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ACF
U.S. DEPARTMENT OF HEALTH AND HUMAN SERVICES
Administration on Children, Youth and Families
Administration
1. Log No: ACYF-PI-CB-98-02
2. Issuance Date: 1/8/98
for Children
3. Originating Office: Children's Bureau
and Families
4. Key Words: Adoption and Safe Families Act of 1997; Public
Law 105-89; Amendments to Title IV-B Subparts 1 and 2 and
Title IV-E of the Social Security Act; State Automated Child
Welfare Information System (SACWIS)
PROGRAM INSTRUCTION
TO:
State and Territorial Agencies Administering or Supervising the
Administration of Title IV-B and Title IV-E of the Social Security Act,
Indian Tribes and Indian Tribal Organizations
SUBJECT:
NEW LEGISLATION -- Public Law 105-89, The Adoption and
Safe Families Act of 1997
LEGAL AND
RELATED
The Adoption and Safe Families Act of 1997 (Public Law 105-89),
REFERENCES:
Titles IV-B and IV-E, Section 403(b), Section 453, and Section 1130(a) of
the Social Security Act
PURPOSE:
The purpose of this Program Instruction (PI) is to inform States of new
legislation amending titles IV-B and IV-E of the Social Security Act and
provide guidance for implementing the new law. This PI also provides the
effective dates for implementing Public Law 105-89 and early notification of
the impact of the new law on State Automated Child Welfare Information
Systems (SACWIS).
OVERVIEW:
This Program Instruction transmits Public Law 105-89 and a compilation of titles IV-B and IV-E,
as amended by the Adoption and Safe Families Act of 1997 (ASFA). It also provides guidance
for States' early implementation of the law. The PI is divided into three parts: Part I contains
principles to assist States in understanding the new provisions and integrating the law into
ongoing reforms of the child welfare system; Part II stipulates the effective dates of the new
legislation; and Part III discusses how the law may impact States' SACWIS and other information
systems.
INFORMATION:
PART I. THE ADOPTION AND SAFE FAMILIES ACT OF 1997
On November 19, 1997, the President signed into law the Adoption and Safe Families Act of
1997. This legislation, passed by the Congress with overwhelming bipartisan support, represents
an important landmark in Federal child welfare law. It establishes unequivocally that our national
goals for children in the child welfare system are safety, permanency, and well-being. The
passage of this new law gives us an unprecedented opportunity to build on the reforms of the
child welfare system that have begun in recent years in order to make the system more responsive
to the multiple, and often complex, needs of children and families. The law reaffirms the need to
forge linkages between the child welfare system and other systems of support for families, as well
as between the child welfare system and the courts, to ensure the safety and well-being of
children and their families. The law also gives renewed impetus to dismantle the myriad barriers
that may exist between children waiting in foster care and permanency. By implementing the new
law in the context of an ongoing commitment to strengthening all aspects of the child welfare
system, we will make a meaningful difference in the lives of children in foster care and in the
lives of children who must come into contact with the child welfare system in the future.
ASFA embodies a number of key principles that must be considered in order to implement the
law:
The safety of children is the paramount concern that must guide all child welfare
services. The new law requires that child safety be the paramount concern when making
service provision, placement and permanency planning decisions. The law reaffirms the
importance of making reasonable efforts to preserve and reunify families, but also now
exemplifies when States are not required to make efforts to keep children with their parents,
when doing so places a child's safety in jeopardy.
Foster care is a temporary setting and not a place for children to grow up. To ensure
that the system respects a child's developmental needs and sense of time, the law includes
provisions that shorten the timeframe for making permanency planning decisions, and that
establish a timeframe for initiating proceedings to terminate parental rights. The law also
strongly promotes the timely adoption of children who cannot return safely to their own
homes.
Permanency planning efforts for children should begin as soon as a child enters foster
care and should be expedited by the provision of services to families. The enactment of a
legal framework requiring permanency decisions to be made more promptly heightens the
importance of providing quality services as quickly as possible to enable families in crisis to
address problems. It is only when timely and intensive services are provided to families, that
agencies and courts can make informed decisions about parents' ability to protect and care for
their children.
2
The child welfare system must focus on results and accountability. The law makes it
clear that it is no longer enough to ensure that procedural safeguards are met. It is critical
that child welfare services lead to positive results. The law requires numerous tools for
focusing attention on results, including an annual report on State performance; the creation of
an adoption incentive payment for States designed to support the President's goal of doubling
the annual number of children who are adopted or permanently placed by the year 2002; and a
requirement for the Department to study and make recommendations regarding additional
performance-based financial incentives in child welfare.
Innovative approaches are needed to achieve the goals of safety, permanency and well-
being. The law recognizes that we do not yet have all of the solutions to achieve our goals.
By expanding the authority for child welfare demonstration waivers, the law provides a
mechanism to allow States greater flexibility to develop innovative strategies to achieve
positive results for children and families.
There is much to be done in the coming months as we work together to implement this multi-
faceted new law. This Program Instruction is the first of the communications that the
Department will send to assist the States in meeting the requirements of ASFA. We will also be
consulting with State representatives and other experts in the field to help guide our work in
implementing the new law. Working together, we have the opportunity to dramatically improve
the lives of children and families.
PART II. EFFECTIVE DATES FOR IMPLEMENTING PUBLIC LAW 105-89:
General Effective Date of Public Law 105-89
The effective date of Public Law 105-89 is November 19, 1997. States are expected to comply
with the provisions of the law as of that date, with the exceptions noted below.
Exceptions to Effective Date: Determination of Required State Legislation
A limited period of delay is permitted when the Secretary determines that a State must enact
legislation to comply with certain State plan requirements. Section 501(b) of Public Law 105-89
authorizes the Secretary to determine those State plan requirements that will necessitate State
legislation.
Delayed Effective Date
A "delayed effective date" will apply only to those requirements that the Secretary has
determined require State legislation. The "delayed effective date" is defined in Section 501(b) as
the beginning of the calendar quarter following the close of the State's first regular legislative
session.
Following is a list of new or amended State plan requirements contained in titles IV-B and IV-E,
as amended by ASFA:
3
Title IV-B, Subparts 1 and 2:
Including safety in case plan and case review requirements [section 422(b)(10)]
Developing plans to facilitate adoptions across State and county jurisdictions
[section 422(b)(12)]
Requiring assurances that the safety of children shall be of the paramount concern
[section 432(a)(9)]
Title IV-E:
Clarification of the reasonable efforts requirement [section 471(a)(15)]
Criminal record checks for prospective foster and adoptive parents [section 471(a)(20)]
Health insurance coverage for children with special needs [section 471(a)(21)]
State standards to ensure quality services for children in foster care [section 471(a)(22)]
State requirement to initiate or join proceedings within a specified time to terminate parental
rights for certain children in foster care [section 475(5)(E) and (F)]
Transition Rule
The requirement in section 475(5)(E) and (F) of the Act to initiate proceedings to terminate
parental rights (TPR) is phased in over time according to the transition rule in section 103(c) of
ASFA. This transition rule is separate from the "delayed effective date" described above.
Separate guidance on implementing this transition will be forthcoming to the Regional Offices
and States.
Action Required
The Administration for Children and Families (ACF) Regional Offices, on behalf of the Secretary,
and based on the State certification will determine where State legislation is necessary to comply
with title IV-B and title IV-E State plan requirements. States that require legislation should
submit the attached certification indicating those State plan requirements that will necessitate
State legislation. The certification must include the estimated "delayed effective date" in
accordance with Section of ASFA. States that do not require any legislation must also
submit the certification indicating that State legislation is not necessary and that a "delayed
effective date" is not applicable. All certifications must be signed by the designated State agency
official and submitted to the ACF Regional Office no later than February 13, 1998.
PART III. POTENTIAL IMPACT OF PUBLIC LAW 105-89 ON SACWIS:
The intent of this section is to advise States of potential implications of ASFA on their SACWIS
and not to imply that any action must to be taken by the States at this time. The SACWIS
functional requirements delineated in ACF's Action Transmittal ACF-OISM-001 (2/24/95)
remain in effect.
We strongly encourage the State program and system staff to discuss the possible implications
for the State's SACWIS as the State implements ASFA.
The requirement to initiate or join proceedings to terminate parental rights is treated as a State plan
requirement under section 103(c)(4) of Public Law 105-89.
4
Listed below are sections of ASFA that may have possible implications for a State's SACWIS.
This list may not identify every conceivable consequence of the new law on SACWIS:
1. Section 101: SACWIS may need to be modified to appropriately record and track the
"reasonable efforts" requirements identified in subsection (A), the "aggravated" or other
circumstances identified in subsection (D) and the timely completion of the permanency hearing
identified in subsection (E). [title IV-E, sections 471(a)(15) and 475(5)(C)]
2. Section 103: SACWIS may need to be modified to track the "total" number of months a child
has been in foster care to conform with section 475(5)(E) and determine the beginning of foster
care, as defined in section 475(5)(F). Also, SACWIS may need to be modified to assist the State
in implementing the transition rule outlined in section 103(c). States should note that the
"beginning of foster care" as defined in section 475(5)(F) should not be confused with the
AFCARS data element 21, "date of latest removal from the home," which remains the same as
defined in 45 CFR 1355.40, Appendix A. [title IV-E, section 475(5)(E) and(F)]
3. Section 104: The notice generation function of a State's SACWIS may need to be expanded
to ensure that the applicable parties "are provided with notice of, and an opportunity to be heard
in, any review or hearing to be held with respect to the child." Considering that SACWIS is
currently required to generate notices, we would not expect this to cause a significant change to
the design of the system. [title IV-E, section 475(5)(G)]
4. Section 105: If the State child welfare agency elects to use the Federal Parent Locator
Service (FPLS) for child welfare services, it may need to modify its current interface with the
State's title IV-D Child Support Enforcement system. We would expect that the benefits of
pursuing this option would include enhancing a State's capacity to identify other family
caretakers with whom the child could be placed, and expediting termination of parental rights
when reunification is not an option and a suitable relative placement is not available. [title IV-D,
section 453(a)(2),(c)]
5. Section 106: If a State chooses to conduct criminal background checks on foster and
adoptive parents, and the State uses its SACWIS to process foster care or adoptive home
applications, SACWIS may be modified to record the results of the background check.
[title IV-E, section 471(a)(20)]
6. Section 107: In the case of a child for whom the permanency plan is adoption or placement in
another permanent home, SACWIS may need to be modified to appropriately record and track
"the steps the agency is taking to find an adoptive family or other permanent living arrangement
for the child and to finalize the adoption or legal guardianship." [title IV-E, section 475(1)(E)]
7. Section 307: SACWIS may need to be modified to maintain the prior eligibility information
on behalf of children with special needs whose initial adoption has been dissolved or whose
adoptive parents have died. [title IV-E, section 473(a)(2)]
5
INQUIRIES TO: ACF Regional Offices
James A. Hance
James A. Harrell
Deputy Commissioner
Administration on Children, Youth
and Families
Attachments:
A: The Adoption and Safe Families Act of 1997 (Public Law 105-89)
B: Compilation of Titles IV-B and IV-E of the Social Security Act
C: Certification of Required State Legislation
D: ACF Regional Office list
6
Attachment A
PUBLIC LAW 105-89-NOV. 19, 1997
111 STAT. 2115
Public Law 105-89
105th Congress
An Act
Nov. 19, 1997
To promote the adoption of children in foster care.
[H.R. 867]
Be it enacted by the Senate and House of Representatives of
the United States of America in Congress assembled,
Adoption and
Safe Families Act
SECTION 1. SHORT TITLE: TABLE OF CONTENTS.
of 1997.
(a) SHORT TITLE.-This Act may be cited as the "Adoption
42 USC 1305
and Safe Families Act of 1997".
note.
(b) TABLE OF CONTENTS.-The table of contents of this Act
is as follows:
Sec. 1. Short title; table of contents.
TITLE I-REASONABLE EFFORTS AND SAFETY REQUIREMENTS FOR
FOSTER CARE AND ADOPTION PLACEMENTS
Sec. 101. Clarification of the reasonable efforts requirement.
Sec. 102. Including safety in case plan and case review system requirements.
Sec. 103. States required to initiate or join proceedings to terminate parental rights
for certain children in foster care.
Sec. 104. Notice of reviews and hearings; opportunity to be heard.
Sec. 105. Use of the Federal Parent Locator Service for child welfare services.
Sec. 106. Criminal records checks for prospective foster and adoptive parents.
Sec. 107. Documentation of efforts for adoption or location of a permanent home.
TITLE II-INCENTIVES FOR PROVIDING PERMANENT FAMILIES FOR
CHILDREN
Sec. 201. Adoption incentive payments.
Sec. 202. Adoptions across State and county jurisdictions.
Sec. 203. Performance of States in protecting children.
TITLE III-ADDITIONAL IMPROVEMENTS AND REFORMS
Sec. 301. Authority to approve more child protection demonstration projects.
Sec. 302. Permanency hearings.
Sec. 303. Kinship care.
Sec. 304. Clarification of eligible population for independent living services.
Sec. 305. Reauthorization and expansion of family preservation and support
services.
Sec. 306. Health insurance coverage for children with special needs.
Sec. 307. Continuation of eligibility for adoption assistance payments on behalf of
children with special needs whose initial adoption has been dissolved.
Sec. 308. State standards to ensure quality services for children in foster care.
TITLE IV-MISCELLANEOUS
Sec. 401. Preservation of reasonable parenting.
Sec. 402. Reporting requirements.
Sec. 403. Sense of Congress regarding standby guardianship.
Sec. 404. Temporary adjustment of Contingency Fund for State Welfare Programs.
Sec. 405. Coordination of substance abuse and child protection services.
Sec. 406. Purchase of American-made equipment and products.
TITLE V-EFFECTIVE DATE
Sec. 501. Effective date.
111 STAT. 2116
PUBLIC LAW 105-89-NOV. 19, 1997
TITLE I-REASONABLE EFFORTS AND
SAFETY REQUIREMENTS FOR FOSTER
CARE AND ADOPTION PLACEMENTS
SEC. 101. CLARIFICATION OF THE REASONABLE EFFORTS REQUIRE-
MENT.
(a) IN GENERAL-Section 471(a)(15) of the Social Security Act
(42 U.S.C. 671(a)(15)) is amended to read as follows:
"(15) provides that—
"(A) in determining reasonable efforts to be made with
respect to a child, as described in this paragraph, and
in making such reasonable efforts, the child's health and
safety shall be the paramount concern;
"(B) except as provided in subparagraph (D), reason-
able efforts shall be made to preserve and reunify
families-
"(i) prior to the placement of a child in foster
care, to prevent or eliminate the need for removing
the child from the child's home; and
"(ii) to make it possible for a child to safely return
to the child's home;
"(C) if continuation of reasonable efforts of the type
described in subparagraph (B) is determined to be
inconsistent with the permanency plan for the child,
reasonable efforts shall be made to place the child in a
timely manner in accordance with the permanency plan,
and to complete whatever steps are necessary to finalize
the permanent placement of the child;
"(D) reasonable efforts of the type described in subpara-
graph (B) shall not be required to be made with respect
to a parent of a child if a court of competent jurisdiction
has determined that-
"(i) the parent has subjected the child to aggra-
vated circumstances (as defined in State law, which
definition may include but need not be limited to
abandonment, torture, chronic abuse, and sexual
abuse);
"(ii) the parent has-
"(I) committed murder (which would have been
an offense under section 1111(a) of title 18, United
States Code, if the offense had occurred in the
special maritime or territorial jurisdiction of the
United States) of another child of the parent;
"(II) committed voluntary manslaughter
(which would have been an offense under section
1112(a) of title 18, United States Code, if the
offense had occurred in the special maritime or
territorial jurisdiction of the United States) of
another child of the parent;
"(III) aided or abetted, attempted, conspired,
or solicited to commit such a murder or such a
voluntary manslaughter; or
"(IV) committed a felony assault that results
in serious bodily injury to the child or another
child of the parent; or
PUBLIC LAW 105-89-NOV. 19, 1997
111 STAT. 2117
"(iii) the parental rights of the parent to a sibling
have been terminated involuntarily;
"(E) if reasonable efforts of the type described in
subparagraph (B) are not made with respect to a child
as a result of a determination made by a court of competent
jurisdiction in accordance with subparagraph (D)-
"(i) a permanency hearing (as described in section
475(5)(C)) shall be held for the child within 30 days
after the determination; and
"(ii) reasonable efforts shall be made to place the
child in a timely manner in accordance with the perma-
nency plan, and to complete whatever steps are nec-
essary to finalize the permanent placement of the child;
and
"(F) reasonable efforts to place a child for adoption
or with a legal guardian may be made concurrently with
reasonable efforts of the type described in subparagraph
(B);".
(b) DEFINITION OF LEGAL GUARDIANSHIP.-Section 475 of such
Act (42 U.S.C. 675) is amended by adding at the end the following:
"(7) The term 'legal guardianship' means a judicially cre-
ated relationship between child and caretaker which is intended
to be permanent and self-sustaining as evidenced by the trans-
fer to the caretaker of the following parental rights with respect
to the child: protection, education, care and control of the
person, custody of the person, and decisionmaking. The term
legal guardian' means the caretaker in such a relationship.".
(c) CONFORMING AMENDMENT.-Section 472(a)(1) of such Act
(42 U.S.C. 672(a)(1)) is amended by inserting "for a child" before
"have been made".
(d) RULE OF CONSTRUCTION.-Part E of title IV of such Act
(42 U.S.C. 670-679) is amended by inserting after section 477
the following:
"SEC. 478. RULE OF CONSTRUCTION.
42 USC 678.
"Nothing in this part shall be construed as precluding State
courts from exercising their discretion to protect the health and
safety of children in individual cases, including cases other than
those described in section 471(a)(15)(D).".
SEC. 102. INCLUDING SAFETY IN CASE PLAN AND CASE REVIEW
SYSTEM REQUIREMENTS.
Title IV of the Social Security Act (42 U.S.C. 601 et seq.)
is amended-
(1) in section 422(b)(10)(B)-
42 USC 622.
(A) in clause (iii)(I), by inserting "safe and" after
"where"; and
(B) in clause (iv), by inserting "safely" after "remain";
and
(2) in section 475-
42 USC 675.
(A) in paragraph (1)—
(i) in subparagraph (A), by inserting "safety and"
after "discussion of the"; and
(ii) in subparagraph (B)-
(I) by inserting "safe and" after "child
receives"; and
(II) by inserting "safe" after "return of the
child to his own"; and
111 STAT. 2118
PUBLIC LAW 105-89-NOV. 19, 1997
(B) in paragraph (5)-
(i) in subparagraph (A), in the matter preceding
clause (i), by inserting "a safe setting that is" after
"placement in"; and
(ii) in subparagraph (B)-
(I) by inserting "the safety of the child," after
"determine"; and
(II) by inserting "and safely maintained in"
after "returned to".
SEC. 103. STATES REQUIRED TO INITIATE OR JOIN PROCEEDINGS TO
TERMINATE PARENTAL RIGHTS FOR CERTAIN CHILDREN
IN FOSTER CARE.
(a) REQUIREMENT FOR PROCEEDINGS.-Section 475(5) of the
Social Security Act (42 U.S.C. 675(5)) is amended—
(1) by striking "and" at the end of subparagraph (C);
(2) by striking the period at the end of subparagraph (D)
and inserting"; and"; and
(3) by adding at the end the following:
"(E) in the case of a child who has been in foster
care under the responsibility of the State for 15 of the
most recent 22 months, or, if a court of competent jurisdic-
tion has determined a child to be an abandoned infant
(as defined under State law) or has made a determination
that the parent has committed murder of another child
of the parent, committed voluntary manslaughter of
another child of the parent, aided or abetted, attempted,
conspired, or solicited to commit such a murder or such
a voluntary manslaughter, or committed a felony assault
that has resulted in serious bodily injury to the child or
to another child of the parent, the State shall file a petition
to terminate the parental rights of the child's parents (or,
if such a petition has been filed by another party, seek
to be joined as a party to the petition), and, concurrently,
to identify, recruit, process, and approve a qualified family
for an adoption, unless-
"(i) at the option of the State, the child is being
cared for by a relative;
"(ii) a State agency has documented in the case
plan (which shall be available for court review) a
compelling reason for determining that filing such a
petition would not be in the best interests of the child;
or
"(iii) the State has not provided to the family of
the child, consistent with the time period in the State
case plan, such services as the State deems necessary
for the safe return of the child to the child's home,
if reasonable efforts of the type described in section
471(a)(15)(B)(ii) are required to be made with respect
to the child.".
(b) DETERMINATION OF BEGINNING OF FOSTER CARE.-Section
475(5) of the Social Security Act (42 U.S.C. 675(5)), as amended
by subsection (a), is amended—
(1) by striking "and" at the end of subparagraph (D);
(2) by striking the period at the end of subparagraph (E)
and inserting; and"; and
(3) by adding at the end the following:
PUBLIC LAW 105-89-NOV. 19, 1997
111 STAT. 2119
"(F) a child shall be considered to have entered foster
care on the earlier of-
"(i) the date of the first judicial finding that the
child has been subjected to child abuse or neglect;
or
"(ii) the date that is 60 days after the date on
which the child is removed from the home.".
(c) TRANSITION RULES.-
42 USC 675 note.
(1) NEW FOSTER CHILDREN.-In the case of a child who
enters foster care (within the meaning of section 475(5)(F)
of the Social Security Act) under the responsibility of a State
after the date of the enactment of this Act-
(A) if the State comes into compliance with the amend-
ments made by subsection (a) of this section before the
child has been in such foster care for 15 of the most
recent 22 months, the State shall comply with section
475(5)(E) of the Social Security Act with respect to the
child when the child has been in such foster care for
15 of the most recent 22 months; and
(B) if the State comes into such compliance after the
child has been in such foster care for 15 of the most
recent 22 months, the State shall comply with such section
475(5)(E) with respect to the child not later than 3 months
after the end of the first regular session of the State legisla-
ture that begins after such date of enactment.
(2) CURRENT FOSTER CHILDREN.-In the case of children
in foster care under the responsibility of the State on the
date of the enactment of this Act, the State shall-
(A) not later than 6 months after the end of the first
regular session of the State legislature that begins after
such date of enactment, comply with section 475(5)(E) of
the Social Security Act with respect to not less than ½
of such children as the State shall select, giving priority
to children for whom the permanency plan (within the
meaning of part E of title IV of the Social Security Act)
is adoption and children who have been in foster care
for the greatest length of time;
(B) not later than 12 months after the end of such
first regular session, comply with such section 475(5)(E)
with respect to not less than 2/3 of such children as the
State shall select; and
(C) not later than 18 months after the end of such
first regular session, comply with such section 475(5)(E)
with respect to all of such children.
(3) TREATMENT OF 2-YEAR LEGISLATIVE SESSIONS.-For pur-
poses of this subsection, in the case of a State that has a
2-year legislative session, each year of the session is deemed
to be a separate regular session of the State legislature.
(4) REQUIREMENTS TREATED AS STATE PLAN REQUIRE-
MENTS.-For purposes of part E of title IV of the Social Security
Act, the requirements of this subsection shall be treated as
State plan requirements imposed by section 471(a) of such
Act.
(d) RULE OF CONSTRUCTION.-Nothing in this section or in
42 USC 675 note.
part E of title IV of the Social Security Act (42 U.S.C. 670 et
seq.), as amended by this Act, shall be construed as precluding
State courts or State agencies from initiating the termination of
111 STAT. 2120
PUBLIC LAW 105-89-NOV. 19, 1997
parental rights for reasons other than, or for timelines earlier
than, those specified in part E of title IV of such Act, when such
actions are determined to be in the best interests of the child,
including cases where the child has experienced multiple foster
care placements of varying durations.
SEC. 104. NOTICE OF REVIEWS AND HEARINGS; OPPORTUNITY TO BE
HEARD.
Section 475(5) of the Social Security Act (42 U.S.C. 675(5)),
as amended by section 103, is amended—
(1) by striking "and" at the end of subparagraph (E);
(2) by striking the period at the end of subparagraph (F)
and inserting; and"; and
(3) by adding at the end the following:
"(G) the foster parents (if any) of a child and any
preadoptive parent or relative providing care for the child
are provided with notice of, and an opportunity to be heard
in, any review or hearing to be held with respect to the
child, except that this subparagraph shall not be construed
to require that any foster parent, preadoptive parent, or
relative providing care for the child be made a party to
such a review or hearing solely on the basis of such notice
and opportunity to be heard."
SEC. 105. USE OF THE FEDERAL PARENT LOCATOR SERVICE FOR
CHILD WELFARE SERVICES.
Section 453 of the Social Security Act (42 U.S.C. 653) is
amended-
(1) in subsection (a)(2)-
(A) in the matter preceding subparagraph (A), by
inserting "or making or enforcing child custody or visitation
orders," after "obligations,"; and
(B) in subparagraph (A)-
(i) by striking "or" at the end of clause (ii);
(ii) by striking the comma at the end of clause
(iii) and inserting or"; and
(iii) by inserting after clause (iii) the following:
"(iv) who has or may have parental rights with
respect to a child,"; and
(2) in subsection (c)—
(A) by striking the period at the end of paragraph
(3) and inserting "; and"; and
(B) by adding at the end the following:
"(4) a State agency that is administering a program oper-
ated under a State plan under subpart 1 of part B, or a
State plan approved under subpart 2 of part B or under part
E.".
SEC. 106. CRIMINAL RECORDS CHECKS FOR PROSPECTIVE FOSTER
AND ADOPTIVE PARENTS.
Section 471(a) of the Social Security Act (42 U.S.C. 671(a))
is amended—
(1) by striking "and" at the end of paragraph (18);
(2) by striking the period at the end of paragraph (19)
and inserting' and"; and
(3) by adding at the end the following:
"(20)(A) unless an election provided for in subparagraph
(B) is made with respect to the State, provides procedures
PUBLIC LAW 105-89-NOV. 19, 1997
111 STAT. 2121
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 pornog-
raphy), or for a crime involving violence, including rape,
sexual assault, or homicide, but not including other phys-
ical 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; and
"(B) subparagraph (A) shall not apply to a State plan
if the Governor of the State has notified the Secretary in
writing that the State has elected to make subparagraph (A)
inapplicable to the State, or if the State legislature, by law,
has elected to make subparagraph (A) inapplicable to the
State.".
SEC. 107. DOCUMENTATION OF EFFORTS FOR ADOPTION OR LOCATION
OF A PERMANENT HOME.
Section 475(1) of the Social Security Act (42 U.S.C. 675(1))
is amended—
(1) in the last sentence-
(A) by striking "the case plan must also include"; and
(B) by redesignating such sentence as subparagraph
(D) and indenting appropriately; and
(2) by adding at the end the following:
"(E) In the case of a child with respect to whom the
permanency plan is adoption or placement in another
permanent home, documentation of the steps the agency
is taking to find an adoptive family or other permanent
living arrangement for the child, to place the child with
an adoptive family, a fit and willing relative, a legal guard-
ian, or in another planned permanent living arrangement,
and to finalize the adoption or legal guardianship. At a
minimum, such documentation shall include child specific
recruitment efforts such as the use of State, regional, and
national adoption exchanges including electronic exchange
systems.".
111 STAT. 2122
PUBLIC LAW 105-89-NOV. 19, 1997
TITLE II-INCENTIVES FOR PROVIDING
PERMANENT FAMILIES FOR CHILDREN
SEC. 201. ADOPTION INCENTIVE PAYMENTS.
(a) IN GENERAL.-Part E of title IV of the Social Security
Act (42 U.S.C. 670-679) is amended by inserting after section
473 the following:
42 USC 673b.
"SEC. 473A. ADOPTION INCENTIVE PAYMENTS.
"(a) GRANT AUTHORITY.-Subject to the availability of such
amounts as may be provided in advance in appropriations Acts
for this purpose, the Secretary shall make a grant to each State
that is an incentive-eligible State for a fiscal year in an amount
equal to the adoption incentive payment payable to the State under
this section for the fiscal year, which shall be payable in the
immediately succeeding fiscal year.
"(b) INCENTIVE-ELIGIBLE STATE.-A State is an incentive-
eligible State for a fiscal year if-
"(1) the State has a plan approved under this part for
the fiscal year;
"(2) the number of foster child adoptions in the State during
the fiscal year exceeds the base number of foster child adoptions
for the State for the fiscal year;
"(3) the State is in compliance with subsection (c) for the
fiscal year;
"(4) in the case of fiscal years 2001 and 2002, the State
provides health insurance coverage to any child with special
needs (as determined under section 473(c)) for whom there
is in effect an adoption assistance agreement between a State
and an adoptive parent or parents; and
"(5) the fiscal year is any of fiscal years 1998 through
2002.
"(c) DATA REQUIREMENTS.-
"(1) IN GENERAL.-A State is in compliance with this
subsection for a fiscal year if the State has provided to the
Secretary the data described in paragraph (2)-
"(A) for fiscal years 1995 through 1997 (or, if the first
fiscal year for which the State seeks a grant under this
section is after fiscal year 1998, the fiscal year that
precedes such first fiscal year); and
"(B) for each succeeding fiscal year that precedes the
fiscal year.
"(2) DETERMINATION OF NUMBERS OF ADOPTIONS.-
"(A) DETERMINATIONS BASED ON AFCARS DATA.-Except
as provided in subparagraph (B), the Secretary shall deter-
mine the numbers of foster child adoptions and of special
needs adoptions in a State during each of fiscal years
1995 through 2002, for purposes of this section, on the
basis of data meeting the requirements of the system estab-
lished pursuant to section 479, as reported by the State
and approved by the Secretary by August 1 of the succeed-
ing fiscal year.
"(B) ALTERNATIVE DATA SOURCES PERMITTED FOR FISCAL
YEARS 1995 THROUGH 1997.-For purposes of the determina-
tion described in subparagraph (A) for fiscal years 1995
through 1997, the Secretary may use data from a source
PUBLIC LAW 105-89-NOV. 19, 1997
111 STAT. 2123
or sources other than that specified in subparagraph (A)
that the Secretary finds to be of equivalent completeness
and reliability, as reported by a State by November 30,
1997, and approved by the Secretary by March 1, 1998.
"(3) No WAIVER OF AFCARS REQUIREMENTS.-This section
shall not be construed to alter or affect any requirement of
section 479 or of any regulation prescribed under such section
with respect to reporting of data by States, or to waive any
penalty for failure to comply with such a requirement.
"(d) ADOPTION INCENTIVE PAYMENT.-
"(1) IN GENERAL.-Except as provided in paragraph (2),
the adoption incentive payment payable to a State for a fiscal
year under this section shall be equal to the sum of-
"(A) $4,000, multiplied by the amount (if any) by which
the number of foster child adoptions in the State during
the fiscal year exceeds the base number of foster child
adoptions for the State for the fiscal year; and
"(B) $2,000, multiplied by the amount (if any) by which
the number of special needs adoptions in the State during
the fiscal year exceeds the base number of special needs
adoptions for the State for the fiscal year.
"(2) PRO RATA ADJUSTMENT IF INSUFFICIENT FUNDS AVAIL-
ABLE.-For any fiscal year, if the total amount of adoption
incentive payments otherwise payable under this section for
a fiscal year exceeds the amount appropriated pursuant to
subsection (h) for the fiscal year, the amount of the adoption
incentive payment payable to each State under this section
for the fiscal year shall be-
"(A) the amount of the adoption incentive payment
that would otherwise be payable to the State under this
section for the fiscal year; multiplied by
"(B) the percentage represented by the amount so
appropriated for the fiscal year, divided by the total amount
of adoption incentive payments otherwise payable under
this section for the fiscal year.
