[Federal Register Volume 80, Number 26 (Monday, February 9, 2015)]
[Proposed Rules]
[Pages 7132-7221]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2015-02354]



[[Page 7131]]

Vol. 80

Monday,

No. 26

February 9, 2015

Part III





Department of Health and Human Services





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 Administration for Children and Families





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45 CFR Part 1355





Adoption and Foster Care Analysis and Reporting System; Proposed Rule

  Federal Register / Vol. 80 , No. 26 / Monday, February 9, 2015 / 
Proposed Rules  

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DEPARTMENT OF HEALTH AND HUMAN SERVICES

Administration for Children and Families

45 CFR Part 1355

RIN 0970-AC47


Adoption and Foster Care Analysis and Reporting System

AGENCY: Administration on Children, Youth and Families (ACYF), 
Administration for Children and Families (ACF), Department of Health 
and Human Services (HHS).

ACTION: Notice of proposed rulemaking.

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SUMMARY: The Administration for Children and Families (ACF) proposes to 
amend the Adoption and Foster Care Analysis and Reporting System 
(AFCARS) regulations. This notice of proposed rulemaking (NPRM) builds 
on an earlier proposed rule, published January 11, 2008 that addressed 
the requirements for State title IV-E agencies to collect and report 
data to ACF on children who are in out-of-home care and in subsidized 
adoption or guardianship arrangements with the State and AFCARS penalty 
requirements of the Adoption Promotion Act of 2003. This NPRM proposes 
many of the same changes and additions as the earlier NPRM and includes 
several new modifications to address changes made by the Fostering 
Connections to Success and Increasing Adoptions Act of 2008, such as 
collecting and reporting data related to the title IV-E guardianship 
assistance program, sibling placement, the extension of title IV-E 
assistance to children age 18 or older, educational stability plans and 
transition plans for children in foster care and the inclusion of 
Tribal title IV-E agencies. Additionally, modifications were made to 
address new requirements in the Preventing Sex Trafficking and 
Strengthening Families Act, which was enacted on September 29, 2014 to 
include information on: Victims of sex trafficking, children in foster 
care who are pregnant or parenting, and children in non-foster family 
settings.

DATES: In order to be considered, we must receive written comments on 
this NPRM on or before April 10, 2015.

ADDRESSES: Interested persons are invited to submit written comments 
regarding this proposed rule via regular postal mail to Kathleen 
McHugh, Division of Policy, Children's Bureau, Administration on 
Children, Youth and Families, Administration for Children and Families, 
1250 Maryland Avenue SW., 8th Floor, Washington, DC 20024. Please be 
aware that mail sent to us may take an additional 3-4 days to process 
due to changes in mail handling resulting from the anthrax crisis of 
October 2001. If you choose to use an express, overnight or other 
special delivery method, please ensure first that they are able to 
deliver to the above address. You may also transmit comments 
electronically via the Internet at http://www.regulations.gov/. We urge 
you to submit comments electronically to ensure they are received in a 
timely manner. Please be sure to include identifying information on any 
correspondence. To download an electronic version of the proposed rule, 
you should access http://www.regulations.gov/. Comments will be 
available for public inspection Monday through Friday 7:30 a.m. to 4:00 
p.m. at the above address by contacting Kathleen McHugh at (202) 401-
5789.
    Comments that concern information collection requirements must be 
sent to the Office of Management and Budget (OMB) at the address listed 
in the Paperwork Reduction Act (PRA) section of this preamble. A copy 
of these comments also may be sent to the Department representative 
listed above.

FOR FURTHER INFORMATION CONTACT: Kathleen McHugh, Children's Bureau, 
Administration on Children, Youth and Families, (202) 401-5789 or by 
email at [email protected]. Do not email comments on the NPRM 
to this address.

SUPPLEMENTARY INFORMATION:

Contents

I. Executive Summary per Executive Order 13563
II. Background on Foster Care and Adoption Data Collection
III. Consultation and Regulation Development
IV. Overview of Major Proposed Revisions to AFCARS
V. Section-by-Section Discussion of NPRM
VI. Regulatory Impact Analysis
VII. Regulatory Flexibility Analysis
VIII. Unfunded Mandates Reform Act
IX. Paperwork Reduction Act
X. Congressional Review Act
XI. Assessment of Federal Regulations on Policies and Families
XII. Executive Order 13132
XIII. Tribal Consultation Statement

I. Executive Summary per Executive Order 13563

    Executive Order 13563 requires that regulations be accessible, 
consistent, written in plain language, and easy to understand. This 
means that regulatory preambles for lengthy or complex rules (both 
proposed and final) must include executive summaries. Below is the 
executive summary for this AFCARS NPRM.

(1) Purpose of the AFCARS NPRM

    (a) The need for the regulatory action and how the action will meet 
that need: The AFCARS regulations need to be revised and updated to: 
(1) Incorporate statutory requirements since 1993; (2) implement our 
statutory authority to assess penalties for noncompliant data 
submissions; (3) enhance the type and quality of information title IV-E 
agencies report to ACF by modifying and expanding data elements and 
requiring title IV-E agencies to submit historical data; and (4) remove 
outdated and antiquated requirements that will allow title IV-E 
agencies and ACF to keep the pace with new technology. Per existing 
regulations, title IV-E agencies must submit data on a semi-annual 
basis to ACF and we propose this to remain the same. The regulations 
specify the reporting population, standards for compliance, and all 
data elements and methods for capturing and reporting AFCARS data. In 
large part title IV-E agencies report the child's information as of a 
certain date in the six-month report period rather than a detailed 
accounting of events that may have occurred over the six-month report 
period while in foster care. This NPRM allows us to gather longitudinal 
data and improve the data collected by including more comprehensive 
data on children in foster care and adding new data elements to better 
measure child welfare performance and outcomes of children and 
families.
    (b) Legal authority for the NPRM: The existing regulations (at 45 
CFR 1355.40 and the appendices to part 1355) were published in December 
1993 in response to a statutory mandate for adoption and foster care 
data in section 479 of the Social Security Act (the Act). That mandate 
remains in effect. In addition, section 474(f) of the Act requires that 
the Secretary impose penalties for failure to submit AFCARS data under 
certain circumstances. Section 1102 of the Act instructs the Secretary 
to promulgate regulations necessary for the effective administration of 
the functions for which she is responsible under the Act. The 
Department must have, per section 479 of the Act, a data collection 
system which provides comprehensive national information on:
     The demographic characteristics of adopted and foster 
children and their parents;
     the status and characteristics of the foster care 
population;

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     the number and characteristics of children entering and 
exiting foster care, children adopted and children placed in living 
arrangements outside of the responsible title IV-E agency;
     the extent and nature of assistance provided by government 
programs for foster care and adoption and the characteristics of the 
children that receive the assistance; and
     the number of foster children identified as sex 
trafficking victims before entering or while in foster care.

(2) Summary of the Major Provisions of the NPRM

    (a) Reporting Populations. We propose two reporting populations: 
The out-of-home care reporting population and the adoption and 
guardianship assistance reporting population. We propose to define the 
out-of-home care reporting population to include a child of any age who 
is in foster care or a child who has run away or whose whereabouts are 
unknown at the time the title IV-E agency becomes responsible for the 
child. Once the child enters foster care, he or she remains in the out-
of-home care reporting population until the title IV-E agency's 
responsibility for the child ends. This proposal is very similar to 
current AFCARS practice. The adoption and guardianship assistance 
reporting population includes any child who is in a finalized adoption 
under a title IV-E adoption assistance agreement and any child who is 
in a legal guardianship under a title IV-E guardianship assistance 
agreement. Agencies continue to report a child through the report 
period in which his or her title IV-E agreement ends.
    (b) Data Structure. As stated above, we propose that title IV-E 
agencies report AFCARS information in two separate data files: an out-
of-home care data file and an adoption and guardianship assistance data 
file.
     For the out-of-home care data file, title IV-E agencies 
will report a combination of point-in-time information that's not 
likely to change (e.g., demographics) and information on the events in 
the child's life over time, including every time the child enters or 
exits foster care and every placement change. This will support 
longitudinal and cohort analysis of the data that will be particularly 
useful for the Child and Family Services Reviews (CFSRs) and ACF's 
other efforts to analyze performance with respect to child and family 
outcomes.
     For the adoption and guardianship assistance data file, 
title IV-E agencies will report information that describe the 
circumstances of the child and adoptive family or guardians at a single 
point-in-time in the report period. This information is not likely to 
change over time.
    (c) Data Elements. We propose to keep and revise the vast majority 
of data elements currently in AFCARS and add new data elements. We 
modify existing out-of-home care data elements on the child's 
placements, circumstances surrounding the child at removal, prior 
adoptions, and reasons for exiting care, among others. These 
modifications are necessary to clarify data element descriptions and 
conform to the new data structure. We propose new data elements that 
will allow us to better understand the characteristics of children in 
foster care and provide better context for their outcomes. Some of 
these include:
     Timely plans to transition out of foster care and the 
frequency of caseworker visits;
     the child's educational level, educational stability and 
involvement with special education;
     existing and previous health, behavioral and mental health 
conditions, and information on the timeliness of health assessments;
     domestic and intercountry adoptions and prior adoptions 
and guardianships; and
     new elements to better track Tribal, State and Federal 
financial support of foster care, adoption and guardianships.
    (d) Compliance and Penalties. The proposed rule will strengthen our 
ability to hold title IV-E agencies accountable for submitting quality 
data. A title IV-E agency must meet basic file standards, such as 
timely data file submissions and more specific data quality standards, 
such as 10 percent or less of a variety of errors for its out-of-home 
care data file. A title IV-E agency that does not meet the standards 
upon initial submission of the data will have six months to correct and 
submit its data. If a title IV-E agency does not meet the standards 
after corrective action, ACF will apply the penalties required in 
statute. Penalty amounts are one-sixth of one percent of the agency's 
title IV-E foster care administrative funds for initial noncompliance 
and one-fourth of one percent of such funds for continued 
noncompliance.

(3) Costs and Benefits

    We have determined that the costs to title IV-E agencies as a 
result of this rule will not be significant. We estimate that costs 
will be approximately $24 million annually for AFCARS for the first 
five years of implementation, half of which ($12 million) we estimate 
will be reimbursed by the Federal government as allowable costs under 
title IV-E. Depending on the cost category and each agency's approved 
plans for title IV-E and cost allocation, they may claim allowable 
costs as Automated Child Welfare Information System costs at the 50 
percent rate, administrative costs for the proper and efficient 
administration of the title IV-E plan at the 50 percent rate, or 
training of agency staff at the 75 percent rate. Many title IV-E 
agencies already collect the information proposed in this NPRM. Other 
existing data sets cannot yield similar information because AFCARS is 
the only national, comprehensive case-level data set on the incidence 
and experiences of children who are in foster care and/or achieve 
adoption or guardianship with the involvement of the State or Tribal 
title IV-E agency. Further, we are required by section 479 of the Act 
to establish and maintain such a data system, so other data sources 
could not meet our statutory mandate.

II. Background on Foster Care and Adoption Data Collection

    In 1982, the Department of Health and Human Services (HHS), through 
a grant to the American Public Human Services Association (formerly the 
American Public Welfare Association), implemented the Voluntary 
Cooperative Information System (VCIS) to collect aggregate information 
annually about children in foster care and special needs adoptions from 
State child welfare agencies. While some States reported data to VCIS, 
by 1986, Congress and other stakeholders recognized that there were a 
number of weaknesses in VCIS. Namely, VCIS was criticized for 
intermittent reporting by the States, the use of a variety of report 
periods, a lack of common definitions for data elements, a lack of 
timeliness of the data, poor data quality and the collection of 
aggregate data that had limited analytic utility.
    As a result of these and other concerns, the President signed the 
Omnibus Budget Reconciliation Act of 1986 (Pub. L. 99-509) on October 
21, 1986, which in part added section 479 to title IV-E of the Act. 
Section 479 of the Act describes the series of steps that HHS was 
required to take to establish a national data collection system for 
foster care and adoption. We were required to develop a system that 
avoids unnecessary diversion of resources from agencies responsible for 
adoption and foster care and assures that the data collected is 
reliable and consistent over time and across jurisdictions through the 
use of uniform definitions and methodologies. Furthermore, the law

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required the system to provide comprehensive national information on 
the demographic characteristics of adopted and foster children and 
their parents (biological, foster and/or adoptive parents); the status 
of the foster care population (including the number of children in 
foster care, length and type of placement, availability for adoption 
and goals for ending or continuing foster care); the number and 
characteristics of children placed in or removed from foster care; 
children adopted or whose adoptions have been terminated; children 
placed in foster care outside the State that has placement and care 
responsibility; and, the extent and nature of assistance provided by 
Federal, State and local adoption and foster care programs and the 
characteristics of the children to whom such assistance is provided.
    On August 19, 1993, the President signed into law the Omnibus 
Budget Reconciliation Act of 1993 (Pub. L. 103-66). Public Law 103-66 
provided State title IV-E agencies with the opportunity to obtain title 
IV-E funds to plan, design, develop and implement a Statewide Automated 
Child Welfare Information System (SACWIS). On December 22, 1993, ACF 
published a final rule to establish AFCARS and implement SACWIS. In the 
AFCARS final rule, we required State title IV-E agencies to submit 
certain data to us on a semi-annual basis about children in foster care 
and adoptions that involve the State title IV-E agency. The rule 
required State title IV-E agencies that chose to develop a SACWIS to 
ensure that their system collected the AFCARS data and reported the 
data to ACF. We also set forth a minimum set of data standards that 
each State title IV-E agency had to meet in order to be in compliance 
with the AFCARS requirements and not be assessed a penalty.
    State title IV-E agencies were required to report the first AFCARS 
data to us for Federal fiscal fear (FFY) 1995. However, it was not 
until FFY 1998, when we implemented AFCARS financial penalties for a 
State title IV-E agency not submitting data or submitting data of poor 
quality that the data became stable enough for ACF and others to use 
for a wide variety of purposes.
    On November 19, 1997, four years after SACWIS funding was made 
available, the President signed the Adoption and Safe Families Act of 
1997 (Pub. L. 105-89), which required the use of AFCARS data for two 
specific activities the calculation of Adoption and Legal Guardianship 
Incentive Payments (section 473A of the Act) and the Child Welfare 
Outcomes Annual Report (section 479A of the Act). Since that time, data 
from AFCARS also has been used to provide samples for the current CFSRs 
and title IV-E reviews, develop outcome and performance measures for 
the current CFSRs and the Government Performance and Results Act 
(GPRA), calculate State allocations for the Chafee Foster Care 
Independence Program (section 477 of the Act), generate short- and 
long-term budget projections, conduct trend analyses for short- and 
long-term program planning and respond to requests for information from 
the Congress, other Federal agencies, States, media and the public 
about children in foster care and children being adopted.
    While AFCARS data is used for many purposes, there are no penalties 
currently for non-compliant data submissions. Due to a settlement of 
several States' appeals of AFCARS penalties, ACF discontinued 
withholding Federal funds for a title IV-E agency's failure to comply 
with AFCARS requirements in January 2002 (see ACYF-CB-IM-02-03). 
However, on December 2, 2003 the President signed the Adoption 
Promotion Act of 2003 (Pub. L. 108-145), which required ACF to 
institute specific financial penalties for a State title IV-E agency's 
noncompliance with AFCARS requirements. We notified State title IV-E 
agencies in ACYF-CB-IM-04-04, issued February 17, 2004, that we would 
not assess penalties until we issued revised final AFCARS regulations.
    Ten months after the publication of the 2008 Notice of Proposed 
Rule Making (hereafter referred to as the 2008 NPRM), on October 7, 
2008 (73 FR 2082), the President signed into law the Fostering 
Connections to Success and Increasing Adoptions Act of 2008 (Pub. L. 
110-351). Public Law 110-351 amended title IV-E of the Act to create an 
option for title IV-E agencies to provide kinship guardianship 
assistance payments, to extend eligibility for title IV-E payments up 
to age 21, to de-link adoption assistance from Aid to Families with 
Dependent Children (AFDC) eligibility through an eight-year phase-in 
and to provide federally-recognized Indian Tribes and Tribal 
organizations or consortia with the option to operate a title IV-E 
program directly, among many other provisions. These recent statutory 
changes to the title IV-E program are significant and thus contributed 
to our decision to issue a new NPRM rather than proceed with a final 
rule based on the 2008 NPRM. We conducted additional consultation 
through a Request for Comment published in the Federal Register on July 
23, 2010 (75 FR 43187).
    Public Law 110-351 also required HHS to issue an Interim Final Rule 
(IFR) implementing the inclusion of Tribal title IV-E agencies. We 
published the IFR on January 6, 2012 (77 FR 896), which defined ``title 
IV-E agency'' as the State or Tribal agency administering or 
supervising the administration of the title IV-B and title IV-E plans. 
The IFR also revised the regulations at 45 CFR 1355.40 and the 
appendices to part 1355 to apply the AFCARS requirements to all title 
IV-E agencies.
    In September 2014, the President signed into law the Preventing Sex 
Trafficking and Strengthening Families Act (Pub. L. 113-183). Public 
Law 113-183 modified the AFCARS requirements in section 479 of the Act, 
the annual Child Welfare Outcomes Report in section 479A of the Act, 
and added several reports to Congress requiring the collection and 
reporting of certain information. This includes information on victims 
of sex trafficking, children in foster care who are pregnant or 
parenting, and children in foster care in non-foster family settings 
and the services they receive.

III. Consultation and Regulation Development

    In the preamble to the AFCARS final regulation issued December 22, 
1993, we indicated that we would revisit the regulations to assess how 
we may improve AFCARS (58 FR 67917). Prior to the publication of the 
2008 NPRM, we analyzed the types of technical assistance requested by 
and provided to title IV-E agencies, our findings from AFCARS 
Assessment Reviews and reports from the past several years issued by 
the Government Accountability Office (GAO) and the Department's Office 
of the Inspector General (OIG) on AFCARS-related issues. We included in 
the 2008 NPRM an extensive discussion of the consultation process we 
conducted through a variety of focus groups and a Federal Register 
notice published on April 28, 2003 (68 FR 22386).
    In the 2008 NPRM, we focused improvements on five general areas by 
restructuring the data to capture more information over time, expanding 
and clarifying the reporting populations, capturing greater detail on 
children in out-of-home care, improving the quality of data and 
eliminating unnecessary data and inefficiencies in the data submission 
process. Specifically, we proposed that AFCARS data support 
longitudinal data analysis by capturing comprehensive information on 
the child's experience in the title IV-E

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agency's foster care system. We also proposed to expand the out-of-home 
care reporting population to include all children placed away from 
their parents or legal guardians for whom the title IV-E agency has 
placement and care responsibility. This proposal included children who 
were placed in juvenile justice facilities under the title IV-E 
agency's placement and care responsibility, but who never entered 
foster care. We also added and clarified a number of data elements so 
that title IV-E agencies could provide us with greater detail on the 
demographics and circumstances of children in out-of-home care. The 
proposed changes to the out-of-home care reporting population were 
designed to permit an enhanced analysis of the factors that may affect 
a child's permanency and well-being.
    We also proposed in the 2008 NPRM to improve AFCARS data quality in 
several ways by clarifying existing data element descriptions, 
strengthening the assessment and identification of errors within a 
title IV-E agency's data file, and developing cross-file checks to 
identify defaults and other faulty programming that resulted in skewed 
data across the title IV-E agency's entire data file. We proposed to 
implement penalties for title IV-E agencies that do not meet our data 
file and data quality standards for AFCARS consistent with section 
474(f) of the Act. In addition, we proposed to eliminate features that 
are no longer useful such as removing the requirement that the title 
IV-E agency report summary adoption and foster care data files, merging 
most of the currently reported adoption information into the out-of-
home care data file and removing outdated technical submission 
requirements from the regulation.
    In response to the 2008 NPRM, we received comments from 77 State 
and local child welfare administrators, advocates, educators, 
researchers and members of the public. While many commenters supported 
the overall direction of the NPRM, they also had many specific areas of 
concern, which are detailed in the next section and throughout the 
NPRM. Most commenters expressed overwhelming support for the shift to 
longitudinal reporting on children entering, currently in and exiting 
foster care. Commenters also generally supported the idea that 
longitudinal data is more valuable and beneficial than current point-
in-time data reporting for evaluating child welfare outcomes. However, 
several commenters expressed concerns about implementing a longitudinal 
methodology for AFCARS data with existing data systems and resources.
    In response to the 2008 NPRM commenters expressed concern with our 
proposed expansion of the out-of-home care reporting population to 
include children who were under the placement and care responsibility 
of the title IV-E agency but whose only living arrangement was a 
juvenile justice facility. Commenters questioned how the title IV-E 
agency would obtain detailed information for AFCARS on the children in 
juvenile justice facilities. However, commenters did support collecting 
information on children in foster care who also are involved with the 
juvenile justice system. Commenters also opposed our proposal to 
consider a placement at home as a discharge because it could 
artificially inflate the rate of foster care re-entry if the child re-
entered foster care after the placement at home.
    Commenters in response to the 2008 NPRM generally supported our 
proposals to collect information on the child's prior adoptions and 
whether the child has siblings in out-of-home care or siblings who are 
adopted or in a legal guardianship. Commenters also supported our 
proposal to expand our collection of child and family circumstances 
that are present at the child's removal, but commenters opposed 
collecting that information at any point beyond removal. Commenters 
also requested that the AFCARS data elements incorporate kin as an 
additional relationship type between the child and/or the child's 
family and the foster parent(s), adoptive parent(s) or legal 
guardian(s). The section-by-section discussion of the proposed rule 
that follows in the preamble addresses public comments received in 
response to the 2008 NPRM and how they were considered in this proposed 
rule.
    As we synthesized and analyzed comments from the 2008 NPRM, the 
President signed into law Public Law 110-351. As stated above, based in 
part on the significant statutory changes to the title IV-E program, we 
decided to issue a new NPRM rather than proceed with a final rule based 
on the 2008 NPRM. To inform our development of this NPRM, we requested 
comments through a Federal Register notice published on July 23, 2010 
(75 FR 43187) (hereto referred as the 2010 FR Notice) and conducted 
another round of consultation sessions with States, Indian Tribes, 
Tribal organizations or consortia and other interested parties in the 
Summer and Fall of 2010.
    Our consultation from the 2010 Federal Register (FR) Notice yielded 
53 comments from the public, including State and local child welfare 
administrators, Indian Tribes, Tribal organizations or consortia, 
advocates, educators and researchers. During consultation we solicited 
feedback on
     Whether and how data collection and reporting requirements 
should change in order to provide a comprehensive national picture of 
children in foster care and those adopted with the involvement of the 
title IV-E agency;
     The circumstances under which a child should be included 
in the reporting population and the information the title IV-E agency 
should collect on children in its placement and care responsibility who 
are placed in settings other than foster family homes, group homes and 
child care institutions;
     The case level data on children in foster care, adoption 
and guardianship that is important to collect and report on an ongoing 
basis, including data that is not collected currently, that can inform 
and support Federal monitoring activities of the new provisions of 
title IV-E of the Act created by Public Law 110-351;
     The case level data on children in foster care that should 
be collected and reported that would provide insight into the 
environment and circumstances surrounding the child at removal, 
including why a child remains in foster care or why a child's 
permanency plan changes; and,
     What information should be collected about caseworker 
visits with a child.
    Many commenters in response to the 2010 FR Notice echoed the 
support expressed by commenters to the 2008 NPRM to restructure AFCARS 
to support longitudinal data analysis in order to provide a 
comprehensive national picture of children who are involved with the 
title IV-E agency. Commenters to the 2010 FR Notice felt that it is 
important to include in the AFCARS out-of-home care reporting 
population and title IV-E guardianship and adoption assistance 
reporting population children age 18 or older who are involved with the 
title IV-E agency and to track accurately in AFCARS children who are in 
the placement and care responsibility of the Tribal title IV-E agency. 
However, commenters also expressed concern with the burden associated 
with reporting a longitudinal data file and additional data elements to 
AFCARS. Commenters to the 2010 FR Notice asked us to be clear about who 
would be included in each reporting population and asked that we 
consider aligning the AFCARS data elements with data elements from 
other data systems, such as the National Child Abuse and Neglect Data 
System

[[Page 7136]]

(NCANDS) and the National Youth in Transition Database (NYTD).
    Some commenters to the 2010 FR Notice felt that most of the 
information associated with the new provisions created by Public Law 
110-351 could be collected through case narratives in the child's 
record, rather than through AFCARS. Commenters also expressed that it 
would be difficult to capture comprehensive information in AFCARS on 
caseworker visits and the reasons why a child's permanency plan changes 
or, generally, why the child remains in foster care. Conversely, other 
commenters to the 2010 FR Notice highlighted specifically that it would 
be helpful to collect the same information on children who exit foster 
care to guardianship as children who exit foster care to adoption, 
whether the child has siblings in out-of-home care or siblings who have 
been adopted or are in a guardianship, and information relating to the 
educational stability of the child, such as the proximity of the 
child's school to the child's placement, the child's grade and the 
child's academic performance.
    In developing this proposed rule, we considered these comments as 
well as comments to the 2008 NPRM. The section-by-section summary found 
later in this preamble provides more discussion on how specific 
comments factored into our proposal.

IV. Overview of Major Proposed Revisions to AFCARS

    An overview of the major proposed revisions to AFCARS follows and 
includes many of the changes we proposed in the 2008 NPRM and other 
changes in response to the new statutory provisions of the Act 
resulting from Public Law 110-351.
    References throughout this proposed rule to ``child'' or 
``children'' are inclusive of all children who are served by the title 
IV-E program, including those age 18 or older. We are choosing to use a 
single reference, as opposed to using multiple references such as 
``youth'' or ``young adult,'' because we believe it is less cumbersome 
and is easier to comprehend for the regulation.

Restructuring Data

    We propose, as we did in the 2008 NPRM, to restructure the AFCARS 
data file in two ways, (1) to support longitudinal data analysis; and 
(2) to require title IV-E agencies to submit two data files an out-of-
home care data file and an adoption and guardianship assistance data 
file.

Support Longitudinal Data Analysis

    We propose that the out-of-home care data file contain longitudinal 
data elements that provide historical information on children who enter 
foster care; however, the adoption and guardianship assistance data 
file will not contain any longitudinal data elements. Title IV-E 
agencies are required to report in the existing AFCARS foster care data 
file some living arrangement, provider and permanency information 
relative to the child's most recent experiences in his or her most 
recent foster care episode only. We propose instead that title IV-E 
agencies collect and report historical information in the out-of-home 
care data file on (1) the date and circumstances of each of the child's 
removals and placements into foster care; (2) the type of environment 
the child was living in at the time of each of the child's removals and 
the title IV-E agency's authority for placement and care 
responsibility; (3) the date and type of each living arrangement the 
child experiences while in out-of-home care; (4) the demographics on 
each foster family home provider, if applicable; (5) information on 
each of the child's permanency plans and concurrent permanency plans, 
if applicable; (6) the date, location and purpose of each caseworker 
visit with the child; (7) each date that a petition to terminate 
parental rights (TPR) was filed and each TPR date; and (8) the date and 
reasons of each of the child's exits from out-of-home care.
    We received many comments in response to both the 2008 NPRM and the 
2010 FR Notice on our proposal to require title IV-E agencies to report 
recent and historical data on children who enter foster care. 
Commenters to both the 2008 NPRM and the 2010 FR Notice overwhelmingly 
expressed support for the shift to longitudinal data reporting on 
children entering, currently in and exiting foster care and were 
generally supportive of the idea that longitudinal data is more 
valuable and beneficial than current point-in-time data for evaluating 
child outcomes. However, several commenters to both the 2008 NPRM and 
the 2010 FR Notice expressed concerns with implementing a longitudinal 
methodology for AFCARS with existing data systems and resources. 
Specific concerns included that some title IV-E agencies' data systems 
do not fully support longitudinal information for children placed in 
non-foster care settings who are never placed in foster care, the 
impact of the new historical AFCARS data set on current foster care 
metrics (e.g., placement stability, foster care episode duration and 
the title IV-E penetration rate) and whether and/or how adjustments 
will be made to account for new rules in trend analysis and a general 
concern for the quality of the historical data. Commenters to the 2008 
NPRM also requested clarification and technical assistance on the 
logistics surrounding the submission of a historical data file and 
making the substantial system changes and adjustments that title IV-E 
agencies will need to make in order to comply with the revised AFCARS 
rules.
    We recognized the concerns expressed by the commenters to both the 
2008 NPRM and the 2010 FR Notice and used them to modify and clarify 
our proposal for longitudinal data analysis in this NPRM. We believe 
there is substantial support for our proposal, which also was 
reinforced by some commenters acknowledging that their title IV-E 
agencies have collected longitudinal data on children in foster care 
for many years and have used the longitudinal data to conduct complex 
analysis on their foster care populations. Since the publication of the 
2008 NPRM, several State title IV-E agencies have implemented a 
comprehensive case management information system that supports the 
collection and storage of all information relevant to a child's out-of-
home care experience. Additionally, enhancements in the title IV-E 
agency's case management system to support new data collection 
requirements may be eligible for SACWIS development funding. We have 
been and will continue to work with Tribal title IV-E agencies as they 
develop information systems that will be used to support their title 
IV-E program and to meet the data collection requirements of AFCARS. We 
believe the anticipated benefits of obtaining longitudinal data are 
vast and include the elimination of information gaps that exist in the 
current AFCARS data, which raise questions about the child's 
experiences and make the data more difficult to analyze, better 
information for the CFSRs or other Federal monitoring efforts and the 
building of our ability to conduct sophisticated analysis on a child's 
or groups of children's experience in foster care. Thus, based on the 
supportive comments to both the 2008 NPRM and the 2010 FR Notice and 
the anticipated benefits, we continue to propose restructuring AFCARS 
in order to support longitudinal data analysis by capturing more 
comprehensive information on the experiences of children who are placed 
in foster care.

[[Page 7137]]

AFCARS Data Files

    As in the 2008 NPRM, we propose to eliminate a number of features 
in the AFCARS regulation that are no longer useful to us or the title 
IV-E agencies. We propose to dispose of the requirement for title IV-E 
agencies to report summary foster care and adoption data files and to 
merge the information on adoptions into the out-of-home care data file. 
Currently, title IV-E agencies must submit four data files (see 
appendices A and B to part 1355) a foster care data file with 
information on all children in foster care under the responsibility of 
the title IV-E agency or another public agency with an agreement with 
the title IV-E agency, an adoption data file with information on all 
children adopted during the report period in whose adoption the title 
IV-E agency had some involvement and two summary data files in which 
the title IV-E agency indicates aggregate numbers of foster care 
records and adoption records and the age distribution of the children 
in each of those records. Summary data files are no longer necessary 
due to advances in technology that better verify the completeness of 
data submissions; commenters to the 2008 NPRM were appreciative and 
supportive of this proposal.
    Our proposal continues the 2008 NPRM proposal of including most of 
the information from the existing foster care and adoption data file in 
one data file, called the out-of-home care data file, as well as adding 
a new data file, called the title IV-E adoption and guardianship 
assistance data file, to report information on children who are in a 
finalized adoption or legal guardianship under a title IV-E adoption or 
guardianship assistance agreement and on the agreement itself. Our 
current proposal for the title IV-E adoption and guardianship 
assistance data file differs slightly from the 2008 NPRM where we 
proposed to collect information on the adoption assistance agreement 
(both title IV-E and State funded) and a guardianship subsidy (State 
and title IV-E funded, if the State had an approved demonstration 
waiver). We did not receive substantive comments in response to the 
2008 NPRM on this proposal. Generally, we propose in this NPRM to 
collect the same information, if applicable, on adoptions and legal 
guardianships. The new data file structure will most likely eliminate 
the need to resubmit prior data files since the out-of-home care data 
file will now include historical information on the child's current and 
prior removals and out-of-home care episodes; any identified data 
corrections may occur either in the title IV-E agency's corrective data 
file (described in section 1355.45) or in the data file due at the next 
regular six-month report period.
    We also continue our proposal to remove information on technical 
submission requirements from the regulation. These major changes we 
propose to make to AFCARS will reduce the burden associated with 
submitting two additional data files, will provide a logical flow of 
data for the child's entire out-of-home care episode in one file and 
will provide the title IV-E agencies and us with flexibility to keep 
the pace with newer technology. These changes, along with all other 
features of the proposed database, are detailed in the section-by-
section discussion found later in this preamble.

Reporting Populations

    This NPRM proposal is very similar, for the most part, to current 
AFCARS practice regarding reporting populations. We propose that the 
out-of-home care reporting population include a child of any age who is 
placed in foster care as defined at 45 CFR 1355.20 or a child who has 
run away or whose whereabouts are unknown at the time the child is 
placed under the placement and care responsibility of the title IV-E 
agency. The out-of-home care reporting population continues to include 
a child who is under the placement and care responsibility of another 
public agency that has an agreement with the title IV-E agency pursuant 
to section 472(a)(2)(B) of the Act, or an Indian Tribe, Tribal 
organization or consortium with which the title IV-E agency has an 
agreement or contract and on whose behalf title IV-E foster care 
maintenance payments are made.
    Based on the comments we received in response to the 2008 NPRM, we 
propose an out-of-home care reporting population that is closer to the 
current AFCARS foster care reporting population than to that proposed 
in the 2008 NPRM. In the 2008 NPRM we proposed an expanded out-of-home 
care reporting population that would have included every child under 
the State's age of majority placed away from his or her parents or 
legal guardians for 24 hours or more for whom the title IV-E agency has 
placement and care responsibility regardless of the child's living 
arrangement, including a child whose only placement was in a non-foster 
care setting such as a detention facility, hospital or jail. In the 
2008 NPRM, we proposed that a child who returns home while still in the 
title IV-E agency's placement and care responsibility no longer be 
included in the AFCARS out-of-home care reporting population and the 
child would be reported as having exited from out-of-home care. We now 
propose that the child remain in the out-of-home care reporting 
population until the title IV-E agency no longer has placement and care 
responsibility; i.e., a child remains in the out-of-home care reporting 
population through the end of the report period in which the title IV-E 
agency's placement and care responsibility ends.
    We propose that the adoption and guardianship assistance reporting 
population include any child who is in a finalized adoption under a 
title IV-E adoption assistance agreement with the title IV-E agency 
pursuant to section 473(a) of the Act and any child who is in a legal 
guardianship under a title IV-E guardianship assistance agreement with 
the title IV-E agency pursuant to section 473(d) of the Act. A child 
remains in the title IV-E adoption and guardianship assistance 
reporting population through the end of the report period in which the 
agreement ends or is terminated.
    As previously noted, we propose that the AFCARS data file no longer 
include an adoption data file. The existing AFCARS adoption data file 
not only includes information on children who were adopted from foster 
care, but also those who were adopted through a private agency and in 
whose adoption the title IV-E agency had any involvement. We proposed 
in the 2008 NPRM that the title IV-E agency report in the out-of-home 
care data file additional information on children exiting out-of-home 
care to a finalized adoption. We also proposed that the title IV-E 
agency report in the adoption and guardianship assistance file 
information on children who were adopted from a private agency on whose 
behalf the title IV-E agency is paying an adoption subsidy or providing 
services. Our current proposal for the adoption and guardianship 
assistance reporting population differs from the adoption assistance 
and guardianship subsidy reporting population proposed in the 2008 NPRM 
which would have included any child under a title IV-E or State 
adoption assistance agreement in effect during the report period, 
including children in pre-adoptive homes and any child under a 
subsidized guardianship agreement supported by State and/or title IV-E 
funds, if the State had an approved demonstration waiver.
    We modified our proposal for both the out-of-home care reporting 
population and the adoption and guardianship

[[Page 7138]]

assistance reporting population due to the many comments and feedback 
we received in response to the 2008 NPRM proposal and 2010 FR Notice. 
Commenters were generally concerned that title IV-E agencies would be 
held accountable for the timeliness and accuracy of AFCARS information 
on children that had to be gathered from various sources outside of the 
title IV-E agency's control (e.g., juvenile justice agencies). 
Commenters also were concerned regarding our proposal to exclude from 
the reporting population children placed at home, stating that 
excluding these children would require changes to systems related to 
title IV-E determinations and funding, would create disincentives to 
responsive child welfare practices, would erroneously inflate the 
actual number of foster care entries and exits of a child and would not 
be reflective of many States' mandates to consider such children as in 
foster care. In addition, ACF is required under section 479(c)(3) of 
the Act to capture information on adopted children, including 
demographics and information on the child and child's adoptive parents. 
While there is no statutory mandate to collect similar information on 
children who have achieved permanency through legal guardianship, we 
propose to collect the same information on these children and their 
legal guardian(s) because we have the same need for information on 
children who are supported by title IV-E funding, per section 473(d) of 
the Act. We believe that our current proposal for the out-of-home care 
reporting population and the adoption and guardianship assistance 
reporting population will address the issues expressed by the 
commenters.

Capturing Greater Detail

    We propose to add and clarify the type of case-level information 
collected on children who enter foster care and children who are under 
a title IV-E adoption or guardianship assistance agreement. These 
changes are designed to permit enhanced analyses of the factors that 
may affect a child's permanency and to incorporate data elements that 
capture the provisions of Public Law 110-351. The changes include:
     Revised data elements designed to better capture the 
circumstances affecting the child and family at the time of removal;
     Revised data elements to better describe the child's 
environment at removal and the location and type of living arrangements 
in which children are placed by the title IV-E agency;
     New data elements on caseworker visits with children in 
foster care;
     New data elements that allow us to identify minor parents 
who have their children with them in foster care, sibling groups and 
whether or not siblings are placed together;
     Revised data elements that enhance our understanding of 
permanency planning for children in foster care, including new data 
elements that identify why a child's permanency plan changes, the 
child's concurrent permanency plans and the child's transition plan;
     New data elements that inform us about the child's well-
being, including the child's educational level, educational stability 
and involvement with special education, as well as clarified data 
elements on the child's health, behavioral and mental health 
conditions;
     Revised data elements that enhance our understanding of 
prior adoptions and legal guardianships, as well as the child's exit to 
a new adoption or legal guardianship; and,
     Revised and new data elements designed to capture the 
number and characteristics of children who are in finalized adoptions 
and legal guardianships under title IV-E adoption and guardianship 
assistance agreements as well as information in the child's title IV-E 
adoption or guardianship assistance agreement, including the amount of 
the subsidy and nonrecurring costs.
    We received many supportive comments in response to both the 2008 
NPRM and 2010 FR Notice on our proposal to capture greater detail on 
children who enter foster care and children who are under a title IV-E 
adoption or guardianship assistance agreement. Some commenters in 
response to the 2008 NPRM requested that we clarify our proposal for a 
number of data elements and we have made every effort to address those 
requests. We explain how individual comments factored into each data 
element in the section-by-section discussion of the NPRM found later in 
this preamble.

Improving Data Quality

    As in our 2008 NPRM, we propose to improve AFCARS data quality in 
several ways. First, we propose to clarify and modify many existing 
data element descriptions that stakeholders and commenters to the 2008 
NPRM and 2010 FR Notice informed us were problematic. Second, we 
propose to strengthen our assessment and identification of errors 
within a title IV-E agency's data file through cross-file checks to 
identify defaults and other faulty programming that result in skewed 
data across a title IV-E agency's entire data file, increased internal 
consistency checks to validate the logical relationship between data 
elements, and modified requirements for missing data and invalid data 
within a data file. Finally, we propose to implement penalties 
consistent with section 474(f) of the Act for title IV-E agencies that 
do not meet our data file and data quality standards for AFCARS.

Burden

    Commenters in response to the 2008 NPRM proposal and the 2010 FR 
Notice expressed some concern over the burden associated with 
reprogramming their information systems to collect and report 
additional data elements. Many of the commenters in response to the 
2008 NPRM and 2010 FR Notice raised concerns about the ambiguity of the 
definitions for the data elements and the value of the additional data 
elements. We are cognizant of the potential burden associated with 
requiring title IV-E agencies to submit additional information to 
AFCARS, and of the requirement in section 479(c)(1) of the Act that 
instructs that AFCARS ``avoid unnecessary diversion of resources from 
agencies responsible for adoption and foster care.'' We recognize that 
regardless of the amount and type of information that will be in the 
final rule, the title IV-E agencies will have to write new extraction 
routines to report the AFCARS data. Throughout the process of drafting 
this proposed rule, we considered the burden of inputting the 
information and programming that may be associated with the addition of 
each new data element and we critically weighed the advantages of each 
data element proposed here against the potential increased burden to 
title IV-E agencies. We tried, as we did in the 2008 NPRM, to ask for 
information that caseworkers collect as part of their normal work 
duties and that is already collected in the majority of State title IV-
E agency information systems. We recognize that Tribal title IV-E 
agencies have not collected this data previously but we have been 
providing support to Tribal title IV-E agencies as they consider 
developing an information system that will meet their needs. We will 
continue to provide intensive technical assistance to both State and 
Tribal title IV-E agencies once the final rule for AFCARS is published.
    In response to the comments we received from both the 2008 NPRM and 
2010 FR Notice, we did not include a number of data elements that we 
proposed in the 2008 NPRM, namely

[[Page 7139]]

data elements regarding family record numbers; child and family 
circumstances at the initial permanency plan, annually and at exit; 
information on the language of the child and foster parent(s); the 
marital status of the mother at birth and the biological parents at 
removal; and specific information about the people whom the child was 
living with at removal. Additionally, we propose to remove the 
requirement for title IV-E agencies to submit summary data files and 
combine or remove data elements that capture duplicative information.

Compliance and Penalties

    We propose to define the standards and manner by which we assess 
and determine compliance on each data file submitted by the title IV-E 
agency, permit the opportunity for corrective action by the title IV-E 
agency and if necessary, assess a penalty for the title IV-E agency's 
continued noncompliance with AFCARS requirements. We propose to apply 
compliance standards to both the out-of-home care data file and the 
adoption and guardianship assistance data file, with exceptions for 
optional provisions of title IV-E. Specifically, we do not propose to 
apply the compliance standards to children in either data file who are 
age 18 or older and/or children in the adoption and guardianship 
assistance data file who are in a legal guardianship under a title IV-E 
guardianship assistance agreement. For the remaining children in each 
reporting population, we propose to assess each data file for errors 
such as missing, invalid or internally inconsistent data, cross-file 
errors and tardy transactions. The title IV-E agency must submit each 
data file to ACF on or before the reporting deadline, in the proper 
format and free of cross-file errors.
    We propose to implement penalties for title IV-E agencies that do 
not meet our data compliance and data quality standards. We propose 
that the pool of funds that are subject to a penalty for noncompliance 
be the title IV-E agency's claims for title IV-E foster care 
administrative costs (including training) for the quarter in which each 
original data file is due (as opposed to the corrected data file), 
consistent with section 474(f) of the Act and the 2008 NPRM proposal.
    Many commenters in response to the 2008 NPRM proposal and 2010 FR 
Notice requested tolerance for errors related to the collection and 
reporting of demographic data elements due to concerns about meeting 
compliance standards for these elements. Many commenters to both the 
2008 NPRM and 2010 FR Notice also expressed concern with the proposed 
penalty structure. Some commenters requested that we provide incentives 
in addition to or in lieu of penalties, vary penalties by degrees of 
non-compliance and phase-in or delay the implementation of penalties. 
We believe that the compliance standards and penalty structure we are 
proposing will ultimately increase the quality of the data that is 
collected and reported by title IV-E agencies.
    Implementation of changes to AFCARS described in this NPRM will be 
dependent on the issuance of a final rule. We expect provisions in an 
eventual final rule to be effective no sooner than the start of the 
second Federal fiscal year following the publication of the final rule. 
A precise effective date will be dependent on the publication date of 
the final rule, but this construct provides title IV-E agencies with at 
least one full year, and possibly longer, before we will require them 
to begin collecting and reporting new AFCARS data. We welcome public 
comments on specific provisions included in this proposed rule that may 
warrant a longer phase-in period and will take these comments into 
consideration when developing the final rule.

V. Section-by-Section Discussion of NPRM

Section 1355.40 Scope of the Adoption and Foster Care Analysis and 
Reporting System

    In section 1355.40, we propose to revise the statement of scope for 
AFCARS. The proposed scope statement explains which entities must 
report data to ACF and what data those entities must report.
Section 1355.40(a)
    In paragraph (a), we propose that all title IV-E agencies collect 
and report AFCARS data to ACF. This is consistent with our legislative 
authority in section 479 of the Act. Currently, all States, the 
District of Columbia and Puerto Rico operate title IV-B and IV-E 
programs. As a result of Public Law 110-351, Indian Tribes, Tribal 
organizations or consortia can now administer title IV-E programs 
directly and those that do so are required to collect and report AFCARS 
data.
Section 1355.40(b)
    In paragraph (b), we propose to revise the general parameters for 
collecting and reporting AFCARS data. We propose that a title IV-E 
agency collect and submit to us information for the reporting 
populations proposed in new section 1355.41 and that the information 
must be submitted to us on a semi-annual basis in an out-of-home care 
data file and an adoption and guardianship assistance data file as 
required in proposed new section 1355.42. This information includes a 
child's demographics and characteristics, removal, living arrangements 
and experiences in out-of-home care, as well as the nature of finalized 
title IV-E adoptions and guardianships and information on title IV-E 
adoption and guardianship assistance agreements.
    Current AFCARS regulations require title IV-E agencies to report 
data in the foster care data file on a child's demographics, most 
recent removal and circumstances of that removal, current placement 
settings, permanency goals and Federal assistance. In the current 
AFCARS adoption data file, we collect information on a child's 
demographic information, special needs status, birth and adoptive 
parent(s), placement information and adoption support. While we propose 
to continue to require reporting of some of the same data that is 
currently collected in the foster care and adoption data files in the 
out-of-home care data file, we now propose requiring a title IV-E 
agency to report information on legal guardianship and other topics, as 
detailed below.
    In the 2008 NPRM we proposed to expand the scope of certain 
information title IV-E agencies must report in the out-of-home care 
data file to include a child's entire historical and current experience 
in out-of-home care in order to establish a more comprehensive and 
longitudinal database. Because comments on the 2008 NPRM and the 2010 
FR Notice were generally supportive of the move to a longitudinal 
database and because the existing data does not meet our program needs, 
we again propose to expand the scope of information. As in the 2008 
NPRM, we propose to collect information on education, concurrent 
planning and demographic information on a child's adoptive parents in 
the out-of-home care data file. For the first time, we propose to 
collect information on caseworker visits. We also propose to collect 
information on a child's adoption assistance agreement in the adoption 
and guardianship assistance data file, as in the 2008 NPRM. However, 
because we have the same need for information on children supported by 
title IV-E guardianship assistance program, we also propose to collect 
equivalent information on a child's title IV-E guardianship assistance 
agreement.

[[Page 7140]]

Section 1355.41 Reporting Populations

    In new section 1355.41, we propose the reporting populations for 
the AFCARS out-of-home care and adoption and guardianship assistance 
data files. The definition of each reporting population describes which 
children the title IV-E agency is required to collect and report 
information on in each respective data file.
Section 1355.41(a) Out-of-Home Care Reporting Population
    In paragraph (a), we explain our proposed out-of-home care 
reporting population. A child who enters the out-of-home care reporting 
population continues in the population until placement and care 
responsibility ends.
    In paragraph (a)(1), we propose at what point a child enters the 
out-of-home care reporting population. We also propose that the title 
IV-E agency must report data as described in section 1355.43 on each 
child for whom the title IV-E agency has placement and care 
responsibility and who meets one of the conditions in paragraphs 
(a)(1)(i) through (a)(1)(iii) .
    In paragraphs (a)(1)(i) through (a)(1)(iii), we further clarify the 
out-of-home care reporting population.
    In paragraph (a)(1)(i), we specify that the child enters the out-
of-home care reporting population if he or she is in foster care as 
defined in section 1355.20, which defines foster care as 24-hour 
substitute care for any child placed away from his or her parent(s) or 
guardian(s) and for whom the title IV-E agency has placement and care 
responsibility. This includes instances when a child has been placed in 
a foster care setting following placement in a non-foster care setting.
    In paragraph (a)(1)(ii), we specify that the out-of-home care 
reporting population includes any child who is under the placement and 
care responsibility of another public agency that has an agreement 
under section 472(a)(2)(B) of the Act, or an Indian Tribe, Tribal 
organization or consortium that has a contract or agreement, with the 
title IV-E agency to pay title IV-E foster care maintenance payments on 
the child's behalf.
    In paragraph (a)(1)(iii), we specify that a child enters the out-
of-home care reporting population if he or she has run away or his or 
her whereabouts are unknown at the time that the title IV-E agency 
receives placement and care responsibility for the child.
    The proposal for paragraphs (a)(1)(i) and (a)(1)(iii) differ from 
both current AFCARS foster care reporting population and the out-of-
home care reporting population proposed in the 2008 NPRM. The foster 
care reporting population in existing AFCARS regulations includes all 
children who are in foster care for more than 24 hours under the 
responsibility of the State agency administering or supervising the 
administration of the title IV-B Child and Family Services Plan (CFSP) 
and the State title IV-E plan, that is, all children who are required 
to be provided the assurances in section 422(b)(10) of the Act. The 
existing AFCARS foster care reporting population includes children at 
the time they enter foster care as defined in 45 CFR 1355.20. In the 
2008 NPRM, we proposed a new and expanded out-of-home care reporting 
population to include every child under the State's age of majority 
placed away from his or her parent(s) or legal guardian(s) for 24 hours 
or more for whom the State title IV-E agency had placement and care 
responsibility regardless of the child's living arrangement. This 
included a child whose only placement while under the placement and 
care responsibility of the title IV-E agency was in a non-foster care 
setting such as a detention facility, hospital or jail. Many commenters 
to the 2008 NPRM proposal felt the definition was too broad. States 
were particularly concerned about the burden of having to gather data 
from other State systems that serve a child in a juvenile justice, 
mental health or hospital setting. Commenters to the 2010 FR Notice 
expressed similar concerns about data collection and staff burden. We 
considered the comments to both the 2008 NPRM and the 2010 FR Notice 
and modified the out-of-home care reporting population definition in 
proposed section 1355.41(a)(1) to address these concerns. This proposal 
is similar to the foster care reporting population in the existing 
AFCARS in that those children whose only placement is a non-foster care 
setting (e.g., juvenile justice, mental health or hospital facility) 
would not be part of the out-of-home care reporting population. 
Additionally, those children who are placed initially in a non-foster 
care setting and then enter foster care as defined in 45 CFR 1355.20 
are considered to be removed as of the start date of the child's 
placement into foster care.
    The proposal for paragraph (a)(1)(ii) is similar to the existing 
AFCARS regulations that define the foster care reporting population 
(Appendix A to part 1355, section II). All title IV-E agencies can 
enter into agreements/contracts with Indian Tribes, Tribal 
organizations or consortia and agreements with separate public agencies 
such as juvenile justice or mental health agencies in order to claim 
title IV-E on behalf of title IV-E eligible children. These other 
public or Tribal entities with which the title IV-E agency has an 
agreement do not submit information on children in the reporting 
population to ACF separately from the title IV-E agency. Rather, 
information on children under the placement and care responsibility of 
an agency that has an agreement with the title IV-E agency must be a 
part of the title IV-E agency's AFCARS data submission.
    In existing AFCARS policy, the title IV-E agency is required to 
report on all children up to the State's age of majority and a child of 
any age that is eligible for and receiving a title IV-E payment. We 
propose to modify the AFCARS reporting population to include a child of 
any age for whom the title IV-E agency has placement and care 
responsibility when such a child has been placed in foster care in 
accordance with the regulatory definition of foster care in section 
1355.20. We propose to include a child of any age in the out-of-home 
care reporting population to be consistent with the changes in Federal 
law per the enactment of Public Law 110-351, which amended section 
475(8)(B) of the Act. Section 475(8)(B) now provides the option for 
title IV-E agencies to adopt a definition of ``child'' for the title 
IV-E foster care program that allows title IV-E reimbursement for an 
eligible child up to age 21 who meets certain education and employment 
conditions. We propose the out-of-home care reporting population to 
include a child of any age that meets the conditions in paragraphs 
1355.41(a)(1)(i) through (a)(1)(iii) whether or not the child receives 
a payment that is federally subsidized because this will allow us to 
establish a more comprehensive and longitudinal national database on 
all children in out-of-home care.
    We modified the out-of-home care reporting population from the 
existing AFCARS regulation by including those children for whom the 
title IV-E agency has placement and care responsibility but who have 
runaway or whose whereabouts are unknown at the time that the title IV-
E agency receives placement and care responsibility for the child. We 
propose this modification to update the regulation to incorporate 
current AFCARS practice regarding a child who has runaway or whose 
whereabouts are unknown.
    As we did in the 2008 NPRM, we want to clarify that the proposed 
out-of-home care reporting population does not include children who are 
under the

[[Page 7141]]

title IV-E agency's ``supervision'' authority, unlike the current 
regulation. We found the reference to ``supervision'' problematic 
because we never defined the term ``supervision'' further in AFCARS 
regulations or policy. We have received questions about whether the 
existing AFCARS foster care reporting population includes children in a 
variety of settings for whom the title IV-E agency has only a legal 
duty to supervise with no concurrent placement and care responsibility. 
To be clear, children who are receiving only services in the homes of 
their parent(s) or legal guardian(s) and children who may be placed 
away from their parent(s) or legal guardian(s) but for whom the title 
IV-E agency has no placement and care responsibility (e.g., placed in a 
juvenile justice or mental health facility) are not a part of the 
proposed AFCARS out-of-home care reporting population.
    In paragraph (a)(2), we clarify that once a child enters the out-
of-home care reporting population he or she remains in the out-of-home 
care reporting population through the end of the report period in which 
the title IV-E agency's placement and care responsibility ends, 
regardless of any subsequent living arrangement while in out-of-home 
care. For example, we propose to continue including in the out-of-home 
care reporting population a child who moves from a placement in a 
foster care setting to a non-foster care setting such as a detention 
facility, hospital or jail. We also propose to include in the out-of-
home care reporting population a child whose whereabouts are unknown or 
a child who runs away, a child who has returned home and is placed with 
his or her parent(s) or legal guardian(s) under the continued placement 
and care responsibility of the title IV-E agency, or, a child age 18 or 
older who is living independently. In these situations, the child 
remains under the title IV-E agency's placement and care responsibility 
and therefore these children must be included in the out-of-home care 
reporting population.
    We propose to require the title IV-E agency to continue to report 
information on all of a child's placements once he or she enters the 
out-of-home care reporting population including various out-of-home 
care placement settings that are outside of the definition of foster 
care. Including a child's placement in non-foster care settings such as 
a detention facility, hospital or jail will permit title IV-E agencies 
and ACF to complete longitudinal analyses of a child's total out-of-
home care experience, as advocated by States and others in the field.
    In the 2008 NPRM, we proposed to discontinue reporting AFCARS data 
for a child who is returned home to his or her parent(s) or legal 
guardian(s), and considered such a child to have exited the out-of-home 
care reporting population even if the child remained under the 
placement and care responsibility of the title IV-E agency. This 
proposal was a reversal from current AFCARS requirements which indicate 
that a child placed at home with his or her parent(s) or legal 
guardian(s) may be included in the foster care reporting population, 
but would be considered discharged for AFCARS purposes automatically 
after six months. Some commenters to the 2008 NPRM opposed our proposal 
and many felt strongly that children who are placed at home under the 
placement and care responsibility of the title IV-E agency should 
remain in the out-of-home care reporting population, as they felt that 
considering a placement at home as a discharge would artificially 
inflate the rate of foster care re-entry if the child moved to a foster 
care setting after the placement at home. After considering these 
comments, we agree that we want to collect data on all children once 
they have entered the out-of-home care reporting population until the 
title IV-E agency's placement and care responsibility ends. Therefore, 
we propose that any child who enters the out-of-home care reporting 
population remain in the out-of-home care reporting population until 
the title IV-E agency's placement and care responsibility for the child 
ends.
    In paragraph (a)(3), we propose that for AFCARS purposes, an out-
of-home care episode is defined as the period between a child's entry 
into the out-of-home care reporting population and the date the title 
IV-E agency's placement and care responsibility ends. If the title IV-E 
agency returns the child home to live permanently with his or her 
parents or legal guardians and placement and care responsibility ends, 
the child exits the out-of-home care reporting population.
    The existing AFCARS regulations consider a child to have exited 
foster care when he or she is legally discharged from the title IV-E 
agency's placement and care responsibility. The child exits the foster 
care reporting population for AFCARS purposes and completes an out-of-
home care episode in these circumstances. Our current proposal differs 
from the existing AFCARS regulation and the 2008 NPRM proposal, which 
proposed that the title IV-E agency discontinue reporting a child to 
AFCARS if the child is placed at home with his or her parents, even if 
the child remains under the placement and care responsibility of the 
title IV-E agency. Many States over the years have highlighted the need 
for more definitive guidance on when the child should be considered to 
have exited the AFCARS foster care reporting population so we are 
proposing the end of the placement and care responsibility as the point 
at which a child exits the out-of-home care reporting population.
Section 1355.41(b) Adoption and Guardianship Assistance Reporting 
Population
    In paragraph (b), we explain our proposed reporting population for 
the adoption and guardianship assistance data file.
    In paragraph (b)(1) we propose that the title IV-E agency must 
report data as described in section 1355.44 on each child who meets one 
of the conditions in the paragraphs (b)(1)(i) or (b)(1)(ii).
    In paragraph (b)(1)(i), we propose to require the title IV-E agency 
to report information required by section 1355.44 on any child for whom 
there is a finalized adoption under a title IV-E adoption assistance 
agreement (per section 473(a) of the Act) with the reporting title IV-E 
agency that is or was in effect at some point during the report period. 
The existing AFCARS regulation does not include an adoption and 
guardianship assistance data file. In the existing AFCARS regulation, 
title IV-E agencies report in the adoption file on any child adopted in 
the State during the report period, in whose adoption the title IV-E 
agency had any involvement. Our current proposal differs from the 
reporting population for the existing AFCARS adoption data file and the 
reporting population proposed in the 2008 NPRM for the adoption and 
guardianship subsidy data file. In the 2008 NPRM we proposed that title 
IV-E agencies report on any child with a title IV-E adoption assistance 
agreement or a State adoption assistance agreement in effect during the 
report period, including children in pre-adoptive homes. Unlike the 
2008 NPRM, we do not propose to include a child in a pre-adoptive 
living arrangement in the adoption and guardianship assistance 
reporting population.
    We received comments to the 2008 NPRM and 2010 FR Notice suggesting 
concern about barriers to obtaining ongoing information about a child 
post-adoption. States were particularly concerned about intrusiveness, 
inability and lack of authority to gather this data. To address some of 
these comments, and in an effort to eliminate duplicate information in 
the AFCARS files in paragraph (b)(1), we now propose to

[[Page 7142]]

limit the reporting population of the adoption and guardianship 
assistance data file to include only those children with finalized 
adoptions who are under title IV-E adoption assistance agreements. We 
propose to collect this information to supplement, rather than 
duplicate, data collected upon exit to adoption in proposed section 
1355.43(h). Further, we only are collecting ongoing information on 
children under title IV-E adoption assistance agreements to remain 
within the scope of AFCARS described in section 1355.40. Information 
collected will be limited to basic demographic information on the 
adopted child, as well as information regarding the title IV-E adoption 
arrangement and assistance agreement in effect during the report 
period. Several State responders to the 2010 FR Notice commented that 
title IV-E agencies should not have to collect data on finalized 
adoptions. However, we cannot make this change as we are statutorily 
required, per section 479(c)(3) of the Act, to capture information on 
adopted children, including demographics and information about the 
child's title IV-E adoption from the assistance agreement. We 
anticipate that collecting this information will not increase burden 
significantly, as the child's demographic data and basic information 
related to the title IV-E agreement should not change between report 
periods and will not require updating by caseworkers. Similarly, 
information about updates to IV-E adoption and guardianship assistance 
payments should already be captured elsewhere in the title IV-E 
information system and should not require manual updates.
    We are not proposing to include information on a child in a pre-
adoptive placement in this data file, although he or she may have a 
title IV-E agreement and receive title IV-E adoption assistance before 
the adoption finalization. This information continues to be collected 
in the out-of-home care data file and the title IV-E agency must report 
information on the child's pre-adoptive living arrangement in proposed 
section 1355.43(e).
    We propose to include a child in a finalized adoption under a title 
IV-E adoption assistance agreement in the adoption and guardianship 
assistance reporting population regardless of whether a financial 
subsidy is paid on the child's behalf. For example, a title IV-E agency 
would include in this reporting population a child with a finalized 
adoption under a title IV-E adoption assistance agreement that contains 
a subsidy amount of $0, for the purposes of receiving only Medicaid 
assistance.
    With the increased activity in adoption and the corresponding 
outlays for the program, there has been an increase in requests for 
information from Congress, States, the media and other sources, 
regarding the population of adopted children receiving title IV-E 
assistance. In addition, section 479(c) of the Act mandates that we 
collect information on the extent and nature of assistance provided by 
Federal adoption programs and the characteristics of the child with 
respect to whom such assistance is provided. Although we propose for a 
title IV-E agency to report only children with finalized adoptions 
under title IV-E agreements in the adoption and guardianship assistance 
data file, we believe that the information proposed here in conjunction 
with the information proposed in paragraphs 1355.43(e) through (h) of 
the out-of-home care data file may present a more comprehensive picture 
of adoptions supported through the title IV-E program.
    In paragraph (b)(1)(ii), we propose to collect the information in 
section 1355.44 on any child in a legal guardianship who is under a 
title IV-E guardianship assistance agreement, pursuant to section 
473(d) of the Act, with the reporting title IV-E agency that is or was 
in effect at some point during the current report period. Information 
on each child adopted with the involvement of the title IV-E agency is 
currently reported to AFCARS, but no information is collected regarding 
children in legal guardianships. In the 2008 NPRM we proposed to 
collect limited information on any child on whose behalf a guardianship 
assistance payment was made pursuant to a title IV-E or State 
assistance agreement with the title IV-E agency. At the time the 2008 
NPRM was published, the only subsidized guardianships under title IV-E 
were those in States with demonstration waivers.
    We propose to collect information on any child in a legal 
guardianship receiving title IV-E guardianship assistance to gather 
data on children supported through the title IV-E guardianship 
assistance program established via changes to section 473(d) of the Act 
made by Public Law 110-351 in October 2008. To date, 31 title IV-E 
agencies have applied to participate in the title IV-E guardianship 
assistance program and additional title IV-E agencies may do so in the 
future. Comments to the 2008 NPRM, which pre-dated title IV-E authority 
for title IV-E guardianship assistance payments, were mixed regarding 
the proposal to collect information about children in legal 
guardianships on an ongoing basis. Some commenters believed this 
information was among the most helpful enhancements proposed for AFCARS 
while others had concerns about intrusion into the lives of 
guardianship families and the agency's ability to collect accurate data 
on these families. We received similar comments to the 2010 FR Notice 
from several States opposed to collecting data on legal guardianships. 
States were particularly concerned about intrusiveness, inability and 
lack of authority to gather the data. To address some of these 
concerns, we modified our proposal in paragraph (b)(2) to limit the 
adoption and guardianship assistance reporting population to only those 
children who are in a legal guardianship under a title IV-E 
guardianship assistance agreement, rather than all children receiving 
State or Federal guardianship assistance. In addition, we propose to 
collect only basic demographic information and information readily 
accessible regarding the child's title IV-E guardianship arrangement 
and assistance agreement in effect during the report period. As such, 
there is minimal intrusion on the legal guardian(s), if any, and the 
title IV-E agency has ready access to the information requested via the 
title IV-E guardianship assistance agreement.
    While there is no statutory mandate to collect information for 
children who have achieved permanency through legal guardianship, 
unlike that for adoption, we propose to collect this limited 
information because we have the same need for information on children 
supported by title IV-E funding, per section 473(d) of the Act as we do 
for adopted children. Title IV-E agencies are currently required to 
collect and report financial information for children under title IV-E 
guardianship assistance agreements per Form CB-496, in the same manner 
that title IV-E agencies are to report information on children under 
title IV-E adoption assistance agreements. While we receive aggregate 
information on number of guardianships and average subsidy amounts 
through Form CB-496, we propose to collect child-level information on 
guardianships through AFCARS to conduct more nuanced data analysis on 
the characteristics of children under title IV-E guardianship 
assistance agreements.
    Commenters to the 2008 NPRM also expressed concern with using the 
term ``legal guardian'' because States may use different terms in 
practice. This is no longer an issue since the guardianship

[[Page 7143]]

assistance data file is comprised of children under a relative legal 
guardianship per section 473(d) of the Act and the statute defines the 
term ``legal guardianship'' in section 475 of the Act.
    In paragraph (b)(2), we clarify that a child remains in the 
adoption and guardianship assistance reporting population through the 
end of the report period in which the title IV-E agreement ends or is 
terminated. Neither the current AFCARS regulations nor the 2008 NPRM 
proposal include such clarification regarding the circumstances under 
which a child exits the reporting population for this data file. We 
propose to include this information to respond to commenters to the 
2008 NPRM who requested clarification on the circumstances of exit for 
the adoption and guardianship assistance reporting population, and 
length of time title IV-E agencies are required to collect information 
on a child in this reporting population.

