New York Codes, Rules and Regulations
Title 18 - DEPARTMENT OF SOCIAL SERVICES
Chapter II - Regulations of the Department of Social Services
Subchapter C - Social Services
Article 2 - Family and Children's Services
Part 430 - UTILIZATION REVIEW FOR FOSTER CARE AND PREVENTIVE SERVICES
Section 430.9 - Appropriate provision of mandated preventive services

Universal Citation: 18 NY Comp Codes Rules and Regs § 430.9

Current through Register Vol. 47, No. 12, March 26, 2025

(a) For cases authorized for mandated preventive services for the first time after April 1, 1982, the provision of preventive services shall be considered mandated if one of the following standards, as set forth in subdivision (c), (d), (e) or (g) of this section is met: the standard for the provision of mandated preventive services to clients at risk of placement; the standard for the provision of mandated preventive services to clients at risk of replacement in foster care; the standard for the provision of mandated preventive services to return children to their parents; or the standard for recertification of mandated preventive services. For cases receiving mandated preventive services before April 1, 1982, the standard for recertification of mandated preventive services, as set forth in subdivision (g) of this section, shall be met. In all other cases, the provision of preventive services shall be considered nonmandated and the decision to provide such services shall be made solely by the local social services district.

(b) General requirements. The appropriateness of the provision of mandated services shall be documented on the forms prescribed by the department in Part 428 of this Title according to the standards for documentation defined under the standards set forth in subdivision (c), (d), (e) or (g) of this section. These include the standard for the provision of mandated preventive services to clients at risk of placement, the standard for the provision of mandated preventive services to clients at risk of replacement in foster care, the standard for the provision of mandated preventive services to return children to their parents, and the standard for recertification of mandated preventive services. In the absence of documentation in the uniform case record, the provision of such services shall be deemed inappropriate.

(c) Standard for the provision of mandated preventive services to clients at risk of placement. The provision of preventive services shall be considered mandated when such services are essential to improve family relationships and prevent the placement of a child into foster care. The circumstances in which preventive services shall be considered essential for these purposes are the following:

(1) Health and safety of child.

(i) Circumstance. One or more children in the family has been subjected by the parents or caretakers within the 12-month period prior to the date of application for services to serious physical injury by other than accidental means, or to the risk of serious physical injury by other than accidental means, or to a serious impairment or risk of serious impairment of their physical, mental or emotional condition as a result of the failure of the parents or caretakers to exercise a minimum degree of care and such action by the parents has resulted in a determination that an allegation of abuse or maltreatment is indicated.

(ii) Documentation. The first uniform case record form required after the date of authorization for preventive services shall contain a description of instances within the 12 months immediately prior to the date on which the program choice "Preventive" is chosen when the child has been harmed emotionally or physically. The required uniform case record form shall contain a description of the type of harm which has resulted or shall indicate that, at the time of application for service, conditions existed which placed the child or siblings in danger of serious emotional or physical harm and contain a description of the type of physical or emotional harm which would have been likely to result from these conditions. The record shall also contain the date of indication.

(2) Parental refusal.

(i) Circumstance. The parents or caretakers have refused to maintain the child in the home or have expressed the intention of surrendering the child for adoption.

(ii) Documentation. The first uniform case record form required after the date of authorization for preventive services shall contain a description of the actions taken by the parents or caretakers which indicate a refusal to maintain the child in the home or shall include the date and a summary of the circumstances of the parents' or caretakers' verbal refusal or expression of intent to surrender the child.

(3) Parent unavailability.

(i) Circumstance. The child's parents or current caretakers have become unavailable due to:

(a) hospitalization;

(b) arrest, detainment or imprisonment;

(d) the fact that their whereabouts are unknown.

(ii) Documentation. The first uniform case record form required after the date of authorization for preventive services shall contain a description of the reason for the parents' or caretakers' absence from the home, and the expected duration of the absence if the parents or caretakers are living and their whereabouts known. In the event of the death of the parents or caretakers or in the cases in which their whereabouts are unknown, such uniform case record form shall indicate the likelihood of finding a new permanent caretaker or the previous caretaker, and an estimated time in which that will be accomplished.

