[Federal Register Volume 73, Number 38 (Tuesday, February 26, 2008)]
[Rules and Regulations]
[Pages 10338-10378]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: E8-3050]
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Part II
Department of Health and Human Services
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Administration for Children and Families
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45 CFR Part 1356
Chafee National Youth in Transition Database; Final Rule
Federal Register / Vol. 73, No. 38 / Tuesday, February 26, 2008 /
Rules and Regulations
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DEPARTMENT OF HEALTH AND HUMAN SERVICES
Administration for Children and Families
45 CFR Part 1356
RIN 0970-AC21
Chafee National Youth in Transition Database
AGENCY: Administration on Children, Youth and Families (ACYF),
Administration for Children and Families (ACF), Department of Health
and Human Services (DHHS).
ACTION: Final rule.
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SUMMARY: This final rule adds new regulations to require States to
collect and report data to ACF on youth who are receiving independent
living services and on the outcomes of certain youth who are in foster
care or who age out of foster care. The final rule implements the data
collection requirements of the Foster Care Independence Act of 1999
(Pub. L. 106-169) as incorporated into the Social Security Act.
DATES: Effective Date: April 28, 2008.
Compliance Date: A State must implement and comply with this rule
no later than October 1, 2010.
FOR FURTHER INFORMATION CONTACT: Kathleen McHugh, Director of Policy,
Children's Bureau, Administration on Children, Youth and Families, 202/
401-5789 or by e-mail at [email protected].
SUPPLEMENTARY INFORMATION: The preamble to this final rule is organized
as follows:
I. Background
A. Legislative History
B. Rule Development
II. The National Youth in Transition Database (NYTD)
A. Overview of Changes and Regulatory Provisions
B. Implementation Timeframes
C. Discussion of Non-Regulated Issues
III. Section-by-Section Discussion of Final Rule
IV. Impact Analysis
I. Background
A. Legislative History
Each year thousands of young people are discharged from State
foster care systems because they reach the age at which they are no
longer eligible for out-of-home placement services. During the early
1980s, research and anecdotal evidence indicated that many young people
who emancipated from foster care experienced numerous difficulties in
their attempts to achieve self-sufficiency. Rather than making a
successful transition to living on their own, a significant percentage
of these youth experienced homelessness, unemployment, victimization,
and dependence on various types of public assistance.
In response to this problem, in 1986 President Reagan signed into
law the Title IV-E Independent Living Initiative (Pub. L. 99-272). The
law provided States with funding to make independent living services
available to youth in foster care between the ages of 16 and 21.
Several improvements were made to this law by the Foster Care
Independence Act of 1999 (Pub. L. 106-169) signed by President Clinton
on December 14, 1999. This law established the John H. Chafee Foster
Care Independence Program (CFCIP) at section 477 of the Social Security
Act (the Act). Compared to Public Law 99-272, the Foster Care
Independence Act provides States with greater funding and flexibility
to carry out programs to assist youth in making the transition from
foster care to self-sufficiency. The legislation provides States with
funding to identify and make available independent living services to
youth ``who are likely to remain in foster care'' until at least age
18--thus removing the minimum age requirements for the receipt of
independent living services. Public Law 106-169 also requires States to
provide assistance and services to youth who age out of foster care,
until age 21, and allows States to use part of their funding to provide
room and board assistance to these youth. On January 17, 2002,
President Bush signed into law the Promoting Safe and Stable Families
Amendments of 2001 (Pub. L. 107-133), which provided States with
funding specifically for post-secondary education and training vouchers
for youth who are eligible for CFCIP services.
The Foster Care Independence Act of 1999 requires ACF to develop
and implement a data collection system, in consultation with various
stakeholders, to perform two functions: (1) Track the independent
living services States provide to youth; and, (2) develop outcome
measures that may be used to assess State performance in operating
their independent living programs. With regard to services, the Act
requires us to identify data elements to track the number and
characteristics of children receiving services under section 477 of the
Act and the type and quantity of services States provide. With regard
to outcomes, section 477(f)(1) of the Act requires that we develop
outcome measures, including measures of educational attainment, receipt
of a high school diploma, employment, avoidance of dependency,
homelessness, non-marital childbirth, incarceration, and high-risk
behaviors, and the data elements to track States' performance on the
outcome measures. The law also requires that ACF impose a penalty in an
amount that ranges from one to five percent of the State's annual
allotment on any State that fails to comply with the reporting
requirements. ACF must base a State's penalty amount on the degree of
noncompliance (section 477(e)(2) and (3) of the Act).
B. Rule Development
In developing the rule we engaged in an extensive consultation
process on the information that would comprise the NYTD. Our
consultation included national discussion groups with child welfare
agency administrators and independent living coordinators at the State,
Tribal, and local levels; public and private agency youth service
providers; technical assistance providers; child welfare advocates;
group home staff and administrators; and current and former foster
youth and foster parents. We also held conference calls with
independent living coordinators and information technology managers
from several States. Finally, we conducted a pilot test of the draft
data elements in seven States and one Indian Tribe and formed a work
group of national associations, resource centers and State and Tribal
representatives to analyze the results of the pilot test.
After gathering the information from consultation and conducting
further internal deliberations, we published a notice of proposed
rulemaking (NPRM) on July 14, 2006 (71 FR 40346-40382) that outlined
the National Youth in Transition Database proposal. During the 60-day
comment period, we received 67 substantive and unduplicated letters
containing approximately 225 comments and questions on the proposal.
The commenters included representatives from 38 State child welfare
agencies and 14 national child welfare organizations, associations or
advocacy groups, among others.
We received widespread support for many of the general concepts of
the NYTD, particularly the variety of service and outcomes data
elements. Commenters had a number of suggestions for minor
modifications or clarifications that they believed would enhance the
rule and the NYTD. Commenters also raised a number of questions on
matters that are beyond the scope of the NYTD proposal and final
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rule. Most concerns from commenters centered around the timeframe for
implementing the NYTD, the parameters of the reporting populations,
cost and burden issues generally and particularly with regard to
tracking youth who are no longer in foster care and the effect of
penalties on State services and youth.
II. The National Youth in Transition Database
A. Overview of Changes and Regulatory Provisions
We did not significantly change the final NYTD from the proposal in
most areas. Although many of the thoughtful comments led us to
reconsider aspects of our proposals and make numerous technical
revisions, we found compelling reasons to retain key elements of the
NYTD. We were convinced to make changes in two major areas: (1) To
extend the time States have to develop their information systems and
internal procedures to be able to collect and report data to the NYTD,
and (2) to exclude education and training vouchers from the Federal
funds that are subject to a penalty if a State does not comply with the
NYTD requirements. These major changes, along with all other changes,
are discussed in more detail throughout the preamble. A final overview
of the NYTD follows.
States will report to NYTD four types of information about youth:
services provided to youth, youth characteristics, outcomes, and basic
demographics. In terms of services, States will identify the type of
independent living services or financial assistance that the State
provides to youth. There are 11 broad service categories:
Independent living needs assessment.
Academic support.
Post-secondary educational support.
Career preparation.
Employment programs or vocational training.
Budget and financial management.
Housing education and home management training.
Health education and risk prevention.
Family support and healthy marriage education.
Mentoring.
Supervised independent living.
The State also will identify the characteristics of each youth
receiving independent living services, such as their education level
and tribal membership.
In terms of outcomes, States must collect and report information on
youth who are or were in foster care that we can use to measure the
collective outcomes of these youth and potentially assess the State's
performance in this area. We will collect data on six general outcomes:
Increase youth financial self-sufficiency.
Improve youth educational (academic or vocational)
attainment.
Increase youth connections with adults.
Reduce homelessness among youth.
Reduce high-risk behavior among youth.
Improve youth access to health insurance.
The States must survey young people who are or were previously in
foster care regarding their outcomes information. States will collect
information on these youth at three specific intervals: On or about the
youth's 17th birthday while the youth is in foster care; two years
later on or about the youth's 19th birthday; and again on or about the
youth's 21st birthday. States must report on 19- and 21-year-olds who
participated in data collection at age 17 while in foster care, even if
they are no longer in the State's foster care system or receiving
independent living services at ages 19 and 21. States will collect
outcome information on a new baseline population of youth (17-year-olds
in foster care) every three years.
Finally, States will identify basic demographic information, such
as sex and race of each youth in each of the reporting populations.
States will report all four types of information (services,
characteristics, outcomes if applicable in that year, and basic
demographics) to the NYTD semi-annually on a Federal fiscal year basis.
ACF will evaluate a State's data file against file submission and data
compliance standards designed to ensure that we have quality data on
youth. States that fail to achieve any of the compliance standards for
a reporting period will be given an opportunity to submit to us
corrected data. If a State's corrected data does not comply with the
data standards, the State will be subject to a penalty in an amount
that ranges from one to five percent of the State's annual CFCIP
funding, depending on the level of noncompliance. The funds subject to
a penalty will not include the State's education and training voucher
allotment.
B. Implementation Timeframe
Implementation of the NYTD will occur on October 1, 2010. This
means that a State must begin to collect data on October 1, 2010
(Federal fiscal year (FFY) 2011) and submit the first report period
data to us by May 15, 2011, in accordance with the NYTD requirements in
this final rule. This later implementation date is in direct response
to comments raised by stakeholders in response to the NPRM.
In the NPRM preamble, we indicated that States would have at least
a year between issuance of a final rule and the implementation date of
the NYTD. We did not establish a specific implementation date at that
time. However, a large number of commenters who represented the
perspectives of States, advocates and other stakeholders, believed that
a year was not enough time to comply with the NYTD requirements for a
number of reasons. We carefully considered the information provided to
us through comment, and reviewed our rationale for the one-year
implementation timeframe. We found that the commenters raised issues to
us that we had not fully considered in developing our original
estimates of how long States would need to comply with this rule and we
agree that a change is warranted.
Most commenters stated that implementing the NYTD would require
changes to a State's Statewide Automated Child Welfare Information
System (SACWIS). These changes would take more time than we originally
suggested because the NYTD provisions which relate to youth who are
still in foster care or who are receiving independent living services
must be incorporated into a State's SACWIS in accordance with existing
SACWIS rules in 45 CFR 1355.53(b)(5)(iii) and ACF-OISM-001 (1995).
Forty-four States are in some stage of SACWIS development or operation
and would thus need to make these changes in their SACWIS.
SACWIS changes often require a State to develop and award contracts
to implement new programming and design features and secure new
funding. The commenters pointed out that tight State budgets and long
lead times needed to secure State appropriations mean that States are
not guaranteed funding or legislative approval to implement the NYTD
quickly. These combined issues can lead to a protracted period before
the State has in hand final approval to even start developing a system,
let alone begin the work required to change data systems to accommodate
the new data requirements. We agree with these points as our own
experiences interacting with States that are attempting to secure
funding for SACWIS confirm that internal State processes for obtaining
funding for
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information system changes, and then implementing system changes take a
significant amount of time.
In addition to concerns about SACWIS or development of other
information system capability, commenters registered significant
uncertainty about States' ability to comply with the outcomes component
of the NYTD in the suggested timeframe. This was of particular concern
to States, given their inexperience with administering an outcomes
survey over an extended time to youth who have left foster care. We
have acknowledged throughout the NPRM and final rule process that the
outcomes component is one of the most challenging aspects of the NYTD.
As such, we believe that we must give States a sufficient opportunity
to conduct planning activities and take advantage of technical
assistance.
Most commenters suggested that a two to three year implementation
timeframe is more reasonable. We agree that a minimum of two years to
implement the requirements of the NYTD is justified and have set the
compliance date as October 1, 2010 accordingly. Providing less time
than two years will not serve us or the States well in our mutual goals
to understand and serve youth better. The later implementation date is
designed to ensure that States are prepared and able to submit quality
data on youth independent living services and youth outcomes. In the
first year of start-up activities, ACF plans to provide intensive
technical assistance to support States as they assess their system
design and development needs. During the second year of start-up
activities, we plan to continue technical assistance, release technical
documents on file and transmission procedures, and support States as
they conduct voluntary tests of their systems.
All compliance standards and the associated penalties will take
effect during the first year of implementation and will not be delayed
further as some commenters suggested. We do, however, hope to encourage
States to submit data to us voluntarily prior to the required
implementation date. Doing so could mean that States are able to test
their systems prior to the compliance date, and we in turn can begin
providing technical assistance based on States' actual experiences. We
intend to issue guidance on whether and how we may be able to accept
voluntary data submissions prior to the compliance date.
C. Discussion of Non-Regulated Issues
We received a number of comments and questions on topics that are
outside the scope of this rulemaking. Such comments addressed general
topics such as technical assistance requests, performance standards,
ongoing consultation between various stakeholders on the CFCIP program
and NYTD, technical questions about modifying SACWIS and strategies for
tracking youth. The proper forum for these requests is through the ACF
regional offices and our technical assistance providers.
III. Section-by-Section Discussion of Final Rule
Section 1356.80 Scope
This section requires the State agency that administers or
supervises the administration of the Chafee Foster Care Independence
Program under section 477 of the Social Security Act to comply with the
data collection and reporting requirements in this final rule. We did
not receive comments on this section. We made a minor modification to
the section to include State agencies that ``supervise the
administration'' of the CFCIP in addition to those that directly
administer the program in the scope of these NYTD requirements. This
modification brings the scope statement in line with the statutory
requirements for an administrating or supervisory State agency in
section 477(b)(2) of the Act.
Section 1356.81 Reporting Population
This section describes the three reporting populations of youth on
whom States must obtain services and outcomes information to report to
the NYTD: The served, baseline and follow-up populations.
Served Population
In paragraph (a), we describe the served population as youth who
receive an independent living service paid for or provided by the State
agency during a six-month report period.
Comment: A number of commenters sought clarity on which youth
comprise the served population and asked whether specific subgroups
were a part of the population. Specifically, commenters asked whether
tribal youth, youth involved with the juvenile justice system, youth
who receive services through the staff of a group home or child care
institution, and youth no longer in foster care would fall within the
served population.
Response: In general, a youth is in the served population if during
the report period, the youth received at least one independent living
service paid for or provided by the State agency. We are making a minor
amendment to the final rule to remove the reference to ``services'' as
only one independent living service is required during the report
period for the youth to be a part of the served population. An
independent living service is provided by the State agency if it is
delivered by State agency staff or an agent of the State, including a
foster parent, group home staff, child care institution staff or the
service is provided pursuant to a contract between the State agency and
a provider, agency or any other entity regardless of whether the
contract includes funding for the particular service. Independent
living services that are paid for or provided by the State agency can
be delivered in a variety of formats. The served population is not
limited on the Federal level by age, foster care status or placement
type, although State eligibility rules for their independent living
programs may restrict which youth receive independent living services.
Therefore, tribal youth, youth involved with the juvenile justice
system, youth who receive services through foster care providers and
youth no longer in foster care are a part of the served population if
they receive an independent living service paid for or provided by the
State agency during the report period.
Comment: Some commenters suggested that we gather data in some way
on youth who do not receive independent living services. Some
commenters suggested that we require States to identify and explain why
subgroups of youth do not receive services, such as youth who were
eligible for independent living services in the State and/or youth who
are referred to independent living. Other commenters suggested that we
capture information on youth who do not receive independent living
services outside of the NYTD.
Response: In developing the NPRM, we considered and rejected an
approach to require States to identify and explain why youth do not
receive independent living services. We explained in the NPRM that the
statute's mandate is limited to collecting data on independent living
services that youth receive (section 477(f)(1)(B)(i) of the Act). We
believe that gathering information on why youth do not receive
independent living services is better suited to research or evaluation
activities and therefore we are not making a change to the final rule
in this regard. We want to be clear, however, that we have designed the
outcomes component of the NYTD to look at the outcomes of youth whether
or not they receive independent living services that are paid for or
provided by the State
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agency. This outcomes information can be used in conjunction with
information from the Adoption and Foster Care Analysis and Reporting
System (AFCARS) to tell us more about youth who do not receive
independent living services and how they fare.
Comment: Some commenters urged us to expand the served population
to include youth who receive independent living services that are
brokered or arranged by the State agency through an agreement with
other public or private agencies, rather than just those independent
living services that are paid for or provided by the State agency.
Commenters believed that broadening the scope of the served population
would be in keeping with CFCIP State plan requirements to coordinate
services with other Federal, State and local programs serving youth.
Further, commenters suggested that including services that are
arranged, brokered, or offered through collaboration would better
reflect the range of independent living services youth may receive.
Response: We carefully considered the issues raised by commenters
but are not convinced that the suggestions to expand the served
population, for example, to include those youth served through
collaborations, agreements or other State agency arrangements that are
neither paid for nor provided by the State agency, offers a significant
improvement to the NYTD. We recognize that States collaborate with
community partners in a variety of ways to benefit youth as required
under the CFCIP State plan. However, including youth served as a result
of those collaborations or otherwise arranged or brokered by the State
agency in the served population is too far removed from the statutory
mandate to collect data on youth served under the CFCIP. Further, we
believe that expanding the served population to include youth who
receive independent living services in their community that are neither
paid for nor provided by the State agency would distort what we can
learn about the services provided under the CFCIP.
Rather, we are interested in a State collecting and reporting
information on youth who receive an independent living service due to
the State agency's commitment of funds or resources to provide the
service. Therefore, an independent living service is provided by the
State agency if it is delivered by State agency staff or an agent of
the State, including a foster parent, group home staff, or child care
institution staff. The service is also provided by the State agency if
it is provided to the youth pursuant to a contract for such services
between the State agency and a provider, public or private agency or
any other entity, regardless of whether the contract includes funding
for the particular service. Services that are paid for directly or
indirectly by the State agency are included as well. We believe this
definition of the served population is sufficiently broad, and, as
such, are retaining the served population description as stated in the
NPRM.
Comment: A commenter thought the served population definition was
too broad and suggested that we limit it to foster care youth and
former foster care youth who are 17 years old and receiving independent
living services.
Response: As we discussed in the NPRM, the statute is clear that we
are to collect data on all youth who receive independent living
services under the CFCIP and does not carve out youth in foster care or
former foster care youth of a certain age. Further, narrowing the
reporting population in such a way may limit the information we can
learn about how States are serving youth through the CFCIP. As such, we
are not making the suggested change to the served population.
Comment: Several commenters sought clarification on how the served
population was distinct from or related to the baseline and follow-up
population.
Response: The NYTD has two separate but related components:
independent living services and youth outcomes. The reporting
populations are separate for each component, although not mutually
exclusive.
States are to collect and report independent living services
information on youth who fall within the served population. The served
population is made up of youth who have received at least one
independent living service that is paid for or provided by the State
agency during a six-month report period. The youth's age and foster
care status is not relevant to whether he or she is in the served
population.
States are to collect and report outcomes information on youth who
are in the baseline and follow-up populations. The baseline population
is comprised of all 17-year-olds in foster care during a year in which
such outcomes data is due (beginning in FFY 2011), regardless of
whether the youth receives any services. The follow-up population is a
subgroup of the baseline population: Youth who participated in the
outcomes data collection when they were 17 years old, but who are now
19 or 21 years old. A few simple examples (that do not address
sampling) illustrate how the reporting populations may overlap or
diverge:
Example 1. In December 2010, a youth turns 17 years old
while in foster care and takes a budgeting class that is paid for by
the State agency in January 2011. This youth would be part of the
served population for the first report period of FFY 2011 (October 1,
2010 through March 31, 2011) and reported as receiving the ``budget and
financial management'' service. The same youth would also be a part of
the baseline population for whom the State must administer the outcomes
survey. This is because FFY 2011 is a year in which the States must
collect data on the baseline population, which is comprised of those
youth in foster care who reach their 17th birthday in the FFY.
Example 2. In November 2011, a different 17-year-old in
foster care takes a budgeting class that is paid for by the State
agency. This youth would be part of the served population for the first
report period of FFY 2012. However there is no outcomes data collection
due in FFY 2012, therefore, the youth is not in the baseline
population.
Example 3. In December 2012, the same youth from example 1
reaches 19 years old. By the end of March 2013, this youth had not
received any independent living services that were paid for or provided
by the State agency during the first report period (October 1, 2012
through March 31, 2013), so the youth is not a part of the served
population. However, two years ago, this youth completed the outcomes
survey as part of the baseline population. Therefore, the youth is a
part of the follow-up population and the State is required to collect
and report outcomes data for this youth.
Baseline Population
In paragraph (b), we describe the baseline population for the
purpose of collecting outcome information as a youth who is in foster
care as defined in 45 CFR 1355.20 and reaches his or her 17th birthday
in FFY 2011, or reaches 17 in every third fiscal year following FFY
2011.
Comment: Some commenters raised questions and concerns about the
lack of clarity in the description of the baseline population.
Commenters requested specific guidance on whether the baseline
population included youth in juvenile justice facilities, youth in
placements of a short duration, youth placed in shelter care, youth in
tribal custody, youth on trial home visits, youth in unlicensed,
unapproved or unpaid placements, and youth who have run away from their
foster care settings.
Response: We defined the baseline population as 17-year-olds in
foster care
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consistent with our regulatory definition of foster care in 45 CFR
1355.20 during a Federal fiscal year in which such data is required
based on the implementation schedule. This means, that a youth will be
in the baseline population if the youth is in foster care and 17 years
old in FFYs 2011, or is in foster care and 17 years old in each third
fiscal year following FFY 2011 (i.e., 2014, 2017, etc.). We made a
minor change to the rule to specify the beginning fiscal year in which
this data is required and the timetable upon which data on a new cohort
of youth is due.
The baseline population includes 17-year-old youth who are in 24-
hour substitute care under the State's placement and care
responsibility who are in foster family homes (whether the foster
parents are relatives of or unrelated to the child), group homes,
shelter care and child care institutions, regardless of whether such
homes or institutions are licensed, approved or paid. The baseline
population includes children who may have run away from their foster
care setting but who are still in the State agency's placement and care
responsibility. The baseline population also includes youth who receive
title IV-E foster care maintenance payments in the placement and care
of another public agency (e.g., a juvenile justice agency or tribal
agency) pursuant to a title IV-E agreement under section
472(a)(2)(B)(ii) of the Act.
The baseline population excludes youth in detention facilities,
forestry camps, training schools and facilities primarily for the
detention of youth adjudicated delinquent. The definition also excludes
youth who are in the placement and care responsibility of a tribal
agency unless the conditions specified above regarding title IV-E
agreements apply. Youth who are at home but in the placement and care
responsibility of the State agency also are excluded from the baseline
reporting population, whether the State considers this a trial home
visit, at-home supervision, after care or some other status. Since
these youth are excluded from the baseline population, they are not in
the follow-up population either.
We anticipate providing more detail through technical assistance
and other guidance documents on how States may ensure that they are
accurately including children in the baseline population.
Comment: Some commenters requested consistency between the NYTD
baseline reporting population and the AFCARS foster care reporting
population. One such commenter was concerned that an inconsistency
would diminish our ability to analyze data across the two databases.
Response: We do not believe that complete consistency between the
NYTD baseline reporting population and the AFCARS foster care reporting
population is necessary. AFCARS exists for a purpose separate and
distinct from the NYTD. The AFCARS reporting population includes all
children in foster care as defined in 45 CFR 1355.20 as does the NYTD,
but extends slightly broader in specific circumstances, such as youth
in detention and youth that are at home temporarily (see the ACF Child
Welfare Policy Manual Section 2.7 at http://www.acf.hhs.gov/programs/cb). We are staying consistent with the definition of foster care for
the NYTD to reflect part of the population of youth a State must serve
under its CFCIP: Youth in foster care who are likely to age out of
foster care. Further, one of the original reasons we chose the baseline
reporting population was because it represents a readily accessible
population of youth to whom States can administer the survey.
Finally, we do not agree that the slight differences between the
AFCARS foster care and the NYTD baseline reporting populations diminish
the analytic value of the NYTD. Since every youth reported in the
baseline population will also be reported to AFCARS and the youth will
be identified in the same way in both databases, we will have the
necessary foundation for analysis of the foster care experiences of
youth who are reported for their outcomes in the NYTD.
Comment: One commenter suggested that we specify that in order to
be included in the baseline population a youth must have been in foster
care for a minimum length of time to ensure that the youth had
benefited from available independent living services.
Response: As we stated in the preamble to the NPRM, we decided not
to require a minimum length of time in foster care because that
approach overly complicated the data collection without a measurable
benefit or a clear basis on which to determine the appropriate minimum
length of time. We did not receive information that convinced us to
change our approach and have not made this change to the final rule.
Comment: A commenter asked whether youth had to be in foster care
on their 17th birthday to be included in the baseline population.
Response: A youth does not need to have his or her 17th birthday
while in foster care, but consistent with the data collection rule in
section 1356.82(a)(2), the youth must have been in foster care within
45 days following his or her 17th birthday during the specified
reporting year. More detailed guidance on the reporting populations
will be forthcoming in technical assistance and policy documents, as
needed.
Follow-up Population
Paragraph (c) defines the follow-up population as youth who turn 19
or 21 years old in a certain fiscal year who participated in the
State's outcomes data collection as part of the baseline population at
17 years old.