Section 1355.42 Data Reporting Requirements

    We propose to add a new section 1355.42 on data reporting 
requirements, including specifying the report periods for the data 
files, general provisions for collecting and submitting the out-of-home 
care and adoption and guardianship assistance data files and record 
retention rules to comply with AFCARS requirements. This section was 
first proposed in the 2008 NPRM.
Section 1355.42(a) Report Periods and Deadlines
    In paragraph (a), we propose that each title IV-E agency submit an 
out-of-home care data file and an adoption and guardianship assistance 
data file to ACF on each child in the reporting populations on a semi-
annual basis. The two six-month report periods are from October 1 to 
March 31 and from April 1 to September 30 of each Federal fiscal year. 
These report periods are the same as in the existing AFCARS, and also 
were proposed in the 2008 NPRM.
    In consultations held prior to the publication of the 2008 NPRM, 
there were several suggestions that we consider moving to annual, or 
even less frequent reporting, rather than semi-annual reporting of 
AFCARS data. Specifically, in the consultations held prior to the 2008 
NPRM, commenters were concerned that ACF would be unable to compile an 
annual data file from two semi-annual submissions for the purposes of 
the current CFSRs and the annual outcomes report to Congress. However, 
we can assure title IV-E agencies that our software currently allows us 
to create an annual data file for these purposes. We also expect that 
the new requirements proposed for using a permanent and encrypted 
person identification number (sections 1355.43(a)(4) and 1355.44(a)(3)) 
will aid both our own and title IV-E agencies' ability to create annual 
data files. ACF explained the rationale for proposing to maintain semi-
annual submissions for AFCARS in greater detail in the preamble of the 
2008 NPRM (73 FR 2088).
    We also propose in paragraph (a) that title IV-E agencies submit 
their data files to us within 30 calendar days of the end of the report 
period. Therefore, a title IV-E agency will be required to submit 
AFCARS data files to ACF every year by April 30 and October 30. If this 
date falls on a weekend, the title IV-E agency must submit the data 
files by the end of the following Monday. This is a change both from 
the current AFCARS, which allows a 45 day period in which agencies are 
required to submit their data files to ACF and from the 2008 NPRM where 
we proposed a 15 day submission deadline. Commenters to the 2008 NPRM 
believed that 15 days was an insufficient amount of time to prepare and 
submit data files. We noted these concerns and extend the proposed 
submission deadline to 30 days. We believe that a 30 day timeframe is 
workable and also will better meet title IV-E agency and Federal needs 
for data for the reasons described below.
    AFCARS data is used extensively in a number of ACF priorities and 
requirements, including the current CFSRs and other monitoring efforts. 
If ACF receives AFCARS data closer to the end of the report period than 
we do now, this data may be available sooner to support analysis, which 
can be used to develop change and/or improvement initiatives. Also, 
because Adoption and Legal Guardianship Incentive funds are tied to how 
well States perform in increasing their rate of adoptions and legal 
guardianships as seen in the AFCARS data (section 473A(c)(2) of the 
Act), receiving this information more quickly can help to prevent 
delays in the awarding of incentive funds to States. The vast 
improvements in automation in the field of child welfare strengthen our 
belief that a title IV-E agency can prepare data files within 30 days. 
Many title IV-E agencies now have the ability to record and verify data 
in a more timely fashion than when the original AFCARS regulation was 
issued in 1993 (58 FR 67924). Finally, we have provided significant 
technical assistance to title IV-E agencies to encourage ongoing 
quality assurance checks on the data recorded in their information 
systems. We believe that title IV-E agencies will be able to meet this 
shorter time frame for submitting data with continued and routine use 
of our data quality utilities.
    Finally, in paragraph (a) we require that title IV-E agencies 
submit their data to us in two separate data files: (1) Out-of-home 
care; (2) adoption and guardianship assistance. Currently, agencies 
must submit four data files (Appendices A and B to 45 CFR 1355): (1) A 
detailed foster care data file with information on all children in 
foster care during the report period; (2) a detailed adoption data file 
with information on all children adopted during the report period in 
whose adoption the title IV-E agency has some involvement; (3) a foster 
care summary data file in which the title IV-E agency indicates the 
total number of foster care records and the age distribution of 
children in those records; and, (4) an adoption summary data file in 
which the title IV-E agency indicates the total number of adoption 
records and the age distribution of the children adopted.
    As in the 2008 NPRM, we propose to eliminate the existing foster 
care and adoption summary data files because they are no longer 
necessary. ACF originally intended to use the summary data files to 
verify the completeness of a title IV-E agencies' data submissions and 
to ensure that the data file was not corrupted during transmission. The 
summary data files also served as a quick count of the number of 
children in foster care and those being adopted. However, because the 
summary data files contain aggregate data, the number of children 
entering, discharged, adopted, served or in care on a specific day 
cannot be determined. Further, we are now able to use new technology 
that is better able to verify the completeness of a data submission 
without requiring the title IV-E agency to generate summary data files. 
Commenters to the 2008 NPRM were appreciative and supportive of the 
deletion of the summary data files.
Section 1355.42(b) Out-of-Home Care Data File
    In paragraph (b), we provide instructions on how the title IV-E 
agency must report information required under the proposed section 
1355.43 for each child in the out-of-home care reporting population, as 
defined in section 1355.41(a).
    Specifically, in paragraph (b)(1), we propose that a title IV-E 
agency submit the most recent information for data elements in the 
General information and Child information sections of the out-of-home 
care data file (paragraphs

[[Page 7144]]

1355.43(a) and (b), respectively). We propose that the title IV-E 
agency report current, point-in-time data for these sections similar to 
the time frame for most existing AFCARS data elements. This information 
is largely demographic in nature, and tends to remain static over a 
six-month report period or even longer, and therefore we have no need 
for the title IV-E agency to report historical information for these 
data elements. For example, the child's date of birth does not change 
over the course of a report period. This proposal is unchanged from 
that included in the 2008 NPRM, and there were no comments specific to 
this proposal.
    In paragraph (b)(2), we propose that a title IV-E agency submit the 
most recent and historical information for most data elements in the 
following sections of the out-of-home care data file Parent or legal 
guardian information, Removal information, Living arrangement and 
provider information, Permanency planning, General exit information and 
Exit to adoption and guardianship information (paragraphs 1355.43(c), 
(d), (e), (f), (g) and (h), respectively). This information is required 
unless the exception in paragraph (b)(3) applies. This means that for 
every data file submission, we seek information on the child's full 
range of experience while in out-of-home care under the title IV-E 
agency's placement and care responsibility as described through the 
reporting of these data elements. This will allow ACF to develop a 
comprehensive picture of a child's full range of experience with 
entries, living arrangements and permanency plans while in the title 
IV-E agency's placement and care responsibility, as well as exits from 
the out-of-home care population. This proposal, which is modified 
slightly from the 2008 NPRM to incorporate data collection on 
caseworker visits and transition plans, differs from how title IV-E 
agencies currently report foster care information under the existing 
AFCARS requirements; a title IV-E agency currently submits certain 
detailed information on the child's current foster care episode and 
current placement setting only as of the last day of the report period.
    We propose that a title IV-E agency submit recent and historical 
information pertaining to termination of parental rights (TPR) 
petitions, TPRs, removals, permanency and transition plans, caseworker 
visits, living arrangements and exits from the out-of-home care 
reporting population every report period rather than requiring updates 
on children who were in out-of-home care previously or who remain in 
out-of-home care from one report period to the next. Part of our goal 
in developing this proposed regulation is to eliminate features of the 
existing AFCARS that result in data collection that lacks detailed 
information about each foster care episode a child experiences. We 
propose to ask title IV-E agencies for historical information, rather 
than to report only on changes in the child's living arrangements, 
permanency plans and entry into or exit from out-of-home care so that 
we have a way to verify that the child's experiences have, in fact, 
remained the same across several report periods. Without longitudinal 
data collection, we are unable to have a comprehensive picture of a 
child's placement history within each out-of-home care episode. We also 
believe that this approach is less burdensome on title IV-E agencies. 
Although sending a child's full history involves submitting more data 
to us than providing an update as children exit and re-enter out-of-
home care and their living arrangements and permanency plans change, we 
believe that submitting a child's history is less complicated and 
therefore requires fewer agency resources than the alternative. In 
other words, sending a child's full history requires the title IV-E 
agency to submit all the information it has on these data elements, 
rather than figure out a way to pull out only the information that has 
changed each report period.
    We believe there will be many benefits to obtaining this 
longitudinal data, including the elimination of the information gaps 
that exist in the current AFCARS data, which raise questions about the 
child's experiences and make the data more difficult to analyze, the 
capability to build upon ACF's ability to conduct sophisticated 
analyses on what happens to a child or groups of children in foster 
care and the ability to better inform the current CFSRs and other 
monitoring efforts, on outcome measures such as time in foster care, 
foster care re-entries and the stability of foster care placements. 
Commenters to the 2008 NPRM and the 2010 FR Notice were largely 
supportive of the shift in the data collection methodology to 
incorporate longitudinal reporting. Although some commenters expressed 
concerns about implementing a longitudinal methodology for AFCARS data 
with existing systems and increasingly limited resources, we believe 
that the potential to have improved data available for Federal 
monitoring efforts and other priorities provides a compelling reason 
for proposing these changes.
    We decided to propose gathering comprehensive data on removals, 
permanency and transition plans and caseworker visits, living 
arrangements and exits after considering whether a more limited 
approach to developing longitudinal data would meet our needs for data 
analysis, as well as those of title IV-E agencies. As described in the 
2008 NPRM, the limited option(s) we considered would require a title 
IV-E agency to submit detailed removal, permanency plan, living 
arrangement and exit information on the child's four most recent out-
of-home care episodes and four most recent living arrangements only. 
This would have captured almost all foster care episodes without 
requiring title IV-E agencies to submit extensive histories on 
children. Similarly, limiting the number of living arrangements that 
title IV-E agencies would report in AFCARS data would minimize the 
burden of this approach.
    Ultimately, we decided that this more narrow approach was not 
sufficient. One problem with a limited longitudinal database was that 
we would have no information on the children who present some of the 
more significant challenges to the child welfare system. Children who 
experience high numbers of multiple living arrangements or frequently 
enter and exit out-of-home care are some of the nation's most 
vulnerable children. Furthermore, these children often require title 
IV-E agencies to expend more of their resources to address their 
problems.
    In paragraph (b)(3), we propose an exception to the requirement for 
title IV-E agencies to report complete historical and current 
information on all out-of-home care episodes for children in the 
reporting population. The exception applies to those children who had 
an out-of-home care episode, as defined in 45 CFR 1355.41(a), prior to 
the effective date of the forthcoming final rule. Specifically, the 
exception applies to: (1) Children who are in out-of-home care on the 
effective date of the final rule who also had a prior out-of-home care 
episode before this date; and (2) children who enter out-of-home care 
after the effective date of the final rule who had a prior out-of-home 
care episode before this date. For such children, we propose that the 
title IV-E agency report the child's Removal dates, Exit dates and Exit 
reasons (paragraphs 1355.43(d)(1), (g)(1) and (g)(3) respectively) for 
each out-of-home care episode that occurred before the effective date 
of the final rule. The exception does not apply to a child's out-of-
home care episode that is open on or begins after the effective date of 
the final rule; for such children we propose that a title IV-E agency 
report

[[Page 7145]]

all information described in paragraphs (b)(1) and (b)(2) during that 
ongoing out-of-home care episode. For example, if the effective date of 
the final rule was June 1, 2011, the title IV-E agency must report 
complete information for a child who was either in the out-of-home care 
reporting population on that date or entered subsequently, but only 
data elements in paragraphs 1355.43(d)(1), (g)(1) and (g)(3) for each 
previous out-of-home care episode that the child had. As time passes 
after the final rule goes into effect, this provision will apply to a 
diminishing number of children who are in the out-of-home care 
reporting population. This exception is the same as that proposed in 
the 2008 NPRM, and the comments in response to this proposal were 
generally supportive.
    We propose this exception to the general rule to report complete 
information to strike a balance between our desire for recent and 
historical information on all children in out-of-home care under the 
proposed new AFCARS data elements and the challenge that some agencies 
may face in gathering this information for a child's previous contacts 
with the child welfare system before these new rules go into effect. We 
chose to have a title IV-E agency report at least the child's prior 
removal and exit dates and exit reasons, because we believe these data 
elements are most critical to our ability to construct certain cohorts 
of children for analysis in outcome-based monitoring activities. 
Further, a title IV-E agency currently collects this information in the 
normal course of casework activities for children in foster care and 
reports some of this information in existing AFCARS data elements.
    While our proposal is to mandate that title IV-E agencies provide 
three specific data elements for the prior out-of-home care episode(s) 
of a child who is in out-of-home care on the effective date of the 
final AFCARS rule, or enters out-of-home care after the effective date 
of the final rule, we expect the title IV-E agency to report as much 
information as possible for these prior out-of-home care episodes, and 
at least as much information as it reports currently under the existing 
AFCARS. We know that many title IV-E agencies currently collect 
comprehensive information that pertains to the proposed new data 
elements. Therefore, we believe that it is reasonable to expect that 
agencies may be able to provide us with some additional information on 
the new data elements regarding prior episodes in the absence of a 
mandate. A title IV-E agency that does not provide this additional 
information will not be penalized. A title IV-E agency that provides 
this information with errors also will not be penalized.
Section 1355.42(c) Adoption and Guardianship Assistance Data File
    In paragraph (c), we propose that the title IV-E agency submit the 
most recent, point-in-time information for all data elements in the 
adoption and guardianship assistance data file that are applicable to 
the child during the report period. This information is needed only on 
the last day of the report period because while information may change 
over the course of years, many of the data elements in this data file 
are not likely to change during any given report period. For example, 
the amount of title IV-E adoption or guardianship assistance may remain 
static for the duration of the title IV-E assistance agreement or the 
amount may fluctuate over a number of years, depending on changes in 
foster care maintenance rates, whether the adoptive parent(s) or legal 
guardian(s) request a change in the amount of the title IV-E adoption 
or guardianship assistance amount, or changes in the child's 
circumstances. Regardless, capturing this information during each 
report period will allow ACF to better track and analyze the nature of 
title IV-E adoption and guardianship arrangements and assistance 
agreements and to make budget projections. This proposal was first 
introduced in the 2008 NPRM and received no substantive comments.
Section 1355.42(d) Reporting Missing Information
    In paragraph (d), we propose how the title IV-E agency must report 
missing information. If the title IV-E agency fails to collect the 
information for a data element, the agency must report the data element 
as blank or missing. The title IV-E agency may not write the extraction 
code to default to a valid response option if caseworkers did not 
collect or enter those responses into the information system. This is 
the case even when there may be a response option for a data element 
that allows the title IV-E agency to indicate that the information is 
not yet determined or is unknown. This provision is consistent with 
ACF's longstanding practice; however, title IV-E agencies have pointed 
out that there is no official guidance on this issue. Therefore, we 
wish to state unequivocally that this practice of defaulting is not 
permitted.
    This proposal was first introduced in the 2008 NPRM. Several 
commenters to the 2008 NPRM indicated that they felt it was not 
realistic to forbid a title IV-E agency to default or map information 
that caseworkers did not collect or enter into the information system 
to a valid response option, and that this proposal would increase 
caseworker burden. Commenters suggested that this proposal would 
require the caseworker to not only document the work they completed in 
a child's case, but also enter data into the case management system to 
indicate ``not yet determined'' in order to meet the AFCARS requirement 
for missing data. Although we considered these comments, the statutory 
mandate in section 479(c)(2) of the Act requires ACF to assure that any 
AFCARS data that is collected must be reliable and consistent over 
time. Permitting the practice of defaulting decreases the reliability 
of the AFCARS data collected in that data reported may not truly 
reflect the case-specific information and circumstances for each child 
in the reporting population. For these reasons, we again propose to 
prohibit the practice of a title IV-E agency having an information 
system default to or generate automatic responses.
Section 1355.42(e) Electronic Submission
    In paragraph (e), we propose to continue requiring a title IV-E 
agency to submit its data files to ACF electronically, consistent with 
ACF's specifications. We currently provide guidance on submission of 
technical requirements and specifications through official ACF policy 
and technical bulletins. This proposal is the same as that included in 
the 2008 NPRM, and we received several comments in response to the 2008 
NPRM requesting that ACF provide clarification on the type of 
technologies it anticipates the title IV-E agencies will use in the 
report submission process. We considered these comments, but learned 
through our experience with the existing AFCARS that it is prudent not 
to regulate the technical specifications for transmitting data. As 
technology changes, we must keep pace with the most current, practical 
and efficient transmission methods that will meet title IV-E agency and 
Federal needs. As such, we will continue to provide guidance through 
policy and technical bulletins.
Section 1355.42(f) Record Retention
    In paragraph (f), we propose that title IV-E agencies retain 
records necessary to comply with the AFCARS reporting requirements 
outlined in proposed sections 1355.42 through 1355.44. In particular, 
we propose that the title IV-E agency's retention of AFCARS records is 
not limited to the

[[Page 7146]]

Departmental record retention rules in 45 CFR 92.42(b) and (c). These 
Departmental record retention rules require title IV-E agencies to 
retain financial and programmatic records, supporting documents and 
statistical records related to Federal programs and requirements for a 
period of three years. Because we seek comprehensive data on children 
in out-of-home care, including information on their prior experiences 
with the child welfare system, we view the three-year retention period 
to serve as a minimum.
    Practically, this means the title IV-E agency must keep applicable 
records until the child is no longer of an age to be in the reporting 
populations. Additionally, this means that the title IV-E agency must 
keep applicable records for a minimum of three years when a child exits 
the reporting population due to age. This is because we propose that a 
title IV-E agency keep a child's identification number consistent over 
time and indicates the child's entire history with the child welfare 
system. This proposal is the same as in the 2008 NPRM. We received 
several comments in response to this proposal in the 2008 NPRM that 
indicated concerns regarding the cost of retaining both electronic and 
paper records. We considered these comments; however, since a child's 
information is likely to be contained in an electronic format through 
the IV-E agency's automated information system and is relatively simple 
to archive and store, we believe the proposed record retention rules 
are reasonable. Also, based on our experience through SACWIS and AFCARS 
reviews, title IV-E agencies currently maintain the child's information 
in their systems until a child reaches the age of majority.

Section 1355.43 Out-of-Home Care Data File Elements

Section 1355.43(a) General Information
    In paragraph (a), we propose that title IV-E agencies collect and 
report general information that identifies the reporting title IV-E 
agency as well as the child in out-of-home care.
    Title IV-E agency. In paragraph (a)(1), we propose that the title 
IV-E agency indicate the name of the title IV-E agency responsible for 
submitting AFCARS data to ACF. A State title IV-E agency must indicate 
its State name for identification purposes. ACF will work with Tribal 
title IV-E agencies to provide further guidance, including a list of 
valid response options, during implementation. This proposal differs 
from the existing AFCARS regulation, which requires the title IV-E 
agency to identify itself using the U.S. Postal Service two letter 
abbreviation for the State or the ACF-provided abbreviation for the 
title IV-E Tribal agency responsible for submitting the AFCARS data to 
ACF. This proposal also is different from the 2008 NPRM in which we 
proposed to use Federal Information Processing Standard (FIPS) codes 
for State identification. We did not receive comments on this data 
element in response to the 2008 NPRM but have opted not to proceed with 
the NPRM proposal to remove FIPS codes, which are no longer being 
updated and maintained.
    Report date. In paragraph (a)(2), we propose that a title IV-E 
agency indicate the report period date. Specifically, a title IV-E 
agency will report to us the last month and year that corresponds with 
the end of the report period, which will always be either March or 
September of any given year. The information we propose to collect is 
the same as in the existing AFCARS regulations, and was proposed in the 
2008 NPRM. We received no comments on this data element in response to 
the 2008 NPRM.
    Local agency. In paragraph (a)(3), we propose that the title IV-E 
agency report to us the name of the local county, jurisdiction or 
equivalent unit that has responsibility for the child. This proposal 
differs from current AFCARS regulations, which instruct the title IV-E 
agency to identify the local agency using the five digit FIPS code of 
the county or ACF-provided abbreviation for the Indian Tribe local 
unit, and the 2008 NPRM which proposed that the title IV-E agency 
indicate the FIPS code for the local agency. We received several 
comments in response to the 2008 NPRM that indicated concern about 
continuing to use FIPS codes for jurisdictions below the State level. 
We agree with these comments, and since FIPS codes are no longer being 
updated and maintained, we propose revisions to this data element to 
remove FIPS codes. ACF will work with Tribal title IV-E agencies to 
provide further guidance, including a list of valid response options, 
for this element during implementation.
    Child record number. In paragraph (a)(4), we propose that the title 
IV-E agency report the child's record number, which is a unique person 
identification number, as an encrypted number. The child record number 
must remain the same for the child no matter where the child lives 
while in the placement and care responsibility of the title IV-E agency 
and across all report periods and out-of-home care episodes. As 
discussed in section 1355.44, we also propose to require the title IV-E 
agency to use this child record number for reporting if the child exits 
the out-of-home care data file and enters the reporting population for 
the adoption and guardianship assistance data file. The title IV-E 
agency must apply and retain the same encryption routine or method for 
the child record number across all report periods. The title IV-E 
agency's encryption methodology must meet all ACF standards prescribed 
through technical bulletins or policy.
    The existing AFCARS requirement is for the title IV-E agency to 
report the sequential or unique number that follows the child as long 
as he or she is in foster care. We now propose, as we did in the 2008 
NPRM, to revise the child record number data element to no longer allow 
agencies to use sequential numbers for AFCARS. Rather, title IV-E 
agencies are to use encryption and consistent numbers. The proposed 
changes to this data element are based on findings from AFCARS reviews, 
technical assistance, and public comments, described at length in the 
2008 NPRM, which indicate that there are circumstances in which title 
IV-E agencies use different record numbers for the same child. We 
received a number of comments in response to the 2008 NPRM applauding 
the inclusion of this data element that meets a long standing need for 
data about a child's total experience in out-of-home care, as well as 
several comments seeking clarification and technical assistance around 
this data element. Through these proposed revisions, title IV-E 
agencies will keep a child's record number consistent through his or 
her out-of-home care experience, and utilize encryption to ensure that 
the child's identity will remain confidential. Ensuring that the child 
record number is consistent throughout placement changes also will 
assist in the analysis of NYTD data, which requires States to use a 
child's AFCARS child record number for identification.
    This proposed data element, however, is different from the 2008 
NPRM proposal in that we do not propose to retain the exception that a 
title IV-E agency may provide a new child record number if the child 
was previously adopted. Initially proposed in the 2008 NPRM, this 
exception applied to a child who re-enters out-of-home care following 
an adoption. In addition to the public comments received in response to 
the 2008 NPRM that support maintaining a consistent identification 
number throughout a child's out-of-home care experience, we are not 
retaining this exception so that we may collect information on the 
experience of

[[Page 7147]]

sibling groups in the child welfare system through out-of-home care 
placements. By ensuring that title IV-E agencies use consistent child 
record numbers, it may be possible to capture information over time on 
the total experience of sibling groups in the child welfare system.
    Finally, we would like to note that we are not continuing our 2008 
NPRM proposal to require title IV-E agencies to report a unique and 
encrypted Family Record Number that is associated with the child. We 
acknowledge that defining ``family'' for the purposes of this data 
element may be challenging for title IV-E agencies and understand from 
commenters to the 2008 NPRM that associating a family record number 
with each child may be technically difficult for State and Tribal 
agency systems. We instead propose to collect information in both 
paragraph (e) and proposed section 1355.44 to aid in the identification 
of sibling groups, and we discuss these proposals later in this NPRM.
Section 1355.43(b) Child Information
    In paragraph (b), we propose that title IV-E agencies collect and 
report various characteristics of the child in the out-of-home care 
reporting population.
    Child's Birth Information. In paragraph (b)(1), we propose to 
collect information on the child's date of birth and whether the child 
was born in the United States.
    In paragraph (b)(1)(i), we propose to require title IV-E agencies 
to report the month, day and year of the child's birth, which is what 
we proposed in the 2008 NPRM. This proposal differs slightly from the 
instruction included in existing AFCARS regulations regarding a child's 
date of birth in that we do not require the title IV-E agency to report 
an abandoned child's date of birth as the 15th of the month. As 
detailed in the 2008 NPRM, we are not retaining this requirement 
because AFCARS reviews revealed that many title IV-E agencies were not 
aware of this instruction or that workers were reluctant to enter an 
unknown birth date as the 15th of the month. Therefore, we are 
requiring that the title IV-E agency always provide the child's actual 
or estimated date of birth. There were no substantive comments on this 
data element in response to the 2008 NPRM.
    In paragraph (b)(1)(ii), we propose to require the title IV-E 
agency to report whether or not the child was born in the United 
States. If the child was born in the United States, indicate ``yes.'' 
If the child was born in a country other than the United States, 
indicate ``no.'' This is a newly proposed data element and will give us 
a national picture of how many foreign-born children are in out-of-home 
care. We specifically request comments from State and Tribal title IV-E 
agencies on this data element.
    Child's sex. In paragraph (b)(2), we propose that the title IV-E 
agency report whether the child's is male or female, as appropriate. 
This proposal mirrors both the 2008 NPRM proposal and the existing 
regulation. There were no substantive comments in response to this 
proposed data element in response to the 2008 NPRM.
    Child's race. In paragraph (b)(3), we propose to require the title 
IV-E agency to report information on the race of the child. Each racial 
category is a separate data element to represent the fact that the OMB 
standards require title IV-E agencies to allow an individual to 
identify with more than one race. Consistent with the OMB standards, 
self-reporting or self-identification is the preferred method for 
collecting data on race and ethnicity. This means that the title IV-E 
agency is to allow the child, if age appropriate, or the child's 
parent(s) or legal guardian(s) to determine the child's race.
    The response options proposed are slightly different from those in 
the existing AFCARS, but are similar to the 2008 NPRM proposal and to 
those in the NYTD (see 45 CFR 1356.80). One difference in the current 
proposal is that we allow, in addition to the child and the child's 
parent(s), legal guardians to determine the child's race. We are 
including this option to acknowledge that a legal guardian, rather than 
the child's parent(s), may be the appropriate person to determine the 
child's race, if that child has been living with him or her. The racial 
categories of American Indian or Alaska Native, Asian, Black or African 
American, Native Hawaiian or Other Pacific Islander and White listed in 
proposed paragraphs (b)(3)(i) through (b)(3)(v) are consistent with the 
OMB Revised Standards for the Classification of Federal Data on Race 
and Ethnicity, as described in the 2008 NPRM. There were several public 
commenters in response to both the 2008 NPRM and 2010 FR Notice that 
suggested aligning response options regarding a child's race with other 
Federal data reporting efforts such as NCANDS or NYTD race categories. 
We agree, and the racial categories proposed both in the 2008 NPRM and 
the current proposal are aligned with those in NCANDS and NYTD, in 
addition to being consistent with OMB race and ethnicity standards as 
described above.
    In the 2008 NPRM, we propose that if the child's race is 
``unknown,'' the title IV-E agency is to so indicate in paragraph 
(b)(3)(vi). However, we now propose to clarify that ``unknown'' must 
also be selected if the child or his or her parent(s) or legal 
guardian(s) cannot communicate the child's race. This response option 
serves to replace ``unable to determine'' currently included in AFCARS. 
A child's race can be categorized as ``unknown'' only if a child or his 
or her parent(s) or legal guardian(s) does not actually know the 
child's race, or the child or his or her parent(s) or legal guardian(s) 
is unable to communicate the child's race. Using ``unknown'' to report 
the fact that the title IV-E agency has not asked the child or his or 
her parent(s) or legal guardian(s) for the child's race is not an 
acceptable use of this response option. Further, it is acceptable for 
the child to identify that he or she is multi-racial, but does not know 
one of those races. In such cases, the title IV-E agency must indicate 
the racial classifications that apply and also indicate that a race is 
unknown.
    In the 2008 NPRM we proposed to introduce two new response options, 
currently not in AFCARS, that we include in our proposal. We propose 
that if the child's race cannot be determined because the child is 
``abandoned,'' the title IV-E agency must so indicate in paragraph 
(b)(3)(vii). We provide a definition of abandoned so that we are clear 
that the term should be used in very restrictive circumstances and not 
any time a parent may be temporarily unavailable. If a child who was 
abandoned as an infant later identifies as being of a certain race or 
multiple races, the title IV-E agency must indicate the applicable 
race(s), rather than ``abandoned.'' Finally, we propose that in the 
situation in which the child or his or her parent(s) or legal 
guardian(s) ``declines'' to identify any race, the title IV-E agency 
must so indicate in paragraph (b)(3)(viii).
    Child's Hispanic or Latino ethnicity. In paragraph (b)(4), we 
propose to require that a title IV-E agency report the Hispanic or 
Latino ethnicity of the child. This proposed data element is similar to 
that proposed in the 2008 NPRM. The only difference in the current 
proposal is that, in addition to the child or the child's parent(s), we 
allow the legal guardian(s) to determine the child's ethnicity. We 
include this option to acknowledge that a legal guardian, rather than 
the child's parent(s), may be the appropriate person to determine the 
child's ethnicity, if that child has been living with him or her. This 
proposal differs from the existing AFCARS in that we propose here that 
the child's ethnicity be self-determined by the child, or determined by 
his or her

[[Page 7148]]

parent(s) or legal guardian(s), consistent with OMB race and ethnicity 
standards. As in the 2008 NPRM proposal, we also propose that the title 
IV-E agency may report the following response options, not currently 
included in AFCARS whether the child's ethnicity is ``unknown'' because 
the child or the child's parent(s) or legal guardian(s) does not know 
or cannot communicate the information, whether the child is 
``abandoned'' or the child or the child's parent(s) or legal 
guardian(s) ``declined'' to provide this information.
    In paragraphs (b)(5) and (b)(6), we propose for the first time that 
the title IV-E agency collect information on health assessment(s) that 
the child has received while in foster care. We specifically seek 
information on the date of the child's most recent health assessment 
and whether the child has been receiving health assessments in a timely 
manner to ensure that the title IV-E agency is performing health 
assessments on each child in a foster care placement in accordance with 
their own established schedule, per the statutory requirements in 
section 422(b)(15)(A) of the Act. In paragraph (b)(6), if the child has 
missed a required health assessment in the past but has now received 
all required health assessments, the title IV-E agency must indicate 
``yes.'' We have learned through technical assistance that many title 
IV-E agencies are already collecting information regarding the receipt 
of health assessments for each child in foster care, including the 
dates of each assessment, and therefore, the inclusion of this proposal 
should not place significant burden on the title IV-E agency.
    ACF believes that it is important to ensure that the title IV-E 
agency is identifying and addressing the health needs of children in 
foster care. Proposing to require the title IV-E agency to report 
health assessment information provides ACF an opportunity to ensure 
that the title IV-E agency is identifying a child's critical health 
needs through routine health assessments and that these needs are 
appropriately addressed and reviewed by a medical professional. For 
example, if a child is receiving health assessments according to the 
schedule established by the title IV-E agency per section 422(b)(15)(A) 
of the Act, we can assume that the medical professional(s) performing 
the screening will identify and address health needs such as 
immunization updates, need for services, and appropriate use of 
medications. We believe that this information will serve as a proxy for 
other indicators of well-being in addition to providing health 
assessment information for each child in the out-of-home care reporting 
population. We welcome comments on this proposal.
    Health, behavioral or mental health conditions. In paragraph 
(b)(7), we propose to require title IV-E agencies to report whether a 
child has been diagnosed by a qualified professional as having one or 
more health, behavioral or mental health conditions prior to or during 
the child's current out-of-home care episode as of the last day of the 
report period. In the existing AFCARS the title IV-E agency is required 
to collect similar information on a child's conditions in the data 
element ``child disability.'' In the 2008 NPRM we proposed to revise 
the data element name and require title IV-E agencies to collect 
information on an expanded list of health, behavioral or mental health 
conditions. Our current proposal utilizes the expanded list of 
condition types as proposed by the 2008 NPRM, but is modified as 
detailed below.
    If a title IV-E agency indicates that the child has a diagnosed 
condition, we now propose to require the title IV-E agency to indicate 
``existing condition,'' ``previous condition'' or ``does not apply,'' 
as applicable for each of the categories of conditions in paragraphs 
1355.43(b)(7)(i) through (b)(7)(xii). A title IV-E agency must report a 
diagnosed condition known prior to or during the child's current out-
of-home care episode as of the last day of the report period. If the 
child was diagnosed with a condition prior to entry, and that condition 
is still applicable to the child when he or she enters foster care, the 
title IV-E agency must indicate this as an ``existing condition.'' If 
the title IV-E agency is aware and obtained a medical summary, then 
this information should be recorded and reported in AFCARS data as an 
``existing condition.'' Consequently, if a child was diagnosed for a 
condition that is resolved, the title IV-E agency must report this 
diagnosis as a ``previous condition.'' For instance, a child may have 
been born with a congenital defect that fits in the physically disabled 
category and has undergone treatment for the condition such that the 
condition no longer impairs the child's day-to-day motor functioning.
    This proposal differs from the 2008 NPRM proposal and existing 
AFCARS regulations. In the 2008 NPRM we proposed to require a title IV-
E agency to indicate ``applies'' or ``does not apply'' for each 
response option. We propose now to require a title IV-E agency to 
indicate ``previous condition'' versus ``existing condition'' 
specifically to collect ongoing information on conditions that the 
child was previously diagnosed with, but do not currently apply to the 
child. We were unable to distinguish between current and prior 
diagnoses with our 2008 NPRM proposal. In addition, we were unable to 
capture comprehensive information in current AFCARS regulations and our 
2008 NPRM proposal regarding a child's diagnosed health, behavioral and 
mental health conditions beyond the current AFCARS report period, which 
this proposal will allow. Collecting additional information regarding 
conditions for which the child was previously diagnosed but do not 
exist as current diagnoses will provide increased opportunities for 
analysis regarding the health and service needs of children in out-of-
home care. While this information will be updated in the AFCARS file 
each report period, the structure will permit ACYF to produce 
longitudinal files for research, and/or provide the information 
required to link records across report periods in the public use data 
sets. However, we seek public comment regarding the utility of 
collecting the health-related data elements such that the information 
provided for a child on a previous data submission is not overwritten, 
but instead is included in each data file with the new information 
(with dates indicating the date of data submission for each set of 
health-related data elements). We also seek comment on whether there 
are further steps that should be taken in this area to provide usable, 
accurate, and reliable longitudinal information about a child's health 
conditions.
    We proposed to modify the list of conditions in current AFCARS 
regulations in the 2008 NPRM that title IV-E agencies currently report, 
creating separate response options for visually and hearing impaired 
(combined in current regulation) and adding the following diagnosed 
conditions as response options anxiety disorder, childhood disorders, 
learning disability, substance use-related disorder and developmental 
disability. We propose to make a minor change to the list by renaming 
``mental retardation'' as ``intellectual disability,'' but we intend to 
maintain the definition of ``mental retardation'' that was included in 
the 2008 NPRM. Our reasoning for making this name change is to conform 
with the proposed changes to the Diagnostic and Statistical Manual of 
Mental Disorders-V (DSM-V), the changes made by Public Law 111-256 that 
solidified the use of ``intellectual disability'' in Federal law and 
the increasing focus on cultural sensitivity to the term ``mental

[[Page 7149]]

retardation.'' In response to the requirements in Public Law 113-183 to 
include information in the annual Child Welfare Outcomes Report on 
children in foster care who are pregnant, we propose the addition of 
``pregnant'' to the list of conditions. This information is required to 
be included in the annual report beginning in FY 2016. Other than the 
changes described above, we have chosen to continue the definitions for 
the proposed conditions without additional changes both to maintain 
consistency with currently reported conditions, and to limit burden 
placed on title IV-E agencies associated with making changes to this 
data element. We welcome comments on this proposal.
    In response to the 2008 NPRM, several commenters expressed concern 
regarding the additional training that caseworkers would require to 
capture and categorize detailed clinical information, as well as 
concerns regarding the impact of the new data elements on the SACWIS 
system and programmatic data elements. However, as we described in the 
2008 NPRM, we believe that collecting information pertaining to the 
health characteristics of a child is important in understanding the 
length of time children remain in care, their placement needs, number 
of placements, and, in general, the needs of children being served by 
the title IV-E agency. In addition, requiring this information is 
consistent with the provision in section 475(1)(C) of the Act for the 
title IV-E agency to have a case plan that includes the child's health 
records and known medical problems. We have observed, through our 
AFCARS reviews and Technical Assistance provision, that many title IV-E 
agencies already collect comprehensive information from medical and 
health assessments for children in foster care, and this information is 
often incorporated as part of a child's case record.
    Finally, consistent with existing AFCARS and detailed in the 2008 
NPRM, we propose to continue requiring that the title IV-E agency 
indicate diagnoses made by a qualified professional as determined by 
applicable laws and policies of the State or Tribal service area. A 
qualified professional may include a doctor, psychiatrist or, if 
applicable in the State or Tribal service area, a licensed clinical 
psychologist or social worker.
    School enrollment. In paragraph (b)(8), we propose for the first 
time that the title IV-E agency report whether a child is currently a 
full-time student at and enrolled (or in the process of enrolling) in 
school as of the last day of the report period or on the day of exit 
for a child exiting out of home care prior to the end of a report 
period. We propose that the title IV-E agency report the child's school 
enrollment by indicating ``elementary,'' ``secondary,'' ``post-
secondary education or training'' or ``college.'' We propose that a 
child who has not reached the age for compulsory school attendance must 
be identified as ``not school-age'' and a child who has reached the age 
for compulsory school attendance, but is not enrolled or in the process 
of enrolling in any school setting full-time must be identified as 
``not enrolled.''
    For the purposes of AFCARS, we propose that for a child to be 
``enrolled'' in school he or she must meet the statutory definition of 
``elementary or secondary school student'' at section 471(a)(30) of the 
Act or participate full-time in college or post-secondary education/
training activities. An ``elementary or secondary school student'' per 
section 471(a)(30) of the Act means that the child is (A) enrolled (or 
in the process of enrolling) in an institution which provides 
elementary or secondary education, as determined under the law of the 
State or other jurisdiction in which the institution is located; (B) 
instructed in an elementary or secondary education program in 
accordance with a home school law of the State or other jurisdiction in 
which the home is located; (C) in an independent study elementary or 
secondary education program, in accordance with the law of the State or 
other jurisdiction in which the program is located, that is 
administered by the local school or school district; or (D) incapable 
of attending school on a full-time basis due to the medical condition 
of the child, which incapability is supported by regularly updated 
information in the case plan of the child.
    We propose that, for the purposes of AFCARS, enrollment in ``post-
secondary education or training'' refers to full-time enrollment in any 
post-secondary education or training, including vocational training, 
other than an education pursued at a college or university. Enrollment 
in ``college'' refers to a child that is enrolled full-time at a 
college or university.
    We propose that the title IV-E agency collect and report 
information on the child's school enrollment for the first time in an 
effort to learn more about the well-being and stability of children 
served by title IV-E agencies. ACF agrees with commenters in response 
to the 2010 FR Notice in the importance of addressing the educational 
needs of youth in foster care. In addition, some title IV-E agencies 
already collect information on school enrollment, and consider this 
information to determine placements for a child entering foster care or 
to change foster care placements. We propose to collect information in 
AFCARS on school enrollment in particular to respond to this interest, 
and to address the new requirement in section 471(a)(30) of the Act 
(amended by Pub. L. 110-351) that title IV-E agencies must assure in 
their title IV-E plan that each child receiving a title IV-E payment 
who has attained the age for compulsory school attendance is a full-
time elementary or secondary student, as defined above, or has 
completed secondary school as described in ACYF-CB-PI-10-11. This 
statutory requirement is designed to ensure that a child of appropriate 
age is enrolled full-time or is in the process of enrolling in an 
elementary or secondary school, if the child has not already completed 
secondary school.
    Further, we propose to collect information on a child's enrollment 
in college and/or post-secondary education/training for all children in 
the out-of-home care reporting population, which includes children 
receiving extended title IV-E assistance beyond age 18. Some commenters 
to the 2010 FR Notice were resistant to us requiring title IV-E 
agencies to report additional education data elements; however, the 
majority of commenters indicated interest in the collection of data in 
AFCARS that directly addresses a child's educational experience, given 
the increasing emphasis on education in foster care. The data elements 
in paragraphs (b)(8) through (b)(12) of this section are proposed, in 
part, to address this identified need for information, as well as to 
collect information on children receiving extended title IV-E 
assistance per the option provided in section 475(8)(B) of the Act. We 
welcome comments on this proposal.
    Educational level. In paragraph (b)(9), we propose for the first 
time that a title IV-E agency report the highest educational level, 
from Kindergarten to college or postsecondary education/training, 
completed by the child as of the last day of the report period. If a 
child has not yet reached the minimum age for compulsory school 
attendance, as determined by applicable State/Tribal law, the title IV-
E agency must indicate that the child is ``not school-age.'' Title IV-E 
agencies are not currently required to report this information in 
AFCARS and this proposal replaces the Educational performance data 
element we proposed in the 2008 NPRM to require a title IV-E agency to 
report information on whether the child has

[[Page 7150]]

repeated a grade in school and the number of times a child has repeated 
a grade. Comments in response to the 2008 NPRM questioned the value of 
collecting information on whether a child has repeated grades in 
school. Commenters to the 2008 NPRM also suggested that reporting data 
on repeated grades was not useful, as this information provided an 
incomplete picture of a child's educational progress. We agree a 
revision is needed, given the passage of Public Law 110-351, and 
instead propose that a title IV-E agency collect information on a 
child's recently completed grade level, which measures educational 
progress and aligns with statutory changes made by Public Law 110-351.
    Title IV-E agencies must report the highest educational level that 
the child has completed as of the last day of the report period, rather 
than the child's current educational level. For example, the title IV-E 
agency should indicate ``Kindergarten'' if the child has completed 
Kindergarten or is currently in or about to begin 1st grade. The title 
IV-E agency must indicate ``college'' if the child has completed at 
least one semester of study at a college or university, and indicate 
``post-secondary education or training'' if the child has completed any 
amount of time in post-secondary education or training (e.g., 
vocational or job skills training) other than an education pursued at a 
college or university.
    We seek this information in an effort to learn more about a child's 
well-being while in out-of-home care. We believe that collecting the 
highest educational level completed from Kindergarten to college or 
post-secondary education/training is an appropriate indicator of 
educational achievement because it is a measure that does not vary 
greatly among jurisdictions, and is appropriate for all school-age 
children. The highest level of education completed is relatively simple 
for a title IV-E agency to collect and report, and there is evidence 
from AFCARS reviews and technical assistance that at least a few title 
IV-E agencies already collect this information. Further, we believe 
that this data element is consistent with the statutory requirement for 
title IV-E agencies to compile information on health and education 
records of the child, including information on the child's grade level 
performance while in foster care (section 475(1)(C)(ii) of the Act) and 
we believe that it would be beneficial to collect this information in 
AFCARS so that we can analyze trends in the relationship between a 
child's age and his or her educational achievement. While this 
information will be updated in the AFCARS file each report period, the 
structure will permit ACYF to produce longitudinal files for research, 
and/or provide the information required to link records across report 
periods in the public use data sets. However, we seek public comment 
regarding the utility of collecting data on a child's education level 
such that the information provided for a child on a previous data 
submission is not overwritten, but instead is included in each data 
file with the new information (with dates indicating the date of data 
submission associated with each grade level). We also seek comment on 
whether there are further steps that should be taken in this area to 
provide useable, accurate, and reliable longitudinal information about 
a child's educational level.
    Educational stability. In paragraph (b)(10), we propose for the 
first time to require title IV-E agencies to collect and report whether 
the child is enrolled or is in the process of enrolling in a new 
elementary or secondary school prompted by an initial placement into 
foster care or a placement change that occurred within the report 
period if applicable. This information is not longitudinal and will be 
captured each report period. As described in paragraph (b)(8), for the 
purposes of AFCARS, a child is considered to be ``enrolled'' in an 
elementary or secondary school if the child meets the statutory 
definition of ``elementary or secondary school student'' at section 
471(a)(30) of the Act.
    New school enrollments, for the purposes of AFCARS, are indicated 
by any school change that occurs prompted by a child's initial 
placement after entering foster care or any subsequent living 
arrangement change, whether or not the child was ever previously 
enrolled in the ``new'' school. If there is a new enrollment in an 
elementary or secondary school for the child, we propose to require the 
title IV-E agency to provide additional information on the reason that 
prompted this new enrollment in paragraphs (b)(10)(i) through 
(b)(10)(vii), by indicating whether each condition ``applies'' or 
``does not apply.'' In paragraph (b)(10)(i), we propose that the title 
IV-E agency indicate ``proximity'' if the child enrolled in a new 
elementary or secondary school because the distance to his or her 
former school was too far from the child's out-of-home care placement, 
there was a lack of transportation to the child's former school or 
proximity was otherwise a factor in the decision for the child to 
change schools. In paragraph (b)(10)(ii), we propose that the title IV-
E agency indicate ``district/zoning rules'' when the child enrolled in 
a new school because State/Tribal or local policies, laws or 
regulations prohibit the child from attending his or her former school 
as a result of an initial placement into foster care or a subsequent 
change in living arrangements. In paragraph (b)(10)(iii), we propose 
that the title IV-E agency indicate ``residential facility'' when the 
child enrolled in a new school because he or she formerly attended 
school on the campus of a residential facility. Facilities of this type 
could include residential treatment centers, as well as child care 
institutions. In paragraph (b)(10)(iv), we propose that the title IV-E 
agency indicate ``services/programs'' when the child enrolled in a new 
school to participate in services or programs that are not offered at 
his or her former school. These services could include, but are not 
limited to, specialized academic support programs, behavior 
modification programs, residential education programs or other 
supportive services that would benefit the well-being of the child. In 
paragraph (b)(10)(v), we propose that the title IV-E agency indicate 
``child request'' if the child enrolled in a new school because he or 
she requested to leave the previous school. In paragraph (b)(10)(vi), 
we propose that the title IV-E agency indicate ``parent/legal guardian 
request'' if the child enrolled in a new school because his or her 
parent(s) or legal guardian(s) requested for the child to leave the 
previous school. Finally, in paragraph (b)(10)(vii), we propose that 
the title IV-E agency indicate ``other'' if the child enrolled in a new 
elementary or secondary school due to a reason that was not included in 
paragraphs (b)(10)(i) through (b)(10)(vi).
    We seek this information because we are interested in gathering 
information on the reasons that prompt a change in school enrollment 
for children upon an initial placement into foster care or as the 
result of a subsequent change in living arrangements. In addition, we 
propose the collection of information regarding educational stability 
to conform to changes introduced in Public Law 110-351 that added a 
case plan requirement to ensure the development of a plan for the 
educational stability of a child in foster care as established in 
section 475(1)(G) of the Act.
    Although some commenters to the 2010 FR Notice indicated that 
collecting this data would increase the burden for caseworkers who have 
trouble obtaining this information, many commenters to the 2008 NPRM 
and 2010 FR Notice supported the collection of this

[[Page 7151]]

information in AFCARS. In addition, we have learned through AFCARS 
reviews and technical assistance that some title IV-E agencies already 
collect this information and utilize it when considering placements for 
children entering foster care. We considered the comments concerned 
about the increased burden, however, we believe that collecting 
information on the reasons title IV-E agencies determine that remaining 
in the school of origin or a previous school is not in the child's best 
interest will help to identify and address barriers to educational 
stability after an initial placement into foster care or a change in 
living arrangements.
    While this information will be updated in the AFCARS file each 
report period, the structure will permit ACYF to produce longitudinal 
files for research, and/or provide the information required to link 
records across report periods in the public use data sets. However, we 
seek public comment regarding the utility of collecting information on 
educational stability such that information provided for a child on a 
previous data submission is not overwritten, but instead is included in 
each data file with the new information (with dates indicating the date 
of data submission for each change in school enrollment). We also seek 
comment on whether there are further steps that should be taken in this 
area to provide usable, accurate, and reliable longitudinal information 
about a child's educational stability.
    Special education. In paragraph (b)(11), we propose to require the 
title IV-E agency to collect information about whether the child has an 
Individualized Education Program (IEP) or an Individualized Family 
Service Program (IFSP) as of the end of the report period. An IEP is a 
written statement for each child with a qualifying disability that 
requires special education services for that disability. The IEP is 
developed, reviewed and revised by the school in accordance with 
requirements in section 614(d)(1) of Title I, Part B of the Individuals 
with Disabilities Education Act (IDEA) and implementing regulations. An 
IFSP is a written individualized family service program for a child 
ages 0-3 with special needs. An IFSP must be developed by a 
multidisciplinary team, including the parent(s) and early intervention 
specialist(s), and meet requirements of section 636 of Title I, Part C 
of the IDEA and implementing regulations.
    If the child does not have an IEP or IFSP, the title IV-E agency 
must indicate ``not applicable.'' We believe that a current IEP or IFSP 
indicates that a child has need for or is currently receiving special 
education instruction or early intervention services, respectively. 
Agencies are not required to report this information in the current 
AFCARS. This proposal modifies the ``special education'' data element 
proposed in the 2008 NPRM, in which we proposed to require title IV-E 
agencies to indicate whether the child received special education 
instruction during the report period. The term ``special education'' is 
defined in 20 U.S.C. 1401(29) and means specifically designed 
instruction, at no cost to the parent(s), to meet the unique needs of a 
child with a disability.
    Several commenters to both the 2008 NPRM and the 2010 FR Notice 
suggested collecting information specifically on whether a child has a 
current IEP or IFSP, rather than general receipt of special education. 
Other commenters to the 2008 NPRM indicated that there were significant 
potential data quality issues with reporting on the child's receipt of 
special education, as this information would require constant updating 
by caseworkers in title IV-E agencies. Commenters to the 2008 NPRM also 
were concerned that the needs of and services received by young 
children in foster care (ages 0-3) were excluded from the 2008 NPRM 
proposal. Our current proposal is responsive to some of these comments. 
Further, we propose collecting information on a child's IEP or IFSP as 
a proxy for receipt of special education because we believe that data 
on whether the child has an IEP or IFSP is a more reliable measure of 
determining if a child is receiving special education services. In 
addition, we believe that information regarding an IEP or IFSP is 
information often included in a child's case file and is thus easier 
for a title IV-E agency to obtain than information regarding 
eligibility for special education instruction.
    As outlined in the 2008 NPRM, we propose to collect information on 
a child's receipt of special education because of our interest in 
monitoring the well-being of children in out-of-home care and our 
desire to provide a more comprehensive picture of the educational needs 
of children in out-of-home care. Further, gathering this information is 
consistent with the case plan requirements in section 475(1)(C) of the 
Act. We welcome comments on this proposal.
    IDEA qualifying disability. In paragraph (b)(12), we propose for 
the first time to require title IV-E agencies to report the child's 
qualifying disability, if applicable, (i.e., categories of impairment 
indicated on the child's IEP or IFSP) if the title IV-E agency 
indicated that the child has either an IEP or IFSP in paragraph 
(b)(11); otherwise the title IV-E agency should leave this data element 
blank. The child has a ``qualifying disability'' if the child meets at 
least one category of impairment (as defined in the IDEA at 34 CFR 
300.8(c)), and the child may need early intervention, special education 
and/or related services in order for the child to benefit from an 
educational program. The categories of impairment defined in IDEA 
(including developmental delay, autism, hearing or visual impairment, 
emotional disturbance, intellectual disability and traumatic brain 
injury) are included on the child's IEP or IFSP as part of the 
eligibility determination for special education services. The response 
options we propose are the same as the categories of impairment defined 
at 34 CFR 300.8(c).
    The information we propose to be collected in this paragraph 
differs from the information collected in ``health, behavioral or 
mental health conditions'' as described in paragraph (b)(7). In 
paragraph (b)(12), we propose to require the title IV-E agency to 
indicate which categories of impairment serve as the basis for the 
child's qualification for early intervention services or special 
education instruction, which is information taken directly from the 
child's IEP or IFSP. The response options described in paragraphs 
(b)(12)(i) through (b)(12)(xii) are unique in that they are federally-
defined under IDEA and may not always match the clinical definition(s) 
of a disability. Further, IDEA does not require conditions present on 
an IEP or IFSP to be diagnosed by a qualified professional; conditions 
may be determined through an assessment or other mechanism by various 
school personnel. In contrast, paragraph (b)(7) describes health, 
behavioral and mental health conditions that are aligned with clinical 
definitions and instructs title IV-E agencies to indicate only those 
conditions that have been diagnosed by a qualified professional (as 
defined by the title IV-E agency) for the purposes of AFCARS data 
collection.
    We believe that collecting information pertaining to the needs of 
children receiving special education services is important to 
understanding the educational performance of children in out-of-home-
care. Our proposal to collect information in paragraph (b)(12) on the 
categories of impairment defined in IDEA also is consistent with the 
suggestions of several public commenters to the 2008 NPRM who

[[Page 7152]]

believed that the previously proposed ``special education'' data 
element did not provide enough information on the child's need for 
special education, particularly on children who are receiving special 
education services but do not have a clinical disability diagnosed by a 
qualified professional indicated in paragraph (b)(7) (e.g., children 
with Attention Deficit Disorder or other behavioral conditions). 
Further, requiring this information is consistent with the case plan 
requirements in section 475(1)(c) of the Act. We welcome comments on 
this proposal.
    Prior adoption. In paragraph (b)(13), we propose to require a title 
IV-E agency to report whether the child has experienced one or more 
prior legal adoption(s), and the dates, types, and jurisdiction of each 
adoption. In the existing AFCARS, we require title IV-E agencies to 
indicate if the child was ever adopted and, if so, the child's age at 
the time of the adoption finalization. In the 2008 NPRM, we proposed to 
revise the requirement to clarify that we are interested in whether the 
child has ever experienced a finalized adoption prior to the current 
out-of-home care episode, and proposed to require the title IV-E agency 
to collect the date, type, and location of the prior adoption, if one 
is so indicated. Our current proposal mirrors the 2008 NPRM proposal to 
require the title IV-E agency to collect information on whether a child 
had or had not experienced a prior adoption or report if information is 
unknown because the child has been abandoned. However, for the first 
time, we propose that title IV-E agencies submit adoption date, type, 
and jurisdiction information for each prior adoption that the child had 
experienced, providing an opportunity for data collection if the child 
has experienced one or more adoption(s) prior to entry into foster 
care.
    As in the 2008 NPRM, we also clarify that the title IV-E agency is 
to include any type of prior adoption in this data element, regardless 
of whether the adoption was public, private or independent, or out of 
the United States. Although some commenters to the 2008 NPRM had 
concerns about the increased burden on caseworkers to collect this 
information, many commenters to both the 2008 NPRM and 2010 FR Notice 
supported the collection of this information, indicating that it 
provided greater detail on the stability of adoptions from foster care.
    Prior adoption date(s). In paragraph (b)(13)(i), we propose to 
require a title IV-E agency to report the finalization date of each 
prior adoption(s) that the child has experienced if it was indicated in 
paragraph (b)(13) that the child had at least one prior finalized 
adoption. This is a modification of the data element proposed in the 
2008 NPRM, which did not provide the opportunity to report multiple 
adoption finalization date(s).
    In the existing AFCARS, we require the title IV-E agency to report 
the child's age range at the time of the prior finalized adoption. This 
information, however, was insufficient to determine accurately when the 
child was previously adopted. Thus, as in the 2008 NPRM, we propose 
that the title IV-E agency report the actual finalization date to allow 
us to determine how much time has elapsed between the child's previous 
adoption(s) and his or her current out-of-home care episode. We did not 
receive comments on this proposal in the 2008 NPRM.
    In the case of an intercountry adoption, the child's parent(s) may 
have gone through a readoption process in the jurisdiction where they 
reside in the United States. While in many cases this process is 
optional for a child whose adoption was finalized in the originating 
country, we understand that there are some jurisdictions in the United 
States that require the child to be readopted in his or her 
jurisdiction of residence. In such cases, we are requiring that the 
title IV-E agency provide the date that the adoption is considered 
final in accordance with applicable State or Tribal laws.
    Prior adoption type(s). In paragraph (b)(13)(ii), we seek 
information on the type of each prior adoption the child has 
experienced, as indicated in (b)(13)(i). We propose to require a title 
IV-E agency to indicate ``foster care adoption within State or Tribal 
service area'' if the child was in foster care in the reporting State 
or Tribal service area at the time the prior adoption was legalized. We 
propose to require a title IV-E agency to indicate ``foster care 
adoption in another State or Tribal service area'' if the child was in 
foster care in another State or Tribal service area at the time the 
prior adoption was legalized. We propose to require a title IV-E agency 
to indicate ``intercountry adoption'' if the child had a prior adoption 
that occurred in another country, or was finalized in the United States 
after the child was brought into the country for the purposes of the 
prior adoption. Finally, we propose to require a title IV-E agency to 
indicate ``other private or independent adoption'' if the child's prior 
adoption was neither a foster care adoption nor an intercountry 
adoption as defined above. This proposal to require the title IV-E 
agency to report each prior adoption type is necessary to accommodate 
our overall proposal to require title IV-E agencies to report multiple 
adoption type(s) if a child experienced more than one prior adoption.
    For the purposes of AFCARS, ``another country'' in the definition 
of ``intercountry adoption'' means any country other than the United 
States. As described in the 2008 NPRM, we seek this information 
primarily in response to the requirements in section 422(b)(12) of the 
Act, which require the CFSP and Annual Progress and Services Report 
(APSR) to collect and report certain information on children who are 
adopted from other countries and who enter the custody of a title IV-E 
agency as a result of the disruption of an adoption placement or the 
dissolution of that adoption.
    We seek this information to allow us to compile the number of 
children and jurisdiction(s) from where such children originated to 
inform permanency planning for children involved in disrupted or 
dissolved adoptions. We believe that collecting this information in 
AFCARS will provide more nuanced information on disrupted or dissolved 
adoptions because we will be able to collect information at the case 
level, rather than in aggregate per the current CFSP/APSR reporting 
method. Several commenters to the 2008 NPRM indicated concern regarding 
the time and burden for caseworkers involved in collecting data on 
prior adoptions, particularly for prior interstate and intercountry 
adoptions. However, we believe this information is collected as part of 
the case assessment of the child and family and that including this 
data element will provide critical information on international 
adoptees moving into foster care. Additionally, it will contribute to 
our knowledge surrounding disrupted or dissolved adoptions.
    Prior adoption jurisdiction(s). In paragraph (b)(13)(iii), we 
propose to require a title IV-E agency to submit the name of the State, 
Tribal service area, Indian reservation, or country in which the child 
was previously adopted. A title IV-E agency must collect this 
information only for each prior adoption noted in paragraph (b)(13)(ii) 
that occurred outside of the reporting State or Tribal service area; 
otherwise the title IV-E agency must leave this data element blank. 
This data element is not in the current AFCARS and was first proposed 
in the 2008 NPRM. The current proposal differs from the 2008 NPRM, 
which required title IV-E agencies to submit the FIPS code that 
corresponded with the State or country

[[Page 7153]]

in which the child was previously adopted. We modified this data 
element to remove FIPS codes, which are no longer being maintained and 
updated. In addition, FIPS codes do not account for the breadth of 
jurisdictions that could be captured in this element, as they do not 
include non-Federal Tribes and other countries. ACF will work with 
Tribal title IV-E agencies to develop valid response options for this 
element.
    We propose to collect the jurisdiction of each prior adoption so 
that we can calculate accurately the dissolution and disruption rates 
for each jurisdiction in which the child experienced a finalized 
adoption. Further, collecting information on the country in the case of 
a prior intercountry adoption will inform our understanding of 
disrupted or dissolved intercountry adoptions consistent with the 
requirements in section 422(b)(12) of the Act.
    Prior guardianship. In paragraph (b)(14), we propose, for the first 
time, to require title IV-E agencies to collect and report information 
on whether or not the child experienced one or more prior legal 
guardianship(s). For the purposes of AFCARS, the definition of legal 
guardian is consistent with that provided in section 475(7) of the Act 
and means ``a judicially created relationship between child and 
caretaker which is intended to be permanent and self-sustaining as 
evidenced by the transfer to the caretaker of the following parental 
rights with respect to the child: Protection, education, care and 
control of the person, custody of the person, and decision making.'' If 
the child experienced a prior legal guardianship, we propose to require 
the title IV-E agency to submit the legal guardianship date and type in 
paragraphs (i) and (ii) for each prior guardianship indicated in this 
paragraph and jurisdiction information in paragraph (iii) for each 
prior guardianship indicated in paragraph (b)(14)(ii) that occurred 
outside of the reporting State or Tribal service area; otherwise the 
title IV-E agency must leave those paragraphs blank. We propose to 
require the title IV-E agency to collect information on whether a child 
had or had not experienced a prior guardianship or if information is 
unknown because the child has been abandoned. We also are clarifying 
that the title IV-E agency is to report any type of prior legal 
guardianship in this element, regardless of whether the guardianship 
was public, private or independent.
    We propose to collect this information because, similar to our 
proposal to collect information on prior adoption(s), it is important 
to determine the number of children who have experienced one or more 
disrupted legal guardianship(s) before entering out-of-home care in 
order to better understand the potential impact of prior guardianships 
on permanency planning for these children. Further, because Public Law 
110-351 established the option for title IV-E agencies to establish 
Guardianship Assistance Programs in section 473(d) of the Act, it is 
important to collect parallel information on both legal guardianships 
and adoptions.
    Prior guardianship date(s). In paragraph (b)(14)(i), we propose 
that a title IV-E agency report the month and year that each prior 
legal guardianship the child experienced became legalized, if one or 
more prior legal guardianship was indicated in paragraph (b)(14). We 
seek this information to allow us to determine how much time has 
elapsed between the child's previous legal guardianship(s) and his or 
her current out-of-home care stay.
    Prior guardianship type(s). In paragraph (b)(14)(ii), we seek 
information on the type of legal guardianship for each legal 
guardianship the child experienced previously, as indicated in 
paragraph (b)(14). We propose to require a title IV-E agency to 
indicate ``foster care guardianship within State or Tribal service 
area'' if the child was in foster care in the reporting State or Tribal 
service area at the time the prior guardianship was legalized. This 
includes all legal guardianships for children formerly in foster care, 
including legal guardianships funded only by the State or Tribal 
service area, legal guardianships funded under title IV-E waivers, and 
legal guardianships funded under the title IV-E guardianship assistance 
program, per section 473(d) of the Act. We propose to require a title 
IV-E agency to indicate ``foster care guardianship in another State or 
Tribal service area'' if the child was in foster care in another State 
or Tribal service area at the time the prior legal guardianship was 
legalized. Finally, we propose to require a title IV-E agency to 
indicate ``other private or independent guardianship'' if the child's 
prior legal guardianship was not a foster care guardianship as defined 
above.
    We seek this information to allow us to compile the number of 
children and permanency plans for children involved in dissolved or 
disrupted legal guardianships and jurisdiction from where such children 
originated. We also believe it is important that title IV-E agencies 
collect parallel information on prior legal guardianship and adoption 
placements to inform our understanding of permanency outcomes as title 
IV-E agencies begin to implement the title IV-E guardianship assistance 
program, established by Public Law 110-351, in section 473(d) of the 
Act.
    Prior guardianship jurisdiction(s). In paragraph (b)(14)(iii), we 
propose that a title IV-E agency submit the name of the other State, 
Tribal service area or Indian reservation in which the child was 
previously in a guardianship, for each prior legal guardianship 
indicated in paragraph (ii) that occurred outside of the reporting 
State or Tribal service area. ACF will work with Tribal title IV-E 
agencies to develop valid response options for this element.
    As previously mentioned, we seek this information to parallel 
information collected on prior adoption placements to inform our 
understanding of permanency outcomes as title IV-E agencies begin to 
implement the title IV-E guardianship assistance program established by 
Public Law 110-351, per section 473(d) of the Act.
    Minor parent. In paragraph (b)(15), we propose that the title IV-E 
agency collect and report the number of children either fathered or 
borne by the child, if applicable. Title IV-E agencies must report the 
total of all biological children of the child, whether or not such 
children live with their parent. Title IV-E agencies are not currently 
required to report this information in AFCARS. We proposed this data 
element for the first time in the 2008 NPRM in response to public 
comments that requested a data element of this nature. Our current 
proposal is identical to that proposed in the 2008 NPRM. However, in 
our current proposal we clarify that title IV-E agencies must report a 
child older than age 18 in foster care as a ``minor parent'' if he or 
she has children.
    Collecting information on minor parents in foster care will allow 
us to analyze the extent to which having children affects a child's 
permanency plan. This data element also will be used in conjunction 
with a subsequent data element in proposed paragraph 1355.43(e)(14) to 
determine the population of children in out-of-home care who have 
children for whom they are responsible for and are living with. The 
combination of information in the two data elements will allow us to 
determine the number of children in out-of-home care who have children, 
and the extent to which those children are responsible for the care of 
their own children.
    Public comments in response to the 2008 NPRM highlighted concerns 
about caseworker burden and the difficulties involved in collecting 
accurate and

