for a child if the facility is �physically restrictive� in that it is used primarily to detain children who require secure custody. If a facility is not used primarily for this purpose, but the facility has some restrictions for the benefit or safety of the child, then the State may make title IV-E claims on behalf of an otherwise eligible child placed there.

    While the State may claim title IV-E for a child placed in a child care institution that is secured for his or her benefit or safety, we want to note one caveat. The Departmental Appeals Board (California Department of Social Services Decision No. 960) noted in its decision that "a mixture of detention and treatment is common in juvenile law." Adding a treatment component to a facility that is used primarily to secure delinquent children does not render the child care institution consistent with the strictures of title IV-E.

    Source/Date
    Legal and Related References
    Social Security Act - Section 472 (c)(2); 45 CFR 1355.20; Departmental Appeals Board California Department of Social Services Decision No. 960.

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    8.2D.3 TITLE IV-E, Adoption Assistance Program, Payments, Non-recurring expenses

    Question Number 1:
    10/25/2017 - Current
    Question
    Please summarize the requirements for the nonrecurring expenses of adoption.
    Answer
    *The title IV-E agency must enter into an adoption assistance agreement prior to the finalization of the adoption and reimburse (up to $2000, or at title IV-E agency option a lower limit) the nonrecurring adoption expenses incurred by any parent who adopts a child with special needs. The only eligibility criterion to be applied for reimbursement of the nonrecurring expenses of adoption is that the title IV-E agency determine that the child meets the definition of special needs, in accordance with section 473 (c) of the Act. A child does not have to be eligible for Aid to Families with Dependent Children, title IV-E foster care, or Supplemental Security Income in order for the adoptive parents to receive reimbursement for their nonrecurring adoption expenses. Nor does the child have to be under the responsibility for placement and care of the title IV-E agency in order for the adoptive parents to be reimbursed for the nonrecurring expenses of adoption.

    The term "nonrecurring adoption expenses" is defined as the reasonable and necessary adoption fees, court costs, attorney fees and other expenses which are directly related to the legal adoption of a child with special needs, which are not incurred in violation of State/Tribal or Federal law, and which have not been reimbursed from other sources or funds. Federal financial participation is available at the matching rate of 50 percent for title IV-E agency expenditures up to $2000 for each adoptive placement.

    Source/Date
    ACYF-CB-PA-01-01 (1/23/01)
    Legal and Related References
    Social Security Act - section 473(a)(6); 473(a)(1)(B)(i); 45 CFR 1356.41

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    06/25/2007 - 10/25/2017
    Question
    Please summarize the requirements for the nonrecurring expenses of adoption.
    Answer
    The State must enter into an adoption assistance agreement prior to the finalization of the adoption and reimburse (up to $2000, or at State option a lower limit) the nonrecurring adoption expenses incurred by any parent who adopts a child with special needs. The only eligibility criterion to be applied for reimbursement of the nonrecurring expenses of adoption is that the State determine that the child meets the definition of special needs, in accordance with section 473 (c) of the Act. A child does not have to be eligible for Aid to Families with Dependent Children, title IV-E foster care, or Supplemental Security Income in order for the adoptive parents to receive reimbursement for their nonrecurring adoption expenses. Nor does the child have to be under the responsibility for placement and care of the State agency in order for the adoptive parents to be reimbursed for the nonrecurring expenses of adoption.

    The term "nonrecurring adoption expenses" is defined as the reasonable and necessary adoption fees, court costs, attorney fees and other expenses which are directly related to the legal adoption of a child with special needs, which are not incurred in violation of State or Federal law, and which have not been reimbursed from other sources or funds.

    Federal financial participation is available at the matching rate of 50 percent for State expenditures up to $2000 for each adoptive placement.

    Source/Date
    ACYF-CB-PA-01-01 (1/23/01)
    Legal and Related References
    *Social Security Act - section 473(a)(6); 473(a)(1)(B)(i); 45 CFR 1356.41

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    07/18/2000 - 06/25/2007 (Original Record)
    Question
    Please summarize the requirements for the nonrecurring expenses of adoption.
    Answer
    The State must enter into an adoption assistance agreement prior to the finalization of the adoption and reimburse (up to $2000, or at State option a lower limit) the nonrecurring adoption expenses incurred by any parent who adopts a child with special needs. The only eligibility criterion to be applied for reimbursement of the nonrecurring expenses of adoption is that the State determine that the child meets the definition of special needs, in accordance with section 473 (c) of the Act. A child does not have to be eligible for Aid to Families with Dependent Children, title IV-E foster care, or Supplemental Security Income in order for the adoptive parents to receive reimbursement for their nonrecurring adoption expenses. Nor does the child have to be under the responsibility for placement and care of the State agency in order for the adoptive parents to be reimbursed for the nonrecurring expenses of adoption.

    The term "nonrecurring adoption expenses" is defined as the reasonable and necessary adoption fees, court costs, attorney fees and other expenses which are directly related to the legal adoption of a child with special needs, which are not incurred in violation of State or Federal law, and which have not been reimbursed from other sources or funds.

    Federal financial participation is available at the matching rate of 50 percent for State expenditures up to $2000 for each adoptive placement.

    Source/Date
    ACYF-CB-PA-01-01 (1/23/01)
    Legal and Related References
    Social Security Act - section 473(a)(6); 45 CFR 1356.40 (i)

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    Question Number 2:
    10/25/2017 - Current
    Question
    *Is it possible for the title IV-E agency to set maximum amounts on specific items within the category of nonrecurring expenses for which they will reimburse adoptive parents?
    Answer
    *No. The Tax Reform Act of 1986 (Public Law 99-514) amended title IV-E of the Act to require payments for the nonrecurring adoption expenses incurred by adopting parents in connection with the adoption of children with special needs. The only discretion is the flexibility to set a reasonable lower maximum than the $2000 for which Federal reimbursement is available at a 50% matching rate.
    Source/Date
    ACYF-CB-PIQ-89-02 (5/23/89)
    Legal and Related References
    Social Security Act - section 473; The Tax Reform Act of 1986 (P.L. 99-514)

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    07/18/2000 - 10/25/2017 (Original Record)
    Question
    Is it possible for States to set maximum amounts on specific items within the category of nonrecurring expenses for which they will reimburse adoptive parents?
    Answer
    No. The Tax Reform Act of 1986 (Public Law 99-514) amended title IV-E of the Act to require States to make payments for the nonrecurring adoption expenses incurred by adopting parents in connection with the adoption of children with special needs. The only discretion given States is the flexibility to set a reasonable lower maximum than the $2000 for which Federal reimbursement is available at a 50% matching rate.
    Source/Date
    ACYF-CB-PIQ-89-02 (5/23/89)
    Legal and Related References
    Social Security Act - section 473; The Tax Reform Act of 1986 (P.L. 99-514)

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    Question Number 3:
    10/25/2017 - Current
    Question
    *Title IV-E agencies are required to reimburse up to $2,000, or such lower amount as set by the title IV-E agency, for the non-recurring adoption expenses of parents who adopt children with special needs. The regulations define "non-recurring adoption expenses" as reasonable and necessary adoption fees, court costs, attorney fees and other expenses which are directly related to the legal adoption of a child with special needs. "Other expenses" were defined as the costs of adoption incurred by or on behalf of the parents and for which parents carry the burden of payment, such as the adoption study, including health and psychological examinations, supervision of the placement prior to adoption, transportation and the reasonable costs of lodging and food for the child and/or the adoptive parents when necessary to complete the adoption process. Would it be possible for a title IV-E agency to further limit the reimbursable areas within the allowable expense category? For instance, could reimbursement be limited to attorney fees only? Or, could a title IV-E agency elect not to reimburse adoption study fees and transportation costs?
    Answer
    *No. A title IV-E agency may not limit reimbursement for nonrecurring adoption expenses by category. Adoptive parents who apply for reimbursement of the non-recurring expenses of adoption must be reimbursed for any of the non-recurring adoption expenses described at 45 CFR 1356.41 (i) when they adopt a child with special needs as set forth in section 473 (c) of the Social Security Act.
    Source/Date
    ACYF-CB-PIQ-89-02 (5/23/89)
    Legal and Related References
    Social Security Act - section 473

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    12/01/2004 - 10/25/2017
    Question
    *States are required to reimburse up to $2,000, or such lower amount as set by the State, for the non-recurring adoption expenses of parents who adopt children with special needs. The regulations define "non-recurring adoption expenses" as reasonable and necessary adoption fees, court costs, attorney fees and other expenses which are directly related to the legal adoption of a child with special needs. "Other expenses" were defined as the costs of adoption incurred by or on behalf of the parents and for which parents carry the burden of payment, such as the adoption study, including health and psychological examinations, supervision of the placement prior to adoption, transportation and the reasonable costs of lodging and food for the child and/or the adoptive parents when necessary to complete the adoption process.

    Would it be possible for a State to further limit the reimbursable areas within the allowable expense category? For instance, could reimbursement be limited to attorney fees only? Or, could a State elect not to reimburse adoption study fees and transportation costs?

    Answer
    No. A State may not limit reimbursement for nonrecurring adoption expenses by category. Adoptive parents who apply for reimbursement of the non-recurring expenses of adoption must be reimbursed for any of the non-recurring adoption expenses described at 45 CFR 1356.41 (i) when they adopt a child with special needs as set forth in section 473 (c) of the Social Security Act..
    Source/Date
    ACYF-CB-PIQ-89-02 (5/23/89)
    Legal and Related References
    Social Security Act - section 473

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    12/01/2004 - 12/12/2016
    Question
    *States are required to reimburse up to $2,000, or such lower amount as set by the State, for the non-recurring adoption expenses of parents who adopt children with special needs. The regulations define "non-recurring adoption expenses" as reasonable and necessary adoption fees, court costs, attorney fees and other expenses which are directly related to the legal adoption of a child with special needs. "Other expenses" were defined as the costs of adoption incurred by or on behalf of the parents and for which parents carry the burden of payment, such as the adoption study, including health and psychological examinations, supervision of the placement prior to adoption, transportation and the reasonable costs of lodging and food for the child and/or the adoptive parents when necessary to complete the adoption process.

    Would it be possible for a State to further limit the reimburseable areas within the allowable expense category? For instance, could reimbursement be limited to attorney fees only? Or, could a State elect not to reimburse adoption study fees and transportation costs?

    Answer
    No. A State may not limit reimbursement for nonrecurring adoption expenses by category. Adoptive parents who apply for reimbursement of the non-recurring expenses of adoption must be reimbursed for any of the non-recurring adoption expenses described at 45 CFR 1356.41 (i) when they adopt a child with special needs as set forth in section 473 (c) of the Social Security Act..
    Source/Date
    ACYF-CB-PIQ-89-02 (5/23/89)
    Legal and Related References
    Social Security Act - section 473

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    12/01/2004 - 12/01/2004
    Question
    *States are required to reimburse up to $2,000, or such lower amount as set by the State, for the non-recurring adoption expenses of parents who adopt children with special needs. The regulations define "non-recurring adoption expenses" as reasonable and necessary adoption fees, court costs, attorney fees and other expenses which are directly related to the legal adoption of a child with special needs. "Other expenses" were defined as the costs of adoption incurred by or on behalf of the parents and for which parents carry the burden of payment, such as the adoption study, including health and psychological examinations, supervision of the placement prior to adoption, transportation and the reasonable costs of lodging and food for the child and/or the adoptive parents when necessary to complete the adoption process.

    Would it be possible for a State to further limit the reimburseable areas within the allowable expense category? For instance, could reimbursement be limited to attorney

    Answer
    No. A State may not limit reimbursement for nonrecurring adoption expenses by category. Adoptive parents who apply for reimbursement of the non-recurring expenses of adoption must be reimbursed for any of the non-recurring adoption expenses described at 45 CFR 1356.41 (i) when they adopt a child with special needs as set forth in section 473 (c) of the Social Security Act..
    Source/Date
    ACYF-CB-PIQ-89-02 (5/23/89)
    Legal and Related References
    Social Security Act - section 473

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    05/06/2001 - 12/01/2004 (Original Record)
    Question
    States are required to reimburse up to $2,000, or such lower amount as set by the State, for the non-recurring adoption expenses of parents who adopt children with special needs. The regulations define "non-recurring adoption expenses" as reasonable and necessary adoption fees, court costs, attorney fees and other expenses which are directly related to the legal adoption of a child with special needs. "Other expenses" were defined as the costs of adoption incurred by or on behalf of the parents and for which parents carry the burden of payment, such as the adoption study, including health and psychological examinations, supervision of the placement prior to adoption, transportation and the reasonable costs of lodging and food for the child and/or the adoptive parents when necessary to complete the adoption process.

    Would it be possible for a State to further limit the reimburseable areas within the allowable expense category? For instance, could reimbursement be limited to attorne

    Answer
    No. A State may not limit reimbursement for nonrecurring adoption expenses by category. Adoptive parents who apply for reimbursement of the non-recurring expenses of adoption must be reimbursed for any of the non-recurring adoption expenses described at 45 CFR 1356.41 (i) when they adopt a child with special needs as set forth in section 473 (c) of the Social Security Act..
    Source/Date
    ACYF-CB-PIQ-89-02 (5/23/89)
    Legal and Related References
    Social Security Act - section 473

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    05/06/2001 - 12/01/2004 (Original Record)
    Question
    States are required to reimburse up to $2,000, or such lower amount as set by the State, for the non-recurring adoption expenses of parents who adopt children with special needs. The regulations define "non-recurring adoption expenses" as reasonable and necessary adoption fees, court costs, attorney fees and other expenses which are directly related to the legal adoption of a child with special needs. "Other expenses" were defined as the costs of adoption incurred by or on behalf of the parents and for which parents carry the burden of payment, such as the adoption study, including health and psychological examinations, supervision of the placement prior to adoption, transportation and the reasonable costs of lodging and food for the child and/or the adoptive parents when necessary to complete the adoption process.

    Would it be possible for a State to further limit the reimburseable areas within the allowable expense category? For instance, could reimbursement be limited to attorne

    Answer
    No. A State may not limit reimbursement for nonrecurring adoption expenses by category. Adoptive parents who apply for reimbursement of the non-recurring expenses of adoption must be reimbursed for any of the non-recurring adoption expenses described at 45 CFR 1356.41 (i) when they adopt a child with special needs as set forth in section 473 (c) of the Social Security Act.
    Source/Date
    ACYF-CB-PIQ-89-02 (5/23/89)
    Legal and Related References
    Social Security Act - section 473

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    05/06/2001 - 12/01/2004 (Original Record)
    Question
    States are required to reimburse up to $2,000, or such lower amount as set by the State, for the non-recurring adoption expenses of parents who adopt children with special needs. The regulations define "non-recurring adoption expenses" as reasonable and necessary adoption fees, court costs, attorney fees and other expenses which are directly related to the legal adoption of a child with special needs. "Other expenses" were defined as the costs of adoption incurred by or on behalf of the parents and for which parents carry the burden of payment, such as the adoption study, including health and psychological examinations, supervision of the placement prior to adoption, transportation and the reasonable costs of lodging and food for the child and/or the adoptive parents when necessary to complete the adoption process.

    Would it be possible for a State to further limit the reimburseable areas within the allowable expense category? For instance, could reimbursement be limited to attorne

    Answer
    No. A State may not limit reimbursement for nonrecurring adoption expenses by category. Adoptive parents who apply for reimbursement of the non-recurring expenses of adoption must be reimbursed for any of the non-recurring adoption expenses described at 45 CFR 1356.41 (i) when they adopt a child with special needs as set forth in section 473 (c) of the Social Security Act.
    Source/Date
    ACYF-CB-PIQ-89-02 (5/23/89)
    Legal and Related References
    Social Security Act - section 473

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    05/06/2001 - 12/01/2004 (Original Record)
    Question
    States are required to reimburse up to $2,000, or such lower amount as set by the State, for the non-recurring adoption expenses of parents who adopt children with special needs. The regulations define "non-recurring adoption expenses" as reasonable and necessary adoption fees, court costs, attorney fees and other expenses which are directly related to the legal adoption of a child with special needs. "Other expenses" were defined as the costs of adoption incurred by or on behalf of the parents and for which parents carry the burden of payment, such as the adoption study, including health and psychological examinations, supervision of the placement prior to adoption, transportation and the reasonable costs of lodging and food for the child and/or the adoptive parents when necessary to complete the adoption process.

    Would it be possible for a State to further limit the reimburseable areas within the allowable expense category? For instance, could reimbursement be limited to attorne

    Answer
    No. A State may not limit reimbursement for nonrecurring adoption expenses by category. Adoptive parents who apply for reimbursement of the non-recurring expenses of adoption must be reimbursed for any of the non-recurring adoption expenses described at 45 CFR 1356.41 (i) when they adopt a child with special needs as set forth in section 473 (c) of the Social Security Act.
    Source/Date
    ACYF-CB-PIQ-89-02 (5/23/89)
    Legal and Related References
    Social Security Act - section 473

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    05/06/2001 - 12/01/2004 (Original Record)
    Question
    States are required to reimburse up to $2,000, or such lower amount as set by the State, for the non-recurring adoption expenses of parents who adopt children with special needs. The regulations define "non-recurring adoption expenses" as reasonable and necessary adoption fees, court costs, attorney fees and other expenses which are directly related to the legal adoption of a child with special needs. "Other expenses" were defined as the costs of adoption incurred by or on behalf of the parents and for which parents carry the burden of payment, such as the adoption study, including health and psychological examinations, supervision of the placement prior to adoption, transportation and the reasonable costs of lodging and food for the child and/or the adoptive parents when necessary to complete the adoption process.

