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 3 - Child-care Agencies
Part 441 - General
Section 441.14 - Social services
Universal Citation: 18 NY Comp Codes Rules and Regs § 441.14
Current through Register Vol. 47, No. 12, March 26, 2025
(a) Intake.
(1) Each authorized agency shall establish an
intake policy, including admission criteria and procedures, and specifying the
services and programs offered by such agency and the children served. A copy of
the policy shall be submitted to the State Department of Social Services in
accordance with requirements upon completion of the annual review, reflecting
any change in policy effected by such review.
(2) Except in the case of an emergency
placement, an agency shall not accept a child for care until an intake study
has been made, either by the placing agency or the receiving agency, and a
determination has been made that the placement meets the needs and interests of
the child and his family.
(b) Additional requirements applicable to handicapped children in foster care who attain the age of 18.
(1) In order to provide for continuity of
services to persons in need, there is established a program of assistance to
the parent(s) or guardian of a child who is developmentally disabled as such
term is defined in section
1.03 of the
Mental Hygiene Law, emotionally disturbed or physically handicapped, who is
receiving care in a group home, agency boarding home, or any child care
facility operated by an authorized agency with a capacity of 13 or more, and
who attains the age of 18 and who will continue in care after the age of
18.
(2) For each such child, the
social services official or an authorized agency acting pursuant to a purchase
of service agreement with such official for the care of the child shall notify
the parent(s) or guardian of the child that foster care payments and services
will terminate when the child reaches the age of 21, that assistance in
determining services needed after the age of 21 is available from the
department and other appropriate State agencies and that, upon the written
consent of the parent(s) or guardian, a report containing the child's name,
handicapping condition and other information will be forwarded to an
appropriate State agency for the purpose of determining and recommending
services for the child after the age of 21. Such notice shall be in writing in
such form as the department may require and shall be sent to the parent(s)
within 30 days of the first service plan review following the child's 18th
birthday.
(3) Upon the written
consent of the parent(s) or guardian of the child, the social services official
or an authorized agency acting pursuant to a purchase of service agreement
shall submit a report of the child's condition and possible need for services
after age 21 to the Commissioner of Mental Health, Commissioner of Mental
Retardation and Developmental Disabilities, Commissioner of Education, or the
Commissioner of Social Services or their designee(s) for the purposes of
obtaining a determination and recommendation of needed services in accordance
with section
7.37 or
13.37 of
the Mental Hygiene Law or subdivision 10 of section
4403 of the
Education Law. The social services official or an authorized agency acting
pursuant to a purchase of service agreement shall determine which commissioner
or designee shall receive the report by considering the child's primary
handicapping condition, in accordance with the following criteria:
(i) For a referral to the Commissioner of
Mental Health:
(a) the child shall exhibit
the presence of an identifiable mental disorder other than mental retardation,
developmental disorders, alcoholism, drug dependence or drug abuse;
and
(b) the child shall have an IQ
above 70.
(ii) For a
referral to the Commissioner of Mental Retardation and Developmental
Disabilities:
(a) the child shall be
diagnosed as having a developmental disability in accordance with the
provisions of section
1.03 of the
Mental Hygiene Law; and
(b) the
child shall have an IQ below 50.
(iii) For any child who meets the criteria of
subparagraph (i) or (ii) of this paragraph but who has an IQ between 50 and 70,
the report shall be referred to both the Commissioner of Mental Health and the
Commissioner of Mental Retardation and Developmental Disabilities identifying
the case as being within the dispute range as to IQ and as being submitted to
both commissioners for a determination of the need of the child for adult
services.
(iv) For a referral to
the Commissioner of Education:
(a) the child
shall have a disability other than legal blindness which constitutes or results
in a substantial handicap to obtaining and/or maintaining a gainful occupation;
and
(b) there is a reasonable
expectation that vocational rehabilitation services may benefit the individual
in terms of employability.
(v) For a referral to the Commissioner of
Social Services:
(a) there is a need for
adult services as defined in the comprehensive services plan of the department;
and
(b) the child shall exhibit
none of the criteria in subparagraphs (i) through (iv) of this
paragraph.
(4) If the social services official or an
authorized agency acting pursuant to a purchase of service agreement determines
that the child shall be referred in accordance with the criteria provided in
subparagraph (3)(v) of this subdivision, and that these services will be
provided by such official, the social services official shall retain the report
or the authorized agency shall submit the report to the social services
official who shall retain it and perform the services described in subdivision
(e) of this section. If, however, the needed services are or will be the
responsibility of another social services district, the social services
official or authorized agency making the report shall forward such report to
such other social services district. The social services official of such other
district shall then perform the services required in subdivision (e) of this
section.
