State Plan for Foster Care and Adoption Assistance: Title IV-E of the Social Security Act

Attachment D

OMB Approval No. 0970-0433
Expiration Date: 2/28/2019

AGENCY PLAN FOR TITLE IV-E OF THE SOCIAL SECURITY ACT
FOSTER CARE AND ADOPTION ASSISTANCE
STATE/TRIBE OF ________________________
U.S. DEPARTMENT OF HEALTH AND HUMAN SERVICES
ADMINISTRATION FOR CHILDREN AND FAMILIES
CHILDREN'S BUREAU
May 2018
SECTION 1. ORGANIZATION
A.
B.
C.
D.
E.
F.

DESIGNATION AND AUTHORITY OF STATE/TRIBAL AGENCY
STATE/TRIBAL AGENCY STRUCTURE AND FUNCTION
STATE OR SERVICE AREA WIDE OPERATIONS
COORDINATION WITH TITLES IV-A AND IV-B PROGRAMS
CHILD SUPPORT ENFORCEMENT FOR CERTAIN CHILDREN IN FOSTER CARE
TRANSFER OF A CHILD TO A TRIBAL AGENCY

SECTION 2. FOSTER CARE MAINTENANCE PAYMENTS
A. ELIGIBILITY
B. VOLUNTARY PLACEMENTS (OPTION)

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C. PAYMENTS
D. CASE REVIEW SYSTEM
E. MEDICAL AND SOCIAL SERVICES
F. SPECIFIC GOALS IN STATE/TRIBAL LAW
G. PREVENTIVE AND REUNIFICATION SERVICES
H. TERMINATION OF PARENTAL RIGHTS
I. DATE CHILD CONSIDERED TO HAVE ENTERED FOSTER CARE
J. DOCUMENTATION OF JUDICIAL DETERMINATION
K. TRIAL HOME VISITS
L. TRAINING
M. DEFINITION OF CHILD
N. ANOTHER PLANNED PERMANENT LIVING ARRANGEMENT
O. ABSENCES FROM CARE
P. RIGHTS
Q. PLACEMENT IN A QUALIFIED RESIDENTIAL TREATMENT PROGRAM
SECTION 3. ADOPTION ASSISTANCE PAYMENTS
A.
B.
C.
D.
E.
F.
G.

ELIGIBILITY
PAYMENTS - AMOUNTS AND CONDITIONS
ADOPTION ASSISTANCE AGREEMENT
MEDICAID AND SOCIAL SERVICES
ELIGIBILITY FOR ADOPTION INCENTIVE FUNDING
ADOPTION TAX CREDIT
DEFINITION OF CHILD

SECTION 4. GENERAL PROGRAM REQUIREMENTS
A. STANDARDS FOR FOSTER FAMILY HOMES AND CHILD CARE INSTITUTIONS
B. REVIEW OF PAYMENTS AND LICENSING STANDARDS
C. FAIR HEARINGS

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D. INDEPENDENT AUDIT
E. CHILD ABUSE AND NEGLECT
F. TIMELY INTERSTATE PLACEMENT OF CHILDREN
G. REMOVAL OF BARRIERS TO INTERETHNIC ADOPTION
H. KINSHIP CARE
I. SIBLING PLACEMENT
J. SAFETY REQUIREMENTS
K. INTERJURISDICTIONAL ADOPTIONS
L. QUALITY STANDARDS
M. COMPULSORY SCHOOL ATTENDANCE
N. VERIFICATION OF CITIZENSHIP OR IMMIGRATION STATUS
O. DEFINITIONS
P. SEX TRAFFICKING VICTIMS AND MISSING CHILDREN
SECTION 5. GENERAL PROVISIONS
A.
B.
C.
D.
E.
F.
G.
H.

PERSONNEL ADMINISTRATION
SAFEGUARDING INFORMATION
REPORTING
MONITORING
APPLICABILITY OF DEPARTMENT-WIDE REGULATIONS
AVAILABILITY OF PLANS
OPPORTUNITY FOR PUBLIC INSPECTION OF CFSR MATERIALS
NEGOTIATION WITH INDIAN TRIBES

SECTION 6. GUARDIANSHIP ASSISTANCE PROGRAM OPTION
A.
B.
C.
D.

ELIGIBILITY
PAYMENTS
AGREEMENTS
SAFETY

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E. MEDICAID AND SOCIAL SERVICES
F. TITLE IV-E GUARDIANSHIP ASSISTANCE PROGRAM PLAN REQUIREMENTS
G. DEFINITION OF CHILD
SECTION 7. TRIBE OPERATED IV-E PROGRAM REQUIREMENTS
A.
B.
C.
D.

GENERAL PROGRAM REQUIREMENTS
SERVICE AREA AND POPULATIONS
NUNC PRO TUNC AND FOSTER CARE ELIGIBILITY REQUIREMENTS
LICENSING STANDARDS FOR TRIBAL FOSTER FAMILY HOMES AND CHILD CARE INSTITUTIONS

ATTACHMENTS
ATTACHMENT I:
ATTACHMENT II:
ATTACHMENT III:
ATTACHMENT
ATTACHMENT
ATTACHMENT
ATTACHMENT
ATTACHMENT

IV:
V:
VI:
VII:
VIII:

ATTACHMENT IX:
ATTACHMENT X:
ATTACHMENT XI:

CERTIFICATION
ATTORNEY GENERAL/APPROPRIATE TRIBAL OFFICIAL'S CERTIFICATION
TITLE IV-E ADOPTION ASSISTANCE PROGRAM SAVINGS REPORTING
ASSURANCES
TRIBAL ASSURANCES
479B TRIBAL CERTIFICATIONS
475(8) STATE/TRIBAL CERTIFICATION
STATE/TRIBAL CERTIFICATION: PERSONNEL ADMINISTRATION
STATE/TRIBAL CERTIFICATION: PREVENTING INCREASES TO THE JUVENILE
JUSTICE POPULATION
ALTERNATE PROCEDURES FOR CRIMINAL BACKGROUND CHECKS
DEVIATION FROM MODEL LICENSING STANDARDS AND WAIVERS FOR FOSTER
FAMILY HOMES
STATE/TRIBAL CERTIFICATION OF “QUALIFIED INDIVIDUALS” AND REQUEST FOR
ALTERNATE ACCREDITING ORGANIZATION

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PLAN FOR TITLE IV-E OF THE SOCIAL SECURITY ACT
FEDERAL PAYMENTS FOR FOSTER CARE AND ADOPTION ASSISTANCE
STATE/TRIBE OF ________________________
As a condition of the receipt of Federal funds under title IV-E of the Social Security Act (hereinafter,
the Act), the
__________________________________________________________________
(Name of State/Tribal Agency)
submits here a plan for the programs to provide, in appropriate cases, foster care and adoption
assistance, and if the State/Tribal agency elects, guardianship assistance, under title IV-E of the Act
and hereby agrees to administer the programs in accordance with the provisions of this plan, title IV-E
of the Act, and all applicable Federal regulations and other official issuances of the Department.
The official text of laws, regulations and official issuances governs, and the State/Tribal agency
acknowledges its responsibility to adhere to them regardless of the fact that, for purposes of
simplicity, the specific provisions printed herein are sometimes paraphrases of, or excerpts and
incomplete quotations from, the full text. Statutory citations refer to provisions in title IV-E of the
Social Security Act. Regulatory citations refer to provisions in 45 CFR Parts 1355 and 1356.
The State/Tribal agency understands that if and when title IV-E is amended or regulations are revised,
a new or amended plan for title IV-E that conforms to the revisions must be submitted.

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SECTION 1. ORGANIZATION
471(a)(2)

A. DESIGNATION AND AUTHORITY OF STATE/TRIBAL
AGENCY
The State/Tribal agency has been designated to
administer or supervise the administration of the
programs under this plan. (See Attachment II.) It is also
the agency that administers or supervises the
administration of the Child Welfare Services Plan under
subpart 1 of title IV-B of the Act.
B. STATE/TRIBAL AGENCY STRUCTURE AND FUNCTION
The State/Tribal agency has available upon request an
organizational chart of the agency and a description of
the functions of each of its organizational units as they
relate to the administration or supervising the
administration of the title IV-E foster care maintenance,
adoption assistance, and (at IV-E agency option)
guardianship assistance programs.

Statutory references refer to the Social Security Act. Regulatory references refer to Title 45 of the Code of Federal Regulations
(CFR).
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471(a)(3)

Requirement

C. STATE OR TRIBAL SERVICE AREA WIDE OPERATIONS
The title IV-E plan for foster care, adoption assistance,
and guardianship assistance if elected by the State/
Tribal agency, is in effect in all political subdivisions and
Tribal service areas.
(Tribes, see also section 7)

471(a)(4)

D. COORDINATION WITH TITLES IV-A AND IV-B
PROGRAMS
The title IV-E program is coordinated at the local level
with the programs at the State/Tribal or local level
assisted under titles IV-A, IV-B and XX of the Act and
under all appropriate provisions of Federal law.

471(a)(17)

E. CHILD SUPPORT ENFORCEMENT FOR CERTAIN
CHILDREN IN FOSTER CARE
The State/Tribal agency takes all appropriate steps,
including cooperative efforts with the State/Tribal
agencies administering the plans approved under titles
IV-A and -D, to secure an assignment to the State/ Tribe

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of any rights to support on behalf of each child receiving
foster care maintenance payments under title IV-E.
1356.67

F. TRANSFER OF A CHILD TO A TRIBAL AGENCY
(Not applicable to Tribes)
The State agency has established and maintains
procedures for the transfer of responsibility for the
placement and care of a child under a State title IV-E
plan to a Tribal title IV-E agency or an Indian Tribe with
a title IV-E agreement. At a minimum, the State agency
transfer procedures:
1. Are established and maintained in consultation with
Indian Tribes;
2. Do not affect a child’s eligibility, receipt of services,
or payment under title IV-E or the medical assistance
program operated under title XIX;

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3. Establish eligibility for title IV-E at the time of
transfer, if an eligibility determination is not already
completed; and
4. Provide for essential documents and information
necessary to continue a child’s eligibility under title IV-E
and Medicaid programs under title XIX to the Tribal title
IV-E agency or an Indian Tribe with a title IV-E
agreement, including but not limited to the following:
a) All judicial determinations to the effect that
continuation in the home from which the child was
removed would be contrary to the welfare of the
child and that reasonable efforts described in
section 471(a)(15) of the Act have been made;
b) Other documentation the State agency has that
relates to the child’s title IV–E eligibility under
sections 472 and 473 of the Act;
c) Information and documentation available to the
agency regarding the child’s eligibility or potential
eligibility for other Federal benefits;
d) The case plan developed pursuant to section
475(1) and 475A of the Act, including health and

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education records of the child pursuant to section
475(1)(C) of the Act; and
e) Information and documentation of the child’s
placement settings, including a copy of the most
recent provider’s license or approval.

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SECTION 2. FOSTER CARE MAINTENANCE
PAYMENTS
471(a)(1)

A. ELIGIBILITY
(Tribes, also see section 7 of this pre-print)
1. Payments are provided for each child:

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472(a)(1)&(2)

472(a)(2)(A)
1356.21(c)

Requirement

a. who meets the requirements of section 406(a) of the
Act (as in effect 7/16/96), is removed from the home of
a relative specified in section 406(a), and is placed in
foster care if:
i.

the removal and foster care placement met, and
continues to meet the requirements of paragraph
(2) in section 472(a) of the Act; and

ii.

the child, while in the home, would have met the
Aid to Families with Dependent Children (AFDC)
program eligibility requirement of paragraph (3) in
section 472(a) of the Act;

b. whose removal and foster care placement are in
accordance with:
i.

a voluntary placement agreement entered into by
the child's parent or legal guardian, who is the
relative referred to in paragraph (1) of section
472(a) of the Act; or

ii.

a judicial determination to the effect that
continuation of residence in the home from which

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removed would be contrary to the welfare, or that
the placement would be in the best interest, of the
child and that reasonable efforts of the type
described in section 471(a)(15) for a child were
made. The contrary to the welfare determination
will be made in the first court ruling that sanctions
(even temporarily) the removal of a child from
home. If the determination regarding contrary to
the welfare is not made in the first court ruling
pertaining to removal from the home, the child will
not be eligible for title IV-E foster care
maintenance payments for the duration of that
stay in foster care;
472(a)(2)(B)&(C)
472(a)(2)(B)(i)
472(a)(2)(B)(ii)

c. whose placement and care in a foster family home,
Not required until
with a parent residing in a licensed residential family10/1/18
based treatment facility for substance abuse, but only to
the extent permitted under 472(j), or in a child care
institution (as defined in section 472(c) of the Act) , but
only to the extent permitted under 472(k), is the
responsibility of either:

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472(a)(3)(A)(i)

Requirement

i.

the State agency administering the approved title
IV-E plan;

ii.

any other public agency with whom the
State/Tribal agency administering or supervising
the administration of the approved title IV-E plan
has made an agreement which is still in effect; or

iii.

a Tribe that has a plan approved under section 471
in accordance with 479B; and

d. who:
i.

472(a)(3)(A)(ii)(I)
472(a)(3)(A)(ii)(II)
472(a)(3)(B)
472(j)(1)

Either:
A. received AFDC, in the home referred to in
section 472(a)(1), under the State plan approved
under section 402 of the Act (as in effect 7/16/96) in
or for the month in which either a voluntary
placement agreement was entered into or court
proceedings leading to the judicial determination,
referred to in section 472(a)(2)(A) of the Act, were
initiated;

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B. would have received AFDC, in the home, in or
for such month referred to in the above clause if
application for such aid had been made; or
C. had been living with a relative specified in
section 406(a) of the Act (as in effect 7/16/96) within
six months prior to the month in which a voluntary
placement agreement was entered into or court
proceedings leading to the judicial determination,
referred to in section 472(a)(2)(A) of the Act, were
initiated, and would have received AFDC in or for
such month if the child had been living in the home
with such relative and an application had been made
for AFDC under title IV-A of the Act; and
ii.

had resources (determined under section
402(a)(7)(B) of the Act as in effect 7/16/96) that
had a combined value of not more than $10,000
consistent with section 472(a)(3)(B) of the Act; or
iii. Is not required to meet the AFDC requirements
in 472(a)(3) of the Act because the child is placed
with a parent residing in a licensed residential
family-based substance abuse treatment facility

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(Tribes, see section 7 for related requirements in
section 479B(c)(1)(C)(ii)(II) of the Act.)
1356.21(k)

2. Removal.
a. For the purposes of meeting the requirements of
section 472(a)(2)(A)(1) of the Act, a removal from the
home must occur pursuant to:
i.

ii.

a voluntary placement agreement entered into by
a parent or relative which leads to a physical or
constructive removal (i.e., a non-physical or paper
removal of custody) of the child from the home; or
a judicial order for a physical or constructive
removal of the child from a parent or specified
relative.

