2023 New York Laws › SOS - Social Services › Article 6 - Children › Title 4 - Preventive Services for Children and Their Families › 409-A - Preventive Services; Provision by Social Services Officials.

§  409-a. Preventive services; provision by social services officials.
1.  (a) A social services official shall provide preventive services  to
a  child  and his or her family, in accordance with the family's service
plan as required by section four hundred nine-e of this chapter and  the
social  services  district's  child  welfare services plan submitted and
approved pursuant to section four hundred nine-d of this chapter, upon a
finding by such official that (i) the child will be placed, returned  to
or  continued  in foster care unless such services are provided and that
it is reasonable to believe that by providing such  services  the  child
will be able to remain with or be returned to his or her family, and for
a  former  foster  care  youth  under  the  age  of  twenty-one  who was
previously placed in the care and custody or custody and guardianship of
the local commissioner of social services or  other  officer,  board  or
department  authorized to receive children as public charges where it is
reasonable to believe that by providing such services the former  foster
care youth will avoid a return to foster care or * (ii) the child is the
subject  of a petition under article seven of the family court act or by
the probation service, to be at risk of being  the  subject  of  such  a
petition,  and the social services official determines that the child is
at risk of placement into foster care or
* NB Effective until June 30, 2027
* (ii) the child is the subject of a petition under article seven of the
family court act, or has  been  determined  by  the  assessment  service
established  pursuant  to  section  two  hundred  forty-three-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 the social services  official  determines  according  to
standards  promulgated  pursuant to section three hundred ninety-eight-b
of this chapter that the child is at risk of placement into foster care.
Such finding shall  be  entered  in  the  child's  uniform  case  record
established  and  maintained  pursuant to section four hundred nine-f of
this chapter. The commissioner shall promulgate  regulations  to  assist
social  services  officials  in making determinations of eligibility for
mandated preventive services pursuant to clause (ii) of this paragraph.
* NB Effective June 30, 2027
(iii) the child is under the age of twelve,  the  child  does  not  fall
under  the  definition of a juvenile delinquent pursuant to subparagraph
(iii) of paragraph (a) of subdivision one of section 301.2 of the family
court act and but for their age, their behavior would bring them  within
the  jurisdiction  of  the family court pursuant to article three of the
family court act, and the social services official determines  that  the
child  is  at  risk of placement into foster care. Such finding shall be
entered in the child's uniform case record  established  and  maintained
pursuant   to   section   four  hundred  nine-f  of  this  article.  The
commissioner shall promulgate  regulations  to  assist  social  services
officials   in   making   determinations  of  eligibility  for  mandated
preventive services pursuant to this subparagraph.
(b) When a child and his family have received preventive services  for
a period of six months pursuant to this subdivision, the social services
official  shall continue to provide such services only upon making a new
finding that the child will be placed or continued in foster care unless
such services are provided and that it is reasonable to believe that  by
providing  such  services,  the  child will be able to remain with or be
returned to his family. Such new finding shall be entered in the child's
uniform case record established and maintained pursuant to section  four
hundred nine-f of this chapter.
2.  A  social  services  official  is authorized to provide preventive
services to a child and his family to accomplish the purposes set  forth

in section four hundred nine of this chapter, when such services are not
required to be provided pursuant to subdivision one of this section.
3. * (a) A social services official is authorized to provide community
preventive  services to communities likely to benefit from such services
to accomplish the purposes set forth in section  four  hundred  nine  of
this  chapter.  Social  services  officials  may  apply to the office of
children  and  family   services   for   waiver   of   eligibility   and
administrative  requirements  for  preventive  services  to  be provided
pursuant to this subdivision. Such  application  shall  include  a  plan
setting forth the services to be provided, the persons or community that
will  receive the services and the estimated cost of such services. Upon
approval of the  application  by  the  office  of  children  and  family
services,  eligibility requirements established in statute or regulation
may be waived for those persons and communities identified in  the  plan
as  recipients of the services set forth in the plan. Where services are
administered pursuant to a plan approved by the office of  children  and
family  services,  the  office of children and family services may waive
the  requirements  of  section  four  hundred  nine-f  or  four  hundred
forty-two of this article.