Comment: Some commenters requested more clarity regarding the
follow-up population or made statements that indicated their confusion
about who was included in the population. A few other commenters asked
specifically whether youth who remained in foster care at ages 19 and
21 would be in the follow-up population. Other commenters asked whether
youth in the follow-up population at age 19 had to have participated in
the outcomes data collection to be a part of the follow-up population
at age 21.
Response: The follow-up population is comprised solely of youth who
are either 19 or 21 years old who participated in the outcomes data
collection as part of the baseline population at age 17. A youth is
considered to have participated at age 17 if he or she provided at
least one valid answer to a question in the outcomes survey. A youth
who participated in the data collection at age 17, but not at age 19
for a reason other than being deceased remains a part of the follow-up
population at age 21. A youth is in the follow-up population as
described regardless of the youth's foster care status at ages 19 or 21
and regardless of whether the youth ever received independent living
services.
Comment: A number of commenters wanted outcomes data collection to
continue beyond age 21 to age 23 or older for a number of reasons.
These commenters were concerned that we will get an incomplete view of
college attendance and educational attainment, employment, marriage and
other outcomes that are influenced by age if we stop collecting data at
age 21. Alternatively, a commenter urged us not to extend the follow-up
population of youth to age 23 unless there was demonstrable evidence
that collecting such data was feasible.
Response: We appreciate the arguments in favor of an extended
follow-up data collection activity and acknowledge that the system as
designed may result in limited information on some of the more age-
sensitive outcomes. However, as we
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stated in the NPRM, we believe that adults who are 23 years old are
even more likely to decline to participate in data collection and
States are more likely to lose contact with much older youth. We
received many comments that echoed these same concerns for 19- and 21-
year olds. We believe that requiring States to collect outcomes
information on an even older population is unreasonable and better
suited for research or evaluation activities. Therefore, we are not
adding an older follow-up population to the final rule.
Section 1356.82 Data Collection Requirements
This section specifies the data collection requirements for the
served, baseline and follow-up populations.
In paragraph (a)(1), we require the State agency to collect
information for the data elements specified in section 1356.83(b) and
(c) for youth in the served population for as long as the youth
receives services.
Comment: A couple of commenters supported the ongoing collection of
client-level data on youth who receive independent living services.
Response: We agree that this is a valuable feature of the NYTD and
are not making changes to the final rule.
In paragraph (a)(2), we require the State agency to collect
information for the data elements specified in section 1356.83(b) and
(d) for the baseline population. The State agency must collect this
information on a new baseline population every three years and must
collect this data within certain timeframes using specific survey
questions.
Comment: A number of commenters supported the general concept of
collecting outcomes information based on a staggered schedule with a
new cohort of the baseline population (17-year-olds in foster care)
beginning every three years. Two commenters suggested that we require
States to reduce the time between the new cohorts of youth. Their
concern was that the three-year span would lead to gaps in the data and
would not be representative of youth receiving services or aging out of
foster care.
Response: As we stated in the preamble to the NPRM, we chose this
schedule in order to avoid imposing an unnecessary burden on States.
Participants in the consultation process pointed out that youth
outcomes generally do not change sufficiently to justify collecting the
data annually, and collecting outcome data every three years should be
sufficient to document trends and address the statutory requirements.
As such, no changes to the final rule are warranted.
Comment: A few commenters disagreed with the requirement to collect
information on youth in the baseline population within 45 days
following the youth's 17th birthday as required by section
1356.82(a)(2)(i) and (ii). One such commenter believed more time was
needed to engage youth who may be resistant, who had run away, were
institutionalized or incarcerated at the time of their 17th birthday.
The commenters requested either a 90-day timeframe or the entire six-
month report period to obtain the outcomes data from the youth.
Response: As stated in the preamble to the NPRM, we chose the 45-
day timeframe as a compromise between requiring data collection to
occur on the youth's 17th birthday and a longer timeframe which could
lead to a less comparable baseline population. We still believe that
the 45-day timeframe is responsive to the real-life scheduling
constraints and does not create an unreasonable burden. We are,
therefore, retaining the 45-day timeframe.
We would like to note, however, that youth who are incarcerated or
are institutionalized in a psychiatric facility or hospital would not
be a part of the baseline population because they are not in foster
care according to the definition in 45 CFR 1355.20 (see earlier
discussion on the baseline population). Youth who have run away from
their foster care setting for the 45-day time span following their 17th
birthday would be a part of the baseline population, but a State could
report the youth as having run away in the outcomes reporting status
element (section 1356.83(g)(34)) to explain why that youth's
information was not collected.
In paragraph (a)(3), we require the State agency to collect
information for the data elements specified in section 1356.83(b) and
(e) for the follow-up population of 19- and 21-year-olds.
Comment: A number of commenters suggested that ACF should collect
the outcome data and track the older youth rather than the States. In
their view, this approach would resolve other concerns raised related
to the State's burden to collect data and penalties for State non-
compliance with the data collection, and could create consistency in
outcomes data collection across the country.
Response: The statute mandates that we develop data collection
requirements and impose penalties on States that do not comply with
those requirements (section 477(e)(2) and (f) of the Act). As such, the
statute creates an obligation for States to meet the data collection
requirements and not the Federal government.
Comment: A number of commenters asked practical questions about
obtaining contact information for older youth. Specific inquiries
included how to contact older youth who move out of State, using
administrative databases to locate youth, or who would be the best
individuals to administer the outcomes survey.
Response: We will provide States with policy guidance and/or
technical assistance to address these issues. We do not believe that it
is appropriate to address these concerns in regulation.
Comment: Some commenters were concerned that we did not regulate
the method by which States must administer the outcomes survey to youth
(e.g., in person, via the internet or over the phone). The concern was
that this variability could impede data quality and limit the
conclusions we could draw from the data.
Response: We acknowledge that the method a survey is administered
may impact the quality of the data. However, we believe that States are
too different to offer a single approach to this data collection and we
are not in a position to regulate the best way to gather the data at
this time. Further, we have set file and data standards for the data,
including standards for youth participation, such that States will have
an incentive to gather the best data possible (see discussion in
section 1356.85). We hope to overcome any remaining challenges
associated with survey variability through technical assistance rather
than prescriptive rules. For these reasons, we are not regulating a
specific data collection methodology in response to these comments.
Comment: A commenter was concerned about privacy rights or
confidentiality issues that will make it difficult to track youth over
time to complete the survey. Although information may be available
about the youth through other systems, e.g., child support, the
commenter asserts that the State cannot access that information because
of confidentiality restrictions. The commenter requested that we
address these issues.
Response: We do not believe that there are privacy or
confidentiality concerns raised by the NYTD. The youth outcome survey
is voluntary for the youth to complete, and it is up to the youth how
much detailed contact information he or she will provide in order to be
located upon exit from foster care. We understand that there may be
information available to a State to locate the youth that can only be
accessed with
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the youth's permission. We will provide technical assistance to States
to assist them in developing appropriate methods to track youth and
garner youth participation.
In paragraph (b), we permit States to select a sample of 17-year-
olds who participated in the outcomes data collection as a part of the
baseline population to follow over time rather than the entire baseline
population of youth who participated in the data collection in that
State. When a State samples youth at age 17, the sample becomes the
follow-up population and no further sampling of this population at ages
19 or 21 is permitted. Also in this paragraph we require a State to
identify those youth in the follow-up population who are not in the
sample.
Comment: A commenter believed that States should not use sampling
but attempt to gather outcomes data from all 19- and 21-year-olds in
the follow-up population. The commenter believed that this was a
reasonable suggestion given that States were required to collect
outcomes data on a staggered schedule.
Response: As stated in the preamble to the NPRM, we are providing
States the option to sample in direct response to feedback we received
during the consultation process. States requested that any outcomes
survey of youth who had left foster care utilize sampling to mitigate
the burden of tracking these youth. Nothing in the NYTD prohibits
States that could track a subgroup of their follow-up population
through sampling from collecting outcomes information on more youth or
on the entire follow-up population. We are not making any changes to
the final rule in response to this comment, however, we have made a
change in paragraph 1356.82(b) to require States that sample to
identify youth at age 19 who are not selected in the sample. This
change is explained further in the discussion on section 1356.83(e).
Section 1356.83 Reporting Requirements and Data Elements
This section specifies the NYTD report periods, deadlines for
reporting data to ACF and the data elements.
In paragraph (a), we require a State to submit the required data
file to ACF on a semi-annual basis, within 45 days of the end of each
report period.
Comment: A number of commenters offered alternative deadlines for
submitting a data file to ACF that ranged from 60 to 90 days after the
end of each report period. Some commenters cited concerns about having
the same State workers prepare data files for the NYTD and
simultaneously for AFCARS. A couple of commenters believed that in
order to generate a common identifier for youth reported to both AFCARS
and the NYTD that a State would need to report their data to AFCARS
first.
Response: Our experience has shown that States can meet the 45-day
requirement for AFCARS and we expect States can meet it for the NYTD as
well. We understand that States may use the same workers to extract
files for AFCARS and the NYTD, but believe that 45 days is sufficient
time to do both activities. Timely data is important so that ACF can
conduct the analysis to share with the States and other stakeholders.
We do not believe the concern about common identifiers has merit.
Although we are requiring a State to submit an identifier for a youth
to the NYTD that is the same as the one submitted to AFCARS in certain
circumstances, the way this is accomplished is through a standard
encryption routine. When applied to a State identifier, the routine
will generate the same encrypted result (i.e., the common identifier)
each time. The act of submitting data to AFCARS or the NYTD is not what
generates the common identifier so whether the data is submitted to
AFCARS or the NTYD first is inconsequential. We are not making changes
in response to this comment.
Comment: While one commenter supported the twice yearly reporting
cycle, a number of other commenters suggested moving to an annual
reporting cycle to reduce the burden on States. Some commenters
believed that an annual report period would ease the burden of
reporting data for States and ease penalty and outcome calculations for
Federal officials. To keep the reporting cycles consistent with AFCARS,
some commenters suggested moving AFCARS to an annual report period as
well.
Response: As stated in the preamble to the NPRM, we considered a
12-month reporting period, but believed that a longer period increases
the risk of inaccurate or missing data. Further, since we want to
preserve our ability to analyze NYTD data along with AFCARS data, we
want comparable reporting periods. The six-month report period for
AFCARS is integral to a number of ACF priorities and legislative
requirements.
Comment: A commenter suggested that local providers be allowed to
report data directly to ACF without the involvement of the State agency
in an effort to create additional efficiencies for States.
Response: We disagree with the suggestion to permit local providers
to report a youth's data directly to the Federal government, leaving
out the State agency's involvement, for a number of reasons. The State
agency is responsible for ensuring compliance with the NYTD
requirements and standards under the risk of fiscal sanctions and,
therefore, must be the responsible party for submitting data to ACF.
Further, we do not believe that individual providers could ensure that
all information on a youth (i.e., demographics, characteristics,
services and outcomes, if applicable) could be reported in a single
youth record as required by section 1356.83(f) if multiple providers
have engaged a youth in a report period. Also, we do not see that such
a process would be efficient for the State as it would have to maintain
oversight of one or more entities that would submit information to ACF.
However, States are not prohibited from contracting or otherwise
working with private agencies to compile the information that States
will ultimately submit to ACF. We are not changing the final rule to
permit any entity other than the State agency to submit NYTD data to
ACF.
In paragraphs (b) through (e), we require the State agency to
report certain data elements for each youth depending on whether the
youth is a part of the served, baseline, or follow-up populations.
We did not receive comments on these paragraphs. However, we are
making a technical change to the reporting requirements for 19-year old
youth in the follow-up population for those States that sample. In
paragraph (e), we have amended the final rule to require a State that
samples to identify the 19-year-old youth who participated in the
outcomes data collection as part of the baseline population at age 17,
who are not in the sample. This information is required so that we can
determine whether the State meets the outcomes universe and
participation rate standards (section 1356.85(b)). A State must
identify such youth in the two semi-annual report periods for the
Federal fiscal year in which the State reports actual outcomes
information on 19-year-old youth who are in the sample (section
1356.83(g)(34)). States will not report information on non-sampled
youth again when the youth reach the age of 21 years old.
This requirement stands in contrast to our proposal as described in
the NPRM for a State to identify youth who will be in the follow-up
sample at age 17. We proposed that States would report that information
in a separate data element entitled ``sampling status'' for the semi-
annual report periods in which baseline outcomes data is due on the 17-
year-
[[Page 10345]]
olds (71 FR 40359 and 40361-2). However, the proposal was not viable
because the sampling procedures in section 1356.84 require the State to
select a sample based on a universe of all youth in a fiscal year who
participate in the State's outcome data collection at age 17.
Therefore, we erred in proposing that a State identify a sample at the
end of each report period before the State could identify the
appropriate and complete sampling frame of youth. The final rule
provision for identifying youth who are not in the follow-up sample
when such youth are aged 19 corrects this error. We don't expect this
revision to be a concern to States as it will permit States more time
to decide whether and how to sample.
In paragraph (f), we require the State agency to report all
applicable data elements for an individual youth in a single record per
report period. We did not receive comments on this paragraph and are
not making changes to the final rule.
Data Element Descriptions
Paragraph (g) includes all of the data element descriptions for the
NYTD.
State
In paragraph (g)(1), we request information on the State that
reports the youth to the NYTD. We received no comments on this data
element description and are not making any changes in the final rule.
Report Date
Paragraph (g)(2) describes the report date of the NYTD file which
indicates the six-month period that the file encompasses. The report
date is the month and year that corresponds with the end of the report
period, which will always end on either March 31 or September 30 of any
given year. We received no comments on this data element description
and are not making any changes in the final rule.
Record Number
In paragraph (g)(3), we describe the record number as a unique,
encrypted person identification number that the State must retain for
the youth across all reporting periods. The State must use a consistent
number for reporting the same youth to AFCARS and the NYTD.
Comment: A commenter noted that not all youth in the reporting
populations will have an established common identifier. The commenter
asserted that a State may need to conduct a labor-intensive and manual
matching process to avoid identifying the same youth in multiple ways,
particularly for youth from the juvenile justice system.
Response: The State is required to use the same unique identifier
for a NYTD youth as is used for AFCARS if that youth is or was in
foster care in the State. The State is not required to use the same
identifier used for the youth in other youth-serving systems. As we
stated in the NPRM, this requirement is intended to allow us to perform
case-level longitudinal cohort analysis. We believe the benefits of the
usefulness of this data outweigh the burden on States to establish
rules for a common identifier for youth across the NYTD and AFCARS data
sets.
Date of Birth
In paragraph (g)(4), we require that a State report the youth's
date of birth. We received no comments on this data element description
and are not making any changes in the final rule.
Sex
In paragraph (g)(5), the State is to report the youth's sex.
Comment: Several commenters suggested that we not limit the data
element on ``sex'' to male or female biology but permit youth to
identify their sexual orientation and/or gender identity. These
commenters believed that we should track youth services and outcomes
for youth who identify themselves as gay, lesbian, bisexual,
transgendered, or in some other way because such youth may be
overrepresented in foster care, have unique service needs and be at
increased risk for poor outcomes. Finally, a couple of commenters
disagreed with our description of a youth's sex as his or her gender
and recommended that we have an element that focuses on the youth's
gender as a matter of identity separate from the youth's biological
sex.
Response: We agree with the commenters that the words ``sex'' and
``gender'' are not synonymous. We are amending the regulation text to
eliminate references to the youth's gender and instead refer to a
youth's ``sex'' in reference to this element. However, we are not
amending the data element to incorporate matters of gender identity or
sexual orientation. This data element is for basic demographic purposes
and we expect States to cull this information from its existing child
welfare information system. The element is not intended to elicit from
youth very personal information on sexual orientation, gender
characteristics or sex development.
Race
In paragraphs (g)(6) through (g)(12) we describe the data elements
in which a State must report the youth's race. These are separate
elements that permit data collection and reporting on multiple races.
We received no comments on the race categories of Asian, Black or
African American, Native Hawaiian or other Pacific Islander, and White
and are making no changes to the final rule for those elements.
Comment: A couple of commenters noted that the description of
American Indian or Alaska Native was the only race category that
includes a condition of community affiliation. The commenters
recommended that this condition be removed or that we provide
additional guidance on categorizing persons who do not maintain tribal
affiliation or community attachments but would otherwise consider
themselves as American Indian or Alaska Native.
Response: We are not making a change to this element because it
reflects the Office of Management and Budget's (OMB) definition of
American Indian or Alaska Native (see OMB's Provisional Guidance on the
Implementation of the 1997 Standards for Federal Data on Race and
Ethnicity, at http://www.whitehouse.gov/omb/inforeg/re_guidance2000update.pdf) and is consistent with the AFCARS race
category. Since race information is self-selected by the individual or
the individual's parent, the person may choose the race category he/she
believes best represents him/her.
Comment: A couple of commenters sought clarity on whether the race
category of American Indian or Alaska Native includes youth who have an
attachment or affiliation with a non-federally recognized tribe.
Response: The race category does include youth who identify with an
American Indian or Alaska Native tribe regardless of whether that tribe
is recognized by the Federal government. Because this race category is
reflective of the OMB definition, we do not believe a change in the
regulation text is warranted.
Comment: Several commenters were concerned that we proposed a race
category of ``declined'' when there is not a comparable race category
in either AFCARS or the National Child Abuse and Neglect Data System
(NCANDS). These commenters noted that State child welfare information
systems may not be programmed to record this information currently. The
commenters also asked technical questions about
[[Page 10346]]
how they should report declined race information to AFCARS and NCANDS
if they must make changes to their information systems.
Response: We have proposed a comparable change to the race
categories in an NPRM on AFCARS published in the Federal Register on
January 11, 2008. The changes to the AFCARS child race elements are
described at 73 FR 2092 and 2130. NCANDS data is beyond the scope of
this regulation.
Comment: A commenter noted that AFCARS does not permit a State to
indicate that a person identifies with multiple races, including one
which the person does not know and questioned whether there needed to
be consistency for States reporting information across the data sets.
Response: As noted above, we have proposed regulatory changes to
the AFCARS race elements to make this information comparable across the
two data sets.
In reviewing this element, we noted the need to modify the final
rule to remove the parenthetical remark that a youth or parent may be
unable to communicate the youth's race ``due to age, disability or
abandonment.'' The phrasing of the parenthetical remark was unclear as
to whom the conditions of age, disability or abandonment applied.
Further, we believe that the statement confused the issue of self-
identification of race information because it suggested that youth who
were abandoned as infants or who were of a certain age would not be
able to identify a race for themselves. Instead, we want to reaffirm
that self-reporting or self-identification is the preferred method for
a State to collect data on race and ethnicity. If this information is
not available in a State's child welfare information system (i.e.,
collected for foster care purposes), the State should first solicit
this information from a youth. If the youth is not able to communicate
this information because of a severe disability or some other reason,
the State should solicit race information from a parent. Once these
avenues have been exhausted and these individuals have not been able to
provide a response, the State may report the youth race as ``unknown.''
Finally, we also modified the name of this element to be solely
``unknown,'' as opposed to ``unknown/unable to determine'' to avoid
confusion.
Hispanic or Latino Ethnicity
In paragraph (g)(13), we describe a youth of Hispanic or Latino
ethnicity as a person of Cuban, Mexican, Puerto Rican, South or Central
American, or other Spanish culture or origin, regardless of race.
Comment: A couple of commenters raised a concern about reporting
declined ethnicity information for the NYTD similar to their concerns
regarding the race declined category.
Response: In the same AFCARS NPRM we mentioned above, we have
proposed a comparable change to the ethnicity data. See the proposed
changes at 73 FR 2092 and 2130.
Foster Care Status--Services
In paragraph (g)(14), we require a State to indicate whether a
youth within the served population is in foster care consistent with
the definition in 45 CFR 1355.20 at any point during the report period.
Comment: A commenter noted that some of the measures of permanency
used in the Child and Family Services Reviews (CFSRs) are calculated
based on the experiences of children who have been in foster care for
eight or more days (71 FR 32969-32987, June 7, 2006 and 72 FR 2881-
2890, January 23, 2007). The commenter requested that we consider using
similar selection criteria for determining whether a youth in the
served population is considered to be in foster care for NYTD purposes.
Response: We do not believe that the data selection rules we use
for the purposes of calculating whether States achieve certain CFSR
outcomes are appropriate for defining the parameters of the NYTD. We
apply the 8-day exclusion for the purpose of the CFSR permanency
measure and not as a condition for which children must be reported to
AFCARS. For the NYTD we are requiring States to report data on a
youth's receipt of independent living services and foster care status
to permit us to determine appropriate performance measures at a later
date which may or may not include selection rules. In other words, the
data must be broad so that we have options for how to interpret and use
the data.
We are not making any changes to this element description in the
final rule. We would like to clarify here, however, that a youth is in
foster care consistent with the definition of foster care in 45 CFR
1355.20, only if the youth has not yet reached the State's age of
majority.
Local Agency
In paragraph (g)(15), we require a State to report either: (1) The
county or equivalent jurisdictional unit that has primary
responsibility for placement and care of a youth who is in foster care,
or (2) the county with primary responsibility for providing services to
a youth who is not in foster care. We received no comments on this data
element and are making only minor modifications to the language and
adding a cross-reference to the definition of foster care in 45 CFR
1355.20.
Federally Recognized Tribe
In paragraph (g)(16), the State must report whether a youth is
enrolled in or eligible for membership in a federally recognized tribe.
Comment: A few commenters requested more clarity on this element.
In particular, commenters requested information on how to categorize
youth whose eligibility or enrollment status is undetermined, how to
report a youth who resides in a State without any federally recognized
tribes and the overlap between this element and the race category of
American Indian or Alaska Native.
Response: We are revising the name of the data element and the
regulation text to clarify that we are seeking information on a youth's
enrollment or eligibility for membership in a federally recognized
tribe only. We understand that there may be a period of time in which
the youth's tribal affiliation is undetermined, and if this remains the
case when data reporting is due to us, the element should be reported
as missing the information (i.e., a blank response). If a State is
unsure about whether a youth meets the criteria for enrollment or is a
member of the tribe, and the youth does not know this information, the
State may contact the tribe(s) in question. Where a youth resides is
irrelevant for determining whether the youth is eligible for membership
or enrolled in a federally recognized tribe.
There are distinctions between this element and the race category
of American Indian and Alaska Native. The race category is self-
identified information and is indicative of how a person views him or
herself and his affiliation with the original peoples of the Americas.
The federally recognized tribe element focuses on either enrollment in
or eligibility for membership in one of the over 560 federally
recognized tribes only. The two categories, however, are not mutually
exclusive.
Comment: A commenter suggested that a simpler description of the
element we are interested in is whether the Indian Child Welfare Act
(ICWA) applies for a youth.
Response: We disagree that the alternate suggestion to collect
information on whether ICWA applies to a youth is a viable substitute
for information on whether a young person
[[Page 10347]]
is enrolled in or eligible for membership in a federally recognized
tribe. Narrowing the element to identify an ICWA-protected child would
exclude youth over age 18 and those who are not involved in a custody
proceeding before a State court from the NYTD population. As such, we
are retaining this element as proposed.
Adjudicated Delinquent
In paragraph (g)(17), the State is to indicate whether a youth has
been adjudicated by a Federal or State court as a juvenile delinquent.
Comment: Several commenters had concerns about the description of
the data element ``adjudicated delinquent.'' One commenter suggested
that we instead require States to report whether a youth had ever been
involved with the juvenile justice system. Other commenters were
concerned about overrepresentation of delinquent youth in the dataset
and States being held accountable for the outcomes of delinquent youth
who had spent brief periods in foster care.
Another concern was one of comparability as some States have
eligibility criteria which restrict the availability of independent
living services to certain delinquent youth.
Response: We have reviewed our description of an adjudicated
delinquent and believe that it accurately depicts what we are most
interested in measuring, that is, whether a court has found that the
youth has committed an act of delinquency. We believe that capturing
whether a youth is involved with the juvenile justice system is too
broad and are not making this change to the final rule.
In terms of services information, States will report information on
the youth to whom the State agency provides an independent living
service that is paid for or provided by the State agency. In terms of
outcomes information, States will report all 17-year-olds in foster
care as the baseline population and follow these youth over time. To
the extent that youth who fall within these population are also
adjudicated delinquent, such youth simply reflect the composition of
the State's foster care and former foster care populations.
Finally, we believe that the concerns about comparability and
accountability are premature, as we do not have State performance
measures in place. We believe the information on youth characteristics
will permit us to better interpret the data, elucidate where
appropriate comparisons can be made, and guide how we measure State
performance.
Educational Level
In paragraph (g)(18), we require the State to report the highest
educational level attained by youth. We did not receive any comments on
this data element or description and we are not making changes to the
regulation text itself. However, we are changing the element name in
Appendix A from ``Last grade completed'' to ``Educational level'' to
match the regulation text.
Special Education Status
In paragraph (g)(19), the State is to indicate whether the youth is
receiving special education, which is specifically designed
instruction, at no cost to the parents, to meet the unique needs of a
child with a disability. We received no comments on this description
and are not making changes to the final rule.