[[Page 7154]]

reliable information about children fathered by children in out-of-home 
care. However, we continue to propose this data element because we feel 
it is critical to have improved data about the characteristics of 
children in out-of-home care.
    Child financial and medical assistance. In paragraph (b)(16), we 
propose to require that the title IV-E agency report any type(s) of 
financial and medical assistance (other than title IV-E assistance) 
that the child received during the current six-month report period. We 
propose that title IV-E agencies indicate if the child is receiving any 
source of support described in paragraphs (i) through (vii), as 
applicable, or indicate ``no support/assistance received'' if none of 
the described supports are applicable to the child. Paragraphs (i) 
through (vii) describe the following sources of support/assistance: 
Benefits under title XVI of the Act (including Supplemental Security 
Income (SSI)), title XIX Medicaid, the State's Children's Health 
Insurance Program (SCHIP) including under title XXI waivers or 
demonstrations a State/Tribal or locally financed adoption assistance 
payment, a State/Tribal or locally financed foster care payment, child 
support or other sources of financial assistance.
    While the existing AFCARS data elements require title IV-E agencies 
to report the sources of Federal support for the child, this data 
element differs in that it focuses on both State/Tribal and Federal 
financial and medical assistance rather than just Federal support. This 
proposal is identical to the 2008 NPRM proposal, which details that the 
reason for modifying the existing AFCARS data element is section 
479(c)(3)(D) of the Act, requiring us to collect national information 
on ``the extent and nature of assistance provided by Federal, State, 
and local adoption and foster care programs.''
    There were several commenters that responded to both the 2008 NPRM 
and 2010 FR notice indicating concern about the burden and 
responsibility of caseworkers in obtaining information from other 
agencies, as well as the lack of staff and resources to collect this 
information. However, given the statutory requirement at section 
479(c)(3)(D) of the Act, we believe that expanding the scope of the 
financial and medical assistance data elements to gather more 
information on sources of assistance received by the child is required 
under law. This proposed data element, in conjunction with the 
following data element on receipt of title IV-E foster care maintenance 
payments in each living arrangement (paragraph(e)), will allow us to 
gather more comprehensive information on the kinds of financial and 
medical assistance that support children in out-of-home care. We also 
believe that most case management information systems currently collect 
this information.
    Title IV-E foster care during report period. In paragraph (b)(17), 
we propose to require the title IV-E agency to report specifically 
whether the child received a title IV-E foster care maintenance payment 
during the current report period. This information is currently 
collected in AFCARS under the data element ``sources of Federal 
support/assistance for child.'' This data element is the same as that 
proposed in the 2008 NPRM. The title IV-E agency is to respond 
affirmatively that the child has received a title IV-E foster care 
maintenance payment only if one was paid on the child's behalf during 
the current six-month report period, or the child is eligible for the 
program in accordance with section 472(a) of the Act and the title IV-E 
agency will claim Federal reimbursement under section 474 of the Act 
for a child's title IV-E foster care maintenance payment during the 
current six-month report period.
    As detailed in the 2008 NPRM, this data element is used primarily 
to extract the title IV-E foster care eligibility review samples. 
Currently, the title IV-E foster care eligibility review sample is 
drawn from an existing AFCARS data element that requires title IV-E 
agencies to identify title IV-E foster care maintenance payments as one 
of many Federal sources of support for the child. We have learned 
through technical assistance and AFCARS assessment reviews, however, 
that title IV-E agencies often report this data element incorrectly. A 
common mistake with the existing data element involves the title IV-E 
agency indicating that the child is receiving title IV-E foster care 
maintenance payments when the child has met some title IV-E eligibility 
requirements but not all (e.g., the child has met AFDC and legal 
requirements but is not placed in a licensed foster family home or 
child care institution.) We wish to isolate this data element so that 
we can clearly define the population of children in AFCARS data that 
are receiving title IV-E during the report period and improve the 
ability to select accurate samples for the title IV-E foster care 
eligibility reviews.
    Victim of sex trafficking and victim of sex trafficking while in 
foster care. In paragraphs (b)(18) and (b)(19), we propose to require 
the title IV-E agency to report whether a child was a victim of sex 
trafficking prior to entering foster care and if while in foster care 
became a victim of sex trafficking, as required by Public Law 113-183. 
The term ``sex trafficking victim'' is defined in the law and means a 
victim of sex trafficking as defined in section 103(10) of the 
Trafficking Victims Protection Act of 2000 or a severe form of 
trafficking in persons described in section 103(9)(A) of such Act. 
Section 105 of Public Law 113-183 requires HHS to report to Congress on 
information related to section 471(a)(35) of the Act. Thus, we propose 
to collect information regarding whether or not the title IV-E agency 
has made a report to law enforcement for entry into the National Crime 
Information Center (NCIC) database, as well as the date the agency made 
the report to law enforcement. We propose that this information be 
collected both for a child who was a victim of sex trafficking prior to 
coming into foster care and while in foster care.
    We are not proposing to retain the following data elements included 
in the 2008 NPRM, due to further consideration of the value of these 
elements in relation to the burden these elements would impose on the 
title IV-E agency. There also was overwhelming opposition to each of 
these elements in public comments:
    Child language. We proposed to require the title IV-E agency to 
report the child's use of language. However, we are not retaining this 
proposal due to the burden associated with implementing this element 
given the subjective nature of the proposed response options ``verbal, 
pre-verbal, and non-verbal'' and the potential for variability in 
response options. In addition, public comments to the 2008 NPRM 
strongly opposed the addition of this element.
    Current immunizations. We proposed to require a title IV-E agency 
to indicate whether the child's immunizations are current as of the end 
of the report period. We are not retaining this proposal because we 
believe that the information collected in paragraph (b)(6) on whether 
the child is receiving timely health assessments will serve as a proxy 
for whether immunizations are being addressed in a timely manner for 
each child in foster care. There also was strong opposition to the 
inclusion of this element in the public comments to the 2008 NPRM.
    Number of siblings living with the child at removal. We proposed to 
require the title IV-E agency to report the total number of siblings 
living with the child at the time of the child's removal from home, if 
any. We are not retaining this proposal to include this element due to 
the burden imposed on the title IV-E agency in collecting

[[Page 7155]]

information on siblings in a variety of living situations that may not 
be involved with the title IV-E agency. There also was strong 
opposition to adding this element in the public comments to the NPRM. 
We still believe that it is critical to gain a better understanding of 
how title IV-E agencies are preserving sibling connections, and 
therefore propose to capture some sibling information in a different 
manner in newly proposed paragraphs (e)(8) through (e)(13).
    Finally, ACF is committed to supporting and protecting lesbian, 
gay, bisexual, transgender and questioning (LGBTQ) youth in foster 
care. Research has shown that LGBTQ youth are often overrepresented in 
the population of youth served by the child welfare system and in the 
population of youth living on the streets, however there is little or 
no data on the experiences of these youth.
    Despite the value in collecting data on LGBTQ youth in AFCARS there 
are practical issues associated with incorporating this information 
into AFCARS data collection. First, we did not receive comments 
requesting such data in the 2008 NPRM and States have not requested the 
insertion of such response options. Second, including data elements on 
LGBTQ youth would potentially mean that data would not be consistent 
across AFCARS and NYTD. NYTD serves as the only mechanism we have at 
the federal level to receive comprehensive data on the services a youth 
receives from the state IV-E agency, as well as the experiences of 
former foster youth. We included the requirement that the child's 
record number must be the same in NYTD and AFCARS so that we could link 
both datasets to have the necessary foundation to conduct case-level 
analysis on the foster care experiences of youth whose outcomes are 
reported in NYTD. If response options are not consistent for data 
elements (i.e., child sex) in AFCARS and NYTD, it could mean that a 
youth would be identified as two different genders, which would 
complicate our ability to analyze the overall experience of child.
    We seek public comment on whether to collect information on LGBTQ 
youth in AFCARS in light of these practical issues and strategies for 
identifying LGBTQ youth in the AFCARS reporting population in a manner 
that permits case-level data analysis between existing federal data 
collection efforts. Accordingly, we invite comments on the issues of 
whether we should collect data relating to LGBTQ statuses; what, if 
any, data should be collected relating to these statuses; what the 
utility of such data collection might be; what issues would arise if 
there were inconsistent approaches between AFCARS and NTYD; and how to 
best address such inconsistencies if a decision is made for expanded 
data collection relating to LGBTQ statuses.
Section 1355.43(c) Parent or Legal Guardian Information
    In paragraph (c), we seek information on the child's parent(s) or 
legal guardian(s).
    Year of birth of parent(s) or legal guardian(s). In paragraphs 
(c)(1)(i) and (c)(2)(i), we propose that the title IV-E agency collect 
and report the birth year of the child's parent(s) or legal 
guardian(s). This can be a biological, legal or adoptive parent or 
legal guardian. We seek this information on the child's parent(s) or 
legal guardian(s) regardless of whether the child is living with a 
different or temporary caretaker or is in a facility/hospital at the 
time of removal. We are not seeking information on putative birth 
parent(s) in this paragraph. Further, to the extent that a child has 
both a parent and a legal guardian, the title IV-E agency must report 
on those who had legal responsibility for the child. If the title IV-E 
agency cannot obtain this information because the child is abandoned or 
left at a ``safe haven,'' the title IV-E agency must indicate 
``abandoned.'' If there is only one parent or legal guardian, we 
propose that the title IV-E agency indicate ``not applicable'' in 
paragraph (c)(2)(i).
    These data elements differ from the existing AFCARS in that we 
currently request the year of birth of the child's caretakers from whom 
the child was removed (see Appendix A to part 1355, section II, VII.B). 
The information collected under the existing regulation does not 
clearly indicate whether the child's caretaker(s) was the parent(s), 
legal guardian(s), or some other person who was temporarily taking care 
of the child at the time that the child was removed from home. Because 
of this lack of clarity, our ability to analyze the existing data is 
limited.
    This proposal is the same as in the 2008 NPRM and we believe that 
focusing the proposed data elements on the child's parent(s) or legal 
guardian(s) is more consistent with the statutory mandate to collect 
demographic information on the biological and adoptive parent(s) of 
children in foster care (section 479(c)(3)(A) of the Act). By expanding 
our requirement to gather the year of birth of all parents (e.g., 
inclusive of biological, legal or adoptive parents and stepparents) or 
legal guardians, we believe we are better meeting the intent of the 
statute to understand the characteristics of persons who are legally 
responsible for children who enter foster care.
    Parent(s) or legal guardian(s) born in the United States. In 
paragraphs (c)(1)(ii) and (c)(2)(ii), we propose to require the title 
IV-E agency to report whether or not the child's parent(s) or legal 
guardian(s) were born in the United States. This can be a biological, 
legal or adoptive parent or legal guardian. We seek this information on 
the child's parent(s) or legal guardian(s) regardless of whether the 
child is living with a different or temporary caretaker or is in a 
facility/hospital at the time of removal. If the title IV-E agency 
cannot obtain this information because the child is abandoned or left 
at a ``safe haven,'' the title IV-E agency must indicate ``abandoned.'' 
If there is only one parent or legal guardian, we propose that the 
title IV-E agency indicate ``not applicable'' in paragraph (c)(2)(ii).
    This is a newly proposed element and will give us a national 
picture of how many parent(s) or legal guardian(s) of children in out-
of-home care are foreign-born. We specifically request comments from 
State and Tribal title IV-E agencies on this data element.
    Termination of parental rights petition. In paragraph (c)(3)(i), we 
propose to require the title IV-E agency to report each date the title 
IV-E agency filed a petition to terminate parental rights (TPR) 
regarding the child's biological, legal, and/or putative parent(s). If 
the parent is deceased, we propose that the title IV-E agency indicate 
``deceased.'' This information will provide us with data we can use to 
evaluate how title IV-E agencies are complying with the requirement in 
section 475(5)(E) of the Act to file a petition to terminate the 
parental rights of certain children in foster care, unless there is an 
exception. Further, this information, in conjunction with information 
collected on final dates of TPR in paragraphs 1355.43(c)(4) and (c)(6) 
and section 1355.44(c)(5), will help us determine how long it takes for 
permanency to be achieved for children who are adopted. The title IV-E 
agency must report each petition date in cases where there are multiple 
petitions that are filed. In order to be able to properly calculate the 
time lapse between the petition date and the TPR date in paragraph 
(c)(3)(ii), we must require that the title IV-E agency report each 
petition date. Our proposal to include the date of the TPR petition is 
similar to the proposal in the 2008 NPRM, where it was proposed for the 
first time; however, we did not propose that this

[[Page 7156]]

data element capture information longitudinally in the 2008 NPRM. We 
received no comments on this proposal in response to the 2008 NPRM.
    As we stated in the 2008 NPRM, for all data elements related to the 
termination of parental rights, we propose to clarify that we are 
seeking information on a child's putative father, if applicable. A 
putative father is a person who is alleged to be the father of a child, 
or who claims to be the father of a child, at a time when there may not 
be enough evidence or information available to determine if that is 
correct. For the existing AFCARS we have fielded questions on whether 
title IV-E agencies should provide information on putative fathers. 
Since the parental rights of any putative fathers may need to be 
terminated before a child legally is free for adoption in some 
jurisdictions, we want to be clear that we are interested in collecting 
information on putative fathers as well.
    Termination of parental rights. In paragraph (c)(3)(ii), we propose 
to modify the existing AFCARS requirement for the title IV-E agency to 
collect and report the date that parental rights are terminated for 
each biological, legal and/or putative parent, if applicable (see 
Appendix A to part 1355, section II, VIII). Currently, the title IV-E 
agency reports only the most recent TPR date(s). We are proposing to 
modify this existing AFCARS requirement to collect each TPR date so 
that we can properly calculate the time lapse between the petition 
date(s) reported in paragraph (c)(3) and the TPR date. ACF will include 
proper file format for the data elements in paragraph (c)(3)(i) and 
paragraph (c)(3)(ii) in subsequent guidance on technical submission 
requirements. Our proposal in the 2008 NPRM was unchanged from the 
existing AFCARS regulatory requirement and we received no comment. We 
propose to incorporate our current guidance for the existing AFCARS 
requirement to require that if there was no termination of parental 
rights because the parent(s) is deceased, the title IV-E agency must 
enter the date of death. If the parent(s) died after the TPR date, the 
title IV-E agency must enter the date of the TPR.
    Date of judicial finding of abuse or neglect. In paragraph (c)(4) 
we propose that the title IV-E agency collect and report to AFCARS the 
date of the first judicial finding that the child has been subject to 
child abuse or neglect, if applicable. If there has been no judicial 
finding of child abuse or neglect by the end of the report period, the 
title IV-E agency must report ``no date.'' Possible reasons no date 
would be available include if there is a voluntary relinquishment, a 
voluntary placement agreement (VPA) between the title IV-E agency and 
the child or his or her parent(s) or legal guardian(s) or there is no 
abuse or neglect disposition by the end of the report period. We 
propose to add this data element to AFCARS for the first time in order 
to provide additional data that can be available for use in the current 
CFSRs and other monitoring of timely periodic reviews, permanency 
hearings and TPR petition filings per section 475(5) of the Act. Title 
IV-E agencies must comply with these case review requirements in 
section 475(5) of the Act within specific timeframes which begin with 
the earlier of the date of the first judicial finding that the child 
was subjected to child abuse or neglect, or, the date that is 60 
calendar days after the date on which the child is removed from the 
home (see the definition for ``date a child is considered to have 
entered foster care'' in section 1355.20(a)). Collecting the date of 
the first judicial finding of abuse or neglect will aid us in 
calculating these timeframes with more accuracy.
    Finally, we propose to eliminate the existing data element on the 
family structure of the child's caretakers from whom the child was 
removed (see Appendix A to part 1355, section II, VII.A) because, as we 
explained in the 2008 NPRM, we believe that the data element on the 
child's environment at removal in proposed paragraph (d)(3) will 
provide sufficient information. Additionally, we do not propose a data 
element to indicate whether the mother was married at time of the 
child's birth, as we proposed in the 2008 NPRM because many commenters 
to the 2008 NPRM, including States, members of the public and 
academics, were opposed to the collection of this data element for 
reasons including the limited interest, relevance and utility of the 
data, particularly for children entering foster care from adoptive 
homes. We found these reasons compelling and as a result we do not 
propose to collect this information.
Section 1355.43(d) Removal Information
    In paragraph (d), we propose to require the title IV-E agency to 
report information related to the child's removal, regarding each 
occasion that the child experiences a removal. For each removal that a 
child experiences, we propose to require the title IV-E agency to 
report each removal date, the type of environment (household or 
facility) the child was living in at the time of each removal, the 
title IV-E agency's authority for placement and care responsibility for 
each removal and the circumstances surrounding the child and family at 
the time of each removal.
    Currently, title IV-E agencies are required to report AFCARS data 
only on the child's most recent removal in the report period (see 
Appendix A to part 1355, section II, III). For the reasons stated 
throughout this NPRM and in the 2008 NPRM, requiring title IV-E 
agencies to collect and report longitudinal data will allow us to 
analyze more accurately the circumstances surrounding a child's entry 
into and entire experience while in out-of-home care and will provide 
critical information for Federal efforts to measure outcomes.
    Date of child's removal. In paragraphs (d)(1)(i) through (iii), we 
propose that the title IV-E agency collect and report the date(s) on 
which the child was removed for each removal of a child who enters the 
placement and care responsibility of the title IV-E agency. For a child 
who is removed and is placed initially in foster care (as defined in 
section 1355.20), we propose in paragraph (i) that the title IV-E 
agency indicate the date that the title IV-E agency received placement 
and care responsibility. For a child who ran away or whose whereabouts 
are unknown at the time the child is removed and is placed in the 
placement and care responsibility of the title IV-E agency, we propose 
in paragraph (ii) that the title IV-E agency indicate the date that the 
title IV-E agency received placement and care responsibility. For a 
child who is removed, and is placed initially in a non-foster care 
setting, we propose in paragraph (iii) that the title IV-E agency 
indicate the date that the child enters foster care as the date of 
removal, rather than the date of the removal court order or VPA, 
because we are not proposing to include these children in the out-of-
home care reporting population until they enter foster care (see 
section 1355.41(a)(1)(i)). In general, the date of removal should be 
consistent with the child's entry into the out-of-home care reporting 
population as described in section 1355.41(a).
    In the existing AFCARS, the title IV-E agency is required to report 
the date of the child's first and latest removal from the child's home 
and placement into foster care (see Appendix A to part 1355, section 
II, III.A). The information collected in the existing AFCARS does not 
allow us to analyze accurately the child's repeat foster care re-entry 
rate or any associated length of time to re-entry, both of which are 
currently used for the CFSR. We also cannot analyze the child's entire 
removal history and we

[[Page 7157]]

are unable to identify trends that may assist title IV-E agencies in 
better understanding their data and making program improvements. To 
address these issues, we proposed in the 2008 NPRM that the title IV-E 
agency report the child's removal date(s) for each removal that the 
child experiences. We did not receive comments in response to the 2008 
NPRM specific to this data element, and a few commenters to the 2010 FR 
Notice supported the proposal in the 2008 NPRM. We believe that our 
current proposal will provide us with better data that we can use to 
analyze foster care re-entries for outcome measures and other Federal 
monitoring purposes.
    Removal transaction date. In paragraph (d)(2), we propose to 
require the title IV-E agency to report the transaction date for each 
of the child's removal dates reported in paragraph (d)(1). The 
transaction date is a non-modifiable, computer-generated date which 
accurately indicates the month, day and year each response to paragraph 
(d)(1) was entered into the information system. We propose that the 
transaction date must be no later than 30 days after the date of each 
removal as specified in paragraph (d)(1).
    The existing AFCARS requirement is that the transaction date must 
be no later than 60 days after the child's removal (see Appendix A to 
part 1355, section II, III.A). The worker has 60 days to enter the date 
of the child's removal into the information system under the existing 
AFCARS requirement. In the 2008 NPRM, we proposed to shorten this 
timeframe, by proposing that the transaction date must be within 15 
days of the child's removal. As we stated in the 2008 NPRM, the removal 
date is one of the most critical data elements in AFCARS and we have 
found that higher quality and accurate data results when the removal 
transaction date is close in time to the date that it describes. 
Commenters to the 2008 NPRM expressed concern over the 15-day timeframe 
proposed in the 2008 NPRM, citing that it was a drastic change and 
could jeopardize casework activity, which the commenters felt should 
take precedence over data entry. Commenters to the 2008 NPRM also 
expressed concern that the 15-day timeframe would be difficult to meet 
for non-SACWIS county-administered agencies that may depend on a paper-
based information system. Other commenters to the 2008 NPRM proposed a 
30-day timeframe for the removal transaction date giving the worker 30 
days to enter the date of the child's removal into the information 
system. We considered the comments from the 2008 NPRM and decided that 
a 30-day timeframe is acceptable and represents a balanced approach 
that meets our need to ensure that removal information is timely and 
also addresses concerns from the commenters.
    Environment at removal. In paragraph (d)(3), we propose that the 
title IV-E agency report the type of environment (household or 
facility) the child was living in at the time of the child's removal 
for each removal reported in paragraph (d)(1). Although we proposed in 
the 2008 NPRM to collect similar information, this is a new data 
element where we propose to require the title IV-E agency to report 
whether the child was living in a household with his or her parent(s), 
relative(s) or legal guardian(s), or if the child was living in a 
justice facility or a medical/mental health facility or in another 
situation not so described at the time of each removal reported in 
paragraph (d)(1).
    We propose the response options to be mutually exclusive, 
consistent with commenter concerns in response to the 2008 NPRM. For 
example, we propose that if the child was living in a household that 
consisted of one of the child's parents and a relative at the time of 
the child's removal, the title IV-E agency must indicate the response 
option ``parent household.'' We propose that the title IV-E agency 
indicate ``justice facility'' if, at the time of the child's removal, 
as indicated in paragraph (d)(1), the child was living in a juvenile 
justice or adult criminal justice facility where the child is detained. 
We propose that the title IV-E agency indicate ``medical/mental health 
facility'' if, at the time of the child's removal as indicated in 
paragraph (d)(1), the child was living in a facility such as a medical 
or psychiatric hospital or residential treatment center. We propose 
that the title IV-E agency select the response option ``other'' for 
environments that are not addressed by the other response options 
listed (e.g., living independently). The information collected in the 
existing AFCARS is insufficient for our analytical needs. We propose 
this new data element so that we may have a more accurate picture of 
the child's life when the child is placed in foster care. The 
longitudinal information gleaned from this data element will enhance 
our analyses regarding a child's entry into foster care and may assist 
title IV-E agencies in better understanding their foster care 
populations.
    In the existing AFCARS, the title IV-E agency reports limited 
information about the child's ``principal caretakers,'' reporting only 
the marital status and year of birth of the principal caretaker(s) from 
whom the child was removed (see Appendix A to part 1355, section II, 
VII). In the 2008 NPRM, we proposed to broaden the information reported 
to AFCARS by proposing two new data elements, ``environment at 
removal'' and ``household composition at removal'', in which the title 
IV-E agency would have had to report if the child was living in a 
household at the time of removal and if so, whether the child was 
living with one or more of a list of persons identified by their 
relationship to the child. If the child was not living in a household, 
we proposed to require the title IV-E agency to report whether the 
child was living in another environment/facility or was abandoned. We 
now propose to combine the previously proposed data elements 
''environment at removal'' and ``household composition at removal'' 
from the 2008 NPRM and modify the response options.
    We received many comments on the data elements ''environment at 
removal'' and ``household composition at removal'' as proposed in the 
2008 NPRM. Some commenters to the 2008 NPRM supported collecting more 
detailed information on family composition while other commenters felt 
that the information gathered in the existing AFCARS was sufficient. 
Some commenters to the 2008 NPRM expressed confusion over whom to 
report as present in the household because the proposed response 
options were not mutually exclusive which could lead to an 
interpretation that multiple people were living in a household which 
may not be accurate. Other commenters to the 2008 NPRM said that 
reprogramming their SACWIS systems to capture this information was 
burdensome and questioned the value of such detailed information at the 
Federal level.
    In the 2010 FR Notice, we solicited feedback, and received many 
comments, on what data, if any, should be collected from child welfare 
agencies to provide insight into what environment a child is removed 
from before entering foster care. Some commenters to the 2010 FR Notice 
objected to collecting and reporting more detail on a child's household 
or environment at removal for various reasons, such as that such 
household or environmental characteristics are better captured in the 
case plan and aligning the AFCARS data elements with the NCANDS data 
elements. Other commenters to the 2010 FR Notice expressed support for 
collecting more information on a child's household or environment at 
removal, stating that it would be beneficial to

[[Page 7158]]

know more details about a child's family structure. Some commenters 
suggested collecting general information on a child's environment at 
removal, stating that it would be problematic to collect overly 
detailed information given the wide variety of households or 
environments from which a child could be removed.
    We revisited the previously proposed data elements ``environment at 
removal'' and ``household composition at removal'' from the 2008 NPRM 
in light of the comments we received to the 2008 NPRM, the 2010 FR 
Notice and the changes to section 475(8) of the Act, made by Pub. L. 
110-351, which allows for the inclusion of children age 18 and older in 
title IV-E funded foster care. We understand the issues raised by the 
commenters and decided that combining the data elements will be simpler 
and less confusing. We believe that this streamlined approach achieves 
our goal of obtaining greater detail than exists currently in order to 
support more sophisticated analysis and also addresses commenters 
concerns about burden and clarity.
    Authority for placement and care responsibility. In paragraph 
(d)(4), we propose to require the title IV-E agency to indicate, for 
each removal reported in paragraph (d)(1), whether the title IV-E 
agency's authority for placement and care responsibility of the child 
was based on a court order or a VPA or to indicate if the type of 
authority has not yet been determined. If the title IV-E agency 
indicates that the authority is not yet determined, such information 
must be provided in a subsequent report period when it is available, if 
the child remains in out-of-home care. In addition, we modified the 
definitions of the response options to clarify that a VPA includes 
voluntary agreements entered into by a child age 18 or older with the 
title IV-E agency, allowing the title IV-E agency to have placement and 
care responsibility of the older child. We are proposing that the title 
IV-E agency report the initial authority for placement and care 
responsibility, which remains the same even if the authority 
subsequently changes.
    Our proposal is generally unchanged from the existing AFCARS 
requirement (see Appendix A to part 1355, section II, IV.A), and the 
2008 NPRM proposal, wherein the title IV-E agency must collect and 
report its authority for the child's removal from home. We also propose 
to modify the name of the data element and the definitions for the 
response options to clarify that the title IV-E agency must report its 
authority for placement and care responsibility of the child, instead 
of the ``manner of removal from home'' as in the existing AFCARS 
requirement (see Appendix A to part 1355, section II, IV.A).
    Child and family circumstances at removal. In paragraph (d)(5), we 
propose to require the title IV-E agency to report the circumstances 
surrounding the child and family for each removal reported in paragraph 
(d)(1). We propose that the title IV-E agency indicate whether each 
circumstance listed in paragraphs (d)(5)(i) through (d)(5)(xxvii) 
``applies'' or ``does not apply'' for each removal reported in 
paragraph (d)(1).
    Our proposal in paragraph (d)(5) is largely the same as the current 
AFCARS requirement and the 2008 NPRM. In the existing AFCARS, the title 
IV-E agency is required to report all of the ``actions or conditions'' 
associated with the child's most recent removal from a short list of 
response options (see Appendix A to part 1355, section II, IV.B). 
Similar to the 2008 NPRM, we propose to retain the current feature of 
AFCARS to require the title IV-E agency to indicate all of the 
circumstances that are associated with each removal; however, we 
propose an expanded list of circumstances which we have modified from 
the 2008 NPRM proposal. We propose the term ``associated with removal'' 
to mean all circumstances that are present at the time of each removal, 
in addition to the circumstances related to the child being placed into 
foster care.
    We propose that the title IV-E agency report an expanded list of 
child and family circumstances from the list in the existing AFCARS; 
however, we modify the circumstances that were proposed in the 2008 
NPRM based on the comments in response to the 2008 NPRM and 2010 FR 
Notice and the changes to section 475(8) of the Act allowing children 
age 18 or older to receive title IV-E foster care maintenance payments. 
The definition for each circumstance is described in paragraphs 
(d)(5)(i) through (d)(5)(xxvii). Commenters to both the 2008 NPRM and 
2010 FR Notice suggested additional circumstances and some of the 
suggestions from the 2010 FR Notice are included in this proposal 
(e.g., domestic violence is proposed as a circumstance). We believe 
that we needed to balance concerns over burden with suggestions for 
additional data so we chose to revise the circumstances proposed 
previously in the 2008 NPRM as needed instead of adding all of the 
circumstances suggested by commenters. Each response option is 
explained in detail below.
    (i) Runaway. In paragraph (d)(5)(i), we propose that the title IV-E 
agency collect and report whether the child has left, without 
authorization, the home or facility in which the child was residing at 
the time of each removal reported in paragraph (d)(1). We modified our 
proposal from the existing AFCARS requirement and the 2008 NPRM. The 
title IV-E agency currently reports running away in the ``child's 
behavior problem'' response option in the existing AFCARS (see Appendix 
A to part 1355, section II, IV.B). In the 2008 NPRM, we proposed to 
require the title IV-E agency to collect and report running away as a 
separate child and family circumstance. Commenters in response to the 
2008 NPRM expressed concern with data quality, stating that title IV-E 
agencies may differ in how they define ``runaway.'' We understand from 
commenters to the 2008 NPRM that there may be confusion with the 
definition proposed in the 2008 NPRM so we clarified the definition to 
address commenter concerns and to conform to the proposed changes to 
the reporting population in section 1355.41(a) that includes children 
age 18 or older who are in foster care (as defined in section 1355.20).
    (ii) Whereabouts unknown. In paragraph (d)(5)(ii), we propose that 
the title IV-E agency collect and report whether, as a circumstance at 
removal, the child's whereabouts are unknown and the title IV-E agency 
does not consider the child to have run away at the time of each 
removal reported in paragraph (d)(1). This is a new response option not 
proposed in the 2008 NPRM or required to be reported in the existing 
AFCARS regulation. We propose it now based on stakeholder feedback we 
received in response to the 2008 NPRM asking to add a separate response 
option for a child whose whereabouts are unknown at the time of 
removal. This new response option will enable ACF to provide 
information and conduct analysis on children who are in the title IV-E 
agency's placement and care responsibility but whose whereabouts are 
unknown. We believe that the quality of the data will be better if we 
collect this as a separate circumstance from running away because not 
all children whose whereabouts are unknown at the time of removal have 
run away. We believe that collecting this information as a separate 
circumstance at removal is a reasonable way to begin collecting 
quantifiable data on these children.
    (iii) Physical abuse. In paragraph (d)(5)(iii), we propose that the 
title IV-E agency continue to collect and report whether alleged or 
substantiated physical abuse, injury or maltreatment by a person 
responsible for the child's welfare was a circumstance associated

[[Page 7159]]

with the child's removal for each removal reported in paragraph (d)(1). 
Our proposal is unchanged from the existing AFCARS definition which 
captures both substantiated and alleged child physical maltreatment 
(see Appendix A to part 1355, section II, IV.B). Commenters in response 
to the 2008 NPRM asked us to consider making the definitions of 
physical abuse the same for NCANDS and AFCARS. As we explained in the 
2008 NPRM, the NCANDS definition does not capture alleged physical 
abuse, which is necessary for AFCARS because it is unlikely that 
physical abuse will have been substantiated in all cases when the child 
is removed.
    (iv) Sexual abuse. In paragraph (d)(5)(iv), we propose that the 
title IV-E agency continue to collect and report whether alleged or 
substantiated sexual abuse or exploitation by a person responsible for 
the child's welfare was a circumstance associated with the child's 
removal for each removal reported in paragraph (d)(1). Our proposal is 
unchanged from the existing AFCARS definition which captures both 
substantiated and alleged child sexual maltreatment (see Appendix A to 
part 1355, section II, IV.B). As we explained in the 2008 NPRM, sexual 
abuse remains a significant condition associated with the child's 
removal. It is important to capture alleged sexual abuse in AFCARS 
because it is unlikely that sexual abuse will have been substantiated 
in all cases when the child is removed. We did not receive comments on 
this response option in response to the 2008 NPRM.
    (v) Psychological or emotional abuse. In paragraph (d)(5)(v), we 
propose that the title IV-E agency collect and report whether alleged 
or substantiated psychological or emotional abuse, including verbal 
abuse, by a person who is responsible for the child's welfare was a 
circumstance associated with the child's removal for each removal 
reported in paragraph (d)(1). Our proposal is unchanged from the 2008 
NPRM, which is for psychological or emotional abuse to be reported as a 
separate circumstance, rather than part of the definition of 
``neglect,'' as instructed in current AFCARS policy (see section 1.2B.3 
of the Child Welfare Policy Manual (CWPM), Question and Answer #3). As 
we explained in the 2008 NPRM, we believe that it is useful to make a 
distinction between circumstances of neglect and psychological or 
emotional abuse at removal. We did not receive comments on this 
response option in response to the 2008 NPRM.
    (vi) Neglect. In paragraph (d)(5)(vi), we propose that the title 
IV-E agency continue to collect and report whether neglect was a 
circumstance associated with the child's removal for each removal 
reported in paragraph (d)(1). Our proposal is unchanged from the 
existing AFCARS definition (see Appendix A to part 1355, section II, 
IV.B). In the 2008 NPRM we proposed to differentiate between ``failure 
to provide supervision'' and ``neglect'' by proposing them as separate 
response options. Commenters in response to the 2008 NPRM stated that 
separating ``failure to provide supervision'' from the definition of 
``neglect'' would be confusing for workers and did not add analytical 
value because not providing supervision is one of the key elements for 
a circumstance of neglect. To address the comments, we now propose to 
keep a failure to provide supervision as part of the definition of 
``neglect'' as in the existing AFCARS requirement.
    (vii) Medical neglect. In paragraph (d)(5)(vii), we propose that 
the title IV-E agency collect and report whether medical neglect was a 
circumstance associated with the child's removal for each removal 
reported in paragraph (d)(1). Our proposal is unchanged from the 2008 
NPRM where we proposed the definition of ``medical neglect'' to be 
``alleged or substantiated medical neglect caused by a failure to 
provide for the appropriate health care of the child by a person who is 
responsible for the child's welfare, although the person was 
financially able to do so, or was offered financial or other means to 
do so.'' The title IV-E agency is not required to report information on 
medical neglect separately from a circumstance of ``neglect'' in the 
existing AFCARS definition (see Appendix A to part 1355, section II, 
IV.B). We believe that it is useful to make a distinction between a 
circumstance of neglect and medical neglect at removal. We received 
supportive comments for adding this response option and the proposed 
definition in response to the 2008 NPRM.
    (viii) Domestic violence. In paragraph (d)(5)(viii), we propose 
that the title IV-E agency collect and report whether domestic violence 
was a circumstance associated with the child's removal for each removal 
reported in paragraph (d)(1). We propose to define domestic violence as 
alleged or substantiated physical or emotional abuse between one adult 
member of the child's home and a partner or the child and his or her 
partner if the child is age 18 or older. The title IV-E agency is not 
required to report this information in the existing AFCARS. As we 
explained in the 2008 NPRM, we do not want to limit the definition of 
domestic violence, for example, to violence occurring between spouses 
or parent figures, as in NCANDS. Additionally, we want to capture 
allegations of domestic violence, which the NCANDS definition does not 
address, because at the time of removal, workers are likely to have 
allegations of conduct to report to AFCARS, and not always 
substantiations. Similar to our proposal in the 2008 NPRM, we consider 
``domestic violence'' broadly to mean any person who is or was a 
partner to an adult living in the home and now including the child if 
the child is age 18 or older. We believe that this broad definition 
accurately reflects the reality of many domestic violence 
circumstances. Commenters to the 2008 NPRM and 2010 FR Notice were 
supportive of including ``domestic violence'' as a circumstance at 
removal; however, we had to modify the definition from the 2008 NPRM to 
include children age 18 or older who enter foster care.
    (ix) Abandonment. In paragraph (d)(5)(ix), we propose that the 
title IV-E agency continue to report if abandonment was a circumstance 
associated with the child's removal for each removal reported in 
paragraph (d)(1). Our proposal is unchanged from the 2008 NPRM, which 
is for the title IV-E agency to report a circumstance of abandonment if 
the child was left alone or with others and the identity of the child's 
parent(s) or legal guardian(s) is unknown and cannot be ascertained, 
including if the child was left at a ``safe haven.'' Also unchanged 
from our proposal in the 2008 NPRM is that this response option does 
not apply when the identity of the parent(s) or legal guardian(s) is 
known. The title IV-E agency must report those situations as a failure 
for the parent(s) or legal guardian(s) to return for the child in 
paragraph (d)(5)(x).
    In the existing AFCARS, abandonment is defined as leaving a child 
alone or with others and the caretaker does not return or make his or 
her whereabouts known (see Appendix A to part 1355, section II, IV.B). 
The major difference between the proposed definition and the existing 
AFCARS definition is that this proposal only includes as abandonment 
the circumstance where the identity of the parent(s) or legal 
guardian(s) is unknown. That is not always the case under the current 
AFCARS, since the definition of abandonment is broader and encompasses 
both the situations in which the title IV-E agency knows the

[[Page 7160]]

identity of the parent(s) or legal guardian(s), and when it does not. 
As explained in the 2008 NPRM, we propose this change so that we can 
identify the truly abandoned child from a child who is left with others 
and the title IV-E agency knows the identity of the parent(s) or legal 
guardian(s). With this change, ACF will be able to identify the number 
of cases of abandoned children in which the parent(s) has left the 
child alone, with someone, or somewhere, but have not made their 
identity known. Further, the permanency planning needs of these 
children are different from those of a child whose parent(s) are known 
because both under the Child Abuse Protection and Treatment Act (CAPTA) 
program and the title IV-E program, title IV-E agencies are required to 
expedite permanency for an abandoned child since there is not an 
identified parent with whom the title IV-E agency can work toward 
reunification. Commenters in response to the 2008 NPRM felt that the 
circumstance of abandonment was redundant if the title IV-E agency 
selected ``abandoned'' in data element ``environment at removal'' as 
proposed in the 2008 NPRM. We believe that we addressed this comment 
through our proposed revisions to paragraph (d)(3) because we propose 
in paragraph (d)(3) to collect the type of household or facility in 
which the child was living at removal, which does not include an 
``abandoned'' response option. Other commenters to the 2008 NPRM 
suggested that we collect information on whether the child was 
abandoned in safe or unsafe circumstances; however, we did not make 
that change as we do not have a specific reason or purpose to collect 
this level of detail.
    (x) Failure to return. In paragraph (d)(5)(x), we propose that the 
title IV-E agency report if the child's parent(s), legal guardian(s) or 
caretaker(s) leaves the child alone or with others and does not return 
for the child or make his or her location known to the title IV-E 
agency for each removal reported in paragraph (d)(1). As stated in 
paragraph (d)(5)(ix), the title IV-E agency must report that this 
circumstance ``applies'' if the identity of the parent(s), legal 
guardian(s) or caretaker(s) is known. Our proposal is unchanged from 
the 2008 NPRM, in which we propose to require that the title IV-E 
agency report the circumstance ``failure to return'' as a separate 
response option from ``abandonment'' so that we can identify a truly 
abandoned child from one where the identity of the parent(s), legal 
guardian(s) or caretaker(s) is known but he or she does not make him or 
herself available to the child. In the existing AFCARS, ``failure to 
return'' is included in the definition for the ``abandonment'' 
circumstance (see Appendix A to part 1355, section II, IV.B). 
Commenters to the 2008 NPRM felt that it was unnecessary to separate 
``failure to return'' from the definition of ``abandonment.'' We 
considered the comment but we still feel that this distinction is 
important to make for analytical purposes and for collecting expanded 
information on a child's life at removal.
    (xi) Caretaker's alcohol abuse. In paragraph (d)(5)(xi), we propose 
that the title IV-E agency continue to collect and report whether the 
compulsive use of alcohol, that is not of a temporary nature, by the 
child's parent(s), legal guardian(s) or caretaker(s) who is responsible 
for the child was a circumstance associated with the child's removal 
for each removal reported in paragraph (d)(1). Our proposal is 
unchanged from the existing AFCARS requirement (see Appendix A to part 
1355, section II, IV.B). In the 2008 NPRM, we proposed that title IV-E 
agencies report any form of compulsive alcohol use by the child's 
caretaker, including short-term alcohol abuse, which many commenters to 
the 2008 NPRM objected to for various reasons. Many commenters to the 
2008 NPRM expressed concern that the definition proposed in the 2008 
NPRM differed from the NCANDS definition and questioned the overall 
value of the change. Other commenters to the 2008 NPRM expressed 
concerns over a worker's ability to distinguish short-term compulsive 
alcohol abuse from long-term compulsive alcohol abuse which may lead to 
data quality issues for AFCARS data. The comments we received in 
response to the 2008 NPRM convinced us to keep the existing AFCARS 
definition, as it is critical that we have accurate data and this 
definition is sufficient for data analyses at a Federal level.
    (xii) Caretaker's drug abuse. In paragraph (d)(5)(xii), we propose 
that the title IV-E agency continue to collect and report whether the 
compulsive use of drugs that is not of a temporary nature, by the 
child's parent(s), legal guardian(s) or caretaker(s) who is responsible 
for the child was a circumstance associated with the child's removal 
for each removal reported in paragraph (d)(1). Our proposal is 
unchanged from the existing AFCARS definition (see Appendix A to part 
1355, section II, IV.B). In the 2008 NPRM, we proposed that title IV-E 
agencies report any form of compulsive drug use by the child's 
caretaker, including short-term drug abuse, which many commenters to 
the 2008 NPRM objected to for various reasons. We received the same 
comments in response to the 2008 NPRM for this response option as we 
received for the response option ``caretaker's alcohol abuse.'' Based 
on the comments and the reasons described in paragraph (d)(5)(xi), we 
now propose to keep the current AFCARS definition.
    (xiii) Child alcohol use. In paragraph (d)(5)(xiii), we propose 
that the title IV-E agency report whether the child's alcohol use was a 
circumstance associated with the child's removal for each removal 
reported in paragraph (d)(1). This response option encompasses a 
child's alcohol use at any age except it does not include infants who 
are addicted to alcohol at birth or who may be diagnosed with fetal 
alcohol spectrum disorders. We believe that an infant who is exposed to 
alcohol in utero is different from a child who uses alcohol of his or 
her own accord. Our proposal is similar to the 2008 NPRM, however our 
current proposal removes the word ``compulsive'' from the definition of 
this response option because we wish to collect information on whether 
a child's alcohol use was a circumstance at removal regardless of 
whether the use was compulsive. In the existing AFCARS, the title IV-E 
agency is required to indicate if the child's compulsive use of or need 
for alcohol was a circumstance at removal, inclusive of infants who are 
addicted to alcohol at birth (see Appendix A to part 1355, section II, 
IV.B). We did not receive comments on this response option in response 
to the 2008 NPRM.
    (xiv) Child drug use. In paragraph (d)(5)(xiv), we propose that the 
title IV-E agency report whether the child's drug use was a 
circumstance associated with the child's removal for each removal 
reported in paragraph (d)(1). This response option encompasses a 
child's drug use at any age except it does not include infants who are 
addicted to drugs at birth. We believe that an infant who is exposed to 
drugs in utero is different from a child who uses drugs of his or her 
own accord. Our proposal is similar to the 2008 NPRM, however our 
current proposal removes the word ``compulsive'' from the definition of 
this response option because we wish to collect information on whether 
a child's drug use was a circumstance at removal regardless of whether 
the use was compulsive. In the existing AFCARS, the title IV-E agency 
is required to indicate if the child's compulsive use of or need for 
drugs was a circumstance at removal, inclusive of infants who are 
addicted to drugs at

[[Page 7161]]

birth (see Appendix A to part 1355, section II, IV.B). We did not 
receive comments on this response option in response to the 2008 NPRM.
    (xv) Prenatal alcohol exposure. In paragraph (d)(5)(xv), we propose 
that the title IV-E agency collect and report, for each removal 
reported in paragraph (d)(1), whether a child has been prenatally 
exposed to alcohol that has resulted in a fetal alcohol spectrum 
disorder, such as fetal alcohol exposure, fetal alcohol effects or 
fetal alcohol syndrome. Our proposal is unchanged from the 2008 NPRM. 
We believe that a child whose removal circumstances involve prenatal 
alcohol exposure differs from a child who has his or her own alcohol 
use issues. In the existing AFCARS, the title IV-E agency is required 
to report a child's prenatal alcohol exposure as part of the child's 
own alcohol abuse (see Appendix A to part 1355, section II, IV.B). We 
received supportive comments in response to both the 2008 NPRM and 2010 
FR Notice on this proposal.
    (xvi) Prenatal drug exposure. In paragraph (d)(5)(xvi), we propose 
that the title IV-E agency collect and report whether, for each removal 
reported in paragraph (d)(1), a child has been prenatally exposed to 
drugs. Our proposal is unchanged from the 2008 NPRM. We believe that a 
child whose removal circumstances involve prenatal drug exposure is 
different from a child who has his or her own drug use issues. In the 
existing AFCARS, the title IV-E agency is required to report the 
child's prenatal drug exposure as part of the child's own drug abuse 
(see Appendix A to part 1355, section II, IV.B). We received supportive 
comments in response to both the 2008 NPRM and 2010 FR Notice on this 
proposal. A few commenters to the 2008 NPRM expressed an interest in 
having more detailed information on the type of drug to which the child 
was exposed. We did not make the change in response to the comment 
because we do not have a specific purpose to collect that level of 
detail.
    (xvii) Diagnosed Condition. In paragraph (d)(5)(xvii), we propose 
that the title IV-E agency continue to report whether, for each removal 
reported in paragraph (d)(1), the presence of a child's diagnosed 
health, behavioral or mental health condition was a circumstance 
associated with the child's removal, such as one or more of the 
following: Intellectual disability, emotional disturbance, specific 
learning disability, hearing, speech or sight impairment, physical 
disability or other clinically diagnosed condition. In the existing 
AFCARS, the title IV-E agency is required to report similar information 
at removal as part of the ``child disability'' response option (see 
Appendix A to part 1355, section II, IV.B). Our proposal is unchanged 
from the 2008 NPRM, where we proposed modifications to the name of this 
circumstance, ``diagnosed condition,'' and the language of the response 
option (change from the use of the term ``disability'' to 
``condition'') to align with the changes proposed in data element 
``health, behavioral or mental health condition'' in paragraph (b)(5) 
of this section. However we are modifying one of the examples of a 
diagnosed condition from ``mental retardation'' to ``intellectual 
disability,'' which is a minor change and is consistent with the 
modifications in the data element ``health, behavioral or mental health 
condition'' in paragraph (b)(5) of this section. The changes made by 
Public Law 111-256 solidified the use of ``intellectual disability'' in 
Federal law and the increasing focus on sensitivity to the term mental 
retardation.
    (xviii) Inadequate access to mental health services. In paragraph 
(d)(5)(xviii), we propose that the title IV-E agency collect and report 
whether inadequate access to mental health services was a circumstance 
associated with the child's removal for each removal reported in 
paragraph (d)(1). This information is not collected in the existing 
AFCARS. We proposed a new circumstance of ``inadequate access to mental 
health services'' in the 2008 NPRM that would have captured instances 
where the parent(s) or legal guardian(s) relinquished his or her 
placement and care responsibility of a child to a title IV-E agency in 
order for the child to access mental health services. As stated in the 
2008 NPRM, we proposed this response option to help us determine when a 
child needing mental health services is placed in out-of-home care so 
that the title IV-E agency can ensure that the child can access mental 
health services. We received supportive comments in response to the 
2008 NPRM for adding this response option; however, we modified the 
response option to include the child or the child's family having 
inadequate resources to access mental health services as a circumstance 
at removal to be consistent with the proposed reporting population in 
section 1355.41(a) to include children age 18 or older who enter foster 
care.
    (xix) Inadequate access to medical services. In paragraph 
(d)(5)(xix), we propose that the title IV-E agency collect and report 
whether inadequate access to medical services, not including instances 
of withholding medical services or treatment or medical neglect, was a 
circumstance associated with the child's removal for each removal 
reported in paragraph (d)(1). This information is not collected in the 
existing AFCARS. We proposed a new circumstance of ``inadequate access 
to medical services'' in the 2008 NPRM that would have captured 
instances where the parent(s) or legal guardian(s) relinquished his or 
her placement and care responsibility of a child, while retaining 
custody, to a title IV-E agency in order for the child to access 
medical services. In the 2008 NPRM we proposed this as a separate 
response option because we understand that the child may have specific 
medical needs that are separate from the child's mental health needs; 
therefore we are adding this circumstance at removal so that title IV-E 
agencies can indicate all of the possible situations that exist when a 
child is removed. We received supportive comments in response to the 
2008 NPRM for adding this response option; however, we modified the 
response option to include the child or the child's family having 
inadequate resources to access medical services as a circumstance at 
removal to be consistent with the proposed reporting population in 
section 1355.41(a) to include children age 18 or older who enter foster 
care.
    (xx) Child behavior problem. In paragraph (d)(5)(xx), we propose 
that the title IV-E agency continue to collect and report information 
about whether a child's behavior problem(s) in his or her school and or 
community was a circumstance associated with the child's removal for 
each removal reported in paragraph (d)(1). This circumstance applies to 
all child behavior problems that adversely affect his or her 
socialization, learning, growth and/or moral development, as well as 
adjudicated and non-adjudicated status or delinquency offenses and 
convictions.
    In the existing AFCARS, the title IV-E agency is required to report 
running away and other child behavior problems resulting in 
adjudication together in the response option ``child behavior problem'' 
(see Appendix A to part 1355, section II, IV.B). In the 2008 NPRM, we 
proposed to require that title IV-E agencies report as a separate 
circumstance at removal whether the child was alleged or found to be a 
status offender or whether the child was alleged or found to be an 
adjudicated delinquent so that we can categorize clearly a behavioral 
problem that has already been identified. Commenters in response to the 
2008 NPRM objected to our proposal to report juvenile justice

[[Page 7162]]

involvement separate from a child behavior problem as a circumstance at 
removal. Commenters to the 2008 NPRM asked how title IV-E agencies 
should coordinate with the juvenile justice system to get information 
on alleged status offenses or alleged delinquencies and felt that 
reporting alleged status offenders was inappropriate and misleading. 
Commenters to the 2008 NPRM also felt that separately collecting 
information on the child's juvenile justice involvement was redundant 
to the juvenile justice information we proposed in the 2008 NPRM to 
collect in paragraph (f). The comments we received in response to the 
2008 NPRM convinced us to not propose the child's involvement with the 
juvenile justice system as a separate circumstance at removal and to 
modify our proposal for the child behavior problem as a circumstance at 
removal. We propose to modify the definition of the child behavior 
problem circumstance at removal that is in the existing AFCARS 
requirement to include behavior that results in adult criminal 
convictions, in addition to behavior resulting in adjudicated or non-
adjudicated status or delinquency offenses. We propose to add behavior 
that results in convictions to the definition of the ``child behavior 
problem'' circumstance at removal to be consistent with the proposed 
reporting population in section 1355.41(a) to include children age 18 
or older.
    (xxi) Death of caretaker. In paragraph (d)(5)(xxi), we propose that 
the title IV-E agency continue to collect and report information on 
whether the death of the child's parent(s), legal guardian(s) or 
caretaker(s) was a circumstance associated with the child's removal for 
each removal reported in paragraph (d)(1). Our proposal is unchanged 
from that proposed in the 2008 NPRM where we intended to expand the 
existing AFCARS requirement, which captures the death of a child's 
parent(s) or caretaker(s) as a circumstance associated with the child's 
removal (see Appendix A to part 1355, section II, IV.B), to include the 
death of the child's legal guardian. We did not receive comments in 
response to the 2008 NPRM on this response option.
    (xxii) Incarceration of caretaker. In paragraph (d)(5)(xxii), we 
propose to require the title IV-E agency to continue to collect and 
report whether the temporary or permanent incarceration of the child's 
parent(s), legal guardian(s) or caretaker(s) in jail or prison was a 
circumstance associated with the child's removal for each removal 
reported in paragraph (d)(1). Our proposal is unchanged from that 
proposed in the 2008 NPRM where we intended to expand the existing 
AFCARS requirement, which only captures the temporary or permanent 
placement of the child's parent(s) in jail as a circumstance associated 
with the child's removal, to include the incarceration of the child's 
legal guardian(s). Our proposal to modify the response option to 
include incarceration in jail or prison is unchanged from the 2008 NPRM 
because we understand jails and prisons to be two different types of 
facilities; jails being local facilities used to incarcerate a person 
for less than a year and prisons being State or Federal facilities that 
can confine a person for a longer time. We received supportive comments 
in response to the 2008 NPRM on this response option.
    (xxiii) Caretaker's significant impairment--physical/emotional. In 
paragraph (d)(5)(xxiii), we propose that the title IV-E agency continue 
to collect and report, for each removal reported in paragraph (d)(1), 
whether the child's parent(s), legal guardian(s) or caretaker(s) has a 
physical or emotional illness or disabling condition that adversely 
affects his or her ability to care for the child. We propose ``physical 
impairment'' to mean the parent(s), legal guardian(s) or caretaker(s) 
has physical limitations that impact his or her ability to function in 
areas of daily life, such as a condition that may adversely affect the 
caretaker's day to day motor functioning. We propose ``emotional 
impairment'' to mean the parent(s), legal guardian(s) or caretaker(s) 
has an emotional condition that impact his or her ability to function 
in areas of daily life such as exhibiting one or more characteristics 
over a long period of time and to a marked degree, including the 
inability to build or maintain personal relationships, inappropriate 
behavior/feelings under normal circumstances, and/or tendency to 
develop symptoms or fears associated with personal problems. This 
circumstance could also apply to situations where a caretaker cannot 
care for a child temporarily due to his or her own medical needs. We 
have revised our proposal from the existing AFCARS requirement and the 
2008 NPRM by updating the language and providing additional explanation 
to describe physical and emotional impairments. However, we intend to 
capture the same information as the ``caretaker's inability to cope'' 
circumstance as proposed in the 2008 NPRM. We did not receive comments 
in response to the 2008 NPRM on this response option.
    (xxiv) Caretaker's significant impairment--cognitive. In paragraph 
(d)(5)(xxiv), we propose that the title IV-E agency collect and report, 
for each removal reported in paragraph (d)(1), whether the limited 
cognitive ability of the child's parent(s), legal guardian(s) or 
caretaker(s) adversely affects his or her ability to care for the 
child. We propose ``limited cognitive ability'' to mean that the 
parent(s), legal guardian(s) or caretaker(s) has cognitive limitations 
that impact his or her ability to function in areas of daily life, such 
as basic self-care tasks, communication and other tasks necessary to 
care for the child including shopping, housekeeping, accounting, 
ability to prepare food, manage medication and navigate transportation. 
It also may be characterized by a significantly below-average score on 
a test of mental ability or intelligence. This proposal includes 
updated language but is intended to capture the same information as the 
``limited mental capacity'' circumstance proposed in the 2008 NPRM.
    In the existing AFCARS, the title IV-E agency is required to report 
the caretaker's limited mental capacity as part of the response option 
``caretaker's inability to cope'' (see Appendix A to part 1355, section 
II, IV.B). In the 2008 NPRM, we proposed to collect information on the 
caretaker's limited mental capacity as a separate circumstance 
associated with the child's removal because we believe low cognitive 
functioning to be distinct from low emotional functioning. Commenters 
in response to the 2008 NPRM questioned how the limited mental capacity 
of a caretaker should be diagnosed and expressed concern that 
collecting and reporting this information would shift the attention of 
workers away from child protective services. Commenters in response to 
the 2010 FR Notice supported collecting a wide range of circumstances 
that may be present at removal, including a caretaker's limited mental 
capacity as a separate circumstance associated with the child's 
removal. As we considered the comments to both the 2008 NPRM and the 
2010 FR Notice, we further examined the need for a separate response 
option. The Office of Planning, Research and Evaluation within ACF 
reported data on caregiver risk factors at the time of investigation in 
the April 2005 National Survey of Child and Adolescent Well-Being: CPS 
Sample Component, Wave 1 Data Analysis Report. According to this 
report, about 15 percent of caregivers were identified by child welfare 
workers at the time of a child abuse and neglect investigation as 
having a serious mental health problem; of those, almost seven percent 
of caregivers were considered to have an

[[Page 7163]]

intellectual or cognitive impairment (page 4-8). We believe that the 
information in this report demonstrates the importance of collecting as 
much information as possible on a child's life at removal, but 
recognize that the mental health community is more frequently using the 
term ``cognitive ability'' instead of ``mental capacity.'' Thus, we 
have updated the language in this proposal but intend for the 
information collected to be consistent with that proposed in the 2008 
NPRM, based on the supportive comments we received to the 2010 FR 
Notice and the further research we conducted that demonstrates the need 
to collect this information in a separate and distinguishable manner.
    (xxv) Inadequate housing. In paragraph (d)(5)(xxv), we propose that 
the title IV-E agency continue to collect and report whether inadequate 
housing was a circumstance associated with the child's removal for each 
removal reported in paragraph (d)(1). We propose to define ``inadequate 
housing'' to include housing that is ``substandard, overcrowded, unsafe 
or otherwise inadequate, which results in it being inappropriate for 
the child to reside,'' including homelessness. The existing AFCARS 
requirement and the 2008 NPRM proposal limits ``inadequate housing'' to 
situations where the child and parent(s) reside together. We modified 
the existing AFCARS definition and the 2008 NPRM proposal, to include 
situations where the child is not living with the child's parent or 
legal guardian and child's housing is inadequate for children age 18 or 
older who enter foster care. Commenters to the 2008 NPRM suggested 
separating ``homelessness'' from the definition of ``inadequate 
housing'' and making it a separate response option. We did not make 
this change because we do not have a purpose for collecting this level 
of detail.
    (xxvi) Voluntary relinquishment for adoption. In paragraph 
(d)(5)(xxvi), we propose that the title IV-E agency continue to collect 
and report whether a voluntary relinquishment was a circumstance 
associated with the child's removal for each removal reported in 
paragraph (d)(1). We propose to define ``voluntary relinquishment'' as 
the child's parent(s) assigning, in writing, physical and legal custody 
of the child to the title IV-E agency, for the purpose of having the 
child adopted. Any analogous legal process, such as surrendering the 
child for adoption, is included in this response option. Our proposal 
is unchanged from that proposed in the 2008 NPRM and is an existing 
AFCARS requirement (see Appendix A to part 1355, section II, IV.B). We 
did not receive comments in response to the 2008 NPRM on this response 
option.
    (xxvii) Child requested placement. In paragraph (d)(5)(xxvii), we 
propose that the title IV-E agency collect and report whether, for each 
removal reported in paragraph (d)(1), the child, age 18 or older, has 
requested placement into foster care. This is a new response option 
that we are proposing in order to have a comprehensive list of 
circumstances that would relate to a child who enters foster care at or 
after the age of 18. Since 2008, Public Law 110-351 provides title IV-E 
funds for extended title IV-E foster care as an option for title IV-E 
agencies. This means that children over age 18 may enter or re-enter 
the placement and care responsibility of the title IV-E agency. This 
child and family circumstance, ``child placement'', is unique to a 
child age 18 or older who may request to enter the placement and care 
responsibility of the title IV-E agency.
    We would like to note that we are not continuing our proposal to 
include the data element for ``biological parents' marital status'' and 
two child and family circumstances, ``juvenile justice'' and 
``disrupted intercountry adoption,'' that were proposed in the 2008 
NPRM due to the overwhelming opposition to the proposals from 
commenters. In general, commenters to the 2008 NPRM questioned the 
value of collecting this information in AFCARS; therefore we do not 
propose to collect this information.
    Finally, the plight of children who enter foster care because a 
parent is detained for immigration or deported has recently come to our 
attention and we are considering whether to expand the list of child 
and family circumstances associated with removal to include this 
information. We seek public comment on this issue, specifically 
regarding the extent to which this is an issue in States and Tribes, to 
help us determine the utility and appropriateness of including this 
information in AFCARS data collection, as well as suggestions for 
specific language for the circumstance.
Section 1355.43(e) Living Arrangement and Provider Information
    In paragraph (e), we propose that the title IV-E agency collect and 
report information on each of the child's living arrangements for each 
out-of-home care episode, including information about the providers who 
are caring for the child, demographics on the child's foster parent(s), 
information on the child's sibling(s) and the sources of Federal 
assistance that support the child's room and board in each living 
arrangement.
    In general, we propose to expand the information that we collect in 
the existing AFCARS by requiring that the title IV-E agency report 
longitudinal information for most of the data elements in paragraph (e) 
of this section. We propose, as we did in the 2008 NPRM, to require the 
title IV-E agency to report the date and type of each of the child's 
living arrangements for each out-of-home care episode and to report 
demographics on each of the child's foster parent(s), such as year of 
birth, race, ethnicity and the child's relationship to his or her 
foster parent(s). We also propose, as we did in the 2008 NPRM, to 
expand the types of living arrangements in which the child may be 
placed to include a variety of placement settings, such as therapeutic 
foster family homes, group homes that may provide shelter care or be 
operated by staff or a family, supervised independent living and 
juvenile justice facilities. In the existing AFCARS, the title IV-E 
agency is required to report four data elements on the child's current 
placement setting as of the end of the report period, including the 
date that the child was placed into the current placement setting, the 
type of placement setting and whether the placement is out of the 
State, and provide the number of the child's placement settings during 
the child's current foster care episode (see Appendix A to part 1355, 
section II, III.B and V). The information that the title IV-E agency is 
currently required to report to AFCARS does not provide any detailed 
information on the type of foster home or facility in which the child 
is currently living or previously lived. Many stakeholders have long 
urged us to consider amending the AFCARS regulations with the goal of 
gathering longitudinal information for children who are in out-of-home 
care, such as where the child lives for the duration of his or her stay 
in out-of-home care. We also understand that many title IV-E agencies 
already have the capability and actively track each of the child's 
living arrangements. We believe that collecting longitudinal 
information on each of the child's living arrangements will enhance our 
analysis of the child's entire experience in out-of-home care and will 
allow for improved tracking and analysis related to the stability of 
the child's placements and whether children are moving from one living 
arrangement to another in support of their permanency plans and overall 
well-being. We also believe that collecting this expanded information

[[Page 7164]]

will enhance our data analysis ability for the CFSRs or other Federal 
monitoring efforts. Commenters to both the 2008 NPRM and the 2010 FR 
Notice were supportive of expanding and collecting longitudinal 
information on each of the child's living arrangements and foster 
parent(s).
    We propose that the title IV-E agency collect and report the 
information in paragraph (e) for each child in the out-of-home care 
reporting population regardless of the type of setting in which the 
child lives, including if the child is placed into a non-foster care 
setting, such as a hospital or juvenile justice facility, after 
entering the out-of-home care reporting population. Commenters in 
response to the 2008 NPRM and the 2010 FR Notice expressed a concern 
with reporting information on children who are in non-foster care 
settings, such as juvenile justice facilities. We considered these 
comments, but did not make changes in paragraph (e) based on those 
comments because we believe that the title IV-E agency will have 
placement information for the children who are in their placement and 
care responsibility.
    Date of living arrangement. In paragraph (e)(1), we propose to 
require the title IV-E agency to collect and report the month, day and 
year representing the first date of placement in each of the child's 
living arrangements for each out-of-home care episode. Our proposal is 
different from the existing AFCARS regulation in which the title IV-E 
agency must report the date that the child was placed in the current 
placement setting, or on a trial home visit and a count of how many 
times the child changed placement settings (see Appendix A to part 
1355, section II, III.B). In the 2008 NPRM we did not propose to 
collect the date that the child is placed at home because we proposed 
in that NPRM to consider the child to exit the out-of-home care 
reporting population when the child is placed at home. Our current 
proposal modifies the 2008 NPRM. We now propose to require the title 
IV-E agency to report the date that the child is placed at home in 
paragraph (e)(1) until the title IV-E agency placement and care 
responsibility ends, which is consistent with the revised out-of-home 
care reporting population.
    We propose that the title IV-E agency report the date that the 
child is placed by the title IV-E agency in each living arrangement. 
For a child who ran away, the title IV-E agency must report the date 
that the title IV-E agency considers the child to have run away. For a 
child whose whereabouts are unknown by the title IV-E agency, the title 
IV-E agency must report the date the child's whereabouts became unknown 
to the title IV-E agency. For a child who is placed at home with his or 
her parent(s) or legal guardian(s) under the placement and care 
responsibility of the title IV-E agency, the title IV-E agency must 
report the date that the child returned home. We are interested in 
collecting runaway and whereabouts unknown dates in order to calculate 
the actual time the child is absent from the provider or facility 
without permission and the title IV-E agency must continue to report on 
each child in the out-of-home care reporting population until the title 
IV-E agency's placement and care responsibility ends (see section 
1355.41). In the case of a child who is already living in a living 
arrangement and remains there when the title IV-E agency receives 
placement and care responsibility of the child, the title IV-E agency 
must report the date of the VPA or court order providing the title IV-E 
agency with placement and care responsibility for the child, rather 
than the date the child began living in the arrangement. An example of 
this might be a child who was living with a relative prior to a 
constructive removal who continues to reside in the relative's house 
after entering foster care.
    In paragraphs (e)(2) through (e)(4), we propose that the title IV-E 
agency indicate the type of living arrangement for the child, for each 
living arrangement reported in paragraph (e)(1) of this section. In the 
existing AFCARS regulations, the title IV-E agency is required to 
report the child's current placement setting from eight options: Pre-
adoptive home, relative or non-relative foster family home, group home, 
institution, supervised independent living, runaway and trial home 
visit (see Appendix A to part 1355, section II, V.A). We have found 
that these options, which were intended to be mutually exclusive, do 
not capture fully the range of living arrangements in which the child 
may be placed. We believe that more detailed information is needed to 
better understand the specific types of homes and facilities where 
children live while in out-of-home care. We essentially propose, as we 
did in the 2008 NPRM, to split the existing AFCARS data element (see 
Appendix A to part 1355, section II, V.A) into three data elements and 
to expand the data that is collected. We propose in paragraph (e)(2) to 
require the title IV-E agency to report whether each of the child's 
living arrangements is a foster family home. If the title IV-E agency 
reports that the child is living in a foster family home, then we 
propose in paragraph (e)(3) that the title IV-E agency report the type 
of foster family home by indicating whether each of the six types 
``applies'' or ``does not apply.'' If the title IV-E agency reports in 
paragraph (e)(2) that the child is not living in a foster family home, 
then we propose in paragraph (e)(4) that the title IV-E agency report 
one type of other living arrangement from thirteen options. We believe 
that this new approach to capturing information on each of the child's 
living arrangements will provide us with a more complete view of the 
child's actual placements. Commenters in response to the 2008 NPRM were 
generally supportive of our approach.
    We clarified the definitions of the living arrangement options from 
the 2008 NPRM in response to commenters requesting clearer definitions 
and to conform to the revised out-of-home care reporting population 
which includes children who are placed in foster care who subsequently 
are placed into non-foster care settings. Although in the 2008 NPRM we 
proposed additional types of living arrangements not currently in 
AFCARS, our proposal has gone further to include additional types not 
proposed in the 2008 NPRM to account for the proposed reporting 
population definition. Each data element is described below in 
paragraphs (e)(2) through (e)(4).
    Foster family home. In paragraph (e)(2), we propose, as we did in 
the 2008 NPRM, to require the title IV-E agency to report whether each 
of the child's living arrangements is a foster family home, by 
indicating ``yes'' or ``no'' as appropriate. In the existing AFCARS, 
the title IV-E agency is required to report whether the child is living 
in either a relative or non-relative foster family home as two of seven 
living arrangement options, however, we propose to obtain more thorough 
information on foster family homes than relative and non-relative as in 
the current AFCARS. If the title IV-E agency indicates ``yes,'' then 
the title IV-E agency must complete the data element in paragraph 
(e)(3). If the title IV-E agency indicates ``no,'' then the title IV-E 
agency must report another type of living arrangement in which the 
child is living in paragraph (e)(4). If the child ran away or the 
child's whereabouts are unknown, then the title IV-E agency must 
indicate ``no.''
    Foster family home type. In paragraph (e)(3), we propose to require 
the title IV-E agency to report whether each of the following six types 
of foster family homes listed in paragraphs (e)(3)(i) through 
(e)(3)(vi) ``applies'' or ``does not apply'' for each foster family 
home