(5) The content of the
report requesting the determination and recommendation of needed services shall
be in accordance with the following requirements:
(i) for referral to the Commissioner of
Mental Health, the following items shall be included in the report:
(a) a copy of the written consent of the
parent(s) or guardian to the submission of a report for the determination and
recommendation of needed services;
(b) a copy of the assessment portion of the
uniform case record documentation which establishes the child's condition
and/or need for services;
(c) a
summary of the child's family/social history;
(d) copies of the most recent medical
history, general physical examination and any psychiatric or psychological
evaluations, which address such areas as:
(1)
mental status;
(2)
diagnosis;
(3) history of
treatment;
(4) medication
summary;
(5) assessments of
intellectual functioning (IQ) and sensory motorfunction;
(6) assessment of social-affective
functioning;
(7) self-help skills;
and
(8) educational/vocational
evaluation/summary; and
(e) other records or reports necessary to
assist the Commissioner of Mental Health in determining the child's need for
services.
(ii) For
referral to the Commissioner of Mental Retardation and Developmental
Disabilities, the following items shall be included in the report:
(a) a copy of the written consent of the
parent(s) or guardian to the submission of a report for the determination and
recommendation of needed services;
(b) a copy of the assessment portion of the
uniform case record establishing the child's condition and/or need for
services;
(c) a summary of the
child's family/social history;
(d)
copies of the most recent medical history, general physical examination and any
psychiatric or psychological evaluations which address such areas as:
(1) mental/developmental status;
(2) diagnosis;
(3) treatment summary, if applicable,
including any specialists' reports;
(4) medication summary, if
applicable;
(5) assessment of
intellectual/cognitive functioning (IQ);
(6) assessment of ADL (activities of daily
living) skills;
(7)
assessment/report of behavioral problems;
(8) assessment of self-help skills;
and
(9) educational/vocational
summary; and
(e) other
records or reports necessary to assist the Commissioner of Mental Retardation
and Developmental Disabilities in determining the need for services.
(iii) For referral to the
Commissioner of Education, the following items shall be included in the report:
(a) a copy of the written consent of the
parent(s) or guardian to the submission of a report for the determination and
recommendation of needed services;
(b) a request to the office of vocational
rehabilitation to conduct an evaluation for eligibility determining;
(c) copies of any records or reports in the
child's or family's case record relative to the need for services, including
any completed educational/vocational summary and the most recent documents
showing the child's medical status medical history, and the nature and
diagnosis of the child's handicap and the prognosis for its change or recovery;
and
(d) other records or reports
necessary to assist the Commissioner of Education in determining the need for
services.
(iv) For
referral to another social services district, the following items shall be
included in the report:
(a) a copy of the
written consent of the parent(s) or guardian to the submission of a report
requesting the determination and recommendation of needed services;
(b) a copy of the most recent reassessment
and service plan review showing the plan for the child's discharge to or need
for adult services;
(c) a copy of
any medical, psychiatric or psychologic report(s) which establish the need for
adult services; and
(d) other
records or reports which may assist the local social services official in
making the determination and recommendation for needed services.
(6) A copy of any
report sent to the Commissioner of Mental Health, Commissioner of Mental
Retardation and Developmental Disabilities, Commissioner of Education or their
designee(s) or to another social services official who is acting as the
designee of the Commissioner of the Department of Social Services shall be
submitted to the department at the same time as such report is submitted to
such commissioner or social services official. An authorized agency which
submits such a report shall also submit a copy of the report to the local
social services official with whom the agency has entered into a purchase of
services agreement to care for the child.
(7) If the social services official or an
authorized agency acting pursuant to a purchase of service agreement is
notified by the commissioner of another State agency to which a report was
submitted that such agency is not responsible for determining and recommending
adult services for a child, the social services official or the authorized
agency which is so notified shall forward the report to another commissioner of
a State agency authorized to receive such reports whom the social services
official or the agency considers responsible for such determination and
recommendation; provided, however, that where such official or agency
determines that there exists a dispute as to which State agency has the
responsibility for determining and recommending adult services for a child, the
authorized agency, if it prepared and submitted the initial report, shall
submit the report to the appropriate social services official and the social
services official may forward such report and the replies of such State
agencies to the Council on Children and Families for the resolution of such
dispute.
