896 Federal Register / Vol. 77, No. 4 / Friday, January 6, 2012 / Rules and Regulations 

DEPARTMENT OF HEALTH AND 

HUMAN SERVICES 

Administration for Children and 

Families 

45 CFR Parts 1355 and 1356 

RIN 0970–AC41 

Tribal Child Welfare 

AGENCY: Administration on Children, 

Youth and Families (ACYF), 

Administration for Children and 

Families (ACF), Department of Health 

and Human Services (HHS). 

ACTION: Interim final rule. 

SUMMARY: The Administration for 

Children and Families (ACF) is issuing 

this interim final rule to implement 

statutory provisions related to the Tribal 

title IV–E program. Effective October 1, 

2009, section 479B(b) of the Social 

Security Act (the Act) authorizes direct 

Federal funding of Indian Tribes, Tribal 

organizations, and Tribal consortia that 

choose to operate a foster care, adoption 

assistance and, at Tribal option, a 

kinship guardianship assistance 

program under title IV–E of the Act. The 

Fostering Connections to Success and 

Increasing Adoptions Act of 2008 

requires that ACF issue interim final 

regulations which address procedures to 

ensure that a transfer of responsibility 

for the placement and care of a child 

under a State title IV–E plan to a Tribal 

title IV–E plan occurs in a manner that 

does not affect the child’s eligibility for 

title IV–E benefits or medical assistance 

under title XIX of the Act (Medicaid) 

and such services or payments; in-kind 

expenditures from third-party sources 

for the Tribal share of administration 

and training expenditures under title 

IV–E; and other provisions to carry out 

the Tribal-related amendments to title 

IV–E. This interim final rule includes 

these provisions and technical 

amendments necessary to implement a 

Tribal title IV–E program. 

DATES: This rule is effective February 6, 

2012. Consideration will be given to all 

comments received by March 6, 2012. 

ADDRESSES: Interested persons may 

submit written comments to the Federal 

eRulemaking Portal: http:// 

www.regulations.gov. Written comments 

also may be submitted via email to 

CBComments@acf.hhs.gov. Please 

include ‘‘Tribal Child Welfare’’ in the 

subject line of the message. Written 

comments also may be submitted via 

mail or courier delivery: Elizabeth 

Sharp, 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. 

FOR FURTHER INFORMATION CONTACT: 

Elizabeth Sharp, Children’s Bureau, 

Administration on Children, Youth and 

Families, (202) 205–7265 or by email at 

elizabeth.sharp@acf.hhs.gov. Do not 

email comments to this address. 

SUPPLEMENTARY INFORMATION: 

I. Submitting Comments 

II. Background 

III. Justification for Interim Final Rule 

IV. Tribal and Stakeholder Consultation 

V. Section by Section Discussion of the 

Interim Final Rule 

VI. Impact Analysis 

I. Submitting Comments 

Although this interim final rule is 

effective without further regulatory 

action as indicated in the ‘dates’ section, 

we are soliciting comments from 

interested parties that we can use to 

determine the need for any further 

rulemaking. Comments should be 

specific, address issues raised by the 

rule, propose alternatives where 

appropriate, and explain reasons for any 

objections or recommended changes. 

You should reference the specific 

section of the interim final rule that is 

being addressed in the comment. We 

urge you to submit comments 

electronically to ensure we receive them 

in a timely manner. 

II. Background 

The Fostering Connections to Success 

and Increasing Adoptions Act of 2008, 

Public Law (Pub. L.) 110–351 (hereafter 

‘‘Fostering Connections’’) was enacted 

on October 7, 2008. Prior to the law’s 

enactment, the title IV–E program 

provided States and territories 

(hereafter, ‘‘States’’) with Federal funds 

to support eligible children in foster 

care, eligible children with special 

needs in adoptions, and the 

administrative expenses of States to 

operate the title IV–E program. As 

amended, the law permits Federallyrecognized Indian Tribes, Tribal 

organizations or consortia (hereafter, 

‘‘Indian Tribes’’) to apply to the 

Secretary of HHS to operate a title IV– 

E program beginning October 1, 2009. 

By law, the requirements of title IV– 

E apply to a Tribal agency ‘‘in the same 

manner as this part [IV–E] applies to a 

State’’ (section 479B(b) of the Act), with 

limited exceptions specified in the law. 

This means that an Indian Tribe wishing 

to operate a title IV–E plan must adhere 

to most existing statutory and regulatory 

title IV–E requirements in place for a 

State title IV–E agency, with some 

exceptions provided in law. Those 

exceptions include: the ability for 

Indian Tribes to define their own 

service areas and Tribal licensing 

standards; flexibility to use nunc pro 

tunc orders and affidavits to meet 

judicial determination requirements in 

the first 12 months of operation of the 

Tribal title IV–E plan; and, the ability to 

use in-kind third-party funding sources 

for sharing in the costs of the title IV– 

E program. As reflected throughout this 

rule, we determined that there are a very 

limited number of other variances 

necessary. 

Public Law 110–351 also provides 

limited grants, beginning in Federal 

fiscal year (FY) 2009, to assist Indian 

Tribes that intend to implement a title 

IV–E program to develop a title IV–E 

plan. Eleven Indian Tribes have 

received a title IV–E development grant, 

and ACF expects to award grants to five 

more Indian Tribes in FY2011. Finally, 

the law permits a title IV–E agency to 

enter into a contract or cooperative 

agreement with an Indian Tribe to share 

in the administration of the title IV–E 

programs on behalf of Indian children. 

In addition to creating these 

provisions unique to Indian Tribes, 

Fostering Connections contains new 

requirements and options for States and 

Indian Tribes with title IV–E plans. 

Public Law 110–351 permits a title IV– 

E agency the option to administer a new 

kinship guardianship assistance 

program under title IV–E, revises the 

eligibility criteria for the title IV–E 

adoption assistance program, allows a 

title IV–E agency the option to extend 

title IV–E foster care, adoption 

assistance, and kinship guardianship 

assistance payments to youth who meet 

certain conditions up to age 21, among 

other changes to the title IV–B and IV– 

E requirements. The entire text of 

Fostering Connections and issuances 

related to the new provisions can be 

found on the Children’s Bureau’s Web 

site at www.acf.hhs.gov/programs/cb 

and www.acf.hhs.gov/programs/cb/ 

laws_policies/ 

implementation_foster.htm. 

III. Justification for Interim Final Rule 

Section 301(e) of Public Law 110–351 

requires that we publish interim final 

rules generally to carry out the 

amendments made to title IV–E of the 

Act to authorize Indian Tribes to 

directly-operate title IV–E programs. 

Many of these amendments are present 

throughout this rule in the form of 

minor language changes to existing 

regulatory provisions to be inclusive of 

a Tribal title IV–E agency because the 

law mandates that we apply title IV–E 

requirements equally to States and 

Indian Tribes. Also, the law specifically 

requires that we develop and codify 


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procedures in an interim final rule to 

ensure that a transfer of responsibility 

for the placement and care of a child 

under a State title IV–E plan to a Tribal 

title IV–E plan or to an Indian Tribe 

with an agreement or contract under 

title IV–E does not affect the child’s 

eligibility for title IV–E or Medicaid. 

Further, the law requires that we 

address in interim final rules the types 

and amounts of in-kind expenditures 

that Indian Tribes may claim under a 

title IV–E plan. These specific 

requirements can be found in new 

sections of the regulation, 45 CFR 

1356.67 and 1356.68. 

We also are including several 

technical and conforming amendments 

to existing regulatory requirements that, 

although not directly related to the 

amendments of Public Law 110–351, 

clarify implementation of the title IV–E 

programs. These conforming 

amendments are to update statutory 

citations, remove obsolete references 

and make technical corrections. The 

Administrative Procedure Act provides 

an exception to the standard rulemaking 

process to propose rules and solicit 

comments prior to adopting a final rule 

where an agency finds good cause to 

adopt a rule without prior public 

participation (5 U.S.C. 553(b)(3)(B)). The 

good cause requirement is satisfied 

when prior public participation is 

impracticable, unnecessary, or contrary 

to the public interest. We find proposing 

rulemaking for these technical and 

conforming amendments impracticable 

and unnecessary since they are not 

substantive and only align the 

regulations with current law or practice. 

Moreover, we believe that delaying 

rulemaking on these technical 

amendments would be contrary to the 

public interest since doing so would 

cause significant confusion about the 

statutory and regulatory provisions to 

which Indian Tribes must adhere in 

implementing the title IV–E program for 

the first time. Therefore we find good 

cause to include these technical 

amendments in this interim final rule. 

More specific rationale for each 

amendment can be found in the section 

by section discussion. 

IV. Tribal and Stakeholder 

Consultation 

Section 301(e) of Public Law 110–351 

requires us to consult with Indian 

Tribes and affected States prior to 

issuing interim final rules. Consistent 

with this requirement and the 

Department’s commitment to consult 

with Indian Tribes on a government-togovernment basis, we conducted a series 

of consultation sessions with Indian 

Tribes and other Tribal stakeholders 

prior to issuing these rules. On March 

13, 2009, we published a Federal 

Register notice, 74 FR 10920 (hereafter, 

‘‘FR notice’’) inviting Tribal leaders 

and/or their representatives to attend 

one of seven in-person meetings held in 

Bloomington, Minnesota; Kansas City, 

Missouri; Seattle, Washington; Denver, 

Colorado; San Francisco, California; 

Dallas, Texas; and, Marksville, 

Louisiana. The FR notice also invited 

written comments from Tribal leaders or 

any other interested party. 

Indian Tribes and other stakeholders 

were invited to provide input on the 

following questions: 

• Considering that the Secretary is to 

apply title IV–E of the Act to Indian 

Tribes in the same manner as to States 

except where directed by law, what, if 

any, provisions and clarifications 

related to the title IV–E program for 

directly-funded Indian Tribes should be 

in regulations? 

• Are guidelines above and beyond 

those provided pursuant to the Indian 

Child Welfare Act (ICWA) of 1974 

needed to execute the transfer of 

placement and care responsibility of a 

title IV–E Indian child to an Indian 

Tribe operating a title IV–E plan? If so, 

please provide suggestions. 

• What specific information 

pertaining to title IV–E and Medicaid 

should a State make available to an 

Indian Tribe that seeks to gain 

placement and care responsibility over 

an Indian child? 

• Should the third-party sources and 

in-kind limits on Tribal administrative 

and training costs remain consistent 

with section 479B(c)(1)(D) of the Act? 

Please provide a rationale for this 

response. 

• Any other comments regarding the 

development of an interim final rule per 

section 301(e) of Public Law 110–351. 

The consultation was limited in scope 

and not intended to solicit comments on 

the remaining provisions of Public Law 

110–351 or the title IV–E program in 

general. However, the consultations 

elicited a wide range of questions, 

issues and suggestions regarding 

implementation and operation of a title 

IV–E program. Further, we continue to 

listen to Tribal partners in ongoing 

consultations and less formal 

opportunities for discussion such as 

grantee meetings. Highlights of the 

comments that we received and how 

they are addressed in this regulation 

follow. 

Commenters felt strongly that the 

requirement in Public Law 110–351 that 

title IV–E requirements apply to Indian 

Tribes in the same way as they apply to 

States, does not consider Indian Tribes’ 

sovereignty, cultural standards, lack of 

historical funding under title IV–E and 

current economic circumstances. In 

particular, commenters requested: (1) 

Relief from the application of Statespecific 1996 Aid to Families with 

Dependent Children (AFDC) 

requirements; (2) use of nunc pro tunc 

orders to ensure title IV–E eligibility for 

all Indian children who did not have the 

requisite court orders beyond the first 

twelve months of the approved Tribal 

title IV–E plan; and, 3) direct funding of 

selected components of the title IV–E 

plan of the Indian Tribe’s choosing. 

Although we respect Tribal sovereignty 

and standards and understand the 

unique situation of Indian Tribes in 

operating a long-standing Federal 

program for the first time, the existing 

statutory requirements of title IV–E of 

the Social Security Act do not allow us 

to meet these particular requests. Rather 

we have indicated in this interim final 

regulation the areas in which the law 

must be applied equally to Indian Tribes 

and States, where the law crafted 

unique requirements specific to Indian 

Tribes with title IV–E plans, and where 

there is discretion for the Indian Tribe 

to develop its own practices and 

approaches. We encourage Indian Tribes 

to seek technical assistance from the 

Children’s Bureau (CB) Regional Office 

staff in dealing with these issues. 

Commenters sought more clarity 

about the relationships between States 

and Indian Tribes, and how those 

relationships may impact various parts 

of the title IV–E program and/or 

transfers of placement and care 

responsibility of a child from one 

jurisdiction to another. Commenters 

asked us to specify: (1) Which entities 

are responsible for funding Indian 

children in Tribal title IV–E programs; 

(2) the extent to which States may 

influence the direction of Tribal title 

IV–E plans/programs; and, (3) the extent 

of Tribal access to State-owned 

resources, such as funding, information 

systems, data and Medicaid program 

benefits. In general, we do not believe 

it necessary nor do we have the 

authority to prescribe the relationships 

between Indian Tribes and States. 

Rather, in this interim final regulation 

we have specified the minimum 

information States must provide to 

Indian Tribes with either a title IV–E 

plan or agreement when a child is 

transferred from the responsibility of the 

State to the Indian Tribe and we have 

explained that the law permits States 

and Indian Tribes to enter into various 

arrangements in support of Tribal title 

IV–E programs. A State that has a title 

IV–E plan under existing law may craft 

the relationships and partnerships it 


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desires with other public agencies, 

private child placing agencies and other 

contractors within broad Federal 

parameters. Indian Tribes with a title 

IV–E plan have this same discretion to 

enter into relationships and 

partnerships it finds beneficial in 

supporting the title IV–E plan. Through 

consultation, coordinated efforts and 

good faith negotiation of title IV–E 

agreements, States and Indian Tribes 

can determine for themselves issues of 

funding, responsibility, shared 

resources and services. 

An overarching concern of most 

Tribal commenters was funding, and as 

such Indian Tribes requested: (1) More 

funding to operate the title IV–E 

program; (2) relief from provisions that 

limit in-kind contributions, require 

matching funds and/or allocation of 

costs; and (3) numerous clarifications 

about how title IV–E funding operates 

and interacts with other funding 

streams. We have clarified throughout 

this regulation how Indian Tribes may 

draw down title IV–E funding and will 

continue to make this a priority in 

further technical assistance activities. 

However, the title IV–E program’s basic 

funding structure as a reimbursement 

program of a portion of an agency’s 

expenses on behalf of eligible children, 

is not one that we can alter in the 

absence of statutory changes. 

Finally, we received a number of 

specific questions about items that are 

not germane to this regulation. For 

example, we received questions about 

the Family Connection grants 

authorized by Public Law 110–351 

(section 427 of the Act); availability of 

American Recovery and Reinvestment 

Act of 2009 (‘‘stimulus’’) funding; and 

provisions for a kinship guardianship 

assistance program or an extension of 

title IV–E assistance to 18 to 21 year 

olds which are not specific to Indian 

Tribes. We will use the questions and 

comments we received in consultation 

that are outside this regulation to 

formulate other technical assistance 

efforts, policy proposals, and further 

consultation as appropriate. 

V. Section by Section Discussion of the 

Interim Final Rule 

Section 1355.20—Definitions 

Section 1355.20 contains definitions 

pertaining to terms used in 45 CFR parts 

1355, 1356 and 1357 of this title. We 

amended several definitions by 

removing references to ‘‘State’’ or 

‘‘States’’ and replacing such references 

with the broader terms of ‘‘title IV–E 

agency’’ or ‘‘title IV–E agencies’’ or, by 

adding references to ‘‘Indian Tribe’’ or 

‘‘Tribal’’ as descriptive terms. These 

changes apply the terms defined in the 

regulation equally to States and Indian 

Tribes with an approved title IV–E plan 

pursuant to Public Law 110–351. These 

changes are made to the following 

definitions: ‘‘date a child is considered 

to have entered foster care’’, ‘‘entity’’, 

‘‘foster care’’, ‘‘foster family home’’, 

‘‘full review’’ and ‘‘permanency 

hearing.’’ In some definitions we made 

additional conforming changes which 

are described below. 

Adoption 

We amended the definition of the 

term ‘‘adoption’’ to include adoptions 

under Tribal law for Tribal title IV–E 

purposes. We understand that Indian 

Tribes finalize legal adoptions through 

court processes and/or through 

traditional or ceremonial processes, and 

therefore this change ensures that the 

term ‘‘adoption’’ is inclusive of 

adoptions finalized through these 

processes for Tribal title IV–E agencies. 

Child Care Institution 

We amended the definition of a 

‘‘child care institution’’ to account for 

the ability of an Indian Tribe that has an 

approved title IV–E plan pursuant to 

section 479B of the Act to license child 

care institutions in its service area. The 

revised definition provides three types 

of licensing authorities: A State 

licensing authority in the State in which 

the child care institution is located, a 

Tribal licensing authority with respect 

to a child care institution on or near an 

Indian Reservation, or the Tribal 

licensing authority of an Indian Tribe 

that operates a title IV–E plan pursuant 

to section 479B of the Act with respect 

to a child care institution in the Indian 

Tribe’s service area. 

A commenter requested that Indian 

Tribes be permitted flexibility with 

regard to the definition of ‘‘on or near 

an Indian Reservation.’’ This language 

comes from section 1931 of the Indian 

Child Welfare Act of 1978 (ICWA) (Pub. 

L. 95–608) and applies to both child 

care institutions and foster family 

homes. The ICWA requirement states 

that for purposes of qualifying for funds 

under a Federally assisted program, e.g., 

titles IV–E and IV–B, licensing or 

approval of foster or adoptive homes or 

institutions on or near an Indian 

Reservation by an Indian Tribe is 

equivalent to licensing or approval by a 

State. There is no statutory or regulatory 

definition of this term. As such, if an 

Indian Tribe has a reservation, it has the 

discretion to make a reasonable 

determination of what it considers on or 

near the reservation. Another 

commenter requested clarification that 

the existing Tribal licensing authorities 

may serve in the licensing role for title 

IV–E purposes. We confirm that the 

Indian Tribe has the discretion to use 

existing licensing authorities or create 

new authorities to license foster family 

homes or child care institutions on or 

near reservations and/or within a Tribal 

agency’s service area. 

Foster Family Home 

We amended the definition of ‘‘foster 

family home’’ to add a sentence that 

clarifies that the authority that licenses 

a foster family home must be a State 

licensing authority in the State in which 

the foster family home is located 

pursuant to section 471(a)(10) of the 

Act, a Tribal authority with respect to a 

foster family home on or near an Indian 

Reservation pursuant to section 1931 of 

ICWA, or the Tribal authority of an 

Indian Tribe that operates a title IV–E 

plan pursuant to section 479B(c)(2) of 

the Act with respect to a foster family 

home in the Tribal agency’s service area. 

These changes are similar to the ones 

made to the definition of a child care 

institution. 

During consultation, some 

commenters sought clarification of 

whether an Indian Tribe has to abide by 

Federal or State foster family home 

licensing/approval standards and 

exceptions to such standards such as, 

State rules that may limit the number of 

children in the home, Indian Health 

Service safety requirements, or 

requirements on driving. Another 

commenter sought flexibility in Federal 

Tribal licensing standards because of 

the limited nature of housing in Indian 

country and the unique cultural issues 

in Indian Tribes. In response, we would 

like to explain the foster family home 

licensing/approval requirements in title 

IV–E. Section 471(a)(10) of the Act 

requires the State or Tribal agency to 

establish or designate an authority for 

establishing and maintaining standards 

for foster family homes and child care 

institutions. An Indian Tribe that has a 

title IV–E plan will be responsible for 

establishing such an authority and 

applying the standards developed to the 

foster family homes or child care 

institutions in its service area and/or on 

or near its reservation. At a minimum, 

the licensing standards must cover 

admission policies, safety, sanitation, 

and protection of civil rights (see 

sections 471(a)(10) and 479B(c)(2) of the 

Act). Therefore, Indian Tribes may take 

into consideration the unique features of 

the housing, landscape and cultural 

norms in developing licensing or 

approval standards for foster family 

homes. In addition, standards must be 

applied equally to any licensed or 

approved foster family home receiving 


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title IV–B and IV–E funds, with one 

exception in section 471(a)(10) of the 

Act. The exception permits a title IV–E 

agency to waive the application of a 

standard unrelated to safety for relative 

foster family homes on a case-by-case 

basis. The title IV–E agency may not 

exclude relative homes, or any other 

group from the licensing requirement 

(see section 471(a)(10) of the Act and 

the definition of ‘‘foster family home’’ in 

45 CFR 1355.20). There are no ACF 

prescribed standards for licensing or 

approving homes, although section 

471(a)(10) of the Act requires standards 

to accord with recommended standards 

of national organizations. An Indian 

Tribe or a State may have to follow 

other Federal standards for licensure to 

the extent that the foster family homes 

are governed by other Federal laws and/ 

or funding restrictions. Please note that 

for title IV–E funding purposes, criminal 

record and child abuse and neglect 

registry checks are a related but separate 

issue from licensure. Requirements 

related to the criminal record check 

provisions are in section 471(a)(20) of 

the Act and discussed in relation to 

section 1356.30 later in the preamble. 

Some commenters sought clarification 

on whether Indian Tribes can use title 

IV–E to pay for children placed with 

prospective foster parents in the process 

of being licensed or approved as a foster 

family home. In certain circumstances, 

a title IV–E agency, including an Indian 

Tribe, may seek administrative cost 

reimbursement for eligible children 

placed with such prospective foster 

parents. Consistent with section 

472(i)(1)(A) of the Act and policy at 

Child Welfare Policy Manual (CWPM) 

8.1B Q/A #11, the title IV–E agency may 

claim administrative costs on behalf of 

an otherwise eligible child placed in an 

unlicensed or unapproved relative home 

for 12 months or the average length of 

time it takes the agency to license or 

approve a foster family home, 

whichever is less. During this time, an 

application for licensure or approval of 

the relative home as a foster family 

home must be pending. The title IV–E 

agency may only claim administrative 

costs in this situation for a child placed 

in an unlicensed or unapproved relative 

foster family home. For the purposes of 

this provision, a relative is defined by 

section 406(a) of the Act as in effect on 

July 16, 1996, and implemented in 45 

CFR 233.90(c)(1)(v). In general, a title 

IV–E agency may not claim the cost of 

a title IV–E foster care maintenance 

payment on behalf of an otherwise 

eligible child until the first day of the 

first month in which the foster family 

home meets all licensure or approval 

requirements. See CWPM 8.3A.8c Q/A 

#16. 

Full Review 

We amended the definition of ‘‘full 

review’’ to apply the definition equally 

to States and Indian Tribes by removing 

language that described the Child and 

Family Services Review (CFSR) as 

focused on child and family service 

programs ‘‘in the States’’ relative to 

‘‘State’’ plans for title IV–B and IV–E. By 

removing this language, we make clear 

that the full reviews can occur in States 

or Indian Tribes with approved plans 

for both titles IV–E and IV–B. Further, 

we added parenthetical language to the 

definition of a full review to clarify that 

the statewide assessment, which is a 

component of the CFSR, may be an 

assessment of the Tribal service area in 

the case of a Tribal agency. For the 

purposes of title IV–E, a service area is 

defined by the Indian Tribe pursuant to 

section 479B(c)(1)(B) of the Act and for 

the purposes of title IV–B, it is the area 

covered by the Indian Tribe’s Child and 

Family Services Plan (CFSP). See 

sections 1355.31 through 1355.37 for a 

more complete discussion of the CFSRs 

as they apply to Indian Tribes with title 

IV–E plans. 

Partial Review 

We amended the definition of ‘‘partial 

review’’ to apply the process for 

reviewing title IV–E compliance to 

Indian Tribes with an approved title IV– 

E plan, consistent with section 479B(b) 

of the Act. As we did in the ‘‘full 

review’’ definition, we removed 

language that references States in 

paragraph (1) of the definition. This 

means that an Indian Tribe with an 

approved title IV–E plan will be subject 

to a partial review, if necessary, if there 

is a compliance issue that falls within 

the scope of the CFSR. Also, we added 

a new paragraph (3) to the definition to 

specify that partial reviews encompass 

Tribal title IV–E plan compliance issues 

that fall outside of the CFSR. This 

requirement is similar to the existing 

requirement for States in paragraph (2). 

Partial reviews do not pertain to Indian 

Tribes with only a title IV–B plan. Such 

compliance issues are regulated by the 

process described in sections 1355.30(n) 

and (p) instead. 

Statewide Assessment (or Tribal 

Assessment) 

We amended the definition of 

‘‘statewide assessment’’ to apply the 

initial phase of a full review to Tribal 

title IV–E agencies by inserting the term 

‘‘Tribal assessment.’’ This means that a 

Tribal assessment for a Tribal title IV– 

E agency is a review of all Federallyassisted child and family services 

programs in the Tribal service area (as 

opposed to a review of all Federallyassisted child and family services 

programs in the State for a Statewide 

assessment). We also made an 

amendment to apply the assessment to 

the entire Tribal service area by 

inserting the phrase ‘‘(or for a Tribal 

title IV–E agency, in the service area).’’ 

Title IV–E Agency 

We added a new definition of a ‘‘title 

IV–E agency.’’ This definition is 

inclusive of a State or Tribal agency that 

administers or supervises the 

administration of both the title IV–B 

(subparts 1 and 2) plan and IV–E plan 

and a Tribal agency that administers or 

supervises the administration of both 

the title IV–B, subpart 1 and title IV–E 

plan. We added this definition pursuant 

to Public Law 110–351 which 

authorizes Indian Tribes to operate a 

title IV–E plan and requires ACF to 

apply the title IV–E program equally to 

States and Indian Tribes. This term is 

used throughout the interim final rule 

when we refer to common requirements 

for a State or Tribal title IV–E agency; 

we use the terms State agency (defined 

in this section of the regulation) or 

Tribal agency as described below, when 

we are referring to requirements unique 

to those entities. 

Tribal Agency 

We added a new definition of ‘‘Tribal 

agency.’’ Tribal agency means, for the 

purpose of title IV–E, the agency of the 

Indian Tribe, Indian Tribal organization 

or consortium of Indian Tribes that is 

designated to administer or supervise 

the administration of the title IV–E and 

title IV–B, subpart 1 plan. Section 

479B(a) of the Act incorporates the 

definition of Indian Tribe in 25 U.S.C. 

450b which is any Indian Tribe, band, 

nation, or other organized group or 

community that is recognized as eligible 

for special programs and services 

provided by the United States to Indians 

because of their status as Indians. Such 

Tribes are commonly referred to as 

Federally-recognized Indian Tribes. 

Section 479B(a) of the Act also 

incorporates the definition of Indian 

Tribal organization in 25 U.S.C. 450b 

which is a recognized body of an Indian 

Tribe. In this context, a consortium of 

Indian Tribes is two or more Federallyrecognized Indian Tribes that agree to 

join for the purpose of operating the title 

IV–E plan. 


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Section 1355.21—Plan Requirements for 

Titles IV–E and IV–B 

Section 1355.21 specifies the 

requirements for title IV–B and IV–E 

plans. 

We changed the title of this section by 

removing the term ‘‘State’’ so that the 

section refers more generally to the plan 

requirements for titles IV–E and IV–B 

rather than ‘‘State plan’’ requirements. 

Similarly, we amended section 1355.21 

in paragraphs (a), (b) and (c) to make 

conforming changes by removing the 

term ‘‘State’’ before ‘‘plan’’ and in 

paragraph (c) to replace the term ‘‘State 

agency’’ with the more general ‘‘title IV– 

E agency’’ to clarify that Indian Tribes 

with title IV–E plans must follow the 

same rules consistent with Public Law 

110–351. These conforming changes 

apply the title IV–E and title IV–B plan 

requirements in section 1355.21 equally 

to States and Indian Tribes. 

In addition, we amended paragraph 

(b) to add clarifying language that a title 

IV–E agency must comply with the 

applicable Departmental regulations 

described in section 1355.30. Section 

1355.30 specifies which Departmental 

regulations apply to a title IV–E agency 

generally, or those that are specific to 

either a Tribal or State title IV–E agency. 

In paragraph (c) as indicated above, 

we replaced the term ‘‘State agency’’ 

with ‘‘title IV–E agency’’ to make a 

conforming change. Through this 

conforming change, we apply the 

existing requirement that a title IV–E 

agency must make the title IV–E plan 

available for public review and 

inspection equally to all title IV–E 

agencies. Therefore, in addition to 

making the Child and Family Services 

Plans and the Annual Progress and 

Services Reports available for public 

review and inspection, an Indian Tribe 

with an approved title IV–E plan must 

make the title IV–E plan available for 

public review and inspection. 

Section 1355.30—Other Applicable 

Regulations 

Section 1355.30 identifies other 

Departmental regulations that are 

applicable to title IV–B and IV–E 

programs. 

We amended the introductory 

paragraph to section 1355.30 to apply 

the regulations cited in this section to 

both State and Tribal title IV–B and title 

IV–E programs, as appropriate. The 

cited regulations are for: Departmental 

Appeals Board procedures (45 CFR 

1355.30(a)), collecting claims (45 CFR 

1355.30(b)), nonprocurement debarment 

and suspension (45 CFR 1355.30(c)), 

drug-free workplaces (45 CFR 

1355.30(d)), nondiscrimination under 

title VI of the Civil Rights Act and 

associated hearing procedures (45 CFR 

1355.30(e)–(f)), nondiscrimination on 

the basis of handicap (45 CFR 

1355.30(g)), nondiscrimination on the 

basis of age (45 CFR 1355.30(h)), 

lobbying restrictions (45 CFR 

1355.30(j)), and grants and 

administration of public assistance 

programs (45 CFR 1355.30(k), (m) and 

(n)). The regulations in the above 

mentioned sections previously applied 

to State and Tribal title IV–B programs 

and State title IV–E programs. These 

amendments apply the regulatory 

requirements equally to Indian Tribes 

with a title IV–E plan consistent with 

Public Law 110–351. In addition, we 

made conforming amendments in the 

paragraphs described below that align 

these regulations with other regulatory 

and statutory changes implemented 

between November 2003 and January 

2010. 

We amended paragraph (c) to delete 

the Administration of Grants rules 

previously located in 45 CFR part 74 

from the list of applicable requirements 

as 45 CFR part 74 is now obsolete. HHS 

moved a number of programs, including 

titles IV–B and IV–E, into the scope of 

45 CFR part 92, and removed such 

programs from the scope of Part 74 (68 

FR 52843–44, September 8, 2003). 

Therefore, an agency operating titles IV– 

B and IV–E programs is subject to the 

administrative rules published in 45 

CFR part 92 as cited by amended section 

1355.30(i) (see discussion below). We 

amended paragraph (c) further to add ‘‘2 

CFR Part 376—Nonprocurement 

Debarment and Suspension’’ as an 

applicable regulation. This amendment 

reflects regulatory changes to the 

governmentwide Debarment and 

Suspension (nonprocurement) 

regulations at 45 CFR Part 76, which 

were previously cross-referenced in 

section 1355.30(d). HHS issued an 

interim final rule on March 1, 2007 

which removed the full text of the 

Department’s debarment and 

suspension rules from 45 CFR part 76 

and issued a new 2 CFR part 376 on 

nonprocurement debarment and 

suspension (72 FR 9233–9235). We 

believe that because this change is 

technical in nature there is no need to 

go through the notice and comment 

process to update the regulation. 

We made a technical amendment to 

paragraph (d) to reflect changes in 

regulatory citations by deleting the 

current citation and replacing it with ‘‘2 

CFR Part 382—Requirements for DrugFree Workplace (Financial Assistance).’’ 

On November 26, 2003, HHS issued a 

final rule that implemented changes to 

the governmentwide nonprocurement 

debarment and suspension common 

rule and the associated rule on drug-free 

workplace requirements (68 FR 66557). 

The rule on debarment and suspension 

was removed from Part 76 and codified 

at 2 CFR part 376 (see discussion in 

previous paragraph). The rule on drugfree workplace requirements was 

initially revised and codified in 45 CFR 

part 82, but effective January 11, 2010 

these requirements were further 

simplified and relocated to 2 CFR 382 

(74 FR 58189). 

Paragraph (i) describes the Uniform 

Administrative Requirements for Grants 

and Cooperative Agreements to State 

and Local Governments in 45 CFR part 

92 that are applicable to the title IV–B 

and IV–E programs. We made a 

technical amendment to paragraph (i) by 

replacing the reference to the 

‘‘Independent Living Program’’ with 

‘‘the John H. Chafee Foster Care 

Independence Program’’ to reflect the 

name change and broader program 

purposes established in the Foster Care 

Independence Act of 1999. We also 

amended paragraph (i) to apply 45 CFR 

part 92 to Indian Tribes which operate 

Chafee Foster Care Independence 

Programs (CFCIP) in accordance with 

Section 477(j) of the Act. 

We also amended paragraph (i) to 

maintain and clarify the current rule 

that Part 92 applies to State-operated 

title IV–E foster care and adoption 

assistance programs. The regulations 

cross-referenced in 45 CFR part 74 have 

moved to 45 CFR part 92, so we cite the 

relocated sections that do not apply to 

State title IV–E programs (matching or 

cost sharing requirements found at 45 

CFR 92.24 which was formerly 45 CFR 

74.23 and financial reporting 

requirements found at 45 CFR 92.41 

which was formerly 45 CFR 74.52). 

Therefore, title IV–E policy and 

regulations continue to preclude States 

from using third-party in-kind 

contributions and places certain 

conditions on the use of donated funds 

as a source of non-Federal funds for the 

title IV–E foster care and adoption 

assistance programs. 

Finally, we added language in 

paragraph (i) to apply 45 CFR part 92 to 

Tribal title IV–E plans for foster care 

and adoption assistance except that 

section 92.41 and the sections specified 

in section 1356.68 do not apply to a 

Tribal title IV–E agency. 

Unlike States, title IV–E specifically 

allows Indian Tribes with an approved 

title IV–E plan to use in-kind 

contributions from third-party sources 

up to a specified percentage of the 

Indian Tribe’s cost sharing requirements 

for title IV–E administrative and 

training costs for certain fiscal years in 


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accordance with section 479B(c)(1)(D) of 

the Act. Regulations at 2 CFR part 225 

Appendix B, Office of Management and 

Budget (OMB) Circular A–87, which set 

out cost principles for States, localities 

and Tribal Governments, apply to 

Indian Tribes and item 12b within that 

Circular requires that Indian Tribes that 

use third-party contributions follow 45 

CFR part 92. Because an Indian Tribe 

may claim in-kind administrative and 

training contributions of its share of the 

title IV–E program from third-party 

sources, section 92.24 (formerly section 

74.23) applies cost-sharing principals 

and section 92.41 (formerly section 

74.52) applies financial reporting to an 

Indian Tribe’s use of in-kind 

contributions from third-party sources. 

We amended paragraph (k) to apply 

most of 45 CFR part 95 to both States 

and Indian Tribes with approved title 

IV–B and IV–E plans. The exceptions 

are specified in the subparagraphs 

detailed below. This is a conforming 

change consistent with section 479B(b) 

of the Act for an Indian Tribe with a 

title IV–E plan; it does not amend 

existing rules applicable to States or 

Indian Tribes with title IV–B plans or 

States with title IV–E plans. 

We added a new subparagraph (k)(1), 

to maintain the exception to the 

applicability of 45 CFR 95.1(a), subpart 

A, to the State title IV–B program and 

the CFCIP for States, and to apply the 

exception to Indian Tribes operating 

title IV–B programs and CFCIP as well. 

The regulation at 45 CFR 95.1(a) 

specifies time limits for submitting 

financial claims which do not apply to 

the CFCIP or title IV–B programs; 

statutory provisions establish the claim 

submission timeframe. 

We created a new subparagraph (k)(2) 

to explain that unlike States, 45 CFR 

part 95 subpart E, Cost Allocation Plans, 

is not applicable to Indian Tribes with 

an approved title IV–E plan pursuant to 

section 479B of the Act. This is because 

the Department of Interior (Interior) is 

the cognizant agency for cost allocation 

and Interior has provided for the use of 

indirect cost rates for Indian Tribes in 

accordance with that authority. 

However, ACF still retains authority for 

guiding the allocation and 

documentation of title IV–E costs 

pursuant to section 1356.60 and 2 CFR 

225. As such, we issued guidance, 

ACYF–CB–PI–10–13, on how Indian 

Tribes can develop appropriate cost 

methodologies November 23, 2010. 

We amended paragraph (m) to clarify 

that the regulations in 45 CFR 100.12 

related to simplifying, consolidating or 

substituting federally required plans 

apply to States only. The regulatory 

provision relates to a process for 

operationalizing intergovernmental 

partnership and Federalism principles 

for States. Although this particular 

provision applies only to States, other 

guidance reflects our commitment to 

working with Indian Tribes on a 

government-to-government basis. In 

particular, Executive Order 13175 (65 

FR 6724, November 9, 2000) requires 

HHS to develop an accountable process 

to ensure ‘‘meaningful and timely input 

by Tribal officials in the development of 

regulatory policies that have Tribal 

implications.’’ 

In paragraph (n), which applies 

certain regulations related to grants for 

public assistance programs in 45 CFR 

part 201 to programs funded under titles 

IV–B and IV–E, we made minor 

amendments to remove references to 

‘‘State’’ and replace them with more 

general references to apply the rules 

equally to Indian Tribes in 

subparagraph (n)(2). In addition we 

removed parenthetical marks but not the 

provisions within them, from 

paragraphs (n)(1) through (n)(4). 

We amended paragraph (o) to clarify 

that the provision cross-referenced at 45 

CFR 204.1 which requires that title IV– 

E plans be submitted for a Governor’s 

review is applicable only to States. 

Indian Tribe’s must submit their title 

IV–E plan to their designated Tribal 

leadership for review prior to 

submitting it to HHS. More instructions 

for doing so are included in the title IV– 

E plan preprint (most recently, in 

ACYF–CB–PI–09–08 issued October 14, 

2009) which is applicable to States and 

Indian Tribes and is available on the CB 

Web site at www.acf.hhs.gov/programs/ 

cb. 

Section 1355.31—Elements of the Child 

and Family Services Review System 

This section specifies the scope of the 

CFSRs. 

The CFSRs were established through 

regulations issued on January 25, 2000 

(65 FR 4020) to monitor the 

performance of State child welfare 

programs consistent with section 1123A 

of the Act. The review assesses a title 

IV–E agency’s substantial conformity 

with certain Federal requirements 

regarding child protection, foster care, 

adoption, family preservation and 

family support, and independent living 

services. The reviews are based on plan 

requirements in titles IV–B, subpart 1 

and 2 of the Act and the title IV–E foster 

care and adoption programs. The 

reviews enable CB to: (1) Ensure 

conformity with Federal child welfare 

requirements; (2) determine what is 

actually happening to children and 

families as they are engaged in child 

welfare services; and, (3) assist agencies 

to enhance their capacity to help 

children and families achieve positive 

outcomes. 

We removed language in this section 

that limited the scope of the reviews to 

child and family services programs 

‘‘administered by States,’’ so that the 

CFSRs apply to such programs 

administered by a Tribal agency 

consistent with the requirement in 

Public Law 110–351 to apply the 

provisions of the title IV–E program 

equally to State and Tribal title IV–E 

agencies. The amendments in this 

section and throughout the CFSR related 

regulatory sections do not affect how we 

conduct CFSRs in States or our existing 

guidance to States engaged in the CFSR 

process. The application of the CFSRs to 

a Tribal title IV–E agency has been 

modified somewhat to take into 

consideration that such agencies are 

entering into a preexisting monitoring 

process. We encourage Indian Tribes to 

review the most recent CFSR procedures 

manual on CB’s Web site, which 

explains the CFSR process in more 

detail (http://www.acf.hhs.gov/ 

programs/cb/cwmonitoring/tools_guide/ 

proce_manual.htm). 

Section 1355.32—Timetable for the 

Reviews 

This section specifies the review 

timetable for the initial and subsequent 

CFSRs. 

Section 1355.32(a)—Initial Reviews 

In paragraph (a), we provide the 

timetable for the initial CFSR for a State 

or Tribal agency. The initial reviews for 

States were completed between FY’s 

2001 and 2004. 

We amended paragraph (a) to specify 

a schedule of initial reviews for a Tribal 

title IV–E agency and replaced the 

reference to ‘‘Administration for 

Children and Families’’ with the 

acronym ‘‘ACF.’’ The added provision 

establishes that each Tribal title IV–E 

agency must complete an initial full 

CFSR during the four-year period after 

we determine that the Indian Tribe has 

plans approved for each of the title IV– 

B subpart 1, title IV–B subpart 2 and 

title IV–E programs and has a sufficient 

number of cases to apply the procedures 

in section 1355.33(c). This new 

provision provides for reviews on an 

initial schedule for a Tribal agency 

similar to that for a State consistent with 

the statutory requirement to apply the 

title IV–E program rules equally to 

Indian Tribes with approved plans. 

However, we adjusted the timeframe to 

accommodate the unique position of 

Indian Tribes with approved title IV–E 

plans. When the initial reviews were 

scheduled for States, all States were 


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902 Federal Register / Vol. 77, No. 4 / Friday, January 6, 2012 / Rules and Regulations 

operating programs under both subparts 

of title IV–B and IV–E, and had been 

doing so for several years. This allowed 

us to set a fixed timeframe by which all 

States had to have an initial review. 

Since the title IV–E option is available 

to Indian Tribes on a continuous basis, 

we allow the timeframe for the initial 

review to vary depending on when an 

Indian Tribe’s title IV–E plan is 

approved and other factors discussed 

below. 

A title IV–E agency must have a 

sufficient number of children in foster 

care and children receiving in-home 

services during the period under review 

(i.e., those that have a case open for inhome services with the child welfare 

agency for a period of at least 60 days) 

from which we can select a sample of 

at least 30–50 cases for an on-site review 

as required by existing regulations. This 

sample is taken from a larger 

oversample of 150 foster care and 150 

in-home services cases. At the time of 

promulgation of the CFSR process we 

were confident that States typically had 

at least this many child welfare cases 

open during our period under review. 

However, we understand that Indian 

Tribes operating title IV–E plans may 

not serve as many children at the 

initiation of their programs or for some 

years to follow. Therefore, to maintain 

fidelity with the existing CFSR process 

and apply the procedures equally to a 

Tribal title IV–E agency, we will not 

initiate a CFSR for such an Indian Tribe 

until we can select a sample that meets 

this threshold number of cases. 

Finally, certain CFSR criteria are 

premised on the agency having in place 

a continuum of child welfare services as 

supported by the Federal requirements 

and provisions of title IV–B, subparts 1 

and 2 (see 63 FR 50067), in addition to 

those of title IV–E. Indian Tribes which 

can be approved to operate a title IV– 

E program also must have a title IV–B, 

subpart 1 program for child welfare 

services (see CWPM Section 9.1 Q/A 

#4). However, there is nothing in 

Federal law that compels a Tribal title 

IV–E agency to operate the Promoting 

Safe and Stable Families Program under 

title IV–B, subpart 2. In fact, the existing 

provisions of title IV–B, subpart 2 limit 

the availability of grants under the 

program to those Indian Tribes who 

would qualify through the formula for a 

grant of at least $10,000 (section 

432(b)(2)(B) of the Act). We will 

conduct a full CFSR only if a Tribal title 

IV–E agency is operating both a title IV– 

B subpart 1 and 2 program. 

Due to the many factors that must be 

met for ACF to conduct a CFSR of a 

Tribal agency, we will utilize all other 

existing monitoring protocols at our 

disposal to ensure that such agencies are 

in compliance with Federal 

requirements and are achieving positive 

outcomes for children and families. 

Such protocols include reviewing and 

approving title IV–B plans and title IV– 

E plans, reviewing actual and estimated 

claims submitted on the CB–496 

financial reporting forms each quarter 

and performance reported by Tribes in 

their title IV–B annual progress and 

service reviews, conducting partial 

reviews of requirements outside the 

scope of a CFSR of Federal requirements 

that we have reason to believe are out 

of conformity, and, as necessary, 

requiring Tribal title IV–E agencies to 

develop a program improvement plan to 

respond to areas we determine are out 

of substantial conformity. Consistent 

with section 1123A, the necessary 

elements of a program improvement 

plan and, if necessary, the amount of the 

withholding of Federal funds, will be 

commensurate with the extent of a 

Tribal title IV–E agency’s nonconformity. See sections 1355.21, 

1355.32(d), 1356.20 and 1357.15 for 

more information on ACF’s oversight 

tools. In addition, ACF Regional Offices 

will continue to offer ongoing technical 

assistance to Indian Tribes as issues 

related to title IV–B and IV–E plans 

arise. 

Section 1355.32(b)—Reviews Following 

the Initial Review 

Paragraph (b) establishes the timetable 

for CFSRs after the initial review. We 

conduct a full review every five years 

following a review in which we 

determine the title IV–E agency to be 

operating in substantial conformity or 

two years after the approval of the 

Program Improvement Plan (PIP) if we 

determine that the title IV–E agency is 

not operating in substantial conformity. 

We made a number of conforming 

amendments to paragraph (b) to apply 

the regulatory provisions for review 

timing following the initial review to a 

Tribal title IV–E agency in the same way 

as they are applied to a State title IV– 

E agency. Specifically, we amended 

paragraph (b)(1) to replace the reference 

to ‘‘State’’ with ‘‘title IV–E agency.’’ In 

paragraph (b)(1)(ii) we added reference 

to an assessment of the Tribal service 

area to parallel the reference to a 

statewide assessment, we removed 

‘‘statewide’’ from the second and third 

sentences, we replaced the first 

reference to ‘‘State’’ with ‘‘title IV–E 

agency’’, we replaced the reference to 

‘‘Administration for Children and 

Families’’ with the acronym ‘‘ACF’’, we 

added the phrase ‘‘or Indian Tribe’s’’ to 

follow ‘‘the State’s’’, and we removed 

the word ‘‘State’’ from the phrase ‘‘State 

plan requirements subject to review.’’ In 

paragraph (b)(2) we removed the word 

‘‘State’’ in the phrase ‘‘a State program.’’ 

In sum, these changes mean that once a 

Tribal title IV–E agency has had an 

initial CFSR review, a subsequent 

review will occur five years later if the 

agency is found in substantial 

compliance or two years following an 

approved PIP for an agency that is not 

in substantial conformity. 

Section 1355.32(c)—Reinstatement of 

Reviews Based on Information That a 

Title IV–E Agency Is Not in Substantial 

Conformity 

Paragraph (c) describes the 

requirements for reinstatement of a full 

or partial review and describes the types 

of information that may require a 

review. 

In paragraph (c) we made a number of 

conforming amendments to apply the 

requirements for reinstatement of a full 

or partial review to a Tribal title IV–E 

agency in the same way as the 

requirements are applied to a State title 

IV–E agency. Specifically, we amended 

paragraphs (c) and (c)(1) through (4) to 

replace all references to ‘‘State’’ with 

‘‘title IV–E agency.’’ 

Section 1355.32(d)—Partial Reviews 

Based on Noncompliance With Plan 

Requirements That Are Outside the 

Scope of a Child and Family Services 

Review 

This section sets the parameters for 

addressing noncompliance with title 

IV–B and IV–E plan requirements that 

are outside of the scope of a child and 

family services review in the form of a 

partial review. In paragraph (d), we 

made conforming amendments to apply 

the partial review process to a Tribal 

title IV–E agency in the same way it is 

applied to a State title IV–E agency. 

Specifically, we amended the title to 

remove the term ‘‘State’’ that preceded 

‘‘plan’’ and we replaced all references to 

‘‘State’’ with ‘‘title IV–E agency’’ in 

paragraphs (d)(1) through (d)(4). 

Section 1355.33—Procedures for the 

Review 

This section sets forth the CFSR 

process and outlines general procedures 

for both the CFSR assessment and the 

on-site review portions of the review. 

Section 1355.33(a) 

Paragraph (a) describes the two 

phases of the review process and the 

review team membership. We made a 

number of conforming amendments to 

this paragraph to apply the two-part 

review process and review team 

membership to a Tribal title IV–E 

agency in the same way they are applied 


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to a State title IV–E agency. Specifically, 

we amended paragraph (a)(2) to change 

‘‘State’’ to ‘‘title IV–E agency’’ to 

indicate that when there is a CFSR of a 

Tribal title IV–E agency, the review 

team will consist of representatives from 

ACF and the Tribal title IV–E agency. 

This parallels the review team 

composition for CFSRs conducted in 

States. We amended paragraphs (a)(2)(i), 

(a)(2)(ii) and (a)(2)(iv) to replace all 

references to ‘‘State’’ with ‘‘title IV–E 

agency.’’ In addition, we amended 

paragraph (a)(2)(i) to remove the word 

‘‘State’’ from the phrase ‘‘State child and 

family services agency’’ and the phrase 

‘‘State and local’’ from the phrase ‘‘State 

and local offices.’’ These changes apply 

the two steps of the review process 

equally to States and Indian Tribes as 

required by Public Law 110–351. 

Section 1355.33(b)—Statewide or Tribal 

Assessment 

In this paragraph, we describe the 

assessment process in more detail. The 

assessment involves representatives 

from the title IV–E agency and external 

stakeholders, reviewing and analyzing 

data to evaluate the strengths and needs 

of the child and family services system. 

We made a number of conforming 

amendments in paragraph (b) to apply 

the requirements of the assessment 

process to a Tribal title IV–E agency in 

the same way they are applied to a State 

title IV–E agency, as required by Public 

Law 110–351. We amended the title to 

include ‘‘or Tribal’’ to precede 

‘‘assessment’’ so it is clear that there is 

either a State or Tribal assessment, 

depending on which is the title IV–E 

agency subject to the CFSR. We 

indicated that in the case of the Tribal 

title IV–E agency, the assessment covers 

the scope of the Indian Tribe’s service 

area, including both the Indian Tribe’s 

title IV–E service area (as defined by the 

Indian Tribe in the title IV–E plan) and 

the title IV–B service area (that is, the 

area covered by the Indian Tribe’s 

CFSP). In paragraph (b)(1) we replaced 

references to ‘‘statewide’’ with 

‘‘statewide/Tribal’’ and in paragraph 

(b)(2) we replaced references to 

‘‘statewide’’ with ‘‘statewide/Tribal 

service area’’ to precede ‘‘data 

indicators.’’ This is a technical change 

to apply the data indicators equally to 

both State and Tribal IV–E agencies, as 

there is a single set of data indicators for 

Tribes and States. We also made 

changes throughout paragraphs (b) and 

(b)(2) through (b)(6), to replace all 

references to ‘‘State’’ and ‘‘State agency’’ 

with ‘‘title IV–E agency’’ and remove 

‘‘statewide’’ where it prefaced 

‘‘assessment.’’ These changes ensure 

that the assessment provisions are 

parallel for States and Indian Tribes. 

