WAIS Document Retrieval

[Code of Federal Regulations]
[Title 45, Volume 4]
[Revised as of October 1, 2003]
From the U.S. Government Printing Office via GPO Access
[CITE: 45CFR1355.57]

[Page 275-296]

TITLE 45--PUBLIC WELFARE

CHAPTER XIII--OFFICE OF HUMAN DEVELOPMENT SERVICES, DEPARTMENT OF HEALTH
AND HUMAN SERVICES

PART 1355--GENERAL--Table of Contents

Sec. 1355.57 Cost allocation.

(a) All expenditures of a State to plan, design, develop, install,
and operate the data collection and information retrieval system
described in Sec. 1355.53 of this part shall be treated as necessary for
the proper and efficient administration of the State plan under title
IV-E, without regard to whether the system may be used with respect to
foster or adoptive children other than those on behalf of whom foster
care maintenance payments or adoption assistance payments may be made
under the State plan.
(b) Cost allocation and distribution for the planning, design,
development, installation and operation must be in accordance with
Sec. 95.631 of this title and section 474(e) of the Act, if the SACWIS
includes functions, processing, information collection and management,
equipment or services that are not directly related to the
administration of the programs carried out under the State plan approved
under title IV-B or IV-E.

[58 FR 67946, Dec. 22, 1993]

Appendix A to Part 1355--Foster Care Data Elements

Section I--Foster Care Data Elements

Data elements preceded by ``**'' are the only data elements required
for children who

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have been in care less than 30 days. For children who entered care prior
to October 1, 1995, data elements preceded by either ``**'' and ``***''
are the only data elements required. This means that, for these two
categories of children, these are the only data elements to which the
missing data standard will be applied.
I. General Information
**A. State____________________________________________________________
**B. Report date---- (mo.) ---- (yr.)
**C. Local Agency (County or Equivalent Jurisdiction)_________________
**D. Record Number____________________________________________________
E. Date of Most Recent Periodic Review (If Applicable)---- (mo.) --
-- (day) ---- (yr.)
II. Child's Demographic Information
**A. Date of Birth ---- (mo.) ---- (day) ---- (yr.)
**B. Sex --------
Male: 1
Female: 2
C. Race/Ethnicity
1. Race
a. American Indian or Alaska Native
b. Asian
c. Black or African American
d. Native Hawaiian or Other Pacific Islander
e. White
f. Unable to Determine
2. Hispanic or Latino Ethnicity------
Yes: 1
No: 2
Unable to Determine: 3
D. Has this child been clinically diagnosed as having a
disability(ies)? --------
Yes: 1
No: 2
Not Yet Determined: 3
1. If yes, indicate each type of disability found with a ``1''
Mental Retardation ------
Visually or Hearing Impaired ------
Physically Disabled ------
Emotionally Disturbed (DSM III)
Other Medically Diagnosed Condition Requiring Special Care ------
E. 1. Has this child ever been adopted? --------
Yes: 1
No: 2
Unable to Determine: 3
2. If yes, how old was the child when the adoption was legalized? --
------
Less than 2 years old: 1
2 to 5 years old: 2
6 to 12 years old: 3
13 years old or older: 4
Unable to Determine: 5
III. Removal/Placement Setting Indicators
A. Removal Episodes
Date of First Removal From Home ---- (mo.) ---- (day) ---- (yr.)
Total Number of Removals From Home to Date --------
Date Child was Discharged From Last Foster Care Episode (If
Applicable) ---- (mo.) ---- (day) ---- (yr.)
**Date of Latest Removal From Home ---- (mo.) ---- (day) ---- (yr.)
** Transaction Date ---- (mo.) ---- (day) ---- (yr.)
B. Placement Settings
Date of Placement in Current Foster Care Setting ---- (mo.) ----
(day) ------ (yr.)
Number of Previous Placement Settings During This Removal Episode --
------
IV. Circumstances of Removal
A. Manner of Removal From Home for Current Placement Episode ------
--
Voluntary: 1
Court Ordered: 2
Not Yet Determined: 3
B. Actions or Conditions Associated With Child's Removal: (Indicate
all that apply with a ``1'')
Physical Abuse (Alleged/Reported)_____________________________________
Sexual Abuse (Alleged/Reported)_______________________________________
Neglect (Alleged/Reported)____________________________________________
Alcohol Abuse (Parent)________________________________________________
Drug Abuse (Parent)___________________________________________________
Alcohol Abuse (Child)_________________________________________________
Drug Abuse (Child)____________________________________________________
Child's Disability____________________________________________________
Child's Behavior Problem______________________________________________
Death of Parent(s)____________________________________________________
Incarceration of Parent(s)____________________________________________
Caretaker's Inability to Cope Due to Illness or Other Reasons_________
Abandonment___________________________________________________________
Relinquishment________________________________________________________
Inadequate Housing____________________________________________________
**V. Current Placement Setting__________________________________________
**A. Pre-Adoptive Home: 1
Foster Family Home (Relative): 2
Foster Family Home (Non-Relative): 3
Group Home: 4
Institution: 5
Supervised Independent Living: 6
Runaway: 7
Trial Home Visit: 8
**B. Is Current Placement Out-of-State?_______________________________
Yes (Out-of-State Placement): 1
No (In State Placement): 2
***VI. Most Recent Case Plan Goal_______________________________________
Reunify With Parent(s) or Principal Caretaker(s): 1
Live With Other Relative(s): 2
Adoption: 3
Long Term Foster Care: 4
Emancipation: 5
Guardianship: 6
Case Plan Goal Not Yet Established: 7
VII. Principal Caretaker(s) Information
A. Caretaker Family Structure_________________________________________
Married Couple: 1
Unmarried Couple: 2
Single Female: 3
Single Male: 4
Unable to Determine: 5
B. Year of Birth
1st Principal Caretaker_______________________________________________

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2nd Principal Caretaker (If Applicable)_______________________________
VIII. Parental Rights Termination (If Applicable)
A. Mother ---- (mo.) ---- (day) ---- (yr.)
B. Legal or Putative Father ---- (mo.) ---- (day) ---- (yr.)
IX. Foster Family Home--Parent(s) Data (To be answered only if Section
V., Part A. CURRENT PLACEMENT SETTING is 1, 2 or 3)
A. Foster Family Structure____________________________________________
Married Couple: 1
Unmarried Couple: 2
Single Female: 3
Single Male: 4
B. Year of Birth
1st Foster Caretaker__________________________________________________
2nd Foster Caretaker (If Applicable)__________________________________
C. Race/Ethnicity
1. Race of 1st Foster Caretaker
a. American Indian or Alaska Native
b. Asian
c. Black or African American
d. Native Hawaiian or Other Pacific Islander
e. White
f. Unable to Determine
2. Hispanic or Latino Ethnicity of 1st Foster Caretaker------
Yes: 1
No: 2
Unable to Determine: 3
3. Race of 2nd Foster Caretaker (If Applicable)
a. American Indian or Alaska Native
b. Asian
c. Black or African American
d. Native Hawaiian or Other Pacific Islander
e. White
f. Unable to Determine
4. Hispanic or Latino Ethnicity of 2nd Foster Caretaker (If
applicable)------_______________________________________________________
Yes: 1
No: 2
Unable to Determine: 3
X. Outcome Information
**A. Date of Discharge From Foster Care ---- (mo.) ---- (day) ----
(yr.)
**Transaction Date ---- (mo.) ---- (day) ---- (yr.)
**B. Reason for Discharge_____________________________________________
Reunification With Parents or Primary Caretakers: 1
Living With Other Relative(s): 2
Adoption: 3
Emancipation: 4
Guardianship: 5
Transfer to Another Agency: 6
Runaway: 7
Death of Child: 8
XI. Source(s) of Federal Financial Support/Assistance for Child
(Indicate all that apply with a ``1'')
Title IV-E (Foster Care)______________________________________________
Title IV-E (Adoption Assistance)______________________________________
Title IV-A (Aid to Families with Dependent Children)__________________
Title IV-D (Child Support)____________________________________________
Title XIX (Medicaid)__________________________________________________
SSI or Other Social Security Act Benefits_____________________________
None of the Above_____________________________________________________
XII. Amount of the monthly foster care payment (regardless of sources).
----------------.

