Kind of Plan Requirement

CAPTA Basic State Grant Requirements (Section 106)^a

Planning
services: administration, organization,
and
coordination

^—Every 5 years, prepare and submit to the Health and Human Services (HHS) secretary a plan specifying areas of child protective services system to be addressed with grant money, including an outline of activities the state intends to do to improve its system of child protective services.^b

—Describe services to be provided to individuals, families or communities to prevent child abuse and neglect.^c

—Coordinate this plan, to maximum extent possible, with the child welfare programs funded under Title IV-B of the Social Security Act.

—Assure that child welfare programs and projects related to child maltreatment but funded under Title IV-B of the Social Security Act, comply with the state plan requirements of this program.

—Describe training provided for individuals required to report suspected cases of child abuse and neglect and training provided to support direct line and supervisory personnel in report taking, screening, decision making, and referral for investigating suspected instances of child abuse and neglect.

—Establish at least 3 citizen review panels (or at least 1 if the state receives the minimum allotment of $175,000 under CAPTA's community-based grant) to examine state and local child protective services policies and practices and to evaluate whether the state and local agencies effectively provide those services. The review panel must prepare an annual summary of its activities and must make recommendations for improvements of the state and local child protection services systems.^d

—Within 6 months of receiving the citizen review panel report the appropriate state agency must provide a written response describing whether or how the state will incorporate the recommendations for improvements.

—Maintain a state law or statewide program that

• grants immunity from prosecution (under state and local laws and regulations) for individuals making good faith reports of suspected or known child maltreatment;
• requires and has procedures to promptly expunge any public records in cases of false or unsubstantiated abuse (State child protective agencies, however, may keep records of unsubstantiated cases to assist in future risk and safety assessment.);
• provides procedures for individuals to appeal official findings of child maltreatment;
• provides for cooperation of state law enforcement officials, courts and appropriate state human services agencies in the investigation, assessment, prosecution and treatment of child maltreatment;
• requires a representative of child protective services to promptly advise an individual of child maltreatment allegations made against him or her;
• provides for the training of child protective services workers regarding their legal duties (in order to protect the rights and safety of children and families);
• provides for improving the training, retention and supervision of caseworkers.

Data collection
and reporting

—To maximum extent feasible, provide (to HHS), an annual report including state data for the year that shows the time it took to (1) begin initial investigation of each case of reported child maltreatment; (2) to provide services to families where maltreatment is alleged; and (3) the number of

• children reported as maltreated;
• child maltreatment reports that are substantiated, unsubstantiated or found false;
• children who were the subject of a substantiated, unsubstantiated or false report who did and did not receive services under CAPTA (or a related state program), and those who were removed from their families (by case disposition);
• families that received preventive services;
• deaths in the state due to child maltreatment, and, of these deaths, those that were in foster care;
• child protective services workers responsible for intake and screening of reports filed;
• child protective services workers responsible for intake, assessment and investigation of child maltreatment reports relative to the number of reports investigated;
• children reunited with families or receiving family preservation services that (within 5 years) are subject of child maltreatment report (including those who die from this maltreatment);
• children who had a court-appointed representative and the average number of court contacts between the child and the representative;
• children under the care of the state child protection system who are transferred into the custody of the state juvenile justice system.

—Each year provide to HHS the annual report containing the summary of activities of citizen review panels.

—Provide notice to the HHS secretary of any substantive changes and any significant changes to how funds provided are being used;

—Submit an annual report describing how funds provided under CAPTA were used, alone or in combination with other federal funds, to improve child protective services systems.^e

Child
protections,
services and programs to be provided

—Maintain a state law or statewide program that

• provides for (1) reporting of known and suspected instances of child maltreatment; (2) immediate screening, risk and safety assessment and prompt investigation of such reports; (3) triage procedures for a child who is found not at risk of imminent harm to be referred to a community organization for voluntary preventive services, if appropriate; and (4) procedures for immediate steps to be taken to ensure the safety of a maltreated child(ren) (and any other child in same care who may be in danger of abuse or neglect) and for placement of child(ren) in a safe environment;
• requires health care providers involved in the delivery or care of an infant who is (born and) identified as affected by illegal substance abuse or withdrawal symptoms resulting from prenatal drug exposure to notify child protective services and that provides for the development of a plan of safe care for such an infant;^f
• preserves confidentiality of all records (to protect the rights of the child and the child's parents or guardians) by limiting access to those reports and records to individuals or entities (specified in the statute) who are the subject of the report, need the information to carry out their duty to protect children from maltreatment, or to carry out another legitimate state purpose;
• requires disclosure of confidential information to any federal, state, or local government agent (or their agents) that needs the information to carry out its legal responsibility to protect children from maltreatment;
• allows public disclosure of information about cases of child maltreatment that result in death or place the child in serious or critical condition (as certified by a physician);
• in each case of child maltreatment involving judicial proceedings, appoints a guardian ad litem and/or court-appointed special advocate, (who has received appropriate training to the task and ) who will represent the child and make recommendations concerning the best interests of the child;
• provides procedures to assure that the state does not require reunification of a child with a parent who has committed murder or voluntary manslaughter of another child of the parent; has aided, abetted, attempted, conspired or solicited to commit such a murder or manslaughter; or has committed a felony assault that results in serious bodily injury to the child or another child of the parent;^g
• assures that if parent is convicted of one of the listed felonies, this constitutes grounds for termination of parental rights (although state can continue to make case-by-case determinations of whether to terminate parental rights);
• provides procedures to expedite termination of parental rights in the case of an abandoned infant (as determined by state law).
• provides for referral of any child maltreatment victim under the age of 3 for early intervention services funded under part C of the Individuals with Disabilities Education Act;
• no later than June 25, 2006, requires criminal background checks for prospective foster and adoptive parents and other adult relatives and non-relatives residing in the household.