Section 1355.33(c)—On-Site Review 

Paragraph (c) describes requirements 

for the on-site review process, including 

information on the scope of the review, 

the review sites, sources of information 

used in the review, and case sampling. 

In paragraph (c) we made a number of 

conforming amendments to apply the 

regulatory requirements of the on-site 

review process to a Tribal title IV–E 

agency in the same way they are applied 

to a State title IV–E agency, with the 

exception of one requirement in 

paragraph (c)(2) discussed below. 

Specifically, we made conforming 

amendments to paragraphs (c)(1) 

through (c)(3) by replacing most 

references to ‘‘State’’ with ‘‘title IV–E 

agency.’’ We also amended paragraph 

(c)(4)(iv) to include reference to an 

Indian Tribe’s CFSP in the same way 

that we reference a State’s CFSP and 

replaced the reference to the 

‘‘statewide’’ assessment to the 

‘‘statewide/Tribal’’ assessment in 

paragraph (c)(6). In paragraph (c)(2), we 

maintain the reference to the State’s 

largest metropolitan area as a mandatory 

location for the on-site portion of the 

CFSR and did not include a mandate for 

a similar location for a Tribal CFSR. We 

kept this provision as is because we 

recognize that the Tribal title IV–E 

agency’s service area in most cases will 

not include a metropolitan area at all, or 

if there is a metropolitan area, it may 

not represent a subdivision in which a 

large number of child welfare services 

cases can be found as was the intention 

with the original requirement. 

Taking the paragraph as amended as 

a whole, for Indian Tribes the onsite 

review will consist of a review of a title 

IV–E agency’s title IV–B and IV–E 

programs in operation in the title IV–E 

agency’s service area. The review will 

be planned jointly between ACF and the 

Tribal title IV–E agency, may focus on 

several political subdivisions in the 

Tribal service area (e.g., different Tribal 

organizations included in a Tribal 

consortium) as guided by information in 

the assessment, and will involve the 

gathering of information during the onsite portion of the review from Tribal 

agency staff, families who are served by 

the agency and stakeholders internal 

and external to the agency, including 

those who participated in the 

development of the Indian Tribe’s CFSP. 

The review will focus on at least 30 

cases of foster care and in-home services 

cases, taken from a larger oversample of 

cases for each, which may be used to 

resolve discrepancies between the 

assessment and the on-site review. 

Section 1355.33(d)—Resolution of 

Discrepancies Between the Assessment 

and the Findings of the On-Site Portion 

of the Review 

In paragraph (d), we describe the 

process for resolving discrepancies 

between the assessment and the on-site 

portion of the review through either, at 

the title IV–E agency’s option, the 

submission of additional information or 

the review of additional cases. 

In paragraphs (d), (d)(1) and (d)(2), we 

made conforming amendments to apply 

the regulatory requirements for 

resolution of such discrepancies to a 

Tribal title IV–E agency in the same way 

they are applied to a State title IV–E 

agency by removing the reference to 

‘‘State’’ and replacing it with ‘‘title IV– 

E agency.’’ The paragraph now requires 

that discrepancies between the 

assessment and the findings of the onsite portion of the review be resolved by 

either information submitted by the title 

IV–E agency or the review of additional 

cases, as opted by the title IV–E agency. 

Section 1355.33(e)—Partial Review 

In paragraph (e) we outline when a 

targeted partial child and family 

services review will be conducted. We 

made a conforming amendment in this 

paragraph to apply the regulatory 

requirements of the partial review 

process to a Tribal title IV–E agency in 

the same way they are applied to a State 

title IV–E agency by removing the 

reference to ‘‘State’’ and replacing it 

with ‘‘title IV–E agency.’’ In the case of 

a Tribal title IV–E agency, partial CFSRs 

will be planned and conducted jointly 

by ACF and the Tribal title IV–E agency 

based on the nature of the concern. 

Section 1355.33(f)—Notification 

Paragraph (f) provides for ACF to 

notify the title IV–E agency as to 

whether it is, or is not, operating in 

substantial conformity within 30 days 

following a full review, partial review or 

resolution of a discrepancy between the 

findings of the on-site review and the 

statewide/Tribal assessments. In this 

paragraph we made conforming 

amendments to apply the regulatory 

requirements of the notification process 

to a Tribal title IV–E agency in the same 

way they are applied to a State title IV– 

E agency by removing the references to 

‘‘State agency’’ and ‘‘State’’ and 

replacing them with ‘‘title IV–E 

agency.’’ We also removed references to 

‘‘statewide’’ where it preceded 

‘‘assessment’’ so that it is inclusive of 

either State or Tribal assessments. ACF 

will therefore notify the title IV–E 

agency, whether State or Tribal, of its 


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conformity status within 30 days of the 

events mentioned above. 

Section 1355.34—Criteria for 

Determining Substantial Conformity 

This section describes the criteria that 

will be used to determine a title IV–E 

agency’s degree of conformity with 

specified title IV–B and IV–E plan 

requirements for each outcome and 

systemic factor of the title IV–E agency’s 

service delivery system that undergoes 

review. 

Section 1355.34(a)—Criteria To Be 

Satisfied 

Paragraph (a) describes the basic 

criteria used to determine the title IV– 

E agency’s substantial conformity with 

applicable CFSP requirements based on: 

(1) The achievement of the seven 

outcomes specified in paragraph (b); 

and (2) the functioning of seven core 

systemic factors directly related to the 

title IV–E agency’s capacity to deliver 

services leading to improved outcomes. 

In paragraph (a) we made conforming 

amendments to apply these basic 

criteria to a Tribal title IV–E agency in 

the same way they are applied to a State 

title IV–E agency by removing the word 

‘‘State’’ from the phrase ‘‘title IV–B and 

IV–E State plan requirements’’ and 

removing the references to ‘‘State’’ in 

paragraphs (a) and (a)(3) and replacing 

them with ‘‘title IV–E agency.’’ In 

paragraph (a)(1) we replaced the phrase 

‘‘statewide’’ with ‘‘statewide/Tribal 

service area’’ to preface data indicators. 

This is a technical change to apply the 

data indicators equally to both States 

and Tribes, as there are not separate 

data indicators for each. 

Section 1355.34(b)—Criteria Related to 

Outcomes 

Paragraph (b) describes the seven 

outcomes in the areas of child safety, 

permanency for children and child and 

family well-being used for the purposes 

of the review. The title IV–E agency’s 

substantial conformity will be 

determined based on its ability to 

substantially achieve these outcomes. 

We made several conforming 

amendments in paragraph (b) to apply 

the regulatory requirements to a Tribal 

title IV–E agency in the same way they 

are applied to a State title IV–E agency 

and to update obsolete citations. 

Specifically, we made conforming 

amendments to remove the references to 

‘‘State’’ in paragraphs (b)(1) through 

(b)(3) and in most cases replacing them 

with ‘‘title IV–E agency.’’ We also 

removed the reference to the title IV–B 

assurances being made ‘‘by the State’’ so 

that more general language remains to 

allow for the review of these assurances 

when made by the Indian Tribe. 

To remove and replace out-of-date 

statutory references with current 

citations, we amended: Paragraph 

(b)(2)(ii)(C) by removing reference to 

section ‘‘422(b)(9)’’ and replacing it with 

‘‘422(b)(7)’’; paragraph (b)(2)(ii)(D) by 

removing the reference to section 

‘‘422(b)(10)(C)(i) and (ii)’’ and replacing 

it with ‘‘422(b)(8)(B)’’; paragraph 

(b)(2)(ii)(E) by removing the reference to 

section ‘‘422(b)(11)’’ and replacing it 

with ‘‘422(b)(9)’’ and paragraph 

(b)(2)(ii)(F) by removing the reference to 

section ‘‘422(b)(12)’’ and replacing it 

with ‘‘422(b)(10).’’ We believe that 

because these changes are technical in 

nature there is no need to go through the 

notice and comment process to update 

the regulation. 

We did not change the reference to 

the State’s compliance with ICWA in 

paragraph (b)(2)(ii)(E) as one of the 

CFSP assurances subject to review to 

make it also applicable to a Tribal title 

IV–E agency. This is because the ICWA 

provisions cited in section 422 of the 

Act and referenced here are those 

provisions which apply to State court 

proceedings and handling of custodial 

issues with regard to Indian children. 

Such provisions are not applicable to 

Indian Tribes and therefore cannot be a 

part of a review of Tribal title IV–E 

agency compliance with title IV–B and 

IV–E provisions. 

We amended paragraphs (b)(2)(i), 

(b)(3)(i) and (b)(4) by replacing the term 

‘‘statewide’’ with ‘‘statewide/Tribal 

service area’’ prior to ‘‘data indicator.’’ 

This allows ACF to develop data 

indicators based on title IV–E agencies’ 

Adoption and Foster Care Analysis and 

Reporting System (AFCARS) and 

National Child Abuse and Neglect Data 

System (NCANDS) data and make such 

indicators a factor in substantial 

conformity for both State and Tribal IV– 

E agencies. However, we did not alter 

the references to ‘‘statewide’’ indicators 

in paragraph (b)(5) as they refer to the 

data standards that were set initially in 

2000 and not to those that may be 

established in the future. Any changes 

to the actual indicators that are 

applicable to the CFSR will be 

announced by ACF, as applicable, 

through other means, such as a Federal 

Register notice or other formal issuance. 

Section 1355.34(c)—Criteria Related to 

Title IV–E Agency Capacity To Deliver 

Services Leading to Improved Outcome 

for Children and Families 

In paragraph (c) we describe criteria 

for the seven core systemic factors that 

we evaluate to determine the agency’s 

capacity to deliver services that improve 

outcomes for children and families. 

We made several conforming 

amendments in paragraph (c) to apply 

the regulatory requirements to a Tribal 

title IV–E agency in the same way they 

are applied to a State title IV–E agency 

and to update outdated citations. The 

substance of the systemic factors 

remains the same with these conforming 

changes. 

To apply the regulatory requirements 

to a Tribal title IV–E agency in the same 

way they are applied to a State title IV– 

E agency we removed references to 

‘‘State’’ or ‘‘State’s’’ in paragraphs (c), 

(c)(2), (c)(3), (c)(4)(iv), (c)(5)(v) and 

(c)(6)(iv). We also removed and replaced 

references to ‘‘State agency’’ with ‘‘title 

IV–E agency’’ in the title, paragraphs (c), 

(c)(2) and (c)(2)(iii), (c)(3), (c)(4) and 

(c)(4)(i), (c)(5), (c)(6)(i), and (c)(7)(iii) 

through (c)(7)(v). We amended the title 

of paragraph (c)(1), paragraph (c)(4)(v) 

and (c)(6)(i) by replacing the terms 

‘‘Statewide’’ with ‘‘Statewide/Tribal’’, 

‘‘State-licensed’’ with ‘‘State/Triballicensed’’, ‘‘State-approved’’ with 

‘‘State/Tribal-approved’’, ‘‘county’’ with 

‘‘county/local’’ and ‘‘State’’ with ‘‘State/ 

Tribal’’ respectively. We amended 

paragraphs (c)(2)(i) and (c)(3)(i) by 

adding the phrase ‘‘Tribal service area’’ 

to follow ‘‘State.’’ We amended 

paragraphs (c)(7)(i) and (ii) by adding 

the phrase ‘‘or Tribe’’ to follow the word 

‘‘State.’’ 

To conform the regulation to current 

law as amended in this section, we 

updated several statutory references. In 

particular we amended: Paragraph (c)(1) 

by replacing the citation to section 

‘‘422(b)(10)(B)(i)’’ with 

‘‘422(b)(8)(A)(i)’’; paragraphs (c)(2)(i) 

through (v) by replacing the citation to 

section ‘‘422(b)(10)(B)(ii)’’ with 

‘‘422(b)(8)(A)(ii)’’; paragraph (c)(5) by 

removing the citation to section 

‘‘422(b)(10)(B)(iii)’’ and replacing it with 

‘‘422(b)(8)(A)(iii)’’; paragraph (c)(7)(iv) 

by removing the citation to section 

‘‘422(b)(9)’’ and replacing it with 

‘‘422(b)(7)’’; and, paragraph (c)(7)(v) by 

removing the citation to section 

‘‘422(b)(12)’’ and replacing it with 

‘‘422(b)(10).’’ Further, we are amending 

one regulatory reference that we have 

discovered is incorrect. In paragraph 

(c)(6)(i) we are replacing the reference to 

45 CFR 1357.15(l)(4) to the correct 

reference to the title IV–B consultation 

requirements in 45 CFR 1357.15(l)(3). 

Section 1355.34(d)—Availability of 

Review Instruments 

This paragraph describes the 

availability of review instruments to 

those subject to CFSRs. We made a 

conforming amendment in paragraph (d) 


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to apply the section to a Tribal title IV– 

E agency in the same way it is applied 

to a State title IV–E agency by removing 

the word ‘‘States’’ from the phrase 

‘‘make available to States’’ and replacing 

it with the term ‘‘title IV–E agencies.’’ 

Therefore, review instruments will be 

made available to both States and Indian 

Tribes that are subject to the CFSR. 

Section 1355.35—Program Improvement 

Plans 

This section describes the 

requirements for developing, 

implementing and reviewing program 

improvement plans and for providing 

technical assistance to a title IV–E 

agency in implementing the program 

improvement plans. It implements the 

requirement in section 1123A(b)(4) of 

the Act that a title IV–E agency found 

not to be in substantial conformity be 

afforded the opportunity to develop and 

implement a corrective action plan. 

These plans are termed PIPs and are 

developed through a partnership 

between the title IV–E agency and ACF. 

In addition to the changes described 

below, we added a statement after 

paragraph (f) indicating that the 

information collection requirements in 

this section have been approved by 

OMB and providing the applicable OMB 

Control Number. 

Section 1355.35(a)—Mandatory Program 

Improvement Plan 

This paragraph describes the 

requirement that a PIP must be 

developed jointly by the title IV–E 

agency and Federal staff when the title 

IV–E agency is not in substantial 

conformity, and describes the content 

requirements for the PIPs. In paragraph 

(a) we made several conforming 

amendments to apply the regulatory 

requirements of the mandatory PIPs to 

a Tribal title IV–E agency in the same 

way they are applied to a State title IV– 

E agency. Specifically, we removed the 

references to ‘‘State’’, ‘‘States’’ and 

‘‘State’s’’ and replaced them with ‘‘title 

IV–E agency,’’ ‘‘title IV–E agencies’’ and 

‘‘title IV–E agency’s’’ in paragraphs 

(a)(1), (a)(1)(i), (a)(1)(ii), (a)(1)(v) and 

(a)(2). We also amended paragraph 

(a)(1)(iv) by replacing the term 

‘‘statewide’’ with ‘‘statewide/Tribal.’’ 

Section 1355.35(b)—Voluntary Program 

Improvement Plan 

This paragraph explains the 

requirements for a voluntary PIP, 

developed jointly by the title IV–E 

agency and an ACF Regional Office 

when the title IV–E agency is in 

substantial conformity but elects to 

develop a plan to target areas in need of 

improvement. In paragraph (b) we made 

several conforming amendments to 

apply the regulatory provisions for 

voluntary PIPs to a Tribal title IV–E 

agency in the same way they are applied 

to a State title IV–E agency by removing 

the references to ‘‘States’’ ‘‘State’’ and 

‘‘State’s’’ and replacing them with ‘‘title 

IV–E agencies,’’ ‘‘title IV–E agency’’ and 

‘‘title IV–E agency’s’’ in paragraphs (b), 

(b)(1) and (b)(3), respectively. 

Section 1355.35(c)—Approval of 

Program Improvement Plans 

This paragraph outlines the 

requirements for the approval of a 

mandatory PIP by ACF, and sets a 90- 

day timeline for the initial submission 

of the PIP with a 30-day timeline for the 

resubmission of a plan in need of 

revision to meet the approval 

requirements, as well as when ACF will 

begin to withhold funds. In paragraph 

(c) we made several conforming 

amendments to apply the regulatory 

requirements which govern PIPs to a 

Tribal title IV–E agency in the same way 

they are applied to a State title IV–E 

agency by removing the references to 

‘‘State’’ and replacing them with ‘‘title 

IV–E agency’’ in paragraphs (c)(1), (c)(3) 

and (c)(4). 

Section 1355.35(d)—Duration of 

Program Improvement Plans 

This paragraph describes ACF’s 

authority for establishing time frames, 

not to exceed two years, for the 

completion of PIPs, extensions of 

deadlines, the required title IV–E agency 

quarterly status reports to ACF. In 

paragraph (d) we made several 

conforming amendments to apply these 

regulatory requirements to a Tribal title 

IV–E agency in the same way they are 

applied to a State title IV–E agency by 

removing the references to ‘‘State’’ and 

replacing them with ‘‘title IV–E agency’’ 

in paragraphs (d)(3) and (d)(4). 

Section 1355.35(e)—Evaluating Program 

Improvement Plans 

This paragraph outlines the 

requirements for the joint evaluation of 

a PIP by the title IV–E agency and ACF 

and the ability to jointly renegotiate a 

PIP, as applicable. We made several 

conforming amendments to apply these 

regulatory requirements to a Tribal title 

IV–E agency in the same way they are 

applied to a State title IV–E agency by 

removing the references to ‘‘State’’ and 

‘‘State’s’’ and replacing them with ‘‘title 

IV–E agency’’ and ‘‘title IV–E agency’s’’ 

respectively in paragraphs (e), (e)(1) 

through (e)(4) and (e)(4)(i). We also 

amended paragraph (e)(1) and (e)(4)(i) 

by replacing the term ‘‘statewide’’ with 

‘‘statewide/Tribal service area’’ to 

precede ‘‘data indicators’’ as they are 

applied equally to State and Tribal title 

IV–E agencies. 

Section 1355.35(f)—Integration of 

Program Improvement Plans With CFSP 

Planning 

This paragraph describes the 

requirement that the elements of the PIP 

be incorporated into the goals and 

objectives of the CFSP and the annual 

reviews and progress reports related to 

the CFSP. In paragraph (f) we made a 

conforming amendment to apply the 

regulatory requirements for integrating 

PIPs into CFSPs to a Tribal title IV–E 

agency in the same way they are applied 

to a State title IV–E agency by removing 

the reference to ‘‘State’s’’ and replacing 

it with ‘‘title IV–E agency’s.’’ 

Section 1355.36—Withholding Federal 

Funds Due to Failure To Achieve 

Substantial Conformity or Failure To 

Successfully Complete a Program 

Improvement Plan 

This section describes the pool of 

funds that are subject to withholding 

and the process for withholding Federal 

funds due to the failure of the title IV– 

E agency to meet the CFSR criteria for 

substantial conformity. The provisions 

address the method we use to determine 

the amount of funds to be withheld and 

the conditions under which such 

withholding may be applied, or if 

applicable, suspended or terminated. 

We made several conforming 

amendments to apply the regulatory 

requirements for withholding funds to a 

Tribal title IV–E agency in the same way 

they are applied to a State title IV–E 

agency by removing all references to 

‘‘State’’, ‘‘States’’ and ‘‘State’s’’ and 

replacing them with ‘‘title IV–E 

agency’’, ‘‘title IV–E agencies’’, and 

‘‘title IV–E agency’s’’ respectively in 

paragraphs (a)(1) and (2), (b), (b)(1) 

through (4), (b)(4)(i) and (ii), (b)(6), 

(b)(7), (b)(7)(iii), (b)(8), (b)(8)(iii), (c)(1), 

(c)(1)(ii), (d), (e)(1), (e)(2)(i), (e)(2)(iii), 

and (e)(3) through (5). 

We made a technical amendment to 

paragraph (e)(5) to reflect changes in 

regulatory citations by deleting the 

current citation and replacing it with 

‘‘45 CFR 30.18.’’ On March 8, 2007 HHS 

issued a final rule that implemented the 

provisions of the Debt Collection 

Improvement Act of 1996 (72 FR 10404). 

The rule on interest, penalties and 

administrative costs was removed from 

45 CFR 30.13 and codified at 45 CFR 

30.18. 

Section 1355.37—Opportunity for 

Public Inspection of Review Reports and 

Materials 

This section requires the title IV–E 

agency to make all statewide or Tribal 


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assessments, reports of findings, and 

PIPs available for public review. In this 

paragraph we made a conforming 

amendment to apply the regulatory 

requirements related to making these 

documents available to the public to a 

Tribal title IV–E agency in the same way 

they are applied to a State title IV–E 

agency by removing the reference to 

‘‘State’’ and replacing it with ‘‘title IV– 

E,’’ and by adding the phrase ‘‘or 

Tribal’’ before ‘‘assessment.’’ 

Section 1355.38—Enforcement of 

Section 471(a)(18) of Act Regarding the 

Removal of Barriers to Interethnic 

Adoption 

This section implements the 

provisions of sections 474(d)(1) and (2) 

of the Act, which contain enforcement 

provisions regarding the requirements 

in section 471(a)(18) of the Act. Section 

471(a)(18) of the Act prohibits a title IV– 

E agency, or any other entity in the 

State/Tribe that receives Federal funds 

and is involved in adoption or foster 

care placements, from denying an 

individual the opportunity to foster or 

adopt on the basis of the child’s or the 

prospective parent’s race, color or 

national origin, or delay or deny a 

child’s placement in foster care or 

adoption on that basis. Section 1355.38 

describes the existing process for 

addressing an identified violation of 

section 471(a)(18) of the Act by a title 

IV–E agency, including corrective action 

plans and withholding. This process 

includes collaboration with the 

Department’s Office for Civil Rights 

(OCR) due to its significant expertise in 

investigating alleged civil rights 

violations including involvement in the 

development and implementation of 

corrective action plans. We want to note 

that section 471(a)(18) of the Act does 

not affect how ICWA applies. 

With the exception of paragraph (d), 

where no changes were necessary, we 

made amendments to apply the 

regulatory requirements related to 

violations of section 471(a)(18) of the 

Act to a Tribal title IV–E agency in the 

same way they are applied to a State 

title IV–E agency in each paragraph. We 

accomplished this by removing the 

references to ‘‘State’’, ‘‘States’’ and 

State’s’’ in each place those terms 

appeared and replacing them with ‘‘title 

IV–E’’, ‘‘title IV–E agencies’’ and ‘‘title 

IV–E agency’s’’ respectively. We also 

added the word ‘‘Tribe’’ to the phrase 

‘‘an entity in the State’’ in paragraph 

(a)(2). 

We made a technical amendment to 

paragraph (h)(4) to reflect changes in 

regulatory citations by deleting the 

current citation and replacing it with 

‘‘45 CFR 30.18.’’ On March 8, 2007 HHS 

issued a final rule that implemented the 

provisions of the Debt Collection 

Improvement Act of 1996 (72 FR 10404). 

The rule on interest, penalties and 

administrative costs was removed from 

45 CFR 30.13 and codified at 45 CFR 

30.18. 

In addition to the change described 

above, we added a statement following 

the end of paragraph (h) providing that 

the information collection requirements 

in this section have been approved by 

the Office of Management and Budget 

(OMB) and provide the applicable OMB 

Control Number. 

Section 1355.39—Administrative and 

Judicial Review 

Section 1355.39 describes the 

administrative and judicial review 

requirements applicable to a title IV–E 

agency if the agency appeals a finding 

of non-conformity with title IV–E or IV– 

B plan requirements. 

We amended section 1355.39 in the 

opening paragraph of the section and 

paragraphs (b) and (c) to replace the 

term ‘‘State’’ with ‘‘title IV–E agency’’ 

pursuant to Public Law 110–351. In 

doing so, we apply the appeal 

procedures for title IV–E agencies in 45 

CFR Part 16 equally to State and Tribal 

title IV–E agencies. The term ‘‘title IV– 

E agency’’ is inclusive of both State and 

Tribal programs with a plan approved 

pursuant to section 471(a) of the Act. 

Part 16 allows a title IV–E agency to 

file an appeal related to the operation of 

the title IV–B and IV–E programs to the 

HHS Departmental Appeals Board 

(DAB). The DAB is authorized to review 

disputes in HHS programs (45 CFR Part 

16 Appendix A). The DAB specifically 

has jurisdiction over disputes arising 

from title IV–E disallowances, and title 

IV–B and IV–E withholding 

determinations. In accordance with 

section 1123A(c)(3) of the Act, we 

provide a title IV–E agency with the 

opportunity to appeal DAB decisions in 

the district court for the judicial district 

in which the principal or headquarters 

office of the agency responsible for 

administering the program is located. 

Section 1355.40—Foster Care and 

Adoption Data Collection 

Section 1355.40(a)—Scope of the Data 

Collection System 

Paragraph 1355.40(a) describes the 

scope of the data collection system and 

the reporting populations that each title 

IV–E agency is to include in 

submissions to ACF. The system is 

called AFCARS. 

We made several conforming 

amendments to apply the regulatory 

requirements for data collection and 

reporting to a Tribal title IV–E agency in 

the same way they are applied to a State 

title IV–E agency either by removing 

references to ‘‘State’’, ‘‘States’’ and 

‘‘State’s’’ and replacing them with ‘‘title 

IV–E agency’’, ‘‘title IV–E agencies’’, and 

‘‘title IV–E agency’s’’ respectively, or by 

adding a similar provision for a Tribal 

title IV–E agency. 

In paragraph (a)(1) we removed 

specific dates when States were to begin 

collecting and transmitting data after the 

original AFCARS final rule (58 FR 

67912) was issued in 1993 because they 

are obsolete. We believe that because 

these changes are technical in nature 

there is no need to go through the notice 

and comment process to update the 

regulation. An Indian Tribe will begin 

collecting and transmitting AFCARS 

data after we approve the Indian Tribe’s 

title IV–E plan, so the specific date will 

vary among Tribal title IV–E agencies. 

In paragraphs (a)(2) and (a)(3) we 

added a requirement for children in an 

Indian Tribe’s placement and care 

responsibility and children placed for 

adoption that is similar to the State 

requirement in paragraphs (a)(2) and 

(a)(3). For children in the Tribal title IV– 

E agency’s placement and care 

responsibility or who are placed in 

foster care or for adoption and who are 

placed outside of the Tribal service area, 

the Indian Tribe placing the child and 

making foster care payments or 

adoption assistance payments must 

submit and continually update the data 

for each such child. 

Section 1355.40(b)—Foster Care and 

Adoption Reporting Requirements 

Paragraph (b) describes the 

requirements for transmitting foster care 

and adoption data, including timelines 

for submission, child-specific data 

requirements, summary file 

requirements and internal data 

consistency checks. We made several 

conforming amendments to apply the 

regulatory requirements for foster care 

and adoption reporting requirements to 

a Tribal title IV–E agency in the same 

way they are applied to a State title IV– 

E agency either by removing references 

to ‘‘State’’, ‘‘States’’ and ‘‘State’s’’ and 

replacing them with ‘‘title IV–E 

agency’’, ‘‘title IV–E agencies’’, and 

‘‘title IV–E agency’s’’ respectively, or by 

adding a similar provision for a Tribal 

title IV–E agency. 

Section 1355.40(c)—Missing Data 

Standards 

Paragraph (c) describes what we 

consider to be missing data, which is a 

factor in determining compliance with 

the AFCARS requirements. We are 

amending paragraph (c)(2) and 


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removing (c)(3) to remove obsolete 

references to a financial penalty as a 

consequence of an agency exceeding the 

threshold for missing data. In the case 

of paragraph (c)(2) we removed the 

reference to an obsolete penalty in 

paragraph (c)(3) and modified the 

language to accurately state that 

exceeding the missing data threshold is 

considered substantial noncompliance. 

We also completely removed paragraph 

(c)(3) and its references to penalties as 

these provisions are obsolete. Enactment 

of the Adoption Promotion Act of 2003 

(Pub. L. 108–145), which added section 

474(f) to the Act superseded these 

penalties in regulation, rendering them 

obsolete. We indicated in ACYF–CB– 

IM–04–04 that no penalties would be 

assessed until we issue revised final 

AFCARS regulations, yet to be 

published. In the interim, a title IV–E 

agency that exceeds the missing data 

threshold or any other AFCARS 

standard has an opportunity to correct 

its data, and failing that receives a 

notice that it is not in compliance. We 

believe that because these changes are 

technical in nature there is no need to 

go through the notice and comment 

process to update the regulation. 

We find proposed rulemaking for 

these technical amendments to bring the 

regulation in line with existing practice 

impracticable and unnecessary since 

they are not substantive. States have not 

been subject to penalties for some time 

and Tribal title IV–E agencies will not 

be subject to these penalties until new 

regulations state otherwise. Moreover, 

we believe that delaying rulemaking on 

these technical amendments would be 

contrary to the public interest since 

doing so would cause significant 

confusion about the statutory and 

regulatory provisions which Indian 

Tribes must abide by in implementing 

the title IV–E program for the first time. 

Rather, it is prudent to change the 

regulation now to conform to existing 

practice so that States and Indian Tribes 

have an equal understanding that there 

is not an existing financial penalty being 

implemented due to noncompliance 

with AFCARS requirements. Therefore, 

we find good cause to include these 

technical amendments, and similar ones 

described below, in this interim final 

rule. 

Section 1355.40(d)—Timeliness of 

Foster Care Data Reports 

In paragraph (d) we renumbered 

paragraph (d)(1) as (d) and amended it 

to indicate that, in accordance with 

current policy, a title IV–E agency that 

does not meet the threshold for timely 

transaction date entries will be found in 

substantial noncompliance. We 

removed paragraph (d)(2), in its entirety 

because it references paragraph (e) 

regarding penalties for missing data, 

which is obsolete. We believe that 

because this change is technical in 

nature there is no need to go through the 

notice and comment process to update 

the regulation. 

Section 1355.40(e)—Substantial 

Noncompliance 

In paragraph (e) we describe what 

constitutes substantial noncompliance 

with the AFCARS requirements. We 

renamed the title ‘‘Substantial 

Noncompliance’’ as opposed to 

‘‘Penalties’’ and removed the second 

sentence of paragraph (e)(1) that 

discussed penalties. We deleted 

paragraphs (e)(2), (3), (4), and (5) and 

renumbered paragraph (e) accordingly. 

All of the changes to this paragraph 

were to bring the regulation in line with 

the current practice which does not 

penalize a title IV–E agency for 

noncompliance with the AFCARS 

standards, as discussed previously. 

In addition to the changes described 

above, we added a statement after the 

end of paragraph (e) providing that the 

information collection requirements in 

this section have been approved by the 

OMB and providing the applicable OMB 

Control Number. 

Section 1355.50—Purpose of This Part 

Section 1355.50 describes the 

procedures and requirements a title IV– 

E agency must meet to receive Federal 

financial participation for the automated 

child welfare information system. 

We amended section 1355.50 to make 

a conforming change by replacing the 

term ‘‘States’’ with ‘‘title IV–E agencies’’ 

to comply with Public Law 110–351 

which permits Indian Tribes pursuant to 

an approved plan under title IV–E to 

operate a title IV–E program directly. 

We added ‘‘or Tribal’’ to follow 

reference to the ‘‘statewide’’ system to 

be inclusive of Tribal systems. 

Consequently, this conforming 

amendment applies the regulatory 

requirements to receive Federal 

financial participation for the planning, 

design, development, installation and 

operation of automated child welfare 

information systems equally to States 

and Indian Tribes operating title IV–E 

programs. 

Section 1355.52—Funding Authority for 

Statewide or Tribal Automated Child 

Welfare Information Systems (SACWIS/ 

TACWIS) 

Section 1355.52 describes the 

requirements a title IV–E agency must 

follow to claim Federal reimbursement 

for automated child welfare information 

system expenditures at the 50 percent 

match rate. 

We amended the title to section 

1355.52 to include a reference to 

‘‘Tribal’’ automated child welfare 

systems and the accompanying acronym 

‘‘TACWIS’’ within the parenthesis. We 

also amended paragraphs (a), (a)(1) and 

(b) to make conforming changes by 

replacing the term ‘‘States’’ or ‘‘State’’ 

with ‘‘title IV–E agencies’’ and ‘‘title IV– 

E agency’’ respectively. We similarly 

added reference to a ‘‘Tribal’’ automated 

information system to accompany 

references to a ‘‘State’’ or ‘‘statewide’’ 

automated system in paragraphs (a) and 

(a)(3) and removed the word ‘‘State’’ 

that preceded ‘‘plan’’ in paragraph 

(a)(4). These conforming changes apply 

the regulatory provisions for a title IV– 

E agency to claim Federal Financial 

Participation (FFP) for expenditures 

related to planning, designing, 

developing, and installing a child 

welfare information system at the 50 

percent rate equally to States and Indian 

Tribes, as required by Public Law 110– 

351. 

In response to the FR notice that 

solicited comments, we received 

questions regarding funding for the 

initial development of an automated 

child welfare information system. 

Previously, States were eligible to 

receive 75% Federal match for the 

initial development costs of a SACWIS 

as was reflected in the provision in 

paragraph (a). However, the statutory 

authority for that higher level of match 

expired several years ago and there is no 

other statutory authority for an 

enhanced match for automated systems 

development costs for any title IV–E 

agency, State or Tribal. To avoid 

confusion and accurately reflect existing 

law, we are making a technical change 

to remove the obsolete reference to a 

75% rate for development of a SACWIS. 

We believe that because this change is 

technical in nature there is no need to 

go through the notice and comment 

process to update the regulation. 

Section 1355.53—Conditions for 

Approval of Funding 

Section 1355.53 describes the 

requirements a title IV–E agency must 

follow in designing, developing, and 

operating an automated child welfare 

system to receive funding for the 

system. 

We amended paragraphs (b)(2), (b)(3), 

(e), and (f) to make conforming changes 

by replacing the term ‘‘State’’, ‘‘States’’, 

‘‘State agency’’ and ‘‘State agencies’’ 

with ‘‘title IV–E agency’’ or ‘‘title IV–E 

agencies’’ to apply the SACWIS 

conditions for funding to a Tribal title 

IV–E agency in the same way they are 


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applied to a State title IV–E agency, as 

required by Public Law 110–351. In 

addition, we made additional 

conforming amendments to this section 

for the same reasons. Specifically, we 

amended paragraph (a) to make a 

conforming change to add the acronym 

‘‘TACWIS’’ to follow ‘‘SACWIS’’ and to 

remove the term ‘‘State’’ before ‘‘plan.’’ 

These conforming changes apply the 

advance planning document (APD) 

requirements a title IV–E agency must 

follow to receive funding for its 

automated child welfare system equally 

to States and Indian Tribes. Similarly, in 

paragraph (b)(2) we added ‘‘or Tribe’’ to 

follow the reference to a ‘‘State’’ so that 

it is clear that Tribal automated systems 

should have electronic exchanges and 

referrals with other Tribal systems such 

as TANF and child support, as 

appropriate. In paragraph (b)(3), we 

added a parenthetical provision that 

indicates that for Indian Tribes, the 

automated system is to support the 

collection of data across the Tribal 

service area on children in foster care, 

which parallels the provision that States 

have statewide data that supports the 

same. In paragraph (g) we inserted the 

term ‘‘and where applicable, Tribal 

standards’’ after ‘‘State standards’’ to 

apply the existing requirement that the 

automated system must perform Quality 

Assurance functions related to 

compliance with State and Federal 

standards equally to Tribal standards 

where applicable. 

Section 1355.54—Submittal of Advance 

Planning Documents 

Section 1355.54 requires that the APD 

be signed by the appropriate official, in 

accordance with procedures specified in 

45 CFR part 95, subpart F. 

We amended section 1355.54 to make 

conforming changes by removing the 

two references to ‘‘State’’ to apply 

equally the requirement that the title 

IV–E agency submit an APD for an 

automated system signed by the 

appropriate official to Tribal and State 

title IV–E agencies, as required by 

Public Law 110–351. 

Section 1355.55—Review and 

Assessment of the System Developed 

With Enhanced Funds 

Section 1355.55 explains the process 

for the review and assessment of the 

automated child welfare information 

system. Such a review is conducted to 

determine the extent to which the 

system meets the functionality 

requirements, the approved APD and 

the requirements of 45 CFR part 95, 

subpart F. More details on the 

assessment are available in a review 

guide accessible at http:// 

www.acf.hhs.gov/programs/cb/systems/ 

sacwis/sacwisreviewguide/ 

sacwisreviewguide_08.pdf. 

We amended section 1355.55 to make 

a conforming change by adding the 

acronym ‘‘TACWIS’’ to follow 

‘‘SACWIS’’ to apply the same ACF 

review and assessment process to both 

Tribal and State title IV–E systems. 

In addition to the change described 

above, we added a statement after the 

end of paragraph (b) providing that the 

information collection requirements in 

this section have been approved by the 

OMB and providing the applicable OMB 

Control Number. 

Section 1355.56—Failure To Meet the 

Conditions of the Approved APD 

Section 1355.56 discusses the 

conditions in which an APD can be 

suspended and describes the suspension 

process. 

We amended section 1355.56 in 

paragraphs (a), (b)(1), (b)(1)(iv), (b)(2) 

and (b)(4) to make conforming changes 

by replacing the term ‘‘State agency’’ 

with ‘‘title IV–E agency’’ to comply with 

Public Law 110–351. These conforming 

changes in section in 1355.56 apply the 

conditions in which an APD can be 

suspended and the suspension process 

equally to States and Tribal IV–E 

agencies. 

Section 1355.57—Cost Allocation 

Section 1355.57 discusses the cost 

allocation requirements for SACWIS/ 

TACWIS administrative costs claimed 

under title IV–E. 

We amended section 1355.57 in 

paragraphs (a) and (b) by replacing a 

reference to ‘‘State’’ with ‘‘title IV–E 

agency,’’ by replacing references to 

‘‘State plan’’ with ‘‘title IV–E plan,’’ and 

by adding the acronym ‘‘TACWIS’’ after 

‘‘SACWIS’’ to comply with Public Law 

110–351. We also updated the citation 

for section 474(e) to section 474(c) of the 

Act. These conforming changes in 

section 1355.57 apply the cost 

allocation conditions for SACWIS/ 

TACWIS administrative costs equally to 

States and Tribal title IV–E agencies. 

We want to note that the Department 

of the Interior, not HHS, is the cognizant 

agency for cost allocation for Indian 

Tribes. However, ACF still retains 

authority for guiding the allocation and 

documentation of title IV–E costs 

pursuant to section 1356.60 and 2 CFR 

225. As such, we issued guidance 

including ACYF–CB–PI–10–13 (issued 

on November 23, 2010) on how Indian 

Tribes can develop appropriate cost 

methodologies, including the allocation 

for TACWIS administrative costs and 

ACYF–CB–PI–09–11 (issued on 

September 17, 2009) which discusses 

conditions for obtaining Federal 

financial participation (FFP) by Indian 

Tribes for automated information 

technology projects including a 

TACWIS. 

Appendices to Part 1355 

Section 1355.40 includes references to 

appendices that identify the data 

elements, definitions, format standards 

and error standards for AFCARS. 

We amended Appendices A through E 

to replace many of the references to 

‘‘State’’, ‘‘State agency’’ or ‘‘title IV–B/ 

IV–E State agency’’ with ‘‘title IV–E 

agency’’ so that the related AFCARS 

provisions are applied equally to States 

and Indian Tribes operating title IV–E 

programs, pursuant to Public Law 110– 

351. We further amended the 

appendices as discussed in more detail 

below. 

Appendix A to Part 1355—Foster Care 

Data Elements 

Appendix A outlines the definitions 

and instructions for the foster care data 

elements a title IV–E agency is required 

to collect. 

We added the variant ‘‘/Tribal service 

area’’ to the description of the data 

element ‘‘Is Current Placement Out-ofState?’’ and its response options in 

section I, V.B so that where applicable, 

Indian Tribes can report to AFCARS 

whether a child is placed inside or 

outside of the Tribal service area as 

defined under sections 471(a)(3) and 

479B(c)(1)(B) of the Act. This is a 

parallel option to that for a State which 

must indicate whether a child’s current 

placement is intra- or interstate. Here 

we slightly modified this data element 

because a Tribal title IV–E agency must 

operate the title IV–E program in a 

Tribal service area. Therefore, a Tribal 

title IV–E agency reporting whether a 

child in its placement and care 

responsibility was placed in- or out-ofState would not provide us with 

meaningful information in this context. 

The service area of an Indian Tribe may 

be incongruent with a State’s 

geographical lines. Therefore, we 

developed a similar concept that is 

specific to a Tribal title IV–E agency to 

meet the law’s mandate that title IV–E 

requirements apply equally to Indian 

Tribes pursuant to Public Law 110–351. 

We also amended Section II, Reporting 

population, to replace the obsolete 

citation to section ‘‘422(b)(10)’’ with 

section ‘‘422(b)(8)’’ to reflect the 

existing statutory child protections. We 

believe that because this change is 

technical in nature there is no need to 

go through the notice and comment 

process to update the regulation. 


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In section II, I.A. we amended the 

instruction by renaming it Title IV–E 

agency and clarifying that an Indian 

Tribe submitting the report will use an 

abbreviation provided by ACF rather 

than a U.S. Postal Service abbreviation. 

We had to modify this requirement to 

address a Tribal title IV–E agency 

because the Tribal service areas do not 

correspond to State geographical areas. 

Further, we need a separate naming 

convention so that we can distinguish 

between AFCARS reports that come in 

from States and Indian Tribes. ACF will 

provide each Tribal title IV–E agency 

with an appropriate abbreviation or 

code to report in this data element 

outside of the regulatory process. 

Similarly, in section II, I.C. we amend 

the instruction for the data element 

‘‘local agency’’ to permit a Tribal title 

IV–E agency to use an ACF-provided 

code other than a Federal Information 

Processing Standard (FIPS) as a 

representation of the local agency which 

has responsibility for the child’s foster 

care case. The FIPS five digit codes that 

States use for AFCARS standards were 

originally designed by the National 

Institute of Standards and Technology 

to correspond to county jurisdictional 

lines, which would not accurately 

reflect Tribal service areas. Again, ACF 

will provide the Tribal title IV–E agency 

with an appropriate code that represents 

the local agency with responsibility for 

the child’s case. 

In section II, V.A., we amended the 

description related to the data element 

‘‘Identify the type of setting in which 

the child currently lives.’’ We amended 

the definitions of ‘‘Foster Family Home 

(Relative)’’ and ‘‘Foster Family Home 

(Non-Relative)’’ to remove the phrase 

‘‘State’’ and replace it with ‘‘title IV–E 

agency’’ to indicate that a foster family 

home is one regarded by either a State 

or Tribal title IV–E agency as a foster 

care living arrangement. We also 

amended the definition of ‘‘Trial Home 

Visit’’ to remove the phrase ‘‘State 

agency supervision’’ and replace it with 

‘‘title IV–E agency supervision’’ to 

indicate that a child that has been in a 

foster care placement under State or 

Tribal title IV–E agency supervision, but 

has been returned to the principal 

caretaker for a limited and specified 

period of time, is in a trial home visit 

placement. 

In section II, V.B., we amended the 

description related to the data element 

‘‘Is current placement setting outside of 

the State?’’ We added the phrase ‘‘or 

Tribal service area’’ to the element 

names and its response options so that 

where applicable, Indian Tribes can 

report to AFCARS whether a child is 

placed inside or outside of the Tribal 

service area as defined under the section 

471(a)(3) of the Act. This is the same 

change as the one made earlier in 

section I, V.B. We made a similar 

change in section II, X.B. related to the 

‘‘transfer to another agency’’ response 

option for the element ‘‘Reason for 

discharge.’’ In that provision we added 

language to clarify that the title IV–E 

agency is to indicate that the reason for 

discharge is transfer to another agency 

when the responsibility for the care of 

the child was awarded to another 

agency in or outside of the State ‘‘or 

Tribal service area.’’ 

In section II, XI. we amended the 

description related to the data element 

‘‘Source(s) of Federal Support/ 

Assistance for Child.’’ We amended the 

definition of ‘‘None of the Above’’ to 

remove the phrase ‘‘State’’ and replace 

it with ‘‘title IV–E agency’’ so that Tribal 

title IV–E agencies can report if a child 

is receiving support only from the Tribal 

title IV–E agency. 

We consider all of these as 

conforming changes that apply AFCARS 

requirements to a Tribal title IV–E 

agency in the same manner as they are 

applied to States. 

Appendix B to Part 1355—Adoption 

Data Elements 

In Appendix B we provide definitions 

and instructions for the title IV–E 

agency reporting of adoption data 

elements. 

We amended section I to add the 

variant ‘‘/Tribal service area’’ to the 

description of the responses to the 

‘‘Child was placed from’’ data element 

described in section I, VII.A so that 

where applicable, Indian Tribes can 

report to AFCARS whether a child is 

placed for adoption inside or outside of 

the Tribal service area as defined under 

the section 471(a)(3) of the Act. This is 

the same change made for the same 

reasons as the one described earlier for 

the foster care data element related to 

child placement. We amended the 

question portion of section I, III.A to 

remove the phrase ‘‘State child welfare 

agency’’ and replace it with ‘‘title IV–E 

agency’’ to indicate that both State and 

Tribal title IV–E agencies are to report 

to AFCARS whether the agency 

determined if the child has special 

needs. We also amended the title of 

section I, VIII by removing the reference 

to ‘‘Federal/State’’ from ‘‘Financial 

Adoption Support.’’ This change will 

require both State and Tribal title IV–E 

agencies to report on monthly financial 

adoption subsidies being paid on behalf 

of a child. 

We also amended section II, to add 

language to the Reporting Population 

section and in the following paragraph 

(b), to include children in a Tribal title 

IV–E agency’s service area who are 

adopted and whom the agency has had 

some involvement in the adoption as 

within the scope of the reporting 

population. This added language 

parallels the scope of the adoption 

reporting population for a State title IV– 

E agency and therefore implements the 

requirement that the same title IV–E 

requirements apply to Indian Tribes and 

States per Public Law 110–351. We 

further made a technical change to the 

reporting population section to remove 

a sentence that instructed States to 

report all adoptions which occurred on 

or after October 1, 1994. We removed 

this instruction because it imposed a 

requirement related to the initial 

implementation of AFCARS in 1993; 

now obsolete. We believe that because 

this change is technical in nature there 

is no need to go through the notice and 

comment process to update the 

regulation. 

The title IV–E agency must include in 

the AFCARS adoption file all children 

adopted with the involvement of the 

title IV–E agency, at the time of their 

adoption, as indicated in the remaining 

provisions of the reporting population 

section. Finally, in the same paragraph 

we revise language that suggested that 

financial penalties were a consequence 

of failure to report information on 

adoptions. As explained elsewhere, 

there are no financial penalties in effect 

at this time. Therefore, we have 

replaced the language with a provision 

that explains that a finding of 

noncompliance is the consequence for a 

title IV–E agency not reporting to 

AFCARS information on all adoptions 

in the reporting population. 

We amended section II, I.A. to 

provide for a Tribal title IV–E agency to 

submit a two-digit abbreviation 

provided by ACF as opposed to the 

Postal Service abbreviation used by 

States. This is the same amendment 

made to the similar element found in 

the foster care file addressed previously. 

We also amended section II, I.D. related 

to the question ‘‘Did the title IV–E 

agency have any involvement in this 

adoption?’’ The element requires the 

title IV–E agency to indicate how it was 

involved in the child’s adoption for 

children in the reporting population. 

We amended the question by changing 

‘‘State’’ to ‘‘title IV–E’’ and the 

instruction to include children who are 

in the placement and care responsibility 

of the title IV–E agency who are adopted 

‘‘in the service area’’ of the Indian Tribe. 

This parallels State reporting of children 

within their placement and care 

responsibility who are adopted in the 

State. This is a conforming change that 


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applies the AFCARS requirements to 

Indian Tribes in the same manner as 

they are applied to States, as required by 

Public Law 110–351. 

Section II, IV.B describes the adoption 

data element ‘‘Was the mother married 

at the time of the child’s birth?’’ We 

amended this description to define 

marriage for the purposes of this data 

element to include situations of 

common law marriage if it is legal in the 

Indian Tribe, in addition to those 

situations in which it is legal in the 

State. This is a technical change that 

allows Indian Tribes to report common 

law marriage as with States. 

Section II, VII.A and B describe two 

data elements related to from where a 

child was placed for adoption and who 

the child was placed by for adoption. In 

the first element, we amended the 

response options so that references to 

adoptions that occur ‘‘within State’’ and 

‘‘another State’’ include the alternatives 

‘‘within Tribal service area’’ and 

‘‘another Tribal service area.’’ These 

response options are to be used by the 

Tribal title IV–E agency as appropriate 

to indicate when children are placed for 

adoption with a family that is 

considered either within the service 

area or outside of the service area as 

defined in section 471(a)(3) of the Act. 

As with other conforming changes, this 

allows Indian Tribes to report AFCARS 

data in a similar manner to States. The 

second element describes a Tribal 

agency as a unit within one of the 

federally-recognized Indian Tribes or 

Indian Tribal organizations. We 

amended this response option to be 

inclusive of Tribal consortia to conform 

to Public Law 110–351 which permits 

Tribal consortia to operate a title IV–E 

plan. 

In section II, VIII.A we amended the 

title of the section and the data element 

instruction regarding whether a child is 

receiving a monthly subsidy. We 

removed reference in the title to ‘‘State/ 

Federal’’ adoption support and left it 

broad so it can be inclusive of Tribal 

adoption support. Similarly, we 

amended the instruction for the 

response option so that Indian Tribes 

can report whether the child was 

adopted with an adoption assistance 

agreement under which regular ‘‘Tribal’’ 

subsidies are paid in addition to Federal 

or State subsidies. This change is 

conforming in nature as it allows a 

Tribal title IV–E agency to report the 

same type of information as a State as 

required by Public Law 110–351; 

whether the Indian Tribe is providing 

adoption subsidies that are supported 

with their own funds, or with Federal 

funds. 