Section II--Definitions of and Instructions for Foster Care Data
Elements

Reporting population. The population to be included in this
reporting system includes all children in foster care under the
responsibility of the State agency administering or supervising the
administration of the title IV-B Child and Family Services State plan
and the title IV-E State plan; that is, all children who are required to
be provided the assurances of section 422(b)(10) of the Social Security
Act.
This population includes all children supervised by or under the
responsibility of another public agency with which the title IV-B/IV-E
State agency has an agreement under title IV-E and on whose behalf the
State makes title IV-E foster care maintenance payments.
Foster care is defined as 24 hour substitute care for children
outside their own homes. The reporting system includes all children who
have or had been in foster care at least 24 hours. The foster care
settings include, but are not limited to:

--Family foster homes
--Relative foster homes (whether payments are being made or not)
--Group homes
--Emergency shelters
--Residential facilities
--Child care institutions
--Pre-adoptive homes

Foster care does not include children who are in their own homes
under the responsibility of the State agency. However, children who are
at home on a trial basis may be included even though they are not
considered to be in foster care. If they are included, element number V.
CURRENT PLACEMENT SETTING must be given the value of ``8''.

I. General Information

A. State**--U.S. Postal Service two letter abbreviation for the
State submitting the report.
B. Report Date**--The last month and the year for the reporting
period.
C. Local Agency**--Identity of the county or equivalent unit which
has responsibility for the case. The 5 digit Federal Information
Processing Standard (FIPS) must be used.
D. Record Number**--The sequential number which the State uses to
transmit data to

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the Department of Health and Human Services (DHHS) or a unique number
which follows the child as long as he or she is in foster care. The
record number cannot be linked to the child's case I.D. number except at
the State or local level.
E. Date of Most Recent Periodic Review (If applicable)--For children
who have been in care seven months or longer, enter the month, day and
year of the most recent administrative or court review, including
dispositional hearing. For children who have been in care less than
seven months, leave the field blank. An entry in this field certifies
that the child's computer record is current up to this date.

II. Child's Demographic Information

A. Date of Birth**--Month, day and year of the child's birth. If the
child is abandoned or the date of birth is otherwise unknown, enter an
approximate date of birth. Use the 15th as the day of birth.
B. Sex**--Indicate as appropriate.
C. Race/Ethnicity**
1. Race--In general, a person's race is determined by how they
define themselves or by how others define them. In the case of young
children, parents determine the race of the child. Indicate all races (a
through e) that apply with a ``1.'' For those that do not apply,
indicate a ``0.'' Indicate ``f. Unable to Determine'' with a ``1'' if it
applies and a ``0'' if it does not.
American Indian or Alaska Native--A person having origins in any of
the original peoples of North or South America (including Central
America), and who maintains tribal affiliation or community attachment.
Asian--A person having origins in any of the original peoples of the
Far East, Southeast Asia, or the Indian subcontinent including, for
example, Cambodia, China, India, Japan, Korea, Malaysia, Pakistan, the
Philippine Islands, Thailand, and Vietnam.
Black or African American--A person having origins in any of the
black racial groups of Africa.
Native Hawaiian or Other Pacific Islander--A person having origins
in any of the original peoples of Hawaii, Guam, Samoa, or other Pacific
Islands.
White--A person having origins in any of the original peoples of
Europe, the Middle East, or North Africa.
Unable to Determine--The specific race category is ``unable to
determine'' because the child is very young or is severely disabled and
no person is available to identify the child's race. ``Unable to
determine'' is also used if the parent, relative or guardian is
unwilling to identify the child's race.
2. Hispanic or Latino Ethnicity--Answer ``yes'' if the child is of
Mexican, Puerto Rican, Cuban, Central or South American origin, or a
person of other Spanish cultural origin regardless of race. Whether or
not a person is Hispanic or Latino is determined by how they define
themselves or by how others define them. In the case of young children,
parents determine the ethnicity of the child. ``Unable to Determine'' is
used because the child is very young or is severely disabled and no
person is available to determine whether or not the child is Hispanic or
Latino. ``Unable to determine'' is also used if the parent, relative or
guardian is unwilling to identify the child's ethnicity.
D. Has the child been clinically diagnosed as having a
disability(ies)? ``Yes'' indicates that a qualified professional has
clinically diagnosed the child as having at least one of the
disabilities listed below. ``No'' indicates that a qualified
professional has conducted a clinical assessment of the child and has
determined that the child has no disabilities. ``Not Yet Determined''
indicates that a clinical assessment of the child by a qualified
professional has not been conducted.
1. Indicate Each Type of Disability With a ``1''
Mental Retardation--Significantly subaverage general cognitive and
motor functioning existing concurrently with deficits in adaptive
behavior manifested during the developmental period that adversely
affect a child's/youth's socialization and learning.
Visually or Hearing Impaired--Having a visual impairment that may
significantly affect educational performance or development; or a
hearing impairment, whether permanent or fluctuating, that adversely
affects educational performance.
Physically Disabled--A physical condition that adversely affects the
child's day-to-day motor functioning, such as cerebral palsy, spina
bifida, multiple sclerosis, orthopedic impairments, and other physical
disabilities.
Emotionally Disturbed (DSM III)--A condition exhibiting one or more
of the following characteristics over a long period of time and to a
marked degree: An inability to build or maintain satisfactory
interpersonal relationships; inappropriate types of behavior or feelings
under normal circumstances; a general pervasive mood of unhappiness or
depression; or a tendency to develop physical symptoms or fears
associated with personal problems. The term includes persons who are
schizophrenic or autistic. The term does not include persons who are
socially maladjusted, unless it is determined that they are also
seriously emotionally disturbed. The diagnosis is based on the
Diagnostic and Statistical Manual of Mental Disorders (Third Edition)
(DSM III) or the most recent edition.
Other Medically Diagnosed Conditions Requiring Special Care--
Conditions other than those noted above which require special medical
care such as chronic illnesses. Included are children diagnosed as HIV
positive or with AIDS.

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E. 1. Has this child ever been adopted? If this child has ever been
legally adopted, enter ``yes.'' If the child has never been legally
adopted, enter ``no''. Enter ``Unable to Determine'' if the child has
been abandoned or the child's parent(s) are otherwise not available to
provide the information.
2. If yes, how old was the child when the adoption was legalized?
Enter the number which represents the appropriate age range. If
uncertain, use an estimate. If no one is available to provide the
information, enter ``Unable to Determine.''

III. Removal/Placement Setting Indicators

A. Removal Episodes--The removal of the child from his/her normal
place of residence resulting in his/her placement in a foster care
setting.
Date of First Removal From Home--Month, day and year the child was
removed from home for the first time for purpose of placement in a
foster care setting. If the current \1\ removal is the first removal,
enter the date of the current removal.
---------------------------------------------------------------------------

\1\ For children who have exited foster care, ``current'' refers to
the most recent removal episode and the most recent placement setting.
---------------------------------------------------------------------------

Total Number of Removals from Home to Date--The number of times the
child was removed from home, including the current removal.
Date Child was Discharged From Last Foster Care Episode (If
Applicable)--For children with prior removals, enter the month, day and
year they were discharged from care for the episode immediately prior to
the current episode. For children with no prior removals, leave blank.
Date of Latest Removal From Home**--Month, day and year the child
was last removed from his/her home for the purpose of being placed in
foster care. This would be the date for the current episode or, if the
child has exited foster care, the date of removal for the most recent
removal.
Transaction Date**--A computer generated date which accurately
indicates the month, day and year the response to ``Date of Latest
Removal From Home'' was entered into the information system.
B. Placement Settings.
Date of Placement in Current Foster Care Setting--Month, day and
year the child moved into the current foster home, facility, residence,
shelter, institution, etc. for purposes of continued foster care.
Number of Previous Placement Settings During This Removal Episode--
Enter the number of places the child has lived, including the current
setting, during the current removal episode. Do not include trial home
visits as a placement setting.

IV. Circumstances of Removal

A. Manner of Removal From Home for Current Placement Episode.
Voluntary Placement Agreement--An official voluntary placement
agreement has been executed between the caretaker and the agency. The
placement remains voluntary even if a subsequent court order is issued
to continue the child in foster care.
Court Ordered--The court has issued an order which is the basis of
the child's removal.
Not Yet Determined--A voluntary placement agreement has not been
signed or a court order has not been issued. This will mostly occur in
very short-term cases. When either a voluntary placement agreement is
signed or a court order issued, the record should be updated to reflect
the manner of removal at that time.
B. Actions or Conditions Associated With Child's Removal (Indicate
all that apply with a ``1''.)
Physical Abuse--Alleged or substantiated physical abuse, injury or
maltreatment of the child by a person responsible for the child's
welfare.
Sexual Abuse--Alleged or substantiated sexual abuse or exploitation
of a child by a person who is responsible for the child's welfare.
Neglect--Alleged or substantiated negligent treatment or
maltreatment, including failure to provide adequate food, clothing,
shelter or care.
Alcohol Abuse (Parent)--Principal caretaker's compulsive use of
alcohol that is not of a temporary nature.
Drug Abuse (Parent)--Principal caretaker's compulsive use of drugs
that is not of a temporary nature.
Alcohol Abuse (Child)--Child's compulsive use of or need for
alcohol. This element should include infants addicted at birth.
Drug Abuse (Child)--Child's compulsive use of or need for narcotics.
This element should include infants addicted at birth.
Child's Disability--Clinical diagnosis by a qualified professional
of one or more of the following: Mental retardation; emotional
disturbance; specific learning disability; hearing, speech or sight
impairment; physical disability; or other clinically diagnosed handicap.
Include only if the disability(ies) was at least one of the factors
which led to the child's removal.
Child's Behavior Problem--Behavior in the school and/or community
that adversely affects socialization, learning, growth, and moral
development. These may include adjudicated or nonadjudicated child
behavior problems. This would include the child's running away from home
or other placement.
Death of Parent(s)--Family stress or inability to care for child due
to death of a parent or caretaker.