* NB Effective until June 30, 2027
* (a)  A  social  services official is authorized to provide community
preventive services to communities likely to benefit from such  services
to  accomplish  the  purposes  set forth in section four hundred nine of
this chapter. Social services officials may apply to the department  for
waiver  of  eligibility  and  administrative requirements for preventive
services to be provided pursuant to this subdivision.  Such  application
shall  include  a  plan  setting  forth the services to be provided, the
persons or community that will receive the services  and  the  estimated
cost  of  such  services.  Upon  approval  of  the  application  by  the
department,  eligibility  requirements   established   in   statute   or
regulation may be waived for those persons and communities identified in
the  plan  as  recipients  of  the services set forth in the plan. Where
services are administered pursuant to a plan approved by the department,
the department may  waive  the  requirements  of  sections  one  hundred
fifty-three-d   and   three   hundred  ninety-eight-b  of  this  chapter
pertaining to denial or reimbursement. Where such a waiver is  approved,
the department approval must specify standards whereby services provided
will   be  subject  to  denial  of  reimbursement.  Where  services  are
administered  pursuant  to  a  plan  approved  by  the  department,  the
department  may waive the requirements of section four hundred nine-f or
four hundred forty-two of this article.
* NB Effective June 30, 2027
(b) The department must inform social services districts of procedures
governing application for  waivers  of  eligibility  and  administrative
requirements  and  approval of waivers of eligibility and administrative
requirements. Where such waivers are granted, the department shall  have
the  authority  to  establish  alternative  standards  to be followed by
social services officials who are granted  waivers  by  the  department.
Upon  approval  of  an  application  for  such  waivers,  the department
approval must specify the requirements being waived and any  alternative
standards established.
(c)  Community  preventive  services  may be provided pursuant to this
subdivision through demonstration projects to the extent the  department
makes funds available for such projects.
(d)  The  department  shall  develop  an evaluation plan no later than
April  first,  nineteen  hundred  eighty-eight,  for  community  service
demonstration  projects  and, subject to the approval of the director of
the  budget,  may  use  up  to  five  percent  of  the  amount  annually

appropriated  for  project grants to conduct such evaluation which shall
include but need not be limited to: an assessment of  the  effectiveness
of  various  service  delivery  models in creating or enhancing linkages
among  school, housing, health, and income support services available in
the community; the  effectiveness  of  various  preventive  services  in
averting   family   disruption;  the  cost  effectiveness  of  providing
community focused  preventive  services;  the  impact  of  this  service
provision   on  requirements  for  more  intensive  mandated  preventive
services; and, the feasibility of replicating successful service  models
in other communities throughout the state.
4. Preventive services may be provided directly by the social services
official  or through purchase of service, in accordance with regulations
of the department.
5. (a) Regulations of the department, promulgated pursuant to and  not
inconsistent   with   this  section,  shall  contain  program  standards
including,  but  not  limited  to:  specification  of  services  to   be
classified   as   preventive  services;  appropriate  circumstances  and
conditions  for  the  provision  of  particular  services;   appropriate
providers  and  recipients  of such services; and time limits, as may be
appropriate, for the provision of particular  services.  The  department
shall,  subject to the approval of the director of the budget, establish
reimbursement or charge limitations for particular services or groups of
services  to  be  provided.  The  department   shall   also   promulgate
regulations  to  prevent  social  services  districts from overutilizing
particular forms or  types  of  preventive  services  and  to  encourage
districts  to provide balanced preventive services programs based on the
identified needs of children and families residing in such districts.
(b) The program standards promulgated  pursuant  to  this  subdivision
shall be developed with the participation of the child welfare standards
advisory  council established pursuant to section four hundred nine-h of
this chapter and in consultation with public  and  voluntary  authorized
agencies,  citizens' groups and concerned individuals and organizations,
including the state council on children and families.
(c) Notwithstanding any other  provision  of  this  section,  where  a
social  services  official determines that a lack of adequate housing is
the primary factor preventing the discharge of a child or children  from
foster  care  including,  but  not limited to, children with the goal of
discharge to independent living, preventive services shall  include,  in
addition  to  any  other  payments  or  benefits received by the family,
special cash grants in  the  form  of  rent  subsidies,  including  rent
arrears, or any other assistance, sufficient to obtain adequate housing.
Such  rent  subsidies  or  assistance  shall not exceed the sum of seven
hundred twenty-five dollars per month,  shall  not  be  provided  for  a
period  of  more  than  three  years,  and shall be considered a special
grant. Nothing in this paragraph shall be construed to limit the ability
of those using such rent subsidy to live with roommates. The  provisions
of  this  paragraph  shall  not  be  construed  to limit such official's
authority to provide other preventive services.