Appendix C to Part 1355—Electronic 

Data Transmission Format 

In Appendix C, we describe the 

transmission criteria that must be met 

by each title IV–E agency. We amended 

Appendix C to replace ‘‘State agency’’ 

and ‘‘States’’ with ‘‘title IV–E agency’’ 

and ‘‘title IV–E agencies.’’ 

In order to meet the transmission 

criteria, the regulation offers as much 

flexibility as possible to negotiate a 

method of transmission best suited to 

the title IV–E agency’s environment. 

This language allows ACF and Tribal 

title IV–E agencies greater flexibility 

regarding electronic data exchange and 

secure transmission protocols and 

standards for the transmission of 

AFCARS data files through AFCARS 

Technical Bulletins, rather than 

regulation. States transmit the AFCARS 

data using a secure data transfer 

connection between the State’s 

information system and the Federal 

system. While an Indian Tribe may be 

able to submit data electronically using 

a similar software program, we also 

learned through discussions and 

consultations with Indian Tribes in the 

Spring 2009 that some Indian Tribes 

have limited technical resources with 

which to develop or upgrade a data 

reporting system and face technological 

barriers to submitting data through an 

electronic data exchange, including 

limited access to software and systems 

that will transmit data. We believe that 

the inability to transmit data via data 

transfer software should not be a barrier 

to Tribal operation of a title IV–E 

program, and that this section allow us 

flexibility regarding electronic data 

exchange. We will work with Tribes and 

prescribe alternative secure 

transmission protocols and standards 

for the transmission of AFCARS data 

files through AFCARS Technical 

Bulletins. We also will provide 

technical assistance to Indian Tribes in 

order to assist in building the capacity 

of Indian Tribes to submit AFCARS data 

files via a direct file transfer in 

accordance with Appendix C and 

1355.40(b). 

We removed the description of four 

methods for electronic data exchange 

that were in operation at HHS at the 

time the Appendix was issued in 1993 

because the methods are now obsolete. 

We believe that because this change is 

technical in nature there is no need to 

go through the notice and comment 

process to update the regulation. 

Further, we amended Appendix C to 

clarify that the four criteria for data 

submissions apply to a Tribal title IV– 

E agency in the same manner they apply 

to a State title IV–E agency consistent 

with Public Law 110–351, regardless of 

whether a Tribal title IV–E agency 

transmits data in an electronic or nonelectronic file in accordance with 

1355.40(b). The four criteria which 

remain in the regulation are: (1) Records 

must be written using ASCII standard 

character format; (2) all elements must 

be comprised of integer (numeric) 

value(s); (3) all records must be a fixed 

length; and, (4) all State and Tribal title 

IV–E agencies must inform the 

Department, in writing, of the method of 

transfer they intend to use. 

Appendix D to Part 1355—Foster Care 

and Adoption Record Layouts 

Appendix D outlines the detailed 

record layouts for the AFCARS files. 

We amended Appendix D to 

incorporate the changes previously 

discussed in Appendices A through C 

that affect the record layout. These 

changes include replacing references to 

‘‘State’’ with ‘‘Title IV–E agency,’’ 

adding language that indicates whether 

a placement for adoption or foster care 

is in or out of the ‘‘Tribal service area,’’ 

and adding language that allows a Tribal 

title IV–E agency to submit a two-digit 

abbreviation provided by ACF as 

opposed to the Postal Service 

abbreviation used by States. 

Appendix E to Part 1355—Data 

Standards 

Appendix E outlines the four types of 

assessments which are conducted on the 

foster care and adoption data 

submissions to determine the 

completeness and internal consistency 

of the data. 

We amended Appendix E throughout 

to replace references to ‘‘State’’ with 

‘‘Title IV–E agency’’ and added language 

that indicates whether a placement for 

adoption or foster care is in or out of the 

‘‘Tribal service area.’’ 

In section A.2.a.(1) we amend the 

instruction for the data element ‘‘Local 

Agency’’ and the summary file to permit 

a Tribal title IV–E agency to use an ACFprovided code other than a FIPS as a 

representation of the local agency which 

has responsibility for the child’s foster 

care case. 

We also amended Appendix E to 

remove references to the penalty 

provisions in section 1355.40(e) because 

they are obsolete as discussed 

previously, and replaced such 

provisions with language that indicates 

that the results of the assessments 

determine whether a title IV–E agency is 

in substantial compliance with the 

AFCARS requirements. We believe that 

because these changes are technical in 

nature that there is no need to go 

through the notice and comment 


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process to update the regulation 

accordingly. 

Appendix F to Part 1355 

Appendix F contained a chart that 

indicated the State allotments of 

incentive funds in 1993. These 

allotments were the basis for fiscal 

penalties for substantial noncompliance 

with AFCARS requirements. We have 

deleted Appendix F in its entirety 

because as explained previously the 

penalty structure in the regulations is no 

longer in use. 

Part 1356—Requirements Applicable to 

Title IV–E 

Section 1356.10—Scope 

This section indicates the scope of the 

part 1356 rules as applicable to the title 

IV–E programs for foster care, adoption 

assistance and independent living. 

We amended this section to replace 

‘‘State’’ with ‘‘title IV–E agency’’ 

pursuant to Public Law 110–351 to 

apply the title IV–E program equally to 

States and Indian Tribes directly 

operating a title IV–E program. 

Section 1356.20—Title IV–E Plan 

Document and Submission 

Requirements 

This section outlines the process for 

submission and approval of title IV–E 

plans under section 471 of the Act. 

We amended section 1356.20 in 

paragraphs (a), (b), (c) and (d) (as 

renumbered) by deleting all references 

to ‘‘State’’ and ‘‘State plan’’ and 

replacing them with ‘‘title IV–E agency’’ 

and ‘‘title IV–E plan’’ respectively, to 

apply the title IV–E program equally to 

States and Indian Tribes directly 

operating a title IV–E program pursuant 

to Public Law 110–351. We made 

additional changes to these paragraphs 

to remove obsolete references, conform 

to Public Law 110–351 or make 

technical corrections as follows. We 

believe that because these changes are 

technical in nature there is no need to 

go through the notice and comment 

process to update the regulation 

accordingly. 

We amended paragraph (a) to specify 

that Indian Tribes directly operating a 

title IV–E program must have a plan 

approved by the Secretary that meets 

the requirements of section 479B(c) of 

the Act, in addition to the requirements 

of 45 CFR part 1355 and section 471(a) 

of the Act. This additional citation to 

section 479B(c) of the Act is necessary 

since Public Law 110–351 specifies 

some unique criteria for Tribal title IV– 

E programs only. 

We removed an obsolete reference in 

paragraph (b) to penalties described in 

45 CFR 1355.40(e) for AFCARS (see 

more discussion related to this 

provision in the section by section 

description of 45 CFR 1355.40(e)). We 

believe that because this change is 

technical in nature there is no need to 

go through the notice and comment 

process to update the regulation. 

We deleted paragraph (c) because it 

contained references to outdated 

statutory provisions regarding voluntary 

foster care placements. Although these 

citations have been removed, both State 

and Tribal title IV–E agencies still have 

the option to provide title IV–E for 

eligible children voluntarily placed into 

foster care pursuant to section 

472(a)(2)(A)(i) of the Act. Therefore, this 

is a technical change only. We 

renumbered paragraphs (d) and (e) as (c) 

and (d) accordingly. 

We made various technical changes to 

renumbered paragraph (c) to clarify the 

Tribal official who has the authority to 

sign the title IV–E plan. States must 

have the governor or his or her designee 

review and submit the title IV–E plan. 

We added a parallel provision for Indian 

Tribes to authorize the Tribal leader or 

his or her designee to review and submit 

the plan in paragraph (c)(2). This is 

consistent with the law’s requirement to 

apply title IV–E requirements equally to 

States and Indian Tribes. We also 

amended paragraph (c)(4) because it is 

obsolete. ACYF is authorized to approve 

title IV–E plans consistent with our 

most recent functional statement of 

organization rather than the ACF 

Regional Administrator (see 71 FR 

59117–59123, 10/06/06). We believe 

that because this change is technical in 

nature there is no need to go through the 

notice and comment process to update 

the regulation. Further, we amended 

paragraph (c)(8) to apply the 

requirements for effective dates of a new 

title IV–E plan equally to States and 

Indian Tribes. As such, in the case of an 

Indian Tribe that directly operates a title 

IV–E program, the effective date for 

expenditures made may not be earlier 

than the first day on which the plan is 

in operation in the Indian Tribe’s entire 

service area. This is a comparable 

requirement to the one in existence for 

States: Expenditures cannot be made 

earlier than the first day the plan is in 

operation on a statewide basis. 

One commenter requested that an 

Indian Tribe that directly operates a title 

IV–E program be able to start a title IV– 

E program in any quarter of a fiscal year. 

This is allowable if the Indian Tribe 

submits an approvable title IV–E plan to 

ACF by the end of the calendar quarter. 

Another commenter requested that 

Indian Tribes be permitted to operate 

the foster care maintenance payments 

program but not the adoption assistance 

program. The statute at section 471(a)(1) 

of the Act requires the operation of both 

the foster care and adoption programs 

under title IV–E as mandatory features 

of the program. 

Section 1356.21—Foster Care 

Maintenance Payments Program 

Implementation Requirements 

This section describes many of the 

requirements of the foster care 

maintenance payments program which 

relate to child eligibility. 

We amended section 1356.21 

throughout by deleting numerous 

references to ‘‘State agency,’’ ‘‘State 

plan’’ and ‘‘State’’ replacing them with 

‘‘title IV–E agency’’ or ‘‘title IV–E plan’’ 

respectively pursuant to Public Law 

110–351 to apply the title IV–E program 

equally to States and Indian Tribes 

directly operating a title IV–E program. 

The additional changes we made 

throughout this section are discussed 

below. 

Section 1356.21(a)—Statutory and 

Regulatory Requirements of the Federal 

Foster Care Program 

This paragraph states the 

requirements that apply in general to 

the title IV–E foster care maintenance 

payments program. In paragraph (a), for 

a Tribal title IV–E agency, we added a 

cross reference to section 

479B(c)(1)(C)(ii)(II) of the Act. This 

statutory provision requires a Tribal title 

IV–E agency to use the 1996 AFDC 

eligibility standards in effect in the State 

of the child’s removal for the purposes 

of title IV–E foster care eligibility. We 

received comments during consultation 

that requested some form of relief from 

this requirement, as many noted that it 

would be burdensome to an Indian 

Tribe to become familiar with and apply 

AFDC eligibility standards from a 

number of different States. Suggestions 

included that we establish a national 

AFDC standard, streamline the AFDC 

eligibility determination process, and 

allow a Tribal title IV–E agency to 

disregard the AFDC income/resource 

standards or specifically exempt Tribal 

per capita payments from State AFDC 

standards. We are unable to deviate 

from the explicit statutory requirement 

regarding the process for determining 

eligibility for AFDC (section 479B(c)(1)

(C)(ii)(II) of the Act). The Tribal title IV– 

E agency must use the 1996 title IV–A 

plan standards of the State in which the 

child was residing at the time of 

removal including those related to 

income and resources, with only those 

exceptions provided in law for deviating 

from those 1996 standards. Specifically, 

a title IV–E agency must use: The 


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Federal $10,000 child resources 

limitation as provided for in section 

472(a)(3)(B) of the Act; the State 

definition of unemployed parent subject 

to the requirements of 45 CFR 

233.101(a)(1) as amended after 1996; 

and, the Federal restrictions on benefits 

to certain types of immigrants as 

provided for in section 401(a) of the 

Personal Responsibility and Work 

Opportunity Reconciliation Act of 1996 

(Pub. L. 104–193). 

Section 1356.21(b)—Reasonable Efforts 

This paragraph outlines the statutory 

requirement at section 471(a)(15) of the 

Act. We made a technical change to this 

paragraph to replace the reference to 

section 472(a)(1) of the Act with the 

correct citation to section 472(a)(2). At 

the time that the regulations were 

originally published, the eligibility 

requirement for a judicial determination 

regarding reasonable efforts was located 

in section 472(a)(1) of the Act. The 

Deficit Reduction Act of 2005 (Pub. L. 

109–171) amended the law and 

repositioned the reasonable efforts 

requirement at section 472(a)(2) of the 

Act. This is a conforming change only 

to update the statutory reference. We 

further amended this paragraph to 

remove the reference to ‘‘State’’ in the 

statement that a child’s health and 

safety must be the paramount concern 

in making reasonable efforts. This 

change applies the requirement equally 

to States and Indian Tribes pursuant to 

Public Law 110–351. 

A commenter sought clarification on 

the title IV–E requirements related to 

reasonable efforts versus the ICWA 

provisions for active efforts and 

requested that we explain who is 

responsible for determining whether the 

reasonable and active efforts standards 

are met. The title IV–E foster care 

eligibility requirement in paragraph 

(b)(1) mandates that the title IV–E 

agency obtain a judicial determination 

to the effect that reasonable efforts were 

made to prevent a child’s removal from 

the home within 60 days of the child’s 

removal, or a judicial determination that 

efforts are not required (i.e., making no 

efforts was reasonable) because one of 

the conditions in section 471(a)(15)(D) 

of the Act have been met. Additionally, 

per paragraph (b)(2) the title IV–E 

agency must obtain a judicial 

determination that it has made 

reasonable efforts to finalize the 

permanency plan in effect within 12 

months of the child’s entry into foster 

care. Whether the State or Tribal title 

IV–E agency obtains this judicial 

determination depends on which party 

has placement and care responsibility 

for the child at the time it is due. ICWA 

at 25 U.S.C. 1912(d) requires that any 

party seeking to effect a foster care 

placement of, or termination of parental 

rights to, an Indian child under State 

law (emphasis added) shall satisfy the 

court that active efforts have been made 

to provide remedial services and 

rehabilitative programs designed to 

prevent the breakup of the Indian family 

and that these efforts have proved 

unsuccessful. Here the party responsible 

for obtaining an active efforts 

determination is the one making the 

petition for foster care or other custodial 

proceedings in a State court. The 

requirements for reasonable efforts and 

active efforts are under separate Federal 

authorities and are not altered or 

superseded by one another. However, as 

ICWA is outside ACF’s purview, we do 

not have authority to instruct States and 

Tribes on how to meet its requirements. 

There is no particular language 

required to satisfy the title IV–E 

reasonable efforts judicial requirements, 

however, the order should be clear that 

the court has determined that 

reasonable efforts were made or were 

not required (65 FR 4056). Therefore, to 

the extent that a State court makes a 

finding related to active efforts for 

ICWA purposes, it is possible that such 

a finding could also satisfy one of the 

title IV–E requirements related to 

reasonable efforts. However, this is a 

determination that can only be made in 

light of a specific case. ACF regional 

office staff and technical assistance 

resources are available to work in 

partnership with a title IV–E agency and 

its courts to help them address 

processes for meeting judicial 

determination requirements. 

Section 1356.21(b)(3)—Circumstances 

in Which Reasonable Efforts Are Not 

Required To Prevent a Child’s Removal 

From Home or to Reunify the Child and 

Family 

This paragraph describes the 

circumstances in which reasonable 

efforts to prevent a child’s removal or to 

reunify a child with his or her family 

are not required consistent with section 

471(a)(15)(D) of the Act. We amended 

paragraph (b)(3)(i) to specify that if an 

Indian Tribe operates a title IV–E 

program, Tribal law must define what 

constitutes aggravated circumstances 

under which reasonable efforts are not 

required to prevent a child’s removal 

from home or reunify the child and 

family. We made this change to align 

the requirements for States and Indian 

Tribes directly operating a title IV–E 

plan as required by Public Law 110– 

351. We note here that Tribal law 

governs aggravated circumstances in the 

case of a Tribal title IV–E plan, but not 

in the situation of a State plan under 

which a Tribal public agency has an 

title IV–E agreement pursuant to section 

472(a)(2)(B)(ii) of the Act. In the case of 

a title IV–E agreement, there is no 

‘‘Tribal title IV–E agency’’ and our 

existing policy at CWPM Section 9.4 

Q/A #5 prevails. This policy explains 

that another public agency or Indian 

Tribe operating under a title IV–E 

agreement is bound by any State statute 

or policy related to the operation of the 

title IV–E program. 

We received a comment requesting 

clarification on whether a finding 

regarding reasonable efforts to prevent 

placement is a requirement for children 

removed from their homes by police 

officers on an emergency basis. In all 

cases in which the State or Tribal title 

IV–E agency seeks to claim title IV–E 

funds for a child involuntary removed 

from his/her home, there must be a 

judicial determination that either: (1) 

Reasonable efforts were made to prevent 

the child’s removal from the home; or 

(2) that reasonable efforts to prevent 

removal are not required because one of 

the conditions in section 1356.21(b)(3) 

have been satisfied (i.e., a parent has 

subjected the child to aggravated 

circumstances, the parent was convicted 

of murdering another child, etc.). We 

also note that we have existing policy 

(CWPM Section 8.3A.9b Q/A #4) that 

explains, ‘‘* * * if there is a judicial 

determination to the effect that efforts to 

prevent removal or reunify the family 

have not been made due to the 

immediate danger to the child, or that 

the lack of efforts is appropriate due to 

the particular circumstances of the case, 

the reasonable efforts requirements in 

45 CFR 1356.21(b)(1) and (2) will be 

satisfied.’’ 

Section 1356.21(c)—Contrary to the 

Welfare Determinations 

This paragraph describes the 

requirement under section 472(a)(2) of 

the Act for a determination to the effect 

that continuation of residence in the 

home would be contrary to the welfare 

of the child. We made a technical 

change to this paragraph to replace the 

reference to section 472(a)(1) of the Act 

with the correct citation to section 

472(a)(2). 

Section 1356.21(d)—Documentation of 

Judicial Determinations 

This paragraph describes the 

documentation requirements for the 

reasonable efforts and contrary to the 

welfare judicial determinations. 

We amended paragraph (d)(2) to give 

effect to section 479B(c)(1)(C)(ii)(I) of 

the Act that allows a Tribal title IV–E 

agency to use nunc pro tunc orders and 


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affidavits in limited circumstances. This 

amendment allows a Tribal title IV–E 

agency, for the first 12 months in which 

the title IV–E plan is in effect, to use 

affidavits or nunc pro tunc orders to 

demonstrate that a judicial 

determination was made regarding 

reasonable efforts or contrary to the 

welfare of the child. This means that for 

the first 12 month period only, if the 

reasonable efforts or contrary to the 

welfare determination is not included in 

the requisite orders, we will accept an 

affidavit, or nunc pro tunc order as 

evidence that it was in fact made. 

Several commenters to the FR notice 

requested that Indian Tribes be able to 

use nunc pro tunc orders to correct 

existing State/Tribal court orders for 

title IV–E eligibility purposes. We are 

not clear what was envisioned by this 

comment. The Tribal title IV–E agency 

may use nunc pro tunc orders to correct 

deficiencies in the record and otherwise 

provide evidence of a judicial 

determination regarding contrary to the 

welfare or reasonable efforts. We do not 

anticipate that judges will sign a nunc 

pro tunc order in the absence of 

evidence that substantiates the finding. 

In other words, we caution the Tribal 

agency from seeking nunc pro tunc 

orders as merely a paperwork exercise 

to obtain Federal funding. As we 

explained in a prior rule (65 FR 4056), 

the legislative history of the Federal 

foster care program indicates that the 

statutory requirement for judicial 

determinations was created as an 

‘‘important safeguard(s) against 

inappropriate agency action.’’ Further, 

nunc pro tunc orders are related only to 

judicial determinations and cannot be 

used to ‘correct’ other aspects of 

eligibility, such as licensure of foster 

family homes or child care institutions 

or AFDC eligibility. 

A commenter requested that nunc pro 

tunc orders be allowed for cases which 

are subject to a State/Tribal title IV–E 

agreement. The statutory flexibility 

exists only for a Tribal title IV–E agency 

through the first 12 months of the title 

IV–E plan, therefore, States may not use 

nunc pro tunc orders to document a 

judicial determination for cases subject 

to a title IV–E agreement. Another 

commenter requested that we provide a 

rationale to explain why nunc pro tunc 

orders are allowed for only a 12 month 

period at the beginning of the Tribal 

title IV–E plan and requested that we 

permit such orders beyond this period. 

The use of nunc pro tunc orders is 

limited in statute to 12 months and 

there is no explicit legislative history 

that clarifies why this flexibility was 

provided to Indian Tribes or why this 

particular timeframe. However, the 

effect is to provide Indian Tribes who 

are commencing their title IV–E 

programs with a limited period where 

the Indian Tribe may be held harmless 

for court orders that ACF may otherwise 

find insufficient for title IV–E funding 

purposes. 

We amended paragraph (d)(3) to 

include a Tribal title IV–E agency in the 

provision that explains that court orders 

that reference State (or Tribal) law to 

substantiate judicial determinations are 

not acceptable documentation that the 

findings were made. We made this 

change to align the requirements for 

States and Indian Tribes with a title IV– 

E plan as required by Public Law 110– 

351. 

Section 1356.21(g)—Case Plan 

Requirements 

This paragraph outlines the 

provisions for developing case plans for 

each child in foster care. In paragraph 

(g) we removed the phrase ‘‘State and 

local’’ that preceded ‘‘staff’’ so that the 

provision refers to staff of either a State 

or Tribal title IV–E agency. The 

paragraph now clarifies that the title IV– 

E agency must promulgate policy 

materials related to case plans. We also 

added ‘‘Tribal’’ adoption exchanges to 

the list of examples of child specific 

recruitment efforts that should be 

documented in the case plan for 

children with the goal of adoption or 

placement in another permanent home 

in paragraph (g)(5). These changes apply 

the existing case plan requirements to a 

Tribal title IV–E agency on the same 

basis as a State as required by Public 

Law 110–351. 

A commenter asked during 

consultation whether Indian Tribes will 

be required to document child specific 

recruitment efforts for permanency; this 

change clarifies that they will. 

One commenter requested that case 

plans developed by a Tribal title IV–E 

agency be completed within 90 days 

rather than the 60 day period in existing 

regulations. The commenter opined that 

a lack of Tribal resources and high 

caseloads justified the extended 

timeframe. We are following the 

statutory requirement to implement the 

program in the same manner for all title 

IV–E agencies and are therefore leaving 

the requirement at 60 days. Further, the 

requirement to develop case plans 

within 60 days is a longstanding 

requirement that dates back to the 

original title IV–E regulations issued in 

1983. At that time, we concluded after 

public comment that 60 days is a 

reasonable and responsible time period 

in which to document the child and 

family’s assessed needs, set goals, 

identify needed services and estimate a 

timeframe for permanency (47 FR 

30932). Timely engagement of families 

and establishing provisions for the 

child’s safety, well-being, and 

permanency are critical components to 

the title IV–E foster care program. 

The same commenter requested 

clarification regarding whether a Tribal 

title IV–E agency has the discretion to 

develop a case plan format of their own. 

This is allowable. There are no Federal 

requirements regarding the format of the 

case plan and a Tribal title IV–E agency 

may develop their own formats as they 

see fit. An Indian Tribe may want to 

take advantage of our Regional Office 

staff or technical assistance resource 

partners to help them develop or adapt 

a case plan format and process that 

works best for them and is conducive to 

parent engagement and the law’s other 

requirements. The same commenter 

sought clarification on whether Indian 

Tribes can develop case plans jointly 

with extended family/kin should 

reunification not be likely. The 

regulatory requirement is for the IV–E 

agency to develop a case plan jointly 

with the child’s parents or guardians. 

Additional persons, such as family, kin, 

service providers and other persons who 

can serve as supports to the child and 

family, can be engaged to assist in 

developing the child’s case plan as the 

State or Tribal title IV–E agency deems 

appropriate. 

A commenter requested that 

regulatory references to children being 

placed in close proximity to their 

parent’s home, as in paragraph (g)(3), 

take into consideration that an Indian 

child may have affiliations with more 

than one Indian Tribe or be located in 

a service area that spans the geographic 

jurisdictions of several States. We have 

not made any adjustments to the 

regulatory text in response to this 

comment. Rather, we note here that the 

case plan provision to discuss how the 

placement setting will be in close 

proximity to the home of the parents, 

among other factors, is not a mandate 

that in all cases the child be placed 

close to the home of his/her parents. 

Rather, the goal is for the agency to 

outline in the case plan how the agency 

weighed or will weigh close proximity 

to the child’s parents in determining 

his/her placement setting(s). Another 

commenter requested that States 

provide enough information when cases 

are transferred from State to Tribal 

custody to allow the development of a 

good case plan. We concur that these 

transfers will require extensive 

coordination and communication 

between title IV–E agencies and set forth 

such provisions in new section 1356.67. 


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Section 1356.21(i)—Application of the 

Requirements for Filing a Petition To 

Terminate Parental Rights at Section 

475(E) of the Social Security Act 

This paragraph implements the 

provisions of section 475(E) of the Act 

regarding filing a petition to terminate 

parental rights (TPR) when a child has 

been abandoned, or has been in foster 

care for 15 out of 22 months unless a 

statutory exception applies. 

We amended paragraph (i)(1)(ii) to 

include in the parenthetical statement 

that when a child is determined by a 

court to be abandoned, consistent with 

Tribal law, a petition to file termination 

of parental rights is due within 60 days 

of that determination. The situation in 

which Tribal law, as opposed to State 

law, is applicable is when an Indian 

Tribe has a title IV–E plan. Similar to 

aggravated circumstances, if an Indian 

Tribe is under a title IV–E agreement 

(section 472(a)(2)(B)(ii) of the Act) with 

a State, then State law on abandonment 

is controlling rather than Tribal law. 

We received a request that we clarify 

whether customary adoptions satisfy the 

TPR requirement and whether Indian 

Tribes must follow the requirements for 

TPR. While we recognize that 

termination of parental rights and 

adoption may not be a part of an Indian 

Tribe’s traditional belief system or legal 

code, there is no statutory authority to 

provide a general exemption for Indian 

Tribal children from the requirement to 

file a petition for TPR. All title IV–E 

agencies must file or seek to join a 

petition to terminate parental rights in 

the case of a child who has been in 

foster care for the specified timeframe or 

is abandoned. However, Federal law 

provides case by case exceptions to the 

requirement to file a petition for TPR 

that include: The child is being cared 

for by a relative; the agency has not 

provided reasonable efforts to reunify 

the family consistent with the case plan; 

adoption is not appropriate for the 

child; no legal grounds for TPR exist 

(see section 475(5)(E)(i) through (iii) of 

the Act). What constitutes the legal 

grounds for TPR are at the discretion of 

the Indian Tribe with regard to Tribal 

title IV–E plans. Once a title IV–E 

agency has filed a TPR consistent with 

this provision, it must concurrently 

begin to identify, recruit, process, and 

approve a qualified adoptive family for 

the child per section 1356.21(j)(3). 

Seeking customary adoption of a child 

is equivalent to other forms of legal 

adoption for these purposes. We direct 

a Tribal title IV–E agency to existing 

policy in the CWPM at Section 8.3C.2e 

for additional clarifications of the TPR 

provisions. 

Section 1356.21(l)—Living With a 

Specified Relative 

Paragraph 1356.21(l) describes the 

required conditions for living with a 

specified relative prior to removal from 

home to meet the AFDC requirements 

for title IV–E eligibility for foster care 

maintenance payments. 

We amended paragraph (l) regarding 

living with a specified relative in two 

respects. First, we changed the statutory 

citation from section 472(a)(4) of the Act 

to section 472(a)(3) of the Act as 

renumbered by the enactment of the 

Deficit Reduction Act of 2005 (Pub. L. 

109–171). Second, we added a reference 

to section 479B(c)(1)(C)(ii)(II) of the Act 

to cross reference the AFDC 

requirements that are applicable to 

Indian Tribes with a title IV–E plan. The 

terms ‘‘parent’’ and ‘‘specified relative’’ 

used in paragraph (l) are those of the 

AFDC program of the State in which the 

child was living at the time of removal 

as mandated by the statute. The law 

does not provide any discretion for a 

Tribal IV–E agency to define these 

terms. Rather, the regulations of the 

AFDC program at 45 CFR 

233.90(c)(1)(v), state that a child may be 

considered to meet the requirement of 

living with a specified relative if his 

home is with a parent or a person in one 

of the following groups: (1) Any blood 

relative, including those of half-blood, 

and including first cousins, nephews, or 

nieces, and persons of preceding 

generations as denoted by prefixes of 

grand, great, or great-great; (2) 

Stepfather, stepmother, stepbrother, and 

stepsister; (3) Person who legally adopt 

a child or his parent as well as the 

natural and other legally adopted 

children of such persons, and other 

relatives of the adoptive parents in 

accordance with State law; and, (4) 

Spouses of any persons named in the 

above groups even after the marriage is 

terminated by death or divorce. Several 

commenters reasoned that a Tribal IV– 

E agency should have discretion 

regarding the AFDC-related 

requirements by allowing Indian Tribes 

to define the scope of a relative or 

otherwise permit ‘‘Indian custodians’’ as 

a substitute for parents or specified 

relatives. To do as the commenters 

requested regarding the AFDC-related 

requirements of title IV–E would go 

beyond the statute’s mandate. All title 

IV–E agencies must comply with the 

requirements of the AFDC program as in 

effect on July 16, 1996. In the case of a 

Tribal title IV–E agency, the relevant 

AFDC program is the one in effect on 

that date in the State the child lived in 

at the time of removal. 

We also received a couple of 

comments that asked whether we would 

overturn the ‘‘Rosales’’ requirement or 

deem as title IV–E eligible those 

children who resided with different 

relatives within six months of the 

child’s removal from home. The 

commenter asserted that doing so would 

be more culturally sensitive to Indian 

Tribes. We understand the issue to be 

whether we will continue to require a 

title IV–E agency to base eligibility on 

an AFDC-eligible relative with whom a 

child was living during the six months 

prior to the removal month, but from 

whom he was not removed. The 

reference to Rosales is to a court case, 

Rosales v. Thompson, 321 F.3d 835 (9th 

Cir. 2003), that led to the clarification in 

Public Law 109–171 on the specified 

relative for whom AFDC eligibility will 

be determined. Again, we cannot 

deviate from the statutory requirements 

which tie title IV–E foster care eligibility 

to whether the child meets the AFDC 

criteria in the specified relative’s home 

from which he or she is removed. 

Section 1356.21(n)—Foster Care Goals 

This paragraph describes the statutory 

requirement related to foster care goals 

that must be established by the title IV– 

E agency. 

We amended paragraph (n) which 

requires that foster care goals be in law, 

to add in that such goals can be 

incorporated into Tribal law by statute, 

code, resolution or administrative rule. 

This change implements the 

requirement that a Tribal title IV–E 

agency operate the title IV–E program in 

the same manner as a State as required 

by Public Law 110–351. 

Section 1356.21(o)—Notice and Right 

To Be Heard 

This paragraph describes the 

requirement for a title IV–E agency to 

provide foster parents, and any preadoptive parent or relative providing 

care for the child with timely notice of 

court-held proceedings and a right to be 

heard. 

We amended paragraph (o) to make it 

consistent with the Act and reflect 

changes made by Public Law 109–171. 

First, we changed the title of the 

paragraph from ‘‘Notice and opportunity 

to be heard’’ to ‘‘Notice and right to be 

heard’’ to reflect the statutory provision. 

Second, we deleted specific reference to 

the kinds of hearings to which the 

regulation applies to and replaced it 

with the phrase ‘‘in any proceedings 

held with respect to the child during the 

time the child is in the care of such 

foster parent, pre-adoptive parent, or 

relative caregiver’’ to give effect to the 


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changes made by Public Law 109–171 to 

section 475(5)(G) of the Act. 

The regulation now reflects the 

requirement that the foster parents, preadoptive parents or relatives providing 

care for a child must, at a minimum, be 

provided with notice of their right to be 

heard in all permanency hearings, as 

well as six-month reviews, if held by the 

court (see also the CWPM Section 

8.3C.2b Q/A #2). 

Section 1356.22—Implementation 

Requirements for Children Voluntarily 

Placed in Foster Care 

Section 1356.22 describes the 

requirements a title IV–E agency must 

follow to receive reimbursement on 

behalf of children placed through 

voluntary placement agreements. 

We amended section 1356.22 in 

paragraphs (a) and (c) to make 

conforming changes by replacing the 

term ‘‘State’’ or ‘‘State agency’’ with 

‘‘title IV–E agency.’’ These changes 

apply the voluntary placement 

agreement provisions equally to State 

and Tribal title IV–E agencies consistent 

with Public Law 110–351. To remove 

and replace an out-of-date statutory 

reference with the current citation, we 

amended paragraph (a)(2) by removing 

the reference to section ‘‘422(b)(10)’’ 

and replacing it with ‘‘422(b)(8).’’ We 

believe that because this change is 

technical in nature there is no need to 

go through the notice and comment 

process to update the regulation. In 

addition, we amended paragraph (c) by 

inserting the term ‘‘or Tribal’’ after 

‘‘State’’ to apply the requirement for a 

uniform procedure for revoking 

voluntary placement agreements to 

Indian Tribes with a title IV–E plan. 

During consultation, we received a 

request to clarify how the requirement 

at section 472(f) of the Act for voluntary 

placements may impact work that an 

Indian Tribe is doing with an Indian 

family. Sections 472(f) and 

472(a)(2)(A)(i) of the Act should be read 

together as providing the statutory 

authority for a title IV–E agency to claim 

Federal reimbursement on behalf of an 

eligible child who is placed into foster 

care as a result of a voluntary agreement 

between the agency and the parents/ 

legal guardians of the child. It is an 

option for the State or Tribal title IV–E 

agency to have a title IV–E plan that 

includes accepting voluntary placement 

agreements. Typically, voluntary 

agreements are used when the family is 

in need of short term stabilization or 

experiencing a temporary crisis that 

renders them unable to care for the 

child (i.e., a single mother has to enter 

the hospital for an acute episode and 

has no other resources available to take 

care of her child). Judicial 

intervention—including judicial 

determinations regarding contrary to the 

welfare and reasonable efforts to prevent 

placement—is not necessary in 

voluntary placement cases unless the 

title IV–E agency seeks to continue the 

child’s placement beyond 180 days. 

However, a judicial determination that 

continued placement is in the child’s 

best interests is required within the first 

180 days of such placement to continue 

title IV–E payments beyond that period. 

See CWPM Section 8.3A.13 for more 

information on voluntary placement 

agreements. 

Section 1356.30—Safety Requirements 

for Foster Care and Adoptive Home 

Providers 

Section 1356.30 describes the 

required safety checks for prospective 

foster family homes, child care 

institutions and adoptive parents. 

We amended section 1356.30 in 

paragraphs (a), (b), and (c) to make 

conforming changes by replacing the 

term ‘‘State’’ with ‘‘title IV–E agency.’’ 

These changes apply the safety 

requirements in those paragraphs to 

Indian Tribes with a title IV–E plan in 

the same manner as States as required 

by Public Law 110–351. In addition, we 

removed the opening clause of 

paragraph (a), which referred to 

paragraph (d) and removed and reserved 

paragraph (d) as the Adam Walsh Child 

Protection and Safety Act of 2006 (Pub. 

L. 109–248) made these provisions 

obsolete. Paragraph (d) contained 

provisions that were relevant if a State 

opted out of criminal background 

checks, but Public Law 109–248 

removed this option. We believe that 

because this change is technical in 

nature there is no need to go through the 

notice and comment process to update 

the regulation. Existing law requires a 

title IV–E agency to conform to the 

criminal background check and child 

abuse registry checks described in 

section 471(a)(20)(A) through (C) of the 

Act. 

We amended paragraph (e) by 

changing the term ‘‘opts’’ to the past 

tense, and by inserting the phrase ‘‘as 

permitted prior to the amendments 

made by section 152 of Public Law 109– 

248’’ after ‘‘criminal records check 

requirement.’’ This change was 

necessary to preserve the safety 

requirements for foster family homes or 

child care institutions that were in place 

under the prior law’s provisions. 

Commenters requested clarification 

regarding procedures that are sufficient 

to fulfill the criminal background check 

requirements for title IV–E. The 

commenters inquired whether other 

criminal background check 

requirements for other programs would 

suffice for title IV–E purposes, such as 

those under the Indian Child Protection 

and Family Violence Prevention Act 

(Pub. L. 101–630). Under section 

471(a)(20) of the Act, the title IV–E 

agency is required to conduct 

fingerprint-based checks for prospective 

foster parents, adoptive parents and 

relative guardians through the Federal 

Bureau of Investigation’s national crime 

information databases. As such, it is the 

only procedure that will meet title IV– 

E requirements. 

Section 1356.40—Adoption Assistance 

Program: Administrative Requirements 

To Implement Section 473 of the Act 

Section 1356.40 describes the 

administrative requirements a title IV–E 

agency must follow for the adoption 

assistance program. 

We amended section 1356.40 in 

paragraphs (a), (d), (e), and (f) to make 

conforming changes by replacing the 

term ‘‘State’’ or ‘‘State agency’’ with 

‘‘title IV–E agency. Through these 

conforming amendments we apply the 

regulatory provisions for the adoption 

assistance program equally to a Tribal 

title IV–E agency as they are applied to 

a State title IV–E agency. We made the 

following additional conforming 

amendments in this section. 

We amended paragraph (a) to qualify 

the provision which requires the title 

IV–E agency to comply with section 473 

of the Act as this section no longer 

refers solely to adoption assistance 

provisions. The amendments to the Act 

made by Public Law 110–351 added the 

optional kinship guardianship 

assistance requirements in section 

473(d) of the Act. Therefore, we added 

the phrase ‘‘the applicable provisions of 

section’’ to precede the reference to 

section 473 of the Act for those title IV– 

E agencies that opt not to implement the 

kinship guardianship assistance 

program. In addition, we inserted the 

word ‘‘section’’ before ‘‘475(3).’’ 

We amended paragraph (b)(4) by 

inserting the phrase ‘‘place of residence 

of’’ in place of the phrase ‘‘State of 

which’’ in order to apply the regulatory 

provision equally to Indian Tribes that 

an adoption assistance agreement must 

remain in effect regardless of where the 

adoptive parents reside at any given 

time. 

We amended paragraph (d) by 

replacing the term ‘‘from one State to 

another State’’ with ‘‘from one place of 

residence to another’’ to apply the 

requirement equally to Indian Tribes to 

clarify that if an adoptive family moves, 

the family can apply for social services 

on behalf of the adoptive child in the 


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new ‘‘place of residence’’, formerly 

referred to as ‘‘State of residence.’’ We 

are making additional changes to this 

paragraph by removing the obsolete 

phrase ‘‘However, for agreements 

entered into on or after October 1, 1983’’ 

since agreements entered into prior to 

this date have since expired. Hence, in 

all existing adoption assistance 

agreements the title IV–E agency that 

entered into the agreement is financially 

responsible to provide any specified 

social service even in the case that the 

adoptive family moves. We believe that 

because this change is technical in 

nature there is no need to go through the 

notice and comment process to update 

the regulation. 

Commenters requested clarification 

regarding the requirements for 

placement of a child with an adoptive 

family outside of the jurisdiction of the 

title IV–E agency. Except for the 

requirements described in this 

paragraph for ensuring that assistance 

continues when a child moves to 

another jurisdiction and the overall 

obligation of the title IV–E agency not to 

delay or deny interjurisdictional 

placements based on that basis alone, 

there are no Federal title IV–E 

requirements unique to children being 

placed outside the title IV–E agency’s 

jurisdiction. The Tribal title IV–E 

agency can effectuate an adoption across 

State lines or Tribal service area lines 

consistent with its own authorities and 

those of the State or Indian Tribe in 

which the child will be placed. 

We made another conforming change 

to paragraph (e) by inserting the term 

‘‘or a Tribal service area’’ after ‘‘State’’ 

to apply the paragraph equally to States 

and Indian Tribes with title IV–E plans. 

A commenter requested clarification 

on whether an Indian Tribe can 

participate in the title IV–E adoption 

program while another requested 

clarification on whether an Indian Tribe 

must be responsible for adoption 

assistance under a title IV–E directly 

funded plan. The adoption assistance 

payments program is a mandatory 

component of an approvable title IV–E 

plan per section 471(a)(1) of the Act and 

as such the Indian Tribe with a title IV– 

E plan is obligated to provide adoption 

assistance on behalf of all children in 

the Indian Tribe’s service area who are 

eligible for the program, with the 

exception of adopted children already 

receiving adoption assistance under a 

title IV–E agreement with a State. A 

Tribal title IV–E agency may claim 

allowable expenditures under the title 

IV–E adoption assistance program at the 

Tribal Federal Medical Assistance 

Percentages (FMAP) rate for adoption 

subsidies, 50 percent for administrative 

costs, and variable rates for training 

expenses per section 474(a) of the Act. 

A Tribal title IV–E agency may contract 

with outside providers or other public 

agencies to assist in the implementation 

of the adoption assistance program. 

Another commenter requested that we 

mandate a standard adoption assistance 

subsidy level for all children in the 

program. This is not a request we can 

accommodate; the statute requires the 

agency to negotiate adoption assistance 

agreements and the payment with the 

adoptive family based on the needs and 

circumstances of the child and family 

(section 473(a)(3) of the Act). 

Section 1356.41—Nonrecurring 

Expenses of Adoption 

This section describes the 

requirements a title IV–E agency must 

follow to claim reimbursement for 

nonrecurring costs of adoption for 

adoptive parents. 

We amended section 1356.41 

throughout to make conforming changes 

to replace the term ‘‘State agency’’ with 

‘‘title IV–E agency.’’ Through these 

conforming amendments, we apply the 

regulatory provisions for nonrecurring 

expenses of adoption equally to a Tribal 

title IV–E agency as they are applied to 

a State title IV–E agency as required by 

Public Law 110–351. In addition, we 

made the following conforming 

amendments to implement this section 

in the same manner for State and Tribal 

title IV–E agencies or to remove obsolete 

provisions. We believe that because this 

change is technical in nature that there 

is no need to go through the notice and 

comment process to update the 

regulation accordingly. 

We amended paragraph (b) by 

inserting the term ‘‘Tribal’’ after ‘‘State’’ 

to apply the current regulatory 

provision equally to Indian Tribes that 

an agreement for nonrecurring expenses 

of adoption may be a separate document 

or part of an agreement for any type of 

adoption assistance, whether it is State, 

Tribal, or Federal. We also removed the 

last clause of paragraph (b) and its two 

subordinate paragraphs (b)(1) and (2) 

because they referred to outdated 

exceptions to the general requirement to 

have an agreement for nonrecurring 

costs in place prior to the final decree 

of adoption. 

We amended paragraph (d) to make a 

conforming change by removing the 

term ‘‘State and local’’ before ‘‘laws’’ to 

indicate that a child’s adoptive 

placement must be made in accordance 

with all applicable laws, whether they 

be State, Tribal, or local laws. We 

removed the last clause of paragraph 

(e)(1) and removed paragraph (e)(2) in 

its entirety because these provisions 

referred to actions a State title IV–E 

agency had to take after the effective 

date of the initial rule related to 

nonrecurring adoption expenses which 

was issued in 1988 (53 FR 50220). We 

renumbered paragraph (e)(3) as 

paragraph (e)(2), and removed most of 

the text because it also referred to 

obsolete provisions that were to occur 

pursuant to the 1988 rule. We retained 

the text that required that the agreement 

for the payment of nonrecurring 

expenses must be signed at the time of 

or prior to the final decree of adoption 

and that adoptive families must file 

claims for nonrecurring expenses with 

the title IV–E agency within two years 

of the date of the final decree of 

adoption. We believe that because these 

changes are technical in nature there is 

no need to go through the notice and 

comment process to update the 

regulation. 

In paragraph (f)(2), we insert the term 

‘‘Tribal’’ after ‘‘consistent with State’’ to 

apply existing State nonrecurring 

payment requirements equally to a 

Tribal title IV–E agency. We also 

inserted the term ‘‘or Tribal service 

area’’ after ‘‘within the State,’’ to allow 

Indian Tribes the same ability as States 

to set a lower maximum amount for 

nonrecurring adoption expenses in a 

special needs adoption as permitted by 

the paragraph. 

In paragraph (h) we replace the term 

‘‘interstate placement’’ with ‘‘a 

placement outside the State or Tribal 

service area’’ to apply equally to State 

and Tribal title IV–E agencies the 

requirement that the title IV–E agency 

that enters into an adoption assistance 

agreement is responsible for the 

reimbursement of nonrecurring 

adoption expenses even if the child is 

placed in an area outside of the State or 

Tribal service area. We also make 

conforming changes to the language so 

that the reference to ‘‘State subsidy 

program’’ is replaced with ‘‘State or 

Tribal subsidy program,’’ by inserting 

the term ‘‘Tribal’’ after ‘‘Federal’’ and 

replacing the term ‘‘the State in which’’ 

with ‘‘the title IV–E agency in the 

jurisdiction in which.’’ Consequently, if 

an adopted child who meets the 

requirements of section 473(c) is placed 

in a different jurisdiction without an 

adoption assistance agreement being 

entered into on his/her behalf, then the 

title IV–E agency in the jurisdiction in 

which the final adoption decree is 

issued is responsible for reimbursement 

of the nonrecurring expenses. 

We made a conforming change to 

paragraph (i) in the definition of 

‘‘nonrecurring adoption expenses’’ to 

exclude any expenses that are 

prohibited by applicable laws, whether 


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it is State, Tribal, or otherwise. Finally, 

we removed the first sentence in 

paragraph (j) which referred to an 

obsolete requirement for a State agency 

to enact legislation following the 

publication of the 1988 rule (53 FR 

50220). We believe that because this 

change is technical in nature there is no 

need to go through the notice and 

comment process to update the 

regulation. 

Section 1356.50—Withholding of Funds 

for Non-Compliance With the Approved 

Title IV–E Plan 

Section 1356.50 describes the 

conditions for compliance with the title 

IV–E plan and directs the title IV–E 

agency to the applicable appeal 

procedures in section 1355.39 for 

challenges of an ACF determination of 

non-conformity with the title IV–E plan. 

We amended the title of section 

1356.50 and paragraphs (a) and (b) to 

make conforming changes by removing 

the term ‘‘State’’ or replacing it with 

‘‘title IV–E agency’’ in appropriate 

places to apply the provisions for 

withholding funds for noncompliance 

equally to States and Indian Tribes with 

title IV–E plans pursuant to Public Law 

110–351. 

Section 1356.60—Fiscal Requirements 

(Title IV–E) 

This section describes the fiscal 

requirements and available FFP for title 

IV–E costs. We amended the section 

throughout to replace references to 

‘‘State plan’’ with ‘‘title IV–E plan’’ and 

‘‘States’’ or ‘‘State and local’’ with ‘‘title 

IV–E agencies’’ so that the section 

applies equally to States and Tribes 

with title IV–E plans consistent with 

Public Law 110–351. In addition, we 

made the following conforming 

amendments. 

Section 1356.60(a)—Federal Matching 

Funds for Foster Care Maintenance and 

Adoption Assistance Payments 

We amended paragraph (a)(1) to 

remove an obsolete effective date, which 

noted that FFP was available to States 

as of October 1, 1980. To be inclusive 

of a Tribal title IV–E agency that has the 

opportunity to operate a title IV–E plan 

and receive FFP as of October 1, 2009, 

we deleted the reference to the obsolete 

1980 date. In paragraph (a)(1)(i), we 

removed the obsolete reference to 

section 102(d) of the Adoption 

Assistance and Child Welfare Act of 

1980 (Pub. L. 96–272). This citation was 

to provisions related to the original 

implementation of voluntary placement 

agreements in a State agency regarding 

children removed from their home prior 

to FY 1980 that are no longer relevant. 

As we explained earlier, both State and 

Tribal IV–E agencies have the ability to 

receive FFP for voluntary placement 

agreements that meet the requirements 

of the Act and 45 CFR 1356.22. We 

believe that because these changes are 

technical in nature there is no need to 

go through the notice and comment 

process to update the regulation. 

We reference section 479B of the Act 

in paragraphs (a)(1)(i), (a)(1)(ii) and 

(a)(2) to make clear that FFP is 

authorized pursuant to Tribal title IV–E 

plans in addition to State title IV–E 

plans. In paragraph (a)(1)(ii) we made an 

additional change to provide for the 

applicable parts of section 473 of the 

Act to payments for adoption assistance. 

Adding the language ‘‘applicable 

provisions of’’ section 473 of the Act is 

intended to clarify that the provisions in 

section 473(d) of the Act that relate only 

to the kinship guardianship assistance 

program would not apply to receipt of 

FFP for the adoption assistance 

program. We also amended paragraph 

(a)(2) to add a reference to sections 

474(a)(1) and (2) of the Act, which 

specifically authorize FFP at the Tribal 

FMAP rates to Indian Tribes with title 

IV–E plans and States with title IV–E 

agreements with Indian Tribes. These 

changes bring the regulations on fiscal 

requirements in line with the changes 

made by Public Law 110–351 to 

authorize direct payments to Indian 

Tribes with title IV–E plans. 

Several commenters asked questions 

about the fiscal aspects of title IV–E that 

made it clear to us that we need to 

provide more clarity about this aspect of 

the program. Title IV–E funding is 

unavailable for activities outside of 

those required by title IV–E, including 

child abuse prevention or investigatory 

activities, social services, medical or 

education expenses. A title IV–E agency 

submits quarterly claims for Federal 

reimbursement and may send us 

adjusted claims, upwards or 

downwards, for up to two years after the 

expense is incurred. ACF reimburses a 

title IV–E agency for these expenses 

quarterly based on title IV–E agency 

reports provided to us. Title IV–E 

funding cannot be advanced to a title 

IV–E agency. In the absence of any 

agreement to which the State and Indian 

Tribe may be party which may include 

provisions for payment of funds, States 

are not obligated to provide title IV–E 

funding or matching funds to Indian 

Tribes who take placement and care 

responsibility for children who were 

once in a State’s placement and care 

responsibility. 

Under title IV–E, FFP is available at 

the FMAP rate per sections 1905(b), 

474(a)(1) and (2) and 479B(d) of the Act 

to a title IV–E agency with an approved 

title IV–E plan for allowable costs in 

expenditures for foster care 

maintenance payments and adoption 

assistance payments. There is a unique 

FMAP rate established for a Tribal title 

IV–E agency that is at least as high as 

the FMAP rate of any State in which the 

Indian Tribe is located. 