(8) If the social services
official or the authorized agency acting pursuant to a purchase of service
agreement which originated the report is notified by another social services
official to whom a report has been sent pursuant to paragraph (4) of this
subdivision that such other official is not responsible for determining or
recommending adult services for the child, the social services official or the
authorized agency which originated the report shall submit the report to
another social services official or the State agency who or which is
responsible for determining and recommending adult services for the child;
provided, however, that if there continues to be a dispute as to which social
services official is responsible for determining and recommending adult
services for the child, the social services official or the authorized agency
shall forward the report and the replies of the other social services
official(s) to the department for resolution of the dispute or for direction as
to which State agency should be sent the report in accordance with the
provisions of paragraph (3) or (4) of this subdivision.
(9) Each social services official shall
prepare and submit an annual report to the department on October 1, 1985 and
thereafter on or before October 1st of each year. Such report shall contain the
following without referring to personally identifying information:
(i) the number of cases submitted to each
commissioner pursuant to paragraph (3) of this subdivision, including the type
and severity of the handicapping condition of such cases;
(ii) the number of cases submitted to other
social services officials pursuant to paragraph (4) of this subdivision,
including the type and severity of the handicapping condition of such
cases;
(iii) the number of reports
retained by the official pursuant to paragraph (4) of this subdivision,
including the type and severity of the handicapping condition of such
cases;
(iv) the number of replies
received which deny responsibility for determining and recommending adult
services, and from whom received;
(v) the number of cases referred to the
department for resolution of disputes between social services
officials;
(vi) the number of cases
referred to the Council on Children and Families for the resolution of disputes
between State agencies; and
(vii)
other information requested by the department as necessary for the department
and the Council on Children and Families to monitor the need for adult
services.
(10) A single
compilation of the annual reports received pursuant to paragraph (9) of this
subdivision shall be forwarded to the Council on Children and Families by the
department.
(c) Additional requirements and services applicable to handicapped child placed outside New York State.
(1)
Purpose.
In order to provide adequate continuity of services to persons in need, there is established a program of assistance to the parent(s) or guardian of a child with a handicapping condition who has been placed in a foster care agency, program, facility or institution outside New York State, and who attains the age of 18. For such a child, the social services official shall:
(i) determine whether such
child will need services after the age of 21;
(ii) if such need exists, assess the nature
of the services required;
(iii)
notify the parent(s) or guardian of such child that foster care payments and
services will terminate when the child attains the age of 21, that the child
will have an apparent need for adult services and that assistance in locating
needed services in this State is available from the department and other
appropriate State agencies and
(iv)
upon the written consent of the parent or guardian, submit a report on the
child's projected need for services after the child attains the age of 21 to
the department for planning purposes.
These activities will be completed and reported as part of the first service plan review after the child's 18th birthday, in accordance with the provisions of this subdivision.
(2) Determination of need for services.
In determining the child's projected need for services after the child attains the age of 21 the social services official shall consider whether the child can be returned to the home of his parent(s) for care, and shall evaluate the child's existing physical and mental condition and his behavioral and treatment needs as an adult. This determination shall include, but not be limited to:
(i) a
description of the child's behavioral skills;
(ii) a description of the child's major
strengths and weaknesses, including educational/vocational potential;
and
(iii) identification of the
special needs the child will require when the child attains the age of 21.
Other factors relevant to a determination for any individual child may also be
considered in making the necessary determination of the needs of the child for
adult services.
(3)
Assessment of the nature of services to be required.
Based on the determination made pursuant to paragraph (2) of this subdivision, the social services official shall assess the nature of the services required. This assessment shall include, but not necessarily be limited to:
(i) an evaluation of the
strengths, weaknesses and specific needs identified in the determination
process; and
(ii) identification of
specific services that appear to be relevant to developing strengths,
overcoming or correcting weaknesses, and/or meeting the specific needs of the
child.
This assessment shall consider such factors as physical health needs, mental health needs, training needs, including vocational training, rehabilitative needs, recreation needs and any special needs the child will require as an adult. Consideration shall also be given to the requirements of the social services and mental health services systems.
(4) Notification of
parent or guardian of the need for services and availability of assistance in
obtaining required adult services in this State.
The social services official shall, within 30 days of the completion of the first service plan review following the child's 18th birthday, notify, in writing the parent(s) or guardian of each child who has a handicapping condition and who is placed for foster care in an agency program, facility or institution outside New York State of the following:
(i) that foster care payments and services
for such child shall terminate upon the child's 21st birthday;
(ii) whether or not it is anticipated that
the child will need services or placement after the age of 21;
(iii) the results of the determination and
assessment which the social services official made pursuant to paragraphs (2)
and (3) of this subdivision;
(iv)
that planning and referral services are available from the department, from the
New York State Council on Children and Families and from other State agencies
to assist the parents or guardians in locating needed adult services or
placement for their child;
(v) the
need for the parent(s) or guardian to request such assistance and to consent to
the release of the child's records, diagnosis and reports to assist the
department and the council in aiding the family and in locating necessary
services or placement; and
(vi)
that such a request is voluntary and that the disclosure of any records,
reports or evaluations shall be strictly confidential and limited solely to the
purpose of locating and/or obtaining a relevant placement or services for the
child at the time the child attains the age of 21.
