Louisiana Title IV-E Foster Care Eligibility Review Final Report

Louisiana Final Report: Title IV-E Eligibility Review

Office of Community Services
Department of Social Services
State of Louisiana
July 26 - 30, 2004

Period Under Review: October 1, 2003 - March 31, 2004

Introduction

During the week of July 26-30, 2004, ACF Region VI and State of Louisiana staff conducted the primary title IV-E eligibility review of the Office of Community Services/Department of Social Services (OCS/DSS) title IV-E foster care program. The entrance and exit conferences were conducted on July 26, 2004 and July 30, 2004, respectively.

The purpose of the review was to validate the accuracy of the OCS/DSS title IV-E claims to assure that appropriate payments were made on behalf of eligible children, to eligible homes and institutions, and at allowable rates.
Scope of the Review

The primary foster care eligibility review was conducted in the OCS/DSS state office in Baton Rouge, Louisiana. The review encompassed all title IV-E foster care cases during the period October 1, 2003 to March 31, 2004. A computerized statistical sample of 100 cases with 20 case oversample was drawn from the federal Adoption and Foster Care Analysis and Reporting System (AFCARS). The sample was transmitted to ACF Region VI on June 2, 2004. The sample was subsequently transmitted to the OCS/DSS title IV-E review lead Janice Washington and the OCS/DSS data team Terry Skaggs and Donna Duscoe on June 2 and June 3, 2004. Consultation (regarding any questions/problems with the sample) between the ACF Region VI and OCS/DSS review team leads occurred on June 10, 2004. The sample consisted of cases of individual children who received at least one title IV-E foster care maintenance payment during the six-month period under review, i.e., October 1, 2003 to March 31, 2004. For each sample case, the case file was reviewed for the accuracy of the title IV-E eligibility determination, for determining whether the foster home or institution in which the child was placed was licensed, and for determining whether criminal background checks had been completed.
Compliance Requirements

During the primary review, eighty (80) cases were reviewed. Since the number of ineligible cases did exceed four (4), a finding of not in substantial compliance was made. Disallowance was assessed for the five (5) ineligible cases. The next title IV-E eligibility review will be a secondary review. It will occur following the completion of the PIP (between February 17, 2006 and March 31, 2006). The sample for the secondary review will be 150 cases plus a ten percent oversample of 15 cases drawn from Louisiana's most recent Adoption and Foster Care Analysis and Reporting System data.
Findings

This review resulted in determining that there were five (5) ineligible cases, and a finding of not in substantial compliance. The reasons for the ineligibility determinations are provided in the Case Record Summary section of this report. Reviewers also identified strengths (Part B), and improvement areas and recommendations (Part C) below.
1. Case Record Summary
  
  The following narrative details the ineligible cases, reasons for the ineligibility determination, and ineligible dollars (disallowed maintenance claims: $39,090.60 [Federal share $28,000.61]) and $13,422.00 (disallowed FFP administrative costs).
  
  Case ID Number XXXXX3810 (Sample #02). Facility did not meet criminal records check requirement. The amount of funding claimed was $7,092.68 [Federal share $5,080.48; based on the FFY2004 FMAP (71.63%)]. Related administrative costs (FFP) in the amount of $10,505.00 were disallowed. Section 472 (c), Social Security Act, as amended, requires that foster families be licensed for the care of children under title IV-E, or approved as meeting the standards established for such licensing. The Adoption and Safe Families Act (ASFA) requires that safety be the primary concern in decisions about children and requires criminal background clearances on foster and adoptive homes prior to the placement of children. Our regulations at 45 Code of Federal Regulations 1356.30(a) requires that the State provide documentation that criminal records checks have been conducted with respect to prospective foster and adoptive parents. Additionally, 45 CFR 1356.71(g)(2) requires that the licensing file contain documentation that the State has complied with the safety requirements for foster and adoptive placements in accordance with 45 CFR 1356.30.
  
  Case ID Number XXXXX8511 (Sample #27). Delay in recertification of family foster home. The amount of funding claimed was $941.67 [Federal share $674.52; based on the FFY2004 FMAP (71.63%)]. Our regulation at 45 CFR 1356.71(g)(1) requires that the State make available a licensing file which contains the licensing history for providers. The file provided by Louisiana reflected a delay from December 20, 2003 to January 21, 2004 in recertifying the provider.
  
