Adoption Assistance Program (AAP) Payment Resolution
E050-0564 | Issued Date: 2/18/2021

Overview

This policy provides instruction and guidelines for Payment Resolution Unit Staff to ensure that the requirements of the Adoptions Assistance Program (AAP) are met.

Table of Contents

Version Summary

This policy guide was updated from the 05/18/2012 version to align with the implementation of the CalSAWS (California Statewide Automated Welfare System).

POLICY

Adoption Assistance Program (AAP) Benefits

The Adoptions Assistance Program (AAP) removes or reduces barriers that prevent the adoption of children who would otherwise remain in out-of-home care or under legal guardianship by providing financial and/or medical assistance to families who are willing and able to assume parental responsibility for children who are eligible for AAP benefits.

AAP rates/benefits (benefits) are negotiated between the adoptive family and the Resource Family Support and Permanency Division (RFSPD) CSW and are based on the needs of the child and the circumstances of the adoptive family. The RFSPD CSW shall make the final AAP benefits determination. The adoptive parent(s) income should not be used in determining the AAP benefit.

Upon authorization by the RFSPD CSW of a negotiated AAP benefit the Eligibility Worker (EW) determines the origin of the AAP funds based on the case’s eligibility criteria and financial responsibility based on the following:
  • The County responsible for determining the child’s AAP benefit eligibility status and for providing financial aid in the amount determined in Section 16120 and Section 16120.1, shall be the county that at the time of the adoptive placement, would otherwise be responsible for making a payment pursuant to Section 11450 under the CalWORKs program or Section 11461 under the Aid to Families with Dependent Children-Foster Care (AFDC-FC) program if the child was not adopted.
    • Children under non-paid foster care placement receiving SSI/SSA as well as children receiving the Approved Relative Caregiver (ARC) program payments while in foster care are also eligible.
  • When the child has been voluntarily relinquished for adoption prior to eligibility determination for payments, the responsible county shall be the county in which the relinquishing parents reside.
  • The responsible county for all other eligible children shall be the county where the child is physically residing prior to placement with the adoptive family.
  • The AAP benefit amount should never be determined through the use of a means test or reduced because of income from any source.

AAP Payment Resolution Unit (PRU)

The responsibilities of the AAP Payment Resolution Unit (PRU) include the following assignments:
  • Researching duplicate AAP vendors
  • Researching duplicate case numbers
  • Researching and resolving payment issues once the Reassessment EW has exhausted their resources.
  • Adding a new placement when a new vendor number has been issued by the Resource Management Unit due to a shared address.
  • Adding Group Home or the Short Term Residential Therapeutic Program (STRTP) as a new placement.
  • The placement in a residential treatment center (group home or STRTP) should not exceed 18 (eighteen) months per episode.
  • Correcting and lifting vendor suspensions
  • Updating vendor changes, such as name, address, and phone number
  • Rate changes
    • When there is mention of a “grant period” it refers to a negotiated funding period. This period shall not exceed two (2) years, and may be less than two (2) years, depending on changes in the child’s circumstances.
    • Complete assignments that cover multiple grant periods, such as, retroactive payments of multiple years.
  • Processing retroactive payments involving more than one AAP payment grant period and other related tasks, such as Skipped Issuance Report assignments.
  • Adding the facility type “Adoptive Home” to the vendor information in CalSAWS.
  • Processing manual budgets for Wraparound cases.
  • Occasionally initiating and posting back AAP manual budgets into CalSAWS, except manual budgets for the Wraparound cases that do not require posting back.

Assignment Types

The AAP PRU EW may receive requests for change from the following sources:
  • The assigned AAP EW
  • DCFS Skipped Issuance Report from CalSAWS from PRU ES
  • Inquiry from the Overpayment Unit

Rate Changes

At times, it may be determined through a variety of resources, such as developmental and behavioral evaluations, that a child and/or family in receipt of AAP benefits requires modifications to supports and services that may result in the need for a rate reassessment. As such, a request for a rate change may be submitted for processing. The Payment Instruction Adoption Assistance Program form (AAP2) is submitted to the Reassessment EW by the Post Adoption Services unit (PAS) or by the RFSPD CSW for all rate changes and processed by the AAP PRU EW.
  • The AAP Reassessment EW forwards the AAP 2 form and supporting documents (if applicable) to the AAP PRU PRUAAP@DCFS.LACOUNTY.GOV Inbox.
  • It is not a requisite to submit the AAP 2 form for the California Necessities Index (CNI) rate increase request.
Rate changes may be applied, as follows:

Specialized Care Increment Rates (SCI)

Specialized Care Increment Rates (SCI), such as D and F (1-4) rates which shall be reassessed every twelve (12) and six (6) months respectively, the SCI rates must be within the required timeframes to continue to be paid. New reassessments shall be completed if the previous assessment period has expired. Requests for the reassessment made within six (6) months after the adoption has been finalized, or prior to the adoption being finalized, must be referred to the last case carrying RFSPD CSW. The SCI rate assessment requests that are made six (6) months after the finalization of the adoption must be referred to the PAS Unit for processing.

Regional Center Rates

If the child is a client of a California regional center, the rates will be based on the regional center rates. If the child is under the age of three (3) and receiving services under the California Early Intervention Services Act, but not yet determined by the California Regional Center (CRC) to have a developmental disability as defined by the Lanterman Act, the maximum AAP benefit is the Dual Agency Early Start rate or the foster family home rate and applicable SCI, whichever is greater. Unlike children receiving AFDC-FC, children receiving AAP payments and Early Start Services who have no other medical condition can receive the F-1 rate instead of Early Start rate. When the child who is receiving Dual Agency Early Start rate reaches age 3 (three) the AAP rate will be reduced to the foster family home basic rate unless a new reassessment was completed and it was established that the child is eligible for a higher rate. If the child is receiving the F-1 Specialized rate the rate will continue until the child is reassessed for another rate.

California regional center clients who leave California shall continue to receive AAP benefits based on the regional center rate previously established, or the applicable rate in the host state (whichever is higher) for which the child is eligible.

Dual Agency Rates

Children who are California Regional Center clients, receiving AFDC-FC, ARC, Kinship Guardianship Assistance Program (Kin-GAP), or AAP benefits, and residing in one of the following facilities, are eligible to obtain a dual agency rate:
  • Adoptive home
  • Approved home of a relative(s)
  • Home of a non-relative extended family member (NREFM)
  • Home of a non-related legal guardian, or former non-related legal guardian when the guardianship of the child otherwise eligible for AFDC-FC has been dismissed due to the child turning eighteen (18) years old
  • Resource Family Approval (RFA) home of a non-relative
  • RFA foster family home not vendorized by Regional Center
Dual agency rates are not available to Foster Family Agency (FFA) homes, group homes/Short-Term Residential Therapeutic Program (STRTP), or community care facilities vendorized by a Regional Center.

Once the AAP 2 for the authorization of a Dual Agency P2 rate is received from the PAS or RFSPD CSW, it will be forwarded from the AAP Reassessment EW to the AAP PRU PRUAAP@DCFS.LACOUNTY.GOV Inbox for completion. If there is a request for the P2 rate at time of intake, the AAP Intake EW will complete the assignment.
  • It is necessary to submit an AAP 2 to request the P2 rate.

Supplemental Rate

A SOC 835, SOC 836 and SOC 837 must be in the child’s case to process P2 supplemental rate. The language in the Notice of Action will indicate rate information that is written into the SOC 835, SOC 836 and SOC 837 instructions.  The AAP 2 and all supporting forms need to be submitted to the AAP PRU PRUAAP@DCFS.LACOUNTY.GOV Inbox for processing.

The failure of the regional center to sign SOC 837 or to provide information for the assessment of the child’s needs does not disqualify the child from receiving Dual Agency Supplement rate payments. When the assessment is completed and the child is approved to be eligible for Supplement rate the rate should be processed regardless of the regional center’s signature on the SOC 837.

Wraparound

Wraparound is a voluntary, multi-agency community-based program that provides supportive services to children, youth and their families. Wraparound provides strength-based, family centered care to high-needs children and youth with multiple, complex and enduring mental health and behavioral challenges with the goal of ensuring child safety and well-being, as well as achieving permanency.