—Assure procedures are in place to respond to reports of medical neglect (including coordination and consultation by and with designated individuals within appropriate health care facilities; prompt notification by these individuals of cases of suspected medical neglect and authority to pursue any necessary legal remedy to prevent withholding of medical treatment from disabled infants with life-threatening conditions).

Kind of Plan Requirement

Children's Justice Act Grant
Requirements (CAPTA, Section 107)^a

Planning
services: administration, organizations
and
coordination

—Meet requirements to receive CAPTA's Basic State Grants. (See Table 1.)

—Have a multi-disciplinary task force on children's justice composed of professionals with experience relating to the criminal justice system and issues of child maltreatment that includes representatives of law enforcement, child protective service agencies and parents groups, as well as, judges and attorneys (involved in criminal and civil child maltreatment cases and including defenders and prosecutors), child advocates (including attorneys, and where applicable, court appointed special advocates), health and mental health professionals, individuals experienced in working with children with disabilities, and parents.

—Every 3 years the state task force (described above) must comprehensively review and evaluate state investigative, administrative, and civil and criminal judicial handling of child maltreatment cases—particularly those dealing with child sexual abuse and exploitation, suspected child maltreatment related fatalities and those potentially involving more than one jurisdiction (e.g., federal-state, state-tribal, or interstate).

—Based on the review (described above) the state task force must make recommendations intended to reduce additional trauma to the child victim and victim's family, and to ensure procedural fairness to the accused in all aspects of the state's handling of child maltreatment cases; suggest experimental, model and demonstration programs to test new approaches to promote prompt, fair and successful resolution of child maltreatment cases; and suggest reform of state laws, ordinances, regulations, protocols and procedures to protect children from abuse and ensure fairness to all affected persons.

—Adopt recommendations of the state task force (unless granted an exemption by the HHS secretary because the state has adopted an alternative plan to achieve the same purposes or is making substantial progress toward adopting task force recommendations or comparable alternative.)

Data collection
and reporting

—Meet requirements to receive CAPTA's Basic State Grants. (See Table 1.)

—Annually apply for grants giving information and assurances considered necessary by the HHS secretary.

—Make reports as HHS secretary may reasonably require and maintain and provide access to records relating to the grant.

—Annually submit to the HHS secretary a report on the way assistance received under this program was spent throughout the state.

Child
protections,
services and programs to be provided

—Meet requirements to receive CAPTA's Basic State Grants. (See Table 1.)

Kind of Plan Requirement^a

Community-Based Grants for the Prevention of
Child Abuse and Neglect ( CAPTA, Title II)^b

Planning
Services: administration, organization,
and
coordination

Section 202
Eligibility;

Section 205
Application

Section 206
Local Program Requirements

—Designate a public or private nonprofit lead entity to administer funds.^c

—Assure that the lead entity provides or is responsible for providing

• community-based and prevention-focused programs and activities designed to strengthen and support families to prevent child abuse and neglect (through networks where appropriate);
• direction through an interdisciplinary, collaborative and public-private structure that has balanced representation (including members of the private and public sector, parents, parents with disabilities, and service providers from the public and private nonprofit sectors);
• direction and oversight through identified goals and objectives, clear lines of communication and accountability, the provision of leveraged or combined funding from federal, state and private sources, centralized assessment and planning activities, training and technical assistance, and reporting and evaluation functions.

—Assure that the lead entity will integrate its efforts with individuals and organizations experienced in working in partnership with families with children with disabilities, parents with disabilities, and with the child maltreatment prevention activities of the state and will demonstrate a financial commitment to those activities.

—Assure that, with regard to the community-based and prevention-focused programs that are supported, the lead entity

• has a demonstrated commitment to parent participation in their development, operation, and oversight;
• has a demonstrated ability to work with state and community-based public agencies and private non-profits to develop a continuum of preventive, family-centered, comprehensive services for children and families;
• has the capacity to provide operational support (financial and programmatic) and training and technical assistance;

—Submit to HHS an application for this grant that includes

• a description of the designated lead entity;
• a description of how the funded programs and activities will operate and how family resource and support services will be integrated into a continuum of family-centered, holistic, preventive services for children and families;
• a description of the inventory of current community-based and prevention-focused programs and activities to prevent child abuse and neglect, and other family resources operating in the state, and a description of unmet needs;
• a budget verifying that the state will spend in non-federal dollars an amount equal to at least 20% of the federal dollars to support the development, operation, and expansion of these community-based and prevention focused program and activities designed to strengthen and support families to prevent child abuse and neglect;
• assurance that federal funds received will supplement, not supplant, other non-federal funds designated for the start-up, maintenance, expansion, and redesign of these programs and activities;
• assurance that the state has the capacity to ensure the meaningful involvement of parents;
• a description of the criteria that the lead entity will use to develop, or select and fund community-based and prevention focused programs and activities;
• a description of the outreach activities that the lead entity (and the programs and activities it supports) will undertake to maximize the participation of racial and ethnic minorities, children and adults with disabilities, homeless families and those at risk of homelessness, and members of other under-served or under-represented groups;
• a plan providing for operational support, training and technical assistance to community-based programs and activities to develop, operate, expand or enhance them;
• a description of how the activities of the state's lead entity and those of the network and its members (where appropriate) will be evaluated;
• a description of how the lead entity will advocate changes in state policies, practices, procedures and regulations to improve the delivery of community-based and prevention-focused programs and activities;