1356.21(k)

b. A removal has not occurred in situations where legal
custody is removed from the parent or relative and the
child remains with the same relative in that home under
supervision by the State/Tribal agency.

1356.21(k)

c. A child is considered constructively removed on the
date of the first judicial order removing custody, even

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temporarily, from the appropriate specified relative or
the date that the voluntary placement agreement is
signed by all relevant parties.
1356.21(l)

3. Living with a specified relative. For purposes of
meeting the requirements for living with a specified
relative prior to removal from the home under section
472(a)(2)(A) of the Act and all of the conditions under
section 472(a)(3)(A), one of the two following situations
will apply:

1356.21(l)

a. the child was living with the parent or specified
relative, and was AFDC eligible in that home in the
month of the voluntary placement agreement or
initiation of court proceedings; or

1356.21(l)

b. the child had been living with the parent or specified
relative within six months of the month of the voluntary
placement agreement or the initiation of court
proceedings, and the child would have been AFDC
eligible in that month if s/he had still been living in that
home.

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472(f)

Requirement

B. VOLUNTARY PLACEMENT AGREEMENTS (To be
completed if the agency uses VPAs with parents or with
youth over age 18)
1. Foster care maintenance payments are made in the
voluntary placement of a child out of the home by or
with the participation of the State/Tribal agency only if:

1356.22(a)
472(d)

a. the State/Tribe has fulfilled all of the requirements of
section 472 of the Act; sections 422(b)(8) and 475(5) of
the Act; and 45 CFR 1356.21(e),(f),(g),(h) and (i) of the
Act; and

472(f)(1)

b. the assistance of the State/Tribal agency has been
requested by the child's parent(s) or legal guardian(s);
and

472(f)(2)

c. there is a written voluntary placement agreement,
binding on all parties to the agreement, 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 State/Tribal agency while the child is in
placement.

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1356.22(b)
472(e)

2. Federal financial participation is claimed only for
voluntary foster care maintenance expenditures made
within the first 180 days of the child's placement in
foster care unless there has been a judicial
determination by a court of competent jurisdiction,
within the first 180 days of the date of such placement,
to the effect that the continued voluntary placement is in
the best interests of the child.

1356.22(c)
472(g)(1)&(2)

3. The State/Tribal agency has established a uniform
procedure or system, consistent with State/Tribal law,
for revocation by the parent(s) of a voluntary placement
agreement and return of the child.

1355.20(a)
475(4)(A)

C. PAYMENTS
1. Foster care maintenance payments for a child in
foster care may 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 the child, and reasonable
travel to the child's home for visitation with family, or
other caretakers and reasonable travel for the child to
remain in the school in which the child is enrolled at the

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time of placement. Local travel associated with providing
the items listed above is also an allowable expense. In
the case of child care institutions, such term must
include the reasonable costs of administration and
operation of such institutions as are necessarily required
to provide the items described in the preceding
sentences.
472(b)(1)&(2)

2. Foster care maintenance payments are made only on
behalf of an eligible child who is:

472(k)

a. in the foster family home of an individual or family,
whether the payments are made to such individual or to
a public or private child placement or child care agency;
or


b. in a child care institution, whether the payments are
made to such institution or to a public or private child
placement or child-care agency. Such payments are
limited to include only those items that are included in
the term "foster care maintenance payments" (defined in
section 475(4) of the Act). Title IV-E agencies may claim
for title IV-E foster care maintenance payments paid on
behalf of an eligible child placed in a child care

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Not required until
10/1/19 unless the
title IV-E agency is
implementing a

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institution for up to two weeks. Title IV-E agencies may
continue to claim administrative costs for the duration of
the period in the CCI regardless of whether the CCI
meets the restrictions in section 472(k) of the Act. After
two weeks, title IV-E FCMP for a child placed in a CCI are
only available if that CCI is a:
i. “qualified residential treatment program” (QRTP), as
defined in section 472(k)(4) of the Act and subject to
additional requirements described below;
iii.

a setting specializing in providing prenatal, postpartum, or parenting supports for youth;

iv.

in the case of a youth who has attained 18 years
of age, a supervised setting in which the youth is
living independently;

v.

a setting providing high-quality residential care
and supportive services to children and youth who
have been found to be, or are at risk of becoming,
sex trafficking victims; or

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delayed effective date,
during which title IV-E
agency will not claim
FFP for title IV-E
prevention services
under section
474(a)(6) of the Act

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vi.

a licensed residential family-based treatment
facility for substance abuse (subject to additional
requirements per section 472(j) of the Act).

472(i)(1)

3. Administrative costs associated with an otherwise
eligible child who is in an unallowable facility or an
unapproved or unlicensed relative home, and who is
removed in accordance with section 472(a) from the
home of a relative specified in section 406(a)(as in effect
on July 16, 1996), shall be considered only for
expenditures:

472(i)(1)(A)

a. for a period of not more than the lesser of 12 months
or the average length of time it takes to license or
approve a home as a foster home, in which the child is
in the home of a relative and an application is pending
for licensing or approval of the home as a foster family
home; or

472(i)(1)(B)

b. for a period of not more than 1 calendar month when
a child moves from a facility not eligible for payments

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under this part into a foster family home or child care
institution licensed or approved by the State/Tribe.
472(i)(2)

4. Administrative costs associated with a child who is
potentially eligible for benefits under the approved title
IV-E plan and at imminent risk of removal from the
home, shall be considered for expenditures only if:

472(i)(2)(A)

a. reasonable efforts are being made in accordance with
section 471(a)(15) to prevent the need for, or if
necessary to pursue, removal of the child from the
home; and

472(i)(2)(B)

b. the State/Tribal agency has made, not less often than
every 6 months, a determination (or redetermination) as
to whether the child remains at imminent risk of removal
from the home.

1356.21(j)
475(4)(B)

5. Child of a minor parent in foster care. Foster care
maintenance payments made on behalf of a child placed
in a foster family home or child care institution, who is
the parent of a son or daughter in the same home or
institution, must include amounts which are necessary to

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cover costs incurred on behalf of the child's son or
daughter. Said costs must be limited to funds expended
on those items described in the definition of foster care
maintenance payments.
471(a)(16)
475(1)
475(5)(A), (D) and
(H)
475A
1356.21(g)

D. CASE REVIEW SYSTEM
1. Case Plan
To meet the case plan requirements of sections
471(a)(16), 475(1), 475(5)(A), (D) and (H), and 475A
of the Act, the State/Tribal agency has promulgated
policy materials and instructions for use by State/Tribe
and local agency staff to determine the appropriateness
of and necessity for the foster care placement of the
child. The case plan for each child:

1356.21(g)(1)

a. is a written document which is a discrete part of the
case record, in a format determined by the State/Tribe
agency, which is developed jointly with the parent(s) or
guardian(s) of the child in foster care;

1356.21(g)(2)

b. is developed within a reasonable period, to be
established by the State/Tribe agency, but in no event

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later than 60 days from the child's removal from the
home;
1356.21(g)(4)

c. includes a description of the services offered and
provided to prevent removal of the child from the home
and to reunify the family;

475(1)(A)

d. includes a description of the type of home or
institution in which the child is placed;

475(1)(A)

e. includes a discussion of the safety and
appropriateness of the placement and how the
responsible agency plans to carry out the judicial
determination made with respect to the child in
accordance with section 472(a)(2)(A) of the Act;

475(1)(B)

f. includes a plan for assuring that the child receives safe
and proper care, and services are provided to the
parent(s), child and foster parents in order to improve
the conditions in the parents' home to facilitate the
child's return to his/her own safe home or the
permanent placement of the child;

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475(1)(B)

g. includes a plan for assuring that services are provided
to the child and foster parents in order to address the
needs of the child while in foster care;

475(1)(B)

h. includes a discussion of the appropriateness of the
services that have been provided to the child under the
plan;

475(1)(D) 475(1)(B)

i. where appropriate for a child 14 or over: includes a
written description of the programs and services which
will help such child prepare for the transition from foster
care to successful adulthood. With respect to a child
who has attained 14 years of age, any revision or
addition to the plan must be developed in consultation
with the child and, at the option of the child, with up to
2 members of the case planning team who are chosen
by the child and who are not a foster parent of, or
caseworker for, the child. A State/Tribal agency may
reject an individual selected by a child to be a member
of the case planning team at any time if the agency has
good cause to believe that the individual would not act in
the best interests of the child. One individual selected by
a child to be a member of the child’s case planning team
may be designated to be the child’s advisor and as

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necessary, advocate, with respect to the application of
the reasonable and prudent parent standard to the child;
475(5)(H)

j. during the 90-day period immediately prior to the
date on which the child will attain 18 years of age, or
such greater age as the State/Tribal agency may elect
under section 475(8)(B)(iii), whether during that period
foster care maintenance payments are being made on
the child's behalf or the child is receiving benefits or
services under section 477, a caseworker on the staff of
the State/Tribal agency, and, as appropriate, other
representatives of the child provide the child with
assistance and support in developing a transition plan
that is personalized at the direction of the child, includes
specific options on housing, health insurance, education,
local opportunities for mentors and continuing support
services, and work force supports and employment
services, includes information about the importance of
designating another individual to make health care
treatment decisions on behalf of the child if the child
becomes unable to participate in such decisions and the
child does not have, or does not want, a relative who
would otherwise be authorized under State/Tribal law to
make such decisions, and provides the child with the

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option to execute a health care power of attorney, health
care proxy, or other similar document recognized under
State/Tribal law, and is as detailed as the child may
elect;
1356.21(g)(5)
475(1)(E)
475(5)(E)
475A

475(1)(F)

k. documents the steps to finalize a placement when the
case plan goal is or becomes adoption or placement in
another permanent home in accordance with sections
475(1)(E), (5)(E), and 475A(a)(1) of the Act. When the
case plan goal is adoption, at a minimum such
documentation shall include child-specific recruitment
efforts such as the use of Tribal, State, regional, and
national adoption exchanges including electronic
exchange systems to facilitate orderly and timely inState/Tribal service area and inter-State/Tribal service
area placements;
l. For a child with respect to whom the permanency plan
is placement with a relative and receipt of kinship
guardian assistance payments, the State/Tribal agency
shall include in the case plan a description of:

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i. the steps that the agency has taken to determine
that it is not appropriate for the child to be returned
home or adopted;
ii. the reasons for any separation of siblings during
placement;
iii. the reasons why a permanent placement with a
fit and willing relative through a kinship guardianship
assistance arrangement is in the child's best interests;
iv. the ways in which the child meets the eligibility
requirements for a kinship guardianship assistance
payment;
v. the efforts the State/Tribal agency has made to
discuss adoption by the child's relative foster parent as a
more permanent alternative to legal guardianship and, in
the case of a relative foster parent who has chosen not
to pursue adoption, documentation of the reasons; and
vi. the efforts made by the State/Tribal agency to
discuss with the child's parent or parents the kinship
guardianship assistance arrangement, or the reasons
why the efforts were not made.

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(See also Section 6 Guardianship Assistance Program
Case Plan Requirements.)
1356.21(g)(3)
475(5)(A)

m. includes a discussion of how the case plan is
designed to achieve a safe placement for the child in the
least restrictive (most family-like) setting available and
in close proximity to the home of the parent(s) when the
case plan goal is reunification and a discussion of how
the placement is consistent with the best interests and
special needs of the child;

475(5)(A)(i)

n. if the child has been placed in a foster family home or
child-care institution a substantial distance from the
home of the parent(s), in a different State, or outside of
the Tribal service area, sets forth the reasons why such
a placement is in the best interests of the child;

475(5)(A)(ii)

o. if the child has been placed in foster care in a State or
Tribal service area outside the State or Tribal service
area in which the child's parent(s) are located, assures
that an agency caseworker on the staff of the State or
Tribal agency of the State or Tribal service area in which
the home of the parents of the child is located, of the
State or Tribal service area in which the child has been

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placed, or of a private agency under contract with either
such State/Tribal agency, visits the child in such foster
home or institution no less frequently than every 6
months and submits a report on the visit to the State or
Tribal agency of the State or Tribal service area where
the home of the child's parent(s) is located;
475(1)(G)

p. a plan for ensuring the educational stability of the
child while in foster care, including-i. assurances that each placement of the child in
foster care takes into account the appropriateness of the
current educational setting and the proximity to the
school in which the child is enrolled at the time of
placement; and
ii. an assurance that the State/Tribal agency has
coordinated with appropriate local educational agencies
(as defined under section 9101 of the Elementary and
Secondary Education Act of 1965) to ensure that the
child remains in the school in which the child is enrolled
at the time of each placement; or
iii. if remaining in such school is not in the best
interests of the child, assurances by the State/Tribal

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agency and the local educational agencies to provide
immediate and appropriate enrollment in a new school,
with all of the educational records of the child provided
to the school; and
475(1)(C)

q. incorporates the health and education records of the
child including the most recent information available
regarding:
i.
ii.
iii.
iv.
v.
vi.
vii.

1356.21(f)

the names and addresses of the child's health and
educational providers;
the child's grade level performance;
the child's school record;
a record of the child's immunizations;
the child's known medical problems;
the child's medications; and
any other relevant health and education
information concerning the child determined to be
appropriate by the State/Tribal agency.

2. Case Review
The State/Tribal agency has a case review system which

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meets the requirements of sections 475(5), 475(6) and
475A of the Act and assures that:
475(5)(B)
475A(c)(4)

a. a review of each child's status is made no less
frequently than once every six months either by a court
or by an administrative review to:
i.
ii.
iii.
iv.
v.

determine the safety of the child, the continuing
need for and appropriateness of the placement;
determine the extent of compliance with the case
plan;
determine the extent of progress made toward
alleviating or mitigating the causes necessitating
the placement; and
project a likely date by which the child may be
returned and safely maintained at home or placed
for adoption or legal guardianship; and
for a child for whom another planned permanent
living arrangement has been determined as the
permanency plan, determine the steps the
state/tribal agency is taking to ensure the child’s
foster family home or child care institution is
following the reasonable and prudent parent
standard and to ascertain whether the child has

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v.vi.