Continuum Care Reform (CCR)

Initial AAP agreements signed on or after January 1, 2017 are eligible to receive Resource Family (RF) Basic Level Rate plus any applicable SCI. Initial AAP agreements signed and adoption finalized on or after May 27, 2011 through December 31, 2016 are eligible to receive rates not to exceed the basic foster family home rate structure effective and available as of December 31, 2016, plus any applicable SCI and California necessities Index (CNI) increases. These agreements may be renegotiated to the RF Basic Level Rate based on the reassessment of child’s needs and the circumstances of adoptive parents.

Out-of-Home Care Placement

Payment for the out-of-home care placement should not exceed the maximum state-approved out-of-home care facility rate for which the child/youth is placed. Any changes in AAP rate require a new AAP agreement and AAP 2 reflecting the new AAP rate, except for CNI increase; the duration of the child’s out-of-home care placement must be agreed upon by the adoptive parent(s). With mutual agreement, the adoptive parents may request the financially responsible public agency to pay the facility directly using eligible AAP funds, or the adoptive parents may request the AAP payments continue to be sent to him and/or her to pay the facility.

Upon return to the adoptive parent(s) home, a new AAP agreement must be signed reflecting the AAP benefit amount. This is not to exceed the state-approved foster family home rate, eligible SCI rate or dual agency rate, or any applicable supplemental rate. The inability of the family and the responsible public agency to agree on the AAP rate may result in a Notice of Action (NOA) being issued and subsequent hearing on the matter.
  • When an entity such as a regional center, county welfare department, or other program pays for the child’s out-of-home care placement, the adoptive parent(s) may continue to receive AAP funding at the state-approved foster family home rate or their actual share of cost for their child’s support, whichever is greater. The adoptive parent(s) maximum share of cost is the state-approved foster family home rate, eligible SCI rate or dual agency rate, or any applicable supplemental rate the child would have received had they remained in out-of-home care.

Notice of Action (NOA)

All NOAs are child-specific. A NOA is completed by the individual taking the action when aid is granted, increased, decreased, discontinued, deferred, terminated or request for a rate change is denied.

A NOA is completed and sent to the adoptive parent when a retroactive payment has been created from the California Necessity Increase (CNI) to reflect the cost of living increase.
PROCEDURE

Rate Changes

The CCEW is to submit an AAP referral packet to the AAP PRU through PRUAAP@DCFS.LACOUNTY.GOV Inbox for all AAP rate change requests (except rate increases due to CNI).

The referral packet is to include:
  • AAP2, Payment Instructions Adoptions Assistance Program
  • The Case Narrative History from PAS (when supplied)
  • Rate Sheet (for out of County/State placements)

AAP PRU EW Responsibilities

  1. Review the AAP referral packet for accuracy and completeness.
    1. If incomplete or inaccurate, return the AAP referral packet to the AAP PRU ES for return to the Reassessment ES for corrective measures.
    2. If complete and accurate:
      1. Verify if the rate requested is consistent with the rate amount set by the State of California.
  2. Access CalSAWS to complete the rate change request
    1. End date the existing/previous rate in CalSAWS and enter the adjusted rate for the existing grant period.
    2. Run the Eligibility Determination and Benefit Calculation (EDBC)
    3. Document actions taken in the CalSAWS Journal
    4. Submit the following documents to the PRU Eligibility Supervisor (ES) via email for review and approval:
      1. An email in which must include the details of rate change if over six (6) months.
      2. AAP Case Referral Form
      3. AAP Rates Sheet
      4. A scanned copy of the NA 791 Notice of Action form.
    5. If the retroactive rate change is for a period of over six (6) months, run the EDBC for the first six (6) months and submit the packet to the AAP PRU ES for approval. Upon notification by the AAP PRU ES of the approval of EDBC for the first six (6) months, repeat the steps outlined above (2) to run EDBC for the next six (6) months until the entire rate change period is covered.  If the AAP PRU ES returns the packet for corrective measures, complete the requested actions and re-submit to the AAP PRU ES for approval.