—In awarding local grants, the lead entity must give priority to effective community-based programs serving low income communities and those serving young parents or parents with young children. Local programs that receive grant money under this program are required to

• assess community assets and needs through a planning process that involves parents and local public agencies, local nonprofit organizations and private sector representatives
• develop a strategy to provide, through public-private partnerships, a continuum of preventive, family-centered services to children and families (especially to young parents and parents with young children);
• develop leadership roles for the meaningful involvement of parents in the development, operation, evaluation, and oversight of the programs and services;
• provide leadership in mobilizing local public and private resources to support the provision of needed family resource and support program services;
• participate with other community-based and prevention-focused programs and activities designed to strengthen and support families and to prevent child abuse and neglect in the development, operation and expansion of networks where appropriate.

Data collection
and reporting

Section 205(12) Application

Section 207
Performance
Measures

—Supply reports to HHS at the time and including information requested, and make reports to the HHS secretary that must

• demonstrate the effective development, operation, and expansion of a community-based and prevention-focused, programs and activities that meet the requirements of this title;
• supply an inventory and description of the services provided to families by local programs that meet identified community needs (including the statutorily defined "core" and "optional" services);
• demonstrate that they will have addressed unmet needs identified by the required inventory and description of current services;
• describe the number of families served (including families with children with disabilities and parents with disabilities);
• describe the involvement of families representing diverse groups in the design, operation, and evaluation of the statewide network of family resource and support programs, and in the design, operation and evaluation of community-based and prevention-focused programs and activities that strengthen and support families to prevent child abuse and neglect;
• demonstrate a high level of satisfaction among families who have used the supported services;
• demonstrate the use of innovative funding mechanisms, at the state or community level, that blend federal, state, local and private funds
• demonstrate the use of innovative and interdisciplinary service delivery mechanisms for the development, operation, expansion and enhancement of community-based and prevention-focused programs and activities designed to strengthen and support families to prevent child abuse and neglect;
• describe the results of a peer review process conducted under the state program;
• demonstrate an implementation plan to ensure the continued leadership of parents in the ongoing planning, implementation, and evaluation of community-based and prevention-focused programs and activities

Child
protections,
services, and programs to be provided

Section 206(a)(3)
Local Program Requirements

—Local programs that receive grant money under this program are to provide core family resource and support services such as

• parent education, mutual support, self help and leadership services;
• outreach services;
• community and social service referrals;
• follow-up services;
• voluntary home visiting;
• all forms of respite care (to the extent practicable).

—Local programs that receive grant money under this program must also use funds to provide access to optional services (directly or by contracts, purchase of service or interagency agreement). Optional services include

• child care, early childhood development and intervention services;
• self sufficiency and life management skills training;
• peer counseling

and referrals to

• counseling for adoption services (for individuals interested in adopting a child or relinquishing their child for adoption);
• services and supports to meet the additional needs of families with disabled children or children with special needs;
• services providing job readiness skills;
• education services (such as tutoring, literacy training, and GED programs);
• early developmental screening of children.

Kind of Plan Requirement

Child Welfare Services Requirements (Section 422)^a

Planning
services: administration, organization,
and
coordination

—Provide that the individual or agency that administers or supervises the state Social Services Block Grant (Title XX) will also administer child welfare services (limited exceptions based on structure of state social services as of December 4, 1974).^b

—Make a single state or local agency responsible for the services.^b

—Coordinate services offered to children under this plan with services and aid provided under the Social Services Block Grant (SSBG, Title XX), Temporary Assistance to Needy Families (TANF, Title IV-A), Promoting Safe and Stable Families (PSSF, Title IV-B, Subpart 2), foster care maintenance and adoption assistance, foster care independence (Title IV-E) and other related state programs.^c

—Describe the services and activities the state will fund under this program and how those services and activities will achieve its purposes.

—Describe steps taken to provide child welfare services statewide, and to expand and strengthen existing services, and develop and implement services to improve child outcomes.

—Describe child welfare staff development and training plans.

—Use facilities and experience of voluntary agencies to develop services for children.

—Describe activities undertaken, including provision of adoption and post-adoption services, for children adopted from other countries.

—After consulting with tribal organizations in the state, describe specific measures taken to comply with the Indian Child Welfare Act.

—Not later than the October 1, 2007, assure that no more than 10% of funds used for this program are spent for administrative purposes.^d

—Describe how the state consults with and involves physicians (or other medical professionals) in assessing the health and well-being of children in foster care and in determining appropriate medical treatment for them.