Discussion on General Issues With the Services-Related Elements
Commenters had general recommendations and concerns regarding the
service elements in paragraph (g)(20) through (g)(33). We address the
general comments here and subsequently address each element in (g)(20)
through (g)(33) individually.
Comment: Several commenters reported concerns that we were not
proposing to quantify service information overall and/or with regard to
specific service data elements. Several proposals were offered to do
so. The commenters urged us to require States to report service
quantity in a variety of ways, such as the length of the service
period, the frequency of the service, actual service hours, number of
sessions attended, or the amount of financial assistance, as
applicable. These commenters believed that we would enhance our
understanding of the services if we quantified a particular youth's
service.
Response: We appreciate the commenters' concerns about the manner
in which we proposed to collect the quantity of service data, but we
still believe that our rationale articulated in the NPRM for
quantifying services in a broad sense is compelling. As we explained,
we considered requiring States to quantify the hours of services, but
discovered through the pilot test that caseworkers and supervisors
spent enormous amounts of time locating this information. Workers had
to estimate or guess how long a youth received a service, which led us
to question the accuracy of such information. A similar concern exists
with requiring States to provide general quantity information, such as
number of sessions attended, days or weeks of a service, or service
frequency. Primarily, the wide variety of independent living service
types, content and curriculum make this information unlikely to be
comparable in a way other than the unit of measurement. Even dollar
amounts of financial assistance can only be fully interpreted with
accompanying information on how States and youth use those funds. We
believe that our proposal for the State to report whether the youth has
received a service within a report period meets the statute's mandate
regarding quantity and does not unduly burden workers for little clear
benefit. Therefore, we are not making a change to the final rule to
quantify a youth's services further in any manner suggested.
Comment: A few commenters raised concerns that the service data
elements are defined too broadly, and suggested that providing more
detailed definitions would permit us to better differentiate the
service provided to the youth.
Response: In developing the NPRM and conducting the pilot test, we
found wide variations among States in the variety of independent living
services available and provided to youth. We learned from States that
collecting more detailed information on services would overburden
caseworkers unnecessarily. We explained in the NPRM that these reasons
led us to limit the service categories to eleven broad categories.
While we acknowledge that we may not be able to analyze the data on
individual services (e.g., distinctions between youth who receive
vocational training and youth who undertake an apprenticeship) we
believe that the categories are distinguishable enough to provide
information about the types of independent living services youth
receive as required by the law. We are not further separating the
service category data elements in the final rule in response to this
comment.
Comment: A commenter believed that the services component of the
NYTD should include some information on youth satisfaction with
independent living services.
Response: We believe that consumer satisfaction information exceeds
the statute's mandate to collect information on the number and
characteristics of youth who receive independent living services and
the type and quantity of those services (section 477(f)(1)(B) of the
Act). Further, we believe that consumer satisfaction is best measured
through program evaluation and not a national data collection.
Comment: Several commenters noted that service providers outside
the State agency may typically pay or provide some of the independent
living services
[[Page 10348]]
proposed and recommended that those services and providers be captured
in NYTD.
Response: As stated earlier, we recognize that many State agencies
collaborate and coordinate with other governmental agencies and private
organizations that have their own resources to help youth achieve self-
sufficiency. However, the statute requires us to collect information on
those independent living services that the State provides under the
CFCIP (section 477(f)(1)(B) of the Act). In the NPRM we took an
expansive view of such services to include those that are provided by
or funded by the State agency rather than strictly those services that
are funded by the CFCIP allotment (see discussion at 71 FR 40349). As
such, we believe that further extending the scope of this data
collection to include any independent living service a youth may
receive regardless of the source is too far removed from the statutory
mandate. We are amending the service descriptions for several of the
data elements to be clear that this data collection is limited to the
purposes ascribed by law.
Independent Living Needs Assessment
In paragraph (g)(20), we require the State to report whether the
youth received an independent living needs assessment, which is a
systematic procedure to identify a youth's basic skills, emotional and
social capabilities, and strengths and needs to match the youth with
appropriate independent living services.
Comment: One commenter suggested a change in wording for the
definition of independent living needs assessment to emphasize that the
assessment identifies a youth's ``strengths and training needs''
instead of ``strengths and weaknesses.''
Response: We concur with the commenter that a change is warranted.
Rather than the suggested language, however, we have amended the
definition to read ``strengths and needs,'' recognizing that the youth
may also have other needs to be met by the program than training needs.
Comment: A commenter requested that the data element be changed to
indicate whether the youth's needs assessment is still accurate and in
effect at the time of the report period.
Response: We believe that a State reporting whether the youth
received an independent living assessment within a six-month report
period provides sufficient information for our purposes. The purpose of
the element is to identify whether or not the State completed an
assessment of the youth's strengths and needs. Whether the report is
current is not the primary issue. We believe that gathering information
on the accuracy of an independent living service is beyond the scope of
the NYTD and are not making the suggested change. We do not believe
that it is reasonable to ask the caseworker, youth or administrator to
evaluate and report the accuracy of such an assessment, as there is no
requirement in the CFCIP for such an assessment.
Comment: A commenter believed that the independent living needs
assessment element would provide little significant information about a
certain State because that State routinely conducts an assessment when
the youth becomes eligible for the independent living program and again
at the point the youth ages out of the foster care system.
Response: We disagree that understanding whether youth receive
independent living needs assessments, even for States that conduct them
routinely, is insignificant. Rather, collecting information on the
independent living services that a State provides to youth in each
State and nationally is consistent with the statute's mandate and
provides a frame of reference for interpreting youth outcomes.
Academic Support
In paragraph (g)(21), we request information on whether a youth
received academic services designed to help a youth complete high
school or obtain a General Equivalency Degree (GED).
Comment: A few commenters were concerned that this data element was
not clearly defined.
Response: We have reviewed the regulatory language and do not see a
need for change. We are quite specific that academic support includes
activities such as academic counseling, preparation for a GED,
tutoring, help with homework, literacy training, study skills training
and help accessing educational resources. The element does not include
the youth's attendance at high school or post-secondary supports.
Post-Secondary Educational Support
In paragraph (g)(22), we request information on whether the youth
received support designed to help the youth enter or complete college.
Comment: One commenter asked for a clearer definition of support.
Response: We have reviewed the regulatory language and did not see
a need for change. We are specifying the nature of the supports we mean
in the regulatory definition, including test preparation, college
counseling, assistance applying for college and securing financial aid
and tutoring while in college. The list is not all-inclusive, other
supports such as college tours provided by the agency could fall within
this definition. We have made a minor change to use the broader term of
``post-secondary'' versus college in the regulatory definition, so that
we are clear that it includes all varieties of colleges (e.g., two-year
colleges, four-year colleges, community and vocational colleges) and
universities.
Career Preparation
In paragraph (g)(23), we require a State to report services that
develop a youth's ability to find, apply for, and retain appropriate
employment.
Comment: A couple of commenters suggested that we include a youth's
participation in certain volunteer activities as part of the
description of career preparation or as a part of the employment
programs or vocational training data element described in paragraph
(g)(24). Another commenter echoed inclusion of youth volunteer
activities in NYTD as a separate service data element.
Response: Although volunteer activities may be a helpful component
to a youth's development and preparation for work, we do not believe it
is a service. Therefore, we are not making a change to the final rule
to incorporate volunteer activities.
Employment Programs or Vocational Training
In paragraph (g)(24), we require a State to report whether a youth
received programs and training designed to build a youth's skills for a
specific trade, vocation or career through classes or on-site training.
Comment: A commenter suggested that instead of referring to
vocational training as inclusive of training in occupational classes to
build skills in ``other current or emerging employment sectors'' that
the description refer to building skills in ``other high-growth, high-
demand industries.''
Response: We understand that there are a variety of ways to capture
this information, but do not see a need to modify the final rule in
response to this suggestion.
Budget and Financial Management
In paragraph (g)(25), we require a State to indicate whether the
youth receives training and other practical assistance related to
budget and financial independent living skills. We received no comments
on this data
[[Page 10349]]
element description and are not making any changes to the final rule.
Housing Education and Home Management Training
In paragraph (g)(26), the State is to indicate whether a youth
receives instruction or support services regarding housing
responsibilities and home management skills. The comments we received
on this element have been addressed under the general issues on the
services elements. We are not making any changes to the final rule.
Health Education and Risk Prevention
In paragraph (g)(27), the State must report if a youth received
services related to health-related educational topics, but not the
receipt of direct health services. The comments we received on this
element have been addressed under the general issues on the services
elements. We are not making any changes to the final rule.
Family Support/Healthy Marriage Education
In paragraph (g)(28) the State must report if a youth receives
education on maintaining healthy families, including parenting and
childcare skills, spousal communication, family violence prevention and
responsible fatherhood.
Comment: One commenter expressed concern that the use of the term
``healthy marriage'' within the description of this element indicates a
bias against non-traditional family compositions and does not take into
account the youth's sexual orientation.
Response: We disagree that the data element indicates a bias for
any family configuration. The focus of this element is to collect data
on youth who receive education on positive family relationships,
regardless of family configuration. States have the discretion to
determine the content of such education and the extent to which it is
individualized for youth.
Mentoring
In paragraph (g)(29), mentoring is defined as programs or services
in which a youth meets regularly with a screened and trained adult on a
one-on-one basis.
Comment: We received many comments suggesting modifications to the
mentoring data element. A majority of these commenters urged us to
broaden the definition to include informal relationships with adults,
such as with parents of a youth's friends, coaches, teachers,
ministers, former foster parents, former employers, and any other adult
who provides positive support for the youth whether or not the
relationship is facilitated or funded through the child welfare agency.
Several commenters also suggested that we remove from this service
description the condition that mentors be screened and trained.
Response: ACF recognizes that youth may benefit from many different
types of positive adult relationships that are not paid for or provided
by the State agency; however, the purpose of this particular element is
to collect data on mentoring as a service that is provided by the State
agency. We will, however, gather data on positive adult relationships
in the youth's life in the outcomes component of NYTD as described in
paragraph (g)(48). We are not making any changes to the final rule in
response to this comment.
Comment: A few commenters suggested that the data elements for
mentoring and connection to adult described in paragraph (g)(48), be
consolidated into a single element.
Response: While we can appreciate the desire to have fewer
elements, we will retain the elements separately so that we can measure
distinct concepts. The mentoring element is intended to capture whether
youth are being mentored as a part of the independent living services
they receive from the agency and the connection to adult element seeks
information on whether youth are connected to adults as an outcome.
Comment: A commenter sought clarity on how a State would report to
the NYTD a youth who had a formal mentor but the mentoring relationship
was not facilitated or funded by the State agency or its agents.
Response: In the situation described, a State would indicate that
the youth did not have mentoring as an independent living service in
the data element described in paragraph (g)(29).
Comment: A commenter asked what kind of training was envisioned to
qualify a mentor for the purposes of this data element. Another
commenter posited that a mentoring relationship would be longstanding
only if the person was a volunteer and unpaid. Finally, a commenter
suggested that mentors could be an untapped resource to gather outcomes
data on youth.
Response: All of the points raised by these commenters are matters
that are at the discretion of the State. While the mentoring
description limits the collection of data on those mentors that are
screened and trained, we are not prescribing the extent of any
screening or training. The training could range from an orientation to
a structured mentoring curriculum. We agree that typically mentoring
requires the voluntary commitment of a caring individual, but we see no
need to require that mentors be uncompensated. Finally, the extent to
which the State agency chooses to involve mentors in some capacity in
the collection of outcomes information from youth is an idea that may
warrant further exploration, but would be completely up to the State
agency.
Supervised Independent Living
In paragraph (g)(30), a State is to report whether a youth was
served via a supervised independent living arrangements under the
supervision of an agency, but without 24-hour a day supervision.
Comment: One commenter asked if a youth in a transitional living
program should be reported as in a supervised independent living
program. The commenter indicated that in a certain State, supervised
independent living and transitional living were distinctly different
even though they both offer a supervised living arrangement with less
than 24-hour a day supervision by an adult and increased youth
responsibilities.
Response: The commenter did not provide explicit details on its
transitional living program; however, we understand that the Federal
transitional living program provides grantees with funding to assist
older, homeless youth in developing skills and resources to promote
their independence and prevent future dependency on social services.
This transitional living program provides housing and a range of
services for youth ages 16 to 21, who are unable to return to their
homes. Former foster care youth may be served by these transitional
living programs, so whether to report a youth participating in such a
program as receiving supervised independent living under this element
depends on whether the youth's participation in the program is paid for
or provided by the State agency and is otherwise consistent with the
regulatory description.
Room and Board Financial Assistance
In paragraph (g)(31), the State is to report whether the youth is
receiving room and board payments and other financial assistance such
as rent deposits and utilities. We received no comments on this
description, and we are not making changes to the final rule.
Educational Financial Assistance
In paragraph (g)(32), we describe educational financial assistance
to include financial assistance for a youth's school books and
materials,
[[Page 10350]]
tuition assistance, examination and application fees, and educational
vouchers for college tuition or vocational education.
Comment: One commenter suggested we combine this element on
educational financial assistance with the outcomes focused element of
educational aid described in paragraph (g)(41), and for States to
report on all youth in the served, baseline and follow-up populations.
Response: We are unable to combine the elements described in
paragraph (g)(32) ``educational financial assistance'' and in paragraph
(g)(41) ``educational aid'' because the applicable populations are
different for each element as well as the scope and purpose of the
elements. ``Educational financial assistance'' is a service element
that refers to financial supports that the State agency pays for or
provides for the youth whereas ``educational aid'' is an outcome
element and refers to monies or other types of educational financial
aid, from any source, that helps cover the youth's educational expenses
as an indicator of their financial self-sufficiency. We are retaining
the two separate elements in the final rule so that we obtain data on
both concepts.
Other Financial Assistance
In paragraph (g)(33) the State is to report whether a youth is
receiving any other type of financial assistance from the State agency
to assist the youth to live independently. We received no comments on
this description, and we are not making changes to the final rule.
Discussion on General Issues With the Outcomes-Related Elements
Commenters raised general questions and concerns about the data
elements that relate to youth outcomes described in paragraphs (g)(34)
through (g)(58). We also address each of these elements separately.
Comment: One commenter was unclear about how ACF would obtain
results about the increase, decrease or improvement of the six outcome
measures. Another commenter questioned whether the survey questions
could measure with validity the six outcomes of interest.
Response: The six outcomes outlined in this regulation will be
measured based on the data reported by States through the elements in
paragraphs 1356.83(g)(34) through (58). We formulated the survey
questions and data elements after significant stakeholder involvement
and a pilot test and believe that they will measure the outcomes
specified. However, we have not yet devised the specific performance
measures upon which to assess State performance.
Comment: A couple of commenters asked whether the State is
permitted to conduct data cross-matching with other administrative
databases to gather data on youth, such as those maintained by States
to support corrections, Temporary Assistance for Needy Families,
Medicaid, employment, education, and child support.
Response: For outcomes data collection, ACF is requiring that the
States use the survey method prescribed in 45 CFR 1356.82(a)(2). The
State must administer the outcomes survey in appendix B to youth
directly and therefore, the State may not provide information in the
data elements described in paragraph (g)(37) through (g)(58) from any
other source. On the other hand, information on the youth's
characteristics (e.g., adjudicated delinquent, educational level,
foster care status, etc.) does not need to be collected from the youth
directly and may come from a source of administrative data.
Comment: A commenter asked if we expect State agencies or the
person administering the outcome survey to the youth to verify the
answers youth provide.
Response: We are not clear what the commenter envisions as
verifying youth information and can envision scenarios where this may
or may not be acceptable. For example, the State may not `verify' a
youth's answers to the outcomes survey against information from a
third-party, such as whether the youth has been referred for a
substance abuse assessment or counseling or whether the youth has
children,. Alternatively, it may be appropriate for the State to devise
a system of prompts in an outcomes survey administered on the internet
that ask the youth to `verify' whether he or she meant to provide a
particular answer. Since verification techniques differ, we prefer to
address specific questions about verification through policy guidance
and technical assistance, as necessary.
Comment: A commenter requested clarification of the term ``high
risk behaviors.''
Response: Section 477(f)(1) of the Act requires that we develop
outcome measures, one of which is a measure of high-risk behaviors.
During the consultation process we determined that we would interpret
this term for the purposes of the NYTD to refer to substance abuse,
incarceration, and childbearing outside of marriage. These behaviors
will be measured through outcome 5, reducing high-risk behavior among
young people using data reported to us in the elements described in
paragraphs (g)(50) through (g)(53).
Comment: One commenter stated that youth who leave foster care may
be hesitant about sharing their experiences with high risk behaviors
with the State or Federal government.
Response: We have taken this into consideration and feel that the
option to decline to answer is sufficient for youth who are hesitant
about sharing their experiences related to high risk behavior.
Comment: One State asked if ACF would be providing detailed mapping
forms with code tables for reporting the outcome data elements, which
the commenter believed was necessary for accurate comparison or
aggregate analysis.
Response: Detailed mapping forms and other technical information
are not provided in the final rule. We will be providing technical
assistance and guidance outside of the regulatory process to support
States as they implement the NYTD.
Outcomes Reporting Status
In paragraph (g)(34), we require the State to indicate if the youth
participated in the outcomes data collection, and, if not, the reason
why the State was unable to collect the outcome information.
We did not receive comments on this paragraph but have made several
modifications to the final rule. One change reflects the reduced number
of data elements (from 60 to 58 elements). We have also added language
specifying that when a youth does not participate in the outcomes data
collection, most of the remaining outcomes elements should have blank
responses.
Finally, we have added a new response option of ``not in sample''
for the State to identify the 19-year-old youth who are in the follow-
up population but who were not selected in the State's sample. See also
the previous discussion on section 1356.83(e). Youth who are not in the
sample do not need further categorization, as the remaining response
options apply only to those youth who are in the sample. This response
option will be used only by those States who sample, once every three
years when outcomes data collection is due for 19-year-olds in the
follow-up population.
The addition of this response option obviates the need for the
separate element ``sampling status'' that we proposed in the NPRM. We
have removed the sampling status data element formerly at paragraph
(g)(37)
[[Page 10351]]
and renumbered the remaining elements accordingly.
Date of Outcome Data Collection
In paragraph (g)(35) we require a State to report the last date the
State collects outcome information from the youth.
Comment: One commenter suggested modifying the element so that the
State reflects just the month and year and not the day of the data
collection. The commenter believed that because a State may gather
outcome data on a youth from multiple sources, including parents, the
last day of data collection may prove overly complicated.
Response: In the date of outcome data collection element, we
require the State to report the last date that the outcome information
is collected from the youth. The State cannot collect outcomes data
from the youth's parent or guardian or an alternative source. The State
reports the date when the outcomes survey is completed by the youth
directly. For example, if the youth outcomes survey is administered in
person by the youth's caseworker and the youth completes it over the
course of two visits, the State must report the last date the survey is
completed for this element. We reviewed the data element description in
light of this comment and believe it is clear. We have made a
modification to the description only to reflect the change in the
number of data elements.
Foster Care Status--Outcomes
In paragraph (g)(36), the State must report the youth's foster care
status at the time of the outcomes data collection. We did not receive
comments on this paragraph and have made no changes to the regulation.
However, we would like to note that a 19- or 21-year-old youth would
only be in foster care consistent with the definition of foster care in
45 CFR 1355.20, if the youth has not yet reached the State's age of
majority.
Current Employment Elements
In paragraph (g)(37) and (g)(38), the State must report whether the
youth indicates that he or she is employed full-time or part-time,
respectively, as of the date of information collection.
Comment: A few commenters were concerned that the NYTD does not
require the State to report more details about the youth's employment
status, such as the reason for unemployment, income level or salary
information and number of hours worked. The commenters requested more
detailed information on employment income level so that researchers
could determine youth poverty levels and whether youth were engaged in
other activities that explained their employment status, such as
college attendance, military enlistment, incarceration or illness.
Response: We believe that more detailed data on employment status
is not central to the purposes of the NYTD. Even though we are not
requiring more detailed information, States will report information in
other elements that provides additional context consistent with the
commenter's concern. If a youth reports that he or she is working full-
time, but still requires public financial assistance, the State will
report this information in the public financial assistance element as
described in paragraph (g)(42). Youth who are attending college or some
other type of higher education would have the opportunity to provide
that information in the current enrollment and attendance element
described in paragraph (g)(47). The NYTD also solicits information on
whether youth have been incarcerated in the past, or cannot participate
in outcomes data collection because they are incarcerated at that time.
Youth who are enlisted in the military, inclusive of the reserves and
the guard, are employed and should indicate their full-time or part-
time working status accordingly. For these reasons, we are retaining
the two elements as in the NPRM.
Comment: A commenter said that measuring full-time and part-time
employment as of a specific collection date would not capture
potentially long-term employment if it ended prior to the outcomes
collection date.
Response: We made the choice to request information on employment
on the date of the outcomes data collection in the NPRM after
considering the various possible timeframes in which we could request
this information. Since our primary goal is to gather information that
will help us understand the experience of youth as a whole, and the
State's performance, rather than assessing the outcomes for individual
youth, we believe that the current employment status of the youth is
sufficient for our purposes.
Comment: Several commenters noted that the NYTD did not have an
element for reporting multiple jobs, and asked how a youth should
report working multiple jobs in excess of 35 hours.
Response: We reviewed the data element descriptions of full-time
and part-time employment in light of this comment and believe they
lacked clarity about how to report multiple jobs. We are amending the
final rule to specify that a youth who is employed at least 35 hours
per week is considered working full-time and a youth who is employed 34
hours a week or less is considered working part-time for the purposes
of this element, regardless of whether such employment is in one or
multiple jobs. We do not believe it is necessary for our purposes to
solicit additional information on the number of jobs a youth holds.
Employment-Related Skills
In paragraph (g)(39), the State is to report whether the youth
indicates that he or she has completed an apprenticeship, internship,
or other type of on-the-job training in the past year.
Comment: One commenter believed that it would be helpful to find
out if the youth had obtained employment-related skills during the
previous two years, rather than just the previous year. As the survey
is administered to youth in two-year intervals, the commenter believed
this particular element should capture the youth's entire experiences
since the prior survey.
Response: In creating this element we took into consideration what
we believed was a reasonable time frame for a young person to recall
employment-related training along with our desire to get the most
accurate information possible from a youth. Since our primary goal is
to gather information that will help us understand the experience of
youth as a whole and the State's performance, rather than assessing the
outcomes for individual youth, we believe that asking youth about
employment-related skills in the last year is sufficient for our
purposes. We are not making a change to the final rule in response to
this comment.
Social Security
In paragraph (g)(40), the State is to report whether a youth
indicates that he or she receives Social Security Income (SSI) or
Social Security Disability Insurance (SSDI) directly or as a dependent
beneficiary.
Comment: A few commenters asked for clarification on whether a
State should report a youth who receives SSI/SSDI payments which are
applied to the cost of foster care or only those that are paid to the
youth directly. Commenters raised a concern that a youth may not know
he/she was an SSI/SSDI recipient if such payments were applied to the
cost of foster care and questioned whether the State should 'correct' a
youth's response accordingly.
Response: If the youth is a SSI/SSDI beneficiary but his or her
payment is going towards the cost of foster care, then the youth is
receiving social security payments consistent with the description for
the data element in paragraph (g)(40). However, the State is not to
correct a youth's response if the
[[Page 10352]]
youth is a beneficiary but responds in the negative to the social
security survey question. While we recognize that this may result in
some cases of a youth answering the question incorrectly, we believe it
is important to the integrity of the survey and data to represent the
youth's understanding of his or her own circumstances. We do not
believe any changes are warranted to the final rule in response to this
comment.
Educational Aid
In paragraph (g)(41), the State is to report whether a youth
indicates he or she is receiving a scholarship, education or training
voucher, grant, stipend, student loan, or other type of educational
financial assistance.
Comment: A commenter believed that the element was relevant only if
the youth was enrolled in post-secondary training or education. The
commenter believed that we would have difficulty interpreting a ``no''
response unless we included an additional response option for youth who
are not enrolled in school.
Response: This data element is not limited to educational aid for
those youth enrolled in post-secondary training or education. Rather, a
youth would report current scholarships, grants, stipends, and vouchers
for any education, including for a secondary education. The only
limitation is with regard to a student loan which the government
provides for obtaining a post-secondary education only. Finally, the
State will report whether a youth indicates that he or she is enrolled
and attending school currently in the element described in paragraph
(g)(47).
Comment: A commenter believed the educational aid element to be
too broad and would not reveal what kinds of aid the youth receives,
i.e., Pell grants, ETV vouchers, or other scholarships. The commenter
was also concerned that the reference to using educational aid for
living expenses did not seem appropriate to the nature of the element
or for youth under the age of 18.
Response: We proposed the educational aid element as an indicator
of youth financial self-sufficiency. The element is not intended to
elicit specific information on the types of aid the youth is using to
attend school. However, we agree with the commenter that the reference
to living expenses may be confusing and are removing the reference from
the final rule. To be clear, we are seeking information on 17-, 19- and
21-year-olds' current use of aid that helps the youth attend school,
rather than how that financial assistance is used (i.e., for room and
board expenses, books, fees, etc.).