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Incarceration of Parent(s)--Temporary or permanent placement of a
parent or caretaker in jail that adversely affects care for the child.
Caretaker's Inability to Cope Due to Illness or Other Reasons--
Physical or emotional illness or disabling condition adversely affecting
the caretaker's ability to care for the child.
Abandonment--Child left alone or with others; caretaker did not
return or make whereabouts known.
Relinquishment--Parent(s), in writing, assigned the physical and
legal custody of the child to the agency for the purpose of having the
child adopted.
Inadequate Housing--Housing facilities were substandard,
overcrowded, unsafe or otherwise inadequate resulting in their not being
appropriate for the parents and child to reside together. Also includes
homelessness.

V. Current Placement Setting**

A. Identify the type of setting in which the child currently lives.
Pre-Adoptive Home--A home in which the family intends to adopt the
child. The family may or may not be receiving a foster care payment or
an adoption subsidy on behalf of the child.
Foster Family Home (Relative)--A licensed or unlicensed home of the
child's relatives regarded by the State as a foster care living
arrangement for the child.
Foster Family Home (Non-Relative)--A licensed foster family home
regarded by the State as a foster care living arrangement.
Group Home--A licensed or approved home providing 24-hour care for
children in a small group setting that generally has from seven to
twelve children.
Institution--A child care facility operated by a public or private
agency and providing 24-hour care and/or treatment for children who
require separation from their own homes and group living experience.
These facilities may include: Child care institutions; residential
treatment facilities; maternity homes; etc.
Supervised Independent Living--An alternative transitional living
arrangement where the child is under the supervision of the agency but
without 24 hour adult supervision, is receiving financial support from
the child welfare agency, and is in a setting which provides the
opportunity for increased responsibility for self care.
Runaway--The child has run away from the foster care setting.
Trial Home Visit--The child has been in a foster care placement,
but, under State agency supervision, has been returned to the principal
caretaker for a limited and specified period of time.
B. Is current placement setting out of State?
``Yes'' indicates that the current placement setting is located
outside of the state making the report.
``No'' indicates that the child continues to reside within the state
making the report.

Note: Only the state with placement and care responsibility for the
child should include the child in this reporting system.

VI. Most Recent Case Plan Goal***

Indicate the most recent case plan goal for the child based on the
latest review of the child's case plan--whether a court review or an
administrative review. If the child has been in care less than six
months, enter the goal in the case record as determined by the
caseworker.
Reunify With Parents or Principal Caretaker(s)--The goal is to keep
the child in foster care for a limited time to enable the agency to work
with the family with whom the child had been living prior to entering
foster care in order to reestablish a stable family environment.
Live With Other Relatives--The goal is to have the child live
permanently with a relative or relatives other than the ones from whom
the child was removed. This could include guardianship by a relative(s).
Adoption--The goal is to facilitate the child's adoption by
relatives, foster parents or other unrelated individuals.
Long Term Foster Care--Because of specific factors or conditions, it
is not appropriate or possible to return the child home or place her or
him for adoption, and the goal is to maintain the child in a long term
foster care placement.
Emancipation--Because of specific factors or conditions, it is not
appropriate or possible to return the child home, have a child live
permanently with a relative or have the child be adopted; therefore, the
goal is to maintain the child in a foster care setting until the child
reaches the age of majority.
Guardianship--The goal is to facilitate the child's placement with
an agency or unrelated caretaker, with whom he or she was not living
prior to entering foster care, and whom a court of competent
jurisdiction has designated as legal guardian.
Case Plan Goal Not Yet Established--No case plan goal has yet been
established other then the care and protection of the child.

VII. Principal Caretaker(s) Information

A. Caretaker Family Structure--Select from the four alternatives--
married couple, unmarried couple, single female, single male--the
category which best describes the type of adult caretaker(s) from whom
the child was removed for the current foster care episode. Enter
``Unable to Determine'' if the child has been abandoned or the child's
caretakers are otherwise unknown.

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B. Year of Birth--Enter the year of birth for up to two caretakers.
If the response to data element VII. A--Caretaker Family Structure, was
1 or 2, enter data for two caretakers. If the response was 3 or 4, enter
data only for the first caretaker. If the exact year of birth is
unknown, enter an estimated year of birth.

VIII. Parental Rights Termination

Enter the month, day and year that the court terminated the parental
rights. If the parents are known to be deceased, enter the date of
death.

IX. Family Foster Home--Parent(s) Data

Provide information only if data element in Section V., Part A.
CURRENT PLACEMENT SETTING is 1, 2, or 3.
A. Foster Family Structure--Select from the four alternatives--
married couple, unmarried couple, single female, single male--the
category which best describes the nature of the foster parents with whom
the child is living in the current foster care episode.
B. Year of Birth--Enter the year of birth for up to two foster
parents. If the response to data element IX. A.--Foster Family
Structure, was 1 or 2, enter data for two caretakers. If the response
was 3 or 4, enter data only for the first caretaker. If the exact year
of birth is unknown, enter an estimated year of birth.
C. Race--Indicate the race for each of the foster parent(s). See
instructions and definitions for the race categories under data element
II.C.1. Use ``f. Unable to Determine'' only when a parent is unwilling
to identify his or her race. Hispanic or Latino Ethnicity--Indicate the
ethnicity for each of the foster parent(s). See instructions and
definitions under data element II.C.2. Use ``f. Unable to Determine''
only when a parent is unwilling to identify his or her ethnicity.

X. Outcome Information

Enter data only for children who have exited foster care during the
reporting period.
A. Date of Discharge From Foster Care**--Enter the month, day and
year the child was discharged from foster care. If the child has not
been discharged from care, leave blank.
Transaction Date**--A computer generated date which accurately
indicates the month, day and year the response to ``Date of Discharge
from Foster Care'' was entered into the information system.
B. Reason for Discharge**.
Reunification With Parents or Primary Caretakers--The child was
returned to his or her principal caretaker(s)' home.
Living With Other Relatives--The child went to live with a relative
other than the one from whose home he or she was removed.
Adoption--The child was legally adopted.
Emancipation--The child reached majority according to State law by
virtue of age, marriage, etc.
Guardianship--Permanent custody of the child was awarded to an
individual.
Transfer to Another Agency--Responsibility for the care of the child
was awarded to another agency--either in or outside of the State.
Runaway--The child ran away from the foster care placement.
Death of Child--The child died while in foster care.

XI. Source(s) of Federal Support/Assistance for Child (Indicate all That
Apply ith a ``1''.)

Title IV-E (Foster Care)--Title IV-E foster care maintenance
payments are being paid on behalf of the child.
Title IV-E (Adoption Subsidy)--Title IV-E adoption subsidy is being
paid on behalf of the child who is in an adoptive home, but the adoption
has not been legalized.
Title IV-A (Aid to Families With Dependent Children)--Child is
living with relative(s) whose source of support is an AFDC payment for
the child.
Title IV-D (Child Support)--Child support funds are being paid to
the State agency on behalf of the child by assignment from the receiving
parent.
Title XIX (Medicaid)--Child is eligible for and may be receiving
assistance under title XIX.
SSI or Other Social Security Act Benefits--Child is receiving
support under title XVI or other Social Security Act titles not included
in this section.
None of the Above--Child is receiving support only from the State or
from some other source (Federal or non-Federal) which is not indicated
above.

XII. Amount of the monthly foster care payment (regardless of sources)

Enter the monthly payment paid on behalf of the child regardless of
source (i.e., Federal, State, county, municipality, tribal, and private
payments). If title IV-E is paid on behalf of the child the amount
indicated should be the total computable amount. If the payment made on
behalf of the child is not the same each month, indicate the amount of
the last full monthly payment made during the reporting period. If no
monthly payment has been made during the period, enter all zeros.