    Would it be possible for a State to further limit the reimburseable areas within the allowable expense category? For instance, could reimbursement be limited to attorne

    Answer
    No. A State may not limit reimbursement for nonrecurring adoption expenses by category. Adoptive parents who apply for reimbursement of the non-recurring expenses of adoption must be reimbursed for any of the non-recurring adoption expenses described at 45 CFR 1356.41 (i) when they adopt a child with special needs as set forth in section 473 (c) of the Social Security Act.
    Source/Date
    ACYF-CB-PIQ-89-02 (5/23/89)
    Legal and Related References
    Social Security Act - section 473

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    Question Number 4:
    03/03/2020 - Current
    Question
    Prospective adoptive parents sometimes have an attorney review the subsidy agreement to ensure that the parents' best interests are addressed. This private attorney review is in addition to the work of the title IV-E agency attorneys who prepare the subsidy paperwork. Are attorney fees and other expenses related to the review of the title IV-E adoption assistance agreement directly related to the legal adoption of a child with special needs and, therefore, allowable under title IV-E?
    Answer
    Yes. If the adoptive parents who are adopting a child with special needs incur an attorney fee for review of the adoption subsidy agreement, the title IV-E agency may reimburse the adoptive parents for that expenditure, up to the $2,000 limit, as a nonrecurring expense of adoption. In addition, the title IV-E agency also may claim the costs of the agency attorney's review of the adoption assistance agreement as an administrative cost, consistent with the policy in the Child Welfare Policy Manual (CWPM), Section 8.1A, Q/A #1.
    Source/Date
    7/6/05; (03/03/2020)
    Legal and Related References
    Social Security Act -- Section 473(a)(6) and 479B; 45 CFR 1356.41(i); CWPM, Section 8.1A, Q/A #1
    Question Number 5:
    10/25/2017 - Current
    Question
    *Does the nonrecurring adoption expenses limit of $2,000 (or lower at title IV-E agency option) apply per adoption episode or is it a lifetime limit?
    Answer
    The nonrecurring adoption expenses limit is applied per adoption episode.
    Source/Date
    7/6/05
    Legal and Related References
    Social Security Act -- Section 473(a)(1)(B)(i), 45 CFR 1356.41

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    07/12/2005 - 10/25/2017 (Original Record)
    Question
    Does the nonrecurring adoption expenses limit of $2,000 (or lower at State option) apply per adoption episode or is it a lifetime limit?
    Answer
    The nonrecurring adoption expenses limit is applied per adoption episode.
    Source/Date
    7/6/05
    Legal and Related References
    Social Security Act -- Section 473(a)(1)(B)(i), 45 CFR 1356.41

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    Question Number 6:
    03/03/2020 - Current
    Question
    Can the title IV-E agency claim Federal financial participation (FFP) for the nonrecurring expenses of adoption if the adoption is never finalized?
    Answer
    Yes. The title IV-E agency may claim FFP for the nonrecurring expenses of adoption in accordance with the requirements set forth in 45 CFR 1356.41 if:

    - there is a title IV-E agreement for the nonrecurring expenses of adoption between the adoptive parent(s) and the title IV-E agency; and

    - the title IV-E agency determined that the child is a child with special needs in accordance with section 473(c) of the Social Security Act (the Act).

    Consistent with section 473(a)(5) of the Act, payments may be made on behalf of a child in an adoptive placement prior to the finalization of adoption when all eligibility requirements in section 473 of the Act are met and there is a signed adoption assistance agreement between the title IV-E agency and the adoptive parent(s). The regulation at 45 CFR 1356.41(b) provides that the agreement for the nonrecurring expenses of adoption may be a separate document or a part of the agreement for either Federal or State/Tribal adoption assistance. In allowing adoption assistance payments to be made prior to the finalization of the adoption, the Department has never differentiated between payments for ongoing adoption assistance under such agreements and payments for the nonrecurring expenses for adoption. Further, nothing in statute or regulation prohibits reimbursement for the expenses incurred by adoptive families in circumstances where the adoption is not finalized.

    Source/Date
    September 29, 2005; (03/03/2020)
    Legal and Related References
    Social Security Act - Sections 473(a)(1)(B)(i), 473(a)(5), and 479B; 45 CFR 1356.41(b).

    2.1A.1 CAPTA, Assurances and Requirements, Access to Child Abuse and Neglect Information, Confidentiality

    Question Number 1:
    09/14/2012 - Current
    Question
    What are the Child Abuse Prevention and Treatment Act (CAPTA) confidentiality requirements?
    Answer
    *In general, CAPTA requires that a State preserve the confidentiality of all child abuse and neglect reports and records in order to protect the rights of the child and the child's parents or guardians (section 106(b)(2)(B)(viii) of CAPTA). However, CAPTA allows the State to release information to certain individuals and entities.

    The State may share confidential child abuse and neglect reports and records that are made and maintained in accordance with CAPTA with any of the following:

    • Individuals who are the subject of a report (section 106(b)(2)(B)(viii)(I));
    • A grand jury or court, when necessary to determine an issue before the court or grand jury (section 106(b)(2)(B)(viii)(V)); and
    • Other entities or classes of individuals who are authorized by statute to receive information pursuant to a legitimate State purpose (section 106(b)(2)(B)(viii)(VI)).

    In addition, States have the option to allow public access to court proceedings that determine child abuse and neglect cases, so long as the State, at a minimum, can ensure the safety and well-being of the child, parents and families (see the last paragraph of section 106(b)(2) of CAPTA).

    The State must provide certain otherwise confidential child abuse and neglect information to the following:

    • Any Federal, State, or local government entity, or any agent of such entity, that has a need for such information in order to carry out its responsibilities under law to protect children from abuse and neglect (permitted by 106(b)(2)(B)(viii)(II) but required by section 106(b)(2)(B)(ix));

    • Child abuse citizen review panels, if such panels are established to comply with section 106(c) of CAPTA (permitted by 106(b)(2)(B)(viii)(III) but required by section 106(c)(5)(A));

    • Public disclosure of the findings or information about the case of child abuse or neglect that results in a child fatality or near fatality (required by section 106(b)(2)(B)(x)), in accordance with section 2.1A.4, Q/A #8 of the CWPM; and

    • Child fatality review panels. Although disclosure to such panels is merely permissible under the language of section 106(b)(2)(B)(viii)(IV), section 106(b)(2)(B)(x) of CAPTA requires disclosure of findings or information about the case of child abuse or neglect that results in a child fatality or near fatality. Accordingly, disclosure to a child fatality review panel is required.

    Authorized recipients of confidential child abuse and neglect information are bound by the same confidentiality restrictions as the child protective services agency. Thus, recipients of such information must use the information only for activities related to the prevention and treatment of child abuse and neglect. Further disclosure is permitted only in accordance with the CAPTA standards.

    There may be other Federal confidentiality restrictions for the State to consider when implementing the confidentiality provisions under CAPTA.

    Source/Date
    *ACYF-NCCAN-PIQ-97-01 (3/4/97); updated 9/27/11; updated 9/12/12
    Legal and Related References
    CAPTA section 106(b)(2)(B) and 106(c)(5)(A)

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    09/27/2011 - 09/14/2012
    Question
    What are the Child Abuse Prevention and Treatment Act (CAPTA) confidentiality requirements?
    Answer
    *In general, CAPTA requires that a State preserve the confidentiality of all child abuse and neglect reports and records in order to protect the rights of the child and the child''s parents or guardians (section 106(b)(2)(B)(viii) of CAPTA). However, CAPTA allows the State to release information to certain individuals and entities.

    The State may share confidential child abuse and neglect reports and records that are made and maintained in accordance with CAPTA with any of the following:

    • Individuals who are the subject of a report (section 106(b)(2)(B)(viii)(I));
    • A grand jury or court, when necessary to determine an issue before the court or grand jury (section 106(b)(2)(B)(viii)(V)); and
    • Other entities or classes of individuals who are authorized by statute to receive information pursuant to a legitimate State purpose (section 106(b)(2)(B)(viii)(VI)).

    In addition, States have the option to allow public access to court proceedings that determine child abuse and neglect cases, so long as the State, at a minimum, can ensure the safety and well-being of the child, parents and families (see the last paragraph of section 106(b)(2) of CAPTA).

    The State must provide certain otherwise confidential child abuse and neglect information to the following:

    • Any Federal, State, or local government entity, or any agent of such entity, that has a need for such information in order to carry out its responsibilities under law to protect children from abuse and neglect (permitted by 106(b)(2)(A)(viii)(II) but required by section 106(b)(2)(B)(ix));
    • Child abuse citizen review panels, if such panels are established to comply with section 106(c) of CAPTA (permitted by 106(b)(2)(B)(viii)(III) but required by section 106(c)(5)(A));
    • Public disclosure of the findings or information about the case of child abuse or neglect that results in a child fatality or near fatality (required by section 106(b)(2)(A)(x)), unless such disclosure of information would jeopardize a criminal investigation or proceeding; and
    • Child fatality review panels. Although disclosure to such panels is merely permissible under the language of section 106(b)(2)(A)(viii)(IV), section 106(b)(2)(A)(x) of CAPTA requires disclosure of findings or information about the case of child abuse or neglect that results in a child fatality or near fatality. Accordingly, disclosure to a child fatality review panel is required.

    Authorized recipients of confidential child abuse and neglect information are bound by the same confidentiality restrictions as the child protective services agency. Thus, recipients of such information must use the information only for activities related to the prevention and treatment of child abuse and neglect. Further disclosure is permitted only in accordance with the CAPTA standards.

    There may be other Federal confidentiality restrictions for the State to consider when implementing the confidentiality provisions under CAPTA.

    Source/Date
    ACYF-NCCAN-PIQ-97-01 (3/4/97); updated 9/27/11
    Legal and Related References
    CAPTA section 106(b)(2)(B) and 106(c)(5)(A)

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    09/27/2011 - 09/27/2011
    Question
    What are the Child Abuse Prevention and Treatment Act (CAPTA) confidentiality requirements?
    Answer
    *In general, CAPTA requires that a State preserve the confidentiality of all child abuse and neglect reports and records in order to protect the rights of the child and the child''s parents or guardians (section 106(b)(2)(B)(viii) of CAPTA). However, CAPTA allows the State to release information to certain individuals and entities.

    The State may share confidential child abuse and neglect reports and records that are made and maintained in accordance with CAPTA with any of the following:

    ? Individuals who are the subject of a report (section 106(b)(2)(B)(viii)(I));

    ? A grand jury or court, when necessary to determine an issue before the court or grand jury (section 106(b)(2)(B)(viii)(V)); and

    ? Other entities or classes of individuals who are authorized by statute to receive information pursuant to a legitimate State purpose (section 106(b)(2)(B)(viii)(VI)).

    In addition, States have the option to allow public access to court proceedings that determine child abuse and neglect cases, so long as the State, at a minimum, can ensure the safety and well-being of the child, parents and families (see the last paragraph of section 106(b)(2) of CAPTA).

    The State must provide certain otherwise confidential child abuse and neglect information to the following:

    ? Any Federal, State, or local government entity, or any agent of such entity, that has a need for such information in order to carry out its responsibilities under law to protect children from abuse and neglect (permitted by 106(b)(2)(A)(viii)(II) but required by section 106(b)(2)(B)(ix));

    ? Child abuse citizen review panels, if such panels are established to comply with section 106(c) of CAPTA (permitted by 106(b)(2)(B)(viii)(III) but required by section 106(c)(5)(A));

    ? Public disclosure of the findings or information about the case of child abuse or neglect that results in a child fatality or near fatality (required by section 106(b)(2)(A)(x)), unless such disclosure of information would jeopardize a criminal investigation or proceeding; and

    ? Child fatality review panels. Although disclosure to such panels is merely permissible under the language of section 106(b)(2)(A)(viii)(IV), section 106(b)(2)(A)(x) of CAPTA requires disclosure of findings or information about the case of child abuse or neglect that results in a child fatality or near fatality. Accordingly, disclosure to a child fatality review panel is required.

    Authorized recipients of confidential child abuse and neglect information are bound by the same confidentiality restrictions as the child protective services agency. Thus, recipients of such information must use the information only for activities related to the prevention and treatment of child abuse and neglect. Further disclosure is permitted only in accordance with the CAPTA standards.

    There may be other Federal confidentiality restrictions for the State to consider when implementing the confidentiality provisions under CAPTA.

    Source/Date
    *ACYF-NCCAN-PIQ-97-01 (3/4/97); updated 9/27/11
    Legal and Related References
    *CAPTA section 106(b)(2)(B) and 106(c)(5)(A)

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    04/17/2006 - 09/27/2011
    Question
    *What are the Child Abuse Prevention and Treatment Act (CAPTA) confidentiality requirements?
    Answer
    *In general, CAPTA requires that a State preserve the confidentiality of all child abuse and neglect reports and records in order to protect the rights of the child and the child''s parents or guardians (section 106(b)(2)(A)(viii) of CAPTA). However, CAPTA allows the State to release information to certain individuals and entities.

    The State may share confidential child abuse and neglect reports and records that are made and maintained in accordance with CAPTA with any of the following:

  • Individuals who are the subject of a report (section 106(b)(2)(A)(viii)(I));
  • A grand jury or court, when necessary to determine an issue before the court or grand jury (section 106(b)(2)(A)(viii)(V)); and
  • Other entities or classes of individuals who are authorized by statute to receive information pursuant to a legitimate State purpose (section 106(b)(2)(A)(viii)(VI)).
  • In addition, States have the option to allow public access to court proceedings that determine child abuse and neglect cases, so long as the State, at a minimum, can ensure the safety and well-being of the child, parents and families (see the last paragraph of section 106(b)(2) of CAPTA).

    The State must provide certain otherwise confidential child abuse and neglect information to the following:

  • Any Federal, State, or local government entity, or any agent of such entity, that has a need for such information in order to carry out its responsibilities under law to protect children from abuse and neglect (permitted by 106(b)(2)(A)(viii)(II) but required by section 106(b)(2)(A)(ix));
  • Child abuse citizen review panels, if such panels are established to comply with section 106(c) of CAPTA (permitted by 106(b)(2)(A)(viii)(III) but required by section 106(c)(5)(A));
  • Public disclosure of the findings or information about the case of child abuse or neglect that results in a child fatality or near fatality (required by section 106(b)(2)(A)(x)), unless such disclosure of information would jeopardize a criminal investigation or proceeding; and
  • Child fatality review panels. Although disclosure to such panels is merely permissible under the language of section 106(b)(2)(A)(viii)(IV), section 106(b)(2)(A)(x) of CAPTA requires disclosure of findings or information about the case of child abuse or neglect that results in a child fatality or near fatality. Accordingly, disclosure to a child fatality review panel is required.
  • Authorized recipients of confidential child abuse and neglect information are bound by the same confidentiality restrictions as the child protective services agency. Thus, recipients of such information must use the information only for activities related to the prevention and treatment of child abuse and neglect. Further disclosure is permitted only in accordance with the CAPTA standards.

    There may be other Federal confidentiality restrictions for the State to consider when implementing the confidentiality provisions under CAPTA.

    Source/Date
    *ACYF-NCCAN-PIQ-97-01 (3/4/97); updated 3/22/06
    Legal and Related References
    *CAPTA section 106(b)(2)(A)

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    08/07/2000 - 04/17/2006 (Original Record)
    Question
    What are the CAPTA confidentiality requirements?
    Answer
    The CAPTA Amendments of 1996 require that States preserve the confidentiality of all reports and records on child abuse and neglect in order to protect the privacy rights of the child and the child''s parents or guardians, except in certain limited circumstances. CAPTA prohibits disclosure of confidential child abuse and neglect information to persons or entities outside those enumerated in the statute. Authorized recipients of confidential child abuse and neglect information are bound by the same confidentiality restrictions as the child protective services agency. Thus, recipients of such information must use the information only for activities related to the prevention and treatment of child abuse and neglect.

    The only exception to the restrictions on disclosure of otherwise confidential child abuse and neglect information is in cases of child abuse or neglect that result in the death or near death of a child. In such cases, CAPTA requires public disclosure of the findings and information about the case.

    Source/Date
    ACYF-NCCAN-PIQ-98-01 (6/29/98)
    Legal and Related References
    Child Abuse Prevention and Treatment Act (CAPTA), as amended (42 U.S.C. 5101 et seq.) - sections 106 (b)(2)(A)(v) and (vi)

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    Question Number 2:
    09/14/2012 - Current
    Question
    Would legislation that protects the identity of the reporter, but would otherwise open child abuse and neglect reports and records to the public, meet the confidentiality provisions in section 106 (b)(2)(B)(viii) of the Child Abuse Prevention and Treatment Act (CAPTA)?
    Answer
    In general, such broad public access to child abuse and neglect reports and records is not consistent with CAPTA. States must preserve the confidentiality of all reports and records in order to protect the rights of the child and the child's parents or guardians, except in certain specified circumstances.

    There are two circumstances in which information contained in child abuse and neglect reports and records, which are typically kept confidential, may be shared with the public. First, a State must release findings or information to the public about a case of child abuse or neglect which results in a child's death or near fatality consistent with section 106(b)(2)(B)(x) of CAPTA and in accordance with section 2.1A.4, Q/A #8 of the CWPM. Additionally, a State may open court proceedings that determine child abuse and neglect to the public (see the last paragraph of section 106(b)(2) of CAPTA).

    There may be other Federal confidentiality restrictions for the State to consider when implementing the confidentiality provisions under CAPTA.

    Source/Date
    *ACYF-NCCAN-PIQ-97-01 (3/4/97); updated 9/27/11; 9/12/12
    Legal and Related References
    Child Abuse Prevention and Treatment Act (CAPTA), as amended (42 U.S.C. 5101 et seq.) - sections 106(b)(2) and 106(b)(2)(B)

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    09/14/2012 - 09/14/2012
    Question
    Would legislation that protects the identity of the reporter, but would otherwise open child abuse and neglect reports and records to the public, meet the confidentiality provisions in section 106 (b)(2)(B)(viii) of the Child Abuse Prevention and Treatment Act (CAPTA)?
    Answer
    *In general, such broad public access to child abuse and neglect reports and records is not consistent with CAPTA. States must preserve the confidentiality of all reports and records in order to protect the rights of the child and the child''s parents or guardians, except in certain specified circumstances.

    There are two circumstances in which information contained in child abuse and neglect reports and records, which are typically kept confidential, may be shared with the public. First, a State must release findings or information to the public about a case of child abuse or neglect which results in a child''s death or near fatality consistent with section 106(b)(2)(B)(x) of CAPTA and in accordance with section 2.1A.4, Q/A #8 of the CWPM. Additionally, a State may open court proceedings that determine child abuse and neglect to the public (see the last paragraph of section 106(b)(2) of CAPTA).

    There may be other Federal confidentiality restrictions for the State to consider when implementing the confidentiality provisions under CAPTA.

    Source/Date
    ACYF-NCCAN-PIQ-97-01 (3/4/97); updated 9/27/11
    Legal and Related References
    Child Abuse Prevention and Treatment Act (CAPTA), as amended (42 U.S.C. 5101 et seq.) - sections 106(b)(2) and 106(b)(2)(B)

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    09/27/2011 - 09/14/2012
    Question
    *Would legislation that protects the identity of the reporter, but would otherwise open child abuse and neglect reports and records to the public, meet the confidentiality provisions in section 106 (b)(2)(B)(viii) of the Child Abuse Prevention and Treatment Act (CAPTA)?
    Answer
    *In general, such broad public access to child abuse and neglect reports and records is not consistent with CAPTA. States must preserve the confidentiality of all reports and records in order to protect the rights of the child and the child''s parents or guardians, except in certain specified circumstances.

    There are two circumstances in which information contained in child abuse and neglect reports and records, which are typically kept confidential, may be shared with the public. First, a State must release findings or information to the public about a case of child abuse or neglect which results in a child''s death or near fatality consistent with section 106(b)(2)(B)(x) of CAPTA. Additionally, a State may open court proceedings that determine child abuse and neglect to the public (see the last paragraph of section 106(b)(2) of CAPTA).