"(e) 2-YEAR AVAILABILITY OF INCENTIVE PAYMENTS.-Payments
to a State under this section in a fiscal year shall remain available
for use by the State through the end of the succeeding fiscal
year.
"(f) LIMITATIONS ON USE OF INCENTIVE PAYMENTS.-A State
shall not expend an amount paid to the State under this section
except to provide to children or families any service (including
post-adoption services) that may be provided under part B or E.
Amounts expended by a State in accordance with the preceding
sentence shall be disregarded in determining State expenditures
for purposes of Federal matching payments under sections 423,
434, and 474.
"(g) DEFINITIONS.-As used in this section:
"(1) FOSTER CHILD ADOPTION.-The term 'foster child adop-
tion' means the final adoption of a child who, at the time
of adoptive placement, was in foster care under the supervision
of the State.
"(2) SPECIAL NEEDS ADOPTION.-The term 'special needs
adoption' means the final adoption of a child for whom an
adoption assistance agreement is in effect under section 473.
"(3) BASE NUMBER OF FOSTER CHILD ADOPTIONS.-The term
'base number of foster child adoptions for a State' means-
111 STAT. 2124
PUBLIC LAW 105-89-NOV. 19, 1997
"(A) with respect to fiscal year 1998, the average
number of foster child adoptions in the State in fiscal
years 1995, 1996, and 1997; and
"(B) with respect to any subsequent fiscal year, the
number of foster child adoptions in the State in the fiscal
year for which the number is the greatest in the period
that begins with fiscal year 1997 and ends with the fiscal
year preceding such subsequent fiscal year.
"(4) BASE NUMBER OF SPECIAL NEEDS ADOPTIONS.-The term
'base number of special needs adoptions for a State' means-
"(A) with respect to fiscal year 1998, the average num-
ber of special needs adoptions in the State in fiscal years
1995, 1996, and 1997; and
"(B) with respect to any subsequent fiscal year,
the number of special needs adoptions in the State in
the fiscal year for which the number is the greatest in
the period that begins with fiscal year 1997 and ends
with the fiscal year preceding such subsequent fiscal year.
"(h) LIMITATIONS ON AUTHORIZATION OF APPROPRIATIONS.-
"(1) IN GENERAL-For grants under subsection (a), there
are authorized to be appropriated to the Secretary $20,000,000
for each of fiscal years 1999 through 2003.
"(2) AVAILABILITY.-Amounts appropriated under para-
graph (1) are authorized to remain available until expended,
but not after fiscal year 2003.
"(i) TECHNICAL ASSISTANCE.-
"(1) IN GENERAL.-The Secretary may, directly or through
grants or contracts, provide technical assistance to assist States
and local communities to reach their targets for increased num-
bers of adoptions and, to the extent that adoption is not pos-
sible, alternative permanent placements, for children in foster
care.
"(2) DESCRIPTION OF THE CHARACTER OF THE TECHNICAL
ASSISTANCE.-The technical assistance provided under para-
graph (1) may support the goal of encouraging more adoptions
out of the foster care system, when adoptions promote the
best interests of children, and may include the following:
"(A) The development of best practice guidelines for
expediting termination of parental rights.
"(B) Models to encourage the use of concurrent
planning.
"(C) The development of specialized units and expertise
in moving children toward adoption as a permanency goal.
"(D) The development of risk assessment tools to facili-
tate early identification of the children who will be at
risk of harm if returned home.
"(E) Models to encourage the fast tracking of children
who have not attained 1 year of age into pre-adoptive
placements.
"(F) Development of programs that place children into
pre-adoptive families without waiting for termination of
parental rights.
"(3) TARGETING OF TECHNICAL ASSISTANCE TO THE
COURTS.-Not less than 50 percent of any amount appropriated
pursuant to paragraph (4) shall be used to provide technical
assistance to the courts.
PUBLIC LAW 105-89-NOV. 19, 1997
111 STAT. 2125
"(4) LIMITATIONS ON AUTHORIZATION OF APPROPRIATIONS.-
To carry out this subsection, there are authorized to be appro-
priated to the Secretary of Health and Human Services not
to exceed $10,000,000 for each of fiscal years 1998 through
2000.".
(b) DISCRETIONARY CAP ADJUSTMENT FOR ADOPTION INCENTIVE
PAYMENTS.-
(1) SECTION 251 AMENDMENT.-Section 251(b)(2) of the Bal-
anced Budget and Emergency Deficit Control Act of 1985 (2
U.S.C. 901(b)(2)), as amended by section 10203(a)(4) of the
Balanced Budget Act of 1997, is amended by adding at the Ante, p. 698.
end the following new subparagraph:
"(G) ADOPTION INCENTIVE PAYMENTS.-Whenever a bill
or joint resolution making appropriations for fiscal year
1999, 2000, 2001, 2002, or 2003 is enacted that specifies
an amount for adoption incentive payments pursuant to
this part for the Department of Health and Human
Services—
"(i) the adjustments for new budget authority shall
be the amounts of new budget authority provided in
that measure for adoption incentive payments, but not
to exceed $20,000,000; and
"(ii) the adjustment for outlays shall be the
additional outlays flowing from such amount.".
(2) SECTION 314 AMENDMENT.-Section 314(b) of the
Congressional Budget Act of 1974, as amended by section
10114(a) of the Balanced Budget Act of 1997, is amended— Ante, p. 688.
(A) by striking "or" at the end of paragraph (4);
(B) by striking the period at the end of paragraph
(5) and inserting or"; and
(C) by adding at the end the following:
"(6) in the case of an amount for adoption incentive pay-
ments (as defined in section 251(b)(2)(G) of the Balanced Budget
and Emergency Deficit Control Act of 1985) for fiscal year
1999, 2000, 2001, 2002, or 2003 for the Department of Health
and Human Services, an amount not to exceed $20,000,000.".
SEC. 202. ADOPTIONS ACROSS STATE AND COUNTY JURISDICTIONS.
(a) STATE PLAN FOR CHILD WELFARE SERVICES REQUIREMENT.-
Section 422(b) of the Social Security Act (42 U.S.C. 622(b)) is
amended-
(1) in paragraph (10), by striking "and" at the end;
(2) in paragraph (11), by striking the period and inserting
"; and"; and
(3) by adding at the end the following:
"(12) contain assurances that the State shall develop plans
for the effective use of cross-jurisdictional resources to facilitate
timely adoptive or permanent placements for waiting children.".
(b) CONDITION OF ASSISTANCE.-Section 474 of such Act (42
U.S.C. 674) is amended by adding at the end the following:
"(e) Notwithstanding subsection (a), a State shall not be eligible
for any payment under this section if the Secretary finds that,
after the date of the enactment of this subsection, the State has-
"(1) denied or delayed the placement of a child for adoption
when an approved family is available outside of the jurisdiction
with responsibility for handling the case of the child; or
111 STAT. 2126
PUBLIC LAW 105-89-NOV. 19, 1997
"(2) failed to grant an opportunity for a fair hearing, as
described in section 471(a)(12), to an individual whose allega-
tion of a violation of paragraph (1) of this subsection is denied
by the State or not acted upon by the State with reasonable
promptness.".
42 USC 5111
(c) STUDY OF INTERJURISDICTIONAL ADOPTION ISSUES.-
note.
(1) IN GENERAL.-The Comptroller General of the United
States shall-
(A) study and consider how to improve procedures and
policies to facilitate the timely and permanent adoptions
of children across State and county jurisdictions; and
(B) examine, at a minimum, interjurisdictional
adoption issues—
(i) concerning the recruitment of prospective
adoptive families from other States and counties;
(ii) concerning the procedures to grant reciprocity
to prospective adoptive family home studies from other
States and counties;
(iii) arising from a review of the comity and full
faith and credit provided to adoption decrees and
termination of parental rights orders from other States;
and
(iv) concerning the procedures related to the
administration and implementation of the Interstate
Compact on the Placement of Children.
(2) REPORT TO THE CONGRESS.-Not later than 1 year after
the date of the enactment of this Act, the Comptroller General
shall submit to the appropriate committees of the Congress
a report that includes-
(A) the results of the study conducted under paragraph
(1); and
(B) recommendations on how to improve procedures
to facilitate the interjurisdictional adoption of children,
including interstate and intercounty adoptions, so that
children will be assured timely and permanent placements.
SEC. 203. PERFORMANCE OF STATES IN PROTECTING CHILDREN.
(a) ANNUAL REPORT ON STATE PERFORMANCE.-Part E of title
IV of the Social Security Act (42 U.S.C. 670 et seq.) is amended
by adding at the end the following:
42 USC 679b.
"SEC. 479A. ANNUAL REPORT.
"The Secretary, in consultation with Governors, State legisla-
tures, State and local public officials responsible for administering
child welfare programs, and child welfare advocates, shall-
"(1) develop a set of outcome measures (including length
of stay in foster care, number of foster care placements, and
number of adoptions) that can be used to assess the perform-
ance of States in operating child protection and child welfare
programs pursuant to parts B and E to ensure the safety
of children;
"(2) to the maximum extent possible, the outcome measures
should be developed from data available from the Adoption
and Foster Care Analysis and Reporting System;
"(3) develop a system for rating the performance of States
with respect to the outcome measures, and provide to the
States an explanation of the rating system and how scores
are determined under the rating system;
PUBLIC LAW 105-89-NOV. 19, 1997
111 STAT. 2127
"(4) prescribe such regulations as may be necessary to
ensure that States provide to the Secretary the data necessary
to determine State performance with respect to each outcome
measure, as a condition of the State receiving funds under
this part; and
"(5) on May 1, 1999, and annually thereafter, prepare and
submit to the Congress a report on the performance of each
State on each outcome measure, which shall examine the rea-
sons for high performance and low performance and, where
possible, make recommendations as to how State performance
could be improved."
(b) DEVELOPMENT OF PERFORMANCE-BASED INCENTIVE Sys-
42 USC 679b
TEM.-The Secretary of Health and Human Services, in consultation
note.
with State and local public officials responsible for administering
child welfare programs and child welfare advocates, shall study,
develop, and recommend to Congress an incentive system to provide
payments under parts B and E of title IV of the Social Security
Act (42 U.S.C. 620 et seq., 670 et seq.) to any State based on
the State's performance under such a system. Such a system shall,
to the extent the Secretary determines feasible and appropriate,
be based on the annual report required by section 479A of the
Social Security Act (as added by subsection (a) of this section)
or on any proposed modifications of the annual report. Not later
than 6 months after the date of the enactment of this Act, the
Secretary shall submit to the Committee on Ways and Means
of the House of Representatives and the Committee on Finance
of the Senate a progress report on the feasibility, timetable, and
consultation process for conducting such a study. Not later than
15 months after such date of enactment, the Secretary shall submit
to the Committee on Ways and Means of the House of Representa-
tives and the Committee on Finance of the Senate the final report
on a performance-based incentive system. The report may include
other recommendations for restructuring the program and payments
under parts B and E of title IV of the Social Security Act.
TITLE II-ADDITIONAL
IMPROVEMENTS AND REFORMS
SEC. 301. EXPANSION OF CHILD WELFARE DEMONSTRATION
PROJECTS.
(a) IN GENERAL.-Section 1130(a) of the Social Security Act
(42 U.S.C. 1320a-9) is amended to read as follows:
"(a) AUTHORITY To APPROVE DEMONSTRATION PROJECTS.-
"(1) IN GENERAL.-The Secretary may authorize States to
conduct demonstration projects pursuant to this section which
the Secretary finds are likely to promote the objectives of part
B or E of title IV.
"(2) LIMITATION.-The Secretary may authorize not more
than 10 demonstration projects under paragraph (1) in each
of fiscal years 1998 through 2002.
"(3) CERTAIN TYPES OF PROPOSALS REQUIRED TO BE
CONSIDERED.-
"(A) If an appropriate application therefor is submitted,
the Secretary shall consider authorizing a demonstration
project which is designed to identify and address barriers
111 STAT. 2128
PUBLIC LAW 105-89-NOV. 19, 1997
that result in delays to adoptive placements for children
in foster care.
"(B) If an appropriate application therefor is submitted,
the Secretary shall consider authorizing a demonstration
project which is designed to identify and address parental
substance abuse problems that endanger children and
result in the placement of children in foster care, including
through the placement of children with their parents in
residential treatment facilities (including residential treat-
ment facilities for post-partum depression) that are specifi-
cally designed to serve parents and children together in
order to promote family reunification and that can ensure
the health and safety of the children in such placements.
"(C) If an appropriate application therefor is submitted,
the Secretary shall consider authorizing a demonstration
project which is designed to address kinship care.
"(4) LIMITATION ON ELIGIBILITY.-The Secretary may not
authorize a State to conduct a demonstration project under
this section if the State fails to provide health insurance cov-
erage to any child with special needs (as determined under
section 473(c)) for whom there is in effect an adoption assistance
agreement between a State and an adoptive parent or parents.
"(5) REQUIREMENT TO CONSIDER EFFECT OF PROJECT ON
TERMS AND CONDITIONS OF CERTAIN COURT ORDERS.-In consid-
ering an application to conduct a demonstration project under
this section that has been submitted by a State in which
there is in effect a court order determining that the State's
child welfare program has failed to comply with the provisions
of part B or E of title IV, or with the Constitution of the
United States, the Secretary shall take into consideration the
effect of approving the proposed project on the terms and condi-
tions of the court order related to the failure to comply.".
42 USC 1320a-9
(b) RULE OF CONSTRUCTION.-Nothing in the amendment made
note.
by subsection (a) shall be construed as affecting the terms and
conditions of any demonstration project approved under section
1130 of the Social Security Act (42 U.S.C. 1320a-9) before the
date of the enactment of this Act.
(c) AUTHORITY To EXTEND DURATION OF DEMONSTRATIONS.-
Section 1130(d) of such Act (42 U.S.C. 1320a-9(d)) is amended
by inserting unless in the judgment of the Secretary, the dem-
onstration project should be allowed to continue" before the period.
SEC. 302. PERMANENCY HEARINGS.
Section 475(5)(C) of the Social Security Act (42 U.S.C. 675(5)(C))
is amended-
(1) by striking "dispositional" and inserting "permanency";
(2) by striking "eighteen" and inserting "12";
(3) by striking "original placement" and inserting "date
the child is considered to have entered foster care (as deter-
mined under subparagraph (F))"; and
(4) by striking "future status of" and all that follows
through "long term basis)" and inserting "permanency plan
for the child that includes whether, and if applicable when,
the child will be returned to the parent, placed for adoption
and the State will file a petition for termination of parental
rights, or referred for legal guardianship, or (in cases where
PUBLIC LAW 105-89-NOV. 19, 1997
111 STAT. 2129
the State agency has documented to the State court a compel-
ling reason for determining that it would not be in the best
interests of the child to return home, be referred for termination
of parental rights, or be placed for adoption, with a fit and
willing relative, or with a legal guardian) placed in another
planned permanent living arrangement".
SEC. 303. KINSHIP CARE.
42 USC 5113
note.
(a) REPORT.-
(1) IN GENERAL.-The Secretary of Health and Human
Services shall-
(A) not later than June 1, 1998, convene the advisory
panel provided for in subsection (b)(1) and prepare and
submit to the advisory panel an initial report on the extent
to which children in foster care are placed in the care
of a relative (in this section referred to as "kinship care");
and
(B) not later than June 1, 1999, submit to the Commit-
tee on Ways and Means of the House of Representatives
and the Committee on Finance of the Senate a final report
on the matter described in subparagraph (A), which shall-
(i) be based on the comments submitted by the
advisory panel pursuant to subsection (b)(2) and other
information and considerations; and
(ii) include the policy recommendations of the
Secretary with respect to the matter.
(2) REQUIRED CONTENTS.-Each report required by
paragraph (1) shall-
(A) include, to the extent available for each State,
information on-
(i) the policy of the State regarding kinship care;
(ii) the characteristics of the kinship care providers
(including age, income, ethnicity, and race, and the
relationship of the kinship care providers to the chil-
dren);
(iii) the characteristics of the household of such
providers (such as number of other persons in the
household and family composition);
(iv) how much access to the child is afforded to
the parent from whom the child has been removed;
(v) the cost of, and source of funds for, kinship
care (including any subsidies such as medicaid and
cash assistance);
(vi) the permanency plan for the child and the
actions being taken by the State to achieve the plan;
(vii) the services being provided to the parent from
whom the child has been removed; and
(viii) the services being provided to the kinship
care provider; and
(B) specifically note the circumstances or conditions
under which children enter kinship care.
(b) ADVISORY PANEL.-
(1) ESTABLISHMENT-The Secretary of Health and Human
Services, in consultation with the Chairman of the Committee
on Ways and Means of the House of Representatives and the
Chairman of the Committee on Finance of the Senate, shall
convene an advisory panel which shall include parents, foster
111 STAT. 2130
PUBLIC LAW 105-89-NOV. 19, 1997
parents, relative caregivers, former foster children, State and
local public officials responsible for administering child welfare
programs, private persons involved in the delivery of child
welfare services, representatives of tribal governments and
tribal courts, judges, and academic experts.
(2) DUTIES.-The advisory panel convened pursuant to
paragraph (1) shall review the report prepared pursuant to
subsection (a), and, not later than October 1, 1998, submit
to the Secretary comments on the report.
SEC. 304. CLARIFICATION OF ELIGIBLE POPULATION FOR INDEPEND-
ENT LIVING SERVICES.
Section 477(a)(2)(A) of the Social Security Act (42 U.S.C.
677(a)(2)(A)) is amended by inserting "(including children with
respect to whom such payments are no longer being made because
the child has accumulated assets, not to exceed $5,000, which
are otherwise regarded as resources for purposes of determining
eligibility for benefits under this part)" before the comma.
SEC. 305. REAUTHORIZATION AND EXPANSION OF FAMILY PRESERVA-
TION AND SUPPORT SERVICES.
(a) REAUTHORIZATION OF FAMILY PRESERVATION AND SUPPORT
SERVICES.-
(1) IN GENERAL.-Section 430(b) of the Social Security Act
(42 U.S.C. 629(b)) is amended—
(A) in paragraph (4), by striking "or" at the end;
(B) in paragraph (5), by striking the period and
inserting a semicolon; and
(C) by adding at the end the following:
"(6) for fiscal year 1999, $275,000,000;
"(7) for fiscal year 2000, $295,000,000; and
"(8) for fiscal year 2001, $305,000,000.".
(2) CONTINUATION OF RESERVATION OF CERTAIN AMOUNTS.-
Paragraphs (1) and (2) of section 430(d) of the Social Security
Act (42 U.S.C. 629(d)(1) and (2)) are each amended by striking
"and 1998" and inserting "1998, 1999, 2000, and 2001".
(3) CONFORMING AMENDMENTS.-Section 13712 of the
Omnibus Budget Reconciliation Act of 1993 (42 U.S.C. 670
note) is amended-
(A) in subsection (c), by striking "1998" each place
it appears and inserting "2001"; and
(B) in subsection (d)(2), by striking "and 1998" and
inserting "1998, 1999, 2000, and 2001".
(b) EXPANSION FOR TIME-LIMITED FAMILY REUNIFICATION
SERVICES AND ADOPTION PROMOTION AND SUPPORT SERVICES.-
(1) ADDITIONS TO STATE PLAN.-Section 432 of the Social
Security Act (42 U.S.C. 629b) is amended—
(A) in subsection (a)—
(i) in paragraph (4), by striking "and community-
based family support services" and inserting commu-
nity-based family support services, time-limited family
reunification services, and adoption promotion and sup-
port services,"; and
(ii) in paragraph (5)(A), by striking "and commu-
nity-based family support services" and inserting "
community-based family support services, time-limited
family reunification services, and adoption promotion
and support services"; and
PUBLIC LAW 105-89-NOV. 19, 1997
111 STAT. 2131
(B) in subsection (b)(1), by striking "and family sup-
port" and inserting ", family support, time-limited family
reunification, and adoption promotion and support".
(2) DEFINITIONS OF TIME-LIMITED FAMILY REUNIFICATION
SERVICES AND ADOPTION PROMOTION AND SUPPORT SERVICES.-
Section 431(a) of the Social Security Act (42 U.S.C. 629a(a))
is amended by adding at the end the following:
"(7) TIME-LIMITED FAMILY REUNIFICATION SERVICES.-
"(A) IN GENERAL.-The term 'time-limited family
reunification services' means the services and activities
described in subparagraph (B) that are provided to a child
that is removed from the child's home and placed in a
foster family home or a child care institution and to the
parents or primary caregiver of such a child, in order
to facilitate the reunification of the child safely and
appropriately within a timely fashion, but only during the
15-month period that begins on the date that the child,
pursuant to section 475(5)(F), is considered to have entered
foster care.
"(B) SERVICES AND ACTIVITIES DESCRIBED.-The
services and activities described in this subparagraph are
the following:
"(i) Individual, group, and family counseling.
"(ii) Inpatient, residential, or outpatient substance
abuse treatment services.
"(iii) Mental health services.
"(iv) Assistance to address domestic violence.
"(v) Services designed to provide temporary child
care and therapeutic services for families, including
crisis nurseries.
"(vi) Transportation to or from any of the services
and activities described in this subparagraph.
"(8) ADOPTION PROMOTION AND SUPPORT SERVICES.-The
term 'adoption promotion and support services' means services
and activities designed to encourage more adoptions out of
the foster care system, when adoptions promote the best
interests of children, including such activities as pre- and post-
adoptive services and activities designed to expedite the adop-
tion process and support adoptive families.".
(3) ADDITIONAL CONFORMING AMENDMENTS.-
(A) PURPOSES.-Section 430(a) of the Social Security
Act (42 U.S.C. 629(a)) is amended by striking "and commu-
nity-based family support services" and inserting commu-
nity-based family support services, time-limited family
reunification services, and adoption promotion and support
services".
(B) PROGRAM TITLE.-The heading of subpart 2 of part
B of title IV of the Social Security Act (42 U.S.C. 629
et seq.) is amended to read as follows:
"Subpart 2-Promoting Safe and Stable Families".
(c) EMPHASIZING THE SAFETY OF THE CHILD.-
(1) REQUIRING ASSURANCES THAT THE SAFETY OF CHILDREN
SHALL BE OF PARAMOUNT CONCERN.-Section 432(a) of the Social
Security Act (42 U.S.C. 629b(a)) is amended—
(A) by striking "and" at the end of paragraph (7);
111 STAT. 2132
PUBLIC LAW 105-89-NOV. 19, 1997
(B) by striking the period at the end of paragraph
(8); and
(C) by adding at the end the following:
"(9) contains assurances that in administering and conduct-
ing service programs under the plan, the safety of the children
to be served shall be of paramount concern.".
(2) DEFINITIONS OF FAMILY PRESERVATION AND FAMILY
SUPPORT SERVICES.-Section 431(a) of the Social Security Act
(42 U.S.C. 629a(a)) is amended-
(A) in paragraph (1)-
(i) in subparagraph (A), by inserting "safe and"
before "appropriate" each place it appears; and
(ii) in subparagraph (B), by inserting "safely" after
"remain"; and
(B) in paragraph (2)-
(i) by inserting "safety and" before "well-being";
and
(ii) by striking "stable" and inserting "safe, stable,".
(d) CLARIFICATION OF MAINTENANCE OF EFFORT REQUIRE-
MENT.-
(1) DEFINITION OF NON-FEDERAL FUNDS.-Section 431(a) of
the Social Security Act (42 U.S.C. 629a(a)), as amended by
subsection (b)(2), is amended by adding at the end the following:
"(9) NON-FEDERAL FUNDS.-The term 'non-Federal funds'
means State funds, or at the option of a State, State and
local funds.".
42 USC 629a
(2) EFFECTIVE DATE.-The amendment made by paragraph
note.
(1) takes effect as if included in the enactment of section 13711
of the Omnibus Budget Reconciliation Act of 1993 (Public Law
103-33; 107 Stat. 649).
SEC. 306. HEALTH INSURANCE COVERAGE FOR CHILDREN WITH
SPECIAL NEEDS.
Section 471(a) of the Social Security Act (42 U.S.C. 671(a)),
as amended by section 106, is amended—
(1) in paragraph (19), by striking "and" at the end;
(2) in paragraph (20), by striking the period and inserting
"; and"; and
(3) by adding at the end the following:
"(21) provides for health insurance coverage (including,
at State option, through the program under the State plan
approved under title XIX) for any child who has been deter-
mined to be a child with special needs, for whom there is
in effect an adoption assistance agreement (other than an agree-
ment under this part) between the State and an adoptive parent
or parents, and who the State has determined cannot be placed
with an adoptive parent or parents without medical assistance
because such child has special needs for medical, mental health,
or rehabilitative care, and that with respect to the provision
of such health insurance coverage-
"(A) such coverage may be provided through 1 or more
State medical assistance programs;
"(B) the State, in providing such coverage, shall ensure
that the medical benefits, including mental health benefits,
provided are of the same type and kind as those that
would be provided for children by the State under title
XIX;
111 STAT. 2134
PUBLIC LAW 105-89-NOV. 19, 1997
the use of reasonable methods of parental discipline, or to prescribe
a particular method of parenting.
42 USC 671 note.
SEC. 402. REPORTING REQUIREMENTS.
Any information required to be reported under this Act shall
be supplied to the Secretary of Health and Human Services through
data meeting the requirements of the Adoption and Foster Care
Analysis and Reporting System established pursuant to section
479 of the Social Security Act (42 U.S.C. 679), to the extent such
data is available under that system. The Secretary shall make
such modifications to regulations issued under section 479 of such
Act with respect to the Adoption and Foster Care Analysis and
Reporting System as may be necessary to allow States to obtain
data that meets the requirements of such system in order to satisfy
the reporting requirements of this Act.
SEC. 403. SENSE OF CONGRESS REGARDING STANDBY GUARDIANSHIP.
It is the sense of Congress that the States should have in
effect laws and procedures that permit any parent who is chronically
ill or near death, without surrendering parental rights, to designate
a standby guardian for the parent's minor children, whose authority
would take effect upon-
(1) the death of the parent;
(2) the mental incapacity of the parent; or
(3) the physical debilitation and consent of the parent.
SEC. 404. TEMPORARY ADJUSTMENT OF CONTINGENCY FUND FOR
STATE WELFARE PROGRAMS.
(a) REDUCTION OF APPROPRIATION.-Section 403(b)(2) of the
Social Security Act (42 U.S.C. 603(b)(2)) is amended by inserting
" reduced by the sum of the dollar amounts specified in paragraph
(6)(C)(ii)" before the period.
(b) INCREASE IN STATE REMITTANCES.-Section 403(b)(6) of such
Act (42 U.S.C. 603(b)(6)) is amended by adding at the end the
following:
"(C) ADJUSTMENT OF STATE REMITTANCES.-
"(i) IN GENERAL.-The amount otherwise required
by subparagraph (A) to be remitted by a State for
a fiscal year shall be increased by the lesser of-
"(I) the total adjustment for the fiscal year,
multiplied by the adjustment percentage for the
State for the fiscal year; or
"(II) the unadjusted net payment to the State
for the fiscal year.
"(ii) TOTAL ADJUSTMENT.-As used in clause (i),
the term 'total adjustment' means—
"(I) in the case of fiscal year 1998, $2,000,000;
"(II) in the case of fiscal year 1999, $9,000,000;
"(III) in the case of fiscal year 2000,
$16,000,000; and
"(IV) in the case of fiscal year 2001,
$13,000,000.
"(iii) ADJUSTMENT PERCENTAGE.-As used in clause
(i), the term 'adjustment percentage' means, with
respect to a State and a fiscal year-
"(I) the unadjusted net payment to the State
for the fiscal year; divided by
PUBLIC LAW 105-89-NOV. 19, 1997
111 STAT. 2133
"(C) in the event that the State provides such coverage
through a State medical assistance program other than
the program under title XIX, and the State exceeds its
funding for services under such other program, any such
child shall be deemed to be receiving aid or assistance
under the State plan under this part for purposes of section
1902(a)(10)(A)(i)(I); and
"(D) in determining cost-sharing requirements, the
State shall take into consideration the circumstances of
the adopting parent or parents and the needs of the child
being adopted consistent, to the extent coverage is provided
through a State medical assistance program, with the rules
under such program."
SEC. 307. CONTINUATION OF ELIGIBILITY FOR ADOPTION ASSISTANCE
PAYMENTS ON BEHALF OF CHILDREN WITH SPECIAL
NEEDS WHOSE INITIAL ADOPTION HAS BEEN DISSOLVED.
(a) CONTINUATION OF ELIGIBILITY.-Section 473(a)(2) of the
Social Security Act (42 U.S.C. 673(a)(2)) is amended by adding
at the end the following: "Any child who meets the requirements
of subparagraph (C), who was determined eligible for adoption
assistance payments under this part with respect to a prior adop-
tion, who is available for adoption because the prior adoption has
been dissolved and the parental rights of the adoptive parents
have been terminated or because the child's adoptive parents have
died, and who fails to meet the requirements of subparagraphs
(A) and (B) but would meet such requirements if the child were
treated as if the child were in the same financial and other cir-
cumstances the child was in the last time the child was determined
eligible for adoption assistance payments under this part and the
prior adoption were treated as never having occurred, shall be
treated as meeting the requirements of this paragraph for purposes
of paragraph (1)(B)(ii).".
(b) APPLICABILITY.-The amendment made by subsection (a) 42 USC 673
note.
shall only apply to children who are adopted on or after October
1, 1997.
SEC. 308. STATE STANDARDS TO ENSURE QUALITY SERVICES FOR
CHILDREN IN FOSTER CARE.
Section 471(a) of the Social Security Act (42 U.S.C. 671(a)),
as amended by sections 106 and 306, is amended-
(1) in paragraph (20), by striking "and" at the end;
(2) in paragraph (21), by striking the period and inserting
"; and"; and
(3) by adding at the end the following:
"(22) provides that, not later than January 1, 1999, the
State shall develop and implement standards to ensure that
children in foster care placements in public or private agencies
are provided quality services that protect the safety and health
of the children.".
TITLE IV-MISCELLANEOUS
SEC. 401. PRESERVATION OF REASONABLE PARENTING.
42 USC 671 note.
Nothing in this Act is intended to disrupt the family unneces-
sarily or to intrude inappropriately into family life, to prohibit
111 STAT. 2136
PUBLIC LAW 105-89-NOV. 19, 1997
TITLE V-EFFECTIVE DATE
42 USC 622 note.
SEC. 501. EFFECTIVE DATE.
(a) IN GENERAL.-Except as otherwise provided in this Act,
the amendments made by this Act take effect on the date of enact-
ment of this Act.
(b) DELAY PERMITTED IF STATE LEGISLATION REQUIRED.-In
the case of a State plan under part B or E of title IV of the
Social Security Act which the Secretary of Health and Human
Services determines requires State legislation (other than legisla-
tion appropriating funds) in order for the plan to meet the additional
requirements imposed by the amendments made by this Act, the
State plan shall not be regarded as failing to comply with the
requirements of such part solely on the basis of the failure of
the plan to meet such additional requirements before the first
day of the first calendar quarter beginning after the close of the
first regular session of the State legislature that begins after the
date of enactment of this Act. For purposes of the previous sentence,
in the case of a State that has a 2-year legislative session, each
year of such session shall be deemed to be a separate regular
session of the State legislature.