[58 FR 67926, Dec. 22, 1993; 59 FR 13535, Mar. 22, 1994; 59 FR 42520,
Aug. 18, 1994; 60 FR 40507, Aug. 9, 1995; 60 FR 46887, Sept. 8, 1995; 65
FR 4084, Jan. 25, 2000]

[[Page 282]]

Appendix B to Part 1355--Adoption Data Elements

Section I--Adoption Data Elements

I. General Information
A. State______________________________________________________________
B. Report Date ----(mo.) ----(day) ----(yr.)
C. Record Number______________________________________________________
D. Did the State Agency Have any Involvement in This Adoption? ----
----
Yes: 1
No: 2
II. Child's Demographic Information
A. Date of Birth ----(mo) ----(day) ----(yr.)
B. Sex ----
Male: 1
Female: 2
C. Race/Ethnicity
1. Race
a. American Indian or Alaska Native
b. Asian
c. Black or African American
d. Native Hawaiian or Other Pacific Islander
e. White
f. Unable to Determine
2. Hispanic or Latino Ethnicity------
Yes: 1
No: 2
Unable to determine: 3
III. Special Needs Status
A. Has the State child welfare agency determined that this child has
special needs? --------
Yes: 1
No: 2
B. If yes, indicate the primary basis for determining that this
child has special needs --------
Racial/Original Background: 1
Age: 2
Membership in a Sibling Group to be Placed for Adoption Together: 3
Medical Conditions or Mental, Physical or Emotional Disabilities: 4
Other: 5
1. If III. B was ``4,'' indicate with a ``1'' the type(s) of
disability(ies)
Mental Retardation --------
Visually or Hearing Impaired --------
Physically Disabled --------
Emotionally Disturbed (DSM III) --------
Other Medically Diagnosed Condition Requiring Special Care --------
IV. Birth Parents
A. Year of Birth --------
Mother, If known --------
Father (Putative or Legal), if known --------
B. Was the mother married at the time of the child's birth? --------
Yes: 1
No: 2
Unable to Determine: 3
V. Court Actions
A. Dates of Termination of Parental Rights
Mother ----(mo.) ----(day) ----(yr.)
Father ----(mo.) ----(day) ----(yr.)
B. Date Adoption Legalized ----(mo.) ----(day) ----(yr.)
VI. Adoptive Parents
A. Family Structure --------
Married Couple: 1
Unmarried Couple: 2
Single Female: 3
Single Male: 4
B. Year of Birth
Mother (if Applicable) --------
Father (if Applicable) --------
C. Race/Ethnicity
1. Adoptive Mother's Race (If Applicable)
a. American Indian or Alaska Native
b. Asian
c. Black or African American
d. Native Hawaiian or Other Pacific Islander
e. White
f. Unable to Determine
2. Hispanic or Latino Ethnicity of Mother (If Applicable)------
Yes: 1
No: 2
Unable to Determine: 3
3. Adoptive Father's Race (If Applicable)
a. American Indian or Alaska Native
b. Asian
c. Black or African American
d. Native Hawaiian or Other Pacific Islander
e. White
f. Unable to Determine
4. Hispanic or Latino Ethnicity of Father (If Applicable)------
Yes: 1
No: 2
Unable to Determine: 3
D. Relationship of Adoptive Parent(s) to the Child (Indicate with a
``1'' all that apply)
Stepparent
Other Relative of Child by Birth or Marriage --------
Foster Parent of Child --------
Non-Relative --------
VII. Placement Information
A. Child Was Placed From --------
Within State: 1
Another State: 2
Another Country: 3
B. Child Was Placed by --------
Public Agency: 1
Private Agency: 2
Tribal Agency: 3
Independent Person: 4
Birth Parent: 5
VIII. Federal/State Financial Adoption Support
A. Is a monthly financial subsidy being paid for this child? ------
--
Yes: 1
No: 2
B. If yes, the monthly amount --------

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C. If VIII. A is yes, is the subsidy paid under Title IV-E adoption
assistance? --------
Yes: 1
No: 2

Section II--Definitions of Instructions for Adoption Data Elements

Reporting population

The State must report on all children who are adopted in the State
during the reporting period and in whose adoption the State title IV-B/
IV-E agency has had any involvement. All adoptions which occurred on or
after October 1, 1994 and which meet the criteria set forth in this
regulation must be reported. Failure to report on these adoptions will
result in penalties being assessed. Reports on all other adoptions are
encouraged but are voluntary. Therefore, reports on the following are
mandated:
(a) All children adopted who had been in foster care under the
responsibility and care of the State child welfare agency and who were
subsequently adopted whether special needs or not and whether subsidies
are provided or not;
(b) All special needs children who were adopted in the State,
whether or not they were in the public foster care system prior to their
adoption and for whom non-recurring expenses were reimbursed; and
(c) All children adopted for whom an adoption assistance payment or
service is being provided based on arrangements made by or through the
State agency.
These children must be identified by answering ``yes'' to data
element I.D. Children who are reported by the State, but for whom there
has not been any State involvement, and whose reporting, therefore, has
not been mandated, are identified by answering ``no'' to element I.D.

I. General Information

A. State--U.S. Postal Service two letter abbreviation for the State
submitting the report.
B. Report Date--The last month and the year for the reporting
period.
C. Record Number--The sequential number which the State uses to
transmit data to the Department of Health and Human Services (DHHS). The
record number cannot be linked to the child except at the State or local
level.
D. Did the State Agency Have Any Involvement in This Adoption?
Indicate whether the State Title IV-B/IV-E agency had any
involvement in this adoption, that is, whether the adopted child belongs
to one of the following categories:
<bullet> A child who had been in foster care under the
responsibility and care of the State child welfare agency and who was
subsequently adopted whether special needs or not and whether a subsidy
was provided or not;
<bullet> A special needs child who was adopted in the State, whether
or not he/she was in the public foster care system prior to his/her
adoption and for whom non-recurring expenses were reimbursed; or
<bullet> A child for whom an adoption assistance payment or service
is being provided based on arrangements made by or through the State
agency.

II. Child's Demographic Information

A. Date of Birth--Month and year of the child's birth. If the child
was abandoned or the date of birth is otherwise unknown, enter an
approximate date of birth.
B. Sex--Indicate as appropriate.
C. Race/Ethnicity
1. Race--In general, a person's race is determined by how they
define themselves or by how others define them. In the case of young
children, parents determine the race of the child. Indicate all races
(a-e) that apply with a ``1.'' For those that do not apply, indicate a
``0.'' Indicate ``f. Unable to Determine'' with a 1'' if it applies and
a ``0'' if it does not.
American Indian or Alaska Native--A person having origins in any of
the original peoples of North or South America (including Central
America), and who maintains tribal affiliation or community attachment.
Asian--A person having origins in any of the original peoples of the
Far East, Southeast Asia, or the Indian subcontinent including, for
example, Cambodia, China, India, Japan, Korea, Malaysia, Pakistan, the
Philippine Islands, Thailand, and Vietnam.
Black or African American--A person having origins in any of the
black racial groups of Africa.
Native Hawaiian or Other Pacific Islander--A person having origins
in any of the original peoples of Hawaii, Guam, Samoa, or other Pacific
Islands.
White--A person having origins in any of the original peoples of
Europe, the Middle East, or North Africa.
Unable to Determine--The specific race category is ``unable to
determine'' because the child is very young or is severely disabled and
no person is available to identify the child's race. ``Unable to
determine'' is also used if the parent, relative or guardian is
unwilling to identify the child's race.
2. Hispanic or Latino Ethnicity--Answer ``yes'' if the child is of
Mexican, Puerto Rican, Cuban, Central or South American origin, or a
person of other Spanish cultural origin regardless of race. Whether or
not a person is Hispanic or Latino is determined by how they define
themselves or by how others define them. In the case of young children,
parents determine the ethnicity of the child. ``Unable to Determine'' is
used because

[[Page 284]]

the child is very young or is severely disabled and no other person is
available to determine whether or not the child is Hispanic or Latino.
``Unable to determine'' is also used if the parent, relative or guardian
is unwilling to identify the child's ethnicity.