    There may be other Federal confidentiality restrictions for the State to consider when implementing the confidentiality provisions under CAPTA.

    Source/Date
    *ACYF-NCCAN-PIQ-97-01 (3/4/97); updated 9/27/11
    Legal and Related References
    *Child Abuse Prevention and Treatment Act (CAPTA), as amended (42 U.S.C. 5101 et seq.) - sections 106(b)(2) and 106(b)(2)(B)

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    04/17/2006 - 09/27/2011
    Question
    *Would legislation that protects the identity of the reporter, but would otherwise open child abuse and neglect reports and records to the public, meet the confidentiality provisions in section 106 (b)(2)(A)(viii) of the Child Abuse Prevention and Treatment Act (CAPTA)?
    Answer
    *In general, such broad public access to child abuse and neglect reports and records is not consistent with CAPTA. States must preserve the confidentiality of all reports and records in order to protect the rights of the child and the child''s parents or guardians, except in certain specified circumstances.

    There are two circumstances in which information contained in child abuse and neglect reports and records, which are typically kept confidential, may be shared with the public. First, a State must release findings or information to the public about a case of child abuse or neglect which results in a child''s death or near fatality consistent with section 106(b)(2)(A)(x) of CAPTA. Additionally, a State may open court proceedings that determine child abuse and neglect to the public (see the last paragraph of section 106(b)(2) of CAPTA).

    There may be other Federal confidentiality restrictions for the State to consider when implementing the confidentiality provisions under CAPTA.

    Source/Date
    *ACYF-NCCAN-PIQ-97-01 (3/4/97); updated 3/22/06
    Legal and Related References
    *Child Abuse Prevention and Treatment Act (CAPTA), as amended (42 U.S.C. 5101 et seq.) - sections 106(b)(2) and 106(b)(2)(A)

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    08/07/2000 - 04/17/2006 (Original Record)
    Question
    Would legislation which protects the identity of the reporter, but would otherwise open child abuse and neglect reports and records to the public, meet the confidentiality provisions in section 106 (b)(2)(v) of CAPTA?
    Answer
    No. The CAPTA Amendments of 1996 require that States preserve the confidentiality of all records in order to protect the rights of the child and the child''s parents or guardians, except in certain circumstances. The statute specifies the persons to whom and circumstances in which disclosure of CPS records can be made. In addition, it allows States to release CPS records to entities or classes of individuals statutorily authorized by the State to receive such information pursuant to a legitimate State interest.

    The CAPTA language strikes a delicate balance between protecting the privacy rights of individuals and the release of CPS records when there is a legitimate State purpose for the disclosure. In creating this balance, it is clear that the Congress did not intend that all records be made public.

    Source/Date
    ACYF-NCCAN-PIQ-97-01 (3/4/97)
    Legal and Related References
    Child Abuse Prevention and Treatment Act (CAPTA), as amended (42 U.S.C. 5101 et seq.) - section 106

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    Question Number 3:
    09/27/2011 - Current
    Question
    Do States have the authority to release otherwise confidential child abuse and neglect information to researchers for the purpose of child abuse and neglect research?
    Answer
    Yes. Consistent with section 106(b)(2)(B)(viii)(II) and (VI) of CAPTA, States have authority to release information to researchers of child abuse and neglect in either of two ways: (1) the CPS agency may contract with a researcher, thereby making the researcher its "agent;" or (2) States may statutorily authorize release of such information to researchers as a legitimate State purpose, since research involving data in CPS records can provide important information that will help government officials plan programs for abused and neglected children and develop future policy directions.
    Source/Date
    *ACYF-NCCAN-PIQ-97-04 (3/4/97); updated 9/27/11
    Legal and Related References
    *Child Abuse Prevention and Treatment Act (CAPTA), as amended (42 U.S.C. 5101 et seq.) - section 106(b)(2)(B)(viii)

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    04/17/2006 - 09/27/2011
    Question
    Do States have the authority to release otherwise confidential child abuse and neglect information to researchers for the purpose of child abuse and neglect research?
    Answer
    *Yes. Consistent with section 106(b)(2)(B)(viii)(II) and (VI) of CAPTA, States have authority to release information to researchers of child abuse and neglect in either of two ways: (1) the CPS agency may contract with a researcher, thereby making the researcher its "agent;" or (2) States may statutorily authorize release of such information to researchers as a legitimate State purpose, since research involving data in CPS records can provide important information that will help government officials plan programs for abused and neglected children and develop future policy directions.
    Source/Date
    *ACYF-NCCAN-PIQ-97-01 (3/4/97); updated 2/3/05
    Legal and Related References
    *Child Abuse Prevention and Treatment Act (CAPTA), as amended (42 U.S.C. 5101 et seq.) - section 106(b)(2)(A)(viii)

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    04/17/2006 - 09/27/2011
    Question
    Do States have the authority to release otherwise confidential child abuse and neglect information to researchers for the purpose of child abuse and neglect research?
    Answer
    *Yes. Consistent with section 106(b)(2)(a)(viii)(II) and (VI) of CAPTA, States have authority to release information to researchers of child abuse and neglect in either of two ways: (1) the CPS agency may contract with a researcher, thereby making the researcher its "agent;" or (2) States may statutorily authorize release of such information to researchers as a legitimate State purpose, since research involving data in CPS records can provide important information that will help government officials plan programs for abused and neglected children and develop future policy directions.
    Source/Date
    *ACYF-NCCAN-PIQ-97-01 (3/4/97); updated 2/3/05
    Legal and Related References
    *Child Abuse Prevention and Treatment Act (CAPTA), as amended (42 U.S.C. 5101 et seq.) - section 106(b)(2)(A)(viii)

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    02/03/2005 - 04/17/2006
    Question
    Do States have the authority to release otherwise confidential child abuse and neglect information to researchers for the purpose of child abuse and neglect research?
    Answer
    Yes. Under the CAPTA amendments, States have authority to release information to researchers of child abuse and neglect in either of two ways: (1) the CPS agency may contract with a researcher, thereby making the researcher its "agent"; or (2) States may statutorily authorize release of such information to researchers as a legitimate State purpose, since research involving data in CPS records can provide important information that will help government officials plan programs for abused and neglected children and develop future policy directions.
    Source/Date
    *ACYF-NCCAN-PIQ-97-01 (3/4/97) (updated 2/3/05)
    Legal and Related References
    Child Abuse Prevention and Treatment Act (CAPTA), as amended (42 U.S.C. 5101 et seq.) - section 106

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    09/15/2000 - 02/03/2005 (Original Record)
    Question
    Do States have the authority to release otherwise confidential child abuse and neglect information to researchers for the purpose of child abuse and neglect research?
    Answer
    Yes. Under the CAPTA amendments, States have authority to release information to researchers of child abuse and neglect in either of two ways: (1) the CPS agency may contract with a researcher, thereby making the researcher its "agent"; or (2) States may statutorily authorize release of such information to researchers as a legitimate State purpose, since research involving data in CPS records can provide important information that will help government officials plan programs for abused and neglected children and develop future policy directions.
    Source/Date
    ACYF-NCCAN-PIQ-97-01 (3/4/97)
    Legal and Related References
    Child Abuse Prevention and Treatment Act (CAPTA), as amended (42 U.S.C. 5101 et seq.) - section 106

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    Question Number 4:
    09/27/2011 - Current
    Question
    *The confidentiality provision at section 106(b)(2)(B)(viii) of the Child Abuse Prevention and Treatment Act (CAPTA) requires that States have a State law or operate a statewide program that includes methods to preserve the confidentiality of all child abuse and neglect records and reports and provides for exceptions in certain circumstances. The statutory language states that such records "shall only be made available to" a specified list of persons and entities. Are States required to disclose child abuse and neglect records to the persons and entities enumerated in subsections (I)-(VI) under section (viii)?
    Answer
    *In general, States are permitted, but not required, to disclose otherwise confidential information to the persons or entities in the enumerated categories in subsections (I)-(VI) under section (viii). However, the disclosure described in subsections (II), (III) and (IV), is required by subsequent provisions in CAPTA. Specifically, subsection (ix) requires disclosure to any Federal, State or local entity, or agent of such entity, that has a need for the information in order to carry out its responsibilities under law to protect children from abuse and neglect, so that disclosure as described under subsection (viii)(II) is mandatory. Likewise, in accordance with section 106(c)(5)(A), the State must provide a citizen review panel with access to information on cases that the panel needs to review if the information is necessary for the panel to carry out its functions. Further, section 106(b)(2)(B)(x) of CAPTA requires States to allow for public disclosure of the findings or information of the case of child abuse or neglect that results in a child fatality or near fatality. Thus, the disclosure described in subsection (viii)(IV) also is required. Otherwise, States are permitted, but not required, to disclose information to the persons or entities in the enumerated categories.

    There may be other Federal confidentiality restrictions for the State to consider when implementing the confidentiality provisions under CAPTA.

    Source/Date
    *ACYF-NCCAN-PIQ-97-03 (9/26/97); updated 9/27/11
    Legal and Related References
    *Child Abuse Prevention and Treatment Act (CAPTA), as amended (42 U.S.C. 5101 et seq.) - sections 106(b)(2)(B)(viii) and (b)(2)(B)(x)

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    04/17/2006 - 09/27/2011
    Question
    *The confidentiality provision at section 106(b)(2)(A)(viii) of the Child Abuse Prevention and Treatment Act (CAPTA) requires that States have a State law or operate a statewide program that includes methods to preserve the confidentiality of all child abuse and neglect records and reports and provides for exceptions in certain circumstances. The statutory language states that such records "shall only be made available to" a specified list of persons and entities. Are States required to disclose child abuse and neglect records to the persons and entities enumerated in subsections (I)-(VI) under section (viii)?
    Answer
    *In general, States are permitted, but not required, to disclose otherwise confidential information to the persons or entities in the enumerated categories in subsections (I)-(VI) under section (viii). However, the disclosure described in subsections (II), (III) and (IV), is required by subsequent provisions in CAPTA. Specifically, subsection (ix) requires disclosure to any Federal, State or local entity, or agent of such entity, that has a need for the information in order

    to carry out its responsibilities under law to protect children from abuse and neglect, so that disclosure as described under subsection (viii)(II) is mandatory. Likewise, in accordance with section 106(c)(5)(A), the State must provide a citizen review panel with access to information on cases that the panel needs to review if the information is necessary for the panel to carry out its functions. Further, section 106(b)(2)(A)(x) of CAPTA requires States to allow for public disclosure of the findings or information of the case of child abuse or neglect that results in a child fatality or near fatality. Thus, the disclosure described in subsection (viii)(IV) also is required. Otherwise, States are permitted, but not required, to disclose information to the persons or entities in the enumerated categories.

    There may be other Federal confidentiality restrictions for the State to consider when implementing the confidentiality provisions under CAPTA.

    Source/Date
    *ACYF-NCCAN-PIQ-97-03 (9/26/97); updated 3/22/06
    Legal and Related References
    *Child Abuse Prevention and Treatment Act (CAPTA), as amended (42 U.S.C. 5101 et seq.) - sections 106(b)(2)(A)(vii) and (b)(2)(A)(x)

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    09/15/2000 - 04/17/2006 (Original Record)
    Question
    The confidentiality provision at section 106 (b)(2)(A)(v) of CAPTA requires that States have a State law or operate a Statewide program that includes methods to preserve the confidentiality of all child abuse and neglect records except in certain circumstances. The statutory language states that such records, "shall only be made available to" a specified list of persons and entities. Under the CAPTA Amendments of 1996 are States required to disclose child abuse and neglect records to the persons and entities enumerated in subsections (I)-(VI) under section (v)?
    Answer
    No. The language prohibits State disclosure of confidential child abuse and neglect information to persons or entities outside the enumerated categories, and permits, rather than requires, such disclosure to those included in the specified categories.
    Source/Date
    ACYF-NCCAN-PIQ-97-03 (9/26/97)
    Legal and Related References
    Child Abuse Prevention and Treatment Act (CAPTA), as amended (42 U.S.C. 5101 et seq.) - section 106

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    Question Number 5:
    04/17/2006 - Current
    Question
    Is there a prohibition against redisclosure of confidential child abuse and neglect information?
    Answer
    Yes. Authorized recipients of otherwise confidential child protective services (CPS) information are bound by the same confidentiality restrictions as the CPS agency. Thus, recipients of such information must use the information only for activities related to the prevention and treatment of child abuse and neglect. Further disclosure is permitted only in accordance with the CAPTA standards.
    Source/Date
    *ACYF-NCCAN-PIQ-97-03 (9/26/97); updated 2/3/05
    Legal and Related References
    Child Abuse Prevention and Treatment Act (CAPTA), as amended (42 U.S.C. 5101 et seq.) - section 106

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    02/03/2005 - 04/17/2006
    Question
    Is there a prohibition against redisclosure of confidential child abuse and neglect information?
    Answer
    Yes. Authorized recipients of otherwise confidential child protective services (CPS) information are bound by the same confidentiality restrictions as the CPS agency. Thus, recipients of such information must use the information only for activities related to the prevention and treatment of child abuse and neglect. Further disclosure is permitted only in accordance with the CAPTA standards.
    Source/Date
    *ACYF-NCCAN-PIQ-97-03 (9/26/97) (updated 2/3/05)
    Legal and Related References
    Child Abuse Prevention and Treatment Act (CAPTA), as amended (42 U.S.C. 5101 et seq.) - section 106

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    09/15/2000 - 02/03/2005 (Original Record)
    Question
    Is there a prohibition against redisclosure of confidential child abuse and neglect information?
    Answer
    Yes. Authorized recipients of otherwise confidential child protective services (CPS) information are bound by the same confidentiality restrictions as the CPS agency. Thus, recipients of such information must use the information only for activities related to the prevention and treatment of child abuse and neglect. Further disclosure is permitted only in accordance with the CAPTA standards.
    Source/Date
    ACYF-NCCAN-PIQ-97-03 (9/26/97)
    Legal and Related References
    Child Abuse Prevention and Treatment Act (CAPTA), as amended (42 U.S.C. 5101 et seq.) - section 106

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    Question Number 6:
    09/14/2012 - Current
    Question
    *Will States compromise compliance with titles IV-B and IV-E of the Social Security Act if they comply with the confidentiality requirements in sections 106(b)(2)(B)(viii), (ix) and (x) of CAPTA?
    Answer
    *Title IV-E requires that States provide safeguards restricting the use and/or disclosure of information regarding children served by title IV-E foster care. Records maintained under both title IV-E and IV-B (both of which are subject to the Department's confidentiality provisions in 45 CFR 205.50) are to be safeguarded against unauthorized disclosure. The regulation at 45 CFR 205.50 states that the release or use of information concerning individuals applying for or receiving financial assistance is restricted to certain persons or agencies that require it for specified purposes. Such recipients of information are in turn subject to standards of confidentiality comparable to those of the agency administering the financial assistance programs.

    There may be instances where CPS information is subject both to disclosure requirements under CAPTA and to the confidentiality requirements under title IV-E and 45 CFR 205.50. To the extent that the CAPTA provisions require disclosure (such as in section 106(b)(2)(B)(ix) to other governmental entities and in section 106(b)(2)(B)(x) in the case of a child fatality or near fatality), the CAPTA disclosure provision would prevail in the event of a conflict since the CAPTA confidentiality provisions were most recently enacted. However, where the CAPTA provision is permissive (such as in sections 106(b)(2)(B)(viii)(I), (V) & (VI)), it allows States to disclose such information without violating CAPTA, but it does not make such disclosure permissible in other programs if it is not otherwise allowed under the other program's governing statute or regulations.

    Source/Date
    *ACYF-NCCAN-PIQ-97-03 (9/26/97); updated 9/27/11; 9/12/12
    Legal and Related References
    Social Security Act - sections 471 (a)(8) and (c); Child Abuse Prevention and Treatment Act (CAPTA), as amended (42 U.S.C. 5101 et seq.) - section 106; 45 CFR 205.50, 45 CFR 1355.21 (a)

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    09/27/2011 - 09/14/2012
    Question
    *Will States compromise compliance with titles IV-B and IV-E of the Social Security Act if they comply with the confidentiality requirements in sections 106(b)(2)(B)(viii)(V) and (VI) of CAPTA?
    Answer
    *Title IV-E requires that States provide safeguards restricting the use and/or disclosure of information regarding children served by title IV-E foster care. Records maintained under both title IV-E and IV-B (both of which are subject to the Department''s confidentiality provisions in 45 CFR 205.50) are to be safeguarded against unauthorized disclosure. The regulation at 45 CFR 205.50 states that the release or use of information concerning individuals applying for or receiving financial assistance is restricted to certain persons or agencies that require it for specified purposes. Such recipients of information are in turn subject to standards of confidentiality comparable to those of the agency administering the financial assistance programs.

    There may be instances where CPS information is subject both to disclosure requirements under CAPTA and to the confidentiality requirements under title IV-E and 45 CFR 205.50. To the extent that the CAPTA provisions require disclosure (such as in section 106(b)(2)(B)(ix) to other governmental entities), the CAPTA disclosure provision would prevail in the event of a conflict since the CAPTA confidentiality provisions were most recently enacted. However, where the CAPTA provision is permissive (such as to the public in open courts as described in the last paragraph of section 106(b)(2)), it allows States to disclose such information without violating CAPTA, but it does not make such disclosure permissible in other programs if it is not otherwise allowed under the other program''s governing statute or regulations.

    Source/Date
    *ACYF-NCCAN-PIQ-97-03 (9/26/97); updated 9/27/11
    Legal and Related References
    *Social Security Act - sections 471 (a)(8) and (c); Child Abuse Prevention and Treatment Act (CAPTA), as amended (42 U.S.C. 5101 et seq.) - section 106; 45 CFR 205.50, 45 CFR 1355.21 (a)

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    04/17/2006 - 09/27/2011
    Question
    Will States compromise compliance with titles IV-B and IV-E of the Social Security Act if they comply with the confidentiality requirements in sections 106 (b)(2)(v) and (vi) of CAPTA?
    Answer
    *Title IV-E requires that States provide safeguards restricting the use and/or disclosure of information regarding children served by title IV-E foster care. Records maintained under both title IV-E and IV-B (both of which are subject to the Department''s confidentiality provisions in 45 CFR 205.50) are to be safeguarded against unauthorized disclosure. The regulation at 45 CFR 205.50 states that the release or use of information concerning individuals applying for or receiving financial assistance is restricted to certain persons or agencies that require it for specified purposes. Such recipients of information are in turn subject to standards of confidentiality comparable to those of the agency administering the financial assistance programs.