Approved November 19, 1997.
LEGISLATIVE HISTORY-H.R. 867:
HOUSE REPORTS: No. 105-77 (Comm. on Ways and Means).
CONGRESSIONAL RECORD, Vol. 143 (1997):
Apr. 30, considered and passed House.
Nov. 8, considered and passed Senate, amended.
Nov. 13, House concurred in Senate amendment with an amendment. Senate
concurred in House amendment.
WEEKLY COMPILATION OF PRESIDENTIAL DOCUMENTS, Vol. 33 (1997):
Nov. 19, Presidential remarks.
PUBLIC LAW 105-89-NOV. 19, 1997
111 STAT. 2135
"(II) the sum of the unadjusted net payments
to all States for the fiscal year.
"(iv) UNADJUSTED NET PAYMENT.-As used in this
subparagraph, the term, 'unadjusted net payment'
means with respect to a State and a fiscal year-
"(I) the total amount paid to the State under
paragraph (3) in the fiscal year; minus
"(II) the amount that, in the absence of this
subparagraph, would be required by subparagraph
(A) or by section 409(a)(10) to be remitted by the
State in respect of the payment.".
(c) RECOMMENDATIONS FOR IMPROVING THE OPERATION OF THE
CONTINGENCY FUND.-Not later than March 1, 1998, the Secretary
of Health and Human Services shall make recommendations to
the Congress for improving the operation of the Contingency Fund
for State Welfare Programs.
SEC. 405. COORDINATION OF SUBSTANCE ABUSE AND CHILD Reports.
PROTECTION SERVICES.
42 USC 613 note.
Within 1 year after the date of the enactment of this Act,
the Secretary of Health and Human Services, based on information
from the Substance Abuse and Mental Health Services Administra-
tion and the Administration for Children and Families in the
Department of Health of Human Services, shall prepare and submit
to the Committee on Ways and Means of the House of Representa-
tives and the Committee on Finance of the Senate a report which
describes the extent and scope of the problem of substance abuse
in the child welfare population, the types of services provided to
such population, and the outcomes resulting from the provision
of such services to such population. The report shall include rec-
ommendations for any legislation that may be needed to improve
coordination in providing such services to such population.
SEC. 406. PURCHASE OF AMERICAN-MADE EQUIPMENT AND 42 USC 671 note.
PRODUCTS.
(a) IN GENERAL.-It is the sense of the Congress that, to the
greatest extent practicable, all equipment and products purchased
with funds made available under this Act should be American-
made.
(b) NOTICE REQUIREMENT.-In providing financial assistance
to, or entering into any contract with, any entity using funds
made available under this Act, the head of each Federal agency,
to the greatest extent practicable, shall provide to such entity
a notice describing the statement made in subsection (a) by the
Congress.
Attachment B
Compilation of Titles IV-B and IV-E of the Social Security Act (11/19/97) - Page 1
TITLE IV
PART B--CHILD AND FAMILY SERVICES
Subpart 1--Child Welfare Services
APPROPRIATION
SEC. 420. [42 U.S.C. 620] (a) For the purpose of enabling the United States, through
the Secretary, to cooperate with State public welfare agencies in establishing, extending, and
strengthening child welfare services, there is authorized to be appropriated for each fiscal year
the sum of $325,000,000.
(b) Funds appropriated for any fiscal year pursuant to the authorization contained in
subsection (a) shall be included in the appropriation Act (or supplemental appropriation Act)
for the fiscal year preceding the fiscal year for which such funds are available for obligation.
In order to effect a transition to this method of timing appropriation action, the preceding
sentence shall apply notwithstanding the fact that its initial application will result in the
enactment in the same year (whether in the same appropriation Act or otherwise) of two
separate appropriations, one for the then current fiscal year and one for the succeeding fiscal
year.
ALLOTMENTS TO STATES
SEC. 421. [42 U.S.C. 621] (a) The sum appropriated pursuant to section 420 for each
fiscal year shall be allotted by the Secretary for use by cooperating State public welfare
agencies which have plans developed jointly by the State agency and the Secretary as follows:
He shall first allot $70,000 to each State, and shall then allot to each State an amount which
bears the same ratio to the remainder of such sum as the product of (1) the population of the
State under the age of twenty-one and (2) the allotment percentage of the State (as determined
under this section) bears to the sum of the corresponding products of all the States.
(b) The "allotment percentage" for any State shall be 100 per centum less the State
percentage; and the State percentage shall be the percentage which bears the same ratio to 50
per centum as the per capita income of such State bears to the per capita income of the United
States; except that (1) the allotment percentage shall in no case be less than 30 per centum or
more than 70 per centum, and (2) the allotment percentage shall be 70 per centum in the case
of Puerto Rico, the Virgin Islands, Guam, and American Samoa.
(c) The allotment percentage for each State shall be promulgated by the Secretary
between October 1 and November 30 of each even-numbered year, on the basis of the average
per capita income of each State and of the United States for the three most recent calendar
years for which satisfactory data are available from the Department of Commerce.
Compilation of Titles IV-B and IV-E of the Social Security Act (11/19/97) - Page 2
Such promulgation shall be conclusive for each of the two fiscal years in the period
beginning October 1 next succeeding such promulgation.
(d) For purposes of this section, the term "United States" means the fifty States and
the District of Columbia.
STATE PLANS FOR CHILD WELFARE SERVICES¹
SEC. 422. [42 U.S.C. 622] (a) In order to be eligible for payment under this subpart,
a State must have a plan for child welfare services which has been developed jointly by the
Secretary and the State agency designated pursuant to subsection (b)(1), and which meets the
requirements of subsection (b).
(b) Each plan for child welfare services under this subpart shall--
(1) provide that (A) the individual or agency that administers or supervises the
administration of the State's services program under title XX will administer or
supervise the administration of the plan (except as otherwise provided in section
103(d) of the Adoption Assistance and Child Welfare Act of 1980), and (B) to the
extent that child welfare services are furnished by the staff of the State agency or
local agency administering the plan, a single organizational unit in such State or local
agency, as the case may be, will be responsible for furnishing such child welfare
services;
(2) provide for coordination between the services provided for children under
the plan and the services and assistance provided under title XX, under the State
program funded under part A, under the State plan approved under subpart 2 of this
part, under the State plan approved under part E, and under other State programs
having a relationship to the program under this subpart, with a view to provision of
welfare and related services which will best promote the welfare of such children and
their families.
(3) provide that the standards and requirements imposed with respect to child
day care under title XX shall apply with respect to day care services under this
subpart, except insofar as eligibility for such services is involved;
P.L. 96-272, §103 (a), amended $422 in its entirety effective June 17,
1980, except that in the case of Guam, Puerto Rico, the Virgin Islands, and
the Commonwealth of the Northern Mariana Islands, $422 (b) (1) shall be deemed
to read as follows:
(1) provide that (A) the State agency designated pursuant to section 402 (a) (3)
to administer or supervise the administration of the plan of the State
approved under part A of this title will administer or supervise the
administration of such plan for child welfare services, and (B) to the extent
that child welfare services are furnished by the staff of the State agency or
local agency administering such plan for child welfare services, the
organizational unit in such State or local agency established pursuant to
section 402 (a) (15) will be responsible for furnishing such child welfare
services;
Compilation of Titles IV-B and IV-E of the Social Security Act (11/19/97) - Page 3
(4) provide for the training and effective use of paid paraprofessional staff,
with particular emphasis on the full-time or part-time employment of persons of low
income, as community service aides, in the administration of the plan, and for the use
of nonpaid or partially paid volunteers in providing services and in assisting any
advisory committees established by the State agency;
(5) contain a description of the services to be provided and specify the
geographic areas where such services will be available;
(6) contain a description of the steps which the State will take to provide child
welfare services and to make progress in--
(A) covering additional political subdivisions,
(B) reaching additional children in need of services, and
(C) expanding and strengthening the range of existing services and
developing new types of services, along with a description of the State's child
welfare services staff development and training plans;
(7) provide, in the development of services for children, for utilization of the
facilities and experience of voluntary agencies in accordance with State and local
programs and arrangements, as authorized by the State;
(8) provide that the agency administering or supervising the administration of
the plan will furnish such reports, containing such information, and participate in such
evaluations, as the Secretary may require;
(9) provide for the diligent recruitment of potential foster and adoptive families
that reflect the ethnic and racial diversity of children in the State for whom foster and
adoptive homes are needed;
(10) provide assurances that the State--
(A) since June 17, 1980, has completed an inventory of all children
who, before the inventory, had been in foster care under the responsibility of
the State for 6 months or more, which determined--
(i) the appropriateness of, and necessity for, the foster care
placement;
(ii) whether the child could or should be returned to the parents
of the child or should be freed for adoption or other permanent
placement; and
(iii) the services necessary to facilitate the return of the child or
the placement of the child for adoption or legal guardianship;
(B) is operating, to the satisfaction of the Secretary--
(i) a statewide information system from which can be readily
determined the status, demographic characteristics, location, and goals
for the placement of every child who is (or, within the immediately
preceding 12 months, has been) in foster care;
(ii) a case review system (as defined in section 475(5) for each
child receiving foster care under the supervision of the State;
(iii) a service program designed to help children--
(I) where safe and appropriate, return to families from
which they have been removed; or
Compilation of Titles IV-B and IV-E of the Social Security Act (11/19/97) - Page 4
(II) be placed for adoption, with a legal guardian, or, if
adoption or legal guardianship is determined not to be appropriate for a
child, in some other planned, permanent living arrangement; and
(iv) a preplacement preventive services program designed to
help children at risk of foster care placement remain safely with their
families; and
(C)(i) has reviewed (or within 12 months after the date of the
enactment of this paragraph will review) State policies and administrative and
judicial procedures in effect for children abandoned at or shortly after birth
(including policies and procedures providing for legal representation of such
children); and
(ii) is implementing (or within 24 months after the date of the
enactment of this paragraph will implement) such policies and procedures as
the State determines, on the basis of the review described in clause (i), to be
necessary to enable permanent decisions to be made expeditiously with respect
to the placement of such children; and
(11) contain a description, developed after consultation with tribal
organizations (as defined in section 4 of the Indian Self-Determination and Education
Assistance Act) in the State, of the specific measures taken by the State to comply
with the Indian Child Welfare Act-; and
(12) contain assurances that the State shall develop plans for the effective use
of cross-jurisdictional resources to facilitate timely adoptive or permanent placements
for waiting children.
PAYMENT TO STATES
SEC. 423. [42 U.S.C. 623] (a) From the sums appropriated therefor and the allotment
under this subpart, subject to the conditions set forth in this section, the Secretary shall from
time to time pay to each State that has a plan developed in accordance with section 422 an
amount equal to 75 per centum of the total sum expended under the plan (including the cost
of administration of the plan) in meeting the costs of State, district, county, or other local
child welfare services.
(b) The method of computing and making payments under this section shall be as
follows:
(1) The Secretary shall, prior to the beginning of each period for which a
payment is to be made, estimate the amount to be paid to the State for such period
under the provisions of this section.
(2) From the allotment available therefor, the Secretary shall pay the amount
so estimated, reduced or increased, as the case may be, by any sum (not previously
adjusted under this section) by which he finds that his estimate of the amount to be
paid the State for any prior period under this section was greater or less than the
amount which should have been paid to the State for such prior period under this
section.
Compilation of Titles IV-B and IV-E of the Social Security Act (11/19/97) - Page 5
(c)(1) No payment may be made to a State under this part. for any fiscal year
beginning after September 30, 1979, with respect to State expenditures made for (A) child
day care necessary solely because of the employment, or training to prepare for employment.
of a parent or other relative with whom the child involved is living, (B) foster care
maintenance payments, and (C) adoption assistance payments, to the extent that the Federal
payment with respect to those expenditures would exceed the total amount of the Federal
payment under this part for fiscal year 1979.
(2) Expenditures made by a State for any fiscal year which begins after September 30,
1979, for foster care maintenance payments shall be treated for purposes of making Federal
payments under this part with respect to expenditures for child welfare services. as if such
foster care maintenance payments constituted child welfare services of a type to which the
limitation imposed by paragraph (1) does not apply; except that the amount payable to the
State with respect to expenditures made for other child welfare services and for foster care
maintenance payments during any such year shall not exceed 100 per centum of the amount
of the expenditures made for child welfare services for which payment may be made under
the limitation imposed by paragraph (1) as in effect without regard to this paragraph.
(d) No payment may be made to a State under this part in excess of the payment
made under this part for fiscal year 1979, for any fiscal year beginning after September 30,
1979, if for the latter fiscal year the total of the State's expenditures for child welfare
services under this part (excluding expenditures for activities specified in subsection (c)(1)) is
less than the total of the State's expenditures under this part (excluding expenditures for such
activities) for fiscal year 1979.
REALLOTMENT
SEC. 424. [42 U.S.C. 624] (a) IN GENERAL Subject to subsection (b), the amount
of any allotment to a State under section 421 for any fiscal year which the State certifies to
the Secretary will not be required for carrying out the State plan developed as provided in
section 422 shall be available for reallotment from time to time, on such dates as the
Secretary may fix, to other States which the Secretary determines (1) have need in carrying
out their State plans so developed for sums in excess of those previously allotted to them
under section 421 and (2) will be able to use such excess amounts during such fiscal year.
Such reallotments shall be made on the basis of the State plans so developed, after taking
into consideration the population under the age of twenty-one, and the per capita income of
each such State as compared with the population under the age of twenty-one, and the per
capita income of all such States with respect to which such a determination by the Secretary
has been made. Any amount so reallotted to a State shall be deemed part of its allotment
under section 421.
(b) EXCEPTION RELATING TO FOSTER CHILD PROTECTIONS The Secretary
shall not reallot under subsection (a) of this section any amount that is withheld or recovered
from a State due to the failure of the State to meet the requirements of section 422(b)(10).
Compilation of Titles IV-B and IV-E of the Social Security Act (11/19/97) - Page 6
DEFINITIONS
SEC. 425. [42 U.S.C. 625] (a)(1) For purposes of this title, the term "child welfare
services" means public social services which are directed toward the accomplishment of the
following purposes: (A) protecting and promoting the welfare of all children, including
handicapped, homeless, dependent, or neglected children; (B) preventing or remedying, or
assisting in the solution of problems which may result in, the neglect, abuse, exploitation, or
delinquency of children; (C) preventing the unnecessary separation of children from their
families by identifying family problems, assisting families in resolving their problems, and
preventing breakup of the family where the prevention of child removal is desirable and
possible; (D) restoring to their families children who have been removed, by the provision of
services to the child and the families; (E) placing children in suitable adoptive homes, in
cases where restoration to the biological family is not possible or appropriate: and (F)
assuring adequate care of children away from their homes, in cases where the child cannot be
returned home or cannot be placed for adoption.
(2) Funds expended by a State for any calendar quarter to comply with section
422(b)(10) or 476(b), and funds expended with respect to nonrecurring costs of adoption
proceedings in the case of children placed for adoption with respect to whom assistance is
provided under a State plan for adoption assistance approved under part E of this title, shall
be deemed to have been expended for child welfare services.
(b) For other definitions relating to this part and to part E of this title, see section 475
of this Act.
RESEARCH, TRAINING, OR DEMONSTRATION PROJECTS
SEC. 426. [42 U.S.C. 626] (a) There are hereby authorized to be appropriated for
each fiscal year such sums as the Congress may determine--
(1) for grants by the Secretary--
(A) to public or other nonprofit institutions of higher learning, and to
public or other nonprofit agencies and organizations engaged in research or
child-welfare activities, for special research or demonstration projects in the
field of child welfare which are of regional or national significance and for
special projects for the demonstration of new methods or facilities which show
promise of substantial contribution to the advancement of child welfare;
(B) to State or local public agencies responsible for administering, or
supervising the administration of, the plan under this part, for projects for the
demonstration of the utilization of research (including findings resulting there-
from) in the field of child welfare in order to encourage experimental and
special types of welfare services; and
(C) to public or other nonprofit institutions of higher learning for
special projects for training personnel for work in the field of child welfare,
including traineeships described in section 429 with such stipends and
allowances as may be permitted by the Secretary; and
Compilation of Titles IV-B and IV-E of the Social Security Act (11/19/97) - Page 7
(2) for contracts or jointly financed cooperative arrangements with States and
public and other organizations and agencies for the conduct of research, special
projects, or demonstration projects relating to such matters.
(b)(1) There are authorized to be appropriated $4,000,000 for each of the fiscal years
1988, 1989, and 1990 for grants by the Secretary to public or private nonprofit entities
submitting applications under this subsection for the purpose of conducting demonstration
projects under this subsection to develop alternative care arrangements for infants who do not
have health conditions that require hospitalization and who would otherwise remain in
inappropriate hospital settings.
(2) The demonstration projects conducted under this section may include--
(A) multidisciplinary projects designed to prevent the inappropriate
hospitalization of infants and to allow infants described in paragraph (1) to remain
with or return to a parent in a residential setting, where appropriate care for the infant
and suitable treatment for the parent (including treatment for drug or alcohol
addiction) may be assured, with the goal (where possible) of rehabilitating the parent
and eliminating the need for such care for the infant;
(B) multidisciplinary projects that assure appropriate, individualized care for
such infants in a foster home or other non-medical residential setting in cases where
such infant does not require hospitalization and would otherwise remain in
inappropriate hospital settings, including projects to demonstrate methods to recruit,
train, and retain foster care families; and
(C) such other projects as the Secretary determines will best serve the interests
of such infants and will serve as models for projects that agencies or organizations in
other communities may wish to develop.
(3) In the case of any project which includes the use of funds authorized under this
subsection for the care of infants in foster homes or other non-medical residential settings
away from their parents, there shall be developed for each such infant a case plan of the type
described in section 475(1) (to the extent that such infant is not otherwise covered by such a
plan), and each such project shall include a case review system of the type described in
section 475(5) (covering each such infant who is not otherwise subject to such a system).
(4) In evaluating applications from entities proposing to conduct demonstration
projects under this subsection, the Secretary shall give priority to those projects that serve
areas most in need of alternative care arrangements for infants described in paragraph (1).
(5) No project may be funded unless the application therefor contains assurances that
it will--
(A) provide for adequate evaluation;
(B) provide for coordination with local governments;
(C) provide for community education regarding the inappropriate
hospitalization of infants;
(D) use, to the extent practical, other available private, local, State, and
Federal sources for the provision of direct services; and
(E) meet such other criteria as the Secretary may prescribe.
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(6) Grants may be used to pay the costs of maintenance and of necessary medical and
social services (to the extent that these costs are not otherwise paid for under other titles of
this Act), and for such other purposes as the Secretary may allow.
(7) The Secretary shall provide training and technical assistance to grantees, as
requested.
(c) Payments of grants or under contracts or cooperative arrangements under this
section may be made in advance or by way of reimbursement, and in such installments, as
the Secretary may determine; and shall be made on such conditions as the Secretary finds
necessary to carry out the purposes of the grants, contracts, or other arrangements.
PAYMENTS TO INDIAN TRIBAL ORGANIZATIONS
SEC. 428. [42 U.S.C. 628] (a) The Secretary may, in appropriate cases (as
determined by the Secretary) make payments under this subpart directly to an Indian tribal
organization within any State which has a plan for child welfare services approved under this
subpart. Such payments shall be made in such manner and in such amounts as the Secretary
determines to be appropriate.
(b) Amounts paid under subsection (a) shall be deemed to be a part of the allotment
(as determined under section 421) for the State in which such Indian tribal organization is
located.
(c) For purposes of this section, the terms "Indian tribe" and "tribal organization"
shall have the meanings given such terms by subsections (e) and (I) of section 4 of the Indian
Self-Determination and Education Assistance Act (25 U.S.C. 450b), respectively.
CHILD WELFARE TRAINEESHIPS
SEC. 429. [42 U.S.C. 628a] The Secretary may approve an application for a grant to
a public or nonprofit institution for higher learning to provide traineeships with stipends
under section 426(a)(1)(C) only if the application--
(1) provides assurances that each individual who receives a stipend with such
traineeship (in this section referred to as a "recipient") will enter into an agreement with the
institution under which the recipient agrees--
(A) to participate in training at a public or private nonprofit child welfare
agency on a regular basis (as determined by the Secretary) for the period of the
traineeship;
(B) to be employed for a period of years equivalent to the period of the
traineeship, in a public or private nonprofit child welfare agency in any State, within
a period of time (determined by the Secretary in accordance with regulations) after
completing the postsecondary education for which the traineeship was awarded;
(C) to furnish to the institution and the Secretary evidence of compliance with
subparagraphs (A) and (B); and
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(D) if the recipient fails to comply with subparagraph (A) or (B) and does not
qualify for any exception to this subparagraph which the Secretary may prescribe in
regulations, to repay to the Secretary all (or an appropriately prorated part) of the
amount of the stipend, plus interest, and, if applicable, reasonable collection fees (in
accordance with regulations promulgated by the Secretary);
(2) provides assurances that the institution will--
(A) enter into agreements with child welfare agencies for onsite training of
recipients;
(B) permit an individual who is employed in the field of child welfare services
to apply for a traineeship with a stipend if the traineeship furthers the progress of the
individual toward the completion of degree requirements; and
(C) develop and implement a system that, for the 3-year period that begins on
the date any recipient completes a child welfare services program of study, tracks the
employment record of the recipient, for the purpose of determining the percentage of
recipients who secure employment in the field of child welfare services and remain
employed in the field.
NATIONAL RANDOM SAMPLE STUDY OF CHILD WELFARE
SEC. 429A. [42 U.S.C. 628b] (a) IN GENERAL. The Secretary shall conduct
(directly, or by grant, contract, or interagency agreement) a national study based on random
samples of children who are at risk of child abuse or neglect, or are determined by States to
have been abused or neglected.
(b) REQUIREMENTS The study required by subsection (a) shall--
(1) have a longitudinal component; and
(2) yield data reliable at the State level for as many States as the Secretary
determines is feasible.
(c)
PREFERRED CONTENTS In conducting the study required by subsection (a),
the Secretary should--
(1) carefully consider selecting the sample from cases of confirmed abuse or
neglect; and
(2) follow each case for several years while obtaining information on, among
other things--
(A) the type of abuse or neglect involved;
(B) the frequency of contact with State or local agencies;
(C) whether the child involved has been separated from the family,
and, if so, under what circumstances;
(D) the number, type, and characteristics of out-of-home placements of
the child; and
(E) the average duration of each placement.
(d) REPORTS.
(1) IN GENERAL From time to time, the Secretary shall prepare reports
summarizing the results of the study required by subsection (a).
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(2) AVAILABILITY.--The Secretary shall make available to the public any
report prepared under paragraph (1), in writing or in the form of an electronic data
tape.
(3) AUTHORITY TO CHARGE FEE.--The Secretary may charge and collect
a fee for the furnishing of reports under paragraph (2).
(e) APPROPRIATION.--Out of any money in the Treasury of the United States not
otherwise appropriated, there are appropriated to the Secretary for each of fiscal years 1996
through 2002 $6,000,000 to carry out this section.
Subpart 2 Family Preservation and Support Services
Subpart 2--Promoting Safe and Stable Families
PURPOSES; LIMITATIONS ON AUTHORIZATIONS OF APPROPRIATIONS;
RESERVATION OF CERTAIN AMOUNTS
SEC. 430. [42 U.S.C. 629] (a) PURPOSES; LIMITATIONS ON AUTHORIZATION
OF APPROPRIATIONS.-For the purpose of encouraging and enabling each State to develop
and establish, or expand, and to operate a program of family preservation services and
community based family support services, community-based family support services, time-
limited family reunification services, and adoption promotion and support services, there are
authorized to be appropriated to the Secretary the amounts described in subsection (b) for the
fiscal years specified in subsection (b).
(b) Description of Amounts.--The amount described in this subsection is--
(1) for fiscal year 1994, $60,000,000;
(2) for fiscal year 1995, $150,000,000;
(3) for fiscal year 1996, $225,000,000;
(4) for fiscal year 1997, $240,000,000; or
(5) for fiscal year 1998, the greater of--
(A) $255,000,000; or
(B) the amount described in this subsection for fiscal year 1997,
increased by the inflation percentage applicable to fiscal year 1998-;
(6) for fiscal year 1999, $275,000,000;
(7) for fiscal year 2000, $295,000,000; and
(8) for fiscal year 2001, $305,000,000.
(c) INFLATION PERCENTAGE.--For purposes of subsection (b)(5)(B) of this
section, the inflation percentage applicable to any fiscal year is the percentage (if any) by
which--
(1) the average of the Consumer Price Index (as defined in section 1(f)(5) of
the Internal Revenue Code of 1986) for the 12-month period ending on December 31
of the immediately preceding fiscal year; exceeds
(2) the average of the Consumer Price Index (as so defined) for the 12-month
period ending on December 31 of the 2nd preceding fiscal year.
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(d) RESERVATION OF CERTAIN AMOUNTS.--
(1) EVALUATION, RESEARCH, TRAINING, AND TECHNICAL
ASSISTANCE The Secretary shall reserve $2,000,000 of the amount described in
subsection (b) for fiscal year 1994, and $6,000,000 of the amounts so described for
each of fiscal years 1995, 1996, 1997, and 1998-1998, 1999, 2000, and 2001, for
expenditure by the Secretary--
(A) for research, training, and technical assistance related to the
program under this subpart; and
(B) for evaluation of State programs funded under this subpart and any
other Federal, State, or local program, regardless of whether federally
assisted, that is designed to achieve the same purposes as the program under
this subpart.
(2) STATE COURT ASSESSMENTS. The Secretary shall reserve $5,000,000
of the amount described in subsection (b) for fiscal year 1995, and $10,000,000 of the
amounts so described for each of fiscal years 1996, 1997, and 1998-1998, 1999,
2000, and 2001, for grants under section 13712 of the Omnibus Budget Reconciliation
Act of 1993.
(3) Indian tribes The Secretary shall reserve 1 percent of the amounts
described in subsection (b) for each fiscal year, for allotment to Indian tribes in
accordance with section 433(a).
DEFINITIONS
SEC. 431. [42 U.S.C. 629a] (a) IN GENERAL As used in this subpart:
(1) FAMILY PRESERVATION SERVICES. The term "family preservation
services" means services for children and families designed to help families (including
adoptive and extended families) at risk or in crisis, including--
(A) service programs designed to help children--
(i) where safe and appropriate, return to families from which
they have been removed; or
(ii) be placed for adoption, with a legal guardian, or, if adoption
or legal guardianship is determined not to be safe and appropriate for a
child, in some other planned, permanent living arrangement;
(B) preplacement preventive services programs, such as intensive
family preservation programs, designed to help children at risk of foster care
placement remain safely with their families;
(C) service programs designed to provide followup care to families to
whom a child has been returned after a foster care placement;
(D) respite care of children to provide temporary relief for parents and
other caregivers (including foster parents); and
(E) services designed to improve parenting skills (by reinforcing
parents' confidence in their strengths, and helping them to identify where
improvement is needed and to obtain assistance in improving those skills) with
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respect to matters such as child development, family budgeting, coping with
stress, health, and nutrition.
(2) FAMILY SUPPORT SERVICES.- The term "family support services"
means community-based services to promote the safety and well-being of children and
families designed to increase the strength and stability of families (including adoptive,
foster, and extended families), to increase parents' confidence and competence in their
parenting abilities, to afford children a stable-safe, stable and supportive family
environment, and otherwise to enhance child development.
(3) State agency.--The term "State agency" means the State agency responsible
for administering the program under subpart 1.
(4) State.--The term "State" includes an Indian tribe or tribal organization, in
addition to the meaning given such term for purposes of subpart 1.
(5) Tribal organization. The term "tribal organization" means the recognized
governing body of any Indian tribe.
(6) Indian tribe.--The term "Indian tribe" means any Indian tribe (as defined in
482(i)(5)) and any Alaska Native organization (as defined in 482(i)(7)(A)).
(7) TIME-LIMITED FAMILY REUNIFICATION SERVICES.- -
(A) IN GENERAL.-The term "time-limited family reunification
services' means the services and activities described in subparagraph (B) that
are provided to a child that is removed from the child's home and placed in a
foster family home or a child care institution and to the parents or primary
caregiver of such a child, in order to facilitate the reunification of the child
safely and appropriately within a timely fashion, but only during the 15-month
period that begins on the date that the child, pursuant to section 475(5)(F), is
considered to have entered foster care.
(B) SERVICES AND ACTIVITIES DESCRIBED The services and
activities described in this subparagraph are the following:
(i) Individual, group, and family counseling.
(ii) Inpatient, residential, or outpatient substance abuse treatment
services.
(iii) Mental health services.
(iv) Assistance to address domestic violence.
(v) Services designed to provide temporary child care and
therapeutic services for families, including crisis nurseries.
(vi) Transportation to or from any of the services and activities
described in this subparagraph.
(8) ADOPTION PROMOTION AND SUPPORT SERVICES The term
"adoption promotion and support services' means services and activities designed to
encourage more adoptions out of the foster care system, when adoptions promote the
best interests of children, including such activities as pre- and post-adoptive services
and activities designed to expedite the adoption process and support adoptive families.
(9) NON-FEDERAL FUNDS.-The term 'non-Federal funds' means State
funds, or at the option of a State, State and local funds.
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(b) Other Terms For other definitions of other terms used in this subpart, see
section 475.
STATE PLANS
SEC. 432. [42 U.S.C. 629b] (a) PLAN REQUIREMENTS A State plan meets the
requirements of this subsection if the plan--
(1) provides that the State agency shall administer, or supervise the
administration of, the State program under this subpart;
(2)(A)(i) sets forth the goals intended to be accomplished under the plan by the
end of the 5th fiscal year in which the plan is in operation in the State, and (ii) is
updated periodically to set forth the goals intended to be accomplished under the plan
by the end of each 5th fiscal year thereafter;
(B) describes the methods to be used in measuring progress toward
accomplishment of the goals;
(C) contains assurances that the State--
(i) after the end of each of the 1st 4 fiscal years covered by a set of
goals, will perform an interim review of progress toward accomplishment of
the goals, and on the basis of the interim review will revise the statement of
goals in the plan, if necessary, to reflect changed circumstances; and
(ii) after the end of the last fiscal year covered by a set of goals, will
perform a final review of progress toward accomplishment of the goals, and
on the basis of the final review (I) will prepare, transmit to the Secretary, and
make available to the public a final report on progress toward accomplishment
of the goals, and (II) will develop (in consultation with the entities required to
be consulted pursuant to subsection (b)) and add to the plan a statement of the
goals intended to be accomplished by the end of the 5th succeeding fiscal year;
(3) provides for coordination, to the extent feasible and appropriate, of the
provision of services under the plan and the provision of services or benefits under
other Federal or federally assisted programs serving the same populations;
(4) contains assurances that not more than 10 percent of expenditures under the
plan for any fiscal year with respect to which the State is eligible for payment under
section 434 for the fiscal year shall be for administrative costs, and that the remaining
expenditures shall be for programs of family preservation services-and
community based family support services, community-based family support services,
time-limited family reunification services, and adoption promotion and support
services, with significant portions of such expenditures for each such program;
(5) contains assurances that the State will--
(A) annually prepare, furnish to the Secretary, and make available to
the public a description (including separate descriptions with respect to family
preservation services and community based family support services,
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community-based family support services, time-limited family reunification
services, and adoption promotion and support services) of--
(i) the service programs to be made available under the plan in
the immediately succeeding fiscal year;
(ii) the populations which the programs will serve; and
(iii) the geographic areas in the State in which the services will
be available; and
(B) perform the activities described in subparagraph (A)--
(i) in the case of the 1st fiscal year under the plan, at the time
the State submits its initial plan; and
(ii) in the case of each succeeding fiscal year, by the end of the
3rd quarter of the immediately preceding fiscal year;
(6) provides for such methods of administration as the Secretary finds to be
necessary for the proper and efficient operation of the plan;
(7)(A) contains assurances that Federal funds provided to the State under this
subpart will not be used to supplant Federal or non-Federal funds for existing services
and activities which promote the purposes of this subpart; and
(B) provides that the State will furnish reports to the Secretary, at such times,
in such format, and containing such information as the Secretary may require, that
demonstrate the State's compliance with the prohibition contained in subparagraph
(A); and
(8) provides that the State agency will furnish such reports, containing such
information, and participate in such evaluations. as the Secretary may require-2
(9) contains assurances that in administering and conducting service programs
under the plan, the safety of the children to be served shall be of paramount concern.
