Vol. 80 Monday, 

No. 26 February 9, 2015 

Part III 

Department of Health and Human Services 

Administration for Children and Families 

45 CFR Part 1355 

Adoption and Foster Care Analysis and Reporting System; Proposed Rule 

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7132 Federal Register / Vol. 80, No. 26 / Monday, February 9, 2015 / Proposed Rules 

DEPARTMENT OF HEALTH AND 

HUMAN SERVICES 

Administration for Children and 

Families 

45 CFR Part 1355 

RIN 0970–AC47 

Adoption and Foster Care Analysis 

and Reporting System 

AGENCY: Administration on Children, 

Youth and Families (ACYF), 

Administration for Children and 

Families (ACF), Department of Health 

and Human Services (HHS). 

ACTION: Notice of proposed rulemaking. 

SUMMARY: The Administration for 

Children and Families (ACF) proposes 

to amend the Adoption and Foster Care 

Analysis and Reporting System 

(AFCARS) regulations. This notice of 

proposed rulemaking (NPRM) builds on 

an earlier proposed rule, published 

January 11, 2008 that addressed the 

requirements for State title IV–E 

agencies to collect and report data to 

ACF on children who are in out-ofhome care and in subsidized adoption 

or guardianship arrangements with the 

State and AFCARS penalty 

requirements of the Adoption 

Promotion Act of 2003. This NPRM 

proposes many of the same changes and 

additions as the earlier NPRM and 

includes several new modifications to 

address changes made by the Fostering 

Connections to Success and Increasing 

Adoptions Act of 2008, such as 

collecting and reporting data related to 

the title IV–E guardianship assistance 

program, sibling placement, the 

extension of title IV–E assistance to 

children age 18 or older, educational 

stability plans and transition plans for 

children in foster care and the inclusion 

of Tribal title IV–E agencies. 

Additionally, modifications were made 

to address new requirements in the 

Preventing Sex Trafficking and 

Strengthening Families Act, which was 

enacted on September 29, 2014 to 

include information on: Victims of sex 

trafficking, children in foster care who 

are pregnant or parenting, and children 

in non-foster family settings. 

DATES: In order to be considered, we 

must receive written comments on this 

NPRM on or before April 10, 2015. 

ADDRESSES: Interested persons are 

invited to submit written comments 

regarding this proposed rule via regular 

postal mail to Kathleen McHugh, 

Division of Policy, Children’s Bureau, 

Administration on Children, Youth and 

Families, Administration for Children 

and Families, 1250 Maryland Avenue 

SW., 8th Floor, Washington, DC 20024. 

Please be aware that mail sent to us may 

take an additional 3–4 days to process 

due to changes in mail handling 

resulting from the anthrax crisis of 

October 2001. If you choose to use an 

express, overnight or other special 

delivery method, please ensure first that 

they are able to deliver to the above 

address. You may also transmit 

comments electronically via the Internet 

at http://www.regulations.gov/. We urge 

you to submit comments electronically 

to ensure they are received in a timely 

manner. Please be sure to include 

identifying information on any 

correspondence. To download an 

electronic version of the proposed rule, 

you should access http://

www.regulations.gov/. Comments will 

be available for public inspection 

Monday through Friday 7:30 a.m. to 

4:00 p.m. at the above address by 

contacting Kathleen McHugh at (202) 

401–5789. 

Comments that concern information 

collection requirements must be sent to 

the Office of Management and Budget 

(OMB) at the address listed in the 

Paperwork Reduction Act (PRA) section 

of this preamble. A copy of these 

comments also may be sent to the 

Department representative listed above. 

FOR FURTHER INFORMATION CONTACT: 

Kathleen McHugh, Children’s Bureau, 

Administration on Children, Youth and 

Families, (202) 401–5789 or by email at 

kathleen.mchugh@acf.hhs.gov. Do not 

email comments on the NPRM to this 

address. 

SUPPLEMENTARY INFORMATION: 

Contents 

I. Executive Summary per Executive Order 

13563 

II. Background on Foster Care and Adoption 

Data Collection 

III. Consultation and Regulation 

Development 

IV. Overview of Major Proposed Revisions to 

AFCARS 

V. Section-by-Section Discussion of NPRM 

VI. Regulatory Impact Analysis 

VII. Regulatory Flexibility Analysis 

VIII. Unfunded Mandates Reform Act 

IX. Paperwork Reduction Act 

X. Congressional Review Act 

XI. Assessment of Federal Regulations on 

Policies and Families 

XII. Executive Order 13132 

XIII. Tribal Consultation Statement 

I. Executive Summary per Executive 

Order 13563 

Executive Order 13563 requires that 

regulations be accessible, consistent, 

written in plain language, and easy to 

understand. This means that regulatory 

preambles for lengthy or complex rules 

(both proposed and final) must include 

executive summaries. Below is the 

executive summary for this AFCARS 

NPRM. 

(1) Purpose of the AFCARS NPRM 

(a) The need for the regulatory action 

and how the action will meet that need: 

The AFCARS regulations need to be 

revised and updated to: (1) Incorporate 

statutory requirements since 1993; (2) 

implement our statutory authority to 

assess penalties for noncompliant data 

submissions; (3) enhance the type and 

quality of information title IV–E 

agencies report to ACF by modifying 

and expanding data elements and 

requiring title IV–E agencies to submit 

historical data; and (4) remove outdated 

and antiquated requirements that will 

allow title IV–E agencies and ACF to 

keep the pace with new technology. Per 

existing regulations, title IV–E agencies 

must submit data on a semi-annual basis 

to ACF and we propose this to remain 

the same. The regulations specify the 

reporting population, standards for 

compliance, and all data elements and 

methods for capturing and reporting 

AFCARS data. In large part title IV–E 

agencies report the child’s information 

as of a certain date in the six-month 

report period rather than a detailed 

accounting of events that may have 

occurred over the six-month report 

period while in foster care. This NPRM 

allows us to gather longitudinal data 

and improve the data collected by 

including more comprehensive data on 

children in foster care and adding new 

data elements to better measure child 

welfare performance and outcomes of 

children and families. 

(b) Legal authority for the NPRM: The 

existing regulations (at 45 CFR 1355.40 

and the appendices to part 1355) were 

published in December 1993 in 

response to a statutory mandate for 

adoption and foster care data in section 

479 of the Social Security Act (the Act). 

That mandate remains in effect. In 

addition, section 474(f) of the Act 

requires that the Secretary impose 

penalties for failure to submit AFCARS 

data under certain circumstances. 

Section 1102 of the Act instructs the 

Secretary to promulgate regulations 

necessary for the effective 

administration of the functions for 

which she is responsible under the Act. 

The Department must have, per section 

479 of the Act, a data collection system 

which provides comprehensive national 

information on: 

• The demographic characteristics of 

adopted and foster children and their 

parents; 

• the status and characteristics of the 

foster care population; 

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• the number and characteristics of 

children entering and exiting foster care, 

children adopted and children placed in 

living arrangements outside of the 

responsible title IV–E agency; 

• the extent and nature of assistance 

provided by government programs for 

foster care and adoption and the 

characteristics of the children that 

receive the assistance; and 

• the number of foster children 

identified as sex trafficking victims 

before entering or while in foster care. 

(2) Summary of the Major Provisions of 

the NPRM 

(a) Reporting Populations. We 

propose two reporting populations: The 

out-of-home care reporting population 

and the adoption and guardianship 

assistance reporting population. We 

propose to define the out-of-home care 

reporting population to include a child 

of any age who is in foster care or a 

child who has run away or whose 

whereabouts are unknown at the time 

the title IV–E agency becomes 

responsible for the child. Once the child 

enters foster care, he or she remains in 

the out-of-home care reporting 

population until the title IV–E agency’s 

responsibility for the child ends. This 

proposal is very similar to current 

AFCARS practice. The adoption and 

guardianship assistance reporting 

population includes any child who is in 

a finalized adoption under a title IV–E 

adoption assistance agreement and any 

child who is in a legal guardianship 

under a title IV–E guardianship 

assistance agreement. Agencies continue 

to report a child through the report 

period in which his or her title IV–E 

agreement ends. 

(b) Data Structure. As stated above, 

we propose that title IV–E agencies 

report AFCARS information in two 

separate data files: an out-of-home care 

data file and an adoption and 

guardianship assistance data file. 

• For the out-of-home care data file, 

title IV–E agencies will report a 

combination of point-in-time 

information that’s not likely to change 

(e.g., demographics) and information on 

the events in the child’s life over time, 

including every time the child enters or 

exits foster care and every placement 

change. This will support longitudinal 

and cohort analysis of the data that will 

be particularly useful for the Child and 

Family Services Reviews (CFSRs) and 

ACF’s other efforts to analyze 

performance with respect to child and 

family outcomes. 

• For the adoption and guardianship 

assistance data file, title IV–E agencies 

will report information that describe the 

circumstances of the child and adoptive 

family or guardians at a single point-intime in the report period. This 

information is not likely to change over 

time. 

(c) Data Elements. We propose to 

keep and revise the vast majority of data 

elements currently in AFCARS and add 

new data elements. We modify existing 

out-of-home care data elements on the 

child’s placements, circumstances 

surrounding the child at removal, prior 

adoptions, and reasons for exiting care, 

among others. These modifications are 

necessary to clarify data element 

descriptions and conform to the new 

data structure. We propose new data 

elements that will allow us to better 

understand the characteristics of 

children in foster care and provide 

better context for their outcomes. Some 

of these include: 

• Timely plans to transition out of 

foster care and the frequency of 

caseworker visits; 

• the child’s educational level, 

educational stability and involvement 

with special education; 

• existing and previous health, 

behavioral and mental health 

conditions, and information on the 

timeliness of health assessments; 

• domestic and intercountry 

adoptions and prior adoptions and 

guardianships; and 

• new elements to better track Tribal, 

State and Federal financial support of 

foster care, adoption and guardianships. 

(d) Compliance and Penalties. The 

proposed rule will strengthen our ability 

to hold title IV–E agencies accountable 

for submitting quality data. A title IV– 

E agency must meet basic file standards, 

such as timely data file submissions and 

more specific data quality standards, 

such as 10 percent or less of a variety 

of errors for its out-of-home care data 

file. A title IV–E agency that does not 

meet the standards upon initial 

submission of the data will have six 

months to correct and submit its data. 

If a title IV–E agency does not meet the 

standards after corrective action, ACF 

will apply the penalties required in 

statute. Penalty amounts are one-sixth of 

one percent of the agency’s title IV–E 

foster care administrative funds for 

initial noncompliance and one-fourth of 

one percent of such funds for continued 

noncompliance. 

(3) Costs and Benefits 

We have determined that the costs to 

title IV–E agencies as a result of this rule 

will not be significant. We estimate that 

costs will be approximately $24 million 

annually for AFCARS for the first five 

years of implementation, half of which 

($12 million) we estimate will be 

reimbursed by the Federal government 

as allowable costs under title IV–E. 

Depending on the cost category and 

each agency’s approved plans for title 

IV–E and cost allocation, they may 

claim allowable costs as Automated 

Child Welfare Information System costs 

at the 50 percent rate, administrative 

costs for the proper and efficient 

administration of the title IV–E plan at 

the 50 percent rate, or training of agency 

staff at the 75 percent rate. Many title 

IV–E agencies already collect the 

information proposed in this NPRM. 

Other existing data sets cannot yield 

similar information because AFCARS is 

the only national, comprehensive caselevel data set on the incidence and 

experiences of children who are in 

foster care and/or achieve adoption or 

guardianship with the involvement of 

the State or Tribal title IV–E agency. 

Further, we are required by section 479 

of the Act to establish and maintain 

such a data system, so other data 

sources could not meet our statutory 

mandate. 

II. Background on Foster Care and 

Adoption Data Collection 

In 1982, the Department of Health and 

Human Services (HHS), through a grant 

to the American Public Human Services 

Association (formerly the American 

Public Welfare Association), 

implemented the Voluntary Cooperative 

Information System (VCIS) to collect 

aggregate information annually about 

children in foster care and special needs 

adoptions from State child welfare 

agencies. While some States reported 

data to VCIS, by 1986, Congress and 

other stakeholders recognized that there 

were a number of weaknesses in VCIS. 

Namely, VCIS was criticized for 

intermittent reporting by the States, the 

use of a variety of report periods, a lack 

of common definitions for data 

elements, a lack of timeliness of the 

data, poor data quality and the 

collection of aggregate data that had 

limited analytic utility. 

As a result of these and other 

concerns, the President signed the 

Omnibus Budget Reconciliation Act of 

1986 (Pub. L. 99–509) on October 21, 

1986, which in part added section 479 

to title IV–E of the Act. Section 479 of 

the Act describes the series of steps that 

HHS was required to take to establish a 

national data collection system for foster 

care and adoption. We were required to 

develop a system that avoids 

unnecessary diversion of resources from 

agencies responsible for adoption and 

foster care and assures that the data 

collected is reliable and consistent over 

time and across jurisdictions through 

the use of uniform definitions and 

methodologies. Furthermore, the law 

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required the system to provide 

comprehensive national information on 

the demographic characteristics of 

adopted and foster children and their 

parents (biological, foster and/or 

adoptive parents); the status of the foster 

care population (including the number 

of children in foster care, length and 

type of placement, availability for 

adoption and goals for ending or 

continuing foster care); the number and 

characteristics of children placed in or 

removed from foster care; children 

adopted or whose adoptions have been 

terminated; children placed in foster 

care outside the State that has 

placement and care responsibility; and, 

the extent and nature of assistance 

provided by Federal, State and local 

adoption and foster care programs and 

the characteristics of the children to 

whom such assistance is provided. 

On August 19, 1993, the President 

signed into law the Omnibus Budget 

Reconciliation Act of 1993 (Pub. L. 103– 

66). Public Law 103–66 provided State 

title IV–E agencies with the opportunity 

to obtain title IV–E funds to plan, 

design, develop and implement a 

Statewide Automated Child Welfare 

Information System (SACWIS). On 

December 22, 1993, ACF published a 

final rule to establish AFCARS and 

implement SACWIS. In the AFCARS 

final rule, we required State title IV–E 

agencies to submit certain data to us on 

a semi-annual basis about children in 

foster care and adoptions that involve 

the State title IV–E agency. The rule 

required State title IV–E agencies that 

chose to develop a SACWIS to ensure 

that their system collected the AFCARS 

data and reported the data to ACF. We 

also set forth a minimum set of data 

standards that each State title IV–E 

agency had to meet in order to be in 

compliance with the AFCARS 

requirements and not be assessed a 

penalty. 

State title IV–E agencies were 

required to report the first AFCARS data 

to us for Federal fiscal fear (FFY) 1995. 

However, it was not until FFY 1998, 

when we implemented AFCARS 

financial penalties for a State title 

IV–E agency not submitting data or 

submitting data of poor quality that the 

data became stable enough for ACF and 

others to use for a wide variety of 

purposes. 

On November 19, 1997, four years 

after SACWIS funding was made 

available, the President signed the 

Adoption and Safe Families Act of 1997 

(Pub. L. 105–89), which required the use 

of AFCARS data for two specific 

activities the calculation of Adoption 

and Legal Guardianship Incentive 

Payments (section 473A of the Act) and 

the Child Welfare Outcomes Annual 

Report (section 479A of the Act). Since 

that time, data from AFCARS also has 

been used to provide samples for the 

current CFSRs and title IV–E reviews, 

develop outcome and performance 

measures for the current CFSRs and the 

Government Performance and Results 

Act (GPRA), calculate State allocations 

for the Chafee Foster Care Independence 

Program (section 477 of the Act), 

generate short- and long-term budget 

projections, conduct trend analyses for 

short- and long-term program planning 

and respond to requests for information 

from the Congress, other Federal 

agencies, States, media and the public 

about children in foster care and 

children being adopted. 

While AFCARS data is used for many 

purposes, there are no penalties 

currently for non-compliant data 

submissions. Due to a settlement of 

several States’ appeals of AFCARS 

penalties, ACF discontinued 

withholding Federal funds for a title 

IV–E agency’s failure to comply with 

AFCARS requirements in January 2002 

(see ACYF–CB–IM–02–03). However, on 

December 2, 2003 the President signed 

the Adoption Promotion Act of 2003 

(Pub. L. 108–145), which required ACF 

to institute specific financial penalties 

for a State title IV–E agency’s 

noncompliance with AFCARS 

requirements. We notified State title 

IV–E agencies in ACYF–CB–IM–04–04, 

issued February 17, 2004, that we would 

not assess penalties until we issued 

revised final AFCARS regulations. 

Ten months after the publication of 

the 2008 Notice of Proposed Rule 

Making (hereafter referred to as the 2008 

NPRM), on October 7, 2008 (73 FR 

2082), the President signed into law the 

Fostering Connections to Success and 

Increasing Adoptions Act of 2008 (Pub. 

L. 110–351). Public Law 110–351 

amended title IV–E of the Act to create 

an option for title IV–E agencies to 

provide kinship guardianship assistance 

payments, to extend eligibility for title 

IV–E payments up to age 21, to de-link 

adoption assistance from Aid to 

Families with Dependent Children 

(AFDC) eligibility through an eight-year 

phase-in and to provide federallyrecognized Indian Tribes and Tribal 

organizations or consortia with the 

option to operate a title IV–E program 

directly, among many other provisions. 

These recent statutory changes to the 

title IV–E program are significant and 

thus contributed to our decision to issue 

a new NPRM rather than proceed with 

a final rule based on the 2008 NPRM. 

We conducted additional consultation 

through a Request for Comment 

published in the Federal Register on 

July 23, 2010 (75 FR 43187). 

Public Law 110–351 also required 

HHS to issue an Interim Final Rule (IFR) 

implementing the inclusion of Tribal 

title IV–E agencies. We published the 

IFR on January 6, 2012 (77 FR 896), 

which defined ‘‘title IV–E agency’’ as 

the State or Tribal agency administering 

or supervising the administration of the 

title IV–B and title IV–E plans. The IFR 

also revised the regulations at 45 CFR 

1355.40 and the appendices to part 1355 

to apply the AFCARS requirements to 

all title IV–E agencies. 

In September 2014, the President 

signed into law the Preventing Sex 

Trafficking and Strengthening Families 

Act (Pub. L. 113–183). Public Law 113– 

183 modified the AFCARS requirements 

in section 479 of the Act, the annual 

Child Welfare Outcomes Report in 

section 479A of the Act, and added 

several reports to Congress requiring the 

collection and reporting of certain 

information. This includes information 

on victims of sex trafficking, children in 

foster care who are pregnant or 

parenting, and children in foster care in 

non-foster family settings and the 

services they receive. 

III. Consultation and Regulation 

Development 

In the preamble to the AFCARS final 

regulation issued December 22, 1993, 

we indicated that we would revisit the 

regulations to assess how we may 

improve AFCARS (58 FR 67917). Prior 

to the publication of the 2008 NPRM, 

we analyzed the types of technical 

assistance requested by and provided to 

title IV–E agencies, our findings from 

AFCARS Assessment Reviews and 

reports from the past several years 

issued by the Government 

Accountability Office (GAO) and the 

Department’s Office of the Inspector 

General (OIG) on AFCARS-related 

issues. We included in the 2008 NPRM 

an extensive discussion of the 

consultation process we conducted 

through a variety of focus groups and a 

Federal Register notice published on 

April 28, 2003 (68 FR 22386). 

In the 2008 NPRM, we focused 

improvements on five general areas by 

restructuring the data to capture more 

information over time, expanding and 

clarifying the reporting populations, 

capturing greater detail on children in 

out-of-home care, improving the quality 

of data and eliminating unnecessary 

data and inefficiencies in the data 

submission process. Specifically, we 

proposed that AFCARS data support 

longitudinal data analysis by capturing 

comprehensive information on the 

child’s experience in the title IV–E 

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agency’s foster care system. We also 

proposed to expand the out-of-home 

care reporting population to include all 

children placed away from their parents 

or legal guardians for whom the title 

IV–E agency has placement and care 

responsibility. This proposal included 

children who were placed in juvenile 

justice facilities under the title IV–E 

agency’s placement and care 

responsibility, but who never entered 

foster care. We also added and clarified 

a number of data elements so that title 

IV–E agencies could provide us with 

greater detail on the demographics and 

circumstances of children in out-ofhome care. The proposed changes to the 

out-of-home care reporting population 

were designed to permit an enhanced 

analysis of the factors that may affect a 

child’s permanency and well-being. 

We also proposed in the 2008 NPRM 

to improve AFCARS data quality in 

several ways by clarifying existing data 

element descriptions, strengthening the 

assessment and identification of errors 

within a title IV–E agency’s data file, 

and developing cross-file checks to 

identify defaults and other faulty 

programming that resulted in skewed 

data across the title IV–E agency’s entire 

data file. We proposed to implement 

penalties for title IV–E agencies that do 

not meet our data file and data quality 

standards for AFCARS consistent with 

section 474(f) of the Act. In addition, we 

proposed to eliminate features that are 

no longer useful such as removing the 

requirement that the title IV–E agency 

report summary adoption and foster 

care data files, merging most of the 

currently reported adoption information 

into the out-of-home care data file and 

removing outdated technical submission 

requirements from the regulation. 

In response to the 2008 NPRM, we 

received comments from 77 State and 

local child welfare administrators, 

advocates, educators, researchers and 

members of the public. While many 

commenters supported the overall 

direction of the NPRM, they also had 

many specific areas of concern, which 

are detailed in the next section and 

throughout the NPRM. Most 

commenters expressed overwhelming 

support for the shift to longitudinal 

reporting on children entering, currently 

in and exiting foster care. Commenters 

also generally supported the idea that 

longitudinal data is more valuable and 

beneficial than current point-in-time 

data reporting for evaluating child 

welfare outcomes. However, several 

commenters expressed concerns about 

implementing a longitudinal 

methodology for AFCARS data with 

existing data systems and resources. 

In response to the 2008 NPRM 

commenters expressed concern with our 

proposed expansion of the out-of-home 

care reporting population to include 

children who were under the placement 

and care responsibility of the title 

IV–E agency but whose only living 

arrangement was a juvenile justice 

facility. Commenters questioned how 

the title IV–E agency would obtain 

detailed information for AFCARS on the 

children in juvenile justice facilities. 

However, commenters did support 

collecting information on children in 

foster care who also are involved with 

the juvenile justice system. Commenters 

also opposed our proposal to consider a 

placement at home as a discharge 

because it could artificially inflate the 

rate of foster care re-entry if the child reentered foster care after the placement at 

home. 

Commenters in response to the 2008 

NPRM generally supported our 

proposals to collect information on the 

child’s prior adoptions and whether the 

child has siblings in out-of-home care or 

siblings who are adopted or in a legal 

guardianship. Commenters also 

supported our proposal to expand our 

collection of child and family 

circumstances that are present at the 

child’s removal, but commenters 

opposed collecting that information at 

any point beyond removal. Commenters 

also requested that the AFCARS data 

elements incorporate kin as an 

additional relationship type between the 

child and/or the child’s family and the 

foster parent(s), adoptive parent(s) or 

legal guardian(s). The section-by-section 

discussion of the proposed rule that 

follows in the preamble addresses 

public comments received in response 

to the 2008 NPRM and how they were 

considered in this proposed rule. 

As we synthesized and analyzed 

comments from the 2008 NPRM, the 

President signed into law Public Law 

110–351. As stated above, based in part 

on the significant statutory changes to 

the title IV–E program, we decided to 

issue a new NPRM rather than proceed 

with a final rule based on the 2008 

NPRM. To inform our development of 

this NPRM, we requested comments 

through a Federal Register notice 

published on July 23, 2010 (75 FR 

43187) (hereto referred as the 2010 FR 

Notice) and conducted another round of 

consultation sessions with States, 

Indian Tribes, Tribal organizations or 

consortia and other interested parties in 

the Summer and Fall of 2010. 

Our consultation from the 2010 

Federal Register (FR) Notice yielded 53 

comments from the public, including 

State and local child welfare 

administrators, Indian Tribes, Tribal 

organizations or consortia, advocates, 

educators and researchers. During 

consultation we solicited feedback on 

• Whether and how data collection 

and reporting requirements should 

change in order to provide a 

comprehensive national picture of 

children in foster care and those 

adopted with the involvement of the 

title IV–E agency; 

• The circumstances under which a 

child should be included in the 

reporting population and the 

information the title IV–E agency should 

collect on children in its placement and 

care responsibility who are placed in 

settings other than foster family homes, 

group homes and child care institutions; 

• The case level data on children in 

foster care, adoption and guardianship 

that is important to collect and report on 

an ongoing basis, including data that is 

not collected currently, that can inform 

and support Federal monitoring 

activities of the new provisions of title 

IV–E of the Act created by Public Law 

110–351; 

• The case level data on children in 

foster care that should be collected and 

reported that would provide insight into 

the environment and circumstances 

surrounding the child at removal, 

including why a child remains in foster 

care or why a child’s permanency plan 

changes; and, 

• What information should be 

collected about caseworker visits with a 

child. 

Many commenters in response to the 

2010 FR Notice echoed the support 

expressed by commenters to the 2008 

NPRM to restructure AFCARS to 

support longitudinal data analysis in 

order to provide a comprehensive 

national picture of children who are 

involved with the title IV–E agency. 

Commenters to the 2010 FR Notice felt 

that it is important to include in the 

AFCARS out-of-home care reporting 

population and title IV–E guardianship 

and adoption assistance reporting 

population children age 18 or older who 

are involved with the title IV–E agency 

and to track accurately in AFCARS 

children who are in the placement and 

care responsibility of the Tribal title 

IV–E agency. However, commenters also 

expressed concern with the burden 

associated with reporting a longitudinal 

data file and additional data elements to 

AFCARS. Commenters to the 2010 FR 

Notice asked us to be clear about who 

would be included in each reporting 

population and asked that we consider 

aligning the AFCARS data elements 

with data elements from other data 

systems, such as the National Child 

Abuse and Neglect Data System 

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(NCANDS) and the National Youth in 

Transition Database (NYTD). 

Some commenters to the 2010 FR 

Notice felt that most of the information 

associated with the new provisions 

created by Public Law 110–351 could be 

collected through case narratives in the 

child’s record, rather than through 

AFCARS. Commenters also expressed 

that it would be difficult to capture 

comprehensive information in AFCARS 

on caseworker visits and the reasons 

why a child’s permanency plan changes 

or, generally, why the child remains in 

foster care. Conversely, other 

commenters to the 2010 FR Notice 

highlighted specifically that it would be 

helpful to collect the same information 

on children who exit foster care to 

guardianship as children who exit foster 

care to adoption, whether the child has 

siblings in out-of-home care or siblings 

who have been adopted or are in a 

guardianship, and information relating 

to the educational stability of the child, 

such as the proximity of the child’s 

school to the child’s placement, the 

child’s grade and the child’s academic 

performance. 

In developing this proposed rule, we 

considered these comments as well as 

comments to the 2008 NPRM. The 

section-by-section summary found later 

in this preamble provides more 

discussion on how specific comments 

factored into our proposal. 

IV. Overview of Major Proposed 

Revisions to AFCARS 

An overview of the major proposed 

revisions to AFCARS follows and 

includes many of the changes we 

proposed in the 2008 NPRM and other 

changes in response to the new statutory 

provisions of the Act resulting from 

Public Law 110–351. 

References throughout this proposed 

rule to ‘‘child’’ or ‘‘children’’ are 

inclusive of all children who are served 

by the title IV–E program, including 

those age 18 or older. We are choosing 

to use a single reference, as opposed to 

using multiple references such as 

‘‘youth’’ or ‘‘young adult,’’ because we 

believe it is less cumbersome and is 

easier to comprehend for the regulation. 

Restructuring Data 

We propose, as we did in the 2008 

NPRM, to restructure the AFCARS data 

file in two ways, (1) to support 

longitudinal data analysis; and (2) to 

require title IV–E agencies to submit two 

data files an out-of-home care data file 

and an adoption and guardianship 

assistance data file. 

Support Longitudinal Data Analysis 

We propose that the out-of-home care 

data file contain longitudinal data 

elements that provide historical 

information on children who enter 

foster care; however, the adoption and 

guardianship assistance data file will 

not contain any longitudinal data 

elements. Title IV–E agencies are 

required to report in the existing 

AFCARS foster care data file some 

living arrangement, provider and 

permanency information relative to the 

child’s most recent experiences in his or 

her most recent foster care episode only. 

We propose instead that title IV–E 

agencies collect and report historical 

information in the out-of-home care data 

file on (1) the date and circumstances of 

each of the child’s removals and 

placements into foster care; (2) the type 

of environment the child was living in 

at the time of each of the child’s 

removals and the title IV–E agency’s 

authority for placement and care 

responsibility; (3) the date and type of 

each living arrangement the child 

experiences while in out-of-home care; 

(4) the demographics on each foster 

family home provider, if applicable; (5) 

information on each of the child’s 

permanency plans and concurrent 

permanency plans, if applicable; (6) the 

date, location and purpose of each 

caseworker visit with the child; (7) each 

date that a petition to terminate parental 

rights (TPR) was filed and each TPR 

date; and (8) the date and reasons of 

each of the child’s exits from out-ofhome care. 

We received many comments in 

response to both the 2008 NPRM and 

the 2010 FR Notice on our proposal to 

require title IV–E agencies to report 

recent and historical data on children 

who enter foster care. Commenters to 

both the 2008 NPRM and the 2010 FR 

Notice overwhelmingly expressed 

support for the shift to longitudinal data 

reporting on children entering, currently 

in and exiting foster care and were 

generally supportive of the idea that 

longitudinal data is more valuable and 

beneficial than current point-in-time 

data for evaluating child outcomes. 

However, several commenters to both 

the 2008 NPRM and the 2010 FR Notice 

expressed concerns with implementing 

a longitudinal methodology for AFCARS 

with existing data systems and 

resources. Specific concerns included 

that some title IV–E agencies’ data 

systems do not fully support 

longitudinal information for children 

placed in non-foster care settings who 

are never placed in foster care, the 

impact of the new historical AFCARS 

data set on current foster care metrics 

(e.g., placement stability, foster care 

episode duration and the title IV–E 

penetration rate) and whether and/or 

how adjustments will be made to 

account for new rules in trend analysis 

and a general concern for the quality of 

the historical data. Commenters to the 

2008 NPRM also requested clarification 

and technical assistance on the logistics 

surrounding the submission of a 

historical data file and making the 

substantial system changes and 

adjustments that title IV–E agencies will 

need to make in order to comply with 

the revised AFCARS rules. 

We recognized the concerns 

expressed by the commenters to both 

the 2008 NPRM and the 2010 FR Notice 

and used them to modify and clarify our 

proposal for longitudinal data analysis 

in this NPRM. We believe there is 

substantial support for our proposal, 

which also was reinforced by some 

commenters acknowledging that their 

title IV–E agencies have collected 

longitudinal data on children in foster 

care for many years and have used the 

longitudinal data to conduct complex 

analysis on their foster care populations. 

Since the publication of the 2008 

NPRM, several State title IV–E agencies 

have implemented a comprehensive 

case management information system 

that supports the collection and storage 

of all information relevant to a child’s 

out-of-home care experience. 

Additionally, enhancements in the title 

IV–E agency’s case management system 

to support new data collection 

requirements may be eligible for 

SACWIS development funding. We have 

been and will continue to work with 

Tribal title IV–E agencies as they 

develop information systems that will 

be used to support their title IV–E 

program and to meet the data collection 

requirements of AFCARS. We believe 

the anticipated benefits of obtaining 

longitudinal data are vast and include 

the elimination of information gaps that 

exist in the current AFCARS data, 

which raise questions about the child’s 

experiences and make the data more 

difficult to analyze, better information 

for the CFSRs or other Federal 

monitoring efforts and the building of 

our ability to conduct sophisticated 

analysis on a child’s or groups of 

children’s experience in foster care. 

Thus, based on the supportive 

comments to both the 2008 NPRM and 

the 2010 FR Notice and the anticipated 

benefits, we continue to propose 

restructuring AFCARS in order to 

support longitudinal data analysis by 

capturing more comprehensive 

information on the experiences of 

children who are placed in foster care. 

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AFCARS Data Files 

As in the 2008 NPRM, we propose to 

eliminate a number of features in the 

AFCARS regulation that are no longer 

useful to us or the title IV–E agencies. 

We propose to dispose of the 

requirement for title IV–E agencies to 

report summary foster care and 

adoption data files and to merge the 

information on adoptions into the outof-home care data file. Currently, title 

IV–E agencies must submit four data 

files (see appendices A and B to part 

1355) a foster care data file with 

information on all children in foster 

care under the responsibility of the title 

IV–E agency or another public agency 

with an agreement with the title IV–E 

agency, an adoption data file with 

information on all children adopted 

during the report period in whose 

adoption the title IV–E agency had some 

involvement and two summary data 

files in which the title IV–E agency 

indicates aggregate numbers of foster 

care records and adoption records and 

the age distribution of the children in 

each of those records. Summary data 

files are no longer necessary due to 

advances in technology that better verify 

the completeness of data submissions; 

commenters to the 2008 NPRM were 

appreciative and supportive of this 

proposal. 

Our proposal continues the 2008 

NPRM proposal of including most of the 

information from the existing foster care 

and adoption data file in one data file, 

called the out-of-home care data file, as 

well as adding a new data file, called 

the title IV–E adoption and 

guardianship assistance data file, to 

report information on children who are 

in a finalized adoption or legal 

guardianship under a title IV–E 

adoption or guardianship assistance 

agreement and on the agreement itself. 

Our current proposal for the title IV–E 

adoption and guardianship assistance 

data file differs slightly from the 2008 

NPRM where we proposed to collect 

information on the adoption assistance 

agreement (both title IV–E and State 

funded) and a guardianship subsidy 

(State and title IV–E funded, if the State 

had an approved demonstration waiver). 

We did not receive substantive 

comments in response to the 2008 

NPRM on this proposal. Generally, we 

propose in this NPRM to collect the 

same information, if applicable, on 

adoptions and legal guardianships. The 

new data file structure will most likely 

eliminate the need to resubmit prior 

data files since the out-of-home care 

data file will now include historical 

information on the child’s current and 

prior removals and out-of-home care 

episodes; any identified data corrections 

may occur either in the title IV–E 

agency’s corrective data file (described 

in section 1355.45) or in the data file 

due at the next regular six-month report 

period. 

We also continue our proposal to 

remove information on technical 

submission requirements from the 

regulation. These major changes we 

propose to make to AFCARS will reduce 

the burden associated with submitting 

two additional data files, will provide a 

logical flow of data for the child’s entire 

out-of-home care episode in one file and 

will provide the title IV–E agencies and 

us with flexibility to keep the pace with 

newer technology. These changes, along 

with all other features of the proposed 

database, are detailed in the section-bysection discussion found later in this 

preamble. 

Reporting Populations 

This NPRM proposal is very similar, 

for the most part, to current AFCARS 

practice regarding reporting 

populations. We propose that the out-ofhome care reporting population include 

a child of any age who is placed in 

foster care as defined at 45 CFR 1355.20 

or a child who has run away or whose 

whereabouts are unknown at the time 

the child is placed under the placement 

and care responsibility of the title 

IV–E agency. The out-of-home care 

reporting population continues to 

include a child who is under the 

placement and care responsibility of 

another public agency that has an 

agreement with the title IV–E agency 

pursuant to section 472(a)(2)(B) of the 

Act, or an Indian Tribe, Tribal 

organization or consortium with which 

the title IV–E agency has an agreement 

or contract and on whose behalf title 

IV–E foster care maintenance payments 

are made. 

Based on the comments we received 

in response to the 2008 NPRM, we 

propose an out-of-home care reporting 

population that is closer to the current 

AFCARS foster care reporting 

population than to that proposed in the 

2008 NPRM. In the 2008 NPRM we 

proposed an expanded out-of-home care 

reporting population that would have 

included every child under the State’s 

age of majority placed away from his or 

her parents or legal guardians for 24 

hours or more for whom the title IV–E 

agency has placement and care 

responsibility regardless of the child’s 

living arrangement, including a child 

whose only placement was in a nonfoster care setting such as a detention 

facility, hospital or jail. In the 2008 

NPRM, we proposed that a child who 

returns home while still in the title 

IV–E agency’s placement and care 

responsibility no longer be included in 

the AFCARS out-of-home care reporting 

population and the child would be 

reported as having exited from out-ofhome care. We now propose that the 

child remain in the out-of-home care 

reporting population until the title 

IV–E agency no longer has placement 

and care responsibility; i.e., a child 

remains in the out-of-home care 

reporting population through the end of 

the report period in which the title IV– 

E agency’s placement and care 

responsibility ends. 

We propose that the adoption and 

guardianship assistance reporting 

population include any child who is in 

a finalized adoption under a title IV–E 

adoption assistance agreement with the 

title IV–E agency pursuant to section 

473(a) of the Act and any child who is 

in a legal guardianship under a title 

IV–E guardianship assistance agreement 

with the title IV–E agency pursuant to 

section 473(d) of the Act. A child 

remains in the title IV–E adoption and 

guardianship assistance reporting 

population through the end of the report 

period in which the agreement ends or 

is terminated. 

As previously noted, we propose that 

the AFCARS data file no longer include 

an adoption data file. The existing 

AFCARS adoption data file not only 

includes information on children who 

were adopted from foster care, but also 

those who were adopted through a 

private agency and in whose adoption 

the title IV–E agency had any 

involvement. We proposed in the 2008 

NPRM that the title IV–E agency report 

in the out-of-home care data file 

additional information on children 

exiting out-of-home care to a finalized 

adoption. We also proposed that the 

title IV–E agency report in the adoption 

and guardianship assistance file 

information on children who were 

adopted from a private agency on whose 

behalf the title IV–E agency is paying an 

adoption subsidy or providing services. 

Our current proposal for the adoption 

and guardianship assistance reporting 

population differs from the adoption 

assistance and guardianship subsidy 

reporting population proposed in the 

2008 NPRM which would have 

included any child under a title IV–E or 

State adoption assistance agreement in 

effect during the report period, 

including children in pre-adoptive 

homes and any child under a subsidized 

guardianship agreement supported by 

State and/or title IV–E funds, if the State 

had an approved demonstration waiver. 

We modified our proposal for both the 

out-of-home care reporting population 

and the adoption and guardianship 

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assistance reporting population due to 

the many comments and feedback we 

received in response to the 2008 NPRM 

proposal and 2010 FR Notice. 

Commenters were generally concerned 

that title IV–E agencies would be held 

accountable for the timeliness and 

accuracy of AFCARS information on 

children that had to be gathered from 

various sources outside of the title 

IV–E agency’s control (e.g., juvenile 

justice agencies). Commenters also were 

concerned regarding our proposal to 

exclude from the reporting population 

children placed at home, stating that 

excluding these children would require 

changes to systems related to title IV–E 

determinations and funding, would 

create disincentives to responsive child 

welfare practices, would erroneously 

inflate the actual number of foster care 

entries and exits of a child and would 

not be reflective of many States’ 

mandates to consider such children as 

in foster care. In addition, ACF is 

required under section 479(c)(3) of the 

Act to capture information on adopted 

children, including demographics and 

information on the child and child’s 

adoptive parents. While there is no 

statutory mandate to collect similar 

information on children who have 

achieved permanency through legal 

guardianship, we propose to collect the 

same information on these children and 

their legal guardian(s) because we have 

the same need for information on 

children who are supported by title 

IV–E funding, per section 473(d) of the 

Act. We believe that our current 

proposal for the out-of-home care 

reporting population and the adoption 

and guardianship assistance reporting 

population will address the issues 

expressed by the commenters. 

Capturing Greater Detail 

We propose to add and clarify the 

type of case-level information collected 

on children who enter foster care and 

children who are under a title IV–E 

adoption or guardianship assistance 

agreement. These changes are designed 

to permit enhanced analyses of the 

factors that may affect a child’s 

permanency and to incorporate data 

elements that capture the provisions of 

Public Law 110–351. The changes 

include: 

• Revised data elements designed to 

better capture the circumstances 

affecting the child and family at the 

time of removal; 

• Revised data elements to better 

describe the child’s environment at 

removal and the location and type of 

living arrangements in which children 

are placed by the title IV–E agency; 

• New data elements on caseworker 

visits with children in foster care; 

• New data elements that allow us to 

identify minor parents who have their 

children with them in foster care, 

sibling groups and whether or not 

siblings are placed together; 

• Revised data elements that enhance 

our understanding of permanency 

planning for children in foster care, 

including new data elements that 

identify why a child’s permanency plan 

changes, the child’s concurrent 

permanency plans and the child’s 

transition plan; 

• New data elements that inform us 

about the child’s well-being, including 

the child’s educational level, 

educational stability and involvement 

with special education, as well as 

clarified data elements on the child’s 

health, behavioral and mental health 

conditions; 

• Revised data elements that enhance 

our understanding of prior adoptions 

and legal guardianships, as well as the 

child’s exit to a new adoption or legal 

guardianship; and, 

• Revised and new data elements 

designed to capture the number and 

characteristics of children who are in 

finalized adoptions and legal 

guardianships under title IV–E adoption 

and guardianship assistance agreements 

as well as information in the child’s title 

IV–E adoption or guardianship 

assistance agreement, including the 

amount of the subsidy and nonrecurring 

costs. 

We received many supportive 

comments in response to both the 2008 

NPRM and 2010 FR Notice on our 

proposal to capture greater detail on 

children who enter foster care and 

children who are under a title IV–E 

adoption or guardianship assistance 

agreement. Some commenters in 

response to the 2008 NPRM requested 

that we clarify our proposal for a 

number of data elements and we have 

made every effort to address those 

requests. We explain how individual 

comments factored into each data 

element in the section-by-section 

discussion of the NPRM found later in 

this preamble. 

Improving Data Quality 

As in our 2008 NPRM, we propose to 

improve AFCARS data quality in several 

ways. First, we propose to clarify and 

modify many existing data element 

descriptions that stakeholders and 

commenters to the 2008 NPRM and 

2010 FR Notice informed us were 

problematic. Second, we propose to 

strengthen our assessment and 

identification of errors within a title IV– 

E agency’s data file through cross-file 

checks to identify defaults and other 

faulty programming that result in 

skewed data across a title IV–E agency’s 

entire data file, increased internal 

consistency checks to validate the 

logical relationship between data 

elements, and modified requirements 

for missing data and invalid data within 

a data file. Finally, we propose to 

implement penalties consistent with 

section 474(f) of the Act for title IV–E 

agencies that do not meet our data file 

and data quality standards for AFCARS. 

Burden 

Commenters in response to the 2008 

NPRM proposal and the 2010 FR Notice 

expressed some concern over the 

burden associated with reprogramming 

their information systems to collect and 

report additional data elements. Many 

of the commenters in response to the 

2008 NPRM and 2010 FR Notice raised 

concerns about the ambiguity of the 

definitions for the data elements and the 

value of the additional data elements. 

We are cognizant of the potential 

burden associated with requiring title 

IV–E agencies to submit additional 

information to AFCARS, and of the 

requirement in section 479(c)(1) of the 

Act that instructs that AFCARS ‘‘avoid 

unnecessary diversion of resources from 

agencies responsible for adoption and 

foster care.’’ We recognize that 

regardless of the amount and type of 

information that will be in the final rule, 

the title IV–E agencies will have to write 

new extraction routines to report the 

AFCARS data. Throughout the process 

of drafting this proposed rule, we 

considered the burden of inputting the 

information and programming that may 

be associated with the addition of each 

new data element and we critically 

weighed the advantages of each data 

element proposed here against the 

potential increased burden to title IV–E 

agencies. We tried, as we did in the 

2008 NPRM, to ask for information that 

caseworkers collect as part of their 

normal work duties and that is already 

collected in the majority of State title 

IV–E agency information systems. We 

recognize that Tribal title IV–E agencies 

have not collected this data previously 

but we have been providing support to 

Tribal title IV–E agencies as they 

consider developing an information 

system that will meet their needs. We 

will continue to provide intensive 

technical assistance to both State and 

Tribal title IV–E agencies once the final 

rule for AFCARS is published. 

In response to the comments we 

received from both the 2008 NPRM and 

2010 FR Notice, we did not include a 

number of data elements that we 

proposed in the 2008 NPRM, namely 

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data elements regarding family record 

numbers; child and family 

circumstances at the initial permanency 

plan, annually and at exit; information 

on the language of the child and foster 

parent(s); the marital status of the 

mother at birth and the biological 

parents at removal; and specific 

information about the people whom the 

child was living with at removal. 

Additionally, we propose to remove the 

requirement for title IV–E agencies to 

submit summary data files and combine 

or remove data elements that capture 

duplicative information. 

Compliance and Penalties 

We propose to define the standards 

and manner by which we assess and 

determine compliance on each data file 

submitted by the title IV–E agency, 

permit the opportunity for corrective 

action by the title IV–E agency and if 

necessary, assess a penalty for the title 

IV–E agency’s continued 

noncompliance with AFCARS 

requirements. We propose to apply 

compliance standards to both the out-ofhome care data file and the adoption 

and guardianship assistance data file, 

with exceptions for optional provisions 

of title IV–E. Specifically, we do not 

propose to apply the compliance 

standards to children in either data file 

who are age 18 or older and/or children 

in the adoption and guardianship 

assistance data file who are in a legal 

guardianship under a title IV–E 

guardianship assistance agreement. For 

the remaining children in each reporting 

population, we propose to assess each 

data file for errors such as missing, 

invalid or internally inconsistent data, 

cross-file errors and tardy transactions. 

The title IV–E agency must submit each 

data file to ACF on or before the 

reporting deadline, in the proper format 

and free of cross-file errors. 

We propose to implement penalties 

for title IV–E agencies that do not meet 

our data compliance and data quality 

standards. We propose that the pool of 

funds that are subject to a penalty for 

noncompliance be the title IV–E 

agency’s claims for title IV–E foster care 

administrative costs (including training) 

for the quarter in which each original 

data file is due (as opposed to the 

corrected data file), consistent with 

section 474(f) of the Act and the 2008 

NPRM proposal. 

Many commenters in response to the 

2008 NPRM proposal and 2010 FR 

Notice requested tolerance for errors 

related to the collection and reporting of 

demographic data elements due to 

concerns about meeting compliance 

standards for these elements. Many 

commenters to both the 2008 NPRM and 

2010 FR Notice also expressed concern 

with the proposed penalty structure. 

Some commenters requested that we 

provide incentives in addition to or in 

lieu of penalties, vary penalties by 

degrees of non-compliance and phase-in 

or delay the implementation of 

penalties. We believe that the 

compliance standards and penalty 

structure we are proposing will 

ultimately increase the quality of the 

data that is collected and reported by 

title IV–E agencies. 

Implementation of changes to 

AFCARS described in this NPRM will 

be dependent on the issuance of a final 

rule. We expect provisions in an 

eventual final rule to be effective no 

sooner than the start of the second 

Federal fiscal year following the 

publication of the final rule. A precise 

effective date will be dependent on the 

publication date of the final rule, but 

this construct provides title IV–E 

agencies with at least one full year, and 

possibly longer, before we will require 

them to begin collecting and reporting 

new AFCARS data. We welcome public 

comments on specific provisions 

included in this proposed rule that may 

warrant a longer phase-in period and 

will take these comments into 

consideration when developing the final 

rule. 

V. Section-by-Section Discussion of 

NPRM 

Section 1355.40 Scope of the Adoption 

and Foster Care Analysis and Reporting 

System 

In section 1355.40, we propose to 

revise the statement of scope for 

AFCARS. The proposed scope statement 

explains which entities must report data 

to ACF and what data those entities 

must report. 

Section 1355.40(a) 

In paragraph (a), we propose that all 

title IV–E agencies collect and report 

AFCARS data to ACF. This is consistent 

with our legislative authority in section 

479 of the Act. Currently, all States, the 

District of Columbia and Puerto Rico 

operate title IV–B and IV–E programs. 

As a result of Public Law 110–351, 

Indian Tribes, Tribal organizations or 

consortia can now administer title IV– 

E programs directly and those that do so 

are required to collect and report 

AFCARS data. 

Section 1355.40(b) 

In paragraph (b), we propose to revise 

the general parameters for collecting 

and reporting AFCARS data. We 

propose that a title IV–E agency collect 

and submit to us information for the 

reporting populations proposed in new 

section 1355.41 and that the information 

must be submitted to us on a semiannual basis in an out-of-home care data 

file and an adoption and guardianship 

assistance data file as required in 

proposed new section 1355.42. This 

information includes a child’s 

demographics and characteristics, 

removal, living arrangements and 

experiences in out-of-home care, as well 

as the nature of finalized title 

IV–E adoptions and guardianships and 

information on title IV–E adoption and 

guardianship assistance agreements. 

Current AFCARS regulations require 

title IV–E agencies to report data in the 

foster care data file on a child’s 

demographics, most recent removal and 

circumstances of that removal, current 

placement settings, permanency goals 

and Federal assistance. In the current 

AFCARS adoption data file, we collect 

information on a child’s demographic 

information, special needs status, birth 

and adoptive parent(s), placement 

information and adoption support. 

While we propose to continue to require 

reporting of some of the same data that 

is currently collected in the foster care 

and adoption data files in the out-ofhome care data file, we now propose 

requiring a title IV–E agency to report 

information on legal guardianship and 

other topics, as detailed below. 

In the 2008 NPRM we proposed to 

expand the scope of certain information 

title IV–E agencies must report in the 

out-of-home care data file to include a 

child’s entire historical and current 

experience in out-of-home care in order 

to establish a more comprehensive and 

longitudinal database. Because 

comments on the 2008 NPRM and the 

2010 FR Notice were generally 

supportive of the move to a longitudinal 

database and because the existing data 

does not meet our program needs, we 

again propose to expand the scope of 

information. As in the 2008 NPRM, we 

propose to collect information on 

education, concurrent planning and 

demographic information on a child’s 

adoptive parents in the out-of-home care 

data file. For the first time, we propose 

to collect information on caseworker 

visits. We also propose to collect 

information on a child’s adoption 

assistance agreement in the adoption 

and guardianship assistance data file, as 

in the 2008 NPRM. However, because 

we have the same need for information 

on children supported by title IV–E 

guardianship assistance program, we 

also propose to collect equivalent 

information on a child’s title IV–E 

guardianship assistance agreement. 

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Section 1355.41 Reporting Populations 

In new section 1355.41, we propose 

the reporting populations for the 

AFCARS out-of-home care and adoption 

and guardianship assistance data files. 

The definition of each reporting 

population describes which children the 

title IV–E agency is required to collect 

and report information on in each 

respective data file. 

Section 1355.41(a) Out-of-Home Care 

Reporting Population 

In paragraph (a), we explain our 

proposed out-of-home care reporting 

population. A child who enters the outof-home care reporting population 

continues in the population until 

placement and care responsibility ends. 

In paragraph (a)(1), we propose at 

what point a child enters the out-ofhome care reporting population. We 

also propose that the title IV–E agency 

must report data as described in section 

1355.43 on each child for whom the title 

IV–E agency has placement and care 

responsibility and who meets one of the 

conditions in paragraphs (a)(1)(i) 

through (a)(1)(iii) . 

In paragraphs (a)(1)(i) through 

(a)(1)(iii), we further clarify the out-ofhome care reporting population. 

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

the child enters the out-of-home care 

reporting population if he or she is in 

foster care as defined in section 1355.20, 

which defines foster care as 24-hour 

substitute care for any child placed 

away from his or her parent(s) or 

guardian(s) and for whom the title 

IV–E agency has placement and care 

responsibility. This includes instances 

when a child has been placed in a foster 

care setting following placement in a 

non-foster care setting. 

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

the out-of-home care reporting 

population includes any child who is 

under the placement and care 

responsibility of another public agency 

that has an agreement under section 

472(a)(2)(B) of the Act, or an Indian 

Tribe, Tribal organization or consortium 

that has a contract or agreement, with 

the title IV–E agency to pay title IV–E 

foster care maintenance payments on 

the child’s behalf. 

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

a child enters the out-of-home care 

reporting population if he or she has run 

away or his or her whereabouts are 

unknown at the time that the title 

IV–E agency receives placement and 

care responsibility for the child. 

The proposal for paragraphs (a)(1)(i) 

and (a)(1)(iii) differ from both current 

AFCARS foster care reporting 

population and the out-of-home care 

reporting population proposed in the 

2008 NPRM. The foster care reporting 

population in existing AFCARS 

regulations includes all children who 

are in foster care for more than 24 hours 

under the responsibility of the State 

agency administering or supervising the 

administration of the title IV–B Child 

and Family Services Plan (CFSP) and 

the State title IV–E plan, that is, all 

children who are required to be 

provided the assurances in section 

422(b)(10) of the Act. The existing 

AFCARS foster care reporting 

population includes children at the time 

they enter foster care as defined in 45 

CFR 1355.20. In the 2008 NPRM, we 

proposed a new and expanded out-ofhome care reporting population to 

include every child under the State’s 

age of majority placed away from his or 

her parent(s) or legal guardian(s) for 24 

hours or more for whom the State title 

IV–E agency had placement and care 

responsibility regardless of the child’s 

living arrangement. This included a 

child whose only placement while 

under the placement and care 

responsibility of the title IV–E agency 

was in a non-foster care setting such as 

a detention facility, hospital or jail. 

Many commenters to the 2008 NPRM 

proposal felt the definition was too 

broad. States were particularly 

concerned about the burden of having to 

gather data from other State systems that 

serve a child in a juvenile justice, 

mental health or hospital setting. 

Commenters to the 2010 FR Notice 

expressed similar concerns about data 

collection and staff burden. We 

considered the comments to both the 

2008 NPRM and the 2010 FR Notice and 

modified the out-of-home care reporting 

population definition in proposed 

section 1355.41(a)(1) to address these 

concerns. This proposal is similar to the 

foster care reporting population in the 

existing AFCARS in that those children 

whose only placement is a non-foster 

care setting (e.g., juvenile justice, mental 

health or hospital facility) would not be 

part of the out-of-home care reporting 

population. Additionally, those children 

who are placed initially in a non-foster 

care setting and then enter foster care as 

defined in 45 CFR 1355.20 are 

considered to be removed as of the start 

date of the child’s placement into foster 

care. 

The proposal for paragraph (a)(1)(ii) is 

similar to the existing AFCARS 

regulations that define the foster care 

reporting population (Appendix A to 

part 1355, section II). All title IV–E 

agencies can enter into agreements/

contracts with Indian Tribes, Tribal 

organizations or consortia and 

agreements with separate public 

agencies such as juvenile justice or 

mental health agencies in order to claim 

title IV–E on behalf of title IV–E eligible 

children. These other public or Tribal 

entities with which the title IV–E 

agency has an agreement do not submit 

information on children in the reporting 

population to ACF separately from the 

title IV–E agency. Rather, information 

on children under the placement and 

care responsibility of an agency that has 

an agreement with the title IV–E agency 

must be a part of the title IV–E agency’s 

AFCARS data submission. 

In existing AFCARS policy, the title 

IV–E agency is required to report on all 

children up to the State’s age of majority 

and a child of any age that is eligible for 

and receiving a title IV–E payment. We 

propose to modify the AFCARS 

reporting population to include a child 

of any age for whom the title IV–E 

agency has placement and care 

responsibility when such a child has 

been placed in foster care in accordance 

with the regulatory definition of foster 

care in section 1355.20. We propose to 

include a child of any age in the out-ofhome care reporting population to be 

consistent with the changes in Federal 

law per the enactment of Public Law 

110–351, which amended section 

475(8)(B) of the Act. Section 475(8)(B) 

now provides the option for title IV–E 

agencies to adopt a definition of ‘‘child’’ 

for the title IV–E foster care program 

that allows title IV–E reimbursement for 

an eligible child up to age 21 who meets 

certain education and employment 

conditions. We propose the out-of-home 

care reporting population to include a 

child of any age that meets the 

conditions in paragraphs 

1355.41(a)(1)(i) through (a)(1)(iii) 

whether or not the child receives a 

payment that is federally subsidized 

because this will allow us to establish 

a more comprehensive and longitudinal 

national database on all children in outof-home care. 

We modified the out-of-home care 

reporting population from the existing 

AFCARS regulation by including those 

children for whom the title IV–E agency 

has placement and care responsibility 

but who have runaway or whose 

whereabouts are unknown at the time 

that the title IV–E agency receives 

placement and care responsibility for 

the child. We propose this modification 

to update the regulation to incorporate 

current AFCARS practice regarding a 

child who has runaway or whose 

whereabouts are unknown. 

As we did in the 2008 NPRM, we 

want to clarify that the proposed out-ofhome care reporting population does 

not include children who are under the 

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title IV–E agency’s ‘‘supervision’’ 

authority, unlike the current regulation. 

We found the reference to ‘‘supervision’’ 

problematic because we never defined 

the term ‘‘supervision’’ further in 

AFCARS regulations or policy. We have 

received questions about whether the 

existing AFCARS foster care reporting 

population includes children in a 

variety of settings for whom the title IV– 

E agency has only a legal duty to 

supervise with no concurrent placement 

and care responsibility. To be clear, 

children who are receiving only services 

in the homes of their parent(s) or legal 

guardian(s) and children who may be 

placed away from their parent(s) or legal 

guardian(s) but for whom the title IV– 

E agency has no placement and care 

responsibility (e.g., placed in a juvenile 

justice or mental health facility) are not 

a part of the proposed AFCARS out-ofhome care reporting population. 

In paragraph (a)(2), we clarify that 

once a child enters the out-of-home care 

reporting population he or she remains 

in the out-of-home care reporting 

population through the end of the report 

period in which the title IV–E agency’s 

placement and care responsibility ends, 

regardless of any subsequent living 

arrangement while in out-of-home care. 

For example, we propose to continue 

including in the out-of-home care 

reporting population a child who moves 

from a placement in a foster care setting 

to a non-foster care setting such as a 

detention facility, hospital or jail. We 

also propose to include in the out-ofhome care reporting population a child 

whose whereabouts are unknown or a 

child who runs away, a child who has 

returned home and is placed with his or 

her parent(s) or legal guardian(s) under 

the continued placement and care 

responsibility of the title IV–E agency, 

or, a child age 18 or older who is living 

independently. In these situations, the 

child remains under the title IV–E 

agency’s placement and care 

responsibility and therefore these 

children must be included in the out-ofhome care reporting population. 

We propose to require the title IV–E 

agency to continue to report information 

on all of a child’s placements once he 

or she enters the out-of-home care 

reporting population including various 

out-of-home care placement settings that 

are outside of the definition of foster 

care. Including a child’s placement in 

non-foster care settings such as a 

detention facility, hospital or jail will 

permit title IV–E agencies and ACF to 

complete longitudinal analyses of a 

child’s total out-of-home care 

experience, as advocated by States and 

others in the field. 

In the 2008 NPRM, we proposed to 

discontinue reporting AFCARS data for 

a child who is returned home to his or 

her parent(s) or legal guardian(s), and 

considered such a child to have exited 

the out-of-home care reporting 

population even if the child remained 

under the placement and care 

responsibility of the title IV–E agency. 

This proposal was a reversal from 

current AFCARS requirements which 

indicate that a child placed at home 

with his or her parent(s) or legal 

guardian(s) may be included in the 

foster care reporting population, but 

would be considered discharged for 

AFCARS purposes automatically after 

six months. Some commenters to the 

2008 NPRM opposed our proposal and 

many felt strongly that children who are 

placed at home under the placement 

and care responsibility of the title IV– 

E agency should remain in the out-ofhome care reporting population, as they 

felt that considering a placement at 

home as a discharge would artificially 

inflate the rate of foster care re-entry if 

the child moved to a foster care setting 

after the placement at home. After 

considering these comments, we agree 

that we want to collect data on all 

children once they have entered the outof-home care reporting population until 

the title IV–E agency’s placement and 

care responsibility ends. Therefore, we 

propose that any child who enters the 

out-of-home care reporting population 

remain in the out-of-home care 

reporting population until the title IV– 

E agency’s placement and care 

responsibility for the child ends. 

In paragraph (a)(3), we propose that 

for AFCARS purposes, an out-of-home 

care episode is defined as the period 

between a child’s entry into the out-ofhome care reporting population and the 

date the title IV–E agency’s placement 

and care responsibility ends. If the title 

IV–E agency returns the child home to 

live permanently with his or her parents 

or legal guardians and placement and 

care responsibility ends, the child exits 

the out-of-home care reporting 

population. 

The existing AFCARS regulations 

consider a child to have exited foster 

care when he or she is legally 

discharged from the title IV–E agency’s 

placement and care responsibility. The 

child exits the foster care reporting 

population for AFCARS purposes and 

completes an out-of-home care episode 

in these circumstances. Our current 

proposal differs from the existing 

AFCARS regulation and the 2008 NPRM 

proposal, which proposed that the title 

IV–E agency discontinue reporting a 

child to AFCARS if the child is placed 

at home with his or her parents, even if 

the child remains under the placement 

and care responsibility of the title IV– 

E agency. Many States over the years 

have highlighted the need for more 

definitive guidance on when the child 

should be considered to have exited the 

AFCARS foster care reporting 

population so we are proposing the end 

of the placement and care responsibility 

as the point at which a child exits the 

out-of-home care reporting population. 

Section 1355.41(b) Adoption and 

Guardianship Assistance Reporting 

Population 

In paragraph (b), we explain our 

proposed reporting population for the 

adoption and guardianship assistance 

data file. 

In paragraph (b)(1) we propose that 

the title IV–E agency must report data as 

described in section 1355.44 on each 

child who meets one of the conditions 

in the paragraphs (b)(1)(i) or (b)(1)(ii). 

In paragraph (b)(1)(i), we propose to 

require the title IV–E agency to report 

information required by section 1355.44 

on any child for whom there is a 

finalized adoption under a title IV–E 

adoption assistance agreement (per 

section 473(a) of the Act) with the 

reporting title IV–E agency that is or was 

in effect at some point during the report 

period. The existing AFCARS regulation 

does not include an adoption and 

guardianship assistance data file. In the 

existing AFCARS regulation, title IV–E 

agencies report in the adoption file on 

any child adopted in the State during 

the report period, in whose adoption the 

title IV–E agency had any involvement. 

Our current proposal differs from the 

reporting population for the existing 

AFCARS adoption data file and the 

reporting population proposed in the 

2008 NPRM for the adoption and 

guardianship subsidy data file. In the 

2008 NPRM we proposed that title IV– 

E agencies report on any child with a 

title IV–E adoption assistance agreement 

or a State adoption assistance agreement 

in effect during the report period, 

including children in pre-adoptive 

homes. Unlike the 2008 NPRM, we do 

not propose to include a child in a preadoptive living arrangement in the 

adoption and guardianship assistance 

reporting population. 

We received comments to the 2008 

NPRM and 2010 FR Notice suggesting 

concern about barriers to obtaining 

ongoing information about a child postadoption. States were particularly 

concerned about intrusiveness, inability 

and lack of authority to gather this data. 

To address some of these comments, 

and in an effort to eliminate duplicate 

information in the AFCARS files in 

paragraph (b)(1), we now propose to 

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limit the reporting population of the 

adoption and guardianship assistance 

data file to include only those children 

with finalized adoptions who are under 

title IV–E adoption assistance 

agreements. We propose to collect this 

information to supplement, rather than 

duplicate, data collected upon exit to 

adoption in proposed section 

1355.43(h). Further, we only are 

collecting ongoing information on 

children under title IV–E adoption 

assistance agreements to remain within 

the scope of AFCARS described in 

section 1355.40. Information collected 

will be limited to basic demographic 

information on the adopted child, as 

well as information regarding the title 

IV–E adoption arrangement and 

assistance agreement in effect during the 

report period. Several State responders 

to the 2010 FR Notice commented that 

title IV–E agencies should not have to 

collect data on finalized adoptions. 

However, we cannot make this change 

as we are statutorily required, per 

section 479(c)(3) of the Act, to capture 

information on adopted children, 

including demographics and 

information about the child’s title IV–E 

adoption from the assistance agreement. 

We anticipate that collecting this 

information will not increase burden 

significantly, as the child’s demographic 

data and basic information related to the 

title IV–E agreement should not change 

between report periods and will not 

require updating by caseworkers. 

Similarly, information about updates to 

IV–E adoption and guardianship 

assistance payments should already be 

captured elsewhere in the title IV–E 

information system and should not 

require manual updates. 

We are not proposing to include 

information on a child in a pre-adoptive 

placement in this data file, although he 

or she may have a title IV–E agreement 

and receive title IV–E adoption 

assistance before the adoption 

finalization. This information continues 

to be collected in the out-of-home care 

data file and the title IV–E agency must 

report information on the child’s preadoptive living arrangement in 

proposed section 1355.43(e). 

We propose to include a child in a 

finalized adoption under a title IV–E 

adoption assistance agreement in the 

adoption and guardianship assistance 

reporting population regardless of 

whether a financial subsidy is paid on 

the child’s behalf. For example, a title 

IV–E agency would include in this 

reporting population a child with a 

finalized adoption under a title IV–E 

adoption assistance agreement that 

contains a subsidy amount of $0, for the 

purposes of receiving only Medicaid 

assistance. 

With the increased activity in 

adoption and the corresponding outlays 

for the program, there has been an 

increase in requests for information 

from Congress, States, the media and 

other sources, regarding the population 

of adopted children receiving title IV–E 

assistance. In addition, section 479(c) of 

the Act mandates that we collect 

information on the extent and nature of 

assistance provided by Federal adoption 

programs and the characteristics of the 

child with respect to whom such 

assistance is provided. Although we 

propose for a title IV–E agency to report 

only children with finalized adoptions 

under title IV–E agreements in the 

adoption and guardianship assistance 

data file, we believe that the information 

proposed here in conjunction with the 

information proposed in paragraphs 

1355.43(e) through (h) of the out-ofhome care data file may present a more 

comprehensive picture of adoptions 

supported through the title IV–E 

program. 

In paragraph (b)(1)(ii), we propose to 

collect the information in section 

1355.44 on any child in a legal 

guardianship who is under a title IV–E 

guardianship assistance agreement, 

pursuant to section 473(d) of the Act, 

with the reporting title IV–E agency that 

is or was in effect at some point during 

the current report period. Information 

on each child adopted with the 

involvement of the title IV–E agency is 

currently reported to AFCARS, but no 

information is collected regarding 

children in legal guardianships. In the 

2008 NPRM we proposed to collect 

limited information on any child on 

whose behalf a guardianship assistance 

payment was made pursuant to a title 

IV–E or State assistance agreement with 

the title IV–E agency. At the time the 

2008 NPRM was published, the only 

subsidized guardianships under title 

IV–E were those in States with 

demonstration waivers. 

We propose to collect information on 

any child in a legal guardianship 

receiving title IV–E guardianship 

assistance to gather data on children 

supported through the title IV–E 

guardianship assistance program 

established via changes to section 

473(d) of the Act made by Public Law 

110–351 in October 2008. To date, 31 

title IV–E agencies have applied to 

participate in the title IV–E 

guardianship assistance program and 

additional title IV–E agencies may do so 

in the future. Comments to the 2008 

NPRM, which pre-dated title IV–E 

authority for title IV–E guardianship 

assistance payments, were mixed 

regarding the proposal to collect 

information about children in legal 

guardianships on an ongoing basis. 

Some commenters believed this 

information was among the most helpful 

enhancements proposed for AFCARS 

while others had concerns about 

intrusion into the lives of guardianship 

families and the agency’s ability to 

collect accurate data on these families. 

We received similar comments to the 

2010 FR Notice from several States 

opposed to collecting data on legal 

guardianships. States were particularly 

concerned about intrusiveness, inability 

and lack of authority to gather the data. 

To address some of these concerns, we 

modified our proposal in paragraph 

(b)(2) to limit the adoption and 

guardianship assistance reporting 

population to only those children who 

are in a legal guardianship under a title 

IV–E guardianship assistance 

agreement, rather than all children 

receiving State or Federal guardianship 

assistance. In addition, we propose to 

collect only basic demographic 

information and information readily 

accessible regarding the child’s title IV– 

E guardianship arrangement and 

assistance agreement in effect during the 

report period. As such, there is minimal 

intrusion on the legal guardian(s), if 

any, and the title IV–E agency has ready 

access to the information requested via 

the title IV–E guardianship assistance 

agreement. 

While there is no statutory mandate to 

collect information for children who 

have achieved permanency through 

legal guardianship, unlike that for 

adoption, we propose to collect this 

limited information because we have 

the same need for information on 

children supported by title IV–E 

funding, per section 473(d) of the Act as 

we do for adopted children. Title IV–E 

agencies are currently required to 

collect and report financial information 

for children under title IV–E 

guardianship assistance agreements per 

Form CB–496, in the same manner that 

title IV–E agencies are to report 

information on children under title IV– 

E adoption assistance agreements. While 

we receive aggregate information on 

number of guardianships and average 

subsidy amounts through Form CB–496, 

we propose to collect child-level 

information on guardianships through 

AFCARS to conduct more nuanced data 

analysis on the characteristics of 

children under title IV–E guardianship 

assistance agreements. 

Commenters to the 2008 NPRM also 

expressed concern with using the term 

‘‘legal guardian’’ because States may use 

different terms in practice. This is no 

longer an issue since the guardianship 

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assistance data file is comprised of 

children under a relative legal 

guardianship per section 473(d) of the 

Act and the statute defines the term 

‘‘legal guardianship’’ in section 475 of 

the Act. 

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

child remains in the adoption and 

guardianship assistance reporting 

population through the end of the report 

period in which the title IV–E 

agreement ends or is terminated. 

Neither the current AFCARS regulations 

nor the 2008 NPRM proposal include 

such clarification regarding the 

circumstances under which a child exits 

the reporting population for this data 

file. We propose to include this 

information to respond to commenters 

to the 2008 NPRM who requested 

clarification on the circumstances of 

exit for the adoption and guardianship 

assistance reporting population, and 

length of time title IV–E agencies are 

required to collect information on a 

child in this reporting population. 

Section 1355.42 Data Reporting 

Requirements 

We propose to add a new section 

1355.42 on data reporting requirements, 

including specifying the report periods 

for the data files, general provisions for 

collecting and submitting the out-ofhome care and adoption and 

guardianship assistance data files and 

record retention rules to comply with 

AFCARS requirements. This section was 

first proposed in the 2008 NPRM. 

Section 1355.42(a) Report Periods and 

Deadlines 

In paragraph (a), we propose that each 

title IV–E agency submit an out-of-home 

care data file and an adoption and 

guardianship assistance data file to ACF 

on each child in the reporting 

populations on a semi-annual basis. The 

two six-month report periods are from 

October 1 to March 31 and from April 

1 to September 30 of each Federal fiscal 

year. These report periods are the same 

as in the existing AFCARS, and also 

were proposed in the 2008 NPRM. 

In consultations held prior to the 

publication of the 2008 NPRM, there 

were several suggestions that we 

consider moving to annual, or even less 

frequent reporting, rather than semiannual reporting of AFCARS data. 

Specifically, in the consultations held 

prior to the 2008 NPRM, commenters 

were concerned that ACF would be 

unable to compile an annual data file 

from two semi-annual submissions for 

the purposes of the current CFSRs and 

the annual outcomes report to Congress. 