    There may be instances where CPS information is subject both to disclosure requirements under CAPTA and to the confidentiality requirements under title IV-E and 45 CFR 205.50. To the extent that the CAPTA provisions require disclosure (such as in section 106(b)(2)(A)(ix) to other governmental entities), the CAPTA disclosure provision would prevail in the event of a conflict since the CAPTA confidentiality provisions were most recently enacted. However, where the CAPTA provision is permissive ( such as to the public in open courts as described in the last paragraph of section 106(b)(2)), it allows States to disclose such information without violating CAPTA, but it does not make such disclosure permissible in other programs if it is not otherwise allowed under the other program''s governing statute or regulations.

    Source/Date
    *ACYF-NCCAN-PIQ-97-03 (9/26/97) ; updated 2/3/05
    Legal and Related References
    Social Security Act - section 471 (a)(8); Child Abuse Prevention and Treatment Act (CAPTA), as amended (42 U.S.C. 5101 et seq.) - section 106; 45 CFR 205.50, 45 CFR 1355.21 (a)

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    02/03/2005 - 04/17/2006
    Question
    Will States compromise compliance with titles IV-B and IV-E of the Social Security Act if they comply with the confidentiality requirements in sections 106 (b)(2)(v) and (vi) of CAPTA?
    Answer
    Title IV-E requires that States provide safeguards restricting the use and/or disclosure of information regarding children served by title IV-E foster care. Records maintained under both title IV-E and IV-B (both of which are subject to the Department''s confidentiality provisions in 45 CFR 205.50) are to be safeguarded against unauthorized disclosure. The regulation at 45 CFR 205.50 states that the release or use of information concerning individuals applying for or receiving financial assistance is restricted to certain persons or agencies that require it for specified purposes. Such recipients of information are in turn subject to standards of confidentiality comparable to those of the agency administering the financial assistance programs.

    There may be instances where CPS information is subject both to disclosure requirements under CAPTA and to the confidentiality requirements under title IV-E and 45 CFR 205.50. To the extent that the CAPTA provisions require disclosure (such as in section 106 (b)(2)(A)(vi), the CAPTA disclosure provision would prevail in the event of a conflict since the CAPTA confidentiality provisions were most recently enacted. Whereas the CAPTA provision is permissive (such as in sections 106 (b)(2)(A)(v)(I)-(VI)), it allows States to disclose such information without violating CAPTA, but it does not make such disclosure permissible in other programs if it is not otherwise allowed under the other program''s governing statute or regulations.

    Source/Date
    *ACYF-NCCAN-PIQ-97-03 (9/26/97) (updated 2/3/05)
    Legal and Related References
    Social Security Act - section 471 (a)(8); Child Abuse Prevention and Treatment Act (CAPTA), as amended (42 U.S.C. 5101 et seq.) - section 106; 45 CFR 205.50, 45 CFR 1355.21 (a)

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    09/15/2000 - 02/03/2005 (Original Record)
    Question
    Will States compromise compliance with titles IV-B and IV-E of the Social Security Act if they comply with the confidentiality requirements in sections 106 (b)(2)(v) and (vi) of CAPTA?
    Answer
    Title IV-E requires that States provide safeguards restricting the use and/or disclosure of information regarding children served by title IV-E foster care. Records maintained under both title IV-E and IV-B (both of which are subject to the Department''s confidentiality provisions in 45 CFR 205.50) are to be safeguarded against unauthorized disclosure. The regulation at 45 CFR 205.50 states that the release or use of information concerning individuals applying for or receiving financial assistance is restricted to certain persons or agencies that require it for specified purposes. Such recipients of information are in turn subject to standards of confidentiality comparable to those of the agency administering the financial assistance programs.

    There may be instances where CPS information is subject both to disclosure requirements under CAPTA and to the confidentiality requirements under title IV-E and 45 CFR 205.50. To the extent that the CAPTA provisions require disclosure (such as in section 106 (b)(2)(A)(vi), the CAPTA disclosure provision would prevail in the event of a conflict since the CAPTA confidentiality provisions were most recently enacted. Whereas the CAPTA provision is permissive (such as in sections 106 (b)(2)(A)(v)(I)-(VI)), it allows States to disclose such information without violating CAPTA, but it does not make such disclosure permissible in other programs if it is not otherwise allowed under the other program''s governing statute or regulations.

    Source/Date
    ACYF-NCCAN-PIQ-97-03 (9/26/97)
    Legal and Related References
    Social Security Act - section 471 (a)(8); Child Abuse Prevention and Treatment Act (CAPTA), as amended (42 U.S.C. 5101 et seq.) - section 106; 45 CFR 205.50, 45 CFR 1355.21 (a)

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    Question Number 7:
    04/17/2006 - Current
    Question
    Do the confidentiality requirements in the Child Abuse Prevention and Treatment Act apply to the members of citizen review panels?
    Answer
    Citizen review panel members are bound by the confidentiality restrictions in section 106 (c)(4)(B)(i) of CAPTA. Specifically, members and staff of a panel may not disclose identifying information about any specific child protection case to any person or government official, and may not make public other information unless authorized by State statute to do so. Further, section 106 (c)(4)(B)(ii) of CAPTA requires States to establish civil sanctions for violations of these confidentiality restrictions. States that have civil sanctions in place for breaches of confidentiality need not enact new legislation, so long as their existing provisions encompass the CAPTA requirements.
    Source/Date
    *ACYF-CB-PI-98-01 (1/7/98); updated 2/3/05
    Legal and Related References
    *Child Abuse Prevention and Treatment Act (CAPTA), as amended (42 U.S.C. 5101 et seq.) section 106(c)

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    02/03/2005 - 04/17/2006
    Question
    Do the confidentiality requirements in the Child Abuse Prevention and Treatment Act apply to the members of citizen review panels?
    Answer
    Citizen review panel members are bound by the confidentiality restrictions in section 106 (c)(4)(B)(i) of CAPTA. Specifically, members and staff of a panel may not disclose identifying information about any specific child protection case to any person or government official, and may not make public other information unless authorized by State statute to do so. Further, section 106 (c)(4)(B)(ii) of CAPTA requires States to establish civil sanctions for violations of these confidentiality restrictions. States that have civil sanctions in place for breaches of confidentiality need not enact new legislation, so long as their existing provisions encompass the CAPTA requirements.
    Source/Date
    *ACYF-CB-PI-98-01 (1/7/98) (updated 2/3/05)
    Legal and Related References
    Child Abuse Prevention and Treatment Act (CAPTA), as amended (42 U.S.C. 5101 et seq.) - section 106106 (b)(2)(A)(x) and (c)

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    02/19/2001 - 02/03/2005 (Original Record)
    Question
    Do the confidentiality requirements in the Child Abuse Prevention and Treatment Act apply to the members of citizen review panels?
    Answer
    Citizen review panel members are bound by the confidentiality restrictions in section 106 (c)(4)(B)(i) of CAPTA. Specifically, members and staff of a panel may not disclose identifying information about any specific child protection case to any person or government official, and may not make public other information unless authorized by State statute to do so. Further, section 106 (c)(4)(B)(ii) of CAPTA requires States to establish civil sanctions for violations of these confidentiality restrictions. States that have civil sanctions in place for breaches of confidentiality need not enact new legislation, so long as their existing provisions encompass the CAPTA requirements.
    Source/Date
    ACYF-CB-PI-98-01 (1/7/98)
    Legal and Related References
    Child Abuse Prevention and Treatment Act (CAPTA), as amended (42 U.S.C. 5101 et seq.) - section 106106 (b)(2)(A)(x) and (c)

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    Question Number 8:
    09/14/2012 - Current
    Question
    Is it permissible under the Child Abuse Prevention and Treatment Act (CAPTA) for the State to disclose to the public information in the child abuse and neglect record that does not pertain to the case of child abuse and neglect that results in a child fatality or near fatality?
    Answer
    *No. Except as discussed below, States must preserve the confidentiality of all child abuse and neglect reports and records in order to protect the rights of the child and family. Consistent with section 106(b)(2)(B)(viii) of CAPTA, reports and records made and maintained pursuant to the purposes of CAPTA shall be made available only to the entities and under the circumstances described in section 106(b)(2)(B)(viii)(I - VI) of CAPTA.

    As the question implies, a State must release findings or information to the public about a case of child abuse or neglect which results in a child's fatality or near fatality consistent with section 106(b)(2)(B)(x) of CAPTA in accordance with section 2.1A.4, Q/A #8 of the CWPM. In addition, a State may open court proceedings that determine child abuse and neglect to the public if the safety and well-being of the child, parents and families involved are protected (see the last paragraph of section 106(b)(2) of CAPTA).

    Source/Date
    *updated 9/27/11; 9/12/12
    Legal and Related References
    Child Abuse Prevention and Treatment Act section 106(b)(2)

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    09/28/2011 - 09/14/2012
    Question
    Is it permissible under the Child Abuse Prevention and Treatment Act (CAPTA) for the State to disclose to the public information in the child abuse and neglect record that does not pertain to the case of child abuse and neglect that results in a child fatality or near fatality?
    Answer
    *No. Except as discussed below, States must preserve the confidentiality of all child abuse and neglect reports and records in order to protect the rights of the child and family. Consistent with section 106(b)(2)(B)(viii) of CAPTA, reports and records made and maintained pursuant to the purposes of CAPTA shall be made available only to the entities and under the circumstances described in section 106(b)(2)(B)(viii)(I - VI) of CAPTA.

    As the question implies, a State must release findings or information to the public about a case of child abuse or neglect which results in a child''s fatality or near fatality consistent with section 106(b)(2)(B)(x) of CAPTA. In addition, a State may open court proceedings that determine child abuse and neglect to the public if the safety and well-being of the child, parents and families involved are protected (see the last paragraph of section 106(b)(2) of CAPTA).

    Source/Date
    *updated 9/27/11
    Legal and Related References
    *Child Abuse Prevention and Treatment Act section 106(b)(2)

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    09/05/2007 - 09/28/2011 (Original Record)
    Question
    Is it permissible under the Child Abuse Prevention and Treatment Act (CAPTA) for the State to disclose to the public information in the child abuse and neglect record that does not pertain to the case of child abuse and neglect that results in a child fatality or near fatality?
    Answer
    No. Except as discussed below, States must preserve the confidentiality of all child abuse and neglect reports and records in order to protect the rights of the child and family. Consistent with section 106(b)(2)(B)(viii) of CAPTA, reports and records made and maintained pursuant to the purposes of CAPTA shall be made available only to the entities and under the circumstances described in section 106(b)(2)(B)(viii)(I - VI) of CAPTA.

    As the question implies, a State must release findings or information to the public about a case of child abuse or neglect which results in a child''s fatality or near fatality consistent with section 106(b)(2)(B)(x) of CAPTA. In addition, a State may open court proceedings that determine child abuse and neglect to the public if the safety and well-being of the child, parents and families involved are protected (see the last paragraph of section 106(b)(2) of CAPTA).CAPTA).

    Source/Date
    09/05/07
    Legal and Related References
    Child Abuse Prevention and Treatment Act section 106(b)(2)(A)

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    09/05/2007 - 09/27/2011 (Original Record)
    Question
    Is it permissible under the Child Abuse Prevention and Treatment Act (CAPTA) for the State to disclose to the public information in the child abuse and neglect record that does not pertain to the case of child abuse and neglect that results in a child fatality or near fatality?
    Answer
    No. Except as discussed below, States must preserve the confidentiality of all child abuse and neglect reports and records in order to protect the rights of the child and family. Consistent with section 106(b)(2)(A)(viii) of CAPTA, reports and records made and maintained pursuant to the purposes of CAPTA shall be made available only to the entities and under the circumstances described in section 106(b)(2)(A)(viii)(I - VI) of CAPTA.

    As the question implies, a State must release findings or information to the public about a case of child abuse or neglect which results in a child''s fatality or near fatality consistent with section 106(b)(2)(A)(x) of CAPTA. In addition, a State may open court proceedings that determine child abuse and neglect to the public if the safety and well-being of the child, parents and families involved are protected (see the last paragraph of section 106(b)(2) of CAPTA).

    Source/Date
    09/05/07
    Legal and Related References
    Child Abuse Prevention and Treatment Act section 106(b)(2)(A)

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    8.3B TITLE IV-E, Foster Care Maintenance Payments Program, Payments

    Question Number 1:
    09/01/2009 - Current
    Question
    Under title IV-E, how is the term "foster care maintenance payments" defined?
    Answer
    *Under title IV-E, the term "foster care maintenance payments" is defined (in section 475(4) of the Social Security Act) as: "...payments to cover the cost of (and the cost of providing) food, clothing, shelter, daily supervision, school supplies, a child's personal incidentals, liability insurance with respect to a child and reasonable travel to the child's home for visitation and reasonable travel for the child to remain in the school in which the child is enrolled at the time of placement. In the case of institutional care, such term shall include the reasonable costs of administration and operation of such institution as are necessarily required to provide the items described in the preceding sentence."

    The cost items listed in the first sentence apply equally to family foster care and institutional foster care. The costs of providing the items may include costs such as local transportation necessary for either a foster parent or institution to provide the items. However, allowable costs do not include reimbursement in the nature of salary for the exercise by the foster family of ordinary parental duties.

    The second sentence applies only to institutional foster care. The reasonable costs of administration and operation necessary to provide the items only for children served under title IV-E foster care are allowable elements in payments to child care institutions. Since these costs are limited types of activities and apply only to title IV-E children, the costs of foster care in institutions will have to be allocated along two lines: (1) the allocation of costs, for purposes of Federal financial participation (FFP), based on allowable cost items and activities; and (2) the allocation of costs based on the proportion of children in the institution receiving foster care under title IV-E for those allowable elements compared to children whose care is paid under other programs.

    The establishment of a cost allocation system for institutions, as well as for the title IV-E agency itself, is a title IV-E agency-responsibility and is a necessary precursor to the title IV-E agency?s ability to claim FFP for allowable institutional foster care costs.

    Source/Date
    *ACYF-CB-PA-82-01 (4/30/82) revised 08/31/09
    Legal and Related References
    Social Security Act - sections 472, 474 and 475 (4)

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    08/14/2000 - 09/01/2009 (Original Record)
    Question
    Under title IV-E, how is the term "foster care maintenance payments" defined?
    Answer
    Under title IV-E, the term "foster care maintenance payments" is defined (in section 475(4) of the Social Security Act) as: "...payments to cover the cost of (and the cost of providing) food, clothing, shelter, daily supervision, school supplies, a child''s personal incidentals, liability insurance with respect to a child and reasonable travel to the child''s home for visitation. In the case of institutional care, such term shall include the reasonable costs of administration and operation of such institution as are necessarily required to provide the items described in the preceding sentence."

    The cost items listed in the first sentence apply equally to family foster care and institutional foster care. The costs of providing the items may include costs such as local transportation necessary for either a foster parent or institution to provide the items. However, allowable costs do not include reimbursement in the nature of salary for the exercise by the foster family of ordinary parental duties.

    The second sentence applies only to institutional foster care. The reasonable costs of administration and operation necessary to provide the items only for children served under title IV-E foster care are allowable elements in payments to child care institutions. Since these costs are limited types of activities and apply only to title IV-E children, the costs of foster care in institutions will have to be allocated along two lines: (1) the allocation of costs, for purposes of Federal financial participation (FFP), based on allowable cost items and activities; and (2) the allocation of costs based on the proportion of children in the institution receiving foster care under title IV-E for those allowable elements compared to children whose care is paid under other programs.

    The establishment of a cost allocation system for institutions, as well as for the State itself, is a State responsibility and is a necessary precursor to the State''s ability to claim FFP for allowable institutional foster care costs.

    Source/Date
    ACYF-CB-PA-82-01 (4/30/82)
    Legal and Related References
    Social Security Act - sections 472, 474 and 475 (4)

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    Question Number 2:
    02/22/2007 - Current
    Question
    Does title IV-E preclude a State agency from passing on to the child title IV-E funds for his use for his maintenance in an independent living program?
    Answer
    *Title IV-E precludes payments made directly to the child or turned over to him by another agency for the purpose of meeting independent living costs. The eligibility of a child for title IV-E is based in part on the fact that he is placed in a family foster home or child care institution as a result of a court determination or voluntary agreement (section 472 (a)(2)(A) and (C) of the Social Security Act (the Act)). Federal financial participation is limited to foster care maintenance payments made on behalf of a child described in section 472 (a) of the Act who is in a foster family home or in a child care institution (section 472 (b)). Both "foster family home" and "child care institution" are defined in section 472 (c). Title IV-E does not include "independent living" in these definitions, and it is not considered foster care within the meaning of the Act. Title IV-B may be an alternative source of funding for these independent living programs. Since independent living is not considered foster care, the limitations found in section 424(c) of title IV-B to foster care payments would not apply.
    Source/Date
    ACYF-CB-PIQ-83-05 (10/19/83)
    Legal and Related References
    *Social Security Act - sections 424 and 472; 45 CFR 1355.20

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    02/22/2007 - 02/25/2011
    Question
    Does title IV-E preclude a State agency from passing on to the child title IV-E funds for his use for his maintenance in an independent living program?
    Answer
    *Title IV-E precludes payments made directly to the child or turned over to him by another agency for the purpose of meeting independent living costs. The eligibility of a child for title IV-E is based in part on the fact that he is placed in a family foster home or child care institution as a result of a court determination or voluntary agreement (section 472 (a)(2)(A) and (C) of the Social Security Act (the Act)). Federal financial participation is limited to foster care maintenance payments made on behalf of a child described in section 472 (a) of the Act who is in a foster family home or in a child care institution (section 472 (b)). Both "foster family home" and "child care institution" are defined in section 472 (c). Title IV-E does not include "independent living" in these definitions, and it is not considered foster care within the meaning of the Act. Title IV-B may be an alternative source of funding for these independent living programs. Since independent living is not considered foster care, the limitations found in section 424(c) of title IV-B to foster care payments would not apply.
    Source/Date
    ACYF-CB-PIQ-83-05 (10/19/83)
    Legal and Related References
    *Social Security Act - sections 424 and 472; 45 CFR 1355.20

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    07/24/2006 - 02/22/2007
    Question
    Does title IV-E preclude a State agency from passing on to the child title IV-E funds for his use for his maintenance in an independent living program?
    Answer
    *Title IV-E precludes payments made directly to the child or turned over to him by another agency for the purpose of meeting independent living costs. The eligibility of a child for title IV-E is based in part on the fact that he is placed in a family foster home or child care institution as a result of a court determination or voluntary agreement (section 472 (a)(2)(A) and (C) of the Social Security Act (the Act)). Federal financial participation is limited to foster care maintenance payments made on behalf of a child described in section 472 (a) of the Act who is in a foster family home or in a child care institution (section 472 (b)). Both "foster family home" and "child care institution" are defined in section 472 (c). Title IV-E does not include "independent living" in these definitions, and it is not considered foster care within the meaning of the Act. Title IV-B may be an alternative source of funding for these independent living programs. Since independent living is not considered foster care, the limitations found in section 423 (c)(1)(B) of title IV-B to foster care payments would not apply.
    Source/Date
    ACYF-CB-PIQ-83-05 (10/19/83)
    Legal and Related References
    Social Security Act - sections 423 and 472; 45 CFR 1355.20