Public Financial Assistance
In paragraph (g)(42), we require a State to report whether the
youth indicates that he or she is a current recipient of ongoing cash
welfare payments from the government to cover some of his or her basic
needs. We received no comments on this description. However, we have
made some changes due to our concerns that this element was not broad
enough to include the types of public financial assistance in which we
were most interested. The element, as originally proposed, focused on a
youth's receipt of cash assistance from a State's Temporary Assistance
to Needy Families (TANF) or title IV-A program. We have since learned
that States provide ongoing cash assistance designed to meet certain
adults' basic needs in broader circumstances than those permitted under
the TANF program. We are more interested in understanding whether the
youth is receiving any type of public cash assistance and not just
assistance that meets TANF requirements. Therefore, we have broadened
the definition to refer more generically to ongoing welfare assistance.
Further, we have specifically included language that clarifies that we
are interested in financial payments for basic need versus other types
of government assistance for particular purposes.
Finally, we discovered that the element was categorized incorrectly
in Appendix A to the NPRM. We have corrected the appendix to clarify
that the information on public financial assistance is collected on
youth in the follow-up population who are no longer in foster care.
Public Food Assistance
In paragraph (g)(43) the State is to report whether the youth
indicates that he or she has received public food assistance.
Comment: A few commenters suggested alternative approaches to
gathering information on youth who receive food assistance. A commenter
believed that we should amend the data element description to include a
youth's use of ``food pantries.'' Another commenter believed that we
should require a State to report whether the youth has experienced
``food insecurity'' which means that the youth's access to food is
limited by a lack of money or other resources. This commenter reasoned
that the public food assistance element as proposed would not provide
information on whether those youth who do not receive public food
assistance have a need for such assistance.
Response: We appreciate that there are other ways to determine
whether youth have enough food to meet their needs and the ways in
which youth may meet that need. However, we reviewed the element
description and believe that it will provide the information we are
seeking. The law requires us to track the youth's reliance on public
assistance as an outcome and that is the primary reason for us
selecting this element. Whether youth are hungry or lack sufficient and
consistent access to foods is an important indicator of their well-
being, but it is not an indicator that we identified during
consultation as one that the State agency should be held accountable
for and an outcome that could be measured easily in a data collection
system. Finally, while community food pantries do provide food
assistance, we do not consider them to be public assistance. We are
making a minor modification to the title and description of this
element to be clear that we are seeking information on ``public food
assistance'' and not all kinds of food assistance. We do not believe
further substantive changes are necessary in response to these
comments.
Public Housing Assistance
In paragraph (g)(44), the State is to report whether a youth
indicates that he or she is receiving government-funded housing
assistance. We did not receive comments on this paragraph, however, we
are making a minor modification to the title of the element to be clear
that we are seeking information on ``public housing assistance'' as
opposed to housing assistance from other sources. We are not making
further changes to the final rule.
Other Financial Support
In paragraph (g)(45), the State must report whether a youth
indicates that he or she receives any other periodic and/or significant
financial resources or support.
Comment: A commenter suggested that the element be renamed ``other
financial support'' to clearly indicate that only financial support was
being identified in the element.
Response: We concur with the commenter and have amended the final
rule accordingly.
Comment: A commenter asked for further clarification on reporting
non-familial sources of support since the definition in the proposed
Appendix B referred only to other support specifically from a spouse or
family member.
[[Page 10353]]
Response: We reexamined the preamble to the NPRM, the proposed
regulatory text and the definition in Appendix B and found that the
definitions, as well as the examples and exclusions, were not
consistent regarding this element. We have amended the final rule to
ensure a consistent definition of other financial support and to be
clear that such funds may not necessarily be uninterrupted payments but
also may be significant funding sources of a temporary nature. An
example of both a significant and non-familial financial support is
funds from a legal settlement, which is listed in the regulation text.
Highest Educational Certification Received
In paragraph (g)(46), the State is to report the youth's stated
highest educational certificate.
Comment: A commenter thought that this element should be revised to
reflect all of a youth's educational achievements.
Response: We recognize the importance of educational achievements
at all levels, but our intention with this element is to ascertain the
highest level of educational certification a youth has received. This
element addresses the statutory requirement to develop measures related
to educational attainment. As such, we do not believe a change is
warranted.
Comment: One commenter thought that high school diploma should be
separated from GED, since long term outcomes in terms of later
educational completion and earnings vary.
Response: While we recognize that long term outcomes may differ for
youth who receive a high school diploma versus a GED, we feel that
grouping them together for this data collection purpose still provides
sufficient information regarding educational attainment and the
transition from foster care to self-sufficiency. For this reason we are
keeping high school diploma and GED as one response option for this
element.
Comment: A commenter asked us to clarify how we used the terms
``certificate'' or ``credential'' so that they are more consistent with
measures used by other Federal agencies and endorsed by some employers.
The suggested language was that a certificate or credential is ``an
award made in recognition of an individual's attainment of measurable
technical or occupational skills necessary to gain employment or
advance within an occupation.''
Response: We recognize that there are different ways for defining
and classifying degrees, certificates and credentials that a youth may
receive. Since this survey is going to be completed by youth, we
crafted the descriptions to be consistent with terms with which youth
are familiar and that were relatively simple to understand. For this
reason, we are not making changes to this description.
Current Enrollment and Attendance
In paragraph (g)(47), the State is to report the youth's stated
enrollment in and attendance at school.
Comment: A commenter recommended allowing young adults to specify
the type of school they currently attend, such as GED, vocational
training or college.
Response: This element was developed to indicate if youth are
making progress towards meeting educational goals by being enrolled and
attending some kind of educational institution, not to identify where
youth are specifically in school. We believe that the specific type of
institution attended does not contribute substantially to our ability
to identify educational attainment for youth as required by the
statute. For this reason we are not amending the element to allow youth
to specify the type of school they attend currently. However, we did
make a minor modification to the final rule to be clearer about the
situations when a youth is still considered to be enrolled in and
attending school when that school is out of session.
Connection to Adult
In paragraph (g)(48), the State is to report whether a youth has
stated his or her positive connection to an adult who serves in a
mentor or substitute parent capacity.
Comment: A few commenters asked us to be clearer about which
adults, particularly adult family members, youth could identify in this
element. Also, a couple of commenters asked us to broaden the element
to permit youth to select current family service workers or caseworkers
as an adult to whom they are connected, as these relationships may be
meaningful for a young person.
Response: We reviewed the description of this data element and are
clarifying the definition of this element in the final rule. A
connection to an adult can include adult relatives, parents or foster
parents but specifically excludes spouses, partners, boyfriends or
girlfriends and current caseworkers. While the relationship between a
youth and a current caseworker can be a positive connection to an
adult, we are attempting to determine if the youth has a positive
relationship to someone outside of the State agency staff who are
employed to work with the youth.
Homelessness
In paragraph (g)(49), the State is to report whether the youth
indicates he or she has experienced homelessness.
Comment: A few commenters were concerned that the NYTD did not
specify the number of homeless incidents or the duration of
homelessness. The commenters believed that this information would
provide a clearer understanding of former foster youth experience(s)
with homelessness. Another commenter requested more specific
information on where youth are when they are homeless.
Response: During the consultation process some participants noted
that it is important to measure the duration of homelessness because
there is a difference in being homeless for a few nights versus part of
a year. However, in order to lessen the data collection burden, we
decided not to include a data element about the duration of a young
person's experience with homelessness for several reasons. We believe
that it may be difficult for youth to remember clearly the duration and
episodes of homelessness, particularly since we are interested in
capturing episodes that may have occurred several years ago.
Additionally, we are not counting the number of homeless incidents
because we believe that a youth's experience with homelessness, no
matter how brief or how frequent, often has a significant impact on
his/her life and ability to be self-sufficient in a way that other
experiences do not.
Comment: Commenters pointed out several aspects of our proposed
definition that were not clear. One commenter said that the phrasing
``no regular place to live of his own'' could be misinterpreted to mean
that a youth may be homeless unless he owns or leases a home of his or
her own. Another commenter believed that a youth should not indicate
that he has experienced homelessness if ``temporarily living with a
friend'' as in our proposed definition. A commenter also questioned
whether the State should survey youth about homelessness if the youth
is still in foster care.
Response: We reviewed the proposed definition of homelessness and
agree that it lacked clarity and could lead to overreporting of the
type of homelessness in which we are most interested. Therefore, we are
amending the final rule to remove the language that caused confusion.
We have also clarified in the definition that the
[[Page 10354]]
homelessness survey question is to be asked of all youth whether or not
they are in foster care at the time of the data collection. This is
important because when the question is posed to 17-year-olds, it asks
for the youth's lifetime experience with homelessness. When the youth
is 19 or 21, the question is different and solicits information on
whether the youth was homeless at any time in the past two years. Even
if a youth is in foster care on the date of outcomes data collection,
the youth may have been homeless at some point during that timeframe.
Comment: A commenter wanted to know if the definition of
homelessness was the same as for other Federal programs and funding
streams such as the McKinney-Vento Homeless Assistance Act.
Response: There are many different definitions for homelessness in
Federal programs that vary based on the intended purposes of those
programs. Our definition of homelessness is based on, but not identical
to, the definition used in the McKinney-Vento Homeless Assistance Act
(42 U.S.C. 11302). Rather, we chose a simpler and more general
definition of homelessness to use for our purposes which is that the
youth has no regular or adequate place to live. This definition
includes situations where the youth is living in a car, on the street,
or staying in a homeless shelter.
Comment: One commenter suggested the development of a new measure
to determine the relative stability of living circumstances for each
17-year-old during the previous 18 to 24 months prior to data
collection. The commenter believed that such a measurement would
clarify issues caused by the high correlation between high relative
stability and positive transitional service outcomes.
Response: We are not clear which data elements the commenter
believes would relate to this measure of stability or what the measure
would entail; however, our intent at this time is to promulgate data
elements that will allow us to develop appropriate outcome measurements
at a later time.
Substance Abuse Referral
In paragraph (g)(50), the State is to report whether the youth
indicates that he or she has had a referral or self-referral for
alcohol or drug abuse assessment or counseling. We did not receive
comments specific to this element description and we are not making
changes to the final rule.
Incarceration
In paragraph (g)(51), the State is to report the youth's
incarceration.
Comment: Several commenters were concerned that the definition of
``incarceration'' provided in the NPRM was inadequate for what the data
element was trying to capture. Specifically, many thought that the term
was too broad, and several suggested distinguishing between being
arrested, being detained in a jail or juvenile/community detention
facility because of an alleged crime, and being convicted. A couple of
commenters were concerned that wrongful arrests might reinforce
negative stereotypes about foster youth and unfairly stigmatize this
population, particularly if the youth were detained for a minor
infraction.
Response: We agree that the proposed definition of incarceration
captured too many different concepts. As such, we are amending the
final rule to focus more specifically on incarceration, rather than
arrests or convictions, because the statute requires that we measure
incarceration as an outcome (section 477(f)(1)(A) of the Act). We
acknowledge that this element may capture information on youth who are
incarcerated after a wrongful arrest and for minor infractions, but we
do not have a clear basis upon which to exclude such information from
this data collection.
Comment: Another commenter was concerned that as different States
have different laws and definitions for incarceration, it could
prejudice the outcome measure to use that term for a nationwide data
collection.
Response: States may have different laws and/or definitions for
incarceration, but we have included a specific definition for this data
collection process in the final rule. Further, the purpose of this
element is to present a broad picture of youth experiences with
incarceration and not to pinpoint the type of alleged crimes or the
nature of the convictions that may have led to the youth's
incarceration.
Comment: One commenter suggested that we change the definition of
incarceration in Appendix B from ``an alleged crime * * * committed by
a youth'' to ``a crime * * * allegedly committed by the youth.''
Response: We agree and have amended Appendix B accordingly.
Children
In paragraph (g)(52) the State is to report whether the youth
indicates that he or she gave birth to, or fathered, any children. We
did not receive comments specific to this element description and are
not making changes to the final rule.
Marriage at Child's Birth
In paragraph (g)(53), the State is to report whether the youth was
married to the child's parent at the time of the birth of any children
reported in the previous paragraph.
Comment: A few commenters suggested that the data element specify
that the youth be married to the child's other ``biological'' parent,
not just ``other parent.''
Response: We have examined this suggestion but do not believe a
change is warranted. This element is crafted to focus on the outcome of
``nonmarital childbirth'' as required by the statute (section
477(f)(1)(A) of the Act). As such, we are interested in information on
whether the youth is married to his or her child's other biological or
legal parent at the time of the child's birth. We did, however,
mistakenly specify the child's other ``biological parent'' rather than
``other parent'' in the NPRM preamble which may have generated this
comment.
Comment: A commenter pointed out that in the description of the
marriage at child's birth element in Appendix B we referred to any
child born ``in the past year'' while the definition in the regulatory
text refers to any child reported in the children element.
Response: The commenter is correct that we made an error. The two
elements relate, so that if a youth reports that he or she had a child
in his lifetime (if reporting at age 17) or had a child within the past
two years (if reporting at age 19 or 21), then the marriage element
relates to whether the youth was married at the time of the births
during those respective timeframes. We are amending Appendix B
accordingly.
Medicaid
In paragraph (g)(54), the State must report whether the youth
indicates that he or she is participating in the State's Medicaid
program. We did not receive comments on this paragraph and are making
no changes to the final rule.
Other Health Insurance Coverage
In paragraph (g)(55), the State is to report whether a youth has
indicated that he or she has health insurance other than Medicaid. We
did not receive comments on this paragraph and are making no changes to
the final rule.
Health Insurance Elements
In paragraphs (g)(56) through (g)(58), the State is to report the
types of health insurance the youth indicates he or she possesses other
than Medicaid.
Comment: Several commenters found that the health insurance
elements
[[Page 10355]]
lacked clarity and simplicity. A commenter also noted that survey
questions regarding other health insurance types had been omitted from
the survey in Appendix B.
Response: We agree and have amended the final rule in a number of
ways to respond to the commenters' concerns. The survey questions and
elements are structured now to solicit all types of insurance types the
youth has, rather than pinpointing a particular combination of
insurance. For example, the youth will be asked separately whether he
has insurance that covers medical health, mental health, and/or
prescription drugs, rather than whether he has a plan that combines all
three types. We have also added a response option of ``I don't know''
to the health insurance type elements in a way that permits the youth
to identify the types of insurance that he or she knows and does not
know about. We have eliminated a data element with this restructuring
without any loss in the information collected. Finally, Appendix B
specifies the survey questions that reflect these changes.
Recommendations for Additional Data Elements for Both the Services and
Outcomes Components of NYTD
Comment: A commenter noted the absence of data elements in the NYTD
that identify youth who have physical or mental disabilities. The
commenter believes that information regarding disabilities is essential
to a complete analysis of data on youths' employment and educational
attainment.
Response: We agree that data on a youth's disabilities could inform
our understanding of independent living services and youth outcomes.
However, States already collect and report this information to AFCARS.
Since we are requiring States to identify youth in the same way in both
datasets, we believe we will have the foundation to analyze youth
disabilities information from AFCARS in conjunction with the services
and outcomes information from NYTD. We do not believe it necessary to
require States to duplicate this information and are not making a
change to the final rule.
Comment: A commenter suggested an additional characteristics
element which identifies the youth's living arrangement, particularly
whether youth are in a foster family home, child care institution or a
supervised independent living arrangement. The commenter believed that
this information could shed light on the likelihood of youth receiving
informal or formal services.
Response: We disagree that all living arrangements need to be
incorporated into the NYTD as we do not believe that information on the
setting in which an independent living service is delivered is
essential to fulfilling the statutory mandate. One exception is that
when a youth is in a supervised independent living arrangement it would
be indicated as a service to the youth because it is more than just the
child's placement. To the extent that other living arrangement
information may reveal useful information, we can analyze the NYTD
information in conjunction with AFCARS data on foster care settings. We
are not making changes to the final rule to incorporate further living
arrangement information.
Comment: Several commenters believed that the NYTD should have
several elements on youth mental health. In particular, commenters
requested elements to identify youth with mental health issues, report
whether such youth are referred for or receive mental health
assessments and services, and assess prevalence of mental health
problems as an outcome. These commenters noted that some research
indicates that youth in foster care have a higher rate of mental health
issues, which if not treated effectively, can be significant barriers
to self-sufficiency.
Response: We reexamined our exclusion of a mental health element in
the NPRM and believe still that it is not appropriate for this data
collection. During our consultation process, we ruled out the inclusion
of elements on health utilization and outcomes, including mental
health. We agreed with stakeholders that mental health is an important
aspect of a youth's well-being, but it is not generally accepted as
part of the responsibility of a State's independent living program.
Further, mental health is an area that is challenging to measure in a
straightforward manner. As such, we are not making a change to include
mental health services or outcomes in the final rule.
Comment: One commenter suggested that it was not only important to
know if youth needed health services, mental health services or
prescription medications, but also if youth had been unable to access
appropriate services.
Response: We are interested in determining to what extent youth
have health insurance as a measure of their ability to access
appropriate services to meet their needs. As stated previously, we
ruled out measures of health care utilization during consultation and
find no compelling reason to include them in the final rule.
Comment: A commenter recommended that we collect and use data on
the State agency's efforts to continue permanency planning for older
youth despite their preparation for emancipation. The commenter
suggested that this could be accomplished through services and outcomes
data elements in NYTD or alternatively through AFCARS.
Response: The NYTD was designed to collect data specifically about
services offered by the State's independent living program and outcomes
related to those services. Although we recognize the potential value of
an agency's continued permanency efforts for older youth, we believe
that this dataset is not the appropriate venue for requesting
information regarding permanency plans. Rather, to some extent, this
information can be examined more closely through the existing AFCARS
and the Child and Family Services Reviews.
Comment: One commenter noticed the omission of data elements that
relate directly to a youth's use of education and training voucher
(ETV) funding pursuant to section 477(h) of the Act and thought it
would be useful to collect information on the drop-out rates of youth
using the vouchers and the youths' reasons for dropping out of post-
secondary education.
Response: A youth's receipt of an ETV is included in both the
services and outcome elements as part of the ``Educational Financial
Assistance'' service element and the ``Educational Aid'' outcomes
element. This data collection system is not designed to be a program
evaluation tool for any one specific CFCIP activity, and therefore
adding specific questions regarding ETVs is not consistent with the
intent of this regulation.
Comment: A commenter believed that we should incorporate additional
elements to assess youth high-risk behavior due to sexual activity. The
commenter proposed an element for teen pregnancy at ages 17, 19 and 21,
in addition to born children, so that we could determine youth
abortions or miscarriages. The commenter also proposed an element for
recording sexual activity, particularly to obtain a complete
understanding of male behavior that is not captured in pregnancy data.
Response: While we recognize that the suggested elements may
provide a more complete picture of sexual activity, we are not
persuaded that these are appropriate to measure in this data
collection.
Comment: A commenter suggested that we require a State to report
whether a youth possessed critical documents, including a birth
certificate, driver's
[[Page 10356]]
license or other State-issued identification and social security card.
Response: We considered whether to include a youth's possession of
critical documents as an outcome element during consultation but ruled
it out because we determined that such information is more appropriate
for program evaluation. We have not received compelling information
that suggests a different approach and are not making changes to the
final rule in this regard.
Comment: One commenter requested data elements that would more
accurately reflect effectiveness of specific programs implemented
pursuant to the Foster Care Independence Act.
Response: This data collection system is not designed to be a
program evaluation tool for any one specific CFCIP program, which is
why we have not included data elements related to the implementation of
specific programs.
Comment: One commenter suggested adding an element that indicates
the method of survey administration, which would make it possible to
identify any potential biases in the outcomes data that may be
associated with the various survey methods.
Response: We do not believe it is necessary to require this
information through a data element; however, we will provide additional
guidance outside of regulation on how States can provide us with
additional information that explains or relates to their data
submission.
Electronic Reporting
In paragraph (h), we require a State to submit NYTD data
electronically.
Comment: We heard generally positive comments about using
Extensible Mark-up Language (XML) to transmit data files. We also had
several requests from commenters for more detail on how States should
prepare their electronic files and submit their files to us.
Response: We appreciate that commenters responded to our request
for feedback on using XML. We still are not regulating a particular
method for submitting data here, but will provide States with detailed
technical information on preparing and submitting their data files
outside of regulation.
Section 1356.84 Sampling
In paragraph (a), we describe the option for a State to sample
youth who participate in outcomes data collection at age 17 and collect
outcomes data on the sample at ages 19 and 21.
Comment: Several commenters supported sampling for the follow-up
population at ages 19 and 21 as a viable method to collect data in some
States. Alternatively, a commenter objected to our proposal to allow a
State to survey a sample of youth in the follow-up population. This
commenter believed that it was reasonable to expect States to follow
all youth over time given the staggered outcomes data collection
schedule and the participation rates.
Response: We proposed to permit sampling because we believe that
there are challenges inherent in States following very large
populations of youth over time, including significant financial costs.
As such, we are retaining the provision which permits States to sample.
In paragraph (b), we specify how the State must select the follow-
up sample and describe the sampling universe. The State agency must use
simple random sampling procedures based on random numbers generated by
a computer program, unless ACF approves another sampling procedure.
Comment: A commenter interpreted our proposed requirements
regarding sampling methodology to mean that a State must use a simple
random sampling approach. The commenter believed that a stratified
random sampling approach based on counties would be more appropriate
for some States.
Response: We agree with the commenter that the simple random
sampling approach may not be an appropriate method for all States. For
this reason, we are retaining in the final rule our proposal for the
use of an ACF-approved alternate sampling methodology. ACF will
consider all alternate sampling methods proposed by a State that
utilize accepted sampling methodologies. No changes are needed to the
final rule in response to this comment.
In paragraph (c), we require the State to base the sample size on
the number of youth in the baseline population who participated in the
State agency's data collection at age 17. The State will use one of two
formulas based on whether the sampling frame is less than or greater
than 5,000 youth and will increase the resultant sample size by 30
percent to allow for attrition.
Comment: A commenter objected to using the number of 17-year-olds
as reported in AFCARS to forecast the number of youth who will receive
independent living services in the State's random sample since actual
youth in foster care fluctuate over time. The commenter suggested that
we instead publish guidance which indicates actual sample sizes.
Response: There is no requirement to use AFCARS data for the
sample. In the preamble to the NPRM we provided State-specific numbers
of 17-year-olds in foster care and the potential sample sizes using
AFCARS data for illustrative purposes only. However, the actual sample
size will depend on the number of youth in the baseline population who
participate in the outcomes data collection at age 17. States will then
track this sample of youth over time and administer the outcomes survey
when those youth turn age 19 and 21. No changes are warranted in
response to this comment.
Comment: A commenter offered a strategy to decrease sample
attrition which involves adding a series of questions to the survey
about people who can be contacted by the State agency to help locate
the youth over time.
Response: We agree with the sentiment expressed by the commenter
that if a State solicits contact information from youth when
administering the survey, it could increase the State's success in
locating the youth later. Such a practice is allowable, however, we do
not believe it is necessary to mandate particular tracking methods or
otherwise amend our survey or sampling procedures in response to this
comment. Rather, we intend to provide ongoing technical support of this
nature to States in meeting the requirements of the NYTD.
Section 1356.85 Compliance
In this section we define the standards we will use to determine a
State's compliance with NYTD and our process for determining whether
the State is in compliance with the standards.
File Submission Standards
In paragraph (a), we specify the file submission standards. The
State must achieve these minimal standards for timeliness, formatting,
and quality information in order for us to process the State's data
appropriately.
In paragraph (a)(1), we specify the timely data file standard. To
be timely, we must receive the State's data file within 45 days of the
end of each six-month report period, consistent with the reporting
period and timeline specified in section 1356.83(a). There were no
comments specific to this section other than those we addressed
previously in the discussion of the submission deadline in section
1356.83(a). We are not making changes to the final rule.
[[Page 10357]]
In paragraph (a)(2) we specify the format file standard. To meet
this standard the State must send us a data file in a format that meets
our specifications.
Comments: A few commenters raised issues related to data file
formatting specifications in the context of the availability of
technical assistance and software programs (i.e., utilities) that can
be used to detect formatting errors in a data file prior to submitting
a data file to ACF.
Response: At this time we cannot outline the exact transmission
method and/or formatting requirements for the NYTD data as explained in
the preamble to the NPRM. In brief, we have decided not to regulate the
technical requirements for formatting or transmitting the NYTD data
file. Instead, we will issue technical requirements and specifications
through official ACF policy. We have learned through out experience
with AFCARS that it is more prudent not to regulate the technical
specifications for formatting and receiving data because of inevitable
future advances in technology. Further, we will consider what form of
technical assistance may be needed by State agencies to meet the NYTD
file submission. No changes are needed in the final rule in response to
these comments.
In paragraph (a)(3) we specify the error-free information file
standard. A State must submit 100% error-free data for the basic
demographic elements described in section 1356.83(g)(1) through (g)(5),
(g)(14) and (g)(36) for every youth in the reporting population.