Requirement

regular, ongoing opportunities to engage in age or
developmentally appropriate activities; and
for a child placed in a qualified residential
treatment program, evidence demonstrating that ongoing assessment of the
strengths and needs of the child continues to
support the determination that the needs of the
child cannot be met through placement in a foster
family home, that the placement in a qualified
residential treatment program provides the most
effective and appropriate level of care for the child
in the least restrictive environment, and that the
placement is consistent with the short- and longterm goals for the child, as specified in the
permanency plan for the child;
documenting the specific treatment or service
needs that will be met for the child in the
placement and the length of time the child is
expected to need the treatment or services; and
documenting the efforts made by the State/Tribal
agency to prepare the child to return home or to

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Not required until
10/1/19 unless the
title IV-E agency is
implementing a
delayed effective date,
during which time, the
title IV-E agency will
not claim FFP for title
IV-E prevention
services under section
474(a)(6) of the Act

Federal Regulatory/
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Requirement

be placed with a fit and willing relative, a legal
guardian, or an adoptive parent, or in a foster
family home.
In the case of any child who is placed in a qualified
residential treatment program for more than 12
consecutive months or 18 nonconsecutive months (or, in
the case of a child who has not attained age 13, for
more than 6 consecutive or nonconsecutive months), the
State/Tribal agency shall maintain for the Secretary’s
inspection/review the most recent versions of the
evidence and documentation specified at the review
hearing and the signed approval of the head of the
State/Tribal agency for the continued placement of the
child in that setting.
475(6)

b. if an administrative review is conducted, the following
requirements will be met:
i.
ii.

the review will be open to the participation of the
parents of the child; and
the review will be conducted by a panel of
appropriate persons, at least one of whom is not
responsible for the case management of, or

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delivery of services to either the child or the
parents who are the subject of the review.
1356.21(h)
475(5)(C)

3. Permanency Hearing

1356.21(h)
475(5)(C)

b. The permanency hearing takes place within 12
months of the date the child is considered to have
entered foster care (as defined within the meaning of
475(5)(F)) and not less frequently than every 12 months
thereafter during the continuation of foster care.

1356.21(h)(2)
471(a)(15)(E)(i)

c. When a court determines that reasonable efforts to
return the child home are not required, a permanency
hearing is held within 30 days of that determination,
unless the requirements of the permanency hearing are

a. To meet the requirements of the permanency
hearing, the State/Tribe holds permanency hearings for
all children under the responsibility for placement and
care of the title IV-E/IV-B agency, including children for
whom the State/Tribal agency claims Federal
reimbursement for the costs of voluntary foster care
maintenance payments.

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fulfilled at the hearing in which the court determines that
reasonable efforts to reunify the child and family are not
required.
1356.21(b)(3)
475(5)(C)
471(a)(15)(E)(i)
475A(c)(4)

d. For the purposes of this requirement, a permanency
hearing shall determine:
i.

the permanency plan for the child that includes
whether, and if applicable when, the child will be
returned to the parent, or placed for adoption and
the State/Tribe will file a petition for termination of
parental rights, or referred to legal guardianship,
or only in the case of a child who has attained 16
years of age (in cases where the State/Tribal
agency has documented to the court a compelling
reason for determining, as of the date of the
hearing, that it would not be in the best interest 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 subject to section
475A(a) of the Act;

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ii.

iii.

iv.
v.

vi.

in the case of a child who will not be returned to
the parent, the hearing shall consider inState/Tribal service area and out-of-State/Tribal
service area placement options;
in the case of a child placed out of the State/Tribal
service area in which the home of the parent(s) of
the child is located, the hearing shall determine
whether the out-of-State/Tribal service area
placement continues to be appropriate and in the
best interests of the child;
in the case of a child who has attained age 14, the
services needed to assist the child to make the
transition from foster care to successful adulthood;
in any permanency hearing held with respect to
the child, including any hearing regarding the
transition of the child from foster care to
successful adulthood, procedural safeguards shall
be applied to assure the court or administrative
body conducting the hearing consults, in an ageappropriate manner, with the child regarding the
proposed permanency or transition plan for the
child; and
if a child has attained 14 years of age, the
permanency plan developed for the child, and any

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vii.

State/Tribe
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revision or addition to the plan, shall be developed
in consultation with the child and, at the option of
the child, with not more than 2 members of the
permanency planning team who are selected by
the child and who are not a foster parent of, or
caseworker for, the child, except that the state or
tribal agency may reject an individual so selected
by the child if the agency has good cause to
believe that the individual would not act in the
best interests of the child, and 1 individual so
selected by the child may be designated to be the
child’s advisor and, as necessary, advocate, with
respect to the application of the reasonable and
prudent standard to the child; and
for a child placed in a qualified residential
Not required until
treatment program, evidence 10/1/19 unless the
title IV-E agency is
demonstrating that ongoing assessment of the
implementing a
strengths and needs of the child continues to
delayed effective date,
support the determination that the needs of the
during which time, the
child cannot be met through placement in a foster
title IV-E agency will
family home, that the placement in a qualified
not claim FFP for title
residential treatment program provides the most
IV-E prevention
effective and appropriate level of care for the child

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in the least restrictive environment, and that the
placement is consistent with the short- and longterm goals for the child, as specified in the
permanency plan for the child;
documenting the specific treatment or service
needs that will be met for the child in the
placement and the length of time the child is
expected to need the treatment or services; and
documenting the efforts made by the State/Tribal
agency to prepare the child to return home or to
be placed with a fit and willing relative, a legal
guardian, or an adoptive parent, or in a foster
family home.
In the case of any child who is placed in a qualified
residential treatment program for more than 12
consecutive months or 18 nonconsecutive months
(or, in the case of a child who has not attained age
13, for more than 6 consecutive or nonconsecutive
months), the State/Tribal agency shall submit to
the Secretary the most recent versions of the
evidence and documentation specified at the

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services under section
474(a)(6) of the Act

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permanency hearing and the signed approval of
the head of the State/Tribal agency for the
continued placement of the child in that setting.
475(5)(C)

e. Procedural safeguards are also to be applied with
respect to parental rights pertaining to the removal of
the child from the home of his/her parents, to a change
in the child's placement, and to any determination
affecting visitation privileges of parents.

1356.21(h)(3)

f. If the State/Tribal agency concludes, after considering
reunification, adoption, legal guardianship, or permanent
placement with a fit and willing relative, that the most
appropriate permanency plan for a child is placement in
another planned permanent living arrangement, the
State/Tribal agency will document to the court the
compelling reason for the alternate plan in accordance
with 475A.

1356.21(h)(4)

g. When an administrative body, appointed or approved
by the court, conducts the permanency hearing, the
procedural safeguards set forth in the definition of
permanency hearing will be extended by the
administrative body.

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475(5)(D)

Requirement

4. Health and Education Records
a. A child's health and education records are reviewed
and updated, and a copy of the record is 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.
b. The child's health and education records are supplied
to the child at no cost at the time the child leaves foster
care if the child is leaving foster care by reason of
having attained the age of majority under State/Tribe
law.

1356.21(o)
475(5)(G)

5. Notice
The State/Tribe provides the foster parent(s) of a child
and any pre-adoptive parent or relative providing care
for the child with timely notice of and a right to be heard
in any proceeding to be held with respect to the child
during the time the child is in the care of such foster
parent, pre-adoptive parent, or relative caregiver. Notice
of and a right to be heard does not require the

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State/Tribe to make the caregiver a party to the
proceeding.
475(5)(I)

6. Annual Credit Reports
Each child in foster care under the responsibility of the
State/Tribal agency who has attained 14 years of age
receives without cost a copy of any consumer report (as
defined in section 603(d) of the Fair Credit Reporting
Act) pertaining to the child each year until the child is
discharged from care, and receives assistance
(including, when feasible, from any court-appointed
advocate for the child) in interpreting and resolving any
inaccuracies in the report.

475(5)(I)

7. Official Documents.

Effective 2/9/18

Each child leaving foster care by reason of having
attained 18 years of age or such greater age as the
State has elected under 475(8), unless the child has
been in foster care for less than 6 months, must be
discharged from care with an official or certified copy of
the United States birth certificate of the child, a social
security card issued by the Commissioner of Social

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Requirement

Security, health insurance information, a copy of the
child’s medical records, and a driver’s license or
identification card issued in accordance with the
requirements of section 202 of the REAL ID Act of 2005,
and any official documentation necessary to prove that
the child was previously in foster care.
472(h)(1)
473(b)(1) & (b)(2)

E. MEDICAL AND SOCIAL SERVICES
1. For purposes of titles XIX and XX, any child with
respect to whom foster care maintenance payments are
made under this section will be deemed a dependent
child as defined in section 406 of the Act (as so in effect
7/16/1996) and shall be deemed to be a recipient of aid
to families with dependent children under Part A of this
title (as so in effect 7/16/1996). Title XIX and XX
services will be available to such child in the State in
which the child resides.
2. For the purposes of titles XIX and XX, any eligible
child for whom there is a kinship guardianship assistance
payment being made under section 473(d) is deemed to
be a dependent child as defined in 406 of the Act and is
deemed to be a recipient of AFDC under part A of title IV

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of the Act (as in effect 7/16/96) in the State in which
such child resides.
F. SPECIFIC GOALS IN STATE/TRIBAL LAW
471(a)(14)

1. The State/Tribal agency formulates for each fiscal
year, a specific goal as to the maximum number of
children (in absolute numbers or as a percentage of all
children in foster care receiving assistance under a title
IV-E program) who at any given time during the fiscal
year will have been in foster care for over 24 months.
The specific foster care goals required under section
471(a)(14) of the Act are incorporated into State or
Tribal law by statute or administrative regulation with
the force of law.
2. The State/Tribal agency will describe the steps that
will be taken to achieve the specific goal established.

1356.21(b)
471(a)(15)(A)&(B)

G. PREVENTIVE AND REUNIFICATION SERVICES
1. Reasonable efforts. The State/Tribal agency makes
reasonable efforts to maintain the family unit and
prevent the unnecessary removal of a child from his/her

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home, as long as the child's safety is assured; to effect
the safe reunification of the child and family (if
temporary out-of-home placement is necessary to
ensure the immediate safety of the child); and to make
and finalize alternate permanency plans in a timely
manner when reunification is not appropriate or possible.
In determining reasonable efforts to be made with
respect to a child and in making such reasonable efforts,
the child's health and safety is the State/Tribal agency’s
paramount concern.
471(a)(15)(C)

2. If continuation of reasonable efforts as described in
section 471(a)(15)(B) of the Act is determined to be
inconsistent with the permanency plan for the child,
reasonable efforts are made to place the child in a timely
manner in accordance with the permanency plan
including, if appropriate, through an interstate
placement, and to complete whatever steps are
necessary to finalize the permanent placement of the
child.

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1356.21(b)(1)(i)&(ii)

Requirement

3. Judicial determination of reasonable efforts to
prevent a child's removal from the home.
a. When a child is removed from his/her home, the
judicial determination, as to whether reasonable efforts
were made or were not required to prevent the removal,
is made no later than 60 days from the date the child is
removed from the home.
b. If the determination concerning reasonable efforts to
prevent the removal is not made as specified above, the
child is not eligible under the title IV-E foster care
maintenance payments program for the duration of that
stay in foster care.
(Tribes, see also section 7 for use of nunc pro tunc
orders.)

1356.21(b)(2)(i)

4. Judicial determination of reasonable efforts to finalize
a permanency plan.
a. The State/Tribal agency obtains a judicial
determination that it has made reasonable efforts to
finalize the permanency plan that is in effect (whether

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the plan is reunification, adoption, legal guardianship,
placement with a fit and willing relative, or placement in
another planned permanent living arrangement) within
12 months of the date the child is considered to have
entered foster care in accordance with the definition at
section 1355.20 of the regulations, and at least once
every 12 months thereafter while the child is in foster
care.
(Tribes, see also section 7 for use of nunc pro tunc
orders.)
1356.21(b)(2)(ii)

b. If such a judicial determination regarding reasonable
efforts to finalize a permanency plan is not made, the
child becomes ineligible under title IV-E from the end of
the 12th month following the date the child is considered
to have entered foster care or the end of the 12th month
following the month in which the most recent judicial
determination of reasonable efforts to finalize a
permanency plan was made, and remains ineligible until
such a judicial determination is made.
(Tribes, see also section 7 for use of nunc pro tunc
orders.)

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1356.21(b)(3)
471(a)(15)(D)

5. Reasonable efforts are not required to prevent a
child's removal from home or to reunify the child and
family if the State/Tribal agency obtains a judicial
determination that such efforts are not required
because:

1356.21(b)(3)(i)
471(a)(15)(D)

a. a court of competent jurisdiction has determined that
the parent has subjected the child to aggravated
circumstances (as defined in State/Tribal law, which
definition may include but need not be limited to
abandonment, torture, chronic abuse, and sexual
abuse);

1356.21(b)(3)(ii)
471(a)(15)(D)

b. a court of competent jurisdiction has determined that
the parent has been convicted of:
i.

ii.

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;
voluntary manslaughter (which would have been
an offense under section 1112(a) of title 18,
United States Code, if the offense had occurred in

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iii.
iv.

the special maritime or territorial jurisdiction of the
United States) of another child of the parent;
aiding or abetting, attempting, conspiring, or
soliciting to commit such a murder or such a
voluntary manslaughter; or
a felony assault that results in serious bodily injury
to the child or another child of the parent; or

1356.21(b)(3)(iii)
471(a)(15)(D)

c. the parental rights of the parent with respect to a
sibling have been terminated involuntarily.

1356.21(b)(4)
471(a)(15)(F)

6. Concurrent planning.
a. Reasonable efforts to finalize an alternate
permanency plan may be made concurrently with
reasonable efforts to reunify the child and family.
b. Reasonable efforts to place a child for adoption or
with a legal guardian, including identifying appropriate
in-State/Tribal service area and out-of-State/Tribal
service area placements, may be made concurrently with
reasonable efforts to reunify the child and family.

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1356.21(b)(5)

Requirement

7. Use of the Federal Parent Locator Service.
The State/Tribal agency may seek the services of the
Federal Parent Locator Service to search for absent
parents at any point in order to facilitate a permanency
plan.