AAP PRU ES Responsibilities

  1. Review the rate change packet for accuracy and completeness.
    1. If inaccurate or incomplete, return the packet to the PRU EW for corrective measures.
      1. If accurate and complete, within five (5) days, approve the rate change in CalSAWS.
      2. If not approved within five (5) days, EDBC must be ran again by the assigned AAP PRU EW.
      3. If the rate change is for a period of more than six (6) months, approve the EDBC for the first six (6) months and notify the AAP PRU EW to run EDBC for the next six (6) months.
      4. Repeat these steps until the entire rate change period is covered.
  2. Once the approval is completed for the entire rate change period, attach the copy of the NA 791 to the original rate change packet and email to the CCEW/CCES, assigned AAP PRU EW and AAP PRU Unit Clerk, notifying them about the completion of the assignment.

AAP PRU Unit Clerk Responsibilities

Upon receipt of the packet from the AAP PRU ES:
  1. Log off the assignment and mail two (2) copies of the NA 791 to the adoptive parent(s).
    • Upon the automation of the AAP NA 791process, CalSAWS will issue and mail out the applicable NA 791.

Residential Treatment Center (RTC) Placements

AAP PRU EW Responsibilities

  1. Review the AAP referral packet (AAP 2, Case History, if available, and AAP referral form) for accuracy and completeness.
    1. If incomplete or inaccurate, return the AAP referral packet to the AAP PRU ES for return to the Reassessment ES for corrective measures.
    2. If complete and accurate take the following steps.
  2. Access CalSAWS to complete the RTC placement request.
    1. End date the ongoing rate and the placement with the adoptive parent(s).
    2. Start the RTC placement reflected on AAP 2
    3. Run EDBC and review to ensure that the results are accurate.
    4. Generate applicable NA 791s to notify the adoptive parent(s) about the termination of AAP benefits and initiation of payments to RTC
    5. Document your actions in CalSAWS Journal.
  3. Submit the RTC placement AAP referral packet along with the rate sheet scanned copy of NA 791 to the AAP PRU ES for review.

AAP PRU ES Responsibilities

  1. Review the RTC placement packet for accuracy and completeness.
    1. If inaccurate or incomplete, return the packet to the AAP PRU EW for corrective measures.
    2. If accurate and complete, within five (5) days, approve EDBC for the RTC placement.
    3. If not approved within five (5) days, EDBC must be ran again by the assigned AAP PRU EW.
  2. Once the approval is completed forward the RTC Placement packet along with the scanned copy of NA 791 to the CCEW/CCES, assigned AAP PRU EW and AAP PRU Unit Clerk, notifying them about the completion of the assignment.

AAP PRU Unit Clerk Responsibilities

Upon receipt of the packet from the AAP PRU ES:
  1. Log off the assignment and mail two (2) copies of the NA 791 to the adoptive parent(s).
    • Upon the automation of the AAP NA 791process, CalSAWS will issue and mail out the applicable NA 791.

Wraparound Manual Budgets

AAP PRU EW Responsibilities

Upon receipt of the AAP2 and the AAP Case Referral form requesting a manual budget:
  1. Complete and sign the Manual Computation Financial Authorization Document (FAD-Manual Temp) and document the actions taken in the CalSAWS Journal upon completion.
  2. Scan a copy of the NA 791 for initial wraparound.
  3. Submit a scanned copy of the wraparound manual budget packet to the AAP PRU ES for approval. The wraparound manual budget packet consists of:
      • AAP 2
      • AAP Case Referral form
      • NA 791
      • FAD-Manual Template
    1. If returned for corrective measures, take appropriate actions and resubmit to the AAP PRU ES for approval.
  4. For all future months covered by the initial AAP 2, the AAP PRU EW will receive a Case Referral form through the AAP PRU ES. The referral form submitted by the CCEW must identify the specific month that the payment is requested for.

AAP PRU ES Responsibilities

  1. Review the scanned copy of the wraparound manual budget packet.
    1. If the request is incomplete or inaccurate, return the packet to the AAP PRU EW for corrective measures.
    2. If accurate, submit to the Human Services Administrator I (HSA I) for higher level approval.
    3. Upon higher level approval, return the scanned and signed wraparound manual budget packet to the CCEW/CCES, assigned AAP PRU EW and AAP PRU Unit Clerk and provide the original to the Manual Budget/Voucher Unit for data entry in eCaps.
    4. Follow up to ensure the issuance of manual budget.