Comment: A few commenters were concerned that the proposed 100
percent error-free information standard was unreasonably high. One of
these commenters requested that we lower the standard to 98 percent,
particularly to accommodate larger States that may find such exact
quality control challenging.
Response: The error-free information file standard is consistent
with the importance we place on quality information for the seven basic
elements: State, report date, record number, date of birth, sex, foster
care status--services, and foster care status--outcomes. As we
explained in the preamble of the NPRM, we believe the State agency can
report readily on these seven elements, but more importantly, they are
essential to our capacity to analyze the data and determine whether the
State is in compliance with the remaining NYTD data standards. For
example, these elements allow us to determine whether the youth should
be surveyed for outcomes as part of the baseline population because the
youth is 17 years old and in foster care, and whether the State has
achieved the foster care participation standard. We are not making
changes to the final rule in response to this comment.
Data Standards
In paragraph (b), we specify the set of data standards a State must
meet to be in compliance with NYTD requirements.
Error Free
In paragraph (b)(1), we require the State to meet the standard that
the remaining data elements, i.e., demographic, service and outcomes
elements defined in section 1356.83(g)(6) through (13), (g)(15) through
(35), and (g)(37) through (58), must be 90 percent error-free. No
comments were received on this standard and we are not making any
changes in the final rule.
Outcomes Universe
In paragraph (b)(2), we describe the outcomes universe standard. To
meet this standard the State must submit complete or partial outcomes
information or a reason explaining why there is no outcomes data for
each youth in the follow-up population (or the sample) who participated
in the outcomes data collection as part of the baseline population.
We received no comments on this section, but have modified the
final rule to account for the provision at section 1356.83(e) which
requires a State to identify youth who are not in the follow-up sample
of 19-year-olds. The final rule now specifies that for those States
that sample, the State must submit outcomes reporting status
information on all 19-year-olds in the follow-up population, whether or
not they are in the sample. States that sample will meet the outcomes
universe standard if they submit at least the outcomes reporting status
on all of the 21-year-olds in the follow-up sample.
Outcomes Participation Rates
In paragraph (b)(3), we require the State to obtain full or partial
outcomes information from a certain percent of youth in the follow-up
population.
Comment: A couple of commenters noted that we did not propose to
adjust the calculation of the participation rate to exclude youth who
are deceased or institutionalized consistent with accepted survey
methodologies.
Response: After reviewing various survey methodologies, we believe
that a change in the regulation is warranted. We are amending paragraph
(b)(3) to exclude youth who are reported by the State as deceased,
incapacitated or incarcerated in the follow-up population in our
calculation of the participation rate. Excluding individuals who should
not participate due to the nature of the survey from the calculation of
response rates is a standard practice. We will use the data States
report in the outcomes reporting status element described in section
1356.83(g)(34) in calculating the participation rate. For example, for
a State that does not sample there are 215 17-year-old youth in the
baseline population who participate in the outcomes survey. Two years
later, none of the 215 youth are in foster care and 5 of these youth
become incapacitated, incarcerated or deceased. In another two years,
10 more of the original baseline youth become incapacitated,
incarcerated or deceased. ACF will calculate whether the State has
reported some outcomes information on 60% of the remaining 200 youth in
the follow-up population at age 21 to determine whether the State has
met its participation rate.
However, we want to be clear that even though outcomes information
for incapacitated, incarcerated and deceased youth will be unavailable
for the report period, a State must still report all other information
for such youth. For example a State may not report outcome data for an
incarcerated youth during a report period, but must report service
information if she received independent living services that were paid
for or provided by the State agency at some point in the report period.
We will provide more technical guidance on these issues, as necessary,
outside of regulation.
Comment: A few commenters objected to our basing compliance on a
fixed participation rate at this time and suggested alternative
approaches. One such commenter requested that we reconsider using a
contact standard in which the State's compliance would be based on
efforts to engage the youth rather than their actual participation.
Another commenter suggested that we conduct a pilot study before
deciding on any particular response rate, and a third suggested that we
write into the regulation the option to reevaluate and revise the
participation rates after implementation.
Response: As stated in the preamble to the NPRM, we ruled out using
a contact rate standard upon which to base State compliance with the
NYTD requirements. A contact rate would give the State credit for its
efforts to solicit a youth's participation; however, we found
difficulty in establishing an appropriate measure of a bona fide
[[Page 10358]]
contact. Further, a contact rate could not provide us with enough
assurance that we would get sufficient data upon which to measure youth
outcomes.
We do not believe another pilot study is warranted nor do we concur
with the recommendation to build in an opportunity to lower the rate.
We carefully considered the available research on similar populations
of youth in our participation rate proposal and see no need to further
delay implementation of the NYTD. Further, permitting a later reduction
in the participation rates sets a low expectation that States will
achieve the participation rate and suggests that we will not hold
States accountable for achieving the rates. As such, we will retain
specific participation rates in the final rule.
Foster Care Youth Participation Rate
In paragraph (b)(3)(i) we specify that the State must report
outcome information on at least 80 percent of youth in the follow-up
population who are in foster care on the date of outcomes data
collection as indicated in section 1356.83(g)(35) and (g)(36).
Comment: Several commenters disagreed with the proposed foster care
youth participation rate of 80 percent, asserting that it is not
achievable. On the other hand, several other commenters believed that
the foster care youth participation rate of 80 percent was achievable
because locating youth who are still in the State agency's custody
should not be problematic.
Response: In developing our proposal we carefully considered the
available research on this population, what we believed was a
reasonable expectation for States who still have responsibility for the
youth's care and placement, and our necessity for ample information to
meet the statutory mandate. We believe that the 80 percent
participation rate is an appropriate standard and are retaining the
proposed rate accordingly. We want to be clear, however, that youth are
only considered to be in foster care if they meet the definition in 45
CFR 1355.20, as referenced in section 1356.83(g)(36). This means that
they must be children under the State's age of majority who are under
the placement and care responsibility of the State title IV-B/IV-E
agency. We are not aware of any State in which 19- and 21-year-olds are
in foster care in accordance with this definition at this time as
typically States have defined their age of majority as 18. Therefore,
in practical terms States will have to meet the 60 percent discharged
youth participation rate.
Discharged Youth Participation Rate
In paragraph (b)(3)(ii), we specify the discharged youth
participation rate. To comply, the State must report outcome
information on at least 60 percent of youth who are in the follow-up
population who are no longer in foster care on the date of outcomes
data collection as indicated in section 1356.83(g)(35) and (g)(36).
Comment: Many commenters disagreed with the proposed discharged
youth participation rate of 60 percent because they assert that it will
be difficult to track young adults who may not continue to receive
services from the State agency. Some commenters recommended reducing
the participation rate because they believed that States should not be
held responsible for the actions of young adults for whom they have no
control or authority. Several of the commenters who opposed the 60
percent standard came up with a variety of alternative approaches, such
as lowering the rate for 21-year-old youth, applying the rate to only
those youth who are receiving services, and initially lowering the rate
and then raising it over time.
Alternatively, several commenters recommended that we increase the
discharged youth participation rate to 70 percent or higher in hopes of
achieving a more accurate picture of outcomes for former foster youth.
These commenters were concerned that States would inadvertently report
data on only the most successful youth which would skew the outcomes
information.
Response: We reassessed the discharged youth participation rate in
light of the comments on both sides of this issue and continue to
believe that 60 percent is appropriate. While we agree that the process
of collecting outcomes data from youth no longer in the State's foster
care will be challenging, we are seeking a standard that will provide
us with a level of confidence in the outcome information that is
reported to us. After considering the research on response rates and
reviewing the Office of Management and Budget's guidance on surveys
(see various publications at http://www.whitehouse.gov/omb/inforeg/statpolicy.html#pr), we do not believe that a rate lower than 60
percent would serve our purposes. We believe that compliance with this
standard may be more difficult during the early part of NYTD
implementation since States must have tracking procedures in place at
startup to later locate youth no longer receiving services. Therefore,
we believe that we can address many of the commenters' concerns by
giving States two full fiscal years to implement the NYTD. We believe
that giving States more time to develop tracking procedures and to
utilize technical assistance to address the challenges in obtaining
outcomes data from this population is a better alternative to
compromising our standard for obtaining data.
Effect of Sampling on Participation Rates
In paragraph (b)(3)(iii), we explain how the outcome participation
rates will be applied to State agencies that choose to sample in
accordance with section 1356.84.
We received no comments on this section. However, we are making a
wording change to this provision to clarify that in calculating the
participation rate for States that sample, we will apply the
appropriate rate to the required sample size inclusive of the 30
percent attrition allowance. The previous wording used the phrasing
``minimum'' sample size, which may have suggested that we would apply
the participation rate against the number resulting from the formula
prior to increasing the sample by 30 percent to allow for attrition.
Errors
In paragraph (c) we define further the concept of data in error.
In paragraph (c)(1) we define missing data as any element that has
a blank response, when a blank response is not a valid response option
as described in the data element descriptions in section 1356.83(g).
Comment: One commenter informed us that we could expect missing
data since the States are able to indicate that a youth declined
participation or is otherwise unavailable to participate in the
outcomes data collection.
Response: We believe the commenter may misunderstand what we mean
by ``missing data'' and would like to take this opportunity to clarify
the term. Situations in which the State reports that the youth did not
participate in the outcomes data collection is not a missing data
error. Rather, this information may be a factor in calculating the
outcomes data participation rates as described in section
1356.85(b)(3).
For the purposes of the NYTD, ``missing data'' occurs when an
element has a blank response when this is not a valid response option,
such as a missing record number or no date of birth. Blank responses
are valid when the youth is not in the reporting population to which an
element applies as described within the data element descriptions. For
[[Page 10359]]
example, a State should report blank responses in the outcomes elements
for a 15-year-old youth in the served population. Blank responses are
also valid in the outcomes elements (g)(37) through (g)(58) when a
youth does not participate in the outcomes data collection element as
described at section 1356.83(g)(34)(ii) through (ix). We will provide a
more complete accounting of missing data and other errors outside of
regulation.
In paragraph (c)(2) we define out-of-range data as any element that
contains a value that is outside the parameters of acceptable responses
or exceeds, either positively or negatively, the acceptable range of
response options as described in section 1356.83(g). No comments were
received on this section and we are not making changes in the final
rule.
In paragraph (c)(3) we define internally inconsistent data as any
element that fails an internal consistency check designed to evaluate
the logical relationship between elements in each record. No comments
were received on this section, and we are retaining this provision as
proposed.
Review for Compliance
In paragraph (d) we describe our process of reviewing a State's
data file for compliance with the aforementioned standards.
Comment: One commenter requested clarification as to whether the
NYTD would allow the use of default values and/or default mapping
procedures. The commenter maintained that State agencies are not
permitted to use default values and/or default mapping procedures in
their State AFCARS.
Response: Defaulting, from our perspective, is the practice of
automatically converting missing data for an element into a valid
response option. We reject this practice in AFCARS generally because
defaulting results in a misleading and inaccurate account of the
information or lack of information collected, and as such we will not
accept the practice in the NYTD. We have provided guidance regarding
the use of defaults in AFCARS (see the National Resource Center for
Child Welfare Data and Technology's Web site http://www.nrccwdt.org/rscs/rscs_facts_defaults.html) and intend to do so for the NYTD as
well. However, because of the technical nature of defaulting
procedures, more information will be provided outside the regulatory
process.
In subparagraph (d)(1)(i), we explain that as long as the State is
in compliance with the file submission standards, ACF will continue to
assess the remaining file for compliance with the data standards. No
comments were received on this section, and we are retaining this
provision as proposed.
In subparagraph (d)(1)(ii), we explain that we will notify the
State if the State has not met the file submission standards so that
the State can submit corrected data. No comments were received on this
section and no changes are warranted to the final rule.
In paragraph (d)(2), we explain that we may use other monitoring
tools that are not explicitly mentioned in the regulation to determine
whether the State meets all requirements of the NYTD.
No comments were received on this section, and we are not making
changes in the final rule.
Submitting Corrected Data and Noncompliance.
In paragraph (e), we outline a State's opportunity to correct any
data that does not meet the compliance standards. No comments were
received on this section, and we are retaining the provision as
proposed.
In paragraph (e)(1), we explain that a State must submit a
corrected file no later than the end of the subsequent reporting period
as defined in section 1356.83(a) (i.e., by September 30 or March 31).
No comments were received on this section, and we are not making
changes in the final rule.
In paragraph (e)(2), we explain that we will make a final
determination that a State is out of compliance if a State's corrected
data file does not meet the compliance standards described in section
1356.85. Similarly, we explain that we will determine that a State is
out of compliance if the State chooses not to submit a corrected data
file or submits a corrected data file inconsistent with the
requirements described in section 1356.85(e)(1). This final
determination of noncompliance means that the State will be subject to
the penalties described in section 1356.86. No comments were received
on this section, and we are not making changes in the final rule.
Section 1356.86 Penalties for Noncompliance
This section sets forth a penalty structure for States agencies
that are out of compliance with the NYTD standards following an
opportunity to submit corrected data.
In paragraph (a) we define which funds will be subject to a penalty
for a State agency that is out of compliance with NYTD standards.
Comment: We received many comments requesting that a State's annual
allotment of ETV funds (section 477(h)(2) of the Act) be excluded from
the penalty pool. Most of the commenters pointed out that unlike the
general CFCIP funds which States can use broadly to fund independent
living services, the ETV program provides direct financial assistance
to former foster youth who are working productively to achieve
independence through a higher education. Therefore, reducing ETV funds
for a State's failure to comply with data collection requirements was
contrary to the goals of the ETV program because it would deprive
certain youth of an opportunity to pursue post-secondary education.
Other commenters believed that including ETV funds in a penalty was
inconsistent with Congressional intent because the data collection and
penalty provisions in the law preceded the enactment of the ETV
program. A few commenters maintained that a State's annual allotment of
ETV funds should not be subject to a penalty for noncompliance with
NYTD data requirements because those requirements are more focused on
general independent living services rather than education and training
vouchers.
Response: We have given serious consideration to the commenters
concerns and are persuaded that there are good reasons for excluding
ETV funds from the funds subject to a penalty for State noncompliance
with the data requirements. When we look at the law as a whole, there
is support for concluding that ETV funds should be excluded from the
penalty pool because ETV funds may not generally be used for the data
collection activities required by NYTD. The statute and our policy
permit a State to use ETV funds only for vouchers to youth for higher
education and the associated administrative activities necessary to
provide the vouchers (section 477(h)(2) of the Act and Child Welfare
Policy Manual Section 3.3F Q/A 1). Therefore, including ETV
funds in the penalty pool for lack of compliance with NYTD requirements
would have the incongruous consequence of depriving a State of funds
which it could not use for NYTD.
We also reviewed the legislative history, and there is no
indication that Congress considered the inclusion of the ETV funds in
the data collection penalty pool. Rather, the legislative history
indicates quite clearly that the ETV funds are authorized and
appropriated separately from the CFCIP funds so that they could be
dedicated to funding higher education for youth (House Report 107-281,
pp. 12, 21-22). Including ETV funds in the penalty pool
[[Page 10360]]
would be contrary to the purpose of the program, and we are amending
the final rule to exclude ETV from the calculation of the penalty.
Comment: A few commenters suggested that States should not be
subject to a penalty for noncompliance with NYTD standards.
Response: Section 477(e)(2) of the Act requires us to assess a
penalty against a State that fails to comply with the information
collection plan as implemented by ACF. We crafted the penalty structure
carefully within the statutory parameters with the goal of obtaining
quality data that can be used to understand services and improve youth
outcomes. As such, in line with the statute, we are retaining the
penalty as proposed in the NPRM with the modification to exclude ETV
funds from the calculation of the NYTD penalty pool.
In paragraph (b) we specify the penalty amounts that will be
assessed for States we determine to be out of compliance with NYTD file
submission and data standards.
Comment: Several commenters suggested that we provide financial
incentives to State agencies that meet or exceed NTYD standards. The
commenters suggested that we could integrate such State financial
incentives into the penalty structure for State noncompliance with NYTD
standards. One commenter disagreed with the approach to an incentive
structure as we described in the NPRM and suggested we conceptualize
incentives in terms of ``added rewards rather than a penalty
reduction.''
Response: Section 477 of the Act does not make funds available to
the States for achieving or exceeding a specified NYTD standard.
Further, the requirement to assess a penalty against a State that fails
to comply with a data reporting requirement is statutory and specified
in section 477(e)(2) of the Act. Therefore, we cannot provide financial
incentives. In the preamble of the NPRM, we described our initial
thinking on how a penalty reduction could be an unconventional
incentive that works within the statutory framework. However, we did
not receive any comments that indicated that a penalty reduction would
provide an incentive to States and we are not including it as a feature
in the final rule.
Comment: Several commenters requested that we permit a State to use
funds that would otherwise be penalized for noncompliance with NYTD
requirements if the State agency agrees to correct the identified
deficiencies in the State's data. These commenters referred to this as
a ``reinvestment'' approach that could replace the penalty structure
for noncompliance with NTYD standards.
Response: The statute requires us to take a penalty for State
noncompliance with NYTD data requirement pursuant to section 477(e)(2)
of the Act. We believe that it would be contrary to the purposes of the
statute to assess a penalty against a State agency for noncompliance
and then subsequently make any portion of those funds available to the
State. Therefore, we are not permitting States to reinvest penalized
funds in the final rule.
In paragraph (b)(1), we specify that we will assess a penalty in
the amount of two and one-half percent (2.5 percent) of the funds
subject to a penalty for each reporting period in which we make a final
determination that the State's data file does not comply with the file
submission standards defined in section 1356.85(a).
Comment: A commenter was concerned that a file submission penalty
in the amount of 2.5 percent would have a negative impact on the CFCIP
independent living services available to youth in the State.
Response: The statute requires us to penalize States in an amount
that ranges from 1 percent to 5 percent of their CFCIP allotment for
not complying with the data collection requirements. As we explained in
the preamble to the NPRM, we proposed to assess the largest possible
penalty (for the reporting period) if the State did not achieve any one
of the file submission timeliness, format, and quality standards. We
reasoned that we will not have useable information in a timely fashion
if the State agency does not meet such standards described in section
1356.85(a). We are not persuaded by the commenter that the amount
specified is unreasonable and warrants a change to the final rule.
In paragraph (b)(2)(i), we specify that ACF will assess a penalty
in the amount of one and one quarter percent (1.25 percent) of the
funds subject to a penalty for each reporting period in which ACF makes
a final determination that the State agency's data file does not comply
with the data standard for error-free data as defined in section
1356.85(b)(1).
Comment: One commenter expressed a concern that the 1.25 percent
penalty for non-compliance with the data standard for error-free data
for each reporting period, as defined in section 1356.85(b)(1), is too
costly for States.
Response: As we stated in the NPRM, we have applied a significant
penalty amount to the error-free compliance standard because we believe
the State must ensure that NYTD data reported to us meet important
quality standards. Errors in the demographic, service, and outcome data
(i.e., missing, out-of-range, and/or internally inconsistent data)
significantly undermine the aims of the NYTD. Given the degree of
importance of error-free data to this dataset, we have made no changes
in the final rule in response to this comment.
In paragraph (b)(2)(ii), we specify that ACF will assess a penalty
in the amount of one and one quarter percent (1.25 percent) of the
funds subject to a penalty for each reporting period in which ACF makes
a final determination that the State agency's data file does not comply
with the outcome universe standard as defined in section 1356.85(b)(2).
No comments were received on this section, and no changes have been
made to the final rule.
In paragraph (b)(2)(iii) we specify that ACF will assess a penalty
in the amount of one half of one percent (0.5 percent) of the funds
subject to a penalty for each reporting period in which ACF makes a
final determination that the State agency's data file does not comply
with the foster care youth participation rate defined in section
1356.85(b)(3)(i).
Comment: One commenter asked whether there are acceptable reasons
for a State's inability to report youth outcomes information to us. If
so, the commenter asked whether a State would be subject to a penalty
if youth outcomes information could not be reported to us for such
acceptable reasons.
Response: We are not prescribing `acceptable reasons' for the
State's inability to obtain outcomes information, rather the State must
meet participation rates for the population as a whole to be in
compliance with the NYTD requirements. We require the State to report
the reason it is unable to collect outcomes information on a youth in
the baseline or follow-up reporting populations through the outcomes
reporting status data element described in section 1356.83(g)(34). The
State will be held accountable for achieving 80 percent participation
from the follow-up population in foster care and 60 percent
participation from the follow-up population no longer in foster care.
As noted in the discussion on section 1356.85(b)(3), there are three
subgroups that we will not include in calculating whether a State
achieved the youth participation rate (deceased, incapacitated and
incarcerated), which means that the State will not be penalized for
failing to collect outcomes data on these youth.
In paragraph (b)(2)(iv) we specify that ACF will assess a penalty
in the amount
[[Page 10361]]
of one half of one percent (0.5 percent) of the funds subject to a
penalty for each reporting period in which ACF makes a final
determination that the State agency's data file does not comply with
the discharged youth participation rate standard defined in section
1356.85(b)(3)(ii).
Comment: We received a number of comments opposing a penalty for
States that we find out of compliance with the discharged youth
participation rate standard. Primarily, commenters believed we should
not penalize States for not reporting information on youth for whom the
State has no control or authority.
Response: As we stated in the NPRM, we recognize that collecting
outcome data directly from youth discharged from foster care is one of
the most challenging aspects of the NYTD. However, we consider the 0.5
percent penalty to be a relatively small penalty amount. Further, we
chose a 0.5 percent penalty because the amount of the penalty had to be
small enough so that in combination with other potential penalties, the
maximum penalty would not be exceeded for the Federal fiscal year (5.0
percent). Additionally, we wanted to ensure that the penalties for
failing to meet the participation rates did not exceed the penalties
for a State failing to submit data on the outcomes universe. Thus, we
have made no changes to the final rule in response to these comments.
In paragraph (c), we describe how we will take into account the
assessed penalties in determining a final amount of a State's penalty
for noncompliance with NYTD file submission and data standards.
Comment: One commenter disagreed with the approach to ``round-up''
the State agency penalty amount to one percent, if it is actually less
than that.
Response: The statute at section 477(e)(2) of the Act requires us
to assess a penalty in an amount of at least one percent of a State's
CFCIP allotment for the Federal fiscal year for noncompliance with NYTD
standards. As we discussed in the preamble to the NPRM, a State's
assessed penalty could be less than one percent for the first reporting
period because we proposed penalties based on State compliance for each
six-month reporting period. In such a situation, we will determine that
the State's penalty amount is one percent of the State's annual CFCIP
allotment for the first reporting period accordingly. However, in the
event that the State is in noncompliance with any standard in the
subsequent six-month reporting period in the Federal fiscal year, we
will not penalize the State more than the actual calculated penalty
amount for the fiscal year. We have made only minor editorial changes
to this provision and no substantive changes in response to these
comments.
In paragraph (d), we describe how we will notify States officially
of our final determination that the State is out of compliance with the
file submission or data standards following an opportunity for
corrective action. We received no comments on this section, and we are
not making changes in the final rule.
In paragraph (e), we explain that a State will be liable for
applicable interest on the amount of funds we penalize, in accordance
with the regulations at 45 CFR 30.13. We received no comments on this
section and are not making changes in the final rule.
In paragraph (f), we explain that a State will have an opportunity
to appeal a final determination that the State is out of compliance to
the HHS Departmental Appeals Board (DAB) consistent with DAB
regulations in 45 CFR part 16. We received no comments on this section.
However, we are making a couple of technical changes to refer
consistently to the body as the Departmental Appeals Board and remove
the language in the NPRM that referred to an appeal of ``any subsequent
withholding or reduction of funds.'' We have made this change to
clarify that a State can appeal ACF's final determination of
noncompliance which will include an assessment of a financial penalty,
but that there is not an opportunity for appeal to the DAB associated
with ACF's withholding of funds that is separate from the final
determination of noncompliance.
Comments on Cost and Burden Estimates
Comment: One commenter stated that this rule was an ``unfunded
mandate.''
Response: The Unfunded Mandates Reform Act requires us to assess
whether the rule imposes mandates on governments or the private sector
that will result in an annual expenditure of $100 million or more. We
have determined that the approximate annual costs to States to comply
with the information collection requirements identified in the
``Paperwork Reduction Act'' section will be approximately $13 million,
which includes costs that may be reimbursed by the Federal government
as SACWIS expenditures. The hour burden associated with the information
collection requirements is anticipated to be approximately $3 million
for all States annually, some of which may be paid for with CFCIP
funds. Therefore, this rule will not impose costs of $100 million or
more.
Comment: A commenter requested that we clarify the components of
the NYTD requirements that we require to be incorporated into SACWIS
and therefore may be claimed as title IV-E administrative costs under
SACWIS.
Response: States that have elected to build a SACWIS must
incorporate NYTD information collection and reporting activities
related to children in foster care into their SACWIS system.
Regulations at 45 CFR 1355.53(b)(3) and (4) as well as policy at ACF-
OISM-001 (part IV) direct States to incorporate all case management and
service functions for children in foster care into their SACWIS.
Specific components of the NYTD that are included in a State's SACWIS
are subject to the APD process. More specific guidance on SACWIS
requirements and allowable costs will be issued outside of this
regulation.