[[Page 7165]]

reported in paragraph (e)(2): Licensed, therapeutic, provides shelter 
care, is that of a relative, pre-adoptive home and/or kin family.
    This data element is the same as the one proposed in the 2008 NPRM, 
however, based on comments to the 2008 NPRM, we now propose to add 
``kin family foster home'' as an option. In the ``current placement 
setting'' data element in the existing AFCARS, the title IV-E agency 
can choose among three options related to foster family homes which 
were designed to be mutually exclusive: pre-adoptive home, relative 
foster family home (which could be licensed or not) and a licensed non-
relative foster family home (see Appendix A to part 1355, section II, 
V.A). The options and definitions in the existing AFCARS provided us 
with limited analytical possibilities and did not adequately capture 
the specific foster family home in which the child is living. For 
example, we could not determine whether children were placed in pre-
adoptive homes that were also relative homes. Further, we did not know 
the extent to which children were placed in licensed foster family 
homes. We believe that requiring the title IV-E agency to indicate 
separately all possible characteristics of a foster family home will 
allow us and title IV-E agencies to see the trends that may exist among 
foster homes, particularly now that we have added ``kin family foster 
care'' as an option. Commenters in response to the 2008 NPRM were 
generally supportive of the expanded list of proposed foster family 
home types. Each response option is discussed below.
    (i) Licensed home. In paragraph (e)(3)(i), we propose that the 
title IV-E agency report whether each foster family home is licensed. 
We propose that ``licensed home'' be a separate response option so that 
we can clearly identify when a child is placed in any type of foster 
family home that is licensed or approved by the State or Tribal 
licensing/approval authority.
    (ii) Therapeutic foster family home. In paragraph (e)(3)(ii), we 
propose that the title IV-E agency report whether the child is placed 
in a therapeutic foster family home. We propose to define ``therapeutic 
foster home'' as a foster family home that provides specialized care 
and services and is intended for children with more challenging 
behaviors or needs. Therapeutic foster homes are more prevalent today 
than when AFCARS was originally developed. Including this option is in 
line with our goal to more accurately reflect a child's living 
arrangements. Further, this option, along with the detailed information 
we will receive on the circumstances of the child's removal (in section 
1355.43(d)(5)) and the child's health, behavioral or mental health 
conditions (in section 1355.43(b)(5)), will allow us to get a richer 
picture of the needs of children who are in out-of-home care.
    (iii) Shelter care foster family home. In paragraph (e)(3)(iii), we 
propose that the title IV-E agency report whether the child is placed 
in a shelter care foster family home so that we can track the use of 
shelter care. We propose to define a ``shelter care foster family 
home'' as one that is designated or approved as a shelter care home by 
the State or Tribal licensing/approval authority, and is short-term or 
transitional in nature. We understand that shelter care is used to 
provide title IV-E agencies with an opportunity to assess a child's 
needs and future placements while providing care and protection for the 
child.
    (iv) Relative foster family home. In paragraph (e)(3)(iv), we 
propose that the title IV-E agency report whether the child is placed 
in a relative foster family home where the relative foster parent(s) 
lives as his or her primary residence. We propose to retain the option 
of ``relative foster family home,'' currently included in the AFCARS 
regulation, to allow us to determine whether or not there is a familial 
relationship between the child and the foster parent(s). This option is 
consistent with our goal to better understand the relationship between 
a child in foster care and the child's caregivers. The option is 
limited to persons related by a biological, legal or marital connection 
and does not include kin (e.g., individuals who have a pre-existing 
psychological, cultural or emotional relationship with the child), 
which is now proposed as a separate option.
    (v) Pre-adoptive home. In paragraph (e)(3)(v), we propose that the 
title IV-E agency report whether the child is placed in a pre-adoptive 
home, defined as a home in which the family and the title IV-E agency 
have agreed on a plan to adopt the child. We believe that this 
definition is more precise than the current AFCARS definition of ``pre-
adoptive home,'' which indicates that the family ``intends'' to adopt 
the child (see Appendix A to part 1355, section II.V). We believe that 
changing the definition to include title IV-E agency participation will 
convey concrete circumstances where the title IV-E agency and the 
foster family are working in concert to achieve permanency for the 
child through the foster family adopting the child.
    (vi) Kin foster family home. In paragraph (e)(3)(vi), we propose 
that the title IV-E agency report whether the child is placed in a kin 
foster family home, defined as a home in which there is a kin 
relationship as defined by the title IV-E agency, such as one where a 
psychological, cultural or emotional relationship exists between the 
child or the child's family and the foster parent(s). This is a new 
response option. We understand that kin families have become important 
placement options for title IV-E agencies and we want to have a better 
understanding of how often this type of placement is used. We also 
added this option in response to comments to the 2008 NRPM requesting 
the inclusion of kin throughout the data elements, where applicable.
    Other living arrangement type. In paragraph (e)(4), we propose to 
require the title IV-E agency to report whether a child is placed in 
one of thirteen living arrangements for a child who is not placed in a 
foster family home, as indicated in paragraph (e)(2) of this section. 
The proposed living arrangement types are mutually exclusive and are as 
follows: Group home-family-operated, group home-staff-operated, group 
home-shelter care, residential treatment center, child care 
institution, child care institution-shelter care, supervised 
independent living, juvenile justice facility, medical or 
rehabilitative facility, psychiatric hospital, runaway, whereabouts 
unknown and placed at home. We modified the proposed list of options 
from a similar list proposed in the 2008 NPRM. Our proposal expands the 
options that are in the existing AFCARS regulation and is modified from 
the 2008 NPRM proposed list of living arrangements. In the current 
placement setting data element in the existing AFCARS, the title IV-E 
agency can choose among five options related to placement settings 
other than foster family homes, which were designed to be mutually 
exclusive: Group home, institution (inclusive of child care 
institutions, residential treatment facilities, maternity homes, etc.), 
supervised independent living, runaway and trial home visit (see 
Appendix A to part 1355, section II, V.A). We have found that the 
current AFCARS living arrangement options do not represent adequately 
the various types of living arrangements in which a child may be 
living. Commenters in response to the 2008 NPRM were generally 
supportive of the expanded list of proposed other living arrangement 
types. Each response option is explained in detail below.
    We propose to continue to include group homes as a type of living 
arrangement; however, as proposed in the 2008 NPRM, we propose to 
require

[[Page 7166]]

that the title IV-E agency report whether the group home is family 
operated or staff operated, or, regardless of who operates it, a 
shelter care group home. We propose to define ``group home-family 
operated'' as a group home setting that provides 24-hour care in a 
private family home where the family members are the primary 
caregivers. We propose to define ``group home-staff operated'' as one 
in which staff provides 24-hour care for children through shifts or 
rotating staff and is licensed or approved to provide shelter care by 
the State or Tribal licensing/approval authority. We propose to define 
a ``group home-shelter care'' as a group home that also provides 24-
hour care for children, is short-term or transitional in nature and is 
licensed or approved to provide shelter care by the State or Tribal 
licensing/approval authority.
    Determining whether a child is placed into a family operated or a 
staff operated group home will provide us with further insight into the 
child's living arrangement. In the existing AFCARS regulation, ``group 
home'' is defined as a small, licensed or approved home providing care 
in a group setting that generally has from seven to twelve children 
(see Appendix A to part 1355, section II, V.A). We have found that this 
definition is too limiting and does not reflect the actual group home 
living arrangements available to children. Therefore, our proposed 
definitions do not include a specific number of children who reside in 
the group setting. We do not believe it is necessary to determine 
whether shelter care group homes are operated by a staff or family.
    We propose, as we did in the 2008 NPRM, to add ``residential 
treatment center'' as a type of living arrangement and define it as a 
facility that is for the purpose of treating children with mental 
health or behavioral conditions, including psychiatric residential 
treatment centers. In the existing AFCARS regulation, we direct 
agencies to report residential treatment facilities within the larger 
category of ``institutions,'' rather than as a separate option (see 
Appendix A to part 1355, section II, V.A). We propose to make this a 
separate and distinct option so that we may identify a child's living 
arrangement with more specificity and detail.
    We propose, as we did in the 2008 NPRM, to identify ``child care 
institution'' as a separate living arrangement type. In the existing 
AFCARS, a living arrangement of a child care institution is included in 
the current AFCARS definition of ``institution,'' which is specific 
enough to depict accurately the type of living arrangements in which 
children reside (see Appendix A to part 1355, section II, V.A). We 
propose to define a ``child care institution'' as a private facility, 
or a public child care facility for no more than 25 children, which is 
licensed by the State or Tribal licensing/approval authority. We 
propose to exclude other institutions whose primary purpose is to 
secure children who are determined to be delinquent from the definition 
of a ``child care institution,'' such as detention facilities, forestry 
camps and training schools, consistent with section 472(c)(2) of the 
Act.
    We propose to identify separately a child care institution that is 
designated by the State or Tribal licensing/approval authority as a 
shelter care facility. As in the 2008 NPRM, we propose this as a 
distinct option so that we can examine the use of shelter care as 
discussed previously.
    We propose to retain the existing ``supervised independent living'' 
option in AFCARS but modify the definition to be consistent with the 
revised reporting population definition proposed in section 1355.41. In 
the existing AFCARS regulation, the definition of ``supervised 
independent living'' is an alternative transitional living arrangement 
where the child is under the supervision of the title IV-E agency, is 
receiving financial support from the child welfare agency and is in a 
setting which provides the opportunity for increased self care (see 
Appendix A to part 1355, section II, V.A). We propose to modify the 
definition for the ``supervised independent living'' option to require 
the title IV-E agency to report living arrangements where a child of 
any age is under the placement and care responsibility of the title IV-
E agency and living independently in a supervised setting.
    We propose, as we did in the 2008 NPRM, that the title IV-E agency 
indicate whether a child's living arrangement is a juvenile justice 
facility. We propose to define ``juvenile justice facility'' as a 
secure facility or institution where alleged or adjudicated juvenile 
delinquents are housed while under the title IV-E agency's placement 
and care responsibility. This definition is broad enough to include all 
types of juvenile facilities, whether they are locked or employ some 
type of treatment component.
    We also propose, as we did in the 2008 NPRM, to add ``medical or 
rehabilitative facility'' as a new living arrangement type in AFCARS. 
We propose to define a ``medical or rehabilitative facility'' as one 
where a child receives medical or physical health care. This could 
include a hospital or facility where a child receives intensive 
physical therapy, but not primarily psychiatric care.
    We propose that the title IV-E agency report whether a child is in 
a ``psychiatric hospital.'' We propose to define ``psychiatric 
hospital'' as one where the child receives emotional or psychological 
health care and is licensed or accredited as a hospital. This option is 
not currently included in the existing AFCARS regulation, and replaces 
the ``psychiatric facility'' option we proposed in the 2008 NPRM that 
included both psychiatric hospitals and residential treatment centers. 
We received comments to the 2008 NPRM seeking clarification on the 
definition of psychiatric facility and in response we modified the 
option to only include psychiatric hospitals that are licensed or 
accredited as a hospital. Psychiatric residential treatment centers 
should not be reported under this option. A child in a psychiatric 
residential treatment center should be included under the residential 
treatment center option.
    We propose, as we did in the 2008 NPRM, to define the option of 
``runaway'' as when the child has left, without authorization, the home 
or facility where the child was placed. The current living arrangement 
definition of runaway that is in the existing AFCARS refers to a child 
who has ``run away from the foster care setting'' (Appendix A to part 
1355, section II.V). We propose to broaden the definition so that it is 
clear that this runaway option must be indicated any time a child has 
left a living arrangement without authorization.
    We propose to add for the first time a new option of ``whereabouts 
unknown.'' We propose to define ``whereabouts unknown'' as when the 
child is under the title IV-E agency's placement and care 
responsibility, but is not in the physical custody of the title IV-E 
agency or person or institution with whom the child has been placed, 
the whereabouts of the child are unknown and the title IV-E agency does 
not consider the child to have run away. This is a new option not 
proposed in the 2008 NPRM or required to be reported in the existing 
AFCARS regulation. We propose it now based on stakeholder feedback we 
received in response to the 2008 NPRM asking to add a separate option 
for a child whose whereabouts are unknown. With this new response 
option, ACF will be able to provide information on children who are in 
the title IV-E agency's placement and care responsibility but whose 
whereabouts are unknown.
    Finally, we propose to add for the first time a new option of 
``placed at home.''

[[Page 7167]]

We propose that the title IV-E agency indicate ``placed at home'' if 
the child is living at home with his or her parent(s) or legal 
guardian(s) while under the placement and care responsibility of the 
title IV-E agency in preparation for the title IV-E agency to return 
the child home permanently. This is a new option not proposed in the 
2008 NPRM or required to be reported in the existing AFCARS regulation. 
This option was added in response to comments to the 2008 NPRM 
expressing confusion between when a child is placed at home as defined 
above, a trial home visit and a visit home for a weekend or holiday. 
``Placed at home'' should only be used in preparation for the child's 
permanent return home and should not be used if the child is at home 
for a weekend or holiday visit.
    Private agency living arrangement. In paragraph (e)(5), we propose, 
as we did in the 2008 NPRM, to require the title IV-E agency to collect 
and report whether or not each of the child's living arrangements, 
reported in paragraph (e)(1), is licensed, managed or run by a private 
agency. This is the same proposal that we proposed for the first time 
in the 2008 NPRM. As title IV-E agencies increasingly use private 
agencies to perform a variety of child welfare services, there are 
important implications for the oversight of their responsibilities to 
children who are in out-of-home care. We have learned from the CFSRs 
and our National Quality Improvement Center on the Privatization of 
Child Welfare Services that title IV-E agencies have had varied levels 
of success with contracting out child welfare services to private 
agencies. We believe that by tracking the use of private agency 
involvement in a child's living arrangements, we may be able to analyze 
its impact on child outcomes. We received comments in support of this 
proposal in response to the 2008 NPRM.
    Location of living arrangement. In paragraph (e)(6), we propose 
that the title IV-E agency report the general location of the child's 
living arrangement, specifically whether the child is placed within or 
outside of the reporting State or Tribal service area or outside of the 
country. If the child ran away or his or her whereabouts are unknown, 
the title IV-E agency must so indicate. This proposal is generally the 
same as that in the 2008 NPRM, which modified the current AFCARS 
requirement (see Appendix A to part 1355, section II, V.B) in which the 
title IV-E agency must indicate whether the child is placed outside of 
the State making the report. However we modified the proposal to 
include a child whose whereabouts are unknown in order to be consistent 
with the proposed out-of-home care reporting population and other data 
elements in paragraph (e) of this section. We also modified the options 
to include Tribal title IV-E agencies, in accordance with section 479B 
of the Act. We are required by statute at section 479(c)(3)(C)(iii) of 
the Act to collect the number and characteristics of children placed in 
foster care outside the State which has placement and care 
responsibility, and we hope to be able to explore the extent to which 
these placements occur, the reasons for these placements and to what 
extent they affect timely permanency for children. If the title IV-E 
agency indicates either ``out-of-State or out-of-Tribal service area'' 
or ``out-of-country'' for the child's living arrangement, the title IV-
E agency must complete the data element in paragraph (e)(7); otherwise 
the title IV-E agency must leave it blank. We did not receive comments 
on this data element as proposed in the 2008 NPRM.
    Jurisdiction or country where the child is living. In paragraph 
(e)(7), we propose to require the title IV-E agency to report the name 
of the State, Tribal service area, Indian reservation or country where 
the reporting title IV-E agency placed the child for each living 
arrangement, if the title IV-E agency indicated either ``out-of-State 
or out-of-Tribal service area'' or ``out-of-country'' in paragraph 
(e)(6). This is a new data element not required to be reported in the 
existing AFCARS regulation and we first proposed it in the 2008 NPRM. 
In the 2008 NPRM, we proposed to require the title IV-E agency to 
report the two-digit FIPS code for the State or country. Commenters to 
the 2008 NPRM expressed concern with keeping up with ever-changing FIPS 
codes. We now modify the 2008 NPRM to remove FIPS codes, which are no 
longer being maintained and updated, and instead require that the title 
IV-E agency indicate the jurisdiction's or country's name for 
identification purposes which we believe will address commenter 
concerns. In addition, FIPS codes do not account for the breadth of 
jurisdictions that could be captured in this element, as it does not 
include non-Federal Tribes or other countries. ACF will work with 
Tribal title IV-E agencies to develop valid response options for this 
element.
    We also believe that the information reported in this data element, 
in combination with the information reported in paragraph (e)(6), will 
provide information on the extent to which title IV-E agencies are 
maximizing all potential placement resources for children who are in 
out-of-home care. Our modified proposal also includes Tribal title IV-E 
agencies in accordance with section 479B of the Act.
    Federal law is clear that delays in adoptive interjurisdictional 
placements are prohibited (section 471(a)(23) of the Act). Our analysis 
of existing AFCARS data demonstrates that it takes much longer to 
achieve permanency for children who are placed out-of-State compared to 
children whose placements are intrastate. We hope that expanding our 
collection of this information will support more sophisticated analyses 
of placements that are out of the State, Tribal service area or 
country. We also believe that requiring title IV-E agencies to identify 
the specific location of the child's placement that is out of the 
State, Tribal service area or country is consistent with the statutory 
requirement that a title IV-E agency have a State or Tribal wide 
information system from which the title IV-E agency can readily 
identify the location of a child in foster care, or who has been in 
foster care in the preceding 12 months (section 422(b)(8)(A)(i) of the 
Act).
    In paragraphs (e)(8) through (e)(13), we propose to collect 
information on the child's siblings who are in out-of-home care under 
the placement and care responsibility of the title IV-E agency or who 
exit the placement and care responsibility of the title IV-E agency to 
a finalized adoption or legal guardianship. We propose two new data 
elements designed to obtain the total number of the child's siblings 
who are in out-of-home care under the placement and care responsibility 
of the title IV-E agency or who exit the placement and care 
responsibility of the title IV-E agency to a finalized adoption or 
legal guardianship and four new data elements where the title IV-E 
agency must report which siblings the child is placed with within the 
same living arrangement.
    In the existing AFCARS, we do not have a way to know which children 
who are in out-of-home care are siblings and we do not have the ability 
to track whether siblings are placed together. We propose that the 
title IV-E agency report on a child's siblings in paragraphs (e)(8) 
through (e)(13) of this section in order to learn more about sibling 
group placement in out-of-home care, adoption and legal guardianship 
homes and to comply with the mandate in section 471(a)(31)(A) of the 
Act. Under this statutory provision, the title IV-E agency must make 
reasonable efforts to place siblings removed from their home in the 
same foster care, kinship guardianship or adoptive placement,

[[Page 7168]]

unless such a placement is contrary to the safety or well-being of any 
of the siblings. We propose paragraphs (e)(8) and (e)(11) specifically 
to determine the total number of siblings which ACF will use to ensure 
correct data entry in paragraphs (e)(9), (e)(10), (e)(12) and (e)(13).
    In the 2008 NPRM, we proposed to require title IV-E agencies to 
indicate the total number of siblings who are also in the title IV-E 
agency's placement and care responsibility and are placed with the 
child in the same living arrangement as of the last day of each of the 
child's living arrangements. Our 2008 NPRM proposal did not include 
reporting the child's siblings who exited the reporting title IV-E 
agency's placement and care responsibility to a finalized adoption or 
legal guardianship. Commenters to the 2008 NPRM supported our proposal 
to collect the total number of the child's siblings who are themselves 
in out-of-home care, but suggested that we also collect the child 
record numbers of the child's siblings, stating that it would be more 
useful to accurately track which children are siblings and whether they 
are placed together. We agreed with the commenters and revised our 
proposal accordingly. We also revised our proposal to include reporting 
whether the child has and lives with any siblings who exited the 
reporting title IV-E agency's placement and care responsibility to a 
finalized adoption or legal guardianship. We propose the new data 
elements in paragraphs (e)(8) through (e)(13) in order to learn more 
about sibling group placement.
    Number of siblings in out-of-home care. In paragraph (e)(8), we 
propose to require the title IV-E agency to report the total number of 
siblings, if applicable, that a child has who themselves are in out-of-
home care under the placement and care responsibility of the reporting 
title IV-E agency at any point during the report period. A sibling to 
the child is his or her brother or sister by biological, legal or 
marital connection. The title IV-E agency must not include the child 
who is the subject of this record in the total number. If the child 
does not have siblings who themselves are in out-of-home care under the 
placement and care responsibility of the reporting title IV-E agency 
during the report period, we propose that the title IV-E agency 
indicate ``0.'' If the child does not have any siblings, we propose 
that the title IV-E agency indicate ``not applicable.'' If the title 
IV-E agency indicates either ``0'' or ``not applicable,'' the title IV-
E agency must leave the data elements in paragraphs (e)(9) and (e)(10) 
blank.
    Siblings placed together in out-of-home care. In paragraph (e)(9), 
we propose to require the title IV-E agency to report the child record 
number(s) of each sibling(s) who is in out-of-home care under the 
placement and care responsibility of the reporting title IV-E agency 
and who is placed with the child in the same living arrangement at any 
point during the report period. A sibling to the child is his or her 
brother or sister by biological, legal or marital connection. The title 
IV-E agency must not report the record number of the child who is the 
subject of this record. The title IV-E agency must report this 
information whether the child's living arrangement is in or out of the 
State or Tribal service area.
    Siblings in out-of-home care not living with child. In paragraph 
(e)(10), we propose to require the title IV-E agency to report the 
child record number(s) of each sibling(s) who is in out-of-home care 
under the reporting title IV-E agency's placement and care 
responsibility and who is not placed with the child in the same living 
arrangement at any point during the report period. The title IV-E 
agency must not report the record number of the child who is the 
subject of this record. For the purposes of AFCARS, a sibling to the 
child is his or her brother or sister by biological, legal or marital 
connection. The title IV-E agency must report this information whether 
the child's living arrangement is in or out of the State or Tribal 
service area.
    Number of siblings in an adoption or legal guardianship. In 
paragraph (e)(11), we propose to require the title IV-E agency to 
report the total number of siblings, if applicable, that a child has 
who exited the placement and care responsibility of the reporting title 
IV-E agency to a finalized adoption or a legal guardianship. For the 
purposes of AFCARS, a sibling to the child is his or her brother or 
sister by biological, legal or marital connection. The title IV-E 
agency must not include the child who is the subject of this record in 
the total number. If the child does not have siblings who exited the 
placement and care responsibility of the reporting title IV-E agency to 
a finalized adoption or a legal guardianship, we propose that the title 
IV-E agency indicate ``0.'' If the child does not have any siblings, we 
propose that the title IV-E agency indicate ``not applicable.'' If the 
title IV-E agency indicated either ``0'' or ``not applicable,'' the 
title IV-E agency must leave the data elements in paragraphs (e)(12) 
and (e)(13) blank.
    Siblings in adoptive/guardianship placements living with child. In 
paragraph (e)(12), we propose to require the title IV-E agency to 
report the child record number(s) of each sibling(s) who exited the 
placement and care responsibility of the reporting title IV-E agency to 
a finalized adoption or a legal guardianship and who is placed with the 
child in the same living arrangement at any point during the report 
period. For AFCARS purposes, a sibling to the child is his or her 
brother or sister by biological, legal or marital connection. The title 
IV-E agency must not report the record number of the child who is the 
subject of this record. The title IV-E agency must report this 
information whether the child's living arrangement is in or out of the 
State or Tribal service area.
    Siblings in adoptive/guardianship placements not living with child. 
In paragraph (e)(13), we propose to require the title IV-E agency to 
report the child record number(s) of each sibling who exited the 
placement and care responsibility of the reporting title IV-E agency to 
a finalized adoption or a legal guardianship and who is not living with 
the child in the same living arrangement at any point during the report 
period. This is a new element. As in previous sibling elements, for 
AFCARS purposes a sibling to the child is his or her brother or sister 
by biological, legal or marital connection. The title IV-E agency must 
not report the record number of the child who is the subject of this 
record. The title IV-E agency must report this information whether the 
child's living arrangement is in or out of the State or Tribal service 
area.
    Number of children living with the minor parent. In paragraph 
(e)(14), we propose to require the title IV-E agency to report the 
total number of children who are living with their minor parent in the 
same living arrangement, for each living arrangement if the title IV-E 
agency reported that the minor parent (i.e., the child who is the 
subject of this record) has children in section 1355.43(b)(15). As in 
section 1355.43(b)(15), we propose to consider a child older than age 
18 in foster care a ``minor parent'' if he or she has children. If the 
title IV-E agency reported ``0'' in section 1355.43(b)(15), the title 
IV-E agency must leave this data element blank. This data element is 
not in the existing AFCARS regulation and was first proposed in the 
2008 NPRM. We propose that a title IV-E agency include in this count 
only those children of the minor parent who are not under the title IV-
E agency's placement and care responsibility, for whom the minor parent 
is responsible and who are in the same living arrangement. The title 
IV-E agency must

[[Page 7169]]

not report those children of the minor parent who are in the out-of-
home care reporting population as a result of a separate action 
removing the child from the minor parent and placing with the title IV-
E agency. For example, if the minor parent is placed in a child care 
institution and the minor parent's infant child was removed from his or 
her care, the title IV-E agency has placement and care responsibility 
of the infant child and the title IV-E agency placed the infant child 
into a foster family home, then the title IV-E agency must report ``0'' 
for this data element. This is also the case if the minor parent is 
also placed in the same foster family home. The minor parent's child 
who is also in the placement and care responsibility of the title IV-E 
agency would have his or her own child record number.
    We received comments in response to the 2008 NPRM recommending that 
title IV-E agencies report the child of a minor parent only if the 
minor parent's child is also in foster care. We considered the comments 
but did not make changes to this proposal because we want to know when 
a minor parent who is in out-of-home care is responsible for the care 
of his or her own child(ren) who is living with him or her. Minor 
parents and their children may differ from other children who are in 
out-of-home care and may require enhanced resources from the child 
welfare system, e.g., possibly different permanency plans, living 
arrangements, lengths of stay in foster care, exit reasons and/or 
patterns of re-entry than other children in out-of-home care. We 
believe that it is necessary to examine the trends in these patterns so 
that policy is better informed and that the necessary resources can be 
made available to meet the needs of these families.
    Marital status of the foster parents. In paragraph (e)(15), we 
propose to require the title IV-E agency continue to report information 
regarding the marital status of the foster parent(s) for each foster 
family home living arrangement in which the child is placed, as 
indicated in paragraph (e)(3) of this section. This is basic 
demographic information about the child's provider that is required to 
be collected in AFCARS per section 479(c)(3)(A) of the Act. Our 
proposal is unchanged from the 2008 NPRM. In the existing AFCARS, this 
data element is titled ``Foster Family Structure'' and the title IV-E 
agency must report one of four options married couple, unmarried 
couple, single male or single female (see Appendix A to part 1355, 
section II, IX.A). We propose, as we did in the 2008 NPRM, to include 
these same four marital status options, as well as one other category 
of marital status--separated. Additionally, we specify that the title 
IV-E agency must report this information for each foster family home in 
which the child is placed.
    We propose to require the title IV-E agency to indicate ``married 
couple'' if the foster parents are considered to be united in matrimony 
according to applicable laws, including common law marriage where 
provided by applicable laws. We propose to require the title IV-E 
agency to indicate ``unmarried couple'' if the foster parents are 
living together as a couple, but are not united in matrimony according 
to applicable laws. We propose to require the title IV-E agency to 
indicate ``separated'' if the foster parent is legally separated, or 
living apart from his or her spouse, but remains legally married. We 
propose to require the title IV-E agency to indicate ``single female'' 
if the foster parent is a female who is not married (including common 
law marriage) and is not living with another individual as part of a 
couple. We propose to require the title IV-E agency to indicate 
``single male'' if the foster parent is a male who is not married 
(including common law marriage) and is not living with another 
individual as part of a couple. If the title IV-E agency indicates the 
option ``married couple'' or ``unmarried couple,'' the title IV-E 
agency must complete the data elements for the second foster parent in 
paragraphs (e)(20) through (e)(22) of this section; otherwise the title 
IV-E agency must leave these data elements blank. Consistent with the 
existing AFCARS requirement and the 2008 NPRM proposal, we do not 
propose a separate category for a foster parent who is a widow or 
widower. Such individuals must continue to be reported according to his 
or her current marital/living situation.
    Child's relationship to the foster parent(s). In paragraph (e)(16), 
we propose to require the title IV-E agency to report the type of 
relationship between the child and the foster parent(s) from one of 
seven options, for each foster family home in which the child is 
placed, as indicated in paragraph (e)(3) of this section. We propose to 
include the following relationship options, which we also proposed in 
the 2008 NPRM siblings, maternal and paternal grandparents, other 
maternal or paternal relatives or non-relatives. In addition to the 
options in the 2008 NPRM, we propose to add one additional option--kin. 
We agree with commenters to the 2008 NPRM who identified the importance 
of including this option in order to better understand the true nature 
of the child's out-of-home care experience. For AFCARS purposes, a kin 
relationship is defined by the title IV-E agency, such as one where 
there is a psychological, cultural or emotional relationship between 
the child or the child's family and the foster parent(s).
    Title IV-E agencies are not currently required to report the 
specific type of relationship between the child and his or her foster 
parent(s). Through the information reported in the existing AFCARS, we 
only know whether a child is placed in a relative foster home, but we 
do not know the specific relative with whom the child is placed. We 
believe that it is essential to obtain this information, primarily so 
we can understand the trends surrounding relative, and particularly 
grandparent and paternal relative, care of children who enter foster 
care.
    Year of birth of foster parent(s). In paragraphs (e)(17) and 
(e)(20), we propose to require the title IV-E agency to report the year 
of birth of each foster parent(s) for each foster family home living 
arrangement in which the child is placed, as indicated in paragraph 
(e)(3) of this section. A foster parent must be at least 18 years old. 
If the title IV-E agency indicated ``married couple'' or ``unmarried 
couple'' in paragraph (e)(15), the title IV-E agency must indicate the 
year of birth for the first foster parent in paragraph (e)(17) and the 
year of birth for the second foster parent in paragraph (e)(20). If the 
title IV-E agency indicated ``single female'' or ``single male'' in 
paragraph (e)(15), the title IV-E agency must indicate that person's 
year of birth in paragraph (e)(17) and leave paragraph (e)(20) blank. 
Our proposal is unchanged from the 2008 NPRM.
    In the existing AFCARS regulation, the title IV-E agency is 
required to estimate a year of birth if the foster parent(s) exact 
birth date is unknown (see Appendix A to part 1355, section II, IX.B). 
We propose, as we did in the 2008 NPRM, to remove this instruction 
because we expect that the title IV-E agency will always have the exact 
year of birth for a foster parent. This is basic demographic 
information about the child's provider that is required to be collected 
in AFCARS per section 479(c)(3)(A) of the Act.
    Race of foster parent(s). In paragraphs (e)(18)(i) through 
(e)(18)(vii) and (e)(21)(i) through (e)(21)(vii), we propose to require 
the title IV-E agency to report the race of each foster parent(s) for 
each foster family home living arrangement in which the child is 
placed, as indicated in paragraph (e)(3) of this section. If the title 
IV-E agency indicated ``married couple'' or

[[Page 7170]]

``unmarried couple'' in paragraph (e)(15), the title IV-E agency must 
indicate the race for the first foster parent in paragraph (e)(18) and 
the race for the second foster parent in paragraph (e)(21). If the 
title IV-E agency indicated ``single female'' or ``single male'' in 
paragraph (e)(15), the title IV-E agency must indicate that person's 
race in paragraph (e)(18) and leave paragraph (e)(21) blank. This is 
basic demographic information about the child's provider that is 
required to be collected in AFCARS per section 479(c)(3)(A) of the Act.
    Our proposal is unchanged from the 2008 NPRM where we proposed to 
modify the existing AFCARS requirement (see Appendix A to part 1355, 
section II, IX.C) in order to be consistent with the OMB standards for 
collecting information on race. Currently in AFCARS, we explain that an 
individual's race is determined by how he or she defines him or herself 
or by how others define him or her. Consistent with the 2008 NPRM 
proposal, the title IV-E agency must allow the foster parent(s) to 
determine his or her own race. If the foster parent(s) does not know 
his or her race, the title IV-E agency must indicate that this 
information is not known (see paragraphs (e)(18)(vi) and (e)(21)(vi)). 
It is acceptable for the foster parent(s) to identify with more than 
one race, but not know one of those races. In such cases, the title IV-
E agency must indicate the racial classifications that apply and also 
indicate that one of the races is not known. If the foster parent(s) 
declines to identify his or her race, the title IV-E agency must 
indicate that this information was declined (see paragraphs 
(e)(18)(vii) and (e)(21)(vii)).
    Hispanic or Latino ethnicity of foster parent(s). In paragraphs 
(e)(19) and (e)(22), we propose that the title IV-E agency report the 
Hispanic or Latino ethnicity of the foster parent(s) by indicating 
``yes'' or ``no.'' This is basic demographic information about the 
child's provider that is required to be collected in AFCARS per section 
479(c)(3)(A) of the Act. If the title IV-E agency indicated ``married 
couple'' or ``unmarried couple'' in paragraph (e)(15), the title IV-E 
agency must complete paragraph (e)(19) for the first foster parent and 
paragraph (e)(22) for the second foster parent. If the title IV-E 
agency indicated ``single female'' or ``single male'' in paragraph 
(e)(15), the title IV-E agency must complete paragraph (e)(19) for that 
person and leave paragraph (e)(22) blank.
    Our proposal is the same as the existing AFCARS requirement (see 
Appendix B to part 1355, section II, VI.C), the 2008 NPRM and other 
sections of this proposed rule where demographic information on 
ethnicity is collected. The proposed data element is similar to one in 
the existing AFCARS requirements (see Appendix A to part 1355, section 
II, IX.C) and unchanged from the 2008 NPRM. Similar to the data 
elements on race in paragraphs (e)(18) and (e)(21), the definitions in 
paragraphs (e)(19) and (e)(22) also are consistent with the OMB race 
and ethnicity standards. Consistent with the 2008 NPRM proposal, the 
title IV-E agency must allow the foster parent(s) to determine his or 
her own ethnicity. If the foster parent(s) does not know his or her 
ethnicity, the title IV-E agency must indicate the option ``unknown.'' 
If the foster parent(s) refuses to identify his or her ethnicity, the 
title IV-E agency must indicate that the information was declined.
    Sources of Federal assistance in living arrangement. In paragraph 
(e)(23), we propose to require the title IV-E agency to report the 
Federal assistance that supports the child's maintenance payments 
(i.e., room and board) on the last day of the child's placement in each 
living arrangement or on the last day of the report period if the 
child's living arrangement is ongoing, for each living arrangement as 
indicated in paragraph (e)(1) of this section. Our proposal is a 
significant change from the existing AFCARS data element on financial 
assistance, which requires the title IV-E agency to report both Federal 
and non-Federal sources of assistance in each report period (see 
Appendix A to part 1355, section II, XI). Information similar to the 
existing AFCARS requirement is proposed to be collected in both 
paragraphs (b)(16) and (e)(23); however, we modified the options from 
the existing AFCARS requirement and we propose that the title IV-E 
agency report in paragraph (e)(23) only the sources of Federal 
assistance that support the child's maintenance. We propose, as we did 
in the 2008 NPRM, to require the title IV-E agency to report in 
paragraphs (e)(23)(i) through (e)(23)(viii) the types of Federal funds 
that are supporting the child's maintenance in each out-of-home care 
living arrangement from the following options title IV-E foster care 
maintenance payments, title IV-E adoption assistance subsidy, title IV-
E guardianship assistance subsidy, title IV-A Temporary Assistance for 
Needy Families (TANF), title IV-B Child Welfare Services, title XX 
Social Services Block Grant (SSBG), the Chafee Foster Care Independence 
Program and/or other Federal funds.
    We specified in paragraphs (e)(23)(i) through (e)(23)(iii) that the 
title IV-E agency must report a funding source of title IV-E foster 
care, title IV-E adoption subsidy, or a title IV-E guardianship subsidy 
when the child is eligible for such funds. ``Eligible'' means that the 
child satisfies fully all of the criteria for the title IV-E foster 
care maintenance payments program in section 472 of the Act (including 
requirements for a placement in a licensed or approved foster family 
home or child care institution or supervised independent living), for 
the adoption assistance program in section 473 of the Act (including 
requirements for the child to be placed in a pre-adoptive home with an 
adoption assistance agreement signed by all parties in effect), or for 
the guardianship assistance program in section 473 of the Act. We chose 
to specify that the child be eligible for such funds, rather than funds 
paid on behalf of the child because title IV-E agencies are reimbursed 
by the Federal government for allowable title IV-E foster care 
maintenance, adoption assistance, and guardianship assistance payments. 
Title IV-E agencies submit claims for their allowable costs after they 
have made payments on behalf of eligible children, sometimes months 
after the fact. The timing of reimbursement for title IV-E payments and 
submitting AFCARS data may be such that a child may not have actually 
received a Federal payment at the time that we are requesting such 
information but the child is eligible for a title IV-E foster care 
maintenance, adoption assistance, or guardianship assistance payment.
    As in the 2008 NPRM, we tied the reporting of this information to a 
particular day within each living arrangement. If the child is placed 
in two different living arrangements within the same AFCARS report 
period, the title IV-E agency must report the Federal funds supporting 
the child's maintenance on the last day that the child was in the first 
living arrangement and, if the second living arrangement continues past 
the last date of the report period, the title IV-E agency must report 
the Federal funding sources on the last day of the report period. We 
propose to focus on the Federal funds provided on a particular day 
within a living arrangement so that we can better analyze the sources 
of Federal funds supporting children's maintenance. Finally, although 
some commenters to the 2008 NPRM suggested that collecting financial 
information was not necessary, we propose to collect this information 
because section 479(c)(3)(D)

[[Page 7171]]

of the Act requires that we collect the nature of Federal assistance.
    Amount of payment. In paragraph (e)(24), we propose to require the 
title IV-E agency to report the total (title IV-E agency and Federal 
share) per diem amount of the title IV-E foster care maintenance 
payment, title IV-E adoption assistance subsidy or title IV-E 
guardianship assistance subsidy that the child is eligible for or is 
paid on behalf of a title IV-E eligible child on the last day of the 
living arrangement or the last day of the report period if the living 
arrangement is ongoing. We propose to require the title IV-E agency to 
report this information for each living arrangement in which the title 
IV-E agency indicated that paragraphs (e)(23)(i), (e)(23)(ii), or 
(e)(23)(iii) ``applies.'' If the title IV-E agency indicated 
``applies'' in paragraphs (e)(23)(i), (e)(23)(ii), or (e)(23)(iii) and 
no payment was made, the title IV-E agency must indicate ``0'' for this 
data element.
    Our proposal is unchanged from the 2008 NPRM but modifies the 
existing AFCARS regulation which requires title IV-E agencies to report 
the total amount of the monthly foster care payment, regardless of the 
source (e.g., Federal, State, Tribal or another source of funds) in the 
existing AFCARS foster care data file and the total amount of the 
monthly adoption subsidy in the existing AFCARS adoption data file (see 
Appendix A to part 1355, section II, XII and Appendix B to part 1355, 
section II, VIII). As we proposed in the 2008 NPRM, we will no longer 
require the title IV-E agency to report the monthly amount of 
assistance, but rather the daily amount, as we will calculate the 
monthly amount based on the per diem rate that the title IV-E agency 
reports to us. This is the same proposal as in the 2008 NPRM, and we 
did not receive any comments critical of the change.
    As we understand it, information systems are designed such that the 
daily rate is readily available for reporting. Therefore, this aspect 
of the proposal should be less of a burden on title IV-E agencies and 
in line with how their information systems are structured. We also 
propose to remove the requirement that is in the existing AFCARS for 
the title IV-E agency to report the amount of the payment only when a 
title IV-E payment is made on behalf of a child regardless of the 
source. We propose this change because we primarily are interested in 
knowing about the amount of funds under the title IV-E foster care and 
adoption assistance programs, since these are the two largest programs 
for which we have fiscal oversight responsibility.
    Services provided in other living arrangements. In paragraph 
(e)(25), we propose to require the title IV-E agency to report the type 
of services a child is receiving if placed in a living arrangement 
other than a foster family home as indicated in paragraph (e)(4). Pub. 
L. 113-183 requires this information be reported as part of the annual 
Child Welfare Outcomes Report per section 479A of the Act. 
Specifically, the law requires the reporting of information in areas 
such as specialized education, treatment, and counseling, as well as 
other services that do not fit into these categories, e.g., independent 
living skills or other services towards adult preparedness. If the 
title IV-E agency indicated in paragraph (e)(2) that the child is 
living in a foster family home, leave this data element blank. If there 
are services provided, the title IV-E agency must indicate ``yes'' in 
paragraph (e)(25) and then indicate whether each paragraphs (e)(25)(i) 
through (e)(25)(iv) ``applies'' or does not apply.'' If there are no 
services provided by the agency setting, the title IV-E agency must 
indicate ``no.''
    Finally, we would like to note that we are not continuing our 
proposal from the 2008 NPRM to include the data elements ``language of 
foster parent(s)'' and ``language preference of foster parent'' due to 
strong opposition in public comments to the 2008 NPRM.
Section 1355.43(f) Permanency Planning
    In paragraph (f), we propose that the title IV-E agency collect and 
report information related to permanency planning for children in 
foster care. In general, we propose to expand the information that we 
collect by requiring title IV-E agencies to report longitudinal 
information for most of the data elements in paragraph (f). We also 
propose to modify the permanency plan options and request new 
information on the reasons for changing the child's permanency plan; 
the child's concurrent permanency plan; the child's juvenile justice 
involvement; caseworker visits with the child and the child's 
transition plan. In the existing AFCARS, the title IV-E agency is 
required to report one data element on the child's most recent case 
plan goal, which does not provide any detailed information about 
permanency planning for children in foster care. We propose eleven 
additional data elements that will enhance our analysis of the child's 
entire out-of-home care experience and will better inform the title IV-
E agency's performance in permanency planning and achieving positive 
outcomes for children in foster care. We also believe that collecting 
this additional information will enhance our data analysis for the 
CFSRs or other Federal monitoring efforts. We propose to update the 
language from the existing AFCARS regulation to use the term 
``permanency plan'' instead of the term ``case plan,'' which is 
primarily a name change consistent with the terminology used throughout 
titles IV-B and IV-E of the Act. We used the term ``permanency plan'' 
in the 2008 NPRM and 2010 FR Notice and did not receive any comments.
    Some aspects of our proposal are different from the 2008 NPRM and 
the existing AFCARS regulation. One difference is that we do not 
propose to collect ongoing child and family circumstances at the 
development of the initial permanency plan and at the time of each 
permanency hearing, or annually. In the 2008 NPRM, we proposed a list 
of ongoing child and family circumstances identical to the expanded 
list of circumstances proposed in paragraph (d). Commenters to the 2008 
NPRM and 2010 FR Notice were overwhelmingly opposed to our proposal to 
collect child and family circumstances at any point after the child's 
removal (see section 1355.43(d)). Primarily, the commenters questioned 
the value of collecting such information after the time of the child's 
removal and strongly felt that the burden associated with making such 
vast programmatic changes and the time for workers to input such data 
would not positively impact the outcomes for children in foster care. 
Thus, based on such opposition in the comments, we decided against a 
proposal to collect ongoing information on child and family 
circumstances after the time of the child's removal. We propose instead 
to collect information on the reasons the child's permanency plan may 
change, which we explain further in paragraph (f)(4).
    Permanency plan. In paragraph (f)(1), we propose to require the 
title IV-E agency to report the type of permanency plan established for 
the child, for each permanency plan that is established for the child 
in every out-of-home care episode. This is a longitudinal element. In 
the existing AFCARS, the title IV-E agency is required to report the 
child's ``most recent case plan goal'' from a list of seven options, 
reunify with parents or principal caretaker; live with other relatives; 
adoption; long-term foster care; emancipation; guardianship; and not 
yet established (see Appendix A to part 1355, section II, VI). The 
options in the existing AFCARS are similar to the response options we 
proposed in the 2008 NPRM, which were reunify with parents or legal 
guardians; live with

[[Page 7172]]

other relatives; adoption; planned permanent living arrangement; 
independent living; relative guardianship; non-relative guardianship; 
and if the child's permanency plan is not established. Based on the 
comments we received in response to the 2008 NPRM and the 2010 FR 
Notice we propose to modify the 2008 NPRM proposal on permanency plan 
options. Although Federal regulations (45 CFR 1356.21(g)) require title 
IV-E agencies to develop permanency plans for children in foster care 
consistent with the program definition, we understand that most title 
IV-E agencies regularly develop and update permanency plans consistent 
with good practice. We propose that the title IV-E agency report this 
information for all children in the out-of-home care reporting 
population if that information has been collected in accordance with 
best practices procedures. In paragraph (f)(1), we propose to require 
the title IV-E agency to report one of six permanency plan options for 
the child or indicate that the permanency plan is not established. A 
description of each permanency plan option follows.
    We propose that the title IV-E agency indicate ``reunify with 
parent(s) or legal guardian(s)'' if the plan is to keep the child in 
out-of-home care for a limited time and the title IV-E agency is 
working with the child's family to reunify the child with the parent(s) 
or legal guardian(s) in a stable family environment. Our proposed 
definition for this permanency plan option is the same as the 2008 
NPRM, wherein we explained that we modified the existing AFCARS 
definition to replace the term ``principal caretaker'' with ``legal 
guardian.'' We are expanding the ``reunify with parent(s) or legal 
guardian(s)'' option to include situations when the child reunifies 
with a non-custodial parent or legal guardian, rather than the parent 
or legal guardian from whom the child was removed.
    We propose to require the title IV-E agency to indicate ``live with 
other relatives'' if the title IV-E agency is working towards the child 
living permanently with a relative(s), other than the child's parent(s) 
or legal guardian(s). Our proposal differs from the existing AFCARS 
definition in that we propose to exclude relative guardianship from the 
definition and remove the instruction that the relatives are ``other 
than the ones from whom the child was removed.'' This instruction is 
unnecessary given the changes to the ``reunify with parent(s) or legal 
guardian(s)''option because we are no longer limiting the ``reunify 
with parent(s) or legal guardian(s)'' option to the person(s) from whom 
the child was removed. Our current proposal is the same as in the 2008 
NPRM and we did not receive comments on this permanency plan option.
    We propose to require the title IV-E agency to indicate 
``adoption'' if the plan is to facilitate the child's adoption by the 
child's relatives, foster parent(s), kin or other unrelated 
individuals. Our proposal differs from the existing AFCARS requirement 
and the 2008 NPRM in that we propose to modify the adoption permanency 
plan option definition to specifically include adoption by kin. 
Commenters to the 2008 NPRM requested the addition of kin in a number 
of data elements in AFCARS and therefore we include it here.
    We propose to require the title IV-E agency to indicate 
``guardianship'' if the plan is for the title IV-E agency to establish 
a new legal guardianship arrangement for the child. This includes legal 
guardianships established with a relative or a non-relative. We propose 
to modify the existing AFCARS definition and the 2008 NPRM proposal 
based on the 2008 NPRM comments. In the existing AFCARS, the permanency 
plan option of ``guardianship'' applies to non-relatives whereas 
relative guardianship is included in the definition of ``live with 
other relatives.'' In the 2008 NPRM, we proposed separate response 
options for relative and non-relative guardianship permanency plans. 
Commenters to the 2008 NPRM requested that we combine the ``relative 
guardianship'' and ``non-relative guardianship'' permanency plan 
options because they stated that it would be burdensome to reprogram 
information systems to comply with this and did not see the value of 
making such a distinction in AFCARS. We agreed and now propose one 
response option to capture the child's permanency plan of legal 
guardianship.
    We propose to require the title IV-E agency to indicate ``planned 
permanent living arrangement'' if the plan is for the child to remain 
in foster care until the title IV-E agency's placement and care 
responsibility ends. The title IV-E agency must only select ``planned 
permanent living arrangement'' consistent with the requirements in 
section 475(5)(C)(i) of the Act. This response option is not in the 
existing AFCARS and we are modifying our 2008 NPRM proposal. In the 
2008 NPRM, we proposed two response options, ``planned permanent living 
arrangement'' and ``independent living'' to replace the response 
options in the existing AFCARS ``long term foster care'' and 
``emancipation'', respectively. Both ``long term foster care'' and 
``emancipation'' in the existing regulations encompass children with a 
plan to remain in foster care until emancipation.
    Over the years, States have sought out technical assistance and 
guidance on how to distinguish between the two response options. In the 
2008 NPRM, we attempted to rectify this issue by renaming the existing 
AFCARS response option ``long term foster care'' as ``planned permanent 
living arrangement'' and replacing ``emancipation'' with a new response 
option of ``independent living'' defined as situations when the plan 
was for the child to live independently and the child was receiving or 
eligible to receive independent living services. Commenters to the 2008 
NPRM and 2010 FR Notice supported our proposal to include a response 
option for ``planned permanent living arrangement'' but felt that this 
was more than a name change and requested that we modify the definition 
to be more consistent with practice in the field. Commenters to the 
2008 NPRM were overwhelmingly opposed to our proposal to include 
``independent living'' as a permanency plan, stating that in practice, 
``independent living'' refers to services that are provided to children 
who may emancipate from foster care and that these services should be 
provided no matter what the child's permanency plan is. We reexamined 
the existing response options in AFCARS and those proposed in the 2008 
NPRM in the context of these comments, practice in the field and the 
statutory requirement at section 475(5)(C)(i) of the Act. Section 
475(5)(C)(i) requires that the title IV-E agency rule out 
reunification, adoption and legal guardianship before selecting a 
permanency plan for a planned permanent living arrangement. We 
understand that in practice, when a child's plan is not to return to 
his or her family, or achieve guardianship or adoption, the title IV-E 
agency attempts to place a child with a committed foster care provider 
and provide the child with the skills needed for independence. The 
child may be placed with someone who has made a formal commitment to 
the child and may receive the services or not based on a variety of 
factors. Therefore, we believe that other monitoring efforts that 
examine casework, such as the current CFSR, are better tools in which 
to measure title IV-E agency performance in permanency planning for 
children who may emancipate from foster care. We believe that our 
current proposal

[[Page 7173]]

addresses the comments to the 2008 NPRM and the 2010 FR Notice and 
overall better reflect current practice. We welcome comments on this 
response option.
    Finally, we propose to require the title IV-E agency to report if 
the child's permanency plan is not yet established. Our proposal is the 
same as in the 2008 NPRM, which is only a name-change modification from 
the existing AFCARS response option titled ``case plan goal not yet 
established.'' We did not receive comments in response to the 2008 NPRM 
on this response option.
    Date of permanency plan. In paragraph (f)(2), we propose to require 
the title IV-E agency to report the month, day and year that each 
permanency plan for the child was established, for each permanency plan 
established in paragraph (f)(1). This was a new proposed data element 
in the 2008 NPRM and we did not change it in our proposal here. We 
received very few comments on this data element in response to the 2008 
NPRM and the ones we received stated that the additional workload may 
outweigh the value of the data element. As we stated in the 2008 NPRM, 
we continue to believe that collecting the date each permanency plan 
was established will allow us to know all the permanency plans that 
were established for the child and when they were established.
    Concurrent permanency planning. In paragraph (f)(3), we propose to 
require the title IV-E agency to indicate whether the title IV-E agency 
identified a concurrent permanency plan for the child. Our proposal is 
unchanged from the 2008 NPRM. We propose that the title IV-E agency 
indicate ``concurrent permanency plan'' if a concurrent permanency plan 
exists for the child; ``no concurrent permanency plan'' if the title 
IV-E agency engages in concurrent permanency planning but a plan does 
not exist for the child; or ``not applicable'' if the title IV-E agency 
does not engage in concurrent permanency planning. If the title IV-E 
agency indicates ``concurrent permanency plan,'' the title IV-E agency 
must complete the data elements in paragraphs (f)(3)(i) and (f)(3)(ii) 
to indicate the type of concurrent permanency plan; otherwise the title 
IV-E agency must leave these data elements blank.
    The title IV-E agency is not required to report information on 
concurrent permanency planning in the existing AFCARS. Requiring 
information on concurrent permanency planning was a new proposal in the 
2008 NPRM and we received many comments in response to this proposal 
and the 2010 FR Notice. Some commenters to both the 2008 NPRM and 2010 
FR Notice supported our proposal stating that it would help to 
comprehensively understand the permanency planning that is done for a 
child. Other commenters to both the 2008 NPRM and 2010 FR Notice 
questioned the value of the information and objected to requiring this 
information citing worker burden and noting that CFSR results indicate 
concurrent permanency planning was linked to positive results in only a 
few States. We considered the comments, but we did not make changes. 
Concurrent permanency planning has been encouraged since the passage of 
the Adoption and Safe Families Act (ASFA) in 1997 and we understand 
from the CFSRs that many States engage in concurrent permanency 
planning although we also recognize that it is not implemented on a 
consistent basis. We note that there are different ways to view and 
utilize concurrent permanency planning and we believe that it is 
important to capture the extent to which children have concurrent 
permanency plans so that we can better understand if, when and how 
concurrent permanency planning is used.
    Concurrent permanency plan. In paragraph (f)(3)(i), we propose to 
require the title IV-E agency to identify the concurrent permanency 
plan that is established for the child, if applicable. We propose that 
the concurrent permanency plan options include: ``Live with other 
relatives,'' ``adoption,'' ``guardianship,'' and ``planned permanent 
living arrangement,'' and use the same definitions as in paragraph 
(f)(1). We do not propose including the option ``reunify with parent(s) 
or legal guardian(s)'' because a concurrent plan is usually associated 
with a permanency plan for reunification, so we do not see the value in 
including it here. We did not receive comments on this data element in 
response to the 2008 NPRM. We modified the 2008 NPRM proposal on 
concurrent permanency plan options to match paragraph (f)(3)(i) and 
(f)(1). No other changes were made to this data element from the 2008 
NPRM.
    Date of concurrent permanency plan. In paragraph (f)(3)(ii), we 
propose that the title IV-E agency report the month, day and year that 
each concurrent permanency plan, if any as indicated in paragraph 
(f)(3), was established for the child. This was a new proposed data 
element in the 2008 NPRM, which we did not change in this proposal. We 
did not receive comments on this data element in response to the 2008 
NPRM.
    Reason for permanency plan change. In paragraph (f)(4), we propose 
to require that the title IV-E agency indicate whether the child's 
permanency plan changed during the report period and if so, the 
reason(s) for the child's permanency plan change from a list of eight 
options. This is a new data element. We propose that the title IV-E 
agency indicate ``yes'' if the child's permanency plan changed during 
the report period and ``no'' if the child's permanency plan did not 
change. If the title IV-E agency indicates ``yes,'' the title IV-E 
agency must indicate in paragraphs (f)(4)(i) through (f)(4)(viii) 
whether each reason ``applies'' or ``does not apply'' for the change in 
the child's permanency plan as indicated in paragraph (f)(1).
    We propose this data element instead of continuing our proposal 
from the 2008 NPRM to collect additional information on ongoing child 
and family circumstances, which was overwhelmingly opposed in the 
comments to the 2008 NPRM and 2010 FR Notice. Permanency plans may or 
may not change throughout a child's duration in foster care; however, 
knowing the reasons for changes in the child's permanency plan will 
give us a more comprehensive understanding of the permanency planning 
that is done for a child in out-of-home care. We explain the response 
options for this data element in paragraphs (f)(4)(i) through 
(f)(4)(viii). Stakeholders provided suggestions for reasons that a 
child's permanency plan may change which we incorporated into the 
response options below. We welcome comments on these reasons for a 
permanency plan change.
    (i) Not engaged in services. In paragraph (f)(4)(i), we propose 
that the title IV-E agency indicate if the child's parent(s) or legal 
guardian(s) has not engaged in services or otherwise taken the steps 
necessary to reunify with the child as the reason for the permanency 
plan change. This may include a determination by the title IV-E agency 
or the court that the parent(s) or legal guardian(s) is not following 
the steps of the case plan or that the parent(s) or legal guardian(s) 
are not making efforts to reunify with the child.
    (ii) Lack of progress in reunification plan. In paragraph 
(f)(4)(ii), we propose that the title IV-E agency indicate if the 
child's parent(s) or legal guardian(s) is not meeting the requirements 
of the case plan for reunification consistently by demonstrating needed 
changes to provide a safe family home for the child or otherwise taking 
the steps necessary to reunify with the child. This may also mean that 
the parent(s) or legal guardian(s) is making only minimal efforts 
toward reunification. We propose this response option to distinguish

[[Page 7174]]

between instances where the title IV-E agency changes the child's 
permanency plan because the parent(s) or legal guardian(s) is making 
some efforts to reunify with the child from instances when the 
parent(s) or legal guardian(s) has not made any efforts to reunify with 
the child. Comments in response to the 2010 FR Notice were supportive 
of collecting whether the child's permanency plan changes were due to 
the lack of progress by child's parent(s) or legal guardian(s) in 
meeting the requirements of the case plan.
    (iii) Unable/incapable of caring for child permanently. In 
paragraph (f)(4)(iii),we propose that the title IV-E agency indicate if 
the change in the child's permanency plan is due to the fact that the 
child's parent(s) or legal guardian(s) is unable or incapable of caring 
for the child due to a permanent, long-term or other extenuating 
circumstance. This includes situations where the parent(s) or legal 
guardian(s) abandoned the child; died; is incarcerated for an amount of 
time for which the title IV-E agency determines that the child 
remaining in foster care is not in the child's best interests; has had 
his or her parental rights terminated or legal guardianship dissolved; 
or there is another extenuating circumstance as defined by the title 
IV-E agency. These reasons are not finite; however, we expect that the 
title IV-E agency will indicate this response option when there is 
truly an extenuating circumstance that is the reason for the change in 
the child's permanency plan. We propose this response option to 
distinguish between when the child's parent(s) or legal guardian(s) is 
not consistently engaging in services to reunify with the child 
(described previously in paragraphs (i) and (ii)) from instances when 
the child's parent(s) or legal guardian(s) is unable or incapable of 
caring permanently for the child.
    (iv) Reunification appropriate. In paragraph (f)(4)(iv), we propose 
that the title IV-E agency indicate if the reason for the change in the 
child's permanency plan is due to a decision that the child's parent(s) 
or legal guardian(s) is able to care permanently and safely for the 
child and the title IV-E agency is planning on pursuing reunification 
as a permanency option. This includes instances where reunification 
with a non-custodial parent is determined appropriate for the child. 
This decision may be made by the title IV-E agency or ordered by the 
court. We propose this response option to account for instances where 
the title IV-E agency changes the child's permanency plan to 
reunification because a non-custodial parent or legal guardian comes 
forward or instances where the change is made because the parent(s) or 
legal guardian(s) make significant strides in meeting the requirements 
of the case plan, if he or she previously did not do so.
    (v) Child preference. In paragraph (f)(4)(v), we propose that the 
title IV-E agency indicate if an older child stated his or her 
preference for the change in the permanency plan. We propose this 
response option to account for instances where the title IV-E agency 
considers the child's preference when changing the permanency plan, 
rather than inaction or inability on the part of the parent(s) or legal 
guardian(s) to meet the case plan requirements.
    (vi) Adoption/guardianship appropriate. In paragraph (f)(4)(vi), we 
propose that the title IV-E agency indicate if the reason for the 
change in the permanency plan is due to a decision that adoption or 
legal guardianship is a more appropriate plan. This decision may be 
made by the title IV-E agency or ordered by the court. We propose this 
response option because it indicates a specific plan change.
    (vii) Current foster care provider committed to permanency. In 
paragraph (f)(4)(vii), we propose that the title IV-E agency indicate 
if the reason for changing the permanency plan is because the current 
foster care provider of the child expressed a commitment to care 
permanently for the child and the permanency plan of adoption, legal 
guardianship or a planned permanent living arrangement has been ruled 
out by the title IV-E agency.
    (viii) Emancipation likely. In paragraph (f)(4)(viii), we propose 
that the title IV-E agency indicate if the reason for the change in the 
permanency plan is due to a decision that reunification, adoption or 
guardianship are not an appropriate permanency plans and have been 
ruled out. We propose this response option in order to analyze the 
frequency with which permanency plans are changed for this reason.
    Date of periodic review. In paragraph (f)(5), we propose to require 
the title IV-E agency to report the month, day and year of each of the 
child's periodic reviews, as required by section 475(5)(B) of the Act. 
The periodic review may be completed by either a court or 
administrative review, as permitted in section 475(6) of the Act. Our 
proposal is similar to the existing AFCARS requirement and the 2008 
NPRM proposal. In the existing AFCARS, the title IV-E agency is 
required to report the child's most recent periodic review conducted by 
an administrative body or a court (see Appendix A to part 1355, section 
II, I.E). In the 2008 NPRM, we proposed to require the title IV-E 
agency to report the dates of each periodic review or permanency 
hearing. We did not receive comments in response to the 2008 NPRM 
proposal. We propose to modify the 2008 NPRM proposal to collect 
separately the dates of the child's periodic reviews in paragraph 
(f)(5) and the dates of the child's permanency hearings in paragraph 
(f)(6) to improve the information that we have available for the CFSRs 
or other monitoring efforts.
    Date of permanency hearing. In paragraph (f)(6), we propose to 
require the title IV-E agency to report the month, day and year of each 
of the child's permanency hearings held by a court or an administrative 
body appointed or approved by the court, as required by section 
475(5)(C) of the Act. This is a new data element. Currently the title 
IV-E agency reports this information in the existing AFCARS in the same 
data element as the date for the periodic reviews (see Appendix A to 
part 1355, section II, I.E). As indicated above, in order to enhance 
the data available to understand compliance with Federal requirements 
for the case review system in section 475(5)(C) of the Act, we propose 
to separately collect the dates of each periodic review in paragraph 
(f)(5) and each permanency hearing in paragraph (f)(6) for a child.
    Juvenile justice. In paragraph (f)(7), we propose to require the 
title IV-E agency to indicate if the child was found by a juvenile 
judge or court to be a status offender or adjudicated delinquent at any 
time during the report period. We propose that the title IV-E agency 
indicate ``not applicable'' if the child was not found to be a status 
offender or adjudicated delinquent at any time during the report 
period. We propose that the title IV-E agency indicate ``status 
offender'' if the child is found to be a status offender during the 
report period. A status offense is specific to juveniles and may 
include truancy, running away or underage alcohol violations. We 
propose that the title IV-E agency indicate ``adjudicated delinquent'' 
if the child is adjudicated to be delinquent during the report period. 
We propose that the title IV-E agency indicate ``both status offender 
and delinquent'' if the child is found to be both a status offender and 
adjudicated delinquent at any time during the report period.
    This information is not currently collected and reported in AFCARS; 
therefore we currently do not have a way of identifying children who 
are

[[Page 7175]]

involved in the juvenile justice system. In the 2008 NPRM we proposed 
new data elements in the removal information section and in the 
permanency planning section, in order to begin capturing this 
information. As discussed in paragraph (d), in the 2008 NPRM we 
proposed to require the title IV-E agency to report whether the child 
was involved in the juvenile justice system at the time of the child's 
removal. We also proposed in the 2008 NPRM to collect information in 
paragraph (f) on the child's juvenile justice involvement, including 
the child's alleged offenses and delinquencies. We believe that it is 
important to understand more about children in foster care who are also 
involved in the juvenile justice system and we would also like to have 
the ability to analyze the overlap between the juvenile justice and 
child welfare systems. We received many supportive comments to the 2008 
NPRM to require reporting information on a child's juvenile justice 
involvement, but commenters expressed concern in reporting alleged 
offenses and delinquencies stating that it could provide misleading 
data. We understand the concern and have modified our proposal to 
require that the title IV-E agency report the child's involvement with 
the juvenile justice system only if a judge or court found the child to 
be a status offender or delinquent.
    In paragraphs (f)(8) through (f)(11), we propose for the first time 
to require the title IV-E agency to collect and report in AFCARS 
information on visits between the child and the child's caseworker. We 
propose to require the title IV-E agency to collect and report the 
date, location and purpose of each visit by the caseworker and whether 
or not the caseworker visited the child alone during each visit, for 
each visit during each out-of-home care episode. Currently, States and 
Indian Tribes, Tribal organizations or consortia that operate title IV-
B, subpart 1 programs are required under section 422(b)(17) of the Act 
to describe their standards for ensuring monthly caseworker visits with 
children in foster care. Section 422(b)(17) of the Act requires 
caseworker visits to occur monthly and the visits to be well-planned 
and focus on issues pertaining to case planning and service delivery. 
In addition, section 424(f) of the Act requires States to submit 
information on the number of visits made by caseworkers on a monthly 
basis to children in foster care and the number of the visits that 
occurred in the residence of the child. This information is reported in 
the APSR.
    While States report information on caseworker visits, this 
information is not available in a quantitative database format nor do 
States report on the purpose or specific location of the visits. We 
believe that it is important to capture information on caseworker 
visits in a systematic way so that we may improve the quality of data 
analyses and we believe that AFCARS is an appropriate vehicle through 
which to collect this information. We propose to require the title IV-E 
agency to report the date and location of each visit, so that we will 
be able to measure with more accuracy whether the title IV-E agency is 
meeting the monthly caseworker visit requirement of sections 422(b)(17) 
and 424(f) of the Act (see paragraphs (f)(8) and (f)(9) respectively). 
We propose to require the title IV-E agency to report the purpose of 
each caseworker visit to distinguish true caseworker visits from other 
visits with the child. Further, we propose to require the title IV-E 
agency report separately whether the caseworker visited the child alone 
at any time during the visit as one avenue to assess the safety of the 
child (see paragraphs (f)(10) and (f)(11) respectively). We believe 
that collecting caseworker visit information in AFCARS will better 
inform the data that we could use in the CFSRs or other Federal 
monitoring efforts because we will be able to collect information at 
the case level, rather than in aggregate per the current CFSP/APSR 
reporting method. However, we believe that reporting caseworker visit 
information in AFCARS will be less of a burden on title IV-E agencies 
because many title IV-E agencies will be able to pull the information 
directly from their SACWIS or other information systems. Each data 
element is described below in paragraphs (f)(8) through (f)(11).
    Caseworker visit dates. In paragraph (f)(8), we propose to require 
the title IV-E agency to indicate the month, day and year of each in-
person, face-to-face visit between the child and the caseworker, for 
each visit. The caseworker may be any caseworker to whom the title IV-E 
agency has assigned or contracted case management or visitation 
responsibilities (see section 7.3 of the CWPM, Question and Answer #5). 
This proposal will allow us to measure the frequency of caseworker 
visits and whether the visits occur on a monthly basis, as required by 
section 422(b)(17) of the Act.
    Caseworker visit location. In paragraph (f)(9), we propose to 
require the title IV-E agency to indicate one of two options regarding 
the location of each in-person, face-to-face visit between the 
caseworker and the child, for each visit. We propose that the title IV-
E agency indicate ``child's residence'' if the visit occurred at the 
location where the child is currently residing, such as the current 
foster care provider's home, child care institution or facility. We 
propose that the title IV-E agency indicate ``other location'' if the 
visit occurred at any location other than where the child currently 
resides, such as the child's school, a court, a child welfare office or 
in the larger community. This proposal will allow us to determine how 
many of the visits occur in the residence of the child, per section 
424(f)(2) of the Act.
    Caseworker visit purpose. In paragraph (f)(10), we propose to 
require the title IV-E agency to indicate the primary purpose of each 
in-person, face-to-face visit between the caseworker and the child, for 
each visit, from four options. We propose that the title IV-E agency 
indicate ``assessment or case planning'' if the purpose of the visit 
was to assess the child's situation, whether or not through a formal 
assessment, or if the purpose was to conduct other case planning 
activities for the child's safety, permanency or well-being. We propose 
that the title IV-E agency indicate ``placement of the child'' if the 
purpose of the visit was to place the child in foster care or another 
setting. We propose that the title IV-E agency indicate 
``transportation'' if the purpose of the visit was to transport the 
child to a visit or appointment. We propose that the title IV-E agency 
indicate ``court hearing'' if the purpose of the visit was to attend a 
court hearing related to the child's case.
    We propose that these response options be mutually exclusive. If 
the caseworker visits with the child are for more than one purpose, the 
title IV-E agency must indicate the primary purpose of the visit, as 
determined by the title IV-E agency. Title IV-E agencies are not 
required currently to report for the CFSP/APSR on the purpose of the 
visits or the activities that are carried out during the visits. We 
propose to require the title IV-E agency to report in paragraph (f)(10) 
the primary purpose of the visit between the caseworker and the child 
to measure whether the visits are focused on issues pertinent to case 
planning and service delivery, per section 422(b)(17) of the Act.
    Caseworker visit alone with child. In paragraph (f)(11), we propose 
to require the title IV-E agency to indicate if the caseworker visited 
the child alone at any time during each in-person, face-to-face visit 
with the child. The caseworker