—Not later than September 29, 2007, have in place procedures for how state child welfare programs (including this program, the Promoting Safe and Stable Families program, and the Foster Care, Adoption Assistance and the Chafee Foster Care Independence programs) will respond to a disaster. The procedures are to be in accordance with criteria established by HHS and those criteria should include how a state would (1) identify, locate and continue services for children under the care or supervision of the state and who are displaced or adversely affected by a disaster; (2) respond appropriately to new child welfare cases in areas adversely affected by a disaster and provide services in those cases; (3) remain in communication with caseworkers and other essential child welfare personnel displaced because of a disaster; (4) preserve essential program records; and (5) coordinate services and share information with other states.

Data collection
and reporting

—Collect and report information on children adopted from other countries who later enter into state custody because of disruption or dissolution of the adoption placement, including the number of children, the agencies who handled the placement or adoption, plans for the child, and reasons for disruption or dissolution.

—Furnish reports, containing information requested and participate in evaluations as required by the HHS secretary.

Policies and procedures to
ensure
placement
options

—Contain assurances that the state will use cross-jurisdictional resources (including through contracts for the purchase of services) and will eliminate legal barriers to allow timely adoptive or permanent placements for waiting children.

—Provide for "diligent recruitment" of foster and adoptive families that reflect racial and ethnic diversity of children in the state who need foster or adoptive homes.

—Have in effect policies and administrative and judicial procedures for children who are abandoned at or soon after birth (including policies and procedures providing for legal representation) that allow swift decisions about permanent placement of abandoned infants.

Child
protections,
services and programs to be provided

—Operate a case review system for each child receiving state-supervised foster care (to satisfaction of HHS secretary).

—Operate a service program (to satisfaction of HHS secretary) to help children return to their families (if safe and appropriate) or be placed for adoption (or legal guardianship) or, if these options aren't appropriate, in another planned permanent living arrangement, which may include a residential education program.

—Operate pre-placement preventive services (to satisfaction of HHS secretary) designed to help children at risk of foster care placement remain safely with their families.

—Operate a statewide information system (to satisfaction of HHS secretary) that allows easy determination of status, demographic characteristics, location, and goals for the placement of every child who is (or was during last 12 months) in state-supervised foster care.

—No later than October 1, 2007, describe state standards for content and frequency of caseworker visits to children in foster care, which at a minimum ensure that each child is visited on a monthly basis and that the visits are well-planned and focus on case planning and service delivery to ensure the safety, permanence, and well-being of the children.

Kind of Plan Requirement

Promoting Safe and Stable Families Requirements
(Section 432)^a

Planning
services:
administration,
organization,
and
coordination

—Provide that the state agency responsible for administering Child Welfare Services (Title IV-B, Subpart 1) will be responsible for administering this program.

—To extent feasible, coordinate services provided under this plan with services or benefits offered to same populations under other federal or federally assisted programs.^b

—Provide for administrative methods, as HHS secretary finds necessary, that allow proper and efficient operation of the plan.

—Assure that these funds will not supplant federal or non-federal funds for existing services and activities that promote the same purposes as this program.

—Spend no more than 10% of program funds on administrative costs.^c

—In designing program, consult with appropriate public and nonprofit private agencies and community-based organizations with experience in administering service programs for children and families.

—Set forth goals to be accomplished by end of plan's fifth fiscal year.

—Update goals periodically to set goals to be accomplished by the end of each succeeding fifth fiscal year and indicate methods used to measure progress toward accomplishing goals.

—Conduct interim review of progress toward meeting goals at the end of each of the first 4 fiscal years covered by a set of goals and, if necessary, revise goals to reflect changed circumstances.

—At end of the last fiscal year covered by a 5-year plan, review progress and develop, in consultation with appropriate public and nonprofit private agencies and community-based organizations, a statement of goals intended to be accomplished by the end of the fifth succeeding fiscal year.

Data collection
and reporting

—Annually describe for each of the four service areas the: number of service programs to be available in next fiscal year, populations to be served, and geographic areas where services will be available. The annual services report must be sent to HHS before the fiscal year begins and no later than June 30 (e.g. FY2008 report must be submitted by June 30, 2007). The report must be made available to the public.

—No later than June 30 of each year (beginning with June 30, 2007), send to HHS a completed summary form (the CFS 101, parts 1 and 2, or any successor form) that shows, for the upcoming fiscal year, planned child and family services expenditures by the child welfare agency.

—No later than June 30 of each year (beginning with June 30, 2007), for the most recent preceding year in which actual expenditures are complete, send to HHS a completed summary form (the CFS 101, parts 1 and 2, or any successor form) that shows for that year the state agency's actual expenditures under the Child Welfare Services and Promoting Safe and Stable Families programs (and other programs at state option) and that also reports the number of children and families and the geographic areas served by the state agencies.

—At the end of the last fiscal year of a 5-year plan make a final review of progress toward achieving goals and prepare a report to be sent to HHS (and also made available to the public).

—When and as the HHS secretary requires, furnish reports which demonstrate that these funds are not be used to supplant other federal or non-federal funding for existing services and activities that promote the same purposes as this program.

—As may be required by the HHS secretary, furnish reports with requested information and participate in evaluations.