Comment: A couple of commenters requested guidance on the Federal
funding sources States may use to pay for the costs related to the NYTD
and whether title IV-E reimbursement is available for States that do
not incorporate NYTD functionality into their SACWIS systems.
Response: A State may use CFCIP funds for any and all costs
associated with implementing the NYTD. A State with a SACWIS must
incorporate NYTD information collection and reporting activities
related to children in foster care into their SACWIS system and may
claim such information system costs as administrative costs under title
IV-E to the extent they are allowable and consistent with a State's APD
and cost allocation plan (45 CFR 1355.50-1355.57 and 1356.60(e)).
A State may not claim reimbursement under title IV-E for NYTD
information system costs that are not incorporated into an approved APD
for a SACWIS. The authority to claim information systems costs under
title IV-E in section 1356.60(d) is limited to collecting and reporting
data necessary to meet the AFCARS requirements in 45 CFR 1355.40 and
those necessary for the proper and efficient administration of the
title IV-E State plan and not the CFCIP plan.
Comment: A number of commenters requested additional Federal
funding to meet aspects of the NYTD requirements, particularly those
related to the outcomes component. For example, commenters requested
funds for contracting out the responsibility to track and survey older
youth for their outcomes, for fiscal incentives to encourage the
participation of youth in the outcomes survey, and for
[[Page 10362]]
entitlement funding to reimburse States for some portion of the
information system costs that are not currently reimbursable under
SACWIS or for those States that do not have a SACWIS. These commenters
believed that the Federal government should offset the costs associated
with complying with this rule to eliminate the possibility of States
reducing the level of services to youth.
Response: There is no additional Federal funding set-aside for the
NYTD. The CFCIP program was created with a mandate for States to
collect data, but the statute does not set-aside funds for that
specific purpose. As mentioned previously, in addition to CFCIP funds,
certain costs may be eligible for Federal financial participation under
title IV-E at the 50 percent matching rate depending on whether the
costs to develop and implement the NYTD are allowable costs under a
State's APD for SACWIS. In these ways, the Federal government is
providing funding to assist States in complying with the NYTD
requirements.
Comment: Many commenters disagreed with our description of the cost
to the States as a result of this rule as minor per Executive Order
12866. These commenters asserted the NPRM underestimates the actual
costs the States would incur to implement the mandates of this rule, a
few of whom provided their own estimates, although most did not. The
commenters' estimates addressed different aspects of the costs. Two
commenters estimated that tracking costs for approximately 240 to 300
youth in the follow-up population would cost $36,000 to $54,000 per
year. Another commenter estimated State information technology costs at
between $100,000 and $150,000 for the first 5 years of implementation.
A different commenter suggested the overall costs of the rule to be
between $200,000-$300,000 during the first three years of
implementation.
Response: The comments we received from States regarding
anticipated start-up and annual costs are in line with our original
estimates. We expect that, on average, business process start-up costs,
travel and training, process development, IT start-up operational and
maintenance costs will be approximately $250,000 per State per year.
Many of these costs can be matched at 50 percent Federal financial
participation for a State that has a SACWIS. We originally
characterized these costs as minor, but we are aware of the impact the
cost of implementation will have on States. In order to be in
compliance with the statutory requirements we must collect the
necessary independent living service and youth outcome information.
Comment: Several commenters acknowledged that costs to implement
this rule would vary across the States. A commenter believed that
smaller States would be disproportionately impacted by this rule
because system development costs are independent of the size of the
population served, i.e., States with smaller service populations would
have to devote a greater percentage of their Federal CFCIP funds to
meet the NYTD requirements relative to States with larger service
populations of youth targeted by this rule. Another commenter explained
that county-administered States would find implementation of this rule
more challenging because of the increased responsibility to coordinate
among the counties.
Response: We recognize that the reporting and recordkeeping burden
is disproportionately higher for small States because they need to
develop the same functionality as large States regardless of the number
of youth reported. Some State costs are not affected by the number of
youth in the reporting population. We also recognize that county-
administered States may face more challenges in implementation; but see
no need to change the rule in response. Each State will have different
costs depending on its population of youth and the changes required in
its information system and business procedures to meet the requirements
in the regulation.
Comment: Many comments we received noted that current State agency
staff are already overburdened with meeting existing expectations, and
are, therefore, unable to implement this rule. In this vein, many
commenters expressed a concern that we underestimated the costs of
implementing this rule by not factoring in the cost of hiring extra
staff and/or specialized staff to meet the requirements of the NYTD.
Response: We realize that some States may wish to hire additional
staff to implement this rule. However, in general, we do not think that
that implementing the NYTD will put an excessive burden on State agency
staff given our burden estimates. We do acknowledge that the NYTD
represents a change in the way that some State agencies conduct their
business and there is burden associated with that change. Our estimates
take into consideration a range of State costs, inclusive of staff
time, that may result from this rule.
Comment: We received many comments that disagreed with our
determination of burden estimates and asserted that we underestimated
the actual amount of staff time that is required to collect and record
services, demographic and characteristics data; track the whereabouts
of the youth in the follow-up population; garner youth consent; and
collect and report outcome survey data. A couple of commenters believed
that more realistic estimates to collect outcomes data from youth would
be between 30 to 60 minutes. Another commenter estimated it would take
one quarter hour for staff just to report outcome data, and the
collection of such data would require extra time. A final commenter
believed that we should pilot test the final NYTD to come up with
better estimates of hour burden.
Response: We have reexamined our initial estimates related to
collecting and recording services, demographics, characteristics data
as well the outcome data. The estimate for the average amount of staff
time per youth to collect and record services, demographic and
characteristics data of 30 minutes per youth per reporting period is
based on a pilot test and on experience with AFCARS and other data
systems. Most, if not all, of the information required for these three
areas should be readily available either in the case file or through
the case worker. We do not expect that the time spent collecting and
recording this information for each youth will take longer than 30
minutes on average.
We do agree with the commenters that the estimate in the NPRM for
completing the youth outcomes survey is low and have adjusted our
estimate upwards to take into account the necessary time for the youth
to complete the survey and for the State to incorporate that
information into the State's database. In reexamining the number of
questions on the outcomes survey, we estimate that it will take youth
approximately one half hour to complete the survey and 15 more minutes
for States to record the outcomes information.
IV. Impact Analysis
Executive Order 12866
Executive Order 12866 requires that regulations be drafted to
ensure that they are consistent with the priorities and principles set
forth in the Executive Order. The Department has determined that this
final rule is consistent with these priorities and principles. In
particular, we have determined that a regulation is the best and most
cost-effective way to implement the statutory mandate for a data
collection system to track the independent living services
[[Page 10363]]
States provide to youth and develop outcome measures that may be used
to assess State performance. Moreover, we have consulted with the
Office of Management and Budget (OMB) and determined that these rules
meet the criteria for a significant regulatory action under Executive
Order 12866. Thus, they were subject to OMB review.
Regulatory Flexibility Analysis
The Secretary certifies under 5 U.S.C. 605(b), as enacted by the
Regulatory Flexibility Act (Pub. L. 96-354), that this rule will not
result in a significant impact on a substantial number of small
entities. This final rule does not affect small entities because it is
applicable only to State agencies that administer child and family
services programs and the title IV-E CFCIP program.
Unfunded Mandates Reform Act
The Unfunded Mandates Reform Act (Pub. L. 104-4) requires agencies
to prepare an assessment of anticipated costs and benefits before
proposing any rule that may result in an annual expenditure by State,
local, and tribal governments, in the aggregate, or by the private
sector, of $100 million or more (adjusted annually for inflation). This
rule does not impose any mandates on State, local or tribal
governments, or the private sector that will result in an annual
expenditure of $100 million or more.
We estimate State costs per year will be approximately $250,000 per
State for an annual total of about $13 million per year. Many of the
costs that States incur as a result of the NYTD may be eligible for
Federal financial participation under title IV-E at the 50 percent
rate. We therefore estimate the Federal government to reimburse States
for approximately $6.5 million of their costs annually. States may also
use their allotment of Federal CFCIP funds to implement NYTD.
Additional costs to the Federal government to develop and implement a
system to collect NYTD data are expected to be minimal.
Paperwork Reduction Act
Under the Paperwork Reduction Act (Pub. L. 104-13), all Departments
are required to submit to OMB for review and approval any reporting or
record-keeping requirements inherent in a proposed or final rule. This
final rule contains information collection requirements in sections
1356.82 and 1356.83 that the Department has submitted to OMB for its
review. ACF will publish a second Federal Register notice when the
associated information collection requirements have been approved by
OMB and are effective. The respondents to the information collection in
this final rule are State agencies.
The Department requires this collection of information to address
the data collection requirements of the John H. Chafee Foster Care
Independence Program. Specifically, the law requires the Secretary to
track youth demographics, characteristics and independent living
services and to develop outcome measures that can be used to assess the
performance of States in operating independent living programs.
This information collection will be comprised of a:
(1) Data File. The State's submission to ACF of two semi-annual
data files that contain information on all data elements regarding
youth services, demographics, characteristics and outcomes. A State
will collect this information on an ongoing basis. The total annual
burden will vary from year to year; the burden will be lower in years
in which States do not have to collect information on youth outcomes.
Years in which a State must expend effort to track or maintain contacts
with youth as they age from 17 years old through 21 and collect
outcomes data will have the highest total burden hours; and,
(2) Youth Outcome Survey. A survey composed of up to 22 questions
on youth outcomes (that correspond with 22 data elements in the first
instrument) to be completed by youth in the baseline and/or follow-up
populations.
The following are estimates:
----------------------------------------------------------------------------------------------------------------
FFY 2011
-----------------------------------------------------------------------------------------------------------------
Number of Average burden
Instruments (subcomponents) Number of responses per per response Total burden
respondents respondent (hrs) hours (hrs)
----------------------------------------------------------------------------------------------------------------
1. Data File.................................... 52 2 1,355 140,920
Services.................................... .............. .............. 1,259 130,936
Outcomes.................................... .............. .............. *96 9,958
Tracking.................................... .............. .............. 0 0
2. Youth Outcome Survey......................... 39,832 1 0.5 19,916
---------------------------------------------------------------
Total burden for both collections....... .............. .............. .............. 160,836
----------------------------------------------------------------------------------------------------------------
*Number is rounded.
----------------------------------------------------------------------------------------------------------------
FFY 2012
-----------------------------------------------------------------------------------------------------------------
Number of Average burden
Instruments (subcomponents) Number of responses per per response Total burden
respondents respondent (hrs) hours (hrs)
----------------------------------------------------------------------------------------------------------------
1. Data File.................................... 52 2 1642 170,768
Services.................................... .............. .............. 1,259 130,936
Outcomes.................................... .............. .............. 0 0
Tracking.................................... .............. .............. 383 39,832
2. Youth Outcome Survey......................... 0 0 0 0
---------------------------------------------------------------
Total burden for both collections....... .............. .............. .............. 170,768
----------------------------------------------------------------------------------------------------------------
[[Page 10364]]
----------------------------------------------------------------------------------------------------------------
FFY 2013
-----------------------------------------------------------------------------------------------------------------
Number of Average burden
Instruments (subcomponents) Number of responses per per response Total burden
respondents respondent (hrs) hours (hrs)
----------------------------------------------------------------------------------------------------------------
1. Data File.................................... 52 2 1719 178,737
Services.................................... .............. .............. 1,259 130,936
Outcomes.................................... .............. .............. *77 7,969
Tracking.................................... .............. .............. 383 39,832
2. Youth Outcome Survey......................... 31,876 1 0.5 15,938
---------------------------------------------------------------
Total burden for both collections....... .............. .............. .............. 194,675
----------------------------------------------------------------------------------------------------------------
Burden Estimates in FFY 2010
In FFY 2010, States will have to begin changing their internal
business procedures and information systems to meet the information
collection requirements in the subsequent fiscal year. However, actual
data collection and reporting is required in the subsequent fiscal year
so there is no hour burden associated with the information collection
for FY 2010 in accordance with the PRA.
Burden Estimates in FFY 2011
With regard to the data file instrument, we estimate that there
will be approximately 2,518 youth who receive services annually per
State. Each State will expend on average approximately 30 minutes (0.5
hours) to collect the services, demographics and characteristics
information from those youth resulting in an hour burden of 1,259 per
State each report period. FFY 2011 will be the first year the State
administers the youth outcomes survey for the baseline population of
17-year-olds in foster care. We estimate on average 15 minutes (0.25
hours) for States to record the youth survey outcome information that
will be reported in the data file. We estimate that there will be
approximately 766 17-year-old youth in foster care at this time
resulting in 96 burden hours to record this information each report
period. We are not estimating a burden related to maintaining contacts
with youth (i.e., tracking) during this year as we expect States to
know the whereabouts of the 17-years-olds still in foster care. Total
hour burden for the data file instrument is 140,920.
With regard to the youth outcome survey instrument, we are
estimating that it will take the estimated 39,832 youth nationwide
approximately 30 minutes to complete the outcomes survey, resulting in
a total of 19,916 burden hours.
Burden Estimates in FFY 2012
With regard to the data file instrument, we estimate the same 1,259
hour burden per State per report period associated with collecting and
reporting youth independent living services, demographics and
characteristics information as in the previous year. In FFY 2012,
however, there will be no youth outcome survey administered, so there
is no burden associated with such reporting. However, States will have
to maintain contacts with youth who have participated in the baseline
population at age 17 so that they can solicit their participation in
the youth outcomes data instrument collection when such youth turn 19-
years-old. Therefore, we have estimated that each State will spend
approximately 30 minutes (0.5 hours) per youth per report period to
track approximately 766 youth, resulting in a total burden of 383
burden hours per State. Total hour burden for this instrument in year 2
is 170,768.
There is no outcomes data collection in FFY 2012, so there are no
hour burdens associated with the youth outcome survey instrument.
Burden Estimates in FFY 2013
With regard to the data file instrument, the only difference from
the previous year is with regard to the addition of an estimate for
outcomes data recording and reporting related to the 19-year-olds in
the follow-up population. We are estimating on average 15 minutes (0.25
hours) for States to record the outcomes information that will be
reported in the data file for the approximately 613 youth in each State
per report period. The number of youth is reduced as we expect States
to obtain the participation of 80 percent of those youth who
participated previously at age 17 (766). This results in approximately
77 burden hours per State per report period. Total hour burden for the
data file is 178,737.
With regard to the outcome survey instrument, we are estimating
that it will take the estimated 31,876 youth nationwide approximately
30 minutes to complete the outcomes survey, resulting in a total of
15,938 burden hours. Again, we have estimated that approximately 80
percent of the youth who participated in the outcomes data collection
at age 17 will participate again at age 19 during this fiscal year.
The three year average hour burden (FFYs 2011 through 2013) for
both data files is 175,426.
The reader should note that the numbers of youth used for this
estimate is based on the same data cited in the NPRM (see 71 FR 40369
to 40370). More recent AFCARS data indicate that the number of youth in
foster care has declined somewhat, but since these numbers can
fluctuate, we thought it best to use the same numbers for comparison
purposes and to minimize confusion. The actual number of youth in any
given year may change and affect these estimates, as would the decision
of a State to sample youth rather than follow the larger population of
youth who participate in the outcomes data collection. Finally, we
chose to separate the year burdens into multiple charts to aid the
reader in distinguishing the hour burdens associated with different
fiscal years of implementation.
Congressional Review
This regulation is not a major rule as defined in 5 U.S.C. Chapter
8.
Assessment of Federal Regulations on Policies and Families
Section 654 of the Treasury and General Government Appropriations
Act of 1999 requires Federal agencies to determine whether a proposed
policy or regulation may affect family well-being. If the agency's
determination is affirmative, then the agency must prepare an impact
assessment addressing criteria specified in the law. These regulations
will not have a significant impact on family well-being as defined in
the legislation. By tracking independent living services provided to
youth, developing outcome measures, and assessing a State's performance
in operating an independent living program, we expect that States will
be able to improve their programs for youth in foster care based on an
understanding of how their services affect youth outcomes through this
data, which will lead to positive influences on the
[[Page 10365]]
behavior and personal responsibility of youth.
Executive Order 13132
Executive Order 13132 on Federalism requires that Federal agencies
consult with State and local government officials in the development of
regulatory policies with Federalism implications. Consistent with
Executive Order 13132, we specifically solicit comment from State and
local government officials on this final rule.
List of Subjects in 45 CFR Part 1356
Adoption and Foster Care.
[Catalog of Federal Domestic Assistance Program Number 93.658,
Foster Care Maintenance]
Dated: September 7, 2007.
Daniel C. Schneider,
Acting Assistant Secretary for Children and Families.
Approved: November 9, 2007.
Michael O. Leavitt,
Secretary, Department of Health and Human Services.
0
For the reasons set out in the preamble, 45 CFR part 1356 is amended as
follows:
PART 1356--REQUIREMENTS APPLICABLE TO TITLE IV-E
0
1. The authority citation for part 1356 continues to read as follows:
Authority: 42 U.S.C. 620 et seq., 42 U.S.C. 670 et seq.; 42
U.S.C. 1302.
0
2. Add Sec. Sec. 1356.80 through 1356.86 to part 1356 to read as
follows:
Sec. 1356.80 Scope of the National Youth in Transition Database.
The requirements of the National Youth in Transition Database
(NYTD) Sec. Sec. 1356.81 through 1356.86 of this part apply to the
agency in any State, the District of Columbia, or Territory, that
administers, or supervises the administration of the Chafee Foster Care
Independence Program (CFCIP) under section 477 of the Social Security
Act (the Act).
Sec. 1356.81 Reporting population.
The reporting population is comprised of all youth in the following
categories:
(a) Served population. Each youth who receives an independent
living service paid for or provided by the State agency during the
reporting period.
(b) Baseline population. Each youth who is in foster care as
defined in 45 CFR 1355.20 and reaches his or her 17th birthday during
Federal fiscal year (FFY) 2011, and such youth who reach a 17th
birthday during every third year thereafter.
(c) Follow-up population. Each youth who reaches his or her 19th or
21st birthday in a Federal fiscal year and had participated in data
collection as part of the baseline population, as specified in section
1356.82(a)(2) of this part. A youth has participated in the outcomes
data collection if the State agency reports to ACF a valid response
(i.e., a response option other than ``declined'' and ``not
applicable'') to any of the outcomes-related elements described in
section 1356.83(g)(37) through (g)(58) of this part.
Sec. 1356.82 Data collection requirements.
(a) The State agency must collect applicable information as
specified in section 1356.83 of this part on the reporting population
defined in section 1356.81 of this part in accordance with the
following:
(1) For each youth in the served population, the State agency must
collect information for the data elements specified in section
1356.83(b) and 1356.83(c) of this part on an ongoing basis, for as long
as the youth receives services.
(2) For each youth in the baseline population, the State agency
must collect information for the data elements specified in section
1356.83(b) and 1356.83(d) of this part. The State agency must collect
this information on a new baseline population every three years.
(i) For each youth in foster care who turns age 17 in FFY 2011, the
State agency must collect this information within 45 days following the
youth's 17th birthday, but not before that birthday.
(ii) Every third Federal fiscal year thereafter, the State agency
must collect this information on each youth in foster care who turns
age 17 during the year within 45 days following the youth's 17th
birthday, but not before that birthday.
(iii) The State agency must collect this information using the
survey questions in Appendix B of this part entitled ``Information to
collect from all youth surveyed for outcomes, whether in foster care or
not.''
(3) For each youth in the follow-up population, the State agency
must collect information on the data elements specified in sections
1356.83(b) and 1356.83(e) of this part within the reporting period of
the youth's 19th and 21st birthday. The State agency must collect the
information using the appropriate survey questions in Appendix B of
this part, depending upon whether the youth is in foster care.
(b) The State agency may select a sample of the 17-year-olds in the
baseline population to follow over time consistent with the sampling
requirements described in section 1356.84 of this part to satisfy the
data collection requirements in paragraph (a)(3) of this section for
the follow-up population. A State that samples must identify the youth
at age 19 who participated in the outcomes data collection as part of
the baseline population at age 17 who are not in the sample in
accordance with 45 CFR 1356.83(e).
Sec. 1356.83 Reporting requirements and data elements.
(a) Reporting periods and deadlines. The six-month reporting
periods are from October 1 to March 31 and April 1 to September 30. The
State agency must submit data files that include the information
specified in this section to ACF on a semi-annual basis, within 45 days
of the end of the reporting period (i.e., by May 15 and November 14).
(b) Data elements for all youth. The State agency must report the
data elements described in paragraphs (g)(1) through (g)(13) of this
section for each youth in the entire reporting population defined in
section 1356.81 of this part.
(c) Data elements for served youth. The State agency must report
the data elements described in paragraphs (g)(14) through (g)(33) of
this section for each youth in the served population defined in section
1356.81(a) of this part.
(d) Data elements for baseline youth. The State agency must report
the data elements described in paragraphs (g)(34) through (g)(58) of
this section for each youth in the baseline population defined in
section 1356.81(b) of this part.
(e) Data elements for follow-up youth. The State agency must report
the data elements described in paragraphs (g)(34) through (g)(58) of
this section for each youth in the follow-up population defined in
section 1356.81(c) of this part or alternatively, for each youth
selected in accordance with the sampling procedures in section 1356.84
of this part. A State that samples must identify in the outcomes
reporting status element described in paragraph (g)(34), the 19-year-
old youth who participated in the outcomes data collection as a part of
the baseline population at age 17, who are not in the sample.
(f) Single youth record. The State agency must report all
applicable data elements for an individual youth in one record per
reporting period.
(g) Data element descriptions. For each element described in
paragraphs (g)(1) through (58) of this section, the State agency must
indicate the applicable response as instructed.
[[Page 10366]]
(1) State. State means the State responsible for reporting on the
youth. Indicate the first two digits of the State's Federal Information
Processing Standard (FIPS) code for the State submitting the report to
ACF.
(2) Report date. The report date corresponds with the end of the
current reporting period. Indicate the last month and the year of the
reporting period.
(3) Record number. The record number is the encrypted, unique
person identification number for the youth. The State agency must apply
and retain the same encryption routine or method for the person
identification number across all reporting periods. The record number
must be encrypted in accordance with ACF standards. Indicate the record
number for the youth.
(i) If the youth is in foster care as defined in 45 CFR 1355.20 or
was during the current or previous reporting period, the State agency
must use and report to the NYTD the same person identification number
for the youth the State agency reports to AFCARS. The person
identification number must remain the same for the youth wherever the
youth is living and in any subsequent NYTD reports.
(ii) If the youth was never in the State's foster care system as
defined in 45 CFR 1355.20, the State agency must assign a person
identification number that must remain the same for the youth wherever
the youth is living and in any subsequent reports to NYTD.
(4) Date of birth. The youth's date of birth. Indicate the year,
month, and day of the youth's birth.
(5) Sex. The youth's sex. Indicate whether the youth is male or
female as appropriate.
(6) Race: American Indian or Alaska Native. In general, a youth's
race is determined by the youth or the youth's parent(s). An American
Indian or Alaska Native youth has origins in any of the original
peoples of North or South America (including Central America), and
maintains tribal affiliation or community attachment. Indicate whether
this racial category applies for the youth, with a ``yes'' or ``no.''
(7) Race: Asian. In general, a youth's race is determined by the
youth or the youth's parent(s). An Asian youth has origins in any of
the original peoples of the Far East, Southeast Asia, or the Indian
subcontinent including, for example, Cambodia, China, India, Japan,
Korea, Malaysia, Pakistan, the Philippine Islands, Thailand, and
Vietnam. Indicate whether this racial category applies for the youth,
with a ``yes'' or ``no.''
(8) Race: Black or African American. In general, a youth's race is
determined by the youth or the youth's parent(s). A Black or African
American youth has origins in any of the black racial groups of Africa.
Indicate whether this racial category applies for the youth, with a
``yes'' or ``no.''
(9) Race: Native Hawaiian or Other Pacific Islander. In general, a
youth's race is determined by the youth or the youth's parent(s). A
Native Hawaiian or Other Pacific Islander youth has origins in any of
the original peoples of Hawaii, Guam, Samoa, or other Pacific Islands.
Indicate whether this racial category applies for the youth, with a
``yes'' or ``no.''
(10) Race: White. In general, a youth's race is determined by the
youth or the youth's parent(s). A White youth has origins in any of the
original peoples of Europe, the Middle East, or North Africa. Indicate
whether this racial category applies for the youth, with a ``yes'' or
``no.''
(11) Race: unknown. The race, or at least one race of the youth is
unknown, or the youth and/or parent is not able to communicate the
youth's race. Indicate whether this category applies for the youth,
with a ``yes'' or ``no.''
(12) Race: declined. The youth or parent has declined to identify a
race. Indicate whether this category applies for the youth, with a
``yes'' or ``no.''
(13) Hispanic or Latino ethnicity. In general, a youth's ethnicity
is determined by the youth or the youth's parent(s). A youth is of
Hispanic or Latino ethnicity if the youth is a person of Cuban,
Mexican, Puerto Rican, South or Central American, or other Spanish
culture or origin, regardless of race. Indicate which category applies,
with ``yes,'' ``no,'' ``unknown'' or ``declined,'' as appropriate.