However, we can assure title IV–E 

agencies that our software currently 

allows us to create an annual data file 

for these purposes. We also expect that 

the new requirements proposed for 

using a permanent and encrypted 

person identification number (sections 

1355.43(a)(4) and 1355.44(a)(3)) will aid 

both our own and title IV–E agencies’ 

ability to create annual data files. ACF 

explained the rationale for proposing to 

maintain semi-annual submissions for 

AFCARS in greater detail in the 

preamble of the 2008 NPRM (73 FR 

2088). 

We also propose in paragraph (a) that 

title IV–E agencies submit their data 

files to us within 30 calendar days of the 

end of the report period. Therefore, a 

title IV–E agency will be required to 

submit AFCARS data files to ACF every 

year by April 30 and October 30. If this 

date falls on a weekend, the title IV–E 

agency must submit the data files by the 

end of the following Monday. This is a 

change both from the current AFCARS, 

which allows a 45 day period in which 

agencies are required to submit their 

data files to ACF and from the 2008 

NPRM where we proposed a 15 day 

submission deadline. Commenters to 

the 2008 NPRM believed that 15 days 

was an insufficient amount of time to 

prepare and submit data files. We noted 

these concerns and extend the proposed 

submission deadline to 30 days. We 

believe that a 30 day timeframe is 

workable and also will better meet title 

IV–E agency and Federal needs for data 

for the reasons described below. 

AFCARS data is used extensively in a 

number of ACF priorities and 

requirements, including the current 

CFSRs and other monitoring efforts. If 

ACF receives AFCARS data closer to the 

end of the report period than we do 

now, this data may be available sooner 

to support analysis, which can be used 

to develop change and/or improvement 

initiatives. Also, because Adoption and 

Legal Guardianship Incentive funds are 

tied to how well States perform in 

increasing their rate of adoptions and 

legal guardianships as seen in the 

AFCARS data (section 473A(c)(2) of the 

Act), receiving this information more 

quickly can help to prevent delays in 

the awarding of incentive funds to 

States. The vast improvements in 

automation in the field of child welfare 

strengthen our belief that a title IV–E 

agency can prepare data files within 30 

days. Many title IV–E agencies now 

have the ability to record and verify data 

in a more timely fashion than when the 

original AFCARS regulation was issued 

in 1993 (58 FR 67924). Finally, we have 

provided significant technical assistance 

to title IV–E agencies to encourage 

ongoing quality assurance checks on the 

data recorded in their information 

systems. We believe that title IV–E 

agencies will be able to meet this shorter 

time frame for submitting data with 

continued and routine use of our data 

quality utilities. 

Finally, in paragraph (a) we require 

that title IV–E agencies submit their data 

to us in two separate data files: (1) Outof-home care; (2) adoption and 

guardianship assistance. Currently, 

agencies must submit four data files 

(Appendices A and B to 45 CFR 1355): 

(1) A detailed foster care data file with 

information on all children in foster 

care during the report period; (2) a 

detailed adoption data file with 

information on all children adopted 

during the report period in whose 

adoption the title IV–E agency has some 

involvement; (3) a foster care summary 

data file in which the title IV–E agency 

indicates the total number of foster care 

records and the age distribution of 

children in those records; and, (4) an 

adoption summary data file in which 

the title IV–E agency indicates the total 

number of adoption records and the age 

distribution of the children adopted. 

As in the 2008 NPRM, we propose to 

eliminate the existing foster care and 

adoption summary data files because 

they are no longer necessary. ACF 

originally intended to use the summary 

data files to verify the completeness of 

a title IV–E agencies’ data submissions 

and to ensure that the data file was not 

corrupted during transmission. The 

summary data files also served as a 

quick count of the number of children 

in foster care and those being adopted. 

However, because the summary data 

files contain aggregate data, the number 

of children entering, discharged, 

adopted, served or in care on a specific 

day cannot be determined. Further, we 

are now able to use new technology that 

is better able to verify the completeness 

of a data submission without requiring 

the title IV–E agency to generate 

summary data files. Commenters to the 

2008 NPRM were appreciative and 

supportive of the deletion of the 

summary data files. 

Section 1355.42(b) Out-of-Home Care 

Data File 

In paragraph (b), we provide 

instructions on how the title IV–E 

agency must report information required 

under the proposed section 1355.43 for 

each child in the out-of-home care 

reporting population, as defined in 

section 1355.41(a). 

Specifically, in paragraph (b)(1), we 

propose that a title IV–E agency submit 

the most recent information for data 

elements in the General information and 

Child information sections of the out-ofhome care data file (paragraphs 

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1355.43(a) and (b), respectively). We 

propose that the title IV–E agency report 

current, point-in-time data for these 

sections similar to the time frame for 

most existing AFCARS data elements. 

This information is largely demographic 

in nature, and tends to remain static 

over a six-month report period or even 

longer, and therefore we have no need 

for the title IV–E agency to report 

historical information for these data 

elements. For example, the child’s date 

of birth does not change over the course 

of a report period. This proposal is 

unchanged from that included in the 

2008 NPRM, and there were no 

comments specific to this proposal. 

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

title IV–E agency submit the most recent 

and historical information for most data 

elements in the following sections of the 

out-of-home care data file Parent or legal 

guardian information, Removal 

information, Living arrangement and 

provider information, Permanency 

planning, General exit information and 

Exit to adoption and guardianship 

information (paragraphs 1355.43(c), (d), 

(e), (f), (g) and (h), respectively). This 

information is required unless the 

exception in paragraph (b)(3) applies. 

This means that for every data file 

submission, we seek information on the 

child’s full range of experience while in 

out-of-home care under the title IV–E 

agency’s placement and care 

responsibility as described through the 

reporting of these data elements. This 

will allow ACF to develop a 

comprehensive picture of a child’s full 

range of experience with entries, living 

arrangements and permanency plans 

while in the title IV–E agency’s 

placement and care responsibility, as 

well as exits from the out-of-home care 

population. This proposal, which is 

modified slightly from the 2008 NPRM 

to incorporate data collection on 

caseworker visits and transition plans, 

differs from how title IV–E agencies 

currently report foster care information 

under the existing AFCARS 

requirements; a title IV–E agency 

currently submits certain detailed 

information on the child’s current foster 

care episode and current placement 

setting only as of the last day of the 

report period. 

We propose that a title IV–E agency 

submit recent and historical information 

pertaining to termination of parental 

rights (TPR) petitions, TPRs, removals, 

permanency and transition plans, 

caseworker visits, living arrangements 

and exits from the out-of-home care 

reporting population every report period 

rather than requiring updates on 

children who were in out-of-home care 

previously or who remain in out-ofhome care from one report period to the 

next. Part of our goal in developing this 

proposed regulation is to eliminate 

features of the existing AFCARS that 

result in data collection that lacks 

detailed information about each foster 

care episode a child experiences. We 

propose to ask title IV–E agencies for 

historical information, rather than to 

report only on changes in the child’s 

living arrangements, permanency plans 

and entry into or exit from out-of-home 

care so that we have a way to verify that 

the child’s experiences have, in fact, 

remained the same across several report 

periods. Without longitudinal data 

collection, we are unable to have a 

comprehensive picture of a child’s 

placement history within each out-ofhome care episode. We also believe that 

this approach is less burdensome on 

title IV–E agencies. Although sending a 

child’s full history involves submitting 

more data to us than providing an 

update as children exit and re-enter outof-home care and their living 

arrangements and permanency plans 

change, we believe that submitting a 

child’s history is less complicated and 

therefore requires fewer agency 

resources than the alternative. In other 

words, sending a child’s full history 

requires the title IV–E agency to submit 

all the information it has on these data 

elements, rather than figure out a way 

to pull out only the information that has 

changed each report period. 

We believe there will be many 

benefits to obtaining this longitudinal 

data, including the elimination of the 

information gaps that exist in the 

current AFCARS data, which raise 

questions about the child’s experiences 

and make the data more difficult to 

analyze, the capability to build upon 

ACF’s ability to conduct sophisticated 

analyses on what happens to a child or 

groups of children in foster care and the 

ability to better inform the current 

CFSRs and other monitoring efforts, on 

outcome measures such as time in foster 

care, foster care re-entries and the 

stability of foster care placements. 

Commenters to the 2008 NPRM and the 

2010 FR Notice were largely supportive 

of the shift in the data collection 

methodology to incorporate longitudinal 

reporting. Although some commenters 

expressed concerns about implementing 

a longitudinal methodology for AFCARS 

data with existing systems and 

increasingly limited resources, we 

believe that the potential to have 

improved data available for Federal 

monitoring efforts and other priorities 

provides a compelling reason for 

proposing these changes. 

We decided to propose gathering 

comprehensive data on removals, 

permanency and transition plans and 

caseworker visits, living arrangements 

and exits after considering whether a 

more limited approach to developing 

longitudinal data would meet our needs 

for data analysis, as well as those of title 

IV–E agencies. As described in the 2008 

NPRM, the limited option(s) we 

considered would require a title IV–E 

agency to submit detailed removal, 

permanency plan, living arrangement 

and exit information on the child’s four 

most recent out-of-home care episodes 

and four most recent living 

arrangements only. This would have 

captured almost all foster care episodes 

without requiring title IV–E agencies to 

submit extensive histories on children. 

Similarly, limiting the number of living 

arrangements that title IV–E agencies 

would report in AFCARS data would 

minimize the burden of this approach. 

Ultimately, we decided that this more 

narrow approach was not sufficient. 

One problem with a limited 

longitudinal database was that we 

would have no information on the 

children who present some of the more 

significant challenges to the child 

welfare system. Children who 

experience high numbers of multiple 

living arrangements or frequently enter 

and exit out-of-home care are some of 

the nation’s most vulnerable children. 

Furthermore, these children often 

require title IV–E agencies to expend 

more of their resources to address their 

problems. 

In paragraph (b)(3), we propose an 

exception to the requirement for title 

IV–E agencies to report complete 

historical and current information on all 

out-of-home care episodes for children 

in the reporting population. The 

exception applies to those children who 

had an out-of-home care episode, as 

defined in 45 CFR 1355.41(a), prior to 

the effective date of the forthcoming 

final rule. Specifically, the exception 

applies to: (1) Children who are in outof-home care on the effective date of the 

final rule who also had a prior out-ofhome care episode before this date; and 

(2) children who enter out-of-home care 

after the effective date of the final rule 

who had a prior out-of-home care 

episode before this date. For such 

children, we propose that the title 

IV–E agency report the child’s Removal 

dates, Exit dates and Exit reasons 

(paragraphs 1355.43(d)(1), (g)(1) and 

(g)(3) respectively) for each out-of-home 

care episode that occurred before the 

effective date of the final rule. The 

exception does not apply to a child’s 

out-of-home care episode that is open 

on or begins after the effective date of 

the final rule; for such children we 

propose that a title IV–E agency report 

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all information described in paragraphs 

(b)(1) and (b)(2) during that ongoing outof-home care episode. For example, if 

the effective date of the final rule was 

June 1, 2011, the title IV–E agency must 

report complete information for a child 

who was either in the out-of-home care 

reporting population on that date or 

entered subsequently, but only data 

elements in paragraphs 1355.43(d)(1), 

(g)(1) and (g)(3) for each previous outof-home care episode that the child had. 

As time passes after the final rule goes 

into effect, this provision will apply to 

a diminishing number of children who 

are in the out-of-home care reporting 

population. This exception is the same 

as that proposed in the 2008 NPRM, and 

the comments in response to this 

proposal were generally supportive. 

We propose this exception to the 

general rule to report complete 

information to strike a balance between 

our desire for recent and historical 

information on all children in out-ofhome care under the proposed new 

AFCARS data elements and the 

challenge that some agencies may face 

in gathering this information for a 

child’s previous contacts with the child 

welfare system before these new rules 

go into effect. We chose to have a title 

IV–E agency report at least the child’s 

prior removal and exit dates and exit 

reasons, because we believe these data 

elements are most critical to our ability 

to construct certain cohorts of children 

for analysis in outcome-based 

monitoring activities. Further, a title 

IV–E agency currently collects this 

information in the normal course of 

casework activities for children in foster 

care and reports some of this 

information in existing AFCARS data 

elements. 

While our proposal is to mandate that 

title IV–E agencies provide three 

specific data elements for the prior outof-home care episode(s) of a child who 

is in out-of-home care on the effective 

date of the final AFCARS rule, or enters 

out-of-home care after the effective date 

of the final rule, we expect the title 

IV–E agency to report as much 

information as possible for these prior 

out-of-home care episodes, and at least 

as much information as it reports 

currently under the existing AFCARS. 

We know that many title IV–E agencies 

currently collect comprehensive 

information that pertains to the 

proposed new data elements. Therefore, 

we believe that it is reasonable to expect 

that agencies may be able to provide us 

with some additional information on the 

new data elements regarding prior 

episodes in the absence of a mandate. A 

title IV–E agency that does not provide 

this additional information will not be 

penalized. A title IV–E agency that 

provides this information with errors 

also will not be penalized. 

Section 1355.42(c) Adoption and 

Guardianship Assistance Data File 

In paragraph (c), we propose that the 

title IV–E agency submit the most 

recent, point-in-time information for all 

data elements in the adoption and 

guardianship assistance data file that are 

applicable to the child during the report 

period. This information is needed only 

on the last day of the report period 

because while information may change 

over the course of years, many of the 

data elements in this data file are not 

likely to change during any given report 

period. For example, the amount of title 

IV–E adoption or guardianship 

assistance may remain static for the 

duration of the title IV–E assistance 

agreement or the amount may fluctuate 

over a number of years, depending on 

changes in foster care maintenance 

rates, whether the adoptive parent(s) or 

legal guardian(s) request a change in the 

amount of the title IV–E adoption or 

guardianship assistance amount, or 

changes in the child’s circumstances. 

Regardless, capturing this information 

during each report period will allow 

ACF to better track and analyze the 

nature of title IV–E adoption and 

guardianship arrangements and 

assistance agreements and to make 

budget projections. This proposal was 

first introduced in the 2008 NPRM and 

received no substantive comments. 

Section 1355.42(d) Reporting Missing 

Information 

In paragraph (d), we propose how the 

title IV–E agency must report missing 

information. If the title IV–E agency fails 

to collect the information for a data 

element, the agency must report the data 

element as blank or missing. The title 

IV–E agency may not write the 

extraction code to default to a valid 

response option if caseworkers did not 

collect or enter those responses into the 

information system. This is the case 

even when there may be a response 

option for a data element that allows the 

title IV–E agency to indicate that the 

information is not yet determined or is 

unknown. This provision is consistent 

with ACF’s longstanding practice; 

however, title IV–E agencies have 

pointed out that there is no official 

guidance on this issue. Therefore, we 

wish to state unequivocally that this 

practice of defaulting is not permitted. 

This proposal was first introduced in 

the 2008 NPRM. Several commenters to 

the 2008 NPRM indicated that they felt 

it was not realistic to forbid a title 

IV–E agency to default or map 

information that caseworkers did not 

collect or enter into the information 

system to a valid response option, and 

that this proposal would increase 

caseworker burden. Commenters 

suggested that this proposal would 

require the caseworker to not only 

document the work they completed in a 

child’s case, but also enter data into the 

case management system to indicate 

‘‘not yet determined’’ in order to meet 

the AFCARS requirement for missing 

data. Although we considered these 

comments, the statutory mandate in 

section 479(c)(2) of the Act requires 

ACF to assure that any AFCARS data 

that is collected must be reliable and 

consistent over time. Permitting the 

practice of defaulting decreases the 

reliability of the AFCARS data collected 

in that data reported may not truly 

reflect the case-specific information and 

circumstances for each child in the 

reporting population. For these reasons, 

we again propose to prohibit the 

practice of a title IV–E agency having an 

information system default to or 

generate automatic responses. 

Section 1355.42(e) Electronic 

Submission 

In paragraph (e), we propose to 

continue requiring a title IV–E agency to 

submit its data files to ACF 

electronically, consistent with ACF’s 

specifications. We currently provide 

guidance on submission of technical 

requirements and specifications through 

official ACF policy and technical 

bulletins. This proposal is the same as 

that included in the 2008 NPRM, and 

we received several comments in 

response to the 2008 NPRM requesting 

that ACF provide clarification on the 

type of technologies it anticipates the 

title IV–E agencies will use in the report 

submission process. We considered 

these comments, but learned through 

our experience with the existing 

AFCARS that it is prudent not to 

regulate the technical specifications for 

transmitting data. As technology 

changes, we must keep pace with the 

most current, practical and efficient 

transmission methods that will meet 

title IV–E agency and Federal needs. As 

such, we will continue to provide 

guidance through policy and technical 

bulletins. 

Section 1355.42(f) Record Retention 

In paragraph (f), we propose that title 

IV–E agencies retain records necessary 

to comply with the AFCARS reporting 

requirements outlined in proposed 

sections 1355.42 through 1355.44. In 

particular, we propose that the title 

IV–E agency’s retention of AFCARS 

records is not limited to the 

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Departmental record retention rules in 

45 CFR 92.42(b) and (c). These 

Departmental record retention rules 

require title IV–E agencies to retain 

financial and programmatic records, 

supporting documents and statistical 

records related to Federal programs and 

requirements for a period of three years. 

Because we seek comprehensive data on 

children in out-of-home care, including 

information on their prior experiences 

with the child welfare system, we view 

the three-year retention period to serve 

as a minimum. 

Practically, this means the title IV–E 

agency must keep applicable records 

until the child is no longer of an age to 

be in the reporting populations. 

Additionally, this means that the title 

IV–E agency must keep applicable 

records for a minimum of three years 

when a child exits the reporting 

population due to age. This is because 

we propose that a title IV–E agency keep 

a child’s identification number 

consistent over time and indicates the 

child’s entire history with the child 

welfare system. This proposal is the 

same as in the 2008 NPRM. We received 

several comments in response to this 

proposal in the 2008 NPRM that 

indicated concerns regarding the cost of 

retaining both electronic and paper 

records. We considered these 

comments; however, since a child’s 

information is likely to be contained in 

an electronic format through the IV–E 

agency’s automated information system 

and is relatively simple to archive and 

store, we believe the proposed record 

retention rules are reasonable. Also, 

based on our experience through 

SACWIS and AFCARS reviews, title 

IV–E agencies currently maintain the 

child’s information in their systems 

until a child reaches the age of majority. 

Section 1355.43 Out-of-Home Care 

Data File Elements 

Section 1355.43(a) General Information 

In paragraph (a), we propose that title 

IV–E agencies collect and report general 

information that identifies the reporting 

title IV–E agency as well as the child in 

out-of-home care. 

Title IV–E agency. In paragraph (a)(1), 

we propose that the title IV–E agency 

indicate the name of the title IV–E 

agency responsible for submitting 

AFCARS data to ACF. A State title 

IV–E agency must indicate its State 

name for identification purposes. ACF 

will work with Tribal title IV–E agencies 

to provide further guidance, including a 

list of valid response options, during 

implementation. This proposal differs 

from the existing AFCARS regulation, 

which requires the title IV–E agency to 

identify itself using the U.S. Postal 

Service two letter abbreviation for the 

State or the ACF-provided abbreviation 

for the title IV–E Tribal agency 

responsible for submitting the AFCARS 

data to ACF. This proposal also is 

different from the 2008 NPRM in which 

we proposed to use Federal Information 

Processing Standard (FIPS) codes for 

State identification. We did not receive 

comments on this data element in 

response to the 2008 NPRM but have 

opted not to proceed with the NPRM 

proposal to remove FIPS codes, which 

are no longer being updated and 

maintained. 

Report date. In paragraph (a)(2), we 

propose that a title IV–E agency indicate 

the report period date. Specifically, a 

title IV–E agency will report to us the 

last month and year that corresponds 

with the end of the report period, which 

will always be either March or 

September of any given year. The 

information we propose to collect is the 

same as in the existing AFCARS 

regulations, and was proposed in the 

2008 NPRM. We received no comments 

on this data element in response to the 

2008 NPRM. 

Local agency. In paragraph (a)(3), we 

propose that the title IV–E agency report 

to us the name of the local county, 

jurisdiction or equivalent unit that has 

responsibility for the child. This 

proposal differs from current AFCARS 

regulations, which instruct the title 

IV–E agency to identify the local agency 

using the five digit FIPS code of the 

county or ACF-provided abbreviation 

for the Indian Tribe local unit, and the 

2008 NPRM which proposed that the 

title IV–E agency indicate the FIPS code 

for the local agency. We received several 

comments in response to the 2008 

NPRM that indicated concern about 

continuing to use FIPS codes for 

jurisdictions below the State level. We 

agree with these comments, and since 

FIPS codes are no longer being updated 

and maintained, we propose revisions to 

this data element to remove FIPS codes. 

ACF will work with Tribal title IV–E 

agencies to provide further guidance, 

including a list of valid response 

options, for this element during 

implementation. 

Child record number. In paragraph 

(a)(4), we propose that the title IV–E 

agency report the child’s record number, 

which is a unique person identification 

number, as an encrypted number. The 

child record number must remain the 

same for the child no matter where the 

child lives while in the placement and 

care responsibility of the title IV–E 

agency and across all report periods and 

out-of-home care episodes. As discussed 

in section 1355.44, we also propose to 

require the title IV–E agency to use this 

child record number for reporting if the 

child exits the out-of-home care data file 

and enters the reporting population for 

the adoption and guardianship 

assistance data file. The title IV–E 

agency must apply and retain the same 

encryption routine or method for the 

child record number across all report 

periods. The title IV–E agency’s 

encryption methodology must meet all 

ACF standards prescribed through 

technical bulletins or policy. 

The existing AFCARS requirement is 

for the title IV–E agency to report the 

sequential or unique number that 

follows the child as long as he or she is 

in foster care. We now propose, as we 

did in the 2008 NPRM, to revise the 

child record number data element to no 

longer allow agencies to use sequential 

numbers for AFCARS. Rather, title 

IV–E agencies are to use encryption and 

consistent numbers. The proposed 

changes to this data element are based 

on findings from AFCARS reviews, 

technical assistance, and public 

comments, described at length in the 

2008 NPRM, which indicate that there 

are circumstances in which title IV–E 

agencies use different record numbers 

for the same child. We received a 

number of comments in response to the 

2008 NPRM applauding the inclusion of 

this data element that meets a long 

standing need for data about a child’s 

total experience in out-of-home care, as 

well as several comments seeking 

clarification and technical assistance 

around this data element. Through these 

proposed revisions, title IV–E agencies 

will keep a child’s record number 

consistent through his or her out-ofhome care experience, and utilize 

encryption to ensure that the child’s 

identity will remain confidential. 

Ensuring that the child record number 

is consistent throughout placement 

changes also will assist in the analysis 

of NYTD data, which requires States to 

use a child’s AFCARS child record 

number for identification. 

This proposed data element, however, 

is different from the 2008 NPRM 

proposal in that we do not propose to 

retain the exception that a title IV–E 

agency may provide a new child record 

number if the child was previously 

adopted. Initially proposed in the 2008 

NPRM, this exception applied to a child 

who re-enters out-of-home care 

following an adoption. In addition to 

the public comments received in 

response to the 2008 NPRM that support 

maintaining a consistent identification 

number throughout a child’s out-ofhome care experience, we are not 

retaining this exception so that we may 

collect information on the experience of 

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sibling groups in the child welfare 

system through out-of-home care 

placements. By ensuring that title IV–E 

agencies use consistent child record 

numbers, it may be possible to capture 

information over time on the total 

experience of sibling groups in the child 

welfare system. 

Finally, we would like to note that we 

are not continuing our 2008 NPRM 

proposal to require title IV–E agencies to 

report a unique and encrypted Family 

Record Number that is associated with 

the child. We acknowledge that defining 

‘‘family’’ for the purposes of this data 

element may be challenging for title 

IV–E agencies and understand from 

commenters to the 2008 NPRM that 

associating a family record number with 

each child may be technically difficult 

for State and Tribal agency systems. We 

instead propose to collect information 

in both paragraph (e) and proposed 

section 1355.44 to aid in the 

identification of sibling groups, and we 

discuss these proposals later in this 

NPRM. 

Section 1355.43(b) Child Information 

In paragraph (b), we propose that title 

IV–E agencies collect and report various 

characteristics of the child in the out-ofhome care reporting population. 

Child’s Birth Information. In 

paragraph (b)(1), we propose to collect 

information on the child’s date of birth 

and whether the child was born in the 

United States. 

In paragraph (b)(1)(i), we propose to 

require title IV–E agencies to report the 

month, day and year of the child’s birth, 

which is what we proposed in the 2008 

NPRM. This proposal differs slightly 

from the instruction included in 

existing AFCARS regulations regarding 

a child’s date of birth in that we do not 

require the title IV–E agency to report an 

abandoned child’s date of birth as the 

15th of the month. As detailed in the 

2008 NPRM, we are not retaining this 

requirement because AFCARS reviews 

revealed that many title IV–E agencies 

were not aware of this instruction or 

that workers were reluctant to enter an 

unknown birth date as the 15th of the 

month. Therefore, we are requiring that 

the title IV–E agency always provide the 

child’s actual or estimated date of birth. 

There were no substantive comments on 

this data element in response to the 

2008 NPRM. 

In paragraph (b)(1)(ii), we propose to 

require the title IV–E agency to report 

whether or not the child was born in the 

United States. If the child was born in 

the United States, indicate ‘‘yes.’’ If the 

child was born in a country other than 

the United States, indicate ‘‘no.’’ This is 

a newly proposed data element and will 

give us a national picture of how many 

foreign-born children are in out-of-home 

care. We specifically request comments 

from State and Tribal title IV–E agencies 

on this data element. 

Child’s sex. In paragraph (b)(2), we 

propose that the title IV–E agency report 

whether the child’s is male or female, as 

appropriate. This proposal mirrors both 

the 2008 NPRM proposal and the 

existing regulation. There were no 

substantive comments in response to 

this proposed data element in response 

to the 2008 NPRM. 

Child’s race. In paragraph (b)(3), we 

propose to require the title IV–E agency 

to report information on the race of the 

child. Each racial category is a separate 

data element to represent the fact that 

the OMB standards require title IV–E 

agencies to allow an individual to 

identify with more than one race. 

Consistent with the OMB standards, 

self-reporting or self-identification is the 

preferred method for collecting data on 

race and ethnicity. This means that the 

title IV–E agency is to allow the child, 

if age appropriate, or the child’s 

parent(s) or legal guardian(s) to 

determine the child’s race. 

The response options proposed are 

slightly different from those in the 

existing AFCARS, but are similar to the 

2008 NPRM proposal and to those in the 

NYTD (see 45 CFR 1356.80). One 

difference in the current proposal is that 

we allow, in addition to the child and 

the child’s parent(s), legal guardians to 

determine the child’s race. We are 

including this option to acknowledge 

that a legal guardian, rather than the 

child’s parent(s), may be the appropriate 

person to determine the child’s race, if 

that child has been living with him or 

her. The racial categories of American 

Indian or Alaska Native, Asian, Black or 

African American, Native Hawaiian or 

Other Pacific Islander and White listed 

in proposed paragraphs (b)(3)(i) through 

(b)(3)(v) are consistent with the OMB 

Revised Standards for the Classification 

of Federal Data on Race and Ethnicity, 

as described in the 2008 NPRM. There 

were several public commenters in 

response to both the 2008 NPRM and 

2010 FR Notice that suggested aligning 

response options regarding a child’s 

race with other Federal data reporting 

efforts such as NCANDS or NYTD race 

categories. We agree, and the racial 

categories proposed both in the 2008 

NPRM and the current proposal are 

aligned with those in NCANDS and 

NYTD, in addition to being consistent 

with OMB race and ethnicity standards 

as described above. 

In the 2008 NPRM, we propose that if 

the child’s race is ‘‘unknown,’’ the title 

IV–E agency is to so indicate in 

paragraph (b)(3)(vi). However, we now 

propose to clarify that ‘‘unknown’’ must 

also be selected if the child or his or her 

parent(s) or legal guardian(s) cannot 

communicate the child’s race. This 

response option serves to replace 

‘‘unable to determine’’ currently 

included in AFCARS. A child’s race can 

be categorized as ‘‘unknown’’ only if a 

child or his or her parent(s) or legal 

guardian(s) does not actually know the 

child’s race, or the child or his or her 

parent(s) or legal guardian(s) is unable 

to communicate the child’s race. Using 

‘‘unknown’’ to report the fact that the 

title IV–E agency has not asked the child 

or his or her parent(s) or legal 

guardian(s) for the child’s race is not an 

acceptable use of this response option. 

Further, it is acceptable for the child to 

identify that he or she is multi-racial, 

but does not know one of those races. 

In such cases, the title IV–E agency must 

indicate the racial classifications that 

apply and also indicate that a race is 

unknown. 

In the 2008 NPRM we proposed to 

introduce two new response options, 

currently not in AFCARS, that we 

include in our proposal. We propose 

that if the child’s race cannot be 

determined because the child is 

‘‘abandoned,’’ the title IV–E agency 

must so indicate in paragraph (b)(3)(vii). 

We provide a definition of abandoned 

so that we are clear that the term should 

be used in very restrictive 

circumstances and not any time a parent 

may be temporarily unavailable. If a 

child who was abandoned as an infant 

later identifies as being of a certain race 

or multiple races, the title IV–E agency 

must indicate the applicable race(s), 

rather than ‘‘abandoned.’’ Finally, we 

propose that in the situation in which 

the child or his or her parent(s) or legal 

guardian(s) ‘‘declines’’ to identify any 

race, the title IV–E agency must so 

indicate in paragraph (b)(3)(viii). 

Child’s Hispanic or Latino ethnicity. 

In paragraph (b)(4), we propose to 

require that a title IV–E agency report 

the Hispanic or Latino ethnicity of the 

child. This proposed data element is 

similar to that proposed in the 2008 

NPRM. The only difference in the 

current proposal is that, in addition to 

the child or the child’s parent(s), we 

allow the legal guardian(s) to determine 

the child’s ethnicity. We include this 

option to acknowledge that a legal 

guardian, rather than the child’s 

parent(s), may be the appropriate person 

to determine the child’s ethnicity, if that 

child has been living with him or her. 

This proposal differs from the existing 

AFCARS in that we propose here that 

the child’s ethnicity be self-determined 

by the child, or determined by his or her 

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parent(s) or legal guardian(s), consistent 

with OMB race and ethnicity standards. 

As in the 2008 NPRM proposal, we also 

propose that the title IV–E agency may 

report the following response options, 

not currently included in AFCARS 

whether the child’s ethnicity is 

‘‘unknown’’ because the child or the 

child’s parent(s) or legal guardian(s) 

does not know or cannot communicate 

the information, whether the child is 

‘‘abandoned’’ or the child or the child’s 

parent(s) or legal guardian(s) ‘‘declined’’ 

to provide this information. 

In paragraphs (b)(5) and (b)(6), we 

propose for the first time that the title 

IV–E agency collect information on 

health assessment(s) that the child has 

received while in foster care. We 

specifically seek information on the date 

of the child’s most recent health 

assessment and whether the child has 

been receiving health assessments in a 

timely manner to ensure that the title 

IV–E agency is performing health 

assessments on each child in a foster 

care placement in accordance with their 

own established schedule, per the 

statutory requirements in section 

422(b)(15)(A) of the Act. In paragraph 

(b)(6), if the child has missed a required 

health assessment in the past but has 

now received all required health 

assessments, the title IV–E agency must 

indicate ‘‘yes.’’ We have learned 

through technical assistance that many 

title IV–E agencies are already collecting 

information regarding the receipt of 

health assessments for each child in 

foster care, including the dates of each 

assessment, and therefore, the inclusion 

of this proposal should not place 

significant burden on the title IV–E 

agency. 

ACF believes that it is important to 

ensure that the title IV–E agency is 

identifying and addressing the health 

needs of children in foster care. 

Proposing to require the title IV–E 

agency to report health assessment 

information provides ACF an 

opportunity to ensure that the title 

IV–E agency is identifying a child’s 

critical health needs through routine 

health assessments and that these needs 

are appropriately addressed and 

reviewed by a medical professional. For 

example, if a child is receiving health 

assessments according to the schedule 

established by the title IV–E agency per 

section 422(b)(15)(A) of the Act, we can 

assume that the medical professional(s) 

performing the screening will identify 

and address health needs such as 

immunization updates, need for 

services, and appropriate use of 

medications. We believe that this 

information will serve as a proxy for 

other indicators of well-being in 

addition to providing health assessment 

information for each child in the out-ofhome care reporting population. We 

welcome comments on this proposal. 

Health, behavioral or mental health 

conditions. In paragraph (b)(7), we 

propose to require title IV–E agencies to 

report whether a child has been 

diagnosed by a qualified professional as 

having one or more health, behavioral or 

mental health conditions prior to or 

during the child’s current out-of-home 

care episode as of the last day of the 

report period. In the existing AFCARS 

the title IV–E agency is required to 

collect similar information on a child’s 

conditions in the data element ‘‘child 

disability.’’ In the 2008 NPRM we 

proposed to revise the data element 

name and require title IV–E agencies to 

collect information on an expanded list 

of health, behavioral or mental health 

conditions. Our current proposal 

utilizes the expanded list of condition 

types as proposed by the 2008 NPRM, 

but is modified as detailed below. 

If a title IV–E agency indicates that 

the child has a diagnosed condition, we 

now propose to require the title IV–E 

agency to indicate ‘‘existing condition,’’ 

‘‘previous condition’’ or ‘‘does not 

apply,’’ as applicable for each of the 

categories of conditions in paragraphs 

1355.43(b)(7)(i) through (b)(7)(xii). A 

title IV–E agency must report a 

diagnosed condition known prior to or 

during the child’s current out-of-home 

care episode as of the last day of the 

report period. If the child was diagnosed 

with a condition prior to entry, and that 

condition is still applicable to the child 

when he or she enters foster care, the 

title IV–E agency must indicate this as 

an ‘‘existing condition.’’ If the title 

IV–E agency is aware and obtained a 

medical summary, then this information 

should be recorded and reported in 

AFCARS data as an ‘‘existing 

condition.’’ Consequently, if a child was 

diagnosed for a condition that is 

resolved, the title IV–E agency must 

report this diagnosis as a ‘‘previous 

condition.’’ For instance, a child may 

have been born with a congenital defect 

that fits in the physically disabled 

category and has undergone treatment 

for the condition such that the condition 

no longer impairs the child’s day-to-day 

motor functioning. 

This proposal differs from the 2008 

NPRM proposal and existing AFCARS 

regulations. In the 2008 NPRM we 

proposed to require a title IV–E agency 

to indicate ‘‘applies’’ or ‘‘does not 

apply’’ for each response option. We 

propose now to require a title IV–E 

agency to indicate ‘‘previous condition’’ 

versus ‘‘existing condition’’ specifically 

to collect ongoing information on 

conditions that the child was previously 

diagnosed with, but do not currently 

apply to the child. We were unable to 

distinguish between current and prior 

diagnoses with our 2008 NPRM 

proposal. In addition, we were unable to 

capture comprehensive information in 

current AFCARS regulations and our 

2008 NPRM proposal regarding a child’s 

diagnosed health, behavioral and mental 

health conditions beyond the current 

AFCARS report period, which this 

proposal will allow. Collecting 

additional information regarding 

conditions for which the child was 

previously diagnosed but do not exist as 

current diagnoses will provide 

increased opportunities for analysis 

regarding the health and service needs 

of children in out-of-home care. While 

this information will be updated in the 

AFCARS file each report period, the 

structure will permit ACYF to produce 

longitudinal files for research, and/or 

provide the information required to link 

records across report periods in the 

public use data sets. However, we seek 

public comment regarding the utility of 

collecting the health-related data 

elements such that the information 

provided for a child on a previous data 

submission is not overwritten, but 

instead is included in each data file 

with the new information (with dates 

indicating the date of data submission 

for each set of health-related data 

elements). We also seek comment on 

whether there are further steps that 

should be taken in this area to provide 

usable, accurate, and reliable 

longitudinal information about a child’s 

health conditions. 

We proposed to modify the list of 

conditions in current AFCARS 

regulations in the 2008 NPRM that title 

IV–E agencies currently report, creating 

separate response options for visually 

and hearing impaired (combined in 

current regulation) and adding the 

following diagnosed conditions as 

response options anxiety disorder, 

childhood disorders, learning disability, 

substance use-related disorder and 

developmental disability. We propose to 

make a minor change to the list by 

renaming ‘‘mental retardation’’ as 

‘‘intellectual disability,’’ but we intend 

to maintain the definition of ‘‘mental 

retardation’’ that was included in the 

2008 NPRM. Our reasoning for making 

this name change is to conform with the 

proposed changes to the Diagnostic and 

Statistical Manual of Mental DisordersV (DSM–V), the changes made by Public 

Law 111–256 that solidified the use of 

‘‘intellectual disability’’ in Federal law 

and the increasing focus on cultural 

sensitivity to the term ‘‘mental 

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retardation.’’ In response to the 

requirements in Public Law 113–183 to 

include information in the annual Child 

Welfare Outcomes Report on children in 

foster care who are pregnant, we 

propose the addition of ‘‘pregnant’’ to 

the list of conditions. This information 

is required to be included in the annual 

report beginning in FY 2016. Other than 

the changes described above, we have 

chosen to continue the definitions for 

the proposed conditions without 

additional changes both to maintain 

consistency with currently reported 

conditions, and to limit burden placed 

on title IV–E agencies associated with 

making changes to this data element. 

We welcome comments on this 

proposal. 

In response to the 2008 NPRM, 

several commenters expressed concern 

regarding the additional training that 

caseworkers would require to capture 

and categorize detailed clinical 

information, as well as concerns 

regarding the impact of the new data 

elements on the SACWIS system and 

programmatic data elements. However, 

as we described in the 2008 NPRM, we 

believe that collecting information 

pertaining to the health characteristics 

of a child is important in understanding 

the length of time children remain in 

care, their placement needs, number of 

placements, and, in general, the needs 

of children being served by the title 

IV–E agency. In addition, requiring this 

information is consistent with the 

provision in section 475(1)(C) of the Act 

for the title IV–E agency to have a case 

plan that includes the child’s health 

records and known medical problems. 

We have observed, through our 

AFCARS reviews and Technical 

Assistance provision, that many title 

IV–E agencies already collect 

comprehensive information from 

medical and health assessments for 

children in foster care, and this 

information is often incorporated as part 

of a child’s case record. 

Finally, consistent with existing 

AFCARS and detailed in the 2008 

NPRM, we propose to continue 

requiring that the title IV–E agency 

indicate diagnoses made by a qualified 

professional as determined by 

applicable laws and policies of the State 

or Tribal service area. A qualified 

professional may include a doctor, 

psychiatrist or, if applicable in the State 

or Tribal service area, a licensed clinical 

psychologist or social worker. 

School enrollment. In paragraph 

(b)(8), we propose for the first time that 

the title IV–E agency report whether a 

child is currently a full-time student at 

and enrolled (or in the process of 

enrolling) in school as of the last day of 

the report period or on the day of exit 

for a child exiting out of home care prior 

to the end of a report period. We 

propose that the title IV–E agency report 

the child’s school enrollment by 

indicating ‘‘elementary,’’ ‘‘secondary,’’ 

‘‘post-secondary education or training’’ 

or ‘‘college.’’ We propose that a child 

who has not reached the age for 

compulsory school attendance must be 

identified as ‘‘not school-age’’ and a 

child who has reached the age for 

compulsory school attendance, but is 

not enrolled or in the process of 

enrolling in any school setting full-time 

must be identified as ‘‘not enrolled.’’ 

For the purposes of AFCARS, we 

propose that for a child to be ‘‘enrolled’’ 

in school he or she must meet the 

statutory definition of ‘‘elementary or 

secondary school student’’ at section 

471(a)(30) of the Act or participate fulltime in college or post-secondary 

education/training activities. An 

‘‘elementary or secondary school 

student’’ per section 471(a)(30) of the 

Act means that the child is (A) enrolled 

(or in the process of enrolling) in an 

institution which provides elementary 

or secondary education, as determined 

under the law of the State or other 

jurisdiction in which the institution is 

located; (B) instructed in an elementary 

or secondary education program in 

accordance with a home school law of 

the State or other jurisdiction in which 

the home is located; (C) in an 

independent study elementary or 

secondary education program, in 

accordance with the law of the State or 

other jurisdiction in which the program 

is located, that is administered by the 

local school or school district; or (D) 

incapable of attending school on a fulltime basis due to the medical condition 

of the child, which incapability is 

supported by regularly updated 

information in the case plan of the 

child. 

We propose that, for the purposes of 

AFCARS, enrollment in ‘‘postsecondary education or training’’ refers 

to full-time enrollment in any postsecondary education or training, 

including vocational training, other than 

an education pursued at a college or 

university. Enrollment in ‘‘college’’ 

refers to a child that is enrolled full-time 

at a college or university. 

We propose that the title IV–E agency 

collect and report information on the 

child’s school enrollment for the first 

time in an effort to learn more about the 

well-being and stability of children 

served by title IV–E agencies. ACF 

agrees with commenters in response to 

the 2010 FR Notice in the importance of 

addressing the educational needs of 

youth in foster care. In addition, some 

title IV–E agencies already collect 

information on school enrollment, and 

consider this information to determine 

placements for a child entering foster 

care or to change foster care placements. 

We propose to collect information in 

AFCARS on school enrollment in 

particular to respond to this interest, 

and to address the new requirement in 

section 471(a)(30) of the Act (amended 

by Pub. L. 110–351) that title IV–E 

agencies must assure in their title IV–E 

plan that each child receiving a title 

IV–E payment who has attained the age 

for compulsory school attendance is a 

full-time elementary or secondary 

student, as defined above, or has 

completed secondary school as 

described in ACYF–CB–PI–10–11. This 

statutory requirement is designed to 

ensure that a child of appropriate age is 

enrolled full-time or is in the process of 

enrolling in an elementary or secondary 

school, if the child has not already 

completed secondary school. 

Further, we propose to collect 

information on a child’s enrollment in 

college and/or post-secondary 

education/training for all children in the 

out-of-home care reporting population, 

which includes children receiving 

extended title IV–E assistance beyond 

age 18. Some commenters to the 2010 

FR Notice were resistant to us requiring 

title IV–E agencies to report additional 

education data elements; however, the 

majority of commenters indicated 

interest in the collection of data in 

AFCARS that directly addresses a 

child’s educational experience, given 

the increasing emphasis on education in 

foster care. The data elements in 

paragraphs (b)(8) through (b)(12) of this 

section are proposed, in part, to address 

this identified need for information, as 

well as to collect information on 

children receiving extended title IV–E 

assistance per the option provided in 

section 475(8)(B) of the Act. We 

welcome comments on this proposal. 

Educational level. In paragraph (b)(9), 

we propose for the first time that a title 

IV–E agency report the highest 

educational level, from Kindergarten to 

college or postsecondary education/

training, completed by the child as of 

the last day of the report period. If a 

child has not yet reached the minimum 

age for compulsory school attendance, 

as determined by applicable State/Tribal 

law, the title IV–E agency must indicate 

that the child is ‘‘not school-age.’’ Title 

IV–E agencies are not currently required 

to report this information in AFCARS 

and this proposal replaces the 

Educational performance data element 

we proposed in the 2008 NPRM to 

require a title IV–E agency to report 

information on whether the child has 

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repeated a grade in school and the 

number of times a child has repeated a 

grade. Comments in response to the 

2008 NPRM questioned the value of 

collecting information on whether a 

child has repeated grades in school. 

Commenters to the 2008 NPRM also 

suggested that reporting data on 

repeated grades was not useful, as this 

information provided an incomplete 

picture of a child’s educational progress. 

We agree a revision is needed, given the 

passage of Public Law 110–351, and 

instead propose that a title IV–E agency 

collect information on a child’s recently 

completed grade level, which measures 

educational progress and aligns with 

statutory changes made by Public Law 

110–351. 

Title IV–E agencies must report the 

highest educational level that the child 

has completed as of the last day of the 

report period, rather than the child’s 

current educational level. For example, 

the title IV–E agency should indicate 

‘‘Kindergarten’’ if the child has 

completed Kindergarten or is currently 

in or about to begin 1st grade. The title 

IV–E agency must indicate ‘‘college’’ if 

the child has completed at least one 

semester of study at a college or 

university, and indicate ‘‘postsecondary education or training’’ if the 

child has completed any amount of time 

in post-secondary education or training 

(e.g., vocational or job skills training) 

other than an education pursued at a 

college or university. 

We seek this information in an effort 

to learn more about a child’s well-being 

while in out-of-home care. We believe 

that collecting the highest educational 

level completed from Kindergarten to 

college or post-secondary education/

training is an appropriate indicator of 

educational achievement because it is a 

measure that does not vary greatly 

among jurisdictions, and is appropriate 

for all school-age children. The highest 

level of education completed is 

relatively simple for a title IV–E agency 

to collect and report, and there is 

evidence from AFCARS reviews and 

technical assistance that at least a few 

title IV–E agencies already collect this 

information. Further, we believe that 

this data element is consistent with the 

statutory requirement for title IV–E 

agencies to compile information on 

health and education records of the 

child, including information on the 

child’s grade level performance while in 

foster care (section 475(1)(C)(ii) of the 

Act) and we believe that it would be 

beneficial to collect this information in 

AFCARS so that we can analyze trends 

in the relationship between a child’s age 

and his or her educational achievement. 

While this information will be updated 

in the AFCARS file each report period, 

the structure will permit ACYF to 

produce longitudinal files for research, 

and/or provide the information required 

to link records across report periods in 

the public use data sets. However, we 

seek public comment regarding the 

utility of collecting data on a child’s 

education level such that the 

information provided for a child on a 

previous data submission is not 

overwritten, but instead is included in 

each data file with the new information 

(with dates indicating the date of data 

submission associated with each grade 

level). We also seek comment on 

whether there are further steps that 

should be taken in this area to provide 

useable, accurate, and reliable 

longitudinal information about a child’s 

educational level. 

Educational stability. In paragraph 

(b)(10), we propose for the first time to 

require title IV–E agencies to collect and 

report whether the child is enrolled or 

is in the process of enrolling in a new 

elementary or secondary school 

prompted by an initial placement into 

foster care or a placement change that 

occurred within the report period if 

applicable. This information is not 

longitudinal and will be captured each 

report period. As described in paragraph 

(b)(8), for the purposes of AFCARS, a 

child is considered to be ‘‘enrolled’’ in 

an elementary or secondary school if the 

child meets the statutory definition of 

‘‘elementary or secondary school 

student’’ at section 471(a)(30) of the Act. 

New school enrollments, for the 

purposes of AFCARS, are indicated by 

any school change that occurs prompted 

by a child’s initial placement after 

entering foster care or any subsequent 

living arrangement change, whether or 

not the child was ever previously 

enrolled in the ‘‘new’’ school. If there is 

a new enrollment in an elementary or 

secondary school for the child, we 

propose to require the title IV–E agency 

to provide additional information on the 

reason that prompted this new 

enrollment in paragraphs (b)(10)(i) 

through (b)(10)(vii), by indicating 

whether each condition ‘‘applies’’ or 

‘‘does not apply.’’ In paragraph 

(b)(10)(i), we propose that the title 

IV–E agency indicate ‘‘proximity’’ if the 

child enrolled in a new elementary or 

secondary school because the distance 

to his or her former school was too far 

from the child’s out-of-home care 

placement, there was a lack of 

transportation to the child’s former 

school or proximity was otherwise a 

factor in the decision for the child to 

change schools. In paragraph (b)(10)(ii), 

we propose that the title IV–E agency 

indicate ‘‘district/zoning rules’’ when 

the child enrolled in a new school 

because State/Tribal or local policies, 

laws or regulations prohibit the child 

from attending his or her former school 

as a result of an initial placement into 

foster care or a subsequent change in 

living arrangements. In paragraph 

(b)(10)(iii), we propose that the title 

IV–E agency indicate ‘‘residential 

facility’’ when the child enrolled in a 

new school because he or she formerly 

attended school on the campus of a 

residential facility. Facilities of this type 

could include residential treatment 

centers, as well as child care 

institutions. In paragraph (b)(10)(iv), we 

propose that the title 

IV–E agency indicate ‘‘services/

programs’’ when the child enrolled in a 

new school to participate in services or 

programs that are not offered at his or 

her former school. These services could 

include, but are not limited to, 

specialized academic support programs, 

behavior modification programs, 

residential education programs or other 

supportive services that would benefit 

the well-being of the child. In paragraph 

(b)(10)(v), we propose that the title 

IV–E agency indicate ‘‘child request’’ if 

the child enrolled in a new school 

because he or she requested to leave the 

previous school. In paragraph 

(b)(10)(vi), we propose that the title 

IV–E agency indicate ‘‘parent/legal 

guardian request’’ if the child enrolled 

in a new school because his or her 

parent(s) or legal guardian(s) requested 

for the child to leave the previous 

school. Finally, in paragraph (b)(10)(vii), 

we propose that the title IV–E agency 

indicate ‘‘other’’ if the child enrolled in 

a new elementary or secondary school 

due to a reason that was not included 

in paragraphs (b)(10)(i) through 

(b)(10)(vi). 

We seek this information because we 

are interested in gathering information 

on the reasons that prompt a change in 

school enrollment for children upon an 

initial placement into foster care or as 

the result of a subsequent change in 

living arrangements. In addition, we 

propose the collection of information 

regarding educational stability to 

conform to changes introduced in 

Public Law 110–351 that added a case 

plan requirement to ensure the 

development of a plan for the 

educational stability of a child in foster 

care as established in section 475(1)(G) 

of the Act. 

Although some commenters to the 

2010 FR Notice indicated that collecting 

this data would increase the burden for 

caseworkers who have trouble obtaining 

this information, many commenters to 

the 2008 NPRM and 2010 FR Notice 

supported the collection of this 

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information in AFCARS. In addition, we 

have learned through AFCARS reviews 

and technical assistance that some title 

IV–E agencies already collect this 

information and utilize it when 

considering placements for children 

entering foster care. We considered the 

comments concerned about the 

increased burden, however, we believe 

that collecting information on the 

reasons title IV–E agencies determine 

that remaining in the school of origin or 

a previous school is not in the child’s 

best interest will help to identify and 

address barriers to educational stability 

after an initial placement into foster care 

or a change in living arrangements. 

While this information will be 

updated in the AFCARS file each report 

period, the structure will permit ACYF 

to produce longitudinal files for 

research, and/or provide the 

information required to link records 

across report periods in the public use 

data sets. However, we seek public 

comment regarding the utility of 

collecting information on educational 

stability such that information provided 

for a child on a previous data 

submission is not overwritten, but 

instead is included in each data file 

with the new information (with dates 

indicating the date of data submission 

for each change in school enrollment). 

We also seek comment on whether there 

are further steps that should be taken in 

this area to provide usable, accurate, 

and reliable longitudinal information 

about a child’s educational stability. 

Special education. In paragraph 

(b)(11), we propose to require the title 

IV–E agency to collect information 

about whether the child has an 

Individualized Education Program (IEP) 

or an Individualized Family Service 

Program (IFSP) as of the end of the 

report period. An IEP is a written 

statement for each child with a 

qualifying disability that requires 

special education services for that 

disability. The IEP is developed, 

reviewed and revised by the school in 

accordance with requirements in section 

614(d)(1) of Title I, Part B of the 

Individuals with Disabilities Education 

Act (IDEA) and implementing 

regulations. An IFSP is a written 

individualized family service program 

for a child ages 0–3 with special needs. 

An IFSP must be developed by a 

multidisciplinary team, including the 

parent(s) and early intervention 

specialist(s), and meet requirements of 

section 636 of Title I, Part C of the IDEA 

and implementing regulations. 

If the child does not have an IEP or 

IFSP, the title IV–E agency must 

indicate ‘‘not applicable.’’ We believe 

that a current IEP or IFSP indicates that 

a child has need for or is currently 

receiving special education instruction 

or early intervention services, 

respectively. Agencies are not required 

to report this information in the current 

AFCARS. This proposal modifies the 

‘‘special education’’ data element 

proposed in the 2008 NPRM, in which 

we proposed to require title IV–E 

agencies to indicate whether the child 

received special education instruction 

during the report period. The term 

‘‘special education’’ is defined in 20 

U.S.C. 1401(29) and means specifically 

designed instruction, at no cost to the 

parent(s), to meet the unique needs of a 

child with a disability. 

Several commenters to both the 2008 

NPRM and the 2010 FR Notice 

suggested collecting information 

specifically on whether a child has a 

current IEP or IFSP, rather than general 

receipt of special education. Other 

commenters to the 2008 NPRM 

indicated that there were significant 

potential data quality issues with 

reporting on the child’s receipt of 

special education, as this information 

would require constant updating by 

caseworkers in title IV–E agencies. 

Commenters to the 2008 NPRM also 

were concerned that the needs of and 

services received by young children in 

foster care (ages 0–3) were excluded 

from the 2008 NPRM proposal. Our 

current proposal is responsive to some 

of these comments. Further, we propose 

collecting information on a child’s IEP 

or IFSP as a proxy for receipt of special 

education because we believe that data 

on whether the child has an IEP or IFSP 

is a more reliable measure of 

determining if a child is receiving 

special education services. In addition, 

we believe that information regarding an 

IEP or IFSP is information often 

included in a child’s case file and is 

thus easier for a title IV–E agency to 

obtain than information regarding 

eligibility for special education 

instruction. 

As outlined in the 2008 NPRM, we 

propose to collect information on a 

child’s receipt of special education 

because of our interest in monitoring the 

well-being of children in out-of-home 

care and our desire to provide a more 

comprehensive picture of the 

educational needs of children in out-ofhome care. Further, gathering this 

information is consistent with the case 

plan requirements in section 475(1)(C) 

of the Act. We welcome comments on 

this proposal. 

IDEA qualifying disability. In 

paragraph (b)(12), we propose for the 

first time to require title IV–E agencies 

to report the child’s qualifying 

disability, if applicable, (i.e., categories 

of impairment indicated on the child’s 

IEP or IFSP) if the title IV–E agency 

indicated that the child has either an 

IEP or IFSP in paragraph (b)(11); 

otherwise the title IV–E agency should 

leave this data element blank. The child 

has a ‘‘qualifying disability’’ if the child 

meets at least one category of 

impairment (as defined in the IDEA at 

34 CFR 300.8(c)), and the child may 

need early intervention, special 

education and/or related services in 

order for the child to benefit from an 

educational program. The categories of 

impairment defined in IDEA (including 

developmental delay, autism, hearing or 

visual impairment, emotional 

disturbance, intellectual disability and 

traumatic brain injury) are included on 

the child’s IEP or IFSP as part of the 

eligibility determination for special 

education services. The response 

options we propose are the same as the 

categories of impairment defined at 34 

CFR 300.8(c). 

The information we propose to be 

collected in this paragraph differs from 

the information collected in ‘‘health, 

behavioral or mental health conditions’’ 

as described in paragraph (b)(7). In 

paragraph (b)(12), we propose to require 

the title IV–E agency to indicate which 

categories of impairment serve as the 

basis for the child’s qualification for 

early intervention services or special 

education instruction, which is 

information taken directly from the 

child’s IEP or IFSP. The response 

options described in paragraphs 

(b)(12)(i) through (b)(12)(xii) are unique 

in that they are federally-defined under 

IDEA and may not always match the 

clinical definition(s) of a disability. 

Further, IDEA does not require 

conditions present on an IEP or IFSP to 

be diagnosed by a qualified 

professional; conditions may be 

determined through an assessment or 

other mechanism by various school 

personnel. In contrast, paragraph (b)(7) 

describes health, behavioral and mental 

health conditions that are aligned with 

clinical definitions and instructs title 

IV–E agencies to indicate only those 

conditions that have been diagnosed by 

a qualified professional (as defined by 

the title IV–E agency) for the purposes 

of AFCARS data collection. 

We believe that collecting information 

pertaining to the needs of children 

receiving special education services is 

important to understanding the 

educational performance of children in 

out-of-home-care. Our proposal to 

collect information in paragraph (b)(12) 

on the categories of impairment defined 

in IDEA also is consistent with the 

suggestions of several public 

commenters to the 2008 NPRM who 

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believed that the previously proposed 

‘‘special education’’ data element did 

not provide enough information on the 

child’s need for special education, 

particularly on children who are 

receiving special education services but 

do not have a clinical disability 

diagnosed by a qualified professional 

indicated in paragraph (b)(7) (e.g., 

children with Attention Deficit Disorder 

or other behavioral conditions). Further, 

requiring this information is consistent 

with the case plan requirements in 

section 475(1)(c) of the Act. We 

welcome comments on this proposal. 

Prior adoption. In paragraph (b)(13), 

we propose to require a title IV–E 

agency to report whether the child has 

experienced one or more prior legal 

adoption(s), and the dates, types, and 

jurisdiction of each adoption. In the 

existing AFCARS, we require title IV–E 

agencies to indicate if the child was ever 

adopted and, if so, the child’s age at the 

time of the adoption finalization. In the 

2008 NPRM, we proposed to revise the 

requirement to clarify that we are 

interested in whether the child has ever 

experienced a finalized adoption prior 

to the current out-of-home care episode, 

and proposed to require the title IV–E 

agency to collect the date, type, and 

location of the prior adoption, if one is 

so indicated. Our current proposal 

mirrors the 2008 NPRM proposal to 

require the title IV–E agency to collect 

information on whether a child had or 

had not experienced a prior adoption or 

report if information is unknown 

because the child has been abandoned. 

However, for the first time, we propose 

that title IV–E agencies submit adoption 

date, type, and jurisdiction information 

for each prior adoption that the child 

had experienced, providing an 

opportunity for data collection if the 

child has experienced one or more 

adoption(s) prior to entry into foster 

care. 

As in the 2008 NPRM, we also clarify 

that the title IV–E agency is to include 

any type of prior adoption in this data 

element, regardless of whether the 

adoption was public, private or 

independent, or out of the United 

States. Although some commenters to 

the 2008 NPRM had concerns about the 

increased burden on caseworkers to 

collect this information, many 

commenters to both the 2008 NPRM and 

2010 FR Notice supported the collection 

of this information, indicating that it 

provided greater detail on the stability 

of adoptions from foster care. 

Prior adoption date(s). In paragraph 

(b)(13)(i), we propose to require a title 

IV–E agency to report the finalization 

date of each prior adoption(s) that the 

child has experienced if it was indicated 

in paragraph (b)(13) that the child had 

at least one prior finalized adoption. 

This is a modification of the data 

element proposed in the 2008 NPRM, 

which did not provide the opportunity 

to report multiple adoption finalization 

date(s). 

In the existing AFCARS, we require 

the title IV–E agency to report the 

child’s age range at the time of the prior 

finalized adoption. This information, 

however, was insufficient to determine 

accurately when the child was 

previously adopted. Thus, as in the 

2008 NPRM, we propose that the title 

IV–E agency report the actual 

finalization date to allow us to 

determine how much time has elapsed 

between the child’s previous 

adoption(s) and his or her current outof-home care episode. We did not 

receive comments on this proposal in 

the 2008 NPRM. 

In the case of an intercountry 

adoption, the child’s parent(s) may have 

gone through a readoption process in 

the jurisdiction where they reside in the 

United States. While in many cases this 

process is optional for a child whose 

adoption was finalized in the 

originating country, we understand that 

there are some jurisdictions in the 

United States that require the child to be 

readopted in his or her jurisdiction of 

residence. In such cases, we are 

requiring that the title IV–E agency 

provide the date that the adoption is 

considered final in accordance with 

applicable State or Tribal laws. 

Prior adoption type(s). In paragraph 

(b)(13)(ii), we seek information on the 

type of each prior adoption the child 

has experienced, as indicated in 

(b)(13)(i). We propose to require a title 

IV–E agency to indicate ‘‘foster care 

adoption within State or Tribal service 

area’’ if the child was in foster care in 

the reporting State or Tribal service area 

at the time the prior adoption was 

legalized. We propose to require a title 

IV–E agency to indicate ‘‘foster care 

adoption in another State or Tribal 

service area’’ if the child was in foster 

care in another State or Tribal service 

area at the time the prior adoption was 

legalized. We propose to require a title 

IV–E agency to indicate ‘‘intercountry 

adoption’’ if the child had a prior 

adoption that occurred in another 

country, or was finalized in the United 

States after the child was brought into 

the country for the purposes of the prior 

adoption. Finally, we propose to require 

a title IV–E agency to indicate ‘‘other 

private or independent adoption’’ if the 

child’s prior adoption was neither a 

foster care adoption nor an intercountry 

adoption as defined above. This 

proposal to require the title IV–E agency 

to report each prior adoption type is 

necessary to accommodate our overall 

proposal to require title IV–E agencies to 

report multiple adoption type(s) if a 

child experienced more than one prior 

adoption. 

For the purposes of AFCARS, 

‘‘another country’’ in the definition of 

‘‘intercountry adoption’’ means any 

country other than the United States. As 

described in the 2008 NPRM, we seek 

this information primarily in response 

to the requirements in section 422(b)(12) 

of the Act, which require the CFSP and 

Annual Progress and Services Report 

(APSR) to collect and report certain 

information on children who are 

adopted from other countries and who 

enter the custody of a title IV–E agency 

as a result of the disruption of an 

adoption placement or the dissolution 

of that adoption. 

We seek this information to allow us 

to compile the number of children and 

jurisdiction(s) from where such children 

originated to inform permanency 

planning for children involved in 

disrupted or dissolved adoptions. We 

believe that collecting this information 

in AFCARS will provide more nuanced 

information on disrupted or dissolved 

adoptions because we will be able to 

collect information at the case level, 

rather than in aggregate per the current 

CFSP/APSR reporting method. Several 

commenters to the 2008 NPRM 

indicated concern regarding the time 

and burden for caseworkers involved in 

collecting data on prior adoptions, 

particularly for prior interstate and 

intercountry adoptions. However, we 

believe this information is collected as 

part of the case assessment of the child 

and family and that including this data 

element will provide critical 

information on international adoptees 

moving into foster care. Additionally, it 

will contribute to our knowledge 

surrounding disrupted or dissolved 

adoptions. 

Prior adoption jurisdiction(s). In 

paragraph (b)(13)(iii), we propose to 

require a title IV–E agency to submit the 

name of the State, Tribal service area, 

Indian reservation, or country in which 

the child was previously adopted. A 

title IV–E agency must collect this 

information only for each prior adoption 

noted in paragraph (b)(13)(ii) that 

occurred outside of the reporting State 

or Tribal service area; otherwise the title 

IV–E agency must leave this data 

element blank. This data element is not 

in the current AFCARS and was first 

proposed in the 2008 NPRM. The 

current proposal differs from the 2008 

NPRM, which required title IV–E 

agencies to submit the FIPS code that 

corresponded with the State or country 

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in which the child was previously 

adopted. We modified this data element 

to remove FIPS codes, which are no 

longer being maintained and updated. 

In addition, FIPS codes do not account 

for the breadth of jurisdictions that 

could be captured in this element, as 

they do not include non-Federal Tribes 

and other countries. ACF will work with 

Tribal title IV–E agencies to develop 

valid response options for this element. 

We propose to collect the jurisdiction 

of each prior adoption so that we can 

calculate accurately the dissolution and 

disruption rates for each jurisdiction in 

which the child experienced a finalized 

adoption. Further, collecting 

information on the country in the case 

of a prior intercountry adoption will 

inform our understanding of disrupted 

or dissolved intercountry adoptions 

consistent with the requirements in 

section 422(b)(12) of the Act. 

Prior guardianship. In paragraph 

(b)(14), we propose, for the first time, to 

require title IV–E agencies to collect and 

report information on whether or not 

the child experienced one or more prior 

legal guardianship(s). For the purposes 

of AFCARS, the definition of legal 

guardian is consistent with that 

provided in section 475(7) of the Act 

and means ‘‘a judicially created 

relationship between child and 

caretaker which is intended to be 

permanent and self-sustaining as 

evidenced by the transfer to the 

caretaker of the following parental rights 

with respect to the child: Protection, 

education, care and control of the 

person, custody of the person, and 

decision making.’’ If the child 

experienced a prior legal guardianship, 

we propose to require the title IV–E 

agency to submit the legal guardianship 

date and type in paragraphs (i) and (ii) 

for each prior guardianship indicated in 

this paragraph and jurisdiction 

information in paragraph (iii) for each 

prior guardianship indicated in 

paragraph (b)(14)(ii) that occurred 

outside of the reporting State or Tribal 

service area; otherwise the title IV–E 

agency must leave those paragraphs 

blank. We propose to require the title 

IV–E agency to collect information on 

whether a child had or had not 

experienced a prior guardianship or if 

information is unknown because the 

child has been abandoned. We also are 

clarifying that the title IV–E agency is to 

report any type of prior legal 

guardianship in this element, regardless 

of whether the guardianship was public, 

private or independent. 

We propose to collect this information 

because, similar to our proposal to 

collect information on prior adoption(s), 

it is important to determine the number 

of children who have experienced one 

or more disrupted legal guardianship(s) 

before entering out-of-home care in 

order to better understand the potential 

impact of prior guardianships on 

permanency planning for these 

children. Further, because Public Law 

110–351 established the option for title 

IV–E agencies to establish Guardianship 

Assistance Programs in section 473(d) of 

the Act, it is important to collect 

parallel information on both legal 

guardianships and adoptions. 

Prior guardianship date(s). In 

paragraph (b)(14)(i), we propose that a 

title IV–E agency report the month and 

year that each prior legal guardianship 

the child experienced became legalized, 

if one or more prior legal guardianship 

was indicated in paragraph (b)(14). We 

seek this information to allow us to 

determine how much time has elapsed 

between the child’s previous legal 

guardianship(s) and his or her current 

out-of-home care stay. 

Prior guardianship type(s). In 

paragraph (b)(14)(ii), we seek 

information on the type of legal 

guardianship for each legal 

guardianship the child experienced 

previously, as indicated in paragraph 

(b)(14). We propose to require a title 

IV–E agency to indicate ‘‘foster care 

guardianship within State or Tribal 

service area’’ if the child was in foster 

care in the reporting State or Tribal 

service area at the time the prior 

guardianship was legalized. This 

includes all legal guardianships for 

children formerly in foster care, 

including legal guardianships funded 

only by the State or Tribal service area, 

legal guardianships funded under title 

IV–E waivers, and legal guardianships 

funded under the title IV–E 

guardianship assistance program, per 

section 473(d) of the Act. We propose to 

require a title IV–E agency to indicate 

‘‘foster care guardianship in another 

State or Tribal service area’’ if the child 

was in foster care in another State or 

Tribal service area at the time the prior 

legal guardianship was legalized. 

Finally, we propose to require a title 

IV–E agency to indicate ‘‘other private 

or independent guardianship’’ if the 

child’s prior legal guardianship was not 

a foster care guardianship as defined 

above. 

We seek this information to allow us 

to compile the number of children and 

permanency plans for children involved 

in dissolved or disrupted legal 

guardianships and jurisdiction from 

where such children originated. We also 

believe it is important that title IV–E 

agencies collect parallel information on 

prior legal guardianship and adoption 

placements to inform our understanding 

of permanency outcomes as title IV–E 

agencies begin to implement the title 

IV–E guardianship assistance program, 

established by Public Law 110–351, in 

section 473(d) of the Act. 

Prior guardianship jurisdiction(s). In 

paragraph (b)(14)(iii), we propose that a 

title IV–E agency submit the name of the 

other State, Tribal service area or Indian 

reservation in which the child was 

previously in a guardianship, for each 

prior legal guardianship indicated in 

paragraph (ii) that occurred outside of 

the reporting State or Tribal service 

area. ACF will work with Tribal title 

IV–E agencies to develop valid response 

options for this element. 

As previously mentioned, we seek 

this information to parallel information 

collected on prior adoption placements 

to inform our understanding of 

permanency outcomes as title IV–E 

agencies begin to implement the title 

IV–E guardianship assistance program 

established by Public Law 110–351, per 

section 473(d) of the Act. 

Minor parent. In paragraph (b)(15), we 

propose that the title IV–E agency 

collect and report the number of 

children either fathered or borne by the 

child, if applicable. Title IV–E agencies 

must report the total of all biological 

children of the child, whether or not 

such children live with their parent. 

Title IV–E agencies are not currently 

required to report this information in 

AFCARS. We proposed this data 

element for the first time in the 2008 

NPRM in response to public comments 

that requested a data element of this 

nature. Our current proposal is identical 

to that proposed in the 2008 NPRM. 

However, in our current proposal we 

clarify that title IV–E agencies must 

report a child older than age 18 in foster 

care as a ‘‘minor parent’’ if he or she has 

children. 

Collecting information on minor 

parents in foster care will allow us to 

analyze the extent to which having 

children affects a child’s permanency 

plan. This data element also will be 

used in conjunction with a subsequent 

data element in proposed paragraph 

1355.43(e)(14) to determine the 

population of children in out-of-home 

care who have children for whom they 

are responsible for and are living with. 

The combination of information in the 

two data elements will allow us to 

determine the number of children in 

out-of-home care who have children, 

and the extent to which those children 

are responsible for the care of their own 

children. 

Public comments in response to the 

2008 NPRM highlighted concerns about 

caseworker burden and the difficulties 

involved in collecting accurate and 

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reliable information about children 

fathered by children in out-of-home 

care. However, we continue to propose 

this data element because we feel it is 

critical to have improved data about the 

characteristics of children in out-ofhome care. 

Child financial and medical 

assistance. In paragraph (b)(16), we 

propose to require that the title IV–E 

agency report any type(s) of financial 

and medical assistance (other than title 

IV–E assistance) that the child received 

during the current six-month report 

period. We propose that title IV–E 

agencies indicate if the child is 

receiving any source of support 

described in paragraphs (i) through (vii), 

as applicable, or indicate ‘‘no support/ 

assistance received’’ if none of the 

described supports are applicable to the 

child. Paragraphs (i) through (vii) 

describe the following sources of 

support/assistance: Benefits under title 

XVI of the Act (including Supplemental 

Security Income (SSI)), title XIX 

Medicaid, the State’s Children’s Health 

Insurance Program (SCHIP) including 

under title XXI waivers or 

demonstrations a State/Tribal or locally 

financed adoption assistance payment, a 

State/Tribal or locally financed foster 

care payment, child support or other 

sources of financial assistance. 

While the existing AFCARS data 

elements require title IV–E agencies to 

report the sources of Federal support for 

the child, this data element differs in 

that it focuses on both State/Tribal and 

Federal financial and medical assistance 

rather than just Federal support. This 

proposal is identical to the 2008 NPRM 

proposal, which details that the reason 

for modifying the existing AFCARS data 

element is section 479(c)(3)(D) of the 

Act, requiring us to collect national 

information on ‘‘the extent and nature of 

assistance provided by Federal, State, 

and local adoption and foster care 

programs.’’ 

There were several commenters that 

responded to both the 2008 NPRM and 

2010 FR notice indicating concern about 

the burden and responsibility of 

caseworkers in obtaining information 

from other agencies, as well as the lack 

of staff and resources to collect this 

information. However, given the 

statutory requirement at section 

479(c)(3)(D) of the Act, we believe that 

expanding the scope of the financial and 

medical assistance data elements to 

gather more information on sources of 

assistance received by the child is 

required under law. This proposed data 

element, in conjunction with the 

following data element on receipt of 

title IV–E foster care maintenance 

payments in each living arrangement 

(paragraph(e)), will allow us to gather 

more comprehensive information on the 

kinds of financial and medical 

assistance that support children in outof-home care. We also believe that most 

case management information systems 

currently collect this information. 