Additional FFP is available for 

administrative expenses at the 50 

percent rate and training expenses at 

rates ranging from 55 to 75 percent, as 

indicated in section 474(a)(3) of the Act 

and section 203(b) of Public Law 110– 

351. The title IV–E agency may receive 

Federal reimbursement at the 75 percent 

rate for short or long term training of 

persons who are employed or preparing 

for employment with the title IV–E 

agency and are working on title IV–E 

activities under certain conditions. Such 

training can include educational 

programs that will lead to a 

baccalaureate or graduate degree in 

social work or a related field. FFP also 

is available at 75 percent for the title IV– 

E agency to provide short-term training 

of current or prospective foster or 

adoptive parents, the members of the 

staff of licensed or approved child care 

institutions providing care to title IV–E 

eligible foster and adopted children in 

ways that increase their ability to 

provide support and assistance to such 

children. 

All title IV–E agencies must follow 

the provisions of section 474(a)(3)(A) 

and (B) of the Act regarding training 

expenses. We are not making changes in 

the regulation regarding the new groups 

of trainees for which training expenses 

may be claimed by a title IV–E agency 

as amended by Public Law 110–351 in 

this Interim Final Rule as they are not 

related to the Tribal provisions of 

section 301 of Public Law 110–351. 

However, section 474(a)(3)(B) of the Act 

allows FFP to be claimed at increasing 

rates, rising from 55 percent in FY 2009 

to 75 percent in FY 2013, for short-term 

training of certain persons. These 

groups include title IV–E agencylicensed or approved child welfare 

agencies providing services to children 

receiving assistance under title IV–E, 

members of the staff of abuse and 

neglect courts, agency attorneys, 

attorneys representing children or 

parents, guardians ad litem, or other 

court-appointed special advocates 

representing children in proceedings of 

such courts. The training must be 

provided for the purpose of increasing 

such persons’ ability to provide support 

and assistance to title IV–E foster and 

adopted children whether incurred 

directly by the IV–E agency or by 

contract. All training activities and costs 


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funded under title IV–E must be 

included in the title IV–E agency’s 

training plan for title IV–B. Paragraph 

(b)(3) cross-references to 45 CFR 235.63 

through 235.66(a) and therefore requires 

that all short and long-term training 

allocated to title IV–E must be provided 

in accordance with these regulations as 

well. 

Some commenters wondered if 

workers receiving title IV–E educational 

stipends can fulfill the agency work 

requirement with the Tribal title IV–E 

agency and we note that this is 

permissible. As mentioned above, 45 

CFR 1356.60(b) cross-references to 45 

CFR 235.63 through 235.66(a). These 

regulations require that persons 

preparing for employment whose 

education costs are being paid for by a 

title IV–E agency must commit to work 

for the title IV–E agency for a period of 

time at least equal to the period for 

which financial assistance is provided 

to them if the title IV–E agency makes 

them an offer of employment within two 

months of completion of the training. 

One commenter wanted to know if 

Tribal colleges are recognized as 

qualifying schools while another 

requested that Tribal stipend recipients 

be able to use the stipend at the college 

of their choice. The regulations at 45 

CFR 235.63(b)(4) state that persons 

preparing for employment may pursue 

education at an institution approved by 

the title IV–E agency, which can include 

Tribal colleges at the option of the title 

IV–E agency. 

Section 1356.60(e)—Federal Matching 

Funds for SACWIS/TACWIS 

We amended the title to section 

1356.60(e) to include the acronym 

‘‘TACWIS’’ (Tribal automated child 

welfare information systems). We also 

amended paragraph (e) to make a 

conforming change by adding a 

reference to a ‘‘Tribal’’ automated 

information system to accompany the 

reference to a ‘‘Statewide’’ automated 

system. 

Section 1356.67—Title IV–E State 

Procedures for the Transfer of 

Placement and Care Responsibility of a 

Child to a Tribal Title IV–E Agency 

This section provides procedures for 

the transfer of placement and care 

responsibility of a child from a State 

title IV–E agency to an Indian Tribe 

with a title IV–E agreement or an 

approved title IV–E plan consistent with 

section 301(e)(1) of Public Law 110–351. 

The law mandates that we regulate these 

procedures should an Indian Tribe wish 

to take placement and care 

responsibility in these situations. 

Paragraph (a) describes the scope of 

the transfer procedures. The procedures 

apply to each State with a title IV–E 

plan approved under section 471 and 

479B of the Act or an Indian Tribe with 

a title IV–E agreement. A State must 

establish procedures, in consultation 

with Indian Tribes, for the transfer of 

responsibility for the placement and 

care of a child under a State title IV–E 

plan to a Tribal title IV–E agency or an 

Indian Tribe with a title IV–E agreement 

in a way that does not affect a child’s 

eligibility, receipt of services, or 

payment under title IV–E or the 

Medicaid program operated under title 

XIX. The procedures will apply 

regardless of whether there is a 

federally-recognized Indian Tribe 

within the State’s geographic 

boundaries or how the State exercises 

jurisdiction over Indian country 

pursuant to Public Law 83–280 (also 

known as Pub. L. 280). The procedures 

also will apply regardless of whether the 

State has within its geographic borders 

an Indian Tribe with an approved title 

IV–E plan or a title IV–E agreement. We 

chose broad applicability for these 

procedures as Public Law 110–351 seeks 

to ensure that an Indian child involved 

in a transfer retains his or her eligibility 

for title IV–E and Medicaid. We believe 

the ideal way to give this provision 

effect is to require any State with the 

potential to have an Indian child in its 

foster care system to have such 

procedures. However, we are affording 

States some flexibility to determine the 

most appropriate procedures that will 

ensure this protection in accordance 

with minimum elements that are 

described further below. A State must 

consult with Indian Tribes in 

developing the procedures so that the 

procedures are responsive to Indian 

Tribes who have a need for information 

on transfer procedures. 

In paragraph (b), we establish the 

minimum elements for a State’s 

procedures for transferring children to 

an Indian Tribe with a title IV–E 

agreement or a title IV–E plan. In 

paragraph (b)(1), we require the State 

title IV–E agency to determine, if this 

determination is not already completed, 

the child’s eligibility under section 472 

or 473 of the Act at the time of the 

transfer of placement and care 

responsibility of a child to a Tribal title 

IV–E agency or Indian Tribe with a title 

IV–E agreement. We believe that such a 

provision will ensure that the child’s 

eligibility for title IV–E and Medicaid is 

clear at the time of the child’s transfer 

to an Indian Tribe. This is most useful 

to the Indian Tribe or Tribal title IV–E 

agency in determining the child’s AFDC 

status based on the State of removal as 

required by section 472 or 473 of the 

Act. 

In paragraph (b)(2), we require the 

State title IV–E agency to provide 

essential documents and information 

necessary to continue a child’s 

eligibility under title IV–E and Medicaid 

to the Tribal title IV–E agency or Indian 

Tribe with a title IV–E agreement. In the 

subparagraphs we specify the types of 

documents that must be provided. In 

paragraph (b)(2)(i), we require that the 

State provide copies of the judicial 

determinations regarding contrary to the 

welfare and reasonable efforts. These are 

essential because they are threshold 

documents used to establish a child’s 

eligibility for title IV–E. It is important 

that States provide all judicial 

determinations regarding contrary to the 

welfare and reasonable efforts, and not 

just the most recent ones, so that the 

Indian Tribe has the ability to 

reconstruct eligibility as necessary or 

substantiate claims. In paragraph 

(b)(2)(ii), we require the State to provide 

any other documentation that relates to 

the child’s eligibility for title IV–E. We 

do not specify in regulation all of the 

possible kinds of documentation that 

could fall into this category. For 

example, the documentation may 

include AFDC determinations or 

worksheets, findings related to whether 

the State considered the child to meet 

the special needs criteria pursuant to 

section 473(c) of the Act, or 

documentation that an 18-year-old is 

making progress towards completing 

secondary school. As part of this 

process, we strongly encourage the State 

title IV–E agency to consult with the 

State Medicaid agency to ensure a 

child’s continuous eligibility under title 

XIX. 

In paragraph (b)(2)(iii) we require the 

State to provide an Indian Tribe with 

any other information that relates to the 

child’s potential or actual eligibility for 

other Federal benefits. Again, we do not 

specify in regulations specific 

documentation, but examples may 

include documentation of a child’s 

eligibility for Supplemental Security 

Income (SSI), or indications that an 

application for SSI is on file. In 

addition, we encourage the State title 

IV–E agency to coordinate with the State 

title IV–D agency to address any existing 

child support case or assignment of 

rights to the State agency as it relates to 

the transfer of placement and care of the 

child to an Indian Tribe. 

In paragraph (b)(2)(iv), we require the 

State to provide the child’s case plan to 

the Indian Tribe, including the health 

and educational records that are 

required elements of those plans 


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consistent with section 475(1)(C) of the 

Act. The case plan contains critical 

information for determining the child’s 

existing safety, permanency and wellbeing status, as well as the agency’s 

future plans for the child. Further, the 

case plan also may contain information 

that supports factors of eligibility for the 

title IV–E programs or other Federal 

benefits, such as efforts the agency made 

to finalize permanency. Therefore, we 

believe it a critical item to transfer to the 

Indian Tribe. We note here that the State 

agency is not required to turn over the 

entire case record, although States may 

choose to do so as it may be useful for 

an Indian Tribe who is taking placement 

and care responsibility of a child. 

Finally, in paragraph (b)(2)(v), we 

require a State to provide information 

and documentation related to the child’s 

placement settings, including a copy of 

the most recent provider’s license or 

approval. A transfer of a child to the 

Indian Tribe does not necessitate that 

the child move to a different provider, 

so the Indian Tribe will need 

information on whether the foster 

family home or child care institution the 

child is living in is licensed or approved 

for title IV–E eligibility purposes. 

Further, the Indian Tribe may need to 

contact past providers to gather 

information on the child’s needs. 

Further, we encourage States and Indian 

Tribes to discuss during consultation 

the formats in which this information 

can be provided and/or accepted, i.e., 

through hardcopy, electronic 

transmissions, or by allowing Indian 

Tribes access to State child welfare case 

management systems. 

One commenter requested that 

‘‘responsibility for a child’’ be clearly 

defined in the regulation. To be eligible 

for FFP, section 472(a)(2)(B) of the Act 

requires that the responsibility for 

placement and care of the child is with 

the title IV–E agency administering the 

plan approved under section 471(a) of 

the Act, or any other public agency with 

whom the title IV–E agency 

administering or supervising the 

administration of the plan approved 

under section 471(a) of the Act has 

made an agreement which is in effect. 

We define the phrase ‘‘placement and 

care responsibility’’ in the CWPM 

Section 8.3A.12 at Q/A #4. Placement 

and care responsibility means that the 

title IV–E agency is legally accountable 

for the day-to-day care and protection of 

the child who has come into foster care 

through either a court order or a 

voluntary placement agreement. 

Placement and care responsibility 

allows the title IV–E agency to make 

placement decisions about the child, 

such as where the child is placed and 

the type of placement most appropriate 

for the child. It also ensures that the title 

IV–E agency provides the child with the 

mandated statutory and regulatory 

protections, including case plans, 

administrative reviews, permanency 

hearings, and updated health and 

education records. 

We received many comments that 

provided recommendations and 

requested clarification on how a transfer 

procedure would be developed, the type 

of information that the State title IV–E 

agency should provide the Indian Tribe, 

ensuring continued Medicaid eligibility, 

and concerns about the confidentiality 

of information. For example, one Indian 

Tribe requested clarification regarding 

how we will develop a procedure for 

transfer, whether Indian Tribes would 

be included in the discussion, and if so, 

at what level. To maintain flexibility 

and develop a procedure that meets 

both the needs of the State and Indian 

Tribes, we specified in paragraph (b) the 

requirements for States, and that States 

are required to consult with Indian 

Tribes on such procedures. 

Several commenters recommend that 

a State title IV–E agency make available 

all case-specific information requested 

by an Indian Tribe for the purpose of 

maintaining a child’s title IV–E and 

Medicaid eligibility, in both electronic 

and paper format. Several commenters 

provide specific suggestions of the type 

of documents needed to continue a 

child’s eligibility. We do not believe it 

is necessary to mandate that the State 

make available all information 

requested by an Indian Tribe, however, 

we have outlined in paragraph (b)(2) the 

minimum information that must be 

provided when a State title IV–E agency 

transfers placement and care 

responsibility of a child to an Indian 

Tribe. The list is not exhaustive, and the 

State title IV–E agency may provide 

additional information consistent with 

State and Federal laws. We also agree 

that the State title IV–E agency should 

provide the information to the Tribal 

title IV–E agency in a format most 

helpful to the Tribal title IV–E agency. 

However, we recognize that some Indian 

Tribes may have limited technical 

resources with which to develop or 

upgrade a data reporting system and 

technological barriers to receiving 

information in an electronic format. 

Therefore, to maintain flexibility, we 

did not mandate a specific format as 

long as the information shared 

accomplishes the goal of ensuring 

continued eligibility. 

Several other commenters 

recommended that our regulations 

enhance ICWA guidelines to provide for 

an adequate transfer process because 

there is currently no uniform 

application of ICWA by States. The 

commenters requested clarification 

about what to do when a State court 

does not agree to transfer a child and 

requested that we develop an 

enforcement mechanism for States that 

do not comply with ICWA. We do not 

have authority to regulate changes 

directly to ICWA, provide additional 

guidance for implementation of ICWA 

or intervene in court actions regarding 

transferring jurisdiction of a child. 

Rather, ICWA provisions set forth 

procedures for the notification to Indian 

Tribes of Indian children in State 

custody and the assumption of 

jurisdiction over court procedures by 

Indian Tribes for such children. The 

Bureau of Indian Affairs, Department of 

Interior, issued guidelines regarding 

such transfers in ‘‘Guidelines for State 

Courts-Indian Child Custody 

Proceedings’’ (see 44 FR 67584, 

November 26, 1979). Such provisions 

remain in effect and are not affected by 

ACF’s approval of a title IV–E plan for 

an Indian Tribe or the effectuation of a 

title IV–E agreement between a State 

and an Indian Tribe. 

We received a number of comments 

that requested clarification on 

procedures for continuing Medicaid 

eligibility. Several commenters 

requested clarification as to whether we 

can encourage States to continue 

Medicaid services without interruption, 

and whether the child’s Medicaid card 

can remain with the child until the State 

child welfare case is closed. The Centers 

for Medicare and Medicaid Services is 

the Federal agency with authority to 

regulate State actions with regard to 

Medicaid programs under title XIX 

consistent with the law rather than ACF. 

However, since a child who is receiving 

title IV–E foster care or who is subject 

to a title IV–E adoption assistance 

agreement consistent with sections 

472(h)(1) and 473(b)(1) and (3) of the 

Act, is categorically eligible for 

Medicaid, the child’s title XIX eligibility 

will continue as long as the child is 

receiving title IV–E foster care or title 

IV–E adoption assistance payments. If a 

title IV–E eligible child is moving from 

one State’s geographic boundaries to 

another in the course of a transfer of 

placement and care responsibility to an 

Indian Tribe, the child is eligible for 

Medicaid in the State where the child 

lives, as specified in Medicaid 

regulations at 42 CFR 435.403(g). Again, 

we encourage State title IV–E agencies 

to coordinate with State Medicaid 

agencies to ensure continuous title XIX 

enrollment when a child eligible under 


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title IV–E is transferred to the placement 

and care of an Indian Tribe. 

Several commenters cited 

confidentiality concerns and requested 

clarification regarding what information 

a State may share with a Tribal title IV– 

E agency. The State title IV–E agency 

may share information with the Tribal 

title IV–E agency pursuant to existing 

law and this regulation for the purpose 

of administering a Tribal title IV–E plan 

as necessary to establish eligibility, 

determine the amount of assistance and 

provide services. This is because title 

IV–E of the Act requires that the title 

IV–E agency provide safeguards to 

restrict the use and/or disclosure of 

information regarding children 

receiving title IV–E consistent with 

section 471(a)(8) of the Act. In addition, 

in accordance with 45 CFR 

1355.30(p)(3), records maintained under 

title IV–E are subject to the 

confidentiality provisions in 45 CFR 

205.50. Among other things, 45 CFR 

205.50 restricts the release or use of 

information concerning individuals 

receiving financial assistance under the 

title IV–E program to certain persons or 

agencies that require the information for 

specified purposes. One of those 

purposes identified in the law is the 

administration of the plan or program 

under title IV–B, IV–E, or XIX, or the 

SSI program established by title XVI 

when necessary to establish eligibility, 

determine the amount of assistance, and 

provide services for applicants and 

recipients. Section 8.4E of the CWPM 

provides additional information 

regarding confidentiality requirements 

of title IV–E. 

One Indian Tribe recommended that 

the regulation pay special attention to 

the multi-jurisdictional aspects of 

transferring children from State custody 

to the Tribal title IV–E agency. Several 

commenters requested that we include 

regulatory procedures for inter-Tribal 

transfers of title IV–E eligible children. 

We are not regulating such inter-Tribal 

procedures for two reasons. First, the 

statutory language in Section 301(e) of 

Public Law 110–351 which requires us 

to issue interim final regulations is 

limited in scope and provides us 

authority to regulate only transfers from 

a State to an Indian Tribe. Second, we 

do not currently regulate transfer 

procedures between State governments 

for placement and care responsibility, 

and therefore, will not impose such a 

regulation between Tribal title IV–E 

agencies. 

One nonprofit group recommended 

that the procedure developed in 

regulation recognize that Indian Tribes 

cannot become members of Interstate 

Compact for the Placement of Children 

(ICPC), and should not require them to 

comply with guidelines that they cannot 

meet. The ICPC is a State compact and 

thus we do not have the authority 

require a Tribal title IV–E agency to 

comply with the ICPC. 

Section 1356.68—Tribal Title IV–E 

Agency Requirements for In-Kind 

Administrative and Training 

Contributions From Third-Party Sources 

Section 1356.68 regulates title IV–E 

administrative and training cost sharing 

requirements for Indian Tribes with an 

approved title IV–E plan as they pertain 

to in-kind contributions from thirdparty sources. 

Section 1356.68(a)—Option To Claim 

In-Kind Expenditures From Third-Party 

Sources for Non-Federal Share of 

Administrative and Training Costs 

In paragraph (a), we establish that a 

Tribal title IV–E agency may claim 

allowable in-kind expenditures from 

third-party sources for the purpose of 

determining the non-Federal share of 

administrative and training costs under 

sections 474(a)(3)(A) through (E) of the 

Act. This authority is specifically 

granted to Tribal title IV–E agencies in 

section 479B(c)(1)(D) of the Act and is 

not available to States, or by extension, 

those Indian Tribes with a title IV–E 

agreement. Please note that by crossreference in 45 CFR 1355.30, existing 

Departmental regulations including 45 

CFR 92.24 which addresses costsharing, apply to Indian Tribes who 

choose to use in-kind contributions 

from third-parties. Section 45 CFR 

1356.60(b) provides examples of 

allowable training costs applicable to 

the title IV–E program and 45 CFR 

1356.60(c)(2) provides specific 

examples of allowable administrative 

costs necessary for the administration of 

the title IV–E program. Additional 

information regarding allowable 

administrative costs for foster care and 

adoption assistance may be found in the 

CWPM at Section 8.1. 

Section 1356.68(b)—In-Kind 

Expenditures for Fiscal Years 2010 and 

2011 

In paragraph (b), we apply the 

percentages of allowable in-kind 

expenditures from third-party sources 

that Indian Tribes can claim for FY 2010 

and FY 2011, as required by section 

479(B)(c)(1)(D)(ii) and (iii) of the Act. 

We explain the percentages of allowable 

in-kind expenditures from third-party 

sources as a portion of the total Tribal 

title IV–E agency expenditures for each 

FY quarter. We believe this clarifies the 

statutory references to ‘‘fiscal year 

quarter’’ expenditures and ‘‘non-Federal 

shares’’ because the method used to 

calculate the non-Federal share begins 

by determining the Tribal title IV–E 

agency’s total expenditures. Once the 

total expenditures are provided, we 

determine the portion of total 

expenditures that the Indian Tribe may 

claim using in-kind contributions from 

third-party sources to meet the Tribal 

title IV–E agency’s share of costs and the 

remaining Federal reimbursement. 

In paragraph (b)(1), we specify that a 

Tribal title IV–E agency may claim inkind expenditures from third-party 

sources of up to 25 percent of the total 

administrative funds expended during a 

fiscal quarter pursuant to section 

474(a)(3)(C), (D) or (E) of the Act. This 

percentage limitation for FYs 2010 and 

2011 is required by statute. We plan to 

address the requirement in section 

479B(c)(1)(D)(ii)(1) of the Act for a 

Tribal title IV–E agency, for FYs 2010 

and 2011, to list the sources of in-kind 

contributions in the title IV–E plans in 

upcoming guidance on the Tribal title 

IV–E claiming process. 

In paragraph (b)(2), we specify that a 

Tribal title IV–E agency may claim inkind expenditures from third-party 

sources of up to 12 percent of the total 

training funds expended during a fiscal 

quarter pursuant to section 474(a)(3)(A) 

and (B) of the Act. These percentage 

limitations for FYs 2010 and 2011 are 

required by statute. We also specify the 

allowable sources of in-kind 

contributions as mandated in section 

479B(c)(1)(D) of the Act. 

Section 1356.68(c)—In-Kind 

Expenditures for Fiscal Years 2012 and 

Thereafter 

In paragraph (c), we specify that 

allowable in-kind expenditures from 

third-party sources can be used for the 

Indian Tribe’s entire non-Federal share 

of administrative and training 

expenditures for FY 2012 and thereafter. 

Section 301(e)(2) of Public Law 110–351 

and sections 479B(C)(1)(D)(iii) through 

(iv) of the Act require ACF to regulate, 

in consultation with Indian Tribes, the 

percentage of in-kind expenditures from 

third-party sources for Tribal title IV–E 

agencies beginning in FY 2012, or the 

opportunity to claim such contributions 

expires. 

During consultation, most 

commenters encouraged us to interpret 

this provision as broadly as possible to 

allow Tribal title IV–E agencies the 

financial flexibility needed to operate a 

title IV–E program. We found these 

arguments compelling. Therefore, in FY 

2012 and thereafter, we allow a Tribal 

title IV–E agency to claim the entire 

non-Federal share (Tribal match) of 

administration and training from inVerDate Mar<15>2010 15:02 Jan 05, 2012 Jkt 226001 PO 00000 Frm 00026 Fmt 4701 Sfmt 4700 E:\FR\FM\06JAR2.SGM 06JAR2

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kind expenditures from third-party 

sources. We did not follow the structure 

set out in section 479B(c)(1)(D)(iii)(II) 

designed to address FYs 2012–2014 

differently than FY 2015 and beyond in 

order to provide for a transition period 

for ‘‘Early Approved Tribes.’’ Because 

we are providing the maximum amount 

of flexibility for Indian Tribes beginning 

in FY 2012, no transition period is 

needed. We believe that this broad and 

flexible interpretation is justified by the 

unique circumstances of Indian Tribes 

and in recognition of the partnerships 

they may seek from third-parties to 

implement their title IV–E program. 

At the same time, we recognize that 

even though we are allowing the total 

portion of the Indian Tribe’s 

expenditures for training and 

administration to be in-kind 

contributions from third-party sources, 

there may be both practical and other 

regulatory barriers to a Tribal title IV– 

E agency reaching their total required 

non-Federal share from such 

contributions. In particular, it may be 

difficult given the nature of 

administrative costs to have an Indian 

Tribe’s entire portion of expenditures as 

in-kind contributions from third-party 

sources. Further, Tribal title IV–E 

agencies must ensure that all of their 

claims, both in-kind and cash outlay, 

meet the applicable requirements of 45 

CFR part 92 as well as the applicable 

cost allocation methodology. 

Paragraph (c)(1) allows a Tribal title 

IV–E agency to claim allowable in-kind 

expenditures from third-party sources 

for up to 50 percent of its total 

administrative expenditures for FY 2012 

and thereafter. This means that a Tribal 

title IV–E agency may claim in-kind 

expenditures from third-party sources 

for all of the required 50 percent match 

for administrative funds pursuant to 

section 474(a)(3)(C), (D) or (E) of the 

Act. 

Paragraph (c)(2) allows a Tribal title 

IV–E agency to claim allowable in-kind 

expenditures from third-party sources 

for up to all of its required portion of 

training funds pursuant to section 

474(a)(3)(A) and (B) of the Act. During 

each quarter of fiscal year 2012, a Tribal 

title IV–E agency may claim up to 25 or 

30 percent as applicable of the total 

training funds expended depending on 

the trainee group from allowable in-kind 

contributions from third-party sources 

depending on the trainee group. The 25 

percent match is for the short-term 

training of current or prospective foster 

or adoptive parents and the members of 

the staff of State/Tribal licensed or 

State/Tribal approved child care 

institutions pursuant to section 

474(a)(3)(B) of the Act. The 30 percent 

match is for short-term training for 

relative guardians, staff of abuse and 

neglect courts, agency attorneys, 

attorneys representing children or 

parents, guardians ad litem or other 

court-appointed special advocates 

representing children in proceedings of 

such courts. This difference in match 

rates is due to the phase-in provisions 

for the latter trainee groups as required 

by section 203(b) of Public Law 110– 

351. 

After FY 2012, a Tribal title IV–E 

agency may claim 25 percent of 

allowable in-kind expenditures from the 

total training expenditures from thirdparty sources provided in section 

474(a)(3)(A) and (B) of the Act. This is 

because after FY 2012, title IV–E 

agencies are only required to provide a 

25 percent match of funds expended on 

the total training for all categories of 

training listed in section 474(a)(3)(B) of 

the Act. 

In paragraph (c)(3), we permit Tribal 

title IV–E agencies to claim in-kind 

training expenditures for training funds 

from any allowable third-party source 

during or after FY 2012. Prior to FY 

2012, the Act restricts third-party 

sources for training expenditures to a 

specified list provided in statute; 

therefore this regulatory provision 

provides additional flexibility in later 

years. We believe that allowing the 

Tribal title IV–E agency to use in-kind 

contributions from any source otherwise 

allowable provides the greatest degree of 

flexibility and supports successful 

operation of a Tribal title IV–E program. 

Section 1356.71—Federal Review of the 

Eligibility of Children in Foster Care and 

the Eligibility of Foster Care Providers in 

Title IV–E Programs 

Section 1356.71 describes the 

requirements governing Federal reviews 

of State and Tribal compliance with title 

IV–E eligibility provisions as they apply 

to children and foster care providers 

under section 472 of the Act. The 

purpose of the title IV–E foster care 

review is to validate the accuracy of a 

title IV–E agency’s claims to assure that 

appropriate payments are made on 

behalf of eligible children, to eligible 

foster family homes and child care 

institutions. These determinations are 

made by an examination of a sample of 

records of children in foster care. By 

conducting title IV–E foster care 

eligibility reviews, ACF is fulfilling its 

financial and programmatic stewardship 

responsibilities in the administration of 

this program. Additional information on 

the reviews and the instruments used 

for the review can be found on the CB’s 

Web site at http://www.acf.hhs.gov/ 

programs/cb/cwmonitoring/ 

index.htm#title. 

Throughout section 1356.71 we 

removed references to ‘‘State’’ or 

‘‘States’’ and in most cases, replaced 

them with ‘‘title IV–E agency’’ or ‘‘title 

IV–E agencies’’ to apply the 

requirements to States and Indian Tribes 

with a title IV–E plan equally as 

required by Public Law 110–351. 

However, title IV–E reviews for Indian 

Tribes cannot begin on a date certain as 

was the case with the reviews in States. 

Rather, an initial title IV–E eligibility 

review will be conducted for an Indian 

Tribe with a title IV–E plan when ACF 

determines there is a sufficient number 

of title IV–E foster care cases to review 

consistent with the existing sample 

protocol. Subsequent reviews will occur 

according to the regulated schedule in 

45 CFR 1356.71(a) provided that there 

are enough sample cases to review. ACF 

will work with Indian Tribes that have 

an approved title IV–E plan to address 

scheduling reviews. To the extent that 

we made additional conforming changes 

to the title IV–E eligibility review 

regulations, they are described below. 

In addition, we made a technical 

amendment to paragraph (j)(3) to reflect 

changes in regulatory citations by 

deleting the current citation and 

replacing it with ‘‘45 CFR 30.18.’’ On 

March 8, 2007 HHS issued a final rule 

that implemented the provisions of the 

Debt Collection Improvement Act of 

1996 (72 FR 10404). The rule on 

interest, penalties and administrative 

costs was removed from 45 CFR 30.13 

and codified at 45 CFR 30.18. 

Section 1356.71(d)—Requirements 

Subject To Review 

Paragraph (d) describes the 

requirements subject to the title IV–E 

eligibility reviews. In paragraph 

(d)(1)(iii), we made a conforming 

amendment to reference the section of 

the Act that requires the responsibility 

for placement and care of the child to 

be reviewed during the title IV–E 

eligibility review by adding ‘‘per section 

472(a)(2)(B) of the Act’’ after ‘‘agency.’’ 

This means we will review whether a 

State or Tribal title IV–E agency (or 

other public agency under a title IV–E 

agreement with the State/Tribe) has 

placement and care responsibility of the 

child as an eligibility criterion. 

We also made a conforming 

amendment in paragraph (d)(1)(v) to 

reference the sections of the Act that set 

forth the AFDC eligibility criteria a 

child must meet as part of title IV–E 

foster care eligibility. Specifically, we 

added the phrase ‘‘per section 472(a)(3) 

or 479B(c)(1)(C)(ii)(II) of the Act, as 

appropriate’’ after ‘‘July 16, 1996.’’ This 


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means that we will review whether a 

State followed its title IV–A plan in 

effect in 1996 in determining whether a 

child met the AFDC criteria as required 

by section 472(a)(3) of the Act or 

whether a Tribal title IV–E agency 

followed the title IV–A plan in effect in 

the State of the child’s removal in 

determining whether a child met the 

AFDC criteria as required by section 

472(a)(3) of the Act. 

In paragraph (d)(2) we added a 

reference to section ‘‘479B(c)(2)’’ of the 

Act to indicate that for Indian Tribes 

with a title IV–E plan, we will review 

whether payments were made to 

licensed or approved Tribal foster 

family homes or child care institutions, 

consistent with Tribal licensing 

authorities. All changes in paragraph (d) 

are made to ensure that the 

requirements subject to title IV–E 

eligibility reviews are applied in the 

same manner for Tribal and State title 

IV–E agencies consistent with Public 

Law 110–351, with appropriate 

allowances for provisions specific to 

Indian Tribes granted by law. 

Section 1356.71(i)—Program 

Improvement Plans 

Paragraph (i) sets forth the 

requirement for a title IV–E agency 

determined not to be in substantial 

compliance to develop a PIP. In 

paragraph (i)(1)(iii), we made 

conforming changes to apply the 

requirements for a PIP equally to Tribal 

and State title IV–E agencies. An Indian 

Tribe may extend the PIP timeframe 

beyond one year in the same way as a 

State, if legislation is required to 

implement and complete the plan. 

Section 1356.83—Reporting 

Requirements and Data Elements 

Section 1356.83 describes the 

reporting requirements and data 

elements for the National Youth in 

Transition Database (NYTD). We made a 

technical amendment in paragraph 

(g)(55) to bring the element response in 

line with NYTD Technical Bulletin #1 

(revised June 29, 2010). Specifically, we 

deleted ‘‘not applicable’’ as a response 

option for Element 55 (Other health 

insurance coverage) because we believe 

that if a youth reports ‘‘yes’’ for the 

survey question related to data element 

54 (Medicaid) and ‘‘no’’ for data element 

56 (Health insurance type—Medical), 

then this is sufficient information to 

identify youth who solely participate in 

Medicaid for health insurance coverage. 

In addition to the changes described 

above, we added a statement after the 

end of paragraph (h) providing that the 

information collection requirements in 

this section have been approved by the 

OMB and providing the applicable OMB 

Control Number. 

Section 1356.86—Penalties for NonCompliance 

Section 1356.86 describes the Federal 

funds subject to penalties for 

noncompliance with the NYTD 

standards, the amount of those 

penalties, notification to agencies of 

penalties, the application of interest and 

appeals of penalties. We made a 

technical amendment to paragraph (e) to 

reflect changes in regulatory citations by 

deleting the current citation and 

replacing it with ‘‘45 CFR 30.18.’’ On 

March 8, 2007 HHS issued a final rule 

that implemented the provisions of the 

Debt Collection Improvement Act of 

1996 (72 FR 10404). The rule on 

interest, penalties and administrative 

costs was removed from 45 CFR 30.13 

and codified at 45 CFR 30.18. 

Appendix A to Part 1356—NYTD Data 

Elements 

Appendix A details the information 

that must be collected as NYTD Data 

Elements. We deleted ‘‘not applicable’’ 

as a response option for element 55 

‘‘other health insurance coverage’’ to 

bring the response options in line with 

those listed at 45 CFR 1356.83(g)(55) 

which do not include the response 

option of ‘‘not applicable.’’ We also 

added ‘‘no’’ as a response option for 

element 56 ‘‘health insurance type— 

medical’’ to bring the response options 

in line with those listed at 45 CFR 

1356.83(g)(56) which include the 

response option of ‘‘no.’’ 

We believe that because these changes 

are technical in nature there is no need 

to go through the notice and comment 

process to update the regulation. 

Appendix B to Part 1356—NYTD Youth 

Outcome Survey 

Appendix B details the information 

that must be collected from all youth 

surveyed for outcomes in NYTD, 

whether the youth are in foster care or 

not. We added ‘‘no’’ as a response 

option for topic/outcome ‘‘Health 

insurance type—medical (56)’’. 

We believe that because this change is 

technical in nature there is no need to 

go through the notice and comment 

process to update the regulation. 

VI. Impact Analysis 

We have examined the impact of this 

rule as required by Executive Order 

12866 (September 1993, Regulatory 

Planning and Review), the Regulatory 

Flexibility Act (RFA) (September 19, 

1980, Pub. L. 96–354), the Unfunded 

Mandates Reform Act of 1995 (Pub. L. 

104–4), Executive Order 13175, and 

Executive Order 13132. 

Executive Orders 12866 and 13563 

Executive Orders 13563 and 12866 

directs the agency to assess all costs and 

benefits of available regulatory 

alternatives and, if regulation is 

necessary, to select regulatory 

approaches that maximize net benefits 

(including potential economic, 

environmental, public health and safety 

effects, distributive impacts, and 

equity). Executive Order 13563 

emphasizes the importance of 

quantifying both costs and benefits, of 

reducing costs, of harmonizing rules, 

and of promoting flexibility. A 

regulatory impact analysis (RIA) must 

be prepared for major rules with 

economically significant effects ($100 

million or more in any one year). The 

Department has determined that this 

interim final rule is consistent with the 

priorities and principles of these 

Executive Orders. We have determined 

that the costs to Indian Tribes as a result 

of this rule will not be significant in 

terms of the stated threshold. This rule 

has been designated a ‘‘significant 

regulatory action,’’ although not 

economically significant, under section 

3(f) of Executive Order 12866. 

Accordingly, the rule has been reviewed 

by the Office of Management and 

Budget. 

Regulatory Flexibility Act (RFA) 

The Secretary certifies under 5 U.S.C. 

605(b) as enacted by the RFA (Pub. L. 

96–354), that this rule will not result in 

a significant impact on a substantial 

number of small entities. This rule does 

not affect small entities because it is 

applicable only to Indian Tribes that 

administer title IV–E and IV–B of the 

Act and States directly. For purposes of 

the RFA, States or Indian Tribes are not 

small entities subject to the Act. 

Therefore, the Secretary certifies that 

this rule will not have a significant 

economic impact on a substantial 

number of small entities. 

Unfunded Mandates 

Section 202 of the Unfunded 

Mandates Reform Act of 1995 also 

requires that the agency assess 

anticipated costs and benefits before 

issuing any rule whose mandates 

require an annual expenditure of $100 

million (adjusted annually for inflation). 

That threshold level is currently 

approximately $136 million. This 

interim final rule with comment period 

has no consequential effect on State, 

local, or Tribal governments or on the 

private sector that will result in an 


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Federal Register / Vol. 77, No. 4 / Friday, January 6, 2012 / Rules and Regulations 923 

annual expenditure of $100 million or 

more. 

Executive Order 13132 

Executive Order 13132 on Federalism 

applies to policies that have federalism 

implications, defined as ‘‘regulations, 

legislative comments or proposed 

legislation, and other policy statements 

or actions that have substantial direct 

effects on the States, on the relationship 

between the national government and 

the States, or on the distribution of 

power and responsibilities among the 

various levels of government.’’ This 

interim final rule does not have 

federalism implications as defined in 

the Executive Order. 

Assessment of Federal Regulations and 

Policies on Families 

Section 654 of the Treasury and 

General Government Appropriations 

Act of 1999 requires Federal agencies to 

determine whether a policy or 

regulation may affect family well-being. 

If the agency’s conclusion is affirmative, 

then the agency must prepare an impact 

assessment addressing criteria specified 

in the law. We have determined that 

this interim final rule may affect family 

well-being as defined in section 654 of 

the law and certify that we have made 

the required impact assessment. The 

purpose of direct access to title IV–E 

funding by Indian Tribes is to provide 

greater safety and permanency for 

Indian children and families. This rule 

is responsive to the needs of Indian 

Tribes and Tribal organizations within 

the structure of the law, and provides 

them the opportunity to operate 

programs that serve this purpose. The 

rule will have a positive effect on family 

well-being. Implementation of Tribal 

title IV–E programs will help strengthen 

the safety and stability of Indian 

families. 

Paperwork Reduction Act 

Under the Paperwork Reduction Act 

(Pub. L. 104–13), all Departments are 

required to submit to the OMB for 

review and approval any reporting or 

recordkeeping requirements inherent in 

a proposed or final rule. This interim 

final rule contains information 

collections in certain sections, all of 

which are currently authorized by the 

OMB. The sections that contain 

information collection requirements are: 

• 1355.33(b)—Statewide assessment or 

Tribal assessment, 0970–0214 

• 1355.33(c)—On-site review, 0970– 

0214 

• 1355.35(a)—Program improvement 

plan (CFSR), 0970–0214 

• 1355.38(b)—Corrective action and 

penalties for violations with respect to 

a person based on a court finding 

(Multiethnic Placement Act [MEPA]), 

0970–0214 

• 1355.40—Adoption and Foster Care 

Analysis and Reporting System 

(AFCARS), 0980–0267 

• 1356.21(g)—Case plan, 0980–0140 

• 1356.71(i)—Program improvement 

plan (title IV–E review), 0970–0214 

In addition, there are information 

collection requirements in section 

1356.20 related to the title IV–E plan 

pre-print (0980–0141). This interim 

final rule is not making any changes to 

the title IV–E pre-print. However, the 

most recent version of the title IV–E preprint approved by OMB through 

October 2012 estimates that up to 20 

Indian Tribes would submit a title IV– 

E plan, so we are carrying that estimate 

through to the information collections 

included in this interim final rule. 

The first set of information collections 

(collectively referred to as OMB 0970– 

0214) is used by the Children’s Bureau 

for various purposes. We use the first 

three parts of OMB 0970–0214 when we 

monitor child welfare programs through 

the CFSR. Title IV–E agencies use the 

fourth part of OMB 0970–0214, the Title 

IV–E PIP, to demonstrate how they will 

develop and implement a plan to correct 

areas of noncompliance with the 

applicable parts of title IV–E or the 

regulations. A title IV–E agency found to 

not be acting in accordance with section 

471(a)(18) of the Act will use the fifth 

part of OMB 0970–0214, the MEPA 

corrective action plan, as a framework 

for demonstrating that it has changed its 

policies, practices and laws to conform 

to the applicable Federal laws. 

We use AFCARS data (OMB 0980– 

0267) to calculate financial bonuses in 

the Adoption Incentive Payments 

program, describe child outcomes in the 

Child Welfare Outcomes Annual Report 

and CFSRs, and provide case samples 

for the title IV–E eligibility reviews and 

CFSRs. We also use the data to develop 

our budgets, inform policy and program 

decisions, and share information with 

the public and stakeholders about 

children in foster care and children 

being adopted. 

OMB 0980–0140 pertains to the ACF 

requirement that title IV–E agencies use 

a case plan to describe the specific 

services offered and provided to meet 

the individualized needs of children 

and families; document compliance 

with requirements of titles IV–B and IV– 

E of the Act; report progress in 

achieving child safety, permanency and 

well-being; and provide for an 

assessment of service delivery and 

timeliness of decision-making. 

Data for the Statewide or Tribal 

Assessment and On-site Review come 

from a title IV–E agency’s information 

system, case review system, quality 

assurance system and other internal 

systems. If ACF requires a title IV–E 

agency to develop a CFSR PIP, MEPA 

corrective action plan and/or Title IV– 

E PIP, a title IV–E agency will use data 

from its internal records and files to 

complete the plan. 

The regulations pertaining to 

AFCARS at 45 CFR 1355.40 require title 

IV–E agencies to electronically report 

certain data regarding children in foster 

care and adoption. The specific data 

elements are listed in the Appendix A 

and B of the regulations. 

The case plan consists of a narrative 

description of the child’s individualized 

program of care as required by the 

applicable Federal laws and regulations. 

ACF does not collect the information in 

the case plan or require it to be reported 

to us. 

The respondents to all these 

information collections are State or 

Tribal government entities. 

As required by the Paperwork 

Reduction Act of 1995 (44 U.S.C. 

3507(d)), ACF has submitted a copy of 

these sections to OMB for its review. 

This interim final rule changes the 

collection requirements of all of these 

information collections only by 

extending the requirements that 

previously applied only to States to 

Tribal title IV–E agencies. The new 

respondents to the information 

collections in this interim final rule are 

Indian Tribes, Tribal organizations and 

consortia that have an approved title 

IV–E plan, or children in the title IV–E 

agency’s placement and care 

responsibility. We estimate that the total 

burden hours will increase from 

2,443,205 to 2,568,445 (a 5% increase) 

as a result of the increased number of 

respondents as provided in this interim 

final rule. 

The Department expands these 

collections of information to include 

Indian Tribes that have been approved 

to directly-operate a title IV–E program 

because, by law, the requirements of the 

title IV–E statute apply to such Indian 

Tribes ‘‘in the same manner as this part 

applies to a State’’ (section 479B(b) of 

the Act), with limited exceptions. This 

means that Indian Tribes operating title 

IV–E plans must adhere to existing 

statutory and regulatory title IV–E 

requirements in place for States unless 

the statute provides an exception. 

The following are estimates: 


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Collection 

Number of 

respondents 

(adding in the 

Indian Tribes) 

Number of 

responses per 

respondent 

Average burden 

per response 

Total burden 

hours 

1355.33(b)—Statewide or Tribal assessment 0970–0214 ............ 14 1 240 3,360 

1355.33(c)—On-Site Review 0970–0214 ...................................... 14 1 1,170 16,380 

1355.35(a)—Program Improvement Plan (CFSR) 0970–0214 ..... 14 1 240 3,360 

1355.38(b)—Corrective Action Plan (MEPA) 0970–0214 ............. 1 1 780 780 

1355.40—AFCARS 0980–0267 ..................................................... 72 2 3,005 432,720 

1356.21(g)—Case plan 0980–0140 .............................................. 639,735 1 3 .3 2,111,125 

1356.71(i) Program Improvement Plan (IV–E reviews) 0970– 

0214 ........................................................................................... 8 1 90 720 

Below we describe how we arrived at 

the estimated burden for each 

information collection: 

CFSR—Given the complexities and 

issues involving conducting a CFSR for 

a Tribal title IV–E agency, or an Indian 

Tribe with an approved title IV–E plan, 

we estimate we will conduct a CFSR in 

one Indian Tribe during the first three 

year period after the effective date of the 

interim final rule. ACF has current OMB 

approval for 13 CFSRs. 

On-site review—Given the 

complexities and issues involving 

conducting an on-site review for a 

Tribal title IV–E agency, or Indian Tribe 

with an approved title IV–E plan, we 

estimate we will review one Indian 

Tribe during the first three year period. 

ACF has current OMB approval for 13 

on-site reviews. 

CFSR PIP—Given the complexities 

and issues involved in developing a PIP 

for a Tribal title IV–E agency, or Indian 

Tribe with an approved title IV–E plan, 

we estimate at most one additional PIP 

will be developed during the first three 

year period. ACF has current OMB 

approval for 13 PIPs. 

MEPA—In MEPA enforcement 

actions, the Office for Civil Rights and 

ACF work jointly to assist the title IV– 

E agency to develop and implement 

corrective action plans that are targeted 

to remedying the violations for which 

the agency was cited. There have been 

few of these corrective action plans 

required in previous years and it has 

taken several years for the issues 

involved to advance to the corrective 

action phase. We are estimating that the 

number of title IV–E agencies found to 

have compliance issues will continue to 

be the exceptional circumstance and are 

not adding any additional burden 

estimate at this time. 

AFCARS—Indian Tribes with title IV– 

E plans, which we have previously 

estimated as 20, will be required to 

submit AFCARS data. ACF has current 

OMB approval for 52 AFCARS reports. 

Case plan—We have only rough 

estimates of the numbers of children in 

foster care who may be served by a 

Tribal title IV–E agency or Indian Tribe 

with an approved title IV–E plan. We 

are using 50 children per Indian Tribe 

as a rough estimate based on our 

consultations with Indian Tribes and 

information from other sources but are 

very interested in hearing from Indian 

Tribes how accurate this estimate 

appears to be. We expect that it may be 

on the high side. ACF has current OMB 

approval for 638,735 respondents for the 

case plan and we are adding 1,000 more 

here. 

Title IV–E PIP—We expect to begin 

these reviews within a four year period 

after an Indian Tribe’s title IV–E plan is 

approved. Therefore, we estimate that at 

most one additional PIP will be 

developed during the first three year 

period. ACF has current OMB approval 

for 7 title IV–E PIPs. 

ACF will consider comments by the 

public on these collections of 

information in the following areas: 

• Evaluating whether the proposed 

collections are necessary for the proper 

performance of the functions of ACF, 

including whether the information will 

have practical utility; 

• Evaluating the accuracy of the 

ACF’s estimate of the burden of the 

proposed collection[s] of information, 

including the validity of the 

methodology and assumptions used; 

• Enhancing the quality, usefulness, 

and clarity of the information to be 

collected; and 

• 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 

regarding the collection of information 

contained in this interim final rule 

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 interim final 

rule. Written comments to OMB on the 

information collections included in this 

interim final rule should be sent directly 

to the following: Office of Management 

and Budget, either by fax to (202) 395– 

5806 or by email to 

OIRA_submission@omb.eop.gov. 

Please mark faxes and emails to the 

attention of the desk officer for ACF. To 

ensure that public comments have 

maximum effect, ACF urges that each 

comment clearly identify the specific 

information collection that the comment 

addresses and that comments be in the 

same order as the regulations. You may 

also send a copy of these comments to 

the Department contact named in the 

ADDRESSES section of this preamble. 

List of Subjects 

45 CFR Part 1355 

Adoption and foster care, Child 

welfare, Grant programs—social 

programs. 

45 CFR Part 1356 

Adoption and foster care, Grant 

programs—social programs. 

(Catalog of Federal Domestic Assistance 

Program Number 93.658, Foster Care 

Maintenance) 

Dated: July 5, 2011. 

George H. Sheldon, 

Acting Assistant Secretary for Children and 

Families. 

Approved: August 29, 2011. 

Kathleen Sebelius, 

Secretary, Department of Health and Human 

Services. 

For the reason set out in the preamble, 

the Administration for Children and 

Families amends 45 CFR parts 1355 and 

1356 as follows: 

PART 1355—REQUIREMENTS 

APPLICABLE TO TITLE 

IV–B AND IV–E 

■ 1. The authority citation for part 1355 

continues to read as follows: 

Authority: 42 U.S.C. 620 et seq., 42 U.S.C. 

670 et seq., 42 U.S.C. 1302. 

■ 2. Amend § 1355.20(a) to: 


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■ a. Revise the definitions of Adoption, 

Entity, Foster family home, Full review, 

Partial review and Statewide 

assessment; 

■ b. Remove the first sentence of the 

definition of Child care institution and 

add two sentences in its place; 

■ c. Revise the second sentence of the 

definition of Date a child is considered 

to have entered foster care; 

■ d. Revise paragraphs (1)(ii) and (v) 

and the third sentence in paragraph (2) 

in the definition of Permanency hearing; 

■ e. Revise the first and third sentences 

of the definition of Foster Care; and 

■ f. Add new definitions of Title IV–E 

agency and Tribal agency to read as 

follows: 

§ 1355.20 Definitions. 

(a) * * * 

Adoption means the method provided 

by State law, or for a Tribal title IV–E 

agency, Tribal law, which establishes 

the legal relationship of parent and 

child between persons who are not so 

related by birth, with the same mutual 

rights and obligations that exist between 

children and their birth parents. This 

relationship can only be termed 

‘‘adoption’’ after the legal process is 

complete. 

* * * * * 

Child care institution means a private 

child care institution, or a public child 

care institution which accommodates no 

more than twenty-five children, and is 

licensed by the licensing authority 

responsible for licensing or approval of 

institutions of this type as meeting the 

standards established for such licensing. 

The licensing authority must be a State 

authority in the State in which the child 

care institution is located, a Tribal 

authority with respect to a child care 

institution on or near an Indian 

Reservation, or a Tribal authority of a 

Tribal title IV–E agency with respect to 

a child care institution in the Tribal title 

IV–E agency’s service area. * * * 

* * * * * 

Date a child is considered to have 

entered foster care * * * A title IV–E 

agency may use a date earlier than that 

required in this definition, such as the 

date the child is physically removed 

from the home. * * * 

* * * * * 

Entity, as used in § 1355.38, means 

any organization or agency (e.g., a 

private child placing agency) that is 

separate and independent of the title 

IV–E agency; performs title IV–E 

functions pursuant to a contract or 

subcontract with the title IV–E agency; 

and, receives title IV–E funds. A State 

or Tribal court is not an ‘‘entity’’ for the 

purposes of § 1355.38 except if an 

administrative arm of the State or Tribal 

court carries out title IV–E 

administrative functions pursuant to a 

contract with the title IV–E agency. 