(e) (i) A social services official  is  authorized  to  establish  and
operate,  or contract for the establishment and operation of, intensive,
homebased, family preservation programs.
(ii) Notwithstanding any other provision  of  law,  reimbursement  for
intensive,  homebased  family  preservation services shall be limited to
those programs that reduce or avoid the need for foster care of children
who are in imminent danger of  placement.  Such  programs  shall  employ
caseworkers trained in family preservation techniques and who provide at
least  half  of  their  direct  services  in  the  client's residence or
temporary home, work with no more than four families at any given  time,

provide  direct  therapeutic services for up to thirty days which may be
extended up to an additional thirty days per family  and  are  available
twenty-four  hours  a  day.  No  program  described herein shall receive
reimbursement  unless  such program agrees to collect and provide to the
department information necessary to evaluate and assess  the  degree  to
which  such  program  results  in lower costs to the state and to social
services districts than those of foster care placement. Such information
shall be compiled in a manner that permits comparisons between  families
served by such programs and those families who meet eligibility criteria
but who were not able to be served within available resources.
(f)  Notwithstanding  any  other  provision  of  law,  where  a social
services official authorizes the provision of respite  care,  such  care
shall  mean  the  temporary  care  and supervision of a child to relieve
parents or other persons legally responsible for the care of such  child
where   immediate  relief  is  needed  to  maintain  or  restore  family
functioning.
6. In accordance with regulations of the department, where the child's
family is able to pay all or part of the cost of such services, payments
of such fees as may be reasonable or other third party reimbursement  as
may  be  available  in  the  light  of  such  ability shall be required.
Expenditures subject to reimbursement pursuant to section  four  hundred
nine-b of this title shall be reduced by the sum of all fees received or
to be received pursuant to this subdivision.
* 7.  Notwithstanding any other provision of this section, if a social
services official determines that a lack of adequate housing is a factor
that may cause the entry of a child or children into foster care and the
family has at least  one  service  need  other  than  lack  of  adequate
housing,  preventive  services  may  include,  in  addition to any other
payments or benefits received by the family, special cash grants in  the
form of rent subsidies, including rent arrears, or any other assistance,
sufficient to obtain adequate housing. Such rent subsidies or assistance
shall not exceed the sum of seven hundred twenty-five dollars per month,
shall  not  be provided for a period of more than three years, and shall
be considered a special grant. Nothing  in  this  subdivision  shall  be
construed  to limit the ability of those using such rent subsidy to live
with roommates. The provisions of this paragraph shall not be  construed
to limit such official's authority to provide other preventive services.
* NB There are two sub 7's
* 7.  Notwithstanding  any other provision of law, preventive services
information governed by this section may be released by the  department,
social  services  district or other provider of preventive services to a
person, agency or organization for purposes  of  a  bona  fide  research
project.  Identifying  information shall not be made available, however,
unless it is absolutely  essential  to  the  research  purpose  and  the
department  gives  prior approval. Information released pursuant to this
subdivision shall not be re-disclosed except as otherwise  permitted  by
law and upon the approval of the department.
* NB There are 2 sub 7's
8.  In  contracting  for  the provision of preventive services, social
services districts shall, to the extent feasible, place such services in
areas with a high rate of  child  abuse  and  neglect  and  foster  care
placements.  Social  services  districts  shall, to the extent feasible,
consider as a priority community-based organizations with  a  record  of
providing quality services to children and families in such communities.
9.  (a)  Notwithstanding any provision of law to the contrary, records
relating to children pursuant to this section shall be made available to
officers and  employees  of  the  state  comptroller,  or  of  the  city
comptroller of the city of New York, or of the county officer designated

by  law  or  charter  to perform the auditing function in any county not
wholly contained within a  city,  for  purposes  of  a  duly  authorized
performance  audit,  provided,  however that such comptroller or officer
shall  have  certified  to the keeper of such records that he or she has
instituted procedures developed in consultation with the  department  to
limit  access  to  client-identifiable  information to persons requiring
such information for purposes of the audit, that such persons shall  not
use  such  information  in  any way except for purposes of the audit and
that  appropriate  controls  and  prohibitions  are   imposed   on   the
dissemination of client-identifiable information obtained in the conduct
of  the audit. Information pertaining to the substance or content of any
psychological, psychiatric, therapeutic, clinical  or  medical  reports,
evaluations or like materials or information pertaining to such child or
the  child's  family  shall  not  be made available to such officers and
employees unless disclosure of such information is absolutely  essential
to  the  specific  audit activity and the department gives prior written
approval.
