Adoption and Foster Care Analysis and Reporting System
| Published date | 12 May 2020 |
| Citation | 85 FR 28410 |
| Record Number | 2020-09817 |
| Section | Rules and Regulations |
| Court | Children And Families Administration |
Federal Register, Volume 85 Issue 92 (Tuesday, May 12, 2020)
[Federal Register Volume 85, Number 92 (Tuesday, May 12, 2020)]
[Rules and Regulations]
[Pages 28410-28434]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2020-09817]
[[Page 28409]]
Vol. 85
Tuesday,
No. 92
May 12, 2020
Part IV
Department of Health and Human Services
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Administration for Children and Families
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45 CFR Part 1355
Adoption and Foster Care Analysis and Reporting System; Final Rule
Federal Register / Vol. 85 , No. 92 / Tuesday, May 12, 2020 / Rules
and Regulations
[[Page 28410]]
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DEPARTMENT OF HEALTH AND HUMAN SERVICES
Administration for Children and Families
45 CFR Part 1355
RIN 0970-AC72
Adoption and Foster Care Analysis and Reporting System
AGENCY: Children's Bureau (CB); Administration on Children, Youth and
Families (ACYF); Administration for Children and Families (ACF);
Department of Health and Human Services (HHS).
ACTION: Final rule.
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SUMMARY: This rule finalizes revisions to the Adoption and Foster Care
Analysis and Reporting System (AFCARS) regulations proposed on April
19, 2019. AFCARS regulations require title IV-E agencies to collect and
report data to ACF on children in out-of-home care, children who exit
out-of-home care to adoption or legal guardianship, and children who
are covered by a title IV-E adoption or guardianship assistance
agreement.
DATES: This final rule is effective on July 13, 2020. As of May 12,
2020, the effective date for amendatory instructions 3 and 5, published
December 14, 2016, at 81 FR 90524, and delayed August 21, 2018, at 83
FR 42225, are further delayed to October 1, 2022.
FOR FURTHER INFORMATION CONTACT: Kathleen McHugh, Director, Policy
Division, Children's Bureau, (202) 205-8618, [email protected].
SUPPLEMENTARY INFORMATION:
Table of Contents
I. Executive Summary per Executive Order 13563
II. Background on the AFCARS Final Rule: Data Elements and Decision
Making
III. Overview of 2019 Notice of Proposed Rulemaking Comments
IV. Implementation Timeframe
V. Section-by-Section Discussion of Regulatory Provisions and
Responses to Comments
VI. Regulatory Impact Analysis
VII. Tribal Consultation Statement
I. Executive Summary per Executive Order 13563
Executive Order (E.O.) 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 final rule.
(1) Purpose of the AFCARS final rule.
(a) The need for the regulatory action and how the action will meet
that need: On February 24, 2017, the President issued E.O. 13777
Enforcing the Regulatory Reform Agenda to lower regulatory burdens on
the American people. It directed Federal agencies to establish a
Regulatory Reform Task Force to review existing regulations and make
recommendations regarding their repeal, replacement, or modification.
The HHS Regulatory Reform Task Force identified the AFCARS final rule
published on December 14, 2016 (81 FR 90524, hereafter referred to as
the 2016 final rule) as one in which the reporting burden may impose
costs that exceed benefits. In response to E.O. 13777, we published in
the Federal Register an Advance Notice of Proposed Rulemaking on March
15, 2018 (83 FR 11449, hereafter referred to as the 2018 ANPRM),
soliciting specific feedback on the 2016 final rule data elements.
Based on the feedback we received and our review of the need for and
utility of the data elements, we later published a streamlined proposal
for AFCARS in a Notice of Proposed Rulemaking on April 19, 2019 (84 FR
16572, hereafter referred to as the 2019 NPRM). This final rule is an
E.O. 13771 deregulatory action which finalizes the proposal in the 2019
NPRM to streamline the AFCARS data elements.
(b) Legal authority for the final rule: AFCARS is a data collection
system for national adoption and foster care data authorized under
section 479 of the Social Security Act (the Act). Section 479(c)(3)(A)
of the Act requires the collection of comprehensive national
information with respect to the demographic characteristics of children
in foster care and those who are adopted with state involvement and
their biological, foster, and adoptive parents. Section 474(f) of the
Act requires HHS to impose penalties for non-compliant AFCARS data.
Section 1102 of the Act instructs the Secretary to promulgate
regulations necessary for the effective administration of the functions
for which HHS is responsible under the Act.
(2) Summary of the major provisions of the final rule.
(a) Out-of-home care data file data elements. We finalize the out-
of-home care data elements proposed in the 2019 NPRM. The out-of-home
care data file in the 2016 final rule requires title IV-E agencies to
report approximately 272 items; this final rule reduces the number of
required items to approximately 183. This final rule does not include
data elements asking for information on, among other things, the sexual
orientation of the child, foster parent, adoptive parent, or legal
guardian, and reduces data elements related to the Indian Child Welfare
Act of 1978 (ICWA).
(b) Conforming changes. We made conforming changes to Sec. Sec.
1355.40, 1355.41, 1355.43, 1355.45, and 1355.46 to update the citations
or dates as a result of amendments in other sections.
(3) Costs and benefits. The benefits are that the streamlined
AFCARS data elements will reduce the title IV-E agency reporting burden
from the 2016 final rule, thus resulting in an estimated $46 million in
total annual savings. (Affected entities will continue to incur $43
million in annual costs, net of Federal reimbursements, attributable to
the 2016 final rule.)
II. Background on the AFCARS Final Rule: Data Elements and Decision
Making
Prior to issuing the 2019 NPRM, we conducted an in-depth analysis
of the 2018 ANPRM comments, held tribal consultation, consulted with
HHS experts that use AFCARS data, consulted with representatives of the
Department of Interior (DOI) regarding the ICWA-related data elements,
and considered the concerns and interests of all stakeholders. We
reviewed each data element in the 2016 final rule and evaluated whether
it is needed for a specific purpose, such as a title IV-B or IV-E
statutory requirement, program monitoring, Congressional reporting, or
budgeting, and to specifically identify whether including the data
element in AFCARS would improve the accuracy and reliability of the
data. After careful consideration, we proposed in the 2019 NPRM to
streamline the out-of-home care data elements to what we believe is a
reasonable amount, while also reducing redundancies in the data
elements. Additional details regarding this evaluative process and
decision-making are available in the preamble of the 2019 NPRM (84 FR
16573).
We believe that the approach we took in determining the data
elements to propose in the 2019 NPRM was comprehensive and inclusive of
the purposes for which we will use the AFCARS data. We also understood
that there have been several opportunities to comment on different
iterations of AFCARS, so in the 2019 NPRM we provided specific guidance
in section V. Public Participation on the type of comments that would
be most useful to ACF in making decisions on the final rule. Specific
considerations for commenters, included the following:
[[Page 28411]]
How reporting the data elements in the 2019 NPRM will
specifically enhance work with children and families.
Why AFCARS is the most effective vehicle for collecting
the data proposed in the 2019 NPRM and why no other current method is
feasible to collect the information.
How AFCARS data, which is aggregated at the national
level, would help specific work with title IV-E agencies, children, and
families.
III. Overview of 2019 Notice of Proposed Rulemaking Comments
The comment period for the 2019 NPRM was open for 60 days and
closed on June 18, 2019. We received 150 comments from 24 states and
local child welfare agencies; 33 Indian tribes, tribal organizations or
consortiums; 10 organizations representing tribal interests; 45
national advocacy groups and universities; one Member of Congress; and
37 anonymous or private citizens. The comments are available in the
docket for this action on Regulations.gov.
Summary of State and Local Child Welfare Agency Comments: The
overwhelming majority of state and local agencies supported
streamlining the data elements as proposed in the 2019 NPRM. Their
cited reasons include that it balances the need for updated information
with the burden of having to revise systems to report data and it keeps
a focus on Federal compliance and continuous quality improvement rather
than turning AFCARS data into a research tool by adding measures that
do not or cannot accurately capture the realities of child welfare
practice. They also believe that the proposal would enable caseworkers
to spend more time working with families and engaging in case planning,
rather than data entry. Half of the state and local child welfare
agencies specifically commented on the proposal to remove the sexual
orientation data elements for the child, foster parents, adoptive
parents and legal guardians. Of those, the majority agreed with the
proposal, expressing that AFCARS is not the appropriate vehicle to
collect this information, that it was unclear how this information in a
Federal Government database will result in support services for
children, and that this information should be tracked separately from
AFCARS. Eleven state and local child welfare agencies specifically
commented on the proposal to simplify the ICWA-related data elements.
Of those, the overwhelming majority were in favor of the proposal and
agreed with our rationale to keep the data elements that are essential
to understanding nationally the ICWA-applicable population of children
in foster care, while removing those that were based on DOI
regulations, qualitative in nature, or requirements of the courts.
Further reduction in these data elements was also recommended due to an
extremely low population of American Indian/Native Alaskan children in
foster care in certain states.
Summary of Comments from Indian Tribes, Tribal Organizations or
Consortiums, and Organizations Representing Tribal Interests: All
Indian tribes, tribal organizations or consortiums, and organizations
representing tribal interests opposed the proposal to reduce the ICWA-
related data elements. In general, the commenters opposed streamlining
primarily because they felt that all data elements in the 2016 final
rule are needed to assess ICWA compliance, and that national
information is important to address disparities, analyze outcomes, and
help in working with Indian children and families. There were very few
comments on the other data elements.
Summary of Comments from National Advocacy Organizations and Other
Entities: The vast majority of the national advocacy organizations and
other individuals or entities that commented expressed general
opposition to the streamlining proposed in the 2019 NPRM. The
commenters opposed streamlining for various reasons with the general
sentiment being that the 2016 final rule would provide more insight
into the foster care population, promote visibility for marginalized
groups, and allow data-informed legislating, policy, and program
decisions.
Comment Analysis
We reviewed and analyzed all of the 2019 NPRM comments and
estimates provided and considered them in finalizing this rule and as
it related to meeting the statutory requirements in Sec. 479 of the
Act to avoid unnecessary diversion of child welfare agency resources
and to ensure that data collected is reliable and consistent. Our
conclusion is that we do not have a sufficient justification, or a
rational basis, for retaining the data elements proposed for removal,
thus we did not make substantive changes in finalizing this rule. We
received no new information that was convincingly articulated to
persuade us to add in data elements from the 2016 final rule that were
not proposed in the 2019 NPRM. In finalizing this rule, we maintain
that we will collect the most critical information on the out-of-home
care population from a national perspective while avoiding the
unnecessary diversion of resources from title IV-E agencies, consistent
with the statute authorizing AFCARS.
In drafting the 2019 NPRM, we balanced the commenters' desires for
more information with the need to minimize burden pursuant to E.O.
13777 and to focus on improving quality of services and achieving
positive outcomes for children and families. This final rule will
provide ample data for analysis via a combination of information from
the data elements and will provide more robust national information on
children in foster care not available in the current AFCARS. Specific
to ICWA, we maintain that the detailed ICWA-related information
requirements promulgated in the 2016 final rule are not appropriate for
AFCARS.
Lastly, our decision to not add data elements aligns with the
statutory requirements in section 479 of the Act to avoid unnecessary
diversion of agency resources and to ensure that the data collected is
reliable and consistent. We address specific comments to the proposal
in the beginning of V. Section-by-Section Discussion of Regulatory
Provisions of this final rule.
IV. Implementation Timeframe
We are providing two fiscal years for title IV-E agencies to comply
with Sec. Sec. 1355.41 through 1355.47, which we believe is sufficient
for title IV-E agencies to implement the changes necessary to comply
with this final rule. State commenters to both the 2019 NPRM and the
2018 ANPRM indicated they would need sufficient time to make changes to
their electronic case management systems to collect new information and
train employees on new requirements, and suggested timeframes ranging
from one to five fiscal years post publication of the final rule. A
third of states that commented suggested two fiscal years post
publication of the final rule would be acceptable. States also
suggested that this final rule not be implemented until after the state
has fully implemented a Comprehensive Child Welfare Information System
(CCWIS). A few states recommended a phased-in approach to penalties and
compliance with the AFCARS requirements, stating that penalties should
not begin until after the implementation period ends.
During the implementation period, state and tribal title IV-E
agencies must continue to report to ACF data related to children in
foster care and those who have been adopted with title IV-E
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agency involvement in accordance with Sec. 1355.40 and the appendices
to part 1355. It is essential for agencies to continue to report AFCARS
data to ACF without interruption because AFCARS data is used for
various reports, planning, and monitoring, and to make the Adoption and
Legal Guardianship Incentive awards.
V. Section-by-Section Discussion of Regulatory Provisions and Responses
to Comments
We respond to the comments we received in response to the 2019 NPRM
in this section-by-section discussion. We also address in the section-
by-section preamble whether we made any changes to our 2019 NPRM
proposal. Before discussing each section of the final rule, we respond
to the general comments we received in response to our 2019 NPRM
proposal to streamline the data elements, reduce the ICWA-related data
elements, and remove the data elements on the child/foster parent/
adoptive parent/guardian's sexual orientation. Many comments we
received iterated the same or similar information that fell into these
broad categories and we believe that it is clearer for us to respond to
similarly grouped comments in this way. Following these discussions is
a discussion of specific sections of the 2019 NPRM.
Response to Comments on Streamlining the Data Elements
Comment: Indian tribes, commenters representing tribal interests,
national advocacy organizations, and other commenters opposed
streamlining the AFCARS data elements as proposed in the 2019 NPRM and
requested that we re-institute the 2016 final rule in its entirety.
Their common reasons for doing so were essentially the same as
previously provided in response to the ANPRM and included that:
The entire 2016 final rule will provide a comprehensive
data set that will help us track outcomes, address disparities, and
address a perceived need for research and legislation.
ACF overstated the burden in the 2019 NPRM and did not
consider that the information from additional data may lead to lower
future costs because families would get the help they need.
The 2016 final rule would promote visibility for
marginalized groups and help us understand their particular experiences
in foster care.
Caseworkers should be collecting all of the information
promulgated in the 2016 final rule as part of routine casework, so it
should be in the case file and transmitted to ACF for AFCARS.
In contrast, the vast majority of state commenters supported the
streamlined proposal and specified that a lower reporting burden will
help their work with children and families by enabling caseworkers to
spend less time on data entry.