Title IV–E foster care during report 

period. In paragraph (b)(17), we propose 

to require the title IV–E agency to report 

specifically whether the child received 

a title IV–E foster care maintenance 

payment during the current report 

period. This information is currently 

collected in AFCARS under the data 

element ‘‘sources of Federal support/

assistance for child.’’ This data element 

is the same as that proposed in the 2008 

NPRM. The title IV–E agency is to 

respond affirmatively that the child has 

received a title IV–E foster care 

maintenance payment only if one was 

paid on the child’s behalf during the 

current six-month report period, or the 

child is eligible for the program in 

accordance with section 472(a) of the 

Act and the title IV–E agency will claim 

Federal reimbursement under section 

474 of the Act for a child’s title IV–E 

foster care maintenance payment during 

the current six-month report period. 

As detailed in the 2008 NPRM, this 

data element is used primarily to extract 

the title IV–E foster care eligibility 

review samples. Currently, the title 

IV–E foster care eligibility review 

sample is drawn from an existing 

AFCARS data element that requires title 

IV–E agencies to identify title IV–E 

foster care maintenance payments as 

one of many Federal sources of support 

for the child. We have learned through 

technical assistance and AFCARS 

assessment reviews, however, that title 

IV–E agencies often report this data 

element incorrectly. A common mistake 

with the existing data element involves 

the title IV–E agency indicating that the 

child is receiving title IV–E foster care 

maintenance payments when the child 

has met some title IV–E eligibility 

requirements but not all (e.g., the child 

has met AFDC and legal requirements 

but is not placed in a licensed foster 

family home or child care institution.) 

We wish to isolate this data element so 

that we can clearly define the 

population of children in AFCARS data 

that are receiving title IV–E during the 

report period and improve the ability to 

select accurate samples for the title 

IV–E foster care eligibility reviews. 

Victim of sex trafficking and victim of 

sex trafficking while in foster care. In 

paragraphs (b)(18) and (b)(19), we 

propose to require the title IV–E agency 

to report whether a child was a victim 

of sex trafficking prior to entering foster 

care and if while in foster care became 

a victim of sex trafficking, as required 

by Public Law 113–183. The term ‘‘sex 

trafficking victim’’ is defined in the law 

and means a victim of sex trafficking as 

defined in section 103(10) of the 

Trafficking Victims Protection Act of 

2000 or a severe form of trafficking in 

persons described in section 103(9)(A) 

of such Act. Section 105 of Public Law 

113–183 requires HHS to report to 

Congress on information related to 

section 471(a)(35) of the Act. Thus, we 

propose to collect information regarding 

whether or not the title IV–E agency has 

made a report to law enforcement for 

entry into the National Crime 

Information Center (NCIC) database, as 

well as the date the agency made the 

report to law enforcement. We propose 

that this information be collected both 

for a child who was a victim of sex 

trafficking prior to coming into foster 

care and while in foster care. 

We are not proposing to retain the 

following data elements included in the 

2008 NPRM, due to further 

consideration of the value of these 

elements in relation to the burden these 

elements would impose on the title 

IV–E agency. There also was 

overwhelming opposition to each of 

these elements in public comments: 

Child language. We proposed to 

require the title IV–E agency to report 

the child’s use of language. However, 

we are not retaining this proposal due 

to the burden associated with 

implementing this element given the 

subjective nature of the proposed 

response options ‘‘verbal, pre-verbal, 

and non-verbal’’ and the potential for 

variability in response options. In 

addition, public comments to the 2008 

NPRM strongly opposed the addition of 

this element. 

Current immunizations. We proposed 

to require a title IV–E agency to indicate 

whether the child’s immunizations are 

current as of the end of the report 

period. We are not retaining this 

proposal because we believe that the 

information collected in paragraph 

(b)(6) on whether the child is receiving 

timely health assessments will serve as 

a proxy for whether immunizations are 

being addressed in a timely manner for 

each child in foster care. There also was 

strong opposition to the inclusion of 

this element in the public comments to 

the 2008 NPRM. 

Number of siblings living with the 

child at removal. We proposed to 

require the title IV–E agency to report 

the total number of siblings living with 

the child at the time of the child’s 

removal from home, if any. We are not 

retaining this proposal to include this 

element due to the burden imposed on 

the title IV–E agency in collecting 

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information on siblings in a variety of 

living situations that may not be 

involved with the title IV–E agency. 

There also was strong opposition to 

adding this element in the public 

comments to the NPRM. We still believe 

that it is critical to gain a better 

understanding of how title IV–E 

agencies are preserving sibling 

connections, and therefore propose to 

capture some sibling information in a 

different manner in newly proposed 

paragraphs (e)(8) through (e)(13). 

Finally, ACF is committed to 

supporting and protecting lesbian, gay, 

bisexual, transgender and questioning 

(LGBTQ) youth in foster care. Research 

has shown that LGBTQ youth are often 

overrepresented in the population of 

youth served by the child welfare 

system and in the population of youth 

living on the streets, however there is 

little or no data on the experiences of 

these youth. 

Despite the value in collecting data on 

LGBTQ youth in AFCARS there are 

practical issues associated with 

incorporating this information into 

AFCARS data collection. First, we did 

not receive comments requesting such 

data in the 2008 NPRM and States have 

not requested the insertion of such 

response options. Second, including 

data elements on LGBTQ youth would 

potentially mean that data would not be 

consistent across AFCARS and NYTD. 

NYTD serves as the only mechanism we 

have at the federal level to receive 

comprehensive data on the services a 

youth receives from the state IV–E 

agency, as well as the experiences of 

former foster youth. We included the 

requirement that the child’s record 

number must be the same in NYTD and 

AFCARS so that we could link both 

datasets to have the necessary 

foundation to conduct case-level 

analysis on the foster care experiences 

of youth whose outcomes are reported 

in NYTD. If response options are not 

consistent for data elements (i.e., child 

sex) in AFCARS and NYTD, it could 

mean that a youth would be identified 

as two different genders, which would 

complicate our ability to analyze the 

overall experience of child. 

We seek public comment on whether 

to collect information on LGBTQ youth 

in AFCARS in light of these practical 

issues and strategies for identifying 

LGBTQ youth in the AFCARS reporting 

population in a manner that permits 

case-level data analysis between 

existing federal data collection efforts. 

Accordingly, we invite comments on the 

issues of whether we should collect data 

relating to LGBTQ statuses; what, if any, 

data should be collected relating to 

these statuses; what the utility of such 

data collection might be; what issues 

would arise if there were inconsistent 

approaches between AFCARS and 

NTYD; and how to best address such 

inconsistencies if a decision is made for 

expanded data collection relating to 

LGBTQ statuses. 

Section 1355.43(c) Parent or Legal 

Guardian Information 

In paragraph (c), we seek information 

on the child’s parent(s) or legal 

guardian(s). 

Year of birth of parent(s) or legal 

guardian(s). In paragraphs (c)(1)(i) and 

(c)(2)(i), we propose that the title IV–E 

agency collect and report the birth year 

of the child’s parent(s) or legal 

guardian(s). This can be a biological, 

legal or adoptive parent or legal 

guardian. We seek this information on 

the child’s parent(s) or legal guardian(s) 

regardless of whether the child is living 

with a different or temporary caretaker 

or is in a facility/hospital at the time of 

removal. We are not seeking information 

on putative birth parent(s) in this 

paragraph. Further, to the extent that a 

child has both a parent and a legal 

guardian, the title IV–E agency must 

report on those who had legal 

responsibility for the child. If the title 

IV–E agency cannot obtain this 

information because the child is 

abandoned or left at a ‘‘safe haven,’’ the 

title IV–E agency must indicate 

‘‘abandoned.’’ If there is only one parent 

or legal guardian, we propose that the 

title IV–E agency indicate ‘‘not 

applicable’’ in paragraph (c)(2)(i). 

These data elements differ from the 

existing AFCARS in that we currently 

request the year of birth of the child’s 

caretakers from whom the child was 

removed (see Appendix A to part 1355, 

section II, VII.B). The information 

collected under the existing regulation 

does not clearly indicate whether the 

child’s caretaker(s) was the parent(s), 

legal guardian(s), or some other person 

who was temporarily taking care of the 

child at the time that the child was 

removed from home. Because of this 

lack of clarity, our ability to analyze the 

existing data is limited. 

This proposal is the same as in the 

2008 NPRM and we believe that 

focusing the proposed data elements on 

the child’s parent(s) or legal guardian(s) 

is more consistent with the statutory 

mandate to collect demographic 

information on the biological and 

adoptive parent(s) of children in foster 

care (section 479(c)(3)(A) of the Act). By 

expanding our requirement to gather the 

year of birth of all parents (e.g., 

inclusive of biological, legal or adoptive 

parents and stepparents) or legal 

guardians, we believe we are better 

meeting the intent of the statute to 

understand the characteristics of 

persons who are legally responsible for 

children who enter foster care. 

Parent(s) or legal guardian(s) born in 

the United States. In paragraphs 

(c)(1)(ii) and (c)(2)(ii), we propose to 

require the title IV–E agency to report 

whether or not the child’s parent(s) or 

legal guardian(s) were born in the 

United States. This can be a biological, 

legal or adoptive parent or legal 

guardian. We seek this information on 

the child’s parent(s) or legal guardian(s) 

regardless of whether the child is living 

with a different or temporary caretaker 

or is in a facility/hospital at the time of 

removal. If the title IV–E agency cannot 

obtain this information because the 

child is abandoned or left at a ‘‘safe 

haven,’’ the title IV–E agency must 

indicate ‘‘abandoned.’’ If there is only 

one parent or legal guardian, we 

propose that the title IV–E agency 

indicate ‘‘not applicable’’ in paragraph 

(c)(2)(ii). 

This is a newly proposed element and 

will give us a national picture of how 

many parent(s) or legal guardian(s) of 

children in out-of-home care are foreignborn. We specifically request comments 

from State and Tribal title IV–E agencies 

on this data element. 

Termination of parental rights 

petition. In paragraph (c)(3)(i), we 

propose to require the title IV–E agency 

to report each date the title IV–E agency 

filed a petition to terminate parental 

rights (TPR) regarding the child’s 

biological, legal, and/or putative 

parent(s). If the parent is deceased, we 

propose that the title IV–E agency 

indicate ‘‘deceased.’’ This information 

will provide us with data we can use to 

evaluate how title IV–E agencies are 

complying with the requirement in 

section 475(5)(E) of the Act to file a 

petition to terminate the parental rights 

of certain children in foster care, unless 

there is an exception. Further, this 

information, in conjunction with 

information collected on final dates of 

TPR in paragraphs 1355.43(c)(4) and 

(c)(6) and section 1355.44(c)(5), will 

help us determine how long it takes for 

permanency to be achieved for children 

who are adopted. The title IV–E agency 

must report each petition date in cases 

where there are multiple petitions that 

are filed. In order to be able to properly 

calculate the time lapse between the 

petition date and the TPR date in 

paragraph (c)(3)(ii), we must require that 

the title IV–E agency report each 

petition date. Our proposal to include 

the date of the TPR petition is similar 

to the proposal in the 2008 NPRM, 

where it was proposed for the first time; 

however, we did not propose that this 

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data element capture information 

longitudinally in the 2008 NPRM. We 

received no comments on this proposal 

in response to the 2008 NPRM. 

As we stated in the 2008 NPRM, for 

all data elements related to the 

termination of parental rights, we 

propose to clarify that we are seeking 

information on a child’s putative father, 

if applicable. A putative father is a 

person who is alleged to be the father of 

a child, or who claims to be the father 

of a child, at a time when there may not 

be enough evidence or information 

available to determine if that is correct. 

For the existing AFCARS we have 

fielded questions on whether title IV–E 

agencies should provide information on 

putative fathers. Since the parental 

rights of any putative fathers may need 

to be terminated before a child legally 

is free for adoption in some 

jurisdictions, we want to be clear that 

we are interested in collecting 

information on putative fathers as well. 

Termination of parental rights. In 

paragraph (c)(3)(ii), we propose to 

modify the existing AFCARS 

requirement for the title IV–E agency to 

collect and report the date that parental 

rights are terminated for each biological, 

legal and/or putative parent, if 

applicable (see Appendix A to part 

1355, section II, VIII). Currently, the title 

IV–E agency reports only the most 

recent TPR date(s). We are proposing to 

modify this existing AFCARS 

requirement to collect each TPR date so 

that we can properly calculate the time 

lapse between the petition date(s) 

reported in paragraph (c)(3) and the TPR 

date. ACF will include proper file 

format for the data elements in 

paragraph (c)(3)(i) and paragraph 

(c)(3)(ii) in subsequent guidance on 

technical submission requirements. Our 

proposal in the 2008 NPRM was 

unchanged from the existing AFCARS 

regulatory requirement and we received 

no comment. We propose to incorporate 

our current guidance for the existing 

AFCARS requirement to require that if 

there was no termination of parental 

rights because the parent(s) is deceased, 

the title IV–E agency must enter the date 

of death. If the parent(s) died after the 

TPR date, the title IV–E agency must 

enter the date of the TPR. 

Date of judicial finding of abuse or 

neglect. In paragraph (c)(4) we propose 

that the title IV–E agency collect and 

report to AFCARS the date of the first 

judicial finding that the child has been 

subject to child abuse or neglect, if 

applicable. If there has been no judicial 

finding of child abuse or neglect by the 

end of the report period, the title IV–E 

agency must report ‘‘no date.’’ Possible 

reasons no date would be available 

include if there is a voluntary 

relinquishment, a voluntary placement 

agreement (VPA) between the title 

IV–E agency and the child or his or her 

parent(s) or legal guardian(s) or there is 

no abuse or neglect disposition by the 

end of the report period. We propose to 

add this data element to AFCARS for 

the first time in order to provide 

additional data that can be available for 

use in the current CFSRs and other 

monitoring of timely periodic reviews, 

permanency hearings and TPR petition 

filings per section 475(5) of the Act. 

Title IV–E agencies must comply with 

these case review requirements in 

section 475(5) of the Act within specific 

timeframes which begin with the earlier 

of the date of the first judicial finding 

that the child was subjected to child 

abuse or neglect, or, the date that is 60 

calendar days after the date on which 

the child is removed from the home (see 

the definition for ‘‘date a child is 

considered to have entered foster care’’ 

in section 1355.20(a)). Collecting the 

date of the first judicial finding of abuse 

or neglect will aid us in calculating 

these timeframes with more accuracy. 

Finally, we propose to eliminate the 

existing data element on the family 

structure of the child’s caretakers from 

whom the child was removed (see 

Appendix A to part 1355, section II, 

VII.A) because, as we explained in the 

2008 NPRM, we believe that the data 

element on the child’s environment at 

removal in proposed paragraph (d)(3) 

will provide sufficient information. 

Additionally, we do not propose a data 

element to indicate whether the mother 

was married at time of the child’s birth, 

as we proposed in the 2008 NPRM 

because many commenters to the 2008 

NPRM, including States, members of the 

public and academics, were opposed to 

the collection of this data element for 

reasons including the limited interest, 

relevance and utility of the data, 

particularly for children entering foster 

care from adoptive homes. We found 

these reasons compelling and as a result 

we do not propose to collect this 

information. 

Section 1355.43(d) Removal Information 

In paragraph (d), we propose to 

require the title IV–E agency to report 

information related to the child’s 

removal, regarding each occasion that 

the child experiences a removal. For 

each removal that a child experiences, 

we propose to require the title IV–E 

agency to report each removal date, the 

type of environment (household or 

facility) the child was living in at the 

time of each removal, the title IV–E 

agency’s authority for placement and 

care responsibility for each removal and 

the circumstances surrounding the child 

and family at the time of each removal. 

Currently, title IV–E agencies are 

required to report AFCARS data only on 

the child’s most recent removal in the 

report period (see Appendix A to part 

1355, section II, III). For the reasons 

stated throughout this NPRM and in the 

2008 NPRM, requiring title IV–E 

agencies to collect and report 

longitudinal data will allow us to 

analyze more accurately the 

circumstances surrounding a child’s 

entry into and entire experience while 

in out-of-home care and will provide 

critical information for Federal efforts to 

measure outcomes. 

Date of child’s removal. In paragraphs 

(d)(1)(i) through (iii), we propose that 

the title IV–E agency collect and report 

the date(s) on which the child was 

removed for each removal of a child 

who enters the placement and care 

responsibility of the title IV–E agency. 

For a child who is removed and is 

placed initially in foster care (as defined 

in section 1355.20), we propose in 

paragraph (i) that the title IV–E agency 

indicate the date that the title IV–E 

agency received placement and care 

responsibility. For a child who ran away 

or whose whereabouts are unknown at 

the time the child is removed and is 

placed in the placement and care 

responsibility of the title IV–E agency, 

we propose in paragraph (ii) that the 

title IV–E agency indicate the date that 

the title IV–E agency received 

placement and care responsibility. For a 

child who is removed, and is placed 

initially in a non-foster care setting, we 

propose in paragraph (iii) that the title 

IV–E agency indicate the date that the 

child enters foster care as the date of 

removal, rather than the date of the 

removal court order or VPA, because we 

are not proposing to include these 

children in the out-of-home care 

reporting population until they enter 

foster care (see section 1355.41(a)(1)(i)). 

In general, the date of removal should 

be consistent with the child’s entry into 

the out-of-home care reporting 

population as described in section 

1355.41(a). 

In the existing AFCARS, the title 

IV–E agency is required to report the 

date of the child’s first and latest 

removal from the child’s home and 

placement into foster care (see 

Appendix A to part 1355, section II, 

III.A). The information collected in the 

existing AFCARS does not allow us to 

analyze accurately the child’s repeat 

foster care re-entry rate or any 

associated length of time to re-entry, 

both of which are currently used for the 

CFSR. We also cannot analyze the 

child’s entire removal history and we 

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are unable to identify trends that may 

assist title IV–E agencies in better 

understanding their data and making 

program improvements. To address 

these issues, we proposed in the 2008 

NPRM that the title IV–E agency report 

the child’s removal date(s) for each 

removal that the child experiences. We 

did not receive comments in response to 

the 2008 NPRM specific to this data 

element, and a few commenters to the 

2010 FR Notice supported the proposal 

in the 2008 NPRM. We believe that our 

current proposal will provide us with 

better data that we can use to analyze 

foster care re-entries for outcome 

measures and other Federal monitoring 

purposes. 

Removal transaction date. In 

paragraph (d)(2), we propose to require 

the title IV–E agency to report the 

transaction date for each of the child’s 

removal dates reported in paragraph 

(d)(1). The transaction date is a nonmodifiable, computer-generated date 

which accurately indicates the month, 

day and year each response to paragraph 

(d)(1) was entered into the information 

system. We propose that the transaction 

date must be no later than 30 days after 

the date of each removal as specified in 

paragraph (d)(1). 

The existing AFCARS requirement is 

that the transaction date must be no 

later than 60 days after the child’s 

removal (see Appendix A to part 1355, 

section II, III.A). The worker has 60 days 

to enter the date of the child’s removal 

into the information system under the 

existing AFCARS requirement. In the 

2008 NPRM, we proposed to shorten 

this timeframe, by proposing that the 

transaction date must be within 15 days 

of the child’s removal. As we stated in 

the 2008 NPRM, the removal date is one 

of the most critical data elements in 

AFCARS and we have found that higher 

quality and accurate data results when 

the removal transaction date is close in 

time to the date that it describes. 

Commenters to the 2008 NPRM 

expressed concern over the 15-day 

timeframe proposed in the 2008 NPRM, 

citing that it was a drastic change and 

could jeopardize casework activity, 

which the commenters felt should take 

precedence over data entry. 

Commenters to the 2008 NPRM also 

expressed concern that the 15-day 

timeframe would be difficult to meet for 

non-SACWIS county-administered 

agencies that may depend on a paperbased information system. Other 

commenters to the 2008 NPRM 

proposed a 30-day timeframe for the 

removal transaction date giving the 

worker 30 days to enter the date of the 

child’s removal into the information 

system. We considered the comments 

from the 2008 NPRM and decided that 

a 30-day timeframe is acceptable and 

represents a balanced approach that 

meets our need to ensure that removal 

information is timely and also addresses 

concerns from the commenters. 

Environment at removal. In paragraph 

(d)(3), we propose that the title IV–E 

agency report the type of environment 

(household or facility) the child was 

living in at the time of the child’s 

removal for each removal reported in 

paragraph (d)(1). Although we proposed 

in the 2008 NPRM to collect similar 

information, this is a new data element 

where we propose to require the title 

IV–E agency to report whether the child 

was living in a household with his or 

her parent(s), relative(s) or legal 

guardian(s), or if the child was living in 

a justice facility or a medical/mental 

health facility or in another situation 

not so described at the time of each 

removal reported in paragraph (d)(1). 

We propose the response options to 

be mutually exclusive, consistent with 

commenter concerns in response to the 

2008 NPRM. For example, we propose 

that if the child was living in a 

household that consisted of one of the 

child’s parents and a relative at the time 

of the child’s removal, the title IV–E 

agency must indicate the response 

option ‘‘parent household.’’ We propose 

that the title IV–E agency indicate 

‘‘justice facility’’ if, at the time of the 

child’s removal, as indicated in 

paragraph (d)(1), the child was living in 

a juvenile justice or adult criminal 

justice facility where the child is 

detained. We propose that the title 

IV–E agency indicate ‘‘medical/mental 

health facility’’ if, at the time of the 

child’s removal as indicated in 

paragraph (d)(1), the child was living in 

a facility such as a medical or 

psychiatric hospital or residential 

treatment center. We propose that the 

title IV–E agency select the response 

option ‘‘other’’ for environments that are 

not addressed by the other response 

options listed (e.g., living 

independently). The information 

collected in the existing AFCARS is 

insufficient for our analytical needs. We 

propose this new data element so that 

we may have a more accurate picture of 

the child’s life when the child is placed 

in foster care. The longitudinal 

information gleaned from this data 

element will enhance our analyses 

regarding a child’s entry into foster care 

and may assist title IV–E agencies in 

better understanding their foster care 

populations. 

In the existing AFCARS, the title 

IV–E agency reports limited information 

about the child’s ‘‘principal caretakers,’’ 

reporting only the marital status and 

year of birth of the principal caretaker(s) 

from whom the child was removed (see 

Appendix A to part 1355, section II, 

VII). In the 2008 NPRM, we proposed to 

broaden the information reported to 

AFCARS by proposing two new data 

elements, ‘‘environment at removal’’ 

and ‘‘household composition at 

removal’’, in which the title IV–E 

agency would have had to report if the 

child was living in a household at the 

time of removal and if so, whether the 

child was living with one or more of a 

list of persons identified by their 

relationship to the child. If the child 

was not living in a household, we 

proposed to require the title IV–E 

agency to report whether the child was 

living in another environment/facility or 

was abandoned. We now propose to 

combine the previously proposed data 

elements ’’environment at removal’’ and 

‘‘household composition at removal’’ 

from the 2008 NPRM and modify the 

response options. 

We received many comments on the 

data elements ’’environment at 

removal’’ and ‘‘household composition 

at removal’’ as proposed in the 2008 

NPRM. Some commenters to the 2008 

NPRM supported collecting more 

detailed information on family 

composition while other commenters 

felt that the information gathered in the 

existing AFCARS was sufficient. Some 

commenters to the 2008 NPRM 

expressed confusion over whom to 

report as present in the household 

because the proposed response options 

were not mutually exclusive which 

could lead to an interpretation that 

multiple people were living in a 

household which may not be accurate. 

Other commenters to the 2008 NPRM 

said that reprogramming their SACWIS 

systems to capture this information was 

burdensome and questioned the value of 

such detailed information at the Federal 

level. 

In the 2010 FR Notice, we solicited 

feedback, and received many comments, 

on what data, if any, should be collected 

from child welfare agencies to provide 

insight into what environment a child is 

removed from before entering foster 

care. Some commenters to the 2010 FR 

Notice objected to collecting and 

reporting more detail on a child’s 

household or environment at removal 

for various reasons, such as that such 

household or environmental 

characteristics are better captured in the 

case plan and aligning the AFCARS data 

elements with the NCANDS data 

elements. Other commenters to the 2010 

FR Notice expressed support for 

collecting more information on a child’s 

household or environment at removal, 

stating that it would be beneficial to 

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know more details about a child’s 

family structure. Some commenters 

suggested collecting general information 

on a child’s environment at removal, 

stating that it would be problematic to 

collect overly detailed information 

given the wide variety of households or 

environments from which a child could 

be removed. 

We revisited the previously proposed 

data elements ‘‘environment at 

removal’’ and ‘‘household composition 

at removal’’ from the 2008 NPRM in 

light of the comments we received to the 

2008 NPRM, the 2010 FR Notice and the 

changes to section 475(8) of the Act, 

made by Pub. L. 110–351, which allows 

for the inclusion of children age 18 and 

older in title IV–E funded foster care. 

We understand the issues raised by the 

commenters and decided that 

combining the data elements will be 

simpler and less confusing. We believe 

that this streamlined approach achieves 

our goal of obtaining greater detail than 

exists currently in order to support more 

sophisticated analysis and also 

addresses commenters concerns about 

burden and clarity. 

Authority for placement and care 

responsibility. In paragraph (d)(4), we 

propose to require the title IV–E agency 

to indicate, for each removal reported in 

paragraph (d)(1), whether the title IV–E 

agency’s authority for placement and 

care responsibility of the child was 

based on a court order or a VPA or to 

indicate if the type of authority has not 

yet been determined. If the title IV–E 

agency indicates that the authority is 

not yet determined, such information 

must be provided in a subsequent report 

period when it is available, if the child 

remains in out-of-home care. In 

addition, we modified the definitions of 

the response options to clarify that a 

VPA includes voluntary agreements 

entered into by a child age 18 or older 

with the title IV–E agency, allowing the 

title IV–E agency to have placement and 

care responsibility of the older child. 

We are proposing that the title IV–E 

agency report the initial authority for 

placement and care responsibility, 

which remains the same even if the 

authority subsequently changes. 

Our proposal is generally unchanged 

from the existing AFCARS requirement 

(see Appendix A to part 1355, section II, 

IV.A), and the 2008 NPRM proposal, 

wherein the title IV–E agency must 

collect and report its authority for the 

child’s removal from home. We also 

propose to modify the name of the data 

element and the definitions for the 

response options to clarify that the title 

IV–E agency must report its authority 

for placement and care responsibility of 

the child, instead of the ‘‘manner of 

removal from home’’ as in the existing 

AFCARS requirement (see Appendix A 

to part 1355, section II, IV.A). 

Child and family circumstances at 

removal. In paragraph (d)(5), we 

propose to require the title IV–E agency 

to report the circumstances surrounding 

the child and family for each removal 

reported in paragraph (d)(1). We 

propose that the title IV–E agency 

indicate whether each circumstance 

listed in paragraphs (d)(5)(i) through 

(d)(5)(xxvii) ‘‘applies’’ or ‘‘does not 

apply’’ for each removal reported in 

paragraph (d)(1). 

Our proposal in paragraph (d)(5) is 

largely the same as the current AFCARS 

requirement and the 2008 NPRM. In the 

existing AFCARS, the title IV–E agency 

is required to report all of the ‘‘actions 

or conditions’’ associated with the 

child’s most recent removal from a short 

list of response options (see Appendix 

A to part 1355, section II, IV.B). Similar 

to the 2008 NPRM, we propose to retain 

the current feature of AFCARS to 

require the title IV–E agency to indicate 

all of the circumstances that are 

associated with each removal; however, 

we propose an expanded list of 

circumstances which we have modified 

from the 2008 NPRM proposal. We 

propose the term ‘‘associated with 

removal’’ to mean all circumstances that 

are present at the time of each removal, 

in addition to the circumstances related 

to the child being placed into foster 

care. 

We propose that the title IV–E agency 

report an expanded list of child and 

family circumstances from the list in the 

existing AFCARS; however, we modify 

the circumstances that were proposed in 

the 2008 NPRM based on the comments 

in response to the 2008 NPRM and 2010 

FR Notice and the changes to section 

475(8) of the Act allowing children age 

18 or older to receive title IV–E foster 

care maintenance payments. The 

definition for each circumstance is 

described in paragraphs (d)(5)(i) through 

(d)(5)(xxvii). Commenters to both the 

2008 NPRM and 2010 FR Notice 

suggested additional circumstances and 

some of the suggestions from the 2010 

FR Notice are included in this proposal 

(e.g., domestic violence is proposed as 

a circumstance). We believe that we 

needed to balance concerns over burden 

with suggestions for additional data so 

we chose to revise the circumstances 

proposed previously in the 2008 NPRM 

as needed instead of adding all of the 

circumstances suggested by 

commenters. Each response option is 

explained in detail below. 

(i) Runaway. In paragraph (d)(5)(i), we 

propose that the title IV–E agency 

collect and report whether the child has 

left, without authorization, the home or 

facility in which the child was residing 

at the time of each removal reported in 

paragraph (d)(1). We modified our 

proposal from the existing AFCARS 

requirement and the 2008 NPRM. The 

title IV–E agency currently reports 

running away in the ‘‘child’s behavior 

problem’’ response option in the 

existing AFCARS (see Appendix A to 

part 1355, section II, IV.B). In the 2008 

NPRM, we proposed to require the title 

IV–E agency to collect and report 

running away as a separate child and 

family circumstance. Commenters in 

response to the 2008 NPRM expressed 

concern with data quality, stating that 

title IV–E agencies may differ in how 

they define ‘‘runaway.’’ We understand 

from commenters to the 2008 NPRM 

that there may be confusion with the 

definition proposed in the 2008 NPRM 

so we clarified the definition to address 

commenter concerns and to conform to 

the proposed changes to the reporting 

population in section 1355.41(a) that 

includes children age 18 or older who 

are in foster care (as defined in section 

1355.20). 

(ii) Whereabouts unknown. In 

paragraph (d)(5)(ii), we propose that the 

title IV–E agency collect and report 

whether, as a circumstance at removal, 

the child’s whereabouts are unknown 

and the title IV–E agency does not 

consider the child to have run away at 

the time of each removal reported in 

paragraph (d)(1). This is a new response 

option not proposed in the 2008 NPRM 

or required to be reported in the existing 

AFCARS regulation. We propose it now 

based on stakeholder feedback we 

received in response to the 2008 NPRM 

asking to add a separate response option 

for a child whose whereabouts are 

unknown at the time of removal. This 

new response option will enable ACF to 

provide information and conduct 

analysis on children who are in the title 

IV–E agency’s placement and care 

responsibility but whose whereabouts 

are unknown. We believe that the 

quality of the data will be better if we 

collect this as a separate circumstance 

from running away because not all 

children whose whereabouts are 

unknown at the time of removal have 

run away. We believe that collecting 

this information as a separate 

circumstance at removal is a reasonable 

way to begin collecting quantifiable data 

on these children. 

(iii) Physical abuse. In paragraph 

(d)(5)(iii), we propose that the title 

IV–E agency continue to collect and 

report whether alleged or substantiated 

physical abuse, injury or maltreatment 

by a person responsible for the child’s 

welfare was a circumstance associated 

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with the child’s removal for each 

removal reported in paragraph (d)(1). 

Our proposal is unchanged from the 

existing AFCARS definition which 

captures both substantiated and alleged 

child physical maltreatment (see 

Appendix A to part 1355, section II, 

IV.B). Commenters in response to the 

2008 NPRM asked us to consider 

making the definitions of physical abuse 

the same for NCANDS and AFCARS. As 

we explained in the 2008 NPRM, the 

NCANDS definition does not capture 

alleged physical abuse, which is 

necessary for AFCARS because it is 

unlikely that physical abuse will have 

been substantiated in all cases when the 

child is removed. 

(iv) Sexual abuse. In paragraph 

(d)(5)(iv), we propose that the title 

IV–E agency continue to collect and 

report whether alleged or substantiated 

sexual abuse or exploitation by a person 

responsible for the child’s welfare was 

a circumstance associated with the 

child’s removal for each removal 

reported in paragraph (d)(1). Our 

proposal is unchanged from the existing 

AFCARS definition which captures both 

substantiated and alleged child sexual 

maltreatment (see Appendix A to part 

1355, section II, IV.B). As we explained 

in the 2008 NPRM, sexual abuse 

remains a significant condition 

associated with the child’s removal. It is 

important to capture alleged sexual 

abuse in AFCARS because it is unlikely 

that sexual abuse will have been 

substantiated in all cases when the child 

is removed. We did not receive 

comments on this response option in 

response to the 2008 NPRM. 

(v) Psychological or emotional abuse. 

In paragraph (d)(5)(v), we propose that 

the title IV–E agency collect and report 

whether alleged or substantiated 

psychological or emotional abuse, 

including verbal abuse, by a person who 

is responsible for the child’s welfare 

was a circumstance associated with the 

child’s removal for each removal 

reported in paragraph (d)(1). Our 

proposal is unchanged from the 2008 

NPRM, which is for psychological or 

emotional abuse to be reported as a 

separate circumstance, rather than part 

of the definition of ‘‘neglect,’’ as 

instructed in current AFCARS policy 

(see section 1.2B.3 of the Child Welfare 

Policy Manual (CWPM), Question and 

Answer #3). As we explained in the 

2008 NPRM, we believe that it is useful 

to make a distinction between 

circumstances of neglect and 

psychological or emotional abuse at 

removal. We did not receive comments 

on this response option in response to 

the 2008 NPRM. 

(vi) Neglect. In paragraph (d)(5)(vi), 

we propose that the title IV–E agency 

continue to collect and report whether 

neglect was a circumstance associated 

with the child’s removal for each 

removal reported in paragraph (d)(1). 

Our proposal is unchanged from the 

existing AFCARS definition (see 

Appendix A to part 1355, section II, 

IV.B). In the 2008 NPRM we proposed 

to differentiate between ‘‘failure to 

provide supervision’’ and ‘‘neglect’’ by 

proposing them as separate response 

options. Commenters in response to the 

2008 NPRM stated that separating 

‘‘failure to provide supervision’’ from 

the definition of ‘‘neglect’’ would be 

confusing for workers and did not add 

analytical value because not providing 

supervision is one of the key elements 

for a circumstance of neglect. To 

address the comments, we now propose 

to keep a failure to provide supervision 

as part of the definition of ‘‘neglect’’ as 

in the existing AFCARS requirement. 

(vii) Medical neglect. In paragraph 

(d)(5)(vii), we propose that the title 

IV–E agency collect and report whether 

medical neglect was a circumstance 

associated with the child’s removal for 

each removal reported in paragraph 

(d)(1). Our proposal is unchanged from 

the 2008 NPRM where we proposed the 

definition of ‘‘medical neglect’’ to be 

‘‘alleged or substantiated medical 

neglect caused by a failure to provide 

for the appropriate health care of the 

child by a person who is responsible for 

the child’s welfare, although the person 

was financially able to do so, or was 

offered financial or other means to do 

so.’’ The title IV–E agency is not 

required to report information on 

medical neglect separately from a 

circumstance of ‘‘neglect’’ in the 

existing AFCARS definition (see 

Appendix A to part 1355, section II, 

IV.B). We believe that it is useful to 

make a distinction between a 

circumstance of neglect and medical 

neglect at removal. We received 

supportive comments for adding this 

response option and the proposed 

definition in response to the 2008 

NPRM. 

(viii) Domestic violence. In paragraph 

(d)(5)(viii), we propose that the title 

IV–E agency collect and report whether 

domestic violence was a circumstance 

associated with the child’s removal for 

each removal reported in paragraph 

(d)(1). We propose to define domestic 

violence as alleged or substantiated 

physical or emotional abuse between 

one adult member of the child’s home 

and a partner or the child and his or her 

partner if the child is age 18 or older. 

The title IV–E agency is not required to 

report this information in the existing 

AFCARS. As we explained in the 2008 

NPRM, we do not want to limit the 

definition of domestic violence, for 

example, to violence occurring between 

spouses or parent figures, as in 

NCANDS. Additionally, we want to 

capture allegations of domestic 

violence, which the NCANDS definition 

does not address, because at the time of 

removal, workers are likely to have 

allegations of conduct to report to 

AFCARS, and not always 

substantiations. Similar to our proposal 

in the 2008 NPRM, we consider 

‘‘domestic violence’’ broadly to mean 

any person who is or was a partner to 

an adult living in the home and now 

including the child if the child is age 18 

or older. We believe that this broad 

definition accurately reflects the reality 

of many domestic violence 

circumstances. Commenters to the 2008 

NPRM and 2010 FR Notice were 

supportive of including ‘‘domestic 

violence’’ as a circumstance at removal; 

however, we had to modify the 

definition from the 2008 NPRM to 

include children age 18 or older who 

enter foster care. 

(ix) Abandonment. In paragraph 

(d)(5)(ix), we propose that the title 

IV–E agency continue to report if 

abandonment was a circumstance 

associated with the child’s removal for 

each removal reported in paragraph 

(d)(1). Our proposal is unchanged from 

the 2008 NPRM, which is for the title 

IV–E agency to report a circumstance of 

abandonment if the child was left alone 

or with others and the identity of the 

child’s parent(s) or legal guardian(s) is 

unknown and cannot be ascertained, 

including if the child was left at a ‘‘safe 

haven.’’ Also unchanged from our 

proposal in the 2008 NPRM is that this 

response option does not apply when 

the identity of the parent(s) or legal 

guardian(s) is known. The title IV–E 

agency must report those situations as a 

failure for the parent(s) or legal 

guardian(s) to return for the child in 

paragraph (d)(5)(x). 

In the existing AFCARS, 

abandonment is defined as leaving a 

child alone or with others and the 

caretaker does not return or make his or 

her whereabouts known (see Appendix 

A to part 1355, section II, IV.B). The 

major difference between the proposed 

definition and the existing AFCARS 

definition is that this proposal only 

includes as abandonment the 

circumstance where the identity of the 

parent(s) or legal guardian(s) is 

unknown. That is not always the case 

under the current AFCARS, since the 

definition of abandonment is broader 

and encompasses both the situations in 

which the title IV–E agency knows the 

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identity of the parent(s) or legal 

guardian(s), and when it does not. As 

explained in the 2008 NPRM, we 

propose this change so that we can 

identify the truly abandoned child from 

a child who is left with others and the 

title IV–E agency knows the identity of 

the parent(s) or legal guardian(s). With 

this change, ACF will be able to identify 

the number of cases of abandoned 

children in which the parent(s) has left 

the child alone, with someone, or 

somewhere, but have not made their 

identity known. Further, the 

permanency planning needs of these 

children are different from those of a 

child whose parent(s) are known 

because both under the Child Abuse 

Protection and Treatment Act (CAPTA) 

program and the title IV–E program, title 

IV–E agencies are required to expedite 

permanency for an abandoned child 

since there is not an identified parent 

with whom the title IV–E agency can 

work toward reunification. Commenters 

in response to the 2008 NPRM felt that 

the circumstance of abandonment was 

redundant if the title IV–E agency 

selected ‘‘abandoned’’ in data element 

‘‘environment at removal’’ as proposed 

in the 2008 NPRM. We believe that we 

addressed this comment through our 

proposed revisions to paragraph (d)(3) 

because we propose in paragraph (d)(3) 

to collect the type of household or 

facility in which the child was living at 

removal, which does not include an 

‘‘abandoned’’ response option. Other 

commenters to the 2008 NPRM 

suggested that we collect information on 

whether the child was abandoned in 

safe or unsafe circumstances; however, 

we did not make that change as we do 

not have a specific reason or purpose to 

collect this level of detail. 

(x) Failure to return. In paragraph 

(d)(5)(x), we propose that the title IV–E 

agency report if the child’s parent(s), 

legal guardian(s) or caretaker(s) leaves 

the child alone or with others and does 

not return for the child or make his or 

her location known to the title IV–E 

agency for each removal reported in 

paragraph (d)(1). As stated in paragraph 

(d)(5)(ix), the title IV–E agency must 

report that this circumstance ‘‘applies’’ 

if the identity of the parent(s), legal 

guardian(s) or caretaker(s) is known. 

Our proposal is unchanged from the 

2008 NPRM, in which we propose to 

require that the title IV–E agency report 

the circumstance ‘‘failure to return’’ as 

a separate response option from 

‘‘abandonment’’ so that we can identify 

a truly abandoned child from one where 

the identity of the parent(s), legal 

guardian(s) or caretaker(s) is known but 

he or she does not make him or herself 

available to the child. In the existing 

AFCARS, ‘‘failure to return’’ is included 

in the definition for the ‘‘abandonment’’ 

circumstance (see Appendix A to part 

1355, section II, IV.B). Commenters to 

the 2008 NPRM felt that it was 

unnecessary to separate ‘‘failure to 

return’’ from the definition of 

‘‘abandonment.’’ We considered the 

comment but we still feel that this 

distinction is important to make for 

analytical purposes and for collecting 

expanded information on a child’s life 

at removal. 

(xi) Caretaker’s alcohol abuse. In 

paragraph (d)(5)(xi), we propose that the 

title IV–E agency continue to collect and 

report whether the compulsive use of 

alcohol, that is not of a temporary 

nature, by the child’s parent(s), legal 

guardian(s) or caretaker(s) who is 

responsible for the child was a 

circumstance associated with the child’s 

removal for each removal reported in 

paragraph (d)(1). Our proposal is 

unchanged from the existing AFCARS 

requirement (see Appendix A to part 

1355, section II, IV.B). In the 2008 

NPRM, we proposed that title IV–E 

agencies report any form of compulsive 

alcohol use by the child’s caretaker, 

including short-term alcohol abuse, 

which many commenters to the 2008 

NPRM objected to for various reasons. 

Many commenters to the 2008 NPRM 

expressed concern that the definition 

proposed in the 2008 NPRM differed 

from the NCANDS definition and 

questioned the overall value of the 

change. Other commenters to the 2008 

NPRM expressed concerns over a 

worker’s ability to distinguish shortterm compulsive alcohol abuse from 

long-term compulsive alcohol abuse 

which may lead to data quality issues 

for AFCARS data. The comments we 

received in response to the 2008 NPRM 

convinced us to keep the existing 

AFCARS definition, as it is critical that 

we have accurate data and this 

definition is sufficient for data analyses 

at a Federal level. 

(xii) Caretaker’s drug abuse. In 

paragraph (d)(5)(xii), we propose that 

the title IV–E agency continue to collect 

and report whether the compulsive use 

of drugs that is not of a temporary 

nature, by the child’s parent(s), legal 

guardian(s) or caretaker(s) who is 

responsible for the child was a 

circumstance associated with the child’s 

removal for each removal reported in 

paragraph (d)(1). Our proposal is 

unchanged from the existing AFCARS 

definition (see Appendix A to part 1355, 

section II, IV.B). In the 2008 NPRM, we 

proposed that title IV–E agencies report 

any form of compulsive drug use by the 

child’s caretaker, including short-term 

drug abuse, which many commenters to 

the 2008 NPRM objected to for various 

reasons. We received the same 

comments in response to the 2008 

NPRM for this response option as we 

received for the response option 

‘‘caretaker’s alcohol abuse.’’ Based on 

the comments and the reasons described 

in paragraph (d)(5)(xi), we now propose 

to keep the current AFCARS definition. 

(xiii) Child alcohol use. In paragraph 

(d)(5)(xiii), we propose that the title 

IV–E agency report whether the child’s 

alcohol use was a circumstance 

associated with the child’s removal for 

each removal reported in paragraph 

(d)(1). This response option 

encompasses a child’s alcohol use at 

any age except it does not include 

infants who are addicted to alcohol at 

birth or who may be diagnosed with 

fetal alcohol spectrum disorders. We 

believe that an infant who is exposed to 

alcohol in utero is different from a child 

who uses alcohol of his or her own 

accord. Our proposal is similar to the 

2008 NPRM, however our current 

proposal removes the word 

‘‘compulsive’’ from the definition of this 

response option because we wish to 

collect information on whether a child’s 

alcohol use was a circumstance at 

removal regardless of whether the use 

was compulsive. In the existing 

AFCARS, the title IV–E agency is 

required to indicate if the child’s 

compulsive use of or need for alcohol 

was a circumstance at removal, 

inclusive of infants who are addicted to 

alcohol at birth (see Appendix A to part 

1355, section II, IV.B). We did not 

receive comments on this response 

option in response to the 2008 NPRM. 

(xiv) Child drug use. In paragraph 

(d)(5)(xiv), we propose that the title 

IV–E agency report whether the child’s 

drug use was a circumstance associated 

with the child’s removal for each 

removal reported in paragraph (d)(1). 

This response option encompasses a 

child’s drug use at any age except it 

does not include infants who are 

addicted to drugs at birth. We believe 

that an infant who is exposed to drugs 

in utero is different from a child who 

uses drugs of his or her own accord. Our 

proposal is similar to the 2008 NPRM, 

however our current proposal removes 

the word ‘‘compulsive’’ from the 

definition of this response option 

because we wish to collect information 

on whether a child’s drug use was a 

circumstance at removal regardless of 

whether the use was compulsive. In the 

existing AFCARS, the title IV–E agency 

is required to indicate if the child’s 

compulsive use of or need for drugs was 

a circumstance at removal, inclusive of 

infants who are addicted to drugs at 

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birth (see Appendix A to part 1355, 

section II, IV.B). We did not receive 

comments on this response option in 

response to the 2008 NPRM. 

(xv) Prenatal alcohol exposure. In 

paragraph (d)(5)(xv), we propose that 

the title IV–E agency collect and report, 

for each removal reported in paragraph 

(d)(1), whether a child has been 

prenatally exposed to alcohol that has 

resulted in a fetal alcohol spectrum 

disorder, such as fetal alcohol exposure, 

fetal alcohol effects or fetal alcohol 

syndrome. Our proposal is unchanged 

from the 2008 NPRM. We believe that a 

child whose removal circumstances 

involve prenatal alcohol exposure 

differs from a child who has his or her 

own alcohol use issues. In the existing 

AFCARS, the title IV–E agency is 

required to report a child’s prenatal 

alcohol exposure as part of the child’s 

own alcohol abuse (see Appendix A to 

part 1355, section II, IV.B). We received 

supportive comments in response to 

both the 2008 NPRM and 2010 FR 

Notice on this proposal. 

(xvi) Prenatal drug exposure. In 

paragraph (d)(5)(xvi), we propose that 

the title IV–E agency collect and report 

whether, for each removal reported in 

paragraph (d)(1), a child has been 

prenatally exposed to drugs. Our 

proposal is unchanged from the 2008 

NPRM. We believe that a child whose 

removal circumstances involve prenatal 

drug exposure is different from a child 

who has his or her own drug use issues. 

In the existing AFCARS, the title IV–E 

agency is required to report the child’s 

prenatal drug exposure as part of the 

child’s own drug abuse (see Appendix 

A to part 1355, section II, IV.B). We 

received supportive comments in 

response to both the 2008 NPRM and 

2010 FR Notice on this proposal. A few 

commenters to the 2008 NPRM 

expressed an interest in having more 

detailed information on the type of drug 

to which the child was exposed. We did 

not make the change in response to the 

comment because we do not have a 

specific purpose to collect that level of 

detail. 

(xvii) Diagnosed Condition. In 

paragraph (d)(5)(xvii), we propose that 

the title IV–E agency continue to report 

whether, for each removal reported in 

paragraph (d)(1), the presence of a 

child’s diagnosed health, behavioral or 

mental health condition was a 

circumstance associated with the child’s 

removal, such as one or more of the 

following: Intellectual disability, 

emotional disturbance, specific learning 

disability, hearing, speech or sight 

impairment, physical disability or other 

clinically diagnosed condition. In the 

existing AFCARS, the title IV–E agency 

is required to report similar information 

at removal as part of the ‘‘child 

disability’’ response option (see 

Appendix A to part 1355, section II, 

IV.B). Our proposal is unchanged from 

the 2008 NPRM, where we proposed 

modifications to the name of this 

circumstance, ‘‘diagnosed condition,’’ 

and the language of the response option 

(change from the use of the term 

‘‘disability’’ to ‘‘condition’’) to align 

with the changes proposed in data 

element ‘‘health, behavioral or mental 

health condition’’ in paragraph (b)(5) of 

this section. However we are modifying 

one of the examples of a diagnosed 

condition from ‘‘mental retardation’’ to 

‘‘intellectual disability,’’ which is a 

minor change and is consistent with the 

modifications in the data element 

‘‘health, behavioral or mental health 

condition’’ in paragraph (b)(5) of this 

section. The changes made by Public 

Law 111–256 solidified the use of 

‘‘intellectual disability’’ in Federal law 

and the increasing focus on sensitivity 

to the term mental retardation. 

(xviii) Inadequate access to mental 

health services. In paragraph 

(d)(5)(xviii), we propose that the title 

IV–E agency collect and report whether 

inadequate access to mental health 

services was a circumstance associated 

with the child’s removal for each 

removal reported in paragraph (d)(1). 

This information is not collected in the 

existing AFCARS. We proposed a new 

circumstance of ‘‘inadequate access to 

mental health services’’ in the 2008 

NPRM that would have captured 

instances where the parent(s) or legal 

guardian(s) relinquished his or her 

placement and care responsibility of a 

child to a title IV–E agency in order for 

the child to access mental health 

services. As stated in the 2008 NPRM, 

we proposed this response option to 

help us determine when a child needing 

mental health services is placed in outof-home care so that the title IV–E 

agency can ensure that the child can 

access mental health services. We 

received supportive comments in 

response to the 2008 NPRM for adding 

this response option; however, we 

modified the response option to include 

the child or the child’s family having 

inadequate resources to access mental 

health services as a circumstance at 

removal to be consistent with the 

proposed reporting population in 

section 1355.41(a) to include children 

age 18 or older who enter foster care. 

(xix) Inadequate access to medical 

services. In paragraph (d)(5)(xix), we 

propose that the title IV–E agency 

collect and report whether inadequate 

access to medical services, not 

including instances of withholding 

medical services or treatment or medical 

neglect, was a circumstance associated 

with the child’s removal for each 

removal reported in paragraph (d)(1). 

This information is not collected in the 

existing AFCARS. We proposed a new 

circumstance of ‘‘inadequate access to 

medical services’’ in the 2008 NPRM 

that would have captured instances 

where the parent(s) or legal guardian(s) 

relinquished his or her placement and 

care responsibility of a child, while 

retaining custody, to a title IV–E agency 

in order for the child to access medical 

services. In the 2008 NPRM we 

proposed this as a separate response 

option because we understand that the 

child may have specific medical needs 

that are separate from the child’s mental 

health needs; therefore we are adding 

this circumstance at removal so that title 

IV–E agencies can indicate all of the 

possible situations that exist when a 

child is removed. We received 

supportive comments in response to the 

2008 NPRM for adding this response 

option; however, we modified the 

response option to include the child or 

the child’s family having inadequate 

resources to access medical services as 

a circumstance at removal to be 

consistent with the proposed reporting 

population in section 1355.41(a) to 

include children age 18 or older who 

enter foster care. 

(xx) Child behavior problem. In 

paragraph (d)(5)(xx), we propose that 

the title IV–E agency continue to collect 

and report information about whether a 

child’s behavior problem(s) in his or her 

school and or community was a 

circumstance associated with the child’s 

removal for each removal reported in 

paragraph (d)(1). This circumstance 

applies to all child behavior problems 

that adversely affect his or her 

socialization, learning, growth and/or 

moral development, as well as 

adjudicated and non-adjudicated status 

or delinquency offenses and 

convictions. 

In the existing AFCARS, the title 

IV–E agency is required to report 

running away and other child behavior 

problems resulting in adjudication 

together in the response option ‘‘child 

behavior problem’’ (see Appendix A to 

part 1355, section II, IV.B). In the 2008 

NPRM, we proposed to require that title 

IV–E agencies report as a separate 

circumstance at removal whether the 

child was alleged or found to be a status 

offender or whether the child was 

alleged or found to be an adjudicated 

delinquent so that we can categorize 

clearly a behavioral problem that has 

already been identified. Commenters in 

response to the 2008 NPRM objected to 

our proposal to report juvenile justice 

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involvement separate from a child 

behavior problem as a circumstance at 

removal. Commenters to the 2008 

NPRM asked how title IV–E agencies 

should coordinate with the juvenile 

justice system to get information on 

alleged status offenses or alleged 

delinquencies and felt that reporting 

alleged status offenders was 

inappropriate and misleading. 

Commenters to the 2008 NPRM also felt 

that separately collecting information on 

the child’s juvenile justice involvement 

was redundant to the juvenile justice 

information we proposed in the 2008 

NPRM to collect in paragraph (f). The 

comments we received in response to 

the 2008 NPRM convinced us to not 

propose the child’s involvement with 

the juvenile justice system as a separate 

circumstance at removal and to modify 

our proposal for the child behavior 

problem as a circumstance at removal. 

We propose to modify the definition of 

the child behavior problem 

circumstance at removal that is in the 

existing AFCARS requirement to 

include behavior that results in adult 

criminal convictions, in addition to 

behavior resulting in adjudicated or 

non-adjudicated status or delinquency 

offenses. We propose to add behavior 

that results in convictions to the 

definition of the ‘‘child behavior 

problem’’ circumstance at removal to be 

consistent with the proposed reporting 

population in section 1355.41(a) to 

include children age 18 or older. 

(xxi) Death of caretaker. In paragraph 

(d)(5)(xxi), we propose that the title 

IV–E agency continue to collect and 

report information on whether the death 

of the child’s parent(s), legal guardian(s) 

or caretaker(s) was a circumstance 

associated with the child’s removal for 

each removal reported in paragraph 

(d)(1). Our proposal is unchanged from 

that proposed in the 2008 NPRM where 

we intended to expand the existing 

AFCARS requirement, which captures 

the death of a child’s parent(s) or 

caretaker(s) as a circumstance associated 

with the child’s removal (see Appendix 

A to part 1355, section II, IV.B), to 

include the death of the child’s legal 

guardian. We did not receive comments 

in response to the 2008 NPRM on this 

response option. 

(xxii) Incarceration of caretaker. In 

paragraph (d)(5)(xxii), we propose to 

require the title IV–E agency to continue 

to collect and report whether the 

temporary or permanent incarceration of 

the child’s parent(s), legal guardian(s) or 

caretaker(s) in jail or prison was a 

circumstance associated with the child’s 

removal for each removal reported in 

paragraph (d)(1). Our proposal is 

unchanged from that proposed in the 

2008 NPRM where we intended to 

expand the existing AFCARS 

requirement, which only captures the 

temporary or permanent placement of 

the child’s parent(s) in jail as a 

circumstance associated with the child’s 

removal, to include the incarceration of 

the child’s legal guardian(s). Our 

proposal to modify the response option 

to include incarceration in jail or prison 

is unchanged from the 2008 NPRM 

because we understand jails and prisons 

to be two different types of facilities; 

jails being local facilities used to 

incarcerate a person for less than a year 

and prisons being State or Federal 

facilities that can confine a person for a 

longer time. We received supportive 

comments in response to the 2008 

NPRM on this response option. 

(xxiii) Caretaker’s significant 

impairment—physical/emotional. In 

paragraph (d)(5)(xxiii), we propose that 

the title IV–E agency continue to collect 

and report, for each removal reported in 

paragraph (d)(1), whether the child’s 

parent(s), legal guardian(s) or 

caretaker(s) has a physical or emotional 

illness or disabling condition that 

adversely affects his or her ability to 

care for the child. We propose ‘‘physical 

impairment’’ to mean the parent(s), legal 

guardian(s) or caretaker(s) has physical 

limitations that impact his or her ability 

to function in areas of daily life, such as 

a condition that may adversely affect the 

caretaker’s day to day motor 

functioning. We propose ‘‘emotional 

impairment’’ to mean the parent(s), legal 

guardian(s) or caretaker(s) has an 

emotional condition that impact his or 

her ability to function in areas of daily 

life such as exhibiting one or more 

characteristics over a long period of 

time and to a marked degree, including 

the inability to build or maintain 

personal relationships, inappropriate 

behavior/feelings under normal 

circumstances, and/or tendency to 

develop symptoms or fears associated 

with personal problems. This 

circumstance could also apply to 

situations where a caretaker cannot care 

for a child temporarily due to his or her 

own medical needs. We have revised 

our proposal from the existing AFCARS 

requirement and the 2008 NPRM by 

updating the language and providing 

additional explanation to describe 

physical and emotional impairments. 

However, we intend to capture the same 

information as the ‘‘caretaker’s inability 

to cope’’ circumstance as proposed in 

the 2008 NPRM. We did not receive 

comments in response to the 2008 

NPRM on this response option. 

(xxiv) Caretaker’s significant 

impairment—cognitive. In paragraph 

(d)(5)(xxiv), we propose that the title 

IV–E agency collect and report, for each 

removal reported in paragraph (d)(1), 

whether the limited cognitive ability of 

the child’s parent(s), legal guardian(s) or 

caretaker(s) adversely affects his or her 

ability to care for the child. We propose 

‘‘limited cognitive ability’’ to mean that 

the parent(s), legal guardian(s) or 

caretaker(s) has cognitive limitations 

that impact his or her ability to function 

in areas of daily life, such as basic selfcare tasks, communication and other 

tasks necessary to care for the child 

including shopping, housekeeping, 

accounting, ability to prepare food, 

manage medication and navigate 

transportation. It also may be 

characterized by a significantly belowaverage score on a test of mental ability 

or intelligence. This proposal includes 

updated language but is intended to 

capture the same information as the 

‘‘limited mental capacity’’ circumstance 

proposed in the 2008 NPRM. 

In the existing AFCARS, the title 

IV–E agency is required to report the 

caretaker’s limited mental capacity as 

part of the response option ‘‘caretaker’s 

inability to cope’’ (see Appendix A to 

part 1355, section II, IV.B). In the 2008 

NPRM, we proposed to collect 

information on the caretaker’s limited 

mental capacity as a separate 

circumstance associated with the child’s 

removal because we believe low 

cognitive functioning to be distinct from 

low emotional functioning. Commenters 

in response to the 2008 NPRM 

questioned how the limited mental 

capacity of a caretaker should be 

diagnosed and expressed concern that 

collecting and reporting this 

information would shift the attention of 

workers away from child protective 

services. Commenters in response to the 

2010 FR Notice supported collecting a 

wide range of circumstances that may be 

present at removal, including a 

caretaker’s limited mental capacity as a 

separate circumstance associated with 

the child’s removal. As we considered 

the comments to both the 2008 NPRM 

and the 2010 FR Notice, we further 

examined the need for a separate 

response option. The Office of Planning, 

Research and Evaluation within ACF 

reported data on caregiver risk factors at 

the time of investigation in the April 

2005 National Survey of Child and 

Adolescent Well-Being: CPS Sample 

Component, Wave 1 Data Analysis 

Report. According to this report, about 

15 percent of caregivers were identified 

by child welfare workers at the time of 

a child abuse and neglect investigation 

as having a serious mental health 

problem; of those, almost seven percent 

of caregivers were considered to have an 

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intellectual or cognitive impairment 

(page 4–8). We believe that the 

information in this report demonstrates 

the importance of collecting as much 

information as possible on a child’s life 

at removal, but recognize that the 

mental health community is more 

frequently using the term ‘‘cognitive 

ability’’ instead of ‘‘mental capacity.’’ 

Thus, we have updated the language in 

this proposal but intend for the 

information collected to be consistent 

with that proposed in the 2008 NPRM, 

based on the supportive comments we 

received to the 2010 FR Notice and the 

further research we conducted that 

demonstrates the need to collect this 

information in a separate and 

distinguishable manner. 

(xxv) Inadequate housing. In 

paragraph (d)(5)(xxv), we propose that 

the title IV–E agency continue to collect 

and report whether inadequate housing 

was a circumstance associated with the 

child’s removal for each removal 

reported in paragraph (d)(1). We 

propose to define ‘‘inadequate housing’’ 

to include housing that is ‘‘substandard, 

overcrowded, unsafe or otherwise 

inadequate, which results in it being 

inappropriate for the child to reside,’’ 

including homelessness. The existing 

AFCARS requirement and the 2008 

NPRM proposal limits ‘‘inadequate 

housing’’ to situations where the child 

and parent(s) reside together. We 

modified the existing AFCARS 

definition and the 2008 NPRM proposal, 

to include situations where the child is 

not living with the child’s parent or 

legal guardian and child’s housing is 

inadequate for children age 18 or older 

who enter foster care. Commenters to 

the 2008 NPRM suggested separating 

‘‘homelessness’’ from the definition of 

‘‘inadequate housing’’ and making it a 

separate response option. We did not 

make this change because we do not 

have a purpose for collecting this level 

of detail. 

(xxvi) Voluntary relinquishment for 

adoption. In paragraph (d)(5)(xxvi), we 

propose that the title IV–E agency 

continue to collect and report whether 

a voluntary relinquishment was a 

circumstance associated with the child’s 

removal for each removal reported in 

paragraph (d)(1). We propose to define 

‘‘voluntary relinquishment’’ as the 

child’s parent(s) assigning, in writing, 

physical and legal custody of the child 

to the title IV–E agency, for the purpose 

of having the child adopted. Any 

analogous legal process, such as 

surrendering the child for adoption, is 

included in this response option. Our 

proposal is unchanged from that 

proposed in the 2008 NPRM and is an 

existing AFCARS requirement (see 

Appendix A to part 1355, section II, 

IV.B). We did not receive comments in 

response to the 2008 NPRM on this 

response option. 

(xxvii) Child requested placement. In 

paragraph (d)(5)(xxvii), we propose that 

the title IV–E agency collect and report 

whether, for each removal reported in 

paragraph (d)(1), the child, age 18 or 

older, has requested placement into 

foster care. This is a new response 

option that we are proposing in order to 

have a comprehensive list of 

circumstances that would relate to a 

child who enters foster care at or after 

the age of 18. Since 2008, Public Law 

110–351 provides title IV–E funds for 

extended title IV–E foster care as an 

option for title IV–E agencies. This 

means that children over age 18 may 

enter or re-enter the placement and care 

responsibility of the title IV–E agency. 

This child and family circumstance, 

‘‘child placement’’, is unique to a child 

age 18 or older who may request to enter 

the placement and care responsibility of 

the title IV–E agency. 

We would like to note that we are not 

continuing our proposal to include the 

data element for ‘‘biological parents’ 

marital status’’ and two child and family 

circumstances, ‘‘juvenile justice’’ and 

‘‘disrupted intercountry adoption,’’ that 

were proposed in the 2008 NPRM due 

to the overwhelming opposition to the 

proposals from commenters. In general, 

commenters to the 2008 NPRM 

questioned the value of collecting this 

information in AFCARS; therefore we 

do not propose to collect this 

information. 

Finally, the plight of children who 

enter foster care because a parent is 

detained for immigration or deported 

has recently come to our attention and 

we are considering whether to expand 

the list of child and family 

circumstances associated with removal 

to include this information. We seek 

public comment on this issue, 

specifically regarding the extent to 

which this is an issue in States and 

Tribes, to help us determine the utility 

and appropriateness of including this 

information in AFCARS data collection, 

as well as suggestions for specific 

language for the circumstance. 

Section 1355.43(e) Living 

Arrangement and Provider Information 

In paragraph (e), we propose that the 

title IV–E agency collect and report 

information on each of the child’s living 

arrangements for each out-of-home care 

episode, including information about 

the providers who are caring for the 

child, demographics on the child’s 

foster parent(s), information on the 

child’s sibling(s) and the sources of 

Federal assistance that support the 

child’s room and board in each living 

arrangement. 

In general, we propose to expand the 

information that we collect in the 

existing AFCARS by requiring that the 

title IV–E agency report longitudinal 

information for most of the data 

elements in paragraph (e) of this section. 

We propose, as we did in the 2008 

NPRM, to require the title IV–E agency 

to report the date and type of each of the 

child’s living arrangements for each outof-home care episode and to report 

demographics on each of the child’s 

foster parent(s), such as year of birth, 

race, ethnicity and the child’s 

relationship to his or her foster 

parent(s). We also propose, as we did in 

the 2008 NPRM, to expand the types of 

living arrangements in which the child 

may be placed to include a variety of 

placement settings, such as therapeutic 

foster family homes, group homes that 

may provide shelter care or be operated 

by staff or a family, supervised 

independent living and juvenile justice 

facilities. In the existing AFCARS, the 

title IV–E agency is required to report 

four data elements on the child’s current 

placement setting as of the end of the 

report period, including the date that 

the child was placed into the current 

placement setting, the type of placement 

setting and whether the placement is 

out of the State, and provide the number 

of the child’s placement settings during 

the child’s current foster care episode 

(see Appendix A to part 1355, section II, 

III.B and V). The information that the 

title IV–E agency is currently required to 

report to AFCARS does not provide any 

detailed information on the type of 

foster home or facility in which the 

child is currently living or previously 

lived. Many stakeholders have long 

urged us to consider amending the 

AFCARS regulations with the goal of 

gathering longitudinal information for 

children who are in out-of-home care, 

such as where the child lives for the 

duration of his or her stay in out-ofhome care. We also understand that 

many title IV–E agencies already have 

the capability and actively track each of 

the child’s living arrangements. We 

believe that collecting longitudinal 

information on each of the child’s living 

arrangements will enhance our analysis 

of the child’s entire experience in outof-home care and will allow for 

improved tracking and analysis related 

to the stability of the child’s placements 

and whether children are moving from 

one living arrangement to another in 

support of their permanency plans and 

overall well-being. We also believe that 

collecting this expanded information 

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will enhance our data analysis ability 

for the CFSRs or other Federal 

monitoring efforts. Commenters to both 

the 2008 NPRM and the 2010 FR Notice 

were supportive of expanding and 

collecting longitudinal information on 

each of the child’s living arrangements 

and foster parent(s). 

We propose that the title IV–E agency 

collect and report the information in 

paragraph (e) for each child in the outof-home care reporting population 

regardless of the type of setting in which 

the child lives, including if the child is 

placed into a non-foster care setting, 

such as a hospital or juvenile justice 

facility, after entering the out-of-home 

care reporting population. Commenters 

in response to the 2008 NPRM and the 

2010 FR Notice expressed a concern 

with reporting information on children 

who are in non-foster care settings, such 

as juvenile justice facilities. We 

considered these comments, but did not 

make changes in paragraph (e) based on 

those comments because we believe that 

the title IV–E agency will have 

placement information for the children 

who are in their placement and care 

responsibility. 

Date of living arrangement. In 

paragraph (e)(1), we propose to require 

the title IV–E agency to collect and 

report the month, day and year 

representing the first date of placement 

in each of the child’s living 

arrangements for each out-of-home care 

episode. Our proposal is different from 

the existing AFCARS regulation in 

which the title IV–E agency must report 

the date that the child was placed in the 

current placement setting, or on a trial 

home visit and a count of how many 

times the child changed placement 

settings (see Appendix A to part 1355, 

section II, III.B). In the 2008 NPRM we 

did not propose to collect the date that 

the child is placed at home because we 

proposed in that NPRM to consider the 

child to exit the out-of-home care 

reporting population when the child is 

placed at home. Our current proposal 

modifies the 2008 NPRM. We now 

propose to require the title IV–E agency 

to report the date that the child is 

placed at home in paragraph (e)(1) until 

the title IV–E agency placement and 

care responsibility ends, which is 

consistent with the revised out-of-home 

care reporting population. 

We propose that the title IV–E agency 

report the date that the child is placed 

by the title IV–E agency in each living 

arrangement. For a child who ran away, 

the title IV–E agency must report the 

date that the title IV–E agency considers 

the child to have run away. For a child 

whose whereabouts are unknown by the 

title IV–E agency, the title IV–E agency 

must report the date the child’s 

whereabouts became unknown to the 

title IV–E agency. For a child who is 

placed at home with his or her parent(s) 

or legal guardian(s) under the placement 

and care responsibility of the title 

IV–E agency, the title IV–E agency must 

report the date that the child returned 

home. We are interested in collecting 

runaway and whereabouts unknown 

dates in order to calculate the actual 

time the child is absent from the 

provider or facility without permission 

and the title IV–E agency must continue 

to report on each child in the out-ofhome care reporting population until 

the title IV–E agency’s placement and 

care responsibility ends (see section 

1355.41). In the case of a child who is 

already living in a living arrangement 

and remains there when the title IV–E 

agency receives placement and care 

responsibility of the child, the title 

IV–E agency must report the date of the 

VPA or court order providing the title 

IV–E agency with placement and care 

responsibility for the child, rather than 

the date the child began living in the 

arrangement. An example of this might 

be a child who was living with a relative 

prior to a constructive removal who 

continues to reside in the relative’s 

house after entering foster care. 

In paragraphs (e)(2) through (e)(4), we 

propose that the title IV–E agency 

indicate the type of living arrangement 

for the child, for each living 

arrangement reported in paragraph (e)(1) 

of this section. In the existing AFCARS 

regulations, the title IV–E agency is 

required to report the child’s current 

placement setting from eight options: 

Pre-adoptive home, relative or nonrelative foster family home, group home, 

institution, supervised independent 

living, runaway and trial home visit (see 

Appendix A to part 1355, section II, 

V.A). We have found that these options, 

which were intended to be mutually 

exclusive, do not capture fully the range 

of living arrangements in which the 

child may be placed. We believe that 

more detailed information is needed to 

better understand the specific types of 

homes and facilities where children live 

while in out-of-home care. We 

essentially propose, as we did in the 

2008 NPRM, to split the existing 

AFCARS data element (see Appendix A 

to part 1355, section II, V.A) into three 

data elements and to expand the data 

that is collected. We propose in 

paragraph (e)(2) to require the title 

IV–E agency to report whether each of 

the child’s living arrangements is a 

foster family home. If the title IV–E 

agency reports that the child is living in 

a foster family home, then we propose 

in paragraph (e)(3) that the title IV–E 

agency report the type of foster family 

home by indicating whether each of the 

six types ‘‘applies’’ or ‘‘does not apply.’’ 

If the title IV–E agency reports in 

paragraph (e)(2) that the child is not 

living in a foster family home, then we 

propose in paragraph (e)(4) that the title 

IV–E agency report one type of other 

living arrangement from thirteen 

options. We believe that this new 

approach to capturing information on 

each of the child’s living arrangements 

will provide us with a more complete 

view of the child’s actual placements. 

Commenters in response to the 2008 

NPRM were generally supportive of our 

approach. 

We clarified the definitions of the 

living arrangement options from the 

2008 NPRM in response to commenters 

requesting clearer definitions and to 

conform to the revised out-of-home care 

reporting population which includes 

children who are placed in foster care 

who subsequently are placed into nonfoster care settings. Although in the 

2008 NPRM we proposed additional 

types of living arrangements not 

currently in AFCARS, our proposal has 

gone further to include additional types 

not proposed in the 2008 NPRM to 

account for the proposed reporting 

population definition. Each data 

element is described below in 

paragraphs (e)(2) through (e)(4). 

Foster family home. In paragraph 

(e)(2), we propose, as we did in the 2008 

NPRM, to require the title IV–E agency 

to report whether each of the child’s 

living arrangements is a foster family 

home, by indicating ‘‘yes’’ or ‘‘no’’ as 

appropriate. In the existing AFCARS, 

the title IV–E agency is required to 

report whether the child is living in 

either a relative or non-relative foster 

family home as two of seven living 

arrangement options, however, we 

propose to obtain more thorough 

information on foster family homes than 

relative and non-relative as in the 

current AFCARS. If the title IV–E 

agency indicates ‘‘yes,’’ then the title 

IV–E agency must complete the data 

element in paragraph (e)(3). If the title 

IV–E agency indicates ‘‘no,’’ then the 

title IV–E agency must report another 

type of living arrangement in which the 

child is living in paragraph (e)(4). If the 

child ran away or the child’s 

whereabouts are unknown, then the title 

IV–E agency must indicate ‘‘no.’’ 