(b) Any failure to maintain the confidentiality of client-identifiable
information shall subject such comptroller or officer to denial  of  any
further  access  to  records  until  such  time  as the audit agency has
reviewed its procedures concerning controls and prohibitions imposed  on
the  dissemination  of such information and has taken all reasonable and
appropriate   steps   to   eliminate   such   lapses   in    maintaining
confidentiality  to  the  satisfaction of the department. The department
shall establish the grounds for denial of access  to  records  contained
under   this  section  and  shall  recommend  as  necessary  a  plan  of
remediation to the audit agency, except as  provided  in  this  section,
nothing in this subdivision shall be construed as limiting the powers of
such  comptroller or officer to records which he is otherwise authorized
to audit or obtain under any other  applicable  provision  of  law,  any
person  given  access  to  information  pursuant to this subdivision who
released data or information to persons or agencies  not  authorized  to
receive such information shall be guilty of a class A misdemeanor.
10. All sums received by the state under section 201 of Federal Public
Law  105-89  shall  be paid to the districts in proportion to the amount
earned by the district for federal adoption incentives and shall only be
used to provide preventive services to a child and his or her family  as
defined  in  paragraph  (a)  of  subdivision  five  of  this section, in
addition to those required by  the  maintenance  of  effort  requirement
contained  in  subdivision  six  of section one hundred fifty-three-i of
this chapter, except that up to thirty percent of such sums may be  used
to  provide  post-adoption  services to children or families. Preventive
services shall include substance abuse treatment  services  provided  to
pregnant  women  or  a caretaker person in an outpatient, residential or
in-patient setting. Amounts expended by the  state  in  accordance  with
this   section   shall   be   disregarded  in  determining  the  state's
expenditures for purposes of federal matching  payments  under  sections
four  hundred  twenty-three,  four  hundred thirty-four and four hundred
seventy-four of this chapter.
* 11. (a) The office of children and family services shall collect the
following data regarding preventive services, as defined in section four
hundred nine of this title, and compile an annual report on such data by
local social services district:
(i) the total number of children and families admitted to or receiving
a new service authorization for preventive services during the preceding
calendar year;
(ii) the total annual number of  unduplicated  children  and  families
receiving one or more days of preventive services including how many new

preventive  cases  were opened during the preceding calendar year and to
the extent such information is known  and  available  after  making  all
diligent efforts, the referral source for each new case;
(iii)  the  total  number  of  children  and families whose preventive
services authorization was closed during the preceding calendar year;
(iv) a descriptive list of the services and their utilization rate, if
practicable, in  each  local  social  services  district  which  utilize
preventive  service  funding  as  allowable  under  section  one hundred
fifty-three-k of this chapter;
(v) a descriptive list and their utilization rate, if practicable,  of
other  preventive  services provided by a local social services district
that does not utilize preventive service funding pursuant to section one
hundred fifty-three-k of this chapter. For purposes of  this  paragraph,
other  preventive  services  shall include but not be limited to primary
preventive services which  may  be  funded  through  community  optional
preventive services funding or home visiting funds;
(vi)  the  total number of children who entered foster care during the
preceding calendar year who had  received  preventive  services  at  any
point  during  the  twelve-months prior to their entry into foster care;
and
(vii) any other information the commissioner  may  deem  necessary  to
include in said report.
(b)  The  office  of  children  and  family services shall submit such
report to the governor, the  speaker  of  the  assembly,  the  temporary
president  of  the  senate,  the chairpersons of the assembly and senate
children and families committees, the chairperson of the  assembly  ways
and  means committee and the chairperson of the senate finance committee
starting no later than September first, two  thousand  twenty-one.  Such
report  shall  include data and information required by paragraph (a) of
this subdivision for the preceding calendar year,  to  the  extent  such
information  is  available.  When practicable, such information shall be
disaggregated by age, sex, race and ethnicity.
(c) The initial report shall include the aforementioned data from  the
preceding two calendar years.
* NB Repealed September 1, 2024