Response: We considered the circumstances and capacity of all title
IV-E agencies in setting the AFCARS requirements. The vast majority of
commenters who opposed simplifying and reducing the data elements in
the 2019 NPRM were not agencies responsible for reporting data to
AFCARS. They reiterated similar justifications that they made in
response to the 2018 ANPRM for including in this final rule all of the
data elements promulgated in the 2016 final rule. The commenters did
not provide additional evidence for collecting the data elements at a
Federal level that we proposed to remove or simplify. The commenters
that opposed streamlining did not elaborate on why AFCARS is the most
effective vehicle for collecting the information required under the
2016 final rule that we proposed to remove, which in large part was
qualitative data, describe work done to coordinate with title IV-E
agencies in collecting and reporting data for AFCARS, or specify how
the data we proposed to remove would help their specific work with
children and families served by the title IV-E agency. The comments
from non-title IV-E agencies, which opposed streamlining due to a
perceived ``need'' for the data, lead us to believe that there is a
misunderstanding of AFCARS and its functionality. The information that
title IV-E agencies report to AFCARS is aggregated and de-identified at
the national level, meaning it does not include names, numbers, or
other information. This means that the data provides broad insight into
the national population of children in foster care because AFCARS is
designed to have a few response options that must be broad enough to
capture a range of experiences across the country. The title IV-E
agency extracts the information from electronic case files, via a
programming code, and transmits it to ACF. Section 479 of the Act does
not authorize us to collect all information from a title IV-E agency
case file, nor would that be appropriate.
Response to Comments on Streamlining ICWA-Related Data Elements
Comment: In general, Indian tribes, commenters representing tribal
interests, national advocacy organizations, a member of congress, and
private individuals opposed our proposal to streamline the ICWA-related
data elements and requested that we re-institute all of the ICWA-
related data elements from the 2016 final rule for essentially the same
reasons previously provided in response to the 2018 ANPRM including
that:
The 2019 NPRM was too drastic in streamlining the ICWA-
related data elements and the information is needed to assess
compliance with ICWA;
Section 422(b)(9) in title IV-B of the Act includes
processes regarding ICWA; and
Unlike DOI, ACF has established relationships with states
and the Federal AFCARS system in place to receive data on Native
American children in state foster care systems, and therefore is better
positioned to collect ICWA-related data.
Response: First, in this final rule, we are attempting to correct
any confusion or misperception that we may have created by justifying
the ICWA-related data elements in the 2016 final rule on the basis of
consistency with DOI's final rule on ICWA (published on June 14, 2016,
81 FR 38778). DOI is the lead agency for ICWA compliance, statute, and
regulations and HHS is not the cognizant authority over implementing,
overseeing, or assessing compliance with ICWA. Retaining all of the
2016 final rule ICWA-related data elements would put HHS in the
position of interpreting various ICWA requirements. We have authority
only for the collection of data elements that are used for functions
and oversight under HHS authority, namely the title IV-B and IV-E
programs.
Second, we want to clarify that section 422(b)(9) of the Act does
not provide the legal authority for HHS to collect ICWA-related data in
AFCARS or for HHS to determine state compliance with ICWA. Rather, it
simply requires a description of specific measures taken by the state
to comply with ICWA. HHS is not authorized to determine compliance with
ICWA and/or penalize states for failure to comply with ICWA through
this requirement.
Third, sections 479(c)(3)(A) through (D) of the Act require the
collection of comprehensive national information with respect to the
demographic characteristics of, status of, and assistance provided to
children in foster care and those who are adopted with state
involvement along with their biological, foster, and adoptive parents.
The AFCARS statute does not provide authority for ACF to require states
to report specific details on ICWA's requirements in AFCARS to be used
for ICWA compliance and this was mischaracterized in the 2016 final
rule. The AFCARS authority allows us to
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collect ICWA-related data elements in this final rule to inform us
whether a child's connections with his or her family, heritage, and
community are preserved and will provide context for other title IV-B
and IV-E monitoring. Further, the data will provide supplemental
information on whether states follow certain best practices with regard
to Native American children in foster care. For example, while HHS
reviews are not designed to measure states' conformity with specific
ICWA provisions, information from the data elements in this final rule
will provide contextual data such as whether the state made concerted
efforts to preserve a child's connections to the child's tribe and how
well the state engages in consultation with tribal representatives.
Lastly, in the 2019 NPRM preamble (84 FR 16578), we reported that
we will not release specific information regarding a child's tribal
membership or ICWA applicability to requestors, except for the Indian
tribe of which the child is or may be a member, due to the low numbers
of children in the out-of-home care reporting population where ICWA
applies in order to protect the confidentiality of these children. This
means that the 2016 final rule ICWA-related data elements would not be
available for ICWA compliance purposes because ACF is unable to release
information to other entities that could use it for this purpose.
Response to Comments on Removing the Sexual Orientation Data Elements
We did not propose data elements on the sexual orientation of
children and their foster or adoptive parents and legal guardians in
the 2019 NPRM, nor are we including them in this final rule. However,
we would like to respond to the comments received.
Comment: Numerous private individuals, national advocacy
organizations and other commenters suggested that we add the data
elements requiring agencies to report the sexual orientation of
children and their foster or adoptive parents and legal guardians in
the final rule. The common reasons provided, which were the same or
similar reasons provided by these commenters in response to the 2018
ANPRM, are that the data would (1) enhance recruitment of foster homes;
(2) aid permanency and case decision-making; (3) promote visibility for
marginalized groups; (4) help to analyze youth outcomes; (5) address
disparities; and (6) enable Congress to legislate appropriately at the
national-level. Some of the national advocacy organizations provided
information about a set of professional guidelines developed in 2013 to
address the need to collect sexual orientation information for such
purposes as developing case plans and tracking individual case outcomes
in support of their recommendation. However, state and local child
welfare agency commenters generally acknowledged that information about
a youth's or provider's sexual orientation can be collected as part of
the title IV-E agency's casework and should be documented in the case
file, if it pertains to the circumstances of the child, and reporting
it to a national database would not enhance their work with children
and families.
Response: For the reasons set forth in the 2019 NPRM, we continue
to disagree with the commenters that suggested this final rule should
include this sexual orientation data and have made no changes. We have
examined the 2013 professional guidelines which largely provide best
practice guidelines related to client/caseworker/agency interaction in
gathering and managing sexual orientation and gender identity (SOGI)
information from clients. They are a practice guide, or set of
professional standards, for child welfare staff and child welfare
agencies on how they interact with clients, and gather and manage SOGI
information at the case, local, and state level. We conclude that those
guidelines are not relevant to collecting sexual orientation
information through a Federal administrative data collection. We
continue to rely on the 2016 Office of Management and Budget (OMB)
guidance to ground our decision making because it provides direction
for Federal agencies to consider before requiring SOGI information in
surveys and administrative databases (84 FR 16576).
Section 1355.40 Foster Care and Adoption Data Collection
In this final rule, we modify the dates in Sec. 1355.40 to require
title IV-E agencies to submit AFCARS data in accordance with AFCARS
regulations at Sec. 1355.40 and the appendices to part 1355 until the
dates listed in the DATES section of this rule. This means that title
IV-E agencies must continue to report AFCARS data in the same manner
they do currently until the implementation date of this final rule,
which is October 1, 2022 (Fiscal Year (FY) 2023). We did not propose
these changes in the 2019 NPRM, however these are technical conforming
edits needed to implement this final rule.
Section 1355.41 Scope of the Adoption and Foster Care Analysis and
Reporting System
This section sets forth the scope of AFCARS. In the 2019 NPRM, we
proposed to make technical amendments to paragraph (c) to update
citations. However, in this final rule, we make a technical revision to
remove paragraph (c) which prescribed definitions, specifically citing
to the ICWA statute and DOI regulations. We make this edit based on the
comments we received as we described and responded to above, as we are
concerned we may have unintentionally created misperceptions related to
our authority over ICWA compliance. Accordingly, we are removing
specific definitions because they relate to ICWA requirements and could
create confusion for AFCARS reporting. Instead, in the description of
the data element itself, we indicate if there is an applicable ICWA
citation for reporting on a data element.
Section 1355.43 Data Reporting Requirements
This section contains the AFCARS data reporting requirements. In
the 2019 NPRM, we proposed to amend paragraph (b)(3), which required
that the title IV-E agency must report the date of removal, exit date,
and exit reason for each child who had an out-of-home care episode
prior to October 1, 2020. This means that title IV-E agencies do not
need to report complete historical and current information for these
children. We did not receive comments relevant to our proposal for this
section. In this final rule, we change the date to October 1, 2022, to
conform to the implementation date in the DATES section of this final
rule.
Section 1355.44 Out-of-Home Care Data File Elements
This section includes all of the data element descriptions for the
out-of-home care data file.
Section 1355.44(a) General Information
In the 2019 NPRM, we proposed in paragraph (a) that the title IV-E
agency must collect and report general information that identifies the
reporting title IV-E agency as well as the child in out-of-home care.
We did not receive comments relevant to the data elements proposed in
Sec. 1355.44(a), thus we finalize paragraph (a) as proposed:
Title IV-E agency. Under paragraph (a)(1), the title IV-E agency
must indicate the name of the title IV-E agency responsible for
submitting AFCARS data to ACF. A state title IV-
[[Page 28414]]
E agency must indicate its state name. ACF will work with tribal title
IV-E agencies to provide guidance during implementation.
Report date. Under paragraph (a)(2), the title IV-E agency must
indicate the report period date, which is the last month and year that
corresponds with the end of the report period.
Local agency. Under paragraph (a)(3), the title IV-E agency must
report the name of the local county, jurisdiction, or equivalent unit
that has responsibility for the child. ACF will work with tribal title
IV-E agencies to provide guidance during implementation.
Child record number. Under paragraph (a)(4), the title IV-E agency
must report the child's record number, which is a unique person
identification number, as an encrypted number as instructed.
Section 1355.44(b) Child Information
In the 2019 NPRM, we proposed in paragraph (b) that the title IV-E
agency must report certain child-specific information for the
identified child in out-of-home care. Below are the finalized data
elements and a discussion of whether we received comments on each data
element.
Child's date of birth. In the 2019 NPRM, we proposed in paragraph
(b)(1) that the title IV-E agency must report the child's date of birth
including the month, day, and year, as instructed. We did not receive
comments relevant to our proposal for this paragraph, thus we finalize
this data element as proposed.
Child's sex. In the 2019 NPRM, we proposed in paragraph (b)(2) that
the title IV-E agency must report the child's sex from the response
options of ``male'' and ``female''.
Comment: Two states suggested that we include a third gender
option, such as ``other'', because other agencies within the state have
this ability (e.g., motor vehicles), so it promotes consistency.
Sixteen national advocacy organizations suggested we add data elements
on gender identity.
Response: We do not adopt changes based on public comments to this
data element nor do we provide additional response options in this
final rule because we did not receive a significant number of comments
from title IV-E agencies requesting changes. Further, we have no
compelling reason to increase the agency's burden to require this
information be reported to AFCARS as we have no need for it at the
Federal level.
Reason to know a child is an ``Indian Child'' as defined in the
Indian Child Welfare Act. In the 2019 NPRM, we proposed in paragraph
(b)(3) that the state title IV-E agency must report whether it made
inquiries to determine if the child is an Indian child as defined in
the Indian Child Welfare Act of 1978 (ICWA) by indicating ``yes'' or
``no''. We did not receive comments specific to this data element, and
finalize this data element as proposed.
Child's tribal membership. In the 2019 NPRM, we proposed in
paragraph (b)(4) that the state title IV-E agency must report whether
the child is a member of, or eligible for membership in, a federally
recognized Indian tribe from the response options of ``yes,'' ``no'',
or ``unknown''. If the state title IV-E agency indicated ``yes'', it
would have to indicate all federally recognized Indian tribe(s) that
may potentially be the Indian child's tribe(s) in a format according to
ACF's specifications. We did not receive comments specific to these
data elements. We finalize these data elements as proposed, with a
conforming change to paragraph (b)(4)(i) to specify a ``federally
recognized'' Indian tribe, consistent with the language used in
paragraph (b)(4)(ii).
Application of ICWA. In the 2019 NPRM, we proposed in paragraph
(b)(5) that the state title IV-E agency must report whether ICWA
applies for the child from the response options of ``yes,'' ``no'', or
``unknown''. If the state title IV-E agency indicated ``yes'', it would
be required to indicate the date that the Indian tribe or state or
tribal court notified the state title IV-E agency that ICWA applies. We
did not receive comments specific to this data element, and finalize
this data element as proposed.
Notification. In the 2019 NPRM, we proposed in paragraph (b)(6)
that the state title IV-E agency must report whether the child's Indian
tribe was sent legal notice, if the state title IV-E agency indicated
``yes'' in the data element established in paragraph (b)(5)(i).
Comment: Commenters who opposed streamlining the data elements we
proposed in the 2019 NPRM requested that we add data elements for
reporting whether the state sent notice to the parent and Indian
custodian and the date of the notice.
Response: As we explained earlier in the section-by-section
discussion, we did not make revisions to the proposal because we are
moving forward with requiring a streamlined set of data elements from
states for identifying the number of children in out-of-home care
nationally who should be afforded the protections of ICWA and we do not
need more details in federally reported AFCARS data related to ICWA
notifications. We finalize this data element as proposed.
Child's race. In the 2019 NPRM, we proposed in paragraph (b)(7)
that the title IV-E agency must report the race of the child. We did
not receive comments relevant to our proposal for this paragraph and we
finalize this data element as proposed.
Child's Hispanic or Latino ethnicity. In the 2019 NPRM, we proposed
in paragraph (b)(8) that the title IV-E agency must report the Hispanic
or Latino ethnicity of the child. We did not receive comments relevant
to our proposal for this paragraph and we finalize this data element as
proposed.
Health assessment. In the 2019 NPRM, we proposed in paragraph
(b)(9) that the title IV-E agency must report whether the child had a
health assessment during the current out-of-home care episode from the
response options of ``yes'' or ``no''.
Comment: Several states expressed support for streamlining this
data element because they agreed that any further detail regarding
health assessments should be part of a qualitative review. Eighteen
national advocacy groups opposed the proposal to streamline reporting
on health assessments, stating that more details on the dates of health
assessments and whether they were timely are needed to provide insight
into the health of children in foster care.