Foster family home type. In paragraph 

(e)(3), we propose to require the title 

IV–E agency to report whether each of 

the following six types of foster family 

homes listed in paragraphs (e)(3)(i) 

through (e)(3)(vi) ‘‘applies’’ or ‘‘does not 

apply’’ for each foster family home 

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reported in paragraph (e)(2): Licensed, 

therapeutic, provides shelter care, is 

that of a relative, pre-adoptive home 

and/or kin family. 

This data element is the same as the 

one proposed in the 2008 NPRM, 

however, based on comments to the 

2008 NPRM, we now propose to add 

‘‘kin family foster home’’ as an option. 

In the ‘‘current placement setting’’ data 

element in the existing AFCARS, the 

title IV–E agency can choose among 

three options related to foster family 

homes which were designed to be 

mutually exclusive: pre-adoptive home, 

relative foster family home (which 

could be licensed or not) and a licensed 

non-relative foster family home (see 

Appendix A to part 1355, section II, 

V.A). The options and definitions in the 

existing AFCARS provided us with 

limited analytical possibilities and did 

not adequately capture the specific 

foster family home in which the child 

is living. For example, we could not 

determine whether children were 

placed in pre-adoptive homes that were 

also relative homes. Further, we did not 

know the extent to which children were 

placed in licensed foster family homes. 

We believe that requiring the title IV–E 

agency to indicate separately all 

possible characteristics of a foster family 

home will allow us and title IV–E 

agencies to see the trends that may exist 

among foster homes, particularly now 

that we have added ‘‘kin family foster 

care’’ as an option. Commenters in 

response to the 2008 NPRM were 

generally supportive of the expanded 

list of proposed foster family home 

types. Each response option is discussed 

below. 

(i) Licensed home. In paragraph 

(e)(3)(i), we propose that the title IV–E 

agency report whether each foster 

family home is licensed. We propose 

that ‘‘licensed home’’ be a separate 

response option so that we can clearly 

identify when a child is placed in any 

type of foster family home that is 

licensed or approved by the State or 

Tribal licensing/approval authority. 

(ii) Therapeutic foster family home. In 

paragraph (e)(3)(ii), we propose that the 

title IV–E agency report whether the 

child is placed in a therapeutic foster 

family home. We propose to define 

‘‘therapeutic foster home’’ as a foster 

family home that provides specialized 

care and services and is intended for 

children with more challenging 

behaviors or needs. Therapeutic foster 

homes are more prevalent today than 

when AFCARS was originally 

developed. Including this option is in 

line with our goal to more accurately 

reflect a child’s living arrangements. 

Further, this option, along with the 

detailed information we will receive on 

the circumstances of the child’s removal 

(in section 1355.43(d)(5)) and the child’s 

health, behavioral or mental health 

conditions (in section 1355.43(b)(5)), 

will allow us to get a richer picture of 

the needs of children who are in out-ofhome care. 

(iii) Shelter care foster family home. 

In paragraph (e)(3)(iii), we propose that 

the title IV–E agency report whether the 

child is placed in a shelter care foster 

family home so that we can track the 

use of shelter care. We propose to define 

a ‘‘shelter care foster family home’’ as 

one that is designated or approved as a 

shelter care home by the State or Tribal 

licensing/approval authority, and is 

short-term or transitional in nature. We 

understand that shelter care is used to 

provide title IV–E agencies with an 

opportunity to assess a child’s needs 

and future placements while providing 

care and protection for the child. 

(iv) Relative foster family home. In 

paragraph (e)(3)(iv), we propose that the 

title IV–E agency report whether the 

child is placed in a relative foster family 

home where the relative foster parent(s) 

lives as his or her primary residence. 

We propose to retain the option of 

‘‘relative foster family home,’’ currently 

included in the AFCARS regulation, to 

allow us to determine whether or not 

there is a familial relationship between 

the child and the foster parent(s). This 

option is consistent with our goal to 

better understand the relationship 

between a child in foster care and the 

child’s caregivers. The option is limited 

to persons related by a biological, legal 

or marital connection and does not 

include kin (e.g., individuals who have 

a pre-existing psychological, cultural or 

emotional relationship with the child), 

which is now proposed as a separate 

option. 

(v) Pre-adoptive home. In paragraph 

(e)(3)(v), we propose that the title IV–E 

agency report whether the child is 

placed in a pre-adoptive home, defined 

as a home in which the family and the 

title IV–E agency have agreed on a plan 

to adopt the child. We believe that this 

definition is more precise than the 

current AFCARS definition of ‘‘preadoptive home,’’ which indicates that 

the family ‘‘intends’’ to adopt the child 

(see Appendix A to part 1355, section 

II.V). We believe that changing the 

definition to include title IV–E agency 

participation will convey concrete 

circumstances where the title IV–E 

agency and the foster family are working 

in concert to achieve permanency for 

the child through the foster family 

adopting the child. 

(vi) Kin foster family home. In 

paragraph (e)(3)(vi), we propose that the 

title IV–E agency report whether the 

child is placed in a kin foster family 

home, defined as a home in which there 

is a kin relationship as defined by the 

title IV–E agency, such as one where a 

psychological, cultural or emotional 

relationship exists between the child or 

the child’s family and the foster 

parent(s). This is a new response option. 

We understand that kin families have 

become important placement options for 

title IV–E agencies and we want to have 

a better understanding of how often this 

type of placement is used. We also 

added this option in response to 

comments to the 2008 NRPM requesting 

the inclusion of kin throughout the data 

elements, where applicable. 

Other living arrangement type. In 

paragraph (e)(4), we propose to require 

the title IV–E agency to report whether 

a child is placed in one of thirteen 

living arrangements for a child who is 

not placed in a foster family home, as 

indicated in paragraph (e)(2) of this 

section. The proposed living 

arrangement types are mutually 

exclusive and are as follows: Group 

home-family-operated, group homestaff-operated, group home-shelter care, 

residential treatment center, child care 

institution, child care institution-shelter 

care, supervised independent living, 

juvenile justice facility, medical or 

rehabilitative facility, psychiatric 

hospital, runaway, whereabouts 

unknown and placed at home. We 

modified the proposed list of options 

from a similar list proposed in the 2008 

NPRM. Our proposal expands the 

options that are in the existing AFCARS 

regulation and is modified from the 

2008 NPRM proposed list of living 

arrangements. In the current placement 

setting data element in the existing 

AFCARS, the title IV–E agency can 

choose among five options related to 

placement settings other than foster 

family homes, which were designed to 

be mutually exclusive: Group home, 

institution (inclusive of child care 

institutions, residential treatment 

facilities, maternity homes, etc.), 

supervised independent living, runaway 

and trial home visit (see Appendix A to 

part 1355, section II, V.A). We have 

found that the current AFCARS living 

arrangement options do not represent 

adequately the various types of living 

arrangements in which a child may be 

living. Commenters in response to the 

2008 NPRM were generally supportive 

of the expanded list of proposed other 

living arrangement types. Each response 

option is explained in detail below. 

We propose to continue to include 

group homes as a type of living 

arrangement; however, as proposed in 

the 2008 NPRM, we propose to require 

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that the title IV–E agency report whether 

the group home is family operated or 

staff operated, or, regardless of who 

operates it, a shelter care group home. 

We propose to define ‘‘group homefamily operated’’ as a group home 

setting that provides 24-hour care in a 

private family home where the family 

members are the primary caregivers. We 

propose to define ‘‘group home-staff 

operated’’ as one in which staff provides 

24-hour care for children through shifts 

or rotating staff and is licensed or 

approved to provide shelter care by the 

State or Tribal licensing/approval 

authority. We propose to define a 

‘‘group home-shelter care’’ as a group 

home that also provides 24-hour care for 

children, is short-term or transitional in 

nature and is licensed or approved to 

provide shelter care by the State or 

Tribal licensing/approval authority. 

Determining whether a child is placed 

into a family operated or a staff operated 

group home will provide us with further 

insight into the child’s living 

arrangement. In the existing AFCARS 

regulation, ‘‘group home’’ is defined as 

a small, licensed or approved home 

providing care in a group setting that 

generally has from seven to twelve 

children (see Appendix A to part 1355, 

section II, V.A). We have found that this 

definition is too limiting and does not 

reflect the actual group home living 

arrangements available to children. 

Therefore, our proposed definitions do 

not include a specific number of 

children who reside in the group 

setting. We do not believe it is necessary 

to determine whether shelter care group 

homes are operated by a staff or family. 

We propose, as we did in the 2008 

NPRM, to add ‘‘residential treatment 

center’’ as a type of living arrangement 

and define it as a facility that is for the 

purpose of treating children with mental 

health or behavioral conditions, 

including psychiatric residential 

treatment centers. In the existing 

AFCARS regulation, we direct agencies 

to report residential treatment facilities 

within the larger category of 

‘‘institutions,’’ rather than as a separate 

option (see Appendix A to part 1355, 

section II, V.A). We propose to make 

this a separate and distinct option so 

that we may identify a child’s living 

arrangement with more specificity and 

detail. 

We propose, as we did in the 2008 

NPRM, to identify ‘‘child care 

institution’’ as a separate living 

arrangement type. In the existing 

AFCARS, a living arrangement of a 

child care institution is included in the 

current AFCARS definition of 

‘‘institution,’’ which is specific enough 

to depict accurately the type of living 

arrangements in which children reside 

(see Appendix A to part 1355, section II, 

V.A). We propose to define a ‘‘child care 

institution’’ as a private facility, or a 

public child care facility for no more 

than 25 children, which is licensed by 

the State or Tribal licensing/approval 

authority. We propose to exclude other 

institutions whose primary purpose is to 

secure children who are determined to 

be delinquent from the definition of a 

‘‘child care institution,’’ such as 

detention facilities, forestry camps and 

training schools, consistent with section 

472(c)(2) of the Act. 

We propose to identify separately a 

child care institution that is designated 

by the State or Tribal licensing/approval 

authority as a shelter care facility. As in 

the 2008 NPRM, we propose this as a 

distinct option so that we can examine 

the use of shelter care as discussed 

previously. 

We propose to retain the existing 

‘‘supervised independent living’’ option 

in AFCARS but modify the definition to 

be consistent with the revised reporting 

population definition proposed in 

section 1355.41. In the existing AFCARS 

regulation, the definition of ‘‘supervised 

independent living’’ is an alternative 

transitional living arrangement where 

the child is under the supervision of the 

title IV–E agency, is receiving financial 

support from the child welfare agency 

and is in a setting which provides the 

opportunity for increased self care (see 

Appendix A to part 1355, section II, 

V.A). We propose to modify the 

definition for the ‘‘supervised 

independent living’’ option to require 

the title IV–E agency to report living 

arrangements where a child of any age 

is under the placement and care 

responsibility of the title IV–E agency 

and living independently in a 

supervised setting. 

We propose, as we did in the 2008 

NPRM, that the title IV–E agency 

indicate whether a child’s living 

arrangement is a juvenile justice facility. 

We propose to define ‘‘juvenile justice 

facility’’ as a secure facility or 

institution where alleged or adjudicated 

juvenile delinquents are housed while 

under the title IV–E agency’s placement 

and care responsibility. This definition 

is broad enough to include all types of 

juvenile facilities, whether they are 

locked or employ some type of 

treatment component. 

We also propose, as we did in the 

2008 NPRM, to add ‘‘medical or 

rehabilitative facility’’ as a new living 

arrangement type in AFCARS. We 

propose to define a ‘‘medical or 

rehabilitative facility’’ as one where a 

child receives medical or physical 

health care. This could include a 

hospital or facility where a child 

receives intensive physical therapy, but 

not primarily psychiatric care. 

We propose that the title IV–E agency 

report whether a child is in a 

‘‘psychiatric hospital.’’ We propose to 

define ‘‘psychiatric hospital’’ as one 

where the child receives emotional or 

psychological health care and is 

licensed or accredited as a hospital. 

This option is not currently included in 

the existing AFCARS regulation, and 

replaces the ‘‘psychiatric facility’’ 

option we proposed in the 2008 NPRM 

that included both psychiatric hospitals 

and residential treatment centers. We 

received comments to the 2008 NPRM 

seeking clarification on the definition of 

psychiatric facility and in response we 

modified the option to only include 

psychiatric hospitals that are licensed or 

accredited as a hospital. Psychiatric 

residential treatment centers should not 

be reported under this option. A child 

in a psychiatric residential treatment 

center should be included under the 

residential treatment center option. 

We propose, as we did in the 2008 

NPRM, to define the option of 

‘‘runaway’’ as when the child has left, 

without authorization, the home or 

facility where the child was placed. The 

current living arrangement definition of 

runaway that is in the existing AFCARS 

refers to a child who has ‘‘run away 

from the foster care setting’’ (Appendix 

A to part 1355, section II.V). We propose 

to broaden the definition so that it is 

clear that this runaway option must be 

indicated any time a child has left a 

living arrangement without 

authorization. 

We propose to add for the first time 

a new option of ‘‘whereabouts 

unknown.’’ We propose to define 

‘‘whereabouts unknown’’ as when the 

child is under the title IV–E agency’s 

placement and care responsibility, but is 

not in the physical custody of the title 

IV–E agency or person or institution 

with whom the child has been placed, 

the whereabouts of the child are 

unknown and the title IV–E agency does 

not consider the child to have run away. 

This is a new option not proposed in the 

2008 NPRM or required to be reported 

in the existing AFCARS regulation. We 

propose it now based on stakeholder 

feedback we received in response to the 

2008 NPRM asking to add a separate 

option for a child whose whereabouts 

are unknown. With this new response 

option, ACF will be able to provide 

information on children who are in the 

title IV–E agency’s placement and care 

responsibility but whose whereabouts 

are unknown. 

Finally, we propose to add for the first 

time a new option of ‘‘placed at home.’’ 

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We propose that the title IV–E agency 

indicate ‘‘placed at home’’ if the child 

is living at home with his or her 

parent(s) or legal guardian(s) while 

under the placement and care 

responsibility of the title IV–E agency in 

preparation for the title IV–E agency to 

return the child home permanently. 

This is a new option not proposed in the 

2008 NPRM or required to be reported 

in the existing AFCARS regulation. This 

option was added in response to 

comments to the 2008 NPRM expressing 

confusion between when a child is 

placed at home as defined above, a trial 

home visit and a visit home for a 

weekend or holiday. ‘‘Placed at home’’ 

should only be used in preparation for 

the child’s permanent return home and 

should not be used if the child is at 

home for a weekend or holiday visit. 

Private agency living arrangement. In 

paragraph (e)(5), we propose, as we did 

in the 2008 NPRM, to require the title 

IV–E agency to collect and report 

whether or not each of the child’s living 

arrangements, reported in paragraph 

(e)(1), is licensed, managed or run by a 

private agency. This is the same 

proposal that we proposed for the first 

time in the 2008 NPRM. As title IV–E 

agencies increasingly use private 

agencies to perform a variety of child 

welfare services, there are important 

implications for the oversight of their 

responsibilities to children who are in 

out-of-home care. We have learned from 

the CFSRs and our National Quality 

Improvement Center on the 

Privatization of Child Welfare Services 

that title IV–E agencies have had varied 

levels of success with contracting out 

child welfare services to private 

agencies. We believe that by tracking the 

use of private agency involvement in a 

child’s living arrangements, we may be 

able to analyze its impact on child 

outcomes. We received comments in 

support of this proposal in response to 

the 2008 NPRM. 

Location of living arrangement. In 

paragraph (e)(6), we propose that the 

title IV–E agency report the general 

location of the child’s living 

arrangement, specifically whether the 

child is placed within or outside of the 

reporting State or Tribal service area or 

outside of the country. If the child ran 

away or his or her whereabouts are 

unknown, the title IV–E agency must so 

indicate. This proposal is generally the 

same as that in the 2008 NPRM, which 

modified the current AFCARS 

requirement (see Appendix A to part 

1355, section II, V.B) in which the title 

IV–E agency must indicate whether the 

child is placed outside of the State 

making the report. However we 

modified the proposal to include a child 

whose whereabouts are unknown in 

order to be consistent with the proposed 

out-of-home care reporting population 

and other data elements in paragraph (e) 

of this section. We also modified the 

options to include Tribal title IV–E 

agencies, in accordance with section 

479B of the Act. We are required by 

statute at section 479(c)(3)(C)(iii) of the 

Act to collect the number and 

characteristics of children placed in 

foster care outside the State which has 

placement and care responsibility, and 

we hope to be able to explore the extent 

to which these placements occur, the 

reasons for these placements and to 

what extent they affect timely 

permanency for children. If the title 

IV–E agency indicates either ‘‘out-ofState or out-of-Tribal service area’’ or 

‘‘out-of-country’’ for the child’s living 

arrangement, the title IV–E agency must 

complete the data element in paragraph 

(e)(7); otherwise the title IV–E agency 

must leave it blank. We did not receive 

comments on this data element as 

proposed in the 2008 NPRM. 

Jurisdiction or country where the 

child is living. In paragraph (e)(7), we 

propose to require the title IV–E agency 

to report the name of the State, Tribal 

service area, Indian reservation or 

country where the reporting title IV–E 

agency placed the child for each living 

arrangement, if the title IV–E agency 

indicated either ‘‘out-of-State or out-ofTribal service area’’ or ‘‘out-of-country’’ 

in paragraph (e)(6). This is a new data 

element not required to be reported in 

the existing AFCARS regulation and we 

first proposed it in the 2008 NPRM. In 

the 2008 NPRM, we proposed to require 

the title IV–E agency to report the twodigit FIPS code for the State or country. 

Commenters to the 2008 NPRM 

expressed concern with keeping up with 

ever-changing FIPS codes. We now 

modify the 2008 NPRM to remove FIPS 

codes, which are no longer being 

maintained and updated, and instead 

require that the title IV–E agency 

indicate the jurisdiction’s or country’s 

name for identification purposes which 

we believe will address commenter 

concerns. In addition, FIPS codes do not 

account for the breadth of jurisdictions 

that could be captured in this element, 

as it does not include non-Federal 

Tribes or other countries. ACF will work 

with Tribal title IV–E agencies to 

develop valid response options for this 

element. 

We also believe that the information 

reported in this data element, in 

combination with the information 

reported in paragraph (e)(6), will 

provide information on the extent to 

which title IV–E agencies are 

maximizing all potential placement 

resources for children who are in out-ofhome care. Our modified proposal also 

includes Tribal title IV–E agencies in 

accordance with section 479B of the 

Act. 

Federal law is clear that delays in 

adoptive interjurisdictional placements 

are prohibited (section 471(a)(23) of the 

Act). Our analysis of existing AFCARS 

data demonstrates that it takes much 

longer to achieve permanency for 

children who are placed out-of-State 

compared to children whose placements 

are intrastate. We hope that expanding 

our collection of this information will 

support more sophisticated analyses of 

placements that are out of the State, 

Tribal service area or country. We also 

believe that requiring title IV–E agencies 

to identify the specific location of the 

child’s placement that is out of the 

State, Tribal service area or country is 

consistent with the statutory 

requirement that a title IV–E agency 

have a State or Tribal wide information 

system from which the title IV–E agency 

can readily identify the location of a 

child in foster care, or who has been in 

foster care in the preceding 12 months 

(section 422(b)(8)(A)(i) of the Act). 

In paragraphs (e)(8) through (e)(13), 

we propose to collect information on the 

child’s siblings who are in out-of-home 

care under the placement and care 

responsibility of the title IV–E agency or 

who exit the placement and care 

responsibility of the title IV–E agency to 

a finalized adoption or legal 

guardianship. We propose two new data 

elements designed to obtain the total 

number of the child’s siblings who are 

in out-of-home care under the 

placement and care responsibility of the 

title IV–E agency or who exit the 

placement and care responsibility of the 

title IV–E agency to a finalized adoption 

or legal guardianship and four new data 

elements where the title IV–E agency 

must report which siblings the child is 

placed with within the same living 

arrangement. 

In the existing AFCARS, we do not 

have a way to know which children 

who are in out-of-home care are siblings 

and we do not have the ability to track 

whether siblings are placed together. We 

propose that the title IV–E agency report 

on a child’s siblings in paragraphs (e)(8) 

through (e)(13) of this section in order 

to learn more about sibling group 

placement in out-of-home care, 

adoption and legal guardianship homes 

and to comply with the mandate in 

section 471(a)(31)(A) of the Act. Under 

this statutory provision, the title IV–E 

agency must make reasonable efforts to 

place siblings removed from their home 

in the same foster care, kinship 

guardianship or adoptive placement, 

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unless such a placement is contrary to 

the safety or well-being of any of the 

siblings. We propose paragraphs (e)(8) 

and (e)(11) specifically to determine the 

total number of siblings which ACF will 

use to ensure correct data entry in 

paragraphs (e)(9), (e)(10), (e)(12) and 

(e)(13). 

In the 2008 NPRM, we proposed to 

require title IV–E agencies to indicate 

the total number of siblings who are also 

in the title IV–E agency’s placement and 

care responsibility and are placed with 

the child in the same living arrangement 

as of the last day of each of the child’s 

living arrangements. Our 2008 NPRM 

proposal did not include reporting the 

child’s siblings who exited the reporting 

title IV–E agency’s placement and care 

responsibility to a finalized adoption or 

legal guardianship. Commenters to the 

2008 NPRM supported our proposal to 

collect the total number of the child’s 

siblings who are themselves in out-ofhome care, but suggested that we also 

collect the child record numbers of the 

child’s siblings, stating that it would be 

more useful to accurately track which 

children are siblings and whether they 

are placed together. We agreed with the 

commenters and revised our proposal 

accordingly. We also revised our 

proposal to include reporting whether 

the child has and lives with any siblings 

who exited the reporting title IV–E 

agency’s placement and care 

responsibility to a finalized adoption or 

legal guardianship. We propose the new 

data elements in paragraphs (e)(8) 

through (e)(13) in order to learn more 

about sibling group placement. 

Number of siblings in out-of-home 

care. In paragraph (e)(8), we propose to 

require the title IV–E agency to report 

the total number of siblings, if 

applicable, that a child has who 

themselves are in out-of-home care 

under the placement and care 

responsibility of the reporting title 

IV–E agency at any point during the 

report period. A sibling to the child is 

his or her brother or sister by biological, 

legal or marital connection. The title 

IV–E agency must not include the child 

who is the subject of this record in the 

total number. If the child does not have 

siblings who themselves are in out-ofhome care under the placement and care 

responsibility of the reporting title 

IV–E agency during the report period, 

we propose that the title IV–E agency 

indicate ‘‘0.’’ If the child does not have 

any siblings, we propose that the title 

IV–E agency indicate ‘‘not applicable.’’ 

If the title IV–E agency indicates either 

‘‘0’’ or ‘‘not applicable,’’ the title IV–E 

agency must leave the data elements in 

paragraphs (e)(9) and (e)(10) blank. 

Siblings placed together in out-ofhome care. In paragraph (e)(9), we 

propose to require the title IV–E agency 

to report the child record number(s) of 

each sibling(s) who is in out-of-home 

care under the placement and care 

responsibility of the reporting title 

IV–E agency and who is placed with the 

child in the same living arrangement at 

any point during the report period. A 

sibling to the child is his or her brother 

or sister by biological, legal or marital 

connection. The title IV–E agency must 

not report the record number of the 

child who is the subject of this record. 

The title IV–E agency must report this 

information whether the child’s living 

arrangement is in or out of the State or 

Tribal service area. 

Siblings in out-of-home care not living 

with child. In paragraph (e)(10), we 

propose to require the title IV–E agency 

to report the child record number(s) of 

each sibling(s) who is in out-of-home 

care under the reporting title IV–E 

agency’s placement and care 

responsibility and who is not placed 

with the child in the same living 

arrangement at any point during the 

report period. The title IV–E agency 

must not report the record number of 

the child who is the subject of this 

record. For the purposes of AFCARS, a 

sibling to the child is his or her brother 

or sister by biological, legal or marital 

connection. The title IV–E agency must 

report this information whether the 

child’s living arrangement is in or out of 

the State or Tribal service area. 

Number of siblings in an adoption or 

legal guardianship. In paragraph (e)(11), 

we propose to require the title IV–E 

agency to report the total number of 

siblings, if applicable, that a child has 

who exited the placement and care 

responsibility of the reporting title 

IV–E agency to a finalized adoption or 

a legal guardianship. For the purposes 

of AFCARS, a sibling to the child is his 

or her brother or sister by biological, 

legal or marital connection. The title 

IV–E agency must not include the child 

who is the subject of this record in the 

total number. If the child does not have 

siblings who exited the placement and 

care responsibility of the reporting title 

IV–E agency to a finalized adoption or 

a legal guardianship, we propose that 

the title IV–E agency indicate ‘‘0.’’ If the 

child does not have any siblings, we 

propose that the title IV–E agency 

indicate ‘‘not applicable.’’ If the title 

IV–E agency indicated either ‘‘0’’ or 

‘‘not applicable,’’ the title IV–E agency 

must leave the data elements in 

paragraphs (e)(12) and (e)(13) blank. 

Siblings in adoptive/guardianship 

placements living with child. In 

paragraph (e)(12), we propose to require 

the title IV–E agency to report the child 

record number(s) of each sibling(s) who 

exited the placement and care 

responsibility of the reporting title 

IV–E agency to a finalized adoption or 

a legal guardianship and who is placed 

with the child in the same living 

arrangement at any point during the 

report period. For AFCARS purposes, a 

sibling to the child is his or her brother 

or sister by biological, legal or marital 

connection. The title IV–E agency must 

not report the record number of the 

child who is the subject of this record. 

The title IV–E agency must report this 

information whether the child’s living 

arrangement is in or out of the State or 

Tribal service area. 

Siblings in adoptive/guardianship 

placements not living with child. In 

paragraph (e)(13), we propose to require 

the title IV–E agency to report the child 

record number(s) of each sibling who 

exited the placement and care 

responsibility of the reporting title 

IV–E agency to a finalized adoption or 

a legal guardianship and who is not 

living with the child in the same living 

arrangement at any point during the 

report period. This is a new element. As 

in previous sibling elements, for 

AFCARS purposes a sibling to the child 

is his or her brother or sister by 

biological, legal or marital connection. 

The title IV–E agency must not report 

the record number of the child who is 

the subject of this record. The title 

IV–E agency must report this 

information whether the child’s living 

arrangement is in or out of the State or 

Tribal service area. 

Number of children living with the 

minor parent. In paragraph (e)(14), we 

propose to require the title IV–E agency 

to report the total number of children 

who are living with their minor parent 

in the same living arrangement, for each 

living arrangement if the title IV–E 

agency reported that the minor parent 

(i.e., the child who is the subject of this 

record) has children in section 

1355.43(b)(15). As in section 

1355.43(b)(15), we propose to consider 

a child older than age 18 in foster care 

a ‘‘minor parent’’ if he or she has 

children. If the title IV–E agency 

reported ‘‘0’’ in section 1355.43(b)(15), 

the title IV–E agency must leave this 

data element blank. This data element is 

not in the existing AFCARS regulation 

and was first proposed in the 2008 

NPRM. We propose that a title IV–E 

agency include in this count only those 

children of the minor parent who are 

not under the title IV–E agency’s 

placement and care responsibility, for 

whom the minor parent is responsible 

and who are in the same living 

arrangement. The title IV–E agency must 

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not report those children of the minor 

parent who are in the out-of-home care 

reporting population as a result of a 

separate action removing the child from 

the minor parent and placing with the 

title IV–E agency. For example, if the 

minor parent is placed in a child care 

institution and the minor parent’s infant 

child was removed from his or her care, 

the title IV–E agency has placement and 

care responsibility of the infant child 

and the title IV–E agency placed the 

infant child into a foster family home, 

then the title IV–E agency must report 

‘‘0’’ for this data element. This is also 

the case if the minor parent is also 

placed in the same foster family home. 

The minor parent’s child who is also in 

the placement and care responsibility of 

the title IV–E agency would have his or 

her own child record number. 

We received comments in response to 

the 2008 NPRM recommending that title 

IV–E agencies report the child of a 

minor parent only if the minor parent’s 

child is also in foster care. We 

considered the comments but did not 

make changes to this proposal because 

we want to know when a minor parent 

who is in out-of-home care is 

responsible for the care of his or her 

own child(ren) who is living with him 

or her. Minor parents and their children 

may differ from other children who are 

in out-of-home care and may require 

enhanced resources from the child 

welfare system, e.g., possibly different 

permanency plans, living arrangements, 

lengths of stay in foster care, exit 

reasons and/or patterns of re-entry than 

other children in out-of-home care. We 

believe that it is necessary to examine 

the trends in these patterns so that 

policy is better informed and that the 

necessary resources can be made 

available to meet the needs of these 

families. 

Marital status of the foster parents. In 

paragraph (e)(15), we propose to require 

the title IV–E agency continue to report 

information regarding the marital status 

of the foster parent(s) for each foster 

family home living arrangement in 

which the child is placed, as indicated 

in paragraph (e)(3) of this section. This 

is basic demographic information about 

the child’s provider that is required to 

be collected in AFCARS per section 

479(c)(3)(A) of the Act. Our proposal is 

unchanged from the 2008 NPRM. In the 

existing AFCARS, this data element is 

titled ‘‘Foster Family Structure’’ and the 

title IV–E agency must report one of four 

options married couple, unmarried 

couple, single male or single female (see 

Appendix A to part 1355, section II, 

IX.A). We propose, as we did in the 

2008 NPRM, to include these same four 

marital status options, as well as one 

other category of marital status— 

separated. Additionally, we specify that 

the title IV–E agency must report this 

information for each foster family home 

in which the child is placed. 

We propose to require the title 

IV–E agency to indicate ‘‘married 

couple’’ if the foster parents are 

considered to be united in matrimony 

according to applicable laws, including 

common law marriage where provided 

by applicable laws. We propose to 

require the title IV–E agency to indicate 

‘‘unmarried couple’’ if the foster parents 

are living together as a couple, but are 

not united in matrimony according to 

applicable laws. We propose to require 

the title IV–E agency to indicate 

‘‘separated’’ if the foster parent is legally 

separated, or living apart from his or her 

spouse, but remains legally married. We 

propose to require the title IV–E agency 

to indicate ‘‘single female’’ if the foster 

parent is a female who is not married 

(including common law marriage) and is 

not living with another individual as 

part of a couple. We propose to require 

the title IV–E agency to indicate ‘‘single 

male’’ if the foster parent is a male who 

is not married (including common law 

marriage) and is not living with another 

individual as part of a couple. If the title 

IV–E agency indicates the option 

‘‘married couple’’ or ‘‘unmarried 

couple,’’ the title IV–E agency must 

complete the data elements for the 

second foster parent in paragraphs 

(e)(20) through (e)(22) of this section; 

otherwise the title IV–E agency must 

leave these data elements blank. 

Consistent with the existing AFCARS 

requirement and the 2008 NPRM 

proposal, we do not propose a separate 

category for a foster parent who is a 

widow or widower. Such individuals 

must continue to be reported according 

to his or her current marital/living 

situation. 

Child’s relationship to the foster 

parent(s). In paragraph (e)(16), we 

propose to require the title IV–E agency 

to report the type of relationship 

between the child and the foster 

parent(s) from one of seven options, for 

each foster family home in which the 

child is placed, as indicated in 

paragraph (e)(3) of this section. We 

propose to include the following 

relationship options, which we also 

proposed in the 2008 NPRM siblings, 

maternal and paternal grandparents, 

other maternal or paternal relatives or 

non-relatives. In addition to the options 

in the 2008 NPRM, we propose to add 

one additional option—kin. We agree 

with commenters to the 2008 NPRM 

who identified the importance of 

including this option in order to better 

understand the true nature of the child’s 

out-of-home care experience. For 

AFCARS purposes, a kin relationship is 

defined by the title IV–E agency, such 

as one where there is a psychological, 

cultural or emotional relationship 

between the child or the child’s family 

and the foster parent(s). 

Title IV–E agencies are not currently 

required to report the specific type of 

relationship between the child and his 

or her foster parent(s). Through the 

information reported in the existing 

AFCARS, we only know whether a child 

is placed in a relative foster home, but 

we do not know the specific relative 

with whom the child is placed. We 

believe that it is essential to obtain this 

information, primarily so we can 

understand the trends surrounding 

relative, and particularly grandparent 

and paternal relative, care of children 

who enter foster care. 

Year of birth of foster parent(s). In 

paragraphs (e)(17) and (e)(20), we 

propose to require the title IV–E agency 

to report the year of birth of each foster 

parent(s) for each foster family home 

living arrangement in which the child is 

placed, as indicated in paragraph (e)(3) 

of this section. A foster parent must be 

at least 18 years old. If the title IV–E 

agency indicated ‘‘married couple’’ or 

‘‘unmarried couple’’ in paragraph 

(e)(15), the title IV–E agency must 

indicate the year of birth for the first 

foster parent in paragraph (e)(17) and 

the year of birth for the second foster 

parent in paragraph (e)(20). If the title 

IV–E agency indicated ‘‘single female’’ 

or ‘‘single male’’ in paragraph (e)(15), 

the title IV–E agency must indicate that 

person’s year of birth in paragraph 

(e)(17) and leave paragraph (e)(20) 

blank. Our proposal is unchanged from 

the 2008 NPRM. 

In the existing AFCARS regulation, 

the title IV–E agency is required to 

estimate a year of birth if the foster 

parent(s) exact birth date is unknown 

(see Appendix A to part 1355, section II, 

IX.B). We propose, as we did in the 

2008 NPRM, to remove this instruction 

because we expect that the title IV–E 

agency will always have the exact year 

of birth for a foster parent. This is basic 

demographic information about the 

child’s provider that is required to be 

collected in AFCARS per section 

479(c)(3)(A) of the Act. 

Race of foster parent(s). In paragraphs 

(e)(18)(i) through (e)(18)(vii) and 

(e)(21)(i) through (e)(21)(vii), we 

propose to require the title IV–E agency 

to report the race of each foster parent(s) 

for each foster family home living 

arrangement in which the child is 

placed, as indicated in paragraph (e)(3) 

of this section. If the title IV–E agency 

indicated ‘‘married couple’’ or 

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‘‘unmarried couple’’ in paragraph 

(e)(15), the title IV–E agency must 

indicate the race for the first foster 

parent in paragraph (e)(18) and the race 

for the second foster parent in paragraph 

(e)(21). If the title IV–E agency indicated 

‘‘single female’’ or ‘‘single male’’ in 

paragraph (e)(15), the title IV–E agency 

must indicate that person’s race in 

paragraph (e)(18) and leave paragraph 

(e)(21) blank. This is basic demographic 

information about the child’s provider 

that is required to be collected in 

AFCARS per section 479(c)(3)(A) of the 

Act. 

Our proposal is unchanged from the 

2008 NPRM where we proposed to 

modify the existing AFCARS 

requirement (see Appendix A to part 

1355, section II, IX.C) in order to be 

consistent with the OMB standards for 

collecting information on race. 

Currently in AFCARS, we explain that 

an individual’s race is determined by 

how he or she defines him or herself or 

by how others define him or her. 

Consistent with the 2008 NPRM 

proposal, the title IV–E agency must 

allow the foster parent(s) to determine 

his or her own race. If the foster 

parent(s) does not know his or her race, 

the title IV–E agency must indicate that 

this information is not known (see 

paragraphs (e)(18)(vi) and (e)(21)(vi)). It 

is acceptable for the foster parent(s) to 

identify with more than one race, but 

not know one of those races. In such 

cases, the title IV–E agency must 

indicate the racial classifications that 

apply and also indicate that one of the 

races is not known. If the foster 

parent(s) declines to identify his or her 

race, the title IV–E agency must indicate 

that this information was declined (see 

paragraphs (e)(18)(vii) and (e)(21)(vii)). 

Hispanic or Latino ethnicity of foster 

parent(s). In paragraphs (e)(19) and 

(e)(22), we propose that the title IV–E 

agency report the Hispanic or Latino 

ethnicity of the foster parent(s) by 

indicating ‘‘yes’’ or ‘‘no.’’ This is basic 

demographic information about the 

child’s provider that is required to be 

collected in AFCARS per section 

479(c)(3)(A) of the Act. If the title 

IV–E agency indicated ‘‘married couple’’ 

or ‘‘unmarried couple’’ in paragraph 

(e)(15), the title IV–E agency must 

complete paragraph (e)(19) for the first 

foster parent and paragraph (e)(22) for 

the second foster parent. If the title 

IV–E agency indicated ‘‘single female’’ 

or ‘‘single male’’ in paragraph (e)(15), 

the title IV–E agency must complete 

paragraph (e)(19) for that person and 

leave paragraph (e)(22) blank. 

Our proposal is the same as the 

existing AFCARS requirement (see 

Appendix B to part 1355, section II, 

VI.C), the 2008 NPRM and other 

sections of this proposed rule where 

demographic information on ethnicity is 

collected. The proposed data element is 

similar to one in the existing AFCARS 

requirements (see Appendix A to part 

1355, section II, IX.C) and unchanged 

from the 2008 NPRM. Similar to the 

data elements on race in paragraphs 

(e)(18) and (e)(21), the definitions in 

paragraphs (e)(19) and (e)(22) also are 

consistent with the OMB race and 

ethnicity standards. Consistent with the 

2008 NPRM proposal, the title IV–E 

agency must allow the foster parent(s) to 

determine his or her own ethnicity. If 

the foster parent(s) does not know his or 

her ethnicity, the title IV–E agency must 

indicate the option ‘‘unknown.’’ If the 

foster parent(s) refuses to identify his or 

her ethnicity, the title IV–E agency must 

indicate that the information was 

declined. 

Sources of Federal assistance in living 

arrangement. In paragraph (e)(23), we 

propose to require the title IV–E agency 

to report the Federal assistance that 

supports the child’s maintenance 

payments (i.e., room and board) on the 

last day of the child’s placement in each 

living arrangement or on the last day of 

the report period if the child’s living 

arrangement is ongoing, for each living 

arrangement as indicated in paragraph 

(e)(1) of this section. Our proposal is a 

significant change from the existing 

AFCARS data element on financial 

assistance, which requires the title 

IV–E agency to report both Federal and 

non-Federal sources of assistance in 

each report period (see Appendix A to 

part 1355, section II, XI). Information 

similar to the existing AFCARS 

requirement is proposed to be collected 

in both paragraphs (b)(16) and (e)(23); 

however, we modified the options from 

the existing AFCARS requirement and 

we propose that the title IV–E agency 

report in paragraph (e)(23) only the 

sources of Federal assistance that 

support the child’s maintenance. We 

propose, as we did in the 2008 NPRM, 

to require the title IV–E agency to report 

in paragraphs (e)(23)(i) through 

(e)(23)(viii) the types of Federal funds 

that are supporting the child’s 

maintenance in each out-of-home care 

living arrangement from the following 

options title IV–E foster care 

maintenance payments, title IV–E 

adoption assistance subsidy, title IV–E 

guardianship assistance subsidy, title 

IV–A Temporary Assistance for Needy 

Families (TANF), title IV–B Child 

Welfare Services, title XX Social 

Services Block Grant (SSBG), the Chafee 

Foster Care Independence Program and/ 

or other Federal funds. 

We specified in paragraphs (e)(23)(i) 

through (e)(23)(iii) that the title IV–E 

agency must report a funding source of 

title IV–E foster care, title IV–E adoption 

subsidy, or a title IV–E guardianship 

subsidy when the child is eligible for 

such funds. ‘‘Eligible’’ means that the 

child satisfies fully all of the criteria for 

the title IV–E foster care maintenance 

payments program in section 472 of the 

Act (including requirements for a 

placement in a licensed or approved 

foster family home or child care 

institution or supervised independent 

living), for the adoption assistance 

program in section 473 of the Act 

(including requirements for the child to 

be placed in a pre-adoptive home with 

an adoption assistance agreement signed 

by all parties in effect), or for the 

guardianship assistance program in 

section 473 of the Act. We chose to 

specify that the child be eligible for 

such funds, rather than funds paid on 

behalf of the child because title IV–E 

agencies are reimbursed by the Federal 

government for allowable title IV–E 

foster care maintenance, adoption 

assistance, and guardianship assistance 

payments. Title IV–E agencies submit 

claims for their allowable costs after 

they have made payments on behalf of 

eligible children, sometimes months 

after the fact. The timing of 

reimbursement for title IV–E payments 

and submitting AFCARS data may be 

such that a child may not have actually 

received a Federal payment at the time 

that we are requesting such information 

but the child is eligible for a title IV–E 

foster care maintenance, adoption 

assistance, or guardianship assistance 

payment. 

As in the 2008 NPRM, we tied the 

reporting of this information to a 

particular day within each living 

arrangement. If the child is placed in 

two different living arrangements within 

the same AFCARS report period, the 

title IV–E agency must report the 

Federal funds supporting the child’s 

maintenance on the last day that the 

child was in the first living arrangement 

and, if the second living arrangement 

continues past the last date of the report 

period, the title IV–E agency must report 

the Federal funding sources on the last 

day of the report period. We propose to 

focus on the Federal funds provided on 

a particular day within a living 

arrangement so that we can better 

analyze the sources of Federal funds 

supporting children’s maintenance. 

Finally, although some commenters to 

the 2008 NPRM suggested that 

collecting financial information was not 

necessary, we propose to collect this 

information because section 479(c)(3)(D) 

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of the Act requires that we collect the 

nature of Federal assistance. 

Amount of payment. In paragraph 

(e)(24), we propose to require the title 

IV–E agency to report the total (title 

IV–E agency and Federal share) per 

diem amount of the title IV–E foster care 

maintenance payment, title IV–E 

adoption assistance subsidy or title 

IV–E guardianship assistance subsidy 

that the child is eligible for or is paid 

on behalf of a title IV–E eligible child on 

the last day of the living arrangement or 

the last day of the report period if the 

living arrangement is ongoing. We 

propose to require the title IV–E agency 

to report this information for each living 

arrangement in which the title IV–E 

agency indicated that paragraphs 

(e)(23)(i), (e)(23)(ii), or (e)(23)(iii) 

‘‘applies.’’ If the title IV–E agency 

indicated ‘‘applies’’ in paragraphs 

(e)(23)(i), (e)(23)(ii), or (e)(23)(iii) and no 

payment was made, the title IV–E 

agency must indicate ‘‘0’’ for this data 

element. 

Our proposal is unchanged from the 

2008 NPRM but modifies the existing 

AFCARS regulation which requires title 

IV–E agencies to report the total amount 

of the monthly foster care payment, 

regardless of the source (e.g., Federal, 

State, Tribal or another source of funds) 

in the existing AFCARS foster care data 

file and the total amount of the monthly 

adoption subsidy in the existing 

AFCARS adoption data file (see 

Appendix A to part 1355, section II, XII 

and Appendix B to part 1355, section II, 

VIII). As we proposed in the 2008 

NPRM, we will no longer require the 

title IV–E agency to report the monthly 

amount of assistance, but rather the 

daily amount, as we will calculate the 

monthly amount based on the per diem 

rate that the title IV–E agency reports to 

us. This is the same proposal as in the 

2008 NPRM, and we did not receive any 

comments critical of the change. 

As we understand it, information 

systems are designed such that the daily 

rate is readily available for reporting. 

Therefore, this aspect of the proposal 

should be less of a burden on title 

IV–E agencies and in line with how 

their information systems are 

structured. We also propose to remove 

the requirement that is in the existing 

AFCARS for the title IV–E agency to 

report the amount of the payment only 

when a title IV–E payment is made on 

behalf of a child regardless of the 

source. We propose this change because 

we primarily are interested in knowing 

about the amount of funds under the 

title IV–E foster care and adoption 

assistance programs, since these are the 

two largest programs for which we have 

fiscal oversight responsibility. 

Services provided in other living 

arrangements. In paragraph (e)(25), we 

propose to require the title IV–E agency 

to report the type of services a child is 

receiving if placed in a living 

arrangement other than a foster family 

home as indicated in paragraph (e)(4). 

Pub. L. 113–183 requires this 

information be reported as part of the 

annual Child Welfare Outcomes Report 

per section 479A of the Act. 

Specifically, the law requires the 

reporting of information in areas such as 

specialized education, treatment, and 

counseling, as well as other services that 

do not fit into these categories, e.g., 

independent living skills or other 

services towards adult preparedness. If 

the title IV–E agency indicated in 

paragraph (e)(2) that the child is living 

in a foster family home, leave this data 

element blank. If there are services 

provided, the title IV–E agency must 

indicate ‘‘yes’’ in paragraph (e)(25) and 

then indicate whether each paragraphs 

(e)(25)(i) through (e)(25)(iv) ‘‘applies’’ or 

does not apply.’’ If there are no services 

provided by the agency setting, the title 

IV–E agency must indicate ‘‘no.’’ 

Finally, we would like to note that we 

are not continuing our proposal from 

the 2008 NPRM to include the data 

elements ‘‘language of foster parent(s)’’ 

and ‘‘language preference of foster 

parent’’ due to strong opposition in 

public comments to the 2008 NPRM. 

Section 1355.43(f) Permanency Planning 

In paragraph (f), we propose that the 

title IV–E agency collect and report 

information related to permanency 

planning for children in foster care. In 

general, we propose to expand the 

information that we collect by requiring 

title IV–E agencies to report longitudinal 

information for most of the data 

elements in paragraph (f). We also 

propose to modify the permanency plan 

options and request new information on 

the reasons for changing the child’s 

permanency plan; the child’s concurrent 

permanency plan; the child’s juvenile 

justice involvement; caseworker visits 

with the child and the child’s transition 

plan. In the existing AFCARS, the title 

IV–E agency is required to report one 

data element on the child’s most recent 

case plan goal, which does not provide 

any detailed information about 

permanency planning for children in 

foster care. We propose eleven 

additional data elements that will 

enhance our analysis of the child’s 

entire out-of-home care experience and 

will better inform the title IV–E agency’s 

performance in permanency planning 

and achieving positive outcomes for 

children in foster care. We also believe 

that collecting this additional 

information will enhance our data 

analysis for the CFSRs or other Federal 

monitoring efforts. We propose to 

update the language from the existing 

AFCARS regulation to use the term 

‘‘permanency plan’’ instead of the term 

‘‘case plan,’’ which is primarily a name 

change consistent with the terminology 

used throughout titles IV–B and IV–E of 

the Act. We used the term ‘‘permanency 

plan’’ in the 2008 NPRM and 2010 FR 

Notice and did not receive any 

comments. 

Some aspects of our proposal are 

different from the 2008 NPRM and the 

existing AFCARS regulation. One 

difference is that we do not propose to 

collect ongoing child and family 

circumstances at the development of the 

initial permanency plan and at the time 

of each permanency hearing, or 

annually. In the 2008 NPRM, we 

proposed a list of ongoing child and 

family circumstances identical to the 

expanded list of circumstances 

proposed in paragraph (d). Commenters 

to the 2008 NPRM and 2010 FR Notice 

were overwhelmingly opposed to our 

proposal to collect child and family 

circumstances at any point after the 

child’s removal (see section 1355.43(d)). 

Primarily, the commenters questioned 

the value of collecting such information 

after the time of the child’s removal and 

strongly felt that the burden associated 

with making such vast programmatic 

changes and the time for workers to 

input such data would not positively 

impact the outcomes for children in 

foster care. Thus, based on such 

opposition in the comments, we 

decided against a proposal to collect 

ongoing information on child and 

family circumstances after the time of 

the child’s removal. We propose instead 

to collect information on the reasons the 

child’s permanency plan may change, 

which we explain further in paragraph 

(f)(4). 

Permanency plan. In paragraph (f)(1), 

we propose to require the title IV–E 

agency to report the type of permanency 

plan established for the child, for each 

permanency plan that is established for 

the child in every out-of-home care 

episode. This is a longitudinal element. 

In the existing AFCARS, the title IV–E 

agency is required to report the child’s 

‘‘most recent case plan goal’’ from a list 

of seven options, reunify with parents or 

principal caretaker; live with other 

relatives; adoption; long-term foster 

care; emancipation; guardianship; and 

not yet established (see Appendix A to 

part 1355, section II, VI). The options in 

the existing AFCARS are similar to the 

response options we proposed in the 

2008 NPRM, which were reunify with 

parents or legal guardians; live with 

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other relatives; adoption; planned 

permanent living arrangement; 

independent living; relative 

guardianship; non-relative 

guardianship; and if the child’s 

permanency plan is not established. 

Based on the comments we received in 

response to the 2008 NPRM and the 

2010 FR Notice we propose to modify 

the 2008 NPRM proposal on 

permanency plan options. Although 

Federal regulations (45 CFR 1356.21(g)) 

require title IV–E agencies to develop 

permanency plans for children in foster 

care consistent with the program 

definition, we understand that most title 

IV–E agencies regularly develop and 

update permanency plans consistent 

with good practice. We propose that the 

title IV–E agency report this information 

for all children in the out-of-home care 

reporting population if that information 

has been collected in accordance with 

best practices procedures. In paragraph 

(f)(1), we propose to require the title 

IV–E agency to report one of six 

permanency plan options for the child 

or indicate that the permanency plan is 

not established. A description of each 

permanency plan option follows. 

We propose that the title IV–E agency 

indicate ‘‘reunify with parent(s) or legal 

guardian(s)’’ if the plan is to keep the 

child in out-of-home care for a limited 

time and the title IV–E agency is 

working with the child’s family to 

reunify the child with the parent(s) or 

legal guardian(s) in a stable family 

environment. Our proposed definition 

for this permanency plan option is the 

same as the 2008 NPRM, wherein we 

explained that we modified the existing 

AFCARS definition to replace the term 

‘‘principal caretaker’’ with ‘‘legal 

guardian.’’ We are expanding the 

‘‘reunify with parent(s) or legal 

guardian(s)’’ option to include 

situations when the child reunifies with 

a non-custodial parent or legal guardian, 

rather than the parent or legal guardian 

from whom the child was removed. 

We propose to require the title IV–E 

agency to indicate ‘‘live with other 

relatives’’ if the title IV–E agency is 

working towards the child living 

permanently with a relative(s), other 

than the child’s parent(s) or legal 

guardian(s). Our proposal differs from 

the existing AFCARS definition in that 

we propose to exclude relative 

guardianship from the definition and 

remove the instruction that the relatives 

are ‘‘other than the ones from whom the 

child was removed.’’ This instruction is 

unnecessary given the changes to the 

‘‘reunify with parent(s) or legal 

guardian(s)’’option because we are no 

longer limiting the ‘‘reunify with 

parent(s) or legal guardian(s)’’ option to 

the person(s) from whom the child was 

removed. Our current proposal is the 

same as in the 2008 NPRM and we did 

not receive comments on this 

permanency plan option. 

We propose to require the title IV–E 

agency to indicate ‘‘adoption’’ if the 

plan is to facilitate the child’s adoption 

by the child’s relatives, foster parent(s), 

kin or other unrelated individuals. Our 

proposal differs from the existing 

AFCARS requirement and the 2008 

NPRM in that we propose to modify the 

adoption permanency plan option 

definition to specifically include 

adoption by kin. Commenters to the 

2008 NPRM requested the addition of 

kin in a number of data elements in 

AFCARS and therefore we include it 

here. 

We propose to require the title IV–E 

agency to indicate ‘‘guardianship’’ if the 

plan is for the title IV–E agency to 

establish a new legal guardianship 

arrangement for the child. This includes 

legal guardianships established with a 

relative or a non-relative. We propose to 

modify the existing AFCARS definition 

and the 2008 NPRM proposal based on 

the 2008 NPRM comments. In the 

existing AFCARS, the permanency plan 

option of ‘‘guardianship’’ applies to 

non-relatives whereas relative 

guardianship is included in the 

definition of ‘‘live with other relatives.’’ 

In the 2008 NPRM, we proposed 

separate response options for relative 

and non-relative guardianship 

permanency plans. Commenters to the 

2008 NPRM requested that we combine 

the ‘‘relative guardianship’’ and ‘‘nonrelative guardianship’’ permanency plan 

options because they stated that it 

would be burdensome to reprogram 

information systems to comply with this 

and did not see the value of making 

such a distinction in AFCARS. We 

agreed and now propose one response 

option to capture the child’s 

permanency plan of legal guardianship. 

We propose to require the title IV–E 

agency to indicate ‘‘planned permanent 

living arrangement’’ if the plan is for the 

child to remain in foster care until the 

title IV–E agency’s placement and care 

responsibility ends. The title IV–E 

agency must only select ‘‘planned 

permanent living arrangement’’ 

consistent with the requirements in 

section 475(5)(C)(i) of the Act. This 

response option is not in the existing 

AFCARS and we are modifying our 

2008 NPRM proposal. In the 2008 

NPRM, we proposed two response 

options, ‘‘planned permanent living 

arrangement’’ and ‘‘independent living’’ 

to replace the response options in the 

existing AFCARS ‘‘long term foster 

care’’ and ‘‘emancipation’’, respectively. 

Both ‘‘long term foster care’’ and 

‘‘emancipation’’ in the existing 

regulations encompass children with a 

plan to remain in foster care until 

emancipation. 

Over the years, States have sought out 

technical assistance and guidance on 

how to distinguish between the two 

response options. In the 2008 NPRM, we 

attempted to rectify this issue by 

renaming the existing AFCARS response 

option ‘‘long term foster care’’ as 

‘‘planned permanent living 

arrangement’’ and replacing 

‘‘emancipation’’ with a new response 

option of ‘‘independent living’’ defined 

as situations when the plan was for the 

child to live independently and the 

child was receiving or eligible to receive 

independent living services. 

Commenters to the 2008 NPRM and 

2010 FR Notice supported our proposal 

to include a response option for 

‘‘planned permanent living 

arrangement’’ but felt that this was more 

than a name change and requested that 

we modify the definition to be more 

consistent with practice in the field. 

Commenters to the 2008 NPRM were 

overwhelmingly opposed to our 

proposal to include ‘‘independent 

living’’ as a permanency plan, stating 

that in practice, ‘‘independent living’’ 

refers to services that are provided to 

children who may emancipate from 

foster care and that these services 

should be provided no matter what the 

child’s permanency plan is. We 

reexamined the existing response 

options in AFCARS and those proposed 

in the 2008 NPRM in the context of 

these comments, practice in the field 

and the statutory requirement at section 

475(5)(C)(i) of the Act. Section 

475(5)(C)(i) requires that the title IV–E 

agency rule out reunification, adoption 

and legal guardianship before selecting 

a permanency plan for a planned 

permanent living arrangement. We 

understand that in practice, when a 

child’s plan is not to return to his or her 

family, or achieve guardianship or 

adoption, the title IV–E agency attempts 

to place a child with a committed foster 

care provider and provide the child 

with the skills needed for 

independence. The child may be placed 

with someone who has made a formal 

commitment to the child and may 

receive the services or not based on a 

variety of factors. Therefore, we believe 

that other monitoring efforts that 

examine casework, such as the current 

CFSR, are better tools in which to 

measure title IV–E agency performance 

in permanency planning for children 

who may emancipate from foster care. 

We believe that our current proposal 

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addresses the comments to the 2008 

NPRM and the 2010 FR Notice and 

overall better reflect current practice. 

We welcome comments on this response 

option. 

Finally, we propose to require the title 

IV–E agency to report if the child’s 

permanency plan is not yet established. 

Our proposal is the same as in the 2008 

NPRM, which is only a name-change 

modification from the existing AFCARS 

response option titled ‘‘case plan goal 

not yet established.’’ We did not receive 

comments in response to the 2008 

NPRM on this response option. 

Date of permanency plan. In 

paragraph (f)(2), we propose to require 

the title IV–E agency to report the 

month, day and year that each 

permanency plan for the child was 

established, for each permanency plan 

established in paragraph (f)(1). This was 

a new proposed data element in the 

2008 NPRM and we did not change it in 

our proposal here. We received very few 

comments on this data element in 

response to the 2008 NPRM and the 

ones we received stated that the 

additional workload may outweigh the 

value of the data element. As we stated 

in the 2008 NPRM, we continue to 

believe that collecting the date each 

permanency plan was established will 

allow us to know all the permanency 

plans that were established for the child 

and when they were established. 

Concurrent permanency planning. In 

paragraph (f)(3), we propose to require 

the title IV–E agency to indicate 

whether the title IV–E agency identified 

a concurrent permanency plan for the 

child. Our proposal is unchanged from 

the 2008 NPRM. We propose that the 

title IV–E agency indicate ‘‘concurrent 

permanency plan’’ if a concurrent 

permanency plan exists for the child; 

‘‘no concurrent permanency plan’’ if the 

title IV–E agency engages in concurrent 

permanency planning but a plan does 

not exist for the child; or ‘‘not 

applicable’’ if the title IV–E agency does 

not engage in concurrent permanency 

planning. If the title IV–E agency 

indicates ‘‘concurrent permanency 

plan,’’ the title IV–E agency must 

complete the data elements in 

paragraphs (f)(3)(i) and (f)(3)(ii) to 

indicate the type of concurrent 

permanency plan; otherwise the title 

IV–E agency must leave these data 

elements blank. 

The title IV–E agency is not required 

to report information on concurrent 

permanency planning in the existing 

AFCARS. Requiring information on 

concurrent permanency planning was a 

new proposal in the 2008 NPRM and we 

received many comments in response to 

this proposal and the 2010 FR Notice. 

Some commenters to both the 2008 

NPRM and 2010 FR Notice supported 

our proposal stating that it would help 

to comprehensively understand the 

permanency planning that is done for a 

child. Other commenters to both the 

2008 NPRM and 2010 FR Notice 

questioned the value of the information 

and objected to requiring this 

information citing worker burden and 

noting that CFSR results indicate 

concurrent permanency planning was 

linked to positive results in only a few 

States. We considered the comments, 

but we did not make changes. 

Concurrent permanency planning has 

been encouraged since the passage of 

the Adoption and Safe Families Act 

(ASFA) in 1997 and we understand 

from the CFSRs that many States engage 

in concurrent permanency planning 

although we also recognize that it is not 

implemented on a consistent basis. We 

note that there are different ways to 

view and utilize concurrent permanency 

planning and we believe that it is 

important to capture the extent to which 

children have concurrent permanency 

plans so that we can better understand 

if, when and how concurrent 

permanency planning is used. 

Concurrent permanency plan. In 

paragraph (f)(3)(i), we propose to require 

the title IV–E agency to identify the 

concurrent permanency plan that is 

established for the child, if applicable. 

We propose that the concurrent 

permanency plan options include: ‘‘Live 

with other relatives,’’ ‘‘adoption,’’ 

‘‘guardianship,’’ and ‘‘planned 

permanent living arrangement,’’ and use 

the same definitions as in paragraph 

(f)(1). We do not propose including the 

option ‘‘reunify with parent(s) or legal 

guardian(s)’’ because a concurrent plan 

is usually associated with a permanency 

plan for reunification, so we do not see 

the value in including it here. We did 

not receive comments on this data 

element in response to the 2008 NPRM. 

We modified the 2008 NPRM proposal 

on concurrent permanency plan options 

to match paragraph (f)(3)(i) and (f)(1). 

No other changes were made to this data 

element from the 2008 NPRM. 

Date of concurrent permanency plan. 

In paragraph (f)(3)(ii), we propose that 

the title IV–E agency report the month, 

day and year that each concurrent 

permanency plan, if any as indicated in 

paragraph (f)(3), was established for the 

child. This was a new proposed data 

element in the 2008 NPRM, which we 

did not change in this proposal. We did 

not receive comments on this data 

element in response to the 2008 NPRM. 

Reason for permanency plan change. 

In paragraph (f)(4), we propose to 

require that the title IV–E agency 

indicate whether the child’s 

permanency plan changed during the 

report period and if so, the reason(s) for 

the child’s permanency plan change 

from a list of eight options. This is a 

new data element. We propose that the 

title IV–E agency indicate ‘‘yes’’ if the 

child’s permanency plan changed 

during the report period and ‘‘no’’ if the 

child’s permanency plan did not 

change. If the title IV–E agency indicates 

‘‘yes,’’ the title IV–E agency must 

indicate in paragraphs (f)(4)(i) through 

(f)(4)(viii) whether each reason 

‘‘applies’’ or ‘‘does not apply’’ for the 

change in the child’s permanency plan 

as indicated in paragraph (f)(1). 

We propose this data element instead 

of continuing our proposal from the 

2008 NPRM to collect additional 

information on ongoing child and 

family circumstances, which was 

overwhelmingly opposed in the 

comments to the 2008 NPRM and 2010 

FR Notice. Permanency plans may or 

may not change throughout a child’s 

duration in foster care; however, 

knowing the reasons for changes in the 

child’s permanency plan will give us a 

more comprehensive understanding of 

the permanency planning that is done 

for a child in out-of-home care. We 

explain the response options for this 

data element in paragraphs (f)(4)(i) 

through (f)(4)(viii). Stakeholders 

provided suggestions for reasons that a 

child’s permanency plan may change 

which we incorporated into the 

response options below. We welcome 

comments on these reasons for a 

permanency plan change. 

(i) Not engaged in services. In 

paragraph (f)(4)(i), we propose that the 

title IV–E agency indicate if the child’s 

parent(s) or legal guardian(s) has not 

engaged in services or otherwise taken 

the steps necessary to reunify with the 

child as the reason for the permanency 

plan change. This may include a 

determination by the title IV–E agency 

or the court that the parent(s) or legal 

guardian(s) is not following the steps of 

the case plan or that the parent(s) or 

legal guardian(s) are not making efforts 

to reunify with the child. 

(ii) Lack of progress in reunification 

plan. In paragraph (f)(4)(ii), we propose 

that the title IV–E agency indicate if the 

child’s parent(s) or legal guardian(s) is 

not meeting the requirements of the case 

plan for reunification consistently by 

demonstrating needed changes to 

provide a safe family home for the child 

or otherwise taking the steps necessary 

to reunify with the child. This may also 

mean that the parent(s) or legal 

guardian(s) is making only minimal 

efforts toward reunification. We propose 

this response option to distinguish 

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between instances where the title IV–E 

agency changes the child’s permanency 

plan because the parent(s) or legal 

guardian(s) is making some efforts to 

reunify with the child from instances 

when the parent(s) or legal guardian(s) 

has not made any efforts to reunify with 

the child. Comments in response to the 

2010 FR Notice were supportive of 

collecting whether the child’s 

permanency plan changes were due to 

the lack of progress by child’s parent(s) 

or legal guardian(s) in meeting the 

requirements of the case plan. 

(iii) Unable/incapable of caring for 

child permanently. In paragraph 

(f)(4)(iii),we propose that the title IV–E 

agency indicate if the change in the 

child’s permanency plan is due to the 

fact that the child’s parent(s) or legal 

guardian(s) is unable or incapable of 

caring for the child due to a permanent, 

long-term or other extenuating 

circumstance. This includes situations 

where the parent(s) or legal guardian(s) 

abandoned the child; died; is 

incarcerated for an amount of time for 

which the title IV–E agency determines 

that the child remaining in foster care is 

not in the child’s best interests; has had 

his or her parental rights terminated or 

legal guardianship dissolved; or there is 

another extenuating circumstance as 

defined by the title IV–E agency. These 

reasons are not finite; however, we 

expect that the title IV–E agency will 

indicate this response option when 

there is truly an extenuating 

circumstance that is the reason for the 

change in the child’s permanency plan. 

We propose this response option to 

distinguish between when the child’s 

parent(s) or legal guardian(s) is not 

consistently engaging in services to 

reunify with the child (described 

previously in paragraphs (i) and (ii)) 

from instances when the child’s 

parent(s) or legal guardian(s) is unable 

or incapable of caring permanently for 

the child. 

(iv) Reunification appropriate. In 

paragraph (f)(4)(iv), we propose that the 

title IV–E agency indicate if the reason 

for the change in the child’s 

permanency plan is due to a decision 

that the child’s parent(s) or legal 

guardian(s) is able to care permanently 

and safely for the child and the title 

IV–E agency is planning on pursuing 

reunification as a permanency option. 

This includes instances where 

reunification with a non-custodial 

parent is determined appropriate for the 

child. This decision may be made by the 

title IV–E agency or ordered by the 

court. We propose this response option 

to account for instances where the title 

IV–E agency changes the child’s 

permanency plan to reunification 

because a non-custodial parent or legal 

guardian comes forward or instances 

where the change is made because the 

parent(s) or legal guardian(s) make 

significant strides in meeting the 

requirements of the case plan, if he or 

she previously did not do so. 

(v) Child preference. In paragraph 

(f)(4)(v), we propose that the title IV–E 

agency indicate if an older child stated 

his or her preference for the change in 

the permanency plan. We propose this 

response option to account for instances 

where the title IV–E agency considers 

the child’s preference when changing 

the permanency plan, rather than 

inaction or inability on the part of the 

parent(s) or legal guardian(s) to meet the 

case plan requirements. 

(vi) Adoption/guardianship 

appropriate. In paragraph (f)(4)(vi), we 

propose that the title IV–E agency 

indicate if the reason for the change in 

the permanency plan is due to a 

decision that adoption or legal 

guardianship is a more appropriate 

plan. This decision may be made by the 

title IV–E agency or ordered by the 

court. We propose this response option 

because it indicates a specific plan 

change. 

(vii) Current foster care provider 

committed to permanency. In paragraph 

(f)(4)(vii), we propose that the title 

IV–E agency indicate if the reason for 

changing the permanency plan is 

because the current foster care provider 

of the child expressed a commitment to 

care permanently for the child and the 

permanency plan of adoption, legal 

guardianship or a planned permanent 

living arrangement has been ruled out 

by the title IV–E agency. 

(viii) Emancipation likely. In 

paragraph (f)(4)(viii), we propose that 

the title IV–E agency indicate if the 

reason for the change in the permanency 

plan is due to a decision that 

reunification, adoption or guardianship 

are not an appropriate permanency 

plans and have been ruled out. We 

propose this response option in order to 

analyze the frequency with which 

permanency plans are changed for this 

reason. 

Date of periodic review. In paragraph 

(f)(5), we propose to require the title 

IV–E agency to report the month, day 

and year of each of the child’s periodic 

reviews, as required by section 475(5)(B) 

of the Act. The periodic review may be 

completed by either a court or 

administrative review, as permitted in 

section 475(6) of the Act. Our proposal 

is similar to the existing AFCARS 

requirement and the 2008 NPRM 

proposal. In the existing AFCARS, the 

title IV–E agency is required to report 

the child’s most recent periodic review 

conducted by an administrative body or 

a court (see Appendix A to part 1355, 

section II, I.E). In the 2008 NPRM, we 

proposed to require the title IV–E 

agency to report the dates of each 

periodic review or permanency hearing. 

We did not receive comments in 

response to the 2008 NPRM proposal. 

We propose to modify the 2008 NPRM 

proposal to collect separately the dates 

of the child’s periodic reviews in 

paragraph (f)(5) and the dates of the 

child’s permanency hearings in 

paragraph (f)(6) to improve the 

information that we have available for 

the CFSRs or other monitoring efforts. 

Date of permanency hearing. In 

paragraph (f)(6), we propose to require 

the title IV–E agency to report the 

month, day and year of each of the 

child’s permanency hearings held by a 

court or an administrative body 

appointed or approved by the court, as 

required by section 475(5)(C) of the Act. 

This is a new data element. Currently 

the title IV–E agency reports this 

information in the existing AFCARS in 

the same data element as the date for the 

periodic reviews (see Appendix A to 

part 1355, section II, I.E). As indicated 

above, in order to enhance the data 

available to understand compliance 

with Federal requirements for the case 

review system in section 475(5)(C) of 

the Act, we propose to separately collect 

the dates of each periodic review in 

paragraph (f)(5) and each permanency 

hearing in paragraph (f)(6) for a child. 

Juvenile justice. In paragraph (f)(7), 

we propose to require the title IV–E 

agency to indicate if the child was 

found by a juvenile judge or court to be 

a status offender or adjudicated 

delinquent at any time during the report 

period. We propose that the title IV–E 

agency indicate ‘‘not applicable’’ if the 

child was not found to be a status 

offender or adjudicated delinquent at 

any time during the report period. We 

propose that the title IV–E agency 

indicate ‘‘status offender’’ if the child is 

found to be a status offender during the 

report period. A status offense is 

specific to juveniles and may include 

truancy, running away or underage 

alcohol violations. We propose that the 

title IV–E agency indicate ‘‘adjudicated 

delinquent’’ if the child is adjudicated 

to be delinquent during the report 

period. We propose that the title IV–E 

agency indicate ‘‘both status offender 

and delinquent’’ if the child is found to 

be both a status offender and 

adjudicated delinquent at any time 

during the report period. 

This information is not currently 

collected and reported in AFCARS; 

therefore we currently do not have a 

way of identifying children who are 

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involved in the juvenile justice system. 

In the 2008 NPRM we proposed new 

data elements in the removal 

information section and in the 

permanency planning section, in order 

to begin capturing this information. As 

discussed in paragraph (d), in the 2008 

NPRM we proposed to require the title 

IV–E agency to report whether the child 

was involved in the juvenile justice 

system at the time of the child’s 

removal. We also proposed in the 2008 

NPRM to collect information in 

paragraph (f) on the child’s juvenile 

justice involvement, including the 

child’s alleged offenses and 

delinquencies. We believe that it is 

important to understand more about 

children in foster care who are also 

involved in the juvenile justice system 

and we would also like to have the 

ability to analyze the overlap between 

the juvenile justice and child welfare 

systems. We received many supportive 

comments to the 2008 NPRM to require 

reporting information on a child’s 

juvenile justice involvement, but 

commenters expressed concern in 

reporting alleged offenses and 

delinquencies stating that it could 

provide misleading data. We understand 

the concern and have modified our 

proposal to require that the title IV–E 

agency report the child’s involvement 

with the juvenile justice system only if 

a judge or court found the child to be 

a status offender or delinquent. 

In paragraphs (f)(8) through (f)(11), we 

propose for the first time to require the 

title IV–E agency to collect and report in 

AFCARS information on visits between 

the child and the child’s caseworker. 

We propose to require the title IV–E 

agency to collect and report the date, 

location and purpose of each visit by the 

caseworker and whether or not the 

caseworker visited the child alone 

during each visit, for each visit during 

each out-of-home care episode. 

Currently, States and Indian Tribes, 

Tribal organizations or consortia that 

operate title IV–B, subpart 1 programs 

are required under section 422(b)(17) of 

the Act to describe their standards for 

ensuring monthly caseworker visits 

with children in foster care. Section 

422(b)(17) of the Act requires 

caseworker visits to occur monthly and 

the visits to be well-planned and focus 

on issues pertaining to case planning 

and service delivery. In addition, 

section 424(f) of the Act requires States 

to submit information on the number of 

visits made by caseworkers on a 

monthly basis to children in foster care 

and the number of the visits that 

occurred in the residence of the child. 

This information is reported in the 

APSR. 

While States report information on 

caseworker visits, this information is 

not available in a quantitative database 

format nor do States report on the 

purpose or specific location of the visits. 