1356.21(i)(1)

H. TERMINATION OF PARENTAL RIGHTS

475(5)(E)

1. The State/Tribe will file a petition (or, if such a
petition has been filed by another party, seek to be
joined as a party to the petition) to terminate the
parental rights of a parent(s):

1356.21(i)(1)(i)

a. whose child has been in foster care under the
responsibility of the State/Tribal agency for 15 of the
most recent 22 months. The petition must be filed by
the end of the child's 15th month in foster care. In
calculating when to file a petition for termination of
parental rights, the State/Tribe:
i.

will calculate the 15 out of the most recent 22
month period from the date the child entered

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ii.
iii.
iv.

foster care as defined at section 475(5)(F) of the
Act;
will use a cumulative method of calculation when a
child experiences multiple exits from and entries
into foster care during the 22 month period;
will not include trial home visits or runaway
episodes in calculating 15 months in foster care;
and
only applies section 475(5)(E) of the Act to a child
once if the State/Tribe does not file a petition
because one of the exceptions applies;

1356.21(i)(1)(ii)

b. whose child has been determined by a court of
competent jurisdiction to be an abandoned infant (as
defined under State/Tribal law). The petition to
terminate parental rights is made within 60 days of the
judicial determination that the child is an abandoned
infant; or

1356.21(i)(1)(iii)

c. who has been convicted of one of the felonies listed
above. Under such circumstances, the petition to
terminate parental rights is to be made within 60 days of

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a judicial determination that reasonable efforts to
reunify the child and parent are not required.
1356.21(i)(2)

2. The State/Tribe may elect not to file or join a petition
to terminate the parental rights of a parent of this
section if:
a. at the option of the State/Tribal agency, the child is
being cared for by a relative;
b. the State/Tribal agency has documented in the case
plan (which must be available for court review) a
compelling reason for determining that filing such a
petition would not be in the best interests of the
individual child; or
c. the State/Tribal agency has not provided to the
family, consistent with the time period in the case plan,
services that the State/Tribal agency deems necessary
for the safe return of the child to the home, when
reasonable efforts to reunify the family are required.

1356.21(i)(3)

3. When the State/Tribe files or joins a petition to
terminate parental rights, it concurrently begins to

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identify, recruit, process, and approve a qualified
adoptive family for the child.
1355.20(a)
475(5)(F)

I. DATE CHILD CONSIDERED TO HAVE ENTERED FOSTER
CARE
A child will be considered to have entered foster care on
the earlier of:
1. the date of the first judicial finding that the child has
been subjected to child abuse or neglect; or
2. the date that is 60 days after the date on which the
child is removed from the home.

1356.21(d)

J. DOCUMENTATION OF JUDICIAL DETERMINATION

472(a)(1)

The judicial determinations regarding contrary to the
welfare, reasonable efforts to prevent removal, and
reasonable efforts to finalize the permanency plan in
effect, including judicial determinations that reasonable
efforts are not required, are explicitly documented and
made on a case-by-case basis and so stated in the court
order.

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1. If the reasonable efforts and contrary to the welfare
judicial determinations are not included as required in
the court orders, a transcript of the court proceedings is
the only other documentation accepted to verify that
these required determinations have been made.
2. Neither affidavits nor nunc pro tunc orders will be
accepted as verification documentation in support of
reasonable efforts and contrary to the welfare judicial
determinations, except as provided in 479B(c)(ii) of the
Act and for Tribes. (See section 7.C. of this plan.)
3. Court orders that reference State/Tribal law to
substantiate judicial determinations are not acceptable,
even if the law provides that a removal must be based
on a judicial determination that remaining in the home
would be contrary to the child's welfare or that removal
can only be ordered after reasonable efforts have been
made, except as applied to Tribes in section 7 of this
plan regarding use of nunc pro tunc orders.
(Tribes see section 7 for nunc pro tunc orders.)

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1356.21(e)

Requirement

K. TRIAL HOME VISITS
A trial home visit may not exceed six months in
duration, unless the court orders a longer trial home
visit. If a trial home visit extends beyond six months and
has not been authorized by the court, or exceeds the
time period the court has deemed appropriate, and the
child is subsequently returned to foster care, that
placement must then be considered a new placement
and title IV-E eligibility must be newly established.
Under these circumstances, the judicial determinations
regarding contrary to the welfare and reasonable efforts
to prevent removal are required.

471(a)(24)

L. TRAINING
Before a child in foster care is placed with prospective
foster parents, the prospective foster parents are
adequately prepared with the appropriate knowledge
and skills to provide for the needs of the child. As
necessary, such preparation is continued after placement
of the child, and includes knowledge and skills relating to
the reasonable and prudent parent standard for the
participation of the child in age or developmentallyappropriate activities, including knowledge and skills

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relating to the developmental stages of the cognitive,
emotional, physical, and behavioral capacities of a child,
and applying the standard to decisions such as whether
to allow the child to engage in social, extracurricular,
enrichment, cultural and social activities, including
sports, field trips and overnight activities lasting one or
more days and involving the signing of permission slips
and arranging transportation for the child to and from
extracurricular enrichment and social activities.

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475(8)

M. DEFINITION OF ‘CHILD’
For the purposes of the title IV-E foster care program under
section 472, the term ‘child’ means:
1. an individual who has not attained 18 years of age; or
2. at the option of the state/Tribal agency an individual—
a. who is in foster care under the responsibility
of the title IV-E agency
b. who has attained 18 years of age but who has
not attained 19, 20, or 21 years of age (as
elected and indicated by the title IV-E agency),
and
c. who meets any of the following conditions:
i. the child is completing secondary
education or a program leading to an
equivalent credential;
ii. the child is enrolled in an institution
which provides post-secondary or
vocational education;
iii. the child is participating in a program
or activity designed to promote, or remove
barriers to, employment;
iv. the child is employed for at least 80
hours per month; or
v. the child is incapable of doing any of
the above described activities due to a
medical condition, which incapability is
supported by regularly updated
information in the case plan of the child.

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475A(a)

N.
ANOTHER PLANNED PERMANENT LIVING
ARRANGEMENT
In the case of any child for whom another planned
permanent living arrangement is the permanency plan
determined for the child under section 475(5)(C),
State/Tribal agency follows case plan and case system
review procedures that include:
1. At each permanency hearing held with respect to the
child, the State/Tribal agency documents the intensive,
ongoing, and, as of the date of the hearing, unsuccessful
efforts made by the agency to return the child home or
secure a placement for the child with a fit and willing
relative (including adult siblings), a legal guardian, or an
adoptive parent, including through efforts that utilize
search technology (including social media) to find
biological family members for the children.
2. At each permanency hearing held with respect to the
child, the court or administrative body appointed or
approved by the court conducting the hearing on the
permanency plan for the child must:
a. Ask the child about the desired permanency outcome
for the child.

58

b. Make a judicial determination explaining why, as of
the date of the hearing, another planned permanent
living arrangement is the best permanency plan for the
child and provide compelling reasons why it continues to
not be in the best interests of the child to—
i. return home;
ii. be placed for adoption;
iii. be placed with a legal guardian; or
iv. be placed with a fit and willing relative.
3. At each permanency hearing held with respect to the
child, the State/Tribal agency shall document the steps
the agency is taking to ensure that—
a. the child’s foster family home or child care institution
is following the reasonable and prudent parent standard;
and
b. the child has regular, ongoing opportunities to engage
in age or developmentally appropriate activities
(including by consulting with the child in an ageappropriate manner about the opportunities of the child
to participate in the activities).

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471(a)(35)(A)

O. ABSENCES FROM CARE
The State/Tribal agency has protocols for:
1. Expeditiously locating any child missing from foster
care,
2. Determining the primary factors that contributed to
the child’s running away or otherwise being absent from
care, and to the extent possible and appropriate,
responding to those factors in current and subsequent
placements,
3. Determining the child’s experiences while absent
from care, including screening the child to determine if
the child is a possible sex trafficking victim, and
4. Reporting such related information as required by the
Secretary.

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475A(b)

P. RIGHTS
The State/Tribe must include in the case plan for any
child in foster care who has attained 14 years of age:
1. A document that describes the rights of the child with
respect to education, health visitation, and court
participation, the right to be provided with the
documents specified in section 475(5)(I) in accordance
with that section, and the right to stay safe and avoid
exploitation; and
2. a signed acknowledgement by the child that the child
has been provided with a copy of the documentation and
that the rights contained in the document have been
explained to the child in an age-appropriate way.

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Q. PLACEMENT IN A QUALIFIED RESIDENTIAL
TREATMENT PROGRAM.
1. In the case of any child who is placed in a qualified
residential treatment program (as defined in section
472(k)(4)), case plan for the child and the case system
review procedure for the child must:
a. Assess the strengths and needs of the child within 30
days of the start of each placement, using an ageappropriate, evidence-based, validated, functional
assessment tool approved by the Secretary;

State/Tribe
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Not required until
10/1/19 unless the
title IV-E agency is
implementing a
delayed effective date,
during which time, the
title IV-E agency will
not claim FFP for title
IV-E prevention
services under section
474(a)(6) of the Act.

b. Determine whether the needs of the child can be met See Attachment XI
with family members or through placement in a foster
family home or, if not, which setting from among the
settings specified in section 472(k)(2) would provide the
most effective and appropriate level of care for the child
in the least restrictive environment and be consistent
with the short- and long-term goals for the child, as
specified in the permanency plan for the child; and
c. Develop a list of child-specific short- and long-term
mental and behavioral health goals.

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2. The state/tribal agency shall assemble a family and
permanency team for the child in accordance with the
requirements 475A(c). The qualified individual
conducting the assessment shall work in conjunction
with the family of, and permanency team for, the child
while conducting and making the assessment. The family
and permanency team shall consist of all appropriate
biological family members, relative, and fictive kin of the
child, as well as, as appropriate, professionals who are a
resource to the family of the child, such as teachers,
medical or mental health providers who have treated the
child, or clergy. In the case of a child who has attained
age 14, the family and permanency team shall include
the members of the permanency planning team for the
child that are selected by the child in accordance with
section 475(5)(C)(iv).
3. The State/Tribal agency shall document in the child's
case plan—
a. the reasonable and good faith effort of the agency to
identify and include all the individuals described above
on the child’s family and permanency team;

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b. all contact information for members of the family and
permanency team, as well as contact information for
other family members and fictive kin who are not part of
the family and permanency team;
c. evidence that meetings of the family and permanency
team, including meetings relating to the assessment
required 475A(c), are held at a time and place
convenient for family;
d. if reunification is the goal, evidence demonstrating
that the parent from whom the child was removed
provided input on the members of the family and
permanency team;
e. evidence that the assessment required 475A(c)(A) is
determined in conjunction with the family and
permanency team; and
f. the placement preferences of the family and
permanency team relative to the assessment that
recognizes children should be placed with their siblings
unless there is a finding by the court that such
placement is contrary to their best interest; and

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g. if the placement preferences of the family and
permanency team and child are not the placement
setting recommended by the qualified individual
conducting the assessment, the reasons why the
preferences of the team and of the child were not
recommended.
4. If the qualified individual conducting the assessment
determines that a child should not be placed in a foster
family home, the qualified individual shall specify in
writing the reasons why the needs of the child cannot be
met by the family of the child or in a foster family home.
A shortage or lack of foster family homes shall not be an
acceptable reason for determining that the needs of the
child cannot be met in a foster family home. The
qualified individual also shall specify in writing why the
recommended placement in a qualified residential
treatment program is the setting that will provide the
child with the most effective and appropriate level of
care in the least restrictive environment and how that
placement is consistent with the short- and long-term
goals for the child, as specified in the permanency plan
for the child.

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5. ‘qualified individual’ means a trained professional or
licensed clinician who is not an employee of the
State/Tribal agency and who is not connected to, or
affiliated with, any placement setting in which children
are placed by the State/Tribal agency. The agency may
request that the Secretary waive this requirement in a
matter prescribed by the Secretary (See Attachment XI).
6. Within 60 days of the start of each placement in a
qualified residential treatment program, a family or
juvenile court or another court (including a tribal court)
of competent jurisdiction, or an administrative body
appointed or approved by the court, independently, shall
consider the assessment, determination, and
documentation made by the qualified individual
conducting the assessment, determine whether the
needs of the child can be met through placement in a
foster family home or, if not, whether placement of the
child in a qualified residential treatment program
provides the most effective and appropriate level of care
for the child in the least restrictive environment and
whether that placement is consistent with the short- and
long-term goals for the child, as specified in the

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permanency plan for the child; and approve or
disapprove the placement.
7. The case plan shall include documentation of any
determination by a qualified individual that a child
should not be placed in a foster family home, and the
reasons why the needs of the child cannot be met by the
family of the child or in a foster family home, and
documentation of the determination and approval or
disapproval of the placement in a qualified residential
treatment program by a court or administrative body.

SECTION 3. ADOPTION ASSISTANCE PAYMENTS
A. I. ELIGIBILITY – Applicable Child (Effective October
1, 2009)
473(e)

1. Beginning in fiscal year 2010, an applicable child is:
a. a child for whom an adoption assistance agreement is
entered into under section 473 during any fiscal year
described in 473(e)(1)(B) if the child attained the

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applicable age pursuant to that paragraph for that fiscal
year before the end of that fiscal year; or
b. a child of any age on the date on which an adoption
assistance agreement is entered into on behalf of the
child under section 473 if the child has been in foster
care under the responsibility of the State/Tribal agency
for at least 60 consecutive months and meets the
requirements of paragraph 473(a)(2)(A)(ii); or
c. a child of any age on the date on which an adoption
assistance agreement is entered into on behalf of the
child under this section without regard to whether the
child is described in 473(e)(2)(A) if the child:
i. is a sibling of a child who is an applicable child for the
fiscal year under paragraphs 473(e)(1) or (2); and
ii. is to be placed in the same adoption placement as
their sibling who is an applicable child for the fiscal year;
and
iii. meets the requirements of 473 (a)(2)(A)(ii).

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473(c)(2)

2. Adoption assistance payments may be made to
parents to adopt a child with special needs. In the case
of a child who is an applicable child for a fiscal year as
defined in 473(e), the child shall not be considered a
child with special needs unless:

473(c)(2)(A)

a. the State/Tribal agency has determined, pursuant to
established criteria, that the child cannot or should not
be returned to the home of his parents; and

473(c)(2)(B)

b. either:
i. the State/Tribal agency has determined that
there exists with respect to the child a specific
factor or condition (such as 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 the child cannot be placed with
adoptive parents without providing adoption
assistance under this section and medical
assistance under title XIX; or

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ii. the child meets all medical or disability
requirements of title XVI with respect to eligibility
for supplemental security income benefits; and
473(c)(2)(C)

c. the State/Tribal agency has determined 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 the 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.