HSA I Responsibilities

  1. Review the wraparound manual budget packet.
    1. If accurate, approve and return to the AAP PRU ES.
    2. If inaccurate or incomplete, return to the AAP PRU ES for corrective measures.
    3. Upon re-submission, verify corrective measures were accurately completed and approve.

AAP PRU Unit Clerk Responsibilities

Upon receipt of the wraparound manual budget packet from the AAP PRU ES:
  1. Log off the assignment and mail out two (2) copies of the NA 791 to the adoptive parent(s).
    • Upon the automation of the AAP NA 791 process, CalSAWS will issue and mail out the applicable NA 791.

Vendor Information Update

AAP PRU EW Responsibilities

  1. Upon receipt of the Request to Update Vendor information on CalSAWS/Lift Suspension form and supporting documents, review for accuracy and completeness.
    1. If the request is incomplete or inaccurate, submit the packet to the AAP PRU ES in order to be returned to the Reassessment CCEW for corrective measures.
    2. If the request is accurate and complete, continue with the following steps:
      1. Update requested changes in the Resource Data Bank in CalSAWS.
      2. Document actions taken in the CalSAWS Journal.
      3. Update the vendor’s information in CWS/CMS on the following pages:
        • ID Page
        • Service Provider Page
        • L.A Payee Page
  2. Ensure the vendor has not been suspended; if vendor has been suspended lift the suspension in CalSAWS.
  3. Document the description of activity in the CalSAWS Journal and on the Placement Page under the Comments tab in CWS/CMS for the action taken.
  4. Notify the Intake/Reassessment ES via email upon task completion.

AAP PRU ES Responsibilities

  1. Perform random sampling of ten (10) percent (10%) of all completed tasks to ensure accuracy, completeness and to identify additional training needs. The cases for random sampling will be selected equally from all AAP PRU EW.
    • Once workflow is established in CalSAWS, all vendor updates will be approved electronically.

Lift Suspension

AAP PRU EW Responsibilities

  1. Upon receipt of the “Request To Update Vendor Information on CalSAWS/Lift the Suspension” form, complete the following:
    1. Access the Resource Data Bank in CalSAWS and open the Approved for County Use tab and lift the suspension.
    2. Document actions taken in the CalSAWS Journal.
    3. Notify the Intake/Reassessment ES via email upon task completion.

Skipped Issuance

Skipped Issuance reports are centrally monitored by the AAP PRU. Approximately once per month, the Skipped Issuance report is run by the AAP PRU ES and distributed to the AAP PRU EWs for corrective measures when deemed appropriate. For cases that appear for at least three (3) consecutive months, those cases will be removed from the Skipped Issuance report, placed in a separate report and forwarded to the PAS unit by management to follow up with adoptive parent(s).

AAP PRU EW Responsibilities

Upon receipt of assignments:
  1. Review the case discrepancy to determine if corrective measures can be taken or if the skipped issuance item needs to be forwarded to the CCEW for corrective action.
    1. If corrective measures can be taken, take such actions to resolve issue(s) identified.
      1. Upon completion of the corrective measures, run EDBC, if needed, and send notification via email to the CCEW and CCES to inform them of completion.
    2. If corrective measures require assistance from the Reassessment Unit, forward the assignment via email to the CCEW and CCES.
      1. Upon email notification from the AAP PRU EW, the CCEW will investigate the skipped issuance assignment and take corrective measures, as applicable.
        • In some instances, following the CCEW’s review of the assignment, it is determined that the AAP PRU will need to take corrective measures. In those instances, the CCEW will forward a “Request to Update Vendor Information on CalSAWS/Lift Suspension” form approved by the CCES and supporting documentation, if applicable, via email to the AAP PRU inbox at PRUAAP@dcfs.lacounty.gov
      2. Upon completion of corrective measures, run EDBC, if needed, and send notification via email to the CCEW and CCES that the corrective measures have been completed.
  2. Document actions taken in the CalSAWS Journal.
APPROVALS

Eligibility Supervisor

  • CalSAWS Rate Changes
  • Wraparound Manual Budget Packet

Human Services Administrator I (HSA I)