III. Special Needs Status

A. Has the State Agency Determined That the Child has Special Needs?
Use the State definition of special needs as it pertains to a child
eligible for an adoption subsidy under title IV-E.
B. Primary Factor or Condition for Special Needs--Indicate only the
primary factor or condition for categorization as special needs and only
as it is defined by the State.
Racial/Original Background--Primary condition or factor for special
needs is racial/original background as defined by the State.
Age--Primary factor or condition for special needs is age of the
child as defined by the State.
Membership in a Sibling Group to be Placed for Adoption Together--
Primary factor or condition for special needs is membership in a sibling
group as defined by the State.
Medical Conditions of Mental, Physical, or Emotional Disabilities--
Primary factor or condition for special needs is the child's medical
condition as defined by the State, but clinically diagnosed by a
qualified professional.
When this is the response to question B, then item 1 below must be
answered.
1. Types of Disabilities--Data are only to be entered if response to
III.B was ``4.'' Indicate with a ``1'' the types of disabilities.
Mental Retardation--Significantly subaverage general cognitive and
motor functioning existing concurrently with deficits in adaptive
behavior manifested during the developmental period that adversely
affect a child's/youth's socialization and learning.
Visually or Hearing Impaired--Having a visual impairment that may
significantly affect educational performance or development; or a
hearing impairment, whether permanent or fluctuating, that adversely
affects educational performance.
Physically Disabled--A physical condition that adversely affects the
child's day-to-day motor functioning, such as cerebral palsy, spina
bifida, multiple sclerosis, orthopedic impairments, and other physical
disabilities.
Emotionally Disturbed (DSM III)--A condition exhibiting one or more
of the following characteristics over a long period of time and to a
marked degree: An inability to build or maintain satisfactory
interpersonal relationships; inappropriate types of behavior or feelings
under normal circumstances; a general pervasive mood of unhappiness or
depression; or a tendency to develop physical symptoms or fears
associated with personal problems. The term includes persons who are
schizophrenic or autistic. The term does not include persons who are
socially maladjusted, unless it is determined that they are also
seriously emotionally disturbed. Diagnosis is based on the Diagnostic
and Statistical Manual of Mental Disorders (Third Edition) (DSM III) or
the most recent edition.
Other Medically Diagnosed Conditions Requiring Special Care--
Conditions other than those noted above which require special medical
care such as chronic illnesses. Included are children diagnosed as HIV
positive or with AIDS.

IV. Birth Parents

A. Year of Birth--Enter the year of birth for both parents, if
known. If the child was abandoned and no information was available on
either one or both parents, leave blank for the parent(s) for which no
information was available.
B. Was the Mother Married at the Time of the Child's Birth?
Indicate whether the mother was married at time of the child's
birth; include common law marriage if legal in the State. If the child
was abandoned and no information was available on the mother, enter
``Unable to Determine.''

V. Court Actions

A. Dates of Termination of Parental Rights--Enter the month, day and
year that the court terminated parental rights. If the parents are known
to be deceased, enter the date of death.
B. Date Adoption Legalized--Enter the date the court issued the
final adoption decree.

VI. Adoptive Parents

A. Family Structure--Select from the four alternatives--married
couple, unmarried couple, single female, single male--the category which
best describes the nature of the adoptive parent(s) family structure.
B. Year of Birth--Enter the year of birth for up to two adoptive
parents. If the response to data element IV.A--Family Structure, was 1
or 2, enter data for two parents. If the response was 3 or 4, enter data
only for the appropriate parent. If the exact year of birth is unknown,
enter an estimated year of birth.
C. Race/Ethnicity--Indicate the race/ethnicity for each of the
adoptive parent(s). See instructions and definitions for the race/
ethnicity categories under data element II.C. Use ``f. Unable to
Determine'' only when a parent is unwilling to identify his or her race
or ethnicity.
D. Relationship to Adoptive Parent(s)--Indicate the prior
relationship(s) the child had with the adoptive parent(s).
Stepparent--Spouse of the child's birth mother or birth father.

[[Page 285]]

Other Relative of Child by Birth or Marriage--A relative through the
birth parents by blood or marriage.
Foster Parent of Child--Child was placed in a non-relative foster
family home with a family which later adopted him or her. The initial
placement could have been for the purpose of adoption or for the purpose
of foster care.
Non-Relative--Adoptive parent fits into none of the categories
above.

VII. Placement Information

A. Child Was Placed From: Indicate the location of the individual or
agency that had custody or responsibility for the child at the time of
initiation of adoption proceedings.
Within State--Responsibility for the child resided with an
individual or agency within the State filing the report.
Another State--Responsibility for the child resided with an
individual or agency in another State or territory of the United States.
Another Country--Immediately prior to the adoptive placement, the
child was residing in another country and was not a citizen of the
United States.
B. Child Was Placed By: Indicate the individual or agency which
placed the child for adoption.
Public Agency--A unit of State or local government.
Private Agency--A for-profit or non-profit agency or institution.
Tribal Agency--A unit within one of the Federally recognized Indian
Tribes or Indian Tribal Organizations.
Independent Person--A doctor, a lawyer or some other individual.
Birth Parent--The parent(s) placed the child directly with the
Adoptive parent(s).

VIII. State/Federal Adoption Support

A. Is The Child Receiving a Monthly Subsidy?
Enter ``yes'' if this child was adopted with an adoption assistance
agreement under which regular subsidies (Federal or State) are paid.
B. Monthly Amount--Indicate the monthly amount of the subsidy. The
amount of the subsidy should be rounded to the nearest dollar. Indicate
``0'' if the subsidy includes only benefits under titles XIX or XX of
the Social Security Act.
C. If VIII.A is ``Yes,'' is Child Receiving Title IV-E Adoption
Subsidy?
If VIII.A is ``yes,'' indicate whether the subsidy is claimed by the
State for reimbursement under title IV-E. Do not include title IV-E non-
recurring costs in this item.

[58 FR 67929, Dec. 22, 1993; 59 FR 42520, Aug. 18, 1994; 65 FR 4084,
Jan. 25, 2000]

Appendix C to Part 1355--Electronic Data Transmission Format

All AFCARS data to be sent from State agencies/Indian Tribes to the
Department are to be in electronic form. In order to meet this general
specification, the Department will offer as much flexibility as
possible. Technical assistance will be provided to negotiate a method of
transmission best suited to the States' environment.
There will be four semi-annual electronic data transmissions from
the States to the Administration for Children and Families (ACF). The
Summary Submission File, one each for Foster Care and Adoption, and the
Detail Submission File, one each for Foster Care and Adoption. The
Summary File must be transmitted first, followed immediately by the
Detail File. See appendix D for Foster Care and Adoption Detail and
Summary record layout formats.
There are four methods for electronic data exchange currently
operating for other Departmental programs of a similar nature. These
methods are: (1) MITRON tape-to-tape transfer, (2) mainframe-to-
mainframe data transfer, (3) personal computer (PC) to mainframe data
transmission using a data transfer protocol, and (4) a personal computer
to personal computer protocol. A general description of these methods is
provided below:

1. MITRON, Tape-to-Tape Data Transmission

In order to use the MITRON system, both the sender and receiver must
have MITRON equipment (tape drive and main unit) and software. The
MITRON system is capable of handling a large volume of data but is
limited to one reel of tape per transmission session. (If the data
quantity exceeds one tape, a header/trailer record must be placed on
each physical tape reel.) These are standard 2400 foot tapes, using
standard labels. The tape density is limited to the 1600 bits per inch
(bpi) specification.

2. Mainframe-to-Mainframe

The ACF has installed a mainframe-to-mainframe data exchange system
using the Sterling Software data transfer package called ``SUPERTRACS.''
This package will allow data exchange between most computer platforms
(both mini and mainframe) and the Department's mainframe in a dial-up
mode. No additional software is needed by the remote computer site
beyond what the Department will supply. This method has proven effective
for small to moderate amounts (100 to 5,000 records) of data.

3. Electronic File Transfer Between PC and Mainframe

This method uses the SIMPC software package on the personal computer
and the

[[Page 286]]

host mainframe. The software will be provided by the Department. This
method is best suited for small to moderate (100 to 5,000) records
transmissions. The advantages of Electronic File Transfer are the
elimination of tapes and associated problems and the advantage of
automatic record checking during the transmission session. If a State is
currently maintaining the AFCARS data on a personal computer and is
unable to download and upload to its mainframe, Electronic File Transfer
is an appropriate transmission mechanism.

4. Personal Computer to Personal Computer

This method uses the SIMPC software package on the sending personal
computer and the receiving personal computer. The software will be
provided by the Department. This method is best suited for small to
moderate (100 to 5,000) records transmissions. The advantages of
Electronic File Transfer are the elimination of tapes and associated
problems and the advantage of automatic record checking during the
transmission session. If a State is currently maintaining the AFCARS
data on a personal computer, the personal computer to personal computer
transfer is an appropriate transmission mechanism.
In conjunction with Departmental staff, State agencies and Indian
Tribes should review their resources and select the system that will
best suit their data transmission needs. Over time, State agencies and
Indian Tribes can change their transmission methods, provided that
proper notification is provided.
Regardless of the electronic data transmission methodology selected,
certain criteria must be met by the State agencies and Indian Tribes:
(1) Records must be written using ASCII standard character format.
(2) All elements must be comprised of integer (numeric) value(s).
Element character length specifications refer to the maximum number of
numeric values permitted for that element. See appendix D.
(3) All records must be a fixed length. The Foster Care Detailed
Data Elements Record is 150 characters long and the Adoption Detailed
Data Elements Record is 72 characters long. The Foster Care Summary Data
Elements Record and the Adoption Summary Data Elements Record are each
172 characters long.
(4) All States and Indian Tribes must inform the Department, in
writing, of the method of transfer they intend to use.