(b) APPROVAL OF PLANS
(1) IN GENERAL The Secretary shall approve a plan that meets the
requirements of subsection (a) only if the plan was developed jointly by the Secretary
and the State, after consultation by the State agency with appropriate public and
nonprofit private agencies and community-based organizations with experience in
administering programs of services for children and families (including family
preservation-and family support, family support, time-limited family reunification, and
adoption promotion and support services).
(2) PLANS OF INDIAN TRIBES
(A) EXEMPTION FROM INAPPROPRIATE REQUIREMENTS. The
Secretary may exempt a plan submitted by an Indian tribe from any
requirement of this section that the Secretary determines would be
inappropriate to apply to the Indian tribe, taking into account the resources,
needs, and other circumstances of the Indian tribe.
(B) SPECIAL RULE. Notwithstanding subparagraph (A) of this
paragraph, the Secretary may not approve a plan of an Indian tribe under this
Drafting error; punctuation removed, but not replaced.
Compilation of Titles IV-B and IV-E of the Social Security Act (11/19/97) - Page 15
subpart to which (but for this subparagraph) an allotment of less than $10,000
would be made under section 433(a) if allotments were made under section
433(a) to all Indian tribes with plans approved under this subpart with the
same or larger numbers of children.
ALLOTMENTS TO STATES
SEC. 433. [42 U.S.C. 629c] (a) INDIAN TRIBES From the amount reserved
pursuant to section 430(d)(3) for any fiscal year, the Secretary shall allot to each Indian tribe
with a plan approved under this subpart an amount that bears the same ratio to such reserved
amount as the number of children in the Indian tribe bears to the total number of children in
all Indian tribes with State plans so approved, as determined by the Secretary on the basis of
the most current and reliable information available to the Secretary.
(b) TERRITORIES. From the amount described in section 430(b) for any fiscal year
that remains after applying section 430(d) for the fiscal year, the Secretary shall allot to each
of the jurisdictions of Puerto Rico, Guam, the Virgin Islands, the Northern Mariana Islands,
and American Samoa an amount determined in the same manner as the allotment to each of
such jurisdictions is determined under section 421.
(c) OTHER STATES
(1) IN GENERAL From the amount described in section 430(b) for any
fiscal year that remains after applying section 430(d) and subsection (b) of this section
for the fiscal year, the Secretary shall allot to each State (other than an Indian tribe)
which is not specified in subsection (b) of this section an amount equal to such
remaining amount multiplied by the food stamp percentage of the State for the fiscal
year.
(2) FOOD STAMP PERCENTAGE DEFINED
(A) IN GENERAL As used in paragraph (1) of this subsection, the
term "food stamp percentage" means, with respect to a State and a fiscal year,
the average monthly number of children receiving food stamp benefits in the
State for months in the 3 fiscal years referred to in subparagraph (B) of this
paragraph, as determined from sample surveys made under section 16(c) of the
Food Stamp Act of 1977. expressed as a percentage of the average monthly
number of children receiving food stamp benefits in the States described in
such paragraph (1) for months in such 3 fiscal years, as so determined.
(B) FISCAL YEARS USED IN CALCULATION For purposes of the
calculation pursuant to subparagraph (A), the Secretary shall use data for the 3
most recent fiscal years, preceding the fiscal year for which the State's
allotment is calculated under this subsection, for which such data are available
to the Secretary.
PAYMENTS TO STATES
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SEC. 434. [42 U.S.C. 629d] (a) ENTITLEMENT
(1) GENERAL RULE.--Except as provided in paragraph (2) of this
subsection, each State which has a plan approved under this subpart shall be entitled
to payment of the lesser of--
(A) 75 percent of the total expenditures by the State for activities under
the plan during the fiscal year or the immediately succeeding fiscal year; or
(B) the allotment of the State under section 433 for the fiscal year.
(2) SPECIAL RULE.--Upon submission by a State to the Secretary during
fiscal year 1994 of an application in such form and containing such information as the
Secretary may require (including, if the State is seeking payment of an amount
pursuant to subparagraph (B) of this paragraph, a description of the services to be
provided with the amount), the State shall be entitled to payment of an amount equal
to the sum of--
(A) such amount, not exceeding $1,000,000, from the allotment of the
State under section 433 for fiscal year 1994, as the State may require to
develop and submit a plan for approval under section 432; and
(B) an amount equal to the lesser of--
(i) 75 percent of the expenditures by the State for services to
children and families in accordance with the application and the
expenditure rules of section 432(a)(4); or
(ii) the allotment of the State under section 433 for fiscal year
1994, reduced by any amount paid to the State pursuant to
subparagraph (A) of this paragraph.
(b) PROHIBITIONS.--
(1) NO USE OF OTHER FEDERAL FUNDS FOR STATE MATCH Each
State receiving an amount paid under paragraph (1) or (2)(B) of subsection (a) may
not expend any Federal funds to meet the costs of services described in this subpart
not covered by the amount so paid.
(2) AVAILABILITY OF FUNDS A State may not expend any amount paid
under subsection (a)(1) for any fiscal year after the end of the immediately succeeding
fiscal year.
(c) DIRECT PAYMENTS TO TRIBAL ORGANIZATIONS OF INDIAN
TRIBES The Secretary shall pay any amount to which an Indian tribe is entitled under this
section directly to the tribal organization of the Indian tribe.
EVALUATIONS
SEC. 435. [42 U.S.C. 629e] (a) EVALUATIONS.
(1) IN GENERAL The Secretary shall evaluate the effectiveness of the
programs carried out pursuant to this subpart in accomplishing the purposes of this
subpart, and may evaluate any other Federal, State, or local program, regardless of
whether federally assisted, that is designed to achieve the same purposes as the
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program under this subpart, in accordance with criteria established in accordance with
paragraph (2).
(2) CRITERIA TO BE USED In developing the criteria to be used in
evaluations under paragraph (1), the Secretary shall consult with appropriate parties,
such as--
(A) State agencies administering programs under this part and part E:
(B) persons administering child and family services programs (including
family preservation and family support programs) for private, nonprofit
organizations with an interest in child welfare; and
(C) other persons with recognized expertise in the evaluation of child
and family services programs (including family preservation and family
support programs) or other related programs.
(b) COORDINATION OF EVALUATIONS. The Secretary shall develop procedures
to coordinate evaluations under this section, to the extent feasible, with evaluations by the
States of the effectiveness of programs under this subpart.
Part E--Federal Payments for Foster Care
and Adoption Assistance
PURPOSE: APPROPRIATION
SEC. 470. [42 U.S.C. 670] For the purpose of enabling each State to provide, in
appropriate cases, foster care and transitional independent living programs for children who
otherwise would have been eligible for assistance under the State's plan approved under part
A (as such plan was in effect on June 1, 1995) and adoption assistance for children with
special needs, there are authorized to be appropriated for each fiscal year (commencing with
the fiscal year which begins October 1, 1980) such sums as may be necessary to carry out
the provisions of this part. The sums made available under this section shall be used for
making payments to States which have submitted, and had approved by the Secretary, State
plans under this part.
STATE PLAN FOR FOSTER CARE AND ADOPTION ASSISTANCE
SEC. 471. [42 U.S.C. 671] (a) In order for a State to be eligible for payments under
this part, it shall have a plan approved by the Secretary which--
(1) provides for foster care maintenance payments in accordance with section
472 and for adoption assistance in accordance with section 473;
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(2) provides that the State agency responsible for administering the program
authorized by subpart 1 of part B of this title shall administer, or supervise the
administration of, the program authorized by this part;
(3) provides that the plan shall be in effect in all political subdivisions of the
State, and, if administered by them, be mandatory upon them;
(4) provides that the State shall assure that the programs at the local level
assisted under this part will be coordinated with the programs at the State or local
level assisted under parts A and B of this title, under title XX of this Act, and under
any other appropriate provision of Federal law;
(5) provides that the State will, in the administration of its programs under this
part, use such methods relating to the establishment and maintenance of personnel
standards on a merit basis as are found by the Secretary to be necessary for the
proper and efficient operation of the programs, except that the Secretary shall exercise
no authority with respect to the selection, tenure of office, or compensation of any.
individual employed in accordance with such methods;
(6) provides that the State agency referred to in paragraph (2) (hereinafter in
this part referred to as the "State agency") will make such reports, in such form and
containing such information as the Secretary may from time to time require, and
comply with such provisions as the Secretary may from time to time find necessary to
assure the correctness and verification of such reports;
(7) provides that the State agency will monitor and conduct periodic
evaluations of activities carried out under this part;
(8) provides safeguards which restrict the use of or disclosure of information
concerning individuals assisted under the State plan to purposes directly connected
with (A) the administration of the plan of the State approved under this part, the plan
or program of the State under part A, B, or D of this title (including activities under
part F) or under title I, V, X, XIV, XVI (as in effect in Puerto Rico, Guam, and the
Virgin Islands), XIX, or XX, or the supplemental security income program
established by title XVI, (B) any investigation, prosecution, or criminal or civil
proceeding, conducted in connection with the administration of any such plan or
program, (C) the administration of any other Federal or federally assisted program
which provides assistance, in cash or in kind, or services, directly to individuals on
the basis of need, (D) any audit or similar activity conducted in connection with the
administration of any such plan or program by any governmental agency which is
authorized by law to conduct such audit or activity, and (E) reporting and providing
information pursuant to paragraph (9) to appropriate authorities with respect to known
or suspected child abuse or neglect; and the safeguards so provided shall prohibit
disclosure, to any committee or legislative body (other than an agency referred to in
clause (D) with respect to an activity referred to in such clause), of any information
which identifies by name or address any such applicant or recipient; except that
nothing contained herein shall preclude a State from providing standards which
restrict disclosures to purposes more limited than those specified herein, or which, in
the case of adoptions, prevent disclosure entirely;
(9) provides that the State agency will--
Compilation of Titles IV-B and IV-E of the Social Security Act (11/19/97) - Page 19
(A) report to an appropriate agency or official, known or suspected
instances of physical or mental injury, sexual abuse or exploitation, or
negligent treatment or maltreatment of a child receiving aid under part B or
this part under circumstances which indicate that the child's health or welfare
is threatened thereby; and
(B) provide such information with respect to a situation described in
subparagraph (A) as the State agency may have;
(10) provides for the establishment or designation of a State authority or
authorities which shall be responsible for establishing and maintaining standards for
foster family homes and child care institutions which are reasonably in accord with
recommended standards of national organizations concerned with standards for such
institutions or homes, including standards related to admission policies, safety,
sanitation, and protection of civil rights, and provides that the standards so established
shall be applied by the State to any foster family home or child care institution
receiving funds under this part or part B of this title;
(11) provides for periodic review of the standards referred to in the preceding
paragraph and amounts paid as foster care maintenance payments and adoption
assistance to assure their continuing appropriateness;
(12) provides for granting an opportunity for a fair hearing before the State
agency to any individual whose claim for benefits available pursuant to this part is
denied or is not acted upon with reasonable promptness;
(13) provides that the State shall arrange for a periodic and independently
conducted audit of the programs assisted under this part and part B of this title, which
shall be conducted no less frequently than once every three years;
(14) provides (A) specific goals (which shall be established by State law on or
before October 1, 1982) for each fiscal year (commencing with the fiscal year which
begins on October 1, 1983) as to the maximum number of children (in absolute
numbers or as a percentage of all children in foster care with respect to whom
assistance under the plan is provided during such year) who, at any time during such
year, will remain in foster care after having been in such care for a period in excess
of twenty-four months, and (B) a description of the steps which will be taken by the
State to achieve such goals;
(15) effective October 1, 1983, provides that, in each case, reasonable efforts
will be made (A) prior to the placement of a child in foster care, to prevent or
eliminate the need for removal of the child from his home, and (B) to make it
possible for the child to return to his home;
(15) provides that-
(A) in determining reasonable efforts to be made with respect to a
child, as described in this paragraph, and in making such reasonable efforts,
the child's health and safety shall be the paramount concern;
(B) except as provided in subparagraph (D), reasonable efforts shall be
made to preserve and reunify families-
(i) prior to the placement of a child in foster care, to prevent or
eliminate the need for removing the child from the child's home; and
Compilation of Titles IV-B and IV-E of the Social Security Act (11/19/97) - Page 20
(ii) to make it possible for a child to safely return to the child's
home;
(C) if continuation of reasonable efforts of the type described in
subparagraph (B) is determined to be inconsistent with the permanency plan
for the child, reasonable efforts shall be made to place the child in a timely
manner in accordance with the permanency plan, and to complete whatever
steps are necessary to finalize the permanent placement of the child;
(D) reasonable efforts of the type described in subparagraph (B) shall
not be required to be made with respect to a parent of a child if a court of
competent jurisdiction has determined that--
(i) the parent has subjected the child to aggravated
circumstances (as defined in State law, which definition may include
but need not be limited to abandonment, torture, chronic abuse, and
sexual abuse);
(ii) the parent has-
(I) committed murder (which would have been an offense
under section 1111(a) of title 18, United States Code, if the
offense had occurred in the special maritime or territorial
jurisdiction of the United States) of another child of the parent;
(II) committed voluntary manslaughter (which would
have been an offense under section 1112(a) of title 18, United
States Code, if the offense had occurred in the special maritime
or territorial jurisdiction of the United States) of another child of
the parent;
(III) aided or abetted, attempted, conspired, or solicited
to commit such a murder or such a voluntary manslaughter; or
(IV) committed a felony assault that results in serious
bodily injury to the child or another child of the parent; or
(iii) the parental rights of the parent to a sibling have been
terminated involuntarily;
(E) if reasonable efforts of the type described in subparagraph (B) are
not made with respect to a child as a result of a determination made by a court
of competent jurisdiction in accordance with subparagraph (D)--
(i) a permanency hearing (as described in section 475(5)(C))
shall be held for the child within 30 days after the determination; and
(ii) reasonable efforts shall be made to place the child in a
timely manner in accordance with the permanency plan, and to
complete whatever steps are necessary to finalize the permanent
placement of the child; and
(F) reasonable efforts to place a child for adoption or with a legal
guardian may be made concurrently with reasonable efforts of the type
described in subparagraph (B);
(16) provides for the development of a case plan (as defined in section 475(1))
for each child receiving foster care maintenance payments under the State plan and
Compilation of Titles IV-B and IV-E of the Social Security Act (11/19/97) - Page 21
provides for a case review system which meets the requirements described in section
475(5)(B) with respect to each such child;
(17) provides that, where appropriate, all steps will be taken, including
cooperative efforts with the State agencies administering the program funded under
part A and plan approved under part D, to secure an assignment to the State of any
rights to support on behalf of each child receiving foster care maintenance payments
under this part;
(18) not later than January 1, 1997, provides that neither the State nor any
other entity in the State that receives funds from the Federal Government and is
involved in adoption or foster care placements may--
(A) deny to any person the opportunity to become an adoptive or a
foster parent, on the basis of the race, color, or national origin of the person,
or of the child, involved; or
(B) delay or deny the placement of a child for adoption or into foster
care, on the basis of the race, color, or national origin of the adoptive or
foster parent, or the child, involved; and
(19) provides that the State shall consider giving preference to an adult relative
over a non-related caregiver when determining a placement for a child, provided that
the relative caregiver meets all relevant State child protection standards-; and
(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; and
(B) subparagraph (A) shall not apply to a State plan if the Governor of
the State has notified the Secretary in writing that the State has elected to make
subparagraph (A) inapplicable to the State, or if the State legislature, by law,
has elected to make subparagraph (A) inapplicable to the State=; and
(21) provides for health insurance coverage (including, at State option, through
the program under the State plan approved under title XIX) for any child who has
been determined to be a child with special needs, for whom there is in effect an
Compilation of Titles IV-B and IV-E of the Social Security Act (11/19/97) - Page 22
adoption assistance agreement (other than an agreement under this part) between the
State and an adoptive parent or parents, and who the State has determined cannot be
placed with an adoptive parent or parents without medical assistance because such
child has special needs for medical, mental health, or rehabilitative care, and that with
respect to the provision of such health insurance coverage-
(A) such coverage may be provided through 1 or more State medical
assistance programs;
(B) the State, in providing such coverage, shall ensure that the medical
benefits, including mental health benefits, provided are of the same type and
kind as those that would be provided for children by the State under title XIX;
(C) in the event that the State provides such coverage through a State
medical assistance program other than the program under title XIX, and the
State exceeds its funding for services under such other program, any such
child shall be deemed to be receiving aid or assistance under the State plan.
under this part for purposes of section 1902(a)(10)(A)(i)(I); and
(D) in determining cost-sharing requirements, the State shall take into
consideration the circumstances of the adopting parent or parents and the needs
of the child being adopted consistent, to the extent coverage is provided
through a State medical assistance program, with the rules under such
program-; and
(22) provides that, not later than January 1, 1999, the State shall develop and
implement standards to ensure that children in foster care placements in public or
private agencies are provided quality services that protect the safety and health of the
children.
(b) The Secretary shall approve any plan which complies with the provisions of
subsection (a) of this section.
FOSTER CARE MAINTENANCE PAYMENTS PROGRAM
SEC. 472. [42 U.S.C. 672] (a) Each State with a plan approved under this part shall
make foster care maintenance payments (as defined in section 475(4)) under this part with
respect to a child who would have met the requirements of section 406(a) or of section 407
(as such sections were in effect on July 16, 1996) but for his removal from the home of a
relative (specified in section 406(a) (as so in effect), if--
(1) the removal from the home occurred pursuant to a voluntary placement
agreement entered into by the child's parent or legal guardian, or was the result of a
judicial determination to the effect that continuation therein would be contrary to the
welfare of such child and (effective October 1, 1983) that reasonable efforts of the
type described in section 471(a)(15) for a child have been made;
(2) such child's placement and care are the responsibility of (A) the State
agency administering the State plan approved under section 471, or (B) any other
public agency with whom the State agency administering or supervising the
Compilation of Titles IV-B and IV-E of the Social Security Act (11/19/97) - Page 23
administration of the State plan approved under section 471 has made an agreement
which is still in effect;
(3) such child has been placed in a foster family home or child-care institution
as a result of the voluntary placement agreement or judicial determination referred to
in paragraph (1); and
(4) such child--
(A) would have received aid under the State plan approved under
section 402 (as in effect on July 16, 1996) in or for the month in which such
agreement was entered into or court proceedings leading to the removal of
such child from the home were initiated, or
(B)(i) would have received such aid in or for such month if application
had been made therefor, or (ii) had been living with a relative specified in
section 406(a) (as in effect on July 16, 1996) within six months prior to the
month in which such agreement was entered into or such proceedings were
initiated, and would have received such aid in or for such month if in such
month he had been living with such a relative and application therefor had
been made.
In any case where the child is an alien disqualified under section 245A(h). 210(f), or
210A(d)(7) of the Immigration and Nationality Act from receiving aid under the State plan
approved under section 402 in or for the month in which such agreement was entered into or
court proceedings leading to the removal of the child from the home were instituted, such
child shall be considered to satisfy the requirements of paragraph (4) (and the corresponding
requirements of section 473(a)(2)(B)), with respect to that month, if he or she would have
satisfied such requirements but for such disqualification.
(b) Foster care maintenance payments may be made under this part only on behalf of
a child described in subsection (a) of this section who is--
(1) in the foster family home of an individual, whether the payments therefor
are made to such individual or to a public or nonprofit private child-placement or
child-care agency, or
(2) in a child-care institution, whether the payments therefor are made to such
institution or to a public or nonprofit private child-placement or child-care agency,
which payments shall be limited so as to include in such payments only those items
which are included in the term "foster care maintenance payments" (as defined in
section 475(4)).
(c) For the purposes of this part, (1) the term "foster family home" means a foster
family home for children which is licensed by the State in which it is situated or has been
approved, by the agency of such State having responsibility for licensing homes of this type,
as meeting the standards established for such licensing; and (2) the term "child-care
institution" means a private child-care institution, or a public child-care institution which
accommodates no more than twenty-five children, which is licensed by the State in which it
is situated or has been approved, by the agency of such State responsible for licensing or
approval of institutions of this type, as meeting the standards established for such licensing,
but the term shall not include detention facilities, forestry camps, training schools, or any
Compilation of Titles IV-B and IV-E of the Social Security Act (11/19/97) - Page 24
other facility operated primarily for the detention of children who are determined to be
delinquent.
(d) Notwithstanding any other provision of this title, Federal payments may be made
under this part with respect to amounts expended by any State as foster care maintenance
payments under this section, in the case of children removed from their homes pursuant to
voluntary placement agreements as described in subsection (a), only if (at the time such
amounts were expended) the State has fulfilled all of the requirements of section 422(b)(10).
(e) No Federal payment may be made under this part with respect to amounts
expended by any State as foster care maintenance payments under this section, in the case of
any child who was removed from his or her home pursuant to a voluntary placement
agreement as described in subsection (a) and has remained in voluntary placement for a
period in excess of 180 days, unless there has been a judicial determination by a court of
competent jurisdiction (within the first 180 days of such placement) to the effect that such
placement is in the best interests of the child.
(f) For the purposes of this part and part B of this title, (1) the term "voluntary
placement" means an out-of-home placement of a minor, by or with participation of a State
agency, after the parents or guardians of the minor have requested the assistance of the
agency and signed a voluntary placement agreement; and (2) the term "voluntary placement
agreement" means a written agreement, binding on the parties to the agreement, between the
State agency, any other agency acting on its behalf, and the parents or guardians of a minor
child which specifies, at a minimum, the legal status of the child and the rights and
obligations of the parents or guardians, the child, and the agency while the child is in
placement.
(g) In any case where--
(1) the placement of a minor child in foster care occurred pursuant to a
voluntary placement agreement entered into by the parents or guardians of such child
as provided in subsection (a), and
(2) such parents or guardians request (in such manner and form as the
Secretary may prescribe) that the child be returned to their home or to the home of a
relative, the voluntary placement agreement shall be deemed to be revoked unless the
State agency opposes such request and obtains a judicial determination, by a court of
competent jurisdiction, that the return of the child to such home would be contrary to
the child's best interests.
(h)(1) For purposes of titles XIX, any child with respect to whom foster care
maintenance payments are made under this section is deemed to be a dependent child as
defined in section 406 (as in effect as of July 16, 1996) and deemed to be a recipient of aid
to families with dependent children under part A of this title (as so in effect). For purposes
of title XX, any child with respect to whom foster care maintenance payments are made
under this section is deemed to be a minor child in a needy family under a State program
funded under part A of this title and is deemed to be a recipient of assistance under such
part.
(2) For purposes of paragraph (1), a child whose costs in a foster family home or
child care institution are covered by the foster care maintenance payments being made with
Compilation of Titles IV-B and IV-E of the Social Security Act (11/19/97) - Page 25
respect to the child's minor parent, as provided in section 475(4)(B), shall be considered a
child with respect to whom foster care maintenance payments are made under this section.
ADOPTION ASSISTANCE PROGRAM
SEC. 473. [42 U.S.C. 673] (a)(1)(A) Each State having a plan approved under this
part shall enter into adoption assistance agreements (as defined in section 475(3)) with the
adoptive parents of children with special needs.
(B) Under any adoption assistance agreement entered into by a State with parents who
adopt a child with special needs, the State--
(i) shall make payments of nonrecurring adoption expenses incurred by or on
behalf of such parents in connection with the adoption of such child, directly through
the State agency or through another public or nonprofit private agency, in amounts
determined under paragraph (3), and
(ii) in any case where the child meets the requirements of paragraph (2), may
make adoption assistance payments to such parents, directly through the State agency
or through another public or nonprofit private agency, in amounts so determined.
(2) For purposes of paragraph (1)(B)(ii), a child meets the requirements of this
paragraph if such child--
(A)(i) at the time adoption proceedings were initiated, met the requirements of
section 406(a) or section 407 (as such sections were in effect on July 16, 1996) or
would have met such requirements except for his removal from the home of a relative
(specified in section 406(a) (as so in effect)) or, either pursuant to a voluntary
placement agreement with respect to which Federal payments are provided under
section 474 (or 403) (as such section was in effect on July 16, 1996) or as a result of
a judicial determination to the effect that continuation therein would be contrary to the
welfare of such child,
(ii) meets all of the requirements of title XVI with respect to eligibility for
supplemental security income benefits, or
(iii) is a child whose costs in a foster family home or child-care institution are
covered by the foster care maintenance payments being made with respect to his or
her minor parent as provided in section 475(4)(B),
(B)(i) would have received aid under the State plan approved under section 402
(as in effect on July 16, 1996) in or for the month in which such agreement was
entered into or court proceedings leading to the removal of such child from the home
were initiated, or
(ii)(I) would have received such aid in or for such month if application had
been made therefor, or (II) had been living with a relative specified in section 406(a)
(as in effect on July 16, 1996) within six months prior to the month in which such
agreement was entered into or such proceedings were initiated, and would have
received such aid in or for such month if in such month he had been living with such
a relative and application therefor had been made, or
(iii) is a child described in subparagraph (A)(ii) or (A)(iii), and
Compilation of Titles IV-B and IV-E of the Social Security Act (11/19/97) - Page 26
(C) has been determined by the State, pursuant to subsection (c) of this section. to be
a child with special needs.
The last sentence of section 472(a) shall apply, for purposes of subparagraph (B). in any case
where the child is an alien described in that sentence. Any child who meets the requirements
of subparagraph (C), who was determined eligible for adoption assistance payments under
this part with respect to a prior adoption, who is available for adoption because the prior
adoption has been dissolved and the parental rights of the adoptive parents have been
terminated or because the child's adoptive parents have died, and who fails to meet the
requirements of subparagraphs (A) and (B) but would meet such requirements if the child
were treated as if the child were in the same financial and other circumstances the child
was in the last time the child was determined eligible for adoption assistance payments under
this part and the prior adoption were treated as never having occurred, shall be treated as
meeting the requirements of this paragraph for purposes of paragraph (1)(B)(ii).
(3) The amount of the payments to be made in any case under clauses (i) and (ii) of
paragraph (1)(B) shall be determined through agreement between the adoptive parents and the
State or local agency administering the program under this section, which shall take into
consideration the circumstances of the adopting parents and the needs of the child being
adopted, and may be readjusted periodically, with the concurrence of the adopting parents
(which may be specified in the adoption assistance agreement), depending upon changes in
such circumstances. However, in no case may the amount of the adoption assistance payment
made under clause (ii) of paragraph (1)(B) exceed the foster care maintenance payment which
would have been paid during the period if the child with respect to whom the adoption
assistance payment is made had been in a foster family home.
(4) Notwithstanding the preceding paragraph, (A) no payment may be made to parents
with respect to any child who has attained the age of eighteen (or, where the State determines
that the child has a mental or physical handicap which warrants the continuation of
assistance, the age of twenty-one), and (B) no payment may be made to parents with respect
to any child if the State determines that the parents are no longer legally responsible for the
support of the child or if the State determines that the child is no longer receiving any
support from such parents. Parents who have been receiving adoption assistance payments
under this section shall keep the State or local agency administering the program under this
section informed of circumstances which would, pursuant to this subsection, make them
ineligible for such assistance payments, or eligible for assistance payments in a different amount.
(5) For purposes of this part, individuals with whom a child (who has been
determined by the State, pursuant to subsection (c), to be a child with special needs) is
placed for adoption in accordance with applicable State and local law shall be eligible for
such payments, during the period of the placement, on the same terms and subject to the
same conditions as if such individuals had adopted such child.
(6)(A) For purposes of paragraph (1)(B)(i), the term "nonrecurring adoption
expenses" means 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
and which are not incurred in violation of State or Federal law.
Compilation of Titles IV-B and IV-E of the Social Security Act (11/19/97) - Page 27
(B) A State's payment of nonrecurring adoption expenses under an adoption assistance
agreement shall be treated as an expenditure made for the proper and efficient administration
of the State plan for purposes of section 474(a)(3)(E).
(b)(1) For purposes of title XIX, any child who is described in paragraph (3) is
deemed to be a dependent child as defined in section 406 (as in effect as of July 16, 1996)
and deemed to be a recipient of aid to families with dependent children under part A of this
title (as so in effect) in the State where such child resides.
(2) For purposes of title XX, any child who is described in paragraph (3) is deemed
to be a minor child in a needy family under a State program funded under part A of this title
and deemed to be a recipient of assistance under such part.
(3) A child described in this paragraph is any child--
(A)(i) who is a child described in subsection (a)(2), and
(ii) with respect to whom an adoption assistance agreement is in effect under
this section (whether or not adoption assistance payments are provided under the
agreement or are being made under this section), including any such child who has
been placed for adoption in accordance with applicable State and local law (whether
or not an interlocutory or other judicial decree of adoption has been issued), or
(B) with respect to whom foster care maintenance payments are being made
under section 472.
(4) For purposes of paragraphs (1) and (2), a child whose costs in a foster family
home or child-care institution are covered by the foster care maintenance payments being
made with respect to the child's minor parent, as provided in section 475(4)(B), shall be
considered a child with respect to whom foster care maintenance payments are being made
under section 472.
(c) For purposes of this section, a child shall not be considered a child with special
needs unless--
(1) the State has determined that the child cannot or should not be returned to
the home of his parents; and
(2) the State had first determined (A) that there exists with respect to the child
a specific factor or condition (such as his ethnic background, age, or membership in a
minority or sibling group, or the presence of factors such as medical conditions or
physical, mental, or emotional handicaps) because of which it is reasonable to
conclude that such child cannot be placed with adoptive parents without providing
adoption assistance under this section or medical assistance under title XIX, and (B)
that, except where it would be against the best interests of the child because of such
factors as the existence of significant emotional ties with prospective adoptive parents
while in the care of such parents as a foster child, a reasonable, but unsuccessful,
effort has been made to place the child with appropriate adoptive parents without
providing adoption assistance under this section or medical assistance under title XIX.
SEC. 473A. ADOPTION INCENTIVE PAYMENTS.
Compilation of Titles IV-B and IV-E of the Social Security Act (11/19/97) - Page 28
(a) GRANT AUTHORITY.-Subject to the availability of such amounts as may be
provided in advance in appropriations Acts for this purpose, the Secretary shall make a grant
to each State that is an incentive-eligible State for a fiscal year in an amount equal to the
adoption incentive payment payable to the State under this section for the fiscal year, which
shall be payable in the immediately succeeding fiscal year.