473(a)(1)(A)

3. In the case of a child who is an applicable child for
the fiscal year as defined in 473(e), adoption assistance
payments may be made if the child has been determined
by the State/Tribal agency pursuant to section 473(c) to
be a child with special needs and:

473(a)(2)(A)(ii)

a. the time of initiation of adoption proceedings
the child was in the care of a public or licensed
private child placement agency or Indian Tribal
Organization pursuant to—

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i. an involuntary removal of the child from
the home in accordance with a judicial
determination to the effect that continuation
in the home would be contrary to the welfare
of the child; or
ii. a voluntary placement agreement or
voluntary relinquishment; or
b. meets all medical or disability requirements of title
XVI with respect to eligibility for supplemental security
income benefits; or
c. was residing in a foster family home or child care
institution with the child's minor parent, and the child's
minor parent was in such foster family home or child
care institution pursuant
to—
i. an involuntary removal of the child from
the home in accordance with a judicial
determination to the effect that continuation
in the home would be contrary to the welfare

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of the child; or
ii. a voluntary placement agreement or
voluntary relinquishment; and
d. has been determined by the State/Tribal agency,
pursuant to subsection 473(c)(2), to be a child with
special needs.
473(a)(2)(C)(ii)

4. In the case of a child who is an applicable child for
the fiscal year as so defined in 473(e), the child will be
treated as meeting the requirements to receive adoption
assistance payments if the child:
a. meets the requirements of 473(a)(2)(A)(ii)(II); and
b. is determined eligible for adoption assistance
payments under this part with respect to a prior
adoption (or who would have been determined eligible
for such payments had the Adoption and Safe Families
Act of 1997 been in effect at the time that such
determination would have been made); and

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c. 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.
A. II. ELIGIBILITY – Non-applicable Child (Currently
effective, but beginning October 1, 2009, decreases
based on the criteria in 473(e) until July October 1,
202417, at which time this authority ends)
473(a)(1)(A)
473(c)(1)

1. Adoption assistance payments may be made to
parents who adopt a child with special needs. In the
case of a child who is not an applicable child, as defined
in 473(e), for a fiscal year, the child shall not be
considered a child with special needs unless:

473(c)(1)(A)

a. the State/Tribal agency has determined the child
cannot or should not be returned to the home of his or
her parents; and

473(c)(1)(B)

b. the State/Tribal agency has first determined that a
specific factor or condition exists with respect to the
child (such as ethnic background, age, or membership in

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Federal Regulatory/
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Requirement

a minority or sibling group, or the presence of factors
such as medical conditions or physical, mental or
emotional disabilities) because of which it is reasonable
to conclude that such child cannot be placed for adoption
without providing adoption assistance or medical
assistance under title XIX; and
473(c)(1)(B)

c. a reasonable, but unsuccessful, effort has been made
to place the child without providing assistance except
where it would be against the best interests of the child
due to such factors as the existence of significant
emotional ties with prospective adoptive parents while in
the care of such parents as a foster child.

473(a)(2)(A)

2. In the case of a child who is not an applicable child
for the fiscal year as defined in 473(e), adoption
assistance payments may be made if the child has been
determined by the State/Tribal agency pursuant to
section 473(c) to be a child with special needs and:

473(a)(2)(A)(i)
473(a)(2)(A)(i)(II)

473(a)(2)(A)(i)(I)(aa) a. was removed from the home of a relative specified in
section 406(a) of the Act (as in effect on July 16, 1996)
and placed in foster care in accordance with a voluntary

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placement agreement with respect to which Federal
payments are provided under section 474 (or section
403, as in effect on July 16, 1996), or in accordance with
a judicial determination to the effect that continuation in
the home would be contrary to the welfare of the child;
and
i.

ii.

received AFDC, in that relative's home, under the
State plan approved under section 402 of the Act
(as in effect 7/16/96), or would have received
AFDC under such plan had application been made,
in or for the month the voluntary placement
agreement was entered into or court proceedings
leading to the judicial determination referred to in
section 473(a)(2)(A)(i) were initiated; or
had been living with a relative specified in section
406(a) of the Act within six months before the
month in which a voluntary placement agreement
was entered into or court proceedings leading to
the judicial determination referred to in section
473(a)(2)(A)(i), were initiated and would have
received AFDC in that relative's home under the
State plan approved under section 402 of the Act
for that month, if in that month the child had been

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living with such relative and application had been
made;
(Tribes, see also section 7 (AFDC))
473(a)(2)(A)(i)(I)(bb) b. meets all the requirements of title XVI of the Act with
respect to eligibility for supplemental security income
benefits; or
473(a)(2)(A)(i)(I)(cc)

c. 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 the
minor parent of the child as provided in section
475(4)(B).

473(a)(2)(C)(i)

3. In the case of a child who is not an applicable child
for the fiscal year as defined in 473(e), the child will be
treated as meeting the requirements to receive adoption
assistance payments if the child:
a. meets the requirements of section
473(a)(2)(A)(i)(II); and

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b. is determined eligible for adoption assistance
payments under 473 of the Act with respect to a prior
adoption; and
c. 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
d. fails to meet the requirements of section
473(a)(2)(A)(i) but will meet such requirements if the
child is treated as if the child is in the same financial and
other circumstances the child was in the last time the
child was determined eligible for adoption assistance
payments under section 473 of the Act and the prior
adoption is treated as never having occurred.
A. III. ELIGIBILITY – General
473(a)(1)(B)

1. Adoption assistance payments are made to adoptive
parents who have entered into an adoption assistance
agreement (see subsection C of this plan) with the title
IV-E agency.

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473(a)(2)(D)

2. In determining the eligibility for adoption assistance
payments of a child in a legal guardianship arrangement
described in section 471(a)(28), the placement of the
child with the relative guardian involved and any kinship
guardianship assistance payments made on behalf of the
child shall be considered never to have been made.

473(a)(1)(B)(i)

B. PAYMENTS – AMOUNTS AND CONDITIONS
1. Payments will be made for non-recurring adoption
expenses incurred by or on behalf of the adoptive
parents in connection with the adoption of a child with
special needs, directly through the State/Tribal agency
or through another public or nonprofit private agency, in
amounts determined through an agreement with the
adoptive parents; and

473(a)(1)(B)(ii)

2. In any case where the child meets the requirements
of section 473(a)(2) of the Act, the State/Tribal agency
may make adoption assistance payments to adoptive
parents, directly through the State/Tribal agency or
through another public or nonprofit private agency, in
amounts so determined through an adoption assistance
agreement (see Section 3, item C of this plan).

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473(a)(3)

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3. The amount of such payment:
a. will take into consideration the circumstances of the
adopting parents and the needs of the child being
adopted;
b. may be adjusted periodically with the concurrence of
the adoptive parents to reflect changing circumstances;
and
c. may not 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.

1356.40(c)

4. In determining eligibility for adoption assistance
payments, there is no income eligibility requirement
(means test) for the adoptive parents.

473(a)(4)

5. Payments are terminated when the State/Tribal
agency determines that:

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a. the child has attained the age of 18, or such greater
age as the State/Tribal agency may elect under section
475(8)(B)(iii); or
b. the child has attained 21 years of age, if the
state/Tribal agency determines that the child has a
mental or physical disability which warrants the
continuation of assistance to age 21; or
c. the parents are no longer legally responsible for the
support of the child who has not yet attained 18 years of
age; or
d. the adoptive parents are no longer providing any
support to the child.
473(a)(4)

6. The adoptive parents are required to inform the
State/Tribal agency of circumstances that would make
them ineligible for adoption assistance payments or
eligible for adoption assistance payments in a different
amount.

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473(a)(7)

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7. No payment may be made to parents with respect to
any applicable child for a fiscal year that:
a. would be considered a child with special needs under
473(c)(2);
b. is not a citizen or resident of the United States; and
c. was adopted outside of the United States or was
brought into the United States for the purpose of being
adopted.
8. A child that is not a citizen or resident of the US and
was adopted outside of the US or brought into the US for
the purpose of being adopted may be eligible for
adoption assistance payments if the initial adoption of
the child by parents is a failure and the child is
subsequently placed into foster care.

475(3)

C. ADOPTION ASSISTANCE AGREEMENT
1. An adoption assistance agreement is a written
agreement, binding on all parties, between the

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State/Tribal agency, other relevant agencies, and the
prospective adoptive parents.
1356.40(b)

2. The adoption assistance agreement meets the
requirements of section 475(3) of the Act as stated
below:

1356.40(b)(1)

a. is signed by the adoptive parents and a representative
of the State/Tribal agency and is in effect before
adoption assistance payments are made under title IV-E,
but no later than the finalization of the adoption;

1356.40(b)(2)
475(3)

b. specifies the duration of the agreement;

1356.40(b)(3)

c. specifies the amount of the adoption assistance
payments (if any) and the nature and amount of any
other payments, services and assistance to be provided
(including non-recurring adoption expenses in
agreements for expenditures incurred by the parents);

473(b)

d. specifies the child's eligibility for title XIX and title XX;

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475(3)(B)

e. specifies that the agreement remains in effect
regardless of the State or Tribal service area of
residence of the adoptive parents;

475(3)

f. contains provisions for the protection of the interests
of the child in case the adoptive parents and child should
move to another State or out of the Tribal service area
while the agreement is in effect; and

1356.40(d)

g. if a needed service specified in the agreement is not
available in the new State or Tribal service area of
residence, the State/Tribal agency making the original
adoption assistance payment remains financially
responsible for providing the specified service(s).

473(b)(1-4)

D. MEDICAID AND SOCIAL SERVICES
1. For the purposes of titles XIX and XX, any eligible
child for whom there is an adoption assistance
agreement in effect under section 473(a)(2) (whether or
not adoption assistance payments are being made) is
deemed to be a dependent child as defined in 406 of the
Act and is deemed to be a recipient of AFDC under part

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A of title IV of the Act (as in effect 7/16/96) in the State
in which such child resides.
471(a)(21)(A)&(B)

2. The State/Tribe will provide health insurance
coverage (through one or more State/Tribal medical
assistance programs), with the same type and kind of
benefits as those which would be provided for children
under title XIX, or a comparable medical plan, for any
child who has been determined to be a child with special
needs, for whom there is in effect an adoption assistance
agreement between the State/Tribal agency and an
adoptive parent or parents, and who the State/Tribal
agency has determined cannot be placed with an
adoptive parent or parents without medical assistance
due to special needs for medical, mental health or
rehabilitative care.

471(a)(21)(C)&(D)

3. In the event that the State/Tribe provides such
coverage through a State/Tribe medical assistance
program other than the program under title XIX, and the
State/Tribe exceeds its funding for services under such
other program, any such child is deemed to be receiving
aid or assistance under the State/Tribal agency plan

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under this part for purposes of section
1902(a)(10)(a)(i)(1); and in determining cost-sharing
requirements, the State/Tribal agency will take into
consideration the circumstances of the adopting parent
or parents and the needs of the child being adopted to
the extent coverage is provided through a State/Tribal
medical assistance program, consistent with the rules
under such program.
473A(b)(3)

E. ELIGIBILITY FOR ADOPTION INCENTIVE FUNDING
(Not applicable to Tribes.)
1. States that are eligible for adoption incentive funds
must be in compliance with the data requirements in
section 473A(b)(2) of the Act; and
2. Provide 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.

471(a)(33)

F. ADOPTION TAX CREDIT

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The State/Tribal agency informs every individual who is
adopting or whom the State/Tribal agency is made
aware is considering adopting, a child who is in foster
care under the responsibility of the State/Tribal agency
of the potential eligibility for a Federal tax credit under
section 23 of the Internal Revenue Code of 1986.
475(8)

G. DEFINITION OF ‘CHILD’
For the purposes of the title IV-E adoption assistance
program under section 473, the term ‘child’ means:
1. an individual who has not attained 18 years of
age; or
2. at the option of the State/Tribal agency an
individual
a. with respect to whom an adoption
assistance agreement is in effect under
section 473 if the individual had attained age
16 before the adoption assistance agreement
became effective;

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b. who has attained the age of 18, but has
not attained 19, 20, or 21 years of age, as
the title IV-E agency may elect; and
c. who meets any of the following
conditions:
i. the child is completing secondary
education or a program leading to an
equivalent credential;
ii. the child is enrolled in an institution
which provides post-secondary or
vocational education;
iii. the child is participating in a
program or activity designed to
promote, or remove barriers to,
employment;
iv. the child is employed for at least
80 hours per month; or
v. the child is incapable of doing any of
the above described activities due to a
medical condition.

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SECTION 4. GENERAL PROGRAM REQUIREMENTS
471(a)(10) and
(36)(B), (C) and (D)

A. STANDARDS FOR FOSTER FAMILY HOMES AND CHILD
CARE INSTITUTIONS
The agency has established or designated a State/Tribal
authority(ies) which is 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 which shall
permit use of the reasonable and prudent parenting
standard.
The standards so established are applied by the
State/Tribe to any foster family home or child-care
institution receiving funds under titles IV-E or IV-B. The
standards shall require, as a condition of each contract
entered into by a child care institution to provide foster
care, the presence on-site of at least 1 official who, with
respect to any child placed at the child care institution, is

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designated to be the caregiver who is authorized to apply
the reasonable and prudent parent standard to decisions
involving the participation of the child in age or
developmentally-appropriate activities, and who is
provided with training in how to use and apply the
reasonable and prudent parent standard in the same
manner as prospective foster parents are provided the
training pursuant to paragraph 471(a)(24).
The standards for foster family homes and child care
institutions shall include policies related to the liability of
foster parents and private entities under contract by the
State involving the application of the reasonable and
prudent parent standard, to ensure appropriate liability
for caregivers when a child participates in an approved
activity and the caregiver approving the activity acts in
accordance with the reasonable and prudent parent
standard.
The State/Tribal agency may provide waivers of such
standards only on a case-by-case basis for non-safety
standards (as determined by the State/Tribe) in relative
foster family homes for specific children in care. The
State/Tribal agency must describe which standards it
most commonly waives, or if the agency has elected not

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See ATTACHMENT X
Not required until
April 1, 2019 unless
a legislative delay or

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to waive the standards, the reason for not waiving these
standards.
State/Tribal agencies that provide such waivers must
describe training provided to caseworkers to use the
waiver authority and the state/tribal agency process or
tools provided to assist caseworkers in waiving non-safety
standards per the authority provided in 471(a)(10)(D) to
quickly place children with relatives.

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a delay for tribes,
tribal organizations
or consortia is
approved by the
Secretary

The agency must describe any steps the agency is taking
to improve caseworker training or the process.
(Tribes, see section 7)

471(a)(36)(A)

The State/Tribal agency shall maintain licensing standards See ATTACHMENT X
that are in accord with model standards identified by the

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Secretary, and if not, shall document the reason for the
specific deviation and a description as to why having a
standard that is reasonably in accord with the
corresponding national model standards is not appropriate
for the agency.