[58 FR 67931, Dec. 22, 1993; 59 FR 42520, Aug. 18, 1994, as amended at
60 FR 40507, Aug. 9, 1995]

Appendix D to Part 1355--Foster Care and Adoption Record Layouts

A. Foster Care

1. Foster Care Semi-Annual Detailed Data Elements Record

a. The record will consist of 66 data elements.

b. Data must be supplied for each of the elements in accordance with
these instructions:
(1) All data must be numeric. Enter the appropriate value for each
element.
(2) Enter date values in year, month and day order (YYYYMMDD), e.g.,
19991030 for October 30, 1999, or year and month order (YYYYMM), e.g.,
199910 for October 1999. Leave the element value blank if dates are not
applicable.
(3) For elements 8, 11-15, 26-40, 52, 54 and 59-65, which are
``select all that apply'' elements, enter a ``1'' for each element that
applies, enter a zero for non-applicable elements.
(4) Transaction Date--is a computer generated date indicating when
the datum (Elements 21 or 55) is entered into the State's automated
information system.
(5) Report the status of all children in foster care as of the last
day of the reporting period. Also, provide data for all children who
were discharged from foster care at any time during the reporting
period, or in the previous reporting period, if not previously reported.
c. Foster Care Semi-Annual Detailed Data Elements Record Layout
follows:

----------------------------------------------------------------------------------------------------------------
No. of
Element No. Appendix A data element Data element description numeric
characters
----------------------------------------------------------------------------------------------------------------
01.......................... I.A................................ State........................... 2
02.......................... I.B................................ Report period ending date....... 6
03.......................... I.C................................ Local Agency FIPS code (county 5
or equivalent jurisdiction).
04.......................... I.D................................ Record number................... 12
05.......................... I.E................................ Date of most recent periodic 8
review.
06.......................... II.A............................... Child's date of birth........... 8
07.......................... II.B............................... Sex............................. 1
08.......................... II.C.1............................. Race............................
08a......................... ................................... American Indian or Alaska native 1
08b......................... ................................... Asian........................... 1
08c......................... ................................... Black or African American....... 1
08d......................... ................................... Native Hawaiian or Other Pacific 1
Islander.

[[Page 287]]

08e......................... ................................... White........................... 1
08f......................... ................................... Unable to Determine............. 1
09.......................... II.C.2............................. Hispanic or Latino Ethnicity.... 1
10.......................... II.D............................... Has this child been clinically 1
diagnosed as having a
disability(ies).
Indicate each type of disability
of the child with a ``1'' for
elements 11-15 and a zero for
disabilities that do not apply.
11.......................... II.D.1.a........................... Mental retardation.............. 1
12.......................... II.D.1.b........................... Visually or hearing impaired.... 1
13.......................... II.D.1.c........................... Physically disabled............. 1
14.......................... II.D.1.d........................... Emotionally disturbed (DSM III). 1
15.......................... II.D.1.e........................... Other medically diagnosed 1
condition requiring special
care.
16.......................... II.E.1............................. Has this child ever been adopted 1
17.......................... II.E.2............................. If yes, how old was the child 1
when the adoption was
legalized?.
18.......................... III.A.1............................ Date of first removal from home. 8
19.......................... III.A.2............................ Total number of removals from 2
home to date.
20.......................... III.A.3............................ Date child was discharged from 8
last foster care episode.
21.......................... III.A.4............................ Date of latest removal from home 8
22.......................... III.A.5............................ Removal transaction date........ 8
23.......................... III.B.1............................ Date of placement in current 8
foster care setting.
24.......................... III.B.2............................ Number of previous placement 2
settings during this removal
episode.
25.......................... IV.A............................... Manner of removal from home for 1
current placement episode.
Actions or conditions associated
with child's removal: Indicate
with a ``1'' for elements 26-40
and a zero for conditions that
do not apply.
26.......................... IV.B.1............................. Physical abuse (alleged/ 1
reported).
27.......................... IV.B.2............................. Sexual abuse (alleged/reported). 1
28.......................... IV.B.3............................. Neglect (alleged/reported)...... 1
29.......................... IV.B.4............................. Alcohol abuse (parent).......... 1
30.......................... IV.B.5............................. Drug abuse (parent)............. 1
31.......................... IV.B.6............................. Alcohol abuse (child)........... 1
32.......................... IV.B.7............................. Drug abuse (child).............. 1
33.......................... IV.B.8............................. Child's disability.............. 1
34.......................... IV.B.9............................. Child's behavior problem........ 1
35.......................... IV.B.10............................ Death of parent(s).............. 1
36.......................... IV.B.11............................ Incarceration of parent(s)...... 1
37.......................... IV.B.12............................ Caretaker's inability to cope 1
due to illness or other reasons.
38.......................... IV.B.13............................ Abandonment..................... 1
39.......................... IV.B.14............................ Relinquishment.................. 1
40.......................... IV.B.15............................ Inadequate housing.............. 1
41.......................... V.A................................ Current placement setting....... 1
42.......................... V.B................................ Out of State placement.......... 1
43.......................... VI................................. Most recent case plan goal...... 1
44.......................... VII.A.............................. Caretaker family structure...... 1
45.......................... VII.B.1............................ Year of birth (1st principal 4
caretaker).
46.......................... VII.B.2............................ Year of birth (2nd principal 4
caretaker).
47.......................... VIII.A............................. Date of mother's parental rights 8
termination.
48.......................... VIII.B............................. Date of legal or putative 8
father's parental rights.
49.......................... IX.A............................... Foster family structure......... 1
50.......................... IX.B.1............................. Year of birth (1st foster 4
caretaker).
51.......................... IX.B.2............................. Year of birth (2nd foster 4
caretaker).
52.......................... IX.C.1............................. Race of 1st foster caretaker....
52a......................... ................................... American Indian or Alaska Native 1
52b......................... ................................... Asian........................... 1
52c......................... ................................... Black or Asian American......... 1
52d......................... ................................... Native Hawaiian or Other Pacific 1
Islander.
52e......................... ................................... White........................... 1
52f......................... ................................... Unable to Determine............. 1
53.......................... IX.C.2............................. Hispanic or Latino ethnicity of 1
1st foster caretaker.
54.......................... IX.C.3............................. Race of 2nd foster caretaker....
54a......................... ................................... American Indian or Alaska Native 1
54b......................... ................................... Asian........................... 1
54c......................... ................................... Black or African American....... 1
54d......................... ................................... Native Hawaiian or Other pacific 1
islander.
54e......................... ................................... White........................... 1
54f......................... ................................... Unable to Determine............. 1
55.......................... IX.C.4............................. Hispanic or Latino ethnicity of 1
2nd foster caretaker.
56.......................... X.A.1.............................. Date of discharge from foster 8
care.
57.......................... X.A.2.............................. Foster care discharge 8
transaction date.
58.......................... X.B................................ Reason for discharge............ 1
Sources of Federal support/
assistance for child; indicate
with a ``1'' for elements 58-64
and a zero for sources that do
not apply.

[[Page 288]]

59.......................... XI.A............................... Title IV-E (Foster Care)........ 1
60.......................... XI.B............................... Title IV-E (Adoption Assistance) 1
61.......................... XI.C............................... Title IV-A (Aid to Families With 1
Dependent Children).
62.......................... XI.D............................... Title IV-D (Child Support)...... 1
63.......................... XI.E............................... Title XIX (Medicaid)............ 1
64.......................... XI.F............................... SSI or other Social Security Act 1
benefits.
65.......................... XI.G............................... None of the above............... 1
66.......................... XII................................ Amount of monthly foster care 5
payment (regardless of source).
------------
Total characters.......... 197
----------------------------------------------------------------------------------------------------------------

2. Foster Care Semi-Annual Summary Data Elements Record

a. The record will consist of 22 data elements.
The values for these data elements are generated by processing all
records in the semi-annual detailed data transmission and computing the
summary values for Elements 1 and 3-22. Element 2 is the semi-annual
report period ending date. In calculating the age range for the child,
the last day of the reporting period is to be used.
b. Data must be supplied for each of the elements in accordance with
these instructions:
(1) Enter the appropriate value for each element.
(2) For all elements where the total is zero, enter a numeric zero.
(3) Enter date values in year, month order (YYYYMM), e.g.,199912 for
December 1999.
c. Foster Care Semi-Annual Summary Data Elements Record Layout
follows:

------------------------------------------------------------------------
No. of
Element No. Summary data file characters
------------------------------------------------------------------------
01......................... Number of records......... 8
02......................... Report period ending date 6
(YYYYMM).
03......................... Children in care under 1 8
year.
04......................... Children in care 1 year 8
old.
05......................... Children in care 2 years 8
old.
06......................... Children in care 3 years 8
old.
07......................... Children in care 4 years 8
old.
08......................... Children in care 5 years 8
old.
09......................... Children in care 6 years 8
old.
10......................... Children in care 7 years 8
old.
11......................... Children in care 8 years 8
old.
12......................... Children in care 9 years 8
old.
13......................... Children in care 10 years 8
old.
14......................... Children in care 11 years 8
old.
15......................... Children in care 12 years 8
old.
16......................... Children in care 13 years 8
old.
17......................... Children in care 14 years 8
old.
18......................... Children in care 15 years 8
old.
19......................... Children in care 16 years 8
old.
20......................... Children in care 17 years 8
old.
21......................... Children in care 18 years 8
old.
22......................... Children in care over 18 8
years old.
----------------
Record Length....... 174
------------------------------------------------------------------------

B. Adoption

1. Adoption Semi-Annual Detailed Data Elements Record

a. The record will consist of 37 data elements.
b. Data must be supplied for each of the elements in accordance with
these instructions:
(1) Enter the appropriate value for each element.
(2) Enter date values in year, month and day order (YYYYMMDD), e.g.,
19991030 for October 30, 1999, or year and month (YYYYMM), e.g., 199910
for October 1999. Leave the element value blank if dates are not
applicable.
(3) For elements 7, 11-15, 25, 27 and 29-32 which are ``select all
that apply'' elements, enter a ``1'' for each element that applies;
enter a zero for non-applicable elements.
c. Adoption Semi-Annual Detailed Data Elements Record Layout
follows:

[[Page 289]]

----------------------------------------------------------------------------------------------------------------
No. of
Element No. Appendix B data element Data element description numeric
characters
----------------------------------------------------------------------------------------------------------------
01.......................... I.A................................ State........................... 2
02.......................... I.B................................ Report period ending date....... 6
03.......................... I.C................................ Record number................... 6
04.......................... I.D................................ State Agency involvement........ 1
05.......................... II.A............................... Date of birth................... 6
06.......................... II.B............................... Sex............................. 1
07.......................... II.C.1............................. Race............................
07a......................... ................................... American Indian or Alaska Native 1
07b......................... ................................... Asian........................... 1
07c......................... ................................... Black or African American....... 1
07d......................... ................................... Native Hawaiian or Other Pacific 1
Islander.
07e......................... ................................... White........................... 1
07f......................... ................................... Unable to Determine............. 1
08.......................... II.C.2............................. Hispanic or Latino ethnicity.... 1
09.......................... III.A.............................. Has the State Agency determined 1
that this child has special
needs.
10.......................... III.B.............................. Primary basis for special needs. 1
Indicate a primary basis of
special needs with a ``1'' for
elements 11-15. Enter a zero
for special needs that do not
apply.
11.......................... III.B.1.a.......................... Mental retardation.............. 1
12.......................... III.B.1.b.......................... Visually or hearing impaired.... 1
13.......................... III.B.1.c.......................... Physically disabled............. 1
14.......................... III.B.1.d.......................... Emotionally disturbed (DSM III). 1
15.......................... III.B.1.e.......................... Other medically diagnosed 1
condition requiring special
care.
16.......................... IV.A.1............................. Mother's year of birth.......... 4
17.......................... IV.A.2............................. Father's (Putative or legal) 4
year of birth.
18.......................... IV.B............................... Was the mother married at time 1
of child's birth.
19.......................... V.A.1.............................. Date of mother's termination of 8
parental rights.
20.......................... V.A.2.............................. Date of father's termination of 8
parental rights.
21.......................... V.B................................ Date adoption legalized......... 8
22.......................... VI.A............................... Adoptive parents family 1
structure.
23.......................... VI.B.1............................. Mother's year of birth (if 4
applicable).
24.......................... VI.B.2............................. Father's year of birth (if 4
applicable).
25.......................... VI.C.1............................. Adoptive mother's race..........
25a......................... ................................... American Indian or Alaska Native 1
25b......................... ................................... Asian........................... 1
25c......................... ................................... Black or African American....... 1
25d......................... ................................... Native Hawaiian or Other Pacific 1
Islander.
25e......................... ................................... White........................... 1
25f......................... ................................... Unable to Determine............. 1
26.......................... VI.C.2............................. Hispanic or Latino Ethnicity.... 1
27.......................... VI.C.3............................. Adoptive father's race..........
27a......................... ................................... American Indian or Alaska Native 1
27b......................... ................................... Asian........................... 1
27c......................... ................................... Black or African American....... 1
27d......................... ................................... Native Hawaiian or Other Pacific 1
Islander.
27e......................... ................................... White........................... 1
27f......................... ................................... Unable to Determine............. 1
28.......................... VI.C.4............................. Hispanic or Latino Ethnicity.... 1
Indicate each type of
relationship of adoptive
parent(s) to the child with a
``1'' for elements 29-32. Enter
a zero for relationships that
do not apply below.
29.......................... VI.D.1............................. Stepparent...................... 1
30.......................... VI.D.2............................. Other relative of child by birth 1
or marriage.
31.......................... VI.D.3............................. Foster parent of child.......... 1
32.......................... VI.D.4............................. Other non-relative.............. 1
33.......................... VII.A.............................. Child was placed from........... 1
34.......................... VII.B.............................. Child was placed by............. 1
35.......................... VIII.A............................. Is this child receiving a 1
monthly subsidy.
36.......................... VIII.B............................. If VIII.B is ``yes.'' What is 5
the monthly amount.
37.......................... VIII.C............................. If VII.B is ``yes.'' Is the 1
child receiving title IV-E
adoption assistance?.
................................. Total Characters.......... 111
----------------------------------------------------------------------------------------------------------------

2. Adoption Semi-Annual Summary Data Elements Record

[[Page 290]]

period ending date. In calculating the age range for the child, the last
day of the reporting period is to be used.
b. Data must be supplied for each of the elements in accordance with
these instructions:
(1) Enter the appropriate value for each element.
(2) For all elements where the total is zero, enter a numeric zero.
(3) Enter data values in year, month order (YYYYMM), e.g., 199912
for December 1999.
c. Adoption Semi-Annual Summary Data Element Record Layout follows:

------------------------------------------------------------------------
No. of
Element No. Summary data file characters
------------------------------------------------------------------------
01......................... Number of records......... 8
02......................... Report period ending date 6
(YYYYMM).
03......................... Children adopted Under 1 8
year old.
04......................... Children adopted 1 year 8
old.
05......................... Children adopted 2 years 8
old.
06......................... Children adopted 3 years 8
old.
07......................... Children adopted 4 years 8
old.
08......................... Children adopted 5 years 8
old.
09......................... Children adopted 6 years 8
old.
10......................... Children adopted 7 years 8
old.
11......................... Children adopted 8 years 8
old.
12......................... Children adopted 9 years 8
old.
13......................... Children adopted 10 years 8
old.
14......................... Children adopted 11 years 8
old.
15......................... Children adopted 12 years 8
old.
16......................... Children adopted 13 years 8
old.
17......................... Children adopted 14 years 8
old.
18......................... Children adopted 15 years 8
old.
19......................... Children adopted 16 years 8
old.
20......................... Children adopted 17 years 8
old.
21......................... Children adopted 18 years 8
old.
22......................... Children adopted over 18 8
years old.
----------------
Record Length....... 174
------------------------------------------------------------------------

[58 FR 67931, Dec. 22, 1993; 59 FR 13535, Mar. 22, 1994; 59 FR 42520,
Aug. 18, 1994, as amended at 60 FR 40507, Aug. 9, 1995; 65 FR 4085, Jan.
25, 2000]

Appendix E to Part 1355--Data Standards

All data submissions will be evaluated to determine the completeness
and internal consistency of the data. Four types of assessments will be
conducted on both the foster care and adoption data submissions. The
results of these assessments will determine the applicability of the
penalty provisions. (See Sec. 1355.40(e) for penalty provision
description.) The four types of assessments are:
<bullet> Comparisons of the detailed data to summary data;
<bullet> Internal consistency checks of the detailed data;
<bullet> An assessment of the status of missing data; and
<bullet> Timeliness, an assessment of how current the submitted data
are.