[[Page 7176]]

does not have to visit alone with the child for the entire visit. If 
the caseworker visited alone with the child at any point during the 
visit, we propose that the title IV-E agency indicate ``yes.'' If the 
caseworker did not visit with the child alone at all, we propose the 
title IV-E agency indicate ``no.'' We propose to require the title IV-E 
agency to report this information to provide a fuller picture of the 
visits and this data will help support the information that can be used 
for the CFSR.
    Transition plan. In paragraph (f)(12), we propose for the first 
time to require the title IV-E agency to indicate whether or not the 
child has a transition plan that meets the requirements of section 
475(5)(H) of the Act, by indicating ``yes,'' ``no'' or ``not 
applicable'' as appropriate. The title IV-E agency must indicate ``not 
applicable'' for a child who does not have a transition plan because he 
or she has not yet reached the 90-day timeframe for transition plan 
development prescribed in section 475(5)(H) of the Act. If the title 
IV-E agency indicates ``yes,'' the title IV-E agency must indicate 
whether each provision in paragraphs (f)(12)(i) through (f)(12)(vi) is 
included in the transition plan, by indicating that the provision 
either ``applies'' or ``does not apply.'' The information in paragraphs 
(f)(12)(i) through (f)(12)(vi) is based on the information that 
statutorily is required to be in the child's transition plan in section 
475(5)(H) of the Act.
    Section 475(5)(H) of the Act requires that the transition plan be 
personalized at the direction of the child and be developed during the 
90-day period prior to the date on which the child attains age 18, or 
if applicable, during the 90-day period before the later age for a 
child in extended foster care elected by the title IV-E agency per 
section 475(8)(B) of the Act. We propose that the title IV-E agency 
indicate in paragraphs (f)(12)(i) through (f)(12)(vi) whether each 
option of ``Housing,'' ``Health insurance,'' ``Health care treatment 
decisions,'' ``Education,'' ``Mentoring and continuing support'' and 
``Work force support and employment services'' is included in the 
child's transition plan, as required in section 475(5)(H) of the Act. 
We propose this data element so that we can discern the planning that 
takes place for older children who are in foster care and the impact 
transition planning has on a child's stay in foster care. We welcome 
comments on this proposal.
    Date of transition plan. In paragraph (f)(13), we propose for the 
first time to require the title IV-E agency to indicate the date of the 
child's transition plan, if the title IV-E agency indicated that the 
child had a transition plan that meets the requirements of section 
475(5)(H) of the Act in paragraph (f)(12). We seek this information so 
that we will be able to measure whether the title IV-E agency is 
meeting the requirement in section 475(5)(H) of the Act to develop a 
transition plan for a child during the 90-day period prior to the date 
on which the child attains age 18. We welcome comments on this 
proposal.
Section 1355.43(g) General Exit Information
    In paragraph (g), we propose to require the title IV-E agency to 
report information that describes when and why a child exits the out-
of-home care reporting population. The title IV-E agency is currently 
required to report the child's most recent date of discharge and 
discharge reason in the existing AFCARS (see Appendix A to part 1355, 
section II, X). We retain the current AFCARS requirements, with some 
modifications. First, we propose to modify the language from the 
existing AFCARS regulation to refer to the child's ``exit'' from out-
of-home care, instead of referring to the child's ``discharge.'' We 
believe that ``exit'' is a more accurate description when referring to 
a child's out-of-home care episode and understand that this term is 
consistent with current practice in the field. We used the term 
``exit'' in the 2008 NPRM and 2010 FR Notice and did not receive 
comments on this. Second, as in the 2008 NPRM, we propose to require 
the title IV-E agency to report longitudinal information for all of the 
data elements in paragraph (g). Our current proposal in paragraph (g) 
is similar to our proposal in the 2008 NPRM; however, we made some 
modifications based on comments to the 2008 NPRM and 2010 FR Notice. We 
explain the changes in greater detail below.
    Date of exit. In paragraph (g)(1), we propose to require the title 
IV-E agency to report the month, day and year for each of the child's 
exits from out-of-home care, if applicable. An exit occurs when the 
title IV-E agency's placement and care responsibility for the child 
ends. If the child has not exited the out-of-home care reporting 
population, the title IV-E agency must leave this data element blank. 
If this data element is applicable, the data elements in paragraphs 
(g)(2) and (g)(3) of this section must have a response.
    This proposal differs from the existing AFCARS regulation in which 
we require that the title IV-E agency report only the child's most 
recent ``date of discharge from foster care'' (see Appendix A to part 
1355, section II, X.A). We are continuing our 2008 NPRM proposal to 
require that the title IV-E agency collect and report each of the 
child's exit dates, if the child has multiple out-of-home care 
episodes.
    An important aspect of our proposal that is different from existing 
AFCARS regulations and 2008 NPRM is the point at which we consider the 
child to have exited the out-of-home care reporting population. 
Existing AFCARS regulation and policy guidance is that if there is no 
specified period of time related to how long the child can remain home 
under the agency's responsibility for placement and care, then the 
agency reports the child as discharged if the length of stay is six 
months. In the 2008 NPRM, we proposed that an exit occurs when the 
title IV-E agency's placement and care responsibility for the child 
ends, the title IV-E agency has returned the child home, or the child 
reaches the age of majority and is not receiving title IV-E foster care 
maintenance payments. Commenters to the 2008 NPRM believed that the 
child should not exit the out-of-home care reporting population while 
the title IV-E agency has placement and care responsibility of the 
child. We were convinced by the overwhelming comments to simplify the 
definition of exit. We also explained in section 1355.41(a) that we are 
not continuing our proposal from the 2008 NPRM to report instances 
where the child is placed at home while still under the title IV-E 
agency's placement and care responsibility as an exit because 
commenters to the 2008 NPRM were overwhelmingly opposed to this 
proposal.
    Exit transaction date. In paragraph (g)(2), we propose to continue 
to require the title IV-E agency to report the transaction date for 
each of the child's exit dates reported in paragraph (g)(1). The 
transaction date is a non-modifiable, computer-generated date which 
accurately indicates the month, day and year each response to paragraph 
(g)(1) was entered into the information system. We propose that the 
transaction date must be no later than 30 days after the date of each 
exit.
    The existing AFCARS requirement is that the transaction date must 
be no later than 60 days after the child's exit (see Appendix A to part 
1355, section II, X.A). In the 2008 NPRM, we proposed that the 
transaction date must be within 15 days of the child's exit. As we 
stated in the 2008 NPRM, we have found that data is higher in quality 
and accuracy when the transaction date is close in time to the date 
that it describes. Commenters to the 2008 NPRM expressed the same 
concerns with the

[[Page 7177]]

15-day timeframe here as they expressed in the data element ``removal 
transaction date'' in paragraph (d)(2) of this section. Consistent with 
paragraph (d)(2), we believe that a 30-day timeframe is acceptable and 
represents a balanced approach that meets our need to ensure that exit 
information is timely and also addresses concerns from the commenters.
    Exit reason. In paragraph (g)(3), we propose to require the title 
IV-E agency to collect and report information on the reason for the 
child's exit from out-of-home care. The title IV-E agency must indicate 
``not applicable'' if the child has not exited out-of-home care. An 
exit occurs when the title IV-E agency's placement and care 
responsibility for the child ends. The response options we propose here 
are similar to the response options in the existing AFCARS and the 
response options that we proposed in the 2008 NPRM; however, we propose 
some modifications, which we explain in detail with each response 
option. We propose that the response options for paragraph (g)(3) be 
mutually exclusive, meaning the title IV-E agency must indicate only 
one reason for the child's exit from out-of-home care. For example, if 
the child exits out-of-home care due to adoption by a relative, the 
title IV-E agency must indicate ``adoption'' as the exit reason.
    We propose that the title IV-E agency indicate the exit reason of 
``reunify with parent(s) or legal guardian(s)'' if the child was 
returned to his or her parent(s) or legal guardian(s) and the title IV-
E agency's placement and care responsibility ends. This includes 
reunifying with a parent(s) or legal guardian(s) even if the child was 
not removed from that parent(s) or legal guardian(s). The existing 
AFCARS requirement defines this exit reason differently to include when 
the child was returned to the child's parent or principal caretaker's 
home (see Appendix A to part 1355, section II, X.B). We propose to 
revise the reunification exit reason to remove the term caretaker, as 
we believe it is too vague.
    We propose that the title IV-E agency indicate ``live with other 
relatives'' if the child exited out-of-home care to live permanently 
with a relative, related by a biological, legal or marital connection, 
other than the child's parent(s) or legal guardian(s) and the title IV-
E agency's placement and care responsibility ends. Our proposal is 
unchanged from the 2008 NPRM and is a slight modification of the 
current AFCARS exit reason. The current AFCARS exit reason of ``living 
with other relatives'' refers only to relatives other than the one from 
whose home the child was removed (see Appendix A to part 1355, section 
II, X.B). We are modifying this exit reason to remove the instruction 
from the existing AFCARS definition that such relatives are ``other 
than the ones from whom the child was removed'' because it is not 
necessary with the changes made to the exit reason ``reunify with 
parent(s) or legal guardian(s)'' that now includes reunification with 
the parent(s) or legal guardian(s) from whom the child was not removed. 
We did not receive comments on this in response to the 2008 NPRM.
    We propose that the title IV-E agency indicate ``adoption'' if the 
child was legally adopted. Our proposal is unchanged from the existing 
AFCARS response option and the 2008 NPRM. We did not receive comments 
on this in response to the 2008 NPRM.
    We propose that the title IV-E agency indicate ``emancipation'' if 
the child exits out-of-home care due to age. Our proposal differs from 
the existing AFCARS response option and the 2008 NPRM where this exit 
reason captures when a child leaves the title IV-E agency's placement 
and care responsibility because the child ages out of foster care, gets 
married or is confined to jail or prison (see Appendix A to part 1355, 
section II, X.B). Commenters in response to the 2008 NPRM suggested 
that we should define the exit reason ``emancipation'' to refer to a 
child reaching the ``age of majority'' only. We agree and have created 
a new response option of ``other'' to include children who exit out-of-
home care for reasons not described in previous response options, 
including exit due to marriage, or confinement to jail or prison.
    We propose that the title IV-E agency indicate ``guardianship'' if 
the child exited out-of-home care when a relative or other unrelated 
individual obtained legal guardianship of the child. This does not 
include instances where the child is returned to the legal guardian(s) 
from whom the child was removed because that exit reason would be 
``reunify with parent(s) or legal guardian(s).'' Our proposal is 
similar to the existing AFCARS exit reason but differs from the 2008 
NPRM. In the existing AFCARS, the guardianship exit reason is when 
permanent custody of the child was awarded to an individual (see 
Appendix A to part 1355, section II, X.B). In the 2008 NPRM, we 
proposed separate exit reasons of relative and non-relative legal 
guardianship. Commenters to the 2008 NPRM requested that we combine the 
``relative guardianship'' and ``non-relative guardianship'' response 
options because they stated that it would be burdensome to reprogram 
the title IV-E agency's information system to make this distinction and 
did not see the value of making such a distinction in AFCARS. We 
understand the concerns and we are now proposing one exit reason to 
include both relative and non-relative legal guardianships.
    We propose that the title IV-E agency indicate ``runaway or 
whereabouts unknown'' if the child ran away or the child's whereabouts 
are unknown at the time that the title IV-E agency's placement and care 
responsibility of the child ends. This exit reason in the existing 
AFCARS and the 2008 NPRM focus on the child running away as the reason 
for the child's exit (see Appendix A to part 1355, section II, X.B). 
Commenters to the 2008 NPRM suggested adding an exit reason of 
``other'' in place of the proposed response option of ``runaway.'' We 
considered the comment, but concluded that having a response option of 
``other'' would not yield better information for our analyses. We 
instead propose that the title IV-E agency select the exit reason 
``runaway or whereabouts unknown'' when the child ran away or the 
child's whereabouts are unknown and the title IV-E agency's placement 
and care responsibility ends. Including children whose whereabouts are 
unknown in this exit reason is necessary since the title IV-E agency 
must report in AFCARS information on children who are in their 
placement and care responsibility, even if the child's whereabouts are 
unknown.
    We propose that the title IV-E agency indicate ``death of child'' 
if the child died while in out-of-home care. Our proposal is unchanged 
from the existing AFCARS requirement and the 2008 NPRM. We did not 
receive comments on this exit reason.
    We propose that the title IV-E agency indicate ``transfer to 
another agency'' if the exit reason was because placement and care 
responsibility of the child was transferred to another agency, either 
within or outside of the reporting State or Tribal service area, and 
the title IV-E agency's placement and care responsibility of the child 
ends. This does not include public agencies, Indian Tribes, Tribal 
organizations or consortia that have an agreement with a title IV-E 
agency under section 472(a)(2)(B) of the Act. Title IV-E agencies are 
to report this exit reason when the title IV-E agency transfers its 
placement and care responsibility to an agency outside of the title IV-
E agency. These transfers often are made to a juvenile justice or 
disability agency, if these agencies are external to the title IV-E 
agency.

[[Page 7178]]

However, if such agencies reside within a single agency, such internal 
transfers of responsibility must not be included in this exit reason. 
If the title IV-E agency indicates that the child exited out-of-home 
care due to the child being transferred to another agency's placement 
and care responsibility, the title IV-E agency must complete the data 
element in paragraph (g)(4) of this section. Our proposal is 
essentially the same concept as the existing AFCARS definition of 
``transfer to another agency'' (see Appendix A to part 1355, section 
II, X.B) and the 2008 NPRM proposal. We proposed in the 2008 NPRM and 
now to use the term ``placement and care responsibility'' rather than 
simply ``care'' as is used in the existing AFCARS so that it is clear 
that the title IV-E agency must report an exit when the actual 
``placement and care responsibility'' for the child has changed. We did 
not receive comments on this response option in response to the 2008 
NPRM; however, we made minor wording revisions in our proposed 
definition to be clear that it is not just another agency outside of 
the State, but also the Tribal service area, to accommodate Tribal 
title IV-E agencies (see section 479B of the Act).
    We propose that the title IV-E agency indicate ``other'' if the 
child exited due to a reason not described in the above response 
options, such as marriage or confinement to jail or prison. This is a 
new proposal and is not required in the existing AFCARS regulation. We 
welcome comments on this proposal.
    Transfer to another agency. In paragraph (g)(4), we propose to 
require the title IV-E agency to indicate the type of agency that 
received placement and care responsibility of the child, if the title 
IV-E agency indicated the exit reason ``transfer to another agency'' in 
paragraph (g)(3). This was a new proposed data element in the 2008 NPRM 
as title IV-E agencies are not required currently to report this 
information in the existing AFCARS. We are continuing our proposal 
because, as we stated in the 2008 NPRM, this will enhance our ability 
to know more about what happens to children who leave the title IV-E 
agency's placement and care responsibility. Further, this information 
can be used to meet the requirements of CAPTA for annual State data on 
the number of children transferred from the child welfare system into 
the custody of the juvenile justice system (section 106(d)(14) of 
CAPTA). The response options we propose here are similar to the 
response options that we proposed in the 2008 NPRM but are modified 
slightly to provide a comprehensive list of potential agencies that may 
receive placement and care responsibility of the child. Each proposed 
response option is explained below.
    We propose that the title IV-E agency indicate ``State title IV-E 
agency'' if the reporting title IV-E agency transferred placement and 
care responsibility of the child to a State title IV-E agency. This is 
a new proposed response option that was not proposed in the 2008 NPRM. 
We propose it now to clearly know when a child is transferred to a 
State title IV-E agency, as opposed to a different State agency.
    We propose that the title IV-E agency indicate ``Tribal title IV-E 
agency'' if the reporting title IV-E agency transferred placement and 
care responsibility of the child to a Tribal title IV-E agency. This is 
a new proposed response option that was not proposed in the 2008 NPRM. 
We propose it now to clearly know when a child is transferred to a 
Tribal title IV-E agency and to distinguish between transferring 
placement and care responsibility for the child to a Tribal title IV-E 
agency or an Indian Tribe, Tribal agency, Tribal organization or 
consortium that is not operating a title IV-E program directly per 
section 479B of the Act.
    We propose that the title IV-E agency indicate ``Indian Tribe or 
Tribal agency (non-IV-E)'' if the reporting title IV-E agency 
transferred placement and care responsibility of the child to an Indian 
Tribe, Tribal agency, Tribal organization or consortium that is not 
operating a title IV-E program directly, per section 479B of the Act. 
We proposed this response option in the 2008 NPRM; however, we modified 
the title of the response option from ``Tribe or Tribal agency'' to 
``Indian Tribe or Tribal agency'' and clarified the definition to 
distinguish between transferring placement and care responsibility for 
the child to a Tribal title IV-E agency or an Indian Tribe, Tribal 
agency, Tribal organization or consortium that is not operating a title 
IV-E program directly, per section 479B of the Act.
    We propose that the title IV-E agency indicate ``juvenile justice 
agency'' if the reporting title IV-E agency transferred placement and 
care responsibility of the child to a juvenile justice agency. We 
proposed this response option in the 2008 NPRM and we did not make 
changes from the 2008 NPRM proposal.
    We propose that the title IV-E agency indicate ``mental health 
agency'' if the reporting title IV-E agency transferred placement and 
care responsibility of the child to a mental health agency. We proposed 
this response option in the 2008 NPRM and we did not make changes from 
the 2008 NPRM proposal.
    We propose that the title IV-E agency indicate ``other public 
agency'' if the reporting title IV-E agency transferred placement and 
care responsibility of the child to another public agency other than a 
State or Tribal title IV-E agency, juvenile justice or mental health 
agency. We proposed a similar response option in the 2008 NPRM that was 
titled ``other State agency.'' We modified the title and definition 
from the 2008 NPRM proposal to provide a comprehensive list of agencies 
to which the reporting title IV-E agency may transfer placement and 
care responsibility for the child.
    We propose that the title IV-E agency indicate ``private agency'' 
if the reporting title IV-E agency transferred placement and care 
responsibility of the child to a private agency. We proposed this 
response option in the 2008 NPRM and we did not make changes from the 
2008 NPRM proposal.
    Finally, we would like to note that we are not continuing to 
propose the data elements ``death due to child abuse/neglect in care'' 
and ``circumstances at exit from out-of-home care'' that were proposed 
in the 2008 NPRM. Several commenters to the 2008 NPRM expressed that 
the previously proposed data element ``death due to child abuse/neglect 
in care'' was redundant with the information collected in NCANDS and 
that collecting this information in AFCARS could lead to misinformation 
and under or over-reporting of deaths of children in care due to abuse 
or neglect. Commenters to the 2008 NPRM also pointed out that a final 
decision regarding a child's fatality could take extensive time to 
resolve which could cause issues for timely data submissions. 
Additionally, commenters to the 2008 NPRM were overwhelmingly opposed 
to our proposal to collect information on child and family 
circumstances at any point in time other than at removal, consistent 
with the comments made regarding paragraph (f) of this section. 
Commenters in response to the 2008 NPRM expressed strong opposition to 
reporting child and family circumstances at exit citing worker burden 
to enter the data and questioned the value of collecting such 
information after the time of removal. Commenters to the 2008 NPRM also 
felt that the proposed list of circumstances would not capture the 
progress that is made in a case and would not properly illustrate the 
issues surrounding a family. Thus, based on the comments in response to 
the 2008 NPRM, we decided not to propose these data elements.

[[Page 7179]]

Section 1355.43(h) Exit to Adoption and Guardianship Information
    In paragraph (h), we propose that the title IV-E agency collect and 
report information on the child's exit from out-of-home care to a 
finalized adoption or legal guardianship. This information must be 
reported if the title IV-E agency reported the child's exit reason in 
paragraph (g)(3) as ``adoption'' or ``guardianship.'' Otherwise the 
title IV-E agency must leave the data elements described in paragraph 
(h) of this section blank.
    We propose to require the title IV-E agency to collect and report 
data elements in paragraph (h) of this section which are similar to 
those currently collected in the AFCARS adoption data file, and 
proposed in the 2008 NPRM. Title IV-E agencies are required to collect 
and report demographic characteristics of children in foster care and 
adopted children and their biological and adoptive or foster parents 
(section 479(c)(3)(A) of the Act). We proposed in the 2008 NPRM to 
collect information on finalized adoptions and adoptive parents in the 
out-of-home care data file, instead of in a separate adoption data file 
as is the structure of the current AFCARS. We continue our proposal 
from the 2008 NPRM to collect information on finalized adoptions and 
adoptive parents in the out-of-home care data file and we are modifying 
it to require the title IV-E agency to collect and report information 
in paragraph (h) on legal guardianships and legal guardians. Section 
473(d) of the Act authorizes a title IV-E guardianship assistance 
program that provides Federal assistance and subsidies to eligible 
children who exit foster care to a relative legal guardianship. Title 
IV-E agencies report in the existing AFCARS whether children discharge 
from foster care to guardianship, but no other information is reported 
on the legal guardians. ACF is very interested in collecting data in 
AFCARS on legal guardianships so that we may analyze the use of legal 
guardianship as a permanency option for children in foster care. We 
also received many supportive comments in response to the 2010 FR 
Notice to collecting the same information for children in legal 
guardianships and adoptions stating that collecting more information on 
guardianships would provide an important look at the children who exit 
out-of-home care to legal guardianship.
    Marital status of the adoptive parent(s) or guardian(s). In 
paragraph (h)(1), we propose to require the title IV-E agency to report 
the marital status of the adoptive parent(s) or legal guardian(s). We 
propose to require the title IV-E agency to indicate ``married couple'' 
if the adoptive parents or legal guardians are considered to be united 
in matrimony according to applicable laws, including common law 
marriage where provided by applicable laws. We propose to require the 
title IV-E agency to indicate ``unmarried couple'' if the adoptive 
parents or legal guardians are living together as a couple, but are not 
united in matrimony according to applicable laws. The response options 
``married couple'' and ``unmarried couple'' include instances where 
only one person in the couple is adopting or obtaining legal 
guardianship of the child. We propose to require the title IV-E agency 
to indicate ``single female'' if the adoptive parent or legal guardian 
is a female who is not married (including common law marriage) and is 
not living with another individual as part of a couple. We propose to 
require the title IV-E agency to indicate ``single male'' if the 
adoptive parent or legal guardian is a male who is not married 
(including common law marriage) and is not living with another 
individual as part of a couple. If the title IV-E agency indicates the 
response option ``married couple'' or ``unmarried couple,'' the title 
IV-E agency must complete the data elements for the second adoptive 
parent or second legal guardian in paragraphs (h)(6) through (h)(8) of 
this section; otherwise the title IV-E agency must leave these data 
elements blank. Consistent with the existing AFCARS requirement and the 
2008 NPRM proposal, we are not proposing a separate category for an 
adoptive parent or legal guardian who is a widow or widower. Such 
individuals must continue to be reported according to his or her 
current marital/living situation.
    Our proposed response options are similar to those in the existing 
AFCARS regulation (see Appendix B to part 1355, section II, VI.A) and 
the 2008 NPRM. We modified our proposal to include collecting the 
marital status of the child's legal guardian(s) and clarified the 
directions in this data element in response to commenters to the 2008 
NPRM who requested direction on how to indicate instances where one 
individual of a married or unmarried couple adopts or obtains legal 
guardianship of a child.
    Child's relationship to the adoptive parent(s) or guardians(s). In 
paragraph (h)(2), we propose to require the title IV-E agency to report 
the relationship between the child and his or her adoptive parent(s) or 
legal guardian(s). We propose that the title IV-E agency indicate 
whether each relationship between the child and his or her adoptive 
parent(s) or legal guardian(s) ``applies'' or ``does not apply'' in 
paragraphs (h)(2)(i) through (h)(2)(viii) paternal or maternal 
grandparents, other paternal or maternal relatives, sibling(s), kin, 
non-relative(s) and foster parent(s).
    In the existing AFCARS, the types of relationships between the 
child and his or her adoptive parent(s) are limited to stepparent, 
other relative of child by birth or marriage, foster parent and non-
relative (see Appendix B to part 1355, section II, VI.D). In the 2008 
NPRM, we proposed an expanded list of relationships almost identical to 
the relationships proposed now, in order to further examine the extent 
to which relatives are being utilized as resources, but we did not 
include kin relationships as a response option. We received many 
supportive comments in response to the 2008 NPRM on the proposed 
expanded list; however, we also received comments for this data element 
and throughout the 2008 NPRM requesting the inclusion of kin 
relationships into the data elements. Based on the comments to the 2008 
NPRM, we propose to include kin relationships in this data element, 
consistent with the addition of kin throughout our current proposal. We 
also modified the proposed response options to require the title IV-E 
agency to report the relationship between the child and his or her 
legal guardian(s). No other modifications were made to paragraph (h)(2) 
beyond the modifications already explained.
    Date of birth of adoptive parent(s) or guardian(s). In paragraphs 
(h)(3) and (h)(6), we propose to require the title IV-E agency to 
report the month, day and year of birth of each adoptive parent or 
legal guardian. If the title IV-E agency indicated ``married couple'' 
or ``unmarried couple'' in paragraph (h)(1), the title IV-E agency must 
indicate the date of birth for both members of the couple in paragraphs 
(h)(3) and (h)(6), even if only one of those individuals is adopting or 
obtaining legal guardianship of the child. If the title IV-E agency has 
so indicated in (h)(1), the title IV-E agency must report the date of 
birth of the first adoptive parent or legal guardian in paragraph 
(h)(3) and the date of birth for the second adoptive parent, legal 
guardian, or other member of the couple in paragraph (h)(6). If the 
title IV-E agency indicated ``single female'' or ``single male'' in 
paragraph (h)(1), the title IV-E agency must indicate that person's 
date of birth in paragraph (h)(3) and leave paragraph (h)(6) blank.
    The title IV-E agency is required to report in the existing AFCARS 
only the year of birth for the adoptive parent(s)

[[Page 7180]]

(see Appendix B to part 1355, section II, VI.B). In the 2008 NPRM we 
proposed to require the title IV-E agency to report the month, day and 
year for each adoptive parent's birth because we believe that title IV-
E agencies already collect a full date of birth. We did not receive 
comments in response to the 2008 NPRM on this data element; however, we 
modified our proposal from the 2008 NPRM to include collecting a full 
date of birth for the child's legal guardian(s), consistent with our 
proposed changes throughout paragraph (h).
    Race of adoptive parent(s) or guardian(s). In paragraphs (h)(4)(i) 
through (vii) and (h)(7)(i) through (vii), we propose to require the 
title IV-E agency to report information on the race of each adoptive 
parent or legal guardian. If the title IV-E agency indicated ``married 
couple'' or ``unmarried couple'' in paragraph (h)(1), the title IV-E 
agency must indicate the race for both members of the couple in 
paragraphs (h)(4) and (h)(7), even if only one of those individuals is 
adopting or obtaining legal guardianship of the child. If the title IV-
E agency has so indicated in (h)(1), the title IV-E agency must report 
the race for the first adoptive parent or legal guardian in paragraph 
(h)(4) and the race for the second adoptive parent, legal guardian, or 
other member of the couple in paragraph (h)(7). If the title IV-E 
agency indicated ``single female'' or ``single male'' in paragraph 
(h)(1), the title IV-E agency must indicate that person's race in 
paragraph (h)(4) and leave paragraph (h)(7) blank.
    The racial categories are consistent with the OMB standards for 
collecting information on race. Commenters to the 2008 NPRM suggested 
changes for the racial categories; however, we do not propose any 
changes here. The response options proposed in paragraphs (h)(4)(i) 
through (h)(4)(vii) and (h)(7)(i) through (h)(7)(vii) are the same as 
those in the existing AFCARS regulations (see Appendix B to part 1355, 
section II, VI.C), the 2008 NPRM, and other sections of this proposed 
rule where demographic information on race is collected; however, we 
modified our proposal from the 2008 NPRM to include collecting 
information on the legal guardian's race, consistent with our proposed 
changes throughout paragraph (h).
    Consistent with the existing AFCARS requirement and the 2008 NPRM, 
the title IV-E agency must allow the adoptive parent or legal guardian 
to determine his or her own race. If the adoptive parent, legal 
guardian or other member of the couple does not know his or her race, 
the title IV-E agency must indicate that this information is not known 
(see paragraphs (h)(4)(vi) and (h)(7)(vi)). It is acceptable for the 
adoptive parent, legal guardian or other member of the couple to 
identify with more than one race, but not know one of those races. In 
such cases, the title IV-E agency must indicate the racial 
classifications that apply and also indicate that one of the races is 
not known (see paragraphs (h)(4)(vi) and (h)(7)(vi)). If the adoptive 
parent, legal guardian or other member of the couple declines to 
identify his or her race, the title IV-E agency must indicate that this 
information was declined (see paragraphs (h)(4)(vii) and (h)(7)(vii)).
    Hispanic or Latino ethnicity of adoptive parent(s) or guardian(s). 
In paragraphs (h)(5) and (h)(8), we propose to require the title IV-E 
agency to report the Hispanic or Latino ethnicity of each adoptive 
parent or legal guardian by indicating ``yes'' or ``no.'' If the title 
IV-E agency indicated ``married couple'' or ``unmarried couple'' in 
paragraph (h)(1), the title IV-E agency must indicate information for 
both members of the couple in paragraph (h)(5) and (h)(8), even if only 
one of those individuals is adopting or obtaining legal guardianship of 
the child. If the title IV-E agency has so indicated in (h)(1), the 
title IV-E agency must report the Hispanic or Latino ethnicity for the 
first adoptive parent or legal guardian in paragraph (h)(5) and in 
paragraph (h)(8) for the second adoptive parent, legal guardian, or 
other member of the couple. If the title IV-E agency indicated ``single 
female'' or ``single male'' in paragraph (h)(1), the title IV-E agency 
must complete paragraph (h)(5) for that person and leave paragraph 
(h)(8) blank.
    Similar to the data elements on race in paragraphs (h)(4) and 
(h)(7), the definitions in paragraph (h)(5) and (h)(8) are also 
consistent with the OMB race and ethnicity standards, as described in 
section 1355.43(b) of this proposed rule. Consistent with the existing 
AFCARS requirement and the 2008 NPRM, the title IV-E agency must allow 
the adoptive parent, legal guardian or other member of the couple to 
determine his or her own ethnicity. If the adoptive parent, legal 
guardian or other member of the couple does not know his or her 
ethnicity, the title IV-E agency must indicate the response option 
``unknown.'' If the adoptive parent, legal guardian or other member of 
the couple refuses to identify his or her ethnicity, the title IV-E 
agency must indicate that the information was declined.
    Our proposal is the same as the existing AFCARS requirement (see 
Appendix B to part 1355, section II, VI.C), the 2008 NPRM and other 
sections of this proposed rule where demographic information on 
ethnicity is collected. We did not receive comments from the 2008 NPRM 
on this data element; however, we propose to require that the title IV-
E agency collect this information for the child's legal guardian(s), 
consistent with our proposed changes throughout paragraph (h).
    Inter/Intrajurisdictional adoption or guardianship. In paragraph 
(h)(9), we propose to require the title IV-E agency to report whether 
the child was placed within the State or Tribal service area, outside 
of the State or Tribal service area or into another country for the 
adoption or legal guardianship. We propose to require the title IV-E 
agency to indicate ``interjurisdictional adoption or guardianship'' if 
the reporting title IV-E agency placed the child for adoption or legal 
guardianship outside of the State or Tribal service area. We propose to 
require the title IV-E agency to indicate ``intercountry adoption or 
guardianship'' if the reporting title IV-E agency placed the child for 
adoption or legal guardianship outside of the United States of America. 
We propose to require the title IV-E agency to indicate 
``intrajurisdictional adoption or guardianship'' if the reporting title 
IV-E agency placed the child within the same State or Tribal service 
area. If the title IV-E agency indicates either ``interjurisdictional 
adoption or guardianship'' or ``intercountry adoption or guardianship'' 
for the child's adoption or legal guardianship, the title IV-E agency 
must complete the data element in paragraph (h)(10); otherwise the 
title IV-E agency must leave paragraph (h)(10) blank.
    In the existing AFCARS, the title IV-E agency is required to report 
the location of the agency or individual that had custody or 
responsibility of the child at the time of initiation of adoption 
proceedings from a list of three options: Within State; another State; 
or another country (see Appendix B to section II, VII.A). We proposed 
in the 2008 NPRM to change the name of the data element and the 
response options to: Interstate adoption; intercountry adoption; or 
intrastate adoption. We did not receive comments from the 2008 NPRM on 
this data element; however, we propose modifications to the 2008 NPRM 
proposal to collect information on inter/intrajurisdictional legal 
guardianships, consistent with other proposed changes to collect 
information on legal guardianships throughout paragraph (h). We also 
modified the definitions of the response options from

[[Page 7181]]

the 2008 NPRM proposal to include Tribal title IV-E agencies. We 
believe that our proposal may allow us to identify trends and/or 
challenges in interjurisdictional adoptions/guardianships.
    Interjurisdictional adoption or guardianship jurisdiction. In 
paragraph (h)(10), we propose to require the title IV-E agency to 
indicate the name of the State, Tribal service area, Indian reservation 
or country where the reporting title IV-E agency placed the child for 
adoption or legal guardianship. This data element must be completed 
only if the title IV-E agency indicated ``interjurisdictional adoption 
or guardianship'' or ``intercountry adoption or guardianship'' in 
paragraph (h)(9); otherwise the title IV-E agency must leave it blank.
    Title IV-E agencies are not required to report location information 
on an interjurisdictional or intercountry adoption or guardianship in 
the existing AFCARS. In the 2008 NPRM, we proposed requiring for the 
first time that the title IV-E agency report the location of the 
child's adoption using the State's numeric two-digit FIPS code. 
Commenters to the 2008 NPRM expressed concern with keeping up with 
ever-changing FIPS codes. We are modifying our 2008 NPRM proposal to 
remove FIPS codes, which are no longer being maintained and updated, 
and do not account for the breadth of jurisdictions that could be 
captured in this element, as they do not include non-Federal Tribes or 
other countries. Instead, we propose to require that the title IV-E 
agency indicate the jurisdiction's or country's name for identification 
purposes which we believe will address commenter concerns. ACF will 
work with title IV-E agencies to develop valid response options for 
this element. We also believe that the information reported in this 
data element, in combination with the information reported in paragraph 
(h)(9), will provide information on the extent to which title IV-E 
agencies are maximizing all potential adoptive and guardianship 
resources for waiting children and will assist ACF in responding to 
questions and concerns regarding interjurisdictional and intercountry 
placement issues.
    Adoption or guardianship placing agency. In paragraph (h)(11), we 
propose to require the title IV-E agency to report the agency that 
placed the child for adoption or legal guardianship. We propose to 
require the title IV-E agency to indicate ``title IV-E agency'' if the 
reporting title IV-E agency placed the child for adoption or legal 
guardianship. We propose to require the title IV-E agency to indicate 
``private agency under agreement'' if a private agency placed the child 
for adoption or legal guardianship through an agreement with the 
reporting title IV-E agency. We propose to require the title IV-E 
agency to indicate ``Indian Tribe under contract/agreement'' if an 
Indian Tribe, Tribal organization or consortium placed the child for 
adoption or legal guardianship through a contract or agreement with the 
reporting title IV-E agency.
    In the existing AFCARS, the title IV-E agency is required to report 
in the adoption data file the agency or individual that placed the 
child for adoption from a list of response options public or private 
agency, Tribal agency, independent person or birth parent (see Appendix 
B to part 1355, section II, VII.B). In the 2008 NPRM, we proposed to 
require the title IV-E agency to indicate the adoption placing agency 
from the response options ``State agency,'' ``private agency under a 
contract/agreement'' or ``Tribal agency with agreement.'' We did not 
receive comments to the 2008 NPRM on this data element; however, we 
propose modifications to the response options, explained in detail 
below. A general modification we propose is for title IV-E agencies to 
report the agency that placed the child for guardianship. This 
modification is consistent with modifications made throughout paragraph 
(h) to collect information on legal guardianships. We proposed in the 
2008 NPRM to only collect this information for adoptions.
    We propose to modify the response option ``State agency'' that was 
proposed in the 2008 NPRM to ``title IV-E agency'' because this 
language is inclusive of State and Tribal title IV-E agencies.
    We propose to modify the definition of the response option 
``private agency under agreement'' as proposed in the 2008 NPRM to 
remove the language specifying that the reporting State had placement 
and care responsibility for the child. This language is unnecessary 
because this data element is now in the out-of-home care data file.
    We propose to modify the response option ``Tribal agency with 
agreement'' that was proposed in the 2008 NPRM to be ``Indian Tribe 
under contract/agreement'' to be inclusive of Indian Tribes, Tribal 
organizations or consortia that may have a contract or an agreement 
with the title IV-E agency. Additionally, we removed the language 
proposed in the 2008 NPRM specifying that the reporting State had 
placement and care responsibility of the child because this data 
element is now in the out-of-home care data file.

Section 1355.44 Adoption and Guardianship Assistance Data File Elements

    We propose to add section 1355.44 which provides all elements for 
the adoption and guardianship assistance data file. The proposal is for 
ACF to collect and report information commonly found in the title IV-E 
adoption or guardianship assistance agreement for the adoption and 
guardianship assistance reporting population as described in section 
1355.41(b). In this data file, we propose to collect information on (1) 
the title IV-E agency submitting the adoption and guardianship 
assistance data file, (2) basic demographic information on each child, 
including the child's date of birth, gender, race and ethnicity and (3) 
information in the child's title IV-E adoption or guardianship 
agreement, including the date of finalization, and amount of subsidy 
and nonrecurring costs as well as living arrangement information. We 
propose this information to supplement data on adoption and legal 
guardianships collected in section 1355.43(h).
    Currently, we collect information in the adoption data file on the 
reporting title IV-E agency, demographic information for adopted 
children in the data file's reporting population, information on the 
child's special needs status, birth parents, adoptive parents, 
placement information and whether the child receives State/Federal 
adoption support (see Appendix B to part 1355, Section I-VII). 
Currently we collect limited information on the population of children 
receiving adoption assistance and no information on children receiving 
title IV-E guardianship assistance in the adoption data file.
    In the 2008 NPRM, we proposed to change the structure and content 
of the current AFCARS data files by no longer including an adoption 
file and requiring title IV-E agencies to report information on foster 
care adoptions and adoptive families in the out-of-home care data file 
only. We proposed that title IV-E agencies submit a new adoption and 
guardianship subsidy data file with information on children who were 
the subject of a State or Federal adoption assistance agreement 
(regardless of whether their adoption was final), additional 
information surrounding those adoption agreements and very limited 
information on children who were the subject of a subsidized 
guardianship agreement with the title IV-E agency.

[[Page 7182]]

    The current proposal for the adoption and guardianship assistance 
data file contains similar data elements as the 2008 NPRM proposal, but 
differs in several significant ways. First, we propose to require a 
title IV-E agency to collect and report the same information on 
children under title IV-E guardianship assistance agreements as 
children under title IV-E adoption assistance agreements, per the 
revised adoption and guardianship assistance reporting population 
described in section 1355.41(b). Second, we propose that a title IV-E 
agency collect and report the same information in this data file for 
only those children in a finalized adoption or legal guardianship under 
a title IV-E assistance agreement. Although ACF no longer proposes to 
collect information on State-funded legal guardianships, this 
modification means that ACF will collect information on each child in a 
legal guardianship under a title IV-E relative legal guardianship 
assistance agreement in an increased number of data elements than we 
proposed in the 2008 NPRM. Finally, we propose for the first time to 
require a title IV-E agency to collect and report information on 
siblings who are living with the child in his or her adoptive or 
guardianship home.
    We received many public comments in response to the proposal to 
restructure the collection of adoption information and the introduction 
of a separate subsidy data file in the 2008 NPRM and the 2010 FR 
Notice. Many commenters were pleased to see our proposal for the new 
adoption assistance and guardianship subsidy data file, and felt that 
collecting information for children in legal guardianships and 
adoptions would provide an important look at these children. Some 
commenters to the 2010 FR Notice expressed concerns, in general, about 
the necessity of collecting ongoing information for a child after his 
or her adoption or legal guardianship has been finalized and questioned 
how the expansion of data elements as proposed in the 2008 NPRM would 
help improve outcomes for children. ACF is required, per section 
479(c)(3) of the Act, to capture information on adopted children, 
including demographics and information about the child's title IV-E 
adoption. While there is no statutory mandate to collect similar 
information for children who have achieved permanency through 
guardianship, we propose to collect the same information because we 
have the same need for the information for children supported by title 
IV-E funding, per section 473(d) of the Act.
Section 1355.44(a) General Information
    In paragraph (a), we propose to collect general information that 
identifies the title IV-E agency submitting the adoption and 
guardianship assistance data file, the report date, and the child's 
record number.
    Title IV-E agency. In paragraph (a)(1), we propose that the title 
IV-E agency indicate the name of the title IV-E agency responsible for 
submitting AFCARS data to ACF. A State title IV-E agency must indicate 
its State name for identification purposes. ACF will work with Tribal 
title IV-E agencies to provide further guidance on this element during 
implementation. This proposal differs from the existing AFCARS 
regulation which requires the title IV-E agency to identify itself 
using the U.S. Postal Service two letter abbreviation for the State or 
the ACF-provided abbreviation for the title IV-E Tribal agency 
responsible for submitting the AFCARS data to ACF. This proposal is 
also different from the 2008 NPRM in which we proposed to use Federal 
Information Processing Standard (FIPS) codes for State identification 
which are no longer being updated and maintained. We did not receive 
comments on this data element in response to the 2008 NPRM, but have 
opted not to proceed with the NPRM proposal to remove FIPS codes, which 
are no longer being updated and maintained.
    The definition of this data element is the same as the one we 
proposed in the out-of-home care data file (see section 1355.43(a)(1)). 
We propose that the title IV-E agency report this information in the 
adoption and guardianship assistance data file as well as in the out-
of-home care data file because the title IV-E agency will submit the 
two data files to us separately.
    Report date. In paragraph (a)(2), we propose that a title IV-E 
agency report to us the last month and year that corresponds with the 
end of the report period, with the month being either March or 
September of any given year. The proposal for the report date is the 
same as in the existing AFCARS, and did not generate any comments when 
we proposed it in the 2008 NPRM. This proposal is the same as the 
report date we proposed for the out-of-home care data file in section 
1355.43(a)(2).
    Child record number. In paragraph (a)(3), we propose that the title 
IV-E agency report the child's record number, which is a unique person 
identification number, as an encrypted number. If a child was 
previously in out-of-home care, this number must be the same as the 
child record number provided in section 1355.43(a)(4) of the out-of-
home care data file. This proposed data element differs from both the 
existing AFCARS and the 2008 NPRM proposal. The 2008 NPRM proposal 
required a title IV-E agency to eliminate the use of sequential numbers 
for AFCARS, and we received no comments in response to this proposal.
    Our current proposal prohibits the use of sequential numbers for 
AFCARS, and also requires the title IV-E agency to use the same child 
record number as is used in the out-of-home care data file if the child 
was in the out-of-home care reporting population before entering the 
adoption and guardianship assistance reporting population.
    Similar to the instructions for the record number data element in 
the out-of-home care data file, the title IV-E agency must apply and 
retain the same encryption routine or method for the person 
identification number across all report periods. The title IV-E 
agency's encryption methodology must meet any standards that ACF 
prescribes through technical bulletins or policy. Requiring the title 
IV-E agency to maintain unique, encrypted child record numbers for 
AFCARS data files will allow us to track the amount of title IV-E 
adoption and guardianship assistance changes over time, and will help 
predict future changes based upon the age distribution of the 
population. We propose for the title IV-E agency to retain the same 
child record numbers between AFCARS data files, when applicable, to 
allow ACF to collect more comprehensive information about the 
permanency of title IV-E adoption and legal guardianship placements in 
the title IV-E program, as well as conduct analysis regarding the 
extent to which sibling groups are placed together permanently.
Section 1355.44(b) Child Demographics
    In paragraph (b), we propose that the title IV-E agency collect and 
report demographic information on the child, including the child's date 
of birth, race and ethnicity.
    Child's Birth Information. In paragraph (b)(1), we propose to 
collect information on the child's date of birth and whether the child 
was born in the United States.
    We propose in paragraph (b)(1)(i), that the title IV-E agency 
report the child's date of birth in month, day and year format. This is 
basic demographic information which we are mandated to collect in 
section 479(c)(3)(A) of the Act for adoptions and is similar to the 
existing AFCARS requirement for the adoption data file, although we 
currently propose to collect this information for children in legal

[[Page 7183]]

guardianships as well. We provided the same proposal in the 2008 NPRM 
and there were no comments submitted in response to this proposed 
element.
    The child's date of birth will assist us in conducting a variety of 
analyses including determining at what age children are being adopted 
or placed in legal guardianship under the title IV-E program. Since 
most children receive title IV-E adoption or guardianship assistance 
until the age of 18, or older for a title IV-E agency that chooses to 
extend assistance up to age 19, 20 or 21, knowing the child's date of 
birth will assist the title IV-E agency and the Federal government in 
conducting budget projections and program planning.
    In paragraph (b)(1)(ii), we propose to require the title IV-E 
agency to report whether or not the child was born in the United 
States. If the child was born in the United States, indicate ``yes.'' 
If the child was born in a country other than the United States, 
indicate ``no.'' This is a newly proposed data element and will give us 
a national picture of how many foreign-born children are receiving 
title IV-E adoption or guardianship assistance. We specifically request 
comments from State and Tribal title IV-E agencies on this data 
element.
    Child's sex. In paragraph (b)(2), we propose that the title IV-E 
agency report whether the child's sex is male or female, as 
appropriate. This proposal is unchanged from the requirement in the 
existing AFCARS regulation.
    Race data elements. In paragraphs (b)(3)(i) through (b)(3)(viii), 
we propose that the title IV-E agency report information on the race of 
the child by indicating whether each race category applies with a 
``yes'' or ``no.'' The race definitions proposed are consistent with 
the existing AFCARS race definitions, and are similar to the response 
options proposed in the 2008 NPRM. The only difference in the current 
proposal is that we allow legal guardians to determine the child's race 
in addition to the child and the child's parent(s). We include this 
option to acknowledge that a relative guardian, rather than the child's 
parent(s), may be the appropriate person to determine the child's race, 
if that child has been living with him or her. As discussed earlier in 
section 1355.43(b)(3), the categories of race proposed are consistent 
with the OMB standards for collecting information on race. The title 
IV-E agency is to allow the parent(s), legal guardian(s) or the child, 
if appropriate, to determine the child's race. There was one public 
comment in response to the 2008 NPRM that suggested allowing a title 
IV-E agency to combine categories of race and ethnicity. We agree, and 
the racial categories proposed both in the 2008 NPRM and the current 
proposal are aligned with those in NCANDS and NYTD.
    If the child's race is unknown, the title IV-E agency must so 
indicate, as required in paragraph (b)(2)(vi). It is acceptable for the 
child to be identified with more than one race, but for the child, 
parent(s) or legal guardian(s) to not know one of those races. In such 
cases, the title IV-E agency must indicate the racial classifications 
that apply and also indicate that a race is unknown. If the child is 
abandoned the title IV-E agency must indicate that the race cannot be 
determined in paragraph (b)(2)(vii). Finally, if the parent(s), legal 
guardian(s) or the child, if appropriate, declines to identify the 
child's race, the title IV-E agency must indicate that this information 
was declined as outlined in paragraph (b)(2)(viii).
    Hispanic or Latino ethnicity. We propose in paragraph (b)(4) that 
the title IV-E agency report the Hispanic or Latino ethnicity of the 
child, consistent with the current AFCARS requirement, and similar to 
the 2008 NPRM proposal. The only difference in the current proposal is 
that we allow the legal guardian(s) to determine the child's ethnicity 
in addition to the child and the child's parent(s). We include this 
option to acknowledge that a relative guardian, rather than the child's 
parent(s), may be the appropriate person to determine the child's 
ethnicity, if that child has been living with him or her. Similar to 
race, these definitions are consistent with the OMB race and ethnicity 
standards. Also, we propose, as we did in the 2008 NPRM, that the title 
IV-E agency may report whether the child's ethnicity is unknown, 
whether the child was abandoned, or whether the parent(s), legal 
guardian(s) or child, if appropriate, could not communicate or declined 
to provide this information. There were no comments submitted in 
response to this proposed data element in the 2008 NPRM.
Section 1355.44(c) Title IV-E Adoption and Guardianship Assistance 
Arrangement and Agreement Information
    In paragraph (c), we propose that the title IV-E agency collect and 
report ongoing information on title IV-E adoption and guardianship 
arrangements and agreements. This proposed section is different from 
existing AFCARS, which does not include a data file with ongoing 
information on subsidies. It only includes information in the adoption 
data file on a child's demographics, placement information and court 
information, as well as limited information on both the child's birth 
parent(s) and adoptive parent(s).
    This new proposed section differs from both the existing AFCARS and 
the 2008 NPRM in that we propose to collect ongoing adoption and 
guardianship assistance agreement information for only those children 
with finalized title IV-E adoption and legal guardianship assistance 
agreements in effect during the report period. Throughout this proposed 
section, a title IV-E agency is no longer required to report 
information on children who are in adoptive placements but do not yet 
have finalized adoptions or those with State-funded adoption assistance 
agreements. We propose to collect information on title IV-E adoption 
and guardianship assistance agreements for children with finalized 
adoptions or legal guardianships regardless of whether the agreement is 
for an ongoing subsidy, nonrecurring costs or in the case of a title 
IV-E finalized adoption, a Medicaid-only subsidy.
    In the 2008 NPRM, we proposed that the title IV-E agency collect 
information on a child's adoption and adoptive parents at the time of a 
child's exit to adoption in section 1355.43(h) of the out-of-home care 
data file and new information in the adoption assistance and 
guardianship subsidy data file. We received several public comments in 
response to this proposal in the 2008 NPRM indicating concern that this 
change would increase burden on caseworkers and require programming 
changes in the SACWIS systems of title IV-E agencies. There were also a 
number of commenters to the 2010 FR Notice concerned about the 
increased burden of collecting data on children in adoptions and legal 
guardianships, and several commenters suggested that the requirement to 
collect case-level data on children in adoptive and guardianship homes 
would be a significant barrier to obtaining information since children 
already would have achieved permanency. We contemplated these comments, 
but, per the new adoption and guardianship assistance reporting 
population described in section 1355.41(b), we now propose to collect 
information for only those children under title IV-E adoption and 
guardianship assistance agreements. Because the title IV-E agency still 
supports the children under these adoption and guardianship assistance 
agreements, we anticipate that most of the information would already be 
in the case files or included in other modules of the title IV-E 
agency's case

[[Page 7184]]

management system, and therefore the title IV-E agency would not need 
to contact the adoptive parent(s) or relative guardian(s) for the 
information.
    Assistance agreement type. In paragraph (c)(1), we propose for the 
first time to require the title IV-E agency to indicate whether the 
child is or was in a finalized adoption with a title IV-E adoption 
assistance agreement pursuant to section 473(a)(1)(A) of the Act or in 
a legal guardianship with a title IV-E guardianship assistance 
agreement pursuant to section 473(d) of the Act, in effect during the 
report period. The title IV-E agency is not required to collect and 
report this information in the existing AFCARS. In the 2008 NPRM, we 
proposed two data elements aimed at collecting information on agreement 
type ``adoption assistance type'' (adoptive placement, finalized title 
IV-E adoption pursuant to title IV-E assistance agreement or finalized 
adoption pursuant to State assistance agreement) and ``subsidized 
guardianship agreement type'' (supported by title IV-E funds or State 
funds). In the current proposal, we eliminate data elements proposed in 
the 2008 NPRM and instead propose one data element with narrowed 
response options since we propose to collect information on children 
under title IV-E adoption and guardianship assistance agreements only 
per 1355.41(b) rather than both title IV-E and non-title IV-E 
agreements. We did not receive specific comments on either proposed 
assistance agreement type data element in response to the 2008 NPRM.
    Adoption or guardianship subsidy amount. In paragraph (c)(2), we 
propose that the title IV-E agency provide the per diem dollar amount 
of the title IV-E financial subsidy payment, if any, made to the 
adoptive parent(s) or guardian(s) on behalf of the child during the 
last month of the current report period. This does not include non-
recurring costs. We propose that the title IV-E agency report the total 
amount of the subsidy payment made to the adoptive parent(s) or 
guardian(s), rather than the portion that the title IV-E agency may 
seek reimbursement from the Federal government under title IV-E. 
Further, in any situation where the title IV-E agency has an adoption 
or guardianship assistance agreement with adoptive parent(s) or legal 
guardian(s) but did not provide an actual payment in the last month of 
the report period, the title IV-E agency must indicate that $0 payment 
was made. Such a situation is likely to occur if the title IV-E 
adoption or guardianship assistance agreement is for a ``deferred 
subsidy,'' which a title IV-E agency may enter into at a later point.
    This data element differs from both the existing AFCARS 
requirements and the data element proposed in the 2008 NPRM, however we 
request the information for the same reasons. Existing AFCARS policy 
guidance requires a title IV-E agency to report the monthly subsidy 
amount one time--at the finalization of the adoption.
    We proposed in the 2008 NPRM that a title IV-E agency report 
information in two separate data elements on the subsidy amount for the 
adoption and legal guardianship for each report period beginning when 
the assistance agreement becomes effective and continue reporting for 
the duration of the agreement. We received a public comment in response 
to the ``adoption assistance subsidy amount'' data element proposed in 
the 2008 NPRM that suggested that a title IV-E agency should not be 
required to collect data on adoption agreements more than once, as the 
information is relatively stable over time. We considered this comment, 
and while the amounts may not change much from month to month, we have 
seen reductions in title IV-E subsidy amounts in recent years. 
Therefore, we continue to propose to collect this information so we can 
discern changing circumstances and fluctuations in subsidy amounts in 
title IV-E adoption and guardianship assistance agreements for as long 
as the agreement is in effect. We believe that collecting information 
on title IV-E adoption and guardianship subsidy amounts will be useful 
for States, Indian Tribes and the Federal government for budgetary 
planning and projection purposes. Information on title IV-E 
guardianship is collected in the CB-496 form currently; however this 
information is aggregated and does not provide specific information on 
the amount of the title IV-E guardianship subsidy that each child 
receives. Collecting child-level data on the amount of title IV-E 
guardianship assistance received by each child would allow ACF to 
conduct more nuanced analysis to determine how many children there are 
in certain subsidy ranges and more accurately project budget and 
program costs.
    Nonrecurring adoption or guardianship costs. In paragraph (c)(3), 
we propose that a title IV-E agency report whether the IV-E agency made 
payments on behalf of the adoptive parent(s) per section 473(a)(6) of 
the Act or relative guardian(s), per section 473(d) of the Act, for 
nonrecurring costs. The title IV-E agency must indicate ``costs paid'' 
if the title IV-E agency paid nonrecurring costs at any point during 
the report period; otherwise the title IV-E agency must indicate ``no 
costs paid.''
    Nonrecurring adoption or guardianship cost amount. In paragraph 
(c)(4), we propose that the title IV-E agency report the total dollar 
amount of payments the title IV-E agency made on behalf of the adoptive 
parent(s) or guardian(s) for nonrecurring costs during the report 
period. This includes payments the title IV-E agency makes directly to 
other service providers rather than to the adoptive parent(s) or 
relative guardian(s). The title IV-E agency must report an amount only 
if it responded that expenses for nonrecurring costs were paid in 
paragraph (c)(3). If the title IV-E agency indicated that no 
nonrecurring costs were paid, then the title IV-E agency must leave 
this data element blank.
    Unlike title IV-E adoption and guardianship assistance payments 
which are ongoing and may fluctuate over time, reimbursements for 
nonrecurring costs are more likely to be made in a lump-sum or over a 
finite period of time. Although we propose to require title IV-E 
agencies to report the amount of the adoption or guardianship subsidy 
during the last month of each report period, we also propose to require 
the title IV-E agency to report the total amount of the non-recurring 
costs over the entire report period to capture the full amount of 
nonrecurring costs made on behalf of the adoptive parent(s) or legal 
guardian(s).
    These data elements are not currently required in AFCARS and we 
first introduced them in the 2008 NPRM, but only for title IV-E 
adoption assistance agreements. The current proposal is a modification 
of the 2008 NPRM proposal to now include title IV-E legal guardianship 
agreements, per the revised adoption and guardianship assistance 
reporting population in section 1355.41(b). There were no substantive 
comments in response to the 2008 NPRM proposal to collect non-recurring 
costs of adoption. We seek information on nonrecurring cost 
reimbursements for adoption consistent with the requirement in section 
479(c)(3)(D) of the Act to collect information on the extent of 
adoption assistance. There is no statutory mandate to collect this 
information for the IV-E guardianship program, however, since title IV-
E funds are reimbursed for these costs, this information is essential 
for conducting budget projections and program planning for both title 
IV-E adoption assistance and guardianship assistance programs.