(4) Parent service need.

(i) Circumstance.

(a) the child is placed at risk of serious physical or emotional harm due to an emotional, mental, physical, or financial condition of the parent or caretaker which seriously impairs the parent's or caretaker's ability to care for the child; or

(b) a parent or caretaker has been diagnosed as having acquired immune deficiency syndrome (AIDS), human immunodeficiency virus (HIV)-related illness or HIV infection, as those terms are defined by the AIDS Institute of the State Department of Health and are contained in directives issued by the department from time to time, and such condition seriously impairs, or exacerbates other conditions which seriously impair, the parent's or caretaker's ability to care for his or her child, and places the child at risk of foster care placement.

(ii) Documentation. The first uniform case record form required after the date of authorization for preventive services must contain:

(a) a description of the type of emotional, physical or mental condition which is impairing the parent's functioning, the functions which are impaired, and instances in which the impairment has seriously harmed the child emotionally or physically or has placed the child in danger of such harm, or a summary of what financial needs, including a lack of adequate housing, impairs the parents' or caretakers' ability to care for the child adequately, and what specific risk to the child exists if such needs are not met; or

(b) a medical report showing a diagnosis by a licensed physician that a parent or caretaker has AIDS, HIV-related illness or HIV infection and a description of how this condition seriously impairs, or exacerbates other conditions which seriously impair, the parent's or caretaker's ability to care for his or her child and places the child at risk of foster care placement. Records which include information regarding AIDS, HIV-related illness or HIV infection must be maintained in accordance with Subpart 360-8 and section 431.7 of this Title.

(5) Child services needs.

(i) Circumstances. The child has special needs for supervision or services which cannot be adequately met by the child's parents or caretakers without the aid of intensive services and this results in the child being at risk of foster care placement without such services. This need for services is the result of one of the following:

(a) the child has a diagnosed or diagnosable physical, mental or emotional condition which severely impairs the child's ability to carry out daily, age-appropriate activities; or

(b) the child's behavior, although not dangerous, results in severe management problems in the home, the school or the community;

(d) the child is the subject of a petition under article 7 of the Family Court Act, or has been determined by the assessment service established pursuant to section 243-a of the Executive Law, or by the probation service where no such assessment service has been designated, to be at risk of being the subject of such a petition, and one of the following conditions applies:

(1) the family would have been eligible for preventive services at some time in the past, if application had been made;

(2) some child in the family has been placed in foster care at some time in the past;

(3) the child's behavior leading to the filing of the petition or to the risk of such filing is similar to the behavior described in clause (b) of this subparagraph but is less severe and this behavior has been exhibited over a period exceeding six months; or

(4) the family, or some member of the family has in the past or is currently receiving services from the social services district, the local mental health or mental retardation agency, the probation service, or the youth board for at least six months. The services which are or have been provided by the social services district must be those services which are set forth in the district's consolidated services plan; or

(e) the child has been diagnosed as having AIDS, HIV-related illness or HIV infection. The condition which results in such diagnosis must impair the child's ability to carry out daily, age-appropriate activities or result in a need or supportive services, other than medical or health-related services, to allow the parents or caretakers to maintain the child in their home.

(ii) Documentation. The first uniform case record form required after the date of authorization for preventive services shall show the services which are to be provided to the child and/or other family members which will prevent the child's placement in foster care and assist in alleviating the behavior or condition or assist the parents or caretakers in dealing with the child's behavior or condition. In addition, such uniform case record form shall contain:

(a) a description of behavior patterns or limitations which illustrate a serious impairment of the child's ability to carry out everyday activities at an age-appropriate level. A diagnosis by a licensed psychiatrist or psychologist, including a permanently certified school psychologist, or by a certified social worker other than the case manager or case planner shall be deemed appropriate documentation for this subparagraph;