Response: We did not make changes to include more details about the
health assessment because we did not receive additional evidence to
support the need for this data at a Federal level. Furthermore, we do
not need additional details on health assessments reported to AFCARS to
monitor compliance with section 422(b)(15)(A) of the Act. We finalize
this data element as proposed.
Health, behavioral or mental health conditions. In the 2019 NPRM,
we proposed in paragraph (b)(10) that the title IV-E agency must report
whether the child was diagnosed by a qualified professional as having
one or more health, behavioral, or mental health conditions from a list
of eleven conditions prior to or during the child's current out-of-home
care episode. If so, the agency must report whether it is an existing
condition or a previous condition, and additional information as
instructed on whether the child had an exam or assessment.
Comment: Six states and local agencies recommended streamlining
this data element further, by either reducing the response options or
reducing the health, behavioral, or mental health conditions.
[[Page 28415]]
Response: We did not make changes to this data element in response
to comments because further streamlining will render the information
not useful for informing the annual outcomes report to Congress.
Additionally, the conditions are based on a combination of the
Diagnostic and Statistical Manual of Mental Disorders and definitions
from the National Institutes of Health, and the suggestion to further
streamline by combining conditions was not overwhelmingly supported by
commenters. We finalize this data element as proposed.
School enrollment. In the 2019 NPRM, we proposed in paragraph
(b)(11) that the title IV-E agency must report whether or not the child
is enrolled as a full-time student in elementary or secondary
education, or is a full or part-time student enrolled in post-secondary
education or training, or college.
Comment: Four states suggested removing this data element believing
it is duplicative of paragraph (b)(12) Educational level.
Response: We retained this data element as proposed because we are
specifically seeking information on school enrollment and the highest
educational level a child has completed. We will use the combined
information to assess, on a national basis, the well-being of children
placed in out-of-home care as part of monitoring the title IV-B and IV-
E programs through reviews. We finalize this data element as proposed.
Educational level. In the 2019 NPRM, we proposed in paragraph
(b)(12) that the title IV-E agency must report the highest educational
level from kindergarten to college or post-secondary education/
training, as well as a general equivalency diploma (GED), completed by
the child as of the last day of the report period.
Comment: One state asked for clarification as to when the child's
highest educational level must be reported.
Response: The title IV-E agency must report the highest educational
level the child completed as of the last day of the report period. We
finalize this data element as proposed.
Pregnant or parenting. In the 2019 NPRM, we proposed in paragraph
(b)(13)(i) that the title IV-E agency must report whether the child is
pregnant as of the end of the report period from the response options
of ``yes'' or ``no''. In the 2019 NPRM, we proposed in paragraph
(b)(13)(ii) that the title IV-E agency must indicate whether the child
has ever fathered or bore a child by indicating from the response
options of ``yes'' or ``no''. In the 2019 NPRM, we proposed in
paragraph (b)(13)(iii) that the title IV-E agency must indicate whether
the child and his/her child(ren) are placed together at any point
during the report period, if the response in paragraph (b)(13)(ii) of
this section is ``yes''. We did not receive substantive comments
relevant to our proposal for this paragraph and we finalize these data
elements as proposed.
Special education. In the 2019 NPRM, we proposed in paragraph
(b)(14) that the title IV-E agency must report on the child's special
education status by indicating if the child has an Individualized
Education Program (IEP) or an Individualized Family Service Plan
(IFSP). We did not receive substantive comments relevant to our
proposal for this paragraph and we finalize this data element as
proposed.
Prior adoption. In the 2019 NPRM, we proposed in paragraph (b)(15)
that the title IV-E agency must report whether the child experienced a
prior legal adoption, prior to the current out-of-home care episode. If
the title IV-E agency indicates ``yes'', then the title IV-E agency
must report the month and year of the most recent prior finalized
adoption (in paragraph (b)(15)(i)) and whether the child's most recent
prior adoption was an intercountry adoption (in paragraph (b)(15)(ii)).
Comment: Two states commented that reporting this information is
discretionary and recommended we remove these data elements.
Response: We did not make changes based on comments because
reporting on prior adoptions and intercountry adoptions is required by
sections 479(c)(3)(C)(ii) and 479(d) of the Act. Currently, the
information is reported via a narrative in the Child and Family
Services Plan (CFSP) and annual updates. Quantitative reporting through
AFCARS is preferred because the accuracy, reliability, and consistency
of the data will improve. We finalize these data elements as proposed.
Prior guardianship. In the 2019 NPRM, we proposed in paragraph
(b)(16)(i) that the title IV-E agency must report whether the child
experienced any prior public, private or independent guardianship(s).
If so, the title IV-E agency must report the month and year of the most
recent prior finalized legal guardianship (in paragraph (b)(16)(ii)).
Comment: Three states commented that reporting on this information
is discretionary and recommended these data elements be removed.
Response: We did not make changes to remove these data elements
because reporting on prior guardianships is required by section 479(d)
of the Act. We finalize these data elements as proposed.
Child financial and medical assistance. In the 2019 NPRM, we
proposed in paragraph (b)(17) that the title IV-E agency must report
whether the child received financial and medical assistance, other than
title IV-E foster care maintenance payments, from a list of eight
sources. We did not receive substantive comments relevant to our
proposal for this paragraph and we finalize this data element as
proposed.
Title IV-E foster care during report period. In the 2019 NPRM, we
proposed in paragraph (b)(18) that the title IV-E agency must report
whether a title IV-E foster care maintenance payment was paid on behalf
of the child at any point during the report period from the response
options of ``yes'' or ``no''. We did not receive comments relevant to
our proposal for this paragraph and we finalize this data element as
proposed.
Siblings. In the 2019 NPRM, we proposed in paragraphs (b)(19)
through (21) that the title IV-E agency must report the number of
siblings that the child has, the number of siblings who are in foster
care and the number of siblings who are in the same living arrangement
as the child, on the last day of the report period.
Comment: Two states suggested modifications to the sibling data
elements to require agencies to report if siblings were living together
at any time during the six-month report period and on the last day of
the reporting period, and to not ask for numbers of siblings.
Response: We did not make changes based on the comments because
these data elements as were proposed in the 2019 NPRM will meet our
needs for monitoring the title IV-B and IV-E programs better than the
states' proposal because they suggested to provide limited information
on siblings of children in foster care and only whether siblings lived
together during a report period. Their suggestion is not robust enough
for us to understand the entire situation of a child in foster care and
the child's siblings. We finalize these data elements as proposed.
Section 1355.44(c) Parent or Legal Guardian Information
In the 2019 NPRM, we proposed in paragraph (c) that the title IV-E
agency must report certain information on the child's parent(s) or
legal guardian(s). Below are the finalized data elements and a
discussion of whether we received comments on each data element.
Year of birth of parent(s) or legal guardian(s). In the 2019 NPRM,
we proposed in paragraphs (c)(1) and (2) that the title IV-E agency
must report
[[Page 28416]]
the birth year of the child's parent(s) or legal guardian(s). We did
not receive comments relevant to our proposal for this paragraph and we
finalize these data elements as proposed.
Tribal membership mother and father. In the 2019 NPRM, we proposed
in paragraphs (c)(3) and (4) that the state title IV-E agency must
report whether the biological or adoptive mother and father are members
of an Indian tribe, if known. We did not receive comments specific to
this data element and we finalize these data elements as proposed.
Termination/modification of parental rights. In the 2019 NPRM, we
proposed in paragraph (c)(5) that the title IV-E agency must report
whether the rights for each parent were terminated or modified on a
voluntary or involuntary basis. In the 2019 NPRM, we proposed in
paragraph (c)(5)(i) that the title IV-E agency must report each date a
petition to terminate/modify parental rights was filed, if applicable.
In the 2019 NPRM, we proposed in paragraph (c)(5)(ii) that the title
IV-E agency must report the date parental rights were terminated/
modified, if applicable.
Comment: One local agency asked how to report the information in
paragraph (c)(5)(i) if a petition is not filed because the parent
voluntarily relinquished the rights without a court order.
Response: The agency would report this to be a voluntary
termination of parental rights and leave paragraph (c)(5)(i) blank as
we instruct to only complete that paragraph ``if applicable''. However,
to make this clearer, we modified the regulation to add an instruction
in paragraph (c)(5)(i) that if a petition has not been filed, to leave
the paragraph (c)(5)(i) data element blank. We finalize the data
elements in paragraphs (c)(5)(ii) and (iii) as proposed.
Section 1355.44(d) Removal Information
In the 2019 NPRM, we proposed in paragraph (d) that the title IV-E
agency must report information on each of the child's removal(s). Below
are the finalized data elements and a discussion of whether we received
comments on each data element.
Date of child's removal. In the 2019 NPRM, we proposed in paragraph
(d)(1) that the title IV-E agency must 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 as instructed. We did
not receive comments relevant to our proposal for this paragraph and we
finalize this data element as proposed.
Removal transaction date. In the 2019 NPRM, we proposed in
paragraph (d)(2) that the title IV-E agency must report the transaction
date for each of the child's removal dates reported in paragraph (d)(1)
using a non-modifiable, computer-generated date which accurately
indicates the month, day, and year each response to paragraph (d)(1)
was entered into the information system. We did not receive comments
relevant to our proposal for this paragraph and we finalize this data
element as proposed.
Environment at removal. In the 2019 NPRM, we proposed paragraph
(d)(3) that the title IV-E agency must report the type of environment
(household or facility) from a list of seven that the child was living
in at the time of each of the child's removals reported in paragraph
(d)(1). We did not receive substantive comments relevant to our
proposal for this paragraph and we finalize this data element as
proposed.
Child and family circumstances at removal. In the 2019 NPRM, we
proposed in paragraph (d)(4) that the title IV-E agency must report on
all of the circumstances surrounding the child and family at the time
of each removal reported in paragraph (d)(1) from a list of 34
circumstances.
Comment: Two states and one local agency made suggestions to modify
paragraph (d)(4) such as combining certain circumstances and
rearranging the circumstances into ones that are ``reasons'' for
removal and circumstances that ``existed'' at the time of removal.
Response: We did not make changes based on the comments because the
data element as proposed in the 2019 NPRM will meet our needs, better
than the states' proposal, for monitoring, and reporting on, the title
IV-B and IV-E programs, and no concerns were raised by the vast
majority of title IV-E agency commenters in response to the 2019 NPRM.
Additionally, title IV-E agencies are required to report the full set
of circumstances that surround the child at the time of removal and not
just the ``reason'' for a child's removal, because, in almost every
case, there is not only one reason for the child's removal. This has
been an AFCARS requirement since 1993, described currently as ``Actions
or Conditions Associated With Child's Removal''. Additionally, the
circumstances in this data element inform program monitoring and
budgeting, such as knowing nationally the number of children whose
removal was impacted by a caretaker's substance abuse. For these
reasons, we finalize these data elements as proposed.
Victim of sex trafficking prior to entering foster care. In the
2019 NPRM, we proposed in paragraph (d)(5) that the title IV-E agency
must report whether the child had been a victim of sex trafficking
before the current out-of-home care episode and if yes, the agency must
indicate whether it reported each instance to law enforcement and the
dates of each report. We did not receive substantive comments relevant
to our proposal for this paragraph and we finalize this data element as
proposed.
Victim of sex trafficking while in foster care. In the 2019 NPRM,
we proposed in paragraph (d)(6) that the title IV-E agency must report
whether the child was a victim of sex trafficking while in out-of-home
care during the current episode and if yes, the agency must indicate
whether it reported each instance to law enforcement and the dates of
each report. We did not receive comments relevant to our proposal for
this paragraph and we finalize this data element as proposed.
Section 1355.44(e) Living Arrangement and Provider Information
In the 2019 NPRM, we proposed in paragraph (e) that the title IV-E
agency must report information on each of the child's living
arrangements for each out-of-home care episode. Below are the finalized
data elements and a discussion of whether we received comments on each
data element.
Date of living arrangement. In the 2019 NPRM, we proposed in
paragraph (e)(1) that the title IV-E agency must report the date of
each living arrangement. We did not receive comments relevant to our
proposal for this paragraph and we finalize this data element as
proposed.
Foster family home. In the 2019 NPRM, we proposed in paragraph
(e)(2) that the title IV-E agency must report whether or not a child
resides in a foster family home for each living arrangement, and if
yes, the agency must complete paragraph (e)(3). We did not receive
comments relevant to our proposal for this paragraph and we finalize
this data element as proposed.
Foster family home type. In the 2019 NPRM, we proposed in paragraph
(e)(3) that the title IV-E agency must report the type of foster family
home from a list of six. We did not receive comments relevant to our
proposal for this paragraph and we finalize this data element as
proposed.
Other living arrangement type. In the 2019 NPRM, we proposed in
paragraph (e)(4) that the title IV-E agency must
[[Page 28417]]
report whether a child who is not placed in a foster family home is
placed in one of 14 mutually exclusive living arrangements.
Comment: A national advocacy organization suggested adding
``skilled nursing facility'' as a living arrangement.
Response: We did not make changes to add another living arrangement
as suggested because the living arrangements proposed cover the range
of placement types necessary for our purposes and we do not need any
additional level of detail. We finalize this data element as proposed.
Location of living arrangement. In the 2019 NPRM, we proposed in
paragraph (e)(5) that the title IV-E agency must report whether the
location of each of the child's living arrangement is within or outside
of the reporting state or tribal service area or is outside of the
country. We did not receive comments relevant to our proposal for this
paragraph and we finalize this data element as proposed.
Jurisdiction or country where child is living. In the 2019 NPRM, we
proposed in paragraph (e)(6) that the title IV-E agency must report the
jurisdiction or country where the child is living if it is outside of
the reporting state or tribal service area or is outside of the
country. We did not receive comments relevant to our proposal for this
paragraph and we finalize this data element as proposed.
Marital status of the foster parent(s). In the 2019 NPRM, we
proposed in paragraph (e)(7) that the title IV-E agency must report the
marital status of the foster parent(s). We did not receive comments
relevant to our proposal for this paragraph and we finalize this data
element as proposed.
Child's relationship to the foster parent(s). In the 2019 NPRM, we
proposed in paragraph (e)(8) that the title IV-E agency must report the
child's relationship to the foster parent(s) from the following three
response options: ``relative(s)'', ``nonrelative(s)'', and ``kin''. We
did not receive comments relevant to our proposal for this paragraph
and we finalize this data element as proposed.