Foster care means 24-hour substitute 

care for children placed away from their 

parents or guardians and for whom the 

title IV–E agency has placement and 

care responsibility. * * * A child is in 

foster care in accordance with this 

definition regardless of whether the 

foster care facility is licensed and 

payments are made by the State, Tribal 

or local agency for the care of the child, 

whether adoption subsidy payments are 

being made prior to the finalization of 

an adoption, or whether there is Federal 

matching of any payments that are 

made. 

* * * * * 

Foster family home means, for the 

purpose of title IV–E eligibility, the 

home of an individual or family 

licensed or approved as meeting the 

standards established by the licensing or 

approval authority(ies), that provides 

24-hour out-of-home care for children. 

The licensing authority must be a State 

authority in the State in which the foster 

family home is located, a Tribal 

authority with respect to a foster family 

home on or near an Indian Reservation, 

or a Tribal authority of a Tribal title IV– 

E agency with respect to a foster family 

home in the Tribal title IV–E agency’s 

service area. The term may include 

group homes, agency-operated boarding 

homes or other facilities licensed or 

approved for the purpose of providing 

foster care by the State or Tribal agency 

responsible for approval or licensing of 

such facilities. Foster family homes that 

are approved must be held to the same 

standards as foster family homes that 

are licensed. Anything less than full 

licensure or approval is insufficient for 

meeting title IV–E eligibility 

requirements. Title IV–E agencies may, 

however, claim title IV–E 

reimbursement during the period of 

time between the date a prospective 

foster family home satisfies all 

requirements for licensure or approval 

and the date the actual license is issued, 

not to exceed 60 days. 

Full review means the joint Federal 

and title IV–E agency review of all 

federally-assisted child and family 

services programs, including family 

preservation and support services, child 

protective services, foster care, 

adoption, and independent living 

services, for the purpose of determining 

the title IV–E agency’s substantial 

conformity with the plan requirements 

of titles IV–B and IV–E as listed in 

§ 1355.34 of this part. A full review 

consists of two phases, the statewide 

assessment (or for a Tribal title IV–E 

agency, an assessment of the service 

area) and a subsequent on-site review, 

as described in § 1355.33 of this part. 

* * * * * 

Partial review means: 

(1) For the purpose of the child and 

family services review, the joint Federal 

and State/Tribal review of one or more 

federally-assisted child and family 

services program(s), including family 

preservation and support services, child 

protective services, foster care, 

adoption, and independent living 

services. A partial review may consist of 

any of the components of the full 

review, as mutually agreed upon by the 

title IV–E agency and the 

Administration for Children and 

Families as being sufficient to determine 

substantial conformity of the reviewed 

components with the plan requirements 

of titles IV–B and IV–E as listed in 

§ 1355.34 of this part; 

(2) For the purpose of title IV–B and 

title IV–E State plan compliance issues 

that are outside the prescribed child and 

family services review format, e.g., 

compliance with AFCARS 

requirements, a review of State laws, 

policies, regulations, or other 

information appropriate to the nature of 

the concern, to determine State 

compliance; or 

(3) For the purpose of title IV–E plan 

compliance issues for a Tribal title IV– 

E agency which are outside of the 

prescribed child and family services 

review format, a review of Tribal laws, 

policies, regulations, or other 

information appropriate to the nature of 

the concern, to determine plan 

compliance. 

Permanency hearing means: 

(1) * * * 

(ii) Placed for adoption, with the title 

IV–E agency filing a petition for 

termination of parental rights; 

* * * * * 

(v) Placed in another planned 

permanent living arrangement, but only 

in cases where the title IV–E agency has 

documented to the State or Tribal court 

a compelling reason for determining 

that it would not be in the best interests 

of the child to follow one of the four 

specified options above. 

(2) * * * The permanency hearing 

must be conducted by a family or 

juvenile court or another court of 

competent jurisdiction or by an 

administrative body appointed or 

approved by the court which is not a 

part of or under the supervision or 

direction of the title IV–E agency. * * * 

* * * * * 

Statewide assessment (or Tribal 

assessment) means the initial phase of 


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a full review of all federally-assisted 

child and family services programs in 

the States (or for a Tribal title IV–E 

agency, in the service area), including 

family preservation and support 

services, child protective services, foster 

care, adoption, and independent living 

services as described in § 1355.33(b) of 

this part, for the purpose of determining 

substantial conformity with the plan 

requirements of titles IV–B and IV–E as 

listed in § 1355.34 of this part. 

Title IV–E agency means the State or 

Tribal agency administering or 

supervising the administration of the 

title IV–B and title IV–E plans. 

Tribal agency means, for the purpose 

of title IV–E, the agency of the Indian 

Tribe, Indian Tribal organization (as 

those terms are defined in section 

479B(a) of the Act) or consortium of 

Indian Tribes that is administering or 

supervising the administration of the 

title IV–E and title IV–B, subpart 1 plan. 

■ 3. Amend § 1355.21 to revise the 

section heading, paragraphs (a) and (b) 

and the second sentence of paragraph 

(c) as follows: 

§ 1355.21 Plan requirements for titles IV–E 

and IV–B. 

(a) The plans for titles IV–E and IV– 

B must provide for safeguards on the 

use and disclosure of information which 

meet the requirements contained in 

section 471(a)(8) of the Act. 

(b) The plans for titles IV–E and IV– 

B must provide for compliance with the 

Department’s regulations applicable to 

the State and/or Tribe as listed in 45 

CFR 1355.30. 

(c) * * * The title IV–E agency also 

must make available for public review 

and inspection the title IV–E Plan. 

■ 4. Amend § 1355.30 to revise the 

introductory text, revise paragraphs (c), 

(d), (i), (k), and (m), revise the heading 

of paragraph (n), and revise paragraphs 

(n)(1) through (n)(4) and (o) to read as 

follows: 

§ 1355.30 Other applicable regulations. 

Except as specified, the following 

regulations are applicable to State and 

Tribal programs funded under titles IV– 

B and IV–E of the Act. 

* * * * * 

(c) 2 CFR part 376—Nonprocurement 

Debarment and Suspension. 

(d) 2 CFR part 382—Requirements for 

Drug-Free Workplace (Financial 

Assistance). 

* * * * * 

(i) 45 CFR part 92—Uniform 

Administrative Requirements for Grants 

and Cooperative Agreements to State 

and Local Governments. Part 92 of this 

title is applicable to title IV–B programs 

and the John H. Chafee Foster Care 

Independence Program under Section 

477 of the Act that are operated by 

States and/or Tribes. Part 92 of this title 

is applicable to title IV–E foster care and 

adoption assistance programs operated 

by a State title IV–E agency, except that 

section 92.24 Matching or cost sharing 

and section 92.41 Financial reporting do 

not apply. Part 92 of this title is 

applicable to title IV–E foster care and 

adoption assistance programs operated 

by a Tribal title IV–E agency pursuant 

to section 479B, except that section 

92.41 and the sections specified in 

§ 1356.68 do not apply to a Tribal title 

IV–E agency. 

* * * * * 

(k) 45 CFR part 95—General 

Administration—Grant Programs 

(Public Assistance and Medical 

Assistance). Part 95 of this title is 

applicable to State and Indian Tribe 

operated title IV–B and title IV–E 

programs, except: 

(1) Notwithstanding 45 CFR 95.1(a), 

subpart A, Time Limits for States to File 

Claims, does not apply to State and 

Indian Tribe-operated title IV–B 

(subparts 1 and 2) program and the John 

H. Chafee Foster Care Independence 

Program; and 

(2) 45 CFR part 95 Subpart E, Cost 

Allocation Plans, is not applicable to 

Indian Tribe-operated title IV–E foster 

care and adoption assistance pursuant 

to section 479B of the Act (ACYF–CB– 

PI–10–13). 

* * * * * 

(m) 45 CFR part 100— 

Intergovernmental Review of 

Department of Health and Human 

Services Programs and Activities. Only 

one section is applicable: 45 CFR 

100.12, How may a State simplify, 

consolidate, or substitute federally 

required State plans? This section is 

applicable to a State title IV–E agency 

only. 

(n) 45 CFR part 201—Grants to States 

for Public Assistance Programs. * * * 

(1) § 201.5—Grants. Applicable to title 

IV–E foster care and adoption assistance 

only. 

(2) § 201.6—Withholding of payment; 

reduction of Federal financial 

participation in the costs of social 

services and training. Applicable only to 

an unapprovable change in an approved 

plan, or the failure of the agency to 

change its approved plan to conform to 

a new Federal requirement for approval 

of plans. 

(3) § 201.15—Deferral of claims for 

Federal financial participation. 

Applicable only to title IV–E foster care 

and adoption assistance. 

(4) § 201.66—Repayment of Federal 

funds by installments. Applicable only 

to title IV–E foster care and adoption 

assistance. 

(o) 45 CFR 204.1—Submittal of State 

Plans for Governor’s Review. Applicable 

to State title IV–E agencies only. 

* * * * * 

■ 5. Revise § 1355.31 to read as follows: 

§ 1355.31 Elements of the child and family 

services review system. 

Scope. Sections 1355.32 through 

1355.37 of this part apply to reviews of 

child and family services programs 

under subparts 1 and 2 of title IV–B of 

the Act, and reviews of foster care and 

adoption assistance programs under title 

IV–E of the Act. 

■ 6. Amend § 1355.32 to: 

■ a. Add a second sentence to paragraph 

(a); and 

■ b. Revise paragraphs (b)(1) 

introductory text, (b)(1)(ii), (b)(2) 

introductory text, (c), the heading of 

paragraph (d) and paragraphs (d)(1) 

through (4) to read as follows: 

§ 1355.32 Timetable for the reviews. 

(a) Initial reviews. * * * Each Tribal 

title IV–E agency must complete an 

initial full review as described in 

§ 1355.33 of this part, during the fouryear period after the ACF determines 

that the Tribe has approved title IV–B, 

subpart 1 and 2 and title IV–E plans and 

has sufficient cases for ACF to apply the 

procedures in § 1355.33(c). 

(b) * * * (1) A title IV–E agency 

found to be operating in substantial 

conformity during an initial or 

subsequent review, as defined in 

§ 1355.34 of this part, must: 

* * * * * 

(ii) Submit a completed statewide 

assessment, or in the case of a Tribal 

title IV–E agency, a completed Tribal 

assessment of the service area, to ACF 

three years after the on-site review. The 

assessment will be reviewed jointly by 

the title IV–E agency and ACF to 

determine the State’s or Indian Tribe’s 

continuing substantial conformity with 

the plan requirements subject to review. 

No formal approval of this interim 

assessment by ACF is required. 

(2) A program found not to be 

operating in substantial conformity 

during an initial or subsequent review 

will: 

* * * * * 

(c) Reinstatement of reviews based on 

information that a title IV–E agency is 

not in substantial conformity. (1) ACF 

may require a full or a partial review at 

any time, based on any information, 

regardless of the source, that indicates 

the title IV–E agency may no longer be 

operating in substantial conformity. 

(2) Prior to reinstating a full or partial 

review, ACF will conduct an inquiry 


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and require the title IV–E agency to 

submit additional data whenever ACF 

receives information that the title IV–E 

agency may not be in substantial 

conformity. 

(3) If the additional information and 

inquiry indicates to ACF’s satisfaction 

that the title IV–E agency is operating in 

substantial conformity, ACF will not 

proceed with any further review of the 

issue addressed by the inquiry. This 

inquiry will not substitute for the full 

reviews conducted by ACF under 

§ 1355.32(b). 

(4) ACF may proceed with a full or 

partial review if the title IV–E agency 

does not provide the additional 

information as requested, or the 

additional information confirms that the 

title IV–E agency may not be operating 

in substantial conformity. 

(d) Partial reviews based on 

noncompliance with plan requirements 

that are outside the scope of a child and 

family services review. * * * 

(1) Conduct an inquiry and require 

the title IV–E agency to submit 

additional data. 

(2) If the additional information and 

inquiry indicates to ACF’s satisfaction 

that the title IV–E agency is in 

compliance, we will not proceed with 

any further review of the issue 

addressed by the inquiry. 

(3) ACF will institute a partial review, 

appropriate to the nature of the concern, 

if the title IV–E agency does not provide 

the additional information as requested, 

or the additional information confirms 

that the title IV–E agency may not be in 

compliance. 

(4) If the partial review determines 

that the title IV–E agency is not in 

compliance with the applicable plan 

requirement, the title IV–E agency must 

enter into a program improvement plan 

designed to bring the title IV–E agency 

into compliance, if the provisions for 

such a plan are applicable. The terms, 

action steps and time-frames of the 

program improvement plan will be 

developed on a case-by-case basis by 

ACF and the title IV–E agency. The 

program improvement plan must take 

into consideration the extent of 

noncompliance and the impact of the 

noncompliance on the safety, 

permanency or well-being of children 

and families served through the title IV– 

E agency’s title IV–B or IV–E allocation. 

If the title IV–E agency remains out of 

compliance, the title IV–E agency will 

be subject to a penalty related to the 

extent of the noncompliance. 

* * * * * 

■ 7. In § 1355.33, revise paragraphs 

(a)(2) introductory text, (a)(2)(i), (ii) and 

(iv), paragraphs (b), (c)(1) through (3) 

and (c)(4)(iv), the last sentence of 

paragraph (c)(6), paragraph (d), the first 

sentence of paragraph (e), and paragraph 

(f) to read as follows: 

§ 1355.33 Procedures for the review. 

(a) * * * 

(2) Be conducted by a team of Federal, 

and State or Tribal reviewers that 

includes: 

(i) Staff of the child and family 

services agency, including the offices 

that represent the service areas that are 

the focus of any particular review; 

(ii) Representatives selected by the 

title IV–E agency, in collaboration with 

the ACF Regional Office, from those 

with whom the title IV–E agency was 

required to consult in developing its 

CFSP, as described and required in 45 

CFR 1357.15(l); 

* * * * * 

(iv) Other individuals, as deemed 

appropriate and agreed upon by the title 

IV–E agency and ACF. 

(b) Statewide or Tribal Assessment. 

The first phase of the full review will be 

a statewide assessment, or for a Tribal 

title IV–E agency a service area 

assessment, conducted by the title IV– 

E agency’s internal and external 

members of the review team. The 

assessment must: 

(1) Address each systemic factor 

under review including the statewide/ 

Tribal information system; case review 

system; quality assurance system; staff 

training; service array; agency 

responsiveness to the community; and 

foster and adoptive parent licensing, 

recruitment and retention; 

(2) Assess the outcome areas of safety, 

permanence, and well-being of children 

and families served by the title IV–E 

agency using data from AFCARS and 

NCANDS. For the initial review, ACF 

may approve another data source to 

substitute for AFCARS, and in all 

reviews, ACF may approve another data 

source to substitute for NCANDS. The 

title IV–E agency must also analyze and 

explain its performance in meeting the 

national standards for the statewide/ 

Tribal service area data indicators; 

(3) Assess the characteristics of the 

title IV–E agency that have the most 

significant impact on the agency’s 

capacity to deliver services to children 

and families that will lead to improved 

outcomes; 

(4) Assess the strengths and areas of 

the title IV–E agency’s child and family 

services programs that require further 

examination through an on-site review; 

(5) Include a listing of all the persons 

external to the title IV–E agency who 

participated in the preparation of the 

assessment pursuant to 

§ 1355.33(a)(2)(ii) and (iv); and 

(6) Be completed and submitted to 

ACF within 4 months of the date that 

ACF transmits the information for the 

assessment to the title IV–E agency. 

(c) * * * 

(1) The on-site review will cover the 

title IV–E agency’s programs under titles 

IV–B and IV–E of the Act, including inhome services and foster care. It will be 

jointly planned by the title IV–E agency 

and ACF, and guided by information in 

the completed assessment that identifies 

areas in need of improvement or further 

review. 

(2) The on-site review may be 

concentrated in several specific political 

subdivisions or jurisdictions of the title 

IV–E agency, as agreed upon by the ACF 

and the title IV–E agency; however, for 

a State title IV–E agency, a State’s 

largest metropolitan subdivision must 

be one of the locations selected. 

(3) ACF has final approval of the 

selection of specific areas of the title IV– 

E agency’s child and family services 

continuum described in paragraph (c)(1) 

of this section and selection of the 

political subdivisions or jurisdiction 

referenced in paragraph (c)(2) of this 

section. 

(4) * * * 

(iv) Interviews with key stakeholders, 

both internal and external to the agency, 

which, at a minimum, must include 

those individuals who participated in 

the development of the State’s or Tribal 

title IV–E agency’s CFSP required at 45 

CFR 1357.15(1), courts, administrative 

review bodies, children’s guardians ad 

litem and other individuals or bodies 

assigned responsibility for representing 

the best interests of the child. 

* * * * * 

(6) * * * The additional cases in the 

oversample not selected for the on-site 

review will form the sample of cases to 

be reviewed, if needed, in order to 

resolve discrepancies between the 

statewide/Tribal assessment and the onsite review in accordance with 

paragraph (d)(2) of this section. 

(d) Resolution of discrepancies 

between the assessment and the 

findings of the on-site portion of the 

review. Discrepancies between the 

statewide or Tribal assessment and the 

findings of the on-site portion of the 

review will be resolved by either of the 

following means, at the title IV–E 

agency’s option: 

(1) The submission of additional 

information by the title IV–E agency; or 

(2) ACF and the title IV–E agency will 

review additional cases using only those 

indicators in which the discrepancy 

occurred. ACF and the title IV–E agency 

will determine jointly the number of 

additional cases to be reviewed, not to 


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exceed 150 foster care cases or 150 inhome services cases to be selected as 

specified in paragraph (c)(6) of this 

section. 

(e) Partial review. A partial child and 

family services review, when required, 

will be planned and conducted jointly 

by ACF and the title IV–E agency based 

on the nature of the concern. * * * 

(f) Notification. Within 30 calendar 

days following either a partial child and 

family services review, full child and 

family services review, or the resolution 

of a discrepancy between the 

assessment and the findings of the onsite portion of the review, ACF will 

notify the title IV–E agency in writing of 

whether the title IV–E agency is, or is 

not, operating in substantial conformity. 

■ 8. In § 1355.34 revise paragraph (a) 

introductory text, (a)(1), (a)(3), (b)(1) 

introductory text, (b)(2) introductory 

text, (b)(2)(i), (b)(2)(ii)(C) through (F), 

(b)(3) introductory text, (b)(3)(i), the first 

sentence of (b)(3)(ii), (b)(4), the heading 

and introductory text of (c), paragraph 

(c)(1), (c)(2) introductory text, (c)(2)(i) 

through (v), (c)(3) introductory text, 

(c)(3)(i), (c)(4) introductory text, (c)(4)(i), 

(c)(4)(iv), (c)(4)(v), (c)(5) introductory 

text, (c)(5)(v), (c)(6)(i) and (iv), (c)(7)(i) 

through (v), and (d) to read as follows: 

§ 1355.34 Criteria for determining 

substantial conformity. 

(a) Criteria to be satisfied. ACF will 

determine a title IV–E agency’s 

substantial conformity with title IV–B 

and title IV–E plan requirements based 

on the following: 

(1) Its ability to meet national 

standards, set by the Secretary, for the 

statewide/Tribal service area data 

indicators associated with specific 

outcomes for children and families; 

* * * * * 

(3) Its ability to meet criteria related 

to the title IV–E agency’s capacity to 

deliver services leading to improved 

outcomes. 

(b) * * * (1) A title IV–E agency’s 

substantial conformity will be 

determined by its ability to substantially 

achieve the following child and family 

service outcomes: 

* * * * * 

(2) A title IV–E agency’s level of 

achievement with regard to each 

outcome reflects the extent to which a 

title IV–E agency has: 

(i) Met the national standard(s) for the 

statewide/Tribal service area data 

indicator(s) associated with that 

outcome, if applicable; and, 

(ii) * * * 

(C) The requirements in section 

422(b)(7) of the Act regarding 

recruitment of potential foster and 

adoptive families; 

(D) The assurances as required by 

section 422(b)(8)(B) of the Act regarding 

policies and procedures for abandoned 

children; 

(E) The requirements in section 

422(b)(9) of the Act regarding the State’s 

compliance with the Indian Child 

Welfare Act; 

(F) The requirements in section 

422(b)(10) of the Act regarding a title 

IV–E agency’s plan for effective use of 

cross-jurisdictional resources to 

facilitate timely adoptive or permanent 

placements; and, 

* * * * * 

(3) A title IV–E agency will be 

determined to be in substantial 

conformity if its performance on: 

(i) Each statewide/Tribal service area 

data indicator developed pursuant to 

paragraph (b)(4) of this section meets 

the national standard described in 

paragraph (b)(5) of this section; and, 

(ii) Each outcome listed in paragraph 

(b)(1) of this section is rated as 

‘‘substantially achieved’’ in 95 percent 

of the cases examined during the on-site 

review (90 percent of the cases for an 

initial review). * * * 

(4) The Secretary may, using AFCARS 

and NCANDS, develop statewide/Tribal 

service area data indicators for each of 

the specific outcomes described in 

paragraph (b)(1) of this section for use 

in determining substantial conformity. 

The Secretary may add, amend, or 

suspend any such statewide/Tribal 

service area data indicator(s) when 

appropriate. To the extent practical and 

feasible, the statewide/Tribal service 

area data indicators will be consistent 

with those developed in accordance 

with section 203 of the Adoption and 

Safe Families Act of 1997 (Pub. L. 105– 

89). 

* * * * * 

(c) Criteria related to title IV–E agency 

capacity to deliver services leading to 

improved outcomes for children and 

families. In addition to the criteria 

related to outcomes contained in 

paragraph (b) of this section, the title 

IV–E agency also must satisfy criteria 

related to the delivery of services. Based 

on information from the assessment and 

onsite review, the title IV–E agency 

must meet the following criteria for each 

systemic factor in paragraphs (c)(2) 

through (c)(7) of this section to be 

considered in substantial conformity: 

All of the plan requirements associated 

with the systemic factor must be in 

place, and no more than one of the plan 

requirements fails to function as 

described in paragraphs (c)(2) through 

(c)(7) of this section. The systemic factor 

in paragraph (c)(1) of this section is 

rated on the basis of only one plan 

requirement. To be considered in 

substantial conformity, the plan 

requirement associated with statewide/ 

Tribal information system capacity must 

be both in place and functioning as 

described in the requirement. ACF will 

use a rating scale to make the 

determinations of substantial 

conformity. The systemic factors under 

review are: 

(1) Statewide/Tribal information 

system: The State/Tribal title IV–E 

agency is operating a statewide/Tribal 

information system that, at a minimum, 

can readily identify the status, 

demographic characteristics, location, 

and goals for the placement of every 

child who is (or within the immediately 

preceding 12 months, has been) in foster 

care (section (422)(b)(8)(A)(i) of the Act); 

(2) Case review system: The title IV– 

E agency has procedures in place that: 

(i) Provide, for each child, a written 

case plan to be developed jointly with 

the child’s parent(s) that includes 

provisions: for placing the child in the 

least restrictive, most family-like 

placement appropriate to his/her needs, 

and in close proximity to the parents’ 

home where such placement is in the 

child’s best interests; for visits with a 

child placed out of State/Tribal service 

area at least every 12 months by a 

caseworker of the agency or of the 

agency in the State/Tribal service area 

where the child is placed; and for 

documentation of the steps taken to 

make and finalize an adoptive or other 

permanent placement when the child 

cannot return home (sections 

422(b)(8)(A)(ii), 471(a)(16) and 475(5)(A) 

of the Act); 

(ii) Provide for periodic review of the 

status of each child no less frequently 

than once every six months by either a 

court or by administrative review 

(sections 422(b)(8)(A)(ii), 471(a)(16) and 

475(5)(B) of the Act); 

(iii) Assure that each child in foster 

care under the supervision of the title 

IV–E agency has a permanency hearing 

in a family or juvenile court or another 

court of competent jurisdiction 

(including a Tribal court), or by an 

administrative body appointed or 

approved by the court, which is not a 

part of or under the supervision or 

direction of the title IV–E agency, no 

later than 12 months from the date the 

child entered foster care (and not less 

frequently than every 12 months 

thereafter during the continuation of 

foster care) (sections 422(b)(8)(A)(ii), 

471(a)(16) and 475(5)(C) of the Act); 

(iv) Provide a process for termination 

of parental rights proceedings in 

accordance with sections 

422(b)(8)(A)(ii), 475(5)(E) and (F) of the 

Act; and, 


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(v) Provide foster parents, preadoptive 

parents, and relative caregivers of 

children in foster care with notice of 

and a right to be heard in permanency 

hearings and six-month periodic 

reviews held with respect to the child 

(sections 422(b)(8)(A)(ii), 475(5)(G) of 

the Act, and 45 CFR 1356.21(o)). 

(3) Quality assurance system: The title 

IV–E agency has developed and 

implemented standards to ensure that 

children in foster care placements are 

provided quality services that protect 

the safety and health of the children 

(section 471(a)(22)) and is operating an 

identifiable quality assurance system 

(45 CFR 1357.15(u)) as described in the 

CFSP that: 

(i) Is in place in the jurisdictions 

within the State/Tribal service area 

where services included in the CFSP are 

provided; 

* * * * * 

(4) Staff training: The title IV–E 

agency is operating a staff development 

and training program (45 CFR 

1357.15(t)) that: 

(i) Supports the goals and objectives 

in the title IV–E agency’s CFSP; 

* * * * * 

(iv) Provides ongoing training for staff 

that addresses the skills and knowledge 

base needed to carry out their duties 

with regard to the services included in 

the CFSP; and, 

(v) Provides training for current or 

prospective foster parents, adoptive 

parents, and the staff of State/Triballicensed or State/Tribal-approved child 

care institutions providing care to foster 

and adopted children receiving 

assistance under title IV–E that 

addresses the skills and knowledge base 

needed to carry out their duties with 

regard to caring for foster and adopted 

children. 

(5) Service array: Information from the 

assessment and on-site review 

determines that the title IV–E agency 

has in place an array of services (45 CFR 

1357.15(n) and section 422(b)(8)(A)(iii) 

and (iv) of the Act) that includes, at a 

minimum: 

* * * * * 

(v) Services that are accessible to 

families and children in all political 

subdivisions and/or the entire service 

area covered in the CFSP; and, 

* * * * * 

(6) * * * 

(i) The title IV–E agency, in 

implementing the provisions of the 

CFSP, engages in ongoing consultation 

with a broad array of individuals and 

organizations representing the State/ 

Tribal and county/local agencies 

responsible for implementing the CFSP 

and other major stakeholders in the 

services delivery system including, at a 

minimum, Tribal representatives, 

consumers, service providers, foster care 

providers, the juvenile court, and other 

public and private child and family 

serving agencies (45 CFR 1357.15(l)(3)); 

* * * * * 

(iv) There is evidence that the services 

under the plan are coordinated with 

services or benefits under other Federal 

or federally-assisted programs serving 

the same populations to achieve the 

goals and objectives in the plan (45 CFR 

1357.15(m)). 

(7) * * * 

(i) The State or Tribe has established 

and maintains standards for foster 

family homes and child care institutions 

which are reasonably in accord with 

recommended standards of national 

organizations concerned with standards 

for such institutions or homes (section 

471(a)(10) of the Act); 

(ii) The standards so established are 

applied by the State or Tribe to every 

licensed or approved foster family home 

or child care institution receiving funds 

under title IV–E or IV–B of the Act 

(section 471(a)(10) of the Act); 

(iii) The title IV–E agency complies 

with the safety requirements for foster 

care and adoptive placements in 

accordance with sections 471(a)(16), 

471(a)(20) and 475(1) of the Act and 45 

CFR 1356.30; 

(iv) The title IV–E agency has in place 

an identifiable process for assuring the 

diligent recruitment of potential foster 

and adoptive families that reflect the 

ethnic and racial diversity of children in 

the State or Tribe for whom foster and 

adoptive homes are needed (section 

422(b)(7) of the Act); and, 

(v) The title IV–E agency has 

developed and implemented plans for 

the effective use of cross-jurisdictional 

resources to facilitate timely adoptive or 

permanent placements for waiting 

children (section 422(b)(10) of the Act). 

(d) Availability of review instruments. 

ACF will make available to the title IV– 

E agencies copies of the review 

instruments, which will contain the 

specific standards to be used to 

determine substantial conformity, on an 

ongoing basis, whenever significant 

revisions to the instruments are made. 

■ 9. In § 1355.35 revise the first 

sentence of paragraph (a)(1) 

introductory text, paragraphs (a)(1)(i) 

through (ii), (iv) and (v), (a)(2), (b) 

introductory text, (b)(1) and (3), (c)(1), 

(3) and (4), the third sentence of (d)(3), 

the first sentence of (d)(4), the first 

sentence of (e) introductory text, (e)(1) 

through (3), (e)(4) introductory text, 

(e)(4)(i), and the first sentence of (f), and 

add a parenthetical OMB information 

collection statement at the end of the 

section, to read as follows: 

§ 1355.35 Program improvement plans. 

(a) * * * (1) Title IV–E agencies 

found not to be operating in substantial 

conformity shall develop a program 

improvement plan. * * * 

(i) Be developed jointly by title IV–E 

agency and Federal staff in consultation 

with the review team; 

(ii) Identify the areas in which the 

title IV–E agency’s program is not in 

substantial conformity; 

* * * * * 

(iv) Set forth the amount of progress 

the statewide/Tribal data will make 

toward meeting the national standards; 

(v) Establish benchmarks that will be 

used to measure the title IV–E agency’s 

progress in implementing the program 

improvement plan and describe the 

methods that will be used to evaluate 

progress; 

* * * * * 

(2) In the event that ACF and the title 

IV–E agency cannot reach consensus 

regarding the content of a program 

improvement plan or the degree of 

program or data improvement to be 

achieved, ACF retains the final 

authority to assign the contents of the 

plan and/or the degree of improvement 

required for successful completion of 

the plan. Under such circumstances, 

ACF will render a written rationale for 

assigning such content or degree of 

improvement. 

(b) Voluntary program improvement 

plan. Title IV–E agencies found to be 

operating in substantial conformity may 

voluntarily develop and implement a 

program improvement plan in 

collaboration with the ACF Regional 

Office, under the following 

circumstances: 

(1) The title IV–E agency and Regional 

Office agree that there are areas of the 

title IV–E agency’s child and family 

services programs in need of 

improvement which can be addressed 

through the development and 

implementation of a voluntary program 

improvement plan; 

* * * * * 

(3) No penalty will be assessed for the 

title IV–E agency’s failure to achieve the 

goals described in the voluntary 

program improvement plan. 

(c) * * * 

(1) A title IV–E agency determined not 

to be in substantial conformity must 

submit a program improvement plan to 

ACF for approval within 90 calendar 

days from the date the title IV–E agency 

receives the written notification from 

ACF that it is not operating in 

substantial conformity. 

* * * * * 


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(3) If the program improvement plan 

does not meet the provisions of 

paragraph (a) of this section, the title 

IV–E agency will have 30 calendar days 

from the date it receives notice from 

ACF that the plan has not been 

approved to revise and resubmit the 

plan for approval. 

(4) If the title IV–E agency does not 

submit a revised program improvement 

plan according to the provisions of 

paragraph (c)(3) of this section or if the 

plan does not meet the provisions of 

paragraph (a) of this section, 

withholding of funds pursuant to the 

provisions of § 1355.36 of this part will 

begin. 

(d) * * * 

(3) * * * The title IV–E agency must 

provide compelling documentation of 

the need for such an extension. * * * 

(4) Title IV–E agencies must provide 

quarterly status reports (unless ACF and 

the title IV–E agency agree to less 

frequent reports) to ACF. * * * 

(e) * * * Program improvement plans 

will be evaluated jointly by the title IV– 

E agency and ACF, in collaboration with 

other members of the review team, as 

described in the title IV–E agency’s 

program improvement plan and in 

accordance with the following criteria: 

(1) The methods and information used 

to measure progress must be sufficient 

to determine when and whether the title 

IV–E agency is operating in substantial 

conformity or has reached the 

negotiated standard with respect to 

statewide/Tribal service area data 

indicators that failed to meet the 

national standard for that indicator; 

(2) The frequency of evaluating 

progress will be determined jointly by 

the title IV–E agency and Federal team 

members, but no less than annually. 

Evaluation of progress will be 

performed in conjunction with the 

annual updates of the title IV–E 

agency’s CFSP, as described in 

paragraph (f) of this section; 

(3) Action steps may be jointly 

determined by the title IV–E agency and 

ACF to be achieved prior to projected 

completion dates, and will not require 

any further evaluation at a later date; 

and 

(4) The title IV–E agency and ACF 

may jointly renegotiate the terms and 

conditions of the program improvement 

plan as needed, provided that: 

(i) The renegotiated plan is designed 

to correct the areas of the title IV–E 

agency’s program determined not to be 

in substantial conformity and/or achieve 

a standard for the statewide/Tribal 

service area data indicators that is 

acceptable to ACF; 

* * * * * 

(f) * * * The elements of the program 

improvement plan must be incorporated 

into the goals and objectives of the title 

IV–E agency’s CFSP. * * * 

(This requirement has been approved by 

the Office of Management and Budget 

under OMB Control Number 0970–0214. 

In accordance with the Paperwork 

Reduction Act of 1995, an agency may 

not conduct or sponsor, and a person is 

not required to respond to, a collection 

of information unless it displays a 

currently valid OMB control number.) 

■ 10. In § 1355.36 revise paragraphs 

(a)(1) through (2), the first sentence of 

the introductory text of (b), (b)(1) 

through (4), (b)(6), the introductory text 

of (b)(7), (b)(7)(iii), the introductory text 

of (b)(8), (b)(8)(iii), the introductory text 

of (c)(1), (c)(1)(ii), the first sentence of 

(d), (e)(1), (e)(2)(i) and (iii), and (e)(3) 

through (5) to read as follows: 

§ 1355.36 Withholding Federal funds due 

to failure to achieve substantial conformity 

or failure to successfully complete a 

program improvement plan. 

(a) * * * 

(1) The term ‘‘title IV–B funds’’ refers 

to the title IV–E agency’s combined 

allocation of title IV–B subpart 1 and 

subpart 2 funds; and 

(2) The term ‘‘title IV–E funds’’ refers 

to the title IV–E agency’s reimbursement 

for administrative costs for the foster 

care program under title IV–E. 

(b) * * * ACF will determine the 

amount of title IV–B and IV–E funds to 

be withheld due to a finding that the 

title IV–E agency is not operating in 

substantial conformity, as follows: 

(1) A title IV–E agency will have the 

opportunity to develop and complete a 

program improvement plan prior to any 

withholding of funds. 

(2) Title IV–B and IV–E funds will not 

be withheld from a title IV–E agency if 

the determination of nonconformity was 

caused by the title IV–E agency’s correct 

use of formal written statements of 

Federal law or policy provided the title 

IV–E agency by DHHS. 

(3) A portion of the title IV–E agency’s 

title IV–B and IV–E funds will be 

withheld by ACF for the year under 

review and for each succeeding year 

until the title IV–E agency either 

successfully completes a program 

improvement plan or is found to be 

operating in substantial conformity. 

(4) The amount of title IV–B and title 

IV–E funds subject to withholding due 

to a determination that a title IV–E 

agency is not operating in substantial 

conformity is based on a pool of funds 

defined as follows: 

(i) The title IV–E agency’s allotment of 

title IV–B funds for each of the years to 

which the withholding applies; and 

(ii) An amount equivalent to 10 

percent of the title IV–E agency’s 

Federal claims for title IV–E foster care 

administrative costs for each of the 

years to which withholding applies; 

* * * * * 

(6) Except as provided for in 

paragraphs (b)(7), (b)(8), and (e)(4) of 

this section, in the event the title IV–E 

agency is determined to be in 

nonconformity on each of the seven 

outcomes and each of the seven 

systemic factors subject to review, the 

maximum amount of title IV–B and title 

IV–E funds to be withheld due to the 

title IV–E agency’s failure to comply is 

14 percent per year of the funds 

described in paragraph (b)(4) of this 

section for each year. 

(7) Title IV–E agencies determined not 

to be in substantial conformity that fail 

to correct the areas of nonconformity 

through the successful completion of a 

program improvement plan, and are 

determined to be in nonconformity on 

the second full review following the 

first full review in which a 

determination of nonconformity was 

made will be subject to increased 

withholding as follows: 

* * * * * 

(iii) The maximum amount of title IV– 

B and title IV–E funds to be withheld 

due to the title IV–E agency’s failure to 

comply on the second full review 

following the first full review in which 

the determination of nonconformity was 

made is 28 percent of the funds 

described in paragraph (b)(4) of this 

section for each year to which the 

withholding of funds applies. 

(8) Title IV–E agencies determined not 

to be in substantial conformity that fail 

to correct the areas of nonconformity 

through the successful completion of a 

program improvement plan, and are 

determined to be in nonconformity on 

the third and any subsequent full 

reviews following the first full review in 

which a determination of 

nonconformity was made will be subject 

to increased withholding as follows: 

* * * * * 

(iii) The maximum amount of title IV– 

B and title IV–E funds to be withheld 

due to the title IV–E agency’s failure to 

comply on the third and any subsequent 

full reviews following the first full 

review in which the determination of 

nonconformity was made is 42 percent 

of the funds described in paragraph 

(b)(4) of this section for each year to 

which the withholding of funds applies. 

(c) * * * 

(1) For title IV–E agencies determined 

not to be operating in substantial 

conformity, ACF will suspend the 

withholding of the title IV–E agencies’ 


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title IV–B and title IV–E funds during 

the time that a program improvement 

plan is in effect, provided that: 

* * * * * 

(ii) The title IV–E agency is actively 

implementing the provisions of the 

program improvement plan. 

* * * * * 

(d) * * * For title IV–E agencies 

determined not to be in substantial 

conformity, ACF will terminate the 

withholding of the title IV–E agency’s 

title IV–B and title IV–E funds related to 

the nonconformity upon determination 

by the title IV–E agency and ACF that 

the title IV–E agency has achieved 

substantial conformity or has 

successfully completed a program 

improvement plan. * * * 

(e) * * * 

(1) Title IV–E agencies determined not 

to be in substantial conformity that fail 

to successfully complete a program 

improvement plan will be notified by 

ACF of this final determination of 

nonconformity in writing within 10 

business days after the relevant 

completion date specified in the plan, 

and advised of the amount of title IV– 

B and title IV–E funds which are to be 

withheld. 

(2) * * * 

(i) If the title IV–E agency fails to 

submit status reports in accordance with 

§ 1355.35(d)(4), or if such reports 

indicate that the title IV–E agency is not 

making satisfactory progress toward 

achieving goals or actions steps, funds 

will be withheld at that time for a 

period beginning October 1 of the fiscal 

year for which the determination of 

nonconformity was made and ending on 

the specified completion date for the 

affected goal or action step. 

* * * * * 

(iii) The withholding of funds 

commensurate with the level of 

nonconformity at the end of the program 

improvement plan will begin at the 

latest completion date specified in the 

program improvement plan and will 

continue until a subsequent full review 

determines the title IV–E agency to be 

in substantial conformity or the title IV– 

E agency successfully completes a 

program improvement plan developed 

as a result of that subsequent full 

review. 

(3) When the date the title IV–E 

agency is determined to be in 

substantial conformity or to have 

successfully completed a program 

improvement plan falls within a specific 

quarter, the amount of funds to be 

withheld will be computed to the end 

of that quarter. 

(4) A title IV–E agency that refuses to 

participate in the development or 

implementation of a program 

improvement plan, as required by ACF, 

will be subject to the maximum 

increased withholding of 42 percent of 

its title IV–B and title IV–E funds, as 

described in paragraph (b)(8) of this 

section, for each year or portion thereof 

to which the withholding of funds 

applies. 

(5) The title IV–E agency will be liable 

for interest on the amount of funds 

withheld by the Department, in 

accordance with the provisions of 45 

CFR 30.18. 

■ 11. Revise § 1355.37 to read as 

follows: 

§ 1355.37 Opportunity for public 

inspection of review reports and materials. 

The title IV–E agency must make 

available for public review and 

inspection all statewide or Tribal 

assessments (§ 1355.33(b)), report of 

findings (§ 1355.33(e)), and program 

improvement plans (§ 1355.35(a)) 

developed as a result of a full or partial 

child and family services review. 

■ 12. In § 1355.38 revise paragraphs 

(a)(2) introductory text, (a)(2)(iii), (a)(3), 

(b)(1), (b)(3), (b)(4), the heading of (c), 

(c)(1) and (3), (e), (f), (g)(1)(i) and (ii), 

(g)(2) through (g)(5), the first and third 

sentences of (h)(1), (h)(1)(i) through (iii), 

and (h)(2) through (4) to read as follows: 

§ 1355.38 Enforcement of section 

471(a)(18) of the Act regarding the removal 

of barriers to interethnic adoption. 

(a) * * * 

(2) Based on the findings of the OCR 

investigation, ACF will determine if a 

violation of section 471(a)(18) has 

occurred. A section 471(a)(18) violation 

occurs if a title IV–E agency or an entity 

in the State/Tribe: 

* * * * * 

(iii) With respect to a title IV–E 

agency, maintains any statute, 

regulation, policy, procedure, or 

practice that on its face, is a violation as 

defined in paragraphs (a)(2)(i) and (2)(ii) 

of this section. 

(3) ACF will provide the title IV–E 

agency or entity with written 

notification of its determination. 

* * * * * 

(b) * * * 

(1) A title IV–E agency or entity found 

to be in violation of section 471(a)(18) 

of the Act with respect to a person, as 

described in paragraphs (a)(2)(i) and 

(a)(2)(ii) of this section, will be 

penalized in accordance with paragraph 

(g)(2) of this section. A title IV–E agency 

or entity determined to be in violation 

of section 471(a)(18) of the Act as a 

result of a court finding will be 

penalized in accordance with paragraph 

(g)(4) of this section. The title IV–E 

agency may develop, obtain approval of, 

and implement a plan of corrective 

action any time after it receives written 

notification from ACF that it is in 

violation of section 471(a)(18) of the 

Act. 

* * * * * 

(3) If the corrective action plan does 

not meet the provisions of paragraph (d) 

of this section, the title IV–E agency 

must revise and resubmit the plan for 

approval until it has an approved plan. 

(4) A title IV–E agency or entity found 

to be in violation of section 471(a)(18) 

of the Act by a court must notify ACF 

within 30 days from the date of entry of 

the final judgment once all appeals have 

been exhausted, declined, or the appeal 

period has expired. 

(c) Corrective action for violations 

resulting from a title IV–E agency’s 

statute, regulation, policy, procedure, or 

practice. (1) A title IV–E agency found 

to have committed a violation of the 

type described in paragraph (a)(2)(iii) of 

this section must develop and submit a 

corrective action plan within 30 days of 

receiving written notification from ACF 

that it is in violation of section 

471(a)(18). Once the plan is approved 

the title IV–E agency will have to 

complete the corrective action and come 

into compliance. If the title IV–E agency 

fails to complete the corrective action 

plan within six months and come into 

compliance, a penalty will be imposed 

in accordance with paragraph (g)(3) of 

this section. 

* * * * * 

(3) If the corrective action plan does 

not meet the provisions of paragraph (d) 

of this section, the title IV–E agency 

must revise and resubmit the plan 

within 30 days from the date it receives 

a written notice from ACF that the plan 

has not been approved. If the title IV– 

E agency does not submit a revised 

corrective action plan according to the 

provisions of paragraph (d) of this 

section, withholding of funds pursuant 

to the provisions of paragraph (g) of this 

section will apply. 

* * * * * 

(e) Evaluation of corrective action 

plan. ACF will evaluate corrective 

action plans and notify the title IV–E 

agency (in writing) of its success or 

failure to complete the plan within 30 

calendar days. If the title IV–E agency 

has failed to complete the corrective 

action plan, ACF will calculate the 

amount of reduction in the title IV–E 

agency’s title IV–E payment and include 

this information in the written 

notification of failure to complete the 

plan. 

(f) Funds to be withheld. The term 

‘‘title IV–E funds’’ refers to the amount 


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of Federal funds advanced or paid to the 

title IV–E agency for allowable costs 

incurred by a title IV–E agency for: 

foster care maintenance payments, 

adoption assistance payments, 

administrative costs, and training costs 

under title IV–E and includes the title 

IV–E agency’s allotment for the Chafee 

Foster Care Independence Program 

under section 477 of the Act. 

(g) * * * 

(1) * * * 

(i) A determination that a title IV–E 

agency or entity is in violation of 

section 471(a)(18) of the Act with 

respect to a person as described in 

paragraphs (a)(2)(i) and (a)(2)(ii) of this 

section, or: 

(ii) After a title IV–E agency’s failure 

to implement and complete a corrective 

action plan and come into compliance 

as described in paragraph (c) of this 

section. 

(2) Once ACF notifies a title IV–E 

agency (in writing) that it has 

committed a section 471(a)(18) violation 

with respect to a person, the title IV–E 

agency’s title IV–E funds will be 

reduced for the fiscal quarter in which 

the title IV–E agency received written 

notification and for each succeeding 

quarter within that fiscal year or until 

the title IV–E agency completes a 

corrective action plan and comes into 

compliance, whichever is earlier. Once 

ACF notifies an entity (in writing) that 

it has committed a section 471(a)(18) 

violation with respect to a person, the 

entity must remit to the Secretary all 

title IV–E funds paid to it by the title 

IV–E agency during the quarter in which 

the entity is notified of the violation. 

(3) For title IV–E agencies that fail to 

complete a corrective action plan within 

6 months, title IV–E funds will be 

reduced by ACF for the fiscal quarter in 

which the title IV–E agency received 

notification of its violation. The 

reduction will continue for each 

succeeding quarter within that fiscal 

year or until the title IV–E agency 

completes the corrective action plan and 

comes into compliance, whichever is 

earlier. 

(4) If, as a result of a court finding, a 

title IV–E agency or entity is determined 

to be in violation of section 471(a)(18) 

of the Act, ACF will assess a penalty 

without further investigation. Once the 

title IV–E agency is notified (in writing) 

of the violation, its title IV–E funds will 

be reduced for the fiscal quarter in 

which the court finding was made and 

for each succeeding quarter within that 

fiscal year or until the title IV–E agency 

completes a corrective action plan and 

comes into compliance, whichever is 

sooner. Once an entity is notified (in 

writing) of the violation, the entity must 

remit to the Secretary all title IV–E 

funds paid to it by the title IV–E agency 

during the quarter in which the court 

finding was made. 

(5) The maximum number of quarters 

that a title IV–E agency will have its title 

IV–E funds reduced due to a finding of 

a title IV–E agency’s failure to conform 

to section 471(a)(18) of the Act is 

limited to the number of quarters within 

the fiscal year in which a determination 

of nonconformity was made. However, 

an uncorrected violation may result in 

a subsequent review, another finding, 

and additional penalties. 

* * * * * 

(h) * * * 

(1) Title IV–E agencies that violate 

section 471(a)(18) with respect to a 

person or fail to implement or complete 

a corrective action plan as described in 

paragraph (c) of this section will be 

subject to a penalty. * * * Penalties 

will be levied for the quarter of the 

fiscal year in which the title IV–E 

agency is notified of its section 

471(a)(18) violation, and for each 

succeeding quarter within that fiscal 

year until the title IV–E agency comes 

into compliance with section 471(a)(18). 

* * * 

(i) 2 percent of the title IV–E agency’s 

title IV–E funds for the fiscal year 

quarter, as defined in paragraph (f) of 

this section, for the first finding of 

noncompliance in that fiscal year; 

(ii) 3 percent of the title IV–E agency’s 

title IV–E funds for the fiscal year 

quarter, as defined in paragraph (f) of 

this section, for the second finding of 

noncompliance in that fiscal year; 

(iii) 5 percent of the title IV–E 

agency’s title IV–E funds for the fiscal 

year quarter, as defined in paragraph (f) 

of this section, for the third or 

subsequent finding of noncompliance in 

that fiscal year. 

(2) Any entity (other than the title IV– 

E agency) which violates section 

471(a)(18) of the Act during a fiscal 

quarter must remit to the Secretary all 

title IV–E funds paid to it by the title 

IV–E agency in accordance with the 

procedures in paragraphs (g)(2) or (g)(4) 

of this section. 

(3) No fiscal year payment to a title 

IV–E agency will be reduced by more 

than 5 percent of its title IV–E funds, as 

defined in paragraph (f) of this section, 

where the title IV–E agency has been 

determined to be out of compliance 

with section 471(a)(18) of the Act. 

(4) The title IV–E agency or an entity, 

as applicable, will be liable for interest 

on the amount of funds reduced by the 

Department, in accordance with the 

provisions of 45 CFR 30.18. 

(This requirement has been approved 

by the Office of Management and 

Budget under OMB Control Number 

0970–0214. In accordance with the 

Paperwork Reduction Act of 1995, an 

agency may not conduct or sponsor, and 

a person is not required to respond to, 

a collection of information unless it 

displays a currently valid OMB control 

number.) 

■ 13. In § 1355.39 revise the 

introductory text, paragraph (b), and 

paragraph (c) to read as follows: 

§ 1355.39 Administrative and judicial 

review. 

A title IV–E agency determined not to 

be in substantial conformity with titles 

IV–B and IV–E plan requirements, or a 

title IV–E agency or an entity in 

violation of section 471(a)(18) of the 

Act: 

* * * * * 

(b) Will have the opportunity to 

obtain judicial review of an adverse 

decision of the Departmental Appeals 

Board within 60 days after the title IV– 

E agency or entity receives notice of the 

decision by the Board. Appeals of 

adverse Department Appeals Board 

decisions must be made to the district 

court of the United States for the 

judicial district in which the principal 

or headquarters office of the agency 

responsible for administering the 

program is located. 

(c) The procedure described in 

paragraphs (a) and (b) of this section 

will not apply to a finding that a title 

IV–E agency or an entity has been 

determined to be in violation of section 

471(a)(18) which is based on a judicial 

decision. 