[[Page 7185]]

    Adoption or guardianship finalization date. In paragraph (c)(5), we 
propose to require that the title IV-E agency report the date that the 
child's adoption was finalized or the child's guardianship became 
legally recognized. A child must have a finalized adoption or legal 
guardianship (in addition to a title IV-E agreement) in order to enter 
the adoption and guardianship assistance reporting population, 
therefore we believe that collecting the adoption or guardianship 
finalization date is fundamental to ensuring compliance with 
requirements in section 1355.41(b)(2) and to conduct budget 
projections. We received no substantive public comments in response to 
this proposal in the 2008 NPRM. The current proposal expands the 2008 
NPRM proposal to account for a child in a legal guardianship under a 
title IV-E assistance agreement, as per the revised adoption and 
guardianship assistance reporting population described in section 
1355.41(b).
    An additional data element, ``final adoption'', was proposed in the 
2008 NPRM that required a title IV-E agency to collect information on 
whether the child who is the subject of an adoption assistance 
agreement had his or her adoption finalized. We eliminated this data 
element to maintain consistency with our proposal to limit the adoption 
and guardianship assistance reporting population to children with a 
finalized adoption or legal guardianship and a title IV-E assistance 
agreement. If the proposed changes to this reporting population are 
applied, the ``final adoption'' data element is unnecessary.
    Adoption or guardianship placing agency. In paragraph (c)(6), we 
propose to require the title IV-E agency to indicate the agency that 
placed the child under a title IV-E adoption or guardianship assistance 
agreement at the time of the adoption or legal guardianship 
finalization. We propose that the title IV-E agency indicate ``title 
IV-E agency'' if the reporting title IV-E agency placed the child for 
adoption or legal guardianship. We propose that the title IV-E agency 
indicate ``private agency under a contract/agreement'' if a private 
agency placed the child for adoption. We propose the title IV-E agency 
indicate ``Indian Tribe'' if an Indian Tribe, Tribal organization or 
consortium that is not a title IV-E agency placed the child for 
adoption or legal guardianship through some type of arrangement with 
the reporting title IV-E agency. This includes both Tribal agencies 
under a contract or agreement with the title IV-E agency to place the 
child, as well as an Indian Tribe that placed the child through another 
type of arrangement with the reporting title IV-E agency for an 
adoption or guardianship assistance agreement. We propose to retain the 
response option ``private agency'' from the existing AFCARS and 2008 
NPRM for adoption only with minor modifications to their definitions. 
We propose to eliminate the response options ``birth parent'' and 
``independent person'' as they are not applicable to the reporting 
population for the adoption and guardianship assistance data file 
proposed in section 1355.41(b).
    This information is similar to what is proposed for section 
1355.43(h)(11) but must be included in the adoption and guardianship 
assistance data file because this data file includes private agency 
adoptions for children who were not in foster care. The existing AFCARS 
includes this information in the adoption data file and requires the 
title IV-E agency to indicate the placing agency or individual from a 
limited number of response options that are public agency; private 
agency; Tribal agency; independent person and birth parent. We proposed 
in the 2008 NPRM to expand the response options for this proposal in 
order to collect more specific information about when the title IV-E 
agency was the placing agency, and as a result, several response 
options were newly proposed (State agency, private agency under 
contract/agreement, and Tribal agency with agreement), along with the 
retained options of ``Tribal agency,'' ``private agency,'' ``birth 
parent,'' and ``independent person''.
    We did not receive comments on this data element in the 2008 NPRM, 
but several comments in the 2010 FR Notice were supportive of tracking 
adoptions through private agencies and Indian Tribes. Therefore, we 
revised the 2008 NPRM proposal to remove the response option of ``State 
agency'' and ``Tribal agency'' and replace them with the response 
option ``title IV-E agency'' in order to conform to the changes in 
Public Law 110-351 that allow for an Indian Tribe to operate a title 
IV-E program directly (section 479B of the Act).
    We do not propose to include the separate response option of 
``Tribal agency with agreement'' that was proposed in the 2008 NPRM. 
Instead, Indian Tribes with title IV-E agreements are included in the 
response option of ``Indian Tribe'' because the Indian Tribe has an 
arrangement with the reporting IV-E agency for a title IV-E adoption or 
guardianship assistance agreement. If the title IV-E agency provides a 
response to paragraph (c)(6) of ``Indian Tribe'' or ``private agency,'' 
the agency must complete paragraph (c)(7).
    Inter/Intrajurisdictional adoption or guardianship. In paragraph 
(c)(7), we propose that the title IV-E agency identify whether the 
child had been placed under a title IV-E adoption or guardianship 
assistance agreement within the State or Tribal service area or in 
another State or Tribal service area for adoption or legal 
guardianship. This data element must be completed only if the title IV-
E agency indicated either ``Indian Tribe'' or ``private agency'' in 
paragraph (c)(6). The title IV-E agency must indicate 
``interjurisdictional adoption or guardianship'' if the title IV-E 
agency entered into a title IV-E adoption or guardianship assistance 
agreement with an adoptive parent(s) or guardian(s) who lives outside 
of the reporting State or Tribal service area or 
``intrajurisdictional'' if the title IV-E agency entered into a title 
IV-E adoption or guardianship assistance agreement with an adoptive 
parent(s) or guardian(s) who lives in the reporting State or Tribal 
service area.
    We propose to modify the 2008 NPRM proposal to limit our data 
collection in this data element to those children under title IV-E 
adoption and guardianship assistance agreements who were placed by an 
Indian Tribe or private agency through an arrangement with the title 
IV-E agency. We are making this modification per the revised adoption 
and guardianship assistance reporting population described in section 
1355.41(b) and to avoid duplication in data collection with the 
information collected in section 1355.43(h)(9) on children under the 
placement and care responsibility of the title IV-E agency placed for 
adoption or legal guardianship. We also propose to delete the responses 
option ``intercountry adoption--incoming'' and ``intercountry 
adoption--outgoing.''
    The current AFCARS requirement is for the title IV-E agency to 
indicate, in the adoption data file, the location of the individual or 
agency that had custody or responsibility for the child at the time the 
adoption proceedings were initiated. The 2008 NPRM proposed an 
expansion of this data element to require a title IV-E agency to 
indicate whether a child was placed across State or Tribal service area 
lines for the purposes of adoption or legal guardianship or was the 
subject of an incoming or outgoing intercountry adoption.
    We received several public comments in response to the 2008 NPRM 
proposal indicating concern regarding the ability of the title IV-E 
agency to access information relating to international

[[Page 7186]]

adoptions. To address these concerns, and because we believe only a few 
children adopted from or placed overseas will be able to meet the 
definition of an ``applicable child'' per section 473(a)(2)(A)(ii) of 
the Act, we propose to eliminate the reporting of title IV-E 
intercountry adoptions (outgoing or incoming). For the purposes of 
AFCARS, maintaining a separate response option is not necessary, as 
children who are placed overseas for the purposes of adoption that are 
receiving title IV-E adoption assistance would still be tracked in 
AFCARS, and reported under the ``interjurisdictional adoption or 
guardianship'' response option.
    Interjurisdictional adoption or guardianship jurisdiction. In 
paragraph (c)(8), we propose to require the title IV-E agency to 
identify the name of the State, Tribal service area or Indian 
reservation where the child was placed for adoption or legal 
guardianship. If a child is placed in an interjurisdictional adoption 
or guardianship with Tribal members as indicated in paragraph (c)(7), 
the title IV-E agency must indicate the State in which the Tribal 
members live. We seek to collect information in this proposal in 
combination with paragraph (c)(7) because we believe that together 
these data elements will allow ACF to analyze data related to the 
number of children in interjurisdictional adoptive and guardianship 
placements under title IV-E assistance agreements that were not in the 
out-of-home care reporting population, as well as the location of those 
children.
    This data element is not included in the current AFCARS adoption 
file. In the 2008 NPRM, we proposed for the first time that the title 
IV-E agency indicate the FIPS code of the State or country in which the 
child was placed into or placed from. We received several comments in 
response to the 2008 NPRM for this data element that raised concerns 
about the stability of country codes from FIPS, and indicated that a 
title IV-E agency would have to significantly modify its system in 
order to capture FIPS code information for international adoption. We 
agreed with these comments because FIPS codes are no longer being 
maintained and updated, and they also do not account for the breadth of 
jurisdictions that could be captured in this element, as they do not 
include non-Federal Tribes or other countries. Instead, we propose to 
require that the title IV-E agency report the jurisdiction or country 
name for those children placed by an Indian Tribe under a contract or 
agreement with the reporting title IV-E agency, or a private agency 
under an arrangement with the reporting title IV-E agency. We believe 
this modification will address commenter concerns. In addition, ACF 
will work with title IV-E agencies to develop valid response options 
for this element.
    Number of siblings. In paragraph (c)(9), we propose for the first 
time in the adoption and guardianship assistance data file to require a 
title IV-E agency to indicate the number of siblings, if applicable, 
that a child has that are either (1) in the title IV-E agency's out-of-
home care reporting population at any point during the report period, 
or (2) have a finalized adoption or legal guardianship and are under a 
title IV-E adoption or guardianship assistance agreement at any point 
during the report period. The child who is the subject of this record 
should not be included in this number. A sibling to the child is his or 
her brother or sister by biological, legal or marital connection. A 
title IV-E agency must report this information whether the child's 
adoptive or guardianship home is in or out-of-State or Tribal service 
area. If the child does not have siblings that are in out-of-home care 
or under a title IV-E adoption or guardianship assistance agreement, 
the title IV-E agency must indicate ``0.'' If a child does not have any 
siblings, we propose that the title IV-E agency must indicate ``not 
applicable'' for this data element.
    We are interested in proposing that the title IV-E agency report on 
a child's siblings in paragraphs (c)(9) through (c)(11) of this section 
in order to learn more about sibling group placement in adoption and 
guardianship homes, and to comply with the mandate in section 
471(a)(31)(A) of the Act. Under this statutory provision, the title IV-
E agency must make reasonable efforts to place siblings removed from 
their home in the same foster care, kinship guardianship or adoptive 
placement, unless such a placement is contrary to the safety or well-
being of any of the siblings. We propose paragraph (c)(9) specifically 
to determine the total number of siblings which ACF will use to ensure 
correct data entry in paragraphs (c)(10) and (c)(11). This proposal 
complements our proposal pertaining to collection of information on 
sibling groups in the out-of-home care data file.
    Siblings in out-of-home care. In paragraph (c)(10), we propose for 
the first time to require a title IV-E agency to collect and report the 
child record number(s) of siblings who are in the out-of-home care 
population and are placed in the child's adoptive or guardianship home 
at any point during the report period. In this section, the sibling's 
foster home must be the same as the child's adoptive or guardianship 
home. A title IV-E agency must report this information whether the 
child's living arrangement is in or out-of-State or Tribal service 
area. The record number of the child who is the subject of this record 
should not be reported. For the purposes of AFCARS, a sibling to the 
child is his or her brother or sister by biological, legal or marital 
connection. If no siblings in the out-of-home care population reside 
with the child during the report period, the title IV-E agency must 
leave this data element blank.
    Siblings in adoption/guardianship. In paragraph (c)(11), we propose 
for the first time to require a title IV-E agency to collect the child 
record numbers of siblings who also have a finalized adoption or legal 
guardianship, are under a title IV-E adoption or guardianship 
assistance agreement and are living with the child in an adoptive or 
guardianship home at any point during the report period. The record 
number of the child who is the subject of this record should not be 
reported. For the purposes of AFCARS, a sibling to the child is his or 
her brother or sister by biological, legal or marital connection. If 
the child does not live with siblings with finalized adoptions or legal 
guardianships that are under title IV-E assistance agreements in the 
adoptive or guardianship home, the title IV-E agency must leave this 
data element blank.
    Agreement termination date. In paragraph (c)(12), we propose that a 
title IV-E agency report the date that an adoption or guardianship 
assistance agreement was terminated or expired during the report 
period. This data element is not required in the existing AFCARS.
    Typically, title IV-E adoption or guardianship assistance 
agreements continue until the child is age 18, or age 21 if the adopted 
child has a mental or physical handicap which warrants the continuation 
of assistance. However, Public Law 110-351 amended sections 
475(8)(B)(i)(II) and (III) of the Act to allow title IV-E agencies the 
option to select an age up to age 21 for extended eligibility for all 
title IV-E programs, including adoption and guardianship assistance.
    The only difference between the 2008 NPRM proposal and our current 
proposal is that we now include the end dates for title IV-E 
guardianship assistance agreements, per the revised adoption and 
guardianship assistance reporting population described in section 
1355.41. We received one public

[[Page 7187]]

comment in response to the 2008 NPRM that indicated that a title IV-E 
agency may not collect adoption assistance agreement end dates 
explicitly, as most of the adoption assistance agreements terminate on 
the child's 18th birthday. That may have been true in 2008, however 
given the extended assistance option in section 475(8)(B) of the Act we 
cannot presume that most adoption and guardianship agreements will 
terminate when the child reaches age 18. We propose to collect the end 
dates for title IV-E adoption and guardianship assistance agreements 
because combined with the child's date of birth they will allow us to 
calculate more accurately the number of children served under title IV-
E agreements, as well as the incidence of dissolution of adoption and 
legal guardianships for children supported by the title IV-E programs.
    Following the direction of the 2008 NPRM, we are not proposing to 
require a title IV-E agency to report the adopted child's special needs 
status separately as required in current AFCARS. In the current AFCARS 
we require a title IV-E agency to report whether it has determined that 
the child has special needs, and the primary factor (the child's race, 
age, membership in a sibling group or medical condition or disability) 
in this determination. We do not wish to retain this data element, for 
the reasons described in the 2008 NPRM.

Section 1355.45 Compliance

    In section 1355.45, we propose the types of assessments we will 
conduct to determine the accuracy of a title IV-E agency's data, the 
data files which will be subject to these assessments, the compliance 
standards and the manner in which the title IV-E agency initially 
determined to be out of compliance can correct its data. This section 
also specifies how we propose to implement the statutory mandates of 
Public Law 108-145.
    Public Law 108-145 added section 474(f) to the Act, which requires 
that ACF withhold certain funds from a title IV-E agency that ``failed 
to submit to the Secretary data, as required by regulation, for the 
data collection system implemented under section 479.'' Although we 
recognize that the provisions related to AFCARS in section 479 of the 
Act were designed to bolster our authority to take financial penalties 
for noncompliance with AFCARS requirements, we did not believe that the 
statute on its face was clear enough to implement penalties immediately 
after its enactment. In ACYF-CB-IM-04-04, issued February 17, 2004, we 
notified title IV-E agencies that we would not implement the penalty 
structure in the statute until we published final regulations. Further, 
because we were in the midst of developing proposed rules that would 
change significantly the information that title IV-E agencies submit to 
AFCARS, we did not believe it prudent to implement a new penalty 
structure for the existing requirements in regulation.
    This proposal is different from the current AFCARS regulations 
(section 1355.40(e) and Appendix E to part 1355) in that it applies the 
same compliance standards to both data files, expands the number of 
error types to include invalid data, cross-file errors and tardy 
transactions and creates a separate section to define the data file 
standards associated with timely submission and each error type defined 
in section 1355.45(b). This proposal is identical to that proposed in 
the 2008 NPRM with two revisions in section 1355.45(a). First, we 
propose to apply compliance standards to both the out-of-home care and 
adoption and guardianship assistance data files, whereas the 2008 NPRM 
subjected only the out-of-home care data file to compliance standards. 
Second, we propose to exempt certain populations in each data file from 
compliance determination, namely, for both data files, the population 
of children over age 18 and children in a legal guardianship under a 
title IV-E guardianship assistance agreement in the adoption and 
guardianship assistance data file.
Section 1355.45(a) Files Subject to Compliance
    In paragraph (a), we propose that ACF determine whether a title IV-
E agency's out-of-home care and adoption and guardianship assistance 
data files are in compliance with the requirements of section 1355.42 
of this part and certain data file and data quality standards 
(described further below in paragraphs (c) and (d)). This proposal is 
similar to the current AFCARS requirements in that the proposed out-of-
home care and adoption and guardianship assistance data files are 
subject to a compliance determination separately. In the 2008 NPRM we 
proposed that only the out-of-home care data file be subject to a 
compliance determination, primarily because there was no statutory 
mandate to request information on guardianship agreements. We propose 
to now include the adoption and guardianship assistance data file in 
the compliance determination, but propose several exemptions for 
children included in this data file, as described below. The law 
requires us to assure that the data submitted to us is reliable and 
consistent and authorizes us to utilize appropriate requirements and 
incentives to ensure that the system functions reliably (sections 
479(c)(2) and (4) of the Act, respectively). We chose to fulfill these 
requirements by establishing specific standards for compliance, 
consistent with our current requirements (see Appendix E to part 1355) 
and those proposed in the 2008 NPRM. Although we received several 
comments to the 2008 NPRM in support of our proposal to exclude the 
adoption and guardianship data file from a compliance determination, we 
believe that since we are required by section 479(c)(3) of the Act to 
collect information on children in adoptions supported by title IV-E, 
it is appropriate to include this data file in our compliance 
determination process. We include exceptions, as described below, to 
exclude most of the children in optional title IV-E programs from 
compliance determination. We did not receive other comments on this 
approach in response to the 2008 NPRM or 2010 FR Notice, and therefore, 
do not believe there is a need to change this general approach.
    We propose to exempt, in general, records related to a child in 
either data file whose 18th birthday occurred in a prior report period 
from a compliance determination as described in paragraph (e) of this 
section. However, in order to report full information for children on 
who we are statutorily required to collect information, the report 
period in which the child turns 18 will be subject to a compliance 
determination. Under this proposal, a child is exempted from a 
compliance determination because of age in each report period following 
that in which they turn 18 years of age, regardless of whether the 
title IV-E agency opts to adopt a revised definition of child per 
section 475(8)(B) of the Act. The primary reason that we are not 
subjecting records of these children to compliance determinations is 
because extended assistance is an option available under either the 
title IV-E plan (per section 475(8)(B) of the Act), or per the State's 
former AFDC plan.
    We also propose to exempt from a compliance determination, 
described in paragraph (e) of this section, a child of any age in the 
adoption and guardianship assistance data file who is in a legal 
guardianship under a title IV-E guardianship assistance program 
agreement per section 473(d) of the Act. We are not subjecting records 
of these children to compliance determinations primarily because 
electing to implement a title IV-E guardianship assistance

[[Page 7188]]

program is at the option of the title IV-E agency (per section 473(d) 
of the Act). No penalties will be applied to this population.
    Although we do not propose compliance standards and penalties for 
submitting data on children in the adoption and guardianship assistance 
data file who are in a legal guardianship under a IV-E guardianship 
assistance agreement and/or children in either data file whose 18th 
birthday occurred in a previous report period, this information is 
still important to ACF and title IV-E agencies and we will take other 
steps to ensure that title IV-E agencies submit quality data. In 
particular, we may require the title IV-E agency to create and meet the 
goals of an AFCARS program improvement plan, target technical 
assistance efforts to collecting and reporting this information and/or 
develop data quality utilities for these records that will allow a 
title IV-E agency to evaluate the quality of the data files before 
submitting to ACF. We welcome comments on this proposal.
Section 1355.45(b) Errors
    In paragraph (b), we outline the definitions of errors in 
paragraphs (b)(1) through (b)(5) of this section and propose how we 
will identify those errors when we assess information collected in a 
title IV-E agency's out-of-home care data file (per section 1355.43) 
and adoption and guardianship assistance data file (per section 
1355.44). This section is similar in approach to the 2008 NPRM 
proposal, however, we modified this proposal to apply the compliance 
standards to both the out-of-home care data file and adoption and 
guardianship assistance data file and to except certain optional 
populations from compliance determination, as described in paragraph 
(a). We did not receive any substantive comments to this proposed 
approach in the 2008 NPRM. Specific comments on error types are 
included in each paragraph below.
    Missing data. In paragraph (b)(1), we propose to define ``missing 
data'' as instances where the data element is blank or missing when a 
response is required. The data element descriptions proposed in 
sections 1355.43 and 1355.44 identify the circumstances in which a 
blank or missing response may be acceptable. For example, the data 
elements regarding second foster parent information in section 
1355.43(e) must be left blank if the title IV-E agency previously 
indicated that the first foster parent is single. In such cases, the 
blank response is not missing data.
    This proposal is identical to that in the 2008 NPRM; yet, the 
definition of the term ``missing data'' we propose is more specific 
than is used in the existing AFCARS. AFCARS regulations currently 
define the term ``missing data'' to refer to both blank responses and 
invalid responses (discussed below). In the 2008 NPRM, we chose not to 
propose the existing definition in AFCARS to avoid the common confusion 
that only blank data is problematic, and we did not change the proposed 
definition here.
    Finally, as described in the 2008 NPRM, we want to underscore that 
title IV-E agencies are not permitted to mask the fact that they have 
not obtained information by mapping it to a valid, but untrue, response 
option. This practice is not permitted as specified in the proposed 
section 1355.42(d), as it provides a misleading and inaccurate account 
of the characteristics and experiences of the reporting population. We 
did not receive comments on this proposal in response to the 2008 NPRM.
    Invalid data. In paragraph (b)(2), we propose to define invalid 
data as any instance in which the response that the title IV-E agency 
provides does not match one of the valid responses or exceeds the 
possible range of responses described in proposed sections 1355.43 and 
1355.44. These types of errors are not new. In the existing AFCARS, 
invalid data is known as ``out-of-range'' data. For example, if the 
response options for a data element are ``yes,'' ``no'' and 
``abandoned,'' a title IV-E agency's response of ``unknown'' is invalid 
data for that data element. A revised definition for invalid data was 
first proposed in the 2008 NPRM and the proposal here is the same as 
that previously proposed. We did not receive any comments on this 
proposal in response to the 2008 NPRM, therefore we did not change our 
proposal. Further, in our experience, invalid data errors are easily 
remedied by title IV-E agencies.
    Internally inconsistent data. In paragraph (b)(3), we propose to 
define internally inconsistent data as those data elements that fail a 
consistency check that is designed to validate the logical relationship 
between two or more data elements within a record. This proposal is the 
same as that proposed in the 2008 NPRM. For example, a response of 
``permanency plan not established'' described in proposed section 
1355.43(f)(1) and a date provided for the data element ``date of 
permanency plan'' described in proposed section 1355.43(f)(2) are 
internally inconsistent data. We will not attempt to determine which of 
the data elements is/are ``likely'' to be at fault, but will identify 
all data elements assessed by the specified internal consistency in 
error. We received several comments to the 2008 NPRM requesting that 
ACF include the list of internal consistency checks in this NPRM. We 
have chosen not to promulgate the internal consistency checks through 
notice and comment rulemaking so as to provide maximum flexibility to 
change them as needed. We will, however, notify title IV-E agencies 
officially of the internal consistency checks. This approach is 
consistent with that taken with the NYTD compliance checks.
    As described in the 2008 NPRM, these types of errors are not new 
and there are currently internal consistency validations outlined in 
the existing AFCARS. However, we have found that the existing internal 
consistency checks, while providing an important first step to quality 
data, are not extensive enough. Unfortunately, there are a number of 
occasions where a title IV-E agency's data pass all the existing 
internal consistency checks, but upon further analysis, ACF and the 
title IV-E agency discover that the data provides an inaccurate and 
unreliable picture of children in foster care in the title IV-E 
agency's placement and care responsibility. Based on our experience in 
AFCARS reviews and technical assistance, we believe that more internal 
consistency checks, along with other assessments to uncover errors, 
will provide us with more reliable and consistent data that we can 
publicize and use for our program activities with a higher degree of 
confidence.
    Cross-file errors. In paragraph (b)(4), we propose a new type of 
data error known as cross-file errors. This error type was first 
proposed in the 2008 NPRM, and remains the same as that proposal. To 
determine whether cross-file errors occur, we propose to conduct a 
check to evaluate the data file for illogical and/or improbable 
patterns of recurrent response options across all applicable records 
within the out-of-home care or adoption and guardianship assistance 
data files. For example, if all children have the same date of birth in 
the out-of-home care data file, this is clearly a cross-file error. We 
received comments from the 2008 NPRM that indicated concern over 
increased workload and burden as a result of incorporating cross-file 
checks into the mapping of information to AFCARS data elements and 
preparation of AFCARS data files for submission. We considered these 
comments carefully, and as is the current practice we will provide 
title IV-E agencies with tools and assistance to conduct these checks. 
We anticipate that the burden will be

[[Page 7189]]

minimal, as the extraction code does not need to include these checks 
as it should be pulling data that have already been checked on an on-
going basis via other means prior to submission of the AFCARS files. In 
addition, the agency's information system should already have certain 
edits incorporated into data fields to prevent the entry of invalid 
data. We ultimately believe that adding cross-file checks will assist 
title IV-E agencies and ACF in improving the quality of AFCARS data and 
may eventually reduce burden. As with the internal consistency checks, 
we will share with title IV-E agencies the specific cross-file checks.
    Cross-file checks are not a part of the existing AFCARS compliance 
assessments, but are a part of the Data Quality Utility. We propose to 
evaluate a title IV-E agency's data files for cross-file errors to 
address some common problems identified in AFCARS assessment reviews. 
Often these problems are a result of underlying issues in the 
programming of the title IV-E agency's information system as opposed to 
data entry errors.
    Tardy transactions. In paragraph (b)(5), we propose to define tardy 
transactions as a title IV-E agency's failure to record a child's 
removal and exit dates in the out-of-home care data file (sections 
1355.43(d)(2) and (g)(2), respectively) within 30 days of those events 
occurring. Assessing a title IV-E agency's data file for tardy 
transactions is consistent with the existing AFCARS requirements, and 
also was proposed in the 2008 NPRM. We received comments to the 2008 
NPRM suggesting that the 15-day timeframe was patently unreasonable 
and, as these dates cannot be corrected, could potentially also be 
counted as an error in subsequent submittals. We considered these 
comments, and we modified our proposal to allow a title IV-E agency 30 
days to enter transaction dates before considering them `tardy,' as 
opposed to the 15-day timeframe proposed in the 2008 NPRM. We continue 
to believe that ensuring a title IV-E agency's timely entry of removal 
and exit dates is critical to quality data. Additionally, as is the 
current practice in AFCARS, these errors are only assessed once. So, if 
the date was not entered in a timely manner, it will be assessed out of 
compliance for the report period the event occurred only and will not 
be re-assessed in the next and future report periods.
Section 1355.45(c) Data File Standards
    In paragraph (c), we propose a set of file submission standards for 
ACF to determine that the title IV-E agency's AFCARS is in compliance. 
These are minimal standards for timeliness, formatting and quality 
information that the title IV-E agency must achieve in order for us to 
process the title IV-E agency's data appropriately. This proposal is 
similar to the 2008 NPRM proposal, but is modified to apply data file 
standards to both the out-of-home care data file as well as the 
adoption records in the adoption and guardianship assistance data file. 
Several additional changes are incorporated into this proposal that 
were not included in the 2008 NPRM, which will be addressed in each of 
the paragraphs below.
    Timely submission. In paragraph (c)(1), we propose that the title 
IV-E agency submit both AFCARS data files (i.e., out-of-home care and 
adoption and guardianship assistance) according to the report periods 
and timeline (i.e., within 30 days of the end of each six-month report 
period) as described in section 1355.42(a). This proposal differs from 
both the existing AFCARS requirements, which allow 45 days for 
submission, and the proposal in the 2008 NPRM, which reduced the 
timeframe for submission to 15 days. We received numerous comments that 
indicated concern about the 15-day submission timeframe proposed in the 
2008 NPRM, and in response to these comments, we modified the timeframe 
to allow title IV-E agencies up to 30 days to submit their AFCARS data 
files. Since the file creation is an automated process and data 
accuracy should be incorporated into an agency's quality assurance 
process and evaluated on an on-going basis, we believe that the 30-day 
time frame is an adequate one to pull the file and ensure there are no 
transmission errors before the last day of the report period. This is 
not a time for the agency to begin assessing the accuracy and quality 
of the data that has been entered into the information system.
    Proper format. In paragraph (c)(2), we propose that a title IV-E 
agency send us its data files in a format that meets our 
specifications, and submit 100 percent error-free data on limited basic 
demographic information on the child. This requirement was first 
proposed in the 2008 NPRM, and is revised in this proposal to apply 
formatting specifications to both AFCARS data files, as well as to 
exempt certain optional populations from these requirements, as 
described in section 1355.45(a). At this time we cannot outline the 
exact transmission method and/or formatting requirements for AFCARS 
data, other than specifying that submission of AFCARS data files must 
be via an electronic method, as previously explained in the discussion 
in section 1355.42(e). However, in our experience, improperly formatted 
data files contribute to inefficiencies in our ability to process data 
from title IV-E agencies.
    In addition, we propose that the title IV-E agency submit 100 
percent error-free data for eleven basic demographic data elements 
described in sections 1355.43(a)(1) through (a)(4), 1355.43(b)(1)(i) 
and (b)(2), 1355.44(a)(1) through (a)(3) and 1355.44(b)(1)(i) and 
(b)(2). These data elements describe the ``title IV-E agency name,'' 
``report date,'' ``local agency,'' ``child record number,'' ``child's 
date of birth'' and ``child's gender'' in both the out-of-home care 
data file and adoption records in the adoption and guardianship 
assistance data file. The errors that may be applicable to these data 
elements are missing data, invalid data, cross-file errors and 
internally inconsistent data, as defined in sections 1355.45(b)(1) 
through (b)(4). This proposal is revised slightly from its description 
in the 2008 NPRM to include child demographic information for the 
adoption records contained in the adoption and guardianship assistance 
data file.
    As we proposed in the 2008 NPRM, we propose to require that title 
IV-E agencies have no errors at all for these basic demographic data 
elements because they contain information that is readily available to 
the title IV-E agency and is essential to our ability to analyze the 
data and determine whether the title IV-E agency is in compliance with 
the remaining data standards. For example, the child's date of birth is 
information that all title IV-E agencies collect on children in foster 
care and would typically have in their information system. Without the 
child's date of birth, we cannot run some other internal consistency or 
cross-file checks. Moreover, we cannot, for example, look at the age 
stratification of children in out-of-home care or determine the mean 
age of children adopted from foster care. There were a number of 
commenters that opposed the 100 percent reporting requirement for basic 
demographic data elements outlined in the 2008 NPRM, citing concerns 
over cost, burden and value of information. We considered these 
comments, however, based on our experience with the existing AFCARS and 
with NYTD, we have found that problems in these data elements are often 
the result of minor errors that can be rectified easily. We therefore 
believe that a 100 percent compliance standard for these basic and 
critical data elements is appropriate.

[[Page 7190]]

    Acceptable cross-file. In paragraph (c)(3), we propose that a title 
IV-E agency's data file must be free of any cross-file errors that 
exceed the acceptable thresholds, as defined by ACF, to be in 
compliance with the AFCARS requirements. This data file standard is not 
currently included in AFCARS requirements and was first proposed in the 
2008 NPRM, and our proposal here is modified slightly to clarify that 
ACF will establish acceptable levels of cross-file errors for use in 
determining compliance in the out-of-home care data file and adoption 
records in the adoption and guardianship assistance data file with this 
requirement. As stated earlier, we believe that cross-file errors 
indicate a systemic problem with the title IV-E agency's reported data. 
Thus we cannot be confident that the information accurately reflects 
the title IV-E agency's reporting populations for the out-of-home care 
and/or adoption and guardianship assistance data files. Therefore, we 
believe it appropriate not to tolerate such errors in either the out-
of-home care or adoption and guardianship assistance data files. We 
received no comments on this proposal in response to the 2008 NPRM.
Section 1355.45(d) Data Quality Standards
    In paragraph (d), we propose a set of data quality standards for 
the title IV-E agency to be in compliance with AFCARS. These standards 
are in addition to the formatting standards described in paragraph 
(c)(2) of this section, and focus on the quality of the data that a 
title IV-E agency provides. The data quality standards relate to 
missing data, invalid data and internally inconsistent data, as defined 
in error specifications per section 1355.45(b) and tardy transactions, 
as defined in paragraph (b)(5) of this section. No more than 10 percent 
total of the data for each data element in each of the title IV-E 
agency's out-of-home care or adoption and guardianship assistance data 
files may have these data errors to remain in compliance with the 
AFCARS standards. The numerical standard of 10 percent is consistent 
with the existing AFCARS standards, and also is similar to the 2008 
NPRM proposal. We received a number of comments from the 2008 NPRM 
regarding this proposal, specifically concerns about applying this 10 
percent standard to new data elements and suggestions for a phased-in 
approach to applying the data quality standards. We considered these 
comments, however, for reasons detailed below, we retain our proposal 
of a 10 percent standard for data quality.
    As described in the 2008 NPRM, we considered decreasing the 
acceptable amount of errors permitted in the AFCARS data files to no 
more than five percent in order to ensure that we receive better 
quality data. As noted earlier, a number of public commenters and 
stakeholders have criticized the quality of AFCARS data. Although title 
IV-E agencies and ACF have made great strides in improving the quality 
of data over the past few years, we believe there is room for 
significantly more progress. Decreasing the acceptable threshold for 
compliance would be one avenue to compel title IV-E agencies to 
continue to improve their data. On the other hand, by increasing the 
number and breadth of the internal consistency checks and adding cross-
file checks to the range of assessments that we perform on a title IV-E 
agency's data, we are setting a higher bar for compliance. Further, we 
acknowledge that by adding new data elements and applying compliance 
standards, including error specifications, to the adoption records in 
the adoption and guardianship assistance data file and requiring that 
the title IV-E agency report historical information for certain data 
elements, we are asking title IV-E agencies to report more information 
that will be subject to the compliance assessments, thereby increasing 
the likelihood of errors. We believe, therefore, that the most 
appropriate balance is to leave the numeric standard at 10 percent.
Section 1355.45(e) Compliance Determination and Corrected Data
    In paragraph (e), we propose the methodology for determining 
compliance and a title IV-E agency's opportunity to submit corrected 
data where ACF has initially determined that the title IV-E agency's 
original submission does not meet the AFCARS standards. These data 
elements were proposed in the 2008 NPRM and are slightly modified in 
this proposal to include adoption records in the adoption and 
guardianship assistance data file in the compliance determination 
process, and exempt specific optional populations, as described in 
section 1355.45(a). The comments from the 2008 NPRM on this data 
element were mostly supportive, therefore our approach to compliance 
determination is the same.
    In paragraph (e)(1), we propose that we first determine whether the 
title IV-E agency's out-of-home care data file and adoption records in 
the adoption and guardianship assistance data file meet the data file 
standards (i.e., timely submission, proper format and acceptable cross-
file) described in paragraph (c) of this section. Consistent with 
existing AFCARS practice, we will determine compliance for each data 
file separately, meaning that one data file may be determined compliant 
and the other data file determined not compliant. As stated earlier in 
the description of these standards, we believe that if a title IV-E 
agency's data file cannot meet the data file standards, the information 
contained therein is not useful. In particular, if the title IV-E 
agency does not meet the proper format standard, we cannot process the 
title IV-E agency's data files and determine if the data files meet the 
other standards.
    In paragraph (e)(2), we propose that we will then determine whether 
the title IV-E agency's out-of-home care data file and the adoption 
records in the adoption and guardianship assistance data file 
separately meet the data quality standards described in paragraph (d) 
of this section, if the data file standards, described in paragraph 
(c), are satisfied. We will calculate the error rates for each data 
element to determine if any one of them exceeds the outlined data 
quality standards. This is the same process by which we calculate the 
error rates for existing AFCARS data files.
    In paragraph (e)(3), we propose procedures for a title IV-E agency 
to submit a corrected data file(s) to ACF if the title IV-E agency's 
data file(s) does not initially meet the data file and data quality 
standards. If the title IV-E agency does not meet the data file 
standards or the data quality standards (with the exception of the 
standard for tardy transactions, which is discussed below), a title IV-
E agency will have until the deadline for submitting data for the 
subsequent report period to make changes to the data and submit the 
corrected data file to ACF. This timeframe for the title IV-E agency to 
submit corrected data is mandated by section 474(f)(1) of the Act. 
However, if a title IV-E agency does not meet the data quality standard 
related to tardy transactions, the title IV-E agency may not `correct' 
these dates. This is because according to the removal transaction date 
and exit transaction date data elements in sections 1355.43(d)(2) and 
1355.43(g)(2) of the out-of-home care data file, these dates must be 
computer generated and non-modifiable to reflect the data entry date 
and cannot be modified. The title IV-E agency is not permitted to 
change an entered transaction date for these data elements, and since 
the law requires that a title IV-E agency have another opportunity to 
submit data files that meet the standards, ACF will look towards the

[[Page 7191]]

transaction date(s) in the title IV-E agency's next regularly submitted 
out-of-home care data file, rather than the corrected data file, to 
determine whether the title IV-E agency has achieved compliance.
    For example, a title IV-E agency submits AFCARS data files for the 
report period ending March 31 on May 1 (due on April 30). ACF assesses 
the data files and notifies the title IV-E agency that the data files 
have not met the timely submission standard or the data quality 
standards for missing data and tardy transactions. The title IV-E 
agency must correct the data in the out-of-home care data file and the 
adoption records in the adoption and guardianship assistance data file 
so that missing data comprises no more than 10 percent of the 
applicable records in each data element and submit these corrected data 
files on time for the next submission by October 30. In addition, the 
title IV-E agency's data files for the report period ending September 
30, also submitted on October 30, must meet the data quality standards 
related to the tardy transactions. If all of these conditions are met, 
and the corrected data files contain no new errors in excess of the 
standards, ACF can then determine the title IV-E agency's data 
submission in compliance with the AFCARS standards.
    The title IV-E agency need not develop an actual corrective action 
plan that outlines how the title IV-E agency plans to comply with the 
data standards, as is required in other program improvement efforts in 
child welfare (i.e., the current CFSR and title IV-E Eligibility 
Reviews). We believe that an actual plan is not necessary in this case, 
as we anticipate that the Federal system will identify the errors that 
caused the title IV-E agency's data to be in noncompliance. 
Furthermore, because the period in which a title IV-E agency may submit 
data is relatively short, we believe that engaging in a process to 
develop an action plan and seek ACF approval will only reduce the 
amount of time the title IV-E agency has to make actual improvements 
that may bring the title IV-E agency into compliance with the 
standards.
Section 1355.45(f) Noncompliance
    In paragraph (f), we propose to determine that a title IV-E agency 
has not complied with the AFCARS requirements if the title IV-E agency 
either does not submit corrected out-of-home care and adoption and 
guardianship assistance data files, or does not submit corrected data 
files that meet the compliance standards in paragraphs (c) and (d) of 
this section. A title IV-E agency will not be found noncompliant for 
failure to collect data on, or errors in data pertaining to optional 
populations, specified in section 1355.45(a). This final determination 
of noncompliance means that ACF will withhold financial penalties as 
outlined in section 1355.46. We did not receive substantive comments on 
this section from the 2008 NPRM.
Section 1355.45(g) Other Assessments
    In paragraph (g), we propose, as we did in the 2008 NPRM, that ACF 
may use other monitoring tools that are not explicitly mentioned in 
regulation to determine whether the title IV-E agency meets all AFCARS 
requirements. For example, we may wish to continue to conduct onsite 
reviews in some format to ensure proper data mapping or provide other 
technical assistance to ensure valid and quality data. We currently use 
this approach in AFCARS by conducting onsite assessment reviews of a 
title IV-E agency's process to submit AFCARS data, including validating 
that the information in case files is accurately portrayed in the 
AFCARS submission. Through these assessment reviews we have found that 
title IV-E agencies may be in compliance with the AFCARS data 
standards, but not in compliance with all the AFCARS requirements. For 
example, through the aforementioned error checks, which we expect to be 
conducted automatically upon receipt of the data, we cannot determine 
whether the title IV-E agency is submitting the entire or the correct 
reporting population. Commenters to the 2008 NPRM suggested that this 
section is too open-ended, and advocated for full disclosure of all 
proposed assessment types. However, through the assessment reviews, we 
have been able to provide title IV-E agencies with targeted technical 
assistance on how to meet all aspects of the AFCARS requirements. We 
have often heard from States that the onsite activities tailored to a 
title IV-E agency's system and programs are beneficial and provide the 
State with valuable technical assistance. Therefore, we want to reserve 
our ability to develop and conduct these and other monitoring 
activities for AFCARS, and do not want to tie ourselves to a particular 
approach which may need to change over time.

Section 1355.46 Penalties

    In section 1355.46, we propose how ACF will assess and take 
penalties for a title IV-E agency's noncompliance with AFCARS 
requirements outlined in section 1355.45. The penalty structure we 
propose is consistent with section 474(f) of the Act, and is similar to 
that proposed in the 2008 NPRM. Commenters to the 2008 NPRM were 
opposed to ACF assessing penalties and suggested that we use incentives 
in lieu of or in combination with penalties or alternately, allow title 
IV-E agencies to reinvest funds to encourage data quality improvement. 
Commenters in response to the 2008 NPRM also suggested that we phase-in 
or delay enforcing the penalties. We considered these comments, 
however, Pub. L. 108-145 added paragraph (f) to section 474 of the Act 
which requires that the Department take specific fiscal penalties for a 
title IV-E agency's lack of compliance with AFCARS standards. There is 
no provision in this law for incentives or reinvestment. In addition, 
penalties have already been delayed since January 2002, when we 
discontinued withholding Federal funds for a title IV-E agency's 
failure to comply with AFCARS requirements (see ACYF-CB-IM-02-03) and 
in ACYF-CB-IM-04-04 we notified title IV-E agencies that we would not 
assess penalties until we issue revised final AFCARS regulations, the 
subject of this proposed rule. Title IV-E agencies have been aware of 
our proposed penalty structure since the 2008 NPRM; thus we encourage 
agencies to begin thinking about how the proposal will affect their 
AFCARS submissions.
Section 1355.46(a) Federal Funds Subject to a Penalty
    In paragraph (a), we propose that the pool of funds that are 
subject to a penalty for noncompliance are the title IV-E agency's 
claims for title IV-E foster care administrative costs for the quarter 
in which the original data file is due (as opposed to the corrected 
data file). Therefore, ACF would assess the penalty on the title IV-E 
agency's claims for the third quarter of the Federal fiscal year for 
data files due on April 30, and on the first quarter of the Federal 
fiscal year for data files due on October 30. Such administrative costs 
are inclusive of claims for training, but would not include Statewide 
or Tribal Automated Child Welfare Information System (SACWIS/TACWIS) 
costs. We believe that this provision is consistent with the statutory 
language in section 474(f)(2) of the Act, which requires that the pool 
of funds subject to the penalty is the amount expended by the title IV-
E agency for administration of foster care activities under the title 
IV-E plan approved under this part, meaning all title IV-E foster care 
administrative costs. Further, the law specifies that the pool be 
comprised of the title IV-E

[[Page 7192]]

agency's claims in the quarter that coincides with the report period 
deadline (i.e., the first or third quarter of a fiscal year). This 
proposal is similar to that proposed in the 2008 NPRM, but is modified 
slightly to include claims for Tribal Automated Child Welfare 
Information Systems in the pool of funds that are subject to a penalty 
for noncompliance. This proposal also differs from the 2008 NPRM in 
that we are proposing to exclude SACWIS/TACWIS funding from the pool of 
funds subject to AFCARS penalties. We propose to exclude these funds 
because they support more than just the title IV-E foster care program 
(including State or Tribal programs not funded by title IV-E) and 
therefore have a broader benefit than the ``administration of all title 
IV-E foster care administrative costs'' as required in section 
474(f)(2) of the Act.
    Commenters in response to the 2008 NPRM expressed concerns to the 
proposal for this section over the assessment of penalties for 
completing various data elements. Specifically, commenters were 
concerned about the lack of implementation period in the 2008 NPRM 
proposal prior to the imposition of penalties, and the potential for 
title IV-E agencies to be penalized for not collecting data on new 
elements prior to the implementation of the final rule. We acknowledge 
these comments and intend to provide more specifics on implementation 
issues in the Final Rule after receiving and reviewing comments.
Section 1355.46(b) Penalty Amounts
    In paragraph (b), we propose specific penalty amounts for 
noncompliance consistent with section 474(f)(2) of the Act. The statute 
specifies the amount of each penalty for noncompliance and requires 
that penalties continue until the title IV-E agency is able to meet the 
standards. It is possible that the calculated penalty amounts could be 
smaller than those in the existing regulation; however, a penalty that 
continues until a title IV-E agency's data file complies with the 
AFCARS standards provides an incentive for title IV-E agencies to 
correct their data in a timely manner. Our proposal for paragraphs 
(b)(1) and (2) is unchanged from the 2008 NPRM.
    First six-month period. In paragraph (b)(1), we propose to assess a 
penalty in the amount of one sixth of one percent of the pool of 
Federal funds subject to a penalty once ACF determines the title IV-E 
agency is out of compliance with the AFCARS requirements according to 
section 1355.45(f). This penalty amount is specified per section 
474(f)(2)(A) of the Act. Using fiscal year 2010 claims data, we 
estimate that penalties could range from $565 to $228,174 for a title 
IV-E agency's noncompliance with the standards in a single report 
period. We did not receive comments to the 2008 NPRM or 2010 FR Notice 
on this proposal; therefore we did not change our proposal.
    Subsequent six month periods. In paragraph (b)(2), we propose to 
assess a penalty in the amount of one fourth of one percent of the pool 
of funds subject to a penalty, should the title IV-E agency's 
noncompliance continue in subsequent six-month periods. This penalty 
amount is also specified per section 474(f)(2)(B) of the Act. Using FY 
2010 data, we estimate that the penalty for subsequent noncompliance 
could range from $1,413 to $570,434 per report period. Commenters to 
the 2008 NPRM asked for clarification on our proposal for assessing 
penalties in subsequent six month report periods. As in the 2008 NPRM, 
we propose now to assess penalties for a data file for each report 
period. For example, a data file submitted for the first six month 
report period would be assessed for compliance apart of the data file 
submitted for the second six month report period. If the data file that 
is submitted for the first six month report period is determined to be 
out of compliance, then a penalty based on paragraph (b)(1) of this 
section could be assessed, regardless of whether the data file 
submitted for the second six month report period is determined to be in 
compliance. Additionally, if that same data file continues to be 
determined out of compliance in subsequent corrective submissions, then 
the penalty described in paragraph (b)(2) of this section could be 
assessed.
    Commenters to the 2008 NPRM also expressed concern that because we 
are proposing to require title IV-E agencies to submit longitudinal 
data files, it is possible that certain data elements that are not 
permitted to be corrected could forever subject a title IV-E agency to 
penalties for errors. While this scenario is possible, we believe it is 
unlikely in most cases. Section 1355.45(d) describes that the AFCARS 
data file(s) would need to be determined to be out of compliance for 10 
percent of the data quality standards in each of the areas of missing 
data, invalid data, internally inconsistent data, and tardy 
transactions. Although there are few data elements that a title IV-E 
agency is not permitted to correct (for example the transaction dates 
in sections 1355.43(d)(2) and (g)(2)); even if multiple transactions 
are determined to be incorrect, this does not mean that the title IV-E 
agency would be determined to be out of compliance based on the 10 
percent data quality standard. The title IV-E agency also has an 
opportunity after the initial period in which a penalty is assessed to 
correct other data elements that may be determined to be incorrect, 
therefore a title IV-E agency could, in the end, lower their error rate 
to not exceed the 10 percent data quality standard.
Section 1355.46(c) Penalty Reduction From Foster Care Funding
    In paragraph (c), we propose to take an assessed penalty by 
reducing the title IV-E agency's title IV-E foster care funding 
following ACF's determination of noncompliance. Our proposal is 
unchanged from that described in the 2008 NPRM. Commenters to the 2008 
NPRM expressed general opposition to our proposal to take the penalty 
amount from the agency's title IV-E foster care reimbursement. However, 
section 474(f)(2) of the Act is specific that the penalty must be 
assessed on the total amount expended by the title IV-E agency for 
administration of foster care activities under the title IV-E plan.
Section 1355.46(d) Appeals
    In paragraph (d), we propose to provide the title IV-E agency with 
an opportunity to appeal a final determination that the title IV-E 
agency is out of compliance inclusive of accompanying financial 
penalties to the HHS Departmental Appeals Board (DAB). Since section 
474(f) of the Act does not require any unique appeal rights or time 
frames regarding AFCARS requirements, all appeals must follow the DAB 
regulations in 45 CFR part 16. We did not receive comments to the 2008 
NPRM on this proposal.
    We propose not to retain language that was newly proposed in the 
2008 NPRM that a title IV-E agency be liable for applicable interest on 
the amount of funds we penalize, in accordance with the regulations at 
45 CFR 30.18. This language was added to the 2008 NPRM to be consistent 
with Department-wide regulations and policy on collecting debts owed to 
the Federal government, however, upon further consideration, we believe 
that the provision requiring ACF to offset a title IV-E agency's grant 
award in the amount of the penalty (section 1355.46(c)) makes the need 
for such language obsolete.

Appendices

    We propose to remove all of the appendices to 45 CFR part 1355 
because they contain provisions and charts that are being substantively 
altered or made

[[Page 7193]]

obsolete by the provisions of this NPRM.
    Appendix A contains the data element definitions and instructions 
for the existing foster care file. We propose instead the out-of-home 
care data file at proposed section 1355.43. Appendix B contains the 
adoption data element definitions and instructions for the existing 
adoption data file. We propose instead that the adoption data file be 
deleted and information pertaining to adoption be incorporated into the 
out-of-home care data file at proposed section 1355.43(h). The adoption 
and guardianship assistance data file is proposed at section 1355.44. 
Appendix C contains existing technical file submission details. We 
explained in the discussion of section 1355.42(e) that we propose not 
to regulate file submission provisions. Appendix D contains the 
existing foster care and adoption data file layout and summary data 
file details. We explained in the discussion on section 1355.42(a) that 
we are eliminating the summary data files and explained in section 
1355.42(e) that we are not regulating file layout. Appendix E contains 
the existing data standards. We propose instead data standards in 
proposed section 1355.45. We did not receive comments to the 2008 NPRM 
on this proposal.

                           Attachment A--Proposed Out-of-Home Care Data File Elements
----------------------------------------------------------------------------------------------------------------
             Category                     Element          Response options            Section citation
----------------------------------------------------------------------------------------------------------------
General information..............  Title IV-E agency...  Name...............  1355.43(a)(1)
                                   Report date.........  Date...............  1355.43(a)(2)
                                   Local agency........  Name...............  1355.43(a)(3)
                                   Child record number.  Number.............  1355.43(a)(4)
Child Information................  Child's date of       Date...............  1355.43(b)(1)(i)
                                    birth.
                                   Child born in the     Yes................  1355.43(b)(1)(ii)
                                    United States.       No.................
                                   Child's sex.........  Male...............  1355.43(b)(2)
                                                         Female.............
                                   Child's race:
                                      --Race--American   Yes................  1355.43(b)(3)(i)
                                       Indian or Alaska  No.................
                                       Native.
                                      --Race--Asian....  Yes................  1355.43(b)(3)(ii)
                                                         No.................
                                      --Race--Black or   Yes................  1355.43(b)(3)(iii)
                                       African American. No.................
                                      --Race--Native     Yes................  1355.43(b)(3)(iv)
                                       Hawaiian or       No.................
                                       Other Pacific
                                       Islander.
                                      --Race--White....  Yes................  1355.43(b)(3)(v)
                                                         No.................
                                      --Race--Unknown..  Yes................  1355.43(b)(3)(vi)
                                                         No.................
                                      --Race--Abandoned  Yes................  1355.43(b)(3)(vii)
                                                         No.................
                                      --Race--Declined.  Yes................  1355.43(b)(3)(viii)
                                                         No.................
                                   Child's Hispanic or   Yes................  1355.43(b)(4)
                                    Latino ethnicity.
                                                         No.
                                                         Unknown.
                                                         Abandoned.
                                                         Declined.
                                   Date of health        Date...............  1355.43(b)(5)
                                    assessment.
                                   Timely health         Yes................  1355.43(b)(6)
                                    assessment.          No.................
                                   Health, behavioral    Child has a          1355.43(b)(7)
                                    or mental health      diagnosed
                                    conditions.           condition..
                                                         No exam or
                                                          assessment
                                                          conducted..
                                                         Exam or assessment
                                                          conducted and none
                                                          of the conditions
                                                          apply..
                                                         Exam or assessment
                                                          conducted but
                                                          results not
                                                          received..
                                      --Intellectual     Existing condition.  1355.43(b)(7)(i)
                                       disability.       Previous condition.
                                                         Does not apply.....
                                      --Visually         Existing condition.  1355.43(b)(7)(ii)
                                       impaired.         Previous condition.
                                                         Does not apply.....
                                      --Hearing          Existing condition.  1355.43(b)(7)(iii)
                                       impaired.         Previous condition.
                                                         Does not apply.....
                                      --Physically       Existing condition.  1355.43(b)(7)(iv)
                                       disabled.         Previous condition.
                                                         Does not apply.....
                                      --Anxiety          Existing condition.  1355.43(b)(7)(v)
                                       disorder.         Previous condition.
                                                         Does not apply.....
                                      --Childhood        Existing condition.  1355.43(b)(7)(vi)
                                       disorders.        Previous condition.
                                                         Does not apply.....

[[Page 7194]]

 
                                      --Learning         Existing condition.  1355.43(b)(7)(vii)
                                       disability.       Previous condition.
                                                         Does not apply.....
                                      --Substance use    Existing condition.  1355.43(b)(7)(viii)
                                       related disorder. Previous condition.
                                                         Does not apply.....
                                      --Developmental    Existing condition.  1355.43(b)(7)(ix)
                                       disability.       Previous condition.
                                                         Does not apply.....
                                      --Other mental/    Existing condition.  1355.43(b)(7)(x)
                                       emotional         Previous condition.
                                       disorder.         Does not apply.....
                                      --Other diagnosed  Existing condition.  1355.43(b)(7)(xi)
                                       condition.        Previous condition.
                                                         Does not apply.....
                                      --Pregnant.......  Existing condition.  1355.43(b)(7)(xii)
                                                         Previous condition.
                                                         Does not apply.....
                                   School enrollment...  Elementary.........  1355.43(b)(8)
                                                         Secondary.
                                                         Post-secondary
                                                          education or
                                                          training.
                                                         College.
                                                         Not school-age.
                                                         Not enrolled.......
                                   Educational level...  Not school-age.....  1355.43(b)(9)
                                                         Kindergarten.
                                                         1st grade.
                                                         2nd grade.
                                                         3rd grade.
                                                         4th grade.
                                                         5th grade.
                                                         6th grade.
                                                         7th grade.
                                                         8th grade.
                                                         9th grade.
                                                         10th grade.
                                                         11th grade.
                                                         12th grade.
                                                         Post-secondary
                                                          education or
                                                          training.
                                                         College.
                                   Educational           Yes................  1355.43(b)(10)
                                    stability.           No.................
                                      --Proximity......  Applies............  1355.43(b)(10)(i)
                                                         Does not apply.....
                                      --District/zoning  Applies............  1355.43(b)(10)(ii)
                                       rules.            Does not apply.....
                                      --Residential      Applies............  1355.43(b)(10)(iii)
                                       facility.         Does not apply.....
                                      --Services/        Applies............  1355.43(b)(10)(iv)
                                       programs.         Does not apply.....
                                      --Child request..  Applies............  1355.43(b)(10)(v)
                                                         Does not apply.....
                                      --Parent/Legal     Applies............  1355.43(b)(10)(vi)
                                       Guardian request. Does not apply.....
                                      --Other..........  Applies............  1355.43(b)(10)(vii)
                                                         Does not apply.....
                                   Special education...  IEP................  1355.43(b)(11)
                                                         IFSP...............
                                                         Not applicable.....
                                   IDEA Qualifying
                                    disability:
                                      --Developmental    Applies............  1355.43(b)(12)(i)
                                       delay.            Does not apply.....
                                      --Autism.........  Applies............  1355.43(b)(12)(ii)
                                                         Does not apply.....
                                      --Hearing          Applies............  1355.43(b)(12)(iii)
                                       impairment        Does not apply.....
                                       (including
                                       deafness).
                                      --Emotional        Applies............  1355.43(b)(12)(iv)
                                       disturbance.      Does not apply.....
                                      --Intellectual     Applies............  1355.43(b)(12)(v)
                                       Disability.       Does not apply.....
                                      --Orthopedic       Applies............  1355.43(b)(12)(vi)
                                       impairment.       Does not apply.....

[[Page 7195]]

 
                                      --Other health     Applies............  1355.43(b)(12)(vii)
                                       impairment.       Does not apply.....
                                      --Specific         Applies............  1355.43(b)(12)(viii)
                                       learning          Does not apply.....
                                       disability.
                                      --Speech and       Applies............  1355.43(b)(12)(ix)
                                       language          Does not apply.....
                                       impairment.
                                      --Traumatic brain  Applies............  1355.43(b)(12)(x)
                                       injury.           Does not apply.....
                                      --Visual           Applies............  1355.43(b)(12)(xi)
                                       impairments       Does not apply.....
                                       (including
                                       blindness).
                                      --Other..........  Applies............  1355.43(b)(12)(xii)
                                                         Does not apply.....
                                   Prior adoption(s)...  Yes................  1355.43(b)(13)
                                                         No.................
                                                         Abandoned..........
                                   Prior adoption        Date(s)............  1355.43(b)(13)(i)
                                    date(s).
                                   Prior adoption        Foster care          1355.43(b)(13)(ii)
                                    type(s).              adoption within
                                                          State or Tribal
                                                          service area.
                                                         Foster care
                                                          adoption in
                                                          another State or
                                                          Tribal service
                                                          area.
                                                         Intercountry
                                                          adoption.
                                                         Other private or
                                                          independent
                                                          adoption.
                                   Prior adoption        Name...............  1355.43(b)(13)(iii)
                                    jurisdiction(s).
                                   Prior                 Yes................  1355.43(b)(14)
                                    guardianship(s).     No.................
                                                         Abandoned..........
                                   Prior guardianship    Date(s)............  1355.43(b)(14)(i)
                                    date(s).
                                   Prior guardianship    Foster care          1355.43(b)(14)(ii)
                                    type(s).              guardianship
                                                          within State or
                                                          Tribal service
                                                          area.
                                                         Foster care
                                                          guardianship in
                                                          another State or
                                                          Tribal service
                                                          area.
                                                         Other private or
                                                          independent
                                                          guardianship.
                                   Prior guardianship    Name...............  1355.43(b)(14)(iii)
                                    jurisdiction(s).
                                   Minor parent........  Number.............  1355.43(b)(15)
                                   Child financial and   Child has received   1355.43(b)(16)
                                    medical assistance.   support/assistance.
                                                         No support/
                                                          assistance
                                                          received..
                                      --SSI or Social    Applies............  1355.43(b)(16)(i)
                                       Security          Does not apply.....
                                       benefits.
                                      --Title XIX        Applies............  1355.43(b)(16)(ii)
                                       Medicaid.         Does not apply.....
                                      --Title XXI SCHIP  Applies............  1355.43(b)(16)(iii)
                                                         Does not apply.....
                                      --State/Tribal     Applies............  1355.43(b)(16)(iv)
                                       adoption          Does not apply.....
                                       assistance.
                                      --State/Tribal     Applies............  1355.43(b)(16)(v)
                                       foster care.      Does not apply.....
                                      --Child support..  Applies............  1355.43(b)(16)(vi)
                                                         Does not apply.....
                                      --Other..........  Applies............  1355.43(b)(16)(vii)
                                                         Does not apply.....
                                   Title IV-E foster     Yes................  1355.43(b)(17)
                                    care during report   No.................
                                    period.
                                   Victim of sex         Yes................  1355.43(b)(18)
                                    trafficking prior    No.................
                                    to entering foster
                                    care.
                                      --Report to Law    Yes................  1355.43(b)(18)(i)
                                       Enforcement.      No.................
                                      --Date...........  Date...............  1355.43(b)(18)(ii)
                                   Victim of sex         Yes................  1355.43(b)(19)
                                    trafficking while    No.................
                                    in foster care.
                                      --Report to Law    Yes................  1355.43(b)(19)(i)
                                       Enforcement.      No.................
                                      --Date...........  Date...............  1355.43(b)(19)(ii)
Parent or legal guardian           Year of birth of      Date...............  1355.43(c)(1)(i)
 information.                       first parent or      Abandoned..........
                                    legal guardian.
                                   First parent or       Yes................  1355.43(c)(1)(ii)
                                    legal guardian born  No.................
                                    in the United        Abandoned..........
                                    States.
                                   Year of birth of      Date...............  1355.43(c)(2)(i)
                                    second parent or     Abandoned..........
                                    legal guardian.      Not applicable.....

[[Page 7196]]

 
                                   Second parent or      Yes................  1355.43(c)(2)(ii)
                                    legal guardian born  No.................
                                    in the United        Abandoned..........
                                    States.              Not applicable.....
                                   Termination of        Date(s)............  1355.43(c)(3)(i)
                                    parental rights      Deceased...........
                                    petition.
                                   Termination of        Date(s)............  1355.43(c)(3)(ii)
                                    parental rights.
                                   Date of judicial      Date...............  1355.43(c)(4)
                                    finding of abuse or  No date............
                                    neglect.
Removal information..............  Date of child's       Date(s)............  1355.43(d)(1)
                                    removal.
                                   Removal transaction   Date(s)............  1355.43(d)(2)
                                    date.
                                   Environment at        Parent household...  1355.43(d)(3)
                                    removal.
                                                         Relative household.
                                                         Legal guardian
                                                          household.
                                                         Justice facility.
                                                         Medical/mental
                                                          health facility.
                                                         Other.
                                   Authority for         Court ordered......  1355.43(d)(4)
                                    placement and care   Voluntary placement
                                    responsibility.       agreement..
                                                         Not yet determined.
 
                                   Child and family
                                    circumstances at
                                    removal:
                                      --Runaway........  Applies............  1355.43(d)(5)(i)
                                                         Does not apply.....
                                      --Whereabouts      Applies............  1355.43(d)(5)(ii)
                                       unknown.          Does not apply.....
                                      --Physical abuse.  Applies............  1355.43(d)(5)(iii)
                                                         Does not apply.....
                                      --Sexual abuse...  Applies............  1355.43(d)(5)(iv)
                                                         Does not apply.....
                                      --Psychological    Applies............  1355.43(d)(5)(v)
                                       or emotional      Does not apply.....
                                       abuse.
                                      --Neglect........  Applies............  1355.43(d)(5)(vi)
                                                         Does not apply.....
                                      --Medical neglect  Applies............  1355.43(d)(5)(vii)
                                                         Does not apply.....
                                      --Domestic         Applies............  1355.43(d)(5)(viii)
                                       violence.         Does not apply.....
                                      --Abandonment....  Applies............  1355.43(d)(5)(ix)
                                                         Does not apply.....
                                      --Failure to       Applies............  1355.43(d)(5)(x)
                                       return.           Does not apply.....
                                      --Caretaker's      Applies............  1355.43(d)(5)(xi)
                                       alcohol abuse.    Does not apply.....
                                      --Caretaker's      Applies............  1355.43(d)(5)(xii)
                                       drug abuse.       Does not apply.....
                                      --Child alcohol    Applies............  1355.43(d)(5)(xiii)
                                       use.              Does not apply.....
                                      --Child drug use.  Applies............  1355.43(d)(5)(xiv)
                                                         Does not apply.....
                                      --Prenatal         Applies............  1355.43(d)(5)(xv)
                                       alcohol exposure. Does not apply.....
                                      --Prenatal drug    Applies............  1355.43(d)(5)(xvi)
                                       exposure.         Does not apply.....
                                      --Diagnosed        Applies............  1355.43(d)(5)(xvii)
                                       condition.        Does not apply.....
                                      --Inadequate       Applies............  1355.43(d)(5)(xviii)
                                       access to mental  Does not apply.....
                                       health services.
                                      --Inadequate       Applies............  1355.43(d)(5)(xix)
                                       access to         Does not apply.....
                                       medical services.
                                      --Child behavior   Applies............  1355.43(d)(5)(xx)
                                       problem.          Does not apply.....
                                      --Death of         Applies............  1355.43(d)(5)(xxi)
                                       caretaker.        Does not apply.....
                                      --Incarceration    Applies............  1355.43(d)(5)(xxii)
                                       of caretaker.     Does not apply.....
                                      --Caretakers       Applies............  1355.43(d)(5)(xxiii)
                                       significant       Does not apply.....
                                       impairment--phys
                                       ical/emotional.
                                      --Caretaker's      Applies............  1355.43(d)(5)(xxiv)
                                       significant       Does not apply.....
                                       impairment--cogn
                                       itive.

[[Page 7197]]

 
                                      --Inadequate       Applies............  1355.43(d)(5)(xxv)
                                       housing.          Does not apply.....
                                      --Voluntary        Applies............  1355.43(d)(5)(xxvi)
                                       relinquishment    Does not apply.....
                                       for adoption.
                                      --Child requested  Applies............  1355.43(d)(5)(xxvii)
                                       placement.        Does not apply.....
Living arrangement and provider    Date of living        Date(s)............  1355.43(e)(1)
 information.                       arrangement.
                                   Foster family home..  Yes................  1355.43(e)(2)
                                                         No.................
                                   Foster family home
                                    type:
                                      --Licensed home..  Applies............  1355.43(e)(3)(i)
                                                         Does not apply.....
                                      --Therapeutic      Applies............  1355.43(e)(3)(ii)
                                       foster family     Does not apply.....
                                       home.
                                      --Shelter care     Applies............  1355.43(e)(3)(iii)
                                       foster family     Does not apply.....
                                       home.
                                      --Relative foster  Applies............  1355.43(e)(3)(iv)
                                       family home.      Does not apply.....
                                      --Pre-adoptive     Applies............  1355.43(e)(3)(v)
                                       home.             Does not apply.....
                                      --Kin foster       Applies............  1355.43(e)(3)(vi)
                                       family home.      Does not apply.....
                                   Other living          Group home-family    1355.43(e)(4)
                                    arrangement type.     operated.
                                                         Group home-staff
                                                          operated.
                                                         Group home-shelter
                                                          care.
                                                         Residential
                                                          treatment center.
                                                         Child care
                                                          institution.
                                                         Child care
                                                          institution-
                                                          shelter care.
                                                         Supervised
                                                          independent
                                                          living.
                                                         Juvenile justice
                                                          facility.
                                                         Medical or
                                                          rehabilitative
                                                          facility.
                                                         Psychiatric
                                                          hospital.
                                                         Runaway.
                                                         Whereabouts
                                                          unknown.
                                                         Placed at home.
                                   Private agency        Private agency       1355.43(e)(5)
                                    living arrangement.   involvement.
                                                         No private agency
                                                          involvement..
                                   Location of living    Out-of-State or out- 1355.43(e)(6)
                                    arrangement.          of-Tribal service
                                                          area.
                                                         In-State or in-
                                                          Tribal service
                                                          area.
                                                         Out-of-country.
                                                         Runaway or
                                                          whereabouts
                                                          unknown.
                                   Jurisdiction or       Name...............  1355.43(e)(7)
                                    country where child
                                    is living.
                                   Number of siblings    Number.............  1355.43(e)(8)
                                    in out-of-home care. Not applicable.....
                                   Siblings placed       Child record         1355.43(e)(9)
                                    together in out-of-   number(s).
                                    home care.
                                   Siblings in out-of-   Child record         1355.43(e)(10)
                                    home care not         number(s).
                                    living with child.
                                   Number of siblings    Number.............  1355.43(e)(11)
                                    in an adoption or    Not applicable.....
                                    legal guardianship.
                                   Siblings in adoptive/ Child record         1355.43(e)(12)
                                    guardianship          number(s).
                                    placements living
                                    with child.
                                   Siblings in adoptive/ Child record         1355.43(e)(13)
                                    guardianship          number(s).
                                    placements not
                                    living with child.
                                   Number of children    Number.............  1355.43(e)(14)
                                    living with the
                                    minor parent.
                                   Marital status of     Married couple.....  1355.43(e)(15)
                                    the foster
                                    parent(s).
                                                         Unmarried couple.
                                                         Separated.
                                                         Single female.
                                                         Single male.
                                   Child's relationship  Paternal             1355.43(e)(16)
                                    to the foster         grandparent(s).
                                    parent(s).           Maternal
                                                          grandparent(s)..
                                                         Other paternal
                                                          relative(s)..
                                                         Other maternal
                                                          relative(s)..
                                                         Sibling(s).........
                                                         Non relative(s)....
                                                         Kin................
                                   Year of birth for     Date...............  1355.43(e)(17)
                                    first foster parent.
                                   Race of first foster
                                    parent:

[[Page 7198]]

 
                                      --Race--American   Yes................  1355.43(e)(18)(i)
                                       Indian or Alaska  No.................
                                       Native.
                                      --Race--Asian....  Yes................  1355.43(e)(18)(ii).
                                                         No.................
                                      --Race--Black or   Yes................  1355.43(e)(18)(iii).
                                       African American. No.................
                                      --Race--Native     Yes................  1355.43(e)(18)(iv).
                                       Hawaiian or       No.................
                                       Other Pacific
                                       Islander.
                                      --Race--White....  Yes................  1355.43(e)(18)(v).
                                                         No.................
                                      --Race--Unknown..  Yes................  1355.43(e)(18)(vi).
                                                         No.................
                                      --Race--Declined.  Yes................  1355.43(e)(18)(vii).
                                                         No.................
                                   Hispanic or Latino    Yes................  1355.43(e)(19).
                                    ethnicity of first   No.................
                                    foster parent.       Unknown............
                                                         Declined...........
                                   Year of birth for     Date...............  1355.43(e)(20)
                                    second foster
                                    parent.
                                   Race of second
                                    foster parent:
                                      --Race--American   Yes................  1355.43(e)(21)(i).
                                       Indian or Alaska  No.................
                                       Native.
                                      --Race--Asian....  Yes................  1355.43(e)(21)(ii)
                                                         No.................
                                      --Race--Black or   Yes................  1355.43(e)(21)(iii)
                                       African American. No.................
                                      --Race--Native     Yes................  1355.43(e)(21)(iv)
                                       Hawaiian or       No.................
                                       Other Pacific
                                       Islander.
                                      --Race--White....  Yes................  1355.43(e)(21)(v)
                                                         No.................
                                      --Race--Unknown..  Yes................  1355.43(e)(21)(vi)
                                                         No.................
                                      --Race--Declined.  Yes................  1355.43(e)(21)(vii)
                                                         No.................
                                   Hispanic or Latino    Yes................  1355.43(e)(22)
                                    ethnicity of second  No.................
                                    foster parent.       Unknown............
                                                         Declined...........
                                   Sources of Federal
                                    assistance in
                                    living arrangement
                                      --Title IV-E       Applies............  1355.43(e)(23)(i)
                                       foster care.      Does not apply.....
                                      --Title IV-E       Applies............  1355.43(e)(23)(ii)
                                       adoption subsidy. Does not apply.....
                                      --Title IV-E       Applies............  1355.43(e)(23)(iii)
                                       guardianship      Does not apply.....
                                       assistance.
                                      --Title IV-A TANF  Applies............  1355.43(e)(23)(iv)
                                                         Does not apply.....
                                      --Title IV-B.....  Applies............  1355.43(e)(23)(v)
                                                         Does not apply.....
                                      --SSBG...........  Applies............  1355.43(e)(23)(vi)
                                                         Does not apply.....
                                      --Chafee Foster    Applies............  1355.43(e)(23)(vii)
                                       Care.             Does not apply.....
                                   Independence Program  Does not apply.....
                                      --Other Federal    Applies............  1355.43(e)(23)(viii)
                                       source.           Does not apply.....
                                   Amount of payment...  Dollar amount......  1355.43(e)(24).
                                   Services provided in  Yes................  1355.43(e)(25)
                                    other living         No.................
                                    arrangements.
                                      --Specialized      Applies............  1355.43(e)(25)(i)
                                       education.        Does not apply.....
                                      --Treatment......  Applies............  1355.43(e)(25)(ii)
                                                         Does not apply.....
                                      --Counseling.....  Applies............  1355.43(e)(25)(iii)
                                                         Does not apply.....
                                      --Other services.  Applies............  1355.43(e)(25)(iv)
                                                         Does not apply.....