``Unknown'' means that the youth and/or parent is unable to communicate
the youth's ethnicity. ``Declined'' means that the youth or parent has
declined to identify the youth's Hispanic or Latino ethnicity.
(14) Foster care status--services. The youth receiving services is
or was in foster care during the reporting period if the youth is or
was in the placement and care responsibility of the State title IV-B/
IV-E agency in accordance with the definition of foster care in 45 CFR
1355.20. Indicate whether the youth is or was in foster care at any
point during the reporting period, with a ``yes'' or ``no'' as
appropriate. If the youth is not in the served population this element
must be left blank.
(15) Local agency. The local agency is the county or equivalent
jurisdictional unit that has primary responsibility for placement and
care of a youth who is in foster care consistent with the definition in
45 CFR 1355.20, or that has primary responsibility for providing
services to a youth who is not in foster care. Indicate the five-digit
Federal Information Processing Standard (FIPS) code(s) that corresponds
to the identity of the county or equivalent unit jurisdiction(s) that
meets these criteria during the reporting period. If a youth who is not
in foster care is provided services by a centralized unit only, rather
than a county agency, indicate ``centralized unit.'' If the youth is
not in the served population this element must be left blank.
(16) Federally recognized tribe. The youth is enrolled in or
eligible for membership in a federally recognized tribe. The term
``federally recognized tribe'' means any Indian tribe, band, nation, or
other organized group or community of Indians, including any Alaska
Native village or regional or village corporation, as defined in or
established pursuant to the Alaska Native Claims Settlement Act (43
U.S.C 1601 et seq.), that is recognized as eligible for the special
programs and services provided by the United States to Indians because
of their status as Indians pursuant to the Indian Self-Determination
and Educational Assistance Act (25 U.S.C. 450 et seq.). Indicate
``yes'' or ``no'' as appropriate. If the youth is not in the served
population this element must be left blank.
(17) Adjudicated delinquent. Adjudicated delinquent means that a
State or Federal court of competent jurisdiction has adjudicated the
youth as a delinquent. Indicate ``yes,'' or ``no'' as appropriate. If
the youth is not in the served population this element must be left
blank.
(18) Educational level. Educational level means the highest
educational level completed by the youth. For example, for a youth
currently in 11th grade, ``10th grade'' is the highest educational
level completed. Post-secondary education or training refers to any
post-secondary education or training, other than an education pursued
at a college or university. College refers to completing at least a
semester of study at a college or university. Indicate the highest
educational level completed by the youth during the reporting period.
If the youth is not in the served population this element must be left
blank.
(19) Special education. The term ``special education,'' means
specifically designed instruction, at no cost to parents, to meet the
unique needs of a child with a disability. Indicate whether the youth
has received special
[[Page 10367]]
education instruction during the reporting period with a ``yes'' or
``no'' as appropriate. If the youth is not in the served population
this element must be left blank.
(20) Independent living needs assessment. An independent living
needs assessment is a systematic procedure to identify a youth's basic
skills, emotional and social capabilities, strengths, and needs to
match the youth with appropriate independent living services. An
independent living needs assessment may address knowledge of basic
living skills, job readiness, money management abilities, decision-
making skills, goal setting, task completion, and transitional living
needs. Indicate whether the youth received an independent living needs
assessment that was paid for or provided by the State agency during the
reporting period with a ``yes'' or ``no'' as appropriate. If the youth
is not in the served population this element must be left blank.
(21) Academic support. Academic supports are services designed to
help a youth complete high school or obtain a General Equivalency
Degree (GED). Such services include the following: Academic counseling;
preparation for a GED, including assistance in applying for or studying
for a GED exam; tutoring; help with homework; study skills training;
literacy training; and help accessing educational resources. Academic
support does not include a youth's general attendance in high school.
Indicate whether the youth received academic supports during the
reporting period that were paid for or provided by the State agency
with a ``yes'' or ``no'' as appropriate. If the youth is not in the
served population this element must be left blank.
(22) Post-secondary educational support. Post-secondary educational
support are services designed to help a youth enter or complete a post-
secondary education and include the following: Classes for test
preparation, such as the Scholastic Aptitude Test (SAT); counseling
about college; information about financial aid and scholarships; help
completing college or loan applications; or tutoring while in college.
Indicate whether the youth received post-secondary educational support
during the reporting period that was paid for or provided by the State
agency with a ``yes'' or ``no'' as appropriate. If the youth is not in
the served population this element must be left blank.
(23) Career preparation. Career preparation services focus on
developing a youth's ability to find, apply for, and retain appropriate
employment. Career preparation includes the following types of
instruction and support services: Vocational and career assessment,
including career exploration and planning, guidance in setting and
assessing vocational and career interests and skills, and help in
matching interests and abilities with vocational goals; job seeking and
job placement support, including identifying potential employers,
writing resumes, completing job applications, developing interview
skills, job shadowing, receiving job referrals, using career resource
libraries, understanding employee benefits coverage, and securing work
permits; retention support, including job coaching; learning how to
work with employers and other employees; understanding workplace values
such as timeliness and appearance; and understanding authority and
customer relationships. Indicate whether the youth received career
preparation services during the reporting period that was paid for or
provided by the State agency with a ``yes'' or ``no'' as appropriate.
If the youth is not in the served population this element must be left
blank.
(24) Employment programs or vocational training. Employment
programs and vocational training are designed to build a youth's skills
for a specific trade, vocation, or career through classes or on-site
training. Employment programs include a youth's participation in an
apprenticeship, internship, or summer employment program and do not
include summer or after-school jobs secured by the youth alone.
Vocational training includes a youth's participation in vocational or
trade programs and the receipt of training in occupational classes for
such skills as cosmetology, auto mechanics, building trades, nursing,
computer science, and other current or emerging employment sectors.
Indicate whether the youth attended an employment program or received
vocational training during the reporting period that was paid for or
provided by the State agency, with a ``yes'' or ``no'' as appropriate.
If the youth is not in the served population this element must be left
blank.
(25) Budget and financial management. Budget and financial
management assistance includes the following types of training and
practice: Living within a budget; opening and using a checking and
savings account; balancing a checkbook; developing consumer awareness
and smart shopping skills; accessing information about credit, loans
and taxes; and filling out tax forms. Indicate whether the youth
received budget and financial management assistance during the
reporting period that was paid for or provided by the State agency with
a ``yes'' or ``no'' as appropriate. If the youth is not in the served
population this element must be left blank.
(26) Housing education and home management training. Housing
education includes assistance or training in locating and maintaining
housing, including filling out a rental application and acquiring a
lease, handling security deposits and utilities, understanding
practices for keeping a healthy and safe home, understanding tenants
rights and responsibilities, and handling landlord complaints. Home
management includes instruction in food preparation, laundry,
housekeeping, living cooperatively, meal planning, grocery shopping and
basic maintenance and repairs. Indicate whether the youth received
housing education or home management training during the reporting
period that was paid for or provided by the State agency with a ``yes''
or ``no'' as appropriate. If the youth is not in the served population
this element must be left blank.
(27) Health education and risk prevention. Health education and
risk prevention includes providing information about: Hygiene,
nutrition, fitness and exercise, and first aid; medical and dental care
benefits, health care resources and insurance, prenatal care and
maintaining personal medical records; sex education, abstinence
education, and HIV prevention, including education and information
about sexual development and sexuality, pregnancy prevention and family
planning, and sexually transmitted diseases and AIDS; substance abuse
prevention and intervention, including education and information about
the effects and consequences of substance use (alcohol, drugs, tobacco)
and substance avoidance and intervention. Health education and risk
prevention does not include the youth's actual receipt of direct
medical care or substance abuse treatment. Indicate whether the youth
received these services during the reporting period that were paid for
or provided by the State agency with a ``yes'' or ``no'' as
appropriate. If the youth is not in the served population this element
must be left blank.
(28) Family support and healthy marriage education. Such services
include education and information about safe and stable families,
healthy marriages, spousal communication, parenting, responsible
fatherhood, childcare skills, teen parenting, and
[[Page 10368]]
domestic and family violence prevention. Indicate whether the youth
received these services that were paid for or provided by the State
agency during the reporting period with a ``yes'' or ``no'' as
appropriate. If the youth is not in the served population this element
must be left blank.
(29) Mentoring. Mentoring means that the youth has been matched
with a screened and trained adult for a one-on-one relationship that
involves the two meeting on a regular basis. Mentoring can be short-
term, but it may also support the development of a long-term
relationship. While youth often are connected to adult role models
through school, work, or family, this service category only includes a
mentor relationship that has been facilitated, paid for or provided by
the State agency or its staff. Indicate whether the youth received
mentoring services that were paid for or provided by the State agency
during the reporting period with a ``yes'' or ``no'' as appropriate. If
the youth is not in the served population this element must be left
blank.
(30) Supervised independent living. Supervised independent living
means that the youth is living independently under a supervised
arrangement that is paid for or provided by the State agency. A youth
in supervised independent living is not supervised 24 hours a day by an
adult and often is provided with increased responsibilities, such as
paying bills, assuming leases, and working with a landlord, while under
the supervision of an adult. Indicate whether the youth was living in a
supervised independent living setting that was paid or provided by the
State agency during the reporting period with a ``yes'' or ``no'' as
appropriate. If the youth is not in the served population this element
must be left blank.
(31) Room and board financial assistance. Room and board financial
assistance is a payment that is paid for or provided by the State
agency for room and board, including rent deposits, utilities, and
other household start-up expenses. Indicate whether the youth received
financial assistance for room and board that was paid for or provided
by during the reporting period with a ``yes'' or ``no'' as appropriate.
If the youth is not in the served population this element must be left
blank.
(32) Education financial assistance. Education financial assistance
is a payment that is paid for or provided by the State agency for
education or training, including allowances to purchase textbooks,
uniforms, computers, and other educational supplies; tuition
assistance; scholarships; payment for educational preparation and
support services (i.e., tutoring), and payment for GED and other
educational tests. This financial assistance also includes vouchers for
tuition or vocational education or tuition waiver programs paid for or
provided by the State agency. Indicate whether the youth received
education financial assistance during the reporting period that was
paid for or provided by the State agency with a ``yes'' or ``no'' as
appropriate. If the youth is not in the served population this element
must be left blank.
(33) Other financial assistance. Other financial assistance
includes any other payments made or provided by the State agency to
help the youth live independently. Indicate whether the youth received
any other financial assistance that was paid for or provided by the
State agency during the reporting period with a ``yes'' or ``no'' as
appropriate. If the youth is not in the served population this element
must be left blank.
(34) Outcomes reporting status. The outcomes reporting status
represents the youth's participation, or lack thereof, in the outcomes
data collection. If the State agency collects and reports information
on any of the data elements in paragraphs (g)(37) through (g)(58) of
this section for a youth in the baseline or follow-up sample or
population, indicate that the youth participated. If a youth is in the
baseline or follow-up sample or population, but the State agency is
unable to collect the information, indicate the reason and leave the
data elements in paragraph (g)(37) through (g)(58) of this section
blank. If a 19-year old youth in the follow-up population is not in the
sample, indicate that the youth is not in the sample. If the youth is
not in the baseline or follow-up population this element must be left
blank.
(i) Youth participated. The youth participated in the outcome
survey, either fully or partially.
(ii) Youth declined. The State agency located the youth
successfully and invited the youth's participation, but the youth
declined to participate in the data collection.
(iii) Parent declined. The State agency invited the youth's
participation, but the youth's parent/guardian declined to grant
permission. This response may be used only when the youth has not
reached the age of majority in the State and State law or policy
requires a parent/guardian's permission for the youth to participate in
information collection activities.
(iv) Incapacitated. The youth has a permanent or temporary mental
or physical condition that prevents him or her from participating in
the outcomes data collection.
(v) Incarcerated. The youth is unable to participate in the
outcomes data collection because of his or her incarceration.
(vi) Runaway/missing. A youth in foster care is known to have run
away or be missing from his or her foster care placement.
(vii) Unable to locate/invite. The State agency could not locate a
youth who is not in foster care or otherwise invite such a youth's
participation.
(viii) Death. The youth died prior to his participation in the
outcomes data collection.
(ix) Not in sample. The 19-year-old youth participated in the
outcomes data collection as a part of the baseline population at age
17, but the youth is not in the State's follow-up sample. This response
option applies only when the outcomes data collection is required on
the follow-up population of 19-year-old youth.
(35) Date of outcome data collection. The date of outcome data
collection is the latest date that the agency collected data from a
youth for the elements described in paragraphs (g)(38) through (g)(58)
of this section. Indicate the month, day and year of the outcomes data
collection. If the youth is not in the baseline or follow-up population
this element must be left blank.
(36) Foster care status--outcomes. The youth is in foster care if
the youth is under the placement and care responsibility of the State
title IV-B/IV-E agency in accordance with the definition of foster care
in 45 CFR 1355.20. Indicate whether the youth is in foster care on the
date of outcomes data collection with a ``yes'' or ``no'' as
appropriate. If the youth is not in the baseline or follow-up
population this element must be left blank.
(37) Current full-time employment. A youth is employed full-time if
employed at least 35 hours per week, in one or multiple jobs, as of the
date of the outcome data collection. Indicate whether the youth is
employed full-time, with a ``yes'' or ``no'' as appropriate. If the
youth does not answer this question indicate ``declined.'' If the youth
is not in the baseline or follow-up population this element must be
left blank.
(38) Current part-time employment. A youth is employed part-time if
employed between one and 34 hours per week, in one or multiple jobs, as
of the date of the outcome data collection. Indicate whether the youth
is employed part-time, with a ``yes'' or ``no.'' If the youth does not
answer this question,
[[Page 10369]]
indicate ``declined.'' If the youth is not in the baseline or follow-up
population this element must be left blank.
(39) Employment-related skills. A youth has obtained employment-
related skills if the youth completed an apprenticeship, internship, or
other on-the-job training, either paid or unpaid, in the past year. The
experience must help the youth acquire employment-related skills, such
as specific trade skills such as carpentry or auto mechanics, or office
skills such as word processing or use of office equipment. Indicate
whether the youth has obtained employment-related skills, with a
``yes'' or ``no'' as appropriate. If the youth does not answer this
question, indicate ``declined.'' If the youth is not in the baseline or
follow-up population this element must be left blank.
(40) Social Security. A youth is receiving some form of Social
Security if receiving Supplemental Security Income (SSI) or Social
Security Disability Insurance (SSDI), either directly or as a dependent
beneficiary as of the date of the outcome data collection. SSI payments
are made to eligible low-income persons with disabilities. SSDI
payments are made to persons with a certain amount of work history who
become disabled. A youth may receive SSDI payments through a parent.
Indicate whether the youth is receiving a form of Social Security
payments, with a ``yes'' or ``no'' as appropriate. If the youth does
not answer this question, indicate ``declined.'' If the youth is not in
the baseline or follow-up population this element must be left blank.
(41) Educational aid. A youth is receiving educational aid if using
a scholarship, voucher (including education or training vouchers
pursuant to section 477(h)(2) of the Social Security Act), grant,
stipend, student loan, or other type of educational financial aid to
cover educational expenses as of the date of the outcome data
collection. Scholarships, grants, and stipends are funds awarded for
spending on expenses related to gaining an education. ``Student loan''
means a government-guaranteed, low-interest loan for students in post-
secondary education. Indicate whether the youth is receiving
educational aid with a ``yes'' or ``no'' as appropriate. If the youth
does not answer this question, indicate ``declined.'' If the youth is
not in the baseline or follow-up population this element must be left
blank.
(42) Public financial assistance. A youth is receiving public
financial assistance if receiving ongoing cash welfare payments from
the government to cover some of his or her basic needs, as of the date
of the outcome data collection. Public financial assistance does not
include government payments or subsidies for specific purposes, such as
unemployment insurance, child care subsidies, education assistance,
food stamps or housing assistance. Indicate whether the youth is
receiving public financial assistance, with ``yes'' or ``no'' as
appropriate, and ``not applicable'' for a youth still in foster care.
If the youth does not answer this question, indicate ``declined.'' If
the youth is not in the baseline or follow-up population this element
must be left blank.
(43) Public food assistance. A youth is receiving public food
assistance if receiving food stamps in any form (i.e., government-
sponsored checks, coupons or debit cards) to buy eligible food at
authorized stores as of the date of the outcome data collection. This
definition includes receiving public food assistance through the Women,
Infants, and Children (WIC) program. Indicate whether the youth is
receiving some form of public food assistance with ``yes'' or ``no,''
and ``not applicable'' for a youth still in foster care. If the youth
does not answer this question, indicate ``declined.'' If the youth is
not in the baseline or follow-up population this element must be left
blank.
(44) Public housing assistance. A youth is receiving public housing
assistance if the youth is living in government-funded public housing,
or receiving a government-funded housing voucher to pay for part of
his/her housing costs as of the date of the outcome data collection.
CFCIP room and board payments are not included in this definition.
Indicate whether the youth is receiving housing assistance with ``yes''
or ``no'' and ``not applicable'' for a youth still in foster care. If
the youth does not answer this question, indicate ``declined.'' If the
youth is not in the baseline or follow-up population this element must
be left blank.
(45) Other financial support. A youth has other financial support
if receiving any other periodic and/or significant financial resources
or support from another source not listed in the elements described in
paragraphs (g)(41) through (g)(44) of this section as of the date of
outcome data collection. Such support can include payments from a
spouse or family member (biological, foster or adoptive), child support
that the youth receives for him or herself, or funds from a legal
settlement. This definition does not include occasional gifts, such as
birthday or graduation checks or small donations of food or personal
incidentals, child care subsidies, child support for a youth's child,
or other financial support which does not benefit the youth directly in
supporting himself or herself. Indicate whether the youth is receiving
any other financial support with a ``yes'' or ``no.'' If the youth does
not answer this question, indicate ``declined.'' If the youth is not in
the baseline or follow-up population this element must be left blank.
(46) Highest educational certification received. A youth has
received an education certificate if the youth has a high school
diploma or general equivalency degree (GED), vocational certificate,
vocational license, associate's degree (e.g., A.A.), bachelor's degree
(e.g., B.A. or B.S.), or a higher degree as of the date of the outcome
data collection. Indicate the highest degree that the youth has
received. If the youth does not answer this question, indicate
``declined.'' If the youth is not in the baseline or follow-up
population this element must be left blank.
(i) A vocational certificate is a document stating that a person
has received education or training that qualifies him or her for a
particular job, e.g., auto mechanics or cosmetology.
(ii) A vocational license is a document that indicates that the
State or local government recognizes an individual as a qualified
professional in a particular trade or business.
(iii) An associate's degree is generally a two-year degree from a
community college.
(iv) A bachelor's degree is a four-year degree from a college or
university.
(v) A higher degree indicates a graduate degree, such as a Master's
Degree or a Juris Doctor (J.D.).
(vi) None of the above means that the youth has not received any of
the above educational certifications.
(47) Current enrollment and attendance. Indicate whether the youth
is enrolled in and attending high school, GED classes, or postsecondary
vocational training or college, as of the date of the outcome data
collection. A youth is still considered enrolled in and attending
school if the youth would otherwise be enrolled in and attending a
school that is currently out of session. Indicate whether the youth is
currently enrolled and attending school with a ``yes'' or ``no.'' If
the youth does not answer this question, indicate ``declined.'' If the
youth is not in the baseline or follow-up population this element must
be left blank.
(48) Connection to adult. A youth has a connection to an adult if,
as of the date of the outcome data collection, the youth knows an adult
who he or she can go to for advice or guidance when there is a decision
to make or a problem to
[[Page 10370]]
solve, or for companionship when celebrating personal achievements. The
adult must be easily accessible to the youth, either by telephone or in
person. This can include, but is not limited to adult relatives,
parents or foster parents. The definition excludes spouses, partners,
boyfriends or girlfriends and current caseworkers. Indicate whether the
youth has such a connection with an adult with a ``yes'' or ``no.'' If
the youth does not answer this question, indicate ``declined.'' If the
youth is not in the baseline or follow-up population this element must
be left blank.
(49) Homelessness. A youth is considered to have experienced
homelessness if the youth had no regular or adequate place to live.
This definition includes situations where the youth is living in a car
or on the street, or staying in a homeless or other temporary shelter.
For a 17-year-old youth in the baseline population, the data element
relates to a youth's lifetime experiences. For a 19- or 21-year-old
youth in the follow-up population, the data element relates to the
youth's experience in the past two years. Indicate if the youth has
been homeless with a ``yes'' or ``no.'' If the youth does not answer
this question, indicate ``declined.'' If the youth is not in the
baseline or follow-up population this element must be left blank.
(50) Substance abuse referral. A youth has received a substance
abuse referral if the youth was referred for an alcohol or drug abuse
assessment or counseling. For a 17-year-old youth in the baseline
population, the data element relates to a youth's lifetime experience.
For a 19-or 21-year-old youth in the follow-up population, the data
element relates to the youth's experience in the past two years. This
definition includes either a self-referral or referral by a social
worker, school staff, physician, mental health worker, foster parent,
or other adult. Alcohol or drug abuse assessment is a process designed
to determine if someone has a problem with alcohol or drug use.
Indicate whether the youth had a substance abuse referral with a
``yes'' or ``no.'' If the youth does not answer this question, indicate
``declined.'' If the youth is not in the baseline or follow-up
population this element must be left blank.
(51) Incarceration. A youth is considered to have been incarcerated
if the youth was confined in a jail, prison, correctional facility, or
juvenile or community detention facility in connection with allegedly
committing a crime (misdemeanor or felony). For a 17-year-old youth in
the baseline population, the data element relates to a youth's lifetime
experience. For a 19-or 21-year-old youth in the follow-up population,
the data element relates to the youth's experience in the past two
years. Indicate whether the youth was incarcerated with a ``yes'' or
``no''. If the youth does not answer this question, indicate
``declined.'' If the youth is not in the baseline or follow-up
population this element must be left blank.
(52) Children. A youth is considered to have a child if the youth
has given birth herself, or the youth has fathered any children who
were born. For a 17-year-old youth in the baseline population, the data
element relates to a youth's lifetime experience. For a 19-or 21-year-
old youth in the follow-up population, the data element refers to
children born to the youth in the past two years only. This refers to
biological parenthood. Indicate whether the youth had a child with a
``yes'' or ``no.'' If the youth does not answer this question, indicate
``declined.'' If the youth is not in the baseline or follow-up
population this element must be left blank.
(53) Marriage at child's birth. A youth is married at the time of
the child's birth if he or she was united in matrimony according to the
laws of the State to the child's other parent. Indicate whether the
youth was married to the child's other parent at the time of the birth
of any child reported in the element described in paragraph (g)(52) of
this section with a ``yes'' or ``no''. If the youth does not answer
this question, indicate ``declined.'' If the answer to the element
described in paragraph (g)(52) of this section is ``no,'' indicate
``not applicable.'' If the youth is not in the baseline or follow-up
population this element must be left blank.
(54) Medicaid. A youth is receiving Medicaid if the youth is
participating in a Medicaid-funded State program, which is a medical
assistance program supported by the Federal and State government under
title XIX of the Social Security Act as of the date of outcomes data
collection. Indicate whether the youth receives Medicaid with ``yes,''
``no,'' or ``don't know'' as appropriate. If the youth does not answer
this question, indicate ``declined.'' If the youth is not in the
baseline or follow-up population this element must be left blank.
(55) Other health insurance coverage. A youth has other health
insurance if the youth has a third party pay (other than Medicaid) for
all or part of the costs of medical care, mental health care, and/or
prescription drugs, as of the date of the outcome data collection. This
definition includes group coverage offered by employers, schools or
associations, an individual health plan, self-employed plans, or
inclusion in a parent's insurance plan. This also could include access
to free health care through a college, Indian Health Service, or other
source. Medical or drug discount cards or plans are not insurance.
Indicate ``yes'', ``no,'' or ``don't know,'' as appropriate, or ``not
applicable'' for youth participating solely in Medicaid. If the youth
does not answer this question, indicate ``declined.'' If the youth is
not in the baseline or follow-up population this element must be left
blank.
(56) Health insurance type: Medical. If the youth has indicated
that he or she has health insurance coverage in the element described
in paragraph (g)(55) of this section, indicate whether the youth has
insurance that pays for all or part of medical health care services.
Indicate ``yes'', ``no'', or ``don't know'' as appropriate, or ``not
applicable'' if the youth did not indicate any health insurance
coverage. If the youth does not answer this question, indicate
``declined.'' If the youth is not in the baseline or follow-up
population this element must be left blank.
(57) Health insurance type: Mental health. If the youth has
indicated that he or she has medical health insurance coverage as
described in paragraph (g)(56) of this section, indicate whether the
youth has insurance that pays for all or part of the costs for mental
health care services, such as counseling or therapy. Indicate ``yes'',
``no'', or ``don't know'' as appropriate, or ``not applicable'' if the
youth did not indicate having medical health insurance coverage. If the
youth does not answer this question, indicate ``declined.'' If the
youth is not in the baseline or follow-up population this element must
be left blank.