(b) a description of repeated instances of behavior within the 12 months immediately prior to the date on which the program choice "Preventive" is chosen in which the child has exhibited behaviors leading to severe management problems in the home, school or community;

(c) a description of instances within the 12 months immediately prior to the date on which the program choice "Preventive" is chosen in which the child has intentionally harmed or attempted to harm other persons or himself, or indicate that a licensed psychiatrist or psychologist, including a school psychologist with a master's degree in psychology, or a certified social worker other than the case manager or case planner has stated in writing that the child presents a serious danger to himself or others; or

(d) a description of the contents of any petition filed, pursuant to article 7 of the Family Court Act, concerning the child, including the allegations made, the date of filing, and the person or persons who filed, or a summary of the determination of the assessment service or the probation service that the child is at risk of becoming the subject of such a petition, and either:

(1) a description of the circumstances in which the family would have been eligible for preventive services in the past, including the standard under which it would have qualified;

(2) a description of the circumstances which led to the placement of any child in the family in foster care, including the dates of placement, which child was placed, and the reason for placement;

(3) a description of instances of behavior similar to that leading to the filing of the petition, extending over a period of at least six months, and presenting a potential for severe management problems in the home, school or community; or

(4) a description of the services received by the family, including the time period during which services were provided, the family member or members receiving services, the agency providing services, and the reason the services were sought; or

(e) a description of the condition(s) resulting from the child having AIDS, HIV- related illness or HIV infection, and examples of instances in which the condition(s) impairs the child's ability to carry out daily, age-appropriate activities or results in a need for supportive services, other than medical or health-related services, to allow the parents or caretakers to maintain the child in their home. A medical report showing the relevant diagnosis by a licensed physician must also be included as part of the documentation for this subparagraph. Records which include information regarding AIDS, HIV-related illness or HIV infection must be maintained in accordance with Subpart 360-8 and section 431.7 of this Title.

(6) Pregnancy.

(i) Circumstance. A woman is pregnant or has given birth and has shown an inability to provide adequate care for her unborn or infant child.

(ii) Documentation. The first uniform case record form required after the date of authorization for preventive services shall indicate whether the woman is pregnant or has given birth and shall include a description of the parental functions which the woman is unable to perform. In addition, such uniform case record form shall show that services are to be delivered to the woman which will assist her in performing these functions.

(d) Standard for the provision of mandated preventive services to clients at risk of replacement in foster care. The provision of preventive services shall be considered mandated when such services are essential to prevent the replacement of a child into foster care. The circumstances in which preventive services shall be considered essential for these purposes include all of the circumstances described in the standard for the provision of mandated preventive services to clients at risk of placement, as set forth in subdivision (c) of this section, and all of the following circumstances.

(1) Family Court contact.

(i) Circumstance. The child is the subject of a juvenile delinquency or persons in need of supervision petition, or has been determined by the Family Court Intake or Family Court Probation Service to be at risk of being the subject of such a petition.

(ii) Documentation. The first uniform case record form required after the date of authorization for preventive services shall include a description of the child's previous placement, and a description of the petition or other disposition by the Family Court, including the date of the petition or disposition.

(2) Unplanned discharge.

(i) Circumstance. The child has been discharged from foster care within the two years immediately prior to the date of application for services and that discharge took place at least three months prior to the anticipated discharge date and without the achievement of all the client goals set forth in the service plan as required by the uniform case record and being pursued at the time of discharge.

(ii) Documentation. The first uniform case record form required after the date of authorization for preventive services shall contain a description of the child's previous placement, including the dates during which the child was in foster care, show the anticipated discharge date at the time of discharge, and describe which client goals could not be met due to the early discharge. If no service plan had been completed during the previous placement, information in the progress notes shall be used to the extent possible.

(3) Recurrence of reason for placement.

(i) Circumstance. The child or the parents or caretakers have exhibited a pattern of behavior or a condition which is substantially similar to one or more of the behaviors or conditions which contributed to the child's previous placement in foster care and which is likely to lead to the necessity of replacement of the child.