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    10/01/2000 - 07/24/2006 (Original Record)
    Question
    Does title IV-E preclude a State agency from passing on to the child title IV-E funds for his use for his maintenance in an independent living program?
    Answer
    Title IV-E precludes payments made directly to the child or turned over to him by another agency for the purpose of meeting independent living costs. The eligibility of a child for title IV-E is based in part on the fact that he is placed in a family foster home or child care institution as a result of a court determination or voluntary agreement (section 472 (a)(3) of the Social Security Act (the Act)). Federal financial participation is limited to foster care maintenance payments made on behalf of a child described in section 472 (a) of the Act who is in a foster family home or in a child care institution (section 472 (b)). Both "foster family home" and "child care institution" are defined in section 472 (c). Title IV-E does not include "independent living" in these definitions, and it is not considered foster care within the meaning of the Act. Title IV-B may be an alternative source of funding for these independent living programs. Since independent living is not considered foster care, the limitations found in section 423 (c)(1)(B) of title IV-B to foster care payments would not apply.
    Source/Date
    ACYF-CB-PIQ-83-05 (10/19/83)
    Legal and Related References
    Social Security Act - sections 423 and 472; 45 CFR 1355.20

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    Question Number 3:
    11/07/2019 - Current
    Question
    Please clarify how funds may be disbursed for allowable child care.
    Answer
    *Title IV-E agencies may include the cost of allowable child care in the basic foster care maintenance payment or may make a separate maintenance payment directly to the licensed provider. For example, if, in a particular foster family, both parents work, the title IV-E agency may include the cost of child care in the maintenance payment made to that family or may pay the licensed provider directly. Regardless of the payment method chosen, the title IV-E agency must be able to provide documentation to verify allowable expenditures.
    Source/Date
    *Preamble to the Notice of Proposed Rulemaking (63 FR 50058) (9/18/98); (11/07/19)
    Legal and Related References
    45 CFR 1355.20

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    10/01/2000 - 11/07/2019 (Original Record)
    Question
    Please clarify how funds may be disbursed for allowable child care.
    Answer
    States may include the cost of allowable child care in the basic foster care maintenance payment or may make a separate maintenance payment directly to the licensed provider. For example, if, in a particular foster family, both parents work, the State may include the cost of child care in the maintenance payment made to that family or may pay the licensed provider directly. Regardless of the payment method chosen, the State must be able to provide documentation to verify allowable expenditures.
    Source/Date
    Preamble to the Notice of Proposed Rulemaking (63 FR 50058) (9/18/98)
    Legal and Related References
    45 CFR 1355.20

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    Question Number 4:
    11/07/2019 - Current
    Question
    *Federal policy allows a title IV-E agency to include child care for working foster parents in the title IV-E foster care maintenance payment. Are there any Federal requirements that prohibit a title IV-E agency from providing child care for working foster parents in some but not all "political subdivisions" or jurisdictions?
    Answer
    *No. Nothing in statute or regulation prohibits a title IV-E agency from providing child care for working parents in some but not all jurisdictions. Daily supervision is one of the components of a foster care maintenance payment, and licensed child care is an allowable element of daily supervision in certain circumstances (see the definition of foster care maintenance payments in 45 CFR 1355.20). A title IV-E agency has the discretion to choose the way in which it will provide daily supervision, including whether or not to provide child care in the title IV-E foster care maintenance payment for some or all working foster parents.
    Source/Date
    *March 1, 2005; November 7, 2019
    Legal and Related References
    *Social Security Act - section 475(4)(A) and 479B; 45 CFR 1355.20

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    03/10/2005 - 11/07/2019 (Original Record)
    Question
    Federal policy allows a State to include child care for working foster parents in the title IV-E foster care maintenance payment. Are there any Federal requirements that prohibit a State from providing child care for working foster parents in some but not all "political subdivisions" or jurisdictions in the State?
    Answer
    No. Nothing in statute or regulation prohibits a State from providing child care for working parents in some but not all jurisdictions. Daily supervision is one of the components of a foster care maintenance payment, and licensed child care is an allowable element of daily supervision in certain circumstances (see the definition of foster care maintenance payments in 45 CFR ?1355.20). A State has the discretion to choose the way in which it will provide daily supervision, including whether or not to provide child care in the title IV-E foster care maintenance payment for some or all working foster parents.
    Source/Date
    March 1, 2005
    Legal and Related References
    Section 475(4)(A) of the Social Security Act; 45 CFR §1355.20

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    Question Number 5:
    01/31/2007 - Current
    Question
    May title IV-E foster care maintenance payments flow through a for-profit entity to the foster care provider?
    Answer
    *Yes. The Fair Access Foster Care Act of 2005 (Public Law 109-113), which took effect on November 22, 2005, amended section 472(b) of the Social Security Act to eliminate the prohibition against making foster care maintenance payments through a for-profit entity.
    Source/Date
    *01/29/07
    Legal and Related References
    *Social Security Act, section 472; Public Law 109-113

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    10/01/2000 - 01/31/2007 (Original Record)
    Question
    May title IV-E foster care maintenance payments flow through a for-profit entity to the foster care provider?
    Answer
    No. Foster care maintenance payments must be made directly to foster family homes or child-care institutions from the State child welfare agency or through the public or private nonprofit child-placement or child-care agency with which the State contracts for making and/or supervising placements. Federal financial participation is not available for foster care maintenance payments made through a for-profit child-placing or child-care agency.
    Source/Date
    ACYF-CB-PA-97-01 (7/25/97)
    Legal and Related References
    Social Security Act - sections 472; the Personal Responsibility Work Opportunity Reconciliation Act (PRWORA) (PL 104-193)

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    10/01/2000 - 03/10/2005 (Original Record)
    Question
    May title IV-E foster care maintenance payments flow through a for-profit entity to the foster care provider?
    Answer
    No. Foster care maintenance payments must be made directly to foster family homes or child-care institutions from the State child welfare agency or through the public or private nonprofit child-placement or child-care agency with which the State contracts for making and/or supervising placements. Federal financial participation is not available for foster care maintenance payments made through a for-profit child-placing or child-care agency.
    Source/Date
    ACYF-CB-PA-97-01 (7/25/97)
    Legal and Related References
    Social Security Act - sections 472; the Personal Responsibility Work Opportunity Reconciliation Act (PRWORA) (PL 104-193)

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    Question Number 7:
    11/07/2019 - Current
    Question
    *May the title IV-E agency claim a title IV-E foster care maintenance payment for an allowable provider that covers the entire month if a child is temporarily absent for a portion of the month? For example, the child has run away, goes on a weekend home visit, or is hospitalized for medical treatment during some part of the month.
    Answer
    *Yes. The title IV-E agency may provide a full month's title IV-E foster care maintenance payment to the licensed provider if the brief absence does not exceed 14 days and the child's placement continues with the same provider. Otherwise, the title IV-E agency must prorate its claims if the child is absent from the placement for more than a reasonable brief period.
    Source/Date
    *1/29/2007; 11/07/2019
    Legal and Related References
    *Social Security Act - section 472, 479B

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    04/28/2009 - 11/07/2019 (Original Record)
    Question
    May the State claim a title IV-E foster care maintenance payment for an allowable provider that covers the entire month if a child is temporarily absent for a portion of the month? For example, the child has run away, goes on a weekend home visit, or is hospitalized for medical treatment during some part of the month.
    Answer
    Local travel associated with providing the items listed in the first sentence of section 475 (4)(A) of the Social Security Act (the Act): food; clothing; shelter; daily supervision; school supplies; and a child''s personal incidentals is an allowable expenditure for title IV-E foster care reimbursement.

    The cost of local transportation associated with the items listed at section 475(4)(A) is presumably included in the basic title IV-E foster care maintenance payment. Transportation as a separate item of expense is not allowable except for reasonable travel to the child''s home for visitation and for the child to remain in the school in which the child is enrolled at the time of placement. The items enumerated in the question were assessed based on these criteria.

    (1) a. The foster parent''s involvement in/attendance at administrative case/judicial reviews, case conferences/team meetings, and foster parent training: these items do not coincide with the definition at section 475 (4)(A). Therefore, transportation associated with them is not an allowable title IV-E foster care maintenance expenditure. However, section 474 (a) of the Act states that each State shall be entitled to a payment "... for the proper and efficient administration of the State plan...." Transportation to provide for a foster parent''s attendance at administrative case/judicial reviews and mandatory case conferences/team meetings is an allowable title IV-E administrative expenditure because these activities provide for the proper and efficient administration of the title IV-E State plan. Additionally, section 474(3)(B) of the Act states that each State shall be entitled to Federal financial participation for "... expenditures (including travel and per diem expenses) as are for the short-term training of current or prospective foster or adoptive parents..." Transportation and per diem to provide for foster parent''s attendance at mandatory foster parent training is an allowable title IV-E training expenditure.

    b. The cost of a foster parent traveling to attend school conferences in the school in which the child was enrolled at the time of placement would be an allowable foster care maintenance expenditure because section (475(4) of the Act includes the cost of reasonable travel for the child to remain in that school.

    (2) The travel of a child in foster care to/from the following activities:

    a. allowable day care: transportation as a separate item of expense is not allowable except for reasonable travel to the child''s home for visitation. However, the costs of transporting a child in foster care to and from child care that substitutes for daily supervision are allowable and presumed to be included in the basic foster care maintenance payment;

    b. school attendance and extracurricular activities: Section 475(4) of the Act includes the cost of reasonable travel for the child to remain in the school in which the child is enrolled at the time of placement in foster care as allowable as a title IV-E foster care maintenance expenditure. Additionally, other transportation associated with the child''s attendance at his/her school of origin is an allowable administrative cost under title IV-E because such transportation is related to case management and therefore necessary for the proper and efficient administration of the title IV-E State plan (see Child Welfare Policy Manual section 8.1B and 45 CFR 1356.60(c)(2)). The cost of transportation to and from extracurricular activities that substitute for daily supervision is also allowable and presumed to be included in the basic title IV-E foster care maintenance payment;

    c. pre-placement visits: this activity does not fall under the definition at section 475(4)(A). Therefore, transportation to and from pre-placement visits is not an allowable foster care maintenance expenditure. However, regulations at 45 CFR 1356.60(c)(2) list "placement of the child" as an example of an allowable administrative cost;

    d. foster family trips: transportation for foster family trips is not an allowable expenditure under title IV-E because these trips do not coincide with the items described at section 475(4)(A) of the Act. Transportation as a separate item of expense is not allowable except for reasonable travel to the child''s home for visitation;

    e. sports and cultural events: the reimbursement of recreation costs per se is not permitted under title IV-E. Since section 475(4) includes "a child''s personal incidentals" the reasonable and occasional cost of such items as tickets or other admission fees for sporting, entertainment or cultural events are reimbursable under title IV-E Foster Care as a part of the maintenance payment. Transportation to and from these events is presumed to be included in the basic foster care maintenance payment;

    f. administrative case/judicial reviews: transportation costs associated with the child''s attendance at administrative case/judicial reviews are not allowable expenditures under title IV-E foster care maintenance because these activities do not coincide with the items described at section 475(4)(A). However, transportation costs associated with the child''s attendance at administrative case/judicial reviews are allowable administrative costs under title IV-E because they provide for the proper and efficient administration of the title IV-E State plan;

    g. visitation at other locations, e.g., in the child welfare office: the statute provides for "reasonable travel to a child''s home for visitation," however, in many circumstances, it is not possible or appropriate for visitation to occur at the child''s home. Therefore, reasonable transportation costs for visits at locations other than the child''s home, e.g., at the child welfare office or other location deemed appropriate by the agency, are allowable as separate expenditures under title IV-E foster care maintenance. Transportation costs for visitation are only reimbursable for the child and not for the costs of a biological parent or other relative visiting with the child. States may use title XX or title IV-B funds for that purpose; or

    h. visitation with siblings, other relatives, or other caretakers: since section 475(4)(A) does not specify with whom visits must occur, reasonable travel for visits with siblings, relatives, or other caretakers is an allowable separate title IV-E foster care maintenance expenditure. Again, transportation costs for visitation are only reimbursable for the child and not for the costs of a relative visiting with the child. States may use title XX or title IV-B funds for that purpose.

    Source/Date
    1/29/2007
    Legal and Related References
    Social Security Act ¿ section 472

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    8.3A.13 TITLE IV-E, Foster Care Maintenance Payments Program, Eligibility, Voluntary placement agreements

    Question Number 1:
    03/02/2020 - Current
    Question
    If a title IV-E agency fails to obtain the necessary judicial determination within the first 180 days of a voluntary placement, can the case be reopened when a judicial hearing is convened or does the child lose all further benefits of the title IV-E program during that period of placement?
    Answer
    *The case may not be reopened. The judicial determination must be made within the first 180 days of placement. Section 472(e) of the Social Security Act states that no Federal payment may be made for a child removed from his or her home pursuant to a voluntary placement agreement and who remains in voluntary placement in excess of 180 days, unless there has been a judicial determination within the first 180 days of such placement to the effect that the placement is in the best interests of the child.

    According to the legislative history, this provision was included in Public Law 96-272 in order to allow for short term emergency placements but provide the child with the protection of a court review if the placement became prolonged.

    Source/Date
    ACYF-CB-PIQ-85-09 (10/10/85); (3/2/20)
    Legal and Related References
    Social Security Act - sections 472(d) and (e), and 479B

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    03/02/2020 - 03/02/2020
    Question
    *If a title IV-E agency fails to obtain the necessary judicial determination within the first 180 days of a voluntary placement, can the case be reopened when a judicial hearing is convened or does the child lose all further benefits of the title IV-E program during that period of placement?
    Answer
    *The case may not be reopened. The judicial determination must be made within the first 180 days of placement. Section 472 (e) of the Social Security Act states that no Federal payment may be made for a child removed from his or her home pursuant to a voluntary placement agreement and who remains in voluntary placement in excess of 180 days, unless there has been a judicial determination within the first 180 days of such placement to the effect that the placement is in the best interests of the child.

    According to the legislative history, this provision was included in Public Law 96-272 in order to allow for short term emergency placements but provide the child with the protection of a court review if the placement became prolonged.

    Source/Date
    *ACYF-CB-PIQ-85-09 (10/10/85); (3/2/20)
    Legal and Related References
    *Social Security Act - sections 472(d) and (e), and 479B

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    07/18/2000 - 03/02/2020 (Original Record)
    Question
    If a State fails to obtain the necessary judicial determination within the first 180 days of a voluntary placement, can the case be reopened when a judicial hearing is convened or does the child lose all further benefits of the title IV-E program during that period of placement?
    Answer
    The case may not be reopened. The judicial determination must be made within the first 180 days of placement. Section 472 (e) of the Social Security Act states that no Federal payment may be made for a child removed from his or her home pursuant to a voluntary placement agreement and who remains in voluntary placement in excess of 180 days, unless there has been a judicial determination within the first 180 days of such placement to the effect that the placement is in the best interests of the child.

    According to the legislative history, this provision was included in Public Law 96-272 in order to allow for short term emergency placements but provide the child with the protection of a court review if the placement became prolonged.

    Source/Date
    ACYF-CB-PIQ-85-09 (10/10/85)
    Legal and Related References
    Social Security Act - sections 472 (d) and (e)

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    Question Number 3:
    03/02/2020 - Current
    Question
    *A State places a child into foster care pursuant to a voluntary placement agreement but does not have the voluntary placement provision in its title IV-E Plan and, thus, does not claim Federal financial participation (FFP) for the child. Can this placement later be considered a judicial removal and FFP be claimed from that time forward if there is a petition to the court within six months of the time the child had last been living with the parent(s) and subsequent judicial determinations are made regarding "contrary to the welfare" and "reasonable efforts"?
    Answer
    *No. The statute allows FFP for otherwise eligible children who are removed from their homes either pursuant to a voluntary placement agreement or as the result of judicial determinations regarding "contrary to the welfare" and "reasonable efforts." It is a title IV-E agency option whether to claim FFP for voluntary placements. For a title IV-E agency to be eligible for Federal reimbursement for voluntary placements, it must meet the requirements of section 472 of the Social Security Act and must have such provision in its title IV-E plan. If the title IV-E agency accepts voluntary placements, but do not meet the requirements for claiming FFP, such placements are ineligible for FFP during the entire stay in foster care. The fact that a petition is filed within six months of the removal and the required subsequent judicial determinations are obtained does not change the nature of the removal from voluntary to judicial.

    If, however, a title IV-E agency revises its title IV-E plan and becomes eligible to claim FFP for voluntary placements, it may also begin to claim FFP for any eligible child who had previously been removed pursuant to a voluntary placement agreement if there had been a judicial determination regarding "best interests" within 180 days of the child's placement.

    Source/Date
    *ACYF-CB-PIQ-89-03 (7/24/89); (3/2/20)
    Legal and Related References
    *Social Security Act - sections 472 and 479B

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    09/15/2000 - 03/02/2020 (Original Record)
    Question
    A State places a child into foster care pursuant to a voluntary placement agreement but does not have the voluntary placement provision in its State Plan and, thus, does not claim Federal financial participation (FFP) for the child. Can this placement later be considered a judicial removal and FFP be claimed from that time forward if there is a petition to the court within six months of the time the child had last been living with the parent(s) and subsequent judicial determinations are made regarding "contrary to the welfare" and "reasonable efforts"?
    Answer
    No. The statute allows FFP for otherwise eligible children who are removed from their homes either pursuant to a voluntary placement agreement or as the result of judicial determinations regarding "contrary to the welfare" and "reasonable efforts." It is a State option whether to claim FFP for voluntary placements. For a State to be eligible for Federal reimbursement for voluntary placements, it must meet the requirements of section 472 of the Social Security Act and must have such provision in its title IV-E State Plan. In States that accept voluntary placements, but do not meet the requirements for claiming FFP, such placements are ineligible for FFP during the entire stay in foster care. The fact that a petition is filed within six months of the removal and the required subsequent judicial determinations are obtained does not change the nature of the removal from voluntary to judicial.

    If, however, a State revises its title IV-E State Plan and becomes eligible to claim FFP for voluntary placements, it may also begin to claim FFP for any eligible child who had previously been removed pursuant to a voluntary placement agreement if there had been a judicial determination regarding "best interests" within 180 days of the child''s placement.