1355.20(a)
472(c)(1)

1. Foster family home means, for the purpose of title IVE eligibility, the home of an individual or family:

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Not required until
April 1, 2019 unless
a legislative delay or
a delay for tribes,
tribal organizations
or consortia is
approved by the
Secretary

Not required until
10/1/19, unless the
title IV-E agency is
a. that is licensed or approved by the State or Tribal
implementing a
service area in which it is situated as a foster family home delayed effective
(or with respect to foster family homes on or near Indian date during which
reservations, by the tribal licensing or approval
time, the title IV-E
authority(ies)), that as meets ing the standards
agency will not claim
established for the licensing or approval; and
FFP for title IV-E
prevention services
b. in which a child in foster care has been placed in the
under section
care of an individual, who resides with the child and who
474(a)(6) of the Act.
has been licensed or approved by the State/Tribal agency
to be a foster parent that the agency deems capable of
adhering to the reasonable and prudent parent standard;
that provides 24-hour substitute care for children placed

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away from their parents or other caretakers; and that
provides the care for not more than six children in foster
care.
c. in which the number of foster children that may be
cared for in a foster family home may not exceed six,
except at the option of the State/Tribal agency, for any of
the following reasons:
(i) To allow a parenting youth in foster care to remain
with the child of the parenting youth.
(ii) To allow siblings to remain together.
(iii) To allow a child with an established meaningful
relationship with the family to remain with the family.
(iv) To allow a family with special training or skills to
provide care to a child who has a severe disability.
by the State/Tribal licensing or approval authority(ies) (or
with respect to foster family homes on or near Indian
reservations, by the tribal licensing or approval

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authority(ies)), that provides 24-hour out-of-home care
for children. The term may include group homes, agencyoperated boarding homes or other facilities licensed or
approved for the purpose of providing foster care by the
State/Tribal agency responsible for approval or licensing
of such facilities. Foster family homes that are approved
must be held to the same standards as foster family
homes that are licensed. Anything less than full licensure
or approval is insufficient for meeting title IV-E eligibility
requirements.
(Tribes, see also section 7)
1355.20(a)(2)
472(c)(2)

2. Child care institution means a private child care
institution, or a public child care institution which
accommodates no more than 25 children, and is licensed
by the State/Tribe in which it is situated or has been
approved by the agency of such the State or tribal
licensing authority (with respect to child care institutions
on or near Indian reservations) responsible for licensing
or approval of institutions of this type as meeting the
standards established for such licensing except, in the
case of a child who has attained 18 years of age, the term

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includes a supervised setting in which the individual is
living independently.
This definition must not include detention facilities,
forestry camps, training schools, or any other facility
operated primarily for the detention of children who are
determined to be delinquent.
In addition to these requirements, a qualified residential
treatment program must be accredited by any of the
independent, not-for-profit organizations listed at
472(k)(4)(G) of the Act or any other independent, notfor-profit accrediting organization of a similar type and
kind as those already identified in the Act approved by
the Secretary (see Attachment XI).

(Tribes, see also section 7 for requirements related to
471(a)(10).)
472(j)

3. Licensed residential family-based treatment facility for
substance abuse, means a treatment facility provides, as
part of the treatment for substance abuse, parenting skills

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training, parent education, and individual and family
counseling; and under an organizational structure and
treatment framework that involves understanding,
recognizing, and responding to the effects of all types of
trauma and in accordance with recognized principles of a
trauma-informed approach and trauma-specific
interventions to address the consequences of trauma and
facilitate healing.

1356.21(m)(1)&(2)
471(a)(11)

B. REVIEW OF PAYMENTS AND LICENSING STANDARDS
The agency reviews at reasonable, specific, time-limited
periods established by the State/Tribe:
1. the amount of the payment made for foster care
maintenance and adoption assistance to assure their
continued appropriateness; and
2. the licensing or approval standards for child care
institutions and foster family homes.

471(a)(12)

C. FAIR HEARINGS

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The State/Tribal agency has a system for granting an
opportunity for a fair hearing (before the State/Tribal
agency) to any individual whose claim for benefits under
this plan is denied or not acted upon with reasonable
promptness.
471(a)(13)

D. INDEPENDENT AUDIT
The State/Tribal agency will arrange for a periodic and
independently conducted audit, no less frequently than
once every three years, of the titles IV-E and IV-B
programs.

471(a)(9)(A)

E. CHILD ABUSE AND NEGLECT
The State/Tribal agency will 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 titles IV-B or IV-E under circumstances that
indicate that the child's health or welfare is threatened.

471(a)(25)&(26)

F. TIMELY INTERSTATE PLACEMENT OF CHILDREN

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1. The State/Tribal agency shall have in effect
procedures for the orderly and timely interstate
placement of children which provides that:
a. within 60 days after the State/Tribe receives from
another State or Tribe a request to conduct a study of a
home environment for purposes of assessing the safety
and suitability of placing a child in the home, the State or
Tribe shall, directly or by contract:
i. conduct and complete the study; and
ii. return to the other State or Tribe a report on the
results of the study which shall address the extent to
which placement in the home would meet the needs of
the child;
b. the State or Tribe is not required to complete within
the applicable time period the parts of the home study
involving the education and training of the prospective
foster or adoptive parents;
c. the State or Tribe shall treat any such report that is
received from another State or Tribe (or from a private

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agency under contract with another State/Tribe) as
meeting any requirements imposed by the State or Tribe
for the completion of a home study before placing a child
in the home, unless, within 14 days after receipt of the
report, the State or Tribe determines, based on grounds
that are specific to the content of the report, that making
a decision in reliance on the report would be contrary to
the welfare of the child; and
d. the State or Tribe shall not impose any restriction on
the ability of an agency administering, or supervising the
administration of, a State or Tribal program operated
under a plan approved under this part to contract with a
private agency for the conduct of such a home study.
471(a)(25)

2. The State shall have in effect procedures for the use of Not required until
an electronic interstate case-processing system.
10/1/2027
(Not applicable to Tribes, Commonwealth of Puerto Rico,
the United States Virgin Islands, Guam, and American
Samoa)

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471(a)(18)(A)&(B)
1355.38(a)(2)

Requirement

G. REMOVAL OF BARRIERS TO INTERETHNIC ADOPTION
1. A State/Tribal agency or any other entity in the
State/Tribe that receives funds from the Federal
Government and is involved in adoption or foster care
placements may not:
a. deny to any person the opportunity to become an
adoptive or foster parent, on the basis of 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 race, color, or national
origin of the adoptive or foster parent or the child
involved; and
c. maintain any statute, regulation, policy, procedure or
practice that, on its face, is a violation as defined in
sections 471(a)(18)(A) and (B)).

1355.38(a)(5)

2. Compliance with the Indian Child Welfare Act of 1978
(Pub.L.95-608) does not constitute a violation of section
471(a)(18).

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H. KINSHIP CARE
1. The State/Tribal agency considers 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/Tribal child
protection standards.

471(a)(29)
475(7)

2. Within thirty days after the removal of a child from the
custody of the parent or parents of the child, the
State/Tribal agency shall exercise due diligence to identify
and provide notice to the following relatives: all adult
grandparents, all parents of a sibling of the child, where
such parent has legal custody of such sibling, and other
adult relatives of the child (including any other adult
relatives suggested by the parents), subject to exceptions
due to family violence, that:
a. specifies that the child has been or is being removed
from the custody of the parent or parents of the child;
b. explains the options the relative has under Federal,
State, and local law or Tribal law to participate in the care

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and placement of the child, including any options that
may be lost by failing to respond to the notice;
c. describes the requirements under paragraph
471(a)(10) to become a foster family home and the
additional services and supports that are available for the
children placed in such a home; and
d. if the State/Tribal agency has elected to operate a
kinship guardianship assistance program, describes how
the relative guardian of the child may subsequently enter
into an agreement with the State/Tribal agency under
473(d) to receive the payments.
3. The legal guardianship means a judicially created
relationship between the child and relative which is
intended to be permanent and self-sustaining as
evidenced by the transfer to the relative of the following
parental rights with respect to the child:
a. protection;
b. education;
c. care and control of the person;

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d. custody of the person; and
e. decision making.
471(a)(31)

I. SIBLING PLACEMENT
The State/Tribal agency shall make reasonable efforts to:
1. place siblings removed from their home in the same
foster care, kinship guardianship, or adoptive placement,
unless the State documents that such a joint placement
would be contrary to the safety or well-being of any of the
siblings; and
2. in the case of siblings removed from their home who
are not so jointly placed, to provide for frequent visitation
or other ongoing interaction between the siblings, unless
that State/Tribal agency documents that frequent
visitation or other ongoing interaction would be contrary
to the safety or well-being of any of the siblings.

471(a)(20)(A)

J. SAFETY REQUIREMENTS
1. Safety requirements for foster care, and adoptive home
providers.

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a. The State/Tribal agency provides procedures for
criminal records checks (including finger-print-based
checks of national crime information databases (as
defined in section 534(f) (3)(a) of title 28, United States
Code) for any prospective foster and adoptive parent
before the parent may be finally approved for placement
of a child regardless of whether foster care maintenance
payments or adoption assistance payments are to be
made on behalf of the child.
1356.30(b)
471(a)(20)(A)(i)

b. The State/Tribe does not approve or license any
prospective foster or adoptive parent, nor does the
State/Tribal agency claim FFP for any foster care
maintenance or adoption assistance payment made on
behalf of a child placed in a foster home operated under
the auspices of a child placing agency or on behalf of a
child placed in an adoptive home through a private
adoption agency, if the State/Tribal agency finds that, in
any case involving a child on whose behalf such payments
are to be made in which a criminal records check
conducted in accordance with paragraph (a) of this
section, a court of competent jurisdiction has determined

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that the prospective foster or adoptive parent has been
convicted of a felony involving:
i.
ii.
iii.
iv.

1356.30(c)
471(a)(20)(A)(ii)

child abuse or neglect;
spousal abuse;
a crime against a child or children (including child
pornography); or
a crime involving violence, including rape, sexual
assault, or homicide, but not including other
physical assault or battery.

c. The State/Tribe does not approve or license any
prospective foster or adoptive parent, nor claim FFP for
any foster care maintenance or adoption assistance
payment made on behalf of a child placed in a foster
family home operated under the auspices of a child
placing agency or on behalf of a child placed in an
adoptive home through a private adoption agency, if the
State/Tribal agency finds, in any case involving a child on
whose behalf such payments are to be made in which a
criminal records check conducted in accordance with
paragraph (a) of this section, that a court of competent
jurisdiction has determined that the prospective foster or

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adoptive parent has, within the last five years, been
convicted of a felony involving:
i.
ii.
iii.
1356.30(f)
471(a)(20)(D)

physical assault;
battery; or
a drug-related offense.

d. In order for a child to be eligible for title IV-E funding,
the licensing file for a child care institution must contain
documentation which verifies that safety considerations
with respect to the staff of the institution have been
addressed. State/Tribal agency shall provide procedures
for any child care institution, including a group home,
residential treatment center, shelter, or other congregate
care setting, to conduct criminal record checks, including
fingerprint-based checks of national crime information
databases (as defined in section 534(f)(3)(A) of title 28,
United States Code), and checks described in
subparagraph (B) of this paragraph, on any adult working
child-care institution, including a group home, residential
treatment center, shelter, or other congregate care
setting, unless the State reports to the Secretary the
alternative criminal records checks and child abuse
registry checks the State conducts on any adult working

105

Not required until
10/1/18 unless a
legislative delay or
title IV-E waiver
delay is approved by
the Secretary
See ATTACHMENT IX

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in a child-care institution, including a group home,
residential treatment center, shelter, or other congregate
care setting, and why the checks specified in this
subparagraph are not appropriate for the State.
471(a)(20)(B)

e. The State/Tribal agency shall check any child abuse
and neglect registry for information on any prospective
foster or adoptive parent and on any other adult living in
the home of such a prospective parent for such
information, before the prospective foster or adoptive
parent may be finally approved for placement of a child,
regardless of whether foster care maintenance payments
or adoption assistance payments are to be made on
behalf of the child:
i. the State/Tribal agency shall check any child abuse and
neglect registry it maintains for such information;
ii. the State/Tribal agency shall request any other
State/Tribe in which any such prospective parent or other
adult has resided in the preceding 5 years, to check any
child abuse and neglect registry maintained by such other
State or Tribe for such information; and

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iii. the State/Tribal agency shall comply with any such
request to check its child abuse and neglect registry that
is received from another State or Tribe.
471(a)(23)(A)&(B)

K. INTERJURISDICTIONAL ADOPTIONS
The State/Tribal agency will not:
1. deny or delay 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. fail to grant an opportunity for a fair hearing, as
described in section 471(a)(12), to an individual whose
allegation of a violation of part (1) of this subsection is
denied by the State/Tribal agency or not acted upon by
the State/Tribal agency with reasonable promptness.

471(a)(22)

L. QUALITY STANDARDS
1. The State/Tribal agency has developed and
implemented standards to ensure that children in foster
care placements in public or private agencies are provided

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quality services that protect the safety and health of the
children.
471(a)(24)

2. The State/Tribal agency will ensure that prospective
foster parents are adequately trained with the appropriate
knowledge and skills to provide for the needs of the child
and that the preparation will be continued, as necessary,
after the placement of the child and that the preparation
shall include knowledge and skills relating to the
reasonable and prudent parent standard for the
participation of the child in age or developmentallyappropriate activities, including knowledge and skills
relating to the developmental stages of the cognitive,
emotional, physical, and behavioral capacities of a child,
and knowledge and skills relating to applying the standard
to decisions such as whether to allow the child to engage
in social, extracurricular, enrichment, cultural, and social
activities, including sports, field trips, and overnight
activities lasting 1 or more days, and to decisions
involving the signing of permission slips and arranging of
transportation for the child to and from extracurricular,
enrichment, and social activities.

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471(a)(30)

Requirement

M. COMPULSORY SCHOOL ATTENDANCE
The State/Tribal agency has a system for assuring that
each child who has attained the minimum age for
compulsory school attendance under State/Tribal law and
with respect to whom there is eligibility for a payment
under the plan is a full-time elementary or secondary
school student or has completed secondary school, and
for purposes of this paragraph, the term `elementary or
secondary school student' means, with respect to a child,
that the child is-1. enrolled (or in the process of enrolling) in an institution
which provides elementary or secondary education, as
determined under the law of the State or other
jurisdiction in which the institution is located;
2. instructed in elementary or secondary education at
home in accordance with a home school law of the State
or other jurisdiction in which the home is located;
3. in an independent study elementary or secondary
education program in accordance with the law of the
State or other jurisdiction in which the program is

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located, which is administered by the local school or
school district; or
4. incapable of attending school on a full-time basis due
to the medical condition of the child, which incapability is
supported by regularly updated information in the case
plan of the child.
471(a)(27)

N. VERIFICATION OF CITIZENSHIP OR IMMIGRATION
STATUS
1. The State/Tribal agency will have in effect procedures
for verifying the citizenship or immigration status of any
child in foster care under the responsibility of the
State/Tribal agency under title IV-E or part B, and without
regard to whether foster care maintenance payments are
made under section 472 on behalf of the child.