(b) INCENTIVE-ELIGIBLE STATE-A State is an incentive-eligible State for a
fiscal year if--
(1) the State has a plan approved under this part for the fiscal year;
(2) the number of foster child adoptions in the State during the fiscal year
exceeds the base number of foster child adoptions for the State for the fiscal year;
(3) the State is in compliance with subsection (c) for the fiscal year:
(4) in the case of fiscal years 2001 and 2002, the State provides health
insurance coverage to any child with special needs (as determined under section
473(c)) for whom there is in effect an adoption assistance agreement between a State
and an adoptive parent or parents; and
(5) the fiscal year is any of fiscal years 1998 through 2002.
(c) DATA REQUIREMENTS.-
(1) IN GENERAL.-A State is in compliance with this subsection for a fiscal
year if the State has provided to the Secretary the data described in paragraph (2)--
(A) for fiscal years 1995 through 1997 (or, if the first fiscal year for
which the State seeks a grant under this section is after fiscal year 1998, the
fiscal year that precedes such 1st fiscal year); and
(B) for each succeeding fiscal year that precedes the fiscal year.
(2) DETERMINATION OF NUMBERS OF ADOPTIONS
(A) DETERMINATIONS BASED ON AFCARS DATA.-Except as
provided in subparagraph (B), the Secretary shall determine the numbers of
foster child adoptions and of special needs adoptions in a State during each of
fiscal years 1995 through 2002, for purposes of this section, on the basis of
data meeting the requirements of the system established pursuant to section
479, as reported by the State and approved by the Secretary by August 1 of
the succeeding fiscal year.
(B) ALTERNATIVE DATA SOURCES PERMITTED FOR FISCAL
YEARS 1995 THROUGH 1997.--For purposes of the determination described
in subparagraph (A) for fiscal years 1995 through 1997, the Secretary may use
data from a source or sources other than that specified in subparagraph (A)
that the Secretary finds to be of equivalent completeness and reliability, as
reported by a State by November 30, 1997, and approved by the Secretary by
March 1, 1998.
(3) NO WAIVER OF AFCARS REQUIREMENTS.- This section shall not be
construed to alter or affect any requirement of section 479 or of any regulation
prescribed under such section with respect to reporting of data by States, or to waive
any penalty for failure to comply with such a requirement.
(d) ADOPTION INCENTIVE PAYMENT.-
Compilation of Titles IV-B and IV-E of the Social Security Act (11/19/97) - Page 29
(1) IN GENERAL.-Except as provided in paragraph (2), the adoption
incentive payment payable to a State for a fiscal year under this section shall be equal
to the sum of--
(A) $4,000, multiplied by the amount (if any) by which the number of
foster child adoptions in the State during the fiscal year exceeds the base
number of foster child adoptions for the State for the fiscal year; and
(B) $2,000, multiplied by the amount (if any) by which the number of
special needs adoptions in the State during the fiscal year exceeds the base
number of special needs adoptions for the State for the fiscal year.
(2) PRO RATA ADJUSTMENT IF INSUFFICIENT FUNDS
AVAILABLE.-F any fiscal year, if the total amount of adoption incentive
payments otherwise payable under this section for a fiscal year exceeds the amount
appropriated pursuant to subsection (h) for the fiscal year, the amount of the adoption
incentive payment payable to each State under this section for the fiscal year shall
be--
(A) the amount of the adoption incentive payment that would otherwise
be payable to the State under this section for the fiscal year; multiplied by
(B) the percentage represented by the amount so appropriated for the
fiscal year, divided by the total amount of adoption incentive payments
otherwise payable under this section for the fiscal year.
(e) 2-YEAR AVAILABILITY OF INCENTIVE PAYMENTS.-Payments to a State
under this section in a fiscal year shall remain available for use by the State through the end
of the succeeding fiscal year.
(f) LIMITATIONS ON USE OF INCENTIVE PAYMENTS A State shall not
expend an amount paid to the State under this section except to provide to children or
families any service (including post-adoption services) that may be provided under part B or
E. Amounts expended by a State in accordance with the preceding sentence shall be
disregarded in determining State expenditures for purposes of Federal matching payments
under sections 423, 434, and 474.
(g) DEFINITIONS As used in this section:
(1) FOSTER CHILD ADOPTION.-The term 'foster child adoption means
the final adoption of a child who, at the time of adoptive placement, was in foster
care under the supervision of the State.
(2) SPECIAL NEEDS ADOPTION.-The term 'special needs adoption' means
the final adoption of a child for whom an adoption assistance agreement is in effect
under section 473.
(3) BASE NUMBER OF FOSTER CHILD ADOPTIONS -The term 'base
number of foster child adoptions for a State' means--
(A) with respect to fiscal year 1998, the average number of foster child
adoptions in the State in fiscal years 1995, 1996, and 1997; and
(B) with respect to any subsequent fiscal year, the number of foster
child adoptions in the State in the fiscal year for which the number is the
greatest in the period that begins with fiscal year 1997 and ends with the fiscal
year preceding such subsequent fiscal year.
Compilation of Titles IV-B and IV-E of the Social Security Act (11/19/97) - Page 30
(4) BASE NUMBER OF SPECIAL NEEDS ADOPTIONS. The term 'base
number of special needs adoptions for a State' means-
(A) with respect to fiscal year 1998, the average number of special
needs adoptions in the State in fiscal years 1995, 1996, and 1997; and
(B) with respect to any subsequent fiscal year, the number of special
needs adoptions in the State in the fiscal year for which the number is the
greatest in the period that begins with fiscal year 1997 and ends with the fiscal
year preceding such subsequent fiscal year.
(h) LIMITATIONS ON AUTHORIZATION OF APPROPRIATIONS -
(1) IN GENERAL.--For grants under subsection (a), there are authorized to be
appropriated to the Secretary $20,000,000 for each of fiscal years 1999 through 2003.
(2) AVAILABILITY-Amounts appropriated under paragraph (1) are
authorized to remain available until expended, but not after fiscal year 2003.
(i) TECHNICAL ASSISTANCE-
(1) IN GENERAL.-The Secretary may, directly or through grants or
contracts, provide technical assistance to assist States and local communities to reach
their targets for increased numbers of adoptions and, to the extent that adoption is not
possible, alternative permanent placements, for children in foster care.
(2) DESCRIPTION OF THE CHARACTER OF THE TECHNICAL
ASSISTANCE.--The technical assistance provided under paragraph (1) may support
the goal of encouraging more adoptions out of the foster care system, when adoptions
promote the best interests of children, and may include the following:
(A) The development of best practice guidelines for expediting
termination of parental rights.
(B) Models to encourage the use of concurrent planning.
(C) The development of specialized units and expertise in moving
children toward adoption as a permanency goal.
(D) The development of risk assessment tools to facilitate early
identification of the children who will be at risk of harm if returned home.
(E) Models to encourage the fast tracking of children who have not
attained 1 year of age into pre-adoptive placements.
(F) Development of programs that place children into pre-adoptive
families without waiting for termination of parental rights.
(3) TARGETING OF TECHNICAL ASSISTANCE TO THE COURTS.-Not
less than 50 percent of any amount appropriated pursuant to paragraph (4) shall be
used to provide technical assistance to the courts.
(4) LIMITATIONS ON AUTHORIZATION OF APPROPRIATIONS.--To
carry out this subsection, there are authorized to be appropriated to the Secretary of
Health and Human Services not to exceed $10,000,000 for each of fiscal years 1998
through 2000.
PAYMENTS TO STATES; ALLOTMENTS TO STATES
Compilation of Titles IV-B and IV-E of the Social Security Act (11/19/97) - Page 31
SEC. 474. [42 U.S.C. 674] (a) For each quarter beginning after September 30, 1980,
each State which has a plan approved under this part (subject to the limitations imposed by
subsection (b)) shall be entitled to a payment equal to the sum of--
(1) an amount equal to the Federal medical assistance percentage (as defined in
section 1905(b) of this Act) of the total amount expended during such quarter as foster
care maintenance payments under section 472 for children in foster family homes or
child-care institutions; plus
(2) an amount equal to the Federal medical assistance percentage (as defined in
section 1905(b) of this Act) of the total amount expended during such quarter as
adoption assistance payments under section 473 pursuant to adoption assistance
agreements; plus
(3) an amount equal to the sum of the following proportions of the total
amounts expended during such quarter as found necessary by the Secretary for the
provision of child placement services and for the proper and efficient administration
of the State plan--
(A) 75 per centum of so much of such expenditures as are for the
training (including both short-and long-term training at educational institutions
through grants to such 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 plan
in the political subdivision,
(B) 75 percent of so much of such expenditures (including travel and
per diem expenses) as are 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,
(C) 50 percent of so much of such expenditures as are for the planning,
design, development, or installation of statewide mechanized data collection
and information retrieval systems (including 50 percent of the full amount of
expenditures for hardware components for such systems) but only to the extent
that such systems--
(i) meet the requirements imposed by regulations promulgated
pursuant to section 479(b)(2);
(ii) to the extent practicable, are capable of interfacing with the
State data collection system that collects information relating to child
abuse and neglect;
(iii) to the extent practicable, have the capability of interfacing
with, and retrieving information from, the State data collection system
that collects information relating to the eligibility of individuals under
part A (for the purposes of facilitating verification of eligibility of
foster children); and
Compilation of Titles IV-B and IV-E of the Social Security Act (11/19/97) - Page 32
(iv) are determined by the Secretary to be likely to provide more
efficient, economical, and effective administration of the programs
carried out under a State plan approved under part B or this part; and
(D) 50 percent of so much of such expenditures as are for the operation
of the statewide mechanized data collection and information retrieval systems
referred to in subparagraph (C); and
(E) one-half of the remainder of such expenditures; plus
(4) an amount equal to the sum of--
(A) so much of the amounts expended by such State to carry out
programs under section 477 as do not exceed the basic amount for such State
determined under section 477(e)(1); and
(B) the lesser of--
(i) one-half of any additional amounts expended by such State
for such programs; or
(ii) the maximum additional amount for such State under such
section 477(e)(1).
(b) (1) The Secretary shall, prior to the beginning of each quarter, estimate the
amount to which a State will be entitled under subsection (a) for such quarter, such estimates
to be based on (A) a report filed by the State containing its estimate of the total sum to be
expended in such quarter in accordance with subsection (a), and stating the amount
appropriated or made available by the State and its political subdivisions for such
expenditures in such quarter, and if such amount is less than the State's proportionate share
of the total sum of such estimated expenditures, the source or sources from which the
difference is expected to be derived, (B) records showing the number of children in the State
receiving assistance under this part, and (C) such other investigation as the Secretary may
find necessary.
(2) The Secretary shall then pay to the State, in such installments as he may
determine, the amounts so estimated, reduced or increased to the extent of any overpayment
or underpayment which the Secretary determines was made under this section to such State
for any prior quarter and with respect to which adjustment has not already been made under
this subsection.
(3) The pro rata share to which the United States is equitably entitled, as determined
by the Secretary, of the net amount recovered during any quarter by the State or any political
subdivision thereof with respect to foster care and adoption assistance furnished under the
State plan shall be considered an overpayment to be adjusted under this subsection.
(4)(A) Within 60 days after receipt of a State claim for expenditures pursuant to
subsection a), the Secretary shall allow, disallow, or defer such claim.
(B) Within 15 days after a decision to defer such a State claim, the Secretary shall
notify the State of the reasons for the deferral and of the additional information necessary to
determine the allowability of the claim.
(C) Within 90 days after receiving such necessary information (in readily reviewable
form), the Secretary shall--
(i) disallow the claim, if able to complete the review and determine that the
claim is not allowable, or
Compilation of Titles IV-B and IV-E of the Social Security Act (11/19/97) - Page 33
(ii) in any other case, allow the claim, subject to disallowance (as necessary)--
(I) upon completion of the review, if it is determined that the claim is
not allowable; or
(II) on the basis of findings of an audit or financial management
review.
(c) AUTOMATED DATA COLLECTION EXPENDITURES. The Secretary shall
treat as necessary for the proper and efficient administration of the State plan all expenditures
of a State necessary in order for the State to plan, design, develop, install, and operate data
collection and information retrieval systems described in subsection (a)(3)(C), without regard
to whether the systems may be used with respect to foster or adoptive children other than
those on behalf of whom foster care maintenance payments or adoption assistance payments
may be made under this part.
(d)(1) If, during any quarter of a fiscal year, a State's program operated under this
part is found, as a result of a review conducted under section 1123A, or otherwise, to have
violated section 471(a)(18) with respect to a person or to have failed to implement a
corrective action plan within a period of time not to exceed 6 months with respect to such
violation, then, notwithstanding subsection (a) of this section and any regulations
promulgated under section 1123A(b)(3), the Secretary shall reduce the amount otherwise
payable to the State under this part, for that fiscal year quarter and for any subsequent
quarter of such fiscal year, until the State program is found, as a result of a subsequent
review under section 1123A, to have implemented a corrective action plan with respect to
such violation, by--
(A) 2 percent of such otherwise payable amount, in the case of the 1st such
finding for the fiscal year with respect to the State;
(B) 3 percent of such otherwise payable amount, in the case of the 2nd such
finding for the fiscal year with respect to the State; or
(C) 5 percent of such otherwise payable amount, in the case of the 3rd or
subsequent such finding for the fiscal year with respect to the State.
In imposing the penalties described in this paragraph, the Secretary shall not reduce any
fiscal year payment to a State by more than 5 percent.
(2) Any other entity which is in a State that receives funds under this part and which
violates section 471(a)(18) during a fiscal year quarter with respect to any person shall remit
to the Secretary all funds that were paid by the State to the entity during the quarter from
such funds.
(3)(A) Any individual who is aggrieved by a violation of section 471(a)(18) by a State
or other entity may bring an action seeking relief from the State or other entity in any United
States district court.
(B) An action under this paragraph may not be brought more than 2 years after the
date the alleged violation occurred.
(4) This subsection shall not be construed to affect the application of the Indian Child
Welfare Act of 1978.
(e) Notwithstanding subsection (a), a State shall not be eligible for any payment under
this section if the Secretary finds that, after the date of the enactment of this subsection, the
State has--
Compilation of Titles IV-B and IV-E of the Social Security Act (11/19/97) - Page 34
(1) denied or delayed the placement of a child for adoption when an approved
family is available outside of the jurisdiction with responsibility for handling the case
of the child; or
(2) failed to grant an opportunity for a fair hearing, as described in section
471(a)(12), to an individual whose allegation of a violation of paragraph (1) of this
subsection is denied by the State or not acted upon by the State with reasonable
promptness.
DEFINITIONS
SEC. 475. [42 U.S.C. 675] As used in this part or part B of this title:
(1) The term "case plan" means a written document which includes at least the
following:
(A) A description of the type of home or institution in which a child is
to be placed, including a discussion of the safety and appropriateness of the
placement and how the agency which is responsible for the child plans to carry
out the voluntary placement agreement entered into or judicial determination
made with respect to the child in accordance with section 472(a)(1).
(B) A plan for assuring that the child receives safe and proper care and
that services are provided to the parents, child, and foster parents in order to
improve the conditions in the parents' home, facilitate return of the child to his
own safe home or the permanent placement of the child, and address the needs
of the child while in foster care, including a discussion of the appropriateness
of the services that have been provided to the child under the plan.
(C) To the extent available and accessible, the health and education
records of the child, including--
(i) the names and addresses of the child's health and educational
providers;
(ii) the child's grade level performance;
(iii) the child's school record;
(iv) assurances that the child's placement in foster care takes
into account proximity to the school in which the child is enrolled at
the time of placement;
(v) a record of the child's immunizations;
(vi) the child's known medical problems;
(vii) the child's medications; and
(viii) any other relevant health and education information
concerning the child determined to be appropriate by the State agency.
(D) Where appropriate, for a child age 16 or over, the case plan must
also include a written description of the programs and services which will help
such child prepare for the transition from foster care to independent living.
(E) In the case of a child with respect to whom the permanency plan is
adoption or placement in another permanent home, documentation of the steps
Compilation of Titles IV-B and IV-E of the Social Security Act (11/19/97) - Page 35
the agency is taking to find an adoptive family or other permanent living
arrangement for the child, to place the child with an adoptive family, a fit and
willing relative, a legal guardian, or in another planned permanent living
arrangement, and to finalize the adoption or legal guardianship. At a
minimum, such documentation shall include child specific recruitment efforts
such as the use of State, regional, and national adoption exchanges including
electronic exchange systems.
(2) The term "parents" means biological or adoptive parents or legal
guardians, as determined by applicable State law.
(3) The term "adoption assistance agreement" means a written agreement,
binding on the parties to the agreement, between the State agency, other relevant
agencies, and the prospective adoptive parents of a minor child which at a minimum
(A) specifies the nature and amount of any payments, services, and assistance to be
provided under such agreement, and (B) stipulates that the agreement shall remain in
effect regardless of the State of which the adoptive parents are residents at any given
time. The agreement shall contain provisions for the protection (under an interstate
compact approved by the 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.
(4)(A) The term "foster care maintenance payments" means 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.
(B) In cases where--
(i) a child placed in a foster family home or child-care institution is the
parent of a son or daughter who is in the same home or institution, and
(ii) payments described in subparagraph (A) are being made under this
part with respect to such child, the foster care maintenance payments made
with respect to such child as otherwise determined under subparagraph (A)
shall also include such amounts as may be necessary to cover the cost of the
items described in that subparagraph with respect to such son or daughter.
(5) The term "case review system" means a procedure for assuring that--
(A) each child has a case plan designed to achieve placement in a safe
setting that is the least restrictive (most family like) and most appropriate
setting available and in close proximity to the parents' home, consistent with
the best interest and special needs of the child, which--
(i) if the child has been placed in a foster family home or
child-care institution a substantial distance from the home of the parents
of the child, or in a State different from the State in which such home
is located, sets forth the reasons why such placement is in the best
interests of the child, and
Compilation of Titles IV-B and IV-E of the Social Security Act (11/19/97) - Page 36
(ii) if the child has been placed in foster care outside the State in
which the home of the parents of the child is located, requires that,
periodically, but not less frequently than every 12 months. a
caseworker on the staff of the State agency of the State in which the
home of the parents of the child is located, or of the State in which the
child has been placed, visit such child in such home or institution and
submit a report on such visit to the State agency of the State in which
the home of the parents of the child is located,
(B) the status of each child is reviewed periodically but no less
frequently than once every six months by either a court or by administrative
review (as defined in paragraph (6)) in order to determine the safety of the
child, the continuing necessity for and appropriateness of the placement, the
extent of compliance with the case plan, and the extent of progress which has
been made toward alleviating or mitigating the causes necessitating placement
in foster care, and to project a likely date by which the child may be returned
to and safely maintained in the home or placed for adoption or legal
guardianship,
(C) with respect to each such child, procedural safeguards will be
applied, among other things, to assure each child in foster care under the
supervision of the State of a dispositional permanency hearing to be held, in a
family or juvenile court or another court (including a tribal court) of competent
jurisdiction, or by an administrative body appointed or approved by the court,
no later than eighteen months after the original placement date the child is
considered to have entered foster care (as determined under subparagraph (F))
(and not less frequently than every 12 months thereafter during the
continuation of foster care), which hearing shall determine the future status of
the child (including, but not limited to, whether the child should be returned to
the parent, should be continued in foster care for a specified period, should be
placed for adoption, or should (because of the child's special needs or
circumstances) be continued in foster care on a permanent or long term basis)
permanency plan for the child that includes whether, and if applicable when,
the child will be returned to the parent, placed for adoption and the State will
file a petition for termination of parental rights, or referred for legal
guardianship, or (in cases where the State agency has documented to the State
court a compelling reason for determining that it would not be in the best
interests of the child to return home, be referred for termination of parental
rights, or be placed for adoption, with a fit and willing relative, or with a legal
guardian) placed in another planned permanent living arrangement and, in the
case of a child described in subparagraph (A)(ii), whether the out-of-State
placement continues to be appropriate and in the best interests of the child,
and, in the case of a child who has attained age 16, the services needed to
assist the child to make the transition from foster care to independent living;
and procedural safeguards shall also be applied with respect to parental rights
pertaining to the removal of the child from the home of his parents, to a
Compilation of Titles IV-B and IV-E of the Social Security Act (11/19/97) - Page 37
change in the child's placement, and to any determination affecting visitation
privileges of parents; and
(D) a child's health and education record (as described in paragraph
(1)(A)) is reviewed and updated, and supplied to the foster parent or foster
care provider with whom the child is placed, at the time of each placement of
the child in foster care-; and
(E) in the case of a child who has been in foster care under the
responsibility of the State for 15 of the most recent 22 months, or, if a court
of competent jurisdiction has determined a child to be an abandoned infant (as
defined under State law) or has made a determination that the parent has
committed murder of another child of the parent, committed voluntary
manslaughter of another child of the parent, aided or abetted, attempted,
conspired, or solicited to commit such a murder or such a voluntary
manslaughter, or committed a felony assault that has resulted in serious bodily
injury to the child or to another child of the parent, the State shall file a
petition to terminate the parental rights of the child's parents (or, if such a
petition has been filed by another party, seek to be joined as a party to the
petition), and, concurrently, to identify, recruit, process, and approve a
qualified family for an adoption, unless--
(i) at the option of the State, the child is being cared for by a
relative;
(ii) a State agency has documented in the case plan (which shall
be available for court review) a compelling reason for determining that
filing such a petition would not be in the best interests of the child; or
(iii) the State has not provided to the family of the child,
consistent with the time period in the State case plan, such services as
the State deems necessary for the safe return of the child to the child's
home, if reasonable efforts of the type described in section
471(a)(15)(B)(ii) are required to be made with respect to the child-; and
(F) a child shall be considered to have entered foster care on the earlier
of
(i) the date of the first judicial finding that the child has been
subjected to child abuse or neglect; or
(ii) the date that is 60 days after the date on which the child is
removed from the home-; and
(G) the foster parents (if any) of a child and any preadoptive parent or
relative providing care for the child are provided with notice of, and an
opportunity to be heard in, any review or hearing to be held with respect to
the child, except that this subparagraph shall not be construed to require that
any foster parent, preadoptive parent, or relative providing care for the child
be made a party to such a review or hearing solely on the basis of such notice
and opportunity to be heard.
(6) The term "administrative review" means a review open to the participation
of the parents of the child, conducted by a panel of appropriate persons at least one of
Compilation of Titles IV-B and IV-E of the Social Security Act (11/19/97) - Page 38
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.
(7) The term 'legal guardianship' means a judicially created relationship
between child and caretaker which 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: protection, education, care and control of the person, custody of the
person, and decisionmaking. The term "legal guardian' means the caretaker in such a
relationship.
TECHNICAL ASSISTANCE; DATA COLLECTION AND EVALUATION
SEC. 476. [42 U.S.C. 676] (a) The Secretary may provide technical assistance to the
States to assist them to develop the programs authorized under this part and shall periodically
(1) evaluate the programs authorized under this part and part B of this title and (2) collect
and publish data pertaining to the incidence and characteristics of foster care and adoptions in
this country.
(b) Each State shall submit statistical reports as the Secretary may require with respect
to children for whom payments are made under this part containing information with respect
to such children including legal status, demographic characteristics, location, and length of
any stay in foster care.
INDEPENDENT LIVING INITIATIVES
SEC. 477. [42 U.S.C. 677] (a)(1) Payments shall be made in accordance with this
section for the purpose of assisting States and localities in establishing and carrying out
programs designed to assist children described in paragraph (2) who have attained age 16 in
making the transition from foster care to independent living. Any State which provides for
the establishment and carrying out of one or more such programs in accordance with this
section for a fiscal year shall be entitled to receive payments under this section for such
fiscal year, in an amount determined under subsection (e).
(2) A program established and carried out under paragraph (1)--
(A) shall be designed to assist children with respect to whom foster care
maintenance payments are being made by the State under this part (including children
with respect to whom such payments are no longer being made because the child has
accumulated assets, not to exceed $5,000, which are otherwise regarded as resources
for purposes of determining eligibility for benefits under this part),
(B) may at the option of the State also include any or all other children in
foster care under the responsibility of the State, and
(C) may at the option of the State also include any child who has not attained
age 21 to whom foster care maintenance payments were previously made by a State
under this part and whose payments were discontinued on or after the date such child
attained age 16, and any child who previously was in foster care described in
Compilation of Titles IV-B and IV-E of the Social Security Act (11/19/97) - Page 39
subparagraph (B) and for whom such care was discontinued on or after the date such
child attained age 16; and a written transitional independent living plan of the type
described in subsection (d)(6) shall be developed for such child as a part of such
program.
(b) The State agency administering or supervising the administration of the State's
programs under this part shall be responsible for administering or supervising the
administration of the State's programs described in subsection (a). Payment under this section
shall be made to the State, and shall be used for the purpose of conducting and providing in
accordance with this section (directly or under contracts with local governmental entities or
private nonprofit organizations) the activities and services required to carry out the program
or programs involved.
(c) In order for a State to receive payments under this section for any fiscal year, the
State agency must submit to the Secretary, in such manner and form as the Secretary may
prescribe, a description of the program together with satisfactory assurances that the program
will be operated in an effective and efficient manner and will otherwise meet the
requirements of this section. In the case of payments for fiscal year 1987, such description
and assurances must be submitted within 90 days after the Secretary promulgates regulations
as required under subsection (i), and in the case of payments for any succeeding fiscal year
such description and assurances must be submitted prior to February 1 of such fiscal year.
(d) In carrying out the purpose described in subsection (a), it shall be the objective of
each program established under this section to help the individuals participating in such
program to prepare to live independently upon leaving foster care. Such programs may
include (subject to the availability of funds) programs to--
(1) enable participants to seek a high school diploma or its equivalent or to
take part in appropriate vocational training;
(2) provide training in daily living skills, budgeting, locating and maintaining
housing, and career planning;
(3) provide for individual and group counseling;
(4) integrate and coordinate services otherwise available to participants;
(5) provide for the establishment of outreach programs designed to attract
individuals who are eligible to participate in the program;
(6) provide each participant a written transitional independent living plan
which shall be based on an assessment of his needs, and which shall be incorporated
into his case plan, as described in section 475(1); and
(7) provide participants with other services and assistance designed to improve
their transition to independent living.
(e)(1)(A) The basic amount to which a State shall be entitled under section 474(a)(4)
for fiscal year 1987 and any succeeding fiscal year shall be an amount which bears the same
ratio to the basic ceiling for such fiscal year as such State's average number of children
receiving foster care maintenance payments under this part in fiscal year 1984 bears to the
total of the average number of children receiving such payments under this part for all States
for fiscal year 1984.
(B) The maximum additional amount to which a State shall be entitled under section
474(a)(4) for fiscal year 1991 and any succeeding fiscal year shall be an amount which bears
Compilation of Titles IV-B and IV-E of the Social Security Act (11/19/97) - Page 40
the same ratio to the additional ceiling for such fiscal year as the basic amount of such State
bears to $45,000,000.
(C) As used in this section:
(i) The term "basic ceiling" means--
(I) for fiscal year 1990, $50,000,000; and
(II) for each fiscal year other than fiscal year 1990, 45,000,000.
(ii) The term "additional ceiling" means--
(I) for fiscal year 1991, $15,000,000; and
(II) for any succeeding fiscal year, $25,000,000.
(2) If any State does not apply for funds under this section for any fiscal year within
the time provided in subsection (c), the funds to which such State would have been entitled
for such fiscal year shall be reallocated to one or more other States on the basis of their
relative need for additional payments under this section (as determined by the Secretary).
(3) Any amounts payable to States under this section shall be in addition to amounts
payable to States under subsections (a)(1), (a)(2), and (a)(3) of section 474, and shall
supplement and not replace any other funds which may be available for the same general
purposes in the localities involved. Amounts payable under this section may not be used for
the provision of room or board.
(f) Payments made to a State under this section for any fiscal year--
(1) shall be used only for the specific purposes described in this section;
(2) may be made on an estimated basis in advance of the determination of the
exact amount, with appropriate subsequent adjustments to take account of any error in
the estimates; and
(3) shall be expended by such State in such fiscal year or in the succeeding
fiscal year.
Notwithstanding paragraph (3), payments made to a State under this section for the fiscal
year 1987 and unobligated may be expended by such State in the fiscal year 1989.
(g)(1) Not later than the first January 1 following the end of each fiscal year, each
State shall submit to the Secretary a report on the programs carried out during such fiscal
year with the amounts received under this section. Such report--
(A) shall be in such form and contain such information as may be necessary to
provide an accurate description of such activities, to provide a complete record of the
purposes for which the funds were spent, and to indicate the extent to which the
expenditure of such funds succeeded in accomplishing the purpose described in
subsection (a); and
(B) shall specifically contain such information as the Secretary may require in
order to carry out the evaluation under paragraph (2).
(2)(A) Not later than July 1, 1988, the Secretary shall submit an interim report on the
activities carried out under this section.
(B) Not later than March 1, 1989, the Secretary, on the basis of the reports submitted
by States under paragraph (1) for the fiscal years 1987 and 1988, and on the basis of such
additional information as the Secretary may obtain or develop, shall evaluate the use by
States of the payments made available under this section for such fiscal year with respect to
the purpose of this section, with the objective of appraising the achievements of the programs
Compilation of Titles IV-B and IV-E of the Social Security Act (11/19/97) - Page 41
for which such payments were made available, and developing comprehensive information
and data on the basis of which decisions can be made with respect to the improvement of
such programs and the necessity for providing further payments in subsequent years. The
Secretary shall report such evaluation to the Congress. As a part of such evaluation, the
Secretary shall include, at a minimum, a detailed overall description of the number and
characteristics of the individuals served by the programs, the various kinds of activities
conducted and services provided and the results achieved, and shall set forth in detail
findings and comments with respect to the various State programs and a statement of plans
and recommendations for the future.
(h) Notwithstanding any other provision of this title, payments made and services
provided to participants in a program under this section, as a direct consequence of their
participation in such program, shall not be considered as income or resources for purposes of
determining eligibility (or the eligibility of any other persons) for aid under the State's plan
approved under section 402 or 471, or for purposes of determining the level of such aid.
(i) The Secretary shall promulgate final regulations for implementing this section
within 60 days after the date of the enactment of this section.
SEC. 478. RULE OF CONSTRUCTION. Nothing in this part shall be construed as
precluding State courts from exercising their discretion to protect the health and safety of
children in individual cases, including cases other than those described in section
471(a)(15)(D).
COLLECTION OF DATA RELATING TO ADOPTION AND FOSTER CARE
SEC. 479. [42 U.S.C. 679] (a)(1) Not later than 90 days after the date of the
enactment of this subsection, the Secretary shall establish an Advisory Committee on
Adoption and Foster Care Information (in this section referred to as the "Advisory
Committee") to study the various methods of establishing, administering, and financing a
system for the collection of data with respect to adoption and foster care in the United States.
(2) The study required by paragraph (1) shall--
(A) identify the types of data necessary to--
(i) assess (on a continuing basis) the incidence, characteristics,
and status of adoption and foster care in the United States, and
(ii) develop appropriate national policies with respect to adoption and
foster care;
(B) evaluate the feasibility and appropriateness of collecting data with respect
to privately arranged adoptions and adoptions arranged through private agencies
without assistance from public child welfare agencies;
(C) assess the validity of various methods of collecting data with respect to
adoption and foster care; and
(D) evaluate the financial and administrative impact of implementing each such
method.