Year of birth for foster parent(s). In the 2019 NPRM, we proposed
in paragraphs (e)(9) and (14) that the title IV-E agency must report
the year of birth of the foster parent(s). We did not receive comments
relevant to our proposal for these paragraphs and we finalize these
data elements as proposed.
Foster parent(s) tribal membership. In the 2019 NPRM, we proposed
in paragraphs (e)(10) and (15) that the title IV-E agency must report
the tribal membership of the foster parent(s). We did not receive
comments specific to these data elements and we finalize these data
elements as proposed.
Race of foster parent(s). In the 2019 NPRM, we proposed in
paragraphs (e)(11) and (16) that the title IV-E agency must report the
race of the foster parent(s). We did not receive comments relevant to
our proposal for these paragraphs and we finalize these data elements
as proposed.
Hispanic or Latino ethnicity of foster parent(s). In the 2019 NPRM,
we proposed in paragraphs (e)(12) and (17) that the title IV-E agency
must report the Hispanic or Latino ethnicity of the foster parent(s),
as appropriate. We did not receive comments relevant to our proposal
for this paragraph and we finalize these data elements as proposed.
Sex of foster parent(s). In the 2019 NPRM, we proposed in
paragraphs (e)(13) and (18) that the title IV-E agency must report the
sex of the foster parent(s).
Comment: Two states suggested that we include a third gender
option, such as ``other'', because other agencies within the state have
this ability (e.g., motor vehicles), so it promotes consistency.
Sixteen national advocacy organizations suggested we add data elements
on gender identity.
Response: We did not make changes to this data element and did not
add data elements because we did not receive a significant enough
number of comments from title IV-E agencies that identified reasons to
revise the response options to include a third gender response option.
Further, we have no compelling reason to increase the agency's burden
to require this information be included in AFCARS as we have no need
for it at the Federal level. We finalize these data elements as
proposed.
Section 1355.44(f) Permanency Planning
In the 2019 NPRM, we proposed in paragraph (f) that the title IV-E
agency must report information related to permanency planning for
children in out-of-home care, which includes permanency plans,
hearings, and caseworker visits with the child. Below are the finalized
data elements and a discussion of whether we received comments on each
data element.
Permanency plan and date. In the 2019 NPRM, we proposed in
paragraphs (f)(1) and (2) that the title IV-E agency must report each
permanency plan established for the child. We did not receive comments
relevant to our proposal for these paragraphs and we finalize these
data elements as proposed.
Date of periodic review(s) and permanency hearing(s). In the 2019
NPRM, we proposed in paragraph (f)(3) that the title IV-E agency must
report the date of each periodic review. In the 2019 NPRM, we proposed
in paragraph (f)(4) that the title IV-E agency must report the date of
each permanency hearing. We did not receive comments relevant to our
proposal for these paragraphs and we finalize these data elements as
proposed.
Caseworker visit dates and locations. In the 2019 NPRM, paragraph
(f)(5) that the title IV-E agency must report the date of each in-
person, face-to-face caseworker visit with the child. In the 2019 NPRM,
we proposed in paragraph (f)(6) that the title IV-E agency must report
each caseworker visit location from two response options.
Comment: Two states and one local agency suggested that caseworker
visit information is better suited for a qualitative review and should
not be reported in AFCARS.
Response: We continue to believe that reporting caseworker visit
information in AFCARS instead of the CFSP will improve the accuracy of
the data and alleviate the burden of agencies having to report on this
as a narrative in the CFSP and annual updates. Thus, we finalize these
data elements as proposed.
Section 1355.44(g) General Exit Information
In the 2019 NPRM, we proposed in paragraph (g) that the title IV-E
agency must report exit information for each out-of-home care episode
when the title IV-E agency's placement and care responsibility for the
child ends. We did not receive comments on our proposal for section
1355.44(g), thus we finalize paragraph (g) as proposed.
Date of exit. Under paragraph (g)(1), the title IV-E agency must
report the date for each of the child's exits from out-of-home care.
Exit transaction date. Under paragraph (g)(2), the title IV-E
agency must report a non-modifiable, computer-generated date which
accurately indicates the date of each response to paragraph (g)(1) of
this section.
Exit reason. Under paragraph (g)(3), the title IV-E agency must
report the reason for each of the child's exits from out-of-home care
from nine response options.
Transfer to another agency. Under paragraph (g)(4), the title IV-E
agency must report the type of agency that
[[Page 28418]]
received placement and care responsibility for the child if the title
IV-E agency indicated the child was transferred to another agency in
paragraph (g)(3) from seven response options.
Section 1355.44(h) Exit to Adoption and Guardianship Information
In the 2019 NPRM, we proposed in paragraph (h) that the title IV-E
agency must report certain information only if the title IV-E agency
indicated the child exited to adoption or legal guardianship in
paragraph (g)(3) Exit reason. Otherwise, the title IV-E agency must
leave paragraph (h) blank. Below are the finalized data elements and a
discussion of whether we received comments on each data element.
Marital status of the adoptive parent(s) or guardian(s). In the
2019 NPRM, we proposed in paragraph (h)(1) that the title IV-E agency
must report the marital status of the adoptive parent(s) or legal
guardian(s). We did not receive comments relevant to our proposal for
this paragraph and we finalize this data element as proposed.
Child's relationship to the adoptive parent(s) or guardian(s). In
the 2019 NPRM, we proposed in paragraph (h)(2) that the title IV-E
agency must report the type of relationship between the child and the
adoptive parent(s) or legal guardian(s) from four response options. We
did not receive comments relevant to our proposal for this paragraph
and we finalize this data element as proposed.
Date of birth of the adoptive parent or guardian. In the 2019 NPRM,
we proposed in paragraphs (h)(3) and (8), the title IV-E agency must
report the date of the birth of the adoptive parent(s) or legal
guardian(s). We did not receive comments relevant to our proposal for
these paragraphs and we finalize these data elements as proposed.
Adoptive parent or guardian tribal membership. In the 2019 NPRM, we
proposed in paragraphs (h)(4) and (9) that the title IV-E agency must
report whether the adoptive parent(s) or legal guardian(s) is a member
of an Indian tribe as instructed. We did not receive comments specific
to these paragraphs and we finalize these data elements as proposed.
Race of adoptive parent or guardian. In the 2019 NPRM, we proposed
in paragraphs (h)(5) and (10) that the title IV-E agency must report
the adoptive parent(s) or legal guardian(s) race as instructed. We did
not receive comments relevant to our proposal for these paragraphs and
we finalize these data elements as proposed.
Hispanic or Latino ethnicity of adoptive parent or guardian. In the
2019 NPRM, we proposed in paragraphs (h)(6) and (11) that the title IV-
E agency must report whether the adoptive parent(s) or legal
guardian(s) is of Hispanic or Latino ethnicity as instructed. We did
not receive comments relevant to our proposal for these paragraphs and
we finalize these data elements as proposed.
Sex of adoptive parent or guardian. In the 2019 NPRM, we proposed
in paragraphs (h)(7) and (12) that the title IV-E agency must report
the sex of the adoptive parent(s) or legal guardian(s) as instructed.
Comment: Two states suggested that we include a third gender
option, such as ``other'', because other agencies within the state have
this ability (e.g., motor vehicles), so it promotes consistency.
Sixteen national advocacy organizations suggested we add data elements
on gender identity.
Response: We did not make changes to this data element and did not
add data elements because we did not receive a significant enough
number of comments from title IV-E agencies that identified reasons to
revise the response options to include a third gender response option.
Further, we have no compelling reason to increase the agency's burden
to require this information be included in AFCARS as we have no need
for it at the Federal level. Accordingly, we finalize these data
elements as proposed.
Inter/Intrajurisdictional adoption or guardianship. In the 2019
NPRM, we proposed in paragraph (h)(13) that the title IV-E agency must
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 adoption or legal guardianship. We did not receive comments
relevant to our proposal for this paragraph and we finalize this data
element as proposed.
Assistance agreement type. In the 2019 NPRM, we proposed in
paragraph (h)(14) that the title IV-E agency must report the type of
assistance agreement between the title IV-E agency and the adoptive
parent(s) or legal guardian(s) as appropriate. We did not receive
comments relevant to our proposal for this paragraph and we finalize
this data element as proposed.
Siblings in adoptive or guardianship home. In the 2019 NPRM, we
proposed in paragraph (h)(15) that the title IV-E agency must report
the number of siblings of the child who are in the same adoptive or
legal guardianship home as the child. We did not receive comments
relevant to our proposal for this paragraph and we finalize this data
element as proposed.
Section 1355.45 Adoption and Guardianship Assistance Data File Elements
This section contains the data elements for the adoption and
guardianship assistance data file. We proposed in the 2019 NPRM
conforming amendments only to paragraphs (b)(2) and (3) and (f). We did
not receive comments on Sec. 1355.45 and we finalize these data
elements as proposed.
Child's sex. Under paragraph (b)(2), the title IV-E agency must
report the sex of the child.
Child's race. Under paragraph (b)(3)(vi), for Race-unknown, we made
edits to match edits in Sec. 1355.44(b)(7)(vi), where we clarify the
instructions for reporting the race of the child.
Adoption or guardianship placing agency. Under paragraph (f), the
title IV-E agency must indicate the agency that placed the child for
adoption or legal guardianship from three options.
Section 1355.46 Compliance
This section lists compliance requirements for AFCARS data
including the type of assessments ACF will conduct to determine the
accuracy of a title IV-E agency's data, the data that is subject to
these assessments, the compliance standards, and the manner in which a
title IV-E agency that is initially determined to be out of compliance
can correct its data. In the 2019 NPRM, we proposed conforming
amendments only to paragraph (c)(2) to update the cross references. We
did not receive substantive comments relevant to our proposal for this
paragraph and we finalize this paragraph as proposed.
VI. Regulatory Impact Analysis
Executive Orders 12866, 13563, and 13771
Executive Orders 12866 and 13563 direct agencies to assess all
costs and benefits of available regulatory alternatives and, if
regulation is necessary, to select regulatory approaches that maximize
net benefits (including potential economic, environmental, public
health and safety effects, distributive impacts, and equity). E.O.
13563 emphasizes the importance of quantifying both costs and benefits,
of reducing costs, of harmonizing rules, and of promoting flexibility.
ACF consulted with OMB, which determined that this rule does meet the
criteria for a significant regulatory action under E.O. 12866. Thus, it
was subject to OMB review.
[[Page 28419]]
ACF determined that the costs to title IV-E agencies as a result of
this rule will not be economically significant as defined in E.O. 12866
(have an annual effect on the economy of $100 million or more or
adversely affect in a material way the economy, a sector of the
economy, productivity, competition, jobs, the environment, public
health or safety, or state, local, or tribal governments or
communities). Because the rule is not economically significant as
defined in E.O. 12866, a full cost-benefit analysis per OMB Circular A-
4 does not need to be included in this rule. An abbreviated costs and
benefits analysis is below.
Costs and Benefits
AFCARS is the only comprehensive case-level data set on the
incidence and experiences of children who are in out-of-home care under
the placement and care of the title IV-E agency or who are under a
title IV-E adoption or guardianship assistance agreement. A regulated
national data set on these children is required by section 479(c)(3) of
the Act. Section 479(c)(1) of the Act requires that any data collection
system developed and implemented under this section must avoid
unnecessary diversion of resources from agencies. Section 479(c)(2) of
the Act requires that data collected is reliable and consistent over
time. This final rule streamlines the information required in the 2016
final rule for title IV-E agencies to report to AFCARS, which will
avoid the unnecessary diversion of resources. We removed data elements
that 2018 ANPRM and 2019 NPRM commenters identified would not meet the
requirements for reliability and consistency, thus are ineffective at
providing a national picture of children placed in out-of-home care.
Not publishing this final rule, and in effect requiring title IV-E
agencies to implement the vast requirements of the 2016 final rule,
would not meet these statutory requirements, as demonstrated by the
commenters that supported streamlining.
Federal reimbursement under title IV-E will be available for a
portion of the costs that title IV-E agencies will incur as a result of
the revisions in this final rule, depending on each title IV-E agency's
cost allocation plan, information system, and other factors. Estimated
burden and costs to the Federal Government are provided below in the
Burden estimate section. We estimate the Federal portion of the overall
information collection burden to be $43,093,725. Additional costs to
the Federal Government to design a system to collect the new AFCARS
data are expected to be minimal.
Alternatives Considered
ACF considered not streamlining the data elements, meaning that the
2016 final rule would go into effect. This would not be in line with
the findings of the HHS Regulatory Reform Taskforce or the overwhelming
majority of state and local agencies that supported streamlining the
data elements as proposed in the 2019 NPRM.
Executive Order 13771, entitled Reducing Regulation and Controlling
Regulatory Costs (82 FR 9339), was issued on January 30, 2017.
Annualizing these costs and cost savings in perpetuity and discounting
at 7 percent back to 2016, we estimate that this rule would generate
$26.7 million in annualized cost savings discounted relative to 2016 at
7 percent over a perpetual time horizon, in 2016 dollars. Details on
the estimated costs of this rule can be found in the Paperwork
Reduction Act analysis. This rule is considered an E.O. 13771
deregulatory action. As described below, this rule will save
approximately 588,094 burden hours over the 2016 final rule. After
multiplying the burden hours by the average wage rate of affected
individuals, this amounts to $42,930,862 in savings each year, relative
to the estimated costs and burden of the 2016 final rule, in the year
this final rule will become effective, which is in FY 2023. As a
result, we estimate that this rule generates $26.7 million in
annualized cost savings in 2016 dollars, discounted at 7 percent over a
perpetual time horizon relative to year 2016.
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 rule does not affect small entities because it is
applicable only to state and tribal title IV-E agencies, and those
entities are not considered to be small entities for purposes of the
Regulatory Flexibility Act.
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
finalizing 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). In
2019, that threshold is approximately $154 million. This rule does not
impose any mandates on state, local, or tribal governments, or the
private sector that will result in an annual expenditure of $150
million or more.
Congressional Review
This regulation is not a major rule as defined in 5 U.S.C. 8.
Assessment of Federal Regulations and Policies on Families
Section 654 of the Treasury and General Government Appropriations
Act of 2000 (Pub. L. 106-58) requires Federal agencies to determine
whether a policy or regulation may affect family well-being. If the
agency's determination is affirmative, then the agency must prepare an
impact assessment addressing seven criteria specified in the law. This
rule will not have an impact on family well-being as defined in the
law.
