Finding 34682 (2022-003)

FINDING # 2022-003 ELIGIBILITY FOR INDIVIDUALS ? SIGNIFICANT DEFICIENCY ADOPTION ASSISTANCE TITLE IV-E (ALN 93.659) STATE AGENCY: NEW YORK STATE OFFICE OF TEMPORARY AND DISABILITY ASSISTANCE IDENTIFICATION NUMBER(S): 18000 FEDERAL AGENCY: U.S. DEPARTMENT OF HEALTH AND HUMAN SERVICES COUNTY AGENCY: DEPARTMENT OF SOCIAL SERVICES 1. CRITERIA Eligibility for Individuals?Adoption assistance subsidy payments may be paid on behalf of a child only if all of the following requirements are met: Adoption agreements entered into prior to the beginning of Fiscal Year (FY) 2010, or agreements entered into during FY 2010 or thereafter for a ?non-applicable child?: The child is categorically eligible if: (i) the child was eligible, or would have been eligible, for the former Aid to Families with Dependent Children (AFDC) program (i.e., met the State established standard of need as of July 16, 1996, prior to enactment of the Personal Responsibility and Work Opportunity Reconciliation Act (PRWORA) (tribes must use the Title IV-A State plan in effect as of July 16, 1996 of the State in which the child resided at the time of removal in determining the child?s AFDC eligibility (42 USC 679c(c)(1)(C)(ii)(II))) except for his/her removal from the home of a relative pursuant to either a voluntary placement agreement or as a result of a judicial determination to the effect that continuation in the home of removal would have been contrary to the welfare of the child; or (ii) the child is eligible for Supplemental Security Income (SSI); or (iii) the child is a child whose costs in a foster family home or childcare institution are covered by the foster care maintenance payments being made with respect to his/her minor parent (42 USC 673(a)(2)(A)(i)(I)). Adoption agreements entered into during FY 2010 or thereafter for an ?applicable child?: The child is categorically eligible if the child: ? meets the disability or medical requirements of the SSI program; or ? does not fit within the following prohibited class for the payment of an adoption assistance payment (including payments of non-recurring expenses under 42 USC 673(a)(1)(B)(i)), i.e., an ?applicable child? who is not a citizen or resident of the U.S. and was either adopted outside the U.S. or brought to the U.S. for the purpose of being adopted (42 USC 673(a)(7) as added by Pub. L. No. 110-351). The following additional eligibility provisions must be met in addition to the establishment of categorical eligibility: The prospective adoptive parent(s) must satisfactorily have met a criminal records check, including a fingerprint-based check (42 USC 671(a)(20)(A)). This involves a determination that such individual(s) have not committed any prohibited felonies in accordance with 42 USC 671(a)(20)(A)(i) and (ii). The requirement for a fingerprint-based check took effect on October 1, 2006, unless prior to September 30, 2005 the State has elected to opt out of the criminal records check requirement or State legislation was required to implement the fingerprint-based check, in which case a delayed implementation is permitted until the first quarter of the State?s regular legislative session following the close of the first regular session beginning after October 1, 2006. The requirement applies to adoption assistance payments for calendar quarters beginning on or after the State?s effective date for, implementation (Pub. L. No. 109- 248, Section 152(c)(1) and (3)). States that opted out of the criminal records check requirement at Section 471(a)(20) of the Social Security Act prior to September 30, 2005 had until October 1, 2008 to implement the fingerprint-based check requirement. Effective October 1, 2008, a State is no longer permitted to opt out of the fingerprint-based check requirement. The opt-out provision does not impact tribes since they only became eligible to administer a Title IV-E plan on October 1, 2009. The statutory provisions apply to all prospective adoptive parents who are newly approved after the Title IV-E agency?s authorized date for implementation of the fingerprint-based background check provisions. Title IV-E agencies may also require that certain other adult individuals living in the adoptive home be subject to a criminal records check. The completion or lack of completion of criminal records checks for persons other than prospective adoptive parents does not, however, impact Title IV-E eligibility (42 USC 671(a)(20)(B); Pub. L. No. 109-248, Section 152(c)(2); 45 CFR sections 1356.30(b) and (c); and the Child Welfare Policy Manual section 8.4F Q/A#4). 2. CONDITION/PERSPECTIVE New York State has enacted legislation which allows payments to be made for the care and maintenance of children when they are adopted. Suffolk County Department of Social Services (the ?Department?) provides a monthly adoption subsidy payment mandated by law for the care, maintenance, and/or medical needs of a child who fits the definition of handicapped or hard-to-place as defined by New York State law and regulations. Subsidy payments are available to all eligible children until the age of 21 regardless of the adoptive parent?s income. These payments are discontinued only when it is determined by a social service official that the adoptive parent(s) is no longer legally responsible for the support of the child or that the child is no longer receiving any support from the parent(s). Of the sixty (60) files selected for testing: ? Five (5) case file did not include the Home Studies narrative; and one (1) case file did not include the Criminal check form. Therefore, we were not able to determine if the eligible participants met all the eligibility criteria. 3. CAUSE The Department did not ensure that all required eligibility forms were obtained and filed timely. 4. EFFECT The grantor agency may disallow the claims and reimbursements for the recipients. County claims could be made on behalf of ineligible recipients. 5. REPEAT FINDING A similar finding was included in the prior year single audit report as item 2021-001. 6. RECOMMENDATION We recommend the Department strengthen its monitoring controls over the adoption assistance case files to ensure the timely and accurate determination of eligibility. 7. QUESTIONED COST Cannot be determined. 8. VIEWS OF RESPONSIBLE OFFICIAL With regards to the Criminal check form: Corrective Action Plan: It was found that one (1) case file did not include the criminal check form. The criminal check forms for this case was conducted when the children were in Foster Care and the results were included in the Foster Home record. Foster Home records are purged after eight (8) years of the home closing and no longer available. Currently: The criminal record check is included in the Adoption Subsidy file upon adoption as well as maintained in our Adoption vendor files. With regards to the Home Study narrative: Corrective Action Plan: It was found that five (5) cases did not include the Home Study narrative. The Home Study narratives for these case files were conducted when the homes were first certified as Foster Homes and were included in the Foster Home case record. Foster Home records are purged after eight (8) years of the home closing and no longer available. Currently: The Home Study narrative is included in the Adoption Subsidy file upon adoption as well as maintained in our Adoption vendor files.