Compilation of Titles IV-B and IV-E of the Social Security Act (11/19/97) - Page 42
(3) Not later than October 1, 1987, the Advisory Committee shall submit to the
Secretary and the Congress a report setting forth the results of the study required by
paragraph (1) and evaluating and making recommendations with respect to the various
methods of establishing, administering, and financing a system for the collection of data with
respect to adoption and foster care in the United States.
(4)(A) Subject to subparagraph (B), the membership and organization of the Advisory
Committee shall be determined by the Secretary.
(B) The membership of the Advisory Committee shall include representatives of--
(i) private, nonprofit organizations with an interest in child welfare (including
organizations that provide foster care and adoption services),
(ii) organizations representing State and local governmental agencies with
responsibility for foster care and adoption services,
(iii) organizations representing State and local governmental agencies with
responsibility for the collection of health and social statistics,
(iv) organizations representing State and local judicial bodies with jurisdiction
over family law,
(v) Federal agencies responsible for the collection of health and social
statistics, and
(vi) organizations and agencies involved with privately arranged or
international adoptions.
(5) After the date of the submission of the report required by paragraph (3), the
Advisory Committee shall cease to exist.
(b)(1)(A) Not later than July 1, 1988, the Secretary shall submit to the Congress a
report that--
(i) proposes a method of establishing, administering. and financing a system
for the collection of data relating to adoption and foster care in the United States,
(ii) evaluates the feasibility and appropriateness of collecting data with respect
to privately arranged adoptions and adoptions arranged through private agencies
without assistance from public child welfare agencies, and
(iii) evaluates the impact of the system proposed under clause (i) on the
agencies with responsibility for implementing it.
(B) The report required by subparagraph (A) shall--
(i) specify any changes in law that will be necessary to implement the system
proposed under subparagraph (A)(i), and
(ii) describe the type of system that will be implemented under paragraph (2)
in the absence of such changes.
(2) Not later than December 31, 1988, the Secretary shall promulgate final regulations
providing for the implementation of--
(A) the system proposed under paragraph (1)(A)(i), or
(B) if the changes in law specified pursuant to paragraph (1)(B)(i) have not
been enacted, the system described in paragraph (1)(B)(ii).
Such regulations shall provide for the full implementation of the system not later than
October 1, 1991.
(c) Any data collection system developed and implemented under this section shall--
Compilation of Titles IV-B and IV-E of the Social Security Act (11/19/97) - Page 43
(1) avoid unnecessary diversion of resources from agencies responsible for
adoption and foster care;
(2) assure that any data that is collected is reliable and consistent over time
and among jurisdictions through the use of uniform definitions and methodologies;
(3) provide comprehensive national information with respect to--
(A) the demographic characteristics of adoptive and foster children and
their biological and adoptive or foster parents,
(B) the status of the foster care population (including the number of
children in foster care, length of placement, type of placement, availability for
adoption, and goals for ending or continuing foster care),
(C) the number and characteristics of--
(i) children placed in or removed from foster care,
(ii) children adopted or with respect to whom adoptions have
been terminated, and
(iii) children placed in foster care outside the State which has
placement and care responsibility, and
(D) the extent and nature of assistance provided by Federal, State, and
local adoption and foster care programs and the characteristics of the children
with respect to whom such assistance is provided; and
(4) utilize appropriate requirements and incentives to ensure that the system
functions reliably throughout the United States.
SEC 479A ANNUAL REPORT. The Secretary, in consultation with Governors,
State legislatures, State and local public officials responsible for administering child welfare
programs, and child welfare advocates, shall-
(1) develop a set of outcome measures (including length of stay in foster care,
number of foster care placements, and number of adoptions) that can be used to assess
the performance of States in operating child protection and child welfare programs
pursuant to parts B and E to ensure the safety of children;
(2) to the maximum extent possible, the outcome measures should be
developed from data available from the Adoption and Foster Care Analysis and
Reporting System;
(3) develop a system for rating the performance of States with respect to the
outcome measures, and provide to the States an explanation of the rating system and
how scores are determined under the rating system;
(4) prescribe such regulations as may be necessary to ensure that States
provide to the Secretary the data necessary to determine State performance with
respect to each outcome measure, as a condition of the State receiving funds under
this part; and
(5) on May 1, 1999, and annually thereafter, prepare and submit to the
Congress a report on the performance of each State on each outcome measure, which
shall examine the reasons for high performance and low performance and, where
possible, make recommendations as to how State performance could be improved.
ACYF-PI-CB-98-02
Attachment C
Title IV-B / Title IV- E STATE PLAN - STATE OF
REQUIRED STATE LEGISLATION
I hereby certify that State legislation is/is not necessary to comply with the following
titles IV-B and IV-E State plan requirements contained in Public Law 105-89,
The Adoption and Safe Families Act of 1997 (check all that apply only if legislation is
necessary):
Title IV-B, Subparts 1 and 2:
Including safety in case plan and case review requirements [section 422(b)(10)]
Adoptions across State and county jurisdictions [section 422(b)(12)]
Requiring assurances that the safety of children shall be the paramount concern
[section 432(a)(9)]
Title IV-E:
Clarification of the reasonable efforts requirement [section 471(a)(15)]
Criminal record checks for prospective foster and adoptive parents
[section 471(a)(20)]
Health insurance coverage for children with special needs [section 471(a)(21)]
State standards to ensure quality services for children in foster care
[section 471(a)(22)]
State requirement to initiate or join proceedings within a specified time to
terminate parental rights for certain children in foster care [section 475(5)(E)
and (F)]
Therefore, I do/do not request a delay of the effective date for the implementation of the
requirements checked above, as set forth in Section 501(b) of Public Law 105-89. The
estimated delayed effective date for these requirements will be
(the first day of the first calendar quarter beginning after the close of the first regular
session of the State legislature that began after November 19, 1997).
(Date)
(Signature of Designated State Agency Official)
(Title)
Approval Date:
(Signature, ACF Regional Administrator or Designee)
Attachment D
DEPARTMENT OF HEALTH AND HUMAN SERVICES
ADMINISTRATION FOR CHILDREN AND FAMILIES
WASHINGTON, D.C. 20447
REGIONAL OFFICES
REGION I, BOSTON
Connecticut, Maine, Massachusetts, New Hampshire, Rhode Island,
Vermont
Hugh Galligan
Commercial:
617/565-1020
Regional Administrator
Telefax:
617/565-2493
JFK Federal Building
Room 2000, 20th Floor
Boston, MA 02203
Alice Miller
Executive Assistant
REGION II, NEW YORK
New York, Puerto Rico, Virgin Islands, New Jersey
Mary Ann Higgins
Commercial:
212/264-2890
Regional Administrator
Telefax:
212/264-4881
26 Federal Plaza
Room 4049
New York, NY 10278
Eleanor Schiffer
Executive Assistant
REGION III, PHILADELPHIA
Delaware, Maryland, Pennsylvania, Virginia, West Virginia, District
of Columbia
David Lett
Commercial:
215/596-0352
Regional Administrator
Telefax:
215/596-5028
Gateway Building
Room 5450
3535 Market Street
Philadelphia, PA 19104
Judy Fasano
Executive Assistant
REGION IV, ATLANTA
Alabama, Florida, Georgia, Kentucky, Mississippi, North Carolina,
Tennessee, South Carolina
Steven Golightly
Commercial:
404/588-5700
Regional HUB Director
Telefax:
404/331-1776
101 Marietta Tower
Suite 821
Atlanta, GA 30323
Jill Porter
Executive Assistant
REGION V, CHICAGO
Illinois, Indiana, Michigan, Minnesota, Ohio, Wisconsin
Linda Carson
Commercial:
312/353-4237
Regional HUB Director
Telefax:
312/353-2204
105 West Adams Street
20th Floor
Chicago, IL 60603
Nancy Sanchez
Executive Assistant
REGION VI, DALLAS
Arkansas, Louisiana, New Mexico, Oklahoma, Texas
Leon R. McCowan
Commercial:
214/767-9648
Regional HUB Director
Telefax:
214/767-3743
1301 Young Street
Room 914
Dallas, TX 75202
Shirley Gary
Executive Assistant
REGION VII, KANSAS CITY
Iowa, Kansas, Missouri, Nebraska
Linda Lewis
Commercial:
816/426-3981 (ext 104)
Regional Administrator
Telefax:
816/426-2888
Federal Office Building
Room 276
601 East 12th Street
Kansas City, Missouri 64106
Marion Todd
Executive Assistant
REGION VIII, DENVER
Colorado, Montana, North Dakota, South Dakota, Utah, Wyoming
Beverly Turnbo
Commercial:
303/844-3100 (ext 301)
Regional Administrator
Telefax:
303/844-3642
Federal Office Building
1961 Stout Street
Room 924
Denver, CO
80294-3538
Kathy Cass
Executive Assistant
REGION IX, SAN FRANCISCO
Arizona, California, Hawaii, Nevada, Guam, Trust Territory of
Pacific Islands, American Samoa
Sharon N. Fujii
Commercial:
415/437-8400
Regional Administrator
Telefax:
415/437-8444
50 United Nations Plaza
Room 450
San Francisco, CA 94102
Devina Richards
Executive Assistant
REGION X, SEATTLE
Alaska, Idaho, Oregon, Washington
Stephen S. Henigson
Commerical:
206/615-2547 (ext 2249)
Regional Administrator
Telefax:
206/615-2574 or 2575
2201 Sixth Avenue
Room 610-M/S RX-70
Seattle, WA 98121
(vacant)
THE ADOPTION AND SAFE FAMILIES ACT OF 1997
On November 19, 1997 the President signed the Adoption and Safe Families Act (Public Law 105-
89), in an effort to promote adoption and ensure safety for children in foster care. Major provisions
are summarized below.
Child Safety and "Reasonable Efforts" to Preserve Families
The Adoption and Safe Families Act requires that a child's health and safety be of
"paramount" concern in any efforts made by the State to preserve or reunify the
child's family. The new law establishes exceptions to the "reasonable efforts"
requirement.
The legislation requires States to conduct criminal background checks for all
prospective foster or adoptive parents, and deny approval to anyone who has ever
been convicted of specific crimes.
"Reasonable Efforts" to Promote Adoption
The new law also specifies that concurrent efforts can be made to preserve or reunify
a family and to place the child for adoption or guardianship.
The Act contains provisions intended to eliminate interjurisdictional issues as a
potential barrier to a child's adoption.
Excelerate Permanency Hearings and Termination of Parental Rights
Prior Federal law required that every foster child must have a judicial hearing, known
as a "dispositional" hearing, within 18 months of their placement in care to determine
their future status. The new law requires this hearing to occur within 12 months of
placement, and changes the name to "permanency" hearing.
States are required to initiate proceedings to terminate parental rights (TPR) for
children who have been in foster care for 15 of the most recent 22 months, for
infants determined under State law to be abandoned, and in any case where the court
has found that a parent has commited specific crimes. There was no comparable
provision in prior law.
Adoption Incentive Payments
The Act intends to promote adoption by providing incentive payments to States that
increase their number of foster child adoptions, with additional incentives for the
adoption of foster children with special needs.
Incentive payments will equal $4,000 for each foster child whose adoption is
finalized (over base level) and $6,000 for each special needs adoption above the base
level. The new law authorizes $20 million annually for these incentive payments, for
fiscal years 1999-2003. In addition, discretionary budget caps are adjusted to help
ensure that these funds will actually be appropriated.
HHS is authorized to provide technical assistance to help States increase their
number of foster child adoptions, and authorizes appropriations of $10 million
annually for each of fiscal years 1998-2000.
Eligibility for Adoption and Medical Assistance
Children eligible for Federal adoption assistance under title IV-E are automatically
eligible for Medicaid. States have the option to provide Medicaid coverage to special
needs adopted children who do not meet the AFDC or SSI eligibility criteria for title
IV-E subsidies.
The Act requires States to provide health insurance coverage to these children, if they
have special needs for medical, mental health, or rehabilitative care. Coverage may
be through Medicaid or another program, as long as benefits are comparable. To be
eligible for adoption incentive payments in FY 2000 or FY 2001 or a waiver
demonstration, States must provide health coverage to any special needs child whose
adoptive parents have entered into an adoption assistance agreement with any State.
Reauthorization and Renaming of Family Preservation Program
The Act reauthorizes and changes the name of the existing Family Preservation
Program to Promoting Safe and Stable Families. This program was scheduled to
expire at the end of fiscal year 1998 and is reauthorized under Public Law 105-89 at:
$275 million in fiscal year 1999; $295 million in fiscal year 2000; and $305 million
in fiscal year 2001.
Prior law required States to devote significant expenditures to each of two types of
services: family preservation; and community-based family support. The Adoption
and Safe Families Act adds two more categories: time-limited family reunification
services provided during the 15-month period after a child is removed from home;
and adoption promotion and support services.
State Accountability for Performance
The Adoption and Safe Families Act also aims to increase the accountability of States
for the performance of their child welfare programs. The legislation requires HHS, in
consultation with public officials and child welfare advocates, to develop outcome measures
in various categories (i.e., number of foster care placements and adoptions, length of stay in
foster care), and to rate State performance according to these measures in an annual report.
The first annual report is due by May 1, 1999. In addition, the new law directs HHS to
conduct a study and develop recommendations for a performance-based financial incentive
system under titles IV-B and IV-E. To the extent feasible, this system will be based on the
annual performance report described above. HHS must submit a progress report to Congress
within 6 months of the new law's enactment, and a final report within 15 months.
State Innovation and Demonstration Waivers
Under legislation enacted in 1994, HHS is authorized to approve up to 10 States to
receive waivers from title IV-B and IV-E rules in order to conduct demonstration projects.
The Adoption and Safe Families Act allows HHS to approve an additional 10 demonstrations
in each of fiscal years 1998-2002. Federal law does not mandate specific goals for these
demonstrations. However, the new law directs the Secretary to give consideration to any
applications received with the following purposes: (1) to identify and address barriers to
adoption for foster children; (2) to identify and address parental substance abuse problems
that result in foster care placement for children, including through placement of children
together with their parents in appropriate residential treatment facilities; and (3) to address
kinship care.
Additional Provisions
Additional provisions in Public Law 105-89: require HHS to submit a report to
Congress by June 1, 1999, on the issue of kinship care; give child welfare agencies access
to the Federal Parent Locator Service; clarify eligibility for the Independent Living Program;
establish a sense of Congress in favor of standby guardianship laws; and make a statement
of intent about "reasonable" parenting. Unless specified otherwise, the new law takes effect
upon enactment, except that, where enactment of new State laws is required, States have until
3 months after their first legislative session to comply.
WHSO LAYOUT DRAFT 3
a/o 11/18/97; S. Warren
ADOPTION BILL SIGNING
Wednesday, November 19, 1997
Gates Open:
12:45 p.m.
Invite Time:
1:15 p.m.
Principal Time:
1:30 p.m.
Approx. 180 Guests/Open Press/Business Attire
12:30 p.m.
IN PLACE TIME
Set-up Notes: Volunteer at Coat Check at Family Theater, Volunteer at
East Entrance, Social Aid at Stair Top to greet guests, Social Aid at Stair
Bottom. Grand Foyer, and East Room.
12:45 p.m.
East Visitors Gate opens and guests proceed to East Room to be seated.
Note: 9 Social Aids: String and Piano in Grand Foyer.
Gate SIC:
Seating SIC:
Press Pool Contact: Kris Engskov
Press/Media Contact: Kara Gerhardt
1:10 p.m.
THE PRESIDENT, THE FIRST LADY, and THE VICE
PRESIDENT are briefed in the Map Room.
1:30 p.m.
THE PRESIDENT, THE FIRST LADY, AND THE VICE
PRESIDENT proceed to Blue Room to greet guests:
Blue Room SIC:
Secretary Donna Shalala
Ms. Sue Ann Badeau
Brother/Sister of Sue Ann Badeau
Mr. Dave Thomas
Sen. Jay Rockefeller
Rep. Barbara Kennelly
Sen. John Chafee
Rep. Clay Shaw
Sen. Mary Landrieu
Rep. Dave Camp
Sen. Mike DeWine
Rep. James Oberstar
Sen. Larry Craig
Rep. Carolyn Maloney
Rep. Connie Morella
Rep. Sandy Levin
Note: Upon conclusion of meet and greet. the Blue Room guests who are
not speaking will be seated in the East Room.
Note: Sen. Rockefeller, Sen. Chafee, Rep. Kennelly, and Rep. Camp are
seated on stage.
THE WHITE HOUSE
Office of the Press Secretary
For Immediate Release
November 13, 1997
STATEMENT BY THE PRESIDENT
I am pleased that the Senate and the House of Representatives have passed historic,
bipartisan legislation to promote adoption and improve our nation's child welfare system,
giving our nation's most vulnerable children what every child deserves -- a safe and permanent
home. I very much look forward to signing the Adoption and Safe Families Act of 1997 into
law.
This legislation makes clear that children's health and safety are the paramount
concerns of the public child welfare system. I am particularly pleased that the bill
incorporates my Administration's recommendations to provide states with financial incentives
to increase the number of children who are adopted and to make other changes in federal law
that will make adoption easier and move children more rapidly out of foster care and into
permanent homes. The legislation also strengthens support to states for services that help
families stay together when that is possible and promote adoption when it is not. Most
important, this legislation will help us meet the goal of doubling, by the year 2002, the
number of children who are adopted or permanently placed each year.
I want to thank the many members of the Senate and the House of Representatives who
worked so hard on this bipartisan achievement, but I particularly want to thank the
congressional leadership and the sponsors of this legislation, Senators Chafee and Rockefeller
and Representatives Camp and Kennelly, for their commitment. And I would like to add a
special word of thanks to the First Lady for her tenacity and dedication to this important issue.
I can think of no better way to celebrate National Adoption Month than to sign this
legislation into law.
###
PRESIDENT CLINTON SIGNS THE ADOPTION AND SAFE FAMILIES ACT O₁
November 19, 1997
Today, President Clinton signs into law the Adoption and Safe Families Act of 1997 to help thousands of children waiting
in foster care move more quickly into safe and permanent homes. This overwhelmingly bipartisan legislation was based
in large part on the recommendations of the Administration's "Adoption 2002" report. The report takes its name from
one of the President's central goals -- to at least double, by the year 2002, the number of children adopted or permanently
placed each year.
The Act makes sweeping changes in federal law on adoption and foster care enacted in 1980. The new law makes clear
that the health and safety of children must be the paramount concerns of state child welfare services. It sets swifter time
frames for making permanent placement decisions and terminating parental rights for children. For the first time, states
will have financial incentives to increase adoptions. Children with special needs and ongoing medical needs are ensured
health care coverage. Federal funds will continue for programs that work to keep families together when it is appropriate
and safe to do so.
Ensuring that Children are Safe
Clarifies Reasonable Efforts: As the President proposed, the new law ensures that children's health and safety are the
paramount concerns of the public child welfare system. It clarifies that there are instances when states are not required to
make "reasonable efforts" to keep children with their parents, such as when a parent has been convicted of murdering
another child or a child has been abandoned, tortured, or chronically abused.
Doubling the Number of Children Adopted or Permanently Placed by 2002
Creates Financial Incentives: The new law contains the President's plan to offer a financial bonus to states that increase
the number of children who are adopted from the public foster care system. These incentives will help to double the
number of children adopted. For every additional child adopted, a state will receive $4,000, with an additional $2,000
paid for each child with special needs. The Act authorizes $20 million for each of 5 years (FY 1999 to FY 2003) for the
bonuses, though eventually the bonuses will be offset by savings in foster care expenses.
Establishes Tighter Time Limits: Children who cannot safely return to their own families often wait far too long in foster
care - typically over 3 years, but for many much longer. Under the new law, permanency hearings will now be held no
later than 12 months after a child enters foster care, 6 months earlier than under previous law, and states must initiate
termination of parental rights proceedings, except in specified circumstances, for any child who has been in foster care for
15 of the previous 22 months.
Breaking Down Barriers, Promoting Safe and Stable Families, and Achieving Accountability
Eliminating Obstacles: The new law prohibits delaying or denying adoptions across state or county lines, thereby
breaking geographic barriers to adoption.
Providing Supportive Services: The new law ensures that children with special needs keep health insurance coverage
when they are adopted, either through Medicaid or through the new children's health program. In addition, the new law
reauthorizes the Family Preservation and Family Support Services Program, renamed Promoting Safe and Stable
Families, which provides services to strengthen families before crises occur and to ensure safe, stable homes for children
who return to their families.
Emphasizing Results for Children: The new law authorizes HHS, in consultation with states, to develop new measures to
track and rate state performance efforts in providing child welfare services to ensure successful results for children.
Recognizing Success: Prior to the bill signing today. HHS recognized 13 awardees for significant achievement in helping
both adopted children and those waiting for adoption. Among the awardees are families, foundations, members of the
media and states that have improved the management of child welfare programs.
THE CLINTON ADMINISTRATION RECORD ON ADOPTION
November 19, 1997
"/ am pleased that the Senate and the House of Representatives have passed historic, bipartisan legislation to promote adoption and
improve our nation' child welfare system, giving our nation's most vulnerable children what every child deserves -- a safe and
permanent home. Statement by President Clinton, November 13, 1997
Today, President Clinton signs into law the Adoption and Safe Families Act of 1997 to help thousands of children waiting
in foster care move more quickly into safe and permanent homes. This overwhelmingly bipartisan legislation was based
in large part on the recommendations of the Administration's "Adoption 2002" report. The report takes its name from
one of the President's central goals -- to at least double, by the year 2002, the number of children adopted or permanently
placed each year.
The Act makes sweeping changes in federal law on adoption and foster care enacted in 1980. The new law makes clear
that the health and safety of children must be the paramount concerns of state child welfare services. It sets swifter time
frames for making permanent placement decisions and terminating parental rights for children. For the first time, states
will have financial incentives to increase adoptions. Children with special needs and ongoing medical needs are ensured
health care coverage. Federal support will continue for services to keep families together when it is appropriate and safe.
The Clinton Administration has previously taken several important steps to encourage and increase adoptions and to
support the families who choose to open their hearts and their homes to these children. Since taking office in 1993, the
President has championed programs that find and assist adoptive families, and has committed his Administration to
breaking down barriers, including high adoption costs and complex regulations. These steps include:
MAKING ADOPTION AFFORDABLE FOR FAMILIES. Last year, President Clinton signed into law the Small
Business Job Protection Act of 1996, which provides a $5,000 tax credit to families adopting children, and a $6,000 tax
credit for families adopting children with special needs. This provision has alleviated a significant barrier to adoption,
helping middle class families for whom adoption may be prohibitively expensive and making it easier for families to
adopt children with special needs. Since President Clinton took office, the number of children with special needs who
have been adopted with federal adoption assistance has risen by 60 percent. This year, in signing the Balanced Budget
Act of 1997, President Clinton ensured more support for families who adopt children with the $500 Per-Child Tax Credit.
GIVING STATES FLEXIBILITY AND SUPPORT. To test innovative strategies to improve child welfare systems,
the Clinton Administration has granted child welfare waivers to California, Delaware, Indiana, Illinois, Maryland, North
Carolina, Ohio and Oregon, giving the states more flexibility in tailoring services to meet the needs of children and
families. Up to two more states will receive approval for waivers under previous authority. Under the new Adoption and
Safe Families Act, HHS will grant up to 10 waivers per year to states. In addition, this Administration has provided states
with enhanced technical support and helped improve court operations. In September, HHS awarded 40 demonstration
grants to states, local agencies, courts, private organizations, and others committed to promoting adoption, a total of $7.9
million, for innovative programs to increase adoptions and reduce the number of children in foster care. To prevent
children from entering foster care in the first place, in 1993 the Clinton Administration secured federal funding for the
Family Preservation and Family Support Program to help states, local governments and service providers develop
effective programs to serve children and families at risk.
BREAKING DOWN RACIAL AND ETHNIC BARRIERS TO ADOPTION. The Smáll Business Job Protection Act
of 1996 also ensures that the adoption process is free from discrimination and delays on the basis of race, culture and
ethnicity by strengthening the Multi-Ethnic Placement Act which the President signed in 1994.
PROVIDING SUPPORTS FOR CHILD PROTECTION AND ADOPTION. In 1993, President Clinton signed into
law the Family and Medical Leave Act which enables parents to take time off to adopt a child without losing their jobs or
health insurance. In addition, the welfare reform bill that the President signed into law maintains the guarantee of child
protection and adoption, and does not reduce funds for child welfare, child abuse. foster care and adoption services.
RAISING PUBLIC AWARENESS. Through speeches, writings, events and public service announcements, the
President and First Lady have promoted the importance and benefits of adoption.
THE WHITE HOUSE
Office of the Press Secretary
For Immediate Release
November 19, 1997
REMARKS BY THE PRESIDENT
AND FIRST LADY
AT ADOPTION BILL SIGNING
The East Room
1:53 P.M. EST
MRS. CLINTON: Thank you and welcome to the East Room.
Please be seated. We are delighted to have all of you join us today
for this very important event and one that many of you in this room
have worked for and looked for for many years.
There are some people that I would like to acknowledge
and introduce before we get started. You will hear from the four
members of Congress who are here on the stage, Representative
Kennelly, Representative Camp, Senator Chafee and Senator
Rockefeller. Also attending are Senator Craig, Senator DeWine,
Senator Landrieu, Representative Levin, Representative Oberstar,
Representative Maloney, and Representative Morella. And I'd like to
ask all the members of Congress to please stand. (Applause.)
This was truly a bipartisan piece of legislation. It
could not have been passed without the strong support of the members
whom you see, including the sponsors who are here on the stage. It
was also a work that was very much in the heart of Secretary Donna
Shalala and her team from HHS -- Richard Tarplin, Mary Bourdette, and
Carol Williams. And I'd like to ask the Secretary and her team to
stand please. (Applause.)
There were also a number of members of the White House
staff who worked very hard with members of Congress and with members
of the HHS contingent, and I'd like to acknowledge just a few of them
-- John Hilley, Bruce Reed, Elena Kagan, and in particular Jen Klein
and Nicole Rabner. I want to thank all of them. (Applause.)
I'm also pleased that we have Governor Romer of
Colorado. We have children, families, advocates, and leaders of the
child welfare constituency here in our audience.
Nearly a year ago, the President and I met with children
waiting in the foster care system for caring families to call their
own. There the President pledged to reform the child welfare system
to work better for the children it serves, to put their health and
safety first, and to move children more quickly into safe and
permanent homes. Today we as a nation make good on that pledge.
And for the thousands of American children who wait for
a stable, loving home that will always be there, it is not a moment
too soon. Right now there are nearly half a million children in
foster care. For most, foster care is a safe haven on the road to a
permanent home or back home. Too many, however, make countless
detours along the way, shuffling from family to family without much
hope that they will ever find permanent parents to love and take care
of them. These children who will enter this holiday season unsure
about whether the family they celebrate this year will be there with
them next year deserve better.
We know it makes a difference for children to have
permanent loving homes. It's not only research that tells us this;
we know it by our intuition, by our own experience and we have all
seen it firsthand. It was here in this room two years ago that a
young woman named Deanna -- a child waiting to be adopted in foster
care stood up and read a poem about what she wanted in life, and it
wasn't real complicated. It is what all of us want. I'm happy that
because of that event here in the East Room, she was able to meet a
family who did adopt her. And I saw her last year at an event in
Kansas City and almost didn't recognize her -- from a shy, withdrawn
13-year-old, she had blossomed into a cheerful, outgoing, confident
teenager with a brilliant smile.
This landmark legislation that the President is about to
sign will see to it there are more stories like Deanna's. This
legislation stands as proof of what we can accomplish when we come
together. As we see today, the national government does have an
important role to play in reforming our foster care system, and
giving guidance to courts and states in offering incentives to speed
up and increase the numbers of adoptions, and in making sure that the
health and safety of our children is always the first priority.
But we know even more, all Americans have a role and a
responsibility. Businesses can make it easier for their employees to
adopt a child. And I want to single out Dave Thomas of Wendy's, who
has led the way in showing all of us how that can be done.
(Applause.)
Religious leaders can help spread the word about the
joys of adoptions. Parents thinking about adoption can expand their
search to reach out to kids in foster care. And if we reform the
system so that it works the way that it should, more Americans will
look to American children to adopt and not feel compelled to go
overseas to adopt children. (Applause.)
With us today are some extraordinary Americans who have
answered this call. This morning, the Department of Health and Human
Services observed National Adoption Month by honoring outstanding
achievements with the 1997 Adoption 2002 Excellence Awards.
Secretary Shalala developed these awards at the request of the
President. The winners are dedicated individuals and organizations,
both large and small, who have worked to move children out of the
foster care system and into permanent, loving homes. Some of them
have been at the forefront of this issue for years; some have
promoted and supported adoption in their communities; and some are
parents who have opened their homes and hearts to our nation's most
vulnerable children.
I'd like to ask all the honorees who were honored this
morning to please stand. (Applause.) We want to thank you for the
work you have done, for the example you have set. And we hope that
through these awards, in conjunction with this legislation, there
will be many, many more in your ranks in the years to come.
*****
THE PRESIDENT: Thank you, Sue Ann. Thank you, Aaron
(phonetic). And I want to thank the Badeau family for showing up. I
think it's fair to say it was a greater effort for them than for
anyone else here. (Laughter.) I appreciate the rest of your
presence. It was easier for me than anybody; I just had to come
downstairs. (Laughter.) But I'm grateful that they're here.
Secretary Shalala, I thank you and your staff for your
remarkable work on this. And I thank the members of the White House
staff, all the members of Congress who are present here. And
especially I thank Senators Rockefeller and Chafee and Congressmen
Camp and Kennelly for their work and for what they said here.
Congratulations to the Adoption 2002 Excellence Award
winners. I thank all the advocates who are here. And I say a
special word of thanks, along with all the others who have said it,
to the First Lady, who has been passionately committed to this issue
for at least 25 years now that I know. Thank you, Governor Romer,
for coming. And thank you, Dave Thomas, for what you've done.
Again let me say to all the members of Congress who are
here, Republicans and Democrats alike, I am very grateful for what
you've done. This, after all, is what we got in public life for,
isn't it?
Before I make my brief remarks, if you'll forgive me and
understand, I have to make one public statement today about the
situation in Iraq.
As I have said before, I prefer to resolve this
situation peacefully, with our friends and allies, and I am working
hard to do just that. But I want to be clear again about the
necessary objective of any diplomacy now underway. Iraq must comply
with the unanimous will of the international community and let the
weapons inspectors resume their work to prevent Iraq from developing
an arsenal of nuclear, chemical and biological weapons. The
inspectors must be able to do so without interference. That's our
top line; that's our bottom line. I want to achieve it
diplomatically. But we're taking every step to make sure we are
prepared to pursue whatever options are necessary.
I do not want these children we are trying to put in
stable homes to grow up into a world where they are threatened by
terrorists with biological and chemical weapons. It is not right.
(Applause.)
It's hard to believe now, but it was just a little less
than a year ago when I directed our administration to develop a plan
to double the number of children we move from foster care to adoptive
homes by the year 2002. We know that foster parents provide safe and
caring families for children. But the children should not be trapped
in them forever, especially when there are open arms waiting to
welcome them into permanent homes.
The Adoption and Safe Families Act, which I am about to
sign, is consistent with the work of the 2002 report and our goals.