(ii) Documentation. The first uniform case record form required after the date of authorization for preventive services shall contain a description of the child's previous placement, including the dates and reason for placement, contain a description of the behavior or circumstances occurring at the time of application for services which are similar to the factors contributing to the original placement, and provide reasons why this behavior or condition is likely to become serious.

(e) Standard for the provision of mandated preventive services to return children to their parents.

(1) The provision of preventive services, other than housing services, will be considered mandated to safely return a child currently in foster care to his/her parents sooner than would otherwise be possible, only if all of the conditions in subparagraphs (i), (ii) and (iii) of this paragraph are met.

(i) Service appropriateness.

(a) Condition. The preventive services provided must be directly related to one or more of the reasons the child is currently in foster care.

(b) Documentation. The most recent assessment and service plan required by the uniform case record must show only preventive services to be delivered to the child and family which relate to one or more documented reasons establishing or maintaining the necessity of the child's placement.

(ii) Discharge plan.

(a) Condition. Discharge of the child from foster care must be anticipated within six months.

(b) Documentation. The required uniform case record form must show the anticipated discharge dates to be in conformance with the standard in subparagraph (i) of this paragraph and must include a service plan for discharge consistent with the goals set forth in the most recent service plan as required by the uniform case record.

(iii) Safety and appropriateness.

(a) Condition. Return to the child's parents or caretakers may only occur where the placement will be safe and appropriate.

(b) Documentation. The most recent assessment and service plan required by the uniform case record must include a written consideration and determination that return of the child to his/her parents or caretakers will be safe and appropriate.

(2) The provision of housing services as defined in section 423.2(b)(16) of this Part, will be considered mandated to discharge a child from foster care to his/her parents or caretakers only if the conditions in subparagraphs (i), (ii) and (iii) of this paragraph are met.

(i) Service appropriateness.

(a) Condition. At the time housing services are authorized, the case manager must determine that the primary factor preventing the discharge of the child from foster care is the family's lack of adequate housing.

(b) Documentation. Such determination can be made only in the following circumstances as documented in the first uniform case record form due after authorization for housing services:

(1) the child has been in foster care at least 30 days and the child can be safely returned to the parents or caretakers if housing services are provided, or the child has been in foster care for any length of time and since the placement date the family has moved to a different residence that is inadequate to house the child and the child can be safely returned to the parents or caretakers if housing services and any other available preventive services are provided;

(2) there is a description of the family's housing situation and a determination has been made that one or more of the following circumstances exist: the family is homeless or is residing temporarily in a shelter, hotel/motel, or other temporary housing; the family is residing in its own home, in a room and board situation or in the home of friends or relatives and that by the addition of the child to be discharged to the family would exceed the capacity of such residence as specified in local law, ordinances, or rules and regulations, would result in eviction or would create an unreasonable and unsafe degree of overcrowding as determined by the case manager; and family has a home, however rent or mortgage arrears places the family at imminent risk of losing the home; the family is residing in a building which is the subject of a vacate order; or the condition of the family's home poses a health and safety risk that would place the children to be discharged at imminent risk of harm; and

(3) where appropriate, there is a description of the home that the family has moved into or will move into in order for the child to be returned, or if a home has not yet been located the type of home the family will need, in order to provide adequate housing of the child(ren) to be returned safely.

(ii) Discharge plan.

(a) Discharge of the child from foster care must occur no later than two months after housing services are authorized, or paid or, where relevant, adequate housing was located, provided and, if necessary renovated, such that the child could be safely discharged to such housing. Where adequate housing is made available and the child is not discharged from care, the reason for the child remaining in care will be deemed to be due to a factor other than inadequate housing and housing services must be terminated.

(b) Documentation. The uniform case record must document the actual date of discharge, the date that housing services were authorized or paid and, if relevant, the date adequate housing was located, renovated and provided. If the child is not discharged within two months of either the authorization date of such services or the actual provision of adequate housing, the case record must document the specific circumstances which prevented the child's discharge from care, and a termination date no later than two months after either the date of the authorization of housing services or the date adequate housing was made available for the family to move in.