    Source/Date
    ACYF-CB-PIQ-89-03 (7/24/89)
    Legal and Related References
    Social Security Act - sections 472

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    Question Number 4:
    03/02/2020 - Current
    Question
    *If a title IV-E agency, which is claiming Federal financial participation (FFP) for voluntarily placed children, misses the requirement for a judicial determination within 180 days of placement that such placement is in the best interests of the child, but petitions the court within the six-month timeframe set forth in section 472(a)(3)(A)(ii)(II) of the Social Security Act, can the title IV-E agency consider this a judicial removal, once determinations are made concerning "contrary to the welfare" and "reasonable efforts"?
    Answer
    *No. The title IV-E agency has been claiming FFP under the Federal voluntary placement program for 180 days. In this case, the title IV-E agency has failed to meet the requirement for continuing FFP that there must be a judicial determination within 180 days to the effect that the placement is in the best interests of the child. The fact that the title IV-E agency petitioned the court within six months of the time the child last resided with a relative and later obtained the judicial determinations required for judicial removals would not change the nature of that removal from voluntary to judicial.
    Source/Date
    *ACYF-CB-PIQ-89-03 (7/24/89); (3/2/20)
    Legal and Related References
    *Social Security Act - sections 472(a)(3)(A)(ii)(II) and 479B; 45 CFR 1356.22

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    07/24/2006 - 03/02/2020
    Question
    *If a State, which is claiming Federal financial participation (FFP) for voluntarily placed children, misses the requirement for a judicial determination within 180 days of placement that such placement is in the best interests of the child, but petitions the court within the six-month timeframe set forth in section 472(a)(3)(A)(ii)(II) of the Social Security Act, can the State consider this a judicial removal, once determinations are made concerning "contrary to the welfare" and "reasonable efforts"?
    Answer
    No. The State has been claiming FFP under the Federal voluntary placement program for 180 days. In this case, the State has failed to meet the requirement for continuing FFP that there must be a judicial determination within 180 days to the effect that the placement is in the best interests of the child. The fact that the State petitioned the court within six months of the time the child last resided with a relative and later obtained the judicial determinations required for judicial removals would not change the nature of that removal from voluntary to judicial.
    Source/Date
    ACYF-CB-PIQ-89-03 (7/24/89)
    Legal and Related References
    *Social Security Act - sections 472(a)(3)(A)(ii)(II); 45 CFR 1356.22

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    09/15/2000 - 07/24/2006 (Original Record)
    Question
    If a State, which is claiming Federal financial participation (FFP) for voluntarily placed children, misses the requirement for a judicial determination within 180 days of placement that such placement is in the best interests of the child, but petitions the court within the six-month timeframe set forth in section 472(a)(4)(B)(ii) of the Social Security Act, can the State consider this a judicial removal, once determinations are made concerning "contrary to the welfare" and "reasonable efforts"?
    Answer
    No. The State has been claiming FFP under the Federal voluntary placement program for 180 days. In this case, the State has failed to meet the requirement for continuing FFP that there must be a judicial determination within 180 days to the effect that the placement is in the best interests of the child. The fact that the State petitioned the court within six months of the time the child last resided with a relative and later obtained the judicial determinations required for judicial removals would not change the nature of that removal from voluntary to judicial.
    Source/Date
    ACYF-CB-PIQ-89-03 (7/24/89)
    Legal and Related References
    Social Security Act - sections 472; 45 CFR 1356.22

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    Question Number 5:
    03/02/2020 - Current
    Question
    *May a title IV-E agency develop a voluntary placement agreement that would allow a parent to retain custody of his or her child and allow the title IV-E agency to claim Federal financial participation under the title IV-E foster care maintenance payments program on behalf of an otherwise eligible child?
    Answer
    *Yes. As long as the title IV-E agency retains placement and care responsibility for the child, the fact that the voluntary placement agreement allows the parent to retain custody of the child does not impair the child's eligibility for title IV-E foster care maintenance payments. Placement and care responsibility means that the title IV-E agency is legally accountable for the day-to-day care and protection of the child in foster care. Responsibility for placement and care allows the title IV-E agency to make placement decisions about the child, such as where the child is placed and the type of placement most appropriate for the child.

    The title IV-E agency’s placement and care responsibilities under section 472(a)(2)(B) of the Social Security Act must be unencumbered in order to claim Federal financial participation for title IV-E foster care costs. To the extent that a title IV-E agency’s definition of custody contradicts or in any manner limits the agency's placement and care discretion, such children would not be eligible for title IV-E foster care maintenance payments.

    Source/Date
    *06/09/04; (3/2/20)
    Legal and Related References
    *Social Security Act - sections 472(a)(2)(B) and (f), and 479B; CWPM section 8.3A.12

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    07/24/2006 - 03/02/2020
    Question
    May a State develop a voluntary placement agreement that would allow a parent to retain custody of his or her child and allow the State to claim Federal financial participation under the title IV-E foster care maintenance payments program on behalf of an otherwise eligible child?
    Answer
    *Yes. As long as the State retains placement and care responsibility for the child, the fact that the voluntary placement agreement allows the parent to retain custody of the child does not impair the child''s eligibility for title IV-E foster care maintenance payments. Placement and care responsibility means that the State agency is legally accountable for the day-to-day care and protection of the child in foster care. Responsibility for placement and care allows the State agency to make placement decisions about the child, such as where the child is placed and the type of placement most appropriate for the child.

    The State''s placement and care responsibilities under section 472(a)(2)(B) of the Social Security Act must be unencumbered in order to claim Federal financial participation for title IV-E foster care costs. To the extent that a States definition of custody contradicts or in any manner limits the agency''s placement and care discretion, such children would not be eligible for title IV-E foster care maintenance payments.

    Source/Date
    06/09/04
    Legal and Related References
    *Social Security Act- sections 472(a)(2)(B) and (f), CWPM section 8.3A.12.

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    12/16/2004 - 07/24/2006
    Question
    May a State develop a voluntary placement agreement that would allow a parent to retain custody of his or her child and allow the State to claim Federal financial participation under the title IV-E foster care maintenance payments program on behalf of an otherwise eligible child?
    Answer
    *Yes. As long as the State retains placement and care responsibility for the child, the fact that the voluntary placement agreement allows the parent to retain custody of the child does not impair the childs eligibility for title IV-E foster care maintenance payments. Placement and care responsibility means that the State agency is legally accountable for the day-to-day care and protection of the child in foster care. Responsibility for placement and care allows the State agency to make placement decisions about the child, such as where the child is placed and the type of placement most appropriate for the child.

    The States placement and care responsibilities under section 472(a)(2) of the Social Security Act must be unencumbered in order to claim Federal financial participation for title IV-E foster care costs. To the extent that a States definition of custody contradicts or in any manner limits the agencys placement and care discretion, such children would not be eligible for title IV-E foster care maintenance payments.

    Source/Date
    06/09/04
    Legal and Related References
    Section 472(f) of the Social Security Act, CWPM section 8.3A.12.

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    07/14/2004 - 12/16/2004 (Original Record)
    Question
    May a State develop a voluntary placement agreement that would allow a parent to retain custody of his or her child and allow the State to claim Federal financial participation under the title IV-E foster care maintenance payments program on behalf of an otherwise eligible child?
    Answer
    Yes. As long as the State retains placement and care responsibility for the child, the fact that the voluntary placement agreement allows the parent to retain custody of the child does not impair the child?s eligibility for title IV-E foster care maintenance payments. Placement and care responsibility means that the State agency is legally accountable for the day-to-day care and protection of the child in foster care. Responsibility for placement and care allows the State agency to make placement decisions about the child, such as where the child is placed and the type of placement most appropriate for the child.

    The State?s placement and care responsibilities under section 472(a)(2) of the Social Security Act must be unencumbered in order to claim Federal financial participation for title IV-E foster care costs. To the extent that a State?s definition of ?custody? contradicts or in any manner limits the agency?s placement and care discretion, such children would not be eligible for title IV-E foster care maintenance payments.

    Source/Date
    06/09/04
    Legal and Related References
    Section 472(f) of the Social Security Act, CWPM section 8.3A.12.

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    Question Number 6:
    03/02/2020 - Current
    Question
    *When a child is initially placed into foster care through a voluntary placement agreement, and the title IV-E agency subsequently issues a court order regarding the child's removal and/or the title IV-E agency's placement and care responsibility, what criteria must be met for the child to be eligible for title IV-E foster care maintenance payments?
    Answer
    The child must meet the criteria for voluntary placement agreements in section 472(a)(2)(A)(i) of the Social Security Act and 45 CFR 1356.22(a) to be eligible for title IV-E foster care maintenance payments. This is because the subsequent court order does not change the child's removal, which was authorized by the voluntary placement agreement. As such, the agency is not required to secure a judicial finding of reasonable efforts to prevent removal or to finalize the permanency plan.
    Source/Date
    04/26/07; (3/2/20)
    Legal and Related References
    Social Security Act - section 472(a)(2)(A) and 479B; 45 CFR 1356.22(a)

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    03/02/2020 - 03/02/2020
    Question
    *When a child is initially placed into foster care through a voluntary placement agreement, and the title IV-E agency subsequently issues a court order regarding the child's removal and/or the title IV-E agency¿s placement and care responsibility, what criteria must be met for the child to be eligible for title IV-E foster care maintenance payments?
    Answer
    *The child must meet the criteria for voluntary placement agreements in section 472(a)(2)(A)(i) of the Social Security Act and 45 CFR 1356.22(a) to be eligible for title IV-E foster care maintenance payments. This is because the subsequent court order does not change the child''s removal, which was authorized by the voluntary placement agreement. As such, the agency is not required to secure a judicial finding of reasonable efforts to prevent removal or to finalize the permanency plan.
    Source/Date
    *04/26/07; (3/2/20)
    Legal and Related References
    *Social Security Act - section 472(a)(2)(A) and 479B; 45 CFR 1356.22(a)

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    04/27/2007 - 03/02/2020 (Original Record)
    Question
    When a child is initially placed into foster care through a voluntary placement agreement, and the State subsequently issues a court order regarding the child's removal and/or the State's placement and care responsibility, what criteria must be met for the child to be eligible for title IV-E foster care maintenance payments?
    Answer
    The child must meet the criteria for voluntary placement agreements in section 472(a)(2)(A)(i) of the Social Security Act and 45 CFR 1356.22(a) to be eligible for title IV-E foster care maintenance payments. This is because the subsequent court order does not change the child''s removal, which was authorized by the voluntary placement agreement. As such, the agency is not required to secure a judicial finding of reasonable efforts to prevent removal or to finalize the permanency plan.
    Source/Date
    04/26/07
    Legal and Related References
    Social Security Act ¿ section 472(a)(2)(A); 45 CFR 1356.22(a)

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    Question Number 7:
    03/02/2020 - Current
    Question
    *Section 472(e) of the Social Security Act (the Act) requires a title IV-E agency to obtain a judicial determination during the first 180 days of the voluntary placement to the effect that the placement is in the child's best interest to continue title IV-E payments beyond that time. When does this 180-day clock begin?
    Answer
    *The 180-day clock begins the day a child is physically placed in foster care as defined in 45 CFR 1355.20 pursuant to a voluntary placement agreement with the exception of constructive removals. In constructive removals, the 180-day clock begins on the date the voluntary placement agreement is signed since there is no physical removal of the child from his/her home (45 CFR 1356.21(k)(3)).
    Source/Date
    *12/6/2007; (3/2/20)
    Legal and Related References
    *The Social Security Act - Section 472(e) and 479B; 45 CFR 1355.20, 1356.21(k)(3), and 1356.22(b)

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    12/11/2007 - 03/02/2020 (Original Record)
    Question
    Section 472(e) of the Social Security Act (the Act) requires a State to obtain a judicial determination during the first 180 days of the voluntary placement to the effect that the placement is in the child's best interest to continue title IV-E payments beyond that time. When does this 180-day clock begin?
    Answer
    The 180-day clock begins the day a child is physically placed in foster care as defined in 45 CFR 1355.20 pursuant to a voluntary placement agreement with the exception of constructive removals. In constructive removals, the 180-day clock begins on the date the voluntary placement agreement is signed since there is no physical removal of the child from his/her home (45 CFR 1356.21(k)(3)).
    Source/Date
    12/6/2007
    Legal and Related References
    The Social Security Act ¿ Section 472(e); 45 CFR 1355.20, 1356.21(k)(3) and 1356.22(b)

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    8.3A.9a TITLE IV-E, Foster Care Maintenance Payments Program, Eligibility, Reasonable Efforts to Finalize a Permanency Plan

    Question Number 1:
    03/02/2020 - Current
    Question
    *We understand that the timing for obtaining the initial judicial determination related to making reasonable efforts to finalize/achieve a permanency plan is based on the date the child is considered to have entered foster care. Are subsequent judicial determinations to be obtained based on the date the child is considered to have entered foster care or within 12 months of the date the judicial determination actually was obtained?
    Answer
    *The statute requires that the judicial determination of reasonable efforts to finalize/achieve a permanency plan be obtained no later than 12 months from the date the child is considered to have entered foster care and at least once every 12 months thereafter while the child is in foster care. Accordingly, title IV-E agencies must use the date of the last judicial determination for a child to determine the date the next one is due. In no circumstance may the interval between these judicial determinations exceed 12 months. If a judicial determination regarding reasonable efforts to finalize a permanency plan is not made within the time frame prescribed above, the child becomes ineligible under title IV-E at the end of the month in which the judicial determination was required to have been made and remains ineligible until such a determination is made.

    Although the permanency hearing may serve as the mechanism for obtaining the judicial determination of reasonable efforts to finalize/achieve a permanency plan, there is no requirement that the judicial determination be made at a permanency hearing. The court may make such a judicial determination, based upon evidence presented to it by the title IV-E agency, without a formal hearing.

    Source/Date
    *06/09/04; (3/2/20)
    Legal and Related References
    *Social Security Act - section 471(a)(15)(B) and 479B; 45 CFR 1355.20 and 1356.21(b)(2).

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    07/14/2004 - 03/02/2020
    Question
    *We understand that the timing for obtaining the initial judicial determination related to making reasonable efforts to finalize/achieve a permanency plan is based on the date the child is considered to have entered foster care. Are subsequent judicial determinations to be obtained based on the date the child is considered to have entered foster care or within 12 months of the date the judicial determination actually was obtained?
    Answer
    *The statute requires that the judicial determination of reasonable efforts to finalize/achieve a permanency plan be obtained no later than 12 months from the date the child is considered to have entered foster care and at least once every 12 months thereafter while the child is in foster care. Accordingly, States must use the date of the last judicial determination for a child to determine the date the next one is due. In no circumstance may the interval between these judicial determinations exceed 12 months. If a judicial determination regarding reasonable efforts to finalize a permanency plan is not made within the time frame prescribed above, the child becomes ineligible under title IV-E at the end of the month in which the judicial determination was required to have been made and remains ineligible until such a determination is made.

    Although the permanency hearing may serve as the mechanism for obtaining the judicial determination of reasonable efforts to finalize/achieve a permanency plan, there is no requirement that the judicial determination be made at a permanency hearing. The court may make such a judicial determination, based upon evidence presented to it by the State, without a formal hearing.

    Source/Date
    *06/09/04
    Legal and Related References
    *Section 471(a)(15)(B) of the Social Security Act, 45 CFR 1355.20 and 1356.21(b)(2).

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    10/05/2000 - 07/14/2004 (Original Record)
    Question
    We understand that the timing for obtaining the initial judicial determination related to making reasonable efforts to finalize a permanency plan is based on the date the child is considered to have entered foster care. Are subsequent determinations to be obtained based on the date the child is considered to have entered foster care or within 12 months of the date the prior judicial determination was actually obtained?
    Answer
    Either methodology referenced in the question is consistent with and would satisfy the regulatory requirements. We will, therefore, leave the methodology employed to the State''s discretion. We strongly encourage States, however, to adopt and set forth in State policy one methodology for obtaining the subsequent judicial determinations to ensure consistent application across the title IV-E caseload.
    Source/Date
    Questions and Answers on the Final Rule (65 FR 4020) (1/25/00)
    Legal and Related References
    Social Security Act - section 471 (a)(15)(B); 45 CFR 1355.20 and 1356.21 (b)(2)

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    Question Number 2:
    03/02/2020 - Current
    Question
    *Regarding the reasonable efforts to finalize judicial determination: Is the title IV-E agency required to look at the permanency plan in effect at the time the judicial determination is due to see if the court order addresses that specific plan in its reasonable efforts judicial determination?
    Answer
    *No. The title IV-E agency is not required to reconcile the permanency plan in effect at the time the judicial determination is due with the reasonable efforts determination itself. In order to sustain a child's ongoing title IV-E foster care eligibility, the court must make a judicial determination of reasonable efforts to finalize a permanency plan within 12 months from the date the child is considered to have entered foster care and at least once every 12 months thereafter while the child remains in foster care. We have indicated that we will not instruct courts on the criteria they are to use to make the judicial determination. At the same time, however, we recognize the significance of the provision as it relates to moving a child toward permanency. The courts, therefore, may rule on the plan that is in effect at the time of the finding, a plan that has been in effect for a brief period of time, or the activities related to achieving permanency that took place over the prior 12 months, even if the plan had been abandoned during that 12-month period. In any event, the judicial determination should reflect the court’s judgment as to whether the agency activities that were performed during the previous 12 months were meaningful in bringing about permanency for the child.
    Source/Date
    *7/6/05; (3/2/20)
    Legal and Related References
    *Social Security Act - Section 471(a)(15) and 479B; 45 CFR 1356.21(b)(2), 1356.71(d)(1)(i)

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    07/12/2005 - 03/02/2020 (Original Record)
    Question
    Regarding the reasonable efforts to finalize judicial determination: Is the State required to look at the permanency plan in effect at the time the judicial determination is due to see if the court order addresses that specific plan in its reasonable efforts judicial determination?
    Answer
    No. The State is not required to reconcile the permanency plan in effect at the time the judicial determination is due with the reasonable efforts determination itself. In order to sustain a child''s ongoing title IV-E foster care eligibility, the court must make a judicial determination of reasonable efforts to finalize a permanency plan within 12 months from the date the child is considered to have entered foster care and at least once every 12 months thereafter while the child remains in foster care. We have indicated that we will not instruct courts on the criteria they are to use to make the judicial determination. At the same time, however, we recognize the significance of the provision as it relates to moving a child toward permanency. The courts, therefore, may rule on the plan that is in effect at the time of the finding, a plan that has been in effect for a brief period of time, or the activities related to achieving permanency that took place over the prior 12 months, even if the plan had been abandoned during that 12-month period. In any event, the judicial determination should reflect the court?s judgment as to whether the agency activities that were performed during the previous 12 months were meaningful in bringing about permanency for the child.
    Source/Date
    7/6/05
    Legal and Related References
    Social Security Act -- Section 471 (a)(15), 45 CFR 1356.21(b)(2), 1356.71(d)(1)(i)

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    Question Number 3:
    03/02/2020 - Current
    Question
    *Is the title IV-E agency required to obtain a judicial determination regarding reasonable efforts to finalize a permanency plan in accordance with 45 CFR 1356.21(b)(2) for a child placed in foster care as a result of a voluntary placement agreement?
    Answer
    *No. A judicial determination regarding reasonable efforts to finalize a permanency plan is required only for children removed from their homes via court action (section 472(a)(2)(A)(ii) of the Social Security Act (the Act)). Although a judicial determination regarding reasonable efforts to finalize a permanency plan is not required, the title IV-E agency must comply with the title IV-E plan requirements to provide reasonable efforts for all children as described in section 471(a)(15) of the Act, including those children who are voluntarily placed.
    Source/Date
    *April 6, 2006; (3/2/20)
    Legal and Related References
    *Social Security Act - sections 472(a)(2)(A)(ii), 471(a)(15), and 479B; 45 CFR 1356.21(b) and 1356.22

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    04/17/2006 - 03/02/2020 (Original Record)
    Question
    Is the State required to obtain a judicial determination regarding reasonable efforts to finalize a permanency plan in accordance with 45 CFR 1356.21(b)(2) for a child placed in foster care as a result of a voluntary placement agreement?
    Answer
    No. A judicial determination regarding reasonable efforts to finalize a permanency plan is required only for children removed from their homes via court action (section 472(a)(2)(A)(ii) of the Social Security Act (the Act)). Although a judicial determination regarding reasonable efforts to finalize a permanency plan is not required, the State must comply with the State plan requirements to provide reasonable efforts for all children as described in section 471(a)(15) of the Act, including those children who are voluntarily placed.
    Source/Date
    April 6, 2006
    Legal and Related References
    Social Security Act - sections 472(a)(2)(A)(ii) and 471(a)(15); 45 CFR 1356.21(b) and (2) and 1356.22

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    Question Number 4:
    03/02/2020 - Current
    Question
    *What are the criteria for determining whether a child is ineligible for a title IV-E foster care maintenance payment with respect to the requirement that a judicial determination regarding reasonable efforts to finalize a permanency plan be made within 12 months of the date the child is considered to have entered foster care and every 12 months thereafter? For example, is a child ineligible from the date the determination is due until such time as the date the determination is made?
    Answer
    *Consistent with the regulation at 45 CFR 1356.21(b)(2)(ii), if a judicial determination regarding reasonable efforts to finalize a permanency plan is not made in accordance with the prescribed schedule, the child becomes ineligible for title IV-E at the end of 12th month following the date the child is considered to have entered foster care or the end of the 12th month from the most recently obtained judicial determination regarding reasonable efforts to finalize a permanency plan. If the reasonable efforts to finalize a permanency plan determination subsequently is made later for the otherwise eligible child, the title IV-E agency can claim Federal financial participation (FFP) under title IV-E foster care from the beginning of the month in which the judicial determination was made. See section 8.3A.15 of the Child Welfare Policy Manual, Q/A#1.