It fundamentally alters our nation's approach to foster care and
adoption. And fundamentally, it will improve the well-being of
hundreds of thousands of our most vulnerable children. The new
legislation makes it clear that children's health and safety are the
paramount concerns of our public child welfare system. It makes it
clear that good foster care provides important safe havens for our
children, but it is by definition a temporary, not a permanent,
setting.
The new law will help us to speed children out of foster
care into permanent families by setting meaningful time limits for
child welfare decisions, by clarifying which family situations call
for reasonable reunification efforts and which simply do not. It
will provide states with financial incentives to increase the number
of children adopted each year. It will ensure that adopted children
with special needs never lose their health coverage -- a big issue.
Thank you, Congress, for doing that. It will reauthorize federal
funding for timely services to alleviate crisis before they become
serious, that aid the reunification of families that help to meet
post-adoption needs.
With these measures we help families stay together where
reunification is possible and help find safe homes for children much
more quickly when it is not. We've come together in an extraordinary
example of bipartisan cooperation to meet the urgent needs of
children at risk. We put our differences aside, and put our children
first.
This landmark legislation builds on other action taken
in the last few years by Congress: the Adoption Tax Credit I signed
into law August to make adopting children more affordable for
families, especially those who adopt children with special needs; the
Multiethnic Placement Act, enacted two years ago, ensuring that
adoption is free from discrimination and delay, based on race,
culture, or ethnicity; and the very first law I signed as President,
the Family and Medical Leave Act of 1993, which enables parents to
take time off to adopt a child without losing their jobs or their
health insurance.
We have put in place here the building blocks of giving
all of our children what should be their fundamental right -- a
chance at a decent, safe home; an honorable, orderly, positive
upbringing; a chance to live out their dreams and fulfill their
God-given capacities.
Now, as we approach Thanksgiving, when families all
across our country come together to give thanks for their blessings,
I would like to encourage more families to consider opening their
homes and their hearts to children who need loving homes. You may
not want to go as far as the Badeaus have -- (laughter) -- but they
are a shining example of how we grow -- (applause) -- they are a
shining example of how we grow when we give, how we can be blessed in
return many times over. We thank them and all -- all of the adoptive
parents in the country.
For those who are now or have been foster or adoptive
parents, I'd like to say thank you on behalf of a grateful nation,
and again say at Thanksgiving, let us thank God for our blessings and
resolve to give more of our children the blessings they deserve.
Thank you very much. (Applause.)
END
2:19 P.M. EST
November 14, 1997 - Page 1
COMPARISON OF ADOPTION 2002 PROPOSALS AND ADOPTION LAW AS ENACTED
Topic
Adoption 2002 Report
Law as Passed (enrolled version of H.R. 867)
Numerical Targets to Double
Work with States on numerical goals and targets to
No additional legislative authority needed.
Adoptions
double the number of adoptions and other permanent
placements by 2002.
Technical Assistance
Provide technical assistance to State agencies, courts and
Authorized (but not appropriated) at $10 million per year
communities to improve the timeliness of permanency
for each year FY98 through 2000 (section 201(a)).
decisions and to increase the number of adoptions and
Specific priority topics for TA are specified, and half the
other permanent placements (requested $10 million per
funds must be spent on TA for courts to improve their
year).
handling of adoption issues.
Financial Incentives for
Financial incentives to states to increase the number of
Authorized (but not appropriated) at $20 million per year
Increased Adoptions
adoptions from the public child welfare system (per child
for each year FY1999 through 2003 (section 201(a)). The
bonuses).
discretionary spending cap is adjusted for amounts that
may in the future be appropriated for these purposes.
Bonuses are in the amounts requested by the
Administration ($4000 per adoption plus an additional
$2000 for each special needs adoption.)
MEPA Implementation
Continued aggressive implementation of the Multiethnic
No additional legislative authority needed.
Placement Act, as amended.
State-by-State Progress Report
Publish an annual State-by-State report on success in
Requires HHS to develop outcome measures and a rating
meeting numerical targets for adoption.
system for child welfare services, based as much as
possible on AFCARS data. Requires an annual report to
Congress based on such data beginning in May 1999. In
addition, the law requires that HHS develop a
performance based incentive system for IV-B and IV-E
payments (feasibility study due 6 months after enactment
and final report due 15 months after enactment). All of
these efforts are to be undertaken in consultation with
outside partners (section 203).
Recognize Success
Recognize successful state efforts.
No additional legislative authority needed.
November 14, 1997 - Page 2
COMPARISON OF ADOPTION 2002 PROPOSALS AND ADOPTION LAW AS ENACTED
Topic
Adoption 2002 Report
Law as Passed (enrolled version of H.R. 867)
Barrier Removal Grants
Provide States with funding to identify and remove
No provision for such grants, although child welfare
barriers to permanency and adoption.
waiver demonstrations on this topic are explicitly
encouraged.
Hearing Timelines
Clarify the purpose of dispositional hearings by renaming
Renames the hearings as permanency hearings and moves
them permanency planning hearings and shorten the
them to no later than 12 months after a child enters foster
timeframe until such a hearing is required from 18 months
care (section 302). In addition, provides that the state
to 12 months. A variety of other steps/approaches to
shall file to terminate parental rights for any child in
improve timeliness are discussed, but no specific timelines
foster care 15 of the past 22 months, for abandoned
for terminations of parental rights (TPRs) are proposed.
infants and for children whose parents have been
determined by a court of competent jurisdiction to have
committed any of a series of specified offenses against the
child or a sibling. Exceptions are provided for children in
kinship care, cases where the state agency has
documented a compelling reason why such action would
not be in the child's best interests, or where the state has
not provided appropriate services in cases where
reasonable efforts are required (section 103). For children
whose parents have committed an offense which obviates
the need for reasonable efforts, a permanency hearing is
required within 30 days (section 101).
Reasonable Efforts Clarifications
Clarify "reasonable efforts" requirements to emphasize
Adds language on child health/safety and reasonable
on Safety
that child health and safety should be the paramount
efforts along the lines envisioned in Adoption 2002 and
concern in making child welfare decisions and to illustrate
specifies several types of cases in which reasonable efforts
circumstances in which reunification is not appropriate.
are not required (section 101).
Also adds safety language to provisions regarding the
contents of case plans and requirements for case reviews
(section 102).
November 14, 1997 - Page 3
COMPARISON OF ADOPTION 2002 PROPOSALS AND ADOPTION LAW AS ENACTED
Topic
Adoption 2002 Report
Law as Passed (enrolled version of H.R. 867)
Reasonable Efforts Regarding
Establish a reasonable efforts requirement to secure an
Requires reasonable efforts to find an adoptive home or
Adoption
adoptive home when reunification has been ruled out.
other permanent living arrangement for children whose
permanency plan is other than return home (section 101)
and requires documentation of such efforts (section 107).
Clarifies that efforts toward adoption may be made
concurrently with reunification efforts.
Use of FPLS in Child Welfare
Encourage States to use the Federal Parent Locator
Specific authority to use the FPLS for these purposes is
Cases
Service to locate absent parents and relatives who might
provided (section 105).
provide a permanent home for the child and to terminate
parental rights when appropriate.
Child Welfare Waivers
Increase the number of child welfare demonstration
The Secretary may authorize 10 demonstration projects
waivers.
per year for each of FYs 1998-2001. The Secretary is
particularly required to consider applications regarding the
removal of barriers to adoption, regarding substance abuse
treatment and placing children in residential facilities with
their mothers, and regarding kinship care. The Secretary
further is granted the authority to extend the duration of
demonstration projects beyond their initial 5 year period
(section 301).
Kinship Care
Suggests this is an issue that needs further study.
HHS must produce a draft report on kinship care which is
Commits to establishing kinship demonstration projects as
to be reviewed by an advisory panel on kinship care (to
provided for in the reauthorized CAPTA legislation, and
be convened by June 1, 1998), and then issue a final
through child welfare demonstration waivers.
report by June 1, 1999 (section 303). The advisory
panel's primary purpose is to review the Secretary's draft
report. See also mention of kinship care under the topic
of child welfare waivers.
November 14, 1997 - Page 4
COMPARISON OF ADOPTION 2002 PROPOSALS AND ADOPTION LAW AS ENACTED
Topic
Adoption 2002 Report
Law as Passed (enrolled version of H.R. 867)
Interjurisdictional Issues
Proposes technical assistance to support the development
The law explicitly prohibits states from delaying or
of collaboratives that encourage placements across
denying adoptive placements outside State or county
geographical boundaries.
jurisdictional lines. In addition, title IV-E state plan
requirements are amended to include an assurance that the
state shall develop plans for the effective use of cross-
jurisdictional resources. The GAO is also required to
study the issue and to submit a report to Congress within
one year of the date of enactment (section 202).
Notice of Hearings and Right to
Not addressed.
Foster parents, preadoptive parents, and relative caretakers
Be Heard for Foster Parents,
of children must receive notice of and an opportunity to
Preadoptive Parents, or other
be heard at reviews and hearings regarding the child's
Caretakers
status. They do not, however, become a party to the case
(section 104).
Criminal Background Checks
Not addressed.
Each state's IV-E plan must include procedures for
conducting criminal background checks for foster parents
and adoptive parents. For some crimes, approval would
be denied if the crime were committed during the last five
years, while for other crimes, approval would be denied
regardless of the date of the criminal act.
States may opt out of this provision (section 106). -
Clarification of Independent
Not addressed.
Clarifies that children shall continue to be eligible for
Living Services Eligibility
independent living services even if they have accumulated
assets up to $5,000 which would otherwise be counted for
eligibility purposes (section 304).
November 14, 1997 - Page 5
COMPARISON OF ADOPTION 2002 PROPOSALS AND ADOPTION LAW AS ENACTED
Topic
Adoption 2002 Report
Law as Passed (enrolled version of H.R. 867)
Family Preservation and Support
Not addressed, except to note the need for family
Reauthorizes Family Preservation and Support (FP/S) for
services.
three years (FY99 through FY2001) at essentially the
same levels as in current law with minor increases each
year. The program is renamed "Promoting Safe and
Stable Families" and two additional categories of services
are added, time-limited family reunification services and
adoption promotion and support services. In addition, the
state plans for the program must include an assurance that
the safety of the child shall be of paramount concern in
services provided under this program (section 305).
Health Insurance Coverage for
Not addressed.
States' IV-E plans must provide for health insurance
Adopted Special Needs Children
coverage for special needs children for whom there is a
non-IV-E adoption assistance agreement in place (IV-E
children already are eligible for Medicaid). Such
coverage may be provided either through Medicaid or
other means but must be comparable to Medicaid -
coverage. States may make cost sharing arrangements
with adoptive parents for such coverage, taking into
account adoptive parents' circumstances and the child's
needs (section 306)
IV-E Eligibility for Special
Not addressed.
If a child placed in an adoptive home under a IV-E
Needs Children Whose
adoption assistance agreement comes back into the care of
Adoptions Disrupt
the state, the child's IV-E eligibility shall continue
(section 307).
Quality Guidelines
Not addressed.
Each state shall, by January 1, 1999, develop and
implement standards assuring that children are provided
with quality services that protect their health and safety
(section 308). This becomes a IV-E plan requirement.
Preservation of Reasonable
Not addressed.
Clarifies that nothing in this act is intended to intrude
Parenting
upon reasonable methods of parenting (section 401).
November 14, 1997 - Page 6
COMPARISON OF ADOPTION 2002 PROPOSALS AND ADOPTION LAW AS ENACTED
Topic
Adoption 2002 Report
Law as Passed (enrolled version of H.R. 867)
Standby Guardianships
Not addressed.
Provides a sense of the Congress that states should have
standby guardianship laws (section 403).
Welfare Contingency Fund
Not addressed.
In order to pay for the various provisions of the bill, the
welfare contingency fund is reduced by $40 million
spread over 5 years. This includes $2 million in FY98,
$9 million in FY99, $16 million in FY20.00 and $13
million in FY2001.
Report to Ways and Means and
Not addressed except to note the importance of substance
Requires HHS to submit a report to Congress on this
Finance Committees on the
abuse issues to the child protection field and the need for
topic by one year after the date of enactment (section
Coordination of Substance
substance abuse services for families in the child welfare
405).
Abuse and Child Protective
system.
Services
Sense of Congress Regarding the
Not addressed.
To the extent practicable all equipment and products
Purchase of American-Made
purchased with funds under this act should be American-
Equipment and Products
made (section 406).
-Summary of the Adoption and Safe Families Act of 1997 (P.L. 105-89)
http://www.cwla.org/cwla.hr867.html
Child Welfare League of America
Summary of
The Adoption And Safe Families Act Of 1997
(P.L. 105-89)
On November 19, 1997, the President signed into law (P.L. 105-89) the Adoption and Safe Families Act
of 1997, to improve the safety of children, to promote adoption and other permanent homes for children
who need them, and to support families. This new law makes changes and clarifications in a wide range
of policies established under the Adoption Assistance and Child Welfare Act (P.L. 96-272), the major
federal law enacted in 1980 to assist the states in protecting and caring for abused and neglected
children. The new law:
Continues and Expands the Family Preservation and Support Services Program. The Family
Preservation and Support Services Program, renamed the Promoting Safe and Stable Families
Program, is reauthorized through FY 2001 at the following levels: FY 1999 at $275 million; FY
2000 at $295 million; and FY 2001 at $305 million. The set-asides are maintained for the Court
Improvement Program, evaluation, research, training, technical assistance, and Indian tribes. State
plans are now also required to contain assurances that in administering and conducting service
programs, the safety of the children to be served will be of paramount concern.
The new law further clarifies that for the purposes of the maintenance of effort requirement in the
program, "non-federal funds" may be defined as either state or state and local funds. This change
is made retroactive to the enactment of the Family Preservation and Support Services Program
(P.L. 103-66) on August 10, 1993.
In addition to the funds to prevent child abuse and neglect and to assist families in crisis, the
program's funds specifically include time-limited reunification services such as counseling,
substance abuse treatment services, mental health services, assistance for domestic violence,
temporary child care and crisis nurseries, and transportation to and from these services. Adoption
promotion and support services are also included and are defined as pre- and post-adoptive
services and activities designed to expedite the adoption process and support families.
Continues Eligibility for the Federal Title IV-E Adoption Assistance Subsidy to Children
Whose Adoption is Disrupted. Any child who was receiving a federal adoption subsidy on or
after October 1, 1997, shall continue to remain eligible for the subsidy if the adoption is disrupted
or if the adoptive parents die.
Authorizes Adoption Incentive Payments for States. The Act authorizes $20 million for each of
FY 1999-2003 for payments to eligible states which exceed the average number of adoptions the
state completed during FY 1995-FY 1997, or in FY 1999 and subsequent years, in which
adoptions of foster children are higher than in any previous fiscal year after FY 1996. The amount
of the bonus is $4,000 for each foster child adopted and $6,000 for each adoption of a child with
special needs previously in foster care. To be eligible to receive these payments for FY 2001 or
FY 2002, states are required to provide health insurance coverage to any special needs child for
whom there is an adoption assistance agreement between the state and the child's adoptive parents.
Requires States to Document Efforts to Adopt. States are required to make reasonable efforts
and document child specific efforts to place a child for adoption, with a relative or guardian, or in
another planned permanent living arrangement when adoption is the goal. The law also clarifies
that reasonable efforts to place a child for adoption or with a legal guardian may be made
concurrently with reasonable efforts to reunify a child with his or her family.
Expands Health Care Coverage to Non-IV-E Eligible Adopted Children with Special Health
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Expands Health Care Coverage to Non-IV-E Eligible Adopted Children with Special Health
Care Needs. States are required to provide health insurance coverage for any child with special
needs for whom there is an adoption assistance agreement between the state and the adoptive
parents and whom the state has determined could not be placed for adoption without medical
assistance because the child has special needs for medical, mental health, or rehabilitative care.
The health insurance coverage can be provided through one or more state medical assistance
programs including Medicaid and must include benefits of the same type and kind as provided
under Medicaid. The state may determine cost sharing requirements.
Authorizes New Funding For Technical Assistance to Promote Adoption. The U.S.
Department of Health and Human Services (HHS) may provide technical assistance to states to
promote the adoption, or other alternative permanent placement, of foster children. The technical
assistance may include guidelines for expediting termination of parental rights; encouraged use of
concurrent planning; specialized units and expertise in moving children toward adoption; risk
assessment tools for early identification of children at risk of harm if returned home; encouraged
use of fast tracking for children under age one into pre-adoptive placements; and programs to
place children into pre-adoptive placements prior to termination of parental rights. At least half of
the appropriated funds are reserved for providing technical assistance to the courts.
Addresses Geographic Barriers to Adoption. States are required to assure that the state will
develop plans for the effective use of cross-jurisdictional resources to facilitate timely permanent
placements for children awaiting adoption. The state's Title IV-E foster care and adoption
assistance funding is conditioned on the state not denying or delaying a child's adoptive
placement, when an approved family is available outside of the jurisdiction with responsibility for
the child. Funding is also conditioned upon the state granting opportunities for fair hearings for
allegations of violations of the requirements. The U.S. General Accounting Office must study and
report to Congress on how to improve procedures and policies to facilitate timely adoptions across
state and county lines.
Establishes Kinship Care Advisory Panel. HHS is required to prepare and submit, by June 1,
1999, a report for Congress on the extent of the placement of children in foster care with relatives
and to convene an advisory panel on kinship care to review and comment on the report before it is
submitted.
Issues Sense of Congress on Standby Guardianship. It is the Sense of Congress that states
should have laws and procedures to permit a parent who is chronically ill or near death to
designate a standby guardian for their child, without surrendering their own parental rights. The
standby guardian's authority would take effect upon the parent's death, mental incapacity, or
physical debilitation and consent.
Establishes New Time Line and Conditions for Filing Termination of Parental Rights.
Federal law did not require states to initiate termination of parental rights proceedings based on a
child's length of stay in foster care. Under the new law, states must file a petition to terminate
parental rights and concurrently, identify, recruit, process and approve a qualified adoptive family
on behalf of any child, regardless of age, that has been in foster care for 15 out of the most recent
22 months. A child would be considered as having entered foster care on the earlier of either the
date of the first judicial finding of abuse or neglect, or 60 days after the child is removed from the
home.
This new requirement applies to children entering foster care in the future and to children already
in care. For children already in care, states are required to phase in the filing of termination
petitions beginning with children for whom the permanency plan is adoption or who have been in
care the longest. One third must be filed within six months of the end of the state's first legislative
session following enactment of this law, two-thirds within 12 months and all of them within 18
months. A state must also file such a petition if a court has determined that an infant has been
abandoned (as defined in state law) or if a court has determined that a parent of a child has
assaulted the child, or killed or assaulted another one of their children. Exceptions can be made to
these requirements if: (1) at the state's option, a child is being cared for by a relative; (2) the state
agency documents in the case plan which is available for court review, a compelling reason why
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agency documents in the case plan which is available for court review, a compelling reason why
filing is not in the best interest of the child; or (3) the state agency has not provided to the child's
family, consistent with the time period in the case plan, the services deemed necessary to return
the child to a safe home.
Sets New Time Frame for Permanency Hearings. Former federal law required a dispositional
hearing within 18 months of a child's placement into out-of-home care. The new law establishes a
permanency planning hearing for children in care that occurs within 12 months of a child's entry
into care. At the hearing, there must be a determination of whether and when a child will be
returned home, placed for adoption and a termination of parental rights petition will be filed,
referred for legal guardianship, or another planned permanent living arrangement if the other
options are not appropriate.
Modifies Reasonable Efforts Provision in P.L. 96-272. States continue to be required to make
reasonable efforts to preserve and reunify families. In making decisions about the removal of a
child from, and the child's return to, his or her home, the child's health and safety shall be the
paramount concern. The reasonable efforts requirement does not apply in cases in which a court
has found that:
the parent has subjected the child to "aggravated circumstances" as defined in state law
(including but not limited to abandonment, torture, chronic abuse, and sexual abuse);
the parent has committed murder or voluntary manslaughter or aided or abetted, attempted,
conspired or solicited to commit such a murder or manslaughter of another child of the
parent;
the parent has committed a felony assault that results in serious bodily injury to the child or
another one of their children; or
the parental rights of the parent to a sibling have been involuntarily terminated
In these cases, states would NOT be required to make reasonable efforts to preserve or reunify the
family but are required to hold a permanency hearing within 30 days and to make reasonable
efforts to place the child for adoption, with a legal guardian, or in another permanent placement.
Requires States to Check Prospective Foster and Adoptive Parents for Criminal
Backgrounds. States are required to provide procedures for criminal record checks for any
prospective foster or adoptive parents, before the parents are approved for placement of a child
eligible for federal subsidies. When a criminal record check reveals a felony conviction for child
abuse or neglect, spousal abuse, another crime against a child (including child pornography), rape,
sexual assault, or homicide, final approval of foster or adoptive parent status shall not be granted.
In a case of a felony conviction for physical assault, battery, or a drug-related offense that was
committed in the past five years, approval could not be granted. States can opt out of this
provision either through a written notice from the Governor to HHS, or through state law enacted
by the state legislature.
Requires Notice of Court Reviews and Opportunity to be Heard to Foster Parents,
Preadoptive Parents and Relatives. A foster parent, any preadoptive parent or relative caring for
a child must be given notice of, and an opportunity to be heard in, any review or hearing involving
the child. This provision does not require that any foster or preadoptive parent or relative be made
a party to such a review or hearing.
Directs States to Establish Standards to Ensure Quality Services. By January 1, 1999, states
are required to develop and implement standards to ensure that children in foster care placements
in public and private agencies are provided quality services that protect the safety and health of the
children.
Requires Assessment of State Performance in Protecting Children. HHS will develop, in
consultation with governors, state legislatures, state and local public officials and child welfare
advocates, a set of outcome measures to be used to assess the performance of states in operating
child protection and child welfare programs to ensure the safety of children and a system for rating
3 of 4
03/19/98 10:39:24
Summary of the Adoption and Safe Families Act of 1997 (P.L. 105-89)
http://www.cwla.org/cwla.hr867.html
the performance of states with respect to the outcome measures. HHS must submit an annual
report to Congress on state performance including recommendations for improvement. The first
report is due May 1, 1999. Outcome measures include length of stay in foster care and number of
foster placement adoptions; and, to the extent possible, are to developed from data available from
the Adoption and Foster Care Analysis and Reporting System (AFCARS).
Directs Development of Performance-Based Incentive Funding System. HHS, in consultation
with public officials and child welfare advocates, is required to develop and recommend to
Congress a performance-based incentive system for providing payments under Title IV-B and
Title IV-E of the Social Security Act by February 1999, and to submit a progress report on the
feasibility, timetable and consultation process for conducting such a study by May 1998.
Expands Child Welfare Demonstration Waivers. Under previous law, HHS has authority to
approve up to ten child welfare demonstration waivers. Eight states (CA, DE, IL, IN, MD, NC,
OH, OR) have received approval to date. This new law authorizes HHS to conduct up to 10
demonstration projects per year from FY 1998 through 2002. Specific types of demonstrations to
be considered include: projects designed to identify and address reasons for delay in adoptive
placements for foster children; projects designed to address parental substance abuse problems
that endanger children and result in placement of a child in foster care; and projects designed to
address kinship care. Eligibility for these waivers is not available if a state fails to provide health
insurance coverage to any child with special needs for whom there is in effect an adoption
assistance agreement.
Requires Study on the Coordination of Substance Abuse and Child Protection. HHS will
prepare a report which describes the extent and scope of the problem of substance abuse in the
child welfare population, the types of services provided to this population, and the outcomes
resulting from the provision of such services, including recommendations for legislation needed to
improve coordination in providing such services.
Authorizes the Use of the Federal Parent Locator Service. Child welfare agencies can now use
the Federal Parent Locator Service to assist in locating absent parents.
Extends Independent Living Services. Young people who are no longer eligible for federal
foster care assistance because their savings and assets exceed $1,000, will still be eligible for
independent living services, provided their assets do not exceed $5,000.
Funding Source. The provisions of this law are partially funded ($40 million over four years)
from an adjustment to the $2 billion Federal Contingency Fund for State Welfare Programs,
created by the 1996 welfare law (P.L. 104-193). HHS is also required to make recommendations
to Congress by March 1, 1998, for improving the operation of the Contingency Fund for State
Welfare Programs.
Effective Date: The provisions of this new law became effective on November 19, 1997, except
for the provisions dealing with termination of parental rights, disrupted adoptions, and the
definition of nonfederal funds under family preservation. States have until the close of the next
regular session of the state legislature to pass any state laws to comply with the new state plan
requirements imposed by this law.
For more information please contact the public policy department at the Child Welfare League of
America at (202)638-2952 or e-mail: [email protected].
Return to CWLA's Home Page
4 of 4
03/19/98 10:39:25
ACF
U.S. DEPARTMENT OF HEALTH AND HUMAN SERVICES
Administration on Children, Youth and Families
Administration
1. Log No: ACYF-CB-PI-98-07
2. Issuance Date: 04/30/98
for Children
3. Originating Office: Children's Bureau
and Families
4. Key Words: Adoption, Bonus, Incentive, Baseline, Increment
PROGRAM INSTRUCTION
TO:
State Agencies Administering Title IV-E of the Social Security Act
SUBJECT:
Procedures for Establishing Adoption and Guardianship Baselines to Implement
the Presidential Initiative. Adoption 2002 and the Requirements of the
Adoption and Safe Families Act of 1997
LEGAL AND
RELATED
REFERENCES:
The Adoption and Safe Families Act of 1997 (Public Law 105-89);
Sections 473A and 473(a)(1)(B)(ii) of Title IV-E of the Social Security
Act; Adoption 2002, A Response to the Presidential Executive Memorandum
on Adoption, issued December 14. 1996: and 45 CFR 1355.40. This
Program Instruction (PI) supplements Information Memorandum.
ACYF-CB-IM-97-05, issued July 7, 1997. (To the extent that there is an
inconsistency between ACYF-CB-IM-97-05 and this PI, this issuance
supersedes.)
PURPOSE:
The purpose of this PI is to provide information to the States about adoption
incentive payments authorized by the Adoption and Safe Families Act (ASFA).
establishing adoption and guardianship baseline data. calculating bonuses and
setting targets for implementing the President's Adoption Initiative,
Adoption 2002.
BACKGROUND:
In December 1996, the President introduced the Adoption 2002 initiative. This initiative is a
collaborative undertaking between the States and the Federal government to double the number of
children adopted or placed for guardianship by the year 2002 as compared to the same such permanent
placements made in fiscal year (FY) 1997. The joint effort is meant to engage Federal, State and local
governments. child welfare and adoption professionals, community leaders and other interested citizens
1
in creative and meaningful activities to improve the lives of children who are backlogged, or at risk of '
being backlogged, in the child welfare system, by creating permanent homes for them.
As part of the Adoption 2002 initiative, the President directed the Department to develop a proposal
for a per-child financial incentive to States to increase adoptions from State foster care systems. The
proposal included providing an additional sum of money to the State child welfare agency for every
child adopted from the public child welfare system in excess of each year's established baseline. That
proposal, with some modifications by the Congress, was included in ASFA. The incentive funds—
$4,000 per adopted child and an additional $2,000 per adopted title IV-E special needs child-will
only be paid to the State agency for finalized adoptions. Up to $20 million per year for five years,
between FYs 1999 and 2003, is authorized to be available to the States. Although Adoption 2002
emphasizes the establishment of permanency through both adoption and guardianship. ASFA restricts
the bonus incentives to finalized adoptions. Nevertheless, States are required to set baselines and
numerical targets to be achieved for the number of guardianships completed as well as adoptions
finalized for the purposes of the Adoption 2002 initiative.
STATUTORY REQUIREMENTS
A State is eligible for an adoption incentive payment for a fiscal year if:
1.
the State has an approved plan under title IV-E;
2.
the number of foster child adoptions from the public child welfare system finalized during the
fiscal year exceeds the baseline established for that year;
3.
except in the initial year of a State's participation in the adoption incentive program, the
determination of the number of children adopted each year, FY 1998 through FY 2002, is
made on the basis of the Adoption and Foster Care Analysis and Reporting System (AFCARS)
data submissions in compliance with Federal regulations at 45 CFR 1355.40; 1 and
4.
in FY 2001 and FY 2002, the State provides health insurance coverage to any special needs
child for whom there is an adoption assistance agreement between the State and the child's
adoptive parent(s).
The incentive funds will be paid to the States in the year following the year in which they are earned.
The incentive money will be available for use by the State for any activity or service which is
allowable under titles IV-B or IV-E of the Social Security Act (SSA) and requires no matching State
funds. Regardless of when during the fiscal year the incentive funds are received, they must be
liquidated by the end of the succeeding fiscal year.
INSTRUCTIONS:
The following provides definitions of the terms used for the purpose of establishing the baseline and
providing the incentive funds:
Adoption--For purposes of this PI, adoption means the final legalized adoption of a child who, at the
time of adoptive placement, was in foster care under the responsibility or supervision of the State.
1
Adoption data element # 34, category 1, will be used to identify adoptions from the public foster care system.
2
FY 1998 Baseline--The average number of children adopted from the State child welfare agency foster
care program, whose adoptions were finalized during fiscal years 1995, 1996 and 1997.
FY 1998 Special Needs Baseline--The average number of title IV-E special needs children adopted
from the State child welfare agency foster care program, whose adoptions were finalized during fiscal
years 1995, 1996 and 1997.
FY 1999 - FY 2002 Baselines--For each of the fiscal years. FY 1999 - FY 2002. baselines will be
based on the previous fiscal year that has the largest number of finalized adoptions from the State child
welfare agency foster care program, beginning with FY 1997.
FY 1999 - FY 2002 Special Needs Baselines--For each of the fiscal years. FY 1999 - FY 2002,
baselines will be based on the previous fiscal year that has the largest number of finalized special needs
adoptions from the State child welfare agency title IV-E foster care program. beginning with FY 1997.
Fiscal Year--Fiscal year means Federal fiscal year (October 1 through September 30).
Guardianship--Guardianship is the judicially created relationship between a child and caretaker which
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: protection, education, care and control, custody,
and decision-making. For purposes of establishing a baseline and counting completed guardianship
arrangements, only those children being released from foster care under the responsibility or
supervision of the State should be counted.
Special Needs Child(ren)--A special needs child is one whose adoption has been finalized and for
whom there is a title IV-E adoption assistance agreement under section 473(a)(1)(B)(ii) of the Social
Security Act.
ESTABLISHING THE BASELINE AND INCREMENTS:
A. ADOPTION INCENTIVE PROGRAM
The process for establishing adoption incentive baselines is based on the following principles:
The law requires that AFCARS be the sole source of data to determine State baselines, except for
the initial FY 1998 baseline. For FY 1998, this data may come from other sources and must be
derived through consultation between the States and the ACF Regional Office and Central Office
staff. Any adoption data source(s) proposed as an alternative to AFCARS for the FY 1998
baseline must be documented to be of equivalent completeness and reliability.
Separate baselines are to be established for total foster child adoptions and, of these, the number of
title IV-E special needs adoptions.
The FY 1998 baseline data will be the average of the number of finalized adoptions during FYs
1995, 1996 and 1997, as mandated by statute. At the end of FY 1998, that baseline, for practical
purposes, will cease to exist.
3
Beginning in FY 1999, the baseline data will consist of the greatest annual number of qualifying
adoptions for any single fiscal year from FY 1997 or later. Thus, if the number of adoptions
completed in FY 1998 does not surpass the number of adoptions completed in FY 1997, the new
baseline for FY 1999 will be the number of adoptions completed in FY 1997.