■ 14. In § 1355.40 revise the first 

sentence of paragraph (a)(1), remove the 

second sentence of paragraph (a)(1), 

revise paragraph (a)(2), the first and 

fourth sentences of (a)(3), add a 

sentence to the end of paragraph (a)(3), 

revise the first sentence of (b)(1), revise 

the last sentence of (b)(2), revise 

paragraphs (b)(3), (b)(4), and (c)(2), 

remove paragraph (c)(3), revise 

paragraph (d) and (e) and add a 

parenthetical OMB information 

collection statement at the end of the 

section to read as follows: 

§ 1355.40 Foster care and adoption data 

collection. 

(a) * * * 

(1) Each title IV–E agency which 

administers or supervises the 

administration of titles IV–B and IV–E 

must implement a system to collect 

data. * * * 

(2) For the purposes of foster care 

reporting, each data transmission must 

include all children in foster care for 

whom the title IV–E agency has 

responsibility for placement, care, or 


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supervision. This includes American 

Indian children covered under the 

assurances in section 422(b)(8) of the 

Act on the same basis as any other 

child. For children in care less than 30 

days, only a core set of information will 

be required, as noted in Appendix A to 

this part. For children who enter foster 

care prior to October 1, 1995 and who 

are still in the system, core data 

elements will be required; in addition, 

the title IV–E agency also will be 

required to report on the most recent 

case plan goal affecting those children. 

For children in out-of-State placement, 

the State placing the child and making 

the foster care payment submits and 

continually updates the data. For 

children in the Tribal title IV–E agency’s 

placement and care responsibility who 

are placed outside of the Tribal service 

area, the Indian Tribe placing the child 

and making foster care payments 

submits and continually updates the 

data for each such child. 

(3) For the purposes of adoption 

reporting, data are required to be 

transmitted by the title IV–E agency on 

all adopted children who were placed 

by the title IV–E agency, and on all 

adopted children for whom the agency 

is providing adoption assistance (either 

ongoing or for nonrecurring expenses), 

care or services directly or by contract 

or agreement with other private or 

public agencies. * * * For a child 

adopted out-of-State, the title IV–E 

agency which placed the child submits 

the data. Similarly, the Tribal title IV– 

E agency which placed the child outside 

of the Tribal service area for adoption 

submits the data. 

(b) * * * 

(1) The title IV–E agency shall 

transmit semi-annually, within 45 days 

of the end of the reporting period (i.e., 

by May 15 and November 14), 

information on each child in foster care 

and each child adopted during the 

reporting period. * * * 

(2) * * * Entry of this date 

constitutes title IV–E agency 

certification that the data on the child 

have been reviewed and are current. 

(3) Adoption data are to be reported 

during the reporting period in which the 

adoption is legalized or, at the title IV– 

E agency’s option, in the following 

reporting period if the adoption is 

legalized within the last 60 days of the 

reporting period. For a semi-annual 

period in which no adoptions have been 

legalized, the title IV–E agency must 

report such an occurrence. 

(4) A summary file of the semi-annual 

data transmission must be submitted 

and will be used to verify the 

completeness of the title IV–E agency’s 

detailed submission for the reporting 

period. 

* * * * * 

(c) * * * 

(2) Substantial noncompliance occurs 

when missing data exceed 10 percent 

for any one data element. 

(d) Timeliness of foster care data 

reports. Ninety percent of the subject 

transactions must have been entered 

into the system within 60 days of the 

event (removal from home or discharge 

from foster care) or the title IV–E agency 

will be found in substantial 

noncompliance. 

(e) Substantial Noncompliance. 

Failure by a title IV–E agency to meet 

any of the standards described in 

paragraphs (a) through (d) of this section 

is considered a substantial failure to 

meet the requirements of the title IV–E 

plan. 

(This requirement has been approved 

by the Office of Management and 

Budget under OMB Control Number 

0980–0267. In accordance with the 

Paperwork Reduction Act of 1995, an 

agency may not conduct or sponsor, and 

a person is not required to respond to, 

a collection of information unless it 

displays a currently valid OMB control 

number.) 

■ 15. Revise § 1355.50 to read as 

follows: 

§ 1355.50 Purpose of this part. 

This part sets forth the requirements 

and procedures title IV–E agencies must 

meet in order to receive Federal 

financial participation for the planning, 

design, development, installation and 

operation of statewide or Tribal 

automated child welfare information 

systems authorized under section 

474(a)(3)(c) of the Act. 

■ 16. In § 1355.52 revise the section 

heading and paragraphs (a) and (b) to 

read as follows: 

§ 1355.52 Funding authority for statewide 

or Tribal automated child welfare 

information systems (SACWIS/TACWIS). 

(a) Title IV–E agencies may receive 

Federal reimbursement at the 50 percent 

level for expenditures related to the 

planning, design, development and 

installation of a statewide or Tribal 

automated child welfare information 

system, to the extent such system: 

(1) Provides for the title IV–E agency 

to collect and electronically report 

certain data required by section 479(b) 

of the Act and § 1355.40 of this part; 

(2) To the extent practicable, provides 

for an interface with the data collection 

system for child abuse and neglect; 

(3) To the extent practicable, provides 

for an interface with and retrieval of 

information from the State or Tribal 

automated information system that 

collects information relating to the 

eligibility of individuals under title IV– 

A of the Act; and 

(4) Provides for more efficient, 

economical and effective administration 

of the programs carried out under a plan 

approved under title IV–B and title 

IV–E. 

(b) Title IV–E agencies may also be 

reimbursed for the full amount of 

expenditures for the hardware 

components for such systems at the rate 

provided under paragraph (a) of this 

section. 

* * * * * 

■ 17. In § 1355.53 revise paragraph (a), 

paragraph (b)(2) introductory text, 

paragraph (b)(3), paragraph (e), 

paragraph (f) and paragraph (g) to read 

as follows: 

§ 1355.53 Conditions for approval of 

funding. 

(a) As a condition of funding, the 

SACWIS or TACWIS must be designed, 

developed (or an existing system 

enhanced), and installed in accordance 

with an approved advance planning 

document (APD). The APD must 

provide for a design which, when 

implemented, will produce a 

comprehensive system, which is 

effective and efficient, to improve the 

program management and 

administration of the plans for titles IV– 

B and IV–E as provided under this 

section. 

(b) * * * 

(2) Provide, for electronic exchanges 

and referrals, as appropriate, with the 

following systems within the State or 

Tribe, unless the title IV–E agency 

demonstrates that such interface or 

integration would not be practicable 

because of systems limitations or cost 

constraints: 

* * * * * 

(3) Support the provisions of section 

422(a) by providing for the automated 

collection, maintenance, management 

and reporting of information on all 

children in foster care under the 

responsibility of the title IV–E agency, 

including statewide data (or in the case 

of a Tribal title IV–E agency, service 

area data) from which the demographic 

characteristics, location, and goals for 

foster care children can be determined; 

* * * * * 

(e) If the cost benefit analysis 

submitted as part of the APD indicates 

that adherence to paragraphs (c) and (d) 

of this section would not be cost 

beneficial, final approval of the APD 

may be withheld until resolution is 

reached on the level of automation 


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934 Federal Register / Vol. 77, No. 4 / Friday, January 6, 2012 / Rules and Regulations 

appropriate to meet the title IV–E 

agency’s needs. 

(f) A Statewide or Tribal automated 

child welfare information system may 

be designed, developed and installed on 

a phased basis, in order to allow title 

IV–E agencies to implement AFCARS 

requirements expeditiously, in 

accordance with section 479(b) of the 

Act, as long as the approved APD 

includes the title IV–E agency’s plan for 

full implementation of a comprehensive 

system which meets all functional and 

data requirements as specified in 

paragraphs (a) and (b) of this section, 

and a system design which will support 

these enhancements on a phased basis. 

(g) The system must perform Quality 

Assurance functions to provide for the 

review of case files for accuracy, 

completeness and compliance with 

Federal requirements, State standards 

and where applicable, Tribal standards. 

■ 18. Revise § 1355.54 to read as 

follows: 

§ 1355.54 Submittal of advance planning 

documents. 

The title IV–E agency must submit an 

APD for a statewide automated child 

welfare information system, signed by 

the appropriate official, in accordance 

with procedures specified by 45 CFR 

part 95, subpart F. 

■ 19. In § 1355.55 revise paragraph (a) 

introductory text and add a 

parenthetical OMB information 

collection statement at the end of the 

section to read as follows: 

§ 1355.55 Review and assessment of the 

system developed with enhanced funds. 

(a) ACF will, on a continuing basis, 

review, assess and inspect the planning, 

design, development, installation and 

operation of the SACWIS or TACWIS to 

determine the extent to which such 

systems: 

* * * * * 

(This requirement has been approved 

by the Office of Management and 

Budget under OMB Control Number 

0970–0007. In accordance with the 

Paperwork Reduction Act of 1995, an 

agency may not conduct or sponsor, and 

a person is not required to respond to, 

a collection of information unless it 

displays a currently valid OMB control 

number.) 

■ 20. In § 1355.56 revise paragraph (a), 

the introductory text of paragraph (b)(1), 

paragraphs (b)(1)(iv), (b)(2), and (b)(4) to 

read as follows: 

§ 1355.56 Failure to meet the conditions of 

the approved APD. 

(a) If ACF finds that the title IV–E 

agency fails to meet any of the 

conditions cited in § 1355.53, or to 

substantially comply with the criteria, 

requirements and other undertakings 

prescribed by the approved APD, 

approval of the APD may be suspended. 

(b) * * * 

(1) The title IV–E agency will be given 

written notice of the suspension. This 

notice shall state: 

* * * * * 

(iv) The actions required by the title 

IV–E agency for future enhanced 

funding. 

(2) The suspension will be effective as 

of the date the title IV–E agency failed 

to comply with the approved APD; 

* * * * * 

(4) Should a title IV–E agency cease 

development of an approved system, 

either by voluntary withdrawal or as a 

result of Federal suspension, all Federal 

incentive funds invested to date that 

exceed the normal administrative FFP 

rate (50 percent) will be subject to 

recoupment. 

■ 21. Revise § 1355.57 to read as 

follows: 

§ 1355.57 Cost allocation. 

(a) All expenditures of a title IV–E 

agency to plan, design, develop, install, 

and operate the data collection and 

information retrieval system described 

in § 1355.53 of this part shall be treated 

as necessary for the proper and efficient 

administration of the title IV–E plan, 

without regard to whether the system 

may be used with respect to foster or 

adoptive children other than those on 

behalf of whom foster care maintenance 

payments or adoption assistance 

payments may be made under the title 

IV–E plan. 

(b) Cost allocation and distribution for 

the planning, design, development, 

installation and operation must be in 

accordance with § 95.631 of this title 

and section 474(c) of the Act, if the 

SACWIS or TACWIS includes functions, 

processing, information collection and 

management, equipment or services that 

are not directly related to the 

administration of the programs carried 

out under the plan approved under title 

IV–B or IV–E. 

■ 22. Remove Appendix F and revise 

Appendices A through E to part 1355 to 

read as follows: 

Appendix A to Part 1355—Foster Care 

Data Elements 

Section I—Foster Care Data Elements 

Data elements preceded by ‘‘**’’ are the 

only data elements required for children who 

have been in care less than 30 days. For 

children who entered care prior to October 1, 

1995, data elements preceded by either ‘‘**’’ 

and ‘‘***’’ are the only data elements 

required. This means that, for these two 

categories of children, these are the only data 

elements to which the missing data standard 

will be applied. 

I. General Information 

**A. Title IV–E agency lllllllll

**B. Report date ll (mo.) ll (yr.) 

**C. Local Agency (County or Equivalent 

Jurisdiction) lllllllllllllll

**D. Record Number llllllllll

**E. Date of Most Recent Periodic Review 

(if Applicable) ll (mo.) ll (day) ll (yr.) 

II. Child’s Demographic Information 

**A. Date of Birth ll (mo.) ll (day) 

ll (yr.) 

**B. Sex ll 

Male: 1 

Female: 2 

C. Race/Ethnicity 

a. American Indian or Alaska Native 

b. Asian 

c. Black or African American 

d. Native Hawaiian or Other Pacific 

Islander 

e. White 

f. Unable to Determine 

Yes: 1 

No: 2 

Unable to Determine: 3 

D. Has this child been clinically diagnosed 

as having a disability(ies)? ll 

Yes: 1 

No: 2 

Not Yet Determined: 3 

1. If yes, indicate each type of disability 

with a ‘‘1’’ 

Mental Retardation ll 

Visually or Hearing Impaired ll 

Physically Disabled ll 

Emotionally Disturbed (DSM III) 

Other Medically Diagnosed Condition 

Requiring Special Care ll 

E. 1. Has this child ever been adopted? 

ll 

Yes: 1 

No: 2 

Unable to Determine: 3 

2. If yes, how old was the child when the 

adoption was legalized? ll 

Less than 2 years old: 1 

2 to 5 years old: 2 

6 to 12 years old: 3 

13 years or older: 4 

Unable to determine: 5 

III. Removal/Placement Setting Indicators 

A. Removal Episodes 

Date of First Removal From Home ll 

(mo.) ll (day) ll (yr.) 

Total Number of Removals From Home to 

Date ll 

Date Child was Discharged From Last 

Foster Care Episode (if Applicable) ll (mo.) 

ll (day) ll (yr.) 

**; Date of Latest Removal From Home 

ll (mo.) ll (day) ll (yr.) 

**Transaction Date ll (mo.) ll (day) 

ll (yr.) 

B. Placement Settings 

Date of Placement in Current Foster Care 

Setting ll (mo.) ll (day) ll (yr.) 

Number of Previous Placement Settings 

During This Removal Episode ll 

IV. Circumstances of Removal 

A. Manner of Removal From Home for 

Current Placement Episode ll 

Voluntary: 1 


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Court Ordered: 2 

Not Yet Determined: 3 

B. Actions or Conditions Associated With 

Child’s Removal: (Indicate all that apply with 

a ‘‘1’’) 

Physical Abuse (Alleged/Reported) lll

Sexual Abuse (Alleged/Reported) llll

Neglect (Alleged/Reported) lllllll

Alcohol Abuse (Parent) lllllllll

Drug Abuse (Parent) llllllllll

Alcohol Abuse (Child) lllllllll

Drug Abuse (Child) llllllllll

Child’s Disability lllllllllll

Child’s Behavior Problem lllllll

Death of Parent(s) lllllllllll

Incarceration of Parent(s) llllllll

Caretaker’s Inability to Cope Due to Illness 

or Other Reasons llllllllllll

Abandonment lllllllllllll

Relinquishment llllllllllll

Inadequate Housing llllllllll

**V. Current Placement Setting llllll

**A. Pre-Adoptive Home: 1 

Foster Family Home (Relative): 2 

Foster Family Home (Non-Relative): 3 

Group Home: 4 

Institution: 5 

Supervised Independent Living: 6 

Runaway: 7 

Tribal Home Visit: 8 

**B. Is Current Placement Out-of-State/ 

Tribal service area? lllllllllll

Yes (Out-of-State/Tribal service area 

Placement): 1 

No (In State/Tribal service area Placement): 

2*** 

VI. Most Recent Case Plan Goal llllll

Reunify With Parent(s) or Principal 

Caretaker(s): 1 

Live With Other Relative(s): 2 

Adoption: 3 

Long Term Foster Care: 4 

Emancipation: 5 

Guardianship: 6 

Case Plan Goal Not Yet Established: 7 

VII. Principal Caretaker(s) Information 

A. Caretaker Family Structure llllll

Married Couple: 1 

Unmarried Couple: 2 

Single Female: 3 

Single Male: 4 

Unable to Determine: 5 

B. Year of Birth 

1st Principal Caretaker lllllllll

2nd Principal Caretaker (If Applicable) l

VIII. Parental Rights Termination (If 

Applicable) 

A. Mother ll (mo.) ll (day) ll (yr.) 

B. Legal or Putative Father ll (mo.) ll 

(day) ll (yr.) 

IX. Foster Family Home—Parent(s) Data (To 

be answered only if Section V., Part A. 

CURRENT PLACEMENT SETTING is 1, 2 or 

3) 

A. Foster Family Structure lllllll

Married Couple: 1 

Unmarried Couple: 2 

Single Female: 3 

Single Male: 4 

B. Year of Birth 

1st Foster Caretaker llllllllll

2nd Foster Caretaker (If Applicable) lll

C. Race/Ethnicity 

1. Race of 1st Foster Caretaker 

a. American Indian or Alaska Native 

b. Asian 

c. Black or African American 

d. Native Hawaiian or Other Pacific 

Islander 

e. White 

f. Unable to Determine 

2. Hispanic or Latino Ethnicity of 1st 

Foster Caretaker ll 

Yes: 1 

No: 2 

Unable to Determine: 3 

3. Race of 2nd Foster Caretaker (If 

Applicable) 

a. American Indian or Alaska Native 

b. Asian 

c. Black or African American 

d. Native Hawaiian or Other Pacific 

Islander 

e. White 

f. Unable to Determine 

4. Hispanic or Latino Ethnicity of 2nd 

Foster Caretaker (If Applicable) 

Yes: 1 

No: 2 

Unable to Determine: 3 

X. Outcome Information 

**A. Date of Discharge From Foster Care 

ll (mo.) ll (day)ll (yr.) 

**Transaction Date ll (mo.) ll (day) 

ll (yr.) 

**B. Reason for Discharge lllllll

Reunification With Parents or Primary 

Caretakers: 1 

Living with Other Relative(s): 2 

Adoption: 3 

Emancipation: 4 

Guardianship: 5 

Transfer to Another Agency: 6 

Runaway: 7 

Death of Child: 8 

XI. Source(s) of Federal Financial Support/ 

Assistance for Child (Indicate all that apply 

with a ‘‘1’’) 

Title IV–E (Foster Care) llllllll

Title IV–E (Adoption Assistance) llll

Title IV–A (Aid to Families with Dependent Children) llllllllllllll

Title IV–D (Child Support) lllllll

Title XIX (Medicaid) llllllllll

SSI or Other Social Security Act Benefits 

None of the Above lllllllllll

XII. Amount of the monthly foster care 

payment (regardless of sources). ll 

Section II—Definitions of and Instructions 

for Foster Care Data Elements 

Reporting population. The population to be 

included in this reporting system includes all 

children in foster care under the 

responsibility of the title IV–E agency 

administering or supervising the 

administration of the title IV–B Child and 

Family Services plan and the title IV–E plan; 

that is, all children who are required to be 

provided the assurances of section 422(b)(8) 

of the Social Security Act. 

This population includes all children 

supervised by or under the responsibility of 

another public agency with which the title 

IV–E agency has an agreement under title IV– 

E and on whose behalf the title IV–E agency 

makes title IV–E foster care maintenance 

payments. 

Foster care is defined as 24 hour substitute 

care for children outside their own home. 

The reporting system includes all children 

who have or had been in foster care at least 

24 hours. The foster care settings include, but 

are not limited to: 

—Family foster homes 

—Relative foster homes (whether payments 

are made or not) 

—Group homes 

—Emergency shelters 

—Residential facilities 

—Child care institutions 

—Pre-adoptive homes 

Foster care does not include children who 

are in their own homes under the 

responsibility of the title IV–E agency. 

However, children who are at home on a trial 

basis may be included even though they are 

not considered to be in foster care. If they are 

included, element number V. CURRENT 

PLACEMENT SETTING must be given the 

value of ‘‘8’’. 

I. General Information 

A. Title IV–E agency**—for a State, the 

U.S. Postal Service two letter abbreviation for 

the State submitting the report. For a Tribal 

title IV–E agency, the abbreviation provided 

by ACF. 

B. Report Date**—the last month and year 

for the reporting period. 

C. Local Agency**— Identity of the county 

or equivalent unit which has responsibility 

for the case. The 5 digit Federal Information 

Processing Standard (FIPS) must be used or 

other ACF-provided code. 

D. Record Number**—The sequential 

number which the title IV–E agency uses to 

transmit data to the Department of Health 

and Human Services (DHHS) or a unique 

number which follows the child as long as 

he or she is in foster care. The record number 

cannot be linked to the child’s case I.D. 

number except at the title IV–E agency level. 

E. Date of Most Recent Periodic Review (if 

applicable)—For children who have been in 

care for seven months or longer, enter the 

month, day and year of the most recent 

administrative or court review, including 

dispositional hearing. For children who have 

been in care less than seven months, leave 

the field blank. An entry in this field certifies 

that the child’s computer record is current up 

to this date. 

II. Child’s Demographic Information 

A. Date of Birth**—Month, day and year 

of the child’s birth. If the child is abandoned 

or the date of birth is otherwise unknown, 

enter an approximate date of birth. Use the 

15th as the day of birth. 

B. Sex**—Indicate as appropriate. 

C. Race/Ethnicity** 

1. Race—In general, a person’s race is 

determined by how they define themselves or 

by how others define them. In the case of 

young children, parents determine the race of 

the child. Indicate all races (a through e) that 

apply with a ‘‘1.’’ For those that do not apply, 

indicate a ‘‘0.’’ Indicate ‘‘f. Unable to 

Determine’’ with a ‘‘1’’ if it applies and a ‘‘0’’ 

if it does not. 

American Indian or Alaska Native—A 

person having origins in any of the original 

peoples of North or South America 


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(including Central America), and who 

maintains tribal affiliation or community 

attachment. 

Asian—A person having 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. 

Black or African American—A person 

having origins in any of the black racial 

groups of Africa. 

Native Hawaiian or Other Pacific 

Islander—A person having origins in any of 

the original peoples of Hawaii, Guam, Samoa, 

or other Pacific Islands. 

White—A person having origins in any of 

the original peoples of Europe, the Middle 

East, or North Africa. 

Unable to Determine—The specific race 

category is ‘‘unable to determine’’ because 

the child is very young or is severely 

disabled and no person is available to 

identify the child’s race. ‘‘Unable to 

determine’’ is also used if the parent, relative 

or guardian is unwilling to identify the 

child’s race. 

2. Hispanic or Latino Ethnicity—Answer 

‘‘yes’’ if the child is of Mexican, Puerto 

Rican, Cuban, Central or South American 

origin, or a person of other Spanish cultural 

origin regardless of race. Whether or not a 

person is Hispanic or Latino is determined by 

how they define themselves or by how others 

define them. In the case of young children, 

parents determine the ethnicity of the child. 

‘‘Unable to Determine’’ is used because the 

child is very young or is severely disabled 

and no person is available to determine 

whether or not the child is Hispanic or 

Latino. ‘‘Unable to determine’’ is also used if 

the parent, relative or guardian is unwilling 

to identify the child’s ethnicity. 

D. Has the child been clinically diagnosed 

as having a disability(ies)? ‘‘Yes’’ indicates 

that a qualified professional has clinically 

diagnosed the child as having at least one of 

the disabilities listed below. ‘‘No’’ indicates 

that a qualified professional has conducted a 

clinical assessment of the child and has 

determined that the child has no disabilities. 

‘‘Not Yet Determined’’ indicates that a 

clinical assessment of the child by a qualified 

professional has not been conducted. 

1. Indicate Each Type of Disability With a 

‘‘1’’ 

Mental Retardation—Significantly 

subaverage general cognitive and motor 

functioning existing concurrently with 

deficits in adaptive behavior manifested 

during the development period that 

adversely affect a child’s/youth’s 

socialization and learning. 

Visually or Hearing Impaired—Having a 

visual impairment that may significantly 

affect educational performance or 

development; or a hearing impairment, 

whether permanent or fluctuating, that 

adversely affects educational performance. 

Emotionally Disturbed (DSM III)—A 

condition exhibiting one or more of the 

following characteristics over a long period 

of time and to a marked degree: An inability 

to build or maintain satisfactory 

interpersonal relationships; inappropriate 

types of behavior or feelings under normal 

circumstances; a general pervasive mood of 

unhappiness or depression; or a tendency to 

develop physical symptoms or fears 

associated with personal problems. The term 

includes persons who are schizophrenic or 

autistic. The term does not include persons 

who are socially maladjusted, unless it is 

determined that they are also seriously 

emotionally disturbed. The diagnosis is 

based on the Diagnostic and Statistical 

Manual of Mental Disorders (Third Edition) 

(DSM III) or the most recent edition. 

Other Medically Diagnosed Conditions 

Requiring Special Care—Conditions other 

than those noted above which require special 

medical care such as chronic illnesses. 

Included are children diagnosed as HIV 

positive or with AIDS. 

E.1. Has this child ever been adopted? If 

this child has ever been legally adopted, 

enter ‘‘yes.’’ If the child has never been 

legally adopted, enter ‘‘no’’. Enter ‘‘Unable to 

Determine’’ if the child has been abandoned 

or the child’s parent(s) are otherwise not 

available to provide the information. 

2. If yes, how old was the child when the 

adoption was legalized? Enter the number 

which represents the appropriate age range. 

If uncertain, use an estimate. If no one is 

available to provide the information, enter 

‘‘Unable to Determine.’’ 

III. Removal/Placement Setting Indicators 

A. Removal Episodes—The removal of the 

child from his/her normal place of residence 

resulting in his/her placement in a foster care 

setting. 

Date of First Removal From Home—Month, 

day and year the child was removed from 

home for the first time for purpose of 

placement in a foster care setting. If the 

current 1 removal is the first removal, enter 

the date of the current removal.1For children 

who have exited foster care, ‘‘current’’ refers 

to the most recent removal episode and the 

most recent placement setting. 

Total Number of Removals from Home to 

Date—The number of times the child was 

removed from home, including the current 

removal. 

Date Child was Discharged From Last 

Foster Care Episode (If Applicable)—For 

children with prior removals, enter the 

month, day and year they were discharged 

from care for the episode immediately prior 

to the current episode. For children with no 

prior removals, leave blank. 

Date of Latest Removal From Home**— 

Month, day and year the child was last 

removed from his/her home for the purpose 

of being place in foster care. This would be 

the date for the current episode or, if the 

child has existed foster care, the date of 

removal for the most recent removal. 

Transaction Date**—A computer 

generated date which accurately indicates the 

month, day and year the response to ‘‘Date 

of Latest Removal From Home’’ was entered 

into the information system. 

B. Placement Settings. 

Date of Placement in Current Foster Care 

Setting—Month, day and year the child 

moved into the current foster home, facility, 

residence, shelter, institution, etc. for 

purposes of continued foster care. 

Number of Previous Placement Settings 

During This Removal Episode—Enter the 

number of places the child has lived, 

including the current setting, during the 

current removal episode. Do not include trial 

home visits as a placement setting. 

IV. Circumstances of Removal 

A. Manner of Removal From Home for 

Current Placement Episode. 

Voluntary Placement Agreement—An 

official voluntary placement agreement has 

been executed between the caretaker and the 

agency. The placement remains voluntary 

even if a subsequent court order is issued to 

continue the child in foster care. 

Court Ordered—The court has issued an 

order which is the basis of the child’s 

removal. 

Not Yet Determined—A voluntary 

placement agreement has not been signed or 

a court order has not been issued. This will 

mostly occur in very short-term cases. When 

either a voluntary placement agreement is 

signed or a court order issued, the record 

should be updated to reflect the manner of 

removal at that time. 

B. Actions or Conditions Associated With 

Child’s Removal (indicate all that apply with 

a ‘‘1’’.) 

Physical Abuse—Alleged or substantiated 

physical abuse, injury or maltreatment of the 

child by a person responsible for the child’s 

welfare. 

Sexual Abuse—Alleged or substantiated 

sexual abuse or exploitation of a child by a 

person who is responsible for the child’s 

welfare. 

Neglect—Alleged or substantiated 

negligent treatment or maltreatment, 

including failure to provide adequate food, 

clothing, shelter or care. 

Alcohol Abuse (Parent)—Principal 

caretaker’s compulsive use of alcohol that is 

not of a temporary nature. 

Drug Abuse (Parent)—Principal caretaker’s 

compulsive use of drugs that is not of a 

temporary nature. 

Alcohol Abuse (Child)—Child’s 

compulsive use of or need for alcohol. This 

element should include infants addicted at 

birth. 

Drug Abuse (Child)—Child’s compulsive 

use of or need for narcotics. This element 

should include infants addicted at birth. 

Child’s Disability—Clinical diagnosis by a 

qualified professional of one or more of the 

following: Mental retardation; emotional 

disturbance; specific learning disability; 

hearing, speech or sight impairment; physical 

disability; or other clinically diagnosed 

handicap. Include only if the disability(ies) 

was at least one of the factors which led to 

the child’s removal. 

Child’s Behavior Problem—Behavior in the 

school and/or community that adversely 

affects socialization, learning, growth, and 

moral development. These may include 

adjudicated or nonadjudicated child behavior 

problems. This would include the child’s 

running away from home or other placement. 

Death of Parent(s)—Family stress or 

inability to care for child due to death of a 

parent or caretaker. 

Incarceration of Parent(s)—Temporary or 

permanent placement of a parent or caretaker 

in jail that adversely affects care for the child. 

Caretaker’s Inability to Cope Due to Illness 

or Other Reasons—Physical or emotional 


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illness or disabling condition adversely 

affecting the caretaker’s ability to care for the 

child. 

Abandonment—Child left alone or with 

others; caretaker did not return or make 

whereabouts known. 

Relinquishment—Parent(s), in writing, 

assigned the physical and legal custody of 

the child to the agency for the purpose of 

having the child adopted. 

Inadequate Housing—Housing facilities 

were substandard, overcrowded, unsafe or 

otherwise inadequate resulting in their not 

being appropriate for the parents and child 

to reside together. Also includes 

homelessness. 

V. Current Placement Setting** 

A. Identify the type of setting in which the 

child currently lives. 

Pre-Adoptive Home—A home in which the 

family intends to adopt the child. The family 

may or may not be receiving a foster care 

payment or an adoption subsidy on behalf of 

the child. 

Foster Family Home (Relative)—A licensed 

or unlicensed home of the child’s relatives 

regarded by the title IV–E agency as a foster 

care living arrangement for the child. 

Foster Family Home (Non-Relative)—A 

licensed foster family home regarded by the 

title IV–E agency as a foster care living 

arrangement. 

Group Home—A licensed or approved 

home providing 24-hour care for children in 

a small group setting that generally has from 

seven to twelve children. 

Institution—A child care facility operated 

by a public or private agency and providing 

24-hour care and/or treatment for children 

who require separation from their own 

homes and group living experience. These 

facilities may include: Child care 

institutions; residential treatment facilities; 

maternity homes; etc. 

Supervised Independent Living—An 

alternative transitional living arrangement 

where the child is under the supervision of 

the agency but without 24 hour adult 

supervision, is receiving financial support 

from the child welfare agency, and is in a 

setting which provides the opportunity for 

increased responsibility for self care. 

Runaway—The child has run away from 

the foster care setting. 

Trial Home Visit—The child has been in a 

foster care placement, but, under title IV–E 

agency supervision, has been returned to the 

principal caretaker for a limited and 

specified period of time. 

B. Is current placement setting outside of 

the State or Tribal service area? 

‘‘Yes’’ indicates that the current placement 

setting is located outside of the State or the 

Tribal service area of the Tribal title IV–E 

agency making the report. 

‘‘No’’ indicates that the child continues to 

reside within the State or the Tribal service 

area of the Tribal title IV–E agency making 

the report. 

Note: Only the title IV–E agency with 

placement and care responsibility for the 

child should include the child in this 

reporting system. 

VI. Most Recent Case Plan Goal*** 

Indicate the most recent case plan goal for 

the child based on the latest review of the 

child’s case plan—whether a court review or 

an administrative review. If the child has 

been in care less than six months, enter the 

goal in the case record as determined by the 

caseworker. 

Reunify With Parents or Principal 

Caretaker(s)—The goal is to keep the child in 

foster care for a limited time to enable the 

agency to work with the family with whom 

the child had been living prior to entering 

foster care in order to reestablish a stable 

family environment. 

Live With Other Relatives—The goal is to 

have the child live permanently with a 

relative or relatives other than the ones from 

whom the child was removed. This could 

include guardianship by a relative(s). 

Adoption—The goal is to facilitate the 

child’s adoption by relatives, foster parents 

or other unrelated individuals. 

Long Term Foster Care—Because of 

specific factors or conditions, it is not 

appropriate or possible to return the child 

home or place her or him for adoption, and 

the goal is to maintain the child in a long 

term foster care placement. 

Emancipation—Because of specific factors 

or conditions, it is not appropriate or 

possible to return the child home, have a 

child live permanently with a relative or 

have the child be adopted; therefore, the goal 

is to maintain the child in a foster care 

setting until the child reaches the age of 

majority. 

Guardianship—The goal is to facilitate the 

child’s placement with an agency or 

unrelated caretaker, with whom he or she 

was not living prior to entering foster care, 

and whom a court of competent jurisdiction 

has designated as legal guardian. 

Case Plan Goal Not Yet Established—No 

case plan goal has yet been established other 

then the care and protection of the child. 

VII. Principal Caretaker(s) Information 

A. Caretaker Family Structure—Select from 

the four alternatives—married couple, 

unmarried couple, single female, single 

male—the category which best describes the 

type of adult caretaker(s) from whom the 

child was removed for the current foster care 

episode. Enter ‘‘Unable to Determine’’ if the 

child has been abandoned or the child’s 

caretakers are otherwise unknown. 

B. Year of Birth—Enter the year of birth for 

up to two caretakers. If the response to data 

element VII. A—Caretaker Family Structure, 

was 1 or 2, enter data for two caretakers. If 

the response was 3 or 4, enter data only for 

the first caretaker. If the exact year of birth 

is unknown, enter an estimated year of birth. 

VIII. Parental Rights Termination 

Enter the month, day and year that the 

court terminated the parental rights. If the 

parents are known to be deceased, enter the 

date of death. 

IX. Family Foster Home—Parent(s) Data 

Provide information only if data element in 

Section V., Part A. CURRENT PLACEMENT 

SETTING is 1, 2, or 3. 

A. Foster Family Structure—Select from 

the four alternatives—married couple, 

unmarried couple, single female, single 

male—the category which best describes the 

nature of the foster parents with whom the 

child is living in the current foster care 

episode. 

B. Year of Birth—Enter the year of birth for 

up to two foster parents. If the response to 

data element IX. A.—Foster Family Structure, 

was 1 or 2, enter data for two caretakers. If 

the response was 3 or 4, enter data only for 

the first caretaker. If the exact year of birth 

is unknown, enter an estimated year of birth. 

C. Race—Indicate the race for each of the 

foster parent(s). See instructions and 

definitions for the race categories under data 

element II.C.1. Use ‘‘f. Unable to Determine’’ 

only when a parent is unwilling to identify 

his or her race. Hispanic or Latino 

Ethnicity—Indicate the ethnicity for each of 

the foster parent(s). See instructions and 

definitions under data element II.C.2. Use ‘‘f. 

Unable to Determine’’ only when a parent is 

unwilling to identify his or her ethnicity. 

X. Outcome Information 

Enter data only for children who have 

exited foster care during the reporting period. 

A. Date of Discharge From Foster Care**— 

Enter the month, day and year the child was 

discharged from foster care. If the child has 

not been discharged from care, leave blank. 

Transaction Date**—A computer 

generated date which accurately indicates the 

month, day and year the response to ‘‘Date 

of Discharge from Foster Care’’ was entered 

into the information system. 

B. Reason for Discharge**. 

Reunification With Parents or Primary 

Caretakers—The child was returned to his or 

her principal caretaker(s)’ home. 

Living With Other Relatives—The child 

went to live with a relative other than the one 

from whose home he or she was removed. 

Adoption—The child was legally adopted. 

Emancipation—The child reached majority 

according to the law by virtue of age, 

marriage, etc. 

Guardianship—Permanent custody of the 

child was awarded to an individual. 

Transfer to Another Agency— 

Responsibility for the care of the child was 

awarded to another agency—either in or 

outside of the State or Tribal service area. 

Runaway—The child ran away from the 

foster care placement. 

Death of Child—The child died while in 

foster care. 

XI. Source(s) of Federal Support/Assistance 

for Child (Indicate All That Apply With a 

‘‘1’’.) 

Title IV–E (Foster Care)—Title IV–E foster 

care maintenance payments are being paid on 

behalf of the child. 

Title IV–E (Adoption Subsidy)—Title IV–E 

adoption subsidy is being paid on behalf of 

the child who is in an adoptive home, but the 

adoption has not been legalized. 

Title IV–A (Aid to Families With 

Dependent Children)—Child is living with 

relative(s) whose source of support is an 

AFDC payment for the child. 

Title IV–D (Child Support)—Child support 

funds are being paid to the State agency on 

behalf of the child by assignment from the 

receiving parent. 

Title XIX (Medicaid)—Child is eligible for 

and may be receiving assistance under title 

XIX. 

SSI or Other Social Security Act Benefits— 

Child is receiving support under title XVI or 


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other Social Security Act titles not included 

in this section. 

None of the Above—Child is receiving 

support only from the title IV–E agency, or 

from some other source (Federal or nonFederal) which is not indicated above. 

XII. Amount of the Monthly Foster Care 

Payment (Regardless of Sources) 

Enter the monthly payment paid on behalf 

of the child regardless of source (i.e., Federal, 

State, county, municipality, tribal, and 

private payments). If title IV–E is paid on 

behalf of the child the amount indicated 

should be the total computable amount. If the 

payment made on behalf of the child is not 

the same each month, indicate the amount of 

the last full monthly payment made during 

the reporting period. If no monthly payment 

has been made during the period, enter all 

zeros. 

Appendix B to Part 1355—Adoption 

Data Elements 

Section I—Adoption Data Elements 

I. General Information 

A. Title IV–E agencyll 

B. Report Date ll(mo.) ll(day) 

ll(yr.) 

C. Record Numberll 

D. Did the Title IV–E Agency Have any 

Involvement in This Adoption? ll 

Yes: 1 

No: 2 

II. Child’s Demographic Information 

A. Date of Birth ll(mo) ll(day) 

ll(yr.) 

B. Sex ll 

Male: 1 

Female: 2 

C. Race/Ethnicity 

1. Race 

a. American Indian or Alaska Native 

b. Asian 

c. Black or African American 

d. Native Hawaiian or Other Pacific 

Islander 

e. White 

f. Unable to Determine 

2. Hispanic or Latino Ethnicityll 

Yes: 1 

No: 2 

Unable to determine: 3 

III. Special Needs Status 

A. Has the title IV–E agency determined 

that this child has special needs? ll 

Yes: 1 

No: 2 

B. If yes, indicate the primary basis for 

determining that this child has special needs 

ll 

Racial/Original Background: 1 

Age: 2 

Membership in a Sibling Group to be 

Placed for Adoption Together: 3 

Medical Conditions or Mental, Physical or 

Emotional Disabilities: 4 

Other: 5 

1. If III. B was ‘‘4,’’ indicate with a ‘‘1’’ the 

type(s) of disability(ies) 

Mental Retardation ll 

Visually or Hearing Impaired ll 

Physically Disabled ll 

Emotionally Disturbed (DSM III) ll 

Other Medically Diagnosed Condition 

Requiring Special Care ll 

IV. Birth Parents 

A. Year of Birth ll 

Mother, If known ll 

Father (Putative or Legal), if known ll 

B. Was the mother married at the time of 

the child’s birth? ll 

Yes: 1 

No: 2 

Unable to Determine: 3 

V. Court Actions 

A. Dates of Termination of Parental Rights 

Mother ll(mo.) ll(day) ll(yr.) 

Father ll(mo.) ll(day) ll(yr.) 

B. Date Adoption Legalized ll(mo.) 

ll(day) ll(yr.) 

VI. Adoptive Parents 

A. Family Structure ll 

Married Couple: 1 

Unmarried Couple: 2 

Single Female: 3 

Single Male: 4 

B. Year of Birth 

Mother (if Applicable) ll 

Father (if Applicable) ll 

C. Race/Ethnicity 

1. Adoptive Mother’s Race (If Applicable) 

a. American Indian or Alaska Native 

b. Asian 

c. Black or African American 

d. Native Hawaiian or Other Pacific 

Islander 

e. White 

f. Unable to Determine 

2. Hispanic or Latino Ethnicity of Mother 

(If Applicable)ll 

Yes: 1 

No: 2 

Unable to Determine: 3 

3. Adoptive Father’s Race (If Applicable) 

a. American Indian or Alaska Native 

b. Asian 

c. Black or African American 

d. Native Hawaiian or Other Pacific 

Islander 

e. White 

f. Unable to Determine 

4. Hispanic or Latino Ethnicity of Father (If 

Applicable)ll 

Yes: 1 

No: 2 

Unable to Determine: 3 

D. Relationship of Adoptive Parent(s) to 

the Child (Indicate with a ‘‘1’’ all that apply) 

Stepparent 

Other Relative of Child by Birth or 

Marriage ll 

Foster Parent of Child ll 

Non-Relative ll 

VII. Placement Information 

A. Child Was Placed From ll 

Within State/Tribal Service Area: 1 

Another State/Tribal Service Area: 2 

Another Country: 3 

B. Child Was Placed by ll 

Public Agency: 1 

Private Agency: 2 

Tribal Agency: 3 

Independent Person: 4 

Birth Parent: 5 

VIII. Financial Adoption Support 

A. Is a monthly financial subsidy being 

paid for this child? ll 

Yes: 1 

No: 2 

B. If yes, the monthly amount ll 

C. If VIII. A is yes, is the subsidy paid 

under Title IV–E adoption assistance? ll 

Yes: 1 

No: 2 

Section II—Definitions of Instructions for 

Adoption Data Elements 

Reporting Population 

The title IV–E agency must report on all 

children who are adopted in the State or 

Tribal service area during the reporting 

period and in whose adoption the title IV– 

E agency has had any involvement. Failure 

to report on these adoptions will result in 

assessed finding of noncompliance. Reports 

on all other adoptions are encouraged but are 

voluntary. Therefore, reports on the 

following are mandated: 

(a) All children adopted who had been in 

foster care under the responsibility and care 

of the child welfare agency and who were 

subsequently adopted whether special needs 

or not and whether subsidies are provided or 

not; 

(b) All special needs children who were 

adopted in the State or Tribal service area, 

whether or not they were in the public foster 

care system prior to their adoption and for 

whom non-recurring expenses were 

reimbursed; and 

(c) All children adopted for whom an 

adoption assistance payment or service is 

being provided based on arrangements made 

by or through the title IV–E agency. 

These children must be identified by 

answering ‘‘yes’’ to data element I.D. 

Children who are reported by the title IV–E 

agency, but for whom there has not been any 

title IV–E agency involvement, and whose 

reporting, therefore, has not been mandated, 

are identified by answering ‘‘no’’ to element 

I.D. 

I. General Information 

A. Title IV–E agency—For a State, the U.S. 

Postal Service two letter abbreviation for the 

State submitting the report. For a Tribal title 

IV–E agency, the two letter abbreviation 

provided by ACF. 

B. Report Date—The last month and the 

year for the reporting period. 

C. Record Number—The sequential 

number which the title IV–E agency uses to 

transmit data to the Department of Health 

and Human Services (DHHS). The record 

number cannot be linked to the child except 

at the title IV–E agency level. 

D. Did the title IV–E Agency Have Any 

Involvement in This Adoption? 

Indicate whether the title IV–E agency had 

any involvement in this adoption, that is, 

whether the adopted child belongs to one of 

the following categories: 

• A child who had been in foster care 

under the responsibility and care of the child 

welfare agency and who was subsequently 

adopted whether special needs or not and 

whether a subsidy was provided; 

• A special needs child who was adopted 

in the State or Tribal service area, whether 

or not he/she was in the public foster care 

system prior to his/her adoption and for 

whom non-recurring expenses were 

reimbursed; or 


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• A child for whom an adoption assistance 

payment or service is being provided based 

on arrangements made by or through the title 

IV–E agency. 

II. Child’s Demographic Information 

A. Date of Birth—Month and year of the 

child’s birth. If the child was abandoned or 

the date of birth is otherwise unknown, enter 

an approximate date of birth. 

B. Sex—Indicate as appropriate. 

C. Race/Ethnicity 

1. Race—In general, a person’s race is 

determined by how they define themselves or 

by how others define them. In the case of 

young children, parents determine the race of 

the child. Indicate all races (a-e) that apply 

with a ‘‘1.’’ For those that do not apply, 

indicate a ‘‘0.’’ Indicate ‘‘f. Unable to 

Determine’’ with a 1’’ if it applies and a ‘‘0’’ 

if it does not. 

American Indian or Alaska Native—A 

person having origins in any of the original 

peoples of North or South America 

(including Central America), and who 

maintains tribal affiliation or community 

attachment. 

Asian—A person having 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. 

Black or African American—A person 

having origins in any of the black racial 

groups of Africa. 

Native Hawaiian or Other Pacific 

Islander—A person having origins in any of 

the original peoples of Hawaii, Guam, Samoa, 

or other Pacific Islands. 

White—A person having origins in any of 

the original peoples of Europe, the Middle 

East, or North Africa. 

Unable to Determine—The specific race 

category is ‘‘unable to determine’’ because 

the child is very young or is severely 

disabled and no person is available to 

identify the child’s race. ‘‘Unable to 

determine’’ is also used if the parent, relative 

or guardian is unwilling to identify the 

child’s race. 

2. Hispanic or Latino Ethnicity—Answer 

‘‘yes’’ if the child is of Mexican, Puerto 

Rican, Cuban, Central or South American 

origin, or a person of other Spanish cultural 

origin regardless of race. Whether or not a 

person is Hispanic or Latino is determined by 

how they define themselves or by how others 

define them. In the case of young children, 

parents determine the ethnicity of the child. 

‘‘Unable to Determine’’ is used because the 

child is very young or is severely disabled 

and no other person is available to determine 

whether or not the child is Hispanic or 

Latino. ‘‘Unable to determine’’ is also used if 

the parent, relative or guardian is unwilling 

to identify the child’s ethnicity. 

III. Special Needs Status 

A. Has the title IV–E Agency Determined 

That the Child has Special Needs? Use the 

title IV–E agency definition of special needs 

as it pertains to a child eligible for an 

adoption subsidy under title IV–E. 

B. Primary Factor or Condition for Special 

Needs—Indicate only the primary factor or 

condition for categorization as special needs 

and only as it is defined by the title IV–E 

agency. Racial/Original Background— 

Primary condition or factor for special needs 

is racial/original background as defined by 

the title IV–E agency. 

Age—Primary factor or condition for 

special needs is age of the child as defined 

by the title IV–E agency. 

Membership in a Sibling Group to be 

Placed for Adoption Together—Primary 

factor or condition for special needs is 

membership in a sibling group as defined by 

the title IV–E agency. 

Medical Conditions of Mental, Physical, or 

Emotional Disabilities—Primary factor or 

condition for special needs is the child’s 

medical condition as defined by the title IV– 

E agency, but clinically diagnosed by a 

qualified professional. 

When this is the response to question B, 

then item 1 below must be answered. 

1. Types of Disabilities—Data are only to 

be entered if response to III.B was ‘‘4.’’ 

Indicate with a ‘‘1’’ the types of disabilities. 

Mental Retardation—Significantly 

subaverage general cognitive and motor 

functioning existing concurrently with 

deficits in adaptive behavior manifested 

during the developmental period that 

adversely affect a child’s/youth’s 

socialization and learning. 

Visually or Hearing Impaired—Having a 

visual impairment that may significantly 

affect educational performance or 

development; or a hearing impairment, 

whether permanent or fluctuating, that 

adversely affects educational performance. 

Physically Disabled—A physical condition 

that adversely affects the child’s day-to-day 

motor functioning, such as cerebral palsy, 

spina bifida, multiple sclerosis, orthopedic 

impairments, and other physical disabilities. 

Emotionally Disturbed (DSM III)—A 

condition exhibiting one or more of the 

following characteristics over a long period 

of time and to a marked degree: An inability 

to build or maintain satisfactory 

interpersonal relationships; inappropriate 

types of behavior or feelings under normal 

circumstances; a general pervasive mood of 

unhappiness or depression; or a tendency to 

develop physical symptoms or fears 

associated with personal problems. The term 

includes persons who are schizophrenic or 

autistic. The term does not include persons 

who are socially maladjusted, unless it is 

determined that they are also seriously 

emotionally disturbed. Diagnosis is based on 

the Diagnostic and Statistical Manual of 

Mental Disorders (Third Edition) (DSM III) or 

the most recent edition. 

Other Medically Diagnosed Conditions 

Requiring Special Care—Conditions other 

than those noted above which require special 

medical care such as chronic illnesses. 

Included are children diagnosed as HIV 

positive or with AIDS. 

IV. Birth Parents 

A. Year of Birth—Enter the year of birth for 

both parents, if known. If the child was 

abandoned and no information was available 

on either one or both parents, leave blank for 

the parent(s) for which no information was 

available. 

B. Was the Mother Married at the Time of 

the Child’s Birth? 

Indicate whether the mother was married 

at time of the child’s birth; include common 

law marriage if legal in the State or Tribe. If 

the child was abandoned and no information 

was available on the mother, enter ‘‘Unable 

to Determine.’’ 

V. Court Actions 

A. Dates of Termination of Parental 

Rights—Enter the month, day and year that 

the court terminated parental rights. If the 

parents are known to be deceased, enter the 

date of death. 

B. Date Adoption Legalized—Enter the date 

the court issued the final adoption decree. 

VI. Adoptive Parents 

A. Family Structure—Select from the four 

alternatives—married couple, unmarried 

couple, single female, single male—the 

category which best describes the nature of 

the adoptive parent(s) family structure. 

B. Year of Birth—Enter the year of birth for 

up to two adoptive parents. If the response 

to data element IV.A—Family Structure, was 

1 or 2, enter data for two parents. If the 

response was 3 or 4, enter data only for the 

appropriate parent. If the exact year of birth 

is unknown, enter an estimated year of birth. 

C. Race/Ethnicity—Indicate the race/ 

ethnicity for each of the adoptive parent(s). 

See instructions and definitions for the race/ 

ethnicity categories under data element II.C. 

Use ‘‘f. Unable to Determine’’ only when a 

parent is unwilling to identify his or her race 

or ethnicity. 

D. Relationship to Adoptive Parent(s)— 

Indicate the prior relationship(s) the child 

had with the adoptive parent(s). 

Stepparent—Spouse of the child’s birth 

mother or birth father. 

Other Relative of Child by Birth or 

Marriage—A relative through the birth 

parents by blood or marriage. 

Foster Parent of Child—Child was placed 

in a non-relative foster family home with a 

family which later adopted him or her. The 

initial placement could have been for the 

purpose of adoption or for the purpose of 

foster care. 