Executive Order 13132 on Federalism
E.O. 13132 requires that Federal agencies consult with state and
local government officials in the development of regulatory policies
with federalism implications. Consistent with E.O. 13132 and Guidance
for Implementing E.O. 13132 issued on October 28, 1999, the Department
must include in ``a separately identified portion of the preamble to
the regulation'' a ``federalism summary impact statement'' (Secs.
6(b)(2)(B) & (c)(2)). The Department's federalism summary impact
statement is as follows--
``A description of the extent of the agency's prior
consultation with state and local officials''--The public comment
period for the 2019 NPRM was open for 60 days and closed on June 18,
2019. During this time, we solicited comments via regulations.gov and
email. During this comment period, we held three informational calls on
April 30, May 2, and 28, 2019 for states, Indian tribes, and the
public. During these calls, we provided an overview of the 2019 NPRM
provisions and where to submit comments. Prior to issuing the 2019
NPRM, we solicited comments via an ANPRM in 2018.
``A summary of the nature of their concerns and the
agency's position supporting the need to issue the regulation''--As we
discussed in section III of the preamble to this final rule, state
commenters supported the revisions proposed in the 2019 NPRM to
streamline the AFCARS regulation because they believe it would reduce
the burden of reporting on title IV-E agencies and that the proposal
kept the data elements that are essential to understanding nationally
the population
[[Page 28420]]
of children in foster care. We continue to believe that, in order to
reduce the burden on title IV-E agencies, which are required to submit
the AFCARS data to ACF and will be held to penalties for non-compliant
data submissions, we must finalize the proposed revisions to AFCARS in
this rule.
``A statement of the extent to which the concerns of state
and local officials have been met'' (Secs. 6(b)(2)(B) and 6(c)(2))--As
we discussed in section III of the preamble to this final rule, this
rule finalizes the 2019 NPRM proposal for fewer data elements than is
in the 2016 final rule. We believe that the states sufficiently argued
in both their comments to the 2018 ANPRM and the 2019 NPRM that the
2016 final rule had many data elements that can be streamlined while
still providing critical information on the reporting population.
Paperwork Reduction Act
This final rule contains information collection requirements (ICRs)
that are subject to review by the OMB under the Paperwork Reduction Act
of 1995 (PRA), 44 U.S.C. 3501-3520. A description of these provisions
is given in the following paragraphs with an estimate of the annual
burden. In the PRA section for the 2019 NPRM on whether an information
collection should be approved by OMB, the Department solicited comment
on the following issues:
The need for the information collection and its usefulness
in carrying out the proper functions of our agency.
The accuracy of our estimate of the information collection
burden in the 2019 NPRM.
The quality, utility, and clarity of the information to be
collected.
Recommendations to minimize the information collection
burden on the affected public, including automated collection
techniques.
OMB did not receive comments in response to the 2019 NPRM PRA.
The information collection for AFCARS is currently authorized under
OMB number 0970-0422. This rule contains information collection
requirements in Sec. 1355.44, the out-of-home care data file, and
Sec. 1355.45, the adoption and guardianship assistance data file, that
the Department submitted to OMB for its review. Pursuant to this final
rule:
State and tribal title IV-E agencies must report
information on children who are in the out-of-home care reporting
population pursuant to Sec. 1355.42(a),
State and tribal title IV-E agencies must report
information on children who are in the adoption and guardianship
assistance reporting population pursuant to Sec. 1355.42(b), and
State title IV-E agencies must report ICWA-related
information in the out-of-home care data file.
Burden Estimate
In this section, we provide a burden estimate for this final rule
and briefly explain how we calculated it, using the 2019 NPRM burden
estimate since we did not make substantive changes in this final rule.
Changes in the final rule estimate are attributed to updated input
numbers, such as labor rate and number of children in foster care.
2016 Final Rule: In the 2016 final rule, we had estimated the total
annual burden hours for both recordkeeping and reporting to be 970,226
hours at a total cost of $81,499,084 ($40,749,492 at 50 percent Federal
Financial Participation (FFP)). As we discovered from analyzing the
2018 ANPRM comments, the 2016 final rule burden estimate was low and
did not appropriately account for the time and resources required to
collect and report the many and detailed ICWA-related data elements.
Through the comments process of the 2018 ANPRM and 2019 NPRM, we are
able to provide a more grounded burden estimate that is based on state
estimated hours and costs.
2019 NPRM: Through the 2018 ANPRM, ACF asked the public to give
specific feedback on the AFCARS data elements, costs to implement, and
burden hours to complete the work required to comply with the AFCARS
requirements in 2016 final rule. As we explained in the 2019 NPRM (84
FR 16587), we analyzed the 2018 ANPRM comments from states on the
burden to complete the 2016 final rule. States ranged considerably in
estimating the work needed and length of time it would take to comply
with the 2016 final rule, which is expected and appropriate because
there is considerable variability across states in sophistication of
information systems, availability of both staff and financial
resources, and populations of children in care. Thus, we used the
median of the states' estimates for the estimates related to training
and developing or modifying procedures and systems. We used the average
of the states' estimates for the estimates of gathering/entering
information, reporting, and the labor rate. Based on the 2018 ANPRM
comments, we updated our estimate for the total burden of the 2016
final rule to be 1,768,744 hours. To estimate the burden of the 2019
NPRM, we used a revised 2016 final rule estimate that was based on
states' 2018 ANPRM comments and reduced the hours by approximately 33
percent, which represented the approximate workload reduction
associated with reporting fewer data elements and the type of data
elements that we removed, which specifically were qualitative in nature
and required a significant amount of training and staff time to locate
the information and ensure proper data entry.
As we explained in the 2019 NPRM (84 FR 16589), adjustments to the
recordkeeping burden estimates were based on the information provided
by states in response to the 2018 ANPRM:
For the out-of-home care data file, states provided
estimates that ranged from 3 to 15 hours related to the tasks of
searching data sources, gathering information, and entering the
information into the system for the 2016 final rule. The range depended
on whether the work was for the qualitative ICWA-related data elements
or not. The average of the hours provided from the states that broke
out this information in their 2018 ANPRM comments was 6 hours annually.
We used the average because there were not significant outliers in the
comments provided. Then we reduced the 6 hours by 33 percent since that
represents the reduction in data elements to be reported.
For the adoption and guardianship assistance data file,
the data elements did not significantly change and we did not receive
information from state estimates to determine that a change in these
estimates was warranted. The only changes are attributable to updated
numbers of children in adoption or guardianship assistance agreements,
thus we estimated in the 2019 NPRM that updates or changes on an annual
or biennial basis will take an average of 0.2 hours annually for
records of children who have an adoption assistance agreement and 0.3
hours annually for children who have a guardianship assistance
agreement.
Developing or modifying standard operating procedures and
systems to collect, validate, and verify the information and adjust
existing ways to comply with the AFCARS requirements was estimated at
6,700 hours annually. States provided estimates in response to the 2018
ANPRM that ranged from 1,000 to 20,000 hours, which varied widely
depending on the size of the state's out-of-home care population, type,
sophistication, and age of systems. To estimate the annual hours, we
chose to use the median of these estimates provided by the state
commenters, rather than relying on the average of
[[Page 28421]]
those provided in the comments, because it would be distorted by the
considerable hour range. The median hours from state's estimates was
10,000, and we reduced it by 33 percent since that represents the
reduction in data elements to be reported.
Administrative tasks associated with training personnel on
the AFCARS requirements (e.g., reviewing instructions, developing the
training and manuals) and training personnel on AFCARS requirements we
estimated would take on average 7,086 hours annually. In response to
the 2018 ANPRM, states provided varying estimates for the hours and
cost of training that were not broken out the same way. For example,
one estimate was 40 hours to develop training materials and 2 hours of
training per staff person. Other estimates were only totals of training
hours that ranged between 42,712 to 102,000 hours encompassing initial
and ongoing training to implement the 2016 final rule. Another estimate
broke out ongoing training at 8,500 hours annually. To estimate the
annual hours related to training tasks, we used the median of the hours
provided from the 2018 ANPRM comments, rather than relying on the
average, because it would be distorted by the considerable hour ranges
and associated tasks. We understand that training hours will vary
depending on the size of the agency's workforce needing training. The
median hours from state's estimates was 10,576, and we reduced it by 33
percent since that represents the reduction in data elements to be
reported.
For reporting, we explained in the 2019 NPRM (84 FR 16589) that
very few states broke out reporting in their 2018 ANPRM comments and
the average of the hours provided came to 26 hours. Since the 2019 NPRM
reduces the data elements by 33 percent, we reduced the estimated
burden related to reporting that amount arriving at 17 hours for this
task.
For the labor rate, the 2018 ANPRM comments provided many job
titles that would be involved in implementing, which included a mix of
programming, management, caseworkers, and legal staff that varied
depending on the size and functions of the state and local governments.
The 2016 final rule included mostly computer analysts and social
service managers which gave us an estimate of $84. The 2019 NPRM
included more positions, such as office and administrative support
occupations, community and social service operations and gave us an
estimate of $72.
Comments in response to the 2019 NPRM: We explained in the 2019
NPRM that since the 2018 ANPRM comments were very thorough and helpful
to inform the burden estimates, we feel confident that the burden
estimate provided in the 2019 NPRM more accurately reflects the burden
of reporting AFCARS information. ACF asked the public to respond to the
streamlined AFCARS proposed in the 2019 NPRM. States expressed that the
burden of the 2019 NPRM will be less than the 2016 final rule,
commenting that they supported the streamlined AFCARS because it will
be less burdensome than the 2016 final rule. Nine states provided
estimates in response to the 2019 NPRM for costs and burden hours to
comply with the 2019 NPRM. These estimates ranged considerably
depending on the tasks the state attributed the burden to and whether
it was a total for all work needed to implement the rule. State
estimates for burden hours ranged between 32,900 and 111,000 total
hours for all work needed to implement the rule, which included
developing/modifying procedures, systems changes, and training, but not
all states included training in their estimates, leading to lower
burden estimates. State cost estimates ranged from $88,000 to over $1
million, the variability due to either including all work over multiple
years or only providing total costs for one task, such as systems
changes. We did not make changes to the burden estimates in this final
rule based on this additional information because there was not enough
detailed information to draw any different conclusions than we did in
calculating the burden estimates for the 2019 NPRM. Tribal title IV-E
agencies did not provide burden estimates in their comments. In this
section, we discuss our assumptions and calculations for the estimates.
Respondents: The 69 respondents comprise 52 state title IV-E
agencies and 17 tribal title IV-E agencies, which are Indian tribes,
tribal organizations or consortium with an approved title IV-E plan
under section 479B of the Act. The estimates provided in the rule are
spread across respondents for the purposes of the PRA estimates.
However, we understand that actual burden hours and costs will vary due
to sophistication and capacity of information systems, availability of
staff and financial resources, and populations of children in care.
Recordkeeping burden: Searching data sources, gathering
information, and entering the information into the system, developing
or modifying procedures and systems to collect, validate, and verify
the information and adjusting existing ways to comply with AFCARS
requirements, administrative tasks associated with training personnel
on the AFCARS requirements (e.g., reviewing instructions, developing
the training and manuals), and training personnel on AFCARS
requirements.
Reporting burden: Extracting the information for AFCARS reporting
and transmitting the information to ACF.
Annualized Cost to the Federal Government
Federal reimbursement under title IV-E will be available for a
portion of the costs that title IV-E agencies will incur as a result of
the revisions proposed in this rule, depending on each agency's cost
allocation plan, information system, and other factors. For this
estimate, we used the 50 percent FFP rate.
----------------------------------------------------------------------------------------------------------------
Estimate
Collection--AFCARS Total annual Average hourly Total cost Federal costs
burden hours labor rate (50% FFP)
----------------------------------------------------------------------------------------------------------------
Recordkeeping................................... 1,178,304 $73 $86,016,192 $43,008,096
Reporting....................................... 2,346 73 171,258 85,629
---------------------------------------------------------------
Total....................................... .............. .............. .............. 43,093,725
----------------------------------------------------------------------------------------------------------------
Cost savings of this final rule over the 2016 final rule: 588,094
hours x $73 labor rate = $42,930,862.
Assumptions for Estimates
We made a number of assumptions when calculating the burden and
costs:
Number of children in out-of-home care: To determine the
number of children for which title IV-E agencies
[[Page 28422]]
will have to report in the out-of-home care data file on average, ACF
used the most recent FY 2018 AFCARS data available: 262,956 children
entered foster care during FY 2018. Of those, 5,856 children had a
reported race of American Indian/Alaska Native. We used the number of
children who entered foster care rather than the entire population of
children in foster care because agencies will not have to collect and
report all data elements on all children in foster care; therefore,
this accounts for the variances in burden. This is consistent with
previous burden estimate and savings calculations in the 2016 final
rule and the 2019 NPRM, which are what we use to estimate the relative
savings of the 2019 NPRM and this final rule.
Out-of-home care data elements: For the out-of-home care
data file, the 2016 final rule required approximately 272 items on
which we require title IV-E agencies to report information. In this
final rule, we reduced these data points to approximately 183,
representing 170 data points retained without change from the 2016
final rule and 13 modified data points. This represents approximately a
33 percent reduction in the total items that title IV-E agencies must
report for this final rule compared to the 2016 final rule.
Number of children receiving adoption and guardianship
assistance: To determine the number of children for which title IV-E
agencies must report in the adoption and guardianship assistance file,
ACF used the most recent title IV-E Programs Quarterly Financial
Report, CB-496, for FY 2018: 488,870 children received title IV-E
adoption assistance and 32,204 children received guardianship
assistance.
Adoption and guardianship assistance data elements: There
are approximately 20 items where we require title IV-E agencies report
information for the adoption and guardianship assistance data file,
which is not a significant change from the 2016 final rule.
Systems changes: ACF assumed that the burden for title IV-
E agencies to modify systems was based in part on the estimates states
provided in response to the 2019 NPRM. Most title IV-E agencies will
require revisions to electronic case management systems to meet the
requirements in this final rule. However, ACF anticipates that a
state's CCWIS will lead to more efficiency and less costs and burden
associated with AFCARS reporting.