Although incremental targets are to be established for the Adoption 2002 initiative, it will be the
actual number of a State's finalized adoptions, and not the proposed increments or the relationship
between the actual numbers and the proposed increments, that will determine the final amount of
the incentive awards.
Developing Adoption Incentive Baselines for FY 1998
With assistance from ACF Regional Offices and using ACYF-CB-IM-97-05 as guidance. States began
establishing FY 1998 baselines based on FY 1997 data. However, ASFA expanded the FY 1998
baseline requirement to include the average number of adoptions finalized in fiscal years 1995, 1996,
and 1997. Baselines must be established counting all children adopted from the State child welfare
agency foster care system in those years.
Establishing Subsequent Baselines
The baselines for each of the fiscal years after 1998 will be calculated based on the greatest number of
adoptions finalized by the State from FY 1997 to the fiscal year prior to the current fiscal year. If a
State does not make a submission for FY 1998 incentive awards and/or a State chooses not to
participate during the initial year(s) of the incentive program, it may choose to establish initial
baselines in any year up to and including FY 2002. However, only AFCARS data can be used for
baseline data after FY 1998.
Amount of Incentives
Every State that meets the requirements established in section 473A of the Social Security Act and this
PI with an approved FY 1998 baseline will receive incentive funds as follows (see attached
Table 1):
For FY 1998. the sum of:
A) $4,000 for every qualified child adopted over the FY 1998 baseline, and
B) $2,000 for every special needs child adopted over the FY 1998 special needs baseline.
For FYs 1999 through 2002, the sum of:
A) $4,000 for every qualified child adopted over the baseline established for that year, and
B) $2,000 for every special needs child adopted over the special needs baseline established for
that year.
Calculation of Incentive Payments (See Table 1)
The actual amount of incentive funds earned cannot be calculated until each State's AFCARS data has
been submitted after the end of the fiscal year for which the funds will be awarded. The funds will
not, therefore, be paid out until the year following the year in which they have been earned. Thus,
4
incentive funds earned in FY 1998 will be paid to the States in FY 1999, as soon as possible after their
AFCARS submissions for FY 1998 have been processed and reviewed. This may not occur until the
latter part of the fiscal year.
After all of the States have submitted their data. further analysis of the potential incentives to be paid
out must also be undertaken by ACF before final payments are issued to ensure that the total amount
payable to all States does not exceed the annual amount of incentive funds appropriated by Congress.
Pub. L. 105-89 authorizes an annual appropriation of $20 million for payment in fiscal years 1999-
2003. Should the total amount of incentives earned exceed the actual annual appropriation. the final
amount of the incentive payable to each State will be a pro rata share of the total appropriation based
on the percentage of the national incentive earned by that State.
Expenditure of Incentive Bonuses
The funds awarded for adoption incentive bonuses must be expended by the end of the fiscal year
following the fiscal year in which they are awarded. This means that incentive funds earned in FY
1998 and awarded in FY 1999 must be fully liquidated by September 30, 2000. Information on the
procedures for claiming and awarding of the adoption incentive funds as well as for reporting fiscal
and program uses of the funds will be provided in a subsequent issuance.
B. ADOPTION 2002
The process for establishing adoption and guardianship baselines and increments for the Adoption 2002
initiative is based on the following principles:
Separate baselines will be established for FY 1997 for: (1) the total number of finalized foster child
adoptions, (2) the total number of title IV-E special needs adoptions, and (3) the total number of
guardianships.
AFCARS is the primary source of data to determine the State FY 1997 baselines for the Adoption
2002 initiative. However, if the State has not reported data to AFCARS, or if the State and the
Central Office statistical staff or Regional Office staff agree that the reported data are unreliable.
the State may propose the use of alternative data sources to determine the baselines. The proposed
alternative to AFCARS for the FY 1997 baseline must be documented to be of equivalent
completeness and reliability.
Interim targets will be set for the numbers of finalized adoptions and guardianships during each of
the five years after FY 1997. Setting interim numerical targets for adoptions, including title IV-E
special needs adoptions and guardianships by the year 2002, is primarily the responsibility of the
States. ACF Regional and Central Office staff will provide assistance, as appropriate and
requested. (See attached Table 2 and ACYF-CB-IM-97-05.)
The goal to be reached in FY 2002 is determined by doubling the FY 1997 baseline numbers for
finalized adoptions and guardianships.
Although not relevant for incentive awards, it is necessary to determine the baselines and establish
the increments in order to measure the progress toward and the degree of successful achievement
of the Adoption 2002 goals.
5
Incremental Targets for Adoption 2002
In consultation with the Regional Offices, States are to propose increments in the target numbers for
increasing adoptions and guardianships from FY 1998 through FY 2002. The proposed increments
will help the States monitor their progress and help ACF project the likelihood of success and
determine areas where additional technical assistance may be needed. The increments do not need to
be the same number or rate for each year. The impact of child welfare demonstration waivers and the
implementation of other ASFA provisions should be taken into consideration when developing and
evaluating increments. Increments should be calculated to lead to at least a doubling of the number of
permanent placements in 2002. that is, a 100 percent increase, compared to the number of permanent
placements finalized in FY 1997. If a State plans to set a goal to more than double the numbers and
desires to establish yearly targets to do so, Federal child welfare staff will work with them to achieve
this.
The States and Regional Offices should work together to establish the increments and develop plans for
achieving them. This should begin as soon as possible after the baseline has been established. Central
Office staff are available for consultation and for the review of increments upon request by the
Regional Offices. As experience and knowledge are gained, States may choose to amend or
supplement their procedures or change their incremental targets. The Regional Offices will work with
the States in accomplishing this and notify Central Office of such changes.
DUE DATES:
Adoption Incentive Baseline Data Deadline:
Section 473A(c)(2)(B) of the SSA requires that baseline data for the adoption incentive program be
submitted by November 30, 1997. This is clearly impossible since the effective date of the legislation
was November 19, 1997. Technical amendments are currently before the Congress to change this
date. In the meantime, since the data has to be approved by the Secretary by July 1, 1998, States are
encouraged to submit their data as soon as possible.
Adoption 2002 Baseline Data Deadline:
The Adoption 2002 increments, targets and the plans for achieving them should be transmitted to the
Regional Offices by July 1, 1998.
INQUIRIES TO: ACF Regional Administrators
Jan A dame
James A. Harrell
Deputy Commissioner
Administration on Children, Youth and
Families
6
Table 1 illustrates how the incentive works.
Adoptions Finalized and Incentive Bonuses Paid for State XYZ for FYs 1998 Through 2002
STATE XYZ
1995
1996
1997
AVG
1998
1999
2000
2001
2002
1. Established
100
150
150
160
190
Baseline
2. Established Special
50
75
90-
100
115
Needs Baseline
3. Total Number of
78
106
117
100
150
148
160
190
238
Adoptions
4. Number of Special
34
56
59
50
75
90
100
115
160
Needs Adoptions
5. Bonus Payment
200,000
**
40,000
120,000
192,000
1(L3 L1) X $4,000)
6. Special Needs
$50,000
**
$20,000
$30.000
$90.000
Bonus Payment *
((L4 L2) X $2.000]
7. Total Bonus
250,000
**
60,000
150,000
282.000
[Line 5 + Line 6)
*Special needs bonus payments are made only if Line 3 exceeds Line 1, and Line 4 exceeds Line 2.
** No bonus payments are made because the total number of adoptions for fiscal year 1999 did not exceed
the baseline for the year.
Please note the following situations reflected in the table:
a.
Each year's awards are considered on their own.
b.
Incentives are not paid out until the year after they have been earned.
C.
In this example, the baselines for the 1998 incentives are 100 and 50. Because the 1997 achievements
were 117 and 59, however, no year's established baselines (other than 1998) could fall below 117 and 59
for purposes of earning the incentive funds.
7
The following table indicates how the baselines and incremental targets for adoption and guardianship may be
structured:
1997 Baseline Data:
117 Adoptions
30 Guardianships
147 Permanent Placements
Goals for 2002:
234 Adoptions
60 Guardianships
294 Permanent Placements
Table 2 illustrates how a State may set its incremental targets.
State XYZ's Incremental Targets for Doubling Permanent Placements
STATE XYZ
1997
1998
1999
2000
2001
2002
1. Total Adoptions
117
117
134
152
174
203
Baseline
2. Total Projected
+17
+18
+22
+29
+31
Increase
3. Special Needs
59
59
65
75
87
105
Adoption Baseline
4. Special Needs Portion
+6
+10
+12
+18
+22
of Projected Increase
5. Total Target
134
152
174
203
234
Adoptions [L1 + L2]
6. Guardianship
30
30
35
39
45
53
Baseline
7. Guardianship
+5
+4
+6
+8
+7
Projected Change
8. Target
35
39
45
53
60
Guardianships
9. Total Projected
147
169
191
219
256
294
Permanent
Placements [L5 + L8]
** The numbers in Lines 3 and 4 are subsets of the numbers in Lines 1 and 2 respectively.
8
ACF
U.S. DEPARTMENT OF HEALTH AND HUMAN SERVICES
Administration on Children, Youth and Families
Administration
1. Log No: ACYF-CB-PI-98-07
2. Issuance Date: 04/30/98
for Children
3. Originating Office: Children's Bureau
and Families
4. Key Words: Adoption, Bonus, Incentive, Baseline, Increment
PROGRAM INSTRUCTION
TO:
State Agencies Administering Title IV-E of the Social Security Act
SUBJECT:
Procedures for Establishing Adoption and Guardianship Baselines to Implement
the Presidential Initiative, Adoption 2002 and the Requirements of the
Adoption and Safe Families Act of 1997
LEGAL AND
RELATED
REFERENCES:
The Adoption and Safe Families Act of 1997 (Public Law 105-89);
Sections 473A and 473(a)(1)(B)(ii) of Title IV-E of the Social Security
Act; Adoption 2002, A Response to the Presidential Executive Memorandum
on Adoption, issued December 14, 1996; and 45 CFR 1355.40. This
Program Instruction (PI) supplements Information Memorandum,
ACYF-CB-IM-97-05, issued July 7, 1997. (To the extent that there is an
inconsistency between ACYF-CB-IM-97-05 and this PI, this issuance
supersedes.)
PURPOSE:
The purpose of this PI is to provide information to the States about adoption
incentive payments authorized by the Adoption and Safe Families Act (ASFA).
establishing adoption and guardianship baseline data, calculating bonuses and
setting targets for implementing the President's Adoption Initiative,
Adoption 2002.
BACKGROUND:
In December 1996, the President introduced the Adoption 2002 initiative. This initiative is a
collaborative undertaking between the States and the Federal government to double the number of
children adopted or placed for guardianship by the year 2002 as compared to the same such permanent
placements made in fiscal year (FY) 1997. The joint effort is meant to engage Federal, State and local
governments, child welfare and adoption professionals, community leaders and other interested citizens
1
in creative and meaningful activities to improve the lives of children who are backlogged, or at risk of
being backlogged, in the child welfare system, by creating permanent homes for them.
As part of the Adoption 2002 initiative, the President directed the Department to develop a proposal
for a per-child financial incentive to States to increase adoptions from State foster care systems. The
proposal included providing an additional sum of money to the State child welfare agency for every
child adopted from the public child welfare system in excess of each year's established baseline. That
proposal. with some modifications by the Congress, was included in ASFA. The incentive funds-
$4,000 per adopted child and an additional $2,000 per adopted title IV-E special needs child-will
only be paid to the State agency for finalized adoptions. Up to $20 million per year for five years.
between FYs 1999 and 2003, is authorized to be available to the States. Although Adoption 2002
emphasizes the establishment of permanency through both adoption and guardianship. ASFA restricts
the bonus incentives to finalized adoptions. Nevertheless, States are required to set baselines and
numerical targets to be achieved for the number of guardianships completed as well as adoptions
finalized for the purposes of the Adoption 2002 initiative.
STATUTORY REQUIREMENTS
A State is eligible for an adoption incentive payment for a fiscal year if:
1.
the State has an approved plan under title IV-E;
2.
the number of foster child adoptions from the public child welfare system finalized during the
fiscal year exceeds the baseline established for that year;
3.
except in the initial year of a State's participation in the adoption incentive program, the
determination of the number of children adopted each year, FY 1998 through FY 2002, is
made on the basis of the Adoption and Foster Care Analysis and Reporting System (AFCARS)
data submissions in compliance with Federal regulations at 45 CFR 1355.40; 1 and
4.
in FY 2001 and FY 2002, the State provides health insurance coverage to any special needs
child for whom there is an adoption assistance agreement between the State and the child's
adoptive parent(s).
The incentive funds will be paid to the States in the year following the year in which they are earned.
The incentive money will be available for use by the State for any activity or service which is
allowable under titles IV-B or IV-E of the Social Security Act (SSA) and requires no matching State
funds. Regardless of when during the fiscal year the incentive funds are received. they must be
liquidated by the end of the succeeding fiscal year.
INSTRUCTIONS:
The following provides definitions of the terms used for the purpose of establishing the baseline and
providing the incentive funds:
Adoption--For purposes of this PI, adoption means the final legalized adoption of a child who, at the
time of adoptive placement, was in foster care under the responsibility or supervision of the State.
I
Adoption data element # 34, category 1, will be used to identify adoptions from the public foster care system.
2
FY 1998 Baseline--The average number of children adopted from the State child welfare agency foster
care program, whose adoptions were finalized during fiscal years 1995, 1996 and 1997.
FY 1998 Special Needs Baseline--The average number of title IV-E special needs children adopted
from the State child welfare agency foster care program, whose adoptions were finalized during fiscal
years 1995, 1996 and 1997.
FY 1999 - FY 2002 Baselines--For each of the fiscal years, FY 1999 - FY 2002. baselines will be
based on the previous fiscal year that has the largest number of finalized adoptions from the State child
welfare agency foster care program, beginning with FY 1997.
FY 1999 - FY 2002 Special Needs Baselines--For each of the fiscal years. FY 1999 - FY 2002,
baselines will be based on the previous fiscal year that has the largest number of finalized special needs
adoptions from the State child welfare agency title IV-E foster care program, beginning with FY 1997.
Fiscal Year--Fiscal year means Federal fiscal year (October 1 through September 30).
Guardianship--Guardianship is the judicially created relationship between a child and caretaker which
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: protection, education, care and control, custody,
and decision-making. For purposes of establishing a baseline and counting completed guardianship
arrangements, only those children being released from foster care under the responsibility or
supervision of the State should be counted.
Special Needs Child(ren)--A special needs child is one whose adoption has been finalized and for
whom there is a title IV-E adoption assistance agreement under section 473(a)(1)(B)(ii) of the Social
Security Act.
ESTABLISHING THE BASELINE AND INCREMENTS:
A. ADOPTION INCENTIVE PROGRAM
The process for establishing adoption incentive baselines is based on the following principles:
The law requires that AFCARS be the sole source of data to determine State baselines, except for
the initial FY 1998 baseline. For FY 1998, this data may come from other sources and must be
derived through consultation between the States and the ACF Regional Office and Central Office
staff. Any adoption data source(s) proposed as an alternative to AFCARS for the FY 1998
baseline must be documented to be of equivalent completeness and reliability.
Separate baselines are to be established for total foster child adoptions and, of these, the number of
title IV-E special needs adoptions.
The FY 1998 baseline data will be the average of the number of finalized adoptions during FYs
1995, 1996 and 1997, as mandated by statute. At the end of FY 1998, that baseline, for practical
purposes, will cease to exist.
3
Beginning in FY 1999, the baseline data will consist of the greatest annual number of qualifying
adoptions for any single fiscal year from FY 1997 or later. Thus, if the number of adoptions
completed in FY 1998 does not surpass the number of adoptions completed in FY 1997, the new
baseline for FY 1999 will be the number of adoptions completed in FY 1997.
Although incremental targets are to be established for the Adoption 2002 initiative, it will be the
actual number of a State's finalized adoptions, and not the proposed increments or the relationship
between the actual numbers and the proposed increments, that will determine the final amount of
the incentive awards.
Developing Adoption Incentive Baselines for FY 1998
With assistance from ACF Regional Offices and using ACYF-CB-IM-97-05 as guidance, States began
establishing FY 1998 baselines based on FY 1997 data. However, ASFA expanded the FY 1998
baseline requirement to include the average number of adoptions finalized in fiscal years 1995, 1996,
and 1997. Baselines must be established counting all children adopted from the State child welfare
agency foster care system in those years.
Establishing Subsequent Baselines
The baselines for each of the fiscal years after 1998 will be calculated based on the greatest number of
adoptions finalized by the State from FY 1997 to the fiscal year prior to the current fiscal year. If a
State does not make a submission for FY 1998 incentive awards and/or a State chooses not to
participate during the initial year(s) of the incentive program, it may choose to establish initial
baselines in any year up to and including FY 2002. However, only AFCARS data can be used for
baseline data after FY 1998.
Amount of Incentives
Every State that meets the requirements established in section 473A of the Social Security Act and this
PI with an approved FY 1998 baseline will receive incentive funds as follows (see attached
Table 1):
For FY 1998, the sum of:
A) $4,000 for every qualified child adopted over the FY 1998 baseline, and
B) $2,000 for every special needs child adopted over the FY 1998 special needs baseline.
For FYs 1999 through 2002, the sum of:
A) $4,000 for every qualified child adopted over the baseline established for that year, and
B) $2,000 for every special needs child adopted over the special needs baseline established for
that year.
Calculation of Incentive Payments (See Table 1)
The actual amount of incentive funds earned cannot be calculated until each State's AFCARS data has
been submitted after the end of the fiscal year for which the funds will be awarded. The funds will
not, therefore, be paid out until the year following the year in which they have been earned. Thus,
4
incentive funds earned in FY 1998 will be paid to the States in FY 1999, as soon as possible after their
AFCARS submissions for FY 1998 have been processed and reviewed. This may not occur until the
latter part of the fiscal year.
After all of the States have submitted their data, further analysis of the potential incentives to be paid
out must also be undertaken by ACF before final payments are issued to ensure that the total amount
payable to all States does not exceed the annual amount of incentive funds appropriated by Congress.
Pub. L. 105-89 authorizes an annual appropriation of $20 million for payment in fiscal years 1999-
2003. Should the total amount of incentives earned exceed the actual annual appropriation. the final
amount of the incentive payable to each State will be a pro rata share of the total appropriation based
on the percentage of the national incentive earned by that State.
Expenditure of Incentive Bonuses
The funds awarded for adoption incentive bonuses must be expended by the end of the fiscal year
following the fiscal year in which they are awarded. This means that incentive funds earned in FY
1998 and awarded in FY 1999 must be fully liquidated by September 30, 2000. Information on the
procedures for claiming and awarding of the adoption incentive funds as well as for reporting fiscal
and program uses of the funds will be provided in a subsequent issuance.
B. ADOPTION 2002
The process for establishing adoption and guardianship baselines and increments for the Adoption 2002
initiative is based on the following principles:
Separate baselines will be established for FY 1997 for: (1) the total number of finalized foster child
adoptions, (2) the total number of title IV-E special needs adoptions, and (3) the total number of
guardianships.
AFCARS is the primary source of data to determine the State FY 1997 baselines for the Adoption
2002 initiative. However, if the State has not reported data to AFCARS, or if the State and the
Central Office statistical staff or Regional Office staff agree that the reported data are unreliable,
the State may propose the use of alternative data sources to determine the baselines. The proposed
alternative to AFCARS for the FY 1997 baseline must be documented to be of equivalent
completeness and reliability.
Interim targets will be set for the numbers of finalized adoptions and guardianships during each of
the five years after FY 1997. Setting interim numerical targets for adoptions, including title IV-E
special needs adoptions and guardianships by the year 2002, is primarily the responsibility of the
States. ACF Regional and Central Office staff will provide assistance, as appropriate and
requested. (See attached Table 2 and ACYF-CB-IM-97-05.)
The goal to be reached in FY 2002 is determined by doubling the FY 1997 baseline numbers for
finalized adoptions and guardianships.
Although not relevant for incentive awards, it is necessary to determine the baselines and establish
the increments in order to measure the progress toward and the degree of successful achievement
of the Adoption 2002 goals.
5
Incremental Targets for Adoption 2002
In consultation with the Regional Offices, States are to propose increments in the target numbers for
increasing adoptions and guardianships from FY 1998 through FY 2002. The proposed increments
will help the States monitor their progress and help ACF project the likelihood of success and
determine areas where additional technical assistance may be needed. The increments do not need to
be the same number or rate for each year. The impact of child welfare demonstration waivers and the
implementation of other ASFA provisions should be taken into consideration when developing and
evaluating increments. Increments should be calculated to lead to at least a doubling of the number of
permanent placements in 2002, that is, a 100 percent increase. compared to the number of permanent
placements finalized in FY 1997. If a State plans to set a goal to more than double the numbers and
desires to establish yearly targets to do so, Federal child welfare staff will work with them to achieve
this.
The States and Regional Offices should work together to establish the increments and develop plans for
achieving them. This should begin as soon as possible after the baseline has been established. Central
Office staff are available for consultation and for the review of increments upon request by the
Regional Offices. As experience and knowledge are gained, States may choose to amend or
supplement their procedures or change their incremental targets. The Regional Offices will work with
the States in accomplishing this and notify Central Office of such changes.
DUE DATES:
Adoption Incentive Baseline Data Deadline:
Section 473A(c)(2)(B) of the SSA requires that baseline data for the adoption incentive program be
submitted by November 30, 1997. This is clearly impossible since the effective date of the legislation
was November 19, 1997. Technical amendments are currently before the Congress to change this
date. In the meantime, since the data has to be approved by the Secretary by July 1, 1998, States are
encouraged to submit their data as soon as possible.
Adoption 2002 Baseline Data Deadline:
The Adoption 2002 increments, targets and the plans for achieving them should be transmitted to the
Regional Offices by July 1, 1998.
INQUIRIES TO: ACF Regional Administrators
Jam A Yame
James A. Harrell
Deputy Commissioner
Administration on Children, Youth and
Families
6
Table 1 illustrates how the incentive works.
Adoptions Finalized and Incentive Bonuses Paid for State XYZ for FYs 1998 Through 2002
STATE XYZ
1995
1996
1997
AVG
1998
1999
2000
2001
2002
1. Established
100
150
150
160
190
Baseline
2. Established Special
50
75
90
100
115
Needs Baseline
3. Total Number of
78
106
117
100
150
148
160
190
238
Adoptions
4. Number of Special
34
56
59
50
75
90
100
115
160
Needs Adoptions
5. Bonus Payment
200,000
**
40,000
120,000
192.000
[(L3 L1) X $4,000]
6. Special Needs
$50,000
$20.000
$30.000
$90,000
Bonus Payment *
((L4 L2) X $2.000]
7. Total Bonus
250,000
60,000
150,000
282.000
[Line 5 + Line 6]
*Special needs bonus payments are made only if Line 3 exceeds Line 1. and Line 4 exceeds Line 2.
** No bonus payments are made because the total number of adoptions for fiscal year 1999 did not exceed
the baseline for the year.
Please note the following situations reflected in the table:
a.
Each year's awards are considered on their own.
b.
Incentives are not paid out until the year after they have been earned.
C.
In this example, the baselines for the 1998 incentives are 100 and 50. Because the 1997 achievements
were 117 and 59, however, no year's established baselines (other than 1998) could fall below 117 and 59
for purposes of earning the incentive funds.
7
The following table indicates how the baselines and incremental targets for adoption and guardianship may be
structured:
1997 Baseline Data:
117 Adoptions
30 Guardianships
147 Permanent Placements
Goals for 2002:
234 Adoptions
60 Guardianships
294 Permanent Placements
Table 2 illustrates how a State may set its incremental targets.
State XYZ's Incremental Targets for Doubling Permanent Placements
STATE XYZ
1997
1998
1999
2000
2001
2002
1. Total Adoptions
117
117
134
152
174
203
Baseline
2. Total Projected
+17
+18
+22
+29
+31
Increase
3. Special Needs
59
59
65
75
87
105
Adoption Baseline
4. Special Needs Portion
+6
+10
+12
+18
+22
of Projected Increase
5. Total Target
134
152
174
203
234
Adoptions [L1 + L2]
6. Guardianship
30
30
35
39
45
53
Baseline
7. Guardianship
+5
+4
+6
+8
+7
Projected Change
8. Target
35
39
45
53
60
Guardianships
9. Total Projected
147
169
191
219
256
294
Permanent
Placements [L5 + L8]
** The numbers in Lines 3 and 4 are subsets of the numbers in Lines 1 and 2 respectively.
8
Children '98: America's Promise
http://www.cwla.org/cwla/publicpolicy/children98stats.html
Child Welfare League of America
Children '98: America's Promise
Children Need Protection and Care More Than Ever
In 1996, an estimated 3,126,000 children were reported abused or neglected. 1 From 1987 to 1996,
the total number of children reported abused or neglected increased 45%.2
Every day more than 3 children die as a result of abuse and neglect. In 1996, an estimated 1,046
children died of abuse and neglect; 82% of the children were under 5 years old and 43% never
reached their first birthday. From 1985 to 1996, the rate of child fatalities due to abuse and neglect
increased 20%. 3
At the end of 1996, an estimated 502,000 children lived in out-of-home care--family foster care,
kinship care, or residential care--up 92% since 1982.4
In 1995, 30% of all children in out-of-home care were between the ages of 1 and 5.5
Children in foster care may wait three years or more to find permanent homes. Children wait
almost a year from when they are legally free for adoption until they are placed in an adoptive
home. In 1995, 27,115 children in foster care were adopted. Children still in care at the end of
1995 spent a median of 22 months in out-of-home care 6
With more than one-half million children in out-of-home care, there were 164,980 licensed family
foster homes in 1995.7
Violence occurs against both women and children in the same family. Various studies indicate that
between 50 and 70% of men who assaulted their wives also abused their children 8
Health Deficits, Lack of Insurance Impede Children's Development
More than 11 million children lack health insurance 9 The majority of uninsured children with
asthma and 1 in 3 uninsured children with recurring ear infections never see a doctor during the
year 10
Mental health problems affect 1 in 5 young people at any given time 11 Approximately 60% of
children in out-of-home care have moderate to severe mental health problems. A substantial
number of these children have psychological problems so serious that they require residential
placement. Despite this level of need, less than one-third of children in the child protective system
are receiving mental health services 12
Children from families involved with alcohol and other drugs tend to enter out-of-home care at a
younger age and remain in care longer than other children 13
As many as 80% of drug exposed infants will come to the attention of the child welfare system
before their first birthday 14
Child Care Needs Include Availability, Quality
More than 13 million children younger than 6--including 6 million babies and toddlers--spend
some or all of their day being cared for by someone other than their parents 15
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some or all of their day being cared for by someone other than their parents. 15
More than 60% of women with children under age 6 and more than three-quarters of women with
children between the ages of 6 and 17 were in the labor force in 1995 16
The Government Accounting Office estimates that in the year 2002, the current school-age child
care supply will meet as little as 25% of the demand in some urban areas 17
Although there are many high-quality programs throughout the country, much of the child care
currently available is of poor quality. Seven of 10 centers provide mediocre care, and 1 in 8
provides care that is so inadequate that it threatens the health and safety of children. Only 1 in 7
centers provides a level of care that promotes healthy development 18
Many Children and Families Face Harsh Economic Conditions
One out of 5 (20.5%) children lived below the poverty line in 1996. The rate was down slightly
from the 1995 rate (20.8%) but remained disproportionately high. Children made up 27% of the
nation's population in 1996, but 40% of the poor. Nearly 1 in 4 children under age 6 (22.7%) lived
below the poverty line in 1996 19
The child poverty rate in 1996 was almost twice as high as that for elderly Americans. The
poverty rate for children in the U.S. increased 36% between 1970 and 1996. During the same
period, the poverty rate for those 65 years and older decreased 56%.20
Over the past three decades there has been a significant rise in income inequality. According to the
U.S. Bureau of the Census, the household in the top 5 percentile in 1994 had 8 times the income
of the household in the bottom 20th percentile, compared with 6 times as much in 1968 21
Poverty among children in the suburbs has sharply risen. Between the late 1970s and early 1990s,
the rate of poverty for young poor children living in the suburbs grew by nearly 60%, compared
with urban (34%) and rural (45%) areas 22
Without government programs, 57.6 million people would have been poor in 1995. But when
government benefits are counted--including food stamps, housing assistance, school lunch
support, and benefits provided through the Earned Income Credit--the number of poor people
drops to 30.3 million, cutting the size of the poverty population nearly 50%.23
Serious Violence By Juveniles Down; Other Dangerous Behaviors Up
The nationwide rate of juvenile violent crime fell for the second consecutive year in 1996 and the
rate of homicide by juveniles decreased for the third year in a row 24 Less than one-half of 1% of
all persons ages 10 through 17 in the United States were arrested for a Violent Crime Index
Offense in 1995.25
The overwhelming majority of juvenile arrests have nothing to do with violence. In 1996, only 5
out of every 100 juvenile arrests were for violent crimes. The most serious crimes, murder,
non-negligent manslaughter and rape, represented less than three-tenths of 1% of juvenile
arrests. 26
0
A Sacramento County, California study found that children ages 9-12 who were referred to child
welfare were 67 times (6,700%) more likely to be arrested than other 9-to-12-year-olds. Fully half
of all children arrested were from the 1.4% of all children who were known to child welfare 27
Violence is an increasingly dangerous threat to young people. In 1995, a child was killed by
firearms every 100 minutes, and a total of 5,254 children (ages 0-19) were killed by firearms
during the year 28
The rate of illicit drug use among young people was 10.9% in 1995.29 Since 1991, illicit drug use
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among 8th graders has more than doubled. More than half of 8th graders nationwide say they have
used alcohol, while 1 in 5 report being drunk during the last year. By 12th grade, half the students
surveyed say they have been drunk during the past year, while almost a third report being drunk
within the past month 30
Smoking has substantially increased since 1991, particularly among junior high school students.
Half of all 8th graders have tried smoking, while regular smoking has jumped 50% among this age
group in the past five years. One in 3 high schoolers smokes regularly, while 1 in 8 smokes at least
half a pack a day 31
After increasing steadily between 1986 and 1991, the birth rate for 15- to 17-year-olds declined
slightly each year from 1991 to 1996. At 54.7 births per 1,000 females ages 15-19, the teen birth
rate has not yet declined to the level reached in the mid-1980s (50.2), and declines in some states
are quite small. However, declines are now apparent in all states 32
Cost-Effective Investments in Children Save Dollars and Lives
By improving infants' health, early and comprehensive prenatal care saves $3 for every one dollar
invested 33
Childhood immunizations save on average $10 for every one dollar invested in hospitalizations
and other treatments 34
For each dollar spent for substance abuse treatment services, more than $11 are saved in social
costs 35
Treatment of substance abusers in the California public system in 1991 saved $1.4 billion in
reduced criminal activity and health care utilization over a two-year period. About $209 million
was spent providing this treatment,a 7 to 1 ratio of benefits to costs 36 Outpatient treatment of
substance abuse costs only 1/10 as much as incarceration 37
High quality programs for young children living in poverty have lasting benefits and a significant
return on investment. A longitudinal study of one such high quality program found a $7.16 return
for each dollar invested. Some of the savings were due to reduced special education and welfare
costs and higher future worker productivity 38
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