Non-Relative—Adoptive parent fits into 

none of the categories above. 

VII. Placement Information 

A. Child Was Placed From: Indicate the 

location of the individual or agency that had 

custody or responsibility for the child at the 

time of initiation of adoption proceedings. 

Within State or Tribal service area— 

Responsibility for the child resided with an 

individual or agency within the State or 

service area of the Tribal title IV–E agency 

filing the report. 

Another State or Tribal service area— 

Responsibility for the child resided with an 

individual or agency in another State, Tribal 

service area, or territory of the United States. 

Another Country—Immediately prior to the 

adoptive placement, the child was residing in 

another country and was not a citizen of the 

United States. 

B. Child Was Placed By: Indicate the 

individual or agency which placed the child 

for adoption. 

Public Agency—A unit of State or local 

government. 

Private Agency—A for-profit or non-profit 

agency or institution. 


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Tribal Agency—A unit within one of the 

federally recognized Indian Tribes, Indian 

Tribal organizations, or Indian Tribal 

consortia. 

Independent Person—A doctor, a lawyer or 

some other individual. 

Birth Parent—The parent(s) placed the 

child directly with the Adoptive parent(s). 

VIII. Adoption Support 

A. Is The Child Receiving a Monthly 

Subsidy? 

Enter ‘‘yes’’ if this child was adopted with 

an adoption assistance agreement under 

which regular subsidies (Federal, State, or 

Tribal) are paid. 

B. Monthly Amount—Indicate the monthly 

amount of the subsidy. The amount of the 

subsidy should be rounded to the nearest 

dollar. Indicate ‘‘0’’ if the subsidy includes 

only benefits under titles XIX or XX of the 

Social Security Act. 

C. If VIII.A is ‘‘Yes,’’ is Child Receiving 

Title IV–E Adoption Subsidy? 

If VIII.A is ‘‘yes,’’ indicate whether the 

subsidy is claimed by the title IV–E agency 

for reimbursement under title IV–E. Do not 

include title IV–E non-recurring costs in this 

item. 

Appendix C to Part 1355—Electronic 

Data Transmission Format 

All AFCARS data to be sent from title IV– 

E agencies to the Department are to be in 

electronic form. In order to meet this general 

specification, the Department will offer as 

much flexibility as possible. Technical 

assistance will be provided to negotiate a 

method of transmission best suited to the 

title IV–E agency’s environment. 

There will be four semi-annual electronic 

data transmissions from the title IV–E agency 

to the Administration for Children and 

Families (ACF). 

Regardless of the electronic data 

transmission methodology selected, certain 

criteria must be met by the title IV–E agency: 

(1) Records must be written using ASCII 

standard character format. 

(2) All elements must be comprised of 

integer (numeric) value(s). Element character 

length specifications refer to the maximum 

number of numeric values permitted for that 

element. See Appendix D. 

(3) All records must be a fixed length. The 

Foster Care Detailed Data Elements Record is 

150 characters long and the Adoption 

Detailed Data Elements Record is 72 

characters long. The Foster Care Summary 

Data Elements Record and the Adoption 

Summary Data Elements Record are each 172 

characters long. 

(4) All title IV–E agencies must inform the 

Department, in writing, of the method of 

transfer they intend to use. 

Appendix D to Part 1355—Foster Care 

and Adoption Record Layouts 

A. Foster Care 

1. Foster Care Semi-Annual Detailed Data 

Elements Record 

a. The record will consist of 66 data 

elements. 

b. Data must be supplied for each of the 

elements in accordance with these 

instructions: 

(1) All data must be numeric. Enter the 

appropriate value for each element. 

(2) Enter date values in year, month and 

day order (YYYYMMDD), e.g., 19991030 for 

October 30, 1999, or year and month order 

(YYYYMM), e.g., 199910 for October 1999. 

Leave the element value blank if dates are not 

applicable. 

(3) For elements 8, 11–15, 26–40, 52, 54 

and 59–65, which are ‘‘select all that apply’’ 

elements, enter a ‘‘1’’ for each element that 

applies, enter a zero for non-applicable 

elements. 

(4) Transaction Date—is a computer 

generated date indicating when the datum 

(Elements 21 or 55) is entered into the title 

IV–E agency’s automated information system. 

(5) Report the status of all children in 

foster care as of the last day of the reporting 

period. Also, provide data for all children 

who were discharged from foster care at any 

time during the reporting period, or in the 

previous reporting period, if not previously 

reported. 

c. Foster Care Semi-Annual Detailed Data 

Elements Record Layout follows: 

Element No. Appendix A data 

element Data element description Number of numeric characters 

01 ...................... I.A ..................... Title IV–E agency .............................................................................................................. 2 

02 ...................... I.B ..................... Report period ending date ................................................................................................. 6 

03 ...................... I.C ..................... Local Agency FIPS code (county or equivalent jurisdiction) or other ACF assigned 

code.

5 

04 ...................... I.D ..................... Record number .................................................................................................................. 12 

05 ...................... I.E ..................... Date of most recent periodic review ................................................................................. 8 

06 ...................... II.A .................... Child’s date of birth ........................................................................................................... 8 

07 ...................... II.B .................... Sex ..................................................................................................................................... 1 

08 ...................... II.C.1 ................. Race .................................................................................................................................. ............................

08a .................... ........................... American Indian or Alaska native ..................................................................................... 1 

08b .................... ........................... Asian .................................................................................................................................. 1 

08c .................... ........................... Black or African American ................................................................................................. 1 

08d .................... ........................... Native Hawaiian or Other Pacific Islander ........................................................................ 1 

08e .................... ........................... White .................................................................................................................................. 1 

08f ..................... ........................... Unable to Determine ......................................................................................................... 1 

09 ...................... II.C.2 ................. Hispanic or Latino Ethnicity ............................................................................................... 1 

10 ...................... II.D .................... Has this child been clinically diagnosed as having a disability(ies) ................................. 1 

Indicate each type of disability of the child with a ‘‘1’’ for elements 11–15 and a zero 

for disabilities that do not apply. 

............................

11 ...................... II.D.1.a .............. Mental retardation .............................................................................................................. 1 

12 ...................... II.D.1.b .............. Visually or hearing impaired .............................................................................................. 1 

13 ...................... II.D.1.c .............. Physically disabled ............................................................................................................ 1 

14 ...................... II.D.1.d .............. Emotionally disturbed (DSM III) ........................................................................................ 1 

15 ...................... II.D.1.e .............. Other medically diagnosed condition requiring special care ............................................ 1 

16 ...................... II.E.1 ................. Has this child ever been adopted ..................................................................................... 1 

17 ...................... II.E.2 ................. If yes, how old was the child when the adoption was legalized? 1 

18 ...................... III.A.1 ................ Date of first removal from home ....................................................................................... 8 

19 ...................... III.A.2 ................ Total number of removals from home to date .................................................................. 2 

20 ...................... III.A.3 ................ Date child was discharged from last foster care episode ................................................. 8 

21 ...................... III.A.4 ................ Date of latest removal from home ..................................................................................... 8 

22 ...................... III.A.5 ................ Removal transaction date .................................................................................................. 8 

23 ...................... III.B.1 ................ Date of placement in current foster care setting ............................................................... 8 

24 ...................... III.B.2 ................ Number of previous placement settings during this removal episode .............................. 2 

25 ...................... IV.A ................... Manner of removal from home for current placement episode ........................................ 1 

Actions or conditions associated with child’s removal: Indicate with a ‘‘1’’ for elements 

26–40 and a zero for conditions that do not apply. 

............................


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Element No. Appendix A data 

element Data element description Number of numeric characters 

26 ...................... IV.B.1 ................ Physical abuse (alleged/reported) ..................................................................................... 1 

27 ...................... IV.B.2 ................ Sexual abuse (alleged/reported) ....................................................................................... 1 

28 ...................... IV.B.3 ................ Neglect (alleged/reported) ................................................................................................. 1 

29 ...................... IV.B.4 ................ Alcohol abuse (parent) ...................................................................................................... 1 

30 ...................... IV.B.5 ................ Drug abuse (parent) .......................................................................................................... 1 

31 ...................... IV.B.6 ................ Alcohol abuse (child) ......................................................................................................... 1 

32 ...................... IV.B.7 ................ Drug abuse (child) ............................................................................................................. 1 

33 ...................... IV.B.8 ................ Child’s disability ................................................................................................................. 1 

34 ...................... IV.B.9 ................ Child’s behavior problem ................................................................................................... 1 

35 ...................... IV.B.10 .............. Death of parent(s) ............................................................................................................. 1 

36 ...................... IV.B.11 .............. Incarceration of parent(s) .................................................................................................. 1 

37 ...................... IV.B.12 .............. Caretaker’s inability to cope due to illness or other reasons ............................................ 1 

38 ...................... IV.B.13 .............. Abandonment .................................................................................................................... 1 

39 ...................... IV.B.14 .............. Relinquishment .................................................................................................................. 1 

40 ...................... IV.B.15 .............. Inadequate housing ........................................................................................................... 1 

41 ...................... V.A .................... Current placement setting ................................................................................................. 1 

42 ...................... V.B .................... Out of State/Tribal service area placement ...................................................................... 1 

43 ...................... VI ...................... Most recent case plan goal ............................................................................................... 1 

44 ...................... VII.A .................. Caretaker family structure ................................................................................................. 1 

45 ...................... VII.B.1 ............... Year of birth (1st principal caretaker) ................................................................................ 4 

46 ...................... VII.B.2 ............... Year of birth (2nd principal caretaker) .............................................................................. 4 

47 ...................... VIII.A ................. Date of mother’s parental rights termination ..................................................................... 8 

48 ...................... VIII.B ................. Date of legal or putative father’s parental rights ............................................................... 8 

49 ...................... IX.A ................... Foster family structure ....................................................................................................... 1 

50 ...................... IX.B.1 ................ Year of birth (1st foster caretaker) .................................................................................... 4 

51 ...................... IX.B.2 ................ Year of birth (2nd foster caretaker) ................................................................................... 4 

52 ...................... IX.C.1 ............... Race of 1st foster caretaker .............................................................................................. ............................

52a .................... ........................... American Indian or Alaska Native ..................................................................................... 1 

52b .................... ........................... Asian .................................................................................................................................. 1 

52c .................... ........................... Black or Asian American ................................................................................................... 1 

52d .................... ........................... Native Hawaiian or Other Pacific Islander ........................................................................ 1 

52e .................... ........................... White .................................................................................................................................. 1 

52f ..................... ........................... Unable to Determine ......................................................................................................... 1 

53 ...................... IX.C.2 ............... Hispanic or Latino ethnicity of 1st foster caretaker ........................................................... 1 

54 ...................... IX.C.3 ............... Race of 2nd foster caretaker ............................................................................................. ............................

54a .................... ........................... American Indian or Alaska Native ..................................................................................... 1 

54b .................... ........................... Asian .................................................................................................................................. 1 

54c .................... ........................... Black or African American ................................................................................................. 1 

54d .................... ........................... Native Hawaiian or Other Pacific Islander ........................................................................ 1 

54e .................... ........................... White .................................................................................................................................. 1 

54f ..................... ........................... Unable to Determine ......................................................................................................... 1 

55 ...................... IX.C.4 ............... Hispanic or Latino ethnicity of 2nd foster caretaker ......................................................... 1 

56 ...................... X.A.1 ................. Date of discharge from foster care ................................................................................... 8 

57 ...................... X.A.2 ................. Foster care discharge transaction date ............................................................................. 8 

58 ...................... X.B .................... Reason for discharge ........................................................................................................ 1 

Sources of Federal support/assistance for child; indicate with a ‘‘1’’ for elements 58–64 

and a zero for sources that do not apply. 

............................

59 ...................... XI.A ................... Title IV–E (Foster Care) .................................................................................................... 1 

60 ...................... XI.B ................... Title IV–E (Adoption Assistance) ....................................................................................... 1 

61 ...................... XI.C .................. Title IV–A (Aid to Families With Dependent Children) ...................................................... 1 

62 ...................... XI.D .................. Title IV–D (Child Support) ................................................................................................. 1 

63 ...................... XI.E ................... Title XIX (Medicaid) ........................................................................................................... 1 

64 ...................... XI.F ................... SSI or other Social Security Act benefits .......................................................................... 1 

65 ...................... XI.G .................. None of the above ............................................................................................................. 1 

66 ...................... XII ..................... Amount of monthly foster care payment (regardless of source) ...................................... 5 

Total characters .......................................................................................................... 197 

2. Foster Care Semi-Annual Summary Data 

Elements Record 

a. The record will consist of 22 data 

elements. 

The values for these data elements are 

generated by processing all records in the 

semi-annual detailed data transmission and 

computing the summary values for Elements 

1 and 3–22. Element 2 is the semi-annual 

report period ending date. In calculating the 

age range for the child, the last day of the 

reporting period is to be used. 

b. Data must be supplied for each of the 

elements in accordance with these 

instructions: 

(1) Enter the appropriate value for each 

element. 

(2) For all elements where the total is zero, 

enter a numeric zero. 

(3) Enter date values in year, month order 

(YYYYMM), e.g.,199912 for December 1999. 

c. Foster Care Semi-Annual Summary Data 

Elements Record Layout follows: 

Element No. Summary data file Number of 

characters 

01 ...................... Number of records ........................................................................................................................................... 8 


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Element No. Summary data file Number of 

characters 

02 ...................... Report period ending date (YYYYMM) ............................................................................................................ 6 

03 ...................... Children in care under 1 year .......................................................................................................................... 8 

04 ...................... Children in care 1 year old .............................................................................................................................. 8 

05 ...................... Children in care 2 years old ............................................................................................................................. 8 

06 ...................... Children in care 3 years old ............................................................................................................................. 8 

07 ...................... Children in care 4 years old ............................................................................................................................. 8 

08 ...................... Children in care 5 years old ............................................................................................................................. 8 

09 ...................... Children in care 6 years old ............................................................................................................................. 8 

10 ...................... Children in care 7 years old ............................................................................................................................. 8 

11 ...................... Children in care 8 years old ............................................................................................................................. 8 

12 ...................... Children in care 9 years old ............................................................................................................................. 8 

13 ...................... Children in care 10 years old ........................................................................................................................... 8 

14 ...................... Children in care 11 years old ........................................................................................................................... 8 

15 ...................... Children in care 12 years old ........................................................................................................................... 8 

16 ...................... Children in care 13 years old ........................................................................................................................... 8 

17 ...................... Children in care 14 years old ........................................................................................................................... 8 

18 ...................... Children in care 15 years old ........................................................................................................................... 8 

19 ...................... Children in care 16 years old ........................................................................................................................... 8 

20 ...................... Children in care 17 years old ........................................................................................................................... 8 

21 ...................... Children in care 18 years old ........................................................................................................................... 8 

22 ...................... Children in care over 18 years old .................................................................................................................. 8 

Record Length .......................................................................................................................................... 174 

B. Adoption 

1. Adoption Semi-Annual Detailed Data 

Elements Record 

a. The record will consist of 37 data 

elements. 

b. Data must be supplied for each of the 

elements in accordance with these 

instructions: 

(1) Enter the appropriate value for each 

element. 

(2) Enter date values in year, month and 

day order (YYYYMMDD), e.g., 19991030 for 

October 30, 1999, or year and month 

(YYYYMM), e.g., 199910 for October 1999. 

Leave the element value blank if dates are not 

applicable. 

(3) For elements 7, 11–15, 25, 27 and 29– 

32 which are ‘‘select all that apply’’ elements, 

enter a ‘‘1’’ for each element that applies; 

enter a zero for non-applicable elements. 

c. Adoption Semi-Annual Detailed Data 

Elements Record Layout follows: 

Element No. Appendix B data 

element Data element description Number of numeric characters 

01 ...................... I.A ..................... Title IV–E agency .............................................................................................................. 2 

02 ...................... I.B ..................... Report period ending date ................................................................................................. 6 

03 ...................... I.C ..................... Record number .................................................................................................................. 6 

04 ...................... I.D ..................... Title IV–E agency involvement .......................................................................................... 1 

05 ...................... II.A .................... Date of birth ....................................................................................................................... 6 

06 ...................... II.B .................... Sex ..................................................................................................................................... 1 

07 ...................... II.C.1 ................. Race .................................................................................................................................. ............................

07a .................... ........................... American Indian or Alaska Native ..................................................................................... 1 

07b .................... ........................... Asian .................................................................................................................................. 1 

07c .................... ........................... Black or African American ................................................................................................. 1 

07d .................... ........................... Native Hawaiian or Other Pacific Islander ........................................................................ 1 

07e .................... ........................... White .................................................................................................................................. 1 

07f ..................... ........................... Unable to Determine ......................................................................................................... 1 

08 ...................... II.C.2 ................. Hispanic or Latino ethnicity ............................................................................................... 1 

09 ...................... III.A ................... Has the title IV–E agency determined that this child has special needs ......................... 1 

10 ...................... III.B ................... Primary basis for special needs ........................................................................................ 1 

Indicate a primary basis of special needs with a ‘‘1’’ for elements 11–15. Enter a zero 

for special needs that do not apply. 

............................

11 ...................... III.B.1.a ............. Mental retardation .............................................................................................................. 1 

12 ...................... III.B.1.b ............. Visually or hearing impaired .............................................................................................. 1 

13 ...................... III.B.1.c ............. Physically disabled ............................................................................................................ 1 

14 ...................... III.B.1.d ............. Emotionally disturbed (DSM III) ........................................................................................ 1 

15 ...................... III.B.1.e ............. Other medically diagnosed condition requiring special care ............................................ 1 

16 ...................... IV.A.1 ................ Mother’s year of birth ........................................................................................................ 4 

17 ...................... IV.A.2 ................ Father’s (Putative or legal) year of birth ........................................................................... 4 

18 ...................... IV.B ................... Was the mother married at time of child’s birth ................................................................ 1 

19 ...................... V.A.1 ................. Date of mother’s termination of parental rights ................................................................. 8 

20 ...................... V.A.2 ................. Date of father’s termination of parental rights ................................................................... 8 

21 ...................... V.B .................... Date adoption legalized ..................................................................................................... 8 

22 ...................... VI.A ................... Adoptive parents family structure ...................................................................................... 1 

23 ...................... VI.B.1 ................ Mother’s year of birth (if applicable) .................................................................................. 4 

24 ...................... VI.B.2 ................ Father’s year of birth (if applicable) .................................................................................. 4 

25 ...................... VI.C.1 ............... Adoptive mother’s race ...................................................................................................... ............................

25a .................... ........................... American Indian or Alaska Native ..................................................................................... 1 

25b .................... ........................... Asian .................................................................................................................................. 1 


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Element No. Appendix B data 

element Data element description Number of numeric characters 

25c .................... ........................... Black or African American ................................................................................................. 1 

25d .................... ........................... Native Hawaiian or Other Pacific Islander ........................................................................ 1 

25e .................... ........................... White .................................................................................................................................. 1 

25f ..................... ........................... Unable to Determine ......................................................................................................... 1 

26 ...................... VI.C.2 ............... Hispanic or Latino Ethnicity ............................................................................................... 1 

27 ...................... VI.C.3 ............... Adoptive father’s race ........................................................................................................ ............................

27a .................... ........................... American Indian or Alaska Native ..................................................................................... 1 

27b .................... ........................... Asian .................................................................................................................................. 1 

27c .................... ........................... Black or African American ................................................................................................. 1 

27d .................... ........................... Native Hawaiian or Other Pacific Islander ........................................................................ 1 

27e .................... ........................... White .................................................................................................................................. 1 

27f ..................... ........................... Unable to Determine ......................................................................................................... 1 

28 ...................... VI.C.4 ............... Hispanic or Latino Ethnicity ............................................................................................... 1 

Indicate each type of relationship of adoptive parent(s) to the child with a ‘‘1’’ for elements 29–32. Enter a zero for relationships that do not apply below. ............................

29 ...................... VI.D.1 ............... Stepparent ......................................................................................................................... 1 

30 ...................... VI.D.2 ............... Other relative of child by birth or marriage ....................................................................... 1 

31 ...................... VI.D.3 ............... Foster parent of child ........................................................................................................ 1 

32 ...................... VI.D.4 ............... Other non-relative .............................................................................................................. 1 

33 ...................... VII.A .................. Child was placed from ....................................................................................................... 1 

34 ...................... VII.B .................. Child was placed by .......................................................................................................... 1 

35 ...................... VIII.A ................. Is this child receiving a monthly subsidy ........................................................................... 1 

36 ...................... VIII.B ................. If VIII.B is ‘‘yes.’’ What is the monthly amount ................................................................. 5 

37 ...................... VIII.C ................ If VII.B is ‘‘yes.’’ Is the child receiving title IV–E adoption assistance? ............................ 1 

Total Characters ......................................................................................................... ............................

2. Adoption Semi-Annual Summary Data 

Elements Record 

a. The record will consist of 22 data 

elements. 

The values for these data elements are 

generated by processing all records in the 

semi-annual detailed data transmission and 

computing the summary values for Elements 

1 and 3–22. Element 2 is the semi-annual 

report period ending date. In calculating the 

age range for the child, the last day of the 

reporting period is to be used. 

b. Data must be supplied for each of the 

elements in accordance with these 

instructions: 

(1) Enter the appropriate value for each 

element. 

(2) For all elements where the total is zero, 

enter a numeric zero. 

(3) Enter data values in year, month order 

(YYYYMM), e.g., 199912 for December 1999. 

c. Adoption Semi-Annual Summary Data 

Element Record Layout follows: 

Element No. Summary data file Number of 

characters 

01 ...................... Number of records ........................................................................................................................................... 8 

02 ...................... Report period ending date (YYYYMM) ............................................................................................................ 6 

03 ...................... Children adopted Under 1 year old ................................................................................................................. 8 

04 ...................... Children adopted 1 year old ............................................................................................................................ 8 

05 ...................... Children adopted 2 years old ........................................................................................................................... 8 

06 ...................... Children adopted 3 years old ........................................................................................................................... 8 

07 ...................... Children adopted 4 years old ........................................................................................................................... 8 

08 ...................... Children adopted 5 years old ........................................................................................................................... 8 

09 ...................... Children adopted 6 years old ........................................................................................................................... 8 

10 ...................... Children adopted 7 years old ........................................................................................................................... 8 

11 ...................... Children adopted 8 years old ........................................................................................................................... 8 

12 ...................... Children adopted 9 years old ........................................................................................................................... 8 

13 ...................... Children adopted 10 years old ......................................................................................................................... 8 

14 ...................... Children adopted 11 years old ......................................................................................................................... 8 

15 ...................... Children adopted 12 years old ......................................................................................................................... 8 

16 ...................... Children adopted 13 years old ......................................................................................................................... 8 

17 ...................... Children adopted 14 years old ......................................................................................................................... 8 

18 ...................... Children adopted 15 years old ......................................................................................................................... 8 

19 ...................... Children adopted 16 years old ......................................................................................................................... 8 

20 ...................... Children adopted 17 years old ......................................................................................................................... 8 

21 ...................... Children adopted 18 years old ......................................................................................................................... 8 

22 ...................... Children adopted over 18 years old ................................................................................................................ 8 

Record Length .......................................................................................................................................... 174 

Appendix E to Part 1355—Data 

Standards 

All data submissions will be evaluated to 

determine the completeness and internal 

consistency of the data. Four types of 

assessments will be conducted on both the 

foster care and adoption data submissions. 

The results of these assessments will 

determine the applicability of a substantial 

noncompliance determination with the title 

IV–E plan. 

The four types of assessments are: 

• Comparisons of the detailed data to 

summary data; 


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• Internal consistency checks of the 

detailed data; 

• An assessment of the status of missing 

data; and 

• Timeliness, an assessment of how 

current the submitted data are. 

A. Foster Care 

1. Summary Data Elements Submission 

Standards 

A summary file must accompany the 

Detailed Data Elements submission. Both 

transmissions must be sent through 

electronic means (see appendix C for details). 

This summary will be used to verify basic 

counts of records on the detailed data 

received. 

a. The summary file must be a discrete file 

separate from the semi-annual reporting 

period detailed data file. The record layout 

for the summary file is included in appendix 

D. section A.2.c. All data must be included. 

If the value for a numeric field is zero, zero 

must be entered. 

b. The Department will develop a second 

summary file by computing the values from 

the detailed data file received from the title 

IV–E agency. The two summary files (the one 

submitted by the title IV–E agency and the 

one created during Federal processing) will 

be compared, field by field. If the two files 

match, further validation of the detailed data 

elements will commence. If the two summary 

files do not match, we will assume that there 

has been an error in transmission and will 

request a retransmission from the title IV–E 

agency within 24 hours of the time the title 

IV–E agency has been notified. In addition, 

a log of these occurrences will be kept as a 

means of cataloging problems and offering 

suggestions on improved procedures. 

2. Detailed Data File Submission Standards 

a. Internal Consistency Validations. 

Internal consistency validations involve 

evaluating the logical relationships between 

data elements in a detailed record. For 

example, a child cannot be discharged from 

foster care before he or she has been removed 

from his or her home. Thus, the Date of 

Latest Removal From Home data element 

must be a date prior to the Date of Discharge. 

If this is not the case, an internal 

inconsistency will be detected and an ‘‘error’’ 

indicated in the detailed data file. 

A number of data elements have ‘‘if 

applicable’’ contingency relationships with 

other data elements in the detailed record. 

For example, if the Foster Family Structure 

has only a single parent, then the appropriate 

sex of the Single Female/Male element in the 

‘‘Year of Birth’’ and ‘‘Race/Origin’’ elements 

must be completed and the ‘‘non-applicable’’ 

fields for these elements are to be filled with 

zero’s or, for dates, left blank. 

The internal consistency validations that 

will be performed on the foster care detailed 

data are as follows: 

(1) The Local Agency must be the county 

or a county equivalent unit which has 

responsibility for the case. The 5 digit 

Federal Information Processing Standard 

(FIPS) or other ACF assigned code must be 

used. 

(2) If Date of Latest Removal From Home 

(Element 21) is less than nine months prior 

to the Report Period Ending Date (Element 2) 

then the Date of Most Recent Periodic Review 

(Element 5) may be left blank. 

(3) If Date of Latest Removal From Home 

(Element 21) is greater than nine months 

from Report Date (Element 2) then the Date 

of Most Recent Periodic Review (Element 5) 

must not be more than nine months prior to 

the Report Date (Element 2). 

(4) If a child is identified as having a 

disability(ies) (Element 10), at least one Type 

of Disability Condition (Elements 11–15) 

must be indicated. Enter a zero (0) for 

disabilities that do not apply. 

(5) If the Total Number of Removals From 

Home to Date (Element 19) is one (1), the 

Date Child was Discharged From Last Foster 

Care Episode (Element 20) must be blank. 

(6) If the Total Number of Removals From 

Home to Date (Element 19) is two or more, 

then the Date Child was Discharged From 

Last Foster Care Episode (Element 20) must 

not be blank. 

(7) If Date Child was Discharged From Last 

Foster Care Episode (Element 20) exists, then 

this date must be a date prior to the Date of 

Latest Removal From Home (Element 21). 

(8) The Date of Latest Removal From Home 

(Element 21) must be prior to the Date of 

Placement in Current Foster Care Setting 

(Element 23). 

(9) At least one element between elements 

26 and 40 must be answered by selecting a 

‘‘1’’. Enter a zero (0) for conditions that do 

not apply. 

(10) If Current Placement Setting (Element 

41) is a value that indicates that the child is 

not in a foster family or a pre-adoptive home, 

then elements 49–55 must be zero (0). 

(11) At least one element between elements 

59 and 65 must be answered by selecting a 

‘‘1’’. Enter a zero for sources that do not 

apply. 

(12) If the answer to the question, ‘‘Has this 

child ever been adopted?’’ (Element 16) is 

‘‘1’’ (Yes), then the question, ‘‘How old was 

the child when the adoption was legalized?’’ 

(Element 17) must have an answer from ‘‘1’’ 

to ‘‘5.’’ 

(13) If the Date of Most Recent Periodic 

Review (Element 5) is not blank, then 

Manner of Removal From Home for Current 

Placement Episode (Element 25) cannot be 

option 3, ‘‘Not Yet Determined.’’ 

(14) If Reason for Discharge (Element 58) 

is option 3, ‘‘Adoption,’’ then Parental Rights 

Termination dates (Elements 46 and 47) must 

not be blank. 

(15) If the Date of Latest Removal From 

Home (Element 21) is present, the Date of 

Latest Removal From Home Transaction Date 

(Element 22) must be present and must be 

later than or equal to the Date of Latest 

Removal From Home (Element 21). 

(16) If the Date of Discharge From Foster 

Care (Element 56) is present, the Date of 

Discharge From Foster Care Transaction Date 

(Element 57) must be present and must be 

later than or equal to the Date of Discharge 

From Foster Care (Element 56). 

(17) If the Date of Discharge From Foster 

Care (Element 56) is present, it must be after 

the Date of Latest Removal From Home 

(Element 21). 

(18) In Elements 8, 52, and 54, race 

categories (‘‘a’’ through ‘‘e’’) and ‘‘f. Unable 

to Determine’’ cannot be coded ‘‘0,’’ for it 

does not apply. If any of the race categories 

apply and are coded as ‘‘1’’ then ‘‘f. Unable 

to Determine’’ cannot also apply. 

b. Out-of-Range Standards. 

Out-of-range standards relate to the 

occurrence of values in response to data 

elements that exceed, either positively or 

negatively, the acceptable range of responses 

to the question. For example, if the 

acceptable responses to the element, Sex of 

the Adoptive Child, is ‘‘1’’ for a male and ‘‘2’’ 

for a female, but the datum provided in the 

element is ‘‘3,’’ this represents an out-ofrange response situation. 

Out-of-range comparisons will be made for 

all elements. The acceptable values are 

described in Appendix A, Section I. 

3. Missing Data Standards 

The term ‘‘missing data’’ refers to instances 

where data for an element are required but 

are not present in the submission. Data 

elements with values of ‘‘Unable to 

Determine,’’ ‘‘Not Yet Determined’’ or which 

are not applicable, are not considered 

missing. 

a. In addition, the following situations will 

result in converting data values to a missing 

data status: 

(1) Data elements whose values fail 

internal consistency validations as outlined 

in A.2.a.(1)–(18) above, and 

(2) Data elements whose values are out-ofrange. 

b. The maximum amount of allowable 

missing data is dependent on the data 

elements as described below: 

(1) No Missing Data. 

The data for the elements listed below 

must be present in all records in the 

submission. If any record contains missing 

data for any of these elements, the entire 

submission will be considered missing and 

processing will not proceed. 

Element 

No. Element name 

01 ............. Title IV–E agency. 

02 ............. Report date. 

03 ............. Local agency FIPS code or other 

ACF assigned code. 

04 ............. Record number. 

(2) Less Than Ten Percent Missing Data. 

The data for the elements listed below 

cannot have ten percent or more missing data 

without incurring a finding of substantial 

noncompliance with the title IV–E plan. 

Element 

No. Element description 

05 ............. Date of most recent periodic, review. 

06 ............. Child’s date of birth. 

07 ............. Child’s sex. 

08 ............. Child’s race. 

09 ............. Child’s Hispanic or Latino Ethnicity. 

10 ............. Does child have a disability(ies)? 

11–15 ...... Type of disability (at least one 

must be selected). 

16 ............. Has child been adopted? 

17 ............. How old was child when adoption was legalized? 


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Element 

No. Element description 

18 ............. Date of first removal from home. 

19 ............. Total number of removals from 

home to date. 

20 ............. Date child was discharged from 

last foster care. 

21 ............. Date of latest removal from 

home. 

22 ............. Removal transaction date. 

23 ............. Date of placement in current foster care setting. 

24 ............. Number of previous placement 

settings during this removal 

episode. 

25 ............. Manner of removal from home 

for current placement episode. 

26–40 ...... Actions or conditions associated 

with child’s removal (at least 

one must be selected). 

41 ............. Current placement setting. 

42 ............. Out of State/Tribal service area 

placement. 

43 ............. Most recent case plan goal. 

44 ............. Caretaker family structure. 

45 ............. Year of birth of 1st principal 

caretaker. 

46 ............. Year of birth of 2nd principal 

caretaker. 

47 ............. Date of mother’s parental rights 

termination. 

48 ............. Legal or putative father parental 

rights termination date. 

49 ............. Foster family structure. 

50 ............. Year of birth of 1st foster caretaker. 

51 ............. Year of birth of 2nd foster caretaker. 

52 ............. Race of 1st foster caretaker. 

53 ............. Hispanic or Latino Ethnicity of 

1st foster caretaker. 

54 ............. Race of 2nd foster caretaker. 

55 ............. Hispanic or Latino Ethnicity of 

2nd foster caretaker. 

56 ............. Date of discharge from foster 

care. 

57 ............. Foster care discharge transaction date. 

58 ............. Reason for discharge. 

59–65 ...... Sources of Federal support/assistance for child (at least one 

must be selected). 

66 ............. Amount of monthly foster care 

payment (regardless of 

source). 

c. Determination of substantial 

noncompliance with the title IV–E plan. 

Missing data are a major factor in 

determining substantial noncompliance with 

the title IV–E plan. 

(1) Selection Rules. 

All data elements will be used in 

calculating missing data unless one of the 

following limiting rules applies to the 

detailed case record. 

(a) If Date of Latest Removal From Home 

(Element 21) and the Date of Discharge From 

Foster Care (Element 56) is less than 30 days, 

then the following date elements are the only 

ones to be used in evaluating the missing 

data provisions for purposes of a 

determination of substantial noncompliance 

with the title IV–E plan: 

Elements 

1 to 4 

6 to 9 

21 and 22 

41 and 42 

56 to 58 

(b) If Date of Latest Removal From Home 

(Element 18) is prior to October 1, 1995, then 

the following data elements are the only ones 

to be used in evaluating the missing data 

provisions for purposes of a determination of 

substantial noncompliance with the title IV– 

E plan: 

Elements 

1 to 4 

6 to 9 

21 and 22 

41 and 43 

56 to 58 

(2) Determination of substantial 

noncompliance with the title IV–E plan. 

The percentage calculation will be 

performed for each data element. The total 

number of detailed records that are included 

by the selection rules in 3.c.(1), will serve as 

the denominator. The number of missing data 

occurrences for each element will serve as 

the numerator. The result will be multiplied 

by one hundred. The determination of 

substantial noncompliance with the title IV– 

E plan is made when any one element’s 

missing data percentage is ten percent or 

greater. 

4. Timeliness of Foster Care Data Reports 

Title IV–E agencies are required to submit 

reports within 45 calendar days after the end 

of the semi-annual reporting period. 

Computer generated transaction dates 

indicate the date when key foster care events 

are entered into the title IV–E agency’s 

computer system. The intent of these 

transaction dates is to ensure that 

information about the status of children in 

foster care is recorded and, thus, reported in 

a timely manner. 

a. Date of Latest Removal From Home. 

The Date of Latest Removal From Home 

Transaction Date (Element 22) must not be 

more than 60 days after the Date of Latest 

Removal From Home (Element 21) event. 

b. The Date of Discharge From Foster Care 

Transaction Data (Element 57) must not be 

more than 60 days after the Date of Discharge 

From Foster Care (Element 56) event. 

For purposes of a determination of 

substantial noncompliance with the title IV– 

E plan, ninety percent of the records in a 

detailed data submission, must indicate that: 

(1) The difference between the Date of 

Latest Removal From Home Transaction Date 

(Element 22) and the Date of Latest Removal 

From Home (Element 21) event is 60 days or 

less; 

and, where applicable, 

(2) The difference between the Date of 

Discharge From Foster Care Transaction Date 

(Element 57), and the Date of Discharge From 

Foster Care (Element 56) event is 60 days or 

less. 

B. Adoption 

1. Summary Data Elements File Submission 

Standards 

A summary file must accompany the 

detailed Data Elements File submission. Both 

files must be sent through electronic means 

(see appendix C for details). This summary 

will be used to verify the completeness of the 

Detailed Data File submission received. 

a. The summary file should be a discrete 

file separate from the semi-annual reporting 

period detailed data file. The record layout 

for the summary file is included in appendix 

D, section B.2.c. All data must be included. 

If the value for a numeric field is zero, zero 

must be entered. 

b. The Department will develop a second 

summary file by computing the values from 

the detailed data file received from the title 

IV–E agency. The two summary files (the one 

submitted by the title IV–E agency and the 

one created during Federal processing) will 

be compared, field by field. If the two files 

match, further validation of the detailed data 

elements will commence. (See section B.2 

below.) If the two summary files do not 

match, we will assume that there has been an 

error in transmission and will request a 

retransmission from the title IV–E agency 

within 24 hours of the time the title IV–E 

agency has been notified. In addition, a log 

of these occurrences will be kept as a means 

of cataloging problems and offering 

suggestions on improved procedures. 

2. Detailed Data Elements File Submission 

Standards 

a. Internal Consistency Validations 

Internal consistency validations involve 

evaluating the logical relationships between 

data elements in a detailed record. For 

example, an adoption cannot be finalized 

until parental rights have been terminated. 

Thus, the dates of Mother/Father 

Termination of Parental Rights, elements 

must be present and the dates must be prior 

to the ‘‘Date Adoption Legalized.’’ If this is 

not the case, an internal inconsistency will 

be detected and an ‘‘error’’ indicated in the 

detailed data file. 

A number of data elements have ‘‘if 

applicable’’ contingency relationships with 

other data elements in the detailed record. 

For example, if the Adoptive Parent is single, 

then the appropriate sex of the single female/ 

male element in the ‘‘Family Structure,’’ 

‘‘Year of Birth’’ and ‘‘Race/Origin’’ elements 

must be completed and the ‘‘non-applicable’’ 

fields for these elements are to be filled with 

zeros or left blank. 

The internal consistency validations that 

will be performed on the adoption detailed 

data are as follows: 

(1) The Child’s Date of Birth (Element 5) 

must be later than both the Mother’s and 

Father’s Year of Birth (Elements 16 and 17) 

unless either of these is unknown.) 

(2) If the title IV–E agency has determined 

that the child is a special needs child 

(Element 9), then ‘‘the primary basis for 

determining that this child has special 

needs’’ (Element 10) must be completed. If 

‘‘the primary basis for determining that this 

child has special needs’’ (Element 10) is 

answered by option ‘‘4,’’ then at least one 

element between Elements 11–15, ‘‘Type of 

Disability,’’ must be selected. Enter a zero (0) 

for disabilities that do not apply. 

(3) Dates of Parental Rights Termination 

(Elements 19 and 20) must be completed and 

must be prior to the Date Adoption Legalized 

(Element 21). 


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(4) If ‘‘Is a monthly financial subsidy being 

paid for this child’’ (Element 35) is answered 

negatively, ‘‘2’’, then Element 36 must be 

zero (0) and ‘‘Is the subsidy paid under Title 

IV–E adoption assistance’’ (Element 37) must 

be a ‘‘2’’. 

(5) If the ‘‘Child Was Placed By’’ (Element 

34) is answered with option 1, ‘‘Public 

Agency,’’ then the question, ‘‘Did the title 

IV–E Agency Have any Involvement in This 

Adoption’’ (Element 4) must be ‘‘1’’. 

(6) If the ‘‘Relationship of Adoptive 

Parent(s) to the Child,’’ ‘‘Foster Parent of 

Child’’ (Element 31) is selected, then the 

question, ‘‘Did the title IV–E Agency Have 

any Involvement in This Adoption’’ (Element 

4) must be ‘‘1’’. 

(7) If ‘‘Is a monthly financial subsidy being 

paid for this child?’’ (Element 35) answered 

‘‘1,’’ then the question, ‘‘Did the title IV–E 

Agency Have any Involvement in This 

Adoption’’ (Element 4) must be ‘‘1.’’ 

(8) If the ‘‘Family Structure’’ (Element 22) 

is option 3, Single Female, then the Mother’s 

Year of Birth (Element 23), the ‘‘Adoptive 

Mother’s Race’’ (Element 25) and ‘‘Hispanic 

or Latino Ethnicity’’ (Element 26) must be 

completed. Similarly, if the ‘‘Family 

Structure’’ (Element 22) is option 4, Single 

Male, then the Father’s Year of Birth 

(Element 24), the Adoptive Father’s Race’’ 

(Element 27) and ‘‘Hispanic or Latino 

Ethnicity’’ (Element 28) must be completed. 

If the ‘‘Family Structure’’ (Element 22) is 

option 1 or 2, then both Mother’s and 

Father’s ‘‘Year of Birth,’’ ‘‘Race’’ and 

‘‘Hispanic or Latino Ethnicity’’ must be 

completed. 

(9) In Elements 7, 25, and 27, race 

categories (‘‘a’’ through ‘‘e’’) and ‘‘f. Unable 

to Determine’’ cannot be coded ‘‘0,’’ for it 

does not apply. If any of the race categories 

apply and are coded as ‘‘1’’ then ‘‘f. Unable 

to Determine’’ cannot also apply. 

b. Out-of-Range Standards 

Out-of-range standards relate to the 

occurrence of values in response to data 

elements that exceed, either positively or 

negatively, the acceptable range of responses 

to the question. For example, if the 

acceptable response to the element, Sex of 

the Adoptive Child, is ‘‘1’’ for a male and ‘‘2’’ 

for a female, but the datum provided in the 

element is ‘‘3,’’ this represents an out-ofrange response situation. 

Out-of-range comparisons will be made for 

all elements. The acceptable values are 

described in appendix B, section I. 

3. Missing Data Standards 

The term ‘‘missing data’’ refers to instances 

where data for an element are required but 

are not present in the submission. Data 

elements with values of ‘‘Unable to 

Determine,’’ ‘‘Other’’ or which are not 

applicable, are not considered missing. 

a. In addition, the following situations will 

result in converting data values to a missing 

data status: 

(1) Data elements whose values fail 

internal consistency validations as outlined 

in 2.a.(1)–(9) above, and 

(2) Data elements whose values are out-ofrange. 

b. The maximum amount of allowable 

missing data is dependent on the data 

elements as described below. 

(1) No Missing Data. 

The data for the elements listed below 

must be present in all records in the 

submission. If any record contains missing 

data for any of these elements, the entire 

submission will be considered missing and 

processing will not proceed. 

Element 

No. Element name 

01 ............. Title IV–E agency. 

02 ............. Report date. 

03 ............. Record number. 

04 ............. Did the title IV–e agency have 

any involvement in this adoption? 

(2) Less Than Ten Percent Missing Data 

The data for the elements listed below 

cannot have ten percent or more missing data 

without incurring a determination of 

substantial noncompliance with the title IV– 

E plan. 

Element 

No. Element name 

05 ............. Child’s date of birth. 

06 ............. Child’s sex. 

07 ............. Child’s race. 

08 ............. Is the child of Hispanic or Latino 

ethnicity? 

09 ............. Does child have special needs? 

10 ............. Indicate the primary basis for determining that the child has 

special needs. (If Element 09 

is yes, you must answer this 

question.) 

11–15 ...... Type of special need (at least 

one must be selected.) 

16 ............. Mother’s year of birth. 

17 ............. Father’s year of birth. 

18 ............. Was mother married at time of 

child’s birth? 

19 ............. Date of mother’s termination of 

parental rights. 

20 ............. Date of father’s termination of 

parental rights. 

21 ............. Date adoption legalized. 

22 ............. Adoptive parent(s)’ family structure. 

23 ............. Mother’s year of birth. 

24 ............. Father’s year of birth. 

25 ............. Adoptive mother’s race. 

26 ............. Hispanic or Latino ethnicity of 

mother. 

27 ............. Adoptive father’s race. 

28 ............. Hispanic or Latino ethnicity of father. 

29–32 ...... Relationship of adoptive parent(s) to child (at least one 

must be selected.) 

33 ............. Child placed from. 

34 ............. Child placed by. 

35 ............. Is a monthly financial subsidy 

paid for this child? 

36 ............. If yes, the monthly amount is? 

37 ............. Is the child receiving Title IV–E 

adoption assistance? (If Element 35 is a ‘‘1’’ (Yes) an answer to this question is required.) 

c. Determination of substantial 

noncompliance with the title IV–E plan. 

Missing data are a major factor in 

determining substantial noncompliance with 

the title IV–E plan. 

(1) Selection Rules. 

Only the adoption records with a ‘‘1’’ (Yes) 

answer in Element 4, ‘‘Did the title IV–E 

Agency have any Involvement in this 

adoption’’ will be subject to a determination 

of substantial noncompliance with the title 

IV–E plan. 

(2) Determination of substantial 

noncompliance with the title IV–E plan. 

The percentage calculation will be 

performed for each data element. The total 

number of detailed records will serve as the 

denominator and the number of missing data 

occurrences for each element will serve as 

the numerator. The result will be multiplied 

by one hundred. The determination of 

substantial noncompliance with the title IV– 

E plan is made when any one element’s 

missing data percentage is ten percent or 

greater. 

4. Timeliness of Adoption Reports 

The title IV–E agency is required to submit 

reports within 45 calendar days after the end 

of the semi-annual reporting period. 

For determinations of substantial 

noncompliance with the title IV–E plan 

purposes, however, no specific timeliness of 

data standards apply. Data on adoptions 

should be submitted as promptly after 

finalization as possible. 

The desired approach to reporting 

adoption data is that adoptions should be 

reported during the reporting period in 

which the adoption is legalized. Or, at the 

title IV–E agency’s option, they can be 

reported in the following reporting period if 

the adoption is legalized within the last 60 

days of the reporting period. 

Negative reports must be submitted for any 

semi-annual period in which no adoptions 

have been legalized. 

PART 1356—REQUIREMENTS 

APPLICABLE TO TITLE IV–E 

■ 23. The authority citation for part 

1356 continues to read as follows: 

Authority: 42 U.S.C. 620 et seq., 42 U.S.C. 

670 et seq., 42 U.S.C. 1302. 

■ 24. Revise § 1356.10 to read as 

follows: 

§ 1356.10 Scope. 

This part applies to title IV–E agency 

programs for foster care maintenance 

payments, adoption assistance 

payments, related foster care and 

adoption administrative and training 

expenditures, and the independent 

living services program under title IV– 

E of the Act. 

■ 25. Revise § 1356.20 to read as 

follows: 

§ 1356.20 Title IV–E plan document and 

submission requirements. 

(a) To be in compliance with the title 

IV–E plan requirements and to be 

eligible to receive Federal financial 

participation (FFP) in the costs of foster 


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care maintenance payments and 

adoption assistance under this part, a 

title IV–E agency must have a plan 

approved by the Secretary that meets 

the requirements of this part, part 1355, 

section 471(a) of the Act and for Tribal 

title IV–E agencies, section 479B(c) of 

the Act. The title IV–E plan must be 

submitted to the appropriate Regional 

Office, ACYF, in a form determined by 

the title IV–E agency. 

(b) Failure by a title IV–E agency to 

comply with the requirements and 

standards for the data reporting system 

for foster care and adoption (§ 1355.40 

of this chapter) shall be considered a 

substantial failure by the title IV–E 

agency in complying with the plan. 

(c) The following procedures for 

approval of plans and amendments 

apply to the title IV–E program: 

(1) Plan. The plan consists of written 

documents furnished by the title IV–E 

agency to cover its program under part 

E of title IV. After approval of the 

original plan by the Commissioner, 

ACYF, all relevant changes, required by 

new statutes, rules, regulations, 

interpretations, and court decisions, are 

required to be submitted currently so 

that ACYF may determine whether the 

plan continues to meet Federal 

requirements and policies. 

(2) Submittal. Plans and revisions of 

the plans are submitted first to the State 

governor or his/her designee, or the 

Tribal leader or his/her designee for 

review and then to the regional office, 

ACYF. Title IV–E agencies are 

encouraged to obtain consultation of the 

regional staff when a plan is in process 

of preparation or revision. 

(3) Review. Staff in the regional offices 

are responsible for review of plans and 

amendments. They also initiate 

discussion with the title IV–E agency on 

clarification of significant aspects of the 

plan which come to their attention in 

the course of this review. Plan material 

on which the regional staff has 

questions concerning the application of 

Federal policy is referred with 

recommendations as required to the 

central office for technical assistance. 

Comments and suggestions, including 

those of consultants in specified areas, 

may be prepared by the central office for 

use by the regional staff in negotiations 

with the title IV–E agency. 

(4) Action. ACYF has the authority to 

approve plans and amendments thereto 

which provide for the administration of 

foster care maintenance payments and 

adoption assistance programs under 

section 471 of the Act. The 

Commissioner, ACYF, retains the 

authority to determine that proposed 

plan material is not approvable, or that 

a previously approved plan no longer 

meets the requirements for approval. 

The Regional Office, ACYF, formally 

notifies the title IV–E agency of the 

actions taken on plans or revisions. 

(5) Basis for approval. Determinations 

as to whether plans (including plan 

amendments and administrative 

practice under the plans) originally 

meet or continue to meet, the 

requirements for approval are based on 

relevant Federal statutes and 

regulations. 

(6) Prompt approval of plans. The 

determination as to whether a plan 

submitted for approval conforms to the 

requirements for approval under the Act 

and regulations issued pursuant thereto 

shall be made promptly and not later 

than the 45th day following the date on 

which the plan submittal is received in 

the regional office, unless the Regional 

Office, ACYF, has secured from the title 

IV–E agency a written agreement to 

extend that period. 

(7) Prompt approval of plan 

amendments. Any amendment of an 

approved plan may, at the option of the 

title IV–E agency, be considered as a 

submission of a new plan. If the title IV– 

E agency requests that such amendment 

be so considered, the determination as 

to its conformity with the requirements 

for approval shall be made promptly 

and not later than the 45th day 

following the date on which such a 

request is received in the regional office 

with respect to an amendment that has 

been received in such office, unless the 

Regional Office, ACYF, has secured 

from the title IV–E agency a written 

agreement to extend that period. In 

absence of request by a title IV–E agency 

that an amendment of an approved plan 

shall be considered as a submission of 

a new plan, the procedures under 

§ 201.6(a) and (b) shall be applicable. 

(8) Effective date. The effective date of 

a new plan may not be earlier than the 

first day of the calendar quarter in 

which an approvable plan is submitted, 

and with respect to expenditures for 

assistance under such plan, may not be 

earlier than the first day on which the 

plan is in operation on a statewide basis 

or, in the case of a Tribal title IV–E 

agency, in operation in the Tribal title 

IV–E agency’s entire service area. The 

same applies with respect to plan 

amendments. 