Labor rate: ACF assumes that there will be a mix of the
following positions working to meet both the one-time and annual
requirements of this rule. We reviewed 2018 Bureau of Labor Statistics
data and for this estimate we used the job roles of: Computer
Information and Systems Managers (11-3021) with an average hourly wage
of $73.49; Computer and Mathematical Occupations (15-0000) (e.g.
computer and information analysts, computer programmers, and database
and systems administrators) with an average hourly wage of $44.01;
Office and Administrative Support Occupations (43-000) (e.g.,
administrative assistants, data entry, legal secretaries, government
program eligibility interviewers, information and record clerks) with
an average hourly wage of $18.75; Social and Community Service Managers
(11-9151) with an average hourly wage estimate of $34.46; Community and
Social Service Operations (21-0000) (e.g. Social Workers, Child and
Family Social Workers, Counselors, Social Service Specialists) with an
average hourly wage of $23.69; and Paralegals and Legal Assistants (23-
2011) with an average hourly wage estimate of $26.20. ACF averaged
these wages to come to an average labor rate of $36.77. In order to
ensure we took into account overhead costs associated with these labor
costs, ACF doubled this rate ($73).
Calculations for Estimates
For the 2019 NPRM estimates, we reduced the estimates that were in
the 2016 final rule by 33 percent to represent the reduction in the
workload associated with reporting the data proposed in the 2019 NPRM
compared to the 2016 final rule. We carried forward this estimated
reduction of 33 percent in this final rule because we did not make any
substantive changes to the amount of data the title IV-E agency must
report. Thus, the reduction in costs and burden hours from the 2016
final rule is reflected.
Recordkeeping: We estimated a total of 1,178,304 record keeping
hours annually, as summarized below. We are finalizing the data
elements as proposed, and therefore, did not need to revise the
estimates related to work in these bullets and only updated population
numbers.
For the out-of-home care data file, searching data
sources, gathering information, and entering the information into the
system would take on average 4.02 hours annually for all children who
enter foster care, for a total of 1,057,083 hours annually. The
reduction in the estimate from the 2019 NPRM is based on the reduced
number of children who entered foster care. (4.02 hours x 262,956
children = 1,057,083 annual hours for this bullet)
For the adoption and guardianship assistance data file, we
estimated in the 2019 NPRM that updates or changes on an annual or
biennial basis will take an average of 0.2 hours annually for records
of children who have an adoption assistance agreement and 0.3 hours
annually for children who have a guardianship assistance agreement. The
number of children in adoption or guardianship assistance agreements
increased, which reflects the most recent data available, FY 2018. The
new total annual hours is estimated to be 107,435.2. (0.2 hours x
488,870 children = 97,774 hours. 0.3 hours x 32,204 children = 9,661.2
hours. 97,774 hours + 9,661.2 hours = 107,435 total annual burden hours
for this bullet.)
Developing or modifying standard operating procedures and
systems to collect, validate, and verify the information and adjust
existing ways to comply with the AFCARS requirements is estimated at
6,700 hours annually.
Administrative tasks associated with training personnel on
the AFCARS requirements (e.g. reviewing instructions, developing the
training and manuals) and training personnel on AFCARS requirements we
estimate will take on average 7,086 hours annually. We understand that
training hours will vary depending on the size of the agency's
workforce needing training.
Reporting: We estimate that extracting the information for AFCARS
reporting and transmitting the information to ACF would take on average
17 hours annually. The estimate of 17 hours is from the 2019 NPRM. We
did not change this estimate because we did not make substantive
changes to this final rule and we did not receive any information from
commenters to determine that a change in these estimates is warranted.
----------------------------------------------------------------------------------------------------------------
Number of Average burden Total annual
Collection--AFCARS Number of responses per hours per burden hours
respondents respondent response for NPRM
----------------------------------------------------------------------------------------------------------------
Recordkeeping................................... 69 2 8,538 1,178,304
[[Page 28423]]
Reporting....................................... 69 2 17 2,346
---------------------------------------------------------------
Total....................................... .............. .............. .............. 1,180,650
----------------------------------------------------------------------------------------------------------------
Title IV-E agencies must comply with the current AFCARS
requirements in 45 CFR 1355.40 and the appendix to part 1355 until
September 30, 2022 (45 CFR 1355.40 and section IV of the preamble to
this rule). On October 1, 2022 (FY 2023), title IV-E agencies must
comply with Sec. Sec. 1355.41 through 1355.47. The 2016 final rule was
scheduled to become effective on October 1, 2020 (FY 2021). Because
this final rule replaces the 2016 final rule, the year in which title
IV-E agencies will experience savings from the 2016 final rule is FY
2023. We used fiscal years in this estimate because AFCARS data
reporting periods are categorized by fiscal years. The savings is
generated by the reductions finalized in this rule, which reduces the
data that title IV-E agencies must report from the requirements
established in the 2016 final rule. As discussed above, we estimated
approximately a 33 percent reduction in the total items that title IV-E
agencies must report in this final rule relative to the 2016 final
rule; the numbers in the estimate for this final rule takes this into
account. These charts represent the burden hour and cost savings we
estimate that this final rule will have over the 2016 final rule's
requirements. This final rule will save approximately 588,094 burden
hours. After multiplying by the average wage rate of affected
individuals, this amounts to $42,930,862 in savings each year relative
to the 2016 final rule, in the year this final rule will become
effective, FY 2023.
Savings of 2020 Final Rule Relative to 2016 Final Rule
----------------------------------------------------------------------------------------------------------------
Total annual Total annual
burden hours burden hours Difference
Burden hour savings of this final rule for 2016 final for this final (hours)
rule rule
----------------------------------------------------------------------------------------------------------------
FY 2023...................................................... 1,768,744 1,180,650 588,094
----------------------------------------------------------------------------------------------------------------
In the above estimates, ACF acknowledges: (1) ACF has used average
figures for title IV-E agencies of very different sizes and some of
which may have larger populations of children served than other
agencies, and (2) these are rough estimates based on the 2019 NPRM
comments which ranged in the level of detail provided regarding burden
hours, costs, and work needing to be completed.
We have submitted a copy of this final rule to OMB for its review
of the rule's information collection and recordkeeping requirements.
The requirements are not effective until they have been approved by
OMB.
VII. Tribal Consultation Statement
ACF is committed to consulting with Indian tribes and tribal
leadership to the extent practicable and permitted by law, prior to
promulgating any regulation that has tribal implications and within the
requirements of E.O. 13175 Consultation and Coordination with Indian
Tribal Governments. As we developed this final rule, ACF engaged in
consultation with tribes and their leadership as described in further
detail below.
Description of Consultation
Prior to issuing the 2019 NPRM, we engaged in tribal consultation
during the comment period of the ANPRM on May 15 and 16, 2018. During
the 2019 NPRM comment period, we engaged in tribal consultation on June
3, 4, and 6, 2019.
Consultation during the 2018 ANPRM comment period. Prior to the May
2018 consultation, we ensured that adequate information and notice was
provided to tribes about the 2018 ANPRM and AFCARS and was publicly
available by posting this information on the CB website, emailing it to
CB's tribal lists, and issuing an Information Memorandum announcing
publication of the 2018 ANPRM on March 16, 2018 (ACYF-CB-IM-18-01).
Consultation during the 2019 NPRM comment period. Prior to the June
2019 consultation, we ensured that adequate information about the 2019
NPRM and AFCARS was provided to tribes and was publicly available.
Specifically, in April and May 2019, we emailed notices of the dates
and times of tribal consultations to CB's tribal email lists, mailed
the notices to tribal leaders and representatives, emailed notification
of the publication of the 2019 NPRM to CB's tribal email lists, and
issued an Information Memorandum announcing publication of the 2019
NPRM (ACYF-CB-IM-19-02). In preparation for the June 2019
consultations, CB officials held a webinar in May 2019 to provide the
background and history of regulation development for AFCARS, the
purpose of the 2019 NPRM including the Executive Order precipitating
another look at AFCARS, and an overview of the 2019 NPRM. CB held in-
person consultation on June 3, 2019 in New Mexico and tribal
consultation via conference calls on June 4 and 6, 2019.
Summary of Concerns and Response
During the 2018 consultation, tribal leaders, officials, and
representatives identified the ICWA-related information they felt was
important to retain in AFCARS because it was essential in determining
whether ICWA applied to a child or it provided the basic following
information on ICWA's requirements: Information on the tribal
membership of children in foster care and their foster care/adoptive
placements, whether ICWA applies to the child, and notification of
proceedings. During the consultation sessions in June 2019, tribal
leaders, officials, and representatives expressed a desire to retain
all of the ICWA-related data elements from the 2016 final rule,
including detailed information on ICWA's requirements that are tied to
DOI's regulations, ICWA statute, and court actions and expressed
opposition to a modification or reduction of any data elements. They
stated that ICWA's importance outweighs the state's burden to report
the information to AFCARS
[[Page 28424]]
and the information would inform compliance with ICWA.
As we explained earlier, we are retaining only the ICWA-related
data elements identified in the 2019 NPRM:
Inquiries made whether the child is an Indian child under
ICWA,
whether ICWA applies for the child and the date that the
state title IV-E agency was notified by the Indian tribe or state or
tribal court that ICWA applies,
notification to the Indian tribe, and
tribal membership of child, mother, father, foster
parents, adoptive parents, and legal guardians.
We are committed to obtaining more information on Indian children
who are in out-of-home care through appropriate and alternative methods
that allow for a fuller understanding of ICWA's role in child welfare
cases that AFCARS cannot provide. For example, as we noted in the 2019
NPRM (84 FR 16578), the next Court Improvement Program (CIP) program
instruction will emphasize collecting and tracking ICWA-related data
and will be coupled with technical assistance through the CB's
technical assistance provider for CIP grantees and the courts to help
address this historic and ongoing information gap.
However, as we described in the 2019 NPRM, there are significant
barriers in obtaining timely and relevant data in a format that would
be useful for the purpose of determining ICWA compliance. Further, HHS
is not the cognizant authority over implementing, overseeing, or
assessing compliance with ICWA; that agency is DOI.
Agency Position on Need for Regulation
In section V of this final rule, we responded to comments on the
ICWA-related data elements and explained our rationale for not making
changes in this final rule. We also provided the parameters of our
authority to require title IV-E agencies to report AFCARS data and
clarified that the data is not appropriate for AFCARS reporting because
the purpose relates to compliance with a law that is not under HHS's
purview or authority. As we developed this final rule, our aim was to
reduce burden on title IV-E agencies and clarify any misrepresentations
of our statutory obligations under section 479 of the Act. We retain
the data elements as proposed so that we can understand, on a national
level, key information about Native American children in foster care
under ACF's statutory authority, for example whether the connections to
their communities are preserved. This authority in section 479(c)(3) of
the Act does not permit ACF to require states to report specific
details on ICWA's requirements in AFCARS to be used for ICWA
compliance.
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: May 1, 2020.
Lynn A. Johnson,
Assistant Secretary for Children and Families.
Approved: May 4, 2020.
Alex M. Azar II,
Secretary.
For the reasons set forth in the preamble, ACF amends 45 CFR part
1355 as follows:
PART 1355--GENERAL
0
1. The authority citation for part 1355 continues to read as follows:
Authority: 42 U.S.C. 620 et seq., 42 U.S.C. 670 et seq.; 42
U.S.C. 1302.
0
2. Revise Sec. 1355.40(a) to read as follows:
Sec. 1355.40 Foster care and adoption data collection.
(a) Scope. State and tribal title IV-E agencies must follow the
requirements of this section and appendices A through E of this part
until September 30, 2022. As of October 1, 2022, state and tribal title
IV-E agencies must comply with Sec. Sec. 1355.41 through 1355.47.
* * * * *
Sec. 1355.41 [Amended]
0
3. Remove Sec. 1355.41(c).
0
4. Revise Sec. 1355.43(b)(3) to read as follows:
Sec. 1355.43 Data reporting requirements.
* * * * *
(b) * * *
(3) For a child who had an out-of-home care episode(s) as defined
in Sec. 1355.42(a) prior to October 1, 2022, the title IV-E agency
must report only the information for the data described in Sec.
1355.44(d)(1) and (g)(1) and (3) for the out-of-home care episode(s)
that occurred prior to October 1, 2022.
* * * * *
0
5. Revise Sec. 1355.44 to read as follows:
Sec. 1355.44 Out-of-home care data file elements.
(a) General information--(1) Title IV-E agency. Indicate the title
IV-E agency responsible for submitting the Adoption and Foster Care
Analysis and Reporting System (AFCARS) data in a format according to
ACF's specifications.
(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 local county, jurisdiction, or
equivalent unit that has primary responsibility for the child in a
format according to ACF's specifications.
(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) 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.''
(2) Child's sex. Indicate whether the child is ``male'' or
``female.''
(3) Reason to know a child is an ``Indian Child'' as defined in the
Indian Child Welfare Act (ICWA). For state title IV-E agencies only:
Indicate whether the state title IV-E agency made inquiries whether the
child is an Indian child as defined in ICWA. Indicate ``yes'' or
``no.''
(4) Child's tribal membership. For state title IV-E agencies only:
(i) Indicate whether the child is a member of or eligible for
membership in a federally recognized Indian tribe. Indicate ``yes,''
``no,'' or ``unknown''.
(ii) If the state title IV-E agency indicated ``yes'' in paragraph
(b)(4)(i) of this section, indicate all federally recognized Indian
tribe(s) that may potentially be the Indian child's tribe(s). The title
IV-E agency must submit the information in a format according to ACF's
specifications.
(5) Application of ICWA. For state title IV-E agencies only:
(i) Indicate whether ICWA applies for the child. Indicate ``yes,''
``no,'' or ``unknown''.
(ii) If the state title IV-E agency indicated ``yes'' in paragraph
(b)(5)(i) of
[[Page 28425]]
this section, indicate the date that the state title IV-E agency was
notified by the Indian tribe or state or tribal court that ICWA
applies.
(6) Notification. For state title IV-E agencies only: If the state
title IV-E agency indicated ``yes'' to paragraph (b)(5)(i) of this
section, the state title IV-E agency must indicate whether the Indian
child's tribe(s) was sent legal notice in accordance with 25 U.S.C.
1912(a). Indicate ``yes'' or ``no.''
(7) 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 paragraphs (b)(7)(i) through (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. This category does not apply when the child has been abandoned
or the parents failed to return and the identity of the child,
parent(s), or legal guardian(s) is known.
(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.
(8) 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.''