Child
protections,
services and programs to be provided

—Spend at least 90% of program funds on services and dedicate a "significant" portion of this money to each of the program service areas (i.e., family preservation, family support, time-limited reunification and adoption promotion and support.) Note: HHS policy elsewhere defines "significant" as no less than 20%.

—Assure that safety of children served is the paramount concern in administering and conducting services under this program.

Kind of Plan Requirement

Foster Care and Adoption Assistance
Requirements (Section 471)^a

Planning
services:
administration, organization,
and
coordination

—Provide that the agency responsible for administering (or supervising administration of) foster care maintenance payments and adoption assistance is the same agency responsible for administering Child Welfare Services (Title IV-B, Subpart 1).

—Make this program plan effective in all political subdivisions of the state and, if administered by them, mandatory for them.

—Coordinate local foster care and adoption programs aided under Title IV-E with state and local programs aided under TANF (Title IV-A), Child Welfare Services and Promoting Safe and Stable Families (Title IV-B), the Social Services Block Grant (Title XX), and under any other appropriate provision of federal law.

—Establish and maintain personnel standards on a merit basis, as determined necessary by HHS secretary for efficient and proper operation of the program. (However, HHS secretary does not have authority over selection, tenure or compensation of any employee.)

—Where appropriate, take steps to receive any child support payment made on behalf of each child receiving foster care maintenance payments under Title IV-E. (This includes cooperating with state agencies administering TANF (Title IV-A) and Child Support Enforcement (Title IV-D)).

—Have in effect procedures to verify the citizenship or immigration status of any child in foster care (whether or not the child is receiving assistance under Title IV-E).

—Provide a fair hearing before state agency for any individual whose benefits claim is denied or not acted on with reasonable promptness.

Data collection
and reporting

—Make reports containing the information and in the form that the HHS secretary requires and comply with efforts to assure correctness of the reports.^b

—Monitor and do periodic evaluations of activities carried out under Title IV-E.

—At least every 3 years, arrange independent audits of the programs assisted under Title IV-B and Title IV-E.

Policies and
procedures to
ensure
placement
options

—Designate state or other authority(ies) to establish and maintain standards for foster family homes and child care institutions. The standards must (1) be reasonably in accord with recommended standards of appropriate national organizations; (2) include standards related to admission policies, safety, sanitation, and protection of civil rights; and (3) be applied by the state to any foster family home or child care institution receiving funds under Title IV-B or Title IV-E.

—Periodically review standards for foster care family homes and child care institutions to ensure they are still appropriate.

—Periodically review amounts paid for foster care maintenance or adoption assistance to ensure they are still appropriate.

—Provide that any state or other agency that receives federal funds and is involved in adoption or foster care placements may not use the race, color or national origin of the adult or child involved as a basis to (1) deny any person the opportunity to become an adoptive parent; or (2) delay or deny the placement of a child for adoption or into foster care.

—Consider giving preference to an adult relative over a non-related caregiver when determining placement for a child, if the relative caregiver meets all relevant state child protection standards.

—May not deny or delay child's adoption placement when an approved family is available outside of the jurisdiction responsible for handling the placement. And must grant fair hearing to individual who alleges the state, in violation of this requirement, denied or did not act promptly on a placement.

—Have procedures for the orderly and timely interstate placement of children that provide that no later than 60 days after receipt from another state of a request to conduct a home study to assess the safety and suitability of a child's placement in the home, the state will conduct and complete the study and send a report to the requesting state addressing the extent to which placement in the home would meet the child's needs. (Completion of any required training program by prospective foster or adoptive parent does not need to be completed within the 60 day time frame and for a limited time—any study begun no later than September 30, 2008—the state may have up to 75 days to complete the home study if it can document certain circumstances beyond its control that delayed completion of the study.) A state that requests such a home study must respond to the report content within 14 days of receiving the report. States are not permitted to impose any restriction on the ability of the state child welfare agency to contract with a private agency to conduct such home studies.

Child
protections,
services and
programs to be
provided

Note: "Reasonable
efforts" are
described in this section. See also Table 8.

—Provide foster care maintenance payments and adoption assistance (in accordance with Sections 472 and 473, respectively).

—Develop a case plan for each child receiving foster care maintenance payments under the state plan and have a case review system in place for each such child.

—Limit use or disclosure of information concerning individuals assisted under this plan to certain specified purposes. (See Section 471(a)(8).)

—Except in specified circumstances, make reasonable efforts, to prevent need for a child's removal from home or to make it possible for a child to safely return home.

—In determining reasonable efforts needed to preserve or reunify a family, make child's health and safety of paramount concern.

—Reasonable efforts to place a child for adoption or with a legal guardian may be made at the same time as reasonable efforts to reunify or preserve family.

—If continuing family preservation or reunification efforts is inconsistent with child's permanency plan, then reasonable efforts must be made to place the child in a timely manner and to finalize permanent placement of the child.

—Reasonable efforts to preserve or reunite a family are not required if a court has involuntarily terminated the parental rights of the child's parent to a sibling of the child or determined that the child's parent has (1) subjected the child to aggravated circumstances, (which may include abandonment, torture, chronic abuse, sexual abuse, or other circumstances as defined in state law); (2) committed murder or voluntary manslaughter of another child of the parent; (3) aided, abetted, attempted, conspired or solicited to commit such a murder or voluntary manslaughter; or (4) committed a felony assault that results in serious bodily injury to the child or another child of the parent.