A. Foster Care

1. Summary Data Elements Submission Standards

A summary file must accompany the Detailed Data Elements submission.
Both transmissions must be sent through electronic means (see appendix C
for details). This summary will be used to verify basic counts of
records on the detailed data received.
a. The summary file must be a discrete file separate from the semi-
annual reporting period detailed data file. The record layout for the
summary file is included in appendix D. section A.2.c. All data must be
included. If the value for a numeric field is zero, zero must be
entered.
b. The Department will develop a second summary file by computing
the values from the detailed data file received from the State. The two
summary files (the one submitted by the State and the one created during
Federal processing) will be compared, field by field. If the two files
match, further validation of the detailed data elements will commence.
(See Section A.2 below.) If the two summary files do not match, we will
assume that there has been an error in transmission and will request a
retransmission from the State within 24 hours of the time the State has
been notified. In addition, a log of these occurrences will be kept as a
means of cataloging problems and offering suggestions on improved
procedures.

[[Page 291]]

2. Detailed Data File Submission Standards

a. Internal Consistency Validations.
Internal consistency validations involve evaluating the logical
relationships between data elements in a detailed record. For example, a
child cannot be discharged from foster care before he or she has been
removed from his or her home. Thus, the Date of Latest Removal From Home
data element must be a date prior to the Date of Discharge. If this is
not case, an internal inconsistency will be detected and an ``error''
indicated in the detailed data file.
A number of data elements have ``if applicable'' contingency
relationships with other data elements in the detailed record. For
example, if the Foster Family Structure has only a single parent, then
the appropriate sex of the Single Female/Male element in the ``Year of
Birth'' and ``Race/Origin'' elements must be completed and the ``non-
applicable'' fields for these elements are to be filled with zero's or,
for dates, left blank.
The internal consistency validations that will be performed on the
foster care detailed data are as follows:
(1) The Local Agency must be the county or a county equivalent unit
which has responsibility for the case. The 5 digit Federal Information
Processing Standard (FIPS) code must be used.
(2) If Date of Latest Removal From Home (Element 21) is less than
nine months prior to the Report Period Ending Date (Element 2) then the
Date of Most Recent Periodic Review (Element 5) may be left blank.
(3) If Date of Latest Removal From Home (Element 21) is greater than
nine months from Report Date (Element 2) then the Date of Most Recent
Periodic Review (Element 5) must not be more than nine months prior to
the Report Date (Element 2).
(4) If a child is identified as having a disability(ies) (Element
10), at least one Type of Disability Condition (Elements 11-15) must be
indicated. Enter a zero (0) for disabilities that do not apply.
(5) If the Total Number of Removals From Home to Date (Element 19)
is one (1), the Date Child was Discharged From Last Foster Care Episode
(Element 20) must be blank.
(6) If the Total Number of Removals From Home to Date (Element 19)
is two or more, then the Date Child was Discharged From Last Foster Care
Episode (Element 20) must not be blank.
(7) If Data Child was Discharged From Last Foster Care Episode
(Element 20) exists, then this date must be a date prior to the Date of
Latest Removal From Home (Element 21).
(8) The Date of Latest Removal From Home (Element 21) must be prior
to the Date of Placement in Current Foster Care Setting (Element 23).
(9) At least one element between elements 26 and 40 must be answered
by selecting a ``1''. Enter a zero (0) for conditions that do not apply.
(10) If Current Placement Setting (Element 41) is a value that
indicates that the child is not in a foster family or a pre-adoptive
home, then elements 49-55 must be zero (0).
(11) At least one element between elements 59 and 65 must be
answered by selecting a ``1''. Enter a zero for sources that do not
apply.
(12) If the answer to the question, ``Has this child ever been
adopted?'' (Element 16) is ``1'' (Yes), then the question, ``How old was
the child when the adoption was legalized?'' (Element 17) must have an
answer from ``1'' to ``5.''
(13) If the Date of Most Recent Periodic Review (Element 5) is not
blank, then Manner of Removal From Home for Current Placement Episode
(Element 25) cannot be option 3, ``Not Yet Determined.''
(14) If Reason for Discharge (Element 58) is option 3, ``Adoption,''
then Parental Rights Termination dates (Elements 46 and 47) must not be
blank.
(15) If the Date of Latest Removal From Home (Element 21) is
present, the Date of Latest Removal From Home Transaction Date (Element
22) must be present and must be later than or equal to the Date of
Latest Removal From Home (Element 21).
(16) If the Date of Discharge From Foster Care (Element 56) is
present, the Date of Discharge From Foster Care Transaction Date
(Element 57) must be present and must be later than or equal to the Date
of Discharge From Foster Care (Element 56).
(17) If the Date of Discharge From Foster Care (Element 56) is
present, it must be after the Date of Latest Removal From Home (Element
21).
(18) In Elements 8, 52, and 54, race categories (``a'' through
``e'') and ``f. Unable to Determine'' cannot be coded ``0,'' for it does
not apply. If any of the race categories apply and are coded as ``1''
then ``f. Unable to Determine'' cannot also apply.
b. Out-of-Range Standards.
Out-of-range standards relate to the occurrence of values in
response to data elements that exceed, either positively or negatively,
the acceptable range of responses to the question. For example, if the
acceptable responses to the element, Sex of the Adoptive Child, is ``1''
for a male and ``2'' for a female, but the datum provided in the element
is ``3,'' this represents an out-of-range response situation.
Out-of-range comparisons will be made for all elements. The
acceptable values are described in Appendix A, Section I.

3. Missing Data Standards

The term ``missing data'' refers to instances where data for an
element are required but are not present in the submission.

[[Page 292]]

Data elements with values of ``Unable to Determine,'' ``Not Yet
Determined'' or which are not applicable, are not considered missing.
a. In addition, the following situations will result in converting
data values to a missing data status:
(1) Data elements whose values fail internal consistency validations
as outlined in A.2.a.(1)-(18) above, and
(2) Data elements whose values are out-of-range.
b. The maximum amount of allowable missing data is dependent on the
data elements as described below:
(1) No Missing Data.
The data for the elements listed below must be present in all
records in the submission. If any record contains missing data for any
of these elements, the entire submission will be considered missing and
processing will not proceed.

(2) Less Than Ten Percent Missing Data.
The data for the elements listed below cannot have ten percent or
more missing data without incurring a penalty.

------------------------------------------------------------------------
Element No. Element description
------------------------------------------------------------------------
05............................... Date of most recent periodic, review.
06............................... Child's date of birth.
07............................... Child's sex.
08............................... Child's race.
09............................... Child's Hispanic or Latino Ethnicity
10............................... Does child have a disability(ies)?
11-15............................ Type of disability (at least one must
be selected).
16............................... Has child been adopted?
17............................... How old was child when adoption was
legalized?
18............................... Date of first removal from home.
19............................... Total number of removals from home to
date.
20............................... Date child was discharged from last
foster care.
21............................... Date of latest removal from home.
22............................... Removal transaction date.
23............................... Date of placement in current foster
care setting.
24............................... Number of previous placement settings
during this removal episode.
25............................... Manner of removal from home for
current placement episode.
26-40............................ Actions or conditions associated with
child's removal (at least one must
be selected).
41............................... Current placement setting.
42............................... Out of State placement.
43............................... Most recent case plan goal.
44............................... Caretaker family structure.
45............................... Year of birth of 1st principal
caretaker.
46............................... Year of birth of 2nd principal
caretaker.
47............................... Date of mother's parental rights
termination.
48............................... Legal of putative father parental
rights termination date.
49............................... Foster family structure.
50............................... Year of birth of 1st foster
caretaker.
51............................... Year of birth of 2nd foster
caretaker.
52............................... Race of 1st foster caretaker.
53............................... Hispanic or Latino Ethnicity of 1st
foster caretaker
54............................... Race of 2nd foster caretaker.
55............................... Hispanic or Latino Ethnicity of 2nd
foster caretaker
56............................... Date of discharge from foster care.
57............................... Foster care discharge transaction
date.
58............................... Reason for discharge.
59-65............................ Sources of Federal support/assistance
for child (at least one must be
selected).
66............................... Amount of monthly foster care payment
(regardless of source).
------------------------------------------------------------------------

c. Penalty Processing.
Missing data are a major factor in determining the application of
the penalty provisions of this regulation.
(1) Selection Rules.
All data elements will be used in calculating the missing data
provision of the penalty unless one of the following limiting rules
applies to the detailed case record.
(a) If Date of Latest Removal From Home (Element 21) and the Date of
Discharge From Foster Care (Element 56) is less than 30 days, then the
following date elements are the only ones to be used in evaluating the
missing data provisions for purposes of penalty calculation:

Elements
1 to 4
6 to 9
21 and 22
41 and 42
56 to 58

(b) If Date of Latest Removal From Home (Element 18) is prior to
October 1, 1995, then the following data elements are the only ones to
be used in evaluating the missing data provisions for purposes of
penalty calculation:

Elements
1 to 4
6 to 9
21 and 22
41 and 43
56 to 58

(2) Penalty Calculations.
The percentage calculation will be performed for each data element.
The total number of