Finding Text
Reference Number: 2024-003 Federal Program Title: Adoption Assistance Federal Assistance Listing Number: 93.659 Federal Agency: U.S. Department of Health and Human Services Pass-Through Entity: California Department of Social Services Federal Award Number and Year: N/A Name of County Department: Health and Human Services Category of Finding: Eligibility Material Noncompliance and Material Weakness Criteria 42 USC 671 (A) Requisite features of a State plan • (20)(A) unless an election provided for in subparagraph (B) is made with respect to the State, provides procedures for criminal records checks for any prospective foster or adoptive parent before the foster or adoptive parent may be finally approved for placement of a child on whose behalf foster care maintenance payments or adoption assistance payments are to be made under the State plan under this part, including procedures requiring that- • (i) in any case in which a record check reveals a felony conviction for child abuse or neglect, for spousal abuse, for 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, if a State finds that a court of competent jurisdiction has determined that the felony was committed at any time, such final approval shall not be granted; and • (ii) in any case in which a record check reveals a felony conviction for physical assault, battery, or a drug-related offense, if a State finds that a court of competent jurisdiction has determined that the felony was committed within the past 5 years, such final approval shall not be granted; Condition During our audit of the Adoption Assistance program, we noted that the County was not maintaining documentation of the required background check performed on the adopting party within the case records. In 21 of 25 sampled case files, documentation for the required background check was not present in the case file. Cause Due to staffing limitations, the County has contracted adoption case management services to a vendor, which would then provide the County with a final case record for retention. Those case records did not include documentary evidence that the background check of the adopting party was performed. The County was unaware that the case records were required to maintain evidence of the background check and did not verify that the case records provided by the vendor were complete. Effect Failure to maintain complete and accurate case files may result in assistance payments made to the individuals to be considered unallowable. Questioned Costs Total assistance payments for the individuals whose case records were identified as missing background check documentation was $914,420 for FY23-24. Context Total adoption assistance payments for FY23-24 were $2,297,776. The sample was not a statistically valid sample. Recommendation We recommend the County research the program requirements for record retention and ensure policies and procedures are updated so that case records are maintained are in compliance for all individuals receiving adoption assistance payments, possibly including a checklist for case workers to ensure all required documents are within a case record files during finalization.