—Court must separately determine that reasonable efforts to reunify or preserve a family are not required. If this determination is made, then a permanency hearing must be held within 30 days and reasonable efforts shall be made to place the child in a timely manner and to finalize a permanent placement.

—Establish specific goals for each fiscal year regarding the maximum number of children who at any time during that year will be in their 25^th month (or greater) of foster care and describe steps that will be taken to achieve this goal.

—Report (and provide any information on situation it may have) known or suspected instances of physical or mental injury, sexual abuse or exploitation, or negligent treatment or maltreatment of a child who is receiving aid under Title IV-B or Title IV-E. Make report to an appropriate agency or official.

—Before final approval for placement of any foster child conduct criminal records checks of prospective foster and adoptive parents, including finger-print based checks of national crime information databases (FBI checks). If criminal record check reveals a felony conviction of the prospective foster or adoptive parent for child abuse or neglect, abuse of spouse, a crime against children (including child pornography), or for a crime involving violence (including rape, sexual assault, or homicide but not including other physical assault or battery), or if it shows a felony conviction for physical assault, battery, or a drug-related offense that was committed with the past 5 years, then the state may not approve the prospective foster or adoptive parent's home for the placement of a foster child on whose behalf the state intends to claim federal reimbursement under Title IV-E . These provisions are applicable to all states, except that any state which chose (via letter to HHS or state legislation) to exempt itself from federal criminal record check requirements before October 1, 2005, may continue to opt out of these requirements until October 1, 2008 (when the opt out provision is fully eliminated).

—Before final approval for placement of any foster child, check any child abuse and neglect registry maintained by the state for information on prospective foster and adoptive parents (as well as any adult living in the home of such a prospective parent) and request any other state where prospective foster or adoptive parent (or co-residing adult) has lived in the past 5 years to check that child abuse and neglect registry as well. Comply with other states' requests to see child abuse and neglect registry information and have in place safeguards to prevent unauthorized disclosure of child abuse and neglect registry information and to prevent use of information disclosed under this plan requirement for a purpose other than conducting background checks related to foster or adoptive placements. (Effective October 1, 2006.)

—Develop and implement standards to ensure children in foster care placements with public or private agencies receive quality services that protect safety and health of children.

—Adequately prepare the prospective foster care parents with appropriate knowledge and skills to meet child's needs before a child is placed in state-supervised foster care. (Preparation will continue, as necessary, after placement of the child.)

—Provide health insurance coverage for any child with special medical assistance needs who can not be placed for adoption without this health benefit and who is the subject of a non-Title IV-E adoption assistance agreement between state and adoptive parents. (The coverage may be Medicaid or comparable state medical assistance plan and in determining cost-sharing state should consider circumstances of adopting parent(s) and needs of child.)

Kind of Plan Requirement

Foster Care Independence Program Requirements
(Section 477 (b))^a

Planning
services: administration, organization,
and
coordination^b

—Specify which state agency or agencies will administer, supervise, or oversee the programs of this plan.

—Describe how state will design and deliver programs to achieve the purposes of the foster care independence program.

—Ensure that all political subdivisions of the state are served by the program (though not necessarily in a uniform manner).

—Ensure involvement of public and private sectors in helping adolescents in foster care to achieve independence and consult widely with public and private organizations in developing the CFCIP plan.^b

—Give all interested members of the public at least 30 days to submit comments on the CFCIP plan.

—Make every effort to coordinate CFCIP services with other federal and state programs for disabled youth (especially sheltered workshops) and for youth (especially transitional living youth projects funded under the Runaway and Homeless Youth Act), abstinence education, and local housing and school-to work services (offered by high schools or local workforce agencies).

—Consult with Indian tribes in the state about programs to be carried out under plan and make effort to coordinate programs with these tribes.

—Establish and enforce standards and procedures to prevent fraud and abuse in programs carried out under the plan.

—Ensure that no federally allotted money for this program may be spent on room or board costs for child who is not yet 18 years of age and no more than 30% of the allotment may be spent for room or board of children who left foster care at age 18 but are not yet age 21.

—Ensure that state has an Education and Training Voucher Program that complies with conditions in Section 477(i).^d

—Describe methods used to ensure that educational assistance offered doesn't exceed maximum allowed and that benefits offered do not duplicate those granted by other federal of federally assisted programs.

Data collection
and reporting

—Cooperate in national evaluations of the effects of the programs in achieving the purposes of the federal independent living services.^d

Child
protections,
services and programs to be provided

—Design and conduct program to ensure that participants recognize and accept their personal responsibility for preparing for and then making the transition from adolescence to adulthood and that meets other defined purposes, including

• identifying children who are likely to remain in foster care until 18 years of age and for those children and youth, offer services related to educational and vocational attainment (including gaining a highschool diploma, preparing for and entering post-secondary schools, career exploration and job placement and retention); life skills (including budgeting and financial management); and substance abuse prevention and health activities (e.g., smoking avoidance, nutrition education and pregnancy prevention);
• offering, for children who are aging out of foster care, mentoring services (to provide personal and emotional support and promote interactions with dedicated adults);
• making available, for children who have aged out of foster care (generally between ages 18-21) vouchers for education and training, including postsecondary training and education; and appropriate support and services including those related to finances, housing, counseling, employment, education.