We believe that it is important to 

capture information on caseworker 

visits in a systematic way so that we 

may improve the quality of data 

analyses and we believe that AFCARS is 

an appropriate vehicle through which to 

collect this information. We propose to 

require the title IV–E agency to report 

the date and location of each visit, so 

that we will be able to measure with 

more accuracy whether the title IV–E 

agency is meeting the monthly 

caseworker visit requirement of sections 

422(b)(17) and 424(f) of the Act (see 

paragraphs (f)(8) and (f)(9) respectively). 

We propose to require the title IV–E 

agency to report the purpose of each 

caseworker visit to distinguish true 

caseworker visits from other visits with 

the child. Further, we propose to require 

the title IV–E agency report separately 

whether the caseworker visited the 

child alone at any time during the visit 

as one avenue to assess the safety of the 

child (see paragraphs (f)(10) and (f)(11) 

respectively). We believe that collecting 

caseworker visit information in 

AFCARS will better inform the data that 

we could use in the CFSRs or other 

Federal monitoring efforts because we 

will be able to collect information at the 

case level, rather than in aggregate per 

the current CFSP/APSR reporting 

method. However, we believe that 

reporting caseworker visit information 

in AFCARS will be less of a burden on 

title IV–E agencies because many title 

IV–E agencies will be able to pull the 

information directly from their SACWIS 

or other information systems. Each data 

element is described below in 

paragraphs (f)(8) through (f)(11). 

Caseworker visit dates. In paragraph 

(f)(8), we propose to require the title 

IV–E agency to indicate the month, day 

and year of each in-person, face-to-face 

visit between the child and the 

caseworker, for each visit. The 

caseworker may be any caseworker to 

whom the title IV–E agency has 

assigned or contracted case management 

or visitation responsibilities (see section 

7.3 of the CWPM, Question and Answer 

#5). This proposal will allow us to 

measure the frequency of caseworker 

visits and whether the visits occur on a 

monthly basis, as required by section 

422(b)(17) of the Act. 

Caseworker visit location. In 

paragraph (f)(9), we propose to require 

the title IV–E agency to indicate one of 

two options regarding the location of 

each in-person, face-to-face visit 

between the caseworker and the child, 

for each visit. We propose that the title 

IV–E agency indicate ‘‘child’s 

residence’’ if the visit occurred at the 

location where the child is currently 

residing, such as the current foster care 

provider’s home, child care institution 

or facility. We propose that the title 

IV–E agency indicate ‘‘other location’’ if 

the visit occurred at any location other 

than where the child currently resides, 

such as the child’s school, a court, a 

child welfare office or in the larger 

community. This proposal will allow us 

to determine how many of the visits 

occur in the residence of the child, per 

section 424(f)(2) of the Act. 

Caseworker visit purpose. In 

paragraph (f)(10), we propose to require 

the title IV–E agency to indicate the 

primary purpose of each in-person, faceto-face visit between the caseworker and 

the child, for each visit, from four 

options. We propose that the title IV–E 

agency indicate ‘‘assessment or case 

planning’’ if the purpose of the visit was 

to assess the child’s situation, whether 

or not through a formal assessment, or 

if the purpose was to conduct other case 

planning activities for the child’s safety, 

permanency or well-being. We propose 

that the title IV–E agency indicate 

‘‘placement of the child’’ if the purpose 

of the visit was to place the child in 

foster care or another setting. We 

propose that the title IV–E agency 

indicate ‘‘transportation’’ if the purpose 

of the visit was to transport the child to 

a visit or appointment. We propose that 

the title IV–E agency indicate ‘‘court 

hearing’’ if the purpose of the visit was 

to attend a court hearing related to the 

child’s case. 

We propose that these response 

options be mutually exclusive. If the 

caseworker visits with the child are for 

more than one purpose, the title IV–E 

agency must indicate the primary 

purpose of the visit, as determined by 

the title IV–E agency. Title IV–E 

agencies are not required currently to 

report for the CFSP/APSR on the 

purpose of the visits or the activities 

that are carried out during the visits. We 

propose to require the title IV–E agency 

to report in paragraph (f)(10) the 

primary purpose of the visit between the 

caseworker and the child to measure 

whether the visits are focused on issues 

pertinent to case planning and service 

delivery, per section 422(b)(17) of the 

Act. 

Caseworker visit alone with child. In 

paragraph (f)(11), we propose to require 

the title IV–E agency to indicate if the 

caseworker visited the child alone at 

any time during each in-person, face-toface visit with the child. The caseworker 

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does not have to visit alone with the 

child for the entire visit. If the 

caseworker visited alone with the child 

at any point during the visit, we propose 

that the title IV–E agency indicate 

‘‘yes.’’ If the caseworker did not visit 

with the child alone at all, we propose 

the title IV–E agency indicate ‘‘no.’’ We 

propose to require the title IV–E agency 

to report this information to provide a 

fuller picture of the visits and this data 

will help support the information that 

can be used for the CFSR. 

Transition plan. In paragraph (f)(12), 

we propose for the first time to require 

the title IV–E agency to indicate 

whether or not the child has a transition 

plan that meets the requirements of 

section 475(5)(H) of the Act, by 

indicating ‘‘yes,’’ ‘‘no’’ or ‘‘not 

applicable’’ as appropriate. The title 

IV–E agency must indicate ‘‘not 

applicable’’ for a child who does not 

have a transition plan because he or she 

has not yet reached the 90-day 

timeframe for transition plan 

development prescribed in section 

475(5)(H) of the Act. If the title IV–E 

agency indicates ‘‘yes,’’ the title IV–E 

agency must indicate whether each 

provision in paragraphs (f)(12)(i) 

through (f)(12)(vi) is included in the 

transition plan, by indicating that the 

provision either ‘‘applies’’ or ‘‘does not 

apply.’’ The information in paragraphs 

(f)(12)(i) through (f)(12)(vi) is based on 

the information that statutorily is 

required to be in the child’s transition 

plan in section 475(5)(H) of the Act. 

Section 475(5)(H) of the Act requires 

that the transition plan be personalized 

at the direction of the child and be 

developed during the 90-day period 

prior to the date on which the child 

attains age 18, or if applicable, during 

the 90-day period before the later age for 

a child in extended foster care elected 

by the title IV–E agency per section 

475(8)(B) of the Act. We propose that 

the title IV–E agency indicate in 

paragraphs (f)(12)(i) through (f)(12)(vi) 

whether each option of ‘‘Housing,’’ 

‘‘Health insurance,’’ ‘‘Health care 

treatment decisions,’’ ‘‘Education,’’ 

‘‘Mentoring and continuing support’’ 

and ‘‘Work force support and 

employment services’’ is included in the 

child’s transition plan, as required in 

section 475(5)(H) of the Act. We propose 

this data element so that we can discern 

the planning that takes place for older 

children who are in foster care and the 

impact transition planning has on a 

child’s stay in foster care. We welcome 

comments on this proposal. 

Date of transition plan. In paragraph 

(f)(13), we propose for the first time to 

require the title IV–E agency to indicate 

the date of the child’s transition plan, if 

the title IV–E agency indicated that the 

child had a transition plan that meets 

the requirements of section 475(5)(H) of 

the Act in paragraph (f)(12). We seek 

this information so that we will be able 

to measure whether the title IV–E 

agency is meeting the requirement in 

section 475(5)(H) of the Act to develop 

a transition plan for a child during the 

90-day period prior to the date on which 

the child attains age 18. We welcome 

comments on this proposal. 

Section 1355.43(g) General Exit 

Information 

In paragraph (g), we propose to 

require the title IV–E agency to report 

information that describes when and 

why a child exits the out-of-home care 

reporting population. The title IV–E 

agency is currently required to report 

the child’s most recent date of discharge 

and discharge reason in the existing 

AFCARS (see Appendix A to part 1355, 

section II, X). We retain the current 

AFCARS requirements, with some 

modifications. First, we propose to 

modify the language from the existing 

AFCARS regulation to refer to the 

child’s ‘‘exit’’ from out-of-home care, 

instead of referring to the child’s 

‘‘discharge.’’ We believe that ‘‘exit’’ is a 

more accurate description when 

referring to a child’s out-of-home care 

episode and understand that this term is 

consistent with current practice in the 

field. We used the term ‘‘exit’’ in the 

2008 NPRM and 2010 FR Notice and did 

not receive comments on this. Second, 

as in the 2008 NPRM, we propose to 

require the title IV–E agency to report 

longitudinal information for all of the 

data elements in paragraph (g). Our 

current proposal in paragraph (g) is 

similar to our proposal in the 2008 

NPRM; however, we made some 

modifications based on comments to the 

2008 NPRM and 2010 FR Notice. We 

explain the changes in greater detail 

below. 

Date of exit. In paragraph (g)(1), we 

propose to require the title IV–E agency 

to report the month, day and year for 

each of the child’s exits from out-ofhome care, if applicable. An exit occurs 

when the title IV–E agency’s placement 

and care responsibility for the child 

ends. If the child has not exited the outof-home care reporting population, the 

title IV–E agency must leave this data 

element blank. If this data element is 

applicable, the data elements in 

paragraphs (g)(2) and (g)(3) of this 

section must have a response. 

This proposal differs from the existing 

AFCARS regulation in which we require 

that the title IV–E agency report only the 

child’s most recent ‘‘date of discharge 

from foster care’’ (see Appendix A to 

part 1355, section II, X.A). We are 

continuing our 2008 NPRM proposal to 

require that the title IV–E agency collect 

and report each of the child’s exit dates, 

if the child has multiple out-of-home 

care episodes. 

An important aspect of our proposal 

that is different from existing AFCARS 

regulations and 2008 NPRM is the point 

at which we consider the child to have 

exited the out-of-home care reporting 

population. Existing AFCARS regulation 

and policy guidance is that if there is no 

specified period of time related to how 

long the child can remain home under 

the agency’s responsibility for 

placement and care, then the agency 

reports the child as discharged if the 

length of stay is six months. In the 2008 

NPRM, we proposed that an exit occurs 

when the title IV–E agency’s placement 

and care responsibility for the child 

ends, the title IV–E agency has returned 

the child home, or the child reaches the 

age of majority and is not receiving title 

IV–E foster care maintenance payments. 

Commenters to the 2008 NPRM believed 

that the child should not exit the outof-home care reporting population while 

the title IV–E agency has placement and 

care responsibility of the child. We were 

convinced by the overwhelming 

comments to simplify the definition of 

exit. We also explained in section 

1355.41(a) that we are not continuing 

our proposal from the 2008 NPRM to 

report instances where the child is 

placed at home while still under the 

title IV–E agency’s placement and care 

responsibility as an exit because 

commenters to the 2008 NPRM were 

overwhelmingly opposed to this 

proposal. 

Exit transaction date. In paragraph 

(g)(2), we propose to continue to require 

the title IV–E agency to report the 

transaction date for each of the child’s 

exit dates reported in paragraph (g)(1). 

The transaction date is a nonmodifiable, computer-generated date 

which accurately indicates the month, 

day and year each response to paragraph 

(g)(1) was entered into the information 

system. We propose that the transaction 

date must be no later than 30 days after 

the date of each exit. 

The existing AFCARS requirement is 

that the transaction date must be no 

later than 60 days after the child’s exit 

(see Appendix A to part 1355, section II, 

X.A). In the 2008 NPRM, we proposed 

that the transaction date must be within 

15 days of the child’s exit. As we stated 

in the 2008 NPRM, we have found that 

data is higher in quality and accuracy 

when the transaction date is close in 

time to the date that it describes. 

Commenters to the 2008 NPRM 

expressed the same concerns with the 

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15-day timeframe here as they expressed 

in the data element ‘‘removal 

transaction date’’ in paragraph (d)(2) of 

this section. Consistent with paragraph 

(d)(2), we believe that a 30-day 

timeframe is acceptable and represents 

a balanced approach that meets our 

need to ensure that exit information is 

timely and also addresses concerns from 

the commenters. 

Exit reason. In paragraph (g)(3), we 

propose to require the title IV–E agency 

to collect and report information on the 

reason for the child’s exit from out-ofhome care. The title IV–E agency must 

indicate ‘‘not applicable’’ if the child 

has not exited out-of-home care. An exit 

occurs when the title IV–E agency’s 

placement and care responsibility for 

the child ends. The response options we 

propose here are similar to the response 

options in the existing AFCARS and the 

response options that we proposed in 

the 2008 NPRM; however, we propose 

some modifications, which we explain 

in detail with each response option. We 

propose that the response options for 

paragraph (g)(3) be mutually exclusive, 

meaning the title IV–E agency must 

indicate only one reason for the child’s 

exit from out-of-home care. For 

example, if the child exits out-of-home 

care due to adoption by a relative, the 

title IV–E agency must indicate 

‘‘adoption’’ as the exit reason. 

We propose that the title IV–E agency 

indicate the exit reason of ‘‘reunify with 

parent(s) or legal guardian(s)’’ if the 

child was returned to his or her 

parent(s) or legal guardian(s) and the 

title IV–E agency’s placement and care 

responsibility ends. This includes 

reunifying with a parent(s) or legal 

guardian(s) even if the child was not 

removed from that parent(s) or legal 

guardian(s). The existing AFCARS 

requirement defines this exit reason 

differently to include when the child 

was returned to the child’s parent or 

principal caretaker’s home (see 

Appendix A to part 1355, section II, 

X.B). We propose to revise the 

reunification exit reason to remove the 

term caretaker, as we believe it is too 

vague. 

We propose that the title IV–E agency 

indicate ‘‘live with other relatives’’ if 

the child exited out-of-home care to live 

permanently with a relative, related by 

a biological, legal or marital connection, 

other than the child’s parent(s) or legal 

guardian(s) and the title IV–E agency’s 

placement and care responsibility ends. 

Our proposal is unchanged from the 

2008 NPRM and is a slight modification 

of the current AFCARS exit reason. The 

current AFCARS exit reason of ‘‘living 

with other relatives’’ refers only to 

relatives other than the one from whose 

home the child was removed (see 

Appendix A to part 1355, section II, 

X.B). We are modifying this exit reason 

to remove the instruction from the 

existing AFCARS definition that such 

relatives are ‘‘other than the ones from 

whom the child was removed’’ because 

it is not necessary with the changes 

made to the exit reason ‘‘reunify with 

parent(s) or legal guardian(s)’’ that now 

includes reunification with the parent(s) 

or legal guardian(s) from whom the 

child was not removed. We did not 

receive comments on this in response to 

the 2008 NPRM. 

We propose that the title IV–E agency 

indicate ‘‘adoption’’ if the child was 

legally adopted. Our proposal is 

unchanged from the existing AFCARS 

response option and the 2008 NPRM. 

We did not receive comments on this in 

response to the 2008 NPRM. 

We propose that the title IV–E agency 

indicate ‘‘emancipation’’ if the child 

exits out-of-home care due to age. Our 

proposal differs from the existing 

AFCARS response option and the 2008 

NPRM where this exit reason captures 

when a child leaves the title IV–E 

agency’s placement and care 

responsibility because the child ages out 

of foster care, gets married or is 

confined to jail or prison (see Appendix 

A to part 1355, section II, X.B). 

Commenters in response to the 2008 

NPRM suggested that we should define 

the exit reason ‘‘emancipation’’ to refer 

to a child reaching the ‘‘age of majority’’ 

only. We agree and have created a new 

response option of ‘‘other’’ to include 

children who exit out-of-home care for 

reasons not described in previous 

response options, including exit due to 

marriage, or confinement to jail or 

prison. 

We propose that the title IV–E agency 

indicate ‘‘guardianship’’ if the child 

exited out-of-home care when a relative 

or other unrelated individual obtained 

legal guardianship of the child. This 

does not include instances where the 

child is returned to the legal guardian(s) 

from whom the child was removed 

because that exit reason would be 

‘‘reunify with parent(s) or legal 

guardian(s).’’ Our proposal is similar to 

the existing AFCARS exit reason but 

differs from the 2008 NPRM. In the 

existing AFCARS, the guardianship exit 

reason is when permanent custody of 

the child was awarded to an individual 

(see Appendix A to part 1355, section II, 

X.B). In the 2008 NPRM, we proposed 

separate exit reasons of relative and 

non-relative legal guardianship. 

Commenters to the 2008 NPRM 

requested that we combine the ‘‘relative 

guardianship’’ and ‘‘non-relative 

guardianship’’ response options because 

they stated that it would be burdensome 

to reprogram the title IV–E agency’s 

information system to make this 

distinction and did not see the value of 

making such a distinction in AFCARS. 

We understand the concerns and we are 

now proposing one exit reason to 

include both relative and non-relative 

legal guardianships. 

We propose that the title IV–E agency 

indicate ‘‘runaway or whereabouts 

unknown’’ if the child ran away or the 

child’s whereabouts are unknown at the 

time that the title IV–E agency’s 

placement and care responsibility of the 

child ends. This exit reason in the 

existing AFCARS and the 2008 NPRM 

focus on the child running away as the 

reason for the child’s exit (see Appendix 

A to part 1355, section II, X.B). 

Commenters to the 2008 NPRM 

suggested adding an exit reason of 

‘‘other’’ in place of the proposed 

response option of ‘‘runaway.’’ We 

considered the comment, but concluded 

that having a response option of ‘‘other’’ 

would not yield better information for 

our analyses. We instead propose that 

the title IV–E agency select the exit 

reason ‘‘runaway or whereabouts 

unknown’’ when the child ran away or 

the child’s whereabouts are unknown 

and the title IV–E agency’s placement 

and care responsibility ends. Including 

children whose whereabouts are 

unknown in this exit reason is necessary 

since the title IV–E agency must report 

in AFCARS information on children 

who are in their placement and care 

responsibility, even if the child’s 

whereabouts are unknown. 

We propose that the title IV–E agency 

indicate ‘‘death of child’’ if the child 

died while in out-of-home care. Our 

proposal is unchanged from the existing 

AFCARS requirement and the 2008 

NPRM. We did not receive comments on 

this exit reason. 

We propose that the title IV–E agency 

indicate ‘‘transfer to another agency’’ if 

the exit reason was because placement 

and care responsibility of the child was 

transferred to another agency, either 

within or outside of the reporting State 

or Tribal service area, and the title 

IV–E agency’s placement and care 

responsibility of the child ends. This 

does not include public agencies, Indian 

Tribes, Tribal organizations or consortia 

that have an agreement with a title 

IV–E agency under section 472(a)(2)(B) 

of the Act. Title IV–E agencies are to 

report this exit reason when the title IV– 

E agency transfers its placement and 

care responsibility to an agency outside 

of the title IV–E agency. These transfers 

often are made to a juvenile justice or 

disability agency, if these agencies are 

external to the title IV–E agency. 

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However, if such agencies reside within 

a single agency, such internal transfers 

of responsibility must not be included 

in this exit reason. If the title IV–E 

agency indicates that the child exited 

out-of-home care due to the child being 

transferred to another agency’s 

placement and care responsibility, the 

title IV–E agency must complete the 

data element in paragraph (g)(4) of this 

section. Our proposal is essentially the 

same concept as the existing AFCARS 

definition of ‘‘transfer to another 

agency’’ (see Appendix A to part 1355, 

section II, X.B) and the 2008 NPRM 

proposal. We proposed in the 2008 

NPRM and now to use the term 

‘‘placement and care responsibility’’ 

rather than simply ‘‘care’’ as is used in 

the existing AFCARS so that it is clear 

that the title IV–E agency must report an 

exit when the actual ‘‘placement and 

care responsibility’’ for the child has 

changed. We did not receive comments 

on this response option in response to 

the 2008 NPRM; however, we made 

minor wording revisions in our 

proposed definition to be clear that it is 

not just another agency outside of the 

State, but also the Tribal service area, to 

accommodate Tribal title IV–E agencies 

(see section 479B of the Act). 

We propose that the title IV–E agency 

indicate ‘‘other’’ if the child exited due 

to a reason not described in the above 

response options, such as marriage or 

confinement to jail or prison. This is a 

new proposal and is not required in the 

existing AFCARS regulation. We 

welcome comments on this proposal. 

Transfer to another agency. In 

paragraph (g)(4), we propose to require 

the title IV–E agency to indicate the type 

of agency that received placement and 

care responsibility of the child, if the 

title IV–E agency indicated the exit 

reason ‘‘transfer to another agency’’ in 

paragraph (g)(3). This was a new 

proposed data element in the 2008 

NPRM as title IV–E agencies are not 

required currently to report this 

information in the existing AFCARS. 

We are continuing our proposal 

because, as we stated in the 2008 

NPRM, this will enhance our ability to 

know more about what happens to 

children who leave the title IV–E 

agency’s placement and care 

responsibility. Further, this information 

can be used to meet the requirements of 

CAPTA for annual State data on the 

number of children transferred from the 

child welfare system into the custody of 

the juvenile justice system (section 

106(d)(14) of CAPTA). The response 

options we propose here are similar to 

the response options that we proposed 

in the 2008 NPRM but are modified 

slightly to provide a comprehensive list 

of potential agencies that may receive 

placement and care responsibility of the 

child. Each proposed response option is 

explained below. 

We propose that the title IV–E agency 

indicate ‘‘State title IV–E agency’’ if the 

reporting title IV–E agency transferred 

placement and care responsibility of the 

child to a State title IV–E agency. This 

is a new proposed response option that 

was not proposed in the 2008 NPRM. 

We propose it now to clearly know 

when a child is transferred to a State 

title IV–E agency, as opposed to a 

different State agency. 

We propose that the title IV–E agency 

indicate ‘‘Tribal title IV–E agency’’ if the 

reporting title IV–E agency transferred 

placement and care responsibility of the 

child to a Tribal title IV–E agency. This 

is a new proposed response option that 

was not proposed in the 2008 NPRM. 

We propose it now to clearly know 

when a child is transferred to a Tribal 

title IV–E agency and to distinguish 

between transferring placement and care 

responsibility for the child to a Tribal 

title IV–E agency or an Indian Tribe, 

Tribal agency, Tribal organization or 

consortium that is not operating a title 

IV–E program directly per section 479B 

of the Act. 

We propose that the title IV–E agency 

indicate ‘‘Indian Tribe or Tribal agency 

(non-IV–E)’’ if the reporting title IV–E 

agency transferred placement and care 

responsibility of the child to an Indian 

Tribe, Tribal agency, Tribal organization 

or consortium that is not operating a 

title IV–E program directly, per section 

479B of the Act. We proposed this 

response option in the 2008 NPRM; 

however, we modified the title of the 

response option from ‘‘Tribe or Tribal 

agency’’ to ‘‘Indian Tribe or Tribal 

agency’’ and clarified the definition to 

distinguish between transferring 

placement and care responsibility for 

the child to a Tribal title IV–E agency or 

an Indian Tribe, Tribal agency, Tribal 

organization or consortium that is not 

operating a title IV–E program directly, 

per section 479B of the Act. 

We propose that the title IV–E agency 

indicate ‘‘juvenile justice agency’’ if the 

reporting title IV–E agency transferred 

placement and care responsibility of the 

child to a juvenile justice agency. We 

proposed this response option in the 

2008 NPRM and we did not make 

changes from the 2008 NPRM proposal. 

We propose that the title IV–E agency 

indicate ‘‘mental health agency’’ if the 

reporting title IV–E agency transferred 

placement and care responsibility of the 

child to a mental health agency. We 

proposed this response option in the 

2008 NPRM and we did not make 

changes from the 2008 NPRM proposal. 

We propose that the title IV–E agency 

indicate ‘‘other public agency’’ if the 

reporting title IV–E agency transferred 

placement and care responsibility of the 

child to another public agency other 

than a State or Tribal title IV–E agency, 

juvenile justice or mental health agency. 

We proposed a similar response option 

in the 2008 NPRM that was titled ‘‘other 

State agency.’’ We modified the title and 

definition from the 2008 NPRM 

proposal to provide a comprehensive 

list of agencies to which the reporting 

title IV–E agency may transfer 

placement and care responsibility for 

the child. 

We propose that the title IV–E agency 

indicate ‘‘private agency’’ if the 

reporting title IV–E agency transferred 

placement and care responsibility of the 

child to a private agency. We proposed 

this response option in the 2008 NPRM 

and we did not make changes from the 

2008 NPRM proposal. 

Finally, we would like to note that we 

are not continuing to propose the data 

elements ‘‘death due to child abuse/

neglect in care’’ and ‘‘circumstances at 

exit from out-of-home care’’ that were 

proposed in the 2008 NPRM. Several 

commenters to the 2008 NPRM 

expressed that the previously proposed 

data element ‘‘death due to child abuse/ 

neglect in care’’ was redundant with the 

information collected in NCANDS and 

that collecting this information in 

AFCARS could lead to misinformation 

and under or over-reporting of deaths of 

children in care due to abuse or neglect. 

Commenters to the 2008 NPRM also 

pointed out that a final decision 

regarding a child’s fatality could take 

extensive time to resolve which could 

cause issues for timely data 

submissions. Additionally, commenters 

to the 2008 NPRM were overwhelmingly 

opposed to our proposal to collect 

information on child and family 

circumstances at any point in time other 

than at removal, consistent with the 

comments made regarding paragraph (f) 

of this section. Commenters in response 

to the 2008 NPRM expressed strong 

opposition to reporting child and family 

circumstances at exit citing worker 

burden to enter the data and questioned 

the value of collecting such information 

after the time of removal. Commenters 

to the 2008 NPRM also felt that the 

proposed list of circumstances would 

not capture the progress that is made in 

a case and would not properly illustrate 

the issues surrounding a family. Thus, 

based on the comments in response to 

the 2008 NPRM, we decided not to 

propose these data elements. 

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Section 1355.43(h) Exit to Adoption and 

Guardianship Information 

In paragraph (h), we propose that the 

title IV–E agency collect and report 

information on the child’s exit from outof-home care to a finalized adoption or 

legal guardianship. This information 

must be reported if the title IV–E agency 

reported the child’s exit reason in 

paragraph (g)(3) as ‘‘adoption’’ or 

‘‘guardianship.’’ Otherwise the title 

IV–E agency must leave the data 

elements described in paragraph (h) of 

this section blank. 

We propose to require the title IV–E 

agency to collect and report data 

elements in paragraph (h) of this section 

which are similar to those currently 

collected in the AFCARS adoption data 

file, and proposed in the 2008 NPRM. 

Title IV–E agencies are required to 

collect and report demographic 

characteristics of children in foster care 

and adopted children and their 

biological and adoptive or foster parents 

(section 479(c)(3)(A) of the Act). We 

proposed in the 2008 NPRM to collect 

information on finalized adoptions and 

adoptive parents in the out-of-home care 

data file, instead of in a separate 

adoption data file as is the structure of 

the current AFCARS. We continue our 

proposal from the 2008 NPRM to collect 

information on finalized adoptions and 

adoptive parents in the out-of-home care 

data file and we are modifying it to 

require the title IV–E agency to collect 

and report information in paragraph (h) 

on legal guardianships and legal 

guardians. Section 473(d) of the Act 

authorizes a title IV–E guardianship 

assistance program that provides 

Federal assistance and subsidies to 

eligible children who exit foster care to 

a relative legal guardianship. Title 

IV–E agencies report in the existing 

AFCARS whether children discharge 

from foster care to guardianship, but no 

other information is reported on the 

legal guardians. ACF is very interested 

in collecting data in AFCARS on legal 

guardianships so that we may analyze 

the use of legal guardianship as a 

permanency option for children in 

foster care. We also received many 

supportive comments in response to the 

2010 FR Notice to collecting the same 

information for children in legal 

guardianships and adoptions stating 

that collecting more information on 

guardianships would provide an 

important look at the children who exit 

out-of-home care to legal guardianship. 

Marital status of the adoptive 

parent(s) or guardian(s). In paragraph 

(h)(1), we propose to require the title 

IV–E agency to report the marital status 

of the adoptive parent(s) or legal 

guardian(s). We propose to require the 

title IV–E agency to indicate ‘‘married 

couple’’ if the adoptive parents or legal 

guardians are considered to be united in 

matrimony according to applicable 

laws, including common law marriage 

where provided by applicable laws. We 

propose to require the title IV–E agency 

to indicate ‘‘unmarried couple’’ if the 

adoptive parents or legal guardians are 

living together as a couple, but are not 

united in matrimony according to 

applicable laws. The response options 

‘‘married couple’’ and ‘‘unmarried 

couple’’ include instances where only 

one person in the couple is adopting or 

obtaining legal guardianship of the 

child. We propose to require the title 

IV–E agency to indicate ‘‘single female’’ 

if the adoptive parent or legal guardian 

is a female who is not married 

(including common law marriage) and is 

not living with another individual as 

part of a couple. We propose to require 

the title IV–E agency to indicate ‘‘single 

male’’ if the adoptive parent or legal 

guardian is a male who is not married 

(including common law marriage) and is 

not living with another individual as 

part of a couple. If the title IV–E agency 

indicates the response option ‘‘married 

couple’’ or ‘‘unmarried couple,’’ the title 

IV–E agency must complete the data 

elements for the second adoptive parent 

or second legal guardian in paragraphs 

(h)(6) through (h)(8) of this section; 

otherwise the title IV–E agency must 

leave these data elements blank. 

Consistent with the existing AFCARS 

requirement and the 2008 NPRM 

proposal, we are not proposing a 

separate category for an adoptive parent 

or legal guardian who is a widow or 

widower. Such individuals must 

continue to be reported according to his 

or her current marital/living situation. 

Our proposed response options are 

similar to those in the existing AFCARS 

regulation (see Appendix B to part 1355, 

section II, VI.A) and the 2008 NPRM. 

We modified our proposal to include 

collecting the marital status of the 

child’s legal guardian(s) and clarified 

the directions in this data element in 

response to commenters to the 2008 

NPRM who requested direction on how 

to indicate instances where one 

individual of a married or unmarried 

couple adopts or obtains legal 

guardianship of a child. 

Child’s relationship to the adoptive 

parent(s) or guardians(s). In paragraph 

(h)(2), we propose to require the title 

IV–E agency to report the relationship 

between the child and his or her 

adoptive parent(s) or legal guardian(s). 

We propose that the title IV–E agency 

indicate whether each relationship 

between the child and his or her 

adoptive parent(s) or legal guardian(s) 

‘‘applies’’ or ‘‘does not apply’’ in 

paragraphs (h)(2)(i) through (h)(2)(viii) 

paternal or maternal grandparents, other 

paternal or maternal relatives, sibling(s), 

kin, non-relative(s) and foster parent(s). 

In the existing AFCARS, the types of 

relationships between the child and his 

or her adoptive parent(s) are limited to 

stepparent, other relative of child by 

birth or marriage, foster parent and nonrelative (see Appendix B to part 1355, 

section II, VI.D). In the 2008 NPRM, we 

proposed an expanded list of 

relationships almost identical to the 

relationships proposed now, in order to 

further examine the extent to which 

relatives are being utilized as resources, 

but we did not include kin relationships 

as a response option. We received many 

supportive comments in response to the 

2008 NPRM on the proposed expanded 

list; however, we also received 

comments for this data element and 

throughout the 2008 NPRM requesting 

the inclusion of kin relationships into 

the data elements. Based on the 

comments to the 2008 NPRM, we 

propose to include kin relationships in 

this data element, consistent with the 

addition of kin throughout our current 

proposal. We also modified the 

proposed response options to require 

the title IV–E agency to report the 

relationship between the child and his 

or her legal guardian(s). No other 

modifications were made to paragraph 

(h)(2) beyond the modifications already 

explained. 

Date of birth of adoptive parent(s) or 

guardian(s). In paragraphs (h)(3) and 

(h)(6), we propose to require the title 

IV–E agency to report the month, day 

and year of birth of each adoptive parent 

or legal guardian. If the title IV–E 

agency indicated ‘‘married couple’’ or 

‘‘unmarried couple’’ in paragraph (h)(1), 

the title IV–E agency must indicate the 

date of birth for both members of the 

couple in paragraphs (h)(3) and (h)(6), 

even if only one of those individuals is 

adopting or obtaining legal guardianship 

of the child. If the title IV–E agency has 

so indicated in (h)(1), the title IV–E 

agency must report the date of birth of 

the first adoptive parent or legal 

guardian in paragraph (h)(3) and the 

date of birth for the second adoptive 

parent, legal guardian, or other member 

of the couple in paragraph (h)(6). If the 

title IV–E agency indicated ‘‘single 

female’’ or ‘‘single male’’ in paragraph 

(h)(1), the title IV–E agency must 

indicate that person’s date of birth in 

paragraph (h)(3) and leave paragraph 

(h)(6) blank. 

The title IV–E agency is required to 

report in the existing AFCARS only the 

year of birth for the adoptive parent(s) 

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(see Appendix B to part 1355, section II, 

VI.B). In the 2008 NPRM we proposed 

to require the title IV–E agency to report 

the month, day and year for each 

adoptive parent’s birth because we 

believe that title IV–E agencies already 

collect a full date of birth. We did not 

receive comments in response to the 

2008 NPRM on this data element; 

however, we modified our proposal 

from the 2008 NPRM to include 

collecting a full date of birth for the 

child’s legal guardian(s), consistent with 

our proposed changes throughout 

paragraph (h). 

Race of adoptive parent(s) or 

guardian(s). In paragraphs (h)(4)(i) 

through (vii) and (h)(7)(i) through (vii), 

we propose to require the title IV–E 

agency to report information on the race 

of each adoptive parent or legal 

guardian. If the title IV–E agency 

indicated ‘‘married couple’’ or 

‘‘unmarried couple’’ in paragraph (h)(1), 

the title IV–E agency must indicate the 

race for both members of the couple in 

paragraphs (h)(4) and (h)(7), even if only 

one of those individuals is adopting or 

obtaining legal guardianship of the 

child. If the title IV–E agency has so 

indicated in (h)(1), the title IV–E agency 

must report the race for the first 

adoptive parent or legal guardian in 

paragraph (h)(4) and the race for the 

second adoptive parent, legal guardian, 

or other member of the couple in 

paragraph (h)(7). If the title IV–E agency 

indicated ‘‘single female’’ or ‘‘single 

male’’ in paragraph (h)(1), the title 

IV–E agency must indicate that person’s 

race in paragraph (h)(4) and leave 

paragraph (h)(7) blank. 

The racial categories are consistent 

with the OMB standards for collecting 

information on race. Commenters to the 

2008 NPRM suggested changes for the 

racial categories; however, we do not 

propose any changes here. The response 

options proposed in paragraphs (h)(4)(i) 

through (h)(4)(vii) and (h)(7)(i) through 

(h)(7)(vii) are the same as those in the 

existing AFCARS regulations (see 

Appendix B to part 1355, section II, 

VI.C), the 2008 NPRM, and other 

sections of this proposed rule where 

demographic information on race is 

collected; however, we modified our 

proposal from the 2008 NPRM to 

include collecting information on the 

legal guardian’s race, consistent with 

our proposed changes throughout 

paragraph (h). 

Consistent with the existing AFCARS 

requirement and the 2008 NPRM, the 

title IV–E agency must allow the 

adoptive parent or legal guardian to 

determine his or her own race. If the 

adoptive parent, legal guardian or other 

member of the couple does not know his 

or her race, the title IV–E agency must 

indicate that this information is not 

known (see paragraphs (h)(4)(vi) and 

(h)(7)(vi)). It is acceptable for the 

adoptive parent, legal guardian or other 

member of the couple to identify with 

more than one race, but not know one 

of those races. In such cases, the title 

IV–E agency must indicate the racial 

classifications that apply and also 

indicate that one of the races is not 

known (see paragraphs (h)(4)(vi) and 

(h)(7)(vi)). If the adoptive parent, legal 

guardian or other member of the couple 

declines to identify his or her race, the 

title IV–E agency must indicate that this 

information was declined (see 

paragraphs (h)(4)(vii) and (h)(7)(vii)). 

Hispanic or Latino ethnicity of 

adoptive parent(s) or guardian(s). In 

paragraphs (h)(5) and (h)(8), we propose 

to require the title IV–E agency to report 

the Hispanic or Latino ethnicity of each 

adoptive parent or legal guardian by 

indicating ‘‘yes’’ or ‘‘no.’’ If the title 

IV–E agency indicated ‘‘married couple’’ 

or ‘‘unmarried couple’’ in paragraph 

(h)(1), the title IV–E agency must 

indicate information for both members 

of the couple in paragraph (h)(5) and 

(h)(8), even if only one of those 

individuals is adopting or obtaining 

legal guardianship of the child. If the 

title IV–E agency has so indicated in 

(h)(1), the title IV–E agency must report 

the Hispanic or Latino ethnicity for the 

first adoptive parent or legal guardian in 

paragraph (h)(5) and in paragraph (h)(8) 

for the second adoptive parent, legal 

guardian, or other member of the 

couple. If the title IV–E agency 

indicated ‘‘single female’’ or ‘‘single 

male’’ in paragraph (h)(1), the title 

IV–E agency must complete paragraph 

(h)(5) for that person and leave 

paragraph (h)(8) blank. 

Similar to the data elements on race 

in paragraphs (h)(4) and (h)(7), the 

definitions in paragraph (h)(5) and (h)(8) 

are also consistent with the OMB race 

and ethnicity standards, as described in 

section 1355.43(b) of this proposed rule. 

Consistent with the existing AFCARS 

requirement and the 2008 NPRM, the 

title IV–E agency must allow the 

adoptive parent, legal guardian or other 

member of the couple to determine his 

or her own ethnicity. If the adoptive 

parent, legal guardian or other member 

of the couple does not know his or her 

ethnicity, the title IV–E agency must 

indicate the response option 

‘‘unknown.’’ If the adoptive parent, legal 

guardian or other member of the couple 

refuses to identify his or her ethnicity, 

the title IV–E agency must indicate that 

the information was declined. 

Our proposal is the same as the 

existing AFCARS requirement (see 

Appendix B to part 1355, section II, 

VI.C), the 2008 NPRM and other 

sections of this proposed rule where 

demographic information on ethnicity is 

collected. We did not receive comments 

from the 2008 NPRM on this data 

element; however, we propose to 

require that the title IV–E agency collect 

this information for the child’s legal 

guardian(s), consistent with our 

proposed changes throughout paragraph 

(h). 

Inter/Intrajurisdictional adoption or 

guardianship. In paragraph (h)(9), we 

propose to require the title IV–E agency 

to report whether the child was placed 

within the State or Tribal service area, 

outside of the State or Tribal service 

area or into another country for the 

adoption or legal guardianship. We 

propose to require the title IV–E agency 

to indicate ‘‘interjurisdictional adoption 

or guardianship’’ if the reporting title 

IV–E agency placed the child for 

adoption or legal guardianship outside 

of the State or Tribal service area. We 

propose to require the title IV–E agency 

to indicate ‘‘intercountry adoption or 

guardianship’’ if the reporting title 

IV–E agency placed the child for 

adoption or legal guardianship outside 

of the United States of America. We 

propose to require the title IV–E agency 

to indicate ‘‘intrajurisdictional adoption 

or guardianship’’ if the reporting title 

IV–E agency placed the child within the 

same State or Tribal service area. If the 

title IV–E agency indicates either 

‘‘interjurisdictional adoption or 

guardianship’’ or ‘‘intercountry 

adoption or guardianship’’ for the 

child’s adoption or legal guardianship, 

the title IV–E agency must complete the 

data element in paragraph (h)(10); 

otherwise the title IV–E agency must 

leave paragraph (h)(10) blank. 

In the existing AFCARS, the title 

IV–E agency is required to report the 

location of the agency or individual that 

had custody or responsibility of the 

child at the time of initiation of 

adoption proceedings from a list of three 

options: Within State; another State; or 

another country (see Appendix B to 

section II, VII.A). We proposed in the 

2008 NPRM to change the name of the 

data element and the response options 

to: Interstate adoption; intercountry 

adoption; or intrastate adoption. We did 

not receive comments from the 2008 

NPRM on this data element; however, 

we propose modifications to the 2008 

NPRM proposal to collect information 

on inter/intrajurisdictional legal 

guardianships, consistent with other 

proposed changes to collect information 

on legal guardianships throughout 

paragraph (h). We also modified the 

definitions of the response options from 

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the 2008 NPRM proposal to include 

Tribal title IV–E agencies. We believe 

that our proposal may allow us to 

identify trends and/or challenges in 

interjurisdictional adoptions/

guardianships. 

Interjurisdictional adoption or 

guardianship jurisdiction. In paragraph 

(h)(10), we propose to require the title 

IV–E agency to indicate the name of the 

State, Tribal service area, Indian 

reservation or country where the 

reporting title IV–E agency placed the 

child for adoption or legal guardianship. 

This data element must be completed 

only if the title IV–E agency indicated 

‘‘interjurisdictional adoption or 

guardianship’’ or ‘‘intercountry 

adoption or guardianship’’ in paragraph 

(h)(9); otherwise the title IV–E agency 

must leave it blank. 

Title IV–E agencies are not required to 

report location information on an 

interjurisdictional or intercountry 

adoption or guardianship in the existing 

AFCARS. In the 2008 NPRM, we 

proposed requiring for the first time that 

the title IV–E agency report the location 

of the child’s adoption using the State’s 

numeric two-digit FIPS code. 

Commenters to the 2008 NPRM 

expressed concern with keeping up with 

ever-changing FIPS codes. We are 

modifying our 2008 NPRM proposal to 

remove FIPS codes, which are no longer 

being maintained and updated, and do 

not account for the breadth of 

jurisdictions that could be captured in 

this element, as they do not include 

non-Federal Tribes or other countries. 

Instead, we propose to require that the 

title IV–E agency indicate the 

jurisdiction’s or country’s name for 

identification purposes which we 

believe will address commenter 

concerns. ACF will work with title 

IV–E agencies to develop valid response 

options for this element. We also believe 

that the information reported in this 

data element, in combination with the 

information reported in paragraph 

(h)(9), will provide information on the 

extent to which title IV–E agencies are 

maximizing all potential adoptive and 

guardianship resources for waiting 

children and will assist ACF in 

responding to questions and concerns 

regarding interjurisdictional and 

intercountry placement issues. 

Adoption or guardianship placing 

agency. In paragraph (h)(11), we 

propose to require the title IV–E agency 

to report the agency that placed the 

child for adoption or legal guardianship. 

We propose to require the title IV–E 

agency to indicate ‘‘title IV–E agency’’ if 

the reporting title IV–E agency placed 

the child for adoption or legal 

guardianship. We propose to require the 

title IV–E agency to indicate ‘‘private 

agency under agreement’’ if a private 

agency placed the child for adoption or 

legal guardianship through an 

agreement with the reporting title IV–E 

agency. We propose to require the title 

IV–E agency to indicate ‘‘Indian Tribe 

under contract/agreement’’ if an Indian 

Tribe, Tribal organization or consortium 

placed the child for adoption or legal 

guardianship through a contract or 

agreement with the reporting title IV–E 

agency. 

In the existing AFCARS, the title 

IV–E agency is required to report in the 

adoption data file the agency or 

individual that placed the child for 

adoption from a list of response options 

public or private agency, Tribal agency, 

independent person or birth parent (see 

Appendix B to part 1355, section II, 

VII.B). In the 2008 NPRM, we proposed 

to require the title IV–E agency to 

indicate the adoption placing agency 

from the response options ‘‘State 

agency,’’ ‘‘private agency under a 

contract/agreement’’ or ‘‘Tribal agency 

with agreement.’’ We did not receive 

comments to the 2008 NPRM on this 

data element; however, we propose 

modifications to the response options, 

explained in detail below. A general 

modification we propose is for title 

IV–E agencies to report the agency that 

placed the child for guardianship. This 

modification is consistent with 

modifications made throughout 

paragraph (h) to collect information on 

legal guardianships. We proposed in the 

2008 NPRM to only collect this 

information for adoptions. 

We propose to modify the response 

option ‘‘State agency’’ that was 

proposed in the 2008 NPRM to ‘‘title 

IV–E agency’’ because this language is 

inclusive of State and Tribal title IV–E 

agencies. 

We propose to modify the definition 

of the response option ‘‘private agency 

under agreement’’ as proposed in the 

2008 NPRM to remove the language 

specifying that the reporting State had 

placement and care responsibility for 

the child. This language is unnecessary 

because this data element is now in the 

out-of-home care data file. 

We propose to modify the response 

option ‘‘Tribal agency with agreement’’ 

that was proposed in the 2008 NPRM to 

be ‘‘Indian Tribe under contract/

agreement’’ to be inclusive of Indian 

Tribes, Tribal organizations or consortia 

that may have a contract or an 

agreement with the title IV–E agency. 

Additionally, we removed the language 

proposed in the 2008 NPRM specifying 

that the reporting State had placement 

and care responsibility of the child 

because this data element is now in the 

out-of-home care data file. 

Section 1355.44 Adoption and 

Guardianship Assistance Data File 

Elements 

We propose to add section 1355.44 

which provides all elements for the 

adoption and guardianship assistance 

data file. The proposal is for ACF to 

collect and report information 

commonly found in the title IV–E 

adoption or guardianship assistance 

agreement for the adoption and 

guardianship assistance reporting 

population as described in section 

1355.41(b). In this data file, we propose 

to collect information on (1) the title 

IV–E agency submitting the adoption 

and guardianship assistance data file, 

(2) basic demographic information on 

each child, including the child’s date of 

birth, gender, race and ethnicity and (3) 

information in the child’s title IV–E 

adoption or guardianship agreement, 

including the date of finalization, and 

amount of subsidy and nonrecurring 

costs as well as living arrangement 

information. We propose this 

information to supplement data on 

adoption and legal guardianships 

collected in section 1355.43(h). 

Currently, we collect information in 

the adoption data file on the reporting 

title IV–E agency, demographic 

information for adopted children in the 

data file’s reporting population, 

information on the child’s special needs 

status, birth parents, adoptive parents, 

placement information and whether the 

child receives State/Federal adoption 

support (see Appendix B to part 1355, 

Section I–VII). Currently we collect 

limited information on the population 

of children receiving adoption 

assistance and no information on 

children receiving title IV–E 

guardianship assistance in the adoption 

data file. 

In the 2008 NPRM, we proposed to 

change the structure and content of the 

current AFCARS data files by no longer 

including an adoption file and requiring 

title IV–E agencies to report information 

on foster care adoptions and adoptive 

families in the out-of-home care data file 

only. We proposed that title IV–E 

agencies submit a new adoption and 

guardianship subsidy data file with 

information on children who were the 

subject of a State or Federal adoption 

assistance agreement (regardless of 

whether their adoption was final), 

additional information surrounding 

those adoption agreements and very 

limited information on children who 

were the subject of a subsidized 

guardianship agreement with the title 

IV–E agency. 

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The current proposal for the adoption 

and guardianship assistance data file 

contains similar data elements as the 

2008 NPRM proposal, but differs in 

several significant ways. First, we 

propose to require a title IV–E agency to 

collect and report the same information 

on children under title IV–E 

guardianship assistance agreements as 

children under title IV–E adoption 

assistance agreements, per the revised 

adoption and guardianship assistance 

reporting population described in 

section 1355.41(b). Second, we propose 

that a title IV–E agency collect and 

report the same information in this data 

file for only those children in a finalized 

adoption or legal guardianship under a 

title IV–E assistance agreement. 

Although ACF no longer proposes to 

collect information on State-funded 

legal guardianships, this modification 

means that ACF will collect information 

on each child in a legal guardianship 

under a title IV–E relative legal 

guardianship assistance agreement in an 

increased number of data elements than 

we proposed in the 2008 NPRM. 

Finally, we propose for the first time to 

require a title IV–E agency to collect and 

report information on siblings who are 

living with the child in his or her 

adoptive or guardianship home. 

We received many public comments 

in response to the proposal to 

restructure the collection of adoption 

information and the introduction of a 

separate subsidy data file in the 2008 

NPRM and the 2010 FR Notice. Many 

commenters were pleased to see our 

proposal for the new adoption 

assistance and guardianship subsidy 

data file, and felt that collecting 

information for children in legal 

guardianships and adoptions would 

provide an important look at these 

children. Some commenters to the 2010 

FR Notice expressed concerns, in 

general, about the necessity of collecting 

ongoing information for a child after his 

or her adoption or legal guardianship 

has been finalized and questioned how 

the expansion of data elements as 

proposed in the 2008 NPRM would help 

improve outcomes for children. ACF is 

required, per section 479(c)(3) of the 

Act, to capture information on adopted 

children, including demographics and 

information about the child’s title IV–E 

adoption. While there is no statutory 

mandate to collect similar information 

for children who have achieved 

permanency through guardianship, we 

propose to collect the same information 

because we have the same need for the 

information for children supported by 

title IV–E funding, per section 473(d) of 

the Act. 

Section 1355.44(a) General Information 

In paragraph (a), we propose to collect 

general information that identifies the 

title IV–E agency submitting the 

adoption and guardianship assistance 

data file, the report date, and the child’s 

record number. 

Title IV–E agency. In paragraph (a)(1), 

we propose that the title IV–E agency 

indicate the name of the title IV–E 

agency responsible for submitting 

AFCARS data to ACF. A State title 

IV–E agency must indicate its State 

name for identification purposes. ACF 

will work with Tribal title IV–E agencies 

to provide further guidance on this 

element during implementation. This 

proposal differs from the existing 

AFCARS regulation which requires the 

title IV–E agency to identify itself using 

the U.S. Postal Service two letter 

abbreviation for the State or the ACFprovided abbreviation for the title IV–E 

Tribal agency responsible for submitting 

the AFCARS data to ACF. This proposal 

is also different from the 2008 NPRM in 

which we proposed to use Federal 

Information Processing Standard (FIPS) 

codes for State identification which are 

no longer being updated and 

maintained. We did not receive 

comments on this data element in 

response to the 2008 NPRM, but have 

opted not to proceed with the NPRM 

proposal to remove FIPS codes, which 

are no longer being updated and 

maintained. 

The definition of this data element is 

the same as the one we proposed in the 

out-of-home care data file (see section 

1355.43(a)(1)). We propose that the title 

IV–E agency report this information in 

the adoption and guardianship 

assistance data file as well as in the outof-home care data file because the title 

IV–E agency will submit the two data 

files to us separately. 

Report date. In paragraph (a)(2), we 

propose that a title IV–E agency report 

to us the last month and year that 

corresponds with the end of the report 

period, with the month being either 

March or September of any given year. 

The proposal for the report date is the 

same as in the existing AFCARS, and 

did not generate any comments when 

we proposed it in the 2008 NPRM. This 

proposal is the same as the report date 

we proposed for the out-of-home care 

data file in section 1355.43(a)(2). 

Child record number. In paragraph 

(a)(3), we propose that the title IV–E 

agency report the child’s record number, 

which is a unique person identification 

number, as an encrypted number. If a 

child was previously in out-of-home 

care, this number must be the same as 

the child record number provided in 

section 1355.43(a)(4) of the out-of-home 

care data file. This proposed data 

element differs from both the existing 

AFCARS and the 2008 NPRM proposal. 

The 2008 NPRM proposal required a 

title IV–E agency to eliminate the use of 

sequential numbers for AFCARS, and 

we received no comments in response to 

this proposal. 

Our current proposal prohibits the use 

of sequential numbers for AFCARS, and 

also requires the title IV–E agency to use 

the same child record number as is used 

in the out-of-home care data file if the 

child was in the out-of-home care 

reporting population before entering the 

adoption and guardianship assistance 

reporting population. 

Similar to the instructions for the 

record number data element in the outof-home care data file, the title IV–E 

agency must apply and retain the same 

encryption routine or method for the 

person identification number across all 

report periods. The title IV–E agency’s 

encryption methodology must meet any 

standards that ACF prescribes through 

technical bulletins or policy. Requiring 

the title IV–E agency to maintain 

unique, encrypted child record numbers 

for AFCARS data files will allow us to 

track the amount of title IV–E adoption 

and guardianship assistance changes 

over time, and will help predict future 

changes based upon the age distribution 

of the population. We propose for the 

title IV–E agency to retain the same 

child record numbers between AFCARS 

data files, when applicable, to allow 

ACF to collect more comprehensive 

information about the permanency of 

title IV–E adoption and legal 

guardianship placements in the title IV– 

E program, as well as conduct analysis 

regarding the extent to which sibling 

groups are placed together permanently. 

Section 1355.44(b) Child Demographics 

In paragraph (b), we propose that the 

title IV–E agency collect and report 

demographic information on the child, 

including the child’s date of birth, race 

and ethnicity. 

Child’s Birth Information. In 

paragraph (b)(1), we propose to collect 

information on the child’s date of birth 

and whether the child was born in the 

United States. 

We propose in paragraph (b)(1)(i), that 

the title IV–E agency report the child’s 

date of birth in month, day and year 

format. This is basic demographic 

information which we are mandated to 

collect in section 479(c)(3)(A) of the Act 

for adoptions and is similar to the 

existing AFCARS requirement for the 

adoption data file, although we 

currently propose to collect this 

information for children in legal 

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guardianships as well. We provided the 

same proposal in the 2008 NPRM and 

there were no comments submitted in 

response to this proposed element. 

The child’s date of birth will assist us 

in conducting a variety of analyses 

including determining at what age 

children are being adopted or placed in 

legal guardianship under the title IV–E 

program. Since most children receive 

title IV–E adoption or guardianship 

assistance until the age of 18, or older 

for a title IV–E agency that chooses to 

extend assistance up to age 19, 20 or 21, 

knowing the child’s date of birth will 

assist the title IV–E agency and the 

Federal government in conducting 

budget projections and program 

planning. 

In paragraph (b)(1)(ii), we propose to 

require the title IV–E agency to report 

whether or not the child was born in the 

United States. If the child was born in 

the United States, indicate ‘‘yes.’’ If the 

child was born in a country other than 

the United States, indicate ‘‘no.’’ This is 

a newly proposed data element and will 

give us a national picture of how many 

foreign-born children are receiving title 

IV–E adoption or guardianship 

assistance. We specifically request 

comments from State and Tribal title 

IV–E agencies on this data element. 

Child’s sex. In paragraph (b)(2), we 

propose that the title IV–E agency report 

whether the child’s sex is male or 

female, as appropriate. This proposal is 

unchanged from the requirement in the 

existing AFCARS regulation. 

Race data elements. In paragraphs 

(b)(3)(i) through (b)(3)(viii), we propose 

that the title IV–E agency report 

information on the race of the child by 

indicating whether each race category 

applies with a ‘‘yes’’ or ‘‘no.’’ The race 

definitions proposed are consistent with 

the existing AFCARS race definitions, 

and are similar to the response options 

proposed in the 2008 NPRM. The only 

difference in the current proposal is that 

we allow legal guardians to determine 

the child’s race in addition to the child 

and the child’s parent(s). We include 

this option to acknowledge that a 

relative guardian, rather than the child’s 

parent(s), may be the appropriate person 

to determine the child’s race, if that 

child has been living with him or her. 

As discussed earlier in section 

1355.43(b)(3), the categories of race 

proposed are consistent with the OMB 

standards for collecting information on 

race. The title IV–E agency is to allow 

the parent(s), legal guardian(s) or the 

child, if appropriate, to determine the 

child’s race. There was one public 

comment in response to the 2008 NPRM 

that suggested allowing a title IV–E 

agency to combine categories of race 

and ethnicity. We agree, and the racial 

categories proposed both in the 2008 

NPRM and the current proposal are 

aligned with those in NCANDS and 

NYTD. 

If the child’s race is unknown, the 

title IV–E agency must so indicate, as 

required in paragraph (b)(2)(vi). It is 

acceptable for the child to be identified 

with more than one race, but for the 

child, parent(s) or legal guardian(s) to 

not know one of those races. In such 

cases, the title IV–E agency must 

indicate the racial classifications that 

apply and also indicate that a race is 

unknown. If the child is abandoned the 

title IV–E agency must indicate that the 

race cannot be determined in paragraph 

(b)(2)(vii). Finally, if the parent(s), legal 

guardian(s) or the child, if appropriate, 

declines to identify the child’s race, the 

title IV–E agency must indicate that this 

information was declined as outlined in 

paragraph (b)(2)(viii). 

Hispanic or Latino ethnicity. We 

propose in paragraph (b)(4) that the title 

IV–E agency report the Hispanic or 

Latino ethnicity of the child, consistent 

with the current AFCARS requirement, 

and similar to the 2008 NPRM proposal. 

The only difference in the current 

proposal is that we allow the legal 

guardian(s) to determine the child’s 

ethnicity in addition to the child and 

the child’s parent(s). We include this 

option to acknowledge that a relative 

guardian, rather than the child’s 

parent(s), may be the appropriate person 

to determine the child’s ethnicity, if that 

child has been living with him or her. 

Similar to race, these definitions are 

consistent with the OMB race and 

ethnicity standards. Also, we propose, 

as we did in the 2008 NPRM, that the 

title IV–E agency may report whether 

the child’s ethnicity is unknown, 

whether the child was abandoned, or 

whether the parent(s), legal guardian(s) 

or child, if appropriate, could not 

communicate or declined to provide 

this information. There were no 

comments submitted in response to this 

proposed data element in the 2008 

NPRM. 

Section 1355.44(c) Title IV–E Adoption 

and Guardianship Assistance 

Arrangement and Agreement 

Information 

In paragraph (c), we propose that the 

title IV–E agency collect and report 

ongoing information on title IV–E 

adoption and guardianship 

arrangements and agreements. This 

proposed section is different from 

existing AFCARS, which does not 

include a data file with ongoing 

information on subsidies. It only 

includes information in the adoption 

data file on a child’s demographics, 

placement information and court 

information, as well as limited 

information on both the child’s birth 

parent(s) and adoptive parent(s). 

This new proposed section differs 

from both the existing AFCARS and the 

2008 NPRM in that we propose to 

collect ongoing adoption and 

guardianship assistance agreement 

information for only those children with 

finalized title IV–E adoption and legal 

guardianship assistance agreements in 

effect during the report period. 

Throughout this proposed section, a 

title IV–E agency is no longer required 

to report information on children who 

are in adoptive placements but do not 

yet have finalized adoptions or those 

with State-funded adoption assistance 

agreements. We propose to collect 

information on title IV–E adoption and 

guardianship assistance agreements for 

children with finalized adoptions or 

legal guardianships regardless of 

whether the agreement is for an ongoing 

subsidy, nonrecurring costs or in the 

case of a title IV–E finalized adoption, 

a Medicaid-only subsidy. 

In the 2008 NPRM, we proposed that 

the title IV–E agency collect information 

on a child’s adoption and adoptive 

parents at the time of a child’s exit to 

adoption in section 1355.43(h) of the 

out-of-home care data file and new 

information in the adoption assistance 

and guardianship subsidy data file. We 

received several public comments in 

response to this proposal in the 2008 

NPRM indicating concern that this 

change would increase burden on 

caseworkers and require programming 

changes in the SACWIS systems of title 

IV–E agencies. There were also a 

number of commenters to the 2010 FR 

Notice concerned about the increased 

burden of collecting data on children in 

adoptions and legal guardianships, and 

several commenters suggested that the 

requirement to collect case-level data on 

children in adoptive and guardianship 

homes would be a significant barrier to 

obtaining information since children 

already would have achieved 

permanency. We contemplated these 

comments, but, per the new adoption 

and guardianship assistance reporting 

population described in section 

1355.41(b), we now propose to collect 

information for only those children 

under title IV–E adoption and 

guardianship assistance agreements. 

Because the title IV–E agency still 

supports the children under these 

adoption and guardianship assistance 

agreements, we anticipate that most of 

the information would already be in the 

case files or included in other modules 

of the title IV–E agency’s case 

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management system, and therefore the 

title IV–E agency would not need to 

contact the adoptive parent(s) or relative 

guardian(s) for the information. 

Assistance agreement type. In 

paragraph (c)(1), we propose for the first 

time to require the title IV–E agency to 

indicate whether the child is or was in 

a finalized adoption with a title IV–E 

adoption assistance agreement pursuant 

to section 473(a)(1)(A) of the Act or in 

a legal guardianship with a title IV–E 

guardianship assistance agreement 

pursuant to section 473(d) of the Act, in 

effect during the report period. The title 

IV–E agency is not required to collect 

and report this information in the 

existing AFCARS. In the 2008 NPRM, 

we proposed two data elements aimed 

at collecting information on agreement 

type ‘‘adoption assistance type’’ 

(adoptive placement, finalized title 

IV–E adoption pursuant to title IV–E 

assistance agreement or finalized 

adoption pursuant to State assistance 

agreement) and ‘‘subsidized 

guardianship agreement type’’ 

(supported by title IV–E funds or State 

funds). In the current proposal, we 

eliminate data elements proposed in the 

2008 NPRM and instead propose one 

data element with narrowed response 

options since we propose to collect 

information on children under title 

IV–E adoption and guardianship 

assistance agreements only per 

1355.41(b) rather than both title IV–E 

and non-title IV–E agreements. We did 

not receive specific comments on either 

proposed assistance agreement type data 

element in response to the 2008 NPRM. 

Adoption or guardianship subsidy 

amount. In paragraph (c)(2), we propose 

that the title IV–E agency provide the 

per diem dollar amount of the title 

IV–E financial subsidy payment, if any, 

made to the adoptive parent(s) or 

guardian(s) on behalf of the child during 

the last month of the current report 

period. This does not include nonrecurring costs. We propose that the title 

IV–E agency report the total amount of 

the subsidy payment made to the 

adoptive parent(s) or guardian(s), rather 

than the portion that the title IV–E 

agency may seek reimbursement from 

the Federal government under title 

IV–E. Further, in any situation where 

the title IV–E agency has an adoption or 

guardianship assistance agreement with 

adoptive parent(s) or legal guardian(s) 

but did not provide an actual payment 

in the last month of the report period, 

the title IV–E agency must indicate that 

$0 payment was made. Such a situation 

is likely to occur if the title IV–E 

adoption or guardianship assistance 

agreement is for a ‘‘deferred subsidy,’’ 

which a title IV–E agency may enter into 

at a later point. 

This data element differs from both 

the existing AFCARS requirements and 

the data element proposed in the 2008 

NPRM, however we request the 

information for the same reasons. 

Existing AFCARS policy guidance 

requires a title IV–E agency to report the 

monthly subsidy amount one time—at 

the finalization of the adoption. 

We proposed in the 2008 NPRM that 

a title IV–E agency report information in 

two separate data elements on the 

subsidy amount for the adoption and 

legal guardianship for each report 

period beginning when the assistance 

agreement becomes effective and 

continue reporting for the duration of 

the agreement. We received a public 

comment in response to the ‘‘adoption 

assistance subsidy amount’’ data 

element proposed in the 2008 NPRM 

that suggested that a title IV–E agency 

should not be required to collect data on 

adoption agreements more than once, as 

the information is relatively stable over 

time. We considered this comment, and 

while the amounts may not change 

much from month to month, we have 

seen reductions in title IV–E subsidy 

amounts in recent years. Therefore, we 

continue to propose to collect this 

information so we can discern changing 

circumstances and fluctuations in 

subsidy amounts in title IV–E adoption 

and guardianship assistance agreements 

for as long as the agreement is in effect. 

We believe that collecting information 

on title IV–E adoption and guardianship 

subsidy amounts will be useful for 

States, Indian Tribes and the Federal 

government for budgetary planning and 

projection purposes. Information on title 

IV–E guardianship is collected in the 

CB–496 form currently; however this 

information is aggregated and does not 

provide specific information on the 

amount of the title IV–E guardianship 

subsidy that each child receives. 

Collecting child-level data on the 

amount of title IV–E guardianship 

assistance received by each child would 

allow ACF to conduct more nuanced 

analysis to determine how many 

children there are in certain subsidy 

ranges and more accurately project 

budget and program costs. 

Nonrecurring adoption or 

guardianship costs. In paragraph (c)(3), 

we propose that a title IV–E agency 

report whether the IV–E agency made 

payments on behalf of the adoptive 

parent(s) per section 473(a)(6) of the Act 

or relative guardian(s), per section 

473(d) of the Act, for nonrecurring costs. 

The title IV–E agency must indicate 

‘‘costs paid’’ if the title IV–E agency 

paid nonrecurring costs at any point 

during the report period; otherwise the 

title IV–E agency must indicate ‘‘no 

costs paid.’’ 

Nonrecurring adoption or 

guardianship cost amount. In paragraph 

(c)(4), we propose that the title IV–E 

agency report the total dollar amount of 

payments the title IV–E agency made on 

behalf of the adoptive parent(s) or 

guardian(s) for nonrecurring costs 

during the report period. This includes 

payments the title IV–E agency makes 

directly to other service providers rather 

than to the adoptive parent(s) or relative 

guardian(s). The title IV–E agency must 

report an amount only if it responded 

that expenses for nonrecurring costs 

were paid in paragraph (c)(3). If the title 

IV–E agency indicated that no 

nonrecurring costs were paid, then the 

title IV–E agency must leave this data 

element blank. 

Unlike title IV–E adoption and 

guardianship assistance payments 

which are ongoing and may fluctuate 

over time, reimbursements for 

nonrecurring costs are more likely to be 

made in a lump-sum or over a finite 

period of time. Although we propose to 

require title IV–E agencies to report the 

amount of the adoption or guardianship 

subsidy during the last month of each 

report period, we also propose to 

require the title IV–E agency to report 

the total amount of the non-recurring 

costs over the entire report period to 

capture the full amount of nonrecurring 

costs made on behalf of the adoptive 

parent(s) or legal guardian(s). 

These data elements are not currently 

required in AFCARS and we first 

introduced them in the 2008 NPRM, but 

only for title IV–E adoption assistance 

agreements. The current proposal is a 

modification of the 2008 NPRM 

proposal to now include title IV–E legal 

guardianship agreements, per the 

revised adoption and guardianship 

assistance reporting population in 

section 1355.41(b). There were no 

substantive comments in response to the 

2008 NPRM proposal to collect nonrecurring costs of adoption. We seek 

information on nonrecurring cost 

reimbursements for adoption consistent 

with the requirement in section 

479(c)(3)(D) of the Act to collect 

information on the extent of adoption 

assistance. There is no statutory 

mandate to collect this information for 

the IV–E guardianship program, 

however, since title IV–E funds are 

reimbursed for these costs, this 

information is essential for conducting 

budget projections and program 

planning for both title IV–E adoption 

assistance and guardianship assistance 

programs. 

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Adoption or guardianship finalization 

date. In paragraph (c)(5), we propose to 

require that the title IV–E agency report 

the date that the child’s adoption was 

finalized or the child’s guardianship 

became legally recognized. A child must 

have a finalized adoption or legal 

guardianship (in addition to a title 

IV–E agreement) in order to enter the 

adoption and guardianship assistance 

reporting population, therefore we 

believe that collecting the adoption or 

guardianship finalization date is 

fundamental to ensuring compliance 

with requirements in section 

1355.41(b)(2) and to conduct budget 

projections. We received no substantive 

public comments in response to this 

proposal in the 2008 NPRM. The current 

proposal expands the 2008 NPRM 

proposal to account for a child in a legal 

guardianship under a title IV–E 

assistance agreement, as per the revised 

adoption and guardianship assistance 

reporting population described in 

section 1355.41(b). 

An additional data element, ‘‘final 

adoption’’, was proposed in the 2008 

NPRM that required a title IV–E agency 

to collect information on whether the 

child who is the subject of an adoption 

assistance agreement had his or her 

adoption finalized. We eliminated this 

data element to maintain consistency 

with our proposal to limit the adoption 

and guardianship assistance reporting 

population to children with a finalized 

adoption or legal guardianship and a 

title IV–E assistance agreement. If the 

proposed changes to this reporting 

population are applied, the ‘‘final 

adoption’’ data element is unnecessary. 

Adoption or guardianship placing 

agency. In paragraph (c)(6), we propose 

to require the title IV–E agency to 

indicate the agency that placed the child 

under a title IV–E adoption or 

guardianship assistance agreement at 

the time of the adoption or legal 

guardianship finalization. We propose 

that the title IV–E agency indicate ‘‘title 

IV–E agency’’ if the reporting title 

IV–E agency placed the child for 

adoption or legal guardianship. We 

propose that the title IV–E agency 

indicate ‘‘private agency under a 

contract/agreement’’ if a private agency 

placed the child for adoption. We 

propose the title IV–E agency indicate 

‘‘Indian Tribe’’ if an Indian Tribe, Tribal 

organization or consortium that is not a 

title IV–E agency placed the child for 

adoption or legal guardianship through 

some type of arrangement with the 

reporting title IV–E agency. This 

includes both Tribal agencies under a 

contract or agreement with the title IV– 

E agency to place the child, as well as 

an Indian Tribe that placed the child 

through another type of arrangement 

with the reporting title 

IV–E agency for an adoption or 

guardianship assistance agreement. We 

propose to retain the response option 

‘‘private agency’’ from the existing 

AFCARS and 2008 NPRM for adoption 

only with minor modifications to their 

definitions. We propose to eliminate the 

response options ‘‘birth parent’’ and 

‘‘independent person’’ as they are not 

applicable to the reporting population 

for the adoption and guardianship 

assistance data file proposed in section 

1355.41(b). 

This information is similar to what is 

proposed for section 1355.43(h)(11) but 

must be included in the adoption and 

guardianship assistance data file 

because this data file includes private 

agency adoptions for children who were 

not in foster care. The existing AFCARS 

includes this information in the 

adoption data file and requires the title 

IV–E agency to indicate the placing 

agency or individual from a limited 

number of response options that are 

public agency; private agency; Tribal 

agency; independent person and birth 

parent. We proposed in the 2008 NPRM 

to expand the response options for this 

proposal in order to collect more 

specific information about when the 

title IV–E agency was the placing 

agency, and as a result, several response 

options were newly proposed (State 

agency, private agency under contract/

agreement, and Tribal agency with 

agreement), along with the retained 

options of ‘‘Tribal agency,’’ ‘‘private 

agency,’’ ‘‘birth parent,’’ and 

‘‘independent person’’. 

We did not receive comments on this 

data element in the 2008 NPRM, but 

several comments in the 2010 FR Notice 

were supportive of tracking adoptions 

through private agencies and Indian 

Tribes. Therefore, we revised the 2008 

NPRM proposal to remove the response 

option of ‘‘State agency’’ and ‘‘Tribal 

agency’’ and replace them with the 

response option ‘‘title IV–E agency’’ in 

order to conform to the changes in 

Public Law 110–351 that allow for an 

Indian Tribe to operate a title IV–E 

program directly (section 479B of the 

Act). 

We do not propose to include the 

separate response option of ‘‘Tribal 

agency with agreement’’ that was 

proposed in the 2008 NPRM. Instead, 

Indian Tribes with title IV–E agreements 

are included in the response option of 

‘‘Indian Tribe’’ because the Indian Tribe 

has an arrangement with the reporting 

IV–E agency for a title IV–E adoption or 

guardianship assistance agreement. If 

the title IV–E agency provides a 

response to paragraph (c)(6) of ‘‘Indian 

Tribe’’ or ‘‘private agency,’’ the agency 

must complete paragraph (c)(7). 