(d) Once the title IV–E plan has been 

submitted and approved, it shall remain 

in effect until amendments are required. 

An amendment is required if there is 

any significant and relevant change in 

the information or assurances in the 

plan, or the organization, policies or 

operations described in the plan. 

■ 26. In 1356.21 revise paragraphs (a), 

(b) introductory text, (b)(2)(i), (b)(3) 

introductory text, (b)(3)(i), the first 

sentence of (c), paragraphs (d)(2) and 

(3), paragraph (f), the first sentence of 

paragraph (g) introductory text, (g)(1) 

and (2), the second sentence of (g)(5), 

(h)(1), (h)(3) introductory text, 

paragraphs (i)(1) introductory text, 

(i)(1)(i) introductory text, (i)(1)(i)(D), the 

first sentence of (i)(1)(ii), paragraphs 

(i)(2) introductory text, (i)(2)(i), the first 

sentence of (i)(2)(ii), paragraphs 

(i)(2)(iii), (i)(3), (k)(2), paragraph (l) 

introductory text, paragraph (m) 

introductory text, paragraph (n) and 

paragraph (o) to read as follows: 

§ 1356.21 Foster care maintenance 

payments program implementation 

requirements. 

(a) Statutory and regulatory 

requirements of the Federal foster care 

program. To implement the foster care 

maintenance payments program 

provisions of the title IV–E plan and to 

be eligible to receive Federal financial 

participation (FFP) for foster care 

maintenance payments under this part, 

a title IV–E agency must meet the 

requirements of this section, 45 CFR 

1356.22, 45 CFR 1356.30, and sections 

472, 475(1), 475(4), 475(5), 475(6), and 

for a Tribal title IV–E agency section 

479(B)(c)(1)(C)(ii)(II) of the Act. 

(b) Reasonable efforts. The title IV–E 

agency must make reasonable efforts to 

maintain the family unit and prevent 

the unnecessary removal of a child from 

his/her home, as long as the child’s 

safety is assured; to effect the safe 

reunification of the child and family (if 

temporary out-of-home placement is 

necessary to ensure the immediate 

safety of the child); and to make and 

finalize alternate permanency plans in a 

timely manner when reunification is not 

appropriate or possible. In order to 

satisfy the ‘‘reasonable efforts’’ 

requirements of section 471(a)(15) (as 

implemented through section 472(a)(2) 

of the Act), the title IV–E agency must 

meet the requirements of paragraphs (b) 

and (d) of this section. In determining 

reasonable efforts to be made with 

respect to a child and in making such 

reasonable efforts, the child’s health and 

safety must be the paramount concern. 

* * * * * 

(2) * * * 

(i) The title IV–E agency must obtain 

a judicial determination that it has made 

reasonable efforts to finalize the 

permanency plan that is in effect 

(whether the plan is reunification, 

adoption, legal guardianship, placement 

with a fit and willing relative, or 

placement in another planned 

permanent living arrangement) within 

twelve months of the date the child is 

considered to have entered foster care in 


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accordance with the definition at 

§ 1355.20 of this part, and at least once 

every twelve months thereafter while 

the child is in foster care. 

* * * * * 

(3) Circumstances in which 

reasonable efforts are not required to 

prevent a child’s removal from home or 

to reunify the child and family. 

Reasonable efforts to prevent a child’s 

removal from home or to reunify the 

child and family are not required if the 

title IV–E agency obtains a judicial 

determination that such efforts are not 

required because: 

(i) A court of competent jurisdiction 

has determined that the parent has 

subjected the child to aggravated 

circumstances (as defined in State, or 

for a Tribal title IV–E agency, Tribal 

law, which definition may include but 

need not be limited to abandonment, 

torture, chronic abuse, and sexual 

abuse); 

* * * * * 

(c) Contrary to the welfare 

determination. Under section 472(a)(2) 

of the Act, a child’s removal from the 

home must have been the result of a 

judicial determination (unless the child 

was removed pursuant to a voluntary 

placement agreement) to the effect that 

continuation of residence in the home 

would be contrary to the welfare, or that 

placement would be in the best interest, 

of the child. * * * 

(d) * * * 

(2) Neither affidavits nor nunc pro 

tunc orders will be accepted as 

verification documentation in support 

of reasonable efforts and contrary to the 

welfare judicial determinations except 

for a Tribal title IV–E agency for the first 

12 months that agency’s title IV–E plan 

is in effect as provided for in section 

479B(c)(1)(C)(ii)(I) of the Act. 

(3) Court orders that reference State or 

Tribal law to substantiate judicial 

determinations are not acceptable, even 

if such law provides that a removal 

must be based on a judicial 

determination that remaining in the 

home would be contrary to the child’s 

welfare or that removal can only be 

ordered after reasonable efforts have 

been made. 

* * * * * 

(f) Case review system. In order to 

satisfy the provisions of section 

471(a)(16) of the Act regarding a case 

review system, each title IV–E agency’s 

case review system must meet the 

requirements of sections 475(5) and 

475(6) of the Act. 

(g) * * * In order to satisfy the case 

plan requirements of sections 

471(a)(16), 475(1) and 475(5)(A) and (D) 

of the Act, the title IV–E agency must 

promulgate policy materials and 

instructions for use by staff to determine 

the appropriateness of and necessity for 

the foster care placement of the child. 

* * * 

(1) Be a written document, which is 

a discrete part of the case record, in a 

format determined by the title IV–E 

agency, which is developed jointly with 

the parent(s) or guardian of the child in 

foster care; and 

(2) Be developed within a reasonable 

period, to be established by the title IV– 

E agency, but in no event later than 60 

days from the child’s removal from the 

home pursuant to paragraph (k) of this 

section; 

* * * * * 

(5) * * * When the case plan goal is 

adoption, at a minimum, such 

documentation shall include childspecific recruitment efforts such as the 

use of State, Tribal, regional, and 

national adoption exchanges including 

electronic exchange systems. 

(h) * * * 

(1) To meet the requirements of the 

permanency hearing, the title IV–E 

agency must, among other requirements, 

comply with section 475(5)(C) of the 

Act. 

* * * * * 

(3) If the title IV–E agency concludes, 

after considering reunification, 

adoption, legal guardianship, or 

permanent placement with a fit and 

willing relative, that the most 

appropriate permanency plan for a child 

is placement in another planned 

permanent living arrangement, the title 

IV–E agency must document to the court 

the compelling reason for the alternate 

plan. Examples of a compelling reason 

for establishing such a permanency plan 

may include: 

(i) * * * 

(1) Subject to the exceptions in 

paragraph (i)(2) of this section, the title 

IV–E agency must file a petition (or, if 

such a petition has been filed by another 

party, seek to be joined as a party to the 

petition) to terminate the parental rights 

of a parent(s): 

(i) Whose child has been in foster care 

under the responsibility of the title IV– 

E agency for 15 of the most recent 22 

months. The petition must be filed by 

the end of the child’s fifteenth month in 

foster care. In calculating when to file a 

petition for termination of parental 

rights, the title IV–E agency: 

* * * * * 

(D) Need only apply section 475(5)(E) 

of the Act to a child once if the title IV– 

E agency does not file a petition because 

one of the exceptions at paragraph (i)(2) 

of this section applies; 

(ii) Whose child has been determined 

by a court of competent jurisdiction to 

be an abandoned infant (as defined 

under State or for a Tribal title IV–E 

agency, Tribal law). * * * 

* * * * * 

(2) The title IV–E agency may elect 

not to file or join a petition to terminate 

the parental rights of a parent per 

paragraph (i)(1) of this section if: 

(i) At the option of the title IV–E 

agency, the child is being cared for by 

a relative; 

(ii) The title IV–E agency has 

documented in the case plan (which 

must be available for court review) a 

compelling reason for determining that 

filing such a petition would not be in 

the best interests of the individual child. 

* * * 

(iii) The title IV–E agency has not 

provided to the family, consistent with 

the time period in the case plan, 

services that the title IV–E agency 

deems necessary for the safe return of 

the child to the home, when reasonable 

efforts to reunify the family are 

required. 

(3) When the title IV–E agency files or 

joins a petition to terminate parental 

rights in accordance with paragraph 

(i)(1) of this section, it must 

concurrently begin to identify, recruit, 

process, and approve a qualified 

adoptive family for the child. 

* * * * * 

(k) * * * 

(2) A removal has not occurred in 

situations where legal custody is 

removed from the parent or relative and 

the child remains with the same relative 

in that home under supervision by the 

title IV–E agency. 

* * * * * 

(l) Living with a specified relative. For 

purposes of meeting the requirements 

for living with a specified relative prior 

to removal from the home under section 

472(a)(1) of the Act, all of the conditions 

under section 472(a)(3), and for Tribal 

title IV–E agencies section 

479B(c)(1)(C)(ii)(II) of the Act, one of the 

two following situations must apply: 

* * * * * 

(m) Review of payments and licensing 

standards. In meeting the requirements 

of section 471(a)(11) of the Act, the title 

IV–E agency must review at reasonable, 

specific, time-limited periods to be 

established by the agency: 

* * * * * 

(n) Foster care goals. The specific 

foster care goals required under section 

471(a)(14) of the Act must be 

incorporated into State law or Tribal 

law by statute, code, resolution, Tribal 

proceedings or administrative regulation 

with the force of law. 

(o) Notice and right to be heard. The 

title IV–E agency must provide the 


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foster parent(s) of a child and any 

preadoptive parent or relative providing 

care for the child with timely notice of 

and the opportunity to be heard in any 

proceedings held with respect to the 

child during the time the child is in the 

care of such foster parent, preadoptive 

parent, or relative caregiver. Notice of 

and opportunity to be heard does not 

include the right to standing as a party 

to the case. 

■ 27. In § 1356.22 revise paragraphs (a) 

introductory text, (a)(2) and (c) to read 

as follows: 

§ 1356.22 Implementation requirements for 

children voluntarily placed in foster care. 

(a) As a condition of receipt of Federal 

financial participation (FFP) in foster 

care maintenance payments for a 

dependent child removed from his 

home under a voluntary placement 

agreement, the title IV–E agency must 

meet the requirements of: 

* * * * * 

(2) Sections 422(b)(8) and 475(5) of 

the Act; 

* * * * * 

(c) The title IV–E agency must 

establish and maintain a uniform 

procedure or system, consistent with 

State or Tribal law, for revocation by the 

parent(s) of a voluntary placement 

agreement and return of the child. 

■ 28. In § 1356.30, revise paragraphs (a), 

(b) introductory text, and (c) 

introductory text, remove and reserve 

paragraph (d) and revise paragraph (e) to 

read as follows: 

§ 1356.30 Safety requirements for foster 

care and adoptive home providers. 

(a) The title IV–E agency must provide 

documentation that criminal records 

checks have been conducted with 

respect to prospective foster and 

adoptive parents. 

(b) The title IV–E agency may not 

approve or license any prospective 

foster or adoptive parent, nor may the 

title IV–E agency claim FFP for any 

foster care maintenance or adoption 

assistance payment made on behalf of a 

child placed in a foster home operated 

under the auspices of a child placing 

agency or on behalf of a child placed in 

an adoptive home through a private 

adoption agency, if the title IV–E agency 

finds that, based on a criminal records 

check conducted in accordance with 

paragraph (a) of this section, a court of 

competent jurisdiction has determined 

that the prospective foster or adoptive 

parent has been convicted of a felony 

involving: 

* * * * * 

(c) The title IV–E agency may not 

approve or license any prospective 

foster or adoptive parent, nor may the 

title IV–E agency claim FFP for any 

foster care maintenance or adoption 

assistance payment made on behalf of a 

child placed in a foster home operated 

under the auspices of a child placing 

agency or on behalf of a child placed in 

an adoptive home through a private 

adoption agency, if the title IV–E agency 

finds, based on a criminal records check 

conducted in accordance with 

paragraph (a) of this section, that a court 

of competent jurisdiction has 

determined that the prospective foster 

or adoptive parent has, within the last 

five years, been convicted of a felony 

involving: 

* * * * * 

(d) [Reserved] 

(e) In all cases where the State opted 

out of the criminal records check 

requirement, as permitted prior to the 

amendments made by section 152 of 

Public Law 109–248, the licensing file 

for that foster or adoptive family must 

contain documentation which verifies 

that safety considerations with respect 

to the caretaker(s) have been addressed. 

* * * * * 

■ 29. In § 1356.40 revise paragraphs (a), 

(b)(4), (d), (e) and (f) to read as follows: 

§ 1356.40 Adoption assistance program: 

Administrative requirements to implement 

section 473 of the Act. 

(a) To implement the adoption 

assistance program provisions of the 

title IV–E plan and to be eligible for 

Federal financial participation in 

adoption assistance payments under 

this part, the title IV–E agency must 

meet the requirements of this section 

and section 471(a), applicable 

provisions of section 473, and section 

475(3) of the Act. 

(b) * * * 

(4) Specify, with respect to 

agreements entered into on or after 

October 1, 1983, that the agreement 

shall remain in effect regardless of the 

place of residence of the adoptive 

parents at any given time. 

* * * * * 

(d) In the event an adoptive family 

moves from one place of residence to 

another, the family may apply for social 

services on behalf of the adoptive child 

in the new place of residence. If a 

needed service(s) specified in the 

adoption assistance agreement is not 

available in the new place of residence, 

the title IV–E agency making the 

original adoption assistance payment 

remains financially responsible for 

providing the specified service(s). 

(e) A title IV–E agency may make an 

adoption assistance agreement with 

adopting parent(s) who reside in 

another State or a Tribal service area. If 

so, all provisions of this section apply. 

(f) The title IV–E agency must actively 

seek ways to promote the adoption 

assistance program. 

■ 30. In § 1356.41 revise the first 

sentence of paragraph (a), paragraph (b), 

paragraphs (d), (e), paragraphs (f)(1) and 

(2), the second sentence of paragraph 

(g), paragraph (h), the first sentence of 

paragraph (i), paragraphs (j) and (k) to 

read as follows: 

§ 1356.41 Nonrecurring expenses of 

adoption. 

(a) The amount of the payment made 

for nonrecurring expenses of adoption 

shall be determined through agreement 

between the adopting parent(s) and the 

title IV–E agency administering the 

program. * * * 

(b) The agreement for nonrecurring 

expenses may be a separate document or 

a part of an agreement for either State, 

Tribal, or Federal adoption assistance 

payments or services. 

* * * * * 

(d) For purposes of payment of 

nonrecurring expenses of adoption, the 

title IV–E agency must determine that 

the child is a ‘‘child with special needs’’ 

as defined in section 473(c) of the Act, 

and that the child has been placed for 

adoption in accordance with applicable 

laws; the child need not meet the 

categorical eligibility requirements at 

section 473(a)(2). 

(e)(1) The title IV–E agency must 

notify all appropriate courts and all 

public and licensed private nonprofit 

adoption agencies of the availability of 

funds for the nonrecurring expenses of 

adoption of children with special needs 

as well as where and how interested 

persons may apply for these funds. This 

information should routinely be made 

available to all persons who inquire 

about adoption services. 

(2) The agreement for nonrecurring 

expenses must be signed at the time of 

or prior to the final decree of adoption. 

Claims must be filed with the title IV– 

E agency within two years of the date of 

the final decree of adoption. 

(f)(1) Funds expended by the title IV– 

E agency under an adoption assistance 

agreement, with respect to nonrecurring 

adoption expenses incurred by or on 

behalf of parents who adopt a child with 

special needs, shall be considered an 

administrative expenditure of the title 

IV–E Adoption Assistance Program. 

Federal reimbursement is available at a 

50 percent matching rate, for title IV–E 

agency expenditures up to $2,000, for 

any adoptive placement. 

(2) Title IV–E agencies may set a 

reasonable lower maximum which must 

be based on reasonable charges, 


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consistent with State, Tribal, and local 

practices, for special needs adoptions 

within the State or Tribal service area. 

The basis for setting a lower maximum 

must be documented and available for 

public inspection. 

* * * * * 

(g) * * * Payments for nonrecurring 

expenses shall be made either directly 

by the title IV–E agency or through 

another public or licensed nonprofit 

private agency. 

(h) When the adoption of the child 

involves a placement outside the State 

or Tribal service area, the title IV–E 

agency that enters into an adoption 

assistance agreement under section 

473(a)(1)(B)(ii) of the Act or under a 

State or Tribal subsidy program will be 

responsible for paying the nonrecurring 

adoption expenses of the child. In cases 

where there is placement outside the 

State or Tribal service area but no 

agreement for other Federal, Tribal, or 

State adoption assistance, the title IV–E 

agency in the jurisdiction in which the 

final adoption decree is issued will be 

responsible for reimbursement of 

nonrecurring expenses if the child 

meets the requirements of section 

473(c). 

(i) The term ‘‘nonrecurring adoption 

expenses’’ means reasonable and 

necessary adoption fees, court costs, 

attorney fees and other expenses which 

are directly related to the legal adoption 

of a child with special needs, which are 

not incurred in violation of State, Tribal 

or Federal law, and which have not 

been reimbursed from other sources or 

other funds. * * * 

(j) Failure to honor all eligible claims 

will be considered non-compliance by 

the title IV–E agency with title IV–E of 

the Act. 

(k) A title IV–E expenditure is 

considered made in the quarter during 

which the payment was made by a title 

IV–E agency to a private nonprofit 

agency, individual or vendor payee. 

■ 31. In § 1356.50 revise the section 

heading and paragraphs (a) and (b) to 

read as follows: 

§ 1356.50 Withholding of funds for noncompliance with the approved title IV–E 

plan. 

(a) To be in compliance with the title 

IV–E plan requirements, a title IV–E 

agency must meet the requirements of 

the Act and 45 CFR 1356.20, 1356.21, 

1356.30, and 1356.40 of this part. 

(b) To be in compliance with the title 

IV–E plan requirements, a title IV–E 

agency that chooses to claim FFP for 

voluntary placements must meet the 

requirements of the Act, 45 CFR 1356.22 

and paragraph (a) of this section; and 

* * * * * 

■ 32. In § 1356.60 revise paragraphs 

(a)(1)(i) and (a)(2), the heading of 

paragraph (b), paragraphs (b)(1)(i), 

(b)(2), (c) introductory text, and (e) to 

read as follows: 

§ 1356.60 Fiscal requirements (title IV–E). 

(a) * * * 

(1) Federal financial participation 

(FFP) is available to title IV–E agencies 

under an approved title IV–E plan for 

allowable costs in expenditures for: 

(i) Foster care maintenance payments 

as defined in section 475(4) of the Act, 

made in accordance with 45 CFR 

1356.20 through 1356.30, section 472 of 

the Act, and for a Tribal title IV–E 

agency, section 479B of the Act; 

(ii) Adoption assistance payments 

made in accordance with 45 CFR 

1356.20 and 1356.40, applicable 

provisions of section 473, section 475(3) 

and, for a Tribal title IV–E agency, 

section 479B of the Act. 

(2) Federal financial participation is 

available at the rate of the Federal 

medical assistance percentage as 

defined in section 1905(b), 474(a)(1) and 

(2) and 479B(d) of the Act as applicable, 

definitions, and pertinent regulations as 

promulgated by the Secretary, or his 

designee. 

(b) Federal matching funds for title 

IV–E agency training for foster care and 

adoption assistance under title IV–E. 

(1) * * * 

(i) Training personnel employed or 

preparing for employment by the title 

IV–E agency administering the plan, 

and; 

* * * * * 

(2) All training activities and costs 

funded under title IV–E shall be 

included in the agency’s training plan 

for title IV–B. 

* * * * * 

(c) Federal matching funds for other 

title IV–E agency administrative 

expenditures for foster care and 

adoption assistance under title IV–E. 

Federal financial participation is 

available at the rate of fifty percent 

(50%) for administrative expenditures 

necessary for the proper and efficient 

administration of the title IV–E plan. 

The State’s cost allocation plan shall 

identify which costs are allocated and 

claimed under this program. 

* * * * * 

(e) Federal matching funds for 

SACWIS/TACWIS. All expenditures of a 

title IV–E agency to plan, design, 

develop, install and operate the 

Statewide or Tribal automated child 

welfare information system approved 

under § 1355.52 of this chapter, shall be 

treated as necessary for the proper and 

efficient administration of the title IV– 

E plan without regard to whether the 

system may be used with respect to 

foster or adoptive children other than 

those on behalf of whom foster care 

maintenance or adoption assistance 

payments may be made under this part. 

■ 33. Add new § 1356.67 and § 1356.68 

to read as follows: 

§ 1356.67 Procedures for the transfer of 

placement and care responsibility of a child 

from a State to a Tribal title IV–E agency or 

an Indian Tribe with a title IV–E agreement. 

(a) Each State with a title IV–E plan 

approved under section 471 of the Act 

must establish and maintain procedures, 

in consultation with Indian Tribes, for 

the transfer of responsibility for the 

placement and care of a child under a 

State title IV–E plan to a Tribal title IV– 

E agency or an Indian Tribe with a title 

IV–E agreement in a way that does not 

affect a child’s eligibility for, or 

payment of, title IV–E and the child’s 

eligibility for medical assistance under 

title XIX of the Act. 

(b) The procedures must, at a 

minimum, provide for the State to: 

(1) Determine, if the eligibility 

determination is not already completed, 

the child’s eligibility under section 472 

or 473 of the Act at the time of the 

transfer of placement and care 

responsibility of a child to a Tribal title 

IV–E agency or an Indian Tribe with a 

title IV–E agreement. 

(2) Provide essential documents and 

information necessary to continue a 

child’s eligibility under title IV–E and 

Medicaid programs under title XIX to 

the Tribal title IV–E agency, including, 

but not limited to providing: 

(i) All judicial determinations to the 

effect that continuation in the home 

from which the child was removed 

would be contrary to the welfare of the 

child and that reasonable efforts 

described in section 471(a)(15) of the 

Act have been made; 

(ii) Other documentation the State has 

that relates to the child’s title IV–E 

eligibility under sections 472 and 473 of 

the Act; 

(iii) Information and documentation 

available to the agency regarding the 

child’s eligibility or potential eligibility 

for other Federal benefits; 

(iv) The case plan developed pursuant 

to section 475(1) of the Act, including 

health and education records of the 

child pursuant to section 475(1)(C) of 

the Act; and 

(v) Information and documentation of 

the child’s placement settings, including 

a copy of the most recent provider’s 

license or approval. 


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§ 1356.68 Tribal title IV–E agency 

requirements for in-kind administrative and 

training contributions from third-party 

sources. 

(a) Option to claim in-kind 

expenditures from third-party sources 

for non-Federal share of administrative 

and training costs. A Tribal title IV–E 

agency may claim allowable in-kind 

expenditures from third-party sources 

for the purpose of determining the nonFederal share of administrative or 

training costs subject to paragraphs (b) 

through (d) of this section. 

(b) In-kind expenditures for fiscal 

years 2010 and 2011—(1) 

Administrative costs. A Tribal title IV– 

E agency may claim allowable in-kind 

expenditures from third-party sources of 

up to 25 percent of the total 

administrative funds expended during a 

fiscal quarter pursuant to section 

474(a)(3)(C), (D) or (E) of the Act. 

(2) Training costs. A Tribal title IV– 

E agency may claim in-kind training 

expenditures of up to 12 percent of the 

total training funds expended during a 

fiscal year quarter pursuant to section 

474(a)(3)(A) and (B) of the Act, but only 

from the following sources: 

(i) A State or local government; 

(ii) An Indian Tribe, Tribal 

organization, or Tribal consortium other 

than the Indian Tribe, organization, or 

consortium submitting the title IV–E 

plan; 

(iii) A public institution of higher 

education; 

(iv) A Tribal College or University (as 

defined in section 316 of the Higher 

Education Act of 1965 (20 U.S.C. 

1059c)); and 

(v) A private charitable organization. 

(c) In-kind expenditures for fiscal 

years 2012 and thereafter—(1) 

Administrative costs. A Tribal title IV– 

E agency may claim in-kind 

expenditures from third-party sources of 

up to 50 percent of the total 

administrative funds expended during a 

fiscal quarter pursuant to section 

474(a)(3)(C), (D) or (E) of the Act. 

(2) Training costs. A Tribal title IV– 

E agency may claim in-kind training 

expenditures of up to 25 percent (or 30 

percent consistent with section 203(b) of 

Pub. L. 110–351) of the total training 

funds expended during each quarter of 

fiscal year 2012 pursuant to section 

474(a)(3)(A) and (B) of the Act. For 

fiscal year 2013 and thereafter, a Tribal 

title IV–E agency may claim in-kind 

training expenditures of up to 25 

percent of the total training funds 

expended during a fiscal quarter 

pursuant to section 474(a)(3)(A) and (B) 

of the Act. 

(3) Third-party sources. A Tribal title 

IV–E agency may claim in-kind training 

expenditures for training funds from 

any allowable third-party source. 

■ 34. In § 1356.71 revise paragraphs 

(a)(1) and (a)(2), (a)(3)(i), the heading 

and first sentence of (a)(3)(ii), (b)(1) and 

(b)(2), (c)(1), the second and fourth 

sentence of paragraph (c)(4), the first 

sentence of (c)(5), paragraph (d) 

introductory text, paragraphs (d)(1)(i), 

(d)(1)(iii), (d)(1)(v), (d)(2), paragraph 

(g)(1) introductory text, paragraphs 

(g)(2) and (3), (h)(1), (h)(3), (h)(4), (i)(1) 

introductory text, paragraph (i)(1)(i) and 

(i)(1)(ii), the second and third sentences 

of paragraph (i)(1)(iii), (i)(2) through (4), 

paragraph (j) introductory text, the first 

sentence of paragraph (j)(1) and 

paragraphs (j)(2) through (4) to read as 

follows: 

§ 1356.71 Federal review of the eligibility 

of children in foster care and the eligibility 

of foster care providers in title IV–E 

programs. 

(a) * * * 

(1) This section sets forth 

requirements governing Federal reviews 

of compliance with the title IV–E 

eligibility provisions as they apply to 

children and foster care providers under 

paragraphs (a) and (b) of section 472 of 

the Act. 

(2) The requirements of this section 

apply to title IV–E agencies that receive 

Federal payments for foster care under 

title IV–E of the Act. 

(3) * * * 

(i) Title IV–E agencies in substantial 

compliance. Title IV–E agencies 

determined to be in substantial 

compliance based on the primary 

review will be subject to another review 

in three years. 

(ii) Title IV–E agencies not in 

substantial compliance. Title IV–E 

agencies that are determined not to be 

in substantial compliance based on the 

primary review will develop and 

implement a program improvement plan 

designed to correct the areas of 

noncompliance. * * * 

(b) * * * 

(1) The review team must be 

composed of representatives of the title 

IV–E agency, and ACF’s Regional and 

Central Offices. 

(2) The title IV–E agency must 

provide ACF with the complete 

payment history for each of the sample 

and oversample cases prior to the onsite review. 

(c) * * * 

(1) The list of sampling units in the 

target population (i.e., the sampling 

frame) will be drawn by ACF statistical 

staff from the Adoption and Foster Care 

Analysis and Reporting System 

(AFCARS) data which are transmitted 

by the title IV–E agency to ACF. The 

sampling frame will consist of cases of 

children who were eligible for foster 

care maintenance payments during the 

reporting period reflected in a title IV– 

E agency’s most recent AFCARS data 

submission. For the initial primary 

review, if these data are not available or 

are deficient, an alternative sampling 

frame, consistent with one AFCARS sixmonth reporting period, will be selected 

by ACF in conjunction with the title IV– 

E agency. 

* * * * * 

(4) * * * When the total number of 

ineligible cases does not exceed eight, 

ACF can conclude with a probability of 

88 percent that in a population of 1000 

or more cases the population 

ineligibility case error rate is less than 

15 percent and the title IV–E agency 

will be considered in substantial 

compliance. * * * A title IV–E agency 

which meets this standard is considered 

to be in ‘‘substantial compliance’’ (see 

paragraph (h) of this section). * * * 

(5) A title IV–E agency which has 

been determined to be in 

‘‘noncompliance’’ (i.e., not in 

substantial compliance) will be required 

to develop a program improvement plan 

according to the specifications 

discussed in paragraph (i) of this 

section, as well as undergo a secondary 

review. * * * 

* * * * * 

(d) Requirements subject to review. 

Title IV–E agencies will be reviewed 

against the requirements of title IV–E of 

the Act regarding: 

(1) * * * 

(i) Judicial determinations regarding 

‘‘reasonable efforts’’ and ‘‘contrary to 

the welfare’’ in accordance with 

§ 1356.21(b) and (c), respectively; 

* * * 

(iii) Responsibility for placement and 

care vested with the title IV–E or other 

public agency per section 472(a)(2)(B) of 

the Act; 

* * * 

(v) Eligibility for AFDC under such 

State plan as it was in effect on July 16, 

1996 per section 472(a)(3) or 

479B(c)(1)(C)(ii)(II) of the Act, as 

appropriate. 

(2) Allowable payments made to 

foster care providers who comport with 

sections 471(a)(10), 471(a)(20), 472(b) 

and (c), and 479B(c)(2) of the Act and 

§ 1356.30. 

* * * * * 

(g) * * * 

(1) For each case being reviewed, the 

title IV–E agency must make available a 

licensing file which contains the 

licensing history, including a copy of 

the certificate of licensure/approval or 


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letter of approval, for each of the 

providers in the following categories: 

* * * * * 

(2) The licensing file must contain 

documentation that the title IV–E 

agency has complied with the safety 

requirements for foster and adoptive 

placements in accordance with 

§ 1356.30. 

(3) If the licensing file does not 

contain sufficient information to 

support a child’s placement in a 

licensed facility, the title IV–E agency 

may provide supplemental information 

from other sources (e.g., a computerized 

database). 

(h) * * * 

(1) Disallowances will be taken, and 

plans for program improvement 

required, based on the extent to which 

a title IV–E agency is not in substantial 

compliance with recipient or provider 

eligibility provisions of title IV–E, or 

applicable regulations in 45 CFR parts 

1355 and 1356. 

* * * * * 

(3) ACF will notify the title IV–E 

agency in writing within 30 calendar 

days after the completion of the review 

of whether the title IV–E agency is, or 

is not, operating in substantial 

compliance. 

(4) Title IV–E agencies which are 

determined to be in substantial 

compliance must undergo a subsequent 

review after a minimum of three years. 

(i) * * * 

(1) Title IV–E agencies which are 

determined to be in noncompliance 

with recipient or provider eligibility 

provisions of title IV–E, or applicable 

regulations in 45 CFR Parts 1355 and 

1356, will develop a program 

improvement plan designed to correct 

the areas determined not to be in 

substantial compliance. The program 

improvement plan will: 

(i) Be developed jointly by title IV–E 

agency and Federal staff; 

(ii) Identify the areas in which the 

title IV–E agency’s program is not in 

substantial compliance; 

(iii) * * * A title IV–E agency will 

have a maximum of one year in which 

to implement and complete the 

provisions of the program improvement 

plan unless State/Tribal legislative 

action is required. In such instances, an 

extension may be granted with the title 

IV–E agency and ACF negotiating the 

terms and length of such extension that 

shall not exceed the last day of the first 

legislative session after the date of the 

program improvement plan; and 

* * * * * 

(2) Title IV–E agencies determined not 

to be in substantial compliance as a 

result of a primary review must submit 

the program improvement plan to ACF 

for approval within 90 calendar days 

from the date the title IV–E agency 

receives written notification that it is 

not in substantial compliance. This 

deadline may be extended an additional 

30 calendar days when a title IV–E 

agency submits additional 

documentation to ACF in support of 

cases determined to be ineligible as a 

result of the on-site eligibility review. 

(3) The ACF Regional Office will 

intermittently review, in conjunction 

with the title IV–E agency, the title IV– 

E agency’s progress in completing the 

prescribed action steps in the program 

improvement plan. 

(4) If a title IV–E agency does not 

submit an approvable program 

improvement plan in accordance with 

the provisions of paragraphs (i)(1) and 

(2) of this section, ACF will move to a 

secondary review in accordance with 

paragraph (c) of this section. 

(j) Disallowance of funds. The amount 

of funds to be disallowed will be 

determined by the extent to which a 

title IV–E agency is not in substantial 

compliance with recipient or provider 

eligibility provisions of title IV–E, or 

applicable regulations in 45 CFR parts 

1355 and 1356. 

(1) Title IV–E agencies which are 

found to be in substantial compliance 

during the primary or secondary review 

will have disallowances (if any) 

determined on the basis of individual 

cases reviewed and found to be in 

error. * * * 

(2) Title IV–E agencies which are 

found to be in noncompliance during 

the primary review will have 

disallowances determined on the basis 

of individual cases reviewed and found 

to be in error, and must implement a 

program improvement plan in 

accordance with the provisions 

contained within it. A secondary review 

will be conducted no later than during 

the AFCARS reporting period which 

immediately follows the program 

improvement plan completion date on a 

sample of 150 cases drawn from the title 

IV–E agency’s most recent AFCARS 

data. If both the case ineligibility and 

dollar error rates exceed 10 percent, the 

title IV–E agency is not in compliance 

and an additional disallowance will be 

determined based on extrapolation from 

the sample to the universe of claims 

paid for the duration of the AFCARS 

reporting period (i.e., all title IV–E funds 

expended for a case during the 

quarter(s) that case is ineligible, 

including administrative costs). If either 

the case ineligibility or dollar rate does 

not exceed 10 percent, the amount of 

disallowance will be computed on the 

basis of payments associated with 

ineligible cases for the entire period of 

time the case has been determined to be 

ineligible. 

(3) The title IV–E agency will be liable 

for interest on the amount of funds 

disallowed by the Department, in 

accordance with the provisions of 45 

CFR 30.18. 

(4) Title IV–E agencies may appeal 

any disallowance actions taken by ACF 

to the HHS Departmental Appeals Board 

in accordance with regulations at 45 

CFR part 16. 

■ 35. In § 1356.83 revise the fifth and 

sixth sentences of paragraph (g)(55) and 

add a parenthetical OMB information 

collection statement at the end of the 

section, to read as follows: 

§ 1356.83 Reporting requirements and 

data elements. 

* * * * * 

(g) * * * 

(55) * * * Indicate ‘‘yes’’, ‘‘no’’, or 

‘‘don’t know’’ as appropriate. If the 

youth does not answer this question, 

indicate ‘‘declined.’’ 

* * * * * 

(This requirement has been approved by the 

Office of Management and Budget under 

OMB Control Number OMB 0970–0340. In 

accordance with the Paperwork Reduction 

Act of 1995, an agency may not conduct or 

sponsor, and a person is not required to 

respond to, a collection of information unless 

it displays a currently valid OMB control 

number.) 

■ 36. In § 1356.86 revise paragraph (e) to 

read as follows: 

§ 1356.86 Penalties for noncompliance. 

* * * * * 

(e) Interest. The State agency will be 

liable for interest on the amount of 

funds penalized by the Department, in 

accordance with the provisions of 45 

CFR 30.18. 

* * * * * 

■ 37. Revise Appendixes A and B to Part 

1356 to read as follows: 

Appendix A to Part 1356—NYTD Data 

Elements 

Element No. Element name Responses options Applicable population 

1 ................... State ......................................................... 2 digit FIPS code.

2 ................... Report date .............................................. CYYMM.


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Element No. Element name Responses options Applicable population 

CC = century year (i.e., 20).

YY = decade year (00–99).

MM = month (01–12).

3 ................... Record number ........................................ Encrypted, unique person identification 

number.

4 ................... Date of birth ............................................. CCYYMMDD.

CC = century year (i.e., 20).

YY = decade year (00–99).

MM = month (01–12).

DD= day (01–31).

5 ................... Sex ........................................................... Male.

Female.

6 ................... Race—American Indian or Alaska Native Yes ........................................................... All youth in served, baseline and followup populations. 

No.

7 ................... Race—Asian ............................................ Yes.

No.

8 ................... Race—Black or African American ........... Yes.

No.

9 ................... Race—Native Hawaiian or Other Pacific 

Islander.

Yes.

No.

10 ................. Race—White ............................................ Yes.

No.

11 ................. Race—Unknown ...................................... Yes.

No.

12 ................. Race—Declined ....................................... Yes.

No.

13 ................. Hispanic or Latino Ethnicity ..................... Yes.

No.

Unknown.

Declined.

14 ................. Foster care status—services ................... Yes ........................................................... Served population only. 

No.

15 ................. Local agency ............................................ FIPS code(s).

Centralized unit.

16 ................. Federally-recognized tribe ....................... Yes.

No.

17 ................. Adjudicated delinquent ............................ Yes.

No.

18 ................. Education level ........................................ Less than 6th grade ................................. Served population only. 

6th grade.

7th grade.

8th grade.

9th grade.

10th grade.

11th grade.

12th grade.

Postsecondary education or training.

College, at least one semester.

19 ................. Special education .................................... Yes.

No.

20 ................. Independent living needs assessment .... Yes.

No.

21 ................. Academic support .................................... Yes.

No.

22 ................. Post-secondary educational support ....... Yes.

No.

23 ................. Career preparation ................................... Yes.

No.

24 ................. Employment programs or vocational 

training.

Yes.

No.

25 ................. Budget and financial management .......... Yes.

No.

26 ................. Housing education and home management training.Yes.

No.

27 ................. Health education and risk prevention ...... Yes.

No.

28 ................. Family Support/Healthy Marriage Education.Yes.

No.

29 ................. Mentoring ................................................. Yes.


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Element No. Element name Responses options Applicable population 

No.

30 ................. Supervised independent living ................. Yes.

No.

31 ................. Room and board financial assistance ..... Yes.

No.

32 ................. Education financial assistance ................ Yes.

No.

33 ................. Other financial assistance ....................... Yes.

No.

34 ................. Outcomes reporting status ...................... Youth Participated ...................................

Youth Declined. 

Parent Declined. 

Youth Incapacitated. 

Incarcerated. 

Runaway/Missing. 

Unable to locate/invite. 

Death. 

Not in sample. 

Baseline and follow-up populations (with 

the exception of the response option 

‘‘not in sample’’ which is applicable to 

19-year olds in the follow-up only). 

35 ................. Date of outcome data collection .............. CCYYMMDD ............................................ Baseline and follow-up populations. 

CC = century year (i.e., 20).

YY = decade year (00–99).

MM = month (01–12).

DD = day (01–31).

36 ................. Foster care status-outcomes ................... Yes.

No.

37 ................. Current full-time employment .................. Yes.

No.

Declined.

38 ................. Current part-time employment ................. Yes.

No.

Declined.

39 ................. Employment-related skills ........................ Yes.

No.

Declined.

40 ................. Social Security ......................................... Yes.

No.

Declined.

41 ................. Educational aid ........................................ Yes.

No.

Declined.

42 ................. Public financial assistance ....................... Yes ........................................................... Follow-up population not in foster care. 

No.

Not applicable.

Declined.

43 ................. Public food assistance ............................. Yes.

No.

Not applicable.

Declined.

44 ................. Public housing assistance ....................... Yes.

No.

Not applicable.

Declined.

45 ................. Other financial support ............................ Yes ........................................................... Baseline and follow-up population. 

No.

Declined.

46 ................. Highest educational certification received High school diploma/GED.

Vocational certificate.

Vocational license.

Associate’s degree.

Bachelor’s degree.

Higher degree.

None of the above.

Declined.

47 ................. Current enrollment and attendance ......... Yes.

No.

Declined.

48 ................. Connection to adult .................................. Yes.

No.

Declined.

49 ................. Homelessness ......................................... Yes.

No.

Declined.

50 ................. Substance abuse referral ........................ Yes.

No.


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Element No. Element name Responses options Applicable population 

Declined.

51 ................. Incarceration ............................................ Yes.

No.

Declined.

52 ................. Children .................................................... Yes.

No.

Declined.

53 ................. Marriage at child’s birth ........................... Yes.

No.

Not applicable.

Declined.

54 ................. Medicaid ................................................... Yes.

No.

Don’t know.

Declined.

55 ................. Other health insurance ............................ Yes ........................................................... Baseline and follow-up population. 

No.

Don’t know.

Declined.

56 ................. Health insurance type—medical .............. Yes.

No.

Don’t know.

Not Applicable.

Declined.

57 ................. Health insurance type—mental health .... Yes.

No.

Don’t know.

Not applicable.

Declined.

58 ................. Health insurance type—prescription 

drugs.

Yes. 

No. 

Don’t know. 

Not applicable. 

Declined. 

Appendix B to Part 1356—NYTD Youth 

Outcome Survey 

Topic/element No. Question to youth and response 

options Definition 

INFORMATION TO COLLECT FROM ALL YOUTH SURVEYED FOR OUTCOMES, WHETHER IN FOSTER CARE OR NOT 

Current full-time employment (37) .. Currently are you employed fulltime? ‘‘Full-time’’ means working at least 35 hours per week at one or multiple jobs. 

lYes 

lNo 

lDeclined 

Current part-time employment (38) Currently are you employed parttime? ‘‘Part-time’’ means working at least 1–34 hours per week at one or 

multiple jobs. 

lYes 

lNo 

lDeclined 

Employment-related skills (39) ........ In the past year, did you complete 

an apprenticeship, internship, or 

other on-the-job training, either 

paid or unpaid? 

lYes 

lNo 

lDeclined 

This means apprenticeships, internships, or other on-the-job 

trainings, either paid or unpaid, that helped the youth acquire employment-related skills (which can include specific trade skills such 

as carpentry or auto mechanics, or office skills such as word processing or use of office equipment). 

Social Security (40) ......................... Currently are you receiving social 

security payments (Supplemental Security Income (SSI, 

Social Security Disability Insurance (SSDI), or dependents’ 

payments)? 

These are payments from the government to meet basic needs for 

food, clothing, and shelter of a person with a disability. A youth 

may be receiving these payments because of a parent or guardian’s disability, rather than his/her own. 

lYes 

lNo 

lDeclined 


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Topic/element No. Question to youth and response 

options Definition 

Educational Aid (41) ........................ Currently are you using a scholarship, grant, stipend, student 

loan, voucher, or other type of 

educational financial aid to 

cover any educational expenses? 

Scholarships, grants, and stipends are funds awarded for spending 

on expenses related to gaining an education. ‘‘Student loan’’ 

means a government-guaranteed, low-interest loan for students in 

post-secondary education. 

lYes 

lNo 

lDeclined 

Other financial support (45) ............ Currently are you receiving any 

periodic and/or significant financial resources or support from 

another source not previously 

indicated and excluding paid 

employment? 

lYes 

lNo 

lDeclined 

This means periodic and/or significant financial support from a 

spouse or family member (biological, foster or adoptive), child support that the youth receives or funds from a legal settlement. This 

does not include occasional gifts, such as birthday or graduation 

checks or small donations of food or personal incidentals, child 

care subsidies, child support for a youth’s child or other financial 

help that does not benefit the youth directly in supporting himself or 

herself. 

Highest educational certification received (46).What is the highest educational 

degree or certification that you 

have received? 

lHigh school diploma/GED 

lVocational certificate 

lVocational license 

lAssociate’s degree (e.g., A.A.) 

lBachelor’s degree (e.g., B.A. or 

B.S.) 

lHigher degree 

lNone of the above 

lDeclined 

‘‘Vocational certificate’’ means a document stating that a person has 

received education or training that qualifies him or her for a particular job, e.g., auto mechanics or cosmetology. ‘‘Vocational license’’ means a document that indicates that the State or local 

government recognizes an individual as a qualified professional in 

a particular trade or business. An Associate’s degree is generally a 

two-year degree from a community college, and a Bachelor’s degree is a four-year degree from a college or university. ‘‘Higher degree’’ indicates a graduate degree, such as a Masters or Doctorate 

degree. ‘‘None of the above’’ means that the youth has not received any of the above educational certifications. 

Current enrollment and attendance 

(47).

Currently are you enrolled in and 

attending high school, GED 

classes, post-high school vocational training, or college? 

lYes 

lNo 

lDeclined 

This means both enrolled in and attending high school, GED classes, 

or postsecondary vocational training or college. A youth is still considered enrolled in and attending school if the youth would otherwise be enrolled in and attending a school that is currently out of 

session (e.g., Spring break, summer vacation, etc.). 

Connection to adult (48) ................. Currently is there at least one 

adult in your life, other than your 

caseworker, to whom you can 

go for advice or emotional support? 

lYes 

lNo 

lDeclined 

This refers to an adult who the youth can go to for advice or guidance when there is a decision to make or a problem to solve, or for 

companionship to share personal achievements. This can include, 

but is not limited to, adult relatives, parents or foster parents. The 

definition excludes spouses, partners, boyfriends or girlfriends and 

current caseworkers. The adult must be easily accessible to the 

youth, either by telephone or in person. 

Homelessness (49) ......................... Have you ever been homeless? 

OR 

lIn the past two years, were you 

homeless at any time? 

lYes 

lNo 

lDeclined 

‘‘Homeless’’ means that the youth had no regular or adequate place 

to live. This includes living in a car, or on the street, or staying in a 

homeless or other temporary shelter. 

Substance abuse referral (50) ........ Have you ever referred yourself or 

has someone else referred you 

for an alcohol or drug abuse assessment or counseling? 

OR 

This includes either self-referring or being referred by a social worker, 

school staff, physician, mental health worker, foster parent, or other 

adult for an alcohol or drug abuse assessment or counseling. Alcohol or drug abuse assessment is a process designed to determine 

if someone has a problem with alcohol or drug use. 

In the past two years, did you 

refer yourself, or had someone 

else referred you for an alcohol 

or drug abuse assessment or 

counseling? 

lYes 

lNo 

lDeclined 

Incarceration (51) ............................ Have you ever been confined in a 

jail, prison, correctional facility, 

or juvenile or community detention facility, in connection with 

allegedly committing a crime? 

OR 

This means that the youth was confined in a jail, prison, correctional 

facility, or juvenile or community detention facility in connection 

with a crime (misdemeanor or felony) allegedly committed by the 

youth. 


pmangrum on DSK3VPTVN1PROD with RULES2
Federal Register / Vol. 77, No. 4 / Friday, January 6, 2012 / Rules and Regulations 957 

Topic/element No. Question to youth and response 

options Definition 

In the past two years, were you 

confined in a jail, prison, correctional facility, or juvenile or community detention facility, in connection with allegedly committing a crime? 

lYes 

lNo 

lDeclined 

Children (52) ................................... Have you ever given birth or fathered any children that were 

born? 

OR 

This means giving birth to or fathering at least one child that was 

born. If males do not know, answer ‘‘No.’’ 

In the past two years, did you give 

birth to or father any children 

that were born? 

lYes 

lNo 

lDeclined 

Marriage at Child’s Birth (53) .......... If you responded yes to the previous question, were you married to the child’s other parent at 

the time each child was born? 

This means that when every child was born the youth was married to 

the other parent of the child. 

lYes 

lNo 

lDeclined 

Medicaid (54) .................................. Currently are you on Medicaid [or 

use the name of the State’s 

medical assistance program 

under title XIX]? 

Medicaid (or the State medical assistance program) is a health insurance program funded by the government. 

lYes 

lNo 

lDon’t know 

lDeclined 

Other Health insurance Coverage 

(55).

Currently do you have health insurance, other than Medicaid? 

lYes 

lNo 

lDon’t know 

lDeclined 

‘‘Health insurance’’ means having a third party pay for all or part of 

health care. Youth might have health insurance such as group coverage offered by employers or schools, or individual policies that 

cover medical and/or mental health care and/or prescription drugs, 

or youth might be covered under parents’ insurance. This also 

could include access to free health care through a college, Indian 

Tribe, or other source. 

Health insurance type—medical 

(56).

Does your health insurance coverage include coverage for medical services? 

lYes 

lNo 

lDon’t know 

lNot Applicable 

lDeclined 

This means that the youth’s health insurance covers at least some 

medical services or procedures. This question is for only those 

youth who responded ‘‘yes’’ to having health insurance. 

Health insurance type—mental 

health (57).

Does your health insurance include coverage for mental 

health services? 

lYes 

lNo 

lDon’t know 

Not Applicable 

lDeclined 

This means that the youth’s health insurance covers at least some 

mental health services. This question is for only those youth who 

responded ‘‘yes’’ to having health insurance with medical coverage. 

Health insurance type—prescription 

drugs (58).

Does your health insurance include coverage for prescription 

drugs? 

lYes 

lNo 

lDon’t know 

lDeclined 

This means that the youth’s health insurance covers at least some 

prescription drugs. This question is for only those youth who responded ‘‘yes’’ to having health insurance with medical coverage. 


pmangrum on DSK3VPTVN1PROD with RULES2
958 Federal Register / Vol. 77, No. 4 / Friday, January 6, 2012 / Rules and Regulations 

Topic/element No. Question to youth and response 

options Definition 

ADDITIONAL OUTCOMES INFORMATION TO COLLECT FROM YOUTH OUT OF FOSTER CARE 

Public financial assistance (42) ...... Currently are you receiving ongoing welfare payments from the 

government to support your 

basic needs? [The State may 

add and/or substitute the 

name(s) of the State’s welfare 

program]. 

This refers to ongoing welfare payments from the government to support your basic needs. Do not consider payments or subsidies for 

specific purposes, such as unemployment insurance, child care 

subsidies, education assistance, food stamps or housing assistance in this category. 

lYes 

lNo 

lDeclined 

Public food assistance (43) ............. Currently are you receiving public 

food assistance? 

lYes 

lNo 

lDeclined 

Public food assistance includes food stamps, which are governmentissued coupons or debit cards that recipients can use to buy eligible food at authorized stores. Public food assistance also includes 

assistance from the Women, Infants and Children (WIC) program. 

Public housing assistance (44) ....... Currently are you receiving any 

sort of housing assistance from 

the government, such as living 

in public housing or receiving a 

housing voucher? 

lYes 

lNo 

lDeclined 

Public housing is rental housing provided by the government to keep 

rents affordable for eligible individuals and families, and a housing 

voucher allows participants to choose their own housing while the 

government pays part of the housing costs. This does not include 

payments from the child welfare agency for room and board payments. 

[FR Doc. 2011–32911 Filed 1–5–12; 8:45 am] 

BILLING CODE P 


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