(9) Health assessment. Indicate whether the child had a health
assessment during the current out-of-home care episode. This assessment
could include an initial health screening or any follow-up health
screening pursuant to section 422(b)(15)(A) of the Act. Indicate
``yes'' or ``no.''
(10) 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, 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 paragraph (b)(10)(i) through (xi) of this
section, indicate ``existing condition,'' ``previous condition'' or
``does not apply,'' as applicable. ``Previous condition'' means a
previous diagnoses that no longer exists as a current condition.
Indicate ``no exam or assessment conducted'' if a qualified
professional has not conducted a medical exam or assessment of the
child and leave paragraphs (b)(10)(i) through (xi) of this section
blank. 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 and leave paragraphs (b)(10)(i) through (xi)
of this section blank. 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 not yet
received the results of such an exam or assessment and leave paragraphs
(b)(10)(i) through (xi) of this section blank.
(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) Autism spectrum disorder. The child has, or had previously, a
neurodevelopment disorder, characterized by social impairments,
communication difficulties, and restricted, repetitive, and stereotyped
patterns of behavior. This includes the range of disorders from
autistic disorder, sometimes called autism or classical autism spectrum
disorder, to milder forms known as Asperger syndrome and pervasive
developmental disorder not otherwise specified.
(iii) Visual impairment and blindness. The child has, or had
previously, a visual impairment that may adversely affect the day-to-
day functioning or educational performance, such as blindness,
amblyopia, or color blindness.
(iv) Hearing impairment and deafness. The child has, or had
previously, an impairment in hearing, whether permanent or fluctuating,
that adversely affects the child's day-to-day functioning and
educational performance.
(v) Orthopedic impairment or other physical condition. The child
has, or had previously, a physical deformity, such as amputations and
fractures or burns that cause contractures, or an orthopedic
impairment, including impairments caused by a congenital anomalies or
disease, such as cerebral palsy, spina bifida, multiple sclerosis, or
muscular dystrophy.
(vi) Mental/emotional disorders. The child has, or had previously,
one or more mood or personality disorders or conditions over a long
period of time and to a marked degree, such as conduct disorder,
oppositional defiant disorder, emotional disturbance, anxiety disorder,
obsessive-compulsive disorder, or eating disorder.
(vii) Attention deficit hyperactivity disorder. The child has, or
had previously, a diagnosis of the neurobehavioral disorders of
attention deficit hyperactivity disorder (ADHD) or attention deficit
disorder (ADD).
(viii) Serious mental disorders. The child has, or had previously,
a diagnosis of a serious mental disorder or illness, such as bipolar
disorder, depression, psychotic disorders, or schizophrenia.
(ix) Developmental delay. The child has been assessed by
appropriate diagnostic instruments and procedures and is experiencing
delays in one or
[[Page 28426]]
more of the following areas: Physical development or motor skills,
cognitive development, communication, language, or speech development,
social or emotional development, or adaptive development.
(x) 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, 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 in other data elements.
(xi) Other diagnosed condition. The child has, or had previously, a
diagnosed condition or other health impairment other than those
described in paragraphs (b)(10)(i) through (x) of this section, which
requires special medical care, such as asthma, diabetes, chronic
illnesses, a diagnosis as HIV positive or AIDS, epilepsy, traumatic
brain injury, other neurological disorders, speech/language impairment,
learning disability, or substance use issues.
(11) School enrollment. Indicate whether the child is a full-time
student at, and enrolled in (or in the process of enrolling in),
``elementary'' or ``secondary'' education, or is a full or part-time
student at and enrolled in a ``post-secondary education or training''
or ``college,'' as of the earlier of the last day of the report period
or the day of exit for a child exiting out-of-home care prior to the
end of the report period. A child is still considered enrolled in
school if the child would otherwise be enrolled in a school that is
currently out of session. An ``elementary or secondary school student''
is defined in section 471(a)(30) of the Act as a child that is enrolled
(or in the process of enrolling) in an institution which provides
elementary or secondary education, as determined under the law of the
state or other jurisdiction in which the institution is located,
instructed in elementary or secondary education at home in accordance
with a home school law of the state or other jurisdiction in which the
home is located, in an independent study elementary or secondary
education program in accordance with the law of the state or other
jurisdiction in which the program is located, which is administered by
the local school or school district, or incapable of attending school
on a full-time basis due to the medical condition of the child, which
incapability is supported by a regularly updated information in the
case plan of the child. Enrollment in ``post-secondary education or
training'' refers to full or part-time enrollment in any post-secondary
education or training, other than an education pursued at a college or
university. Enrollment in ``college'' refers to a child that is
enrolled full or part-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 is in
the process of enrolling in any school setting full-time, indicate
``not enrolled.''
(12) Educational level. Indicate the highest educational level from
kindergarten to college or post-secondary education/training completed
by the child as of the last day of the report period. If child has not
reached compulsory school-age, indicate ``not school-age.'' Indicate
``kindergarten'' if the child is currently in or about to begin 1st
grade. Indicate ``1st grade'' if the child is currently in or about to
begin 2nd grade. Indicate ``2nd grade'' if the child is currently in or
about to begin 3rd grade. Indicate ``3rd grade'' if the child is
currently in or about to begin 4th grade. Indicate ``4th grade'' if the
child is currently in or about to begin 5th grade. Indicate ``5th
grade'' if the child is currently in or about to begin 6th grade.
Indicate ``6th grade'' if the child is currently in or about to begin
7th grade. Indicate ``7th grade'' if the child is currently in or about
to begin 8th grade. Indicate ``8th grade'' if the child is currently in
or about to begin 9th grade. Indicate ``9th grade'' if the child is
currently in or about to begin 10th grade. Indicate ``10th grade'' if
the child is currently in or about to begin 11th grade. Indicate ``11th
grade'' if the child is currently in or about to begin 12th grade.
Indicate ``12th grade'' if the child has graduated from high school.
Indicate ``GED'' if the child has completed a general equivalency
degree or other high school equivalent. 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.
(13) Pregnant or parenting. (i) Indicate whether the child is
pregnant as of the end of the report period. Indicate ``yes'' or
``no.''
(ii) Indicate whether the child has ever fathered or bore a child.
Indicate ``yes'' or ``no.''
(iii) Indicate whether the child and his/her child(ren) are placed
together at any point during the report period, if the response in
paragraph (b)(13)(ii) of this section is ``yes.'' Indicate ``yes,''
``no,'' or ``not applicable'' if the response in paragraph (b)(13)(ii)
of this section is ``no.''
(14) 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, 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 ``yes'' if the child has either an IEP or an IFSP or
``no'' if the child has neither.
(15) Prior adoption. Indicate whether the child experienced a prior
legal adoption before the current out-of-home care episode. Include any
public, private or independent adoption in the United States or
adoption in another country and tribal customary adoptions. Indicate
``yes,'' ``no'' 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, the title IV-E agency must complete paragraphs (b)(15)(i) and
(ii) of this section; otherwise the title IV-E agency must leave those
paragraphs blank.
(i) Prior adoption date. Indicate the month and year that the most
recent prior adoption was finalized. 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
[[Page 28427]]
the home country or the re-adoption in the United States) that is
considered final in accordance with applicable laws.
(ii) Prior adoption intercountry. Indicate whether the child's most
recent prior adoption was an intercountry adoption, meaning that the
child's prior adoption occurred in another country or the child was
brought into the United States for the purposes of finalizing the prior
adoption. Indicate ``yes'' or ``no.''
(16) Prior guardianship general--(i) Prior guardianship. Indicate
whether the child experienced a prior legal guardianship 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,'' ``no,'' 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, the title IV-E agency must
complete paragraph (b)(16)(ii) of this section; otherwise the title IV-
E agency must leave it blank.
(ii) Prior guardianship date. Indicate the month and year that the
most recent prior guardianship became legalized.
(17) Child financial and medical assistance. Indicate whether the
child received financial and medical assistance 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)(17)(i) through (viii) of this
section ``applies'' or ``does not apply.'' Indicate ``no support/
assistance received'' if none of these apply.
(i) State/Tribal adoption assistance. The child is receiving an
adoption subsidy or other adoption assistance paid for solely by the
state or Indian tribe.
(ii) State/Tribal foster care. The child is receiving a foster care
payment that is solely funded by the state or Indian tribe.
(iii) Title IV-E adoption subsidy. The child is determined eligible
for a title IV-E adoption assistance subsidy.
(iv) Title IV-E guardianship assistance. The child is determined
eligible for a title IV-E guardianship assistance subsidy.
(v) 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.
(vi) Title IV-B. The child's living arrangement is supported by
funds under title IV-B of the Act.
(vii) Chafee Program. The child is living independently and is
supported by funds under the John H. Chafee Foster Care Program for
Successful Transition to Adulthood.
(viii) Other. The child is receiving financial support from another
source not previously listed in paragraphs (b)(17)(i) through (vii) of
this section.
(18) 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 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.
(19) Total number of siblings. Indicate the total number of
siblings of the child. 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 subject of this record in the total number. If the child
does not have any siblings, the title IV-E agency must indicate ``0.''
If the title IV-E agency indicates ``0,'' the title IV-E agency must
leave paragraphs (b)(20) and (21) of this section blank.
(20) Siblings in foster care. Indicate the number of siblings of
the child who are in foster care, as defined in Sec. 1355.20. 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 subject
of this record in the total number. If the child does not have any
siblings, the title IV-E agency must leave this paragraph (b)(20)
blank. If the child has siblings, but they are not in foster care as
defined in Sec. 1355.20, the title IV-E agency must indicate ``0.'' If
the title IV-E agency reported ``0,'' leave paragraph (b)(21) of this
section blank.
(21) Siblings in living arrangement. Indicate the number of
siblings of the child who are in the same living arrangement as the
child, on the last day of 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 subject of this record in
the total number. If the child does not have any siblings, the title
IV-E agency must leave this paragraph (b)(21) blank. If the child has
siblings, but they are not in the same living arrangement as the child,
the title IV-E agency must indicate ``0.''
(c) Parent or legal guardian information--(1) 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 of 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 (c)(1). If there is only one parent or legal guardian of 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.''
(2) 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 of the child. We are
not seeking information on putative parent(s) in this paragraph (c)(2).
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) Tribal membership mother. For state title IV-E agencies only:
Indicate whether the biological or adoptive mother is a member of an
Indian tribe. Indicate ``yes,'' ``no,'' or ``unknown.''
(4) Tribal membership father. For state title IV-E agencies only:
Indicate whether the biological or adoptive father is a member of an
Indian tribe. Indicate ``yes,'' ``no,'' or ``unknown.''
(5) Termination/modification of parental rights. Indicate whether
the termination/modification of parental rights for each parent
(biological, legal and/or putative) was voluntary or involuntary.
``Voluntary'' means the parent voluntarily relinquished their parental
rights to the title IV-E agency,
[[Page 28428]]
with or without court involvement. Indicate ``voluntary'' or
``involuntary.'' Indicate ``not applicable'' if there was no
termination/modification and leave paragraphs (c)(5)(i) and (ii) of
this section blank.
(i) Termination/modification of parental rights petition. Indicate
the month, day and year that each petition to terminate/modify the
parental rights of a biological, legal and/or putative parent was filed
in court, if applicable. Indicate ``deceased'' if the parent is
deceased. If a petition has not been filed, leave this paragraph
(c)(5)(i) blank.
(ii) Termination/modification of parental rights. Enter the month,
day and year that the parental rights were voluntarily or involuntarily
terminated/modified, for each biological, legal and/or putative parent,
if applicable. If the parent is deceased, enter the date of death.
(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. 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. 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. For a child who is removed and is placed initially in a
non-foster care setting, indicate the date that the child enters foster
care as the date of removal.
(2) Removal transaction date. A non-modifiable, computer-generated
date which accurately indicates the month, day and year each response
to paragraph (d)(1) of this section was entered into the information
system.
(3) Environment at removal. Indicate the type of environment
(household or facility) the child was living in at the time of each
removal for each removal reported in paragraph (d)(1) of this section.
Indicate ``parent household'' if the child was living in a household
that included one or both of the child's parents, whether biological,
adoptive or legal. Indicate ``relative household'' if the child was
living with a relative(s), the relative(s) is not the child's legal
guardian and neither of the child's parents were living in the
household. Indicate ``legal guardian household'' if the child was
living with a legal guardian(s), the guardian(s) is not the child's
relative and neither of the child's parents were living in the
household. Indicate ``relative legal guardian household'' if the child
was living with a relative(s) who is also the child's legal guardian.
Indicate ``justice facility'' if the child was in a detention center,
jail or other similar setting where the child was detained. Indicate
``medical/mental 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 or homeless.
(4) 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 described in paragraphs (d)(4)(i) through
(xxxiv) of this section ``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 violent act(s),
including any forceful detention of an individual that results in,
threatens to result in, or attempts to cause physical injury or mental
harm. This is committed by a person against another individual residing
in the child's home and with whom such person is in an intimate
relationship, dating relationship, is or was related by marriage, or
has a child in common. This circumstance includes domestic violence
between the child and his or her partner and applies to a child or
youth of any age including those younger and older than the age of
majority. 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 does not include a child left at a ``safe haven'' as
defined by the title IV-E agency. 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 use. 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 use. 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 and/
or child's family has inadequate resources to access the necessary
mental health services outside of the child's out-of-home care
placement.
[[Page 28429]]
(xix) Inadequate access to medical services. The child and/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.
(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. This includes a child left at
a ``safe haven'' as defined by the title IV-E agency.
(xxvii) Child requested placement. The child, age 18 or older, has
requested placement into foster care.
(xxviii) Sex trafficking. The child is a victim of sex trafficking
at the time of removal.
(xxix) Parental immigration detainment or deportation. The parent
is or was detained or deported by immigration officials.
(xxx) Family conflict related to child's sexual orientation, gender
identity, or gender expression. There is family conflict related to the
child's expressed or perceived sexual orientation, gender identity, or
gender expression. This includes any conflict related to the ways in
which a child manifests masculinity or femininity.
(xxxi) Educational neglect. Alleged or substantiated failure of a
parent or caregiver to enroll a child of mandatory school age in school
or provide appropriate home schooling or needed special educational
training, thus allowing the child or youth to engage in chronic
truancy.
(xxxii) Public agency title IV-E agreement. The child is in 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 and on whose behalf title IV-E foster care maintenance
payments are made.