Inter/Intrajurisdictional adoption or 

guardianship. In paragraph (c)(7), we 

propose that the title IV–E agency 

identify whether the child had been 

placed under a title IV–E adoption or 

guardianship assistance agreement 

within the State or Tribal service area or 

in another State or Tribal service area 

for adoption or legal guardianship. This 

data element must be completed only if 

the title IV–E agency indicated either 

‘‘Indian Tribe’’ or ‘‘private agency’’ in 

paragraph (c)(6). The title IV–E agency 

must indicate ‘‘interjurisdictional 

adoption or guardianship’’ if the title 

IV–E agency entered into a title IV–E 

adoption or guardianship assistance 

agreement with an adoptive parent(s) or 

guardian(s) who lives outside of the 

reporting State or Tribal service area or 

‘‘intrajurisdictional’’ if the title IV–E 

agency entered into a title IV–E 

adoption or guardianship assistance 

agreement with an adoptive parent(s) or 

guardian(s) who lives in the reporting 

State or Tribal service area. 

We propose to modify the 2008 NPRM 

proposal to limit our data collection in 

this data element to those children 

under title IV–E adoption and 

guardianship assistance agreements who 

were placed by an Indian Tribe or 

private agency through an arrangement 

with the title IV–E agency. We are 

making this modification per the revised 

adoption and guardianship assistance 

reporting population described in 

section 1355.41(b) and to avoid 

duplication in data collection with the 

information collected in section 

1355.43(h)(9) on children under the 

placement and care responsibility of the 

title IV–E agency placed for adoption or 

legal guardianship. We also propose to 

delete the responses option 

‘‘intercountry adoption—incoming’’ and 

‘‘intercountry adoption—outgoing.’’ 

The current AFCARS requirement is 

for the title IV–E agency to indicate, in 

the adoption data file, the location of 

the individual or agency that had 

custody or responsibility for the child at 

the time the adoption proceedings were 

initiated. The 2008 NPRM proposed an 

expansion of this data element to 

require a title IV–E agency to indicate 

whether a child was placed across State 

or Tribal service area lines for the 

purposes of adoption or legal 

guardianship or was the subject of an 

incoming or outgoing intercountry 

adoption. 

We received several public comments 

in response to the 2008 NPRM proposal 

indicating concern regarding the ability 

of the title IV–E agency to access 

information relating to international 

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adoptions. To address these concerns, 

and because we believe only a few 

children adopted from or placed 

overseas will be able to meet the 

definition of an ‘‘applicable child’’ per 

section 473(a)(2)(A)(ii) of the Act, we 

propose to eliminate the reporting of 

title IV–E intercountry adoptions 

(outgoing or incoming). For the 

purposes of AFCARS, maintaining a 

separate response option is not 

necessary, as children who are placed 

overseas for the purposes of adoption 

that are receiving title IV–E adoption 

assistance would still be tracked in 

AFCARS, and reported under the 

‘‘interjurisdictional adoption or 

guardianship’’ response option. 

Interjurisdictional adoption or 

guardianship jurisdiction. In paragraph 

(c)(8), we propose to require the title 

IV–E agency to identify the name of the 

State, Tribal service area or Indian 

reservation where the child was placed 

for adoption or legal guardianship. If a 

child is placed in an interjurisdictional 

adoption or guardianship with Tribal 

members as indicated in paragraph 

(c)(7), the title IV–E agency must 

indicate the State in which the Tribal 

members live. We seek to collect 

information in this proposal in 

combination with paragraph (c)(7) 

because we believe that together these 

data elements will allow ACF to analyze 

data related to the number of children 

in interjurisdictional adoptive and 

guardianship placements under title 

IV–E assistance agreements that were 

not in the out-of-home care reporting 

population, as well as the location of 

those children. 

This data element is not included in 

the current AFCARS adoption file. In 

the 2008 NPRM, we proposed for the 

first time that the title IV–E agency 

indicate the FIPS code of the State or 

country in which the child was placed 

into or placed from. We received several 

comments in response to the 2008 

NPRM for this data element that raised 

concerns about the stability of country 

codes from FIPS, and indicated that a 

title IV–E agency would have to 

significantly modify its system in order 

to capture FIPS code information for 

international adoption. We agreed with 

these comments because FIPS codes are 

no longer being maintained and 

updated, and they also do not account 

for the breadth of jurisdictions that 

could be captured in this element, as 

they do not include non-Federal Tribes 

or other countries. Instead, we propose 

to require that the title IV–E agency 

report the jurisdiction or country name 

for those children placed by an Indian 

Tribe under a contract or agreement 

with the reporting title IV–E agency, or 

a private agency under an arrangement 

with the reporting title IV–E agency. We 

believe this modification will address 

commenter concerns. In addition, ACF 

will work with title IV–E agencies to 

develop valid response options for this 

element. 

Number of siblings. In paragraph 

(c)(9), we propose for the first time in 

the adoption and guardianship 

assistance data file to require a title 

IV–E agency to indicate the number of 

siblings, if applicable, that a child has 

that are either (1) in the title IV–E 

agency’s out-of-home care reporting 

population at any point during the 

report period, or (2) have a finalized 

adoption or legal guardianship and are 

under a title IV–E adoption or 

guardianship assistance agreement at 

any point during the report period. The 

child who is the subject of this record 

should not be included in this number. 

A sibling to the child is his or her 

brother or sister by biological, legal or 

marital connection. A title IV–E agency 

must report this information whether 

the child’s adoptive or guardianship 

home is in or out-of-State or Tribal 

service area. If the child does not have 

siblings that are in out-of-home care or 

under a title IV–E adoption or 

guardianship assistance agreement, the 

title IV–E agency must indicate ‘‘0.’’ If 

a child does not have any siblings, we 

propose that the title IV–E agency must 

indicate ‘‘not applicable’’ for this data 

element. 

We are interested in proposing that 

the title IV–E agency report on a child’s 

siblings in paragraphs (c)(9) through 

(c)(11) of this section in order to learn 

more about sibling group placement in 

adoption and guardianship homes, and 

to comply with the mandate in section 

471(a)(31)(A) of the Act. Under this 

statutory provision, the title IV–E 

agency must make reasonable efforts to 

place siblings removed from their home 

in the same foster care, kinship 

guardianship or adoptive placement, 

unless such a placement is contrary to 

the safety or well-being of any of the 

siblings. We propose paragraph (c)(9) 

specifically to determine the total 

number of siblings which ACF will use 

to ensure correct data entry in 

paragraphs (c)(10) and (c)(11). This 

proposal complements our proposal 

pertaining to collection of information 

on sibling groups in the out-of-home 

care data file. 

Siblings in out-of-home care. In 

paragraph (c)(10), we propose for the 

first time to require a title IV–E agency 

to collect and report the child record 

number(s) of siblings who are in the outof-home care population and are placed 

in the child’s adoptive or guardianship 

home at any point during the report 

period. In this section, the sibling’s 

foster home must be the same as the 

child’s adoptive or guardianship home. 

A title IV–E agency must report this 

information whether the child’s living 

arrangement is in or out-of-State or 

Tribal service area. The record number 

of the child who is the subject of this 

record should not be reported. For the 

purposes of AFCARS, a sibling to the 

child is his or her brother or sister by 

biological, legal or marital connection. If 

no siblings in the out-of-home care 

population reside with the child during 

the report period, the title IV–E agency 

must leave this data element blank. 

Siblings in adoption/guardianship. In 

paragraph (c)(11), we propose for the 

first time to require a title IV–E agency 

to collect the child record numbers of 

siblings who also have a finalized 

adoption or legal guardianship, are 

under a title IV–E adoption or 

guardianship assistance agreement and 

are living with the child in an adoptive 

or guardianship home at any point 

during the report period. The record 

number of the child who is the subject 

of this record should not be reported. 

For the purposes of AFCARS, a sibling 

to the child is his or her brother or sister 

by biological, legal or marital 

connection. If the child does not live 

with siblings with finalized adoptions 

or legal guardianships that are under 

title IV–E assistance agreements in the 

adoptive or guardianship home, the title 

IV–E agency must leave this data 

element blank. 

Agreement termination date. In 

paragraph (c)(12), we propose that a title 

IV–E agency report the date that an 

adoption or guardianship assistance 

agreement was terminated or expired 

during the report period. This data 

element is not required in the existing 

AFCARS. 

Typically, title IV–E adoption or 

guardianship assistance agreements 

continue until the child is age 18, or age 

21 if the adopted child has a mental or 

physical handicap which warrants the 

continuation of assistance. However, 

Public Law 110–351 amended sections 

475(8)(B)(i)(II) and (III) of the Act to 

allow title IV–E agencies the option to 

select an age up to age 21 for extended 

eligibility for all title IV–E programs, 

including adoption and guardianship 

assistance. 

The only difference between the 2008 

NPRM proposal and our current 

proposal is that we now include the end 

dates for title IV–E guardianship 

assistance agreements, per the revised 

adoption and guardianship assistance 

reporting population described in 

section 1355.41. We received one public 

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comment in response to the 2008 NPRM 

that indicated that a title IV–E agency 

may not collect adoption assistance 

agreement end dates explicitly, as most 

of the adoption assistance agreements 

terminate on the child’s 18th birthday. 

That may have been true in 2008, 

however given the extended assistance 

option in section 475(8)(B) of the Act we 

cannot presume that most adoption and 

guardianship agreements will terminate 

when the child reaches age 18. We 

propose to collect the end dates for title 

IV–E adoption and guardianship 

assistance agreements because 

combined with the child’s date of birth 

they will allow us to calculate more 

accurately the number of children 

served under title IV–E agreements, as 

well as the incidence of dissolution of 

adoption and legal guardianships for 

children supported by the title IV–E 

programs. 

Following the direction of the 2008 

NPRM, we are not proposing to require 

a title IV–E agency to report the adopted 

child’s special needs status separately as 

required in current AFCARS. In the 

current AFCARS we require a title 

IV–E agency to report whether it has 

determined that the child has special 

needs, and the primary factor (the 

child’s race, age, membership in a 

sibling group or medical condition or 

disability) in this determination. We do 

not wish to retain this data element, for 

the reasons described in the 2008 

NPRM. 

Section 1355.45 Compliance 

In section 1355.45, we propose the 

types of assessments we will conduct to 

determine the accuracy of a title IV–E 

agency’s data, the data files which will 

be subject to these assessments, the 

compliance standards and the manner 

in which the title IV–E agency initially 

determined to be out of compliance can 

correct its data. This section also 

specifies how we propose to implement 

the statutory mandates of Public Law 

108–145. 

Public Law 108–145 added section 

474(f) to the Act, which requires that 

ACF withhold certain funds from a title 

IV–E agency that ‘‘failed to submit to the 

Secretary data, as required by 

regulation, for the data collection 

system implemented under section 

479.’’ Although we recognize that the 

provisions related to AFCARS in section 

479 of the Act were designed to bolster 

our authority to take financial penalties 

for noncompliance with AFCARS 

requirements, we did not believe that 

the statute on its face was clear enough 

to implement penalties immediately 

after its enactment. In ACYF–CB–IM– 

04–04, issued February 17, 2004, we 

notified title IV–E agencies that we 

would not implement the penalty 

structure in the statute until we 

published final regulations. Further, 

because we were in the midst of 

developing proposed rules that would 

change significantly the information 

that title IV–E agencies submit to 

AFCARS, we did not believe it prudent 

to implement a new penalty structure 

for the existing requirements in 

regulation. 

This proposal is different from the 

current AFCARS regulations (section 

1355.40(e) and Appendix E to part 1355) 

in that it applies the same compliance 

standards to both data files, expands the 

number of error types to include invalid 

data, cross-file errors and tardy 

transactions and creates a separate 

section to define the data file standards 

associated with timely submission and 

each error type defined in section 

1355.45(b). This proposal is identical to 

that proposed in the 2008 NPRM with 

two revisions in section 1355.45(a). 

First, we propose to apply compliance 

standards to both the out-of-home care 

and adoption and guardianship 

assistance data files, whereas the 2008 

NPRM subjected only the out-of-home 

care data file to compliance standards. 

Second, we propose to exempt certain 

populations in each data file from 

compliance determination, namely, for 

both data files, the population of 

children over age 18 and children in a 

legal guardianship under a title IV–E 

guardianship assistance agreement in 

the adoption and guardianship 

assistance data file. 

Section 1355.45(a) Files Subject to 

Compliance 

In paragraph (a), we propose that ACF 

determine whether a title IV–E agency’s 

out-of-home care and adoption and 

guardianship assistance data files are in 

compliance with the requirements of 

section 1355.42 of this part and certain 

data file and data quality standards 

(described further below in paragraphs 

(c) and (d)). This proposal is similar to 

the current AFCARS requirements in 

that the proposed out-of-home care and 

adoption and guardianship assistance 

data files are subject to a compliance 

determination separately. In the 2008 

NPRM we proposed that only the outof-home care data file be subject to a 

compliance determination, primarily 

because there was no statutory mandate 

to request information on guardianship 

agreements. We propose to now include 

the adoption and guardianship 

assistance data file in the compliance 

determination, but propose several 

exemptions for children included in this 

data file, as described below. The law 

requires us to assure that the data 

submitted to us is reliable and 

consistent and authorizes us to utilize 

appropriate requirements and incentives 

to ensure that the system functions 

reliably (sections 479(c)(2) and (4) of the 

Act, respectively). We chose to fulfill 

these requirements by establishing 

specific standards for compliance, 

consistent with our current 

requirements (see Appendix E to part 

1355) and those proposed in the 2008 

NPRM. Although we received several 

comments to the 2008 NPRM in support 

of our proposal to exclude the adoption 

and guardianship data file from a 

compliance determination, we believe 

that since we are required by section 

479(c)(3) of the Act to collect 

information on children in adoptions 

supported by title IV–E, it is appropriate 

to include this data file in our 

compliance determination process. We 

include exceptions, as described below, 

to exclude most of the children in 

optional title IV–E programs from 

compliance determination. We did not 

receive other comments on this 

approach in response to the 2008 NPRM 

or 2010 FR Notice, and therefore, do not 

believe there is a need to change this 

general approach. 

We propose to exempt, in general, 

records related to a child in either data 

file whose 18th birthday occurred in a 

prior report period from a compliance 

determination as described in paragraph 

(e) of this section. However, in order to 

report full information for children on 

who we are statutorily required to 

collect information, the report period in 

which the child turns 18 will be subject 

to a compliance determination. Under 

this proposal, a child is exempted from 

a compliance determination because of 

age in each report period following that 

in which they turn 18 years of age, 

regardless of whether the title IV–E 

agency opts to adopt a revised definition 

of child per section 475(8)(B) of the Act. 

The primary reason that we are not 

subjecting records of these children to 

compliance determinations is because 

extended assistance is an option 

available under either the title IV–E 

plan (per section 475(8)(B) of the Act), 

or per the State’s former AFDC plan. 

We also propose to exempt from a 

compliance determination, described in 

paragraph (e) of this section, a child of 

any age in the adoption and 

guardianship assistance data file who is 

in a legal guardianship under a title 

IV–E guardianship assistance program 

agreement per section 473(d) of the Act. 

We are not subjecting records of these 

children to compliance determinations 

primarily because electing to implement 

a title IV–E guardianship assistance 

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program is at the option of the title 

IV–E agency (per section 473(d) of the 

Act). No penalties will be applied to this 

population. 

Although we do not propose 

compliance standards and penalties for 

submitting data on children in the 

adoption and guardianship assistance 

data file who are in a legal guardianship 

under a IV–E guardianship assistance 

agreement and/or children in either data 

file whose 18th birthday occurred in a 

previous report period, this information 

is still important to ACF and title IV–E 

agencies and we will take other steps to 

ensure that title IV–E agencies submit 

quality data. In particular, we may 

require the title IV–E agency to create 

and meet the goals of an AFCARS 

program improvement plan, target 

technical assistance efforts to collecting 

and reporting this information and/or 

develop data quality utilities for these 

records that will allow a title IV–E 

agency to evaluate the quality of the 

data files before submitting to ACF. We 

welcome comments on this proposal. 

Section 1355.45(b) Errors 

In paragraph (b), we outline the 

definitions of errors in paragraphs (b)(1) 

through (b)(5) of this section and 

propose how we will identify those 

errors when we assess information 

collected in a title IV–E agency’s out-ofhome care data file (per section 1355.43) 

and adoption and guardianship 

assistance data file (per section 

1355.44). This section is similar in 

approach to the 2008 NPRM proposal, 

however, we modified this proposal to 

apply the compliance standards to both 

the out-of-home care data file and 

adoption and guardianship assistance 

data file and to except certain optional 

populations from compliance 

determination, as described in 

paragraph (a). We did not receive any 

substantive comments to this proposed 

approach in the 2008 NPRM. Specific 

comments on error types are included in 

each paragraph below. 

Missing data. In paragraph (b)(1), we 

propose to define ‘‘missing data’’ as 

instances where the data element is 

blank or missing when a response is 

required. The data element descriptions 

proposed in sections 1355.43 and 

1355.44 identify the circumstances in 

which a blank or missing response may 

be acceptable. For example, the data 

elements regarding second foster parent 

information in section 1355.43(e) must 

be left blank if the title IV–E agency 

previously indicated that the first foster 

parent is single. In such cases, the blank 

response is not missing data. 

This proposal is identical to that in 

the 2008 NPRM; yet, the definition of 

the term ‘‘missing data’’ we propose is 

more specific than is used in the 

existing AFCARS. AFCARS regulations 

currently define the term ‘‘missing data’’ 

to refer to both blank responses and 

invalid responses (discussed below). In 

the 2008 NPRM, we chose not to 

propose the existing definition in 

AFCARS to avoid the common 

confusion that only blank data is 

problematic, and we did not change the 

proposed definition here. 

Finally, as described in the 2008 

NPRM, we want to underscore that title 

IV–E agencies are not permitted to mask 

the fact that they have not obtained 

information by mapping it to a valid, 

but untrue, response option. This 

practice is not permitted as specified in 

the proposed section 1355.42(d), as it 

provides a misleading and inaccurate 

account of the characteristics and 

experiences of the reporting population. 

We did not receive comments on this 

proposal in response to the 2008 NPRM. 

Invalid data. In paragraph (b)(2), we 

propose to define invalid data as any 

instance in which the response that the 

title IV–E agency provides does not 

match one of the valid responses or 

exceeds the possible range of responses 

described in proposed sections 1355.43 

and 1355.44. These types of errors are 

not new. In the existing AFCARS, 

invalid data is known as ‘‘out-of-range’’ 

data. For example, if the response 

options for a data element are ‘‘yes,’’ 

‘‘no’’ and ‘‘abandoned,’’ a title IV–E 

agency’s response of ‘‘unknown’’ is 

invalid data for that data element. A 

revised definition for invalid data was 

first proposed in the 2008 NPRM and 

the proposal here is the same as that 

previously proposed. We did not receive 

any comments on this proposal in 

response to the 2008 NPRM, therefore 

we did not change our proposal. 

Further, in our experience, invalid data 

errors are easily remedied by title IV–E 

agencies. 

Internally inconsistent data. In 

paragraph (b)(3), we propose to define 

internally inconsistent data as those 

data elements that fail a consistency 

check that is designed to validate the 

logical relationship between two or 

more data elements within a record. 

This proposal is the same as that 

proposed in the 2008 NPRM. For 

example, a response of ‘‘permanency 

plan not established’’ described in 

proposed section 1355.43(f)(1) and a 

date provided for the data element ‘‘date 

of permanency plan’’ described in 

proposed section 1355.43(f)(2) are 

internally inconsistent data. We will not 

attempt to determine which of the data 

elements is/are ‘‘likely’’ to be at fault, 

but will identify all data elements 

assessed by the specified internal 

consistency in error. We received 

several comments to the 2008 NPRM 

requesting that ACF include the list of 

internal consistency checks in this 

NPRM. We have chosen not to 

promulgate the internal consistency 

checks through notice and comment 

rulemaking so as to provide maximum 

flexibility to change them as needed. We 

will, however, notify title IV–E agencies 

officially of the internal consistency 

checks. This approach is consistent with 

that taken with the NYTD compliance 

checks. 

As described in the 2008 NPRM, these 

types of errors are not new and there are 

currently internal consistency 

validations outlined in the existing 

AFCARS. However, we have found that 

the existing internal consistency checks, 

while providing an important first step 

to quality data, are not extensive 

enough. Unfortunately, there are a 

number of occasions where a title IV–E 

agency’s data pass all the existing 

internal consistency checks, but upon 

further analysis, ACF and the title 

IV–E agency discover that the data 

provides an inaccurate and unreliable 

picture of children in foster care in the 

title IV–E agency’s placement and care 

responsibility. Based on our experience 

in AFCARS reviews and technical 

assistance, we believe that more internal 

consistency checks, along with other 

assessments to uncover errors, will 

provide us with more reliable and 

consistent data that we can publicize 

and use for our program activities with 

a higher degree of confidence. 

Cross-file errors. In paragraph (b)(4), 

we propose a new type of data error 

known as cross-file errors. This error 

type was first proposed in the 2008 

NPRM, and remains the same as that 

proposal. To determine whether crossfile errors occur, we propose to conduct 

a check to evaluate the data file for 

illogical and/or improbable patterns of 

recurrent response options across all 

applicable records within the out-ofhome care or adoption and guardianship 

assistance data files. For example, if all 

children have the same date of birth in 

the out-of-home care data file, this is 

clearly a cross-file error. We received 

comments from the 2008 NPRM that 

indicated concern over increased 

workload and burden as a result of 

incorporating cross-file checks into the 

mapping of information to AFCARS 

data elements and preparation of 

AFCARS data files for submission. We 

considered these comments carefully, 

and as is the current practice we will 

provide title IV–E agencies with tools 

and assistance to conduct these checks. 

We anticipate that the burden will be 

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minimal, as the extraction code does not 

need to include these checks as it 

should be pulling data that have already 

been checked on an on-going basis via 

other means prior to submission of the 

AFCARS files. In addition, the agency’s 

information system should already have 

certain edits incorporated into data 

fields to prevent the entry of invalid 

data. We ultimately believe that adding 

cross-file checks will assist title IV–E 

agencies and ACF in improving the 

quality of AFCARS data and may 

eventually reduce burden. As with the 

internal consistency checks, we will 

share with title IV–E agencies the 

specific cross-file checks. 

Cross-file checks are not a part of the 

existing AFCARS compliance 

assessments, but are a part of the Data 

Quality Utility. We propose to evaluate 

a title IV–E agency’s data files for crossfile errors to address some common 

problems identified in AFCARS 

assessment reviews. Often these 

problems are a result of underlying 

issues in the programming of the title 

IV–E agency’s information system as 

opposed to data entry errors. 

Tardy transactions. In paragraph 

(b)(5), we propose to define tardy 

transactions as a title IV–E agency’s 

failure to record a child’s removal and 

exit dates in the out-of-home care data 

file (sections 1355.43(d)(2) and (g)(2), 

respectively) within 30 days of those 

events occurring. Assessing a title IV–E 

agency’s data file for tardy transactions 

is consistent with the existing AFCARS 

requirements, and also was proposed in 

the 2008 NPRM. We received comments 

to the 2008 NPRM suggesting that the 

15-day timeframe was patently 

unreasonable and, as these dates cannot 

be corrected, could potentially also be 

counted as an error in subsequent 

submittals. We considered these 

comments, and we modified our 

proposal to allow a title IV–E agency 30 

days to enter transaction dates before 

considering them ‘tardy,’ as opposed to 

the 15-day timeframe proposed in the 

2008 NPRM. We continue to believe that 

ensuring a title IV–E agency’s timely 

entry of removal and exit dates is 

critical to quality data. Additionally, as 

is the current practice in AFCARS, these 

errors are only assessed once. So, if the 

date was not entered in a timely 

manner, it will be assessed out of 

compliance for the report period the 

event occurred only and will not be reassessed in the next and future report 

periods. 

Section 1355.45(c) Data File Standards 

In paragraph (c), we propose a set of 

file submission standards for ACF to 

determine that the title IV–E agency’s 

AFCARS is in compliance. These are 

minimal standards for timeliness, 

formatting and quality information that 

the title IV–E agency must achieve in 

order for us to process the title IV–E 

agency’s data appropriately. This 

proposal is similar to the 2008 NPRM 

proposal, but is modified to apply data 

file standards to both the out-of-home 

care data file as well as the adoption 

records in the adoption and 

guardianship assistance data file. 

Several additional changes are 

incorporated into this proposal that 

were not included in the 2008 NPRM, 

which will be addressed in each of the 

paragraphs below. 

Timely submission. In paragraph 

(c)(1), we propose that the title IV–E 

agency submit both AFCARS data files 

(i.e., out-of-home care and adoption and 

guardianship assistance) according to 

the report periods and timeline (i.e., 

within 30 days of the end of each sixmonth report period) as described in 

section 1355.42(a). This proposal differs 

from both the existing AFCARS 

requirements, which allow 45 days for 

submission, and the proposal in the 

2008 NPRM, which reduced the 

timeframe for submission to 15 days. 

We received numerous comments that 

indicated concern about the 15-day 

submission timeframe proposed in the 

2008 NPRM, and in response to these 

comments, we modified the timeframe 

to allow title IV–E agencies up to 30 

days to submit their AFCARS data files. 

Since the file creation is an automated 

process and data accuracy should be 

incorporated into an agency’s quality 

assurance process and evaluated on an 

on-going basis, we believe that the 30- 

day time frame is an adequate one to 

pull the file and ensure there are no 

transmission errors before the last day of 

the report period. This is not a time for 

the agency to begin assessing the 

accuracy and quality of the data that has 

been entered into the information 

system. 

Proper format. In paragraph (c)(2), we 

propose that a title IV–E agency send us 

its data files in a format that meets our 

specifications, and submit 100 percent 

error-free data on limited basic 

demographic information on the child. 

This requirement was first proposed in 

the 2008 NPRM, and is revised in this 

proposal to apply formatting 

specifications to both AFCARS data 

files, as well as to exempt certain 

optional populations from these 

requirements, as described in section 

1355.45(a). At this time we cannot 

outline the exact transmission method 

and/or formatting requirements for 

AFCARS data, other than specifying that 

submission of AFCARS data files must 

be via an electronic method, as 

previously explained in the discussion 

in section 1355.42(e). However, in our 

experience, improperly formatted data 

files contribute to inefficiencies in our 

ability to process data from title IV–E 

agencies. 

In addition, we propose that the title 

IV–E agency submit 100 percent errorfree data for eleven basic demographic 

data elements described in sections 

1355.43(a)(1) through (a)(4), 

1355.43(b)(1)(i) and (b)(2), 1355.44(a)(1) 

through (a)(3) and 1355.44(b)(1)(i) and 

(b)(2). These data elements describe the 

‘‘title IV–E agency name,’’ ‘‘report date,’’ 

‘‘local agency,’’ ‘‘child record number,’’ 

‘‘child’s date of birth’’ and ‘‘child’s 

gender’’ in both the out-of-home care 

data file and adoption records in the 

adoption and guardianship assistance 

data file. The errors that may be 

applicable to these data elements are 

missing data, invalid data, cross-file 

errors and internally inconsistent data, 

as defined in sections 1355.45(b)(1) 

through (b)(4). This proposal is revised 

slightly from its description in the 2008 

NPRM to include child demographic 

information for the adoption records 

contained in the adoption and 

guardianship assistance data file. 

As we proposed in the 2008 NPRM, 

we propose to require that title IV–E 

agencies have no errors at all for these 

basic demographic data elements 

because they contain information that is 

readily available to the title IV–E agency 

and is essential to our ability to analyze 

the data and determine whether the title 

IV–E agency is in compliance with the 

remaining data standards. For example, 

the child’s date of birth is information 

that all title IV–E agencies collect on 

children in foster care and would 

typically have in their information 

system. Without the child’s date of 

birth, we cannot run some other internal 

consistency or cross-file checks. 

Moreover, we cannot, for example, look 

at the age stratification of children in 

out-of-home care or determine the mean 

age of children adopted from foster care. 

There were a number of commenters 

that opposed the 100 percent reporting 

requirement for basic demographic data 

elements outlined in the 2008 NPRM, 

citing concerns over cost, burden and 

value of information. We considered 

these comments, however, based on our 

experience with the existing AFCARS 

and with NYTD, we have found that 

problems in these data elements are 

often the result of minor errors that can 

be rectified easily. We therefore believe 

that a 100 percent compliance standard 

for these basic and critical data elements 

is appropriate. 

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Acceptable cross-file. In paragraph 

(c)(3), we propose that a title IV–E 

agency’s data file must be free of any 

cross-file errors that exceed the 

acceptable thresholds, as defined by 

ACF, to be in compliance with the 

AFCARS requirements. This data file 

standard is not currently included in 

AFCARS requirements and was first 

proposed in the 2008 NPRM, and our 

proposal here is modified slightly to 

clarify that ACF will establish 

acceptable levels of cross-file errors for 

use in determining compliance in the 

out-of-home care data file and adoption 

records in the adoption and 

guardianship assistance data file with 

this requirement. As stated earlier, we 

believe that cross-file errors indicate a 

systemic problem with the title IV–E 

agency’s reported data. Thus we cannot 

be confident that the information 

accurately reflects the title IV–E 

agency’s reporting populations for the 

out-of-home care and/or adoption and 

guardianship assistance data files. 

Therefore, we believe it appropriate not 

to tolerate such errors in either the outof-home care or adoption and 

guardianship assistance data files. We 

received no comments on this proposal 

in response to the 2008 NPRM. 

Section 1355.45(d) Data Quality 

Standards 

In paragraph (d), we propose a set of 

data quality standards for the title IV– 

E agency to be in compliance with 

AFCARS. These standards are in 

addition to the formatting standards 

described in paragraph (c)(2) of this 

section, and focus on the quality of the 

data that a title IV–E agency provides. 

The data quality standards relate to 

missing data, invalid data and internally 

inconsistent data, as defined in error 

specifications per section 1355.45(b) 

and tardy transactions, as defined in 

paragraph (b)(5) of this section. No more 

than 10 percent total of the data for each 

data element in each of the title IV–E 

agency’s out-of-home care or adoption 

and guardianship assistance data files 

may have these data errors to remain in 

compliance with the AFCARS 

standards. The numerical standard of 10 

percent is consistent with the existing 

AFCARS standards, and also is similar 

to the 2008 NPRM proposal. We 

received a number of comments from 

the 2008 NPRM regarding this proposal, 

specifically concerns about applying 

this 10 percent standard to new data 

elements and suggestions for a phasedin approach to applying the data quality 

standards. We considered these 

comments, however, for reasons 

detailed below, we retain our proposal 

of a 10 percent standard for data quality. 

As described in the 2008 NPRM, we 

considered decreasing the acceptable 

amount of errors permitted in the 

AFCARS data files to no more than five 

percent in order to ensure that we 

receive better quality data. As noted 

earlier, a number of public commenters 

and stakeholders have criticized the 

quality of AFCARS data. Although title 

IV–E agencies and ACF have made great 

strides in improving the quality of data 

over the past few years, we believe there 

is room for significantly more progress. 

Decreasing the acceptable threshold for 

compliance would be one avenue to 

compel title IV–E agencies to continue 

to improve their data. On the other 

hand, by increasing the number and 

breadth of the internal consistency 

checks and adding cross-file checks to 

the range of assessments that we 

perform on a title IV–E agency’s data, 

we are setting a higher bar for 

compliance. Further, we acknowledge 

that by adding new data elements and 

applying compliance standards, 

including error specifications, to the 

adoption records in the adoption and 

guardianship assistance data file and 

requiring that the title IV–E agency 

report historical information for certain 

data elements, we are asking title IV–E 

agencies to report more information that 

will be subject to the compliance 

assessments, thereby increasing the 

likelihood of errors. We believe, 

therefore, that the most appropriate 

balance is to leave the numeric standard 

at 10 percent. 

Section 1355.45(e) Compliance 

Determination and Corrected Data 

In paragraph (e), we propose the 

methodology for determining 

compliance and a title IV–E agency’s 

opportunity to submit corrected data 

where ACF has initially determined that 

the title IV–E agency’s original 

submission does not meet the AFCARS 

standards. These data elements were 

proposed in the 2008 NPRM and are 

slightly modified in this proposal to 

include adoption records in the 

adoption and guardianship assistance 

data file in the compliance 

determination process, and exempt 

specific optional populations, as 

described in section 1355.45(a). The 

comments from the 2008 NPRM on this 

data element were mostly supportive, 

therefore our approach to compliance 

determination is the same. 

In paragraph (e)(1), we propose that 

we first determine whether the title IV– 

E agency’s out-of-home care data file 

and adoption records in the adoption 

and guardianship assistance data file 

meet the data file standards (i.e., timely 

submission, proper format and 

acceptable cross-file) described in 

paragraph (c) of this section. Consistent 

with existing AFCARS practice, we will 

determine compliance for each data file 

separately, meaning that one data file 

may be determined compliant and the 

other data file determined not 

compliant. As stated earlier in the 

description of these standards, we 

believe that if a title IV–E agency’s data 

file cannot meet the data file standards, 

the information contained therein is not 

useful. In particular, if the title IV–E 

agency does not meet the proper format 

standard, we cannot process the title 

IV–E agency’s data files and determine 

if the data files meet the other 

standards. 

In paragraph (e)(2), we propose that 

we will then determine whether the title 

IV–E agency’s out-of-home care data file 

and the adoption records in the 

adoption and guardianship assistance 

data file separately meet the data quality 

standards described in paragraph (d) of 

this section, if the data file standards, 

described in paragraph (c), are satisfied. 

We will calculate the error rates for each 

data element to determine if any one of 

them exceeds the outlined data quality 

standards. This is the same process by 

which we calculate the error rates for 

existing AFCARS data files. 

In paragraph (e)(3), we propose 

procedures for a title IV–E agency to 

submit a corrected data file(s) to ACF if 

the title IV–E agency’s data file(s) does 

not initially meet the data file and data 

quality standards. If the title IV–E 

agency does not meet the data file 

standards or the data quality standards 

(with the exception of the standard for 

tardy transactions, which is discussed 

below), a title IV–E agency will have 

until the deadline for submitting data 

for the subsequent report period to make 

changes to the data and submit the 

corrected data file to ACF. This 

timeframe for the title IV–E agency to 

submit corrected data is mandated by 

section 474(f)(1) of the Act. However, if 

a title IV–E agency does not meet the 

data quality standard related to tardy 

transactions, the title IV–E agency may 

not ‘correct’ these dates. This is because 

according to the removal transaction 

date and exit transaction date data 

elements in sections 1355.43(d)(2) and 

1355.43(g)(2) of the out-of-home care 

data file, these dates must be computer 

generated and non-modifiable to reflect 

the data entry date and cannot be 

modified. The title IV–E agency is not 

permitted to change an entered 

transaction date for these data elements, 

and since the law requires that a title 

IV–E agency have another opportunity 

to submit data files that meet the 

standards, ACF will look towards the 

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transaction date(s) in the title IV–E 

agency’s next regularly submitted outof-home care data file, rather than the 

corrected data file, to determine 

whether the title IV–E agency has 

achieved compliance. 

For example, a title IV–E agency 

submits AFCARS data files for the 

report period ending March 31 on May 

1 (due on April 30). ACF assesses the 

data files and notifies the title IV–E 

agency that the data files have not met 

the timely submission standard or the 

data quality standards for missing data 

and tardy transactions. The title IV–E 

agency must correct the data in the outof-home care data file and the adoption 

records in the adoption and 

guardianship assistance data file so that 

missing data comprises no more than 10 

percent of the applicable records in each 

data element and submit these corrected 

data files on time for the next 

submission by October 30. In addition, 

the title IV–E agency’s data files for the 

report period ending September 30, also 

submitted on October 30, must meet the 

data quality standards related to the 

tardy transactions. If all of these 

conditions are met, and the corrected 

data files contain no new errors in 

excess of the standards, ACF can then 

determine the title IV–E agency’s data 

submission in compliance with the 

AFCARS standards. 

The title IV–E agency need not 

develop an actual corrective action plan 

that outlines how the title IV–E agency 

plans to comply with the data 

standards, as is required in other 

program improvement efforts in child 

welfare (i.e., the current CFSR and title 

IV–E Eligibility Reviews). We believe 

that an actual plan is not necessary in 

this case, as we anticipate that the 

Federal system will identify the errors 

that caused the title IV–E agency’s data 

to be in noncompliance. Furthermore, 

because the period in which a title IV– 

E agency may submit data is relatively 

short, we believe that engaging in a 

process to develop an action plan and 

seek ACF approval will only reduce the 

amount of time the title IV–E agency has 

to make actual improvements that may 

bring the title IV–E agency into 

compliance with the standards. 

Section 1355.45(f) Noncompliance 

In paragraph (f), we propose to 

determine that a title IV–E agency has 

not complied with the AFCARS 

requirements if the title IV–E agency 

either does not submit corrected out-ofhome care and adoption and 

guardianship assistance data files, or 

does not submit corrected data files that 

meet the compliance standards in 

paragraphs (c) and (d) of this section. A 

title IV–E agency will not be found 

noncompliant for failure to collect data 

on, or errors in data pertaining to 

optional populations, specified in 

section 1355.45(a). This final 

determination of noncompliance means 

that ACF will withhold financial 

penalties as outlined in section 1355.46. 

We did not receive substantive 

comments on this section from the 2008 

NPRM. 

Section 1355.45(g) Other Assessments 

In paragraph (g), we propose, as we 

did in the 2008 NPRM, that ACF may 

use other monitoring tools that are not 

explicitly mentioned in regulation to 

determine whether the title IV–E agency 

meets all AFCARS requirements. For 

example, we may wish to continue to 

conduct onsite reviews in some format 

to ensure proper data mapping or 

provide other technical assistance to 

ensure valid and quality data. We 

currently use this approach in AFCARS 

by conducting onsite assessment 

reviews of a title IV–E agency’s process 

to submit AFCARS data, including 

validating that the information in case 

files is accurately portrayed in the 

AFCARS submission. Through these 

assessment reviews we have found that 

title IV–E agencies may be in 

compliance with the AFCARS data 

standards, but not in compliance with 

all the AFCARS requirements. For 

example, through the aforementioned 

error checks, which we expect to be 

conducted automatically upon receipt of 

the data, we cannot determine whether 

the title IV–E agency is submitting the 

entire or the correct reporting 

population. Commenters to the 2008 

NPRM suggested that this section is too 

open-ended, and advocated for full 

disclosure of all proposed assessment 

types. However, through the assessment 

reviews, we have been able to provide 

title IV–E agencies with targeted 

technical assistance on how to meet all 

aspects of the AFCARS requirements. 

We have often heard from States that the 

onsite activities tailored to a title IV–E 

agency’s system and programs are 

beneficial and provide the State with 

valuable technical assistance. Therefore, 

we want to reserve our ability to 

develop and conduct these and other 

monitoring activities for AFCARS, and 

do not want to tie ourselves to a 

particular approach which may need to 

change over time. 

Section 1355.46 Penalties 

In section 1355.46, we propose how 

ACF will assess and take penalties for 

a title IV–E agency’s noncompliance 

with AFCARS requirements outlined in 

section 1355.45. The penalty structure 

we propose is consistent with section 

474(f) of the Act, and is similar to that 

proposed in the 2008 NPRM. 

Commenters to the 2008 NPRM were 

opposed to ACF assessing penalties and 

suggested that we use incentives in lieu 

of or in combination with penalties or 

alternately, allow title IV–E agencies to 

reinvest funds to encourage data quality 

improvement. Commenters in response 

to the 2008 NPRM also suggested that 

we phase-in or delay enforcing the 

penalties. We considered these 

comments, however, Pub. L. 108–145 

added paragraph (f) to section 474 of the 

Act which requires that the Department 

take specific fiscal penalties for a title 

IV–E agency’s lack of compliance with 

AFCARS standards. There is no 

provision in this law for incentives or 

reinvestment. In addition, penalties 

have already been delayed since January 

2002, when we discontinued 

withholding Federal funds for a title 

IV–E agency’s failure to comply with 

AFCARS requirements (see ACYF–CB– 

IM–02–03) and in ACYF–CB–IM–04–04 

we notified title IV–E agencies that we 

would not assess penalties until we 

issue revised final AFCARS regulations, 

the subject of this proposed rule. Title 

IV–E agencies have been aware of our 

proposed penalty structure since the 

2008 NPRM; thus we encourage 

agencies to begin thinking about how 

the proposal will affect their AFCARS 

submissions. 

Section 1355.46(a) Federal Funds 

Subject to a Penalty 

In paragraph (a), we propose that the 

pool of funds that are subject to a 

penalty for noncompliance are the title 

IV–E agency’s claims for title IV–E foster 

care administrative costs for the quarter 

in which the original data file is due (as 

opposed to the corrected data file). 

Therefore, ACF would assess the 

penalty on the title IV–E agency’s claims 

for the third quarter of the Federal fiscal 

year for data files due on April 30, and 

on the first quarter of the Federal fiscal 

year for data files due on October 30. 

Such administrative costs are inclusive 

of claims for training, but would not 

include Statewide or Tribal Automated 

Child Welfare Information System 

(SACWIS/TACWIS) costs. We believe 

that this provision is consistent with the 

statutory language in section 474(f)(2) of 

the Act, which requires that the pool of 

funds subject to the penalty is the 

amount expended by the title IV–E 

agency for administration of foster care 

activities under the title IV–E plan 

approved under this part, meaning all 

title IV–E foster care administrative 

costs. Further, the law specifies that the 

pool be comprised of the title IV–E 

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agency’s claims in the quarter that 

coincides with the report period 

deadline (i.e., the first or third quarter 

of a fiscal year). This proposal is similar 

to that proposed in the 2008 NPRM, but 

is modified slightly to include claims 

for Tribal Automated Child Welfare 

Information Systems in the pool of 

funds that are subject to a penalty for 

noncompliance. This proposal also 

differs from the 2008 NPRM in that we 

are proposing to exclude SACWIS/

TACWIS funding from the pool of funds 

subject to AFCARS penalties. We 

propose to exclude these funds because 

they support more than just the title 

IV–E foster care program (including 

State or Tribal programs not funded by 

title IV–E) and therefore have a broader 

benefit than the ‘‘administration of all 

title IV–E foster care administrative 

costs’’ as required in section 474(f)(2) of 

the Act. 

Commenters in response to the 2008 

NPRM expressed concerns to the 

proposal for this section over the 

assessment of penalties for completing 

various data elements. Specifically, 

commenters were concerned about the 

lack of implementation period in the 

2008 NPRM proposal prior to the 

imposition of penalties, and the 

potential for title IV–E agencies to be 

penalized for not collecting data on new 

elements prior to the implementation of 

the final rule. We acknowledge these 

comments and intend to provide more 

specifics on implementation issues in 

the Final Rule after receiving and 

reviewing comments. 

Section 1355.46(b) Penalty Amounts 

In paragraph (b), we propose specific 

penalty amounts for noncompliance 

consistent with section 474(f)(2) of the 

Act. The statute specifies the amount of 

each penalty for noncompliance and 

requires that penalties continue until 

the title IV–E agency is able to meet the 

standards. It is possible that the 

calculated penalty amounts could be 

smaller than those in the existing 

regulation; however, a penalty that 

continues until a title IV–E agency’s 

data file complies with the AFCARS 

standards provides an incentive for title 

IV–E agencies to correct their data in a 

timely manner. Our proposal for 

paragraphs (b)(1) and (2) is unchanged 

from the 2008 NPRM. 

First six-month period. In paragraph 

(b)(1), we propose to assess a penalty in 

the amount of one sixth of one percent 

of the pool of Federal funds subject to 

a penalty once ACF determines the title 

IV–E agency is out of compliance with 

the AFCARS requirements according to 

section 1355.45(f). This penalty amount 

is specified per section 474(f)(2)(A) of 

the Act. Using fiscal year 2010 claims 

data, we estimate that penalties could 

range from $565 to $228,174 for a title 

IV–E agency’s noncompliance with the 

standards in a single report period. We 

did not receive comments to the 2008 

NPRM or 2010 FR Notice on this 

proposal; therefore we did not change 

our proposal. 

Subsequent six month periods. In 

paragraph (b)(2), we propose to assess a 

penalty in the amount of one fourth of 

one percent of the pool of funds subject 

to a penalty, should the title IV–E 

agency’s noncompliance continue in 

subsequent six-month periods. This 

penalty amount is also specified per 

section 474(f)(2)(B) of the Act. Using FY 

2010 data, we estimate that the penalty 

for subsequent noncompliance could 

range from $1,413 to $570,434 per 

report period. Commenters to the 2008 

NPRM asked for clarification on our 

proposal for assessing penalties in 

subsequent six month report periods. As 

in the 2008 NPRM, we propose now to 

assess penalties for a data file for each 

report period. For example, a data file 

submitted for the first six month report 

period would be assessed for 

compliance apart of the data file 

submitted for the second six month 

report period. If the data file that is 

submitted for the first six month report 

period is determined to be out of 

compliance, then a penalty based on 

paragraph (b)(1) of this section could be 

assessed, regardless of whether the data 

file submitted for the second six month 

report period is determined to be in 

compliance. Additionally, if that same 

data file continues to be determined out 

of compliance in subsequent corrective 

submissions, then the penalty described 

in paragraph (b)(2) of this section could 

be assessed. 

Commenters to the 2008 NPRM also 

expressed concern that because we are 

proposing to require title IV–E agencies 

to submit longitudinal data files, it is 

possible that certain data elements that 

are not permitted to be corrected could 

forever subject a title IV–E agency to 

penalties for errors. While this scenario 

is possible, we believe it is unlikely in 

most cases. Section 1355.45(d) describes 

that the AFCARS data file(s) would 

need to be determined to be out of 

compliance for 10 percent of the data 

quality standards in each of the areas of 

missing data, invalid data, internally 

inconsistent data, and tardy 

transactions. Although there are few 

data elements that a title IV–E agency is 

not permitted to correct (for example the 

transaction dates in sections 

1355.43(d)(2) and (g)(2)); even if 

multiple transactions are determined to 

be incorrect, this does not mean that the 

title IV–E agency would be determined 

to be out of compliance based on the 10 

percent data quality standard. The title 

IV–E agency also has an opportunity 

after the initial period in which a 

penalty is assessed to correct other data 

elements that may be determined to be 

incorrect, therefore a title IV–E agency 

could, in the end, lower their error rate 

to not exceed the 10 percent data quality 

standard. 

Section 1355.46(c) Penalty Reduction 

From Foster Care Funding 

In paragraph (c), we propose to take 

an assessed penalty by reducing the title 

IV–E agency’s title IV–E foster care 

funding following ACF’s determination 

of noncompliance. Our proposal is 

unchanged from that described in the 

2008 NPRM. Commenters to the 2008 

NPRM expressed general opposition to 

our proposal to take the penalty amount 

from the agency’s title IV–E foster care 

reimbursement. However, section 

474(f)(2) of the Act is specific that the 

penalty must be assessed on the total 

amount expended by the title IV–E 

agency for administration of foster care 

activities under the title IV–E plan. 

Section 1355.46(d) Appeals 

In paragraph (d), we propose to 

provide the title IV–E agency with an 

opportunity to appeal a final 

determination that the title IV–E agency 

is out of compliance inclusive of 

accompanying financial penalties to the 

HHS Departmental Appeals Board 

(DAB). Since section 474(f) of the Act 

does not require any unique appeal 

rights or time frames regarding AFCARS 

requirements, all appeals must follow 

the DAB regulations in 45 CFR part 16. 

We did not receive comments to the 

2008 NPRM on this proposal. 

We propose not to retain language 

that was newly proposed in the 2008 

NPRM that a title IV–E agency be liable 

for applicable interest on the amount of 

funds we penalize, in accordance with 

the regulations at 45 CFR 30.18. This 

language was added to the 2008 NPRM 

to be consistent with Department-wide 

regulations and policy on collecting 

debts owed to the Federal government, 

however, upon further consideration, 

we believe that the provision requiring 

ACF to offset a title IV–E agency’s grant 

award in the amount of the penalty 

(section 1355.46(c)) makes the need for 

such language obsolete. 

Appendices 

We propose to remove all of the 

appendices to 45 CFR part 1355 because 

they contain provisions and charts that 

are being substantively altered or made 

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obsolete by the provisions of this 

NPRM. 

Appendix A contains the data 

element definitions and instructions for 

the existing foster care file. We propose 

instead the out-of-home care data file at 

proposed section 1355.43. Appendix B 

contains the adoption data element 

definitions and instructions for the 

existing adoption data file. We propose 

instead that the adoption data file be 

deleted and information pertaining to 

adoption be incorporated into the outof-home care data file at proposed 

section 1355.43(h). The adoption and 

guardianship assistance data file is 

proposed at section 1355.44. Appendix 

C contains existing technical file 

submission details. We explained in the 

discussion of section 1355.42(e) that we 

propose not to regulate file submission 

provisions. Appendix D contains the 

existing foster care and adoption data 

file layout and summary data file 

details. We explained in the discussion 

on section 1355.42(a) that we are 

eliminating the summary data files and 

explained in section 1355.42(e) that we 

are not regulating file layout. Appendix 

E contains the existing data standards. 

We propose instead data standards in 

proposed section 1355.45. We did not 

receive comments to the 2008 NPRM on 

this proposal. 

ATTACHMENT A—PROPOSED OUT-OF-HOME CARE DATA FILE ELEMENTS

Category Element Response options Section citation 

General information ............. Title IV–E agency ...................................... Name ......................................................... 1355.43(a)(1) 

Report date ................................................ Date ........................................................... 1355.43(a)(2) 

Local agency ............................................. Name ......................................................... 1355.43(a)(3) 

Child record number .................................. Number ...................................................... 1355.43(a)(4) 

Child Information ................. Child’s date of birth ................................... Date ........................................................... 1355.43(b)(1)(i) 

Child born in the United States ................. Yes ............................................................

No. 

1355.43(b)(1)(ii) 

Child’s sex ................................................. Male ...........................................................

Female. 

1355.43(b)(2) 

Child’s race: 

—Race—American Indian or Alaska 

Native.

Yes ............................................................

No. 

1355.43(b)(3)(i) 

—Race—Asian ................................... Yes ............................................................

No. 

1355.43(b)(3)(ii) 

—Race—Black or African American .. Yes ............................................................

No. 

1355.43(b)(3)(iii) 

—Race—Native Hawaiian or Other 

Pacific Islander.

Yes ............................................................

No. 

1355.43(b)(3)(iv) 

—Race—White ................................... Yes ............................................................

No. 

1355.43(b)(3)(v) 

—Race—Unknown ............................. Yes ............................................................

No. 

1355.43(b)(3)(vi) 

—Race—Abandoned ......................... Yes ............................................................

No. 

1355.43(b)(3)(vii) 

—Race—Declined .............................. Yes ............................................................

No. 

1355.43(b)(3)(viii) 

Child’s Hispanic or Latino ethnicity ........... Yes ............................................................ 1355.43(b)(4) 

No. 

Unknown. 

Abandoned. 

Declined. 

Date of health assessment ....................... Date ........................................................... 1355.43(b)(5) 

Timely health assessment ......................... Yes ............................................................

No. 

1355.43(b)(6) 

Health, behavioral or mental health conditions.Child has a diagnosed condition. ..............

No exam or assessment conducted. ........

Exam or assessment conducted and none 

of the conditions apply..

Exam or assessment conducted but results not received..

1355.43(b)(7) 

—Intellectual disability ........................ Existing condition ......................................

Previous condition. 

Does not apply. .........................................

1355.43(b)(7)(i) 

—Visually impaired ............................ Existing condition ......................................

Previous condition. 

Does not apply. 

1355.43(b)(7)(ii) 

—Hearing impaired ............................ Existing condition ......................................

Previous condition. 

Does not apply. 

1355.43(b)(7)(iii) 

—Physically disabled ......................... Existing condition ......................................

Previous condition. 

Does not apply. 

1355.43(b)(7)(iv) 

—Anxiety disorder .............................. Existing condition ......................................

Previous condition. 

Does not apply. 

1355.43(b)(7)(v) 

—Childhood disorders ........................ Existing condition ......................................

Previous condition. 

Does not apply. 

1355.43(b)(7)(vi) 

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ATTACHMENT A—PROPOSED OUT-OF-HOME CARE DATA FILE ELEMENTS—Continued 

Category Element Response options Section citation 

—Learning disability ........................... Existing condition ......................................

Previous condition. 

Does not apply. 

1355.43(b)(7)(vii) 

—Substance use related disorder ..... Existing condition ......................................

Previous condition. 

Does not apply. 

1355.43(b)(7)(viii) 

—Developmental disability ................. Existing condition ......................................

Previous condition. 

Does not apply. 

1355.43(b)(7)(ix) 

—Other mental/emotional disorder .... Existing condition ......................................

Previous condition. 

Does not apply. 

1355.43(b)(7)(x) 

—Other diagnosed condition ............. Existing condition ......................................

Previous condition. 

Does not apply. 

1355.43(b)(7)(xi) 

—Pregnant ......................................... Existing condition ......................................

Previous condition. 

Does not apply. 

1355.43(b)(7)(xii) 

School enrollment ...................................... Elementary ................................................ 1355.43(b)(8) 

Secondary. 

Post-secondary education or training. 

College. 

Not school-age. 

Not enrolled.

Educational level ....................................... Not school-age .......................................... 1355.43(b)(9) 

Kindergarten. 

1st grade. 

2nd grade. 

3rd grade. 

4th grade. 

5th grade. 

6th grade. 

7th grade. 

8th grade. 

9th grade. 

10th grade. 

11th grade. 

12th grade. 

Post-secondary education or training. 

College. 

Educational stability ................................... Yes ............................................................

No. 

1355.43(b)(10) 

—Proximity ......................................... Applies .......................................................

Does not apply. 

1355.43(b)(10)(i) 

—District/zoning rules ........................ Applies .......................................................

Does not apply. 

1355.43(b)(10)(ii) 

—Residential facility ........................... Applies .......................................................

Does not apply. 

1355.43(b)(10)(iii) 

—Services/programs .......................... Applies .......................................................

Does not apply. 

1355.43(b)(10)(iv) 

—Child request .................................. Applies .......................................................

Does not apply. 

1355.43(b)(10)(v) 

—Parent/Legal Guardian request ...... Applies .......................................................

Does not apply. 

1355.43(b)(10)(vi) 

—Other ............................................... Applies .......................................................

Does not apply. 

1355.43(b)(10)(vii) 

Special education ...................................... IEP .............................................................

IFSP. 

Not applicable. 

1355.43(b)(11) 

IDEA Qualifying disability: 

—Developmental delay ...................... Applies .......................................................

Does not apply. 

1355.43(b)(12)(i) 

—Autism ............................................. Applies .......................................................

Does not apply. 

1355.43(b)(12)(ii) 

—Hearing impairment (including deafness).Applies .......................................................

Does not apply. 

1355.43(b)(12)(iii) 

—Emotional disturbance .................... Applies .......................................................

Does not apply. 

1355.43(b)(12)(iv) 

—Intellectual Disability ....................... Applies .......................................................

Does not apply. 

1355.43(b)(12)(v) 

—Orthopedic impairment ................... Applies .......................................................

Does not apply. 

1355.43(b)(12)(vi) 

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ATTACHMENT A—PROPOSED OUT-OF-HOME CARE DATA FILE ELEMENTS—Continued 

Category Element Response options Section citation 

—Other health impairment ................. Applies .......................................................

Does not apply. 

1355.43(b)(12)(vii) 

—Specific learning disability .............. Applies .......................................................

Does not apply. 

1355.43(b)(12)(viii) 

—Speech and language impairment Applies .......................................................

Does not apply. 

1355.43(b)(12)(ix) 

—Traumatic brain injury ..................... Applies .......................................................

Does not apply. 

1355.43(b)(12)(x) 

—Visual impairments (including blindness).Applies .......................................................

Does not apply. 

1355.43(b)(12)(xi) 

—Other ............................................... Applies .......................................................

Does not apply. 

1355.43(b)(12)(xii) 

Prior adoption(s) ........................................ Yes ............................................................

No. 

Abandoned. 

1355.43(b)(13) 

Prior adoption date(s) ................................ Date(s) ....................................................... 1355.43(b)(13)(i) 

Prior adoption type(s) ................................ Foster care adoption within State or Tribal 

service area.

1355.43(b)(13)(ii) 

Foster care adoption in another State or 

Tribal service area. 

Intercountry adoption. 

Other private or independent adoption. 

Prior adoption jurisdiction(s) ...................... Name ......................................................... 1355.43(b)(13)(iii) 

Prior guardianship(s) ................................. Yes ............................................................

No. 

Abandoned. 

1355.43(b)(14) 

Prior guardianship date(s) ......................... Date(s) ....................................................... 1355.43(b)(14)(i) 

Prior guardianship type(s) ......................... Foster care guardianship within State or 

Tribal service area.

1355.43(b)(14)(ii) 

Foster care guardianship in another State 

or Tribal service area. 

Other private or independent guardianship. 

Prior guardianship jurisdiction(s) ............... Name ......................................................... 1355.43(b)(14)(iii) 

Minor parent .............................................. Number ...................................................... 1355.43(b)(15) 

Child financial and medical assistance ..... Child has received support/assistance .....

No support/assistance received. 

1355.43(b)(16) 

—SSI or Social Security benefits ....... Applies .......................................................

Does not apply. 

1355.43(b)(16)(i) 

—Title XIX Medicaid .......................... Applies .......................................................

Does not apply. 

1355.43(b)(16)(ii) 

—Title XXI SCHIP .............................. Applies .......................................................

Does not apply. 

1355.43(b)(16)(iii) 

—State/Tribal adoption assistance .... Applies .......................................................

Does not apply. 

1355.43(b)(16)(iv) 

—State/Tribal foster care ................... Applies .......................................................

Does not apply. 

1355.43(b)(16)(v) 

—Child support .................................. Applies .......................................................

Does not apply. 

1355.43(b)(16)(vi) 

—Other ............................................... Applies .......................................................

Does not apply. 

1355.43(b)(16)(vii) 

Title IV–E foster care during report period Yes ............................................................

No. 

1355.43(b)(17) 

Victim of sex trafficking prior to entering 

foster care.

Yes ............................................................

No. 

1355.43(b)(18) 

—Report to Law Enforcement ........... Yes ............................................................

No. 

1355.43(b)(18)(i) 

—Date ................................................ Date ........................................................... 1355.43(b)(18)(ii) 

Victim of sex trafficking while in foster 

care.

Yes ............................................................

No. 

1355.43(b)(19) 

—Report to Law Enforcement ........... Yes ............................................................

No. 

1355.43(b)(19)(i) 

—Date ................................................ Date ........................................................... 1355.43(b)(19)(ii) 

Parent or legal guardian information.Year of birth of first parent or legal guardian.Date ...........................................................

Abandoned. 

1355.43(c)(1)(i) 

First parent or legal guardian born in the 

United States.

Yes ............................................................

No. 

Abandoned. 

1355.43(c)(1)(ii) 

Year of birth of second parent or legal 

guardian.

Date ...........................................................

Abandoned. 

Not applicable. 

1355.43(c)(2)(i) 

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Category Element Response options Section citation 

Second parent or legal guardian born in 

the United States.

Yes ............................................................

No. 

Abandoned. 

Not applicable. 

1355.43(c)(2)(ii) 

Termination of parental rights petition ...... Date(s) .......................................................

Deceased. 

1355.43(c)(3)(i) 

Termination of parental rights ................... Date(s) ....................................................... 1355.43(c)(3)(ii) 

Date of judicial finding of abuse or neglect Date ...........................................................

No date. 

1355.43(c)(4) 

Removal information ........... Date of child’s removal .............................. Date(s) ....................................................... 1355.43(d)(1) 

Removal transaction date ......................... Date(s) ....................................................... 1355.43(d)(2) 

Environment at removal ............................ Parent household ...................................... 1355.43(d)(3) 

Relative household. 

Legal guardian household. 

Justice facility. 

Medical/mental health facility. 

Other. 

Authority for placement and care responsibility.Court ordered ............................................

Voluntary placement agreement. 

Not yet determined. 

1355.43(d)(4) 

Child and family circumstances at removal: 

—Runaway ......................................... Applies .......................................................

Does not apply. 

1355.43(d)(5)(i) 

—Whereabouts unknown ................... Applies .......................................................

Does not apply. 

1355.43(d)(5)(ii) 

—Physical abuse ............................... Applies .......................................................

Does not apply. 

1355.43(d)(5)(iii) 

—Sexual abuse .................................. Applies .......................................................

Does not apply. 

1355.43(d)(5)(iv) 

—Psychological or emotional abuse .. Applies .......................................................

Does not apply. 

1355.43(d)(5)(v) 

—Neglect ............................................ Applies .......................................................

Does not apply. 

1355.43(d)(5)(vi) 

—Medical neglect ............................... Applies .......................................................

Does not apply. 

1355.43(d)(5)(vii) 

—Domestic violence .......................... Applies .......................................................

Does not apply. 

1355.43(d)(5)(viii) 

—Abandonment ................................. Applies .......................................................

Does not apply. 

1355.43(d)(5)(ix) 

—Failure to return .............................. Applies .......................................................

Does not apply. 

1355.43(d)(5)(x) 

—Caretaker’s alcohol abuse .............. Applies .......................................................

Does not apply. 

1355.43(d)(5)(xi) 

—Caretaker’s drug abuse .................. Applies .......................................................

Does not apply. 

1355.43(d)(5)(xii) 

—Child alcohol use ............................ Applies .......................................................

Does not apply. 

1355.43(d)(5)(xiii) 

—Child drug use ................................ Applies .......................................................

Does not apply. 

1355.43(d)(5)(xiv) 

—Prenatal alcohol exposure .............. Applies .......................................................

Does not apply. 

1355.43(d)(5)(xv) 

—Prenatal drug exposure .................. Applies .......................................................

Does not apply. 

1355.43(d)(5)(xvi) 

—Diagnosed condition ....................... Applies .......................................................

Does not apply. 

1355.43(d)(5)(xvii) 

—Inadequate access to mental health 

services.

Applies .......................................................

Does not apply. 

1355.43(d)(5)(xviii) 

—Inadequate access to medical services.Applies .......................................................

Does not apply. 

1355.43(d)(5)(xix) 

—Child behavior problem .................. Applies .......................................................

Does not apply. 

1355.43(d)(5)(xx) 

—Death of caretaker .......................... Applies .......................................................

Does not apply. 

1355.43(d)(5)(xxi) 

—Incarceration of caretaker ............... Applies .......................................................

Does not apply. 

1355.43(d)(5)(xxii) 

—Caretakers significant impairment— 

physical/emotional.

Applies .......................................................

Does not apply. 

1355.43(d)(5)(xxiii) 

—Caretaker’s significant impairment—cognitive.Applies .......................................................

Does not apply. 

1355.43(d)(5)(xxiv) 

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Category Element Response options Section citation 

—Inadequate housing ........................ Applies .......................................................

Does not apply. 

1355.43(d)(5)(xxv) 

—Voluntary relinquishment for adoption.Applies .......................................................

Does not apply. 

1355.43(d)(5)(xxvi) 

—Child requested placement ............. Applies .......................................................

Does not apply. 

1355.43(d)(5)(xxvii) 

Living arrangement and provider information.Date of living arrangement ........................ Date(s) ....................................................... 1355.43(e)(1) 

Foster family home .................................... Yes ............................................................

No. 

1355.43(e)(2) 

Foster family home type: 

—Licensed home ............................... Applies .......................................................

Does not apply. 

1355.43(e)(3)(i) 

—Therapeutic foster family home ...... Applies .......................................................

Does not apply. 

1355.43(e)(3)(ii) 

—Shelter care foster family home ..... Applies .......................................................

Does not apply. 

1355.43(e)(3)(iii) 

—Relative foster family home ............ Applies .......................................................

Does not apply. 

1355.43(e)(3)(iv) 

—Pre-adoptive home ......................... Applies .......................................................

Does not apply. 

1355.43(e)(3)(v) 

—Kin foster family home .................... Applies .......................................................

Does not apply. 

1355.43(e)(3)(vi) 

Other living arrangement type ................... Group home-family operated .................... 1355.43(e)(4) 

Group home-staff operated. 

Group home-shelter care. 

Residential treatment center. 

Child care institution. 

Child care institution-shelter care. 

Supervised independent living. 

Juvenile justice facility. 

Medical or rehabilitative facility. 

Psychiatric hospital. 

Runaway. 

Whereabouts unknown. 

Placed at home. 

Private agency living arrangement ............ Private agency involvement ......................

No private agency involvement. 

1355.43(e)(5) 

Location of living arrangement .................. Out-of-State or out-of-Tribal service area 1355.43(e)(6) 

In-State or in-Tribal service area. 

Out-of-country. 

Runaway or whereabouts unknown. 

Jurisdiction or country where child is living Name ......................................................... 1355.43(e)(7) 

Number of siblings in out-of-home care .... Number ......................................................

Not applicable. 

1355.43(e)(8) 

Siblings placed together in out-of-home 

care.

Child record number(s) ............................. 1355.43(e)(9) 

Siblings in out-of-home care not living 

with child.

Child record number(s) ............................. 1355.43(e)(10) 

Number of siblings in an adoption or legal 

guardianship.

Number ......................................................

Not applicable. 

1355.43(e)(11) 

Siblings in adoptive/guardianship placements living with child.Child record number(s) ............................. 1355.43(e)(12) 

Siblings in adoptive/guardianship placements not living with child.Child record number(s) ............................. 1355.43(e)(13) 

Number of children living with the minor 

parent.

Number ...................................................... 1355.43(e)(14) 

Marital status of the foster parent(s) ......... Married couple ........................................... 1355.43(e)(15) 

Unmarried couple. 

Separated. 

Single female. 

Single male. 

Child’s relationship to the foster parent(s) Paternal grandparent(s) ............................

Maternal grandparent(s). 

Other paternal relative(s). 

Other maternal relative(s). 

Sibling(s). 

Non relative(s). 

Kin. 

1355.43(e)(16) 

Year of birth for first foster parent ............. Date ........................................................... 1355.43(e)(17)

Race of first foster parent: 

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Category Element Response options Section citation 

—Race—American Indian or Alaska 

Native.

Yes ............................................................

No. 

1355.43(e)(18)(i) 

—Race—Asian ................................... Yes ............................................................

No. 

1355.43(e)(18)(ii). 

—Race—Black or African American .. Yes ............................................................

No. 

1355.43(e)(18)(iii). 

—Race—Native Hawaiian or Other 

Pacific Islander.

Yes ............................................................

No. 

1355.43(e)(18)(iv). 

—Race—White ................................... Yes ............................................................

No. 

1355.43(e)(18)(v). 

—Race—Unknown ............................. Yes ............................................................

No. 

1355.43(e)(18)(vi). 

—Race—Declined .............................. Yes ............................................................

No. 

1355.43(e)(18)(vii). 

Hispanic or Latino ethnicity of first foster 

parent.

Yes ............................................................

No. 

Unknown. 

Declined. 

1355.43(e)(19). 

Year of birth for second foster parent ....... Date ........................................................... 1355.43(e)(20) 

Race of second foster parent: 

—Race—American Indian or Alaska 

Native.

Yes ............................................................

No. 

1355.43(e)(21)(i). 

—Race—Asian ................................... Yes ............................................................

No. 

1355.43(e)(21)(ii) 

—Race—Black or African American .. Yes ............................................................

No. 

1355.43(e)(21)(iii) 

—Race—Native Hawaiian or Other 

Pacific Islander.

Yes ............................................................

No. 

1355.43(e)(21)(iv) 

—Race—White ................................... Yes ............................................................

No. 

1355.43(e)(21)(v) 

—Race—Unknown ............................. Yes ............................................................

No. 

1355.43(e)(21)(vi) 

—Race—Declined .............................. Yes ............................................................

No. 

1355.43(e)(21)(vii) 

Hispanic or Latino ethnicity of second foster parent.Yes ............................................................

No. 

Unknown. 

Declined. 

1355.43(e)(22) 

Sources of Federal assistance in living arrangement 

—Title IV–E foster care ...................... Applies .......................................................

Does not apply. 

1355.43(e)(23)(i) 

—Title IV–E adoption subsidy ............ Applies .......................................................

Does not apply. 

1355.43(e)(23)(ii) 

—Title IV–E guardianship assistance Applies .......................................................

Does not apply. 

1355.43(e)(23)(iii) 

—Title IV–A TANF ............................. Applies .......................................................

Does not apply. 

1355.43(e)(23)(iv) 

—Title IV–B ........................................ Applies .......................................................

Does not apply. 

1355.43(e)(23)(v) 

—SSBG .............................................. Applies .......................................................

Does not apply. 

1355.43(e)(23)(vi) 

—Chafee Foster Care ........................ Applies .......................................................

Does not apply. 

1355.43(e)(23)(vii) 

Independence Program ............................. Does not apply.

—Other Federal source ..................... Applies .......................................................

Does not apply. 

1355.43(e)(23)(viii) 

Amount of payment ................................... Dollar amount ............................................ 1355.43(e)(24). 

Services provided in other living arrangements.Yes ............................................................

No. 

1355.43(e)(25) 

—Specialized education ..................... Applies .......................................................

Does not apply. 

1355.43(e)(25)(i) 

—Treatment ....................................... Applies .......................................................

Does not apply. 

1355.43(e)(25)(ii) 

—Counseling ...................................... Applies .......................................................

Does not apply. 

1355.43(e)(25)(iii) 

—Other services ................................ Applies .......................................................

Does not apply. 

1355.43(e)(25)(iv) 

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Category Element Response options Section citation 

Permanency planning ......... Permanency plan ...................................... Reunify with parent(s) or legal guardian(s) 

Live with other relatives. 

Adoption. 

Guardianship. 

Planned permanent living arrangement. 

Permanency plan not established. 

1355.43(f)(1) 

Date of permanency plan .......................... Date(s) ....................................................... 1355.43(f)(2) 

Concurrent permanency planning ............. Concurrent permanency plan ....................

No concurrent permanency plan. 

Not applicable. 

1355.43(f)(3) 

Concurrent permanency plan .................... Live with other relatives ............................

Adoption. 

Guardianship. 

Planned permanent living arrangement. 

1355.43(f)(3)(i) 

Date of concurrent permanency plan ........ Date(s) ....................................................... 1355.43(f)(3)(ii) 

Reason for permanency plan change ....... Yes ............................................................

No. 

1355.43(f)(4) 

—Not engaged in services ................. Applies .......................................................

Does not apply. 

1355.43(f)(4)(i) 

—Lack of progress in reunification 

plan.

Applies .......................................................

Does not apply. 

1355.43(f)(4)(ii) 

—Unable/incapable of caring for child 

permanently.

Applies .......................................................

Does not apply. 

1355.43(f)(4)(iii) 

—Reunification appropriate ................ Applies .......................................................

Does not apply. 

1355.43(f)(4)(iv) 

—Child preference ............................. Applies .......................................................

Does not apply. 

1355.43(f)(4)(v) 

—Adoption/guardianship appropriate Applies .......................................................

Does not apply. 

1355.43(f)(4)(vi) 

—Current foster care provider committed to permanency.Applies .......................................................

Does not apply. 

1355.43(f)(4)(vii) 

—Emancipation likely ......................... Applies .......................................................

Does not apply. 

1355.43(f)(4)(viii) 

Date of periodic review ............................. Date(s) ....................................................... 1355.43(f)(5)

Date of permanency hearing ..................... Date(s) ....................................................... 1355.43(f)(6) 

Juvenile justice .......................................... Status offender ..........................................

Adjudicated delinquent. 

Both status offender and delinquent. 

Not applicable. 