    We offer the following example to clarify the policy:

    If the judicial determination regarding reasonable efforts to finalize a permanency plan is due September 10, 2004, but not held until October 18, 2004, the title IV-E agency may claim FFP on behalf of an otherwise eligible child without interruption. Consistent with the regulation cited above, the child is eligible until the end of the 12th month in which the determination is due. Therefore, in this example, the child is eligible through September 2004, which is the month in which the determination was due. Further, in accordance with long-standing Departmental policy, once all eligibility criteria are met for a child, a title IV-E agency may claim Federal financial participation for a child from the first day of placement in the month in which all title IV-E eligibility criteria are met. Therefore, the child would continue to be eligible for title IV-E benefits from October 1, 2004, since the determination was made in October 2004.

    It should be noted that for a child who entered foster care prior to March 27, 2000 (the effective date of the Final Rule which established the reasonable efforts to finalize a permanency plan requirement at 45 CFR 1356.21(b)(2)), the concept of "the date the child is considered to have entered foster care" is nonexistent. For those children, the initial reasonable efforts to finalize a permanency plan judicial determination was due no later than March 27, 2001.

    Source/Date
    *8/7/2006; (3/2/20)
    Legal and Related References
    *Social Security Act - section 471(a)(15)(B)(ii) and 479B; 45 CFR 1356.21(b)(2)(ii); 65 FR 4052; Child Welfare Policy Manual Section 8.3A.15 Q/A#1

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    08/09/2006 - 03/02/2020 (Original Record)
    Question
    What are the criteria for determining whether a child is ineligible for a title IV-E foster care maintenance payment with respect to the requirement that a judicial determination regarding reasonable efforts to finalize a permanency plan be made within 12 months of the date the child is considered to have entered foster care and every 12 months thereafter? For example, is a child ineligible from the date the determination is due until such time as the date the determination is made?
    Answer
    Consistent with the regulation at 45 CFR 1356.21(b)(2)(ii), if a judicial determination regarding reasonable efforts to finalize a permanency plan is not made in accordance with the prescribed schedule, the child becomes ineligible for title IV-E at the end of 12th month following the date the child is considered to have entered foster care or the end of the 12th month from the most recently obtained judicial determination regarding reasonable efforts to finalize a permanency plan. If the reasonable efforts to finalize a permanency plan determination subsequently is made later for the otherwise eligible child, the State can claim Federal financial participation (FFP) under title IV-E foster care from the beginning of the month in which the judicial determination was made. See section 8.3A.15 of the Child Welfare Policy Manual, Q/A#1.

    We offer the following example to clarify the policy:

    If the judicial determination regarding reasonable efforts to finalize a permanency plan is due September 10, 2004, but not held until October 18, 2004, the State may claim FFP on behalf of an otherwise eligible child without interruption. Consistent with the regulation cited above, the child is eligible until the end of the 12th month in which the determination is due. Therefore, in this example, the child is eligible through September 2004, which is the month in which the determination was due. Further, in accordance with long-standing Departmental policy, once all eligibility criteria are met for a child, a State may claim Federal financial participation for a child from the first day of placement in the month in which all title IV-E eligibility criteria are met. Therefore, the child would continue to be eligible for title IV-E benefits from October 1, 2004, since the determination was made in October 2004.

    It should be noted that for a child who entered foster care prior to March 27, 2000 (the effective date of the Final Rule which established the reasonable efforts to finalize a permanency plan requirement at 45 CFR 1356.21(b)(2)), the concept of "the date the child is considered to have entered foster care" is nonexistent. For those children, the initial reasonable efforts to finalize a permanency plan judicial determination was due no later than March 27, 2001.

    Source/Date
    8/7/2006
    Legal and Related References
    Social Security Act ¿ section 471(a)(15)(B)(ii); 45 CFR 1356.21(b)(2)(ii); 65 FR 4052; Child Welfare Policy Manual Section 8.3A.15 Q/A#1

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    8.4 TITLE IV-E, General Title IV-E Requirements

    Question Number 1:
    12/16/2004 - Current
    Question
    *What is the definition of "unemployed parent" for purposes of completing the AFDC portion of a title IV-E eligibility determination?
    Answer
    The Administration for Children and Families (ACF) and the Centers for Medicaid and Medicare Services (CMS) amended the definition of ?unemployed parent? at 45 CFR 233.101(a)(1) in 1998 in response to the replacement of the former AFDC program with the Temporary Assistance for Needy Families (TANF) program. Each State was required to establish a ?reasonable standard? for measuring unemployment in order to determine whether an individual qualified for benefits under TANF or Medicaid and whether a child met the AFDC portion of title IV-E eligibility. The amended regulation specifically permits States to consider hours of work, dollar amounts earned, and family size in establishing the reasonable standard of unemployment.

    At a minimum, States are required to include as an ?unemployed parent? an individual who is employed less than 100 hours per month, or exceeds that standard for a particular month if the work is intermittent and the excess work is temporary. Such work may be considered temporary if the unemployed parent worked fewer than 100 hours in the preceding two months and is expected to work fewer than 100 hours in the following month (see 45 CFR 233.101(a)(1)). States are constrained by this definition in order to preserve Medicaid and title IV-E eligibility for any individuals who would have been eligible under the AFDC rules previously in effect (see 63 FR 42270 - 42272, August 7, 1998). States are not required to establish a broader definition of ?unemployed parent? but may do so.

    Source/Date
    6/23/03
    Legal and Related References
    Public Law 104-193; 45 CFR 233.101(a)(1); 63 FR 42270-42275, August 7, 1998.

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    07/11/2003 - 12/16/2004
    Question
    What is the definition of ?unemployed parent? for purposes of completing the AFDC portion of a title IV-E eligibility determination?
    Answer
    testAdministration for Children and Families (ACF) and the Centers for Medicaid and Medicare Services (CMS) amended the definition of ?unemployed parent? at 45 CFR 233.101(a)(1) in 1998 in response to the replacement of the former AFDC program with the Temporary Assistance for Needy Families (TANF) program. Each State was required to establish a ?reasonable standard? for measuring unemployment in order to determine whether an individual qualified for benefits under TANF or Medicaid and whether a child met the AFDC portion of title IV-E eligibility. The amended regulation specifically permits States to consider hours of work, dollar amounts earned, and family size in establishing the reasonable standard of unemployment.

    At a minimum, States are required to include as an ?unemployed parent? an individual who is employed less than 100 hours per month, or exceeds that standard for a particular month if the work is intermittent and the excess work is temporary. Such work may be considered temporary if the unemployed parent worked fewer than 100 hours in the preceding two months and is expected to work fewer than 100 hours in the following month (see 45 CFR 233.101(a)(1)). States are constrained by this definition in order to preserve Medicaid and title IV-E eligibility for any individuals who would have been eligible under the AFDC rules previously in effect (see 63 FR 42270 - 42272, August 7, 1998). States are not required to establish a broader definition of ?unemployed parent? but may do so.

    Source/Date
    *6/23/03
    Legal and Related References
    Public Law 104-193; 45 CFR 233.101(a)(1); 63 FR 42270-42275, August 7, 1998.

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    06/27/2003 - 07/11/2003 (Original Record)
    Question
    What is the definition of ?unemployed parent? for purposes of completing the AFDC portion of a title IV-E eligibility determination?
    Answer
    The Administration for Children and Families (ACF) and the Centers for Medicaid and Medicare Services (CMS) amended the definition of �unemployed parent� at 45 CFR 233.101(a)(1) in 1998 in response to the replacement of the former AFDC program with the Temporary Assistance for Needy Families (TANF) program. Each State was required to establish a �reasonable standard� for measuring unemployment in order to determine whether an individual qualified for benefits under TANF or Medicaid and whether a child met the AFDC portion of title IV-E eligibility. The amended regulation specifically permits States to consider hours of work, dollar amounts earned, and family size in establishing the reasonable standard of unemployment.

    At a minimum, States are required to include as an �unemployed parent� an individual who is employed less than 100 hours per month, or exceeds that standard for a particular month if the work is intermittent and the excess work is temporary. Such work may be considered temporary if the unemployed parent worked fewer than 100 hours in the preceding two months and is expected to work fewer than 100 hours in the following month (see 45 CFR 233.101(a)(1)). States are constrained by this definition in order to preserve Medicaid and title IV-E eligibility for any individuals who would have been eligible under the AFDC rules previously in effect (see 63 FR 42270 - 42272, August 7, 1998). States are not required to establish a broader definition of �unemployed parent� but may do so.

    Source/Date
    Legal and Related References
    Public Law 104-193; 45 CFR 233.101(a)(1); 63 FR 42270-42275, August 7, 1998.

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    8.3A.3 TITLE IV-E, Foster Care Maintenance Payments Program, Eligibility, Biological parents

    Question Number 1:
    07/24/2006 - Current
    Question
    Since adoption assistance is not available for children adopted by biological parents, would Federal financial participation (FFP) under title IV-E foster care be available in those homes if the parents do not adopt and the agency retains guardianship and responsibility for placement and care?
    Answer
    *No. Title IV-E foster care maintenance payments are available for AFDC-eligible children who have been removed from their own homes and placed in a foster family home or child care institution. By definition, foster care is provided by someone other than a biological parent.

    While a termination of parental rights severs the legal ties between the parent and the child, it does not change the biological relationship with the child. A child living with his parents would not be considered to be living in a foster home and, thus, would not be eligible for title IV-E foster care maintenance payments.

    Source/Date
    ACYF-CB-PIQ-89-04 (8/8/89)
    Legal and Related References
    *Social Security Act - sections 472 (a)(2)(A) and (C), 472 (b)

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    07/19/2000 - 07/24/2006 (Original Record)
    Question
    Since adoption assistance is not available for children adopted by biological parents, would Federal financial participation (FFP) under title IV-E foster care be available in those homes if the parents do not adopt and the agency retains guardianship and responsibility for placement and care?
    Answer
    No. Title IV-E foster care maintenance payments are available for AFDC-eligible children who have been removed from their own homes and placed in a foster family home or child care institution. By definintion, foster care is provided by someone other than a biological parent.

    While a termination of parental rights severs the legal ties between the parent and the child, it does not change the biological relationship with the child. A child living with his parents would not be considered to be living in a foster home and, thus, would not be eligibile for title IV-E foster care maintenance payments.

    Source/Date
    ACYF-CB-PIQ-89-04 (8/8/89)
    Legal and Related References
    Social Security Act - sections 472 (a)(1) and (3), 472 (b)(1)

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    Question Number 2:
    10/23/2019 - Current
    Question
    When a child is removed from the custodial parent and placed by the title IV-E agency for a temporary period of time with the non-custodial parent under the placement and care responsibility of the title IV-E agency, and then the title IV-E agency subsequently moves the child to a licensed foster family home, must the title IV-E agency obtain another removal order in order to claim title IV-E?
    Answer
    *No. The child is not eligible for title IV-E while placed with the non-custodial parent (see Child Welfare Policy Manual Section 8.3A.3 Q/A #1). However, the child's placement with the title IV-E agency non-custodial parent has no bearing on whether the title IV-E agency may claim title IV-E reimbursement for the child when s/he is later placed in a licensed foster family home, so long as the title IV-E agency maintains placement and care responsibility and the child otherwise meets the criteria in sections 472(a)(2)(A) and (B) and 472(a)(3) of the Act. Presuming the title IV-E agency has already obtained a contrary to the welfare finding in relation to the custodial parent, it remains valid for title IV-E purposes unless the title IV-E agency's placement and care responsibility ends and the child is removed again pursuant to a court order or voluntary placement agreement.
    Source/Date
    12/6/2007; 10/23/2019
    Legal and Related References
    Social Security Act - sections 472(a)(2)(A) and (B), and 479B; 45 CFR 1355.20

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    10/23/2019 - 10/23/2019
    Question
    *When a child is removed from the custodial parent and placed by the title IV-E agency for a temporary period of time with the non-custodial parent under the placement and care responsibility of the title IV-E agency, and then the title IV-E agency subsequently moves the child to a licensed foster family home, must the title IV-E agency obtain another removal order in order to claim title IV-E?
    Answer
    *No. The child is not eligible for title IV-E while placed with the non-custodial parent (see Child Welfare Policy Manual Section 8.3A.3 Q/A #1). However, the child''s placement with the title IV-E agency non-custodial parent has no bearing on whether the State may claim title IV-E reimbursement for the child when s/he is later placed in a licensed foster family home, so long as the title IV-E agency maintains placement and care responsibility and the child otherwise meets the criteria in sections 472(a)(2)(A) and (B) and 472(a)(3) of the Act. Presuming the title IV-E agency has already obtained a contrary to the welfare finding in relation to the custodial parent, it remains valid for title IV-E purposes unless the title IV-E agency''s placement and care responsibility ends and the child is removed again pursuant to a court order or voluntary placement agreement.
    Source/Date
    *12/6/2007; 10/23/2019
    Legal and Related References
    *Social Security Act - sections 472(a)(2)(A) and (B), and 479B; 45 CFR 1355.20

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    12/11/2007 - 10/23/2019 (Original Record)
    Question
    When a child is removed from the custodial parent and placed by the State for a temporary period of time with the non-custodial parent under the placement and care responsibility of the State title IV-E agency, and then the State agency subsequently moves the child to a licensed foster family home, must the State agency obtain another removal order in order to claim title IV-E?
    Answer
    No. The child is not eligible for title IV-E while placed with the non-custodial parent (see Child Welfare Policy Manual Section 8.3A.3 Q/A #1). However, the child''s placement with the non-custodial parent has no bearing on whether the State may claim title IV-E reimbursement for the child when s/he is later placed in a licensed foster family home, so long as the State maintains placement and care responsibility and the child otherwise meets the criteria in sections 472(a)(2)(A) and (B) and 472(a)(3) of the Act. Presuming the State has already obtained a contrary to the welfare finding in relation to the custodial parent, it remains valid for title IV-E purposes unless the State''s placement and care responsibility ends and the child is removed again pursuant to a court order or voluntary placement agreement.
    Source/Date
    12/6/2007
    Legal and Related References
    Social Security Act ¿ sections 472(a)(2)(A) and (B); 45 CFR 1355.20

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    8.3A.4 TITLE IV-E, Foster Care Maintenance Payments Program, Eligibility, Child in facility outside scope of foster care

    Question Number 2:
    10/23/2019 - Current
    Question
    *How should the title IV-E agency establish title IV-E eligibility for a child who is temporarily placed in a facility that is considered outside the scope of "foster care," such as a detention facility or psychiatric hospital, prior to his/her placement in foster care? When may the title IV-E agency begin to claim for such child if s/he is placed in foster care?
    Answer
    *The title IV-E agency must comply with the title IV-E eligibility criteria as set forth in the statute at section 472 (a) of the Social Security Act (the Act) and the implementing regulations at 45 CFR 1356.21(b), (c), and (d). The title IV-E agency must establish the child's eligibility at removal (which includes meeting the Aid to Families with Dependent Children eligibility requirements as in effect on July 16, 1996 and judicial determinations to the effect that it is contrary to the child's welfare to remain in the home and that reasonable efforts were made to prevent such removal) even for children who are not initially placed in a foster care setting. Title IV-E is an entitlement program and, as such, no flexibility exists with respect to satisfying the requisite eligibility criteria. If such eligibility criteria are not satisfied within the time frames prescribed in the regulation, the child is ineligible for title IV-E funds.

    When the child is transferred to a facility that meets the requirements of section 472 (c) of the Act, Federal financial participation is available from the first day of placement in the month in which all title IV-E eligibility requirements are met.