The social services official shall include with the information required to be submitted to a child's parent or guardian pursuant to the provisions of this paragraph the appropriate request, consent and release form for forwarding relevant records, reports and evaluations to the department and/or the council.
(5) Local social services official's report
to the department.
Upon receipt of the written consent from the child's parent(s) or guardian, the local social services official shall compile and forward to the department within 30 days, the following:
(i) a copy of the parent's signed request for
assistance and consent to the release of the social services official's report
to the department and to the Council on Children and Families;
(ii) the social services official's report,
including the determination of the child's need for services after the age of
21 and the social services official's assessment of the services needed, as
specified in paragraphs (2) and (3) of this subdivision; and
(iii) copies of relevant case records,
including the first service plan review which was completed following the
child's 18th birthday, and any other records, reports, evaluations or other
material as may be required in accordance with the referral procedures
established by the department and the New York State Council on Children and
Families.
(6) Department
referral to the New York State Council on Children and Families.
Upon receipt of the report submitted by a local social services official on behalf of the parent(s) or guardian requesting the assistance of the department and council to locate needed services, the department shall within 30 days of its receipt, forward the request and report, including the parent's consent, to the council in accord with the referral procedures established by the department, in consultation with the council. In addition, the department shall report annually to the council the number of parent(s)/guardians who were notified that their child will require adult services after the child attains the age of 21 and who have not requested assistance or who have not agreed to consent to the release of records or data.
(d) Powers and duties of the commissioner and social services official upon receipt of a report requesting determination and recommendation of adult services.
(1) The powers and duties
conferred upon the commissioner by section
398-c of
the Social Services Law relating to the determination of the need for and
recommendation of adult services in response to reports submitted pursuant to
clause (a) of subparagraph (5) of paragraph (b) of subdivision 1 of section
4402 of the
Education Law or subdivision 13 of section
398 of the
Social Services Law are designated as powers of the local social services
official.
(2) Upon receipt of a
request for a determination and recommendation for adult services from another
social services official, from a committee on the handicapped through a report
he himself retained for determination, or from a report submitted by an
authorized agency acting pursuant to a purchase of service agreement, the local
social services official acting as the designee of the commissioner shall
determine whether the child who is being referred in such report will likely
need adult services, as defined in the department's comprehensive services
plan, and, if such need will likely exist, develop a recommendation of all
appropriate programs authorized or operated by the department or the local
district which may be available when the child attains the age of 21. If
necessary and appropriate, the social services official may conduct or cause to
be conducted an evaluation of the child to determine if adult services will be
necessary. Such determination and recommendation shall be submitted to the
parent(s) or guardian of the child in writing as soon as practicable after the
receipt of the report but no later than six months before the child attains the
age of 21.
(3) If the social
services official acting as the designee of the commissioner determines that a
child will not require adult services, as defined in the department's
comprehensive services plan, the local social services official acting as the
designee of the commissioner shall notify the child's parent(s) or guardian in
writing of such determination. Such notification shall be given as soon as
practicable after receiving the report but no later than six months before the
child attains the age of 21.
(4) If
the social services official acting as the designee of the commissioner
determines that the department is not responsible for determining amd
recommending adult services for a child, the social services official, acting
as the designee of the commissioner, shall promptly notify in writing the
committee on the handicapped, multidisciplinary team, social services official
or authorized agency which sent the report and the department that such
determination has been made. Such determination shall be made as soon as
practicable after receiving the report. The notice shall state the reason(s)
why the social services official determined that he was not responsible for
determining the need for adult services and may recommend another State agency
which may be responsible for determining and recommending adult services. Any
such recommendation of another State agency shall be based on consideration of
the child's primary handicapping condition and shall be in accordance with the
criteria set forth in paragraph (c)(3) of this section.
(5) A determination or recommendation for
adult services by the department or a local social services official shall not
be construed to create an entitlement to adult services.
Disclaimer: These regulations may not be the most recent version. New York may have more current or accurate information. We make no warranties or guarantees about the accuracy, completeness, or adequacy of the information contained on this site or the information linked to on the state site. Please check official sources.
This site is protected by reCAPTCHA and the Google
Privacy Policy and
Terms of Service apply.