(58) Health insurance type: Prescription drugs. If the youth has
indicated that he or she has medical health insurance coverage as
described in paragraph (g)(56) of this section, indicate whether the
youth has insurance coverage that pays for part or all of the costs of
some prescription drugs. Indicate ``yes'', ``no'', or ``don't know'' as
appropriate, or ``not applicable'' if the youth did not indicate having
medical health insurance coverage. If the youth does not answer this
question, indicate ``declined.'' If the youth is not in the baseline or
follow-up population this element must be left blank.
(h) Electronic reporting. The State agency must report all data to
ACF electronically according to ACF's specifications and Appendix A of
this part.
[[Page 10371]]
Sec. 1356.84 Sampling.
(a) The State agency may collect and report the information
required in section 1356.83(e) of this part on a sample of the baseline
population consistent with the sampling requirements described in
paragraphs (b) and (c) of this section.
(b) The State agency must select the follow-up sample using simple
random sampling procedures based on random numbers generated by a
computer program, unless ACF approves another sampling procedure. The
sampling universe consists of youth in the baseline population
consistent with 45 CFR 1356.81(b) who participated in the State
agency's data collection at age 17.
(c) The sample size is based on the number of youth in the baseline
population who participated in the State agency's data collection at
age 17.
(1) If the number of youth in the baseline population who
participated in the outcome data collection at age 17 is 5,000 or less,
the State agency must calculate the sample size using the formula in
Appendix C of this part, with the Finite Population Correction (FPC).
The State agency must increase the resulting number by 30 percent to
allow for attrition, but the sample size may not be larger than the
number of youth who participated in data collection at age 17.
(2) If the number of youth in the baseline population who
participated in the outcome data collection at age 17 is greater than
5,000, the State agency must calculate the sample size using the
formula in Appendix C of this part, without the FPC. The State agency
must increase the resulting number by 30 percent to allow for
attrition, but the sample size must not be larger than the number of
youth who participated in data collection at age 17.
Sec. 1356.85 Compliance.
(a) File submission standards. A State agency must submit a data
file in accordance with the following file submission standards:
(1) Timely data. The data file must be received in accordance with
the reporting period and timeline described in section 1356.83(a) of
this part;
(2) Format. The data file must be in a format that meets ACF's
specifications; and
(3) Error-free information. The file must contain data in the
general and demographic elements described in section 1356.83(g)(1)
through (g)(5), (g)(14), and (g)(36) of this part that is 100 percent
error-free as defined in paragraph (c) of this section.
(b) Data standards. A State agency also must submit a file that
meets the following data standards:
(1) Error-free. The data for the applicable demographic, service
and outcomes elements defined in section 1356.83(g)(6) through (13),
(g)(15) through (35) and (g)(37) through (58) of this part must be 90
percent error-free as described and assessed according to paragraph (c)
of this section.
(2) Outcomes universe. In any Federal fiscal year for which the
State agency is required to submit information on the follow-up
population, the State agency must submit a youth record containing at
least outcomes data for the outcomes status element described in
section 1356.83(g)(34) of this part on each youth for whom the State
agency reported outcome information as part of the baseline population.
Alternatively, if the State agency has elected to conduct sampling in
accordance with section 1356.84 of this part, the State agency must
submit a record containing at least outcomes data for the outcomes
status element described in section 1356.83(g)(34) of this part on each
19-year-old youth in the follow-up population, inclusive of those youth
who are not in the sample, and each 21-year-old youth in the follow-up
sample.
(3) Outcomes participation rate. The State agency must report
outcome information on each youth in the follow-up population at the
rates described in paragraphs (b)(3)(i) through (iii) of this section.
A youth has participated in the outcomes data collection if the State
agency collected and reported a valid response (i.e., a response option
other than ``declined'' or ``not applicable'') to any of the outcomes-
related elements described in section 1356.83(g)(37) through (g)(58) of
this part. ACF will exclude from the calculation of the participation
rate any youth in the follow-up population who is reported as deceased,
incapacitated or incarcerated in section 1356.83(g)(34) at the time
information on the follow-up population is required.
(i) Foster care youth participation rate. The State agency must
report outcome information on at least 80 percent of youth in the
follow-up population who are in foster care on the date of outcomes
data collection as indicated in section 1356.83(g)(35) and (g)(36) of
this part.
(ii) Discharged youth participation rate. The State agency must
report outcome information on at least 60 percent of youth in the
follow-up population who are not in foster care on the date of outcomes
data collection as indicated in section 1356.83(g)(35) and (g)(36) of
this part.
(iii) Effect of sampling on participation rates. For State agencies
electing to sample in accordance with section 1356.84 and Appendix C of
this part, ACF will apply the outcome participation rates in paragraphs
(b)(2)(i) and (ii) of this section to the required sample size for the
State.
(c) Errors. ACF will assess each State agency's data file for the
following types of errors: Missing data, out-of-range data, or
internally inconsistent data. The amount of errors acceptable for each
reporting period is described in paragraphs (a) and (b) of this
section.
(1) Missing data is any element that has a blank response when a
blank response is not a valid response option as described in section
1356.83(g) of this part.
(2) Out-of-range data is any element that contains a value that is
outside the parameters of acceptable responses or exceeds, either
positively or negatively, the acceptable range of response options as
described in section 1356.83(g) of this part; and
(3) Internally inconsistent data is any element that fails an
internal consistency check designed to evaluate the logical
relationship between elements in each record. The evaluation will
identify all elements involved in a particular check as in error.
(d) Review for compliance.
(1) ACF will determine whether a State agency's data file for each
reporting period is in compliance with the file submission standards
and data standards in paragraphs (a) and (b) of this section.
(i) For State agencies that achieve the file submission standards,
ACF will determine whether the State agency's data file meets the data
standards.
(ii) For State agencies that do not achieve the file submission
standards or data standards, ACF will notify the State agency that they
have an opportunity to submit a corrected data file by the end of the
subsequent reporting period in accordance with paragraph (e) of this
section.
(2) ACF may use monitoring tools or assessment procedures to
determine whether the State agency is meeting all the requirements of
section 1356.81 through 1356.85 of this part.
(e) Submitting corrected data and noncompliance. A State agency
that does not submit a data file that meets the standards in section
1356.85 of this part will have an opportunity to submit a corrected
data file in accordance with paragraphs (e)(1) and (e)(2) of this
section.
(1) A State agency must submit a corrected data file no later than
the end of the subsequent reporting period as defined in section
1356.83(a) of this part (i.e., by September 30 or March 31).
[[Page 10372]]
(2) If a State agency fails to submit a corrected data file that
meets the compliance standards in section 1356.85 of this part and the
deadline in paragraph (e)(1) of this section, ACF will make a final
determination that the State is out of compliance, notify the State
agency, and apply penalties as defined in section 1356.86 of this part.
Sec. 1356.86 Penalties for noncompliance.
(a) Definition of Federal funds subject to a penalty. The funds
that are subject to a penalty are the CFCIP funds allocated or
reallocated to the State agency under section 477(c)(1) of the Act for
the Federal fiscal year that corresponds with the reporting period for
which the State agency was required originally to submit data according
to section 1356.83(a) of this part.
(b) Assessed penalty amounts. ACF will assess penalties in the
following amounts, depending on the area of noncompliance:
(1) Penalty for not meeting file submission standards. ACF will
assess a penalty in an amount equivalent to two and one half percent
(2.5%) of the funds subject to a penalty for each reporting period in
which ACF makes a final determination that the State agency's data file
does not comply with the file submission standards defined in section
1356.85(a) of this part.
(2) Penalty for not meeting certain data standards. ACF will assess
a penalty in an amount equivalent to:
(i) One and one quarter percent (1.25%) of the funds subject to a
penalty for each reporting period in which ACF makes a final
determination that the State agency's data file does not comply with
the data standard for error-free data as defined in section
1356.85(b)(1) of this part.
(ii) One and one quarter percent (1.25%) of the funds subject to a
penalty for each reporting period in which ACF makes a final
determination that the State agency's data file does not comply with
the outcome universe standard defined in section 1356.85(b)(2) of this
part.
(iii) One half of one percent (0.5%) of the funds subject to a
penalty for each reporting period in which ACF makes a final
determination that the State agency's data file does not comply with
the participation rate for youth in foster care standard defined in
section 1356.85(b)(3)(i) of this part.
(iv) One half of one percent (0.5%) of the funds subject to a
penalty for each reporting period in which ACF makes a final
determination that the State agency's data file does not comply with
the participation rate for discharged youth standard defined in section
1356.85(b)(3)(ii) of this part.
(c) Calculation of the penalty amount. ACF will add together any
assessed penalty amounts described in paragraphs (b)(1) or (b)(2) of
this section to determine the total calculated penalty result. If the
total calculated penalty result is less than one percent of the funds
subject to a penalty, the State agency will be penalized in the amount
of one percent.
(d) Notification of penalty amount. ACF will advise the State
agency in writing of a final determination of noncompliance and the
amount of the total calculated penalty as determined in paragraph (c)
of this section.
(e) Interest. The State agency will be liable for interest on the
amount of funds penalized by the Department, in accordance with the
provisions of 45 CFR 30.13.
(f) Appeals. The State agency may appeal, pursuant to 45 CFR part
16, ACF's final determination to the HHS Departmental Appeals Board.
0
3. Add Appendices A, B, and C to part 1356 to read as follows:
Appendix A to Part 1356--NYTD Data Elements
----------------------------------------------------------------------------------------------------------------
Element Element name Responses options Applicable population
----------------------------------------------------------------------------------------------------------------
1................................. State..................... 2 digit FIPS code...
2................................. Report date............... CYYMM...............
CC= century year
(i.e., 20).
YY = decade year (00-
99).
MM = month (01-12)..
3................................. Record number............. Encrypted, unique
person
identification
number.
4................................. Date of birth............. CCYYMMDD............
CC= century year
(i.e., 20).
YY = decade year (00-
99).
MM = month (01-12)..
DD= day (01-31).....
5................................. Sex....................... Male................
Female..............
6................................. Race--American Indian or Yes................. All youth in served,
Alaska Native. baseline and follow-up
populations.
No..................
7................................. Race--Asian............... Yes.................
No..................
8................................. Race--Black or African Yes.................
American.
No..................
9................................. Race--Native Hawaiian or Yes.................
Other Pacific Islander.
No..................
10................................ Race--White............... Yes.................
No..................
11................................ Race--Unknown............. Yes.................
No..................
12................................ Race--Declined............ Yes.................
No..................
13................................ Hispanic or Latino Yes.................
Ethnicity.
No..................
Unknown.............
Declined............
----------------------------------------------------------------------------------------------------------------
[[Page 10373]]
14................................ Foster care status-- Yes................. Served population only.
services.
No..................
15................................ Local agency.............. FIPS code(s)........
Centralized unit....
16................................ Federally-recognized tribe Yes.................
No..................
17................................ Adjudicated delinquent.... Yes.................
No..................
18................................ Education level........... Less than 6th grade. Served population only.
6th grade...........
7th grade...........
8th grade...........
9th grade...........
10th grade..........
11th grade..........
12th grade..........
Postsecondary
education or
training College,
at least one
semester.
19................................ Special education......... Yes.................
No..................
20................................ Independent living needs Yes.................
assessment.
No..................
21................................ Academic support.......... Yes.................
No..................
22................................ Post-secondary educational Yes.................
support.
No..................
23................................ Career preparation........ Yes.................
No..................
24................................ Employment programs or Yes.................
vocational training.
No..................
25................................ Budget and financial Yes.................
management.
No..................
26................................ Housing education and home Yes.................
management training.
No..................
27................................ Health education and risk Yes.................
prevention.
No..................
28................................ Family Support/Healthy Yes.................
Marriage Education.
No..................
29................................ Mentoring................. Yes.................
No..................
30................................ Supervised independent Yes.................
living.
No..................
31................................ Room and board financial Yes.................
assistance.
No..................
32................................ Education financial Yes.................
assistance.
No..................
33................................ Other financial assistance Yes.................
No..................
----------------------------------------------------------------------------------------------------------------
34................................ Outcomes reporting status. Youth Participated.. Baseline and follow-up
Youth Declined...... populations (with the
Parent Declined..... exception of the response
Youth Incapacitated. option ``not in sample''
which is applicable to 19-
year olds in the follow-
up only).
Incarcerated........
Runaway/Missing.....
Unable to locate/
invite.
Death...............
Not in sample.......
----------------------------------------------------------------------------------------------------------------
35................................ Date of outcome data CCYYMMDD............ Baseline and follow-up
collection. populations.
CC= century year
(i.e., 20).
YY = decade year (00-
99).
MM = month (01-12)..
DD= day (01-31).....
36................................ Foster care status- Yes.................
outcomes.
No..................
37................................ Current full-time Yes.................
employment.
No..................
Declined............
[[Page 10374]]
38................................ Current part-time Yes.................
employment.
No..................
Declined............
39................................ Employment-related skills. Yes.................
No..................
Declined............
40................................ Social Security........... Yes.................
No..................
Declined............
41................................ Educational aid........... Yes.................
No..................
Declined............
----------------------------------------------------------------------------------------------------------------
42................................ Public financial Yes................. Follow-up population not
assistance. in foster care.
No..................
Not applicable......
Declined............
43................................ Public food assistance.... Yes.................
No..................
Not applicable......
Declined............
44................................ Public housing assistance. Yes.................
No..................
Not applicable......
Declined............
----------------------------------------------------------------------------------------------------------------
45................................ Other financial support... Yes................. Baseline and follow-up
population.
No..................
Declined............
46................................ Highest educational High school diploma/
certification received. GED.
Vocational
certificate.
Vocational license..
Associate's degree..
Bachelor's degree...
Higher degree.......
None of the above...
Declined............
47................................ Current enrollment and Yes.................
attendance.
No..................
Declined............
48................................ Connection to adult....... Yes.................
No..................
Declined............
49................................ Homelessness.............. Yes.................
No..................
Declined............
50................................ Substance abuse referral.. Yes.................
No..................
Declined............
51................................ Incarceration............. Yes.................
No..................
Declined............
52................................ Children.................. Yes.................
No..................
Declined............
53................................ Marriage at child's birth. Yes.................
No..................
Not applicable......
Declined............
54................................ Medicaid.................. Yes.................
No..................
Don't know..........
Declined............
55................................ Other health insurance Yes................. Baseline and follow-up
coverage. population.
No..................
Don't know..........
Not applicable......
Declined............
56................................ Health insurance type-- Yes.................
medical.
Don't know..........
Not applicable......
[[Page 10375]]
Declined............
57................................ Health insurance type-- Yes.................
mental health.
No..................
Don't know..........
Not applicable......
Declined............
58................................ Health insurance type-- Yes.................
prescription drugs.
No..................
Don't know..........
Not applicable......
Declined............
----------------------------------------------------------------------------------------------------------------
Appendix B to Part 1356--NYTD Youth Outcome Survey
------------------------------------------------------------------------
Question to youth
Topic/element and response options Definition
------------------------------------------------------------------------
INFORMATION TO COLLECT FROM ALL YOUTH SURVEYED FOR OUTCOMES, WHETHER IN
FOSTER CARE OR NOT
------------------------------------------------------------------------
Current full-time employment Currently are you ``Full-time'' means
(37). employed full-time? working at least 35
--Yes............... hours per week at
--No................ one or multiple
--Declined.......... jobs.
Current part-time employment Currently are you ``Part-time'' means
(38). employed part-time? working at least 1-
--Yes............... 34 hours per week
--No................ at one or multiple
--Declined.......... jobs.
Employment-related skills In the past year, This means
(39). did you complete an apprenticeships,
apprenticeship, internships, or
internship, or other on-the-job
other on-the-job trainings, either
training, either paid or unpaid,
paid or unpaid? that helped the
--Yes............... youth acquire
--No................ employment-related
--Declined.......... skills (which can
include specific
trade skills such
as carpentry or
auto mechanics, or
office skills such
as word processing
or use of office
equipment).
Social Security (40)........ Currently are you These are payments
receiving social from the government
security payments to meet basic needs
(Supplemental for food, clothing,
Security Income and shelter of a
(SSI, Social person with a
Security Disability disability. A youth
Insurance (SSDI), may be receiving
or dependents' these payments
payments)? because of a parent
--Yes............... or guardian's
--No................ disability, rather
--Declined.......... than his/her own.
Educational Aid (41)........ Currently are you Scholarships,
using a grants, and
scholarship, grant, stipends are funds
stipend, student awarded for
loan, voucher, or spending on
other type of expenses related to
educational gaining an
financial aid to education.
cover any ``Student loan''
educational means a government-
expenses? guaranteed, low-
--Yes............... interest loan for
--No................ students in post-
--Declined.......... secondary
education.
Other financial support (45) Currently are you This means periodic
receiving any and/or significant
periodic and/or financial support
significant from a spouse or
financial resources family member
or support from (biological, foster
another source not or adoptive), child
previously support that the
indicated and youth receives or
excluding paid funds from a legal
employment? settlement. This
--Yes............... does not include
--No................ occasional gifts,
--Declined.......... such as birthday or
graduation checks
or small donations
of food or personal
incidentals, child
care subsidies,
child support for a
youth's child or
other financial
help that does not
benefit the youth
directly in
supporting himself
or herself.
[[Page 10376]]
Highest educational What is the highest ``Vocational
certification received (46). educational degree certificate'' means
or certification a document stating
that you have that a person has
received? received education
--High school or training that
diploma/GED. qualifies him or
--Vocational her for a
certificate. particular job,
--Vocational license e.g., auto
--Associate's degree mechanics or
(e.g., A.A.). cosmetology.
--Bachelor's degree ``Vocational
(e.g., B.A. or license'' means a
B.S.). document that
--Higher degree..... indicates that the
--None of the above. State or local
--Declined.......... government
recognizes an
individual as a
qualified
professional in a
particular trade or
business. An
Associate's degree
is generally a two-
year degree from a
community college,
and a Bachelor's
degree is a four-
year degree from a
college or
university.
``Higher degree''
indicates a
graduate degree,
such as a Masters
or Doctorate
degree. ``None of
the above'' means
that the youth has
not received any of
the above
educational
certifications.
Current enrollment and Currently are you This means both
attendance (47). enrolled in and enrolled in and
attending high attending high
school, GED school, GED
classes, post-high classes, or
school vocational postsecondary
training, or vocational training
college? or college. A youth
--Yes............... is still considered
--No................ enrolled in and
--Declined.......... attending school if
the youth would
otherwise be
enrolled in and
attending a school
that is currently
out of session
(e.g., Spring
break, summer
vacation, etc.).
Connection to adult (48).... Currently is there This refers to an
at least one adult adult who the youth
in your life, other can go to for
than your advice or guidance
caseworker, to whom when there is a
you can go for decision to make or
advice or emotional a problem to solve,
support? or for
--Yes............... companionship to
--No................ share personal
--Declined.......... achievements. This
can include, but is
not limited to,
adult relatives,
parents or foster
parents. The
definition excludes
spouses, partners,
boyfriends or
girlfriends and
current
caseworkers. The
adult must be
easily accessible
to the youth,
either by telephone
or in person.
Homelessness (49)........... Have you ever been ``Homeless'' means
homeless? that the youth had
OR.................. no regular or
adequate place to
live. This includes
living in a car, or
on the street, or
staying in a
homeless or other
temporary shelter.
In the past two
years, were you
homeless at any
time?
--Yes...............
--No................
--Declined..........
Substance abuse referral Have you ever This includes either
(50). referred yourself self-referring or
or has someone else being referred by a
referred you for an social worker,
alcohol or drug school staff,
abuse assessment or physician, mental
counseling? health worker,
OR.................. foster parent, or
other adult for an
alcohol or drug
abuse assessment or
counseling. Alcohol
or drug abuse
assessment is a
process designed to
determine if
someone has a
problem with
alcohol or drug
use.
In the past two
years, did you
refer yourself, or
had someone else
referred you for an
alcohol or drug
abuse assessment or
counseling?
--Yes...............
--No................
--Declined..........
Incarceration (51).......... Have you ever been This means that the
confined in a jail, youth was confined
prison, in a jail, prison,
correctional correctional
facility, or facility, or
juvenile or juvenile or
community detention community detention
facility, in facility in
connection with connection with a
allegedly crime (misdemeanor
committing a crime? or felony)
OR.................. allegedly committed
by the youth.
[[Page 10377]]
In the past two
years, were you
confined in a jail,
prison,
correctional
facility, or
juvenile or
community detention
facility, in
connection with
allegedly
committing a crime?
--Yes...............
--No................
--Declined..........
Children (52)............... Have you ever given This means giving
birth or fathered birth to or
any children that fathering at least
were born? one child that was
OR.................. born. If males do
not know, answer
``No.''
In the past two
years, did you give
birth to or father
any children that
were born?
--Yes...............
--No................
--Declined..........
Marriage at Child's Birth If you responded yes This means that when
(53). to the previous every child was
question, were you born the youth was
married to the married to the
child's other other parent of the
parent at the time child.
each child was
born?
--Yes...............
--No................
--Declined..........
Medicaid (54)............... Currently are you on Medicaid (or the
Medicaid [or use State medical
the name of the assistance program)
State's medical is a health
assistance program insurance program
under title XIX]? funded by the
--Yes............... government.
--No................
--Don't know........
--Declined..........
Other Health insurance Currently do you ``Health insurance''
Coverage (55). have health means having a
insurance, other third party pay for
than Medicaid? all or part of
--Yes............... health care. Youth
--No................ might have health
--Don't know........ insurance such as
--Declined.......... group coverage
offered by
employers or
schools, or
individual policies
that cover medical
and/or mental
health care and/or
prescription drugs,
or youth might be
covered under
parents' insurance.
This also could
include access to
free health care
through a college,
Indian Tribe, or
other source.
Health insurance type-- Does your health This means that the
medical (56). insurance include youth's health
coverage for insurance covers at
medical services? least some medical
--Yes............... services or
--Don't know........ procedures. This
--Declined.......... question is for
only those youth
who responded
``yes'' to having
health insurance.
Health insurance type-- Does your health This means that the
mental health (57). insurance include youth's health
coverage for mental insurance covers at
health services? least some mental
--Yes............... health services.
--No................ This question is
--Don't know........ for only those
--Declined.......... youth who responded
``yes'' to having
health insurance
with medical
coverage.
Health insurance type-- Does your health This means that the
prescription drugs (58). insurance include youth's health
coverage for insurance covers at
prescription drugs? least some
--Yes............... prescription drugs.
--No................ This question is
--Don't know........ for only those
--Declined.......... youth who responded
``yes'' to having
health insurance
with medical
coverage.
------------------------------------------------------------------------
ADDITIONAL OUTCOMES INFORMATION TO COLLECT FROM YOUTH OUT OF FOSTER CARE
------------------------------------------------------------------------
Public financial assistance Currently are you This refers to
(42). receiving ongoing ongoing welfare
welfare payments payments from the
from the government government to
to support your support your basic
basic needs? [The needs. Do not
State may add and/ consider payments
or substitute the or subsidies for
name(s) of the specific purposes,
State's welfare such as
program]. unemployment
--Yes............... insurance, child
--No................ care subsidies,
--Declined.......... education
assistance, food
stamps or housing
assistance in this
category.
[[Page 10378]]
Public food assistance (43). Currently are you Public food
receiving public assistance includes
food assistance? food stamps, which
--Yes............... are government-
--No................ issued coupons or
--Declined.......... debit cards that
recipients can use
to buy eligible
food at authorized
stores. Public food
assistance also
includes assistance
from the Women,
Infants and
Children (WIC)
program.
Public housing assistance Currently are you Public housing is
(44). receiving any sort rental housing
of housing provided by the
assistance from the government to keep
government, such as rents affordable
living in public for eligible
housing or individuals and
receiving a housing families, and a
voucher? housing voucher
--Yes............... allows participants
--No................ to choose their own
--Declined.......... housing while the
government pays
part of the housing
costs. This does
not include
payments from the
child welfare
agency for room and
board payments.
------------------------------------------------------------------------
Appendix C to Part 1356--Calculating Sample Size for NYTD Follow-Up
Populations
1. Using Finite Population Correction
The Finite Population Correction (FPC) is applied when the
sample is drawn from a population of one to 5,000 youth, because the
sample is more than five percent of the population.
[GRAPHIC] [TIFF OMITTED] TR26FE08.000
(Py)(Pn), an estimate of the percent of responses to a
dichotomous variable, is (.50)(.50) for the most conservative
estimate.
[GRAPHIC] [TIFF OMITTED] TR26FE08.001
Acceptable level of error = .05 (results are plus or
minus five percentage points from the actual score)
Z = 1.645 (90 percent confidence interval)
[GRAPHIC] [TIFF OMITTED] TR26FE08.002
N = number of youth from whom the sample is being drawn
2. Not Using Finite Population Correction
The FPC is not applied when the sample is drawn from a
population of over 5,000 youth.
[GRAPHIC] [TIFF OMITTED] TR26FE08.003
[FR Doc. E8-3050 Filed 2-25-08; 8:45 am]
BILLING CODE 4184-01-P