—Ensure that programs serve children of various ages and at various stages of independence and that assistance and services are offered to children who age out of foster care and who are not yet 21 years of age.

—Make benefits and services available to Indian children in the state on the same basis as to other children in the state.

—Use objective criteria for determining eligibility for benefits and services under the programs, and to ensure fair and equitable treatment of benefit recipients.

—Ensure that adolescents served by this program participate directly in designing their own activities that prepare them for independent living and that they accept personal responsibility for living up to their part of the program.

—Use federal training funds paid under federal foster care and adoption assistance to help foster parents, adoptive parents, workers in group homes, and case managers understand and address the issues confronting adolescents preparing for independent living, and coordinate this training with the independent living program (to extent possible).

Term

Statutory definition or description^a

Reasonable
efforts

Note: This is a description of reasonable
efforts as it is
included in the
Title IV-E foster
care and adoption
assistance plan requirements.
There is no formal definition oZf the term given
in the statute.
The description
is included
separately for
convenient
reference.

—Before a child can be placed in foster care reasonable efforts must be made to prevent or eliminate the need for removing the child from the home; after a child is removed reasonable efforts must be made to make it possible for a child to return home safely.

—In determining reasonable efforts, the paramount concern is child's health and safety.

—If reasonable efforts to preserve or reunite a family are found inconsistent with a child's permanency plan, reasonable efforts must be made to complete the steps necessary to make a timely placement of the child (including, if appropriate, through an interstate placement) and to finalize a permanent placement for the child.

—Reasonable efforts to place a child for adoption or with a legal guardian, including identifying appropriate in-State and out-of-State placements, may be made concurrently with reasonable efforts to preserve or reunify the family.

—Reasonable efforts to preserve or reunify the family are not required if court has found the parent of a child has (1) subjected the child to aggravated circumstances, which may include abandonment, torture, chronic abuse, and sexual abuse, as defined by state law; (2) had his or her rights to be the parent of a sibling of the child involuntarily terminated; (3) has committed murder or voluntary manslaughter of another child of his or her own; (4) has aided, abetted, attempted or conspired to commit such a murder or voluntary manslaughter; or (5) has committed a felony assault that results in serious bodily injury to the child or another child of the parent.

—If court determines that reasonable efforts to preserve or reunify a family are not required (based on earlier court finding of parental wrongdoing as described above), a permanency hearing must be held within 30 days and reasonable efforts must be made to complete steps necessary to place the child in a timely manner and to finalize a permanent placement. This permanency hearing must consider in-state and out-of-state placement options for the child.)

Case plan

Section 475(1)
and
see also Section
475 (5)(A)

A written document that includes, at least, the following:

—Description of type of home or institution where child is placed. (Must include discussion of safety and appropriateness of the placement and how the agency responsible for the child plans to carry out the voluntary placement agreement or judicial determination to remove child from home, including making reasonable efforts on the child's behalf.)^b

—Plan to assure child receives safe and proper care.

—Plan to assure that services are provided to the parents, child, and foster parents to (1) improve conditions in the parents' home; (2) facilitate return of child to his own safe home or the permanent placement of the child; and (3) address the needs of the child while in foster care, including a discussion of appropriateness of services that have been provided to the child under the plan.

—Health and education records of the child. (Including the most recent information available regarding (1) names and addresses of child's health and educational providers; (2) child's grade level performance and school record; (3) assurance that child's foster care placement takes into account location of school child is enrolled in at the time of placement; (4) record of child's immunizations, known medical problems, and medications; and (5) any other relevant health and education information about the child determined to be appropriate by the state agency.)^c

—If child is age 16 or over (where appropriate), a written description of the programs and services that will help him/her prepare for transition from foster care to independent living.

—If child's permanency plan is adoption or placement in another permanent home: documentation of steps agency is taking to (1) find an adoptive family or other permanent living arrangement; (2) place the child with an adoptive family, a fit and willing relative, a legal guardian, or in another planned permanent living arrangement; and (3) finalize the adoption or legal guardianship. At a minimum documentation must include child specific recruitment efforts (e.g., use of state, regional, and national adoption exchanges, including electronic exchange systems) to facilitate orderly and timely in-state and interstate placements.

—If a child is placed in a foster family or child care institution a substantial distance from his/her parents (or in another state than his/her home state), must give reasons why this placement is in the best interest of the child.

—If child is placed in foster care out-of-state, at least once every 6 months a caseworker must visit the child in this placement and submit a report of the visit to the state agency where the child's parent's live. The caseworker may be employed by the agency of the state where the parent's reside, the agency of the state where the child now resides or be employed by a private agency under contract with either state agency.

Case review
system

Section 475 (5)

Procedure for assuring that

—Each child has a case plan designed to achieve placement in a safe setting. The setting must be the least restrictive (most family-like), most appropriate setting available, and in close proximity to the parents' home (consistent with best interest and special needs of child). (See additional case plan requirements in definition above).

—Status of child is reviewed at least every 6 months by either a court or by administrative review to determine (1) safety of child; (2) continued need or appropriateness of placement; (3) extent of compliance with the case plan; (4) extent of progress made toward alleviating or mitigating the causes that made foster care placement necessary; and (5) to project a likely date by which the child may be safely returned home or placed for adoption or legal guardianship.