(xxxiii) Tribal title IV-E agreement. The child is in the placement
and care responsibility of an Indian tribe, tribal organization or
consortium with which the title IV-E agency has an agreement and on
whose behalf title IV-E foster care maintenance payments are made.
(xxxiv) Homelessness. The child or his or her family has no regular
or adequate place to live. This includes living in a car, or on the
street, or staying in a homeless or other temporary shelter.
(5) Victim of sex trafficking prior to entering foster care.
Indicate whether the child had been a victim of sex trafficking before
the current out-of-home care episode. Indicate ``yes'' if the child was
a victim or ``no'' if the child had not been a victim.
(i) Report to law enforcement. If the title IV-E agency indicated
``yes'' in paragraph (d)(5) of this section, indicate whether the title
IV-E agency made a report to law enforcement for entry into the
National Crime Information Center (NCIC) database. Indicate ``yes'' if
the agency made a report to law enforcement and indicate ``no'' if the
agency did not make a report.
(ii) Date. If the title IV-E agency indicated ``yes'' in paragraph
(d)(5)(i) of this section, indicate the date that the agency made the
report to law enforcement.
(6) Victim of sex trafficking while in foster care. Indicate
``yes'' if the child was a victim of sex trafficking while in out-of-
home care during the current out-of-home care episode. Indicate ``no''
if the child was not a victim of sex trafficking during the current
out-of-home care episode.
(i) Report to law enforcement. If the title IV-E agency indicated
``yes'' in paragraph (d)(6) of this section, indicate whether the
agency made a report to law enforcement for entry into the NCIC
database. Indicate ``yes'' if the title IV-E agency made a report(s) to
law enforcement and indicate ``no'' if the title IV-E agency did not
make a report.
(ii) Date. If the title IV-E agency indicated ``yes'' in paragraph
(d)(6)(i) of this section, indicate the date(s) the agency made the
report(s) to law enforcement.
(e) Living arrangement and provider information--(1) Date of living
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. In the case of a child who has run away,
whose whereabouts are unknown, or 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 Voluntary
Placement Agreement or court order providing the title IV-E agency with
placement and care responsibility for the child, rather than the date
when 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 paragraph (e)(3) of this section. If
the title IV-E agency indicates ``no,'' the title IV-E agency must
complete 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 paragraph (e)(2) of
this section, indicate whether each foster family home type listed in
paragraphs (e)(3)(i) through (vi) of this section applies or does not
apply; otherwise the title IV-E agency must leave paragraph (e)(3)
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.
(iv) Relative foster family home. The foster parent(s) is related
to the child by biological, legal or marital connection
[[Page 28430]]
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) and there is
not a legal, biological, or marital connection between the child and
foster parent.
(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 paragraph (e)(2) of this section, indicate the type of
setting; otherwise the title IV-E agency must leave this paragraph
(e)(4) blank. Indicate ``group home-family operated'' if the child is
in a group home that provides 24-hour care in a private family home
where the family members are the primary caregivers. Indicate ``group
home-staff operated'' if the child is in a group home that provides 24-
hour care for children where the care-giving is provided by shift or
rotating staff. Indicate ``group home-shelter care'' if the child is in
a group home that provides 24-hour care which is short-term or
transitional in nature, and is designated by the state or tribal
licensing/approval authority to provide shelter care. Indicate
``residential treatment center'' if the child is in a facility that has
the purpose of treating children with mental health or behavioral
conditions or if the child is placed with a parent who is in a licensed
residential family-based treatment facility for substance abuse
pursuant to section 472(j) of the Act. This does not include a
qualified residential treatment program defined in section 472(k)(4) of
the Act. Indicate ``qualified residential treatment program'' if the
child is in a placement that meets all of the requirements of section
472(k)(2)(A) and (4) of the Act. 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 includes a setting specializing
in providing prenatal, post-partum, or parenting supports for youth
pursuant to section 472(k)(2)(B) of the Act, and a setting providing
high-quality residential care and supportive services to children and
youth who have been found to be, or are at risk of becoming, sex
trafficking victims pursuant to section 472(k)(2)(D) of the Act. 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 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) Location of living arrangement. Indicate whether each of the
child's living arrangements reported in paragraph (e)(1) of this
section is located within or outside of the reporting state or tribal
service area or is outside of the country. Indicate ``out-of-state or
out-of-tribal service area'' if the child's living arrangement is
located outside of the reporting state or tribal service area but
inside the United States. Indicate ``in-state or in-tribal service
area'' if the child's living arrangement is located within the
reporting state or tribal service area. Indicate ``out-of-country'' if
the child's living arrangement is outside of the United States.
Indicate ``runaway or whereabouts unknown'' if the child has run away
from his or her living arrangement or the child's whereabouts are
unknown. If the title IV-E agency indicates either ``out-of-state or
out-of-tribal service area'' or ``out-of-country'' for the child's
living arrangement, the title IV-E agency must complete paragraph
(e)(6) of this section; otherwise the title IV-E agency must leave
paragraph (e)(6) of this section blank.
(6) Jurisdiction or country where child is living. Indicate the
state, tribal service area, Indian reservation, or country where the
reporting title IV-E agency placed the child for each living
arrangement, if the title IV-E agency indicated either ``out-of-state''
or ``out-of-tribal service area'' or ``out-of-country'' in paragraph
(e)(5) of this section; otherwise the title IV-E agency must leave this
paragraph (e)(6) blank. The title IV-E agency must report the
information in a format according to ACF's specifications.
(7) 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 adult'' if the foster parent 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 paragraphs for the second foster parent in
paragraphs (e)(14) through (18) of this section; otherwise the title
IV-E agency must leave those paragraphs blank.
(8) Child's relationship 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
``relative(s)'' if the foster parent(s) is the child's relative (by
biological, legal or marital connection). 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) and there is not a legal,
[[Page 28431]]
biological, or marital connection between the child and foster parent.
(9) Year of birth for first foster parent. Indicate the year of
birth for 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.
(10) First foster parent tribal membership. For state title IV-E
agencies only: Indicate whether the first foster parent is a member of
an Indian tribe. Indicate ``yes,'' ``no,'' or ``unknown.''
(11) 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 paragraphs (e)(11)(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 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.
(12) 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.''
(13) Sex of first foster parent. Indicate whether the first foster
parent is ``female'' or ``male.''
(14) 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 paragraph (e)(14) blank if there is no second foster parent
according to paragraph (e)(7) of this section.
(15) Second foster parent tribal membership. For state title IV-E
agencies only: Indicate whether the second foster parent is a member of
an Indian tribe. Indicate ``yes,'' ``no,'' or ``unknown.''
(16) 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 paragraphs
(e)(16)(i) through (vii) of this section applies with a ``yes'' or
``no.'' The title IV-E agency must leave this paragraph (e)(16) blank
if there is no second foster parent according to paragraph (e)(7) 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.
(17) 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 paragraph (e)(17)
blank if there is no second foster parent according to paragraph (e)(7)
of this section.
(18) Sex of second foster parent. Indicate whether the second
foster parent is ``female'' or ``male.''
(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
[[Page 28432]]
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) Date of periodic review(s). Enter the month, day and year of
each periodic review, either by a court or by administrative review (as
defined in section 475(6) of the Act) that meets the requirements of
section 475(5)(B) of the Act.
(4) Date of permanency hearing(s). 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.
(5) Caseworker visit dates. Enter each date in which a caseworker
had an in-person, face-to-face visit with the child consistent with
section 422(b)(17) of the Act. Indicate the month, day and year of each
visit.
(6) Caseworker visit locations. Indicate the location of each in-
person, face-to-face visit between the caseworker and the child.
Indicate ``child's residence'' if the visit occurred at the location
where the child is currently residing, such as the current foster care
provider's home, child care institution or facility. Indicate ``other
location'' if the visit occurred at any location other than where the
child currently resides, such as the child's school, a court, a child
welfare office or in the larger community.
(g) General exit information. Provide exit information for each
out-of-home care episode. An exit occurs when the title IV-E agency's
placement and care responsibility of the child ends.
(1) Date of exit. Indicate the month, day and year for each of the
child's exits from out-of-home care. An exit occurs when the title IV-E
agency's placement and care responsibility of the child ends. If the
child has not exited out-of-home care the title IV-E agency must leave
this paragraph (g)(1) blank. If this paragraph (g)(1) is applicable,
paragraphs (g)(2) and (3) of this section must have a response.
(2) Exit transaction date. A non-modifiable, computer-generated
date which accurately indicates the month, day and year each response
to paragraph (g)(1) of this section was entered into the information
system.
(3) Exit reason. Indicate the reason for each of the child's exits
from out-of-home care. Indicate ``not applicable'' if the child has not
exited out-of-home care. Indicate ``reunify with parent(s)/legal
guardian(s)'' if the child was returned to his or her parent(s) or
legal guardian(s) and the title IV-E agency no longer has placement and
care responsibility. Indicate ``live with other relatives'' if the
child exited to live with a relative (related by a biological, legal or
marital connection) other than his or her parent(s) or legal
guardian(s). Indicate ``adoption'' if the child was legally adopted.
Indicate ``emancipation'' if the child exited care due to age. Indicate
``guardianship'' if the child exited due to a legal guardianship of the
child. Indicate ``runaway or whereabouts unknown'' if the child ran
away or the child's whereabouts were unknown at the time that the title
IV-E agency's placement and care responsibility ends. Indicate ``death
of child'' if the child died while in out-of-home care. Indicate
``transfer to another agency'' if placement and care responsibility for
the child was transferred to another agency, either within or outside
of the reporting state or tribal service area.
(4) Transfer to another agency. If the title IV-E agency indicated
the child was transferred to another agency 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 this paragraph (h) only if the title IV-E agency
indicated the child exited to adoption or legal guardianship in
paragraph (g)(3) of this section. Otherwise the title IV-E agency must
leave paragraphs (h)(1) through (15) of this section 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. Indicate ``married but individually adopting or
obtaining legal guardianship'' if the adoptive parents or legal
guardians are considered united in matrimony according to applicable
laws, but are individually adopting or obtaining legal guardianship.
Indicate ``separated'' if the foster parent is legally separated or is
living apart from his or her spouse. 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. Use this
response option even if only one person of the unmarried couple is the
adoptive parent or legal guardian of the child. Indicate ``single
adult'' if the adoptive parent or legal guardian 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 paragraphs for the second adoptive parent or second
legal guardian in paragraphs (h)(8) through (12) of this section;
otherwise the title IV-E agency must leave those paragraphs blank.
(2) Child's relationship to the adoptive parent(s) or guardian(s).
Indicate the type of relationship between the child and his or her
adoptive parent(s) or legal guardian(s). Indicate whether each
relationship listed in paragraphs (h)(2)(i) through (iv) of this
section ``applies'' or ``does not apply.''
(i) Relative(s). The adoptive parent(s) or legal guardian(s) is the
child's relative (by biological, legal or marital connection).
(ii) 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) and there is not a legal, biological, or
marital connection between the child and foster parent.
(iii) Non-relative(s). The adoptive parent(s) or legal guardian(s)
is not related to the child by biological, legal or marital connection.
(iv) 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) First adoptive parent or guardian tribal membership. For state
title IV-E agencies only: Indicate whether the first adoptive parent or
guardian is a member of an Indian tribe. Indicate ``yes,'' ``no'' or
``unknown.''
(5) 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 paragraphs (h)(5)(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),
[[Page 28433]]
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.
(6) 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.''
(7) Sex of first adoptive parent or guardian. Indicate whether the
first adoptive parent is ``female'' or ``male.''
(8) 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 paragraph (h)(8)
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) Second adoptive parent, guardian, or other member of the couple
tribal membership. For state title IV-E agencies only: Indicate whether
the second adoptive parent or guardian is a member of an Indian tribe.
Indicate ``yes,'' ``no'' or ``unknown.''
(10) 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 paragraphs
(h)(10)(i) through (vii) of this section applies with a ``yes'' or
``no.'' The title IV-E agency must leave this paragraph (h)(10) 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.
(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.
(11) 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
paragraph (h)(11) blank if there is no second adoptive parent, legal
guardian, or other member of the couple according to paragraph (h)(1)
of this section.
(12) Sex of second adoptive parent, guardian, or other member of
the couple. Indicate whether the second adoptive parent, guardian, or
other member of the couple is ``female'' or ``male.''
(13) 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. 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. 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.
(14) Assistance agreement type. Indicate the type of assistance
agreement between the title IV-E agency and the adoptive parent(s) or
legal guardian(s): ``Title IV-E adoption assistance agreement'';
``State/tribal adoption assistance agreement''; ``Adoption-Title IV-E
agreement non-recurring expenses only''; ``Adoption-Title IV-E
agreement Medicaid only''; ``Title IV-E guardianship assistance
agreement''; ``State/tribal guardianship assistance agreement''; or
``no agreement'' if there is no assistance agreement.
(15) Siblings in adoptive or guardianship home. Indicate the number
of siblings of the child who are in the same adoptive or guardianship
home as the child. 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 subject of this record in the total number. If the child
does not have any siblings, the title IV-E agency must indicate ``not
applicable.'' If the child has siblings, but they are not in the same
adoptive or guardianship home as the child, the title IV-E agency must
indicate ``0.''
0
6. Amend Sec. 1355.45 by revising paragraphs (b)(2) and (b)(3)(vi) and
adding paragraph (f) to read as follows:
Sec. 1355.45 Adoption and guardianship assistance data file
elements.
* * * * *
(b) * * *
[[Page 28434]]
(2) Child's sex. Indicate ``male'' or ``female.''
(3) * * *
(vi) Race--Unknown. The child or parent or legal guardian does not
know the race, or at least one race of the child. This category does
not apply when the child has been abandoned or the parents failed to
return and the identity of the child, parent(s), or legal guardian(s)
is known.
* * * * *
(f) 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.
0
7. Amend Sec. 1355.46(c)(2) by revising the second sentence to read as
follows:
Sec. 1355.46 Compliance.
* * * * *
(c) * * *
(2) * * * In addition, each record subject to compliance standards
within the data file must have the data elements described in
Sec. Sec. 1355.44(a) and (b)(1) and (2) and 1355.45(a) and (b)(1) and
(2) be 100 percent free of missing data, invalid data, and internally
inconsistent data (see paragraphs (b)(1) through (3) of this section).
* * *
* * * * *
[FR Doc. 2020-09817 Filed 5-8-20; 4:15 pm]
BILLING CODE 4184-25-P