1355.43(f)(7) 

Caseworker visit dates .............................. Date(s) ....................................................... 1355.43(f)(8)

Caseworker visit location .......................... Child’s residence .......................................

Other location. 

1355.43(f)(9) 

Caseworker visit purpose .......................... Assessment or case planning ...................

Placement of the child. 

Transportation. 

Court hearing. 

1355.43(f)(10) 

Caseworker visit alone with child .............. Yes ............................................................

No. 

1355.43(f)(11). 

Transition plan ........................................... Yes ............................................................

No. 

Not applicable. 

1355.43(f)(12) 

—Housing ........................................... Applies .......................................................

Does not apply. 

1355.43(f)(12)(i) 

—Health insurance ............................. Applies .......................................................

Does not apply. 

1355.43(f)(12)(ii) 

—Health care treatment decisions ..... Applies .......................................................

Does not apply. 

1355.43(f)(12)(iii) 

—Education ........................................ Applies .......................................................

Does not apply. 

1355.43(f)(12)(iv) 

—Mentoring and continuing support .. Applies .......................................................

Does not apply. 

1355.43(f)(12)(v) 

—Work force support and employment services.Applies .......................................................

Does not apply. 

1355.43(f)(12)(vi) 

Date of transition plan ............................... Date ........................................................... 1355.43(f)(13) 

General exit information ...... Date of exit ................................................ Date(s) ....................................................... 1355.43(g)(1) 

Exit transaction date .................................. Date(s) ....................................................... 1355.43(g)(2) 

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Category Element Response options Section citation 

Exit reason ................................................ Not applicable ............................................

Reunify with parent(s)/legal guardian(s). 

Live with other relatives. 

Adoption. 

Emancipation. 

Guardianship. 

Runaway or whereabouts unknown. 

Death of child. 

Transfer to another agency. 

Other. 

1355.43(g)(3) 

Transfer to another agency ....................... State title IV–E agency ..............................

Tribal title IV–E agency. 

Indian Tribe or Tribal agency (non-IV–E). 

Juvenile justice agency. 

Mental health agency. 

Other public agency. 

Private agency. 

1355.43(g)(4) 

Exit to adoption and guardianship information.Marital status of the adoptive parent(s) or 

guardian(s).

Married couple ...........................................

Unmarried couple. 

Single female. 

Single male. 

1355.43(h)(1) 

Child’s relationship to the adoptive parent(s) or guardian(s): 

—Paternal grandparent(s) .................. Applies .......................................................

Does not apply. 

1355.43(h)(2)(i) 

—Maternal grandparent(s) ................. Applies .......................................................

Does not apply. 

1355.43(h)(2)(ii) 

—Other paternal relative(s) ................ Applies .......................................................

Does not apply. 

1355.43(h)(2)(iii) 

—Other maternal relative(s) ............... Applies .......................................................

Does not apply. 

1355.43(h)(2)(iv) 

—Sibling(s) ......................................... Applies .......................................................

Does not apply. 

1355.43(h)(2)(v) 

—Kin ................................................... Applies .......................................................

Does not apply. 

1355.43(h)(2)(vi) 

—Non-relative(s) ................................ Applies .......................................................

Does not apply. 

1355.43(h)(2)(vii) 

—Foster parent(s) .............................. Applies .......................................................

Does not apply. 

1355.43(h)(2)(viii) 

Date of birth of first adoptive parent or 

guardian.

Date ........................................................... 1355.43(h)(3). 

Race of first adoptive parent or guardian: 

—Race—American Indian or Alaska 

Native.

Yes ............................................................

No. 

1355.43(h)(4)(i) 

—Race—Asian ................................... Yes ............................................................

No. 

1355.43(h)(4)(ii) 

—Race—Black or African American .. Yes ............................................................

No. 

1355.43(h)(4)(iii) 

—Race—Native Hawaiian or Other 

Pacific Islander.

Yes ............................................................

No. 

1355.43(h)(4)(iv) 

—Race—White ................................... Yes ............................................................

No. 

1355.43(h)(4)(v) 

—Race—Unknown ............................. Yes ............................................................

No. 

1355.43(h)(4)(vi) 

—Race—Declined .............................. Yes ............................................................

No. 

1355.43(h)(4)(vii) 

Hispanic or Latino ethnicity of first adoptive parent or guardian.Yes ............................................................

No. 

Unknown. 

Declined. 

1355.43(h)(5) 

Date of birth of second adoptive parent, 

guardian, or other member of the couple.

Date ........................................................... 1355.43(h)(6) 

Race of second adoptive parent, guardian, or other member of the couple: 

—Race—American Indian or Alaska 

Native.

Yes ............................................................

No. 

1355.43(h)(7)(i) 

—Race—Asian ................................... Yes ............................................................

No. 

1355.43(h)(7)(ii) 

—Race—Black or African American .. Yes ............................................................

No. 

1355.43(h)(7)(iii) 

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Category Element Response options Section citation 

—Race—Native Hawaiian or Other 

Pacific Islander.

Yes ............................................................

No. 

1355.43(h)(7)(iv) 

—Race—White ................................... Yes ............................................................

No. 

1355.43(h)(7)(v) 

—Race—Unknown ............................. Yes ............................................................

No. 

1355.43(h)(7)(vi) 

—Race—Declined .............................. Yes ............................................................

No. 

1355.43(h)(7)(vii) 

Hispanic or Latino ethnicity of second 

adoptive parent, guardian, or other 

member of the couple.

Yes ............................................................

No. 

Unknown. 

Declined. 

1355.43(h)(8) 

Inter/Intrajurisdictional adoption or guardianship.Interjurisdictional adoption or guardianship..

Intercountry adoption or guardianship. 

Intrajurisdictional adoption or guardianship. 

1355.43(h)(9) 

Interjurisdictional adoption or guardianship 

jurisdiction.

Name ......................................................... 1355.43(h)(10) 

Adoption or guardianship placing agency Title IV–E agency ......................................

Private agency under agreement. 

Indian Tribe under contract/agreement. 

1355.43(h)(11) 

ATTACHMENT B—PROPOSED ADOPTION AND GUARDIANSHIP ASSISTANCE DATA FILE ELEMENTS

[* Title IV–E Only] 

Category Element Response options Section citation 

General information ............. Title IV–E agency ..................................... Name ........................................................ 1355.44(a)(1) 

Report Date .............................................. Date .......................................................... 1355.44(a)(2) 

Child Record Number .............................. Number .................................................... 1355.44(a)(3) 

Child Demographics ............ Child’s date of birth .................................. Date .......................................................... 1355.44(b)(1)(i) 

Child born in the United States ................ Yes ...........................................................

No. 

1355.44(b)(1)(ii) 

Child’s sex ................................................ Male .........................................................

Female. 

1355.44(b)(2) 

Child’s race: 

—Race—American Indian or Alaska 

Native.

Yes ...........................................................

No. 

1355.44(b)(3)(i) 

—Race—Asian .................................. Yes ...........................................................

No. 

1355.44(b)(3)(ii) 

—Race—Black or African American Yes ...........................................................

No. 

1355.44(b)(3)(iii) 

—Race—Native Hawaiian or other 

Pacific Islander.

Yes ...........................................................

No. 

1355.44(b)(3)(iv) 

—Race—White ................................. Yes ...........................................................

No. 

1355.44(b)(3)(v) 

—Race—Unknown ............................ Yes ...........................................................

No. 

1355.44(b)(3)(vi) 

—Race—Abandoned ........................ Yes ...........................................................

No. 

1355.44(b)(3)(vii) 

—Race—Declined ............................. Yes ...........................................................

No. 

1355.44(b)(3)(viii) 

Hispanic or Latino Ethnicity ..................... Yes ........................................................... 1355.44(b)(4) 

No. 

Unknown. 

Abandoned. 

Declined. 

Adoption and guardianship 

assistance arrangement 

and agreement information.

Assistance agreement type ...................... Title IV–E adoption assistance agreement.

Title IV–E guardianship assistance 

agreement.

1355.44(c)(1) 

Adoption or guardianship subsidy amount Dollar amount ........................................... 1355.44(c)(2) 

Nonrecurring adoption or guardianship 

costs.

Costs paid ................................................

No costs paid 

1355.44(c)(3) 

Nonrecurring adoption or guardianship 

cost amount.

Dollar amount ........................................... 1355.44(c)(4) 

Adoption or guardianship finalization date Date .......................................................... 1355.44(c)(5) 

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[* Title IV–E Only] 

Category Element Response options Section citation 

Adoption or guardianship placing agency Title IV–E agency .....................................

Private agency under a contract/agreement. 

Indian Tribe. 

Private agency. 

1355.44(c)(6) 

Inter/intrajurisdictional adoption or guardianship.Interjurisdictional adoption or guardianship..

Intrajurisdictional adoption or guardianship 

1355.44(c)(7) 

Interjurisdictional adoption or guardianship jurisdiction.Name ........................................................ 1355.44(c)(8) 

Number of siblings ................................... Number ....................................................

Not applicable. 

1355.44(c)(9) 

Siblings in out-of-home care .................... Child record number(s) ............................ 1355.44(c)(10) 

Siblings in adoption/guardianship ............ Child record number(s) ............................ 1355.44(c)(11) 

Agreement termination date ..................... Date .......................................................... 1355.44(c)(12) 

VI. Regulatory Impact Analysis 

Executive Order 12866 requires that 

regulations be drafted to ensure that 

they are consistent with the priorities 

and principles set forth in the Executive 

Order. The Department has determined 

that this proposed rule is consistent 

with these priorities and principles. In 

particular, we have determined that a 

regulation is the best and most cost 

effective way to implement the statutory 

mandate for a data collection system 

regarding children in foster care and 

those that are adopted and support other 

statutory obligations to provide 

oversight of child welfare programs. 

Moreover, we consulted with the Office 

of Management and Budget (OMB) and 

determined that these rules meet the 

criteria for a significant regulatory 

action under Executive Order 12866. 

Thus, they were subject to OMB review. 

We have determined that the costs to 

title IV–E agencies as a result of this rule 

will not be significant. At least half of 

the costs that States and Tribes will 

incur as a result of the revisions to 

AFCARS will be eligible for Federal 

financial participation. Depending on 

the cost category and each agency’s 

approved plans for title IV–E and cost 

allocation, they may claim allowable 

costs as Automated Child Welfare 

Information System costs at the 50 

percent rate, administrative costs for the 

proper and efficient administration of 

the title IV–E plan at the 50 percent rate, 

or training of agency staff at the 75 

percent rate. We estimate that costs will 

be approximately $24 million annually 

for AFCARS for the first five years of 

implementation, half of which ($12 

million) we estimate will be reimbursed 

by the Federal government as allowable 

costs under title IV–E. Additional costs 

to the Federal government to design a 

system to collect the new AFCARS data 

are expected to be minimal. 

Alternatives Considered: We 

considered whether alternative 

approaches could better meet ACF, 

State, and Tribal needs, but decided that 

our current approach, as proposed, best 

meets these needs. First, we considered 

whether other existing data sets could 

yield similar information. We 

determined that AFCARS is the only 

comprehensive case-level data set on 

the incidence and experiences of 

children who are in foster care and/or 

achieve adoption or guardianship with 

the involvement of the State or Tribal 

title IV–E agency. Further, we are 

required by section 479 of the Act to 

establish and maintain such a data 

system, so other data sources could not 

meet our statutory mandate. 

We also considered whether we 

should permit title IV–E agencies to 

sample and report information on a 

representative population of children. 

We remain concerned, however, that 

there may be several significant 

limitations associated with using a 

sampling approach for collecting data 

on children who are in foster care, 

adoption and guardianship programs. If, 

under a sampling approach, ACF would 

be unable to collect reliable sample data 

for the title IV–E foster care eligibility 

reviews and the current CFSRs or 

respond to other initiatives such as the 

Annual Outcomes Report to Congress 

and Adoption Incentives using sampling 

data, the use of AFCARS data would be 

limited. Second, when using a sample, 

small population subgroups (e.g., 

children who spend very long periods 

in foster care or children who get 

adopted or run away) might occur so 

rarely in the data that such that analysis 

on these subgroups would not be 

meaningful. 

VII. Regulatory Flexibility Analysis 

The Secretary certifies under 5 U.S.C. 

605(b), as enacted by the Regulatory 

Flexibility Act (Pub. L. 96–354), that 

this rule will not result in a significant 

impact on a substantial number of small 

entities. This proposed rule does not 

affect small entities because it is 

applicable only to State and Tribal title 

IV–E agencies. 

VIII. Unfunded Mandates Reform Act 

The Unfunded Mandates Reform Act 

(Pub. L. 104–4) requires agencies to 

prepare an assessment of anticipated 

costs and benefits before proposing any 

rule that may result in an annual 

expenditure by State, local, and Tribal 

governments, in the aggregate, or by the 

private sector, of $100 million or more 

(adjusted annually for inflation). That 

threshold level is currently 

approximately $146 million. This 

proposed rule does not impose any 

mandates on State, local or Tribal 

governments, or the private sector that 

will result in an annual expenditure of 

$100 million or more. 

IX. Paperwork Reduction Act 

Under the Paperwork Reduction Act 

(44 U.S.C. ch. 35, as amended) (PRA), 

all Departments are required to submit 

to OMB for review and approval any 

reporting or recordkeeping requirements 

inherent in a proposed or final rule. 

This proposed rule contains information 

collection requirements in sections 

1355.43, the out-of-home care data file 

and 1355.44, the adoption and 

guardianship assistance data file, that 

the Department has submitted to OMB 

for its review. In addition, the NPRM 

proposes to validate whether the title 

IV–E agency complies with the AFCARS 

data file and data quality standards 

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established in section 1355.45 by 

checking for errors in logic that mean 

that the data could not be accurate. 

However, these error checks are not 

information collection requirements 

themselves as they do not require the 

agency to produce, maintain or submit 

information to ACF, and so are not a 

part of the burden calculations. Rather, 

the error checks will be performed by 

ACF on each title IV–E agency’s out-ofhome care and adoption and 

guardianship assistance data files to 

validate that they are providing the data 

as specified in the data file requirements 

in section 1355.43. The error checks are 

not appended to this regulation as they 

are rather technical aspects of data 

reporting that cannot be completed until 

ACF issues a final rule that contains the 

required data elements. 

Collection of information for AFCARS 

is currently authorized under OMB 

number 0970–0422; however, this 

NPRM significantly changes the 

collection requirements by adding 

longitudinal data requirements and 

additional data elements in the out-ofhome care and adoption and 

guardianship assistance data files. We 

estimate that annual burden hours will 

increase to 568,749 from the currently 

approved 432,720 hours as a result of 

the proposed provisions in this NPRM 

and the inclusion of Tribal title IV–E 

agencies per section 479B of the Act. 

The Department requires this 

collection of information to address the 

data collection requirements of section 

479 of the Act. Specifically, the law 

requires the Department to develop a 

data collection system that can provide 

comprehensive national information on 

the demographic characteristics of 

adopted and foster children and their 

biological, foster or adoptive parents; 

the status of the foster care population; 

the number and characteristics of 

children placed in or discharged from 

foster care; children adopted or who 

have experienced adoption dissolution, 

and children who are placed in foster 

care outside of the State or Tribal 

service area which has placement and 

care responsibility and the extent and 

nature of assistance provided by 

government adoption and foster care 

programs and the characteristics of the 

children to whom such assistance is 

provided. Further, this information is 

critical to our efforts to: Assess a title 

IV–E agency’s compliance with titles 

IV–B and IV–E of the Act and the 

current CFSRs (45 CFR 1355.31 through 

1355.37), conduct title IV–E eligibility 

reviews (45 CFR 1356.71), implement 

the Adoption Incentive and Legal 

Guardianship Payments program at 

section 473A of the Act and for other 

program purposes previously outlined. 

The following are estimates: 

Collection Number of 

respondents 

Number of 

responses per 

respondent 

Average 

burden per 

response 

Total burden 

hours 

1355.43 Out-of-home care data file .............................................................. 67 2 3,591.15 481,214 

1355.44 Adoption and guardianship assistance data file ............................. 67 2 653.25 87,535 

Total .......................................................................................................... ........................ ........................ ........................ 568,749 

We arrived at these estimates after 

taking into consideration the existing 

and anticipated foster care, adoption, 

and guardianship assistance 

populations; factoring in the increase of 

burden in accordance with this 

proposed rule and efficiencies in 

reporting and the anticipated amount of 

worker and information system staff 

time to collect and report the 

information. 

PRA rules require that we estimate the 

total burden created by this NPRM 

regardless of what information is 

already available. Thus, these burden 

hours are higher than currently 

authorized by OMB, and may be an 

overestimate since we are unable to 

account for information title IV–E 

agencies currently collect for their own 

purposes, but ACF proposes to collect 

for the first time under this NPRM. 

Below we describe in detail how we 

arrived at the estimated burden. 

Out-of-Home Care Data File Burden 

Estimate 

1. Our first step in estimating the 

burden was to estimate the out-of-home 

care reporting population at the 

approximate time of implementation. 

We used information from FY 2012 

AFCARS data (the most recent final data 

available) and applied the following 

assumptions: 

• We assume that the proportion of 

children in title IV–E agencies with a 

State Automated Child Welfare 

Information System (SACWIS) versus 

non-SACWIS agencies will remain 

constant at roughly 85/15. 

• We assume that the number of 

children entering the out-of-home care 

reporting population annually will rise 

slightly, given that the proposed out-ofhome care reporting population now 

requires a title IV–E agency to continue 

reporting a child to AFCARS once he or 

she has entered foster care, regardless of 

subsequent living arrangements, and 

includes children whose whereabouts 

are unknown at the time the child was 

placed in the placement and care 

responsibility of the title IV–E agency. 

We believe this new out-of-home care 

reporting population will account for a 

minor increase in the number of 

children in the out-of-home care 

reporting population. 

• We assume that the number of 

children who exit the out-of-home care 

reporting population annually will 

remain about the same as it is currently. 

• We assume that children under the 

placement and care responsibility of a 

Tribal title IV–E agency will not 

represent a significant net increase in 

the number of children in the out-ofhome care reporting population. 

Based on AFCARS data from FY 2012, 

397,122 children were in foster care on 

September 30, 2012. Therefore, we 

estimate the following annual caseload 

figures: 337,554 children served in 

SACWIS title IV–E agencies and 59,586 

in non-SACWIS title IV–E agencies; 

216,140 children with new entries into 

foster care in SACWIS title IV–E 

agencies, and 38,142 in non-SACWIS 

title IV–E agencies; 240,923 children 

will exit foster care, approximately 

51,225 of whom will exit to adoption 

and 16,418 will exit to guardianship. 

We do not expect any of the Tribal title 

IV–E agencies to have Tribal versions of 

SACWIS (TACWIS) for several years 

and we do not expect the inclusion of 

Tribal title IV–E agencies will result in 

a significant net increase in the numbers 

of children in the out-of-home care 

reporting population. 

2. Our second step in estimating the 

burden was to estimate the number of 

recordkeeping hours that workers will 

spend on meeting AFCARS 

requirements. We used information 

from our existing AFCARS collection 

approved by OMB as a foundation 

which includes the following 

assumptions: 

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• Recordkeeping will require more 

time in a non-SACWIS title IV–E agency 

than it does for a SACWIS one. 

• Entering the applicable out-of-home 

care data elements for a child newly 

entering the out-of-home care reporting 

population will take approximately one 

hour for SACWIS agencies and 1.5 

hours for non-SACWIS agencies. 

• Updating the child’s out-of-home 

care record on average will take 0.35 

hours for SACWIS agencies and 0.50 

hours for non-SACWIS ones annually. 

• Workers will take approximately 

0.10 hour to enter exit data for nonadoption/guardianship cases and an 

additional 30 minutes (0.60 hours total) 

for children exiting through adoption 

and guardianship. 

• Recordkeeping may require slightly 

more time in a Tribal IV–E agency due 

to staff being unfamiliar with the 

procedures. 

We multiplied the time spent on the 

various recordkeeping activities as 

outlined in this step by the number of 

children in foster care described above 

in step 1, and arrived at a total of 

479,204 recordkeeping hours for all 

children in the out-of-home care 

reporting population annually. 

3. Our third step in estimating the 

burden was to estimate the time spent 

on actually reporting the information 

(e.g., submitting the out-of-home care 

data file). We used the following 

assumptions to develop the reporting 

hours estimate: 

• We anticipate that title IV–E 

agencies will be using a technology such 

as XML to transmit the data and will 

need time to become familiar with and 

efficient in reporting their data in the 

first years of implementing the new 

procedures. This will increase the 

amount of time spent reporting. 

• The proposed out-of-home care data 

file is comprised of many data elements 

that are currently in the existing foster 

care and adoption data files, but also 

additional data elements not currently 

in either existing data file. To 

accommodate the increased number of 

data elements (from both the current 

foster care and adoption data files) in 

the proposed out-of-home care data file, 

we anticipate that our estimate should 

be higher than the sum of the existing 

OMB-approved reporting burden hours 

of eight hours for the foster care data file 

and four hours for the adoption data 

file. 

We estimate that the proposed 

changes to the out-of-home care data file 

will increase the reporting burden; e.g., 

time spent submitting the file, by 

approximately 25 percent or by 3 hours, 

for a total of 15 hours. We then 

multiplied by 67 title IV–E agencies and 

two report periods with the 15 reporting 

burden hours, which results in an 

annual reporting burden of 2,010 hours. 

The 67 title IV–E agencies are 52 State 

title IV–E agencies plus the 

approximately 15 Tribal title IV–E 

agencies we have estimated will operate 

title IV–E programs over time pursuant 

to section 479B of the Act. 

4. Finally, we calculated the total 

annual burden hours for the out-ofhome care data file as 481,214 hours 

(479,204 total annual recordkeeping 

burden + 2,010 annual reporting burden 

= 481,214.) 

Dividing this national and annual 

figure by the 67 title IV–E agencies and 

two semi-annual report periods, we 

arrive at approximately 3,591.15 burden 

hours per respondent per 6 month 

report period for the out-of-home care 

data file. ((481,214 ÷ 67 title IV–E 

agencies) ÷ 2 report periods = 3,591.15 

burden hours per respondent per 6 

month report period.) 

Adoption and Guardianship Assistance 

File Burden Estimate 

1. We first estimated the annual 

burden associated with the title IV–E 

adoption assistance data elements. 

• Data from the Title IV–E Programs 

Quarterly Financial Report, CB–496, for 

FY 2013 indicate 417,530 children 

receiving title IV–E adoption assistance. 

As a result of the changes in title IV–E 

adoption assistance eligibility included 

in section 473(e) of the Act, as amended 

by Pub. L. 110–351, we expect the 

percentage of children eligible for title 

IV–E adoption assistance will increase 

until FY 2018 when virtually all will be 

title IV–E eligible. 

• We expect workers to spend 0.2 

hours annually recording data in 

accordance with this NPRM on each 

child under a title IV–E adoption 

assistance agreement. Most information 

collected in the adoption and 

guardianship assistance data file is basic 

demographics and is static or can be 

easily found on the child’s title IV–E 

assistance agreement. Most title IV–E 

adoption assistance agreements are 

updated or changed on an annual or 

biennial basis, unless the family 

circumstances change, requiring small 

amounts of recordkeeping. 

• We calculate recordkeeping for title 

IV–E adoption assistance information to 

take approximately 83,506 hours (0.2 

hours × 417,530 children). 

2. We then estimated the annual 

burden associated with the title IV–E 

guardianship assistance data elements. 

• The title IV–E guardianship 

assistance program is an optional 

program that any title IV–E agency may 

choose to make available at any point. 

For FY 2013, there were 12,537 children 

receiving title IV–E guardianship 

assistance payments with 26 title IV–E 

agencies reporting (CB–496). We project 

that the numbers of children receiving 

title IV–E guardianship assistance 

payments will continue to increase as 

more title IV–E agencies opt to provide 

title IV–E guardianship assistance 

payments. 

• Most information collected in the 

adoption and guardianship assistance 

data file is basic demographics and is 

static or can be easily found on the 

child’s title IV–E assistance agreement. 

Further, most title IV–E guardianship 

assistance agreements are updated or 

changed on an annual or biannual basis, 

unless family circumstances change, 

requiring small amounts of 

recordkeeping. However, title IV–E 

agencies will differ in their experience 

with collecting data on children under 

title IV–E guardianship assistance 

agreements and some may need more 

time to gather the necessary 

information. For that reason, we are 

increasing our estimate for this 

recordkeeping over the estimate for the 

title IV–E adoption assistance data 

elements to approximately 0.3 hours 

annually. 

• We calculate recordkeeping for the 

title IV–E guardianship assistance 

information to take approximately 3,761 

burden hours (0.3 hours × 12,537 

children). As is the case with all 

estimates in this section, we welcome 

comments on these assumptions and 

estimates. 

3. In addition, we estimate that 

burden associated with actually 

reporting the adoption and guardianship 

assistance data file to ACF will take 

each title IV–E agency 2 hours each 

report period to complete the work 

necessary to submit the file. We then 

multiplied 67 title IV–E agencies and 

two report periods with the 2 reporting 

burden hours, which results in an 

annual reporting burden of 268 hours. 

(67 title IV–E agencies × 2 report periods 

× 2 burden hours = 268 total reporting 

burden hours annually.) 

4. Finally, we calculated the total 

annual burden hours for the adoption 

and guardianship assistance data file as 

87,267 hours by combining the total 

recordkeeping (83,506 + 3,761 = 87,267) 

and the reporting burden hours (268). 

(87,267 + 268 = 87,535 total annual 

burden hours.) Dividing this national 

total by the 67 title IV–E agencies and 

two 6 month report periods we arrive at 

approximately 653.25 burden hours per 

respondent per 6 month report period. 

((87,535 ÷ 67 title IV–E agencies) ÷ 2 

report periods = 653.25 burden hours 

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per respondent per 6 month report 

period.) 

We have used the total cost and total 

burden hour estimates to provide 

additional detail on projected average 

cost for each State and Tribal title IV– 

E agency implementing the changes 

described in this NPRM. Our estimates 

are as follows: 

Total reporting burden .................................................................................................................................. 568,749 hours. 

Total cost ...................................................................................................................................................... $17,062,470 (50% reimbursable). 

Average hourly labor rate ............................................................................................................................. $30. 

Number of respondents ................................................................................................................................ 67. 

Net average cost per respondent ................................................................................................................. $127,332. 

In making the above estimates, we 

want to acknowledge: (1) We have used 

average figures for title IV–E agencies of 

very different sizes and (2) these are 

rough estimates of the burden on Tribal 

title IV–E agencies because they have 

not operated AFCARS previously and 

we have limited information to use in 

making these estimates. We welcome 

comments on these factors and all 

others in this section. 

ACF will consider comments by the 

public on this proposed collection of 

information in the following areas: 

1. Evaluating whether the proposed 

collection is necessary for the proper 

performance of the functions of ACF, 

including whether the information will 

have practical utility; 

2. Evaluating the accuracy of ACF’s 

estimate of the proposed collection of 

information, including the validity of 

the methodology and assumptions used; 

3. Enhancing the quality, usefulness, 

and clarity of the information to be 

collected; and 

4. Minimizing the burden of the 

collection of information on those who 

are to respond, including through the 

use of appropriate automated, 

electronic, mechanical, or other 

technology, e.g., permitting electronic 

submission of responses. 

OMB is required to make a decision 

concerning the collection of information 

contained in these proposed regulations 

between 30 and 60 days after 

publication of this document in the 

Federal Register. Therefore, a comment 

is best assured of having its full effect 

if OMB receives it within 30 days of 

publication. This does not affect the 

deadline for the public to comment to 

the Department on the proposed 

regulations. Written comments to OMB 

for the proposed information collection 

should be sent directly to the following: 

Office of Management and Budget, 

either by fax to 202–395–6974 or by 

email to OIRA_submission@

omb.eop.gov. Please mark faxes and 

emails to the attention of the desk 

officer for ACF. 

X. Congressional Review 

This regulation is not a major rule as 

defined in 5 U.S.C. Chapter 8. 

XI. Assessment of Federal Regulations 

on Policies and Families 

Section 654 of the Treasury and 

General Government Appropriations 

Act of 2000 (Pub. L. 106–58) requires 

Federal agencies to determine whether a 

proposed policy or regulation may affect 

family well-being. If the agency’s 

determination is affirmative, then the 

agency must prepare an impact 

assessment addressing criteria specified 

in the law. These proposed regulations 

will not have an impact on family wellbeing as defined in the law. 

XII. Executive Order 13132 

Executive Order 13132 on Federalism 

requires that Federal agencies consult 

with State and local government 

officials in the development of 

regulatory policies with Federalism 

implications. Consistent with Executive 

Order 13132, we specifically solicit 

comment from State and local 

government officials on this proposed 

rule. 

XIII. Tribal Consultation Statement 

ACF published a Federal Register 

notice on July 23, 2010 (75 FR 43187) 

requesting public comment and 

notifying the public of opportunities to 

meet with ACF to provide comments in 

person or in writing to inform 

development of a new NPRM on 

AFCARS. ACF conducted four in-person 

consultation sessions in the ACF 

Regions, two webinars and two sessions 

at a national conference held in 

Washington, DC that were attended by 

States and Tribes. We received 

comments from Tribal commenters, 

many of which either recommended 

collection of information outside the 

scope of AFCARS or voiced concerns 

relating to the implementation of 

AFCARS in Tribal title IV–E agencies. 

Specifically, several commenters 

expressed the desire that any 

requirement to participate in AFCARS 

be delayed for Tribal title IV–E agencies, 

the concern over duplication of data 

when Tribal cases are transferred from 

the State title IV–E agency to the Tribal 

title IV–E agency, and concern over the 

cost implications of requiring both 

additional data elements and a data 

collection system for Tribal title IV–E 

agencies. Some Tribal commenters 

requested that ACF include additional 

data elements in AFCARS that would 

track information gleaned about a 

child’s needs from caseworker visits. 

We believe that this is addressed by a 

number of data elements in our proposal 

aimed at enhancing the information we 

receive about a child’s needs and 

caseworker visits (e.g., Health, 

behavioral or mental health conditions 

of the child in section 1355.43(b)(7) and 

special education in section 

1355.43(b)(11), circumstances of 

removal in section 1355.43(d)(5), and 

caseworker visits in section 1355.43(f), 

among others). Another Tribal 

commenter requested other additional 

data elements to provide a 

comprehensive picture of the well-being 

of Tribal children including: Elements 

to identify whether a child is a member 

of an Indian Tribe and the name of the 

Indian Tribe of which the child is a 

member, data on Tribal notification, 

data on whether a Tribal title IV–E 

agency intervened in a State title IV–E 

agency case, cultural activities that the 

child is participating in while away 

from his or her parents, judicial findings 

of active efforts, and preferential 

treatment for Tribal placement 

resources. Finally, one Tribal 

commenter thought child welfare 

services provided in a detention setting 

should be reported to AFCARS 

regardless of where the child was 

placed. All comments and concerns 

submitted by Tribal commenters were 

considered in the development of this 

NPRM. 

Several Indian Tribes responded with 

suggestions for including additional 

data elements in AFCARS specifically 

on the Indian Child Welfare Act of 1978 

(ICWA), Pub. L. 95–608, and its impact 

on Tribal children. ICWA was passed in 

response to concerns about the large 

number of Indian children who were 

being removed from their families and 

Indian Tribes and the failure of States to 

recognize the culture and Tribal 

relations of Indian people. However, 

ICWA is outside ACF’s purview, 

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therefore we do not have the authority 

to collect specific data on ICWA 

implementation and compliance, 

instruct States and Indian Tribes on 

how to meet its requirements, or 

provide additional guidance. Therefore, 

we are not able to make these changes 

or additions to the AFCARS data 

elements in the proposed rule as 

requested by commenters. We are 

committed to working with Tribal title 

IV–E agencies to address 

implementation issues that arise under 

title IV–E programs and providing 

technical assistance to help them 

implement AFCARS. 

Generally, there is support from the 

Tribal commenters to issue this 

regulation, even in the face of building 

an information system. We value the 

comments we have received from Tribal 

representatives and believe that the 

comments will enhance the new 

AFCARS requirements for Tribal title 

IV–E agencies, as well as State title IV– 

E agencies. Throughout this NPRM we 

have outlined our need to issue new 

requirements for AFCARS so that we 

can support longitudinal data and 

additional data elements that will 

drastically increase our tracking and 

knowledge of children who enter foster 

care and who exit to adoption or legal 

guardianship. We believe that our 

proposal to enhance AFCARS will 

expand and enrich our knowledge about 

children who are in the placement and 

care responsibility of Tribal title IV–E 

agencies, which is a benefit to not only 

Indian Tribes but also State and Federal 

governments that oversee child welfare 

programs. 

List of Subjects in 45 CFR Part 1355 

Adoption and foster care, Child 

welfare, Grant programs—social 

programs. 

(Catalog of Federal Domestic Assistance 

Program Number 93.658, Foster Care 

Maintenance; 93.659, Adoption Assistance; 

93.645, Child Welfare Services—State 

Grants). 

Dated: January 12, 2015. 

Mark H. Greenberg, 

Acting Assistant Secretary for Children and 

Families. 

Approved: January 27, 2015. 

Sylvia M. Burwell, 

Secretary. 

For the reasons set forth in the 

preamble, we propose to amend 45 CFR 

part 1355 as follows: 

PART 1355—GENERAL 

■ 1. The authority citation for part 1355 

continues to read as follows: 

Authority: 45 U.S.C. 620 et seq. 42 U.S.C. 

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

■ 2. Revise § 1355.40 to read as follows: 

§ 1355.40 Scope of the Adoption and 

Foster Care Analysis and Reporting 

System. 

(a) This section applies to State and 

Tribal title IV–E agencies. 

(b) An agency described in paragraph 

(a) of this section must collect 

information on the characteristics and 

experiences of a child in the reporting 

populations described in § 1355.41. The 

title IV–E agency must submit the 

information collected to ACF on a semiannual basis in an out-of-home care data 

file and adoption and guardianship 

assistance data file as required in 

§ 1355.42, pertaining to information 

described in §§ 1355.43 and 1355.44. 

■ 3. Add §§ 1355.41 through 1355.46 to 

read as follows: 

§ 1355.41 Reporting populations. 

(a) Out-of-home care reporting 

population. (1) A title IV–E agency must 

report a child of any age who is in outof-home care. The out-of-home care 

reporting population includes a child in 

the following situations: 

(i) A child in foster care as defined in 

§ 1355.20. 

(ii) A child under the placement and 

care responsibility of another public 

agency that has an agreement with the 

title IV–E agency pursuant to section 

472(a)(2)(B) of the Act, or an Indian 

Tribe, Tribal organization or consortium 

with which the title IV–E agency has an 

agreement or contract and on whose 

behalf title IV–E foster care maintenance 

payments are made. 

(iii) A child who runs away or whose 

whereabouts are unknown at the time 

the child is placed under the placement 

and care responsibility of the title IV– 

E agency. 

(2) Once a child enters the out-ofhome care reporting population, the 

child remains in the out-of-home care 

reporting population through the end of 

the report period in which the title IV– 

E agency’s placement and care 

responsibility ends, regardless of any 

subsequent living arrangement. 

(3) For AFCARS purposes, an out-ofhome care episode is defined as the 

period between when a child enters the 

out-of-home care reporting population, 

as described in paragraph (a)(1) of this 

section, and when the title IV–E 

agency’s placement and care 

responsibility ends. 

(b) Adoption and guardianship 

assistance reporting population. (1) The 

title IV–E agency must include in the 

adoption and guardianship assistance 

reporting population any child who is: 

(i) In a finalized adoption under a title 

IV–E adoption assistance agreement 

pursuant to section 473(a) of the Act 

with the reporting title IV–E agency that 

is or was in effect at some point during 

the current report period; or 

(ii) In a legal guardianship under a 

title IV–E guardianship assistance 

agreement pursuant to section 473(d) of 

the Act with the reporting title IV–E 

agency that is or was in effect at some 

point during the current report period. 

(2) A child remains in the adoption or 

guardianship assistance reporting 

population through the end of the report 

period in which the title IV–E 

agreement ends or is terminated. 

§ 1355.42 Data reporting requirements. 

(a) Report periods and deadlines. 

There are two six-month report periods 

based on the Federal fiscal year: October 

1 to March 31 and April 1 to September 

30. The title IV–E agency must submit 

the out-of-home care and adoption and 

guardianship assistance data files to 

ACF within 30 days of the end of the 

report period (i.e., by April 30 and 

October 30). If the reporting deadline 

falls on a weekend, the title IV–E agency 

has through the end of the following 

Monday to submit the data file. 

(b) Out-of-home care data file. A title 

IV–E agency must report the 

information required in § 1355.43 

pertaining to each child in the out-ofhome care reporting population, in 

accordance with the following: 

(1) The title IV–E agency must report 

the most recent information for the 

applicable data elements in § 1355.43(a) 

and (b). 

(2) Except as provided in paragraph 

(b)(3) of this section, the title IV–E 

agency must report the most recent 

information and all historical 

information for the applicable data 

elements described in § 1355.43(c), (d), 

(e), (f), (g) and (h). 

(3) For a child who had an out-ofhome care episode(s) as defined in 

§ 1355.41(a) prior to the effective date of 

this section, the title IV–E agency must 

report the information for the data 

elements described in § 1355.43(d)(1), 

(g)(1) and (g)(3) for the out-of-home care 

episode(s) that occurred prior to the 

effective date of the final rule. 

(c) Adoption and guardianship 

assistance data file. A title IV–E agency 

must report the most recent information 

for the applicable data elements in 

§ 1355.44 that pertains to each child in 

the adoption and guardianship 

assistance reporting population on the 

last day of the report period. 

(d) Reporting missing information. If 

the title IV–E agency fails to collect the 

information for a data element, the title 

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IV–E agency must report the element as 

blank or otherwise missing. The title 

IV–E agency is not permitted to default 

or map information that was not 

collected and is missing to a valid 

response option. 

(e) Electronic submission. The title 

IV–E agency must submit the required 

data files electronically according to 

ACF’s specifications. 

(f) Record retention. The title IV–E 

agency must retain all records necessary 

to comply with the data requirements in 

§§ 1355.42 through 1355.44. The title 

IV–E agency’s retention of such records 

is not limited to the requirements of 45 

CFR 92.42(b) and (c). 

§ 1355.43 Out-of-home care data file 

elements. 

(a) General information. (1) Title 

IV–E agency. Indicate the name of the 

title IV–E agency responsible for 

submitting the AFCARS data to ACF. 

(2) Report date. The report date 

corresponds with the end of the report 

period. Indicate the last month and the 

year of the report period. 

(3) Local agency. Indicate the name of 

the local county, jurisdiction or 

equivalent unit that has primary 

responsibility for the child. 

(4) Child record number. Indicate the 

child’s record number. This is an 

encrypted, unique person identification 

number that is the same for the child, 

no matter where the child lives while in 

the placement and care responsibility of 

the title IV–E agency in out-of-home 

care and across all report periods and 

episodes. The title IV–E agency must 

apply and retain the same encryption 

routine or method for the person 

identification number across all report 

periods. The record number must be 

encrypted in accordance with ACF 

standards. 

(b) Child information. (1)(i) Child’s 

date of birth. Indicate the month, day 

and year of the child’s birth. If the 

actual date of birth is unknown because 

the child has been abandoned, provide 

an estimated date of birth. Abandoned 

means that the child was left alone or 

with others and the identity of the 

parent(s) or legal guardian(s) is 

unknown and cannot be ascertained. 

This includes a child left at a ‘‘safe 

haven.’’ A date of birth that results in a 

child age of 22 years or more is an 

invalid response. 

(ii) Child born in the United States. 

Indicate whether the child was born in 

the United States. If the child was born 

in the United States, indicate ‘‘yes.’’ If 

the child was born in a country other 

than the United States, indicate ‘‘no.’’ 

(2) Child’s sex. Indicate whether the 

child is ‘‘male’’ or ‘‘female,’’ as 

appropriate. 

(3) Child’s race. In general, a child’s 

race is determined by the child, the 

child’s parent(s) or legal guardian(s). 

Indicate whether each race category 

listed in the data elements described in 

paragraphs (b)(3)(i) through (b)(3)(viii) 

of this section applies with a ‘‘yes’’ or 

‘‘no.’’ 

(i) Race—American Indian or Alaska 

Native. An American Indian or Alaska 

Native child has origins in any of the 

original peoples of North or South 

America (including Central America), 

and maintains Tribal affiliation or 

community attachment. 

(ii) Race—Asian. An Asian child has 

origins in any of the original peoples of 

the Far East, Southeast Asia or the 

Indian subcontinent including, for 

example, Cambodia, China, India, Japan, 

Korea, Malaysia, Pakistan, the 

Philippine Islands, Thailand and 

Vietnam. 

(iii) Race—Black or African 

American. A Black or African American 

child has origins in any of the black 

racial groups of Africa. 

(iv) Race—Native Hawaiian or Other 

Pacific Islander. A Native Hawaiian or 

Other Pacific Islander child has origins 

in any of the original peoples of Hawaii, 

Guam, Samoa or other Pacific Islands. 

(v) Race—White. A white child has 

origins in any of the original peoples of 

Europe, the Middle East or North Africa. 

(vi) Race—unknown. The child or 

parent or legal guardian does not know 

or is unable to communicate the race, or 

at least one race of the child. 

(vii) Race—abandoned. The child’s 

race is unknown because the child has 

been abandoned. Abandoned means that 

the child was left alone or with others 

and the identity of the parent(s) or legal 

guardian(s) is unknown and cannot be 

ascertained. This includes a child left at 

a ‘‘safe haven.’’ 

(viii) Race—declined. The child or 

parent(s) or legal guardian(s) has 

declined to identify a race. 

(4) Child’s Hispanic or Latino 

ethnicity. In general, a child’s ethnicity 

is determined by the child or the child’s 

parent(s) or legal guardian(s). A child is 

of Hispanic or Latino ethnicity if the 

child is a person of Cuban, Mexican, 

Puerto Rican, South or Central 

American or other Spanish culture or 

origin, regardless of race. Indicate 

whether this category applies with a 

‘‘yes’’ or ‘‘no.’’ If the child or the child’s 

parent(s) or legal guardian(s) does not 

know or is unable to communicate 

whether the child is of Hispanic or 

Latino ethnicity, indicate ‘‘unknown.’’ If 

the child is abandoned indicate 

‘‘abandoned.’’ Abandoned means that 

the child was left alone or with others 

and the identity of the parent(s) or legal 

guardian(s) is unknown and cannot be 

ascertained. This includes a child left at 

a ‘‘safe haven.’’ If the child or the child’s 

parent(s) or legal guardian(s) refuses to 

identify the child’s ethnicity, indicate 

‘‘declined.’’ 

(5) Date of health assessment. 

Indicate the month, day, and year of the 

child’s most recent health assessment. 

This assessment could include an initial 

health screening, or any follow-up 

health screening that the title IV–E 

agency has scheduled for a child in a 

foster care placement, as required by 

section 422(b)(15)(A) of the Act. If the 

child has not received a health 

assessment, the title IV–E agency must 

leave this paragraph blank. 

(6) Timely health assessment. Indicate 

whether the child has been receiving 

health assessments within the 

timeframes for initial and follow-up 

health screenings established by the title 

IV–E agency, as required by section 

422(b)(15)(A) of the Act. Indicate ‘‘yes’’ 

if the child has received all initial or 

follow-up health assessments before or 

on the due date(s) for such assessments 

as of the end of the report period. 

Indicate ‘‘no’’ if the child is currently 

not meeting the timeline for health 

assessments established by the title IV– 

E agency. If a child has not received a 

health assessment during the report 

period, the title IV–E agency must leave 

this paragraph blank. 

(7) Health, behavioral or mental 

health conditions. Indicate whether the 

child was diagnosed by a qualified 

professional, as defined by the State or 

Tribe, as having a health, behavioral or 

mental health condition listed below, 

prior to or during the child’s current 

out-of-home care episode as of the last 

day of the report period. Indicate ‘‘child 

has a diagnosed condition’’ if a qualified 

professional has made such a diagnosis 

and for each element described in 

paragraphs (b)(7)(i) through (xii) of this 

section indicate ‘‘existing condition,’’ 

‘‘previous condition’’ or ‘‘does not 

apply,’’ as applicable. Indicate ‘‘no 

exam or assessment conducted’’ if a 

qualified professional has not 

conducted a medical exam or 

assessment of the child. Indicate ‘‘exam 

or assessment conducted and none of 

the conditions apply’’ if a qualified 

professional has conducted a medical 

exam or assessment and has concluded 

that the child does not have one of the 

conditions listed below. Indicate ‘‘exam 

or assessment conducted but results not 

received’’ if a qualified professional has 

conducted a medical exam or 

assessment but the title IV–E agency has 

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not yet received the results of such an 

exam or assessment. 

(i) Intellectual disability. The child 

has, or had previously, significantly 

sub-average general cognitive and motor 

functioning existing concurrently with 

deficits in adaptive behavior manifested 

during the developmental period that 

adversely affect the child’s socialization 

and learning. 

(ii) Visually impaired. The child has, 

or had previously, a visual impairment 

that may significantly affect educational 

performance or development. 

(iii) Hearing impaired. The child has, 

or had previously, a hearing 

impairment, whether permanent or 

fluctuating, that adversely affects 

educational performance. 

(iv) Physically disabled. The child 

has, or had previously, a physical 

condition that adversely affects the 

child’s day-to-day motor functioning, 

including, but not limited to, cerebral 

palsy, spina bifida, multiple sclerosis, 

muscular dystrophy, orthopedic 

impairments and other physical 

impairments. 

(v) Anxiety disorder. The child has, or 

had previously, one or more of the 

following over a long period of time and 

to a marked degree: Acute stress 

disorder, agoraphobia, generalized 

anxiety disorder, obsessive-compulsive 

disorder, panic disorder, post-traumatic 

stress disorder, separation anxiety, 

social or specific phobia. 

(vi) Childhood disorders. The child 

has, or had previously, one or more of 

the following disorders over a long 

period of time and to a marked degree: 

Attention deficit or hyperactivity 

disorder, conduct disorder or 

oppositional disorder. 

(vii) Learning disability. The child 

has, or had previously, an achievement 

level on individually administered, 

standardized tests in reading, 

mathematics or written expression that 

is substantially below that expected for 

age, schooling and level of intelligence. 

(viii) Substance use related disorder. 

The child has, or had previously a 

dependency on alcohol or other drugs 

(legal or non-legal). 

(ix) Developmental disability. The 

child has, or had previously been 

diagnosed with a developmental 

disability as defined in the 

Developmental Disabilities Assistance 

and Bill of Rights Act of 2000 (Pub. L. 

106–402), section 102(8). This means a 

severe, chronic disability of an 

individual that is attributable to a 

mental or physical impairment or 

combination of mental and physical 

impairments that manifests before the 

age of 22, is likely to continue 

indefinitely and results in substantial 

functional limitations in three or more 

areas of major life activity. Areas of 

major life activity include: Self-care; 

receptive and expressive language; 

learning; mobility; self-direction; 

capacity for independent living; and 

economic self-sufficiency; and reflects 

the individual’s need for a combination 

and sequence of special, 

interdisciplinary, or generic services, 

individualized supports or other forms 

of assistance that are of lifelong or 

extended duration and are individually 

planned and coordinated. If a child is 

given the diagnosis of ‘‘developmental 

disability,’’ do not indicate the 

individual conditions that form the 

basis of this diagnosis separately. 

(x) Other mental/emotional disorder. 

The child has, or had previously, one or 

more of the following conditions over a 

long period of time and to a marked 

degree: Mood disorders, personality 

disorders or psychotic disorders. 

(xi) Other diagnosed condition. The 

child has, or had previously, a condition 

other than those described above that 

requires special medical care. This 

includes, but is not limited to, 

conditions such as chronic illness, a 

diagnosis as HIV positive or AIDS. 

(xii) Pregnant. If the title IV–E agency 

indicated ‘‘female’’ in paragraph (b)(2) 

of this section, provide the appropriate 

response. If the title IV–E agency 

indicated ‘‘male’’ in paragraph (b)(2) of 

this section, leave this data element 

blank. 

(8) School enrollment. Indicate 

whether the child is a full-time student 

at and enrolled in (or in the process of 

enrolling in) ‘‘elementary,’’ ‘‘secondary’’ 

or ‘‘post-secondary education or 

training’’ or ‘‘college,’’ as of the earlier 

of the last day of the report period or the 

day of exit for a child exiting out-ofhome care prior to the end of the report 

period. A child is still considered 

enrolled in school if the child would 

otherwise be enrolled in a school that is 

currently out of session. An ‘‘elementary 

or secondary school student’’ is defined 

in section 471(a)(30) of the Act as a 

child that is: Enrolled (or in the process 

of enrolling) in an institution which 

provides elementary or secondary 

education, as determined under the law 

of the State or other jurisdiction in 

which the institution is located; 

instructed in elementary or secondary 

education at home in accordance with a 

home school law of the State or other 

jurisdiction in which the home is 

located; in an independent study 

elementary or secondary education 

program in accordance with the law of 

the State or other jurisdiction in which 

the program is located, which is 

administered by the local school or 

school district; or incapable of attending 

school on a full-time basis due to the 

medical condition of the child, which 

incapability is supported by a regularly 

updated information in the case plan of 

the child. Enrollment in ‘‘postsecondary education or training’’ refers 

to full-time enrollment in any postsecondary education or training, other 

than an education pursued at a college 

or university. Enrollment in ‘‘college’’ 

refers to a child that is enrolled full-time 

at a college or university. If child has 

not reached compulsory school age, 

indicate ‘‘not school-age.’’ If the child 

has reached compulsory school-age, but 

is not enrolled or in the process of 

enrolling in any school setting full-time, 

indicate ‘‘not enrolled.’’ 

(9) Educational level. Indicate the 

highest educational level from 

Kindergarten to college or postsecondary education/training completed 

by the child as of the last day of the 

report period. If child has not reached 

compulsory school-age, indicate ‘‘not 

school-age.’’ Indicate ‘‘Kindergarten’’ if 

the child is currently in or about to 

begin 1st grade. Indicate ‘‘1st grade’’ if 

the child is currently in or about to 

begin 2nd grade. Indicate ‘‘2nd grade’’ if 

the child is currently in or about to 

begin 3rd grade. Indicate ‘‘3rd grade’’ if 

the child is currently in or about to 

begin 4th grade. Indicate ‘‘4th grade’’ if 

the child is currently in or about to 

begin 5th grade. Indicate ‘‘5th grade’’ if 

the child is currently in or about to 

begin 6th grade. Indicate ‘‘6th grade’’ if 

the child is currently in or about to 

begin 7th grade. Indicate ‘‘7th grade’’ if 

the child is currently in or about to 

begin 8th grade. Indicate ‘‘8th grade’’ if 

the child is currently in or about to 

begin 9th grade. Indicate ‘‘9th grade’’ if 

the child is currently in or about to 

begin 10th grade. Indicate ‘‘10th grade’’ 

if the child is currently in or about to 

begin 11th grade. Indicate ‘‘11th grade’’ 

if the child is currently in or about to 

begin 12th grade. Indicate ‘‘12th grade’’ 

if the child has graduated from high 

school. Indicate ‘‘Post-secondary 

education or training’’ if the child has 

completed any post-secondary 

education or training, including 

vocational training, other than an 

education pursued at a college or 

university. Indicate ‘‘College’’ if the 

child has completed at least a semester 

of study at a college or university. 

(10) Educational stability. Indicate if 

the child enrolled or is in the process of 

enrolling in a new elementary or 

secondary school prompted by an initial 

placement after entry into foster care or 

a placement change during the report 

period with ‘‘yes’’ or ‘‘no’’ as 

appropriate. If ‘‘yes,’’ indicate which of 

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the applicable reason(s) for the change 

in enrollment as described in 

paragraphs (b)(10)(i) through (vii) of this 

section ‘‘applies’’ or ‘‘does not apply;’’ 

if ‘‘no,’’ the title IV–E agency must leave 

those data elements blank. 

(i) Proximity. The child enrolled in a 

new school because of the distance to 

his or her former school. 

(ii) District/zoning rules. The child 

enrolled in a new school because county 

or jurisdictional law or regulations 

prohibited attendance at former school. 

(iii) Residential facility. The child 

enrolled in a new school because he or 

she formerly attended school on the 

campus of a residential facility. 

(iv) Services/programs. The child 

enrolled in a new school to participate 

in services or programs (academic, 

behavioral or supportive services) not 

offered at former school. 

(v) Child request. The child enrolled 

in a new school because he or she 

requested to leave former school and 

enroll in new school. 

(vi) Parent/Legal guardian request. 

The child enrolled in a new school 

because his or her parent(s) or legal 

guardian(s) requested for the child to 

leave the former school and enroll in a 

new school. 

(vii) Other. The child enrolled in a 

new school for a reason other than those 

detailed in paragraphs (b)(10)(i) through 

(vi) of this section. 

(11) Special education. Indicate 

whether the child has an Individualized 

Education Program (IEP) as defined in 

section 614(d)(1) of Part B of Title I of 

the Individuals with Disabilities 

Education Act (IDEA) and implementing 

regulations, and/or an Individualized 

Family Service Program (IFSP) as 

defined in section 636 of Part C of Title 

I of IDEA and implementing regulations, 

as of the end of the report period. 

Indicate ‘‘IEP,’’ if the child has an IEP, 

‘‘IFSP,’’ if the child has an IFSP or ‘‘not 

applicable’’ if the child does not have an 

IEP or IFSP. 

(12) IDEA qualifying disability. If the 

child has an IEP or IFSP, indicated in 

paragraph (b)(11) of this section, 

indicate which of the disability 

categories listed in the data elements 

described in paragraphs (b)(12)(i) 

through (xii) of this section ‘‘applies’’ or 

‘‘does not apply;’’ otherwise the title 

IV–E agency must leave those data 

elements blank. 

(i) Developmental delay. The child 

has been assessed by appropriate 

diagnostic instruments and procedures 

and is experiencing delays in one or 

more of the following areas, as defined 

by the State: Physical development, 

cognitive development, communication 

development, social or emotional 

development or adaptive development. 

(ii) Autism. The child has a 

developmental disability significantly 

affecting verbal and nonverbal 

communication and social interaction, 

generally evident before age three that 

adversely affects a child’s educational 

performance. The child may also exhibit 

other characteristics, such as 

engagement in repetitive activities and 

stereotyped movements, resistance to 

environmental change, change in daily 

routines and unusual responses to 

sensory experiences. 

(iii) Hearing impairment (including 

deafness). The child has an impairment 

in hearing, whether permanent or 

fluctuating, that adversely affects a 

child’s educational performance. 

(iv) Emotional disturbance. (A) The 

child has a condition exhibiting one or 

more of the following characteristics 

over a long period of time and to a 

marked degree that adversely affects a 

child’s educational performance: 

(1) An inability to learn that cannot be 

explained by intellectual, sensory or 

health factors; 

(2) An inability to build or maintain 

satisfactory interpersonal relationships 

with peers and teachers; 

(3) Inappropriate types of behavior or 

feelings under normal circumstances; 

(4) A general pervasive mood of 

unhappiness or depression; 

(5) A tendency to develop physical 

symptoms or fears associated with 

personal or school problems. 

(6) Schizophrenia. 

(v) Intellectual disability. The child 

has a significantly subaverage general 

intellectual functioning, existing 

concurrently with deficits in adaptive 

behavior and manifested during the 

developmental period, that adversely 

affects the child’s educational 

performance. 

(vi) Orthopedic impairment. The 

child has a severe orthopedic 

impairment that adversely affects a 

child’s educational performance, 

including impairments caused by a 

congenital anomaly, impairments 

caused by disease and impairments 

from other causes (e.g., cerebral palsy, 

amputations and fractures or burns that 

cause contractures). 

(vii) Other health impairment. The 

child has limited strength, vitality, or 

alertness, including a heightened 

alertness to environmental stimuli that 

results in limited alertness with respect 

to the educational environment that is 

due to chronic or acute health problems 

(e.g., asthma, attention deficit disorder 

or attention deficit hyperactivity 

disorder, diabetes, epilepsy, etc.) and 

adversely affects a child’s educational 

performance. 

(viii) Specific learning disability. The 

child has a disorder in one or more of 

the basic psychological processes 

involved in understanding or in using 

language, spoken or written, that may 

manifest itself in the imperfect ability to 

listen, think, speak, read, write, spell or 

to do mathematical calculations, 

including conditions such as perceptual 

disabilities, brain injury, minimal brain 

dysfunction, dyslexia and 

developmental aphasia. 

(ix) Speech and language impairment. 

The child has a communication 

disorder, such as stuttering, impaired 

articulation, language impairment or a 

voice impairment, which adversely 

affects a child’s educational 

performance. 

(x) Traumatic brain injury. The child 

has an acquired injury to the brain 

caused by an external physical force, 

resulting in total or partial functional 

disability or psychosocial impairment, 

or both, that adversely affects a child’s 

educational performance. 

(xi) Visual impairments (including 

blindness). The child has impairment in 

vision that, even with correction, 

adversely affects a child’s educational 

performance. 

(xii) Other. The child has a condition 

other than those described above that 

adversely affects a child’s educational 

performance. 

(13) Prior adoption(s). Indicate 

whether the child experienced prior 

legal adoption(s) before the current outof-home care episode. Include any 

public, private or independent adoption 

in the United States or adoption in 

another country. Indicate ‘‘yes’’ if the 

child experienced at least one prior 

legal adoption, ‘‘no’’ if the child has 

never been legally adopted or 

‘‘abandoned’’ if the information is 

unknown because the child has been 

abandoned. Abandoned means that the 

child was left alone or with others and 

the identity of the parent(s) or legal 

guardian(s) is unknown and cannot be 

ascertained. This includes a child left at 

a ‘‘safe haven.’’ If the child has 

experienced a prior legal adoption(s), 

the title IV–E agency must complete the 

data elements Prior adoption date, Prior 

adoption type, and Prior adoption 

jurisdiction described in paragraphs 

(b)(13)(i) through (iii) of this section for 

each prior adoption, as applicable; 

otherwise the title IV–E agency must 

leave those data elements blank. 

(i) Prior adoption date(s). Indicate the 

month and year that each prior adoption 

was finalized if the title IV–E agency 

indicated previously that the child was 

adopted in the data element Prior 

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adoption described in paragraph (b)(13) 

of this section. In the case of a prior 

intercountry adoption where the 

adoptive parent(s) readopted the child 

in the United States, the title IV–E 

agency must provide the date of the 

adoption (either the original adoption in 

the home country or the re-adoption in 

the United States) that is considered 

final in accordance with applicable 

laws. If the child was not previously 

adopted, the title IV–E agency must 

leave this data element blank. 

(ii) Prior adoption type(s). Indicate the 

type of each prior adoption if the title 

IV–E agency indicated that the child 

was adopted previously in the data 

element Prior adoption described in 

paragraph (b)(13) of this section. 

Indicate ‘‘foster care adoption within 

State or Tribal service area’’ if the child 

was in foster care in the reporting State 

or Tribal service area at the time the 

prior adoption was legalized. Indicate 

‘‘foster care adoption in another State or 

Tribal service area’’ if the child was in 

foster care in another State or Tribal 

service area at the time the prior 

adoption was legalized. Indicate 

‘‘intercountry adoption’’ if the child had 

a prior adoption that occurred in 

another country or the child was 

brought into the United States for the 

purposes of finalizing the prior 

adoption. Indicate ‘‘other private or 

independent adoption’’ if the child’s 

prior adoption was neither a foster care 

adoption nor an intercountry adoption 

as defined above. If the child was not 

previously adopted, the title IV–E 

agency must leave this data element 

blank. 

(iii) Prior adoption jurisdiction(s). For 

each prior adoption noted in paragraph 

(b)(13)(ii) of this section that occurred 

outside of the reporting State or Tribal 

service area, indicate the name of the 

State, Tribal service area Indian 

reservation or country, in which the 

child was previously adopted; otherwise 

the title IV–E agency must leave this 

data element blank. 

(14) Prior guardianship(s). Indicate 

whether the child experienced a prior 

legal guardianship(s) before the current 

out-of-home care episode. Include any 

public, private or independent 

guardianship(s) in the United States that 

meets the definition in section 475(7) of 

the Act. This includes any judicially 

created relationship between a child 

and caretaker which is intended to be 

permanent and self-sustaining as 

evidenced by the transfer to the 

caretaker of the following parental rights 

with respect to the child: Protection, 

education, care and control, custody, 

and decision making. Indicate ’’yes’’ if 

the child has experienced at least one 

prior legal guardianship, ‘‘no’’ if the 

child has never been in a legal 

guardianship, or ‘‘abandoned’’ if the 

information is unknown because the 

child has been abandoned. Abandoned 

means that the child was left alone or 

with others and the identity of the 

parent(s) or legal guardian(s) is 

unknown and cannot be ascertained. 

This includes a child left at a ‘‘safe 

haven.’’ If the child has experienced a 

prior legal guardianship(s), the title 

IV–E agency must complete the data 

elements Prior guardianship date, Prior 

guardianship type and Prior 

guardianship jurisdiction described in 

paragraphs (b)(14)(i) through (iii) of this 

section for each legal guardianship that 

the child has experienced; otherwise the 

title IV–E agency must leave those data 

elements blank. 

(i) Prior guardianship date(s). Indicate 

the month and year that each prior 

guardianship became legalized if the 

title IV–E agency indicated that the 

child was placed in a legal guardianship 

previously as indicated described in 

paragraph (b)(14) of this section. If the 

child was not previously in a legal 

guardianship, the title IV–E agency must 

leave this data element blank. 

(ii) Prior guardianship type(s). 

Indicate the type of each prior 

guardianship if the title IV–E agency 

indicated that the child was in a 

guardianship previously in the data 

element Prior guardianship described in 

paragraph (b)(14) of this section. 

Indicate ‘‘foster care guardianship 

within State or Tribal service area’’ if 

the child was in foster care in the 

reporting State or Tribal service area at 

the time the prior guardianship was 

legalized. Indicate ‘‘foster care 

guardianship in another State or Tribal 

service area’’ if the child was in foster 

care in another State or Tribal service 

area at the time the prior guardianship 

was legalized. Indicate ‘‘other private or 

independent guardianship’’ if the 

child’s prior guardianship was not a 

foster care guardianship as defined 

above. If the child was not previously in 

a guardianship, the title IV–E agency 

must leave this data element blank. 

(iii) Prior guardianship jurisdiction(s). 

For each prior guardianship noted in 

paragraph (b)(14)(ii) of this section that 

occurred outside of the reporting State 

or Tribal service area, indicate the name 

of the State, Tribal service area or Indian 

reservation in which the child was 

previously in a guardianship; otherwise 

the title IV–E agency must leave this 

data element blank. 

(15) Minor parent. Indicate the 

number of children of the child who is 

the subject of this record. A minor 

parent has a child(ren) if he or she has 

given birth herself or fathered any 

child(ren) who was born. This refers to 

biological parenthood, regardless of 

whether or not such children live with 

their parent(s). A title IV–E agency must 

report a child older than age 18 in foster 

care as a ‘‘minor parent’’ if he or she has 

children. If the child who is the subject 

of this record does not have a child, 

indicate ‘‘0.’’ If the title IV–E agency 

indicates that the minor parent has at 

least one child the title IV–E agency 

must complete the data element 

‘‘number of children living with the 

minor parent(s)’’ described in paragraph 

(e)(14) of this section. 

(16) Child financial and medical 

assistance. Indicate whether the child 

has received financial and medical 

assistance, other than title IV–E, at any 

point during the six-month report 

period. Indicate ‘‘child has received 

support/assistance’’ if the child was the 

recipient of such assistance during the 

report period, and indicate which of the 

following sources of support described 

in paragraphs (b)(16)(i) through (vii) of 

this section ‘‘applies’’ or ‘‘does not 

apply.’’ Indicate ‘‘no support/assistance 

received’’ if none of these apply. 

(i) SSI or Social Security benefits. The 

child is receiving support from 

Supplemental Security Income (SSI) or 

other Social Security benefits under title 

II or title XVI of the Act. 

(ii) Title XIX Medicaid. The child is 

eligible for and may be receiving 

assistance under the State’s title XIX 

program for medical assistance, 

including any benefits through title XIX 

waivers or demonstration programs. 

(iii) Title XXI SCHIP. The child is 

eligible for and receiving assistance 

under a State’s Children’s Health 

Insurance Program (SCHIP) under title 

XXI of the Act, including any benefits 

under title XXI waivers or 

demonstration programs. 

(iv) State/Tribal adoption assistance. 

The child is receiving an adoption 

subsidy or other adoption assistance 

paid for solely by the State or Indian 

Tribe. 

(v) State/Tribal foster care. The child 

is receiving a foster care payment that 

is solely funded by the State or Indian 

Tribe. 

(vi) Child Support. Child support 

funds are being paid to the title IV–E 

agency for the benefit of the child by 

assignment from the receiving parent. 

(vii) Other. The child is receiving 

financial support from another source 

not previously listed above. 

(17) Title IV–E foster care during 

report period. Indicate whether a title 

IV–E foster care maintenance payment 

was paid on behalf of the child at any 

point during the report period that is 

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claimed under title IV–E foster care with 

a ‘‘yes’’ or ‘‘no,’’ as appropriate. Indicate 

‘‘yes’’ if the child has met all eligibility 

requirements of section 472(a) of the Act 

and the title IV–E agency has claimed, 

or intends to claim, Federal 

reimbursement for foster care 

maintenance payments made on the 

child’s behalf during the report period. 

(18) Victim of sex trafficking prior to 

entering foster care. Indicate whether 

the child had been a victim of sex 

trafficking before the current out-ofhome care episode. Indicate ‘‘yes’’ if the 

child was a victim or ‘‘no’’ if the child 

had not been a victim. 

(i) Report to Law Enforcement. If the 

title IV–E agency indicated ‘‘yes’’ in 

paragraph (b)(18) of this section, 

indicate whether a report was made to 

law enforcement for entry into the 

National Crime Information Center 

(NCIC) database. Indicate ‘‘yes’’ if a 

report was made to law enforcement 

and indicate ‘‘no’’ if no report was 

made. 

(ii) Date. If the title IV–E agency 

indicated ‘‘yes’’ in paragraph (b)(18)(i) 

of this section, indicate the date that the 

agency made the report to law 

enforcement. 

(19) Victim of sex trafficking while in 

foster care. Indicate ‘‘yes’’ if the child 

was a victim of sex trafficking while in 

foster care at any time during the 

current six-month report period. 

Indicate ‘‘no’’ if the child was not a 

victim while in foster care at any time 

during the current six-month report 

period. 

(i) Report to law enforcement. If the 

title IV–E agency indicated ‘‘yes’’ in this 

paragraph (b)(19), indicate whether a 

report was made to law enforcement for 

entry into the NCIC database. Indicate 

‘‘yes’’ if a report was made to law 

enforcement and indicate ‘‘no’’ if no 

report was made. 

(ii) Date. If the title IV–E agency 

indicated ‘‘yes’’ in paragraph (b)(19)(i) 

of this section, indicate the date the 

agency made the report to law 

enforcement. 

(c) Parent or legal guardian 

information. (1)(i) Year of birth of first 

parent or legal guardian. If applicable, 

indicate the year of birth of the first 

parent (biological, legal or adoptive) or 

legal guardian to the child. To the extent 

that a child has both a parent and a legal 

guardian or two different sets of legal 

parents, the title IV–E agency must 

report on those who had legal 

responsibility for the child. We are not 

seeking information on putative 

parent(s) in this paragraph. If there is 

only one parent or legal guardian to the 

child, that person’s year of birth must be 

reported here. If the child was 

abandoned indicate ‘‘abandoned.’’ 

Abandoned means that the child was 

left alone or with others and the identity 

of the child’s parent(s) or legal 

guardian(s) is unknown and cannot be 

ascertained. This includes a child left at 

a ‘‘safe haven.’’ 

(ii) First parent or legal guardian born 

in the United States. Indicate whether 

the first parent (biological, legal or 

adoptive) or legal guardian to the child 

was born in the United States. This 

must be the same parent or legal 

guardian whose birth information was 

reported in paragraph (c)(1)(i) of this 

section. If the first parent or legal 

guardian was born in the United States, 

indicate ‘‘yes.’’ If the first parent or legal 

guardian was born in a country other 

than the United States, indicate ‘‘no.’’ If 

the child was abandoned indicate 

‘‘abandoned.’’ Abandoned means that 

the child was left alone or with others 

and the identity of the child’s parent(s) 

or legal guardian(s) is unknown and 

cannot be ascertained. This includes a 

child left at a ‘‘safe haven.’’ 

(2)(i) Year of birth of second parent or 

legal guardian. If applicable, indicate 

the year of birth of the second parent 

(biological, legal or adoptive) or legal 

guardian to the child. We are not 

seeking information on putative 

parent(s) in this paragraph. If the child 

was abandoned, indicate ‘‘abandoned.’’ 

Abandoned means that the child was 

left alone or with others and the identity 

of the child’s parent(s) or legal 

guardian(s) is unknown and cannot be 

ascertained. This includes a child left at 

a ‘‘safe haven.’’ Indicate ‘‘not 

applicable’’ if there is not another 

parent or legal guardian. 

(ii) Second parent or legal guardian 

born in the United States. Indicate the 

country of birth for the second parent 

(biological, legal or adoptive) or legal 

guardian to the child. This should be 

the same parent or legal guardian whose 

birth information was reported in 

paragraph (c)(2)(i) of this section. If the 

second parent or legal guardian was 

born in the United States, indicate 

‘‘yes.’’ If the second parent or legal 

guardian was born in a country other 

than the United States, indicate ‘‘no.’’ If 

the child was abandoned, indicate 

‘‘abandoned.’’ Abandoned means that 

the child was left alone or with others 

and the identity of the child’s parent(s) 

or legal guardian(s) is unknown and 

cannot be ascertained. This includes a 

child left at a ‘‘safe haven.’’ Indicate 

‘‘not applicable’’ if there is not another 

parent or legal guardian. 

(3)(i) Termination of parental rights 

petition. Indicate the month, day and 

year that each petition to terminate the 

parental rights of a biological, legal and/ 

or putative parent was filed in court, if 

applicable. Indicate ‘‘deceased’’ if the 

parent is deceased. 

(ii) Termination of parental rights. 

Enter the month, day and year that the 

court terminated the parental rights of a 

biological, legal and/or putative parent, 

for each petition date reported in 

paragraph (c)(3)(i) of this section, if 

applicable. If the parent is deceased, 

enter the date of death. 

(4) Date of judicial finding of abuse or 

neglect. Indicate the month, day and 

year of the first judicial finding that the 

child has been subject to child abuse or 

neglect, if applicable. Indicate ‘‘no date’’ 

if there is no such finding by the end of 

the report period. 

(d) Removal information. (1) Date of 

child’s removal. Indicate the removal 

date(s) in month, day and year format 

for each removal of a child who enters 

the placement and care responsibility of 

the title IV–E agency. 

(i) For a child who is removed and is 

placed initially in foster care, indicate 

the date that the title IV–E agency 

received placement and care 

responsibility. 

(ii) For a child who ran away or 

whose whereabouts are unknown at the 

time the child is removed and is placed 

in the placement and care responsibility 

of the title IV–E agency, indicate the 

date that the title IV–E agency received 

placement and care responsibility. 