  Case ID Number XXXXX6282 (Sample #36). Facility did not meet criminal records check requirement. The amount of funding claimed was $8,036.45 [Federal share $5,756.52; based on the FFY2004 FMAP (71.63%)]. Related administrative costs (FFP) in the amount of $2,917.00 were disallowed. Section 472 (c), Social Security Act, as amended, requires that foster families be licensed for the care of children under title IV-E, or approved as meeting the standards established for such licensing. The Adoption and Safe Families Act (ASFA) requires that safety be the primary concern in decisions about children and requires criminal background clearances on foster and adoptive homes prior to the placement of children.
  
  Case ID Number XXXXX3814 (Sample #13). Provisional license. The amount of funding claimed was $10,699.73 [Federal share $7664.22; based on the FFY2004 FMAP (71.63%)]. Our regulations at 45 CFR 1356.71(g)(1) requires that the State make available a licensing file which contains the licensing history for providers. The licensing file provided by Louisiana contained December 31, 2003 letter indicating that the provider did not meet minimum licensing standards. Section 472 (c), Social Security Act, as amended, requires that foster families be licensed for the care of children under title IV-E, or approved as meeting the standards established for such licensing.
  
  Case ID Number XXXXX2275 (Sample #22). Provisional license. The amount of funding claimed was $12,320.07 [Federal share $8,824.87; based on the FFY2004 FMAP (71.63%)]. Section 472 (c), Social Security Act, as amended, requires that foster families be licensed for the care of children under title IV-E, or approved as meeting the standards established for such licensing.
2. Identified Strengths
  1. Timely judicial determinations.
  2. Certifications of foster homes well documented.
  3. Organization of case files facilitated the review process. Represented a significant improvement from the September 23-28, 2001 title IV-E eligibility review.
  4. Permanency improved. Cases showed that children were moved quickly to adoption.
  5. Good placement stability. Overall average was one placement per case. Multiple foster care placements were minimal.
  6. Court orders contained appropriate language.
  7. Eligibility determinations were well documented.
  8. Office of Youth Development (OYD) has implemented uniform court orders to insure statewide consistency.
3. Improvement Areas and Recommendations
  1. Update TIPS or insure that ACESS includes a field for facility information, i.e., approval status and definitions of license status.
  2. Bureau of Licensing needs to seek legislative change, or to develop policy and practice manual (in the absence of legislation), to clarify what constitutes full licensure. The use of provisional as a license category is problematic. The policy or practice that the Bureau of Licensing promulgates should include provisions that:
    1. Distinguish between safety and non-safety deficiencies;
    2. Provide for timely corrections of deficiencies;
    3. Provide for timely follow up to determine if corrections are m ade;
    4. Provide for timely and appropriate decisions; and
    5. Provide for timely notification to OCS eligibility unit of any change(s) to license category.
  3. Bureau of Licensing should develop training on the new policy or practice manual to include the facility license and approval process. OCS and OYD staff should be included in the target audience.
  4. Louisiana should insure that procedures require documentation of income.
  5. Maintain court orders/affidavits in case files for clarity and determinations that ASFA requirements are met.
  6. Minimize the time lapses (three to four months) between court hearings and the issuance of court orders.
  7. OCS/DSS and Bureau of Licensing should develop training for Bureau of Licensing staff (attorneys and non-attorneys) on Louisiana legislative audit and ACF title IV-E eligibility review processes.
  8. Improve internal communication (Bureau of Licensing and Office of Community Services) with focus on the role of Bureau of Licensing in title IV-E eligibility reviews. Bureau of Licensing staff participation in and availability have been problematic during both title IV-E eligibility reviews (September 23-28, 2001 and July 26-30, 2004).
  9. Improve internal communication regarding the effects of program and financial deficiencies on DSS child welfare practice.
  10. Collaborate with the Court Improvement Program staff to develop informational materials and/or training sessions for judges to show how differences in court orders affect compliance with title IV-E eligibility requirements.
  11. Documentation of criminal records checks (OYD facilities) needs to show that records were received and accepted, rather than only documenting that the criminal records checks were requested.