    Source/Date
    *Questions and Answers on the Final Rule (65 FR 4020) (1/25/00); ACYF-CB-PIQ 88-03 (4/11/88); 10/23/2019
    Legal and Related References
    *Social Security Act - section 472 and 479B; 45 CFR 1356.21

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    12/02/2014 - 10/23/2019
    Question
    How should the State establish title IV-E eligibility for a child who is temporarily placed in a facility that is considered outside the scope of "foster care," such as a detention facility or psychiatric hospital, prior to his/her placement in foster care? When may the State begin to claim for such child if s/he is placed in foster care?
    Answer
    *The State must comply with the title IV-E eligibility criteria as set forth in the statute at section 472 (a) of the Social Security Act (the Act) and the implementing regulations at 45 CFR 1356.21(b), (c), and (d). The State must establish the child''s eligibility at removal (which includes meeting the Aid to Families with Dependent Children eligibility requirements as in effect on July 16, 1996 and judicial determinations to the effect that it is contrary to the child''s welfare to remain in the home and that reasonable efforts were made to prevent such removal) even for children who are not initially placed in a foster care setting. Title IV-E is an entitlement program and, as such, no flexibility exists with respect to satisfying the requisite eligibility criteria. If such eligibility criteria are not satisfied within the time frames prescribed in the regulation, the child is ineligible for title IV-E funds.

    When the child is transferred to a facility that meets the requirements of section 472 (c) of the Act, Federal financial participation is available from the first day of placement in the month in which all title IV-E eligibility requirements are met.

    Source/Date
    Questions and Answers on the Final Rule (65 FR 4020) (1/25/00); ACYF-CB-PIQ 88-03 (4/11/88)
    Legal and Related References
    Social Security Act - section 472; 45 CFR 1356.21

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    07/24/2006 - 12/02/2014
    Question
    How should the State establish title IV-E eligibility for a child who is temporarily placed in a facility that is considered outside the scope of "foster care," such as a detention facility or psychiatric hospital, prior to his/her placement in foster care? When may the State begin to claim for such child if s/he is placed in foster care?
    Answer
    *The State must comply with the title IV-E eligibility criteria as set forth in the statute at section 472 (a) of the Social Security Act (the Act) and the implementing regulations at 45 CFR 1356.21(b), (c), and (d). The State must establish the child''s eligibility at removal (which includes meeting the Aid to Families with Dependent Children eligibility requirements as in effect on July 16, 1996 and judicial determinations to the effect that the child''s removal from the home was contrary to his/her welfare and that reasonable efforts were made to prevent such removal) even for children who are not initially placed in a foster care setting. Title IV-E is an entitlement program and, as such, no flexibility exists with respect to satisfying the requisite eligibility criteria. If such eligibility criteria are not satisfied within the time frames prescribed in the regulation, the child is ineligible for title IV-E funds.

    When the child is transferred to a facility that meets the requirements of section 472 (c) of the Act, Federal financial participation is available from the first day of placement in the month in which all title IV-E eligibility requirements are met.

    Source/Date
    Questions and Answers on the Final Rule (65 FR 4020) (1/25/00); ACYF-CB-PIQ 88-03 (4/11/88)
    Legal and Related References
    Social Security Act - section 472; 45 CFR 1356.21

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    11/05/2000 - 07/24/2006 (Original Record)
    Question
    How should the State establish title IV-E eligibility for a child who is temporarily placed in a facility that is considered outside the scope of "foster care," such as a detention facility or psychiatric hospital, prior to his/her placement in foster care? When may the State begin to claim for such child if s/he is placed in foster care?
    Answer
    The State must comply with the title IV-E eligibility criteria as set forth in the statute at section 472 (a)(1) through (4) of the Social Security Act (the Act) and the implementing regulations at 45 CFR 1356.21(b), (c), and (d). The State must establish the child''s eligibility at removal (which includes meeting the Aid to Families with Dependent Children eligibility requirements as in effect on July 16, 1996 and judicial determinations to the effect that the child''s removal from the home was contrary to his/her welfare and that reasonable efforts were made to prevent such removal) even for children who are not initially placed in a foster care setting. Title IV-E is an entitlement program and, as such, no flexibility exists with respect to satisfying the requisite eligibility criteria. If such eligibility criteria are not satisfied within the time frames prescribed in the regulation, the child is ineligible for title IV-E funds.

    When the child is transferred to a facility that meets the requirements of section 472 (c) of the Act, Federal financial participation is available from the first day of placement in the month in which all title IV-E eligibility requirements are met.

    Source/Date
    Questions and Answers on the Final Rule (65 FR 4020) (1/25/00); ACYF-CB-PIQ 88-03 (4/11/88)
    Legal and Related References
    Social Security Act - section 472; 45 CFR 1356.21

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    Question Number 3:
    10/23/2019 - Current
    Question
    *When a child is removed from the custodial parent and placed by the title IV-E agency for a temporary period of time with the non-custodial parent under the placement and care responsibility of the title IV-E agency, and then the title IV-E agency subsequently moves the child to a licensed foster family home, must the title IV-E agency obtain another removal order in order to claim title IV-E?
    Answer
    *No. The child is not eligible for title IV-E while placed with the non-custodial parent (see Child Welfare Policy Manual Section 8.3A.3 Q/A #1). However, the child's placement with the non-custodial parent has no bearing on whether the title IV-E agency may claim title IV-E reimbursement for the child when s/he is later placed in a licensed foster family home, so long as the title IV-E agency maintains placement and care responsibility and the child otherwise meets the criteria in sections 472(a)(2)(A) and (B) and 472(a)(3) of the Act. Presuming the title IV-E agency has already obtained a contrary to the welfare finding in relation to the custodial parent, it remains valid for title IV-E purposes unless the title IV-E agency's placement and care responsibility ends and the child is removed again pursuant to a court order or voluntary placement agreement.
    Source/Date
    *12/6/2007; 10/23/2019
    Legal and Related References
    *Social Security Act - sections 472(a)(2)(A) and (B), and 479B; 45 CFR 1355.20

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    12/11/2007 - 10/23/2019 (Original Record)
    Question
    When a child is removed from the custodial parent and placed by the State for a temporary period of time with the non-custodial parent under the placement and care responsibility of the State title IV-E agency, and then the State agency subsequently moves the child to a licensed foster family home, must the State agency obtain another removal order in order to claim title IV-E?
    Answer
    No. The child is not eligible for title IV-E while placed with the non-custodial parent (see Child Welfare Policy Manual Section 8.3A.3 Q/A #1). However, the child''s placement with the non-custodial parent has no bearing on whether the State may claim title IV-E reimbursement for the child when s/he is later placed in a licensed foster family home, so long as the State maintains placement and care responsibility and the child otherwise meets the criteria in sections 472(a)(2)(A) and (B) and 472(a)(3) of the Act. Presuming the State has already obtained a contrary to the welfare finding in relation to the custodial parent, it remains valid for title IV-E purposes unless the State''s placement and care responsibility ends and the child is removed again pursuant to a court order or voluntary placement agreement.
    Source/Date
    12/6/2007
    Legal and Related References
    Social Security Act ¿ sections 472(a)(2)(A) and (B); 45 CFR 1355.20

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    8.3A.6 TITLE IV-E, Foster Care Maintenance Payments Program, Eligibility, Contrary to the welfare

    Question Number 2:
    07/24/2006 - Current
    Question
    *For purposes of meeting the section 472 (a)(2)(A)(ii) eligibility requirement, must a temporary detention order include "contrary to the welfare" language or is it possible to consider a later delinquency adjudication order or dependency adjudication order as the removal order?
    Answer
    *The statute requires that the "removal" from the home must occur as the result of a judicial determination to the effect that continuation therein would be contrary to the child's welfare.

    Therefore, such a determination must be made in the order that results in the removal of the child from the home. Since the child has already been removed from his home and is in detention as the result of a temporary detention order, the later hearing order only sanctions that removal. A child would remain ineligible during the entire foster care placement if the "contrary to the welfare" determination is not made at the time of the temporary detention order.

    Source/Date
    ACYF-CB-PIQ-91-03 (4/3/91)
    Legal and Related References
    *Social Security Act - section 472 (a)(2)(A)

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    07/24/2006 - 04/27/2020
    Question
    *For purposes of meeting the section 472 (a)(2)(A)(ii) eligibility requirement, must a temporary detention order include "contrary to the welfare" language or is it possible to consider a later delinquency adjudication order or dependency adjudication order as the removal order?
    Answer
    *The statute requires that the "removal" from the home must occur as the result of a judicial determination to the effect that continuation therein would be contrary to the child''s welfare.

    Therefore, such a determination must be made in the order that results in the removal of the child from the home. Since the child has already been removed from his home and is in detention as the result of a temporary detention order, the later hearing order only sanctions that removal. A child would remain ineligible during the entire foster care placement if the "contrary to the welfare" determination is not made at the time of the temporary detention order.

    Source/Date
    ACYF-CB-PIQ-91-03 (4/3/91)
    Legal and Related References
    *Social Security Act - section 472 (a)(2)(A)

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    10/01/2000 - 07/24/2006 (Original Record)
    Question
    For purposes of meeting the section 472 (a)(1) eligibility requirement, must a temporary detention order include "contrary to the welfare" language or is it possible to consider a later delinquency adjudication order or dependency adjudication order as the removal order?
    Answer
    The statute requires that the "removal" from the home must occur as the result of a judicial determination to the effect that continuation therein would be contrary to the child''s welfare.

    Therefore, such a determination must be made in the order that results in the removal of the child from the home. Since the child has already been removed from his home and is in detention as the result of a temporary detention order, the later hearing order only sanctions that removal. A child would remain ineligible during the entire foster care placement if the "contrary to the welfare" determination is not made at the time of the temporary detention order.

    Source/Date
    ACYF-CB-PIQ-91-03 (4/3/91)
    Legal and Related References
    Social Security Act - section 472 (a)(1)

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    Question Number 3:
    10/23/2019 - Current
    Question
    A child is ineligible for an entire foster care episode for failure to satisfy the contrary to the welfare requirements. Please explain the rationale for this position.
    Answer
    *The contrary to the welfare determination is a critical statutory protection and a criterion for establishing title IV-E eligibility. Once a child is removed from home, the title IV-E agency cannot go back and "fix" an inappropriate removal. If a child's removal from home is not based on a judicial determination that it was contrary to the child's welfare to remain in the home, the child is ineligible for title IV-E funding for the entire foster care episode subsequent to that removal because there is no opportunity to satisfy this eligibility criterion at a later date. The same does not hold true for all other eligibility criteria. For example, judicial determinations regarding reasonable efforts to finalize a permanency plan, placement in a licensed foster family home or child care institution, and title IV-E agency responsibility for placement and care are all title IV-E eligibility criteria that can be reestablished if lost or established at a later time if missing at the beginning of a foster care episode. This is not the case with the contrary to the welfare determination.
    Source/Date
    *Preamble to the Final Rule (65 FR 4020) (1/25/00); 10/23/19
    Legal and Related References
    *Social Security Act - section 479B; 45 CFR 1356.21 (c)

    9.4 TRIBES/INDIAN TRIBAL ORGANIZATIONS, Title IV-E Agreements

    8.4D TITLE IV-E, General Title IV-E Requirements, Concurrent Receipt of Federal Benefits

    8.3C.2e TITLE IV-E, Foster Care Maintenance Payments Program, State Plan/Procedural Requirements, Case review system, termination of parental rights

    8.3A TITLE IV-E, Foster Care Maintenance Payments Program, Eligibility

    6.5A Standards and confidentiality

    3.3C INDEPENDENT LIVING, Fiscal, Match

    8.2D.5 TITLE IV-E, Adoption Assistance Program, Payments, Termination

    6.6H Title XIX claims processing

    6.5C Data quality reviews

    8.3A.15 TITLE IV-E, Foster Care Maintenance Payments Program, Eligibility, When payments may begin

    8.6C.1 Allowable administrative and training costs

    8.2B.8 TITLE IV-E, Adoption Assistance Program, Eligibility, Medicaid

    2.3 CAPTA, Definitions

    2.1C CAPTA, Assurances and Requirements, Expedited Termination of Parental Rights

    8.2B.1 TITLE IV-E, Adoption Assistance Program, Eligibility, Biological parents

    8.2B TITLE IV-E, Adoption Assistance Program, Eligibility

    3. INDEPENDENT LIVING

    7.3 TITLE IV-B, Programmatic Requirements

    8.2D.4 TITLE IV-E, Adoption Assistance Program, Payments, Rates

    2.1J CAPTA, Assurances and Requirements, Criminal Background Checks

    8.3C.1 TITLE IV-E, Foster Care Maintenance Payments Program, State Plan/Procedural Requirements, Case plans

    8.3C.2b TITLE IV-E, Foster Care Maintenance Payments Program, State Plan/Procedural Requirements, Case review system, notice and right to be heard

    8.4H TITLE IV-E, General Title IV-E Requirements, Safety Requirements

    8.4I TITLE IV-E, General Title IV-E Requirements, Social Security Numbers

    8.3A.8d TITLE IV-E, Foster Care Maintenance Payments Program, Eligibility, Facilities requirements, supervised independent living

    8.2D.1 TITLE IV-E, Adoption Assistance Program, Payments, Allowable costs

    3.1A Certifications and Requirements, Youth Participation

    6.6E Child abuse and neglect systems

    8.2 TITLE IV-E, Adoption Assistance Program

    8.3A.5 TITLE IV-E, Foster Care Maintenance Payments Program, Eligibility, Child of a minor parent

    3.3B INDEPENDENT LIVING, Fiscal, Allocations

    8.2B.10 TITLE IV-E, Adoption Assistance Program, Eligibility, Responsibility for placement and care

    8.3A.14 TITLE IV-E, Foster Care Maintenance Payments Program, Eligibility, Voluntary relinquishments

    8.2B.7 TITLE IV-E, Adoption Assistance Program, Eligibility, Judicial determinations

    8.4C TITLE IV-E, General Title IV-E Requirements, Child support

    8.2D TITLE IV-E, Adoption Assistance Program, Payments

    8.3A.8c TITLE IV-E, Foster Care Maintenance Payments Program, Eligibility, Facilities requirements, licensing

    8.2B.11 TITLE IV-E, Adoption Assistance Program, Eligibility, Special needs

    6.7 Data exchange standard

    6.13 CCWIS options

    6.5B Automated support for data quality

    3.1I INDEPENDENT LIVING, Certifications and Requirements, Tribal

    6.12 Design requirements

    6.16 Cost allocation

    8.6A Program Requirements

    8.3A.7 TITLE IV-E, Foster Care Maintenance Payments Program, Eligibility, Documentation of judicial determinations

    1.2A AFCARS, Data Elements and Definitions, Adoption Specific Elements

    1.2B.3 AFCARS, Data Elements and Definitions, Foster Care Specific Elements, Episode and removal circumstances

    1.3 AFCARS, Reporting Population

    2.1B CAPTA, Assurances and Requirements, Appeals

    8.2B.5 TITLE IV-E, Adoption Assistance Program, Independent Adoptions

    8.3A.9 TITLE IV-E, Foster Care Maintenance Payments Program, Reasonable efforts

    8.2B.12 TITLE IV-E, Adoption Assistance Program, Eligibility, SSI

    8.3C.2c TITLE IV-E, Foster Care Maintenance Payments Program, State Plan/Procedural Requirements, Case review system, permanency hearings

    8.4F TITLE IV-E, General Title IV-E Requirements, Criminal Record and Registry Checks

    9.3 TRIBES/INDIAN TRIBAL ORGANIZATIONS, Responsibilities of the Bureau of Indian Affairs

    8.3A.10 TITLE IV-E, Foster Care Maintenance Payments Program, Eligibility, Redeterminations

    2.1H CAPTA, Assurances and Requirements, Notification of Allegations

    3.2B INDEPENDENT LIVING, Data Collection, Outcome Measures

    2.1F.1 CAPTA, Assurances and Requirements, Infants Affected by Substance Abuse, Plan of Safe Care

    6.15 Transition Period

    6.6B Child welfare contributing agencies

    6.16B Cost allocation for new CCWIS

    3.5E Independent Living, Educational and Training Vouchers, Match

    6.14 CCWIS reviews

    6.12A Automated function requirements

    8.2B.9 TITLE IV-E, Adoption Assistance Program, Eligibility, Redeterminations

    8.2D.2 TITLE IV-E, Adoption Assistance Program, Payments, Duration

    6.5E Data quality plans

    6.3C ICWA

    6.2 Efficient, economical, and effective

    5.2 MONITORING, Title IV-E Eligibility Reviews

    8.4G TITLE IV-E, General Title IV-E Requirements, Fair Hearings

    8.4A TITLE IV-E, General Title IV-E Requirements, AFDC Eligibility

    8.2B.3 TITLE IV-E, Adoption Assistance Program, Eligibility, Child of a minor parent

    8.1C TITLE IV-E, Administrative Functions/Costs, Calculating Claims

    8.3A.11 TITLE IV-E, Foster Care Maintenance Payments Program, Eligibility, Removal from the home/living with

    8.2B.2 TITLE IV-E, Adoption Assistance Program, Eligibility, Children in foster care

    4.2 MEPA/IEAP, Enforcement of Section 471 (a)(18) of the SSA

    9.2 TRIBES/INDIAN TRIBAL ORGANIZATIONS, Application of Title IV-E Eligibility Requirements for Title IV-E Tribal Agencies

    8.3C.3 TITLE IV-E, Foster Care Maintenance Payments Program, State Plan/Procedural Requirements, Foster care goals

    6.5 Data quality

    6.9 Software provision

    3.1F INDEPENDENT LIVING, Certifications and Requirements, Objective Eligibility Criteria

    6.12A.3 Development standard

    3.3A INDEPENDENT LIVING, Fiscal, Administrative Costs

    8.1B TITLE IV-E, Administrative Functions/Costs, Allowable Costs - Foster Care Maintenance Payments Program

    8.2B.13 TITLE IV-E, Adoption Assistance Program, Eligibility, Voluntary relinquishments

    2.1E CAPTA, Assurances and Requirements, Reunification

    2.1 CAPTA, Assurances and Requirements

    8.3B.1 TITLE IV-E, Foster Care Maintenance Payments Program, Payments, Allowable costs

    8.2B.6 TITLE IV-E, Adoption Assistance Program, International Adoptions

    8.1G TITLE IV-E, Administrative Functions/Costs, Title IV-E Agreements

    8.4E TITLE IV-E, General Title IV-E Requirements, Confidentiality

    3.1G INDEPENDENT LIVING, Certifications and Requirements, Room or Board

    4.1 MEPA/IEAP, Diligent Recruitment

    8.1H TITLE IV-E, Administrative Functions/Costs, Training

    9.1 TRIBES/INDIAN TRIBAL ORGANIZATIONS, Application of Title IV-B and Title IV-E Procedural Requirements

    8.1 TITLE IV-E, Administrative Functions/Costs

    2.1F CAPTA, Assurances and Requirements, Infants Affected by Substance Abuse

    8.5B.2 Guardianship Assistance Program, Eligibility, Guardian requirements

    6.16A Cost allocation for transitioning systems

    6.3B State data

    6.4 Reporting

    6.8 Title IV-E determinations

    6.10A Initial submission

    6.5D Data quality findings

    6.12A.4 Reuse

    3.3E INDEPENDENT LIVING, Fiscal, Use of Funds

     

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