—Each child in state-supervised foster care receives a permanency hearing, no later than 12 months after date child enters foster care, to determine the child's permanency plan. After this initial hearing, a permanency hearing must be held at least once every 12 months for as long as the child remains in foster care. (See further description of permanency plan and permanency hearing below.)

—Parental rights, pertaining to (1) removal of child from home of his/her parents; (2) a change in the child's placement; and (3) any determination affecting parents' visiting privileges, are safeguarded.

—Child's health and education record is reviewed, updated and a copy of the record is supplied to the foster parent or care provider at the time (and each time) child is placed and is supplied to the child (at no cost) at the time he/she leaves foster care because of reaching the state age of majority ("ages out").

—Unless certain exceptions apply (see description below), if child has been in state-supervised foster care for 15 of the past 22 months the state must file a petition to terminate parental rights of child's parents (or seek to join any already filed petition) and, at the same time, to identify, recruit, process, and approve a qualified family for adoption.

—Unless certain exceptions apply (see description below), if a court of competent jurisdiction has determined a child to be an abandoned infant or has determined that the parent has (1) committed murder or voluntary manslaughter of another child of the parent, (2) aided, abetted, conspired, attempted, or solicited to commit such a murder or voluntary manslaughter; or (3) committed a felony assault that resulted in serious bodily injury to the child or to another child of the parent, the state must file a petition to terminate parental rights of child's parents and, at the same time, to identify, recruit, process, and approve a qualified family for adoption.

—A child's foster parents, any pre-adoptive parent, or a relative care-giver, receive notice of and a right to be heard in any review or proceeding held with respect to the child. However, state is not required to allow this person(s) to be made a party to such a review or proceeding.^d

Exceptions to
mandated filing
for termination
of parental rights

Described within
definition of case
review system.
See Section
475(5)(E)(i-iii).

—Child is being cared for by relative (state option).

—State agency has documented in the child's case plan, which is available for court review, a compelling reason that filing for termination of parental rights would not be in child's best interest.

—State has not provided the family of the child, timely services, consistent with case plan, that the state deems necessary for safe return of child to child's home. (This exception applies only if reasonable efforts to reunite the family are required.)

Permanency
plan

Described within
definition of case
review system. See Section 475 (5)(C)

Includes whether and, if applicable when, child will be (1) returned to the parent; (2) placed for adoption and the state will petition for termination of parental rights; (3) referred for legal guardianship; or (4) placed in another planned permanent living arrangement."

(The last option may only be used as a permanency plan when the state child welfare agency has documented to the court a compelling reason that it would not be in the best interest of the child to pursue one of the other three permanency options or for the child to be placed with a "fit and willing relative.")

Permanency
hearing

Described within
definition of case
review system.
See Section
475(5)(C)

—Must occur no less frequently than ever 12 months (during the time a child is in foster care) (see definition of case review system above).

—Are to be held in family, juvenile, tribal or another court of competent jurisdiction or by administrative body appointed by the court.

—Must determine the permanency plan for the child. (See description above.)

—If permanency plan indicates a child will not be returned to his/her parents, must consider in-state and out-of-state placement options.

—If child is placed in foster care outside the state where his/her parents live, must determine if this out-of-state placement continues to be appropriate and in the child's best interest.

—If child is age 16 or older, must determine services needed to assist child to make transition from foster care to independent living.

—Procedural safeguards must be applied to ensure that the court or administrative body conducting the hearing consults, in an age-appropriate manner, with the child regarding the proposed permanency or transition plan for the child.

Date child enters
foster care

Described within
definition of case review system.
See Section 475(5)(F)

—Whichever is earlier: (1) date of first judicial finding that the child had been subjected to maltreatment; or (2) 60 days after date the child is removed from the home.

Administrative review

Section 475 (6)

—Open to the participation of the parents of the child and conducted by a panel of appropriate persons (at least one of whom is not responsible for the case management of, or the delivery of services to either the child or the parents who are the subject of the review).

Foster care maintenance payment

Section 475(4)

—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, payment must include the reasonable costs of administration and operation of the institution that are necessary to provide the items listed.

—If a foster care maintenance payment is being made on behalf of a child who is also a parent and the parent and child are living in the same home or institution, the payment must cover costs (for the listed items) for both children.

Adoption assistance agreement

Section 475(3)

—A written and binding agreement between the state agency, other relevant agencies and the prospective adoptive parents of a minor child.

—Must specify the nature and amount of any payments, services and assistance to be provided under the agreement.

—Must stipulate that the agreement remains in effect regardless of the state where the adoptive parents are living at a given time.

—Must make provisions for the protection (under an interstate compact approved by the HHS secretary or otherwise) of the interests of the child in cases where the adoptive parents and child move to another state while the agreement is effective.

Parents

(Section 475 (2)

—Biological or adoptive parents or legal guardians, as determined by applicable state law.

Legal guardianship

Section 475(7)

—Judicially created relationship between child and caretaker that is intended to be permanent and self-sustaining as evidenced by the transfer to the caretaker of the following parental rights with respect to the child: (1) protection; (2) education; (3) care and control of the person; (4) custody of the person; and (5) decision making.

Legal guardian

Section 475(7)

—The caretaker in a legal guardianship.