  • Wraparound Manual Budget Packet
HELPFUL LINKS

Forms

LA Kids

AAP 2, Payment Instructions Adoptions Assistance Program

AAP 3, Reassessment Information Adoption Assistance Program

AD 4320, Adoption Assistance Agreement

NA 791, Notice of Action

SOC 835, Supplement to the Dual Agency Rate Multiple Questionnaire Worksheet

SOC 836, Supplement to the Rate Eligibility Form

SOC 837, Supplement to the Rate Questionnaire

REFERENCED POLICY GUIDES

0200-509.40, Terminating an Adoptive Placement

0200-511.05, Initiating Adoption Assistance Program and Medi-Cal Benefits

0900-511.12, Regional Center Foster Rates for Dual Agency Children

0900-511.20, Adoption Fees

0900-522.10, Specialized Care Increment (SCI) – D-Rate

0900-522.11, Specialized Care Increment (SCI) – F-Rate

E050-0560, Adoption Assistance Program - AAP - Freed Child and Intake

E050-0562, Adoption Assistance Program - AAP – Reassessment/Post Adoption

E060-0570, Rate Change Request for Regional Center ARM (Alternative Residential Model) Rates and Dual Agency Rates

E080-0580, Medi-Cal Benefits

FYI 09-06, The Correct Completion of AAP Documents

STATUTES AND OTHER MANDATES

All County Letter (ACL) 09-51, Clarifies federal Title IV-E Adoption Assistance Program (AAP) requirements to ensure California’s compliance with federal law.

ACL 17-67, Clarifies counties requesting information from and working with the California Regional Centers to assist in completing the “Supplement to the Rate Questionnaire” (SOC 837) used to determine eligibility for the supplement established by WIC section 11464, subdivision (c)(2)(A). Per this statute, a county may authorize a supplement of up to $1,000 for children three years of age and older if a county determines a supplement to the dual agency rate is necessary due to a child’s need for extraordinary care and supervision for AFDC-FC, AAP and Kin-GAP children.

ACL 18-48, Provides guidance to counties about how to use their SCR programs to authorize an SCI payment in combination with the new Level of Care (LOC) rate structure and Protocol.

ACL 18-122, Provides information and instructions on the implementation of the Family First Prevention Services Act (Public Law 115-123) Section 50781 as it relates to AAP eligibility.

ACL 18-122E, Clarifies the age to be stated on the AAP eligibility forms for a child who meets the applicable age requirement for the Title IV-E applicable child pathway.  The child’s age is or will be on the last day of the FFY is to be stated on The Federal Eligibility Certification for AAP (FC 8) and the Eligibility Certification for the AAP 4 forms.  The FFY is October 1st through September 30th and is the FFY in which the AD 4320 is or will be signed.

ACL 19-58, Provides information and instructions on the implementation of the Family First Prevention Services Act, as it relates to AAP eligibility, including age eligibility requirements.

Senate Bill (SB) 84 (Statutes of 2007), Increases maximum reimbursement under the AAP and requires the CDSS to review of reimbursement methodology.

Welfare and Institutions Code (WIC) Section 16119, States, in part, that at the time an application for adoption of a child who is potentially eligible for AAP benefits is made, and at the time immediately prior to the finalization of the adoption decree, the department, county adoption agency, or the licensed adoption agency, whichever is appropriate, shall provide the prospective adoptive family with information, in writing, on the availability of AAP Benefits, with an explanation of the difference between these benefits and foster care payments.

WIC Section 16120, Lists the criteria required for a child to be eligible for AAP benefits.

WIC Section 16120.05, Requires the following regarding the adoption assistance agreement (Agreement): 1) It shall, at a minimum, specify the amount and duration of assistance, and that the amount is subject to any applicable increases pursuant to the cost-of-living adjustments established by statute; 2) The date for reassessment of the child’s needs shall be set at the time of the initial negotiation of the Agreement; 3) It shall, thereafter be set at each subsequent reassessment.  The interval between any reassessments may not exceed two (2) years; and, 4) The Agreement shall also specify the responsibility of the adopting family for reporting changes in circumstances that might negatively affect their ability to provide for the identified needs of the child.