[[Page 7199]]

 
Permanency planning..............  Permanency plan.....  Reunify with         1355.43(f)(1)
                                                          parent(s) or legal
                                                          guardian(s).
                                                         Live with other
                                                          relatives..
                                                         Adoption...........
                                                         Guardianship.......
                                                         Planned permanent
                                                          living
                                                          arrangement..
                                                         Permanency plan not
                                                          established..
                                   Date of permanency    Date(s)............  1355.43(f)(2)
                                    plan.
                                   Concurrent            Concurrent           1355.43(f)(3)
                                    permanency planning.  permanency plan.
                                                         No concurrent
                                                          permanency plan..
                                                         Not applicable.....
                                   Concurrent            Live with other      1355.43(f)(3)(i)
                                    permanency plan.      relatives.
                                                         Adoption...........
                                                         Guardianship.......
                                                         Planned permanent
                                                          living
                                                          arrangement..
                                   Date of concurrent    Date(s)............  1355.43(f)(3)(ii)
                                    permanency plan.
                                   Reason for            Yes................  1355.43(f)(4)
                                    permanency plan      No.................
                                    change.
                                      --Not engaged in   Applies............  1355.43(f)(4)(i)
                                       services.         Does not apply.....
                                      --Lack of          Applies............  1355.43(f)(4)(ii)
                                       progress in       Does not apply.....
                                       reunification
                                       plan.
                                      --Unable/          Applies............  1355.43(f)(4)(iii)
                                       incapable of      Does not apply.....
                                       caring for child
                                       permanently.
                                      --Reunification    Applies............  1355.43(f)(4)(iv)
                                       appropriate.      Does not apply.....
                                      --Child            Applies............  1355.43(f)(4)(v)
                                       preference.       Does not apply.....
                                      --Adoption/        Applies............  1355.43(f)(4)(vi)
                                       guardianship      Does not apply.....
                                       appropriate.
                                      --Current foster   Applies............  1355.43(f)(4)(vii)
                                       care provider     Does not apply.....
                                       committed to
                                       permanency.
                                      --Emancipation     Applies............  1355.43(f)(4)(viii)
                                       likely.           Does not apply.....
                                   Date of periodic      Date(s)............  1355.43(f)(5)
                                    review.
                                   Date of permanency    Date(s)............  1355.43(f)(6)
                                    hearing.
                                   Juvenile justice....  Status offender....  1355.43(f)(7)
                                                         Adjudicated
                                                          delinquent..
                                                         Both status
                                                          offender and
                                                          delinquent..
                                                         Not applicable.....
                                   Caseworker visit      Date(s)............  1355.43(f)(8)
                                    dates.
                                   Caseworker visit      Child's residence..  1355.43(f)(9)
                                    location.            Other location.....
                                   Caseworker visit      Assessment or case   1355.43(f)(10)
                                    purpose.              planning.
                                                         Placement of the
                                                          child..
                                                         Transportation.....
                                                         Court hearing......
                                   Caseworker visit      Yes................  1355.43(f)(11).
                                    alone with child.    No.................
                                   Transition plan.....  Yes................  1355.43(f)(12)
                                                         No.................
                                                         Not applicable.....
                                      --Housing........  Applies............  1355.43(f)(12)(i)
                                                         Does not apply.....
                                      --Health           Applies............  1355.43(f)(12)(ii)
                                       insurance.        Does not apply.....
                                      --Health care      Applies............  1355.43(f)(12)(iii)
                                       treatment         Does not apply.....
                                       decisions.
                                      --Education......  Applies............  1355.43(f)(12)(iv)
                                                         Does not apply.....
                                      --Mentoring and    Applies............  1355.43(f)(12)(v)
                                       continuing        Does not apply.....
                                       support.
                                      --Work force       Applies............  1355.43(f)(12)(vi)
                                       support and       Does not apply.....
                                       employment
                                       services.
                                   Date of transition    Date...............  1355.43(f)(13)
                                    plan.
General exit information.........  Date of exit........  Date(s)............  1355.43(g)(1)
                                   Exit transaction      Date(s)............  1355.43(g)(2)
                                    date.

[[Page 7200]]

 
                                   Exit reason.........  Not applicable.....  1355.43(g)(3)
                                                         Reunify with
                                                          parent(s)/legal
                                                          guardian(s)..
                                                         Live with other
                                                          relatives..
                                                         Adoption...........
                                                         Emancipation.......
                                                         Guardianship.......
                                                         Runaway or
                                                          whereabouts
                                                          unknown..
                                                         Death of child.....
                                                         Transfer to another
                                                          agency..
                                                         Other..............
                                   Transfer to another   State title IV-E     1355.43(g)(4)
                                    agency.               agency.
                                                         Tribal title IV-E
                                                          agency..
                                                         Indian Tribe or
                                                          Tribal agency (non-
                                                          IV-E)..
                                                         Juvenile justice
                                                          agency..
                                                         Mental health
                                                          agency..
                                                         Other public
                                                          agency..
                                                         Private agency.....
Exit to adoption and guardianship  Marital status of     Married couple.....  1355.43(h)(1)
 information.                       the adoptive         Unmarried couple...
                                    parent(s) or         Single female......
                                    guardian(s).         Single male........
                                   Child's relationship
                                    to the adoptive
                                    parent(s) or
                                    guardian(s):
                                      --Paternal         Applies............  1355.43(h)(2)(i)
                                       grandparent(s).   Does not apply.....
                                      --Maternal         Applies............  1355.43(h)(2)(ii)
                                       grandparent(s).   Does not apply.....
                                      --Other paternal   Applies............  1355.43(h)(2)(iii)
                                       relative(s).      Does not apply.....
                                      --Other maternal   Applies............  1355.43(h)(2)(iv)
                                       relative(s).      Does not apply.....
                                      --Sibling(s).....  Applies............  1355.43(h)(2)(v)
                                                         Does not apply.....
                                      --Kin............  Applies............  1355.43(h)(2)(vi)
                                                         Does not apply.....
                                      --Non-relative(s)  Applies............  1355.43(h)(2)(vii)
                                                         Does not apply.....
                                      --Foster           Applies............  1355.43(h)(2)(viii)
                                       parent(s).        Does not apply.....
                                   Date of birth of      Date...............  1355.43(h)(3).
                                    first adoptive
                                    parent or guardian.
                                   Race of first
                                    adoptive parent or
                                    guardian:
                                      --Race--American   Yes................  1355.43(h)(4)(i)
                                       Indian or Alaska  No.................
                                       Native.
                                      --Race--Asian....  Yes................  1355.43(h)(4)(ii)
                                                         No.................
                                      --Race--Black or   Yes................  1355.43(h)(4)(iii)
                                       African American. No.................
                                      --Race--Native     Yes................  1355.43(h)(4)(iv)
                                       Hawaiian or       No.................
                                       Other Pacific
                                       Islander.
                                      --Race--White....  Yes................  1355.43(h)(4)(v)
                                                         No.................
                                      --Race--Unknown..  Yes................  1355.43(h)(4)(vi)
                                                         No.................
                                      --Race--Declined.  Yes................  1355.43(h)(4)(vii)
                                                         No.................
                                   Hispanic or Latino    Yes................  1355.43(h)(5)
                                    ethnicity of first   No.................
                                    adoptive parent or   Unknown............
                                    guardian.            Declined...........
                                   Date of birth of      Date...............  1355.43(h)(6)
                                    second adoptive
                                    parent, guardian,
                                    or other member of
                                    the couple.
                                   Race of second
                                    adoptive parent,
                                    guardian, or other
                                    member of the
                                    couple:
                                      --Race--American   Yes................  1355.43(h)(7)(i)
                                       Indian or Alaska  No.................
                                       Native.
                                      --Race--Asian....  Yes................  1355.43(h)(7)(ii)
                                                         No.................
                                      --Race--Black or   Yes................  1355.43(h)(7)(iii)
                                       African American. No.................

[[Page 7201]]

 
                                      --Race--Native     Yes................  1355.43(h)(7)(iv)
                                       Hawaiian or       No.................
                                       Other Pacific
                                       Islander.
                                      --Race--White....  Yes................  1355.43(h)(7)(v)
                                                         No.................
                                      --Race--Unknown..  Yes................  1355.43(h)(7)(vi)
                                                         No.................
                                      --Race--Declined.  Yes................  1355.43(h)(7)(vii)
                                                         No.................
                                   Hispanic or Latino    Yes................  1355.43(h)(8)
                                    ethnicity of second  No.................
                                    adoptive parent,     Unknown............
                                    guardian, or other   Declined...........
                                    member of the
                                    couple.
                                   Inter/                Interjurisdictional  1355.43(h)(9)
                                    Intrajurisdictional   adoption or
                                    adoption or           guardianship..
                                    guardianship.        Intercountry
                                                          adoption or
                                                          guardianship..
                                                         Intrajurisdictional
                                                          adoption or
                                                          guardianship..
                                   Interjurisdictional   Name...............  1355.43(h)(10)
                                    adoption or
                                    guardianship
                                    jurisdiction.
                                   Adoption or           Title IV-E agency..  1355.43(h)(11)
                                    guardianship         Private agency
                                    placing agency.       under agreement..
                                                         Indian Tribe under
                                                          contract/
                                                          agreement..
----------------------------------------------------------------------------------------------------------------


                 Attachment B--Proposed Adoption and Guardianship Assistance Data File Elements
                                               [* Title IV-E Only]
----------------------------------------------------------------------------------------------------------------
            Category                    Element          Response options             Section citation
----------------------------------------------------------------------------------------------------------------
General information.............  Title IV-E agency..  Name...............  1355.44(a)(1)
                                  Report Date........  Date...............  1355.44(a)(2)
                                  Child Record Number  Number.............  1355.44(a)(3)
Child Demographics..............  Child's date of      Date...............  1355.44(b)(1)(i)
                                   birth.
                                  Child born in the    Yes................  1355.44(b)(1)(ii)
                                   United States.      No.................
                                  Child's sex........  Male...............  1355.44(b)(2)
                                                       Female.............
                                  Child's race:
                                     --Race--American  Yes................  1355.44(b)(3)(i)
                                      Indian or        No.................
                                      Alaska Native.
                                     --Race--Asian...  Yes................  1355.44(b)(3)(ii)
                                                       No.................
                                     --Race--Black or  Yes................  1355.44(b)(3)(iii)
                                      African          No.................
                                      American.
                                     --Race--Native    Yes................  1355.44(b)(3)(iv)
                                      Hawaiian or      No.................
                                      other Pacific
                                      Islander.
                                     --Race--White...  Yes................  1355.44(b)(3)(v)
                                                       No.................
                                     --Race--Unknown.  Yes................  1355.44(b)(3)(vi)
                                                       No.................
                                     --Race--Abandone  Yes................  1355.44(b)(3)(vii)
                                      d.               No.................
                                     --Race--Declined  Yes................  1355.44(b)(3)(viii)
                                                       No.................
                                  Hispanic or Latino   Yes................  1355.44(b)(4)
                                   Ethnicity.
                                                       No.
                                                       Unknown.
                                                       Abandoned.
                                                       Declined.
Adoption and guardianship         Assistance           Title IV-E adoption  1355.44(c)(1)
 assistance arrangement and        agreement type.      assistance
 agreement information.                                 agreement.
                                                       Title IV-E
                                                        guardianship
                                                        assistance
                                                        agreement.
                                  Adoption or          Dollar amount......  1355.44(c)(2)
                                   guardianship
                                   subsidy amount.
                                  Nonrecurring         Costs paid.........  1355.44(c)(3)
                                   adoption or         No costs paid......
                                   guardianship costs.
                                  Nonrecurring         Dollar amount......  1355.44(c)(4)
                                   adoption or
                                   guardianship cost
                                   amount.
                                  Adoption or          Date...............  1355.44(c)(5)
                                   guardianship
                                   finalization date.

[[Page 7202]]

 
                                  Adoption or          Title IV-E agency..  1355.44(c)(6)
                                   guardianship        Private agency
                                   placing agency.      under a contract/
                                                        agreement..
                                                       Indian Tribe.......
                                                       Private agency.....
                                  Inter/               Interjurisdictional  1355.44(c)(7)
                                   intrajurisdictiona   adoption or
                                   l adoption or        guardianship..
                                   guardianship.       Intrajurisdictional
                                                        adoption or
                                                        guardianship.
                                  Interjurisdictional  Name...............  1355.44(c)(8)
                                   adoption or
                                   guardianship
                                   jurisdiction.
                                  Number of siblings.  Number.............  1355.44(c)(9)
                                                       Not applicable.....
                                  Siblings in out-of-  Child record         1355.44(c)(10)
                                   home care.           number(s).
                                  Siblings in          Child record         1355.44(c)(11)
                                   adoption/            number(s).
                                   guardianship.
                                  Agreement            Date...............  1355.44(c)(12)
                                   termination date.
----------------------------------------------------------------------------------------------------------------

VI. Regulatory Impact Analysis

    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 
proposed 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 regarding children in foster care and those that are 
adopted and support other statutory obligations to provide oversight of 
child welfare programs. Moreover, we 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.
    We have determined that the costs to title IV-E agencies as a 
result of this rule will not be significant. At least half of the costs 
that States and Tribes will incur as a result of the revisions to 
AFCARS will be eligible for Federal financial participation. Depending 
on the cost category and each agency's approved plans for title IV-E 
and cost allocation, they may claim allowable costs as Automated Child 
Welfare Information System costs at the 50 percent rate, administrative 
costs for the proper and efficient administration of the title IV-E 
plan at the 50 percent rate, or training of agency staff at the 75 
percent rate. We estimate that costs will be approximately $24 million 
annually for AFCARS for the first five years of implementation, half of 
which ($12 million) we estimate will be reimbursed by the Federal 
government as allowable costs under title IV-E. Additional costs to the 
Federal government to design a system to collect the new AFCARS data 
are expected to be minimal.
    Alternatives Considered: We considered whether alternative 
approaches could better meet ACF, State, and Tribal needs, but decided 
that our current approach, as proposed, best meets these needs. First, 
we considered whether other existing data sets could yield similar 
information. We determined that AFCARS is the only comprehensive case-
level data set on the incidence and experiences of children who are in 
foster care and/or achieve adoption or guardianship with the 
involvement of the State or Tribal title IV-E agency. Further, we are 
required by section 479 of the Act to establish and maintain such a 
data system, so other data sources could not meet our statutory 
mandate.
    We also considered whether we should permit title IV-E agencies to 
sample and report information on a representative population of 
children. We remain concerned, however, that there may be several 
significant limitations associated with using a sampling approach for 
collecting data on children who are in foster care, adoption and 
guardianship programs. If, under a sampling approach, ACF would be 
unable to collect reliable sample data for the title IV-E foster care 
eligibility reviews and the current CFSRs or respond to other 
initiatives such as the Annual Outcomes Report to Congress and Adoption 
Incentives using sampling data, the use of AFCARS data would be 
limited. Second, when using a sample, small population subgroups (e.g., 
children who spend very long periods in foster care or children who get 
adopted or run away) might occur so rarely in the data that such that 
analysis on these subgroups would not be meaningful.

VII. 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 proposed rule does not affect small entities because it 
is applicable only to State and Tribal title IV-E agencies.

VIII. 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). That 
threshold level is currently approximately $146 million. This proposed 
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.

IX. Paperwork Reduction Act

    Under the Paperwork Reduction Act (44 U.S.C. ch. 35, as amended) 
(PRA), all Departments are required to submit to OMB for review and 
approval any reporting or recordkeeping requirements inherent in a 
proposed or final rule. This proposed rule contains information 
collection requirements in sections 1355.43, the out-of-home care data 
file and 1355.44, the adoption and guardianship assistance data file, 
that the Department has submitted to OMB for its review. In addition, 
the NPRM proposes to validate whether the title IV-E agency complies 
with the AFCARS data file and data quality standards

[[Page 7203]]

established in section 1355.45 by checking for errors in logic that 
mean that the data could not be accurate. However, these error checks 
are not information collection requirements themselves as they do not 
require the agency to produce, maintain or submit information to ACF, 
and so are not a part of the burden calculations. Rather, the error 
checks will be performed by ACF on each title IV-E agency's out-of-home 
care and adoption and guardianship assistance data files to validate 
that they are providing the data as specified in the data file 
requirements in section 1355.43. The error checks are not appended to 
this regulation as they are rather technical aspects of data reporting 
that cannot be completed until ACF issues a final rule that contains 
the required data elements.
    Collection of information for AFCARS is currently authorized under 
OMB number 0970-0422; however, this NPRM significantly changes the 
collection requirements by adding longitudinal data requirements and 
additional data elements in the out-of-home care and adoption and 
guardianship assistance data files. We estimate that annual burden 
hours will increase to 568,749 from the currently approved 432,720 
hours as a result of the proposed provisions in this NPRM and the 
inclusion of Tribal title IV-E agencies per section 479B of the Act.
    The Department requires this collection of information to address 
the data collection requirements of section 479 of the Act. 
Specifically, the law requires the Department to develop a data 
collection system that can provide comprehensive national information 
on the demographic characteristics of adopted and foster children and 
their biological, foster or adoptive parents; the status of the foster 
care population; the number and characteristics of children placed in 
or discharged from foster care; children adopted or who have 
experienced adoption dissolution, and children who are placed in foster 
care outside of the State or Tribal service area which has placement 
and care responsibility and the extent and nature of assistance 
provided by government adoption and foster care programs and the 
characteristics of the children to whom such assistance is provided. 
Further, this information is critical to our efforts to: Assess a title 
IV-E agency's compliance with titles IV-B and IV-E of the Act and the 
current CFSRs (45 CFR 1355.31 through 1355.37), conduct title IV-E 
eligibility reviews (45 CFR 1356.71), implement the Adoption Incentive 
and Legal Guardianship Payments program at section 473A of the Act and 
for other program purposes previously outlined.
    The following are estimates:

----------------------------------------------------------------------------------------------------------------
                                                                     Number of        Average
                   Collection                        Number of     responses per    burden per     Total burden
                                                    respondents     respondent       response          hours
----------------------------------------------------------------------------------------------------------------
1355.43 Out-of-home care data file..............              67               2        3,591.15         481,214
1355.44 Adoption and guardianship assistance                  67               2          653.25          87,535
 data file......................................
                                                 ---------------------------------------------------------------
    Total.......................................  ..............  ..............  ..............         568,749
----------------------------------------------------------------------------------------------------------------

    We arrived at these estimates after taking into consideration the 
existing and anticipated foster care, adoption, and guardianship 
assistance populations; factoring in the increase of burden in 
accordance with this proposed rule and efficiencies in reporting and 
the anticipated amount of worker and information system staff time to 
collect and report the information.
    PRA rules require that we estimate the total burden created by this 
NPRM regardless of what information is already available. Thus, these 
burden hours are higher than currently authorized by OMB, and may be an 
overestimate since we are unable to account for information title IV-E 
agencies currently collect for their own purposes, but ACF proposes to 
collect for the first time under this NPRM. Below we describe in detail 
how we arrived at the estimated burden.

Out-of-Home Care Data File Burden Estimate

    1. Our first step in estimating the burden was to estimate the out-
of-home care reporting population at the approximate time of 
implementation. We used information from FY 2012 AFCARS data (the most 
recent final data available) and applied the following assumptions:
     We assume that the proportion of children in title IV-E 
agencies with a State Automated Child Welfare Information System 
(SACWIS) versus non-SACWIS agencies will remain constant at roughly 85/
15.
     We assume that the number of children entering the out-of-
home care reporting population annually will rise slightly, given that 
the proposed out-of-home care reporting population now requires a title 
IV-E agency to continue reporting a child to AFCARS once he or she has 
entered foster care, regardless of subsequent living arrangements, and 
includes children whose whereabouts are unknown at the time the child 
was placed in the placement and care responsibility of the title IV-E 
agency. We believe this new out-of-home care reporting population will 
account for a minor increase in the number of children in the out-of-
home care reporting population.
     We assume that the number of children who exit the out-of-
home care reporting population annually will remain about the same as 
it is currently.
     We assume that children under the placement and care 
responsibility of a Tribal title IV-E agency will not represent a 
significant net increase in the number of children in the out-of-home 
care reporting population.
    Based on AFCARS data from FY 2012, 397,122 children were in foster 
care on September 30, 2012. Therefore, we estimate the following annual 
caseload figures: 337,554 children served in SACWIS title IV-E agencies 
and 59,586 in non-SACWIS title IV-E agencies; 216,140 children with new 
entries into foster care in SACWIS title IV-E agencies, and 38,142 in 
non-SACWIS title IV-E agencies; 240,923 children will exit foster care, 
approximately 51,225 of whom will exit to adoption and 16,418 will exit 
to guardianship. We do not expect any of the Tribal title IV-E agencies 
to have Tribal versions of SACWIS (TACWIS) for several years and we do 
not expect the inclusion of Tribal title IV-E agencies will result in a 
significant net increase in the numbers of children in the out-of-home 
care reporting population.
    2. Our second step in estimating the burden was to estimate the 
number of recordkeeping hours that workers will spend on meeting AFCARS 
requirements. We used information from our existing AFCARS collection 
approved by OMB as a foundation which includes the following 
assumptions:

[[Page 7204]]

     Recordkeeping will require more time in a non-SACWIS title 
IV-E agency than it does for a SACWIS one.
     Entering the applicable out-of-home care data elements for 
a child newly entering the out-of-home care reporting population will 
take approximately one hour for SACWIS agencies and 1.5 hours for non-
SACWIS agencies.
     Updating the child's out-of-home care record on average 
will take 0.35 hours for SACWIS agencies and 0.50 hours for non-SACWIS 
ones annually.
     Workers will take approximately 0.10 hour to enter exit 
data for non-adoption/guardianship cases and an additional 30 minutes 
(0.60 hours total) for children exiting through adoption and 
guardianship.
     Recordkeeping may require slightly more time in a Tribal 
IV-E agency due to staff being unfamiliar with the procedures.
    We multiplied the time spent on the various recordkeeping 
activities as outlined in this step by the number of children in foster 
care described above in step 1, and arrived at a total of 479,204 
recordkeeping hours for all children in the out-of-home care reporting 
population annually.
    3. Our third step in estimating the burden was to estimate the time 
spent on actually reporting the information (e.g., submitting the out-
of-home care data file). We used the following assumptions to develop 
the reporting hours estimate:
     We anticipate that title IV-E agencies will be using a 
technology such as XML to transmit the data and will need time to 
become familiar with and efficient in reporting their data in the first 
years of implementing the new procedures. This will increase the amount 
of time spent reporting.
     The proposed out-of-home care data file is comprised of 
many data elements that are currently in the existing foster care and 
adoption data files, but also additional data elements not currently in 
either existing data file. To accommodate the increased number of data 
elements (from both the current foster care and adoption data files) in 
the proposed out-of-home care data file, we anticipate that our 
estimate should be higher than the sum of the existing OMB-approved 
reporting burden hours of eight hours for the foster care data file and 
four hours for the adoption data file.
    We estimate that the proposed changes to the out-of-home care data 
file will increase the reporting burden; e.g., time spent submitting 
the file, by approximately 25 percent or by 3 hours, for a total of 15 
hours. We then multiplied by 67 title IV-E agencies and two report 
periods with the 15 reporting burden hours, which results in an annual 
reporting burden of 2,010 hours. The 67 title IV-E agencies are 52 
State title IV-E agencies plus the approximately 15 Tribal title IV-E 
agencies we have estimated will operate title IV-E programs over time 
pursuant to section 479B of the Act.
    4. Finally, we calculated the total annual burden hours for the 
out-of-home care data file as 481,214 hours (479,204 total annual 
recordkeeping burden + 2,010 annual reporting burden = 481,214.)
    Dividing this national and annual figure by the 67 title IV-E 
agencies and two semi-annual report periods, we arrive at approximately 
3,591.15 burden hours per respondent per 6 month report period for the 
out-of-home care data file. ((481,214 / 67 title IV-E agencies) / 2 
report periods = 3,591.15 burden hours per respondent per 6 month 
report period.)

Adoption and Guardianship Assistance File Burden Estimate

    1. We first estimated the annual burden associated with the title 
IV-E adoption assistance data elements.
     Data from the Title IV-E Programs Quarterly Financial 
Report, CB-496, for FY 2013 indicate 417,530 children receiving title 
IV-E adoption assistance. As a result of the changes in title IV-E 
adoption assistance eligibility included in section 473(e) of the Act, 
as amended by Pub. L. 110-351, we expect the percentage of children 
eligible for title IV-E adoption assistance will increase until FY 2018 
when virtually all will be title IV-E eligible.
     We expect workers to spend 0.2 hours annually recording 
data in accordance with this NPRM on each child under a title IV-E 
adoption assistance agreement. Most information collected in the 
adoption and guardianship assistance data file is basic demographics 
and is static or can be easily found on the child's title IV-E 
assistance agreement. Most title IV-E adoption assistance agreements 
are updated or changed on an annual or biennial basis, unless the 
family circumstances change, requiring small amounts of recordkeeping.
     We calculate recordkeeping for title IV-E adoption 
assistance information to take approximately 83,506 hours (0.2 hours x 
417,530 children).
    2. We then estimated the annual burden associated with the title 
IV-E guardianship assistance data elements.
     The title IV-E guardianship assistance program is an 
optional program that any title IV-E agency may choose to make 
available at any point. For FY 2013, there were 12,537 children 
receiving title IV-E guardianship assistance payments with 26 title IV-
E agencies reporting (CB-496). We project that the numbers of children 
receiving title IV-E guardianship assistance payments will continue to 
increase as more title IV-E agencies opt to provide title IV-E 
guardianship assistance payments.
     Most information collected in the adoption and 
guardianship assistance data file is basic demographics and is static 
or can be easily found on the child's title IV-E assistance agreement. 
Further, most title IV-E guardianship assistance agreements are updated 
or changed on an annual or biannual basis, unless family circumstances 
change, requiring small amounts of recordkeeping. However, title IV-E 
agencies will differ in their experience with collecting data on 
children under title IV-E guardianship assistance agreements and some 
may need more time to gather the necessary information. For that 
reason, we are increasing our estimate for this recordkeeping over the 
estimate for the title IV-E adoption assistance data elements to 
approximately 0.3 hours annually.
     We calculate recordkeeping for the title IV-E guardianship 
assistance information to take approximately 3,761 burden hours (0.3 
hours x 12,537 children). As is the case with all estimates in this 
section, we welcome comments on these assumptions and estimates.
    3. In addition, we estimate that burden associated with actually 
reporting the adoption and guardianship assistance data file to ACF 
will take each title IV-E agency 2 hours each report period to complete 
the work necessary to submit the file. We then multiplied 67 title IV-E 
agencies and two report periods with the 2 reporting burden hours, 
which results in an annual reporting burden of 268 hours. (67 title IV-
E agencies x 2 report periods x 2 burden hours = 268 total reporting 
burden hours annually.)
    4. Finally, we calculated the total annual burden hours for the 
adoption and guardianship assistance data file as 87,267 hours by 
combining the total recordkeeping (83,506 + 3,761 = 87,267) and the 
reporting burden hours (268). (87,267 + 268 = 87,535 total annual 
burden hours.) Dividing this national total by the 67 title IV-E 
agencies and two 6 month report periods we arrive at approximately 
653.25 burden hours per respondent per 6 month report period. ((87,535 
/ 67 title IV-E agencies) / 2 report periods = 653.25 burden hours

[[Page 7205]]

per respondent per 6 month report period.)
    We have used the total cost and total burden hour estimates to 
provide additional detail on projected average cost for each State and 
Tribal title IV-E agency implementing the changes described in this 
NPRM. Our estimates are as follows:

----------------------------------------------------------------------------------------------------------------
 
----------------------------------------------------------------------------------------------------------------
Total reporting burden........................  568,749 hours.
Total cost....................................  $17,062,470 (50% reimbursable).
Average hourly labor rate.....................  $30.
Number of respondents.........................  67.
Net average cost per respondent...............  $127,332.
----------------------------------------------------------------------------------------------------------------

    In making the above estimates, we want to acknowledge: (1) We have 
used average figures for title IV-E agencies of very different sizes 
and (2) these are rough estimates of the burden on Tribal title IV-E 
agencies because they have not operated AFCARS previously and we have 
limited information to use in making these estimates. We welcome 
comments on these factors and all others in this section.
    ACF will consider comments by the public on this proposed 
collection of information in the following areas:
    1. Evaluating whether the proposed collection is necessary for the 
proper performance of the functions of ACF, including whether the 
information will have practical utility;
    2. Evaluating the accuracy of ACF's estimate of the proposed 
collection of information, including the validity of the methodology 
and assumptions used;
    3. Enhancing the quality, usefulness, and clarity of the 
information to be collected; and
    4. Minimizing the burden of the collection of information on those 
who are to respond, including through the use of appropriate automated, 
electronic, mechanical, or other technology, e.g., permitting 
electronic submission of responses.
    OMB is required to make a decision concerning the collection of 
information contained in these proposed regulations between 30 and 60 
days after publication of this document in the Federal Register. 
Therefore, a comment is best assured of having its full effect if OMB 
receives it within 30 days of publication. This does not affect the 
deadline for the public to comment to the Department on the proposed 
regulations. Written comments to OMB for the proposed information 
collection should be sent directly to the following: Office of 
Management and Budget, either by fax to 202-395-6974 or by email to 
[email protected]. Please mark faxes and emails to the 
attention of the desk officer for ACF.

X. Congressional Review

    This regulation is not a major rule as defined in 5 U.S.C. Chapter 
8.

XI. Assessment of Federal Regulations on Policies and Families

    Section 654 of the Treasury and General Government Appropriations 
Act of 2000 (Pub. L. 106-58) 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 proposed regulations will not have an impact on family well-being 
as defined in the law.

XII. 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 proposed rule.

XIII. Tribal Consultation Statement

    ACF published a Federal Register notice on July 23, 2010 (75 FR 
43187) requesting public comment and notifying the public of 
opportunities to meet with ACF to provide comments in person or in 
writing to inform development of a new NPRM on AFCARS. ACF conducted 
four in-person consultation sessions in the ACF Regions, two webinars 
and two sessions at a national conference held in Washington, DC that 
were attended by States and Tribes. We received comments from Tribal 
commenters, many of which either recommended collection of information 
outside the scope of AFCARS or voiced concerns relating to the 
implementation of AFCARS in Tribal title IV-E agencies. Specifically, 
several commenters expressed the desire that any requirement to 
participate in AFCARS be delayed for Tribal title IV-E agencies, the 
concern over duplication of data when Tribal cases are transferred from 
the State title IV-E agency to the Tribal title IV-E agency, and 
concern over the cost implications of requiring both additional data 
elements and a data collection system for Tribal title IV-E agencies. 
Some Tribal commenters requested that ACF include additional data 
elements in AFCARS that would track information gleaned about a child's 
needs from caseworker visits. We believe that this is addressed by a 
number of data elements in our proposal aimed at enhancing the 
information we receive about a child's needs and caseworker visits 
(e.g., Health, behavioral or mental health conditions of the child in 
section 1355.43(b)(7) and special education in section 1355.43(b)(11), 
circumstances of removal in section 1355.43(d)(5), and caseworker 
visits in section 1355.43(f), among others). Another Tribal commenter 
requested other additional data elements to provide a comprehensive 
picture of the well-being of Tribal children including: Elements to 
identify whether a child is a member of an Indian Tribe and the name of 
the Indian Tribe of which the child is a member, data on Tribal 
notification, data on whether a Tribal title IV-E agency intervened in 
a State title IV-E agency case, cultural activities that the child is 
participating in while away from his or her parents, judicial findings 
of active efforts, and preferential treatment for Tribal placement 
resources. Finally, one Tribal commenter thought child welfare services 
provided in a detention setting should be reported to AFCARS regardless 
of where the child was placed. All comments and concerns submitted by 
Tribal commenters were considered in the development of this NPRM.
    Several Indian Tribes responded with suggestions for including 
additional data elements in AFCARS specifically on the Indian Child 
Welfare Act of 1978 (ICWA), Pub. L. 95-608, and its impact on Tribal 
children. ICWA was passed in response to concerns about the large 
number of Indian children who were being removed from their families 
and Indian Tribes and the failure of States to recognize the culture 
and Tribal relations of Indian people. However, ICWA is outside ACF's 
purview,

[[Page 7206]]

therefore we do not have the authority to collect specific data on ICWA 
implementation and compliance, instruct States and Indian Tribes on how 
to meet its requirements, or provide additional guidance. Therefore, we 
are not able to make these changes or additions to the AFCARS data 
elements in the proposed rule as requested by commenters. We are 
committed to working with Tribal title IV-E agencies to address 
implementation issues that arise under title IV-E programs and 
providing technical assistance to help them implement AFCARS.
    Generally, there is support from the Tribal commenters to issue 
this regulation, even in the face of building an information system. We 
value the comments we have received from Tribal representatives and 
believe that the comments will enhance the new AFCARS requirements for 
Tribal title IV-E agencies, as well as State title IV-E agencies. 
Throughout this NPRM we have outlined our need to issue new 
requirements for AFCARS so that we can support longitudinal data and 
additional data elements that will drastically increase our tracking 
and knowledge of children who enter foster care and who exit to 
adoption or legal guardianship. We believe that our proposal to enhance 
AFCARS will expand and enrich our knowledge about children who are in 
the placement and care responsibility of Tribal title IV-E agencies, 
which is a benefit to not only Indian Tribes but also State and Federal 
governments that oversee child welfare programs.

List of Subjects in 45 CFR Part 1355

    Adoption and foster care, Child welfare, Grant programs--social 
programs.

(Catalog of Federal Domestic Assistance Program Number 93.658, 
Foster Care Maintenance; 93.659, Adoption Assistance; 93.645, Child 
Welfare Services--State Grants).

    Dated: January 12, 2015.
Mark H. Greenberg,
Acting Assistant Secretary for Children and Families.
    Approved: January 27, 2015.
Sylvia M. Burwell,
Secretary.

    For the reasons set forth in the preamble, we propose to amend 45 
CFR part 1355 as follows:

PART 1355--GENERAL

0
1. The authority citation for part 1355 continues to read as follows:

    Authority: 45 U.S.C. 620 et seq. 42 U.S.C. 670 et seq., 42 
U.S.C. 1302.

0
2. Revise Sec.  1355.40 to read as follows:


Sec.  1355.40  Scope of the Adoption and Foster Care Analysis and 
Reporting System.

    (a) This section applies to State and Tribal title IV-E agencies.
    (b) An agency described in paragraph (a) of this section must 
collect information on the characteristics and experiences of a child 
in the reporting populations described in Sec.  1355.41. The title IV-E 
agency must submit the information collected to ACF on a semi-annual 
basis in an out-of-home care data file and adoption and guardianship 
assistance data file as required in Sec.  1355.42, pertaining to 
information described in Sec. Sec.  1355.43 and 1355.44.
0
3. Add Sec. Sec.  1355.41 through 1355.46 to read as follows:


Sec.  1355.41  Reporting populations.

    (a) Out-of-home care reporting population. (1) A title IV-E agency 
must report a child of any age who is in out-of-home care. The out-of-
home care reporting population includes a child in the following 
situations:
    (i) A child in foster care as defined in Sec.  1355.20.
    (ii) A child under the placement and care responsibility of another 
public agency that has an agreement with the title IV-E agency pursuant 
to section 472(a)(2)(B) of the Act, or an Indian Tribe, Tribal 
organization or consortium with which the title IV-E agency has an 
agreement or contract and on whose behalf title IV-E foster care 
maintenance payments are made.
    (iii) A child who runs away or whose whereabouts are unknown at the 
time the child is placed under the placement and care responsibility of 
the title IV-E agency.
    (2) Once a child enters the out-of-home care reporting population, 
the child remains in the out-of-home care reporting population through 
the end of the report period in which the title IV-E agency's placement 
and care responsibility ends, regardless of any subsequent living 
arrangement.
    (3) For AFCARS purposes, an out-of-home care episode is defined as 
the period between when a child enters the out-of-home care reporting 
population, as described in paragraph (a)(1) of this section, and when 
the title IV-E agency's placement and care responsibility ends.
    (b) Adoption and guardianship assistance reporting population. (1) 
The title IV-E agency must include in the adoption and guardianship 
assistance reporting population any child who is:
    (i) In a finalized adoption under a title IV-E adoption assistance 
agreement pursuant to section 473(a) of the Act with the reporting 
title IV-E agency that is or was in effect at some point during the 
current report period; or
    (ii) In a legal guardianship under a title IV-E guardianship 
assistance agreement pursuant to section 473(d) of the Act with the 
reporting title IV-E agency that is or was in effect at some point 
during the current report period.
    (2) A child remains in the adoption or guardianship assistance 
reporting population through the end of the report period in which the 
title IV-E agreement ends or is terminated.


Sec.  1355.42  Data reporting requirements.

    (a) Report periods and deadlines. There are two six-month report 
periods based on the Federal fiscal year: October 1 to March 31 and 
April 1 to September 30. The title IV-E agency must submit the out-of-
home care and adoption and guardianship assistance data files to ACF 
within 30 days of the end of the report period (i.e., by April 30 and 
October 30). If the reporting deadline falls on a weekend, the title 
IV-E agency has through the end of the following Monday to submit the 
data file.
    (b) Out-of-home care data file. A title IV-E agency must report the 
information required in Sec.  1355.43 pertaining to each child in the 
out-of-home care reporting population, in accordance with the 
following:
    (1) The title IV-E agency must report the most recent information 
for the applicable data elements in Sec.  1355.43(a) and (b).
    (2) Except as provided in paragraph (b)(3) of this section, the 
title IV-E agency must report the most recent information and all 
historical information for the applicable data elements described in 
Sec.  1355.43(c), (d), (e), (f), (g) and (h).
    (3) For a child who had an out-of-home care episode(s) as defined 
in Sec.  1355.41(a) prior to the effective date of this section, the 
title IV-E agency must report the information for the data elements 
described in Sec.  1355.43(d)(1), (g)(1) and (g)(3) for the out-of-home 
care episode(s) that occurred prior to the effective date of the final 
rule.
    (c) Adoption and guardianship assistance data file. A title IV-E 
agency must report the most recent information for the applicable data 
elements in Sec.  1355.44 that pertains to each child in the adoption 
and guardianship assistance reporting population on the last day of the 
report period.
    (d) Reporting missing information. If the title IV-E agency fails 
to collect the information for a data element, the title

[[Page 7207]]

IV-E agency must report the element as blank or otherwise missing. The 
title IV-E agency is not permitted to default or map information that 
was not collected and is missing to a valid response option.
    (e) Electronic submission. The title IV-E agency must submit the 
required data files electronically according to ACF's specifications.
    (f) Record retention. The title IV-E agency must retain all records 
necessary to comply with the data requirements in Sec. Sec.  1355.42 
through 1355.44. The title IV-E agency's retention of such records is 
not limited to the requirements of 45 CFR 92.42(b) and (c).


Sec.  1355.43  Out-of-home care data file elements.

    (a) General information. (1) Title IV-E agency. Indicate the name 
of the title IV-E agency responsible for submitting the AFCARS data to 
ACF.
    (2) Report date. The report date corresponds with the end of the 
report period. Indicate the last month and the year of the report 
period.
    (3) Local agency. Indicate the name of the local county, 
jurisdiction or equivalent unit that has primary responsibility for the 
child.
    (4) Child record number. Indicate the child's record number. This 
is an encrypted, unique person identification number that is the same 
for the child, no matter where the child lives while in the placement 
and care responsibility of the title IV-E agency in out-of-home care 
and across all report periods and episodes. The title IV-E agency must 
apply and retain the same encryption routine or method for the person 
identification number across all report periods. The record number must 
be encrypted in accordance with ACF standards.
    (b) Child information. (1)(i) Child's date of birth. Indicate the 
month, day and year of the child's birth. If the actual date of birth 
is unknown because the child has been abandoned, provide an estimated 
date of birth. Abandoned means that the child was left alone or with 
others and the identity of the parent(s) or legal guardian(s) is 
unknown and cannot be ascertained. This includes a child left at a 
``safe haven.'' A date of birth that results in a child age of 22 years 
or more is an invalid response.
    (ii) Child born in the United States. Indicate whether the child 
was born in the United States. If the child was born in the United 
States, indicate ``yes.'' If the child was born in a country other than 
the United States, indicate ``no.''
    (2) Child's sex. Indicate whether the child is ``male'' or 
``female,'' as appropriate.
    (3) Child's race. In general, a child's race is determined by the 
child, the child's parent(s) or legal guardian(s). Indicate whether 
each race category listed in the data elements described in paragraphs 
(b)(3)(i) through (b)(3)(viii) of this section applies with a ``yes'' 
or ``no.''
    (i) Race--American Indian or Alaska Native. An American Indian or 
Alaska Native child has origins in any of the original peoples of North 
or South America (including Central America), and maintains Tribal 
affiliation or community attachment.
    (ii) Race--Asian. An Asian child 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.
    (iii) Race--Black or African American. A Black or African American 
child has origins in any of the black racial groups of Africa.
    (iv) Race--Native Hawaiian or Other Pacific Islander. A Native 
Hawaiian or Other Pacific Islander child has origins in any of the 
original peoples of Hawaii, Guam, Samoa or other Pacific Islands.
    (v) Race--White. A white child has origins in any of the original 
peoples of Europe, the Middle East or North Africa.
    (vi) Race--unknown. The child or parent or legal guardian does not 
know or is unable to communicate the race, or at least one race of the 
child.
    (vii) Race--abandoned. The child's race is unknown because the 
child has been abandoned. Abandoned means that the child was left alone 
or with others and the identity of the parent(s) or legal guardian(s) 
is unknown and cannot be ascertained. This includes a child left at a 
``safe haven.''
    (viii) Race--declined. The child or parent(s) or legal guardian(s) 
has declined to identify a race.
    (4) Child's Hispanic or Latino ethnicity. In general, a child's 
ethnicity is determined by the child or the child's parent(s) or legal 
guardian(s). A child is of Hispanic or Latino ethnicity if the child is 
a person of Cuban, Mexican, Puerto Rican, South or Central American or 
other Spanish culture or origin, regardless of race. Indicate whether 
this category applies with a ``yes'' or ``no.'' If the child or the 
child's parent(s) or legal guardian(s) does not know or is unable to 
communicate whether the child is of Hispanic or Latino ethnicity, 
indicate ``unknown.'' If the child is abandoned indicate ``abandoned.'' 
Abandoned means that the child was left alone or with others and the 
identity of the parent(s) or legal guardian(s) is unknown and cannot be 
ascertained. This includes a child left at a ``safe haven.'' If the 
child or the child's parent(s) or legal guardian(s) refuses to identify 
the child's ethnicity, indicate ``declined.''
    (5) Date of health assessment. Indicate the month, day, and year of 
the child's most recent health assessment. This assessment could 
include an initial health screening, or any follow-up health screening 
that the title IV-E agency has scheduled for a child in a foster care 
placement, as required by section 422(b)(15)(A) of the Act. If the 
child has not received a health assessment, the title IV-E agency must 
leave this paragraph blank.
    (6) Timely health assessment. Indicate whether the child has been 
receiving health assessments within the timeframes for initial and 
follow-up health screenings established by the title IV-E agency, as 
required by section 422(b)(15)(A) of the Act. Indicate ``yes'' if the 
child has received all initial or follow-up health assessments before 
or on the due date(s) for such assessments as of the end of the report 
period. Indicate ``no'' if the child is currently not meeting the 
timeline for health assessments established by the title IV-E agency. 
If a child has not received a health assessment during the report 
period, the title IV-E agency must leave this paragraph blank.
    (7) Health, behavioral or mental health conditions. Indicate 
whether the child was diagnosed by a qualified professional, as defined 
by the State or Tribe, as having a health, behavioral or mental health 
condition listed below, prior to or during the child's current out-of-
home care episode as of the last day of the report period. Indicate 
``child has a diagnosed condition'' if a qualified professional has 
made such a diagnosis and for each element described in paragraphs 
(b)(7)(i) through (xii) of this section indicate ``existing 
condition,'' ``previous condition'' or ``does not apply,'' as 
applicable. Indicate ``no exam or assessment conducted'' if a qualified 
professional has not conducted a medical exam or assessment of the 
child. Indicate ``exam or assessment conducted and none of the 
conditions apply'' if a qualified professional has conducted a medical 
exam or assessment and has concluded that the child does not have one 
of the conditions listed below. Indicate ``exam or assessment conducted 
but results not received'' if a qualified professional has conducted a 
medical exam or assessment but the title IV-E agency has

[[Page 7208]]

not yet received the results of such an exam or assessment.
    (i) Intellectual disability. The child has, or had previously, 
significantly sub-average general cognitive and motor functioning 
existing concurrently with deficits in adaptive behavior manifested 
during the developmental period that adversely affect the child's 
socialization and learning.
    (ii) Visually impaired. The child has, or had previously, a visual 
impairment that may significantly affect educational performance or 
development.
    (iii) Hearing impaired. The child has, or had previously, a hearing 
impairment, whether permanent or fluctuating, that adversely affects 
educational performance.
    (iv) Physically disabled. The child has, or had previously, a 
physical condition that adversely affects the child's day-to-day motor 
functioning, including, but not limited to, cerebral palsy, spina 
bifida, multiple sclerosis, muscular dystrophy, orthopedic impairments 
and other physical impairments.
    (v) Anxiety disorder. The child has, or had previously, one or more 
of the following over a long period of time and to a marked degree: 
Acute stress disorder, agoraphobia, generalized anxiety disorder, 
obsessive-compulsive disorder, panic disorder, post-traumatic stress 
disorder, separation anxiety, social or specific phobia.
    (vi) Childhood disorders. The child has, or had previously, one or 
more of the following disorders over a long period of time and to a 
marked degree: Attention deficit or hyperactivity disorder, conduct 
disorder or oppositional disorder.
    (vii) Learning disability. The child has, or had previously, an 
achievement level on individually administered, standardized tests in 
reading, mathematics or written expression that is substantially below 
that expected for age, schooling and level of intelligence.
    (viii) Substance use related disorder. The child has, or had 
previously a dependency on alcohol or other drugs (legal or non-legal).
    (ix) Developmental disability. The child has, or had previously 
been diagnosed with a developmental disability as defined in the 
Developmental Disabilities Assistance and Bill of Rights Act of 2000 
(Pub. L. 106-402), section 102(8). This means a severe, chronic 
disability of an individual that is attributable to a mental or 
physical impairment or combination of mental and physical impairments 
that manifests before the age of 22, is likely to continue indefinitely 
and results in substantial functional limitations in three or more 
areas of major life activity. Areas of major life activity include: 
Self-care; receptive and expressive language; learning; mobility; self-
direction; capacity for independent living; and economic self-
sufficiency; and reflects the individual's need for a combination and 
sequence of special, interdisciplinary, or generic services, 
individualized supports or other forms of assistance that are of 
lifelong or extended duration and are individually planned and 
coordinated. If a child is given the diagnosis of ``developmental 
disability,'' do not indicate the individual conditions that form the 
basis of this diagnosis separately.
    (x) Other mental/emotional disorder. The child has, or had 
previously, one or more of the following conditions over a long period 
of time and to a marked degree: Mood disorders, personality disorders 
or psychotic disorders.
    (xi) Other diagnosed condition. The child has, or had previously, a 
condition other than those described above that requires special 
medical care. This includes, but is not limited to, conditions such as 
chronic illness, a diagnosis as HIV positive or AIDS.
    (xii) Pregnant. If the title IV-E agency indicated ``female'' in 
paragraph (b)(2) of this section, provide the appropriate response. If 
the title IV-E agency indicated ``male'' in paragraph (b)(2) of this 
section, leave this data element blank.
    (8) School enrollment. Indicate whether the child is a full-time 
student at and enrolled in (or in the process of enrolling in) 
``elementary,'' ``secondary'' or ``post-secondary education or 
training'' or ``college,'' as of the earlier of the last day of the 
report period or the day of exit for a child exiting out-of-home care 
prior to the end of the report period. A child is still considered 
enrolled in school if the child would otherwise be enrolled in a school 
that is currently out of session. An ``elementary or secondary school 
student'' is defined in section 471(a)(30) of the Act as a child that 
is: Enrolled (or in the process of enrolling) in an institution which 
provides elementary or secondary education, as determined under the law 
of the State or other jurisdiction in which the institution is located; 
instructed in elementary or secondary education at home in accordance 
with a home school law of the State or other jurisdiction in which the 
home is located; in an independent study elementary or secondary 
education program in accordance with the law of the State or other 
jurisdiction in which the program is located, which is administered by 
the local school or school district; or incapable of attending school 
on a full-time basis due to the medical condition of the child, which 
incapability is supported by a regularly updated information in the 
case plan of the child. Enrollment in ``post-secondary education or 
training'' refers to full-time enrollment in any post-secondary 
education or training, other than an education pursued at a college or 
university. Enrollment in ``college'' refers to a child that is 
enrolled full-time at a college or university. If child has not reached 
compulsory school age, indicate ``not school-age.'' If the child has 
reached compulsory school-age, but is not enrolled or in the process of 
enrolling in any school setting full-time, indicate ``not enrolled.''
    (9) Educational level. Indicate the highest educational level from 
Kindergarten to college or post-secondary education/training completed 
by the child as of the last day of the report period. If child has not 
reached compulsory school-age, indicate ``not school-age.'' Indicate 
``Kindergarten'' if the child is currently in or about to begin 1st 
grade. Indicate ``1st grade'' if the child is currently in or about to 
begin 2nd grade. Indicate ``2nd grade'' if the child is currently in or 
about to begin 3rd grade. Indicate ``3rd grade'' if the child is 
currently in or about to begin 4th grade. Indicate ``4th grade'' if the 
child is currently in or about to begin 5th grade. Indicate ``5th 
grade'' if the child is currently in or about to begin 6th grade. 
Indicate ``6th grade'' if the child is currently in or about to begin 
7th grade. Indicate ``7th grade'' if the child is currently in or about 
to begin 8th grade. Indicate ``8th grade'' if the child is currently in 
or about to begin 9th grade. Indicate ``9th grade'' if the child is 
currently in or about to begin 10th grade. Indicate ``10th grade'' if 
the child is currently in or about to begin 11th grade. Indicate ``11th 
grade'' if the child is currently in or about to begin 12th grade. 
Indicate ``12th grade'' if the child has graduated from high school. 
Indicate ``Post-secondary education or training'' if the child has 
completed any post-secondary education or training, including 
vocational training, other than an education pursued at a college or 
university. Indicate ``College'' if the child has completed at least a 
semester of study at a college or university.
    (10) Educational stability. Indicate if the child enrolled or is in 
the process of enrolling in a new elementary or secondary school 
prompted by an initial placement after entry into foster care or a 
placement change during the report period with ``yes'' or ``no'' as 
appropriate. If ``yes,'' indicate which of

[[Page 7209]]

the applicable reason(s) for the change in enrollment as described in 
paragraphs (b)(10)(i) through (vii) of this section ``applies'' or 
``does not apply;'' if ``no,'' the title IV-E agency must leave those 
data elements blank.
    (i) Proximity. The child enrolled in a new school because of the 
distance to his or her former school.
    (ii) District/zoning rules. The child enrolled in a new school 
because county or jurisdictional law or regulations prohibited 
attendance at former school.
    (iii) Residential facility. The child enrolled in a new school 
because he or she formerly attended school on the campus of a 
residential facility.
    (iv) Services/programs. The child enrolled in a new school to 
participate in services or programs (academic, behavioral or supportive 
services) not offered at former school.
    (v) Child request. The child enrolled in a new school because he or 
she requested to leave former school and enroll in new school.
    (vi) Parent/Legal guardian request. The child enrolled in a new 
school because his or her parent(s) or legal guardian(s) requested for 
the child to leave the former school and enroll in a new school.
    (vii) Other. The child enrolled in a new school for a reason other 
than those detailed in paragraphs (b)(10)(i) through (vi) of this 
section.
    (11) Special education. Indicate whether the child has an 
Individualized Education Program (IEP) as defined in section 614(d)(1) 
of Part B of Title I of the Individuals with Disabilities Education Act 
(IDEA) and implementing regulations, and/or an Individualized Family 
Service Program (IFSP) as defined in section 636 of Part C of Title I 
of IDEA and implementing regulations, as of the end of the report 
period. Indicate ``IEP,'' if the child has an IEP, ``IFSP,'' if the 
child has an IFSP or ``not applicable'' if the child does not have an 
IEP or IFSP.
    (12) IDEA qualifying disability. If the child has an IEP or IFSP, 
indicated in paragraph (b)(11) of this section, indicate which of the 
disability categories listed in the data elements described in 
paragraphs (b)(12)(i) through (xii) of this section ``applies'' or 
``does not apply;'' otherwise the title IV-E agency must leave those 
data elements blank.
    (i) Developmental delay. The child has been assessed by appropriate 
diagnostic instruments and procedures and is experiencing delays in one 
or more of the following areas, as defined by the State: Physical 
development, cognitive development, communication development, social 
or emotional development or adaptive development.
    (ii) Autism. The child has a developmental disability significantly 
affecting verbal and nonverbal communication and social interaction, 
generally evident before age three that adversely affects a child's 
educational performance. The child may also exhibit other 
characteristics, such as engagement in repetitive activities and 
stereotyped movements, resistance to environmental change, change in 
daily routines and unusual responses to sensory experiences.
    (iii) Hearing impairment (including deafness). The child has an 
impairment in hearing, whether permanent or fluctuating, that adversely 
affects a child's educational performance.
    (iv) Emotional disturbance. (A) The child has a condition 
exhibiting one or more of the following characteristics over a long 
period of time and to a marked degree that adversely affects a child's 
educational performance:
    (1) An inability to learn that cannot be explained by intellectual, 
sensory or health factors;
    (2) An inability to build or maintain satisfactory interpersonal 
relationships with peers and teachers;
    (3) Inappropriate types of behavior or feelings under normal 
circumstances;
    (4) A general pervasive mood of unhappiness or depression;
    (5) A tendency to develop physical symptoms or fears associated 
with personal or school problems.
    (6) Schizophrenia.
    (v) Intellectual disability. The child has a significantly 
subaverage general intellectual functioning, existing concurrently with 
deficits in adaptive behavior and manifested during the developmental 
period, that adversely affects the child's educational performance.
    (vi) Orthopedic impairment. The child has a severe orthopedic 
impairment that adversely affects a child's educational performance, 
including impairments caused by a congenital anomaly, impairments 
caused by disease and impairments from other causes (e.g., cerebral 
palsy, amputations and fractures or burns that cause contractures).
    (vii) Other health impairment. The child has limited strength, 
vitality, or alertness, including a heightened alertness to 
environmental stimuli that results in limited alertness with respect to 
the educational environment that is due to chronic or acute health 
problems (e.g., asthma, attention deficit disorder or attention deficit 
hyperactivity disorder, diabetes, epilepsy, etc.) and adversely affects 
a child's educational performance.
    (viii) Specific learning disability. The child has a disorder in 
one or more of the basic psychological processes involved in 
understanding or in using language, spoken or written, that may 
manifest itself in the imperfect ability to listen, think, speak, read, 
write, spell or to do mathematical calculations, including conditions 
such as perceptual disabilities, brain injury, minimal brain 
dysfunction, dyslexia and developmental aphasia.
    (ix) Speech and language impairment. The child has a communication 
disorder, such as stuttering, impaired articulation, language 
impairment or a voice impairment, which adversely affects a child's 
educational performance.
    (x) Traumatic brain injury. The child has an acquired injury to the 
brain caused by an external physical force, resulting in total or 
partial functional disability or psychosocial impairment, or both, that 
adversely affects a child's educational performance.
    (xi) Visual impairments (including blindness). The child has 
impairment in vision that, even with correction, adversely affects a 
child's educational performance.
    (xii) Other. The child has a condition other than those described 
above that adversely affects a child's educational performance.
    (13) Prior adoption(s). Indicate whether the child experienced 
prior legal adoption(s) before the current out-of-home care episode. 
Include any public, private or independent adoption in the United 
States or adoption in another country. Indicate ``yes'' if the child 
experienced at least one prior legal adoption, ``no'' if the child has 
never been legally adopted or ``abandoned'' if the information is 
unknown because the child has been abandoned. Abandoned means that the 
child was left alone or with others and the identity of the parent(s) 
or legal guardian(s) is unknown and cannot be ascertained. This 
includes a child left at a ``safe haven.'' If the child has experienced 
a prior legal adoption(s), the title IV-E agency must complete the data 
elements Prior adoption date, Prior adoption type, and Prior adoption 
jurisdiction described in paragraphs (b)(13)(i) through (iii) of this 
section for each prior adoption, as applicable; otherwise the title IV-
E agency must leave those data elements blank.
    (i) Prior adoption date(s). Indicate the month and year that each 
prior adoption was finalized if the title IV-E agency indicated 
previously that the child was adopted in the data element Prior

[[Page 7210]]

adoption described in paragraph (b)(13) of this section. In the case of 
a prior intercountry adoption where the adoptive parent(s) readopted 
the child in the United States, the title IV-E agency must provide the 
date of the adoption (either the original adoption in the home country 
or the re-adoption in the United States) that is considered final in 
accordance with applicable laws. If the child was not previously 
adopted, the title IV-E agency must leave this data element blank.
    (ii) Prior adoption type(s). Indicate the type of each prior 
adoption if the title IV-E agency indicated that the child was adopted 
previously in the data element Prior adoption described in paragraph 
(b)(13) of this section. Indicate ``foster care adoption within State 
or Tribal service area'' if the child was in foster care in the 
reporting State or Tribal service area at the time the prior adoption 
was legalized. Indicate ``foster care adoption in another State or 
Tribal service area'' if the child was in foster care in another State 
or Tribal service area at the time the prior adoption was legalized. 
Indicate ``intercountry adoption'' if the child had a prior adoption 
that occurred in another country or the child was brought into the 
United States for the purposes of finalizing the prior adoption. 
Indicate ``other private or independent adoption'' if the child's prior 
adoption was neither a foster care adoption nor an intercountry 
adoption as defined above. If the child was not previously adopted, the 
title IV-E agency must leave this data element blank.
    (iii) Prior adoption jurisdiction(s). For each prior adoption noted 
in paragraph (b)(13)(ii) of this section that occurred outside of the 
reporting State or Tribal service area, indicate the name of the State, 
Tribal service area Indian reservation or country, in which the child 
was previously adopted; otherwise the title IV-E agency must leave this 
data element blank.
    (14) Prior guardianship(s). Indicate whether the child experienced 
a prior legal guardianship(s) before the current out-of-home care 
episode. Include any public, private or independent guardianship(s) in 
the United States that meets the definition in section 475(7) of the 
Act. This includes any judicially created relationship between a child 
and caretaker which is intended to be permanent and self-sustaining as 
evidenced by the transfer to the caretaker of the following parental 
rights with respect to the child: Protection, education, care and 
control, custody, and decision making. Indicate ''yes'' if the child 
has experienced at least one prior legal guardianship, ``no'' if the 
child has never been in a legal guardianship, or ``abandoned'' if the 
information is unknown because the child has been abandoned. Abandoned 
means that the child was left alone or with others and the identity of 
the parent(s) or legal guardian(s) is unknown and cannot be 
ascertained. This includes a child left at a ``safe haven.'' If the 
child has experienced a prior legal guardianship(s), the title IV-E 
agency must complete the data elements Prior guardianship date, Prior 
guardianship type and Prior guardianship jurisdiction described in 
paragraphs (b)(14)(i) through (iii) of this section for each legal 
guardianship that the child has experienced; otherwise the title IV-E 
agency must leave those data elements blank.
    (i) Prior guardianship date(s). Indicate the month and year that 
each prior guardianship became legalized if the title IV-E agency 
indicated that the child was placed in a legal guardianship previously 
as indicated described in paragraph (b)(14) of this section. If the 
child was not previously in a legal guardianship, the title IV-E agency 
must leave this data element blank.
    (ii) Prior guardianship type(s). Indicate the type of each prior 
guardianship if the title IV-E agency indicated that the child was in a 
guardianship previously in the data element Prior guardianship 
described in paragraph (b)(14) of this section. Indicate ``foster care 
guardianship within State or Tribal service area'' if the child was in 
foster care in the reporting State or Tribal service area at the time 
the prior guardianship was legalized. Indicate ``foster care 
guardianship in another State or Tribal service area'' if the child was 
in foster care in another State or Tribal service area at the time the 
prior guardianship was legalized. Indicate ``other private or 
independent guardianship'' if the child's prior guardianship was not a 
foster care guardianship as defined above. If the child was not 
previously in a guardianship, the title IV-E agency must leave this 
data element blank.
    (iii) Prior guardianship jurisdiction(s). For each prior 
guardianship noted in paragraph (b)(14)(ii) of this section that 
occurred outside of the reporting State or Tribal service area, 
indicate the name of the State, Tribal service area or Indian 
reservation in which the child was previously in a guardianship; 
otherwise the title IV-E agency must leave this data element blank.
    (15) Minor parent. Indicate the number of children of the child who 
is the subject of this record. A minor parent has a child(ren) if he or 
she has given birth herself or fathered any child(ren) who was born. 
This refers to biological parenthood, regardless of whether or not such 
children live with their parent(s). A title IV-E agency must report a 
child older than age 18 in foster care as a ``minor parent'' if he or 
she has children. If the child who is the subject of this record does 
not have a child, indicate ``0.'' If the title IV-E agency indicates 
that the minor parent has at least one child the title IV-E agency must 
complete the data element ``number of children living with the minor 
parent(s)'' described in paragraph (e)(14) of this section.
    (16) Child financial and medical assistance. Indicate whether the 
child has received financial and medical assistance, other than title 
IV-E, at any point during the six-month report period. Indicate ``child 
has received support/assistance'' if the child was the recipient of 
such assistance during the report period, and indicate which of the 
following sources of support described in paragraphs (b)(16)(i) through 
(vii) of this section ``applies'' or ``does not apply.'' Indicate ``no 
support/assistance received'' if none of these apply.
    (i) SSI or Social Security benefits. The child is receiving support 
from Supplemental Security Income (SSI) or other Social Security 
benefits under title II or title XVI of the Act.
    (ii) Title XIX Medicaid. The child is eligible for and may be 
receiving assistance under the State's title XIX program for medical 
assistance, including any benefits through title XIX waivers or 
demonstration programs.
    (iii) Title XXI SCHIP. The child is eligible for and receiving 
assistance under a State's Children's Health Insurance Program (SCHIP) 
under title XXI of the Act, including any benefits under title XXI 
waivers or demonstration programs.
    (iv) State/Tribal adoption assistance. The child is receiving an 
adoption subsidy or other adoption assistance paid for solely by the 
State or Indian Tribe.
    (v) State/Tribal foster care. The child is receiving a foster care 
payment that is solely funded by the State or Indian Tribe.
    (vi) Child Support. Child support funds are being paid to the title 
IV-E agency for the benefit of the child by assignment from the 
receiving parent.
    (vii) Other. The child is receiving financial support from another 
source not previously listed above.
    (17) Title IV-E foster care during report period. Indicate whether 
a title IV-E foster care maintenance payment was paid on behalf of the 
child at any point during the report period that is

[[Page 7211]]

claimed under title IV-E foster care with a ``yes'' or ``no,'' as 
appropriate. Indicate ``yes'' if the child has met all eligibility 
requirements of section 472(a) of the Act and the title IV-E agency has 
claimed, or intends to claim, Federal reimbursement for foster care 
maintenance payments made on the child's behalf during the report 
period.
    (18) Victim of sex trafficking prior to entering foster care. 
Indicate whether the child had been a victim of sex trafficking before 
the current out-of-home care episode. Indicate ``yes'' if the child was 
a victim or ``no'' if the child had not been a victim.
    (i) Report to Law Enforcement. If the title IV-E agency indicated 
``yes'' in paragraph (b)(18) of this section, indicate whether a report 
was made to law enforcement for entry into the National Crime 
Information Center (NCIC) database. Indicate ``yes'' if a report was 
made to law enforcement and indicate ``no'' if no report was made.
    (ii) Date. If the title IV-E agency indicated ``yes'' in paragraph 
(b)(18)(i) of this section, indicate the date that the agency made the 
report to law enforcement.
    (19) Victim of sex trafficking while in foster care. Indicate 
``yes'' if the child was a victim of sex trafficking while in foster 
care at any time during the current six-month report period. Indicate 
``no'' if the child was not a victim while in foster care at any time 
during the current six-month report period.
    (i) Report to law enforcement. If the title IV-E agency indicated 
``yes'' in this paragraph (b)(19), indicate whether a report was made 
to law enforcement for entry into the NCIC database. Indicate ``yes'' 
if a report was made to law enforcement and indicate ``no'' if no 
report was made.
    (ii) Date. If the title IV-E agency indicated ``yes'' in paragraph 
(b)(19)(i) of this section, indicate the date the agency made the 
report to law enforcement.
    (c) Parent or legal guardian information. (1)(i) Year of birth of 
first parent or legal guardian. If applicable, indicate the year of 
birth of the first parent (biological, legal or adoptive) or legal 
guardian to the child. To the extent that a child has both a parent and 
a legal guardian or two different sets of legal parents, the title IV-E 
agency must report on those who had legal responsibility for the child. 
We are not seeking information on putative parent(s) in this paragraph. 
If there is only one parent or legal guardian to the child, that 
person's year of birth must be reported here. If the child was 
abandoned indicate ``abandoned.'' Abandoned means that the child was 
left alone or with others and the identity of the child's parent(s) or 
legal guardian(s) is unknown and cannot be ascertained. This includes a 
child left at a ``safe haven.''
    (ii) First parent or legal guardian born in the United States. 
Indicate whether the first parent (biological, legal or adoptive) or 
legal guardian to the child was born in the United States. This must be 
the same parent or legal guardian whose birth information was reported 
in paragraph (c)(1)(i) of this section. If the first parent or legal 
guardian was born in the United States, indicate ``yes.'' If the first 
parent or legal guardian was born in a country other than the United 
States, indicate ``no.'' If the child was abandoned indicate 
``abandoned.'' Abandoned means that the child was left alone or with 
others and the identity of the child's parent(s) or legal guardian(s) 
is unknown and cannot be ascertained. This includes a child left at a 
``safe haven.''
    (2)(i) Year of birth of second parent or legal guardian. If 
applicable, indicate the year of birth of the second parent 
(biological, legal or adoptive) or legal guardian to the child. We are 
not seeking information on putative parent(s) in this paragraph. If the 
child was abandoned, indicate ``abandoned.'' Abandoned means that the 
child was left alone or with others and the identity of the child's 
parent(s) or legal guardian(s) is unknown and cannot be ascertained. 
This includes a child left at a ``safe haven.'' Indicate ``not 
applicable'' if there is not another parent or legal guardian.
    (ii) Second parent or legal guardian born in the United States. 
Indicate the country of birth for the second parent (biological, legal 
or adoptive) or legal guardian to the child. This should be the same 
parent or legal guardian whose birth information was reported in 
paragraph (c)(2)(i) of this section. If the second parent or legal 
guardian was born in the United States, indicate ``yes.'' If the second 
parent or legal guardian was born in a country other than the United 
States, indicate ``no.'' If the child was abandoned, indicate 
``abandoned.'' Abandoned means that the child was left alone or with 
others and the identity of the child's parent(s) or legal guardian(s) 
is unknown and cannot be ascertained. This includes a child left at a 
``safe haven.'' Indicate ``not applicable'' if there is not another 
parent or legal guardian.
    (3)(i) Termination of parental rights petition. Indicate the month, 
day and year that each petition to terminate the parental rights of a 
biological, legal and/or putative parent was filed in court, if 
applicable. Indicate ``deceased'' if the parent is deceased.
    (ii) Termination of parental rights. Enter the month, day and year 
that the court terminated the parental rights of a biological, legal 
and/or putative parent, for each petition date reported in paragraph 
(c)(3)(i) of this section, if applicable. If the parent is deceased, 
enter the date of death.
    (4) Date of judicial finding of abuse or neglect. Indicate the 
month, day and year of the first judicial finding that the child has 
been subject to child abuse or neglect, if applicable. Indicate ``no 
date'' if there is no such finding by the end of the report period.
    (d) Removal information. (1) Date of child's removal. Indicate the 
removal date(s) in month, day and year format for each removal of a 
child who enters the placement and care responsibility of the title IV-
E agency.
    (i) For a child who is removed and is placed initially in foster 
care, indicate the date that the title IV-E agency received placement 
and care responsibility.
    (ii) For a child who ran away or whose whereabouts are unknown at 
the time the child is removed and is placed in the placement and care 
responsibility of the title IV-E agency, indicate the date that the 
title IV-E agency received placement and care responsibility.
    (iii) For a child who is removed and is placed initially in a non-
foster care setting, indicate the date that the child enters foster 
care as the date of removal.
    (2) Removal transaction date. A non-modifiable, computer-generated 
date which accurately indicates the month, day and year each response 
to paragraph (d)(1) of this section was entered into the information 
system.
    (3) Environment at removal. Indicate the type of environment 
(household or facility) the child was living in at the time of each 
removal for each removal reported in paragraph (d)(1) of this section. 
Indicate ``parent household'' if the child was living in a household 
that included one or both of the child's parents, whether biological, 
adoptive or legal. Indicate ``relative household'' if the child was 
living with a relative(s), the relative(s) is not the child's legal 
guardian and neither of the child's parents were living in the 
household. Indicate ``legal guardian household'' if the child was 
living with a legal guardian(s), the guardian(s) is not the child's 
relative and neither of the child's parents were living in the 
household. Indicate ``justice facility'' if the child was in a 
detention center, jail or other similar setting where the child was 
detained. Indicate ``medical/mental