(iii) For a child who is removed and 

is placed initially in a non-foster care 

setting, indicate the date that the child 

enters foster care as the date of removal. 

(2) Removal transaction date. A nonmodifiable, computer-generated date 

which accurately indicates the month, 

day and year each response to paragraph 

(d)(1) of this section was entered into 

the information system. 

(3) Environment at removal. Indicate 

the type of environment (household or 

facility) the child was living in at the 

time of each removal for each removal 

reported in paragraph (d)(1) of this 

section. Indicate ‘‘parent household’’ if 

the child was living in a household that 

included one or both of the child’s 

parents, whether biological, adoptive or 

legal. Indicate ‘‘relative household’’ if 

the child was living with a relative(s), 

the relative(s) is not the child’s legal 

guardian and neither of the child’s 

parents were living in the household. 

Indicate ‘‘legal guardian household’’ if 

the child was living with a legal 

guardian(s), the guardian(s) is not the 

child’s relative and neither of the child’s 

parents were living in the household. 

Indicate ‘‘justice facility’’ if the child 

was in a detention center, jail or other 

similar setting where the child was 

detained. Indicate ‘‘medical/mental 

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health facility’’ if the child was living in 

a facility such as a medical or 

psychiatric hospital or residential 

treatment center. Indicate ‘‘other’’ if the 

child was living in another situation not 

so described, such as living 

independently. 

(4) Authority for placement and care 

responsibility. Indicate the title IV–E 

agency’s authority for placement and 

care responsibility of the child for each 

removal reported in paragraph (d)(1) of 

this section. ‘‘Court ordered’’ means that 

the court has issued an order that is the 

basis for the title IV–E agency’s 

placement and care responsibility. 

‘‘Voluntary placement agreement’’ 

means that an official voluntary 

placement agreement has been executed 

between the parent(s), guardian(s) or 

child age 18 or older and the title 

IV–E agency. The placement remains 

voluntary even if a subsequent court 

order is issued to continue the child in 

out-of-home care. ‘‘Not yet determined’’ 

means that a voluntary placement 

agreement has not been signed or a 

court order has not been issued. When 

either a voluntary placement agreement 

is signed or a court order issued, the 

record must be updated from ‘‘not yet 

determined’’ to the appropriate response 

option to reflect the title IV–E agency’s 

authority for placement and care 

responsibility at that time. 

(5) Child and family circumstances at 

removal. Indicate all child and family 

circumstances that were present at the 

time of the child’s removal and/or 

related to the child being placed into 

foster care for each removal reported in 

paragraph (d)(1) of this section. Indicate 

whether each circumstance listed in the 

data elements described in paragraphs 

(d)(1)(i) through (xxvii) ‘‘applies’’ or 

‘‘does not apply’’ for each removal 

indicated in paragraph (d)(1) of this 

section. 

(i) Runaway. The child has left, 

without authorization, the home or 

facility where the child was residing. 

(ii) Whereabouts unknown. The 

child’s whereabouts are unknown and 

the title IV–E agency does not consider 

the child to have run away. 

(iii) Physical abuse. Alleged or 

substantiated physical abuse, injury or 

maltreatment of the child by a person 

responsible for the child’s welfare. 

(iv) Sexual abuse. Alleged or 

substantiated sexual abuse or 

exploitation of the child by a person 

who is responsible for the child’s 

welfare. 

(v) Psychological or emotional abuse. 

Alleged or substantiated psychological 

or emotional abuse, including verbal 

abuse, of the child by a person who is 

responsible for the child’s welfare. 

(vi) Neglect. Alleged or substantiated 

negligent treatment or maltreatment of 

the child, including failure to provide 

adequate food, clothing, shelter, 

supervision or care by a person who is 

responsible for the child’s welfare. 

(vii) Medical neglect. Alleged or 

substantiated medical neglect caused by 

a failure to provide for the appropriate 

health care of the child by a person who 

is responsible for the child’s welfare, 

although the person was financially able 

to do so, or was offered financial or 

other means to do so. 

(viii) Domestic violence. Alleged or 

substantiated physical or emotional 

abuse between one adult member of the 

child’s home and a partner or the child 

and his or her partner if the child is age 

18 or older. This does not include 

alleged or substantiated maltreatment of 

the child by a person who is responsible 

for the child’s welfare. 

(ix) Abandonment. The child was left 

alone or with others and the parent or 

legal guardian’s identity is unknown 

and cannot be ascertained. This 

includes a child left at a ‘‘safe haven.’’ 

This category does not apply when the 

identity of the parent(s) or legal 

guardian(s) is known. 

(x) Failure to return. The parent, legal 

guardian or caretaker did not or has not 

returned for the child or made his or her 

whereabouts known. This category does 

not apply when the identity of the 

parent, legal guardian or caretaker is 

unknown. 

(xi) Caretaker’s alcohol abuse. A 

parent, legal guardian or other caretaker 

responsible for the child uses alcohol 

compulsively that is not of a temporary 

nature. 

(xii) Caretaker’s drug abuse. A parent, 

legal guardian or other caretaker 

responsible for the child uses drugs 

compulsively that is not of a temporary 

nature. 

(xiii) Child alcohol use. The child 

uses alcohol. 

(xiv) Child drug use. The child uses 

drugs. 

(xv) Prenatal alcohol exposure. The 

child has been identified as prenatally 

exposed to alcohol, resulting in fetal 

alcohol spectrum disorders such as fetal 

alcohol exposure, fetal alcohol effect or 

fetal alcohol syndrome. 

(xvi) Prenatal drug exposure. The 

child has been identified as prenatally 

exposed to drugs. 

(xvii) Diagnosed condition. The child 

has a clinical diagnosis by a qualified 

professional of a health, behavioral or 

mental health condition, such as one or 

more of the following: Intellectual 

disability, emotional disturbance, 

specific learning disability, hearing, 

speech or sight impairment, physical 

disability or other clinically diagnosed 

condition. 

(xviii) Inadequate access to mental 

health services. The child or child’s 

family has inadequate resources to 

access the necessary mental health 

services outside of the child’s out-ofhome care placement. 

(xix) Inadequate access to medical 

services. The child or child’s family has 

inadequate resources to access the 

necessary medical services outside of 

the child’s out-of-home care placement. 

(xx) Child behavior problem. The 

child’s behavior in his or her school 

and/or community adversely affects his 

or her socialization, learning, growth 

and/or moral development. This 

includes all child behavior problems, as 

well as adjudicated and non-adjudicated 

status or delinquency offenses and 

convictions. 

(xxi) Death of caretaker. Existing 

family stress in caring for the child or 

an inability to care for the child due to 

the death of a parent, legal guardian or 

other caretaker. 

(xxii) Incarceration of caretaker. The 

child’s parent, legal guardian or 

caretaker is temporarily or permanently 

placed in jail or prison which adversely 

affects his or her ability to care for the 

child. 

(xxiii) Caretaker’s significant 

impairment—physical/emotional. A 

physical or emotional illness or 

disabling condition of the child’s 

parent, legal guardian or caretaker that 

adversely limits his or her ability to care 

for the child. 

(xxiv) Caretaker’s significant 

impairment—cognitive. The child’s 

parent, legal guardian or caretaker has 

cognitive limitations that impact his or 

her ability to function in areas of daily 

life, which adversely affect his or her 

ability to care for the child. It also may 

be characterized by a significantly 

below-average score on a test of mental 

ability or intelligence. 

(xxv) Inadequate housing. The child’s 

or his or her family’s housing is 

substandard, overcrowded, unsafe or 

otherwise inadequate which results in it 

being inappropriate for the child to 

reside. This circumstance also includes 

homelessness. 

(xxvi) Voluntary relinquishment for 

adoption. The child’s parent has 

voluntarily relinquished the child by 

assigning the physical and legal custody 

of the child to the title IV–E agency, in 

writing, for the purpose of having the 

child adopted. 

(xxvii) Child requested placement. 

The child, age 18 or older, has requested 

placement into foster care. 

(e) Living arrangement and provider 

information. (1) Date of living 

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arrangement. Indicate the month, day 

and year representing the first date of 

placement in each of the child’s living 

arrangements for each out-of-home care 

episode. Indicate the date that the child 

was considered by the title IV–E agency 

as having run away or when his or her 

whereabouts became unknown. In the 

case of a child who is already in a living 

arrangement and remains there when 

the title IV–E agency receives placement 

and care responsibility, indicate the 

date of the VPA or court order providing 

the title IV–E agency with placement 

and care responsibility for the child, 

rather than the date that the child was 

originally placed in the living 

arrangement. 

(2) Foster family home. Indicate 

whether each of the child’s living 

arrangements is a foster family home, 

with a ‘‘yes’’ or ‘‘no’’ as appropriate. If 

the child has run away or the child’s 

whereabouts are unknown, indicate 

‘‘no.’’ If the title IV–E agency indicates 

that the child is living in a foster family 

home, by indicating ‘‘yes,’’ the title 

IV–E agency must complete the data 

element Foster family home type in 

paragraph (e)(3) of this section. If the 

title IV–E agency indicates ‘‘no,’’ the 

title IV–E agency must complete the 

data element Other living arrangement 

type in paragraph (e)(4) of this section. 

(3) Foster family home type. If the title 

IV–E agency indicated that the child is 

living in a foster family home in the 

data element described in paragraph 

(e)(2), indicate whether each foster 

family home type listed in the data 

elements in paragraphs (e)(3)(i) through 

(e)(3)(vi) of this section applies or does 

not apply; otherwise the title IV–E 

agency must leave this data element 

blank. 

(i) Licensed home. The child’s living 

arrangement is licensed or approved by 

the State or Tribal licensing/approval 

authority. 

(ii) Therapeutic foster family home. 

The home provides specialized care and 

services. 

(iii) Shelter care foster family home. 

The home is so designated by the State 

or Tribal licensing/approval authority, 

and is designed to provide short-term or 

transitional care. 

Relative foster family home. The 

foster parent(s) is related to the child by 

biological, legal or marital connection 

and the relative foster parent(s) lives in 

the home as his or her primary 

residence. 

(v) Pre-adoptive home. The home is 

one in which the family and the title 

IV–E agency have agreed on a plan to 

adopt the child. 

(vi) Kin foster family home. The home 

is one in which there is a kin 

relationship as defined by the title 

IV–E agency, such as one where there is 

a psychological, cultural or emotional 

relationship between the child or the 

child’s family and the foster parent(s). 

(4) Other living arrangement type. If 

the title IV–E agency indicated that the 

child’s living arrangement is other than 

a foster family home in the data element 

Foster family home in paragraph (e)(2) 

of this section, indicate the type of 

setting; otherwise the title IV–E agency 

must leave this data element blank. 

Indicate ‘‘group home-family operated’’ 

if the child is in a group home that 

provides 24-hour care in a private 

family home where the family members 

are the primary caregivers. Indicate 

‘‘group home-staff operated’’ if the child 

is in a group home that provides 24- 

hour care for children where the caregiving is provided by shift or rotating 

staff. Indicate ‘‘group home-shelter 

care’’ if the child is in a group home that 

provides 24-hour care which is shortterm or transitional in nature, and is 

designated by the State or Tribal 

licensing/approval authority to provide 

shelter care. Indicate ‘‘residential 

treatment center’’ if the child is in a 

facility that has the purpose of treating 

children with mental health or 

behavioral conditions. Indicate ‘‘child 

care institution’’ if the child is in a 

private child care institution, or a public 

child care institution which 

accommodates no more than 25 

children, and is licensed by the State or 

Tribal authority responsible for 

licensing or approving child care 

institutions. This does not include 

detention facilities, forestry camps, 

training schools or any other facility 

operated primarily for the detention of 

children who are determined to be 

delinquent. Indicate ‘‘child care 

institution-shelter care’’ if the child is in 

a child care institution as defined above 

and the institution is designated to 

provide shelter care by the State or 

Tribal authority responsible for 

licensing or approving child care 

institutions and is short-term or 

transitional in nature. Indicate 

‘‘supervised independent living’’ if the 

child is living independently in a 

supervised setting. Indicate ‘‘juvenile 

justice facility’’ if the child is in a secure 

facility or institution where alleged or 

adjudicated juvenile delinquents are 

housed. Indicate ‘‘medical or 

rehabilitative facility’’ if the child is in 

a facility where an individual receives 

medical or physical health care, such as 

a hospital. Indicate ‘‘psychiatric 

hospital’’ if the child is in a facility that 

provides emotional or psychological 

health care and is licensed or accredited 

as a hospital. Indicate ‘‘runaway’’ if the 

child has left, without authorization, the 

home or facility where the child was 

placed. Indicate ‘‘whereabouts 

unknown’’ if the child is not in the 

physical custody of the title IV–E 

agency or person or institution with 

whom the child has been placed, the 

child’s whereabouts are unknown and 

the title IV–E agency does not consider 

the child to have run away. Indicate 

‘‘placed at home’’ if the child is home 

with the parent(s) or legal guardian(s) in 

preparation for the title IV–E agency to 

return the child home permanently. 

(5) Private agency living arrangement. 

Indicate the type of contractual 

relationship with a private agency for 

each of the child’s living arrangements 

reported in paragraph (e)(1) of this 

section. Indicate ‘‘private agency 

involvement’’ if the child is placed in a 

living arrangement that is either 

licensed, managed or run by a private 

agency that is under contract with the 

title IV–E agency. Indicate ‘‘no private 

agency involvement’’ if the child’s 

living arrangement is not licensed, 

managed or run by a private agency. 

(6) Location of living arrangement. 

Indicate whether each of the child’s 

living arrangements reported in 

paragraph (e)(1) of this section is located 

within or outside of the reporting State 

or Tribal service area or is outside of the 

country. Indicate ‘‘out-of-State or out-ofTribal service area’’ if the child’s living 

arrangement is located outside of the 

reporting State or Tribal service area. 

Indicate ‘‘in-State or in-Tribal service 

area’’ if the child’s living arrangement is 

located within the reporting State or 

Tribal service area. Indicate ‘‘out-ofcountry’’ if the child’s living 

arrangement is outside of the United 

States. Indicate ‘‘runaway or 

whereabouts unknown’’ if the child has 

run away from his or her living 

arrangement or the child’s whereabouts 

are unknown. If the title IV–E agency 

indicates either ‘‘out-of-State or out-ofTribal service area’’ or ‘‘out-of-country’’ 

for the child’s living arrangement, the 

title IV–E agency must complete the 

data element in paragraph (e)(7) of this 

section; otherwise the title IV–E agency 

must leave it blank. 

(7) Jurisdiction or country where child 

is living. Indicate the name of the State, 

Tribal service area, Indian reservation or 

country where the reporting title IV–E 

agency placed the child for each living 

arrangement, if the title IV–E agency 

indicated either ‘‘out-of-State or out-ofTribal service area’’ or ‘‘out-of-country’’ 

in paragraph (e)(6) of this section; 

otherwise the title IV–E agency must 

leave it blank. 

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(8) Number of siblings in out-of-home 

care. Indicate the current total number 

of siblings, if applicable, that the child 

has who themselves are in out-of-home 

care under the placement and care 

responsibility of the reporting title 

IV–E agency at any point during the 

report period. A sibling to the child is 

his or her brother or sister by biological, 

legal or marital connection. Do not 

include the child who is the subject of 

this record in the total number. If the 

child does not have siblings who 

themselves are in out-of-home care 

under the placement and care 

responsibility of the reporting title 

IV–E agency during the report period, 

the title IV–E agency must indicate ‘‘0’’ 

as the number for this data element. If 

the child does not have any siblings, the 

title IV–E agency must indicate ‘‘not 

applicable’’ for this data element. If the 

title IV–E agency indicates either ‘‘0’’ or 

‘‘not applicable,’’ the title IV–E agency 

must leave the data elements in 

paragraphs (e)(9) and (e)(10) of this 

section blank. 

(9) Siblings placed together in out-ofhome care. Indicate the child record 

number(s) of each sibling(s) who is in 

out-of-home care under the placement 

and care responsibility of the reporting 

title IV–E agency and who is placed 

with the child in the same living 

arrangement at any point during the 

report period. A sibling to the child is 

his or her brother or sister by biological, 

legal or marital connection. Report this 

information whether the child’s living 

arrangement is in or out of the State or 

Tribal service area. Do not include the 

child record number for the child who 

is the subject of this record. 

(10) Siblings in out-of-home care not 

living with child. Indicate the child 

record number(s) of each sibling(s) who 

is in out-of-home care under the 

placement and care responsibility of the 

reporting title IV–E agency, and who is 

not placed with the child in the same 

living arrangement at any point during 

the report period. A sibling to the child 

is his or her brother or sister by 

biological, legal or marital connection. 

Report this information whether the 

child’s living arrangement is in or out of 

the State or Tribal service area. Do not 

include the child record number for the 

child who is the subject of this record. 

(11) Number of siblings in an 

adoption or legal guardianship. Indicate 

the total number of siblings, if 

applicable, that a child has who exited 

the placement and care responsibility of 

the reporting title IV–E agency to a 

finalized adoption or legal 

guardianship. A sibling to the child is 

his or her brother or sister by biological, 

legal or marital connection. Do not 

include the child who is the subject of 

this record in the total number. If the 

child does not have siblings who exited 

the placement and care responsibility of 

the reporting title IV–E agency to a 

finalized adoption or legal 

guardianship, the title IV–E agency must 

indicate ‘‘0’’ as the number for this data 

element. If the child does not have any 

siblings, the title IV–E agency must 

indicate ‘‘not applicable’’ for this data 

element. If the title IV–E agency 

indicates either ‘‘0’’ or ‘‘not applicable,’’ 

the title IV–E agency must leave the data 

elements in paragraphs (e)(12) and 

(e)(13) of this section blank. 

(12) Siblings in adoptive/

guardianship placements living with 

child. Indicate the child record 

number(s) of each sibling(s) who exited 

the placement and care responsibility of 

the title IV–E agency to a finalized 

adoption or a legal guardianship and 

who is placed with the child in the 

same living arrangement at any point 

during the report period. A sibling to 

the child is his or her brother or sister 

by biological, legal or marital 

connection. Report this information 

whether the child’s living arrangement 

is in or out of the State or Tribal service 

area. Do not include the child record 

number for the child who is the subject 

of this record. 

(13) Siblings in adoptive/

guardianship placements not living with 

child. Indicate the child record 

number(s) of each sibling(s) who exited 

the placement and care responsibility of 

the title IV–E agency to a finalized 

adoption or a legal guardianship and 

who is not living with the child in the 

same living arrangement at any point 

during the report period. A sibling to 

the child is his or her brother or sister 

by biological, legal or marital 

connection. Report this information 

whether the child’s living arrangement 

is in or out of the State or Tribal service 

area. Do not include the child record 

number for the child who is the subject 

of this record. 

(14) Number of children living with 

the minor parent. Indicate the number 

of the minor parent’s children living 

with him or her in the same living 

arrangement if the title IV–E agency 

indicated that the minor parent has 

children in paragraph (b)(15) of this 

section. Report this information for each 

living arrangement. Do not include any 

child(ren) of the minor parent who is in 

out-of-home care and placed separately 

from his or her parent. If the minor 

parent does not have any children, the 

title IV–E agency must leave this data 

element blank. 

(15) Marital status of the foster 

parent(s). Indicate the marital status of 

the child’s foster parent(s) for each 

foster family home living arrangement 

in which the child is placed, as 

indicated in paragraph (e)(3) of this 

section. Indicate ‘‘married couple’’ if the 

foster parents are considered united in 

matrimony according to applicable 

laws. Include common law marriage, 

where provided by applicable laws. 

Indicate ‘‘unmarried couple’’ if the 

foster parents are living together as a 

couple, but are not united in matrimony 

according to applicable laws. Indicate 

‘‘separated’’ if the foster parent is legally 

separated or is living apart from his or 

her spouse. Indicate ‘‘single female’’ if 

the foster parent is a female who is not 

married and is not living with another 

individual as part of a couple. Indicate 

‘‘single male’’ if the foster parent is a 

male who is not married and is not 

living with another individual as part of 

a couple. If the response is either 

‘‘married couple’’ or ‘‘unmarried 

couple,’’ the title IV–E agency must 

complete the data elements for the 

second foster parent in paragraphs 

(e)(20) through (e)(22) of this section; 

otherwise the title IV–E agency must 

leave those data elements blank. 

(16) Child’s relationships to the foster 

parent(s). Indicate the type of 

relationship between the child and his 

or her foster parent(s), for each foster 

family home living arrangement in 

which the child is placed, as indicated 

in paragraph (e)(3) of this section. 

Indicate ‘‘paternal grandparent(s)’’ if the 

foster parent(s) is the child’s paternal 

grandparent (by biological, legal or 

marital connection). Indicate ‘‘maternal 

grandparent(s)’’ if the foster parent(s) is 

the child’s maternal grandparent (by 

biological, legal or marital connection). 

Indicate ‘‘other paternal relative(s)’’ if 

the foster parent(s) is the child’s 

paternal relative (by biological, legal or 

marital connection) other than a 

grandparent, such as an aunt, uncle or 

cousin. Indicate ‘‘other maternal 

relative(s)’’ if the foster parent(s) is the 

child’s maternal relative (by biological, 

legal or marital connection) other than 

a grandparent, such as an aunt, uncle or 

cousin. Indicate ‘‘sibling(s)’’ if the foster 

parent(s) is a brother or sister of the 

child, either biologically, legally or by 

marriage. Indicate ‘‘non-relative(s)’’ if 

the foster parent(s) is not related to the 

child (by biological, legal or marital 

connection). Indicate ‘‘kin’’ if the foster 

parent(s) has kin relationship to the 

child as defined by the title IV–E 

agency, such as one where there is a 

psychological, cultural or emotional 

relationship between the child or the 

child’s family and the foster parent(s). 

(17) Year of birth for first foster 

parent. Indicate the year of birth for the 

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first foster parent for each foster family 

home living arrangement in which the 

child is placed, as indicated in 

paragraph (e)(3) of this section. 

(18) Race of first foster parent. 

Indicate the race of the first foster parent 

for each foster family home living 

arrangement in which the child is 

placed, as indicated in paragraph (e)(3) 

of this section. In general, an 

individual’s race is determined by the 

individual. Indicate whether each race 

category listed in the data elements 

described in paragraphs (e)(18)(i) 

through (vii) of this section applies with 

a ‘‘yes’’ or ‘‘no.’’ 

(i) Race—American Indian or Alaska 

Native. An American Indian or Alaska 

Native individual has origins in any of 

the original peoples of North or South 

America (including Central America) 

and maintains Tribal affiliation or 

community attachment. 

(ii) Race—Asian. An Asian individual 

has origins in any of the original 

peoples of the Far East, Southeast Asia 

or the Indian subcontinent including, 

for example, Cambodia, China, India, 

Japan, Korea, Malaysia, Pakistan, the 

Philippine Islands, Thailand and 

Vietnam. 

(iii) Race—Black or African 

American. A Black or African American 

individual has origins in any of the 

black racial groups of Africa. 

(iv) Race—Native Hawaiian or Other 

Pacific Islander. A Native Hawaiian or 

Other Pacific Islander individual has 

origins in any of the original peoples of 

Hawaii, Guam, Samoa or other Pacific 

Islands. 

(v) Race—White. A White individual 

has origins in any of the original 

peoples of Europe, the Middle East or 

North Africa. 

(vi) Race—unknown. The foster 

parent does not know his or her race, or 

at least one race. 

(vii) Race—declined. The first foster 

parent has declined to identify a race. 

(19) Hispanic or Latino ethnicity of 

first foster parent. Indicate the Hispanic 

or Latino ethnicity of the first foster 

parent for each foster family home 

living arrangement in which the child is 

placed, as indicated in paragraph (e)(3) 

of this section. In general, an 

individual’s ethnicity is determined by 

the individual. An individual is of 

Hispanic or Latino ethnicity if the 

individual is a person of Cuban, 

Mexican, Puerto Rican, South or Central 

American or other Spanish culture or 

origin, regardless of race. Indicate 

whether this category applies with a 

‘‘yes’’ or ‘‘no.’’ If the first foster parent 

does not know his or her ethnicity 

indicate ‘‘unknown.’’ If the individual 

refuses to identify his or her ethnicity, 

indicate ‘‘declined.’’ 

(20) Year of birth for second foster 

parent. Indicate the birth year of the 

second foster parent for each foster 

family home living arrangement in 

which the child is placed, as indicated 

in paragraph (e)(3) of this section, if 

applicable. The title IV–E agency must 

leave this data element blank if there is 

no second foster parent according to 

paragraph (e)(15) of this section. 

(21) Race of second foster parent. 

Indicate the race of the second foster 

parent for each foster family home 

living arrangement in which the child is 

placed, as indicated in paragraph (e)(3) 

of this section, if applicable. In general, 

an individual’s race is determined by 

the individual. Indicate whether each 

race category listed in the data elements 

described in paragraphs (e)(21)(i) 

through (vii) of this section applies with 

a ‘‘yes’’ or ‘‘no.’’ The title IV–E agency 

must leave this data element blank if 

there is no second foster parent 

according to paragraph (e)(15) of this 

section. 

(i) Race—American Indian or Alaska 

Native. An American Indian or Alaska 

Native individual has origins in any of 

the original peoples of North or South 

America (including Central America) 

and maintains Tribal affiliation or 

community attachment. 

(ii) Race—Asian. An Asian individual 

has origins in any of the original 

peoples of the Far East, Southeast Asia 

or the Indian subcontinent including, 

for example, Cambodia, China, India, 

Japan, Korea, Malaysia, Pakistan, the 

Philippine Islands, Thailand and 

Vietnam. 

(iii) Race—Black or African 

American. A Black or African American 

individual has origins in any of the 

black racial groups of Africa. 

(iv) Race—Native Hawaiian or Other 

Pacific Islander. A Native Hawaiian or 

Other Pacific Islander individual has 

origins in any of the original peoples of 

Hawaii, Guam, Samoa or other Pacific 

Islands. 

(v) Race—White. A White individual 

has origins in any of the original 

peoples of Europe, the Middle East or 

North Africa. 

(vi) Race—unknown. The second 

foster parent does not know his or her 

race, or at least one race. 

(vii) Race—declined. The second 

foster parent has declined to identify a 

race. 

(22) Hispanic or Latino ethnicity of 

second foster parent. Indicate the 

Hispanic or Latino ethnicity of the 

second foster parent for each foster 

family home living arrangement in 

which the child is placed, as indicated 

in paragraph (e)(3) of this section, if 

applicable. In general, an individual’s 

ethnicity is determined by the 

individual. An individual is of Hispanic 

or Latino ethnicity if the individual is 

a person of Cuban, Mexican, Puerto 

Rican, South or Central American or 

other Spanish culture or origin, 

regardless of race. Indicate whether this 

category applies with a ‘‘yes’’ or ‘‘no.’’ 

If the second foster parent does not 

know his or her ethnicity, indicate 

‘‘unknown.’’ If the individual refuses to 

identify his or her ethnicity, indicate 

‘‘declined.’’ The title IV–E agency must 

leave this data element blank if there is 

no second foster parent according to 

paragraph (e)(15) of this section. 

(23) Sources of Federal assistance in 

living arrangement. Indicate in the data 

elements described in paragraphs 

(e)(23)(i) through (e)(23)(viii) of this 

section if the identified source of 

Federal assistance ‘‘applies’’ or ‘‘does 

not apply’’ on the last day of the child’s 

placement in each living arrangement or 

on the last day of the report period if the 

child’s living arrangement is ongoing, 

for each living arrangement as indicated 

in paragraph (e)(1) of this section. If the 

title IV–E agency indicated ‘‘applies’’ in 

paragraph (e)(23)(i), (e)(23)(ii), or 

(e)(23)(iii), the title IV–E agency must 

complete the data element in paragraph 

(e)(24) of this section; otherwise the title 

IV–E agency must leave it blank. 

(i) Title IV–E foster care. The child is 

determined eligible for title IV–E foster 

care maintenance payments. 

(ii) Title IV–E adoption subsidy. The 

child is determined eligible for a title 

IV–E adoption assistance subsidy. 

(iii) Title IV–E guardianship 

assistance. The child is determined 

eligible for a title IV–E guardianship 

assistance subsidy. 

(iv) Title IV–A TANF. The child is 

living with relatives who are receiving 

a Temporary Assistance for Needy 

Families (TANF) cash assistance 

payment on behalf of the child. 

(v) Title IV–B. The child’s living 

arrangement is supported by funds 

under title IV–B of the Act. 

(vi) SSBG. The child’s living 

arrangement is supported by funds 

under title XX of the Act. 

(vii) Chafee Foster Care Independence 

Program. The child is living 

independently and is supported by 

funds under the John F. Chafee Foster 

Care Independence Program. 

(viii) Other federal source. The child’s 

living arrangement is supported through 

other Federal funds not indicated above. 

(24) Amount of payment. Indicate the 

total (title IV–E agency and Federal 

share) per diem amount of the foster 

care maintenance payment, adoption 

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assistance subsidy, or guardianship 

assistance subsidy that the child is 

eligible for or paid to the foster parent(s) 

on behalf of the title IV–E eligible child 

on the last day of each living 

arrangement or the last day of the report 

period, if the child’s living arrangement 

is ongoing. The title IV–E agency must 

complete this data element for each 

living arrangement as indicated in 

paragraph (e)(1) of this section if the 

title IV–E agency indicated ‘‘applies’’ in 

paragraph (e)(23)(i), (e)(23)(ii), or 

(e)(23)(iii) for that living arrangement. If 

the title IV–E agency indicated 

‘‘applies’’ in paragraph (e)(23)(i), 

(e)(23)(ii), or (e)(23)(iii) of this section 

and no payment was made, the title 

IV–E agency must indicate ‘‘0’’ for this 

data element. 

(25) Services provided in other living 

arrangements. If the title IV–E agency 

indicated that the child’s living 

arrangement is other living arrangement 

type as indicated in paragraph (e)(4) of 

this section, indicate the type of 

services, if any, that is provided by this 

setting. If there are no services provided 

by the agency setting, the title IV–E 

agency must indicate ‘‘no.’’ If the title 

IV–E agency indicated in paragraph 

(e)(2) of this section that the child is 

living in a foster family home, leave this 

data element blank. If there are services 

provided, the title IV–E agency must 

indicate ‘‘yes’’ in paragraph (e)(25) and 

then indicate whether each paragraphs 

(e)(25)(i) through (e)(25)(iv) of this 

section ‘‘applies’’ or does not apply.’’ 

(i) Specialized education. 

(ii) Treatment. 

(iii) Counseling. 

(iv) Other services. 

(f) Permanency planning. (1) 

Permanency plan. Indicate each 

permanency plan established for the 

child. Indicate ‘‘reunify with parent(s) 

or legal guardian(s)’’ if the plan is to 

keep the child in out-of-home care for 

a limited time and the title IV–E agency 

is to work with the child’s parent(s) or 

legal guardian(s) to establish a stable 

family environment. Indicate ‘‘live with 

other relatives’’ if the plan is for the 

child to live permanently with a 

relative(s) (by biological, legal or marital 

connection) who is not the child’s 

parent(s) or legal guardian(s). Indicate 

‘‘adoption’’ if the plan is to facilitate the 

child’s adoption by relatives, foster 

parents, kin or other unrelated 

individuals. Indicate ‘‘guardianship’’ if 

the plan is to establish a new legal 

guardianship. Indicate ‘‘planned 

permanent living arrangement’’ if the 

plan is for the child to remain in foster 

care until the title IV–E agency’s 

placement and care responsibility ends. 

The title IV–E agency must only select 

‘‘planned permanent living 

arrangement’’ consistent with the 

requirements in section 475(5)(C)(i) of 

the Act. Indicate ‘‘permanency plan not 

established’’ if a permanency plan has 

not yet been established. 

(2) Date of permanency plan. Indicate 

the month, day and year that each 

permanency plan(s) was established 

during each out-of-home care episode. 

(3) Concurrent permanency planning. 

Indicate whether the title IV–E agency 

has identified a concurrent permanency 

plan for the child. Indicate ‘‘concurrent 

permanency plan,’’ if there is a 

concurrent permanency plan for the 

child, ‘‘no concurrent permanency 

plan’’ if the title IV–E agency uses 

concurrent permanency planning but 

does not have a concurrent permanency 

plan for the child or ‘‘not applicable’’ if 

the title IV–E agency does not engage in 

concurrent permanency planning. If the 

title IV–E agency indicates that the child 

has a concurrent permanency plan, the 

title IV–E agency must complete the 

data elements in paragraphs (f)(3)(i) and 

(ii) of this section; otherwise the title 

IV–E agency must leave these data 

elements blank. 

(i) Concurrent permanency plan. The 

title IV–E agency must indicate the type 

of plan if the child has a concurrent 

permanency plan as indicated in 

paragraph (f)(3) of this section. Indicate 

‘‘live with other relatives’’ if the plan is 

for the child to live permanently with a 

relative or relatives (by biological, legal 

or marital connection) who is not the 

child’s parent(s) or legal guardian(s). 

Indicate ‘‘adoption’’ if the plan is to 

facilitate the child’s adoption by a 

relative(s), foster parents, kin or other 

unrelated individuals. Indicate 

‘‘guardianship’’ if the plan is to 

establish a new legal guardianship. 

Indicate ‘‘planned permanent living 

arrangement’’ if the plan is for the child 

to remain in foster care until the title 

IV–E agency’s placement and care 

responsibility ends. The title IV–E 

agency must only select ‘‘planned 

permanent living arrangement’’ 

consistent with the requirements in 

section 475(5)(C)(i) of the Act. 

(ii) Date of concurrent permanency 

plan. Indicate the month, day and year 

that each concurrent plan was 

established if the title IV–E agency 

indicated that the child has a concurrent 

permanency plan in paragraph (f)(3) of 

this section. 

(4) Reason for permanency plan 

change. Indicate whether the child’s 

permanency plan changed during the 

report period and the reason(s) for the 

change in the child’s permanency plan. 

Indicate ‘‘yes’’ if the child’s permanency 

plan changed during the report period. 

Indicate ‘‘no’’ if the child’s permanency 

plan did not change during the report 

period. If the title IV–E agency indicates 

‘‘yes,’’ the title IV–E agency must 

indicate whether each reason described 

in paragraphs (f)(4)(i) through (viii) of 

this section ‘‘applies’’ or ‘‘does not 

apply.’’ If there is no change in the 

child’s permanency plan, leave 

paragraphs (f)(4)(i) through (viii) of this 

section blank. 

(i) Not engaged in services. The 

child’s parent(s) or legal guardian(s) has 

not engaged in services or otherwise 

taken the steps necessary to reunify 

with the child. 

(ii) Lack of progress in reunification 

plan. The child’s parent(s) or legal 

guardian(s) is not meeting the 

requirements of the case plan for 

reunification consistently by 

demonstrating needed changes in 

behavior to provide a safe family home 

for the child or otherwise taking the 

steps necessary to reunify with the 

child. 

(iii) Unable/incapable of caring for 

child permanently. The child’s parent(s) 

or legal guardian(s) is unable or 

incapable of permanently caring for the 

child, due to permanent, long-term or 

other extenuating circumstances, such 

as abandonment of the child by the 

child’s parent(s) or legal guardian(s), 

death of the child’s parent(s) or legal 

guardian(s), long-term incarceration of 

the child’s parent(s) or legal guardian(s) 

or if the rights of the child’s parent(s) 

have been terminated or the legal 

guardianship was dissolved. 

(iv) Reunification appropriate. The 

child’s parent(s) or legal guardian(s) is 

able to permanently and safely care for 

the child. 

(v) Child preference. An older child 

stated his or her preference for the 

change in the permanency plan. 

(vi) Adoption/guardianship 

appropriate. Permanency for the child 

through adoption or legal guardianship 

is a more appropriate permanency plan. 

(vii) Current foster care provider 

committed to permanency. The child’s 

current foster care provider, whether a 

relative, foster parent, kin or other 

individual, expressed a commitment to 

care permanently for the child and the 

permanency plan of adoption, 

reunification or legal guardianship has 

been ruled out by the title IV–E agency. 

(viii) Emancipation likely. 

Permanency for the child through 

reunification, adoption or legal 

guardianship is not an appropriate 

permanency plan. 

(5) Date of periodic review. Enter the 

month, day and year of each periodic 

review, either by a court or by 

administrative review (as defined in 

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section 475(6) of the Act) that meets the 

requirements of section 475(5)(B) of the 

Act. 

(6) Date of permanency hearing. Enter 

the month, day and year of each 

permanency hearing held by a court or 

an administrative body appointed or 

approved by the court that meets the 

requirements of section 475(5)(C) of the 

Act. 

(7) Juvenile justice. Indicate whether 

the child was found to be a status 

offender or adjudicated delinquent by a 

juvenile judge or court at any time 

during the report period. If the child 

was not found to be a status offender or 

adjudicated delinquent during the 

report period indicate ‘‘not applicable.’’ 

If the child was involved with the 

juvenile justice system, indicate the 

type of involvement. Indicate ‘‘status 

offender’’ if the child has been found to 

be a status offender. A status offense is 

specific to juveniles, such as running 

away, truancy or underage alcohol 

violations. Indicate ‘‘adjudicated 

delinquent’’ if the child has been 

adjudicated delinquent. Indicate ‘‘both 

status offender and delinquent’’ if the 

child has been found to be a status 

offender and adjudicated delinquent 

during the report period. 

(8) Caseworker visit dates. Enter each 

date in which a caseworker had an inperson, face-to-face visit with the child 

consistent with section 422(b)(17) of the 

Act. Indicate the month, day and year of 

each visit. 

(9) Caseworker visit location. Indicate 

the location of each in-person, face-toface visit between the caseworker and 

the child. Indicate ‘‘child’s residence’’ if 

the visit occurred at the location where 

the child is currently residing, such as 

the current foster care provider’s home, 

child care institution or facility. Indicate 

‘‘other location’’ if the visit occurred at 

any location other than where the child 

currently resides, such as the child’s 

school, a court, a child welfare office or 

in the larger community. 

(10) Caseworker visit purpose. 

Indicate the primary purpose of each inperson, face-to-face visit between the 

caseworker and the child. Indicate 

‘‘assessment or case planning’’ if the 

purpose of the visit was to assess the 

child’s situation, whether through a 

formal assessment or continuous 

assessment or if the purpose was to 

conduct other case planning activities 

for the child’s safety, permanency or 

well-being. Indicate ‘‘placement of the 

child’’ if the purpose of the visit was to 

place the child in foster care or another 

setting. Indicate ‘‘transportation’’ if the 

purpose of the visit was to transport the 

child to a visit or appointment. Indicate 

‘‘court hearing’’ if the purpose of the 

visit was to attend a court hearing 

related to the child’s case. 

(11) Caseworker visit alone with child. 

Indicate if the caseworker visited the 

child alone at any time during the visit 

for each in-person, face-to-face visit 

between the caseworker and the child. 

Indicate ‘‘yes’’ or ‘‘no,’’ as appropriate. 

(12) Transition plan. Indicate whether 

a child has a transition plan that meets 

the requirements of section 475(5)(H) of 

the Act. Indicate ‘‘yes’’ or ‘‘no’’ or ‘‘not 

applicable.’’ If the title IV–E agency 

indicates ‘‘yes,’’ the title IV–E agency 

must indicate the provisions that are 

included in the child’s transition plan 

as described in paragraphs (f)(12)(i) 

through (vi) of this section by indicating 

if a provision ‘‘applies’’ or ‘‘does not 

apply.’’ If the title IV–E agency indicates 

‘‘no’’ or ‘‘not applicable,’’ leave 

paragraphs (f)(12)(i) through (vi) of this 

section blank. 

(i) Housing. Specific options on 

housing are included in the child’s 

transition plan. 

(ii) Health insurance. Specific options 

on health insurance are included in the 

child’s transition plan. 

(iii) Health care treatment decisions. 

Information is included in the child’s 

transition plan on the importance of 

designating another individual to make 

health care treatment decisions on 

behalf of the child, if child is unable to 

make such decisions, and the child’s 

transition plan provides the child with 

the option to execute a health care 

power of attorney, health care proxy or 

other similar document. 

(iv) Education. Specific options on 

education are included in the child’s 

transition plan. 

(v) Mentoring and continuing support. 

Specific options on mentoring and 

continuing support services are 

included in the child’s transition plan. 

(vi) Workforce support and 

employment services. Specific options 

on work force supports and employment 

services are included in the child’s 

transition plan. 

(13) Date of transition plan. Indicate 

the month, day and year of the child’s 

transition plan, if the title IV–E agency 

indicated in paragraph (f)(12) of this 

section that the child has a transition 

plan that meets the requirements of 

section 475(5)(H) of the Act; otherwise 

leave this paragraph blank. 

(g) General exit information. Provide 

exit information for each out-of-home 

care episode. An exit occurs when the 

title IV–E agency’s placement and care 

responsibility of the child ends. 

(1) Date of exit. Indicate the month, 

day and year for each of the child’s exits 

from out-of-home care. An exit occurs 

when the title IV–E agency’s placement 

and care responsibility of the child 

ends. If the child has not exited out-ofhome care the title IV–E agency must 

leave this data element blank. If this 

data element is applicable, the data 

elements in paragraphs (g)(2) and (g)(3) 

of this section must have a response. 

(2) Exit transaction date. A nonmodifiable, computer-generated date 

which accurately indicates the month, 

day and year each response to paragraph 

(g)(1) of this section was entered into 

the information system. 

(3) Exit reason. Indicate the reason for 

each of the child’s exits from out-ofhome care. Indicate ‘‘not applicable’’ if 

the child has not exited out-of-home 

care. Indicate ‘‘reunify with parent(s)/

legal guardian(s)’’ if the child was 

returned to his or her parent(s) or legal 

guardian(s) and the title IV–E agency no 

longer has placement and care 

responsibility. Indicate ‘‘live with other 

relatives’’ if the child exited to live with 

a relative (related by a biological, legal 

or marital connection) other than his or 

her parent(s) or legal guardian(s). 

Indicate ‘‘adoption’’ if the child was 

legally adopted. Indicate 

‘‘emancipation’’ if the child exited care 

due to age. Indicate ‘‘guardianship’’ if 

the child exited due to a legal 

guardianship of the child. Indicate 

‘‘runaway or whereabouts unknown’’ if 

the child ran away or the child’s 

whereabouts were unknown at the time 

that the title IV–E agency’s placement 

and care responsibility ends. Indicate 

‘‘death of child’’ if the child died while 

in out-of-home care. Indicate ‘‘transfer 

to another agency’’ if placement and 

care responsibility for the child was 

transferred to another agency, either 

within or outside of the reporting State 

or Tribal service area, but not if the 

transfer is to a public agency, Indian 

Tribe, Tribal organization or consortium 

that has an agreement with a title IV–E 

agency under section 472(a)(2)(B) of the 

Act. Indicate ‘‘other’’ if the child exited 

due to marriage, confinement to jail or 

prison or for a reason not described. 

(4) Transfer to another agency. If the 

title IV–E agency indicated the child 

was transferred to another agency in the 

data element Exit reason described in 

paragraph (g)(3) of this section, indicate 

the type of agency that received 

placement and care responsibility for 

the child from the following options: 

‘‘State title IV–E agency,’’ ‘‘Tribal title 

IV–E agency,’’ ‘‘Indian Tribe or Tribal 

agency (non-IV–E),’’ ‘‘juvenile justice 

agency,’’ ‘‘mental health agency,’’ ‘‘other 

public agency’’ or ‘‘private agency.’’ 

(h) Exit to adoption and guardianship 

information. Report information in 

paragraphs (h)(1) through (11) only if 

the title IV–E agency indicated the child 

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exited to adoption or legal guardianship 

in the data element Exit reason 

described in paragraph (g)(3) of this 

section. Otherwise the title IV–E agency 

must leave these data elements blank. 

(1) Marital status of the adoptive 

parent(s) or guardian(s). Indicate the 

marital status of the adoptive parent(s) 

or legal guardian(s). Indicate ‘‘married 

couple’’ if the adoptive parents or legal 

guardians are considered united in 

matrimony according to applicable 

laws. Include common law marriage, 

where provided by applicable laws. 

Complete this data element even if only 

one person of the married or common 

law married couple is the adoptive 

parent or legal guardian of the child. 

Indicate ‘‘unmarried couple’’ if the 

adoptive parents or guardians are living 

together as a couple, but are not united 

in matrimony according to applicable 

laws. Complete this data element even 

if only one person of the unmarried 

couple is the adoptive parent or legal 

guardian of the child. Indicate ‘‘single 

female’’ if the adoptive parent or legal 

guardian is a female who is not married 

and is not living with another 

individual as part of a couple. Indicate 

‘‘single male’’ if the adoptive parent or 

legal guardian is a male who is not 

married and is not living with another 

individual as part of a couple. If the 

response is ‘‘married couple’’ or 

‘‘unmarried couple,’’ the title IV–E 

agency also must complete the data 

elements for the second adoptive parent 

or second legal guardian in paragraphs 

(h)(6) through (8) of this section; 

otherwise the title IV–E agency must 

leave these data elements blank. 

(2) Child’s relationship to the 

adoptive parent(s) or guardian(s). 

Indicate the type of relationship, 

kinship or otherwise, between the child 

and his or her adoptive parent(s) or legal 

guardian(s). Indicate whether each 

relationship listed in the data elements 

described in paragraphs (h)(2)(i) through 

(viii) of this section ‘‘applies’’ or ‘‘does 

not apply.’’ 

(i) Paternal grandparent(s). The 

adoptive parent(s) or legal guardian(s) is 

the child’s paternal grandparent(s), by 

biological, legal or marital connection. 

(ii) Maternal grandparent(s). The 

adoptive parent(s) or legal guardian(s) is 

the child’s maternal grandparent(s), by 

biological, legal or marital connection. 

(iii) Other paternal relative(s). The 

adoptive parent(s) or legal guardian(s) is 

the child’s paternal relative (by 

biological, legal or marital connection) 

other than a grandparent, such as an 

aunt, uncle or cousin. 

(iv) Other maternal relative(s). The 

adoptive parent(s) or legal guardian(s) is 

the child’s maternal relative (by 

biological, legal or marital connection) 

other than a grandparent, such as an 

aunt, uncle or cousin. 

(v) Sibling(s). The adoptive parent or 

legal guardian is a brother or sister of 

the child, either biologically, legally or 

by marriage. 

(vi) Kin. The adoptive parent(s) or 

legal guardian(s) has a kin relationship 

with the child, as defined by the title 

IV–E agency, such as one where there is 

a psychological, cultural or emotional 

relationship between the child or the 

child’s family and the adoptive parent(s) 

or legal guardian(s). 

(vii) Non-relative(s). The adoptive 

parent(s) or legal guardian(s) is not 

related to the child by biological, legal 

or marital connection. 

(viii) Foster parent(s). The adoptive 

parent(s) or legal guardian(s) was the 

child’s foster parent(s). 

(3) Date of birth of first adoptive 

parent or guardian. Indicate the month, 

day and year of the birth of the first 

adoptive parent or legal guardian. 

(4) Race of first adoptive parent or 

guardian. In general, an individual’s 

race is determined by the individual. 

Indicate whether each race category 

listed in the data elements described in 

paragraphs (h)(4)(i) through (vii) of this 

section applies with a ‘‘yes’’ or ‘‘no.’’ 

(i) Race—American Indian or Alaska 

Native. An American Indian or Alaska 

Native individual has origins in any of 

the original peoples of North or South 

America (including Central America), 

and maintains Tribal affiliation or 

community attachment. 

(ii) Race—Asian. An Asian individual 

has origins in any of the original 

peoples of the Far East, Southeast Asia 

or the Indian subcontinent including, 

for example, Cambodia, China, India, 

Japan, Korea, Malaysia, Pakistan, the 

Philippine Islands, Thailand and 

Vietnam. 

(iii) Race—Black or African 

American. A Black or African American 

individual has origins in any of the 

black racial groups of Africa. 

(iv) Race—Native Hawaiian or Other 

Pacific Islander. A Native Hawaiian or 

Other Pacific Islander individual has 

origins in any of the original peoples of 

Hawaii, Guam, Samoa or other Pacific 

Islands. 

(v) Race—White. A White individual 

has origins in any of the original 

peoples of Europe, the Middle East or 

North Africa. 

(vi) Race—Unknown. The first 

adoptive parent or legal guardian does 

not know his or her race, or at least one 

race. 

(vii) Race—Declined. The first 

adoptive parent, or legal guardian has 

declined to identify a race. 

(5) Hispanic or Latino ethnicity of first 

adoptive parent or guardian. In general, 

an individual’s ethnicity is determined 

by the individual. An individual is of 

Hispanic or Latino ethnicity if the 

individual is a person of Cuban, 

Mexican, Puerto Rican, South or Central 

American or other Spanish culture or 

origin, regardless of race. Indicate 

whether this category applies with a 

‘‘yes’’ or ‘‘no.’’ If the first adoptive 

parent or legal guardian does not know 

his or her ethnicity, indicate 

‘‘unknown.’’ If the individual refuses to 

identify his or her ethnicity, indicate 

‘‘declined.’’ 

(6) Date of birth of second adoptive 

parent, guardian, or other member of 

the couple. Indicate the month, day and 

year of the date of birth of the second 

adoptive parent, legal guardian, or other 

member of the couple. The title IV–E 

agency must leave this data element 

blank if there is no second adoptive 

parent, legal guardian, or other member 

of the couple according to paragraph 

(h)(1) of this section. 

(7) Race of second adoptive parent, 

guardian, or other member of the 

couple. In general, an individual’s race 

is determined by the individual. 

Indicate whether each race category 

listed in the data elements described in 

paragraphs (h)(7)(i) through (vii) of this 

section applies with a ‘‘yes’’ or ‘‘no.’’ 

The title IV–E agency must leave this 

data element blank if there is no second 

adoptive parent, legal guardian, or other 

member of the couple according to 

paragraph (h)(1) of this section. 

(i) Race—American Indian or Alaska 

Native. An American Indian or Alaska 

Native individual has origins in any of 

the original peoples of North or South 

America (including Central America), 

and maintains Tribal affiliation or 

community attachment. 

(ii) Race—Asian. An Asian individual 

has origins in any of the original 

peoples of the Far East, Southeast Asia 

or the Indian subcontinent including, 

for example, Cambodia, China, India, 

Japan, Korea, Malaysia, Pakistan, the 

Philippine Islands, Thailand and 

Vietnam. 

(iii) Race—Black or African 

American. A Black or African American 

individual has origins in any of the 

black racial groups of Africa. 

(iv) Race—Native Hawaiian or Other 

Pacific Islander. A Native Hawaiian or 

Other Pacific Islander individual has 

origins in any of the original peoples of 

Hawaii, Guam, Samoa or other Pacific 

Islands. 

(v) Race—White. A White individual 

has origins in any of the original 

peoples of Europe, the Middle East or 

North Africa. 

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(vi) Race—Unknown. The second 

adoptive parent, legal guardian, or other 

member of the couple does not know his 

or her race, or at least one race. 

(vii) Race—Declined. The second 

adoptive parent, legal guardian, or other 

member of the couple has declined to 

identify a race. 

(8) Hispanic or Latino ethnicity of 

second adoptive parent, guardian, or 

other member of the couple. In general, 

an individual’s ethnicity is determined 

by the individual. An individual is of 

Hispanic or Latino ethnicity if the 

individual is a person of Cuban, 

Mexican, Puerto Rican, South or Central 

American or other Spanish culture or 

origin, regardless of race. Indicate 

whether this category applies with a 

‘‘yes’’ or ‘‘no.’’ If the second adoptive 

parent, legal guardian, or other member 

of the couple does not know his or her 

ethnicity, indicate ‘‘unknown.’’ If the 

individual refuses to identify his or her 

ethnicity, indicate ‘‘declined.’’ The title 

IV–E agency must leave this data 

element blank if there is no second 

adoptive parent, legal guardian, or other 

member of the couple according to 

paragraph (h)(1) of this section. 

(9) Inter/Intrajurisdictional adoption 

or guardianship. Indicate whether the 

child was placed within the State or 

Tribal service area, outside of the State 

or Tribal service area or into another 

country for adoption or legal 

guardianship. Indicate 

‘‘interjurisdictional adoption or 

guardianship’’ if the reporting title 

IV–E agency placed the child for 

adoption or legal guardianship outside 

of the State or Tribal service area but 

within the United States of America. 

Indicate ‘‘intercountry adoption or 

guardianship’’ if the reporting title 

IV–E agency placed the child for 

adoption or legal guardianship outside 

of the United States of America. Indicate 

‘‘intrajurisdictional adoption or 

guardianship’’ if the reporting title 

IV–E agency placed the child within the 

same State or Tribal service area as the 

one with placing responsibility. If the 

title IV–E agency indicates either 

‘‘interjurisdictional adoption or 

guardianship’’ or ‘‘intercountry 

adoption or guardianship’’ for the 

child’s adoption or legal guardianship, 

the title IV–E agency must complete the 

data element in paragraph (h)(10) of this 

section; otherwise the title IV–E agency 

must leave it blank. 

(10) Interjurisdictional adoption or 

guardianship jurisdiction. Indicate the 

name of the State, Tribal service area, 

Indian reservation or country where the 

reporting title IV–E agency placed the 

child for adoption or legal guardianship. 

The title IV–E agency must complete 

this data element only if the title IV–E 

agency indicated either 

‘‘interjurisdictional adoption or 

guardianship’’ or ‘‘intercountry 

adoption or guardianship’’ in paragraph 

(h)(9) of this section; otherwise the title 

IV–E agency must leave it blank. 

(11) Adoption or guardianship 

placing agency. Indicate the agency that 

placed the child for adoption or legal 

guardianship. Indicate ‘‘title IV–E 

agency’’ if the reporting title IV–E 

agency placed the child for adoption or 

legal guardianship. Indicate ‘‘private 

agency under agreement’’ if a private 

agency placed the child for adoption or 

legal guardianship through an 

agreement with the reporting title IV–E 

agency. Indicate ‘‘Indian Tribe under 

contract/agreement’’ if an Indian Tribe, 

Tribal organization or consortia placed 

the child for adoption or legal 

guardianship through a contract or an 

agreement with the reporting title IV–E 

agency. 

§ 1355.44 Adoption and Guardianship 

Assistance Data File Elements. 

A title IV–E agency must collect and 

report the following information for 

each child in the adoption and 

guardianship assistance reporting 

population, if applicable based on 

§ 1355.42(c). 

(a) General information. (1) Title 

IV–E agency. Indicate the name of the 

title IV–E agency responsible for 

submitting the AFCARS data to ACF. 

(2) Report date. The report date 

corresponds to the end of the current 

report period. Indicate the last month 

and the year of the report period. 

(3) Child record number. The child 

record number is the encrypted, unique 

person identification number. If a child 

was previously in out-of-home care, this 

number must be the same as the child 

record number provided in 

§ 1355.43(a)(4) of the out-of-home care 

data file. The child record number must 

remain the same for the child, no matter 

where the child lives and across all 

report periods. The title IV–E agency 

must apply and retain the same 

encryption routine or method for the 

child record number across all report 

periods. The record number must be 

encrypted in accordance with ACF 

standards. Indicate the record number 

for the child. 

(b) Child demographics. (1)(i) Child’s 

date of birth. Indicate the month, day 

and year of the child’s birth. 

(ii) Child born in the United States. 

Indicate whether the child was born in 

the United States. If the child was born 

in the United States, indicate ‘‘yes.’’ If 

the child was born in a country other 

than the United States, indicate ‘‘no.’’ 

(2) Child’s sex. Indicate whether the 

child is ‘‘male’’ or ‘‘female,’’ as 

appropriate. 

(3) Child’s race. In general, a child’s 

race is determined by the child or the 

child’s parent(s) or legal guardian(s). 

Indicate whether each race category 

listed in the data elements described in 

paragraphs (b)(2)(i) through (b)(2)(viii) 

of this section applies with a ‘‘yes’’ or 

‘‘no.’’ 

(i) Race—American Indian or Alaska 

Native. An American Indian or Alaska 

Native child has origins in any of the 

original peoples of North or South 

America (including Central America), 

and maintains Tribal affiliation or 

community attachment. 

(ii) Race—Asian. An Asian child has 

origins in any of the original peoples of 

the Far East, Southeast Asia or the 

Indian subcontinent including, for 

example, Cambodia, China, India, Japan, 

Korea, Malaysia, Pakistan, the 

Philippine Islands, Thailand and 

Vietnam. 

(iii) Race—Black or African 

American. A Black or African American 

child has origins in any of the black 

racial groups of Africa. 

(iv) Race—Native Hawaiian or Other 

Pacific Islander. A Native Hawaiian or 

Other Pacific Islander child has origins 

in any of the original peoples of Hawaii, 

Guam, Samoa or other Pacific Islands. 

(v) Race—White. A White child has 

origins in any of the original peoples of 

Europe, the Middle East or North Africa. 

(vi) Race—Unknown. The child or 

parent or legal guardian does not know 

the race, or at least one race of the child. 

(vii) Race—Abandoned. The child’s 

race is unknown because the child has 

been abandoned. Abandoned means that 

the child was left alone or with others 

and the parent(s) or legal guardian(s)’ 

identity is unknown and cannot be 

ascertained. This includes a child left at 

a ‘‘safe haven.’’ 

(viii) Race—Declined. The child or 

parent or legal guardian has declined to 

identify a race. 

(4) Hispanic or Latino Ethnicity. In 

general, a child’s ethnicity is 

determined by the child or the child’s 

parent(s) or legal guardian(s). A child is 

of Hispanic or Latino ethnicity if the 

child is a person of Cuban, Mexican, 

Puerto Rican, South or Central 

American or other Spanish culture or 

origin, regardless of race. Indicate 

whether this category applies with a 

‘‘yes’’ or ‘‘no.’’ If the child or the child’s 

parent or legal guardian does not know 

or cannot communicate whether the 

child is of Hispanic or Latino ethnicity, 

indicate ‘‘unknown.’’ If the child was 

abandoned indicate ‘‘abandoned.’’ 

Abandoned means that the child was 

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left alone or with others and the 

parent(s) or legal guardian(s)’ identity is 

unknown and cannot be ascertained. 

This includes a child left at a ‘‘safe 

haven.’’ If the child or the child’s 

parent(s) or legal guardian(s) refuses to 

identify the child’s ethnicity, indicate 

‘‘declined.’’ 

(c) Adoption and guardianship 

assistance arrangement and agreement 

information. (1) Assistance agreement 

type. Indicate whether the child is or 

was in a finalized adoption with a title 

IV–E adoption assistance agreement or 

in a legal guardianship with a title 

IV–E guardianship assistance 

agreement, pursuant to sections 473(a) 

and 473(d) of the Act, in effect during 

the report period. Indicate ‘‘title IV–E 

adoption assistance agreement’’ or ‘‘title 

IV–E guardianship assistance 

agreement,’’ as appropriate. 

(2) Adoption or guardianship subsidy 

amount. Indicate the per diem dollar 

amount of the financial subsidy paid to 

the adoptive parent(s) or legal 

guardian(s) on behalf of the child during 

the last month of the current report 

period, if any. The title IV–E agency 

must indicate ‘‘0’’ if a financial subsidy 

was not paid during the last month of 

the report period. 

(3) Nonrecurring adoption or 

guardianship costs. Indicate whether 

the IV–E agency made payments on 

behalf of the adoptive parent(s) or legal 

guardian(s) for nonrecurring costs, per 

sections 473(a)(6) and 473(d) of the Act, 

during the current report period. 

Indicate ‘‘costs paid’’ or ‘‘no costs paid,’’ 

as appropriate. 

(4) Nonrecurring adoption or 

guardianship cost amount. Indicate the 

total dollar amount of the payment the 

title IV–E agency made on behalf of the 

adoptive parent(s) or guardian(s) for the 

nonrecurring costs during the report 

period if the title IV–E agency reported 

that these costs were paid in the data 

element Nonrecurring adoption or 

guardianship costs described in 

paragraph (3); otherwise the title IV–E 

agency must leave this data element 

blank. 

(5) Adoption or guardianship 

finalization date. Indicate the month, 

day and year that the child’s adoption 

was finalized or the guardianship 

became legalized. 

(6) Adoption or guardianship placing 

agency. Indicate the agency that placed 

the child for adoption or legal 

guardianship. Indicate ‘‘title IV–E 

agency’’ if the reporting title IV–E 

agency placed the child for adoption or 

legal guardianship. Indicate ‘‘private 

agency under a contract/agreement’’ if a 

private agency placed the child for 

adoption or legal guardianship through 

a contract or agreement with the 

reporting title IV–E agency. Indicate 

‘‘Indian Tribe’’ if an Indian Tribe, Tribal 

organization or consortium placed the 

child for adoption or legal guardianship. 

Indicate ‘‘private agency’’ if a private 

agency had legal custody of the child or 

on behalf of a parent placed the child 

for adoption or legal guardianship. If the 

title IV–E agency indicates either 

‘‘Indian Tribe’’ or ‘‘private agency,’’ the 

title IV–E agency must complete 

paragraphs (c)(7) and (8) of this section; 

otherwise the title IV–E agency must 

leave blank. 

(7) Inter/Intrajurisdictional adoption 

or guardianship. Indicate whether the 

child was placed within the State or 

Tribal service area or in another State or 

Tribal service area for adoption or legal 

guardianship. Indicate 

‘‘interjurisdictional adoption or 

guardianship’’ if the title IV–E agency 

entered into a title IV–E adoption or 

guardianship assistance agreement with 

an adoptive parent(s) or a guardian(s) 

who lives outside of the reporting State 

or Tribal service area. Indicate 

‘‘intrajurisdictional adoption or 

guardianship’’ if the title IV–E agency 

entered into a title IV–E adoption or 

guardianship assistance agreement with 

an adoptive parent(s) or a guardian(s) 

who lives in the reporting State or 

Tribal service area. 

(8) Interjurisdictional adoption or 

guardianship jurisdiction. Indicate the 

name of the State, Tribal service area or 

Indian reservation in which the child 

was placed for adoption or legal 

guardianship, if the title IV–E agency 

indicated ‘‘interjurisdictional adoption 

or guardianship’’ in paragraph (c)(7) of 

this section; otherwise the title IV–E 

agency must leave this paragraph blank. 

(9) Number of siblings. Indicate the 

number of siblings that a child has that, 

at any point during the report period, 

are either: in out-of-home care or have 

a finalized adoption or legal 

guardianship and are under a title 

IV–E adoption or guardianship 

assistance agreement. A sibling to the 

child is his or her brother or sister by 

biological, legal or marital connection. 

Do not include the child who is the 

subject of this record in the number. If 

the child does not have siblings that are 

in out-of-home care or under a title 

IV–E adoption or guardianship 

assistance agreement, the title IV–E 

agency must indicate ‘‘0’’ as the number 

for this data element. If a child does not 

have any siblings, the title IV–E agency 

must indicate ‘‘not applicable’’ for this 

data element. 

(10) Siblings in out-of-home care. 

Indicate the child record number(s) of 

siblings who are in out-of-home care 

and are placed in the child’s adoptive or 

guardianship home at any point during 

the report period. A sibling to the child 

is his or her brother or sister by 

biological, legal or marital connection. 

Report this information whether the 

child is living in or out-of-State or 

Tribal service area. Do not include the 

record number for the child who is the 

subject of this record. If the child is not 

residing with any siblings who are in 

out-of-home care, the title IV–E agency 

must leave this data element blank. 

(11) Siblings in adoption/

guardianship. Indicate the child record 

number(s) of siblings who also have a 

finalized adoption or legal 

guardianship, are under a title 

IV–E adoption or guardianship 

assistance agreement and are living with 

the child at any point during the report 

period. A sibling to the child is his or 

her brother or sister by biological, legal 

or marital connection. Report this 

information whether the child is living 

in or out-of-State or Tribal service area. 

Do not include the record number for 

the child who is the subject of this 

record. If the child does not have any 

siblings in the adoptive or guardianship 

home who also have a finalized 

adoption or legal guardianship and are 

under a title IV–E adoption or 

guardianship assistance agreement, the 

title IV–E agency must leave this data 

element blank. 

(12) Agreement termination date. If 

the title IV–E agency terminated the 

adoption assistance or guardianship 

assistance agreement or the agreement 

expired during the report period, 

indicate the month, day and year that 

the agreement terminated or expired; 

otherwise leave this data element blank. 

§ 1355.45 Compliance. 

(a) Files subject to compliance. ACF 

will evaluate the out-of-home care and 

adoption and guardianship assistance 

data files that a title IV–E agency 

submits to determine whether the data 

complies with the requirements of 

§ 1355.42 and the data file submission 

and data quality standards described in 

paragraphs (c) and (d) of this section. 

ACF will exempt records related to a 

child in either data file whose 18th 

birthday occurred in a prior report 

period and will exempt records relating 

to a child in the adoption and 

guardianship assistance data file who is 

in a title IV–E guardianship from a 

compliance determination as described 

in paragraph (e) of this section. 

(b) Errors. ACF will utilize the error 

definitions in paragraphs (b)(1) through 

(b)(5) of this section to assess a title 

IV–E agency’s out-of-home care and 

adoption and guardianship assistance 

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data files. This assessment of errors will 

help ACF to determine if the title IV–E 

agency’s submitted data files meet the 

data file submission and data quality 

standards outlined in paragraphs (c) and 

(d) of this section. ACF will develop and 

issue error specifications. 

(1) Missing data. Missing data refers 

to instances in which a data element has 

a blank or otherwise missing response, 

when such a response is not a valid 

option as described in §§ 1355.43 or 

1355.44. 

(2) Invalid data. Invalid data refers to 

instances in which a data element 

contains a value that is outside the 

parameters of acceptable responses or 

exceeds, either positively or negatively, 

the acceptable range of response options 

as described in §§ 1355.43 or 1355.44. 

(3) Internally inconsistent data. 

Internally inconsistent data refers to 

instances in which a data element fails 

an internal consistency check designed 

to validate the logical relationship 

between data elements within each 

record. This assessment will identify all 

data elements involved in a particular 

check as in error. 

(4) Cross-file errors. A cross-file error 

occurs when a cross-file check 

determines that a response option for a 

data element recurs across the records 

in either the out-of-home care data file 

or adoption and guardianship assistance 

data file beyond a specified acceptable 

threshold. 

(5) Tardy transactions. Tardy 

transactions are instances in which the 

removal transaction date or exit 

transaction date described in 

§ 1355.43(d)(2) and (g)(2) respectively, 

are entered into the title IV–E agency’s 

information system more than 30 days 

after the event. 

(c) Data file standards. To be in 

compliance with the AFCARS 

requirements the title IV–E agency must 

submit a data file in accordance with 

the data file standards described in 

paragraphs (c)(1) through (3) of this 

section. 

(1) Timely submission. ACF must 

receive the data files on or before the 

reporting deadline described in 

§ 1355.42(a). 

(2) Proper format. The data files must 

meet the technical standards issued by 

ACF for data file construction and 

transmission. In addition, each record 

subject to compliance standards within 

the data file must have the data 

elements described in §§ 1355.43(a)(1) 

through (a)(4), 1355.43(b)(1)(i) and 

(b)(2), 1355.44(a)(1) through (a)(3) and 

1355.44(b)(1)(i) and (b)(2) be 100 

percent free of missing data, invalid 

data and internally inconsistent data. 

ACF will not process a title IV–E 

agency’s data file that does not meet the 

proper format standard. 

(3) Acceptable cross-file. The data 

files must be free of cross-file errors that 

exceed the acceptable thresholds, as 

defined by ACF. 

(d) Data quality standards. To be in 

compliance with the AFCARS 

requirements, the title IV–E agency must 

submit a data file that has no more than 

10 percent total of missing, invalid, or 

internally inconsistent data, or tardy 

transactions for each data element of 

applicable records. These standards are 

in addition to the formatting standards 

described in paragraph (c)(2) of this 

section. 

(e) Compliance determination and 

corrected data. (1) ACF will first 

determine whether the title IV–E 

agency’s out-of-home care data file and 

adoption and guardianship assistance 

data file meets the data file standards in 

paragraph (c) of this section. 

Compliance is determined separately for 

each data file. 

(2) If each data file meets the data file 

standards, ACF will then determine 

whether each data file meets the data 

quality standards in paragraph (d) of 

this section. For every data element, we 

will divide the total number of 

applicable records in error (numerator) 

by the total number of applicable 

records (denominator), to determine 

whether the title IV–E agency has met 

the applicable data quality standards. 

(3) In general, a title IV–E agency that 

has not met either the data file 

standards or data quality standards must 

submit a corrected data file(s) no later 

than when data is due for the 

subsequent six month report period (i.e., 

by April 30 and October 30), as 

applicable. ACF will determine that the 

corrected data file(s) is in compliance if 

it meets the data file and data standards 

in paragraphs (c) and (d) of this section. 

Exception: If ACF determines initially 

that the title IV–E agency’s data file has 

not met the data quality standard related 

to tardy transactions, ACF will 

determine compliance with regard to 

the transaction dates only in the out-ofhome care data file submitted for the 

subsequent report period. 

(f) Noncompliance. If the title IV–E 

agency does not submit a corrected data 

file, or submits a corrected data file that 

fails to meet the compliance standards 

in paragraphs (c) and (d) of this section, 

ACF will notify the title IV–E agency of 

such and apply penalties as provided in 

§ 1355.46. 

(g) Other assessments. ACF may use 

other monitoring tools or assessment 

procedures to determine whether the 

title IV–E agency is meeting all of the 

requirements of §§ 1355.41 through 

1355.44. 

§ 1355.46 Penalties. 

(a) Federal funds subject to a penalty. 

The funds that are subject to a penalty 

are the title IV–E agency’s claims for 

title IV–E foster care administration and 

training for the quarter in which the title 

IV–E agency is required to submit the 

data files. For data files due on April 30, 

ACF will assess the penalty based on 

the title IV–E agency’s claims for the 

third quarter of the Federal fiscal year. 

For data files due on October 30, ACF 

will assess the penalty based on the title 

IV–E agency’s claims for the first quarter 

of the Federal fiscal year. 

(b) Penalty amounts. ACF will assess 

penalties in the following amounts: 

(1) First six month period. ACF will 

assess a penalty in the amount of one 

sixth of one percent (1⁄6 of 1%) of the 

funds described in paragraph (a) of this 

section for the first six month period in 

which the title IV–E agency’s submitted 

corrected data file does not comply with 

§ 1355.45. 

(2) Subsequent six month periods. 

ACF will assess a penalty in the amount 

of one fourth of one percent (1⁄4 of 1%) 

of the funds described in paragraph (a) 

of this section for each subsequent six 

month period in which the title IV–E 

agency continues to be out of 

compliance. 

(c) Penalty reduction from grant. ACF 

will offset the title IV–E agency’s title 

IV–E foster care grant award in the 

amount of the penalty from the title 

IV–E agency’s claims following the title 

IV–E agency notification of ACF’s final 

determination of noncompliance. 

(d) Appeals. The title IV–E agency 

may appeal ACF’s final determination of 

noncompliance to the HHS 

Departmental Appeals Board pursuant 

to 45 CFR part 16. 

Appendices A through E to Part 1355 

[Removed] 

■ 4. Remove Appendices A through E to 

Part 1355. 

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

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