Intercountry Adoption Accreditation and Approval Symposium Overview

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Symposium overview highlighting IAAME presenters, objectives, changes in accreditation status, and common findings related to intercountry adoption accreditation and approval from April 2018 to August 2019. Key topics include financial review, independent audits, program-specific training, and staff training.

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INTERCOUNTRY ADOPTION ACCREDITATION AND APPROVAL Symposium September 2019

IAAME PRESENTERS Stephen Pennypacker Chief Executive Officer Michael Reneke Chief Financial Officer Deborah Schroth General Counsel Kim Loughe Executive Director Kimberly Westfahl Manager Brittany Phares Manager Amy Mullen Lead Analyst Maria Gocke Lead Analyst

OBJECTIVES Review of common issues noted in compliance Review enhancements being made by IAAME

Chief Executive Officer Stephen Pennypacker General Counsel Deborah Schroth Chief Financial Officer Michael Reneke Executive Assistant Renee Carson Executive Director Kim Loughe Assistant Executive Director Jessica Conway Manager Brittany Phares Manager Kim Westfahl Lead Analyst - Maria Gocke Lead Analyst - Amy Mullen Analyst Elizabeth ( Betty ) Kelley Analyst - Charity Provancal-Black Analyst - Adam Nelson Analyst Allison ( Allie ) Ray Analyst - Amber Blair Analyst - Lillian Thogersen Analyst Rachel Wegner Analyst April Polyak

Changes in Accreditation and Approval Status April 1, 2018 - August 27, 2019 N = 32 16 14 14 12 10 8 8 5 6 3 4 2 2 0 Number Renewed Number Extended Number Cancelled Number Relinquished Number Expired

COMMON FINDINGS Annual Internal Financial Review and Oversight Independent Audit Post placement and post adoption Disruption and dissolution Foreign Supervised Provider Utilization of Independent Contractors Program vs. Active Country Child Specific Training Staff Training Obtaining medical and social information

COMMON FINDINGS Independent Audit and Annual Internal Financial Review and Oversight 96.33 (b) The agency s or person s finances are subject to annual internal review and oversight and are subject to independent audits every four years. The agency or person submits copies of internal financial review reports for the accrediting entity each year. 96.33 (c) The agency or person submits copies of each audit, as well as any accompanying management letter or qualified opinion letter, for inspection by the accrediting entity. 96.33 (d) The agency or person meets the financial reporting requirements of Federal and State laws and regulations 96.33 (e) The agency s or person s balance sheets show that it operates on a sound financial basis and maintains on average sufficient cash reserves, assets, or other financial resources to meet its operating expenses for two months

COMMON FINDINGS Annual Internal Financial Reviews - information to be provided includes: financial documents reviewed AND documentation the financial documents were reviewed internally Due to the accrediting entity annually and within 30 days from the date of the review The accrediting entity utilizes this information to provide ongoing monitoring and oversight of compliance with 96.33 (e) Independent Audit Required for every 4 years Accompanying management letter must be submitted if received Due to the accrediting entity 30 days from date of receipt

COMMON FINDINGS Post placement and post adoption 96.2 Definitions Post placement means after a grant of legal custody or guardianship of the child to the prospective adoptive parent(s), or to a custodian for the purpose of escorting the child to the identified prospective adoptive parent(s), and before an adoption. Post adoption means after an adoption, in cases in which the adoption occurs in a foreign country as followed by a re-adoption in the United States, it means after the adoption in the foreign country.

COMMON FINDINGS Post placement and post adoption Terms that are often combined or utilized interchangeably in: Policies Service contracts Domestic supervised provider agreements Foreign supervised provider agreements Important to remember: Post placement is an adoption service and post adoption is not.

COMMON FINDINGS Disruption and Dissolution 96.2 Definitions Disruption means the interruption of a placement for adoption during the post-placement period. Dissolutionmeans the termination of the adoptive parent(s)' parental rights after an adoption. Service Contracts with PAPs

COMMON FINDINGS Foreign Supervised Providers Knowing when a provider is a foreign supervised provider Utilization of Independent Contractors Caution Program vs. Active Country Obtaining medical and social information Documentation of Child Specific and Staff Training

PORTAL ENHANCEMENTS Recent Enhancements to the IAAME Portal: New Payments Tab Changes to Client Applications Addition of Self-Report Type drop down list Portal Enhancements in Process: New Self-Reporting Process New Client Application Transfer (case transfer) Process

PAYMENTS TAB Ability to see and track payments made by ASPs; received and posted by IAAME

CLIENT APPLICATION FOLLOW UP SECTION Addition of Help Text and Not Applicable option for various fields

CLIENT APPLICATION FOLLOW UP SECTION Not Applicable option requires a reason be entered.

CLIENT APPLICATION ADOPTION DETAIL Prospective Adoptive Parents Acting on Their Own Behalf and How this Data is Collected in the Client Application Process

CLIENT APPLICATIONS TAB Country Adopting From new addition

CLIENT APPLICATIONS TAB Sorting Client Applications by Column

ENHANCEMENT IN PROCESS: TRANSFER OF CLIENT APPLICATIONS New Transfer process in the Portal: Ability for ASP to transfer a client application(s) directly to another ASP in the portal. Built in acceptance process, including pending transfers appearing on both sending and receiving ASP s homepage. Ability of receiving ASP to reject a formal transfer and indicate reason. Client Application once successfully transferred, will appear in receiving ASP s Client Applications listing, and no longer appear on sending ASP s Client Applications listing. This will eliminate the need for ASPs to delete and create new Client Applications when transferring a case (Client Application) in the Portal.

ACTIVITY: SELF-REPORT Selection of self-report type in the activity

ENHANCEMENT IN PROCESS: SELF REPORTING New Self-Reporting Section of Portal: Each self-report type to include list of required evidence; ability to upload document(s) to that specific required evidence. Self-Report will not allow submission until evidence is submitted for each required item on required evidence list. Combining self-report types for ease in submission: E.g. Initiation of adoption services in a foreign country and notification of change in supervised provider submitted as one report; but appear in the system as two separate reports.