472(a)(4)

2. For the purposes of meeting the requirements of the
section 401(a) of the Personal Responsibility and Work
Opportunity Reconciliation Act of 1996 (PRWORA),
children must meet the definition of "qualified alien" (as
defined in section 431(b) of PRWORA) to be eligible for
Federal foster care maintenance or adoption assistance

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(except that children receiving adoption assistance
pursuant to agreements signed before August 22, 1996
may continue to receive such assistance).
475(9), (10), (11) and O. DEFINITIONS
(12)
For the purposes of the titles IV-B and IV-E of the Act:
1. The term ‘sex trafficking victim’ means a victim ofa. sex trafficking (as defined in section 103(10) of the
Trafficking Victims Protection Act of 2000); or
b. a severe form of trafficking in persons described in
section 103(9)(A) of such Act.
2. The term ‘reasonable and prudent parent standard’
means the standard characterized by careful and sensible
parental decisions that maintain the health, safely, and
best interests of a child while at the same time
encouraging the emotional and developmental growth of
the child, that a caregiver shall use when determining
whether to allow a child in foster care under the
responsibility of the State/Tribe to participate in
extracurricular, enrichment, cultural, and social activities.
In this context, ‘caregiver’ means a foster parent with

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whom a child in foster care has been placed or a
designated official for a child care institution in which a
child in foster care has been placed.
3. The term ‘age or developmentally-appropriate’
means—
a. activities or items that are generally accepted as
suitable for children of the same chronological age or
level of maturity or that are determined to be
developmentally-appropriate for a child, based on the
development of cognitive, emotional, physical, and
behavioral capacities that are typical for an age or age
group; and
b. in the case of a specific child, activities or items that
are suitable for the child based on the developmental
stages attained by the child with respect to the cognitive,
emotional, physical, and behavioral capacities of the child.
4. The term ‘sibling’ means individual who satisfies at
least one of the following conditions with respect to a
child:

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a. The individual is considered by state/tribal law to be a
sibling of the child.
b. The individual would have been considered a sibling of
the child under State/Tribal law but for a termination or
other disruption of parental rights, such as the death of a
parent.
471(a)(9)(C)

P. SEX TRAFFICKING VICTIMS AND MISSING CHILDREN
1. The State/Tribal agency has developed, in consultation
with State and local law enforcement, juvenile justice,
health care providers, education agencies, and
organizations with experience in dealing with at-risk
youth, policies and procedures (including relevant training
for caseworkers) for identifying, documenting in agency
records, and determining appropriate services for:
a. any child or youth over whom the State/Tribal agency
has responsibility for placement, care, or supervision and
who the agency has reasonable cause to believe is, or is
at risk or being, a sex trafficking victim (including children
for whom an agency has an open case file but who have
not been removed from the home, children who have run
away from foster care and who have not attained 18

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years of age or such older age as the State has elected
under section 475(8) of the Act, and youth who are not in
foster care but are receiving services under section 477 of
the Act); and
b. at the option of the State/Tribal agency, any individual
who has not attained 26 years of age, without regard to
whether the individual is or was in foster care under the
responsibility of the agency;
471(a)(35)(B)

2. For each child and youth described in
471(a)(9)(C)(i)(I) of the Act, the State/Tribal agency
shall report immediately, and in no case later than 24
hours after receiving, information on missing or abducted
children to the law enforcement authorities for entry into
the National Crime Information Center (NCIC) database of
the Federal Bureau of Investigation, and to the National
Center for Missing and Exploited Children.

471(34)(A)

3. For each child or youth described in 471(a)(9)(C)(i)(I),
the state/tribal agency shall report immediately, and in no
case later than 24 hours after receiving information on
children or youth who have been identified as being a sex
trafficking victim, to local law enforcement.

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SECTION 5. GENERAL PROVISIONS
471(a)(5)

A. PERSONNEL ADMINISTRATION
The State/Tribal agency will, in administration of its
see Attachment VII
programs under this part, certify in Attachment VII that
it established and will maintain personnel standards on a
merit basis as found necessary by the Secretary for
proper and efficient operation of the programs.

471(a)(8)

B. SAFEGUARDING INFORMATION
1. Subject to section 471(c), the State/Tribal agency
has safeguards restricting use of or disclosure of
information concerning individuals assisted under this
plan to purposes directly connected with:

471(a)(8)(A)

a. the administration of the title IV-E plan or any of the
plans or programs under Parts A, B or D of title IV or
under titles 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 under title XVI;
and

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471(a)(8)(B)

b. any investigation, prosecution, or criminal or civil
proceeding conducted in connection with the
administration of any such plan or program; and

471(a)(8)(C)

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; and

471(a)(8)(D)

d. any audit or similar activity conducted in connection
with the administration of any such plan or program by
any governmental agency authorized by law to conduct
such audit or activity;

471(a)(9)(A)

e. the disclosure of information pursuant to
471(a)(9)(A) to appropriate authorities with respect to
known or suspected child abuse or neglect;

471(a)(34)(A) and
471(a)(35)(B)

f. the disclosure of information pursuant to
471(a)(34)(A) to the appropriate authorities with respect
to children or youth identified in 471(a)(9)(C)(i)(I) of the
Act who have been identified as being a sex trafficking
victim; and
g. the disclosure of information pursuant to
471(a)(35)(B) to appropriate authorities with respect to

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children identified in 471(a)(9)(C)(i)(I) of the Act who
are missing or abducted.
471(a)(8)(E)

2. The safeguards provided will prohibit disclosure to:
a. any individuals or entities not included in paragraph 1
above; and
b. any committee or legislative body (other than an
agency referred to in section 471(a)(8)(D) with respect
to an activity referred to in such clause) of any
information which identifies by name or address any
applicant for or recipient of assistance under title IV-E of
the Act.

471(a)(20)(B)(iii)

3. The State/Tribal agency shall have in place
safeguards to prevent the unauthorized disclosure of
information in any child abuse and neglect registry
maintained by the State/Tribe, and to prevent any such
information obtained pursuant to section 471(a)(20)(B)
from being used for a purpose other than the conducting
of background checks in foster and adoptive placement
cases.

471(c)

4. In the use of child welfare records in court
proceedings, section 471(a)(8) of the Act shall not be

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construed to limit the flexibility of a State/Tribe in
determining policies relating to public access to court
proceedings to determine child abuse and neglect or
other court hearings held pursuant to title IV-B or title
IV-E of the Act, except that such policies shall, at a
minimum, ensure the safety and well-being of the child,
parents, and family.
471(a)(6)

C. REPORTING
The State/Tribal agency makes reports in such form and
containing such information on the title IV-E program as
are required by the Secretary of the Department of
Health and Human Services (HHS), and the State/Tribal
agency will comply with such provisions as the Secretary
may from time to time find necessary to assure the
correctness and verification of such reports.

471(a)(7)

D. MONITORING
The State/Tribal agency monitors and conducts
evaluations of activities carried out in the title IV-E
program.

1355.30

E. APPLICABILITY OF DEPARTMENT-WIDE REGULATIONS

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The State/Tribal agency will comply with all of the
requirements of applicable regulations.
13565.21(c)

F. AVAILABILITY OF PLANS
Plans and amendments for titles IV-E and IV-B are made
available by the State/Tribal agency for public review
and inspection.

1355.33(b)
1355.33(e)
1355.35(a)

G. OPPORTUNITY FOR PUBLIC INSPECTION OF CFSR
MATERIALS
(Not applicable to Tribes.)
The State agency makes available for public review and
inspection all statewide assessments, report of findings,
and program improvement plans developed as a result
of a full or partial child and family services review.

471(a)(32)

H. NEGOTIATION WITH INDIAN TRIBES.
(Not applicable to Tribes.)
The State negotiates in good faith with any Indian tribe,
tribal organization or tribal consortium in the State that
requests to develop an agreement with the State to
administer all or part of the program on behalf of Indian

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children who are under the authority of the tribe,
organization, or consortium, including foster care
maintenance payments on behalf of children who are
placed in State or tribally licensed foster family homes,
adoption assistance payments, and, if the State has
elected to provide such payments, kinship guardianship
assistance payments under section 473(d), and tribal
access to resources for administration, training, and data
collection under title IV-E.

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SECTION 6. GUARDIANSHIP ASSISTANCE PROGRAM
OPTION
473(d)(3)(A)
473(d)(3)(C)

A. ELIGIBILITY
1. A child is eligible for a kinship guardianship assistance
payment if the State/Tribal agency determines that:
a. the child has been-i. removed from his or her home pursuant to a
voluntary placement agreement or as a result of a judicial
determination to the effect that continuation in the home
would be contrary to the welfare of the child; and
ii. eligible for foster care maintenance payments
under section 472 while residing for at least 6 consecutive
months in the home of the prospective relative guardian;
b. being returned home or adopted are not appropriate
permanency options for the child;
c. the child demonstrates a strong attachment to the
prospective relative guardian and the relative guardian
has a strong commitment to caring permanently for the
child; and

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d. with respect to a child who has attained 14 years of
age, the child has been consulted regarding the kinship
guardianship arrangement; or
2. The child has been placed with a successor guardian
named in the guardianship agreement in accordance with
473(d)(3)(C).
473(d)(3)(B)

3. Siblings.
a. The child and any sibling of the eligible child may be
placed in the same kinship guardianship arrangement, in
accordance with section 471(a)(31), if the State/Tribal
agency and the relative agree on the appropriateness of
the arrangement for the siblings; and
b. Kinship guardianship assistance payments may be paid
on behalf of each sibling so placed.

471(a)(28)

B. PAYMENTS
1. The State/Tribal agency provides kinship guardianship
assistance payments on behalf of children to grandparents
and other relatives who assume legal guardianship of the
child for whom they have cared as foster parents and for
whom they have committed to care on a permanent basis,
as provided in 473(d).

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473(d)(2)

2. A kinship guardianship assistance payment on behalf of
a child shall not exceed the foster care maintenance
payment which would have been paid on behalf of the
child if the child had remained in a foster family home.

473(a)(4)(A)

3. Payments are terminated when the State/Tribal agency
determines that:
a. the child has attained the age of 18, or such greater
age as the State/Tribal agency may elect under section
475(8)(B)(iii); or
b. the child has attained 21 years of age, and the child has
a mental or physical disability which warrants the
continuation of assistance to age 21; or
c. the child has not attained 18 year of age, and the
relative guardians are no longer legally responsible for the
support of the child; or
d. the child is no longer receiving any support from the
relative guardians.

473(a)(4)(B)

4. The relative guardians are required to inform the
State/Tribal agency of circumstances that would make
them ineligible for guardianship assistance payments or

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eligible for guardianship assistance payments in a different
amount.
473(d)(1)(A)

C. Agreements
1. The State/Tribe must:
a. negotiate and enter into a written, binding kinship
guardianship assistance agreement with the prospective
relative guardian of a child who meets the requirements of
473(d); and
b. provide the prospective relative guardian with a copy
of the agreement.

473(d)(1)(B) &
473(d)(1)(C)

2. The agreement must specify, at a minimuma. the amount of, and manner in which, each kinship
guardianship assistance payment will be provided under
the agreement, and the manner in which the payment
may be adjusted periodically, in consultation with the
relative guardian, based on the circumstances of the
relative guardian and the needs of the child;

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b. the additional services and assistance that the child
and relative guardian will be eligible for under the
agreement;
c. the procedure by which the relative guardian may
apply for additional services as needed;
d. that the State/Tribal agency will pay the total cost of
nonrecurring expenses associated with obtaining legal
guardianship of the child, to the extent the total cost does
not exceed $2,000; and
e. that the agreement shall remain in effect without
regard to the State/Tribal service area residency of the
relative guardian.
471(a)(20)(C)

D. SAFETY
State/Tribal agency provides procedures for criminal
records checks, including fingerprint-based checks of
national crime information databases (as defined in
section 534(f)(3)(A) of title 28, United States Code), on
any relative guardian, and for checks described in
471(a)(20) on any relative guardian and any other adult
living in the home of any relative guardian, before the
relative guardian may receive kinship guardianship

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assistance payments on behalf of the child under this plan
option.
473(b)(1) to (4);
479B(c)(1)(C)(ii)(II)

E. MEDICAID AND SOCIAL SERVICES

471(a)

F. TITLE IV-E GUARDIANSHIP ASSISTANCE PROGRAM
PLAN REQUIREMENTS

For the purposes of titles XIX and XX, any eligible child for
whom there is a kinship guardianship assistance payment
being made under section 473(d) is deemed to be a
dependent child as defined in 406 of the Act and is
deemed to be a recipient of AFDC under part A of title IV
of the Act (as in effect 7/16/96) in the State in which such
child resides.

1. Title IV-E plan requirements 471(a)(2) through (9),
(12), (13), (20)(C), (25), (26), and (28) through (32) are
applicable to the guardian assistance program.
475(1)(F)

2. Case plan requirements.
For a child with respect to whom the permanency plan is
placement with a relative and receipt of kinship guardian
assistance payments, the State/Tribal agency shall include
in the case plan a description of:

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a. the steps that the agency has taken to determine that
it is not appropriate for the child to be returned home or
adopted;
b. the reasons for any separation of siblings during
placement;
c. the reasons why a permanent placement with a fit and
willing relative through a kinship guardianship assistance
arrangement is in the child's best interests;
d. the ways in which the child meets the eligibility
requirements for a kinship guardianship assistance
payment;
e. the efforts the State/Tribal agency has made to discuss
adoption by the child's relative foster parent as a more
permanent alternative to legal guardianship and, in the
case of a relative foster parent who has chosen not to
pursue adoption, documentation of the reasons; and
f. the efforts made by the State/Tribal agency to discuss
with the child's parent or parents the kinship guardianship
assistance arrangement, or the reasons why the efforts
were not made.
475(8)

G. DEFINITION OF ‘CHILD’

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For the purposes of the title IV-E guardianship assistance
program under section 473(d), the term ‘child’ means
1. an individual who has not attained 18 years of
age; or
2. at the option of the State/Tribal agency an
individual
a. with respect to whom a guardianship
assistance agreement is in effect under section
473(d) if the individual had attained age 16
before the guardianship assistance agreement
became effective;
b. who has attained the age of 18, but has not
attained 19, 20 or 21 years of age, as the title
IV-E agency may elect; and
c. who meets any of the following conditions:
i. the child is completing secondary
education or a program leading to an
equivalent credential;

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ii. the child is enrolled in an institution
which provides post-secondary or
vocational education;
iii. the child is participating in a program
or activity designed to promote, or
remove barriers to, employment;
iv. the child is employed for at least 80
hours per month; or
v. the child is incapable of doing any of
the above described activities due to a
medical condition.