(iii) Safety and appropriateness.

(a) Condition. Return to the child's parents or caretakers may only occur where the placement will be safe and appropriate.

(f) Standard for the provision of housing services as a mandated preventive service to children with a goal of discharge to another planned living arrangement with a permanency resource.

(1) Service appropriateness.

(i) Condition. The provision of housing services as a preventive service will be considered mandated to discharge a child to another planned living arrangement with a permanency resource only if:

(a) the case manager has determined that housing services, as defined in section 423.2(b)(16) of this Title, are necessary and such services have been authorized; and

(b) the case manager has determined that, at the time housing services are authorized, the child has been in foster care at least 90 days, is prepared for discharge to another planned living arrangement with a permanency resource and can be discharged only if housing services are provided.

(ii) Documentation. The required uniform case record form must include a description of the home that has been located or if none has been located the type of home the child will need in order to be discharged from foster care.

(2) Discharge plan.

(i) Discharge of the child from foster care must occur no later than two months after housing services are authorized, unless an unforeseen circumstance, other than the child's inability to locate adequate housing, occurs and results in the case manager's determination that discharge must be postponed. In such instances, the reason for the child remaining in care will be deemed to be due to a factor other than inadequate housing and housing services must be terminated.

(ii) Documentation. The uniform case record must document the actual date of discharge and the date that housing services were authorized. If the child is not discharged within two months of authorization of such services, the case record must document the specific circumstances which prevented the child's discharge, the reason such circumstances were unforeseeable and a termination date no later than two months after the date of authorization.

(g) Court orders. Notwithstanding any other provision of this section, the provision of preventive services shall be considered mandated when placement of the child in foster care has been ordered by the Family Court but such order has been stayed or reversed upon an appeal or a request for rehearing by the local department of social services. In addition, the provision of preventive services shall be considered mandated when a Family Court orders such services to be provided.

(h) Standard for the recertification of mandated preventive services.

(1) The provision of preventive services, other than those described in paragraph (2) of this subdivision, for a period beyond the initial six-month eligibility period will be considered mandated only if the most recent assessment and service plan required by the uniform case record for the family and the child indicates that not all client goals which are related to the reasons establishing the initial mandate for preventive services and which are currently being pursued have been achieved, or that removal of services at the present time would lead to a deterioration of the progress made.

(2) The provision of housing services as defined in section 423.2(b)(16) of this Title beyond the initial six-month eligibility period will be considered mandated only if the most recent assessment and service plan required by the uniform case record for the family and the child indicates that termination of the housing services would result in the family's inability to maintain or secure adequate housing. In no case may the provision of housing services exceed a period of 36 months commencing on the date housing services were authorized and provided. Housing services may not be provided as a nonmandated preventive service.

(i) Standard for the provision of mandated preventive services for children placed in designated emergency foster family boarding homes.

(1) Standard. The provision of preventive services is mandated if a child is placed in a designated emergency foster family boarding home as defined in section 446.2 of this Title and is expected at the time of placement to return home within 60 days. If the child does not return home within 60 days as initially planned, the continued provision of preventive services may not be considered mandated, unless he or she meets the eligibility requirements of subdivision (e) of this section.

(2) Documentation. The required uniform case record form must show that preventive services are being provided for a child who is expected at the time of placement to return home within 60 days after entering care in a designated emergency foster family boarding home.

(j) Standard for the provision of mandated preventive services as a follow-up service for children discharged from designated emergency foster family boarding home care.

(1) Standard. The provision of preventive services is mandated as a follow-up service for six months, including the time the child was in designated emergency foster family boarding home care, if a child is returned home within 60 days after entering designated emergency foster family boarding home care.

(2) Documentation. The required uniform case record form must indicate the child's discharge date from a designated emergency foster family boarding home and the follow-up preventive services to be provided to the child and family.

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