[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

[[Page 10344]]

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]
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