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SECTION 7. TRIBE OPERATED IV-E PROGRAM
REQUIREMENTS
471(a)
479B(b)

A. GENERAL PROGRAM REQUIREMENTS

479B(c)(1)(B)

B. SERVICE AREA AND POPULATIONS

Title IV-E plan requirements 471(a)(1) through (27),
(29) through (31), and (33) through (375) are
mandatory requirements applicable to Tribes operating a
title IV-E program.

For purposes of complying with section 471(a)(3), this
plan is in effect in all service areas and for all
populations served by the Tribe and identified in
Attachment V.
479B(c)(1)(C)(ii)

C. NUNC PRO TUNC AND FOSTER CARE ELIGIBILITY
REQUIREMENTS
For purposes of determining whether a child whose
placement and care are the responsibility of an Indian
tribe, tribal organization, or tribal consortium satisfies

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the requirements of section 472(a), the following shall
apply:
1. Notwithstanding 472(a)(1), Tribes may use affidavits
or nunc pro tunc orders as verification documents in
support of the reasonable efforts and contrary to the
welfare of the child judicial determinations required
under that paragraph for the first 12 months for which
this plan is in effect.
2. The State plan approved under section 402 (as in
effect on July 16, 1996) of the State in which the child
resides at the time of removal from the home shall apply
to the determination of whether the child satisfies
section 472(a)(3).
479B(c)(2)

D. LICENSING STANDARDS FOR TRIBAL FOSTER
FAMILY HOMES AND CHILD CARE INSTITUTIONS

471(a)(36)
For purposes of complying with section 471(a)(10), an
Indian Tribe, Tribal organization, or Tribal consortium
shall establish and maintain a tribal authority or
authorities which shall be responsible for establishing
and maintaining tribal licensing standards for tribal

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foster family homes and tribal child care institutions in
accordance with section 471(a)(36) of the Act.

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ATTACHMENT I
Title IV-E Plan – State/Tribe of ________________________________

PLAN SUBMISSION CERTIFICATION
Instructions: This Certification must be signed and submitted by the official authorized to submit the title
IV-E plan, each time the state/tribal submits an amendment to the title IV-E plan.

I _______________________________ (name) hereby certify that I am authorized to submit the title IVE Plan on behalf of _____________________________________________________ (State/Tribal
Agency). I also certify that the title IV-E plan was submitted to the governor or tribal leader for his or her
review and approval in accordance with 45 CFR 1356.20(c)(2) and 45 CFR 204.1.
Date________________________________ ________________________________
(Signature)
________________________________
(Title)

APPROVAL
DATE________________________________

EFFECTIVE
DATE: ___________________________
_____________________________________
(Signature, Associate Commissioner, Children's
Bureau)

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ATTACHMENT II
Title IV-E Plan – State/Tribe of ________________________________

STATE ATTORNEY GENERAL OR APPROPRIATE TRIBAL
OFFICIAL'S CERTIFICATION
TITLE IV-E of the SOCIAL SECURITY ACT
Instructions: This Certification must be signed and submitted by the State Attorney General or
appropriate Tribal Official in accordance with 45 CFR 1355.30(p) and 45 CFR 205.100, and will remain in
effect on an ongoing basis. The Certification must be re-submitted if there is a change in any of the
certifications below, or the statutory authority.
I certify that ______________________________________________________________
(Name of Agency)
a. has the authority to submit the plan under title IV-E of the Social Security Act; and
b. is the single title IV-E agency designated to administer the plan or supervise the administration of
the plan on a state-wide or tribal service-area-wide basis in accordance with
________________________________ (citation for legal authority). It has the authority to make
rules and regulations governing the administration of the plan that are binding on such
subdivisions/service areas. The title IV-E plan is mandatory upon the subdivisions/service areas and
is in effect throughout the State/Tribal service areas.
_________________________________
(Date)

____________________________________
(Signature)

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Title IV-E Plan – State of ________________________________

ATTACHMENT III

TITLE IV-E ADOPTION ASSISTANCE PROGRAM SAVINGS REPORTING ASSURANCES
Instructions: Once this Certification is signed and submitted, it remains in effect on an ongoing basis.
The Certification must be re-submitted if there is a change in any of the certifications below.

I hereby assure that the title IV-E agency administering the title IV-E programs will:
a. calculate the savings (if any) resulting from the application of paragraph 473(a)(2)(A)(ii) to all
applicable children for a fiscal year, using a methodology specified by the Secretary or an alternate
methodology proposed by the agency and approved by the Secretary.
b. annually report to the Secretary—




the methodology used to make the calculation, without regard to whether any savings are found;
the amount of any savings; and
how such savings are spent, accounting for and reporting the spending separately from any other
spending reported to the Secretary under part B or this part.

c. spend an amount equal to the amount of the savings (if any) in agency expenditures under this part
resulting from the application of paragraph 473(a)(2)(A)(ii) to all applicable children for a fiscal year, to
provide to children of families any service that may be provided under part B or this part. A title IV-E
agency shall spend not less than 30 percent of any such savings on post-adoption services, postguardianship services, and services to support and sustain positive permanency outcomes for children who
otherwise might enter into foster care under the responsibility of the state or tribe, with at least 2/3 of the
spending by the state or tribe to comply with such 30 percent requirement being spent on post-adoption
and post-guardianship services.
d. use any title IV-E agency spending of any savings calculated from the application of paragraph
473(a)(2)(A)(ii) to all applicable children for a fiscal year to supplement, not supplant, any Federal or non-

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Federal funds used to provide any service under part B or this part.

On behalf of ___________________________________________________________
(Designated State Agency)
Date_______________________________ ________________________________
(Signature)
_______________________________
(Title)

APPROVAL
DATE________________________________

EFFECTIVE DATE:
________________________________
________________________________
(Signature, Associate Commissioner, Children's
Bureau)

137

Title IV-E Plan - Tribe of _______________________________

ATTACHMENT IV

TRIBAL ASSURANCES
Instructions: Once this Certification is signed and submitted, it remains in effect on an ongoing basis.
I hereby assure that the Tribal agency administering the title IV-E programs will provide:
a) foster care maintenance payments under section 472 only on behalf of children who satisfy the
eligibility requirements of section 472(a);
b) adoption assistance payments under section 473 pursuant to adoption assistance agreements
only on behalf of children who satisfy the eligibility requirements for such payments under that
section;
c) if applicable, kinship guardianship assistance payments in accordance with section 473(d) only on
behalf of children who meet the requirements of section 473(d)(3); and
d) the State plan approved under section 402 in effect on July 16, 1996, of the State in which the
child resides at the time of the removal from the home shall apply to the determination of whether
the child satisfies section 472(a)(3).
On behalf of _____________________________________________ Date _____________
(Designated Tribal Agency)
________________________________
(Signature)

_____________________________
(Title)

APPROVAL
DATE________________________________

EFFECTIVE DATE:
________________________________
________________________________
(Signature, Associate Commissioner, Children's
Bureau)

138

ATTACHMENT V
Title IV-E Plan - Tribe of ________________________________
479B TRIBAL CERTIFICATIONS
TITLE IV-E of the SOCIAL SECURITY ACT
Instructions: Once this Certification is signed and submitted, it remains in effect on an ongoing basis. The
Certification must be re-submitted if there is a change in any of the certifications below.
I certify that _________________________________________________________________
(Name of Indian Tribe, Tribal organization or Tribal consortium)
a. Is submitting the following/attached evidence which demonstrates that there are no uncorrected
significant or material audit exceptions under Federal grants or contracts that directly relate to the
administration of social services for the three year period prior to the date on which this plan is
submitted in compliance with section 479B(c)(1)(A);
b. Will administer the title IV-E plan in the service area(s) and populations described as
follows/attached pursuant to section 479B(c)(1)(B);
c. Is/Is not (circle one) providing the following/attached information based on the described service
population which is relevant to making the calculation of the per capita income of the Indian Tribe,
Tribal organization, or Tribal consortium pursuant to section 479B(d)(2);

________________________________
(Date)

________________________________
(Signature)

139

ATTACHMENT VI
Title IV-E Plan – State/Tribe of ________________________________
Section 475(8) STATE/TRIBAL CERTIFICATION
TITLE IV-E of the SOCIAL SECURITY ACT
Instructions: Once this Certification is signed and submitted, it remains in effect on an ongoing basis. The
Certification must be re-submitted if there is a change in the certification below.

I certify that __________________________________________________________________
(Name of Agency/Tribe)
has chosen to implement the option in section 475(8)(B) of title IV-E of the Social Security Act to adopt
a definition of “child” of age 18, 19 or 20 for the title IV-E programs for the following reason(s),
described below:

________________________________
(Date)

________________________________
(Signature)

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ATTACHMENT VII
Title IV-E Plan – State/Tribe of ________________________________

STATE/TRIBAL CERTIFICATION
PERSONNEL ADMINISTRATION
Instructions: This Certification may be used to satisfy requirements at section 471(a)(5) of the Act, and
will remain in effect on an ongoing basis. The Certification should be re-submitted if there is a change in
any of the certifications below.
I certify that __________________________________________________________________
(Name of Agency/Tribe)
has established and will maintain methods of personnel administration in conformity with standards for a
Merit System of Personnel Administration, prescribed in title 5 CFR 900 by the U.S. Office of Personnel
Management pursuant to section 208 of the Intergovernmental Personnel Act of 1970, as amended.
The signature of the chief executive officer of a State or Indian Tribe on this certification of agreement
below, to maintain a system of personnel administration in conformance with these Standards, satisfies
applicable Federal merit personnel requirements in section 471(a)(5) of title IV-E of the Social Security Act
to which personnel standards on a merit basis are applicable (5 CFR 900.604).

________________________________
(Date)

________________________________
(Signature)

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ATTACHMENT VIII
Title IV-E Plan – State/Tribe of ________________________________
STATE/TRIBAL CERTIFICATION
PREVENTING INCREASES TO THE JUVENILE JUSTICE POPULATION
Instructions: This Certification may be used to satisfy requirements at section 471(a)(37) of the Act, and
will remain in effect on an ongoing basis.
I certify that __________________________________________________________________
(Name of Agency/Tribe)
in response to the limitation imposed under section 472(k) with respect to foster care maintenance
payments made on behalf of any child who is placed in a setting that is not a foster family home, will not
enact or advance policies or practices that would result in a significant increase in the population of youth
in the State’s/Tribe’s juvenile justice system.
The title IV-E agency: (choose one of the following) 󠄀
is not implementing a delayed effective date; or
�� is implementing a delayed effective date of ________________, during which time, the title IVE agency will not claim FFP for title IV-E prevention services under section 474(a)(6) of the Act.

Not effective until 10/1/19, unless the title IVE agency elects a delayed effective date
________________________________
(Date)

________________________________
(Signature)

142

ATTACHMENT IX
Title IV-E Plan – State/Tribe of ________________________________

Family First Prevention Services Act:
Alternate Procedures for Criminal Background Checks
Instructions: If an agency has chosen to use alternative procedures for criminal record checks, the
agency may use this form to satisfy requirements at section 471(a)(20) of the Act, and will remain in
effect on an ongoing basis.
I certify that __________________________________________________________________
(Name of Agency/Tribe)
has chosen to use alternative procedures for fingerprint-based criminal records checks of national crime
information databases, and child abuse and neglect registry checks on any adult working in a child care
institution. The procedures required in section 471(a)(20) of the Act for the checks are not appropriate
for the agency for the reasons described below:

Not effective until 10/1/18
________________________________
(Date)

________________________________
(Signature)

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ATTACHMENT X
Title IV-E Plan – State/Tribe of ________________________________
Family First Prevention Services Act: Deviation from Model Licensing Standards and
Waivers for Foster Family Homes
Instructions: This form may be used to satisfy requirements at sections 471(a)(10) and (36) of the Act,
and will remain in effect on an ongoing basis.
I certify that __________________________________________________________________:
(Name of Agency/Tribe)
1. has licensing standards are not in accord with model standards identified by the Secretary. The reason
for the specific deviation and a description as to why having a standard that is reasonably in accord with
the corresponding national model standards is not appropriate for the title IV-E agency is described below:
(Write “N/A” if licensing standards are in accord with model standards identified by the secretary)
2. has either: (choose one of the following)
� elected to waive standards established in 471(a)(10)(A) for relative foster family homes pursuant to
waiver authority provided by 471(a)(10)(D), and provides the following description of which standards
the agency most commonly waives, how caseworkers are trained to use the waiver authority and
whether the agency has developed a process or provided tools to assist caseworkers in waiving nonsafety standards per the authority provided in 471(a)(10)(D) to quickly place children with relatives:
� not elected to waive the standards established in 471(a)(10)(A) and (D), for the following reason(s):
Not effective until 04/01/19 unless delay
is approved by the Secretary
_______________________________
(Date)

____________________________________
(Signature)

144

Title IV-E Plan – State/Tribe of ________________________________

ATTACHMENT XI

STATE/TRIBAL REQUEST FOR “QUALIFIED INDIVIDUALS” WAIVER
AND REQUEST FOR ALTERNATE ACCREDITING ORGANIZATION
Instructions: This request and certification must be used if a title IV-E agency requests: (1) a waiver to allow
“qualified individuals” with responsibility for performing the assessments under section 475A(c)(1)(A),to be
employees of the agency and/or connected to or affiliated with any placement setting in which children are placed
by the by the agency per section 475A(c)(1)(D)(ii) of the Act; and/or (2) the Secretary approve any other
independent, not-for-profit accrediting organization of a similar type and kind as those identified in the Act.
The _________________________ (Name of Agency) requests:
(check each box that applies)
�
A waiver to allow “qualified individuals” with responsibility for performing the assessments under section
475A(c)(1)(A) of the Act to be employees of the agency and/or connected to or affiliated with any placement
setting in which children are placed by the by the agency per section 475A(c)(1)(D)(ii) of the Act. Pursuant to
this request, I certify the title IV-E agency will ensure that such qualified individuals will maintain objectivity
with respect to determining the most effective and appropriate placement for a child in accordance with
475A(c)(1)(D)(ii) of the Act.
�
The Secretary approve ________________________ (Name of Accrediting Organization) as an independent,
non-for-profit accrediting organization for purposes of section 472(k)(4)(G) of the Act, and has attached
documentation supporting such request.
Not effective until 10/1/19, unless the title
IV-E agency elects a delayed effective date
______________________________ (date)

_______________________________ (signature)

CB APPROVAL DATE____________________ EFFECTIVE DATE: ________________________________
_______________________________________________

(Signature, Associate Commissioner, Children's Bureau)

145

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