[[Page 7212]]

health facility'' if the child was living in a facility such as a 
medical or psychiatric hospital or residential treatment center. 
Indicate ``other'' if the child was living in another situation not so 
described, such as living independently.
    (4) Authority for placement and care responsibility. Indicate the 
title IV-E agency's authority for placement and care responsibility of 
the child for each removal reported in paragraph (d)(1) of this 
section. ``Court ordered'' means that the court has issued an order 
that is the basis for the title IV-E agency's placement and care 
responsibility. ``Voluntary placement agreement'' means that an 
official voluntary placement agreement has been executed between the 
parent(s), guardian(s) or child age 18 or older and the title IV-E 
agency. The placement remains voluntary even if a subsequent court 
order is issued to continue the child in out-of-home care. ``Not yet 
determined'' means that a voluntary placement agreement has not been 
signed or a court order has not been issued. When either a voluntary 
placement agreement is signed or a court order issued, the record must 
be updated from ``not yet determined'' to the appropriate response 
option to reflect the title IV-E agency's authority for placement and 
care responsibility at that time.
    (5) Child and family circumstances at removal. Indicate all child 
and family circumstances that were present at the time of the child's 
removal and/or related to the child being placed into foster care for 
each removal reported in paragraph (d)(1) of this section. Indicate 
whether each circumstance listed in the data elements described in 
paragraphs (d)(1)(i) through (xxvii) ``applies'' or ``does not apply'' 
for each removal indicated in paragraph (d)(1) of this section.
    (i) Runaway. The child has left, without authorization, the home or 
facility where the child was residing.
    (ii) Whereabouts unknown. The child's whereabouts are unknown and 
the title IV-E agency does not consider the child to have run away.
    (iii) Physical abuse. Alleged or substantiated physical abuse, 
injury or maltreatment of the child by a person responsible for the 
child's welfare.
    (iv) Sexual abuse. Alleged or substantiated sexual abuse or 
exploitation of the child by a person who is responsible for the 
child's welfare.
    (v) Psychological or emotional abuse. Alleged or substantiated 
psychological or emotional abuse, including verbal abuse, of the child 
by a person who is responsible for the child's welfare.
    (vi) Neglect. Alleged or substantiated negligent treatment or 
maltreatment of the child, including failure to provide adequate food, 
clothing, shelter, supervision or care by a person who is responsible 
for the child's welfare.
    (vii) Medical neglect. Alleged or substantiated medical neglect 
caused by a failure to provide for the appropriate health care of the 
child by a person who is responsible for the child's welfare, although 
the person was financially able to do so, or was offered financial or 
other means to do so.
    (viii) Domestic violence. Alleged or substantiated physical or 
emotional abuse between one adult member of the child's home and a 
partner or the child and his or her partner if the child is age 18 or 
older. This does not include alleged or substantiated maltreatment of 
the child by a person who is responsible for the child's welfare.
    (ix) Abandonment. The child was left alone or with others and the 
parent or legal guardian's identity is unknown and cannot be 
ascertained. This includes a child left at a ``safe haven.'' This 
category does not apply when the identity of the parent(s) or legal 
guardian(s) is known.
    (x) Failure to return. The parent, legal guardian or caretaker did 
not or has not returned for the child or made his or her whereabouts 
known. This category does not apply when the identity of the parent, 
legal guardian or caretaker is unknown.
    (xi) Caretaker's alcohol abuse. A parent, legal guardian or other 
caretaker responsible for the child uses alcohol compulsively that is 
not of a temporary nature.
    (xii) Caretaker's drug abuse. A parent, legal guardian or other 
caretaker responsible for the child uses drugs compulsively that is not 
of a temporary nature.
    (xiii) Child alcohol use. The child uses alcohol.
    (xiv) Child drug use. The child uses drugs.
    (xv) Prenatal alcohol exposure. The child has been identified as 
prenatally exposed to alcohol, resulting in fetal alcohol spectrum 
disorders such as fetal alcohol exposure, fetal alcohol effect or fetal 
alcohol syndrome.
    (xvi) Prenatal drug exposure. The child has been identified as 
prenatally exposed to drugs.
    (xvii) Diagnosed condition. The child has a clinical diagnosis by a 
qualified professional of a health, behavioral or mental health 
condition, such as one or more of the following: Intellectual 
disability, emotional disturbance, specific learning disability, 
hearing, speech or sight impairment, physical disability or other 
clinically diagnosed condition.
    (xviii) Inadequate access to mental health services. The child or 
child's family has inadequate resources to access the necessary mental 
health services outside of the child's out-of-home care placement.
    (xix) Inadequate access to medical services. The child or child's 
family has inadequate resources to access the necessary medical 
services outside of the child's out-of-home care placement.
    (xx) Child behavior problem. The child's behavior in his or her 
school and/or community adversely affects his or her socialization, 
learning, growth and/or moral development. This includes all child 
behavior problems, as well as adjudicated and non-adjudicated status or 
delinquency offenses and convictions.
    (xxi) Death of caretaker. Existing family stress in caring for the 
child or an inability to care for the child due to the death of a 
parent, legal guardian or other caretaker.
    (xxii) Incarceration of caretaker. The child's parent, legal 
guardian or caretaker is temporarily or permanently placed in jail or 
prison which adversely affects his or her ability to care for the 
child.
    (xxiii) Caretaker's significant impairment--physical/emotional. A 
physical or emotional illness or disabling condition of the child's 
parent, legal guardian or caretaker that adversely limits his or her 
ability to care for the child.
    (xxiv) Caretaker's significant impairment--cognitive. The child's 
parent, legal guardian or caretaker has cognitive limitations that 
impact his or her ability to function in areas of daily life, which 
adversely affect his or her ability to care for the child. It also may 
be characterized by a significantly below-average score on a test of 
mental ability or intelligence.
    (xxv) Inadequate housing. The child's or his or her family's 
housing is substandard, overcrowded, unsafe or otherwise inadequate 
which results in it being inappropriate for the child to reside. This 
circumstance also includes homelessness.
    (xxvi) Voluntary relinquishment for adoption. The child's parent 
has voluntarily relinquished the child by assigning the physical and 
legal custody of the child to the title IV-E agency, in writing, for 
the purpose of having the child adopted.
    (xxvii) Child requested placement. The child, age 18 or older, has 
requested placement into foster care.
    (e) Living arrangement and provider information. (1) Date of living

[[Page 7213]]

arrangement. Indicate the month, day and year representing the first 
date of placement in each of the child's living arrangements for each 
out-of-home care episode. Indicate the date that the child was 
considered by the title IV-E agency as having run away or when his or 
her whereabouts became unknown. In the case of a child who is already 
in a living arrangement and remains there when the title IV-E agency 
receives placement and care responsibility, indicate the date of the 
VPA or court order providing the title IV-E agency with placement and 
care responsibility for the child, rather than the date that the child 
was originally placed in the living arrangement.
    (2) Foster family home. Indicate whether each of the child's living 
arrangements is a foster family home, with a ``yes'' or ``no'' as 
appropriate. If the child has run away or the child's whereabouts are 
unknown, indicate ``no.'' If the title IV-E agency indicates that the 
child is living in a foster family home, by indicating ``yes,'' the 
title IV-E agency must complete the data element Foster family home 
type in paragraph (e)(3) of this section. If the title IV-E agency 
indicates ``no,'' the title IV-E agency must complete the data element 
Other living arrangement type in paragraph (e)(4) of this section.
    (3) Foster family home type. If the title IV-E agency indicated 
that the child is living in a foster family home in the data element 
described in paragraph (e)(2), indicate whether each foster family home 
type listed in the data elements in paragraphs (e)(3)(i) through 
(e)(3)(vi) of this section applies or does not apply; otherwise the 
title IV-E agency must leave this data element blank.
    (i) Licensed home. The child's living arrangement is licensed or 
approved by the State or Tribal licensing/approval authority.
    (ii) Therapeutic foster family home. The home provides specialized 
care and services.
    (iii) Shelter care foster family home. The home is so designated by 
the State or Tribal licensing/approval authority, and is designed to 
provide short-term or transitional care.
    Relative foster family home. The foster parent(s) is related to the 
child by biological, legal or marital connection and the relative 
foster parent(s) lives in the home as his or her primary residence.
    (v) Pre-adoptive home. The home is one in which the family and the 
title IV-E agency have agreed on a plan to adopt the child.
    (vi) Kin foster family home. The home is one in which there is a 
kin relationship as defined by the title IV-E agency, such as one where 
there is a psychological, cultural or emotional relationship between 
the child or the child's family and the foster parent(s).
    (4) Other living arrangement type. If the title IV-E agency 
indicated that the child's living arrangement is other than a foster 
family home in the data element Foster family home in paragraph (e)(2) 
of this section, indicate the type of setting; otherwise the title IV-E 
agency must leave this data element blank. Indicate ``group home-family 
operated'' if the child is in a group home that provides 24-hour care 
in a private family home where the family members are the primary 
caregivers. Indicate ``group home-staff operated'' if the child is in a 
group home that provides 24-hour care for children where the care-
giving is provided by shift or rotating staff. Indicate ``group home-
shelter care'' if the child is in a group home that provides 24-hour 
care which is short-term or transitional in nature, and is designated 
by the State or Tribal licensing/approval authority to provide shelter 
care. Indicate ``residential treatment center'' if the child is in a 
facility that has the purpose of treating children with mental health 
or behavioral conditions. Indicate ``child care institution'' if the 
child is in a private child care institution, or a public child care 
institution which accommodates no more than 25 children, and is 
licensed by the State or Tribal authority responsible for licensing or 
approving child care institutions. This does not include detention 
facilities, forestry camps, training schools or any other facility 
operated primarily for the detention of children who are determined to 
be delinquent. Indicate ``child care institution-shelter care'' if the 
child is in a child care institution as defined above and the 
institution is designated to provide shelter care by the State or 
Tribal authority responsible for licensing or approving child care 
institutions and is short-term or transitional in nature. Indicate 
``supervised independent living'' if the child is living independently 
in a supervised setting. Indicate ``juvenile justice facility'' if the 
child is in a secure facility or institution where alleged or 
adjudicated juvenile delinquents are housed. Indicate ``medical or 
rehabilitative facility'' if the child is in a facility where an 
individual receives medical or physical health care, such as a 
hospital. Indicate ``psychiatric hospital'' if the child is in a 
facility that provides emotional or psychological health care and is 
licensed or accredited as a hospital. Indicate ``runaway'' if the child 
has left, without authorization, the home or facility where the child 
was placed. Indicate ``whereabouts unknown'' if the child is not in the 
physical custody of the title IV-E agency or person or institution with 
whom the child has been placed, the child's whereabouts are unknown and 
the title IV-E agency does not consider the child to have run away. 
Indicate ``placed at home'' if the child is home with the parent(s) or 
legal guardian(s) in preparation for the title IV-E agency to return 
the child home permanently.
    (5) Private agency living arrangement. Indicate the type of 
contractual relationship with a private agency for each of the child's 
living arrangements reported in paragraph (e)(1) of this section. 
Indicate ``private agency involvement'' if the child is placed in a 
living arrangement that is either licensed, managed or run by a private 
agency that is under contract with the title IV-E agency. Indicate ``no 
private agency involvement'' if the child's living arrangement is not 
licensed, managed or run by a private agency.
    (6) Location of living arrangement. Indicate whether each of the 
child's living arrangements reported in paragraph (e)(1) of this 
section is located within or outside of the reporting State or Tribal 
service area or is outside of the country. Indicate ``out-of-State or 
out-of-Tribal service area'' if the child's living arrangement is 
located outside of the reporting State or Tribal service area. Indicate 
``in-State or in-Tribal service area'' if the child's living 
arrangement is located within the reporting State or Tribal service 
area. Indicate ``out-of-country'' if the child's living arrangement is 
outside of the United States. Indicate ``runaway or whereabouts 
unknown'' if the child has run away from his or her living arrangement 
or the child's whereabouts are unknown. If the title IV-E agency 
indicates either ``out-of-State or out-of-Tribal service area'' or 
``out-of-country'' for the child's living arrangement, the title IV-E 
agency must complete the data element in paragraph (e)(7) of this 
section; otherwise the title IV-E agency must leave it blank.
    (7) Jurisdiction or country where child is living. Indicate the 
name of the State, Tribal service area, Indian reservation or country 
where the reporting title IV-E agency placed the child for each living 
arrangement, if the title IV-E agency indicated either ``out-of-State 
or out-of-Tribal service area'' or ``out-of-country'' in paragraph 
(e)(6) of this section; otherwise the title IV-E agency must leave it 
blank.

[[Page 7214]]

    (8) Number of siblings in out-of-home care. Indicate the current 
total number of siblings, if applicable, that the child has who 
themselves are in out-of-home care under the placement and care 
responsibility of the reporting title IV-E agency at any point during 
the report period. A sibling to the child is his or her brother or 
sister by biological, legal or marital connection. Do not include the 
child who is the subject of this record in the total number. If the 
child does not have siblings who themselves are in out-of-home care 
under the placement and care responsibility of the reporting title IV-E 
agency during the report period, the title IV-E agency must indicate 
``0'' as the number for this data element. If the child does not have 
any siblings, the title IV-E agency must indicate ``not applicable'' 
for this data element. If the title IV-E agency indicates either ``0'' 
or ``not applicable,'' the title IV-E agency must leave the data 
elements in paragraphs (e)(9) and (e)(10) of this section blank.
    (9) Siblings placed together in out-of-home care. Indicate the 
child record number(s) of each sibling(s) who is in out-of-home care 
under the placement and care responsibility of the reporting title IV-E 
agency and who is placed with the child in the same living arrangement 
at any point during the report period. A sibling to the child is his or 
her brother or sister by biological, legal or marital connection. 
Report this information whether the child's living arrangement is in or 
out of the State or Tribal service area. Do not include the child 
record number for the child who is the subject of this record.
    (10) Siblings in out-of-home care not living with child. Indicate 
the child record number(s) of each sibling(s) who is in out-of-home 
care under the placement and care responsibility of the reporting title 
IV-E agency, and who is not placed with the child in the same living 
arrangement at any point during the report period. A sibling to the 
child is his or her brother or sister by biological, legal or marital 
connection. Report this information whether the child's living 
arrangement is in or out of the State or Tribal service area. Do not 
include the child record number for the child who is the subject of 
this record.
    (11) Number of siblings in an adoption or legal guardianship. 
Indicate the total number of siblings, if applicable, that a child has 
who exited the placement and care responsibility of the reporting title 
IV-E agency to a finalized adoption or legal guardianship. A sibling to 
the child is his or her brother or sister by biological, legal or 
marital connection. Do not include the child who is the subject of this 
record in the total number. If the child does not have siblings who 
exited the placement and care responsibility of the reporting title IV-
E agency to a finalized adoption or legal guardianship, the title IV-E 
agency must indicate ``0'' as the number for this data element. If the 
child does not have any siblings, the title IV-E agency must indicate 
``not applicable'' for this data element. If the title IV-E agency 
indicates either ``0'' or ``not applicable,'' the title IV-E agency 
must leave the data elements in paragraphs (e)(12) and (e)(13) of this 
section blank.
    (12) Siblings in adoptive/guardianship placements living with 
child. Indicate the child record number(s) of each sibling(s) who 
exited the placement and care responsibility of the title IV-E agency 
to a finalized adoption or a legal guardianship and who is placed with 
the child in the same living arrangement at any point during the report 
period. A sibling to the child is his or her brother or sister by 
biological, legal or marital connection. Report this information 
whether the child's living arrangement is in or out of the State or 
Tribal service area. Do not include the child record number for the 
child who is the subject of this record.
    (13) Siblings in adoptive/guardianship placements not living with 
child. Indicate the child record number(s) of each sibling(s) who 
exited the placement and care responsibility of the title IV-E agency 
to a finalized adoption or a legal guardianship and who is not living 
with the child in the same living arrangement at any point during the 
report period. A sibling to the child is his or her brother or sister 
by biological, legal or marital connection. Report this information 
whether the child's living arrangement is in or out of the State or 
Tribal service area. Do not include the child record number for the 
child who is the subject of this record.
    (14) Number of children living with the minor parent. Indicate the 
number of the minor parent's children living with him or her in the 
same living arrangement if the title IV-E agency indicated that the 
minor parent has children in paragraph (b)(15) of this section. Report 
this information for each living arrangement. Do not include any 
child(ren) of the minor parent who is in out-of-home care and placed 
separately from his or her parent. If the minor parent does not have 
any children, the title IV-E agency must leave this data element blank.
    (15) Marital status of the foster parent(s). Indicate the marital 
status of the child's foster parent(s) for each foster family home 
living arrangement in which the child is placed, as indicated in 
paragraph (e)(3) of this section. Indicate ``married couple'' if the 
foster parents are considered united in matrimony according to 
applicable laws. Include common law marriage, where provided by 
applicable laws. Indicate ``unmarried couple'' if the foster parents 
are living together as a couple, but are not united in matrimony 
according to applicable laws. Indicate ``separated'' if the foster 
parent is legally separated or is living apart from his or her spouse. 
Indicate ``single female'' if the foster parent is a female who is not 
married and is not living with another individual as part of a couple. 
Indicate ``single male'' if the foster parent is a male who is not 
married and is not living with another individual as part of a couple. 
If the response is either ``married couple'' or ``unmarried couple,'' 
the title IV-E agency must complete the data elements for the second 
foster parent in paragraphs (e)(20) through (e)(22) of this section; 
otherwise the title IV-E agency must leave those data elements blank.
    (16) Child's relationships to the foster parent(s). Indicate the 
type of relationship between the child and his or her foster parent(s), 
for each foster family home living arrangement in which the child is 
placed, as indicated in paragraph (e)(3) of this section. Indicate 
``paternal grandparent(s)'' if the foster parent(s) is the child's 
paternal grandparent (by biological, legal or marital connection). 
Indicate ``maternal grandparent(s)'' if the foster parent(s) is the 
child's maternal grandparent (by biological, legal or marital 
connection). Indicate ``other paternal relative(s)'' if the foster 
parent(s) is the child's paternal relative (by biological, legal or 
marital connection) other than a grandparent, such as an aunt, uncle or 
cousin. Indicate ``other maternal relative(s)'' if the foster parent(s) 
is the child's maternal relative (by biological, legal or marital 
connection) other than a grandparent, such as an aunt, uncle or cousin. 
Indicate ``sibling(s)'' if the foster parent(s) is a brother or sister 
of the child, either biologically, legally or by marriage. Indicate 
``non-relative(s)'' if the foster parent(s) is not related to the child 
(by biological, legal or marital connection). Indicate ``kin'' if the 
foster parent(s) has kin relationship to the child as defined by the 
title IV-E agency, such as one where there is a psychological, cultural 
or emotional relationship between the child or the child's family and 
the foster parent(s).
    (17) Year of birth for first foster parent. Indicate the year of 
birth for the

[[Page 7215]]

first foster parent for each foster family home living arrangement in 
which the child is placed, as indicated in paragraph (e)(3) of this 
section.
    (18) Race of first foster parent. Indicate the race of the first 
foster parent for each foster family home living arrangement in which 
the child is placed, as indicated in paragraph (e)(3) of this section. 
In general, an individual's race is determined by the individual. 
Indicate whether each race category listed in the data elements 
described in paragraphs (e)(18)(i) through (vii) of this section 
applies with a ``yes'' or ``no.''
    (i) Race--American Indian or Alaska Native. An American Indian or 
Alaska Native individual has origins in any of the original peoples of 
North or South America (including Central America) and maintains Tribal 
affiliation or community attachment.
    (ii) Race--Asian. An Asian individual 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.
    (iii) Race--Black or African American. A Black or African American 
individual has origins in any of the black racial groups of Africa.
    (iv) Race--Native Hawaiian or Other Pacific Islander. A Native 
Hawaiian or Other Pacific Islander individual has origins in any of the 
original peoples of Hawaii, Guam, Samoa or other Pacific Islands.
    (v) Race--White. A White individual has origins in any of the 
original peoples of Europe, the Middle East or North Africa.
    (vi) Race--unknown. The foster parent does not know his or her 
race, or at least one race.
    (vii) Race--declined. The first foster parent has declined to 
identify a race.
    (19) Hispanic or Latino ethnicity of first foster parent. Indicate 
the Hispanic or Latino ethnicity of the first foster parent for each 
foster family home living arrangement in which the child is placed, as 
indicated in paragraph (e)(3) of this section. In general, an 
individual's ethnicity is determined by the individual. An individual 
is of Hispanic or Latino ethnicity if the individual is a person of 
Cuban, Mexican, Puerto Rican, South or Central American or other 
Spanish culture or origin, regardless of race. Indicate whether this 
category applies with a ``yes'' or ``no.'' If the first foster parent 
does not know his or her ethnicity indicate ``unknown.'' If the 
individual refuses to identify his or her ethnicity, indicate 
``declined.''
    (20) Year of birth for second foster parent. Indicate the birth 
year of the second foster parent for each foster family home living 
arrangement in which the child is placed, as indicated in paragraph 
(e)(3) of this section, if applicable. The title IV-E agency must leave 
this data element blank if there is no second foster parent according 
to paragraph (e)(15) of this section.
    (21) Race of second foster parent. Indicate the race of the second 
foster parent for each foster family home living arrangement in which 
the child is placed, as indicated in paragraph (e)(3) of this section, 
if applicable. In general, an individual's race is determined by the 
individual. Indicate whether each race category listed in the data 
elements described in paragraphs (e)(21)(i) through (vii) of this 
section applies with a ``yes'' or ``no.'' The title IV-E agency must 
leave this data element blank if there is no second foster parent 
according to paragraph (e)(15) of this section.
    (i) Race--American Indian or Alaska Native. An American Indian or 
Alaska Native individual has origins in any of the original peoples of 
North or South America (including Central America) and maintains Tribal 
affiliation or community attachment.
    (ii) Race--Asian. An Asian individual 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.
    (iii) Race--Black or African American. A Black or African American 
individual has origins in any of the black racial groups of Africa.
    (iv) Race--Native Hawaiian or Other Pacific Islander. A Native 
Hawaiian or Other Pacific Islander individual has origins in any of the 
original peoples of Hawaii, Guam, Samoa or other Pacific Islands.
    (v) Race--White. A White individual has origins in any of the 
original peoples of Europe, the Middle East or North Africa.
    (vi) Race--unknown. The second foster parent does not know his or 
her race, or at least one race.
    (vii) Race--declined. The second foster parent has declined to 
identify a race.
    (22) Hispanic or Latino ethnicity of second foster parent. Indicate 
the Hispanic or Latino ethnicity of the second foster parent for each 
foster family home living arrangement in which the child is placed, as 
indicated in paragraph (e)(3) of this section, if applicable. In 
general, an individual's ethnicity is determined by the individual. An 
individual is of Hispanic or Latino ethnicity if the individual is a 
person of Cuban, Mexican, Puerto Rican, South or Central American or 
other Spanish culture or origin, regardless of race. Indicate whether 
this category applies with a ``yes'' or ``no.'' If the second foster 
parent does not know his or her ethnicity, indicate ``unknown.'' If the 
individual refuses to identify his or her ethnicity, indicate 
``declined.'' The title IV-E agency must leave this data element blank 
if there is no second foster parent according to paragraph (e)(15) of 
this section.
    (23) Sources of Federal assistance in living arrangement. Indicate 
in the data elements described in paragraphs (e)(23)(i) through 
(e)(23)(viii) of this section if the identified source of Federal 
assistance ``applies'' or ``does not apply'' on the last day of the 
child's placement in each living arrangement or on the last day of the 
report period if the child's living arrangement is ongoing, for each 
living arrangement as indicated in paragraph (e)(1) of this section. If 
the title IV-E agency indicated ``applies'' in paragraph (e)(23)(i), 
(e)(23)(ii), or (e)(23)(iii), the title IV-E agency must complete the 
data element in paragraph (e)(24) of this section; otherwise the title 
IV-E agency must leave it blank.
    (i) Title IV-E foster care. The child is determined eligible for 
title IV-E foster care maintenance payments.
    (ii) Title IV-E adoption subsidy. The child is determined eligible 
for a title IV-E adoption assistance subsidy.
    (iii) Title IV-E guardianship assistance. The child is determined 
eligible for a title IV-E guardianship assistance subsidy.
    (iv) Title IV-A TANF. The child is living with relatives who are 
receiving a Temporary Assistance for Needy Families (TANF) cash 
assistance payment on behalf of the child.
    (v) Title IV-B. The child's living arrangement is supported by 
funds under title IV-B of the Act.
    (vi) SSBG. The child's living arrangement is supported by funds 
under title XX of the Act.
    (vii) Chafee Foster Care Independence Program. The child is living 
independently and is supported by funds under the John F. Chafee Foster 
Care Independence Program.
    (viii) Other federal source. The child's living arrangement is 
supported through other Federal funds not indicated above.
    (24) Amount of payment. Indicate the total (title IV-E agency and 
Federal share) per diem amount of the foster care maintenance payment, 
adoption

[[Page 7216]]

assistance subsidy, or guardianship assistance subsidy that the child 
is eligible for or paid to the foster parent(s) on behalf of the title 
IV-E eligible child on the last day of each living arrangement or the 
last day of the report period, if the child's living arrangement is 
ongoing. The title IV-E agency must complete this data element for each 
living arrangement as indicated in paragraph (e)(1) of this section if 
the title IV-E agency indicated ``applies'' in paragraph (e)(23)(i), 
(e)(23)(ii), or (e)(23)(iii) for that living arrangement. If the title 
IV-E agency indicated ``applies'' in paragraph (e)(23)(i), (e)(23)(ii), 
or (e)(23)(iii) of this section and no payment was made, the title IV-E 
agency must indicate ``0'' for this data element.
    (25) Services provided in other living arrangements. If the title 
IV-E agency indicated that the child's living arrangement is other 
living arrangement type as indicated in paragraph (e)(4) of this 
section, indicate the type of services, if any, that is provided by 
this setting. If there are no services provided by the agency setting, 
the title IV-E agency must indicate ``no.'' If the title IV-E agency 
indicated in paragraph (e)(2) of this section that the child is living 
in a foster family home, leave this data element blank. If there are 
services provided, the title IV-E agency must indicate ``yes'' in 
paragraph (e)(25) and then indicate whether each paragraphs (e)(25)(i) 
through (e)(25)(iv) of this section ``applies'' or does not apply.''
    (i) Specialized education.
    (ii) Treatment.
    (iii) Counseling.
    (iv) Other services.
    (f) Permanency planning. (1) Permanency plan. Indicate each 
permanency plan established for the child. Indicate ``reunify with 
parent(s) or legal guardian(s)'' if the plan is to keep the child in 
out-of-home care for a limited time and the title IV-E agency is to 
work with the child's parent(s) or legal guardian(s) to establish a 
stable family environment. Indicate ``live with other relatives'' if 
the plan is for the child to live permanently with a relative(s) (by 
biological, legal or marital connection) who is not the child's 
parent(s) or legal guardian(s). Indicate ``adoption'' if the plan is to 
facilitate the child's adoption by relatives, foster parents, kin or 
other unrelated individuals. Indicate ``guardianship'' if the plan is 
to establish a new legal guardianship. Indicate ``planned permanent 
living arrangement'' if the plan is for the child to remain in foster 
care until the title IV-E agency's placement and care responsibility 
ends. The title IV-E agency must only select ``planned permanent living 
arrangement'' consistent with the requirements in section 475(5)(C)(i) 
of the Act. Indicate ``permanency plan not established'' if a 
permanency plan has not yet been established.
    (2) Date of permanency plan. Indicate the month, day and year that 
each permanency plan(s) was established during each out-of-home care 
episode.
    (3) Concurrent permanency planning. Indicate whether the title IV-E 
agency has identified a concurrent permanency plan for the child. 
Indicate ``concurrent permanency plan,'' if there is a concurrent 
permanency plan for the child, ``no concurrent permanency plan'' if the 
title IV-E agency uses concurrent permanency planning but does not have 
a concurrent permanency plan for the child or ``not applicable'' if the 
title IV-E agency does not engage in concurrent permanency planning. If 
the title IV-E agency indicates that the child has a concurrent 
permanency plan, the title IV-E agency must complete the data elements 
in paragraphs (f)(3)(i) and (ii) of this section; otherwise the title 
IV-E agency must leave these data elements blank.
    (i) Concurrent permanency plan. The title IV-E agency must indicate 
the type of plan if the child has a concurrent permanency plan as 
indicated in paragraph (f)(3) of this section. Indicate ``live with 
other relatives'' if the plan is for the child to live permanently with 
a relative or relatives (by biological, legal or marital connection) 
who is not the child's parent(s) or legal guardian(s). Indicate 
``adoption'' if the plan is to facilitate the child's adoption by a 
relative(s), foster parents, kin or other unrelated individuals. 
Indicate ``guardianship'' if the plan is to establish a new legal 
guardianship. Indicate ``planned permanent living arrangement'' if the 
plan is for the child to remain in foster care until the title IV-E 
agency's placement and care responsibility ends. The title IV-E agency 
must only select ``planned permanent living arrangement'' consistent 
with the requirements in section 475(5)(C)(i) of the Act.
    (ii) Date of concurrent permanency plan. Indicate the month, day 
and year that each concurrent plan was established if the title IV-E 
agency indicated that the child has a concurrent permanency plan in 
paragraph (f)(3) of this section.
    (4) Reason for permanency plan change. Indicate whether the child's 
permanency plan changed during the report period and the reason(s) for 
the change in the child's permanency plan. Indicate ``yes'' if the 
child's permanency plan changed during the report period. Indicate 
``no'' if the child's permanency plan did not change during the report 
period. If the title IV-E agency indicates ``yes,'' the title IV-E 
agency must indicate whether each reason described in paragraphs 
(f)(4)(i) through (viii) of this section ``applies'' or ``does not 
apply.'' If there is no change in the child's permanency plan, leave 
paragraphs (f)(4)(i) through (viii) of this section blank.
    (i) Not engaged in services. The child's parent(s) or legal 
guardian(s) has not engaged in services or otherwise taken the steps 
necessary to reunify with the child.
    (ii) Lack of progress in reunification plan. The child's parent(s) 
or legal guardian(s) is not meeting the requirements of the case plan 
for reunification consistently by demonstrating needed changes in 
behavior to provide a safe family home for the child or otherwise 
taking the steps necessary to reunify with the child.
    (iii) Unable/incapable of caring for child permanently. The child's 
parent(s) or legal guardian(s) is unable or incapable of permanently 
caring for the child, due to permanent, long-term or other extenuating 
circumstances, such as abandonment of the child by the child's 
parent(s) or legal guardian(s), death of the child's parent(s) or legal 
guardian(s), long-term incarceration of the child's parent(s) or legal 
guardian(s) or if the rights of the child's parent(s) have been 
terminated or the legal guardianship was dissolved.
    (iv) Reunification appropriate. The child's parent(s) or legal 
guardian(s) is able to permanently and safely care for the child.
    (v) Child preference. An older child stated his or her preference 
for the change in the permanency plan.
    (vi) Adoption/guardianship appropriate. Permanency for the child 
through adoption or legal guardianship is a more appropriate permanency 
plan.
    (vii) Current foster care provider committed to permanency. The 
child's current foster care provider, whether a relative, foster 
parent, kin or other individual, expressed a commitment to care 
permanently for the child and the permanency plan of adoption, 
reunification or legal guardianship has been ruled out by the title IV-
E agency.
    (viii) Emancipation likely. Permanency for the child through 
reunification, adoption or legal guardianship is not an appropriate 
permanency plan.
    (5) Date of periodic review. Enter the month, day and year of each 
periodic review, either by a court or by administrative review (as 
defined in

[[Page 7217]]

section 475(6) of the Act) that meets the requirements of section 
475(5)(B) of the Act.
    (6) Date of permanency hearing. Enter the month, day and year of 
each permanency hearing held by a court or an administrative body 
appointed or approved by the court that meets the requirements of 
section 475(5)(C) of the Act.
    (7) Juvenile justice. Indicate whether the child was found to be a 
status offender or adjudicated delinquent by a juvenile judge or court 
at any time during the report period. If the child was not found to be 
a status offender or adjudicated delinquent during the report period 
indicate ``not applicable.'' If the child was involved with the 
juvenile justice system, indicate the type of involvement. Indicate 
``status offender'' if the child has been found to be a status 
offender. A status offense is specific to juveniles, such as running 
away, truancy or underage alcohol violations. Indicate ``adjudicated 
delinquent'' if the child has been adjudicated delinquent. Indicate 
``both status offender and delinquent'' if the child has been found to 
be a status offender and adjudicated delinquent during the report 
period.
    (8) Caseworker visit dates. Enter each date in which a caseworker 
had an in-person, face-to-face visit with the child consistent with 
section 422(b)(17) of the Act. Indicate the month, day and year of each 
visit.
    (9) Caseworker visit location. Indicate the location of each in-
person, face-to-face visit between the caseworker and the child. 
Indicate ``child's residence'' if the visit occurred at the location 
where the child is currently residing, such as the current foster care 
provider's home, child care institution or facility. Indicate ``other 
location'' if the visit occurred at any location other than where the 
child currently resides, such as the child's school, a court, a child 
welfare office or in the larger community.
    (10) Caseworker visit purpose. Indicate the primary purpose of each 
in-person, face-to-face visit between the caseworker and the child. 
Indicate ``assessment or case planning'' if the purpose of the visit 
was to assess the child's situation, whether through a formal 
assessment or continuous assessment or if the purpose was to conduct 
other case planning activities for the child's safety, permanency or 
well-being. Indicate ``placement of the child'' if the purpose of the 
visit was to place the child in foster care or another setting. 
Indicate ``transportation'' if the purpose of the visit was to 
transport the child to a visit or appointment. Indicate ``court 
hearing'' if the purpose of the visit was to attend a court hearing 
related to the child's case.
    (11) Caseworker visit alone with child. Indicate if the caseworker 
visited the child alone at any time during the visit for each in-
person, face-to-face visit between the caseworker and the child. 
Indicate ``yes'' or ``no,'' as appropriate.
    (12) Transition plan. Indicate whether a child has a transition 
plan that meets the requirements of section 475(5)(H) of the Act. 
Indicate ``yes'' or ``no'' or ``not applicable.'' If the title IV-E 
agency indicates ``yes,'' the title IV-E agency must indicate the 
provisions that are included in the child's transition plan as 
described in paragraphs (f)(12)(i) through (vi) of this section by 
indicating if a provision ``applies'' or ``does not apply.'' If the 
title IV-E agency indicates ``no'' or ``not applicable,'' leave 
paragraphs (f)(12)(i) through (vi) of this section blank.
    (i) Housing. Specific options on housing are included in the 
child's transition plan.
    (ii) Health insurance. Specific options on health insurance are 
included in the child's transition plan.
    (iii) Health care treatment decisions. Information is included in 
the child's transition plan on the importance of designating another 
individual to make health care treatment decisions on behalf of the 
child, if child is unable to make such decisions, and the child's 
transition plan provides the child with the option to execute a health 
care power of attorney, health care proxy or other similar document.
    (iv) Education. Specific options on education are included in the 
child's transition plan.
    (v) Mentoring and continuing support. Specific options on mentoring 
and continuing support services are included in the child's transition 
plan.
    (vi) Workforce support and employment services. Specific options on 
work force supports and employment services are included in the child's 
transition plan.
    (13) Date of transition plan. Indicate the month, day and year of 
the child's transition plan, if the title IV-E agency indicated in 
paragraph (f)(12) of this section that the child has a transition plan 
that meets the requirements of section 475(5)(H) of the Act; otherwise 
leave this paragraph blank.
    (g) General exit information. Provide exit information for each 
out-of-home care episode. An exit occurs when the title IV-E agency's 
placement and care responsibility of the child ends.
    (1) Date of exit. Indicate the month, day and year for each of the 
child's exits from out-of-home care. An exit occurs when the title IV-E 
agency's placement and care responsibility of the child ends. If the 
child has not exited out-of-home care the title IV-E agency must leave 
this data element blank. If this data element is applicable, the data 
elements in paragraphs (g)(2) and (g)(3) of this section must have a 
response.
    (2) Exit transaction date. A non-modifiable, computer-generated 
date which accurately indicates the month, day and year each response 
to paragraph (g)(1) of this section was entered into the information 
system.
    (3) Exit reason. Indicate the reason for each of the child's exits 
from out-of-home care. Indicate ``not applicable'' if the child has not 
exited out-of-home care. Indicate ``reunify with parent(s)/legal 
guardian(s)'' if the child was returned to his or her parent(s) or 
legal guardian(s) and the title IV-E agency no longer has placement and 
care responsibility. Indicate ``live with other relatives'' if the 
child exited to live with a relative (related by a biological, legal or 
marital connection) other than his or her parent(s) or legal 
guardian(s). Indicate ``adoption'' if the child was legally adopted. 
Indicate ``emancipation'' if the child exited care due to age. Indicate 
``guardianship'' if the child exited due to a legal guardianship of the 
child. Indicate ``runaway or whereabouts unknown'' if the child ran 
away or the child's whereabouts were unknown at the time that the title 
IV-E agency's placement and care responsibility ends. Indicate ``death 
of child'' if the child died while in out-of-home care. Indicate 
``transfer to another agency'' if placement and care responsibility for 
the child was transferred to another agency, either within or outside 
of the reporting State or Tribal service area, but not if the transfer 
is to a public agency, Indian Tribe, Tribal organization or consortium 
that has an agreement with a title IV-E agency under section 
472(a)(2)(B) of the Act. Indicate ``other'' if the child exited due to 
marriage, confinement to jail or prison or for a reason not described.
    (4) Transfer to another agency. If the title IV-E agency indicated 
the child was transferred to another agency in the data element Exit 
reason described in paragraph (g)(3) of this section, indicate the type 
of agency that received placement and care responsibility for the child 
from the following options: ``State title IV-E agency,'' ``Tribal title 
IV-E agency,'' ``Indian Tribe or Tribal agency (non-IV-E),'' ``juvenile 
justice agency,'' ``mental health agency,'' ``other public agency'' or 
``private agency.''
    (h) Exit to adoption and guardianship information. Report 
information in paragraphs (h)(1) through (11) only if the title IV-E 
agency indicated the child

[[Page 7218]]

exited to adoption or legal guardianship in the data element Exit 
reason described in paragraph (g)(3) of this section. Otherwise the 
title IV-E agency must leave these data elements blank.
    (1) Marital status of the adoptive parent(s) or guardian(s). 
Indicate the marital status of the adoptive parent(s) or legal 
guardian(s). Indicate ``married couple'' if the adoptive parents or 
legal guardians are considered united in matrimony according to 
applicable laws. Include common law marriage, where provided by 
applicable laws. Complete this data element even if only one person of 
the married or common law married couple is the adoptive parent or 
legal guardian of the child. Indicate ``unmarried couple'' if the 
adoptive parents or guardians are living together as a couple, but are 
not united in matrimony according to applicable laws. Complete this 
data element even if only one person of the unmarried couple is the 
adoptive parent or legal guardian of the child. Indicate ``single 
female'' if the adoptive parent or legal guardian is a female who is 
not married and is not living with another individual as part of a 
couple. Indicate ``single male'' if the adoptive parent or legal 
guardian is a male who is not married and is not living with another 
individual as part of a couple. If the response is ``married couple'' 
or ``unmarried couple,'' the title IV-E agency also must complete the 
data elements for the second adoptive parent or second legal guardian 
in paragraphs (h)(6) through (8) of this section; otherwise the title 
IV-E agency must leave these data elements blank.
    (2) Child's relationship to the adoptive parent(s) or guardian(s). 
Indicate the type of relationship, kinship or otherwise, between the 
child and his or her adoptive parent(s) or legal guardian(s). Indicate 
whether each relationship listed in the data elements described in 
paragraphs (h)(2)(i) through (viii) of this section ``applies'' or 
``does not apply.''
    (i) Paternal grandparent(s). The adoptive parent(s) or legal 
guardian(s) is the child's paternal grandparent(s), by biological, 
legal or marital connection.
    (ii) Maternal grandparent(s). The adoptive parent(s) or legal 
guardian(s) is the child's maternal grandparent(s), by biological, 
legal or marital connection.
    (iii) Other paternal relative(s). The adoptive parent(s) or legal 
guardian(s) is the child's paternal relative (by biological, legal or 
marital connection) other than a grandparent, such as an aunt, uncle or 
cousin.
    (iv) Other maternal relative(s). The adoptive parent(s) or legal 
guardian(s) is the child's maternal relative (by biological, legal or 
marital connection) other than a grandparent, such as an aunt, uncle or 
cousin.
    (v) Sibling(s). The adoptive parent or legal guardian is a brother 
or sister of the child, either biologically, legally or by marriage.
    (vi) Kin. The adoptive parent(s) or legal guardian(s) has a kin 
relationship with the child, as defined by the title IV-E agency, such 
as one where there is a psychological, cultural or emotional 
relationship between the child or the child's family and the adoptive 
parent(s) or legal guardian(s).
    (vii) Non-relative(s). The adoptive parent(s) or legal guardian(s) 
is not related to the child by biological, legal or marital connection.
    (viii) Foster parent(s). The adoptive parent(s) or legal 
guardian(s) was the child's foster parent(s).
    (3) Date of birth of first adoptive parent or guardian. Indicate 
the month, day and year of the birth of the first adoptive parent or 
legal guardian.
    (4) Race of first adoptive parent or guardian. In general, an 
individual's race is determined by the individual. Indicate whether 
each race category listed in the data elements described in paragraphs 
(h)(4)(i) through (vii) of this section applies with a ``yes'' or 
``no.''
    (i) Race--American Indian or Alaska Native. An American Indian or 
Alaska Native individual has origins in any of the original peoples of 
North or South America (including Central America), and maintains 
Tribal affiliation or community attachment.
    (ii) Race--Asian. An Asian individual 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.
    (iii) Race--Black or African American. A Black or African American 
individual has origins in any of the black racial groups of Africa.
    (iv) Race--Native Hawaiian or Other Pacific Islander. A Native 
Hawaiian or Other Pacific Islander individual has origins in any of the 
original peoples of Hawaii, Guam, Samoa or other Pacific Islands.
    (v) Race--White. A White individual has origins in any of the 
original peoples of Europe, the Middle East or North Africa.
    (vi) Race--Unknown. The first adoptive parent or legal guardian 
does not know his or her race, or at least one race.
    (vii) Race--Declined. The first adoptive parent, or legal guardian 
has declined to identify a race.
    (5) Hispanic or Latino ethnicity of first adoptive parent or 
guardian. In general, an individual's ethnicity is determined by the 
individual. An individual is of Hispanic or Latino ethnicity if the 
individual is a person of Cuban, Mexican, Puerto Rican, South or 
Central American or other Spanish culture or origin, regardless of 
race. Indicate whether this category applies with a ``yes'' or ``no.'' 
If the first adoptive parent or legal guardian does not know his or her 
ethnicity, indicate ``unknown.'' If the individual refuses to identify 
his or her ethnicity, indicate ``declined.''
    (6) Date of birth of second adoptive parent, guardian, or other 
member of the couple. Indicate the month, day and year of the date of 
birth of the second adoptive parent, legal guardian, or other member of 
the couple. The title IV-E agency must leave this data element blank if 
there is no second adoptive parent, legal guardian, or other member of 
the couple according to paragraph (h)(1) of this section.
    (7) Race of second adoptive parent, guardian, or other member of 
the couple. In general, an individual's race is determined by the 
individual. Indicate whether each race category listed in the data 
elements described in paragraphs (h)(7)(i) through (vii) of this 
section applies with a ``yes'' or ``no.'' The title IV-E agency must 
leave this data element blank if there is no second adoptive parent, 
legal guardian, or other member of the couple according to paragraph 
(h)(1) of this section.
    (i) Race--American Indian or Alaska Native. An American Indian or 
Alaska Native individual has origins in any of the original peoples of 
North or South America (including Central America), and maintains 
Tribal affiliation or community attachment.
    (ii) Race--Asian. An Asian individual 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.
    (iii) Race--Black or African American. A Black or African American 
individual has origins in any of the black racial groups of Africa.
    (iv) Race--Native Hawaiian or Other Pacific Islander. A Native 
Hawaiian or Other Pacific Islander individual has origins in any of the 
original peoples of Hawaii, Guam, Samoa or other Pacific Islands.
    (v) Race--White. A White individual has origins in any of the 
original peoples of Europe, the Middle East or North Africa.

[[Page 7219]]

    (vi) Race--Unknown. The second adoptive parent, legal guardian, or 
other member of the couple does not know his or her race, or at least 
one race.
    (vii) Race--Declined. The second adoptive parent, legal guardian, 
or other member of the couple has declined to identify a race.
    (8) Hispanic or Latino ethnicity of second adoptive parent, 
guardian, or other member of the couple. In general, an individual's 
ethnicity is determined by the individual. An individual is of Hispanic 
or Latino ethnicity if the individual is a person of Cuban, Mexican, 
Puerto Rican, South or Central American or other Spanish culture or 
origin, regardless of race. Indicate whether this category applies with 
a ``yes'' or ``no.'' If the second adoptive parent, legal guardian, or 
other member of the couple does not know his or her ethnicity, indicate 
``unknown.'' If the individual refuses to identify his or her 
ethnicity, indicate ``declined.'' The title IV-E agency must leave this 
data element blank if there is no second adoptive parent, legal 
guardian, or other member of the couple according to paragraph (h)(1) 
of this section.
    (9) Inter/Intrajurisdictional adoption or guardianship. Indicate 
whether the child was placed within the State or Tribal service area, 
outside of the State or Tribal service area or into another country for 
adoption or legal guardianship. Indicate ``interjurisdictional adoption 
or guardianship'' if the reporting title IV-E agency placed the child 
for adoption or legal guardianship outside of the State or Tribal 
service area but within the United States of America. Indicate 
``intercountry adoption or guardianship'' if the reporting title IV-E 
agency placed the child for adoption or legal guardianship outside of 
the United States of America. Indicate ``intrajurisdictional adoption 
or guardianship'' if the reporting title IV-E agency placed the child 
within the same State or Tribal service area as the one with placing 
responsibility. If the title IV-E agency indicates either 
``interjurisdictional adoption or guardianship'' or ``intercountry 
adoption or guardianship'' for the child's adoption or legal 
guardianship, the title IV-E agency must complete the data element in 
paragraph (h)(10) of this section; otherwise the title IV-E agency must 
leave it blank.
    (10) Interjurisdictional adoption or guardianship jurisdiction. 
Indicate the name of the State, Tribal service area, Indian reservation 
or country where the reporting title IV-E agency placed the child for 
adoption or legal guardianship. The title IV-E agency must complete 
this data element only if the title IV-E agency indicated either 
``interjurisdictional adoption or guardianship'' or ``intercountry 
adoption or guardianship'' in paragraph (h)(9) of this section; 
otherwise the title IV-E agency must leave it blank.
    (11) Adoption or guardianship placing agency. Indicate the agency 
that placed the child for adoption or legal guardianship. Indicate 
``title IV-E agency'' if the reporting title IV-E agency placed the 
child for adoption or legal guardianship. Indicate ``private agency 
under agreement'' if a private agency placed the child for adoption or 
legal guardianship through an agreement with the reporting title IV-E 
agency. Indicate ``Indian Tribe under contract/agreement'' if an Indian 
Tribe, Tribal organization or consortia placed the child for adoption 
or legal guardianship through a contract or an agreement with the 
reporting title IV-E agency.


Sec.  1355.44  Adoption and Guardianship Assistance Data File Elements.

    A title IV-E agency must collect and report the following 
information for each child in the adoption and guardianship assistance 
reporting population, if applicable based on Sec.  1355.42(c).
    (a) General information. (1) Title IV-E agency. Indicate the name 
of the title IV-E agency responsible for submitting the AFCARS data to 
ACF.
    (2) Report date. The report date corresponds to the end of the 
current report period. Indicate the last month and the year of the 
report period.
    (3) Child record number. The child record number is the encrypted, 
unique person identification number. If a child was previously in out-
of-home care, this number must be the same as the child record number 
provided in Sec.  1355.43(a)(4) of the out-of-home care data file. The 
child record number must remain the same for the child, no matter where 
the child lives and across all report periods. The title IV-E agency 
must apply and retain the same encryption routine or method for the 
child record number across all report periods. The record number must 
be encrypted in accordance with ACF standards. Indicate the record 
number for the child.
    (b) Child demographics. (1)(i) Child's date of birth. Indicate the 
month, day and year of the child's birth.
    (ii) Child born in the United States. Indicate whether the child 
was born in the United States. If the child was born in the United 
States, indicate ``yes.'' If the child was born in a country other than 
the United States, indicate ``no.''
    (2) Child's sex. Indicate whether the child is ``male'' or 
``female,'' as appropriate.
    (3) Child's race. In general, a child's race is determined by the 
child or the child's parent(s) or legal guardian(s). Indicate whether 
each race category listed in the data elements described in paragraphs 
(b)(2)(i) through (b)(2)(viii) of this section applies with a ``yes'' 
or ``no.''
    (i) Race--American Indian or Alaska Native. An American Indian or 
Alaska Native child has origins in any of the original peoples of North 
or South America (including Central America), and maintains Tribal 
affiliation or community attachment.
    (ii) Race--Asian. An Asian child 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.
    (iii) Race--Black or African American. A Black or African American 
child has origins in any of the black racial groups of Africa.
    (iv) Race--Native Hawaiian or Other Pacific Islander. A Native 
Hawaiian or Other Pacific Islander child has origins in any of the 
original peoples of Hawaii, Guam, Samoa or other Pacific Islands.
    (v) Race--White. A White child has origins in any of the original 
peoples of Europe, the Middle East or North Africa.
    (vi) Race--Unknown. The child or parent or legal guardian does not 
know the race, or at least one race of the child.
    (vii) Race--Abandoned. The child's race is unknown because the 
child has been abandoned. Abandoned means that the child was left alone 
or with others and the parent(s) or legal guardian(s)' identity is 
unknown and cannot be ascertained. This includes a child left at a 
``safe haven.''
    (viii) Race--Declined. The child or parent or legal guardian has 
declined to identify a race.
    (4) Hispanic or Latino Ethnicity. In general, a child's ethnicity 
is determined by the child or the child's parent(s) or legal 
guardian(s). A child is of Hispanic or Latino ethnicity if the child is 
a person of Cuban, Mexican, Puerto Rican, South or Central American or 
other Spanish culture or origin, regardless of race. Indicate whether 
this category applies with a ``yes'' or ``no.'' If the child or the 
child's parent or legal guardian does not know or cannot communicate 
whether the child is of Hispanic or Latino ethnicity, indicate 
``unknown.'' If the child was abandoned indicate ``abandoned.'' 
Abandoned means that the child was

[[Page 7220]]

left alone or with others and the parent(s) or legal guardian(s)' 
identity is unknown and cannot be ascertained. This includes a child 
left at a ``safe haven.'' If the child or the child's parent(s) or 
legal guardian(s) refuses to identify the child's ethnicity, indicate 
``declined.''
    (c) Adoption and guardianship assistance arrangement and agreement 
information. (1) Assistance agreement type. Indicate whether the child 
is or was in a finalized adoption with a title IV-E adoption assistance 
agreement or in a legal guardianship with a title IV-E guardianship 
assistance agreement, pursuant to sections 473(a) and 473(d) of the 
Act, in effect during the report period. Indicate ``title IV-E adoption 
assistance agreement'' or ``title IV-E guardianship assistance 
agreement,'' as appropriate.
    (2) Adoption or guardianship subsidy amount. Indicate the per diem 
dollar amount of the financial subsidy paid to the adoptive parent(s) 
or legal guardian(s) on behalf of the child during the last month of 
the current report period, if any. The title IV-E agency must indicate 
``0'' if a financial subsidy was not paid during the last month of the 
report period.
    (3) Nonrecurring adoption or guardianship costs. Indicate whether 
the IV-E agency made payments on behalf of the adoptive parent(s) or 
legal guardian(s) for nonrecurring costs, per sections 473(a)(6) and 
473(d) of the Act, during the current report period. Indicate ``costs 
paid'' or ``no costs paid,'' as appropriate.
    (4) Nonrecurring adoption or guardianship cost amount. Indicate the 
total dollar amount of the payment the title IV-E agency made on behalf 
of the adoptive parent(s) or guardian(s) for the nonrecurring costs 
during the report period if the title IV-E agency reported that these 
costs were paid in the data element Nonrecurring adoption or 
guardianship costs described in paragraph (3); otherwise the title IV-E 
agency must leave this data element blank.
    (5) Adoption or guardianship finalization date. Indicate the month, 
day and year that the child's adoption was finalized or the 
guardianship became legalized.
    (6) Adoption or guardianship placing agency. Indicate the agency 
that placed the child for adoption or legal guardianship. Indicate 
``title IV-E agency'' if the reporting title IV-E agency placed the 
child for adoption or legal guardianship. Indicate ``private agency 
under a contract/agreement'' if a private agency placed the child for 
adoption or legal guardianship through a contract or agreement with the 
reporting title IV-E agency. Indicate ``Indian Tribe'' if an Indian 
Tribe, Tribal organization or consortium placed the child for adoption 
or legal guardianship. Indicate ``private agency'' if a private agency 
had legal custody of the child or on behalf of a parent placed the 
child for adoption or legal guardianship. If the title IV-E agency 
indicates either ``Indian Tribe'' or ``private agency,'' the title IV-E 
agency must complete paragraphs (c)(7) and (8) of this section; 
otherwise the title IV-E agency must leave blank.
    (7) Inter/Intrajurisdictional adoption or guardianship. Indicate 
whether the child was placed within the State or Tribal service area or 
in another State or Tribal service area for adoption or legal 
guardianship. Indicate ``interjurisdictional adoption or guardianship'' 
if the title IV-E agency entered into a title IV-E adoption or 
guardianship assistance agreement with an adoptive parent(s) or a 
guardian(s) who lives outside of the reporting State or Tribal service 
area. Indicate ``intrajurisdictional adoption or guardianship'' if the 
title IV-E agency entered into a title IV-E adoption or guardianship 
assistance agreement with an adoptive parent(s) or a guardian(s) who 
lives in the reporting State or Tribal service area.
    (8) Interjurisdictional adoption or guardianship jurisdiction. 
Indicate the name of the State, Tribal service area or Indian 
reservation in which the child was placed for adoption or legal 
guardianship, if the title IV-E agency indicated ``interjurisdictional 
adoption or guardianship'' in paragraph (c)(7) of this section; 
otherwise the title IV-E agency must leave this paragraph blank.
    (9) Number of siblings. Indicate the number of siblings that a 
child has that, at any point during the report period, are either: in 
out-of-home care or have a finalized adoption or legal guardianship and 
are under a title IV-E adoption or guardianship assistance agreement. A 
sibling to the child is his or her brother or sister by biological, 
legal or marital connection. Do not include the child who is the 
subject of this record in the number. If the child does not have 
siblings that are in out-of-home care or under a title IV-E adoption or 
guardianship assistance agreement, the title IV-E agency must indicate 
``0'' as the number for this data element. If a child does not have any 
siblings, the title IV-E agency must indicate ``not applicable'' for 
this data element.
    (10) Siblings in out-of-home care. Indicate the child record 
number(s) of siblings who are in out-of-home care and are placed in the 
child's adoptive or guardianship home at any point during the report 
period. A sibling to the child is his or her brother or sister by 
biological, legal or marital connection. Report this information 
whether the child is living in or out-of-State or Tribal service area. 
Do not include the record number for the child who is the subject of 
this record. If the child is not residing with any siblings who are in 
out-of-home care, the title IV-E agency must leave this data element 
blank.
    (11) Siblings in adoption/guardianship. Indicate the child record 
number(s) of siblings who also have a finalized adoption or legal 
guardianship, are under a title IV-E adoption or guardianship 
assistance agreement and are living with the child at any point during 
the report period. A sibling to the child is his or her brother or 
sister by biological, legal or marital connection. Report this 
information whether the child is living in or out-of-State or Tribal 
service area. Do not include the record number for the child who is the 
subject of this record. If the child does not have any siblings in the 
adoptive or guardianship home who also have a finalized adoption or 
legal guardianship and are under a title IV-E adoption or guardianship 
assistance agreement, the title IV-E agency must leave this data 
element blank.
    (12) Agreement termination date. If the title IV-E agency 
terminated the adoption assistance or guardianship assistance agreement 
or the agreement expired during the report period, indicate the month, 
day and year that the agreement terminated or expired; otherwise leave 
this data element blank.


Sec.  1355.45  Compliance.

    (a) Files subject to compliance. ACF will evaluate the out-of-home 
care and adoption and guardianship assistance data files that a title 
IV-E agency submits to determine whether the data complies with the 
requirements of Sec.  1355.42 and the data file submission and data 
quality standards described in paragraphs (c) and (d) of this section. 
ACF will exempt records related to a child in either data file whose 
18th birthday occurred in a prior report period and will exempt records 
relating to a child in the adoption and guardianship assistance data 
file who is in a title IV-E guardianship from a compliance 
determination as described in paragraph (e) of this section.
    (b) Errors. ACF will utilize the error definitions in paragraphs 
(b)(1) through (b)(5) of this section to assess a title IV-E agency's 
out-of-home care and adoption and guardianship assistance

[[Page 7221]]

data files. This assessment of errors will help ACF to determine if the 
title IV-E agency's submitted data files meet the data file submission 
and data quality standards outlined in paragraphs (c) and (d) of this 
section. ACF will develop and issue error specifications.
    (1) Missing data. Missing data refers to instances in which a data 
element has a blank or otherwise missing response, when such a response 
is not a valid option as described in Sec. Sec.  1355.43 or 1355.44.
    (2) Invalid data. Invalid data refers to instances in which a data 
element 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 Sec. Sec.  1355.43 or 
1355.44.
    (3) Internally inconsistent data. Internally inconsistent data 
refers to instances in which a data element fails an internal 
consistency check designed to validate the logical relationship between 
data elements within each record. This assessment will identify all 
data elements involved in a particular check as in error.
    (4) Cross-file errors. A cross-file error occurs when a cross-file 
check determines that a response option for a data element recurs 
across the records in either the out-of-home care data file or adoption 
and guardianship assistance data file beyond a specified acceptable 
threshold.
    (5) Tardy transactions. Tardy transactions are instances in which 
the removal transaction date or exit transaction date described in 
Sec.  1355.43(d)(2) and (g)(2) respectively, are entered into the title 
IV-E agency's information system more than 30 days after the event.
    (c) Data file standards. To be in compliance with the AFCARS 
requirements the title IV-E agency must submit a data file in 
accordance with the data file standards described in paragraphs (c)(1) 
through (3) of this section.
    (1) Timely submission. ACF must receive the data files on or before 
the reporting deadline described in Sec.  1355.42(a).
    (2) Proper format. The data files must meet the technical standards 
issued by ACF for data file construction and transmission. In addition, 
each record subject to compliance standards within the data file must 
have the data elements described in Sec. Sec.  1355.43(a)(1) through 
(a)(4), 1355.43(b)(1)(i) and (b)(2), 1355.44(a)(1) through (a)(3) and 
1355.44(b)(1)(i) and (b)(2) be 100 percent free of missing data, 
invalid data and internally inconsistent data. ACF will not process a 
title IV-E agency's data file that does not meet the proper format 
standard.
    (3) Acceptable cross-file. The data files must be free of cross-
file errors that exceed the acceptable thresholds, as defined by ACF.
    (d) Data quality standards. To be in compliance with the AFCARS 
requirements, the title IV-E agency must submit a data file that has no 
more than 10 percent total of missing, invalid, or internally 
inconsistent data, or tardy transactions for each data element of 
applicable records. These standards are in addition to the formatting 
standards described in paragraph (c)(2) of this section.
    (e) Compliance determination and corrected data. (1) ACF will first 
determine whether the title IV-E agency's out-of-home care data file 
and adoption and guardianship assistance data file meets the data file 
standards in paragraph (c) of this section. Compliance is determined 
separately for each data file.
    (2) If each data file meets the data file standards, ACF will then 
determine whether each data file meets the data quality standards in 
paragraph (d) of this section. For every data element, we will divide 
the total number of applicable records in error (numerator) by the 
total number of applicable records (denominator), to determine whether 
the title IV-E agency has met the applicable data quality standards.
    (3) In general, a title IV-E agency that has not met either the 
data file standards or data quality standards must submit a corrected 
data file(s) no later than when data is due for the subsequent six 
month report period (i.e., by April 30 and October 30), as applicable. 
ACF will determine that the corrected data file(s) is in compliance if 
it meets the data file and data standards in paragraphs (c) and (d) of 
this section. Exception: If ACF determines initially that the title IV-
E agency's data file has not met the data quality standard related to 
tardy transactions, ACF will determine compliance with regard to the 
transaction dates only in the out-of-home care data file submitted for 
the subsequent report period.
    (f) Noncompliance. If the title IV-E agency does not submit a 
corrected data file, or submits a corrected data file that fails to 
meet the compliance standards in paragraphs (c) and (d) of this 
section, ACF will notify the title IV-E agency of such and apply 
penalties as provided in Sec.  1355.46.
    (g) Other assessments. ACF may use other monitoring tools or 
assessment procedures to determine whether the title IV-E agency is 
meeting all of the requirements of Sec. Sec.  1355.41 through 1355.44.


Sec.  1355.46  Penalties.

    (a) Federal funds subject to a penalty. The funds that are subject 
to a penalty are the title IV-E agency's claims for title IV-E foster 
care administration and training for the quarter in which the title IV-
E agency is required to submit the data files. For data files due on 
April 30, ACF will assess the penalty based on the title IV-E agency's 
claims for the third quarter of the Federal fiscal year. For data files 
due on October 30, ACF will assess the penalty based on the title IV-E 
agency's claims for the first quarter of the Federal fiscal year.
    (b) Penalty amounts. ACF will assess penalties in the following 
amounts:
    (1) First six month period. ACF will assess a penalty in the amount 
of one sixth of one percent (\1/6\ of 1%) of the funds described in 
paragraph (a) of this section for the first six month period in which 
the title IV-E agency's submitted corrected data file does not comply 
with Sec.  1355.45.
    (2) Subsequent six month periods. ACF will assess a penalty in the 
amount of one fourth of one percent (\1/4\ of 1%) of the funds 
described in paragraph (a) of this section for each subsequent six 
month period in which the title IV-E agency continues to be out of 
compliance.
    (c) Penalty reduction from grant. ACF will offset the title IV-E 
agency's title IV-E foster care grant award in the amount of the 
penalty from the title IV-E agency's claims following the title IV-E 
agency notification of ACF's final determination of noncompliance.
    (d) Appeals. The title IV-E agency may appeal ACF's final 
determination of noncompliance to the HHS Departmental Appeals Board 
pursuant to 45 CFR part 16.

Appendices A through E to Part 1355 [Removed]

0
4. Remove Appendices A through E to Part 1355.

[FR Doc. 2015-02354 Filed 2-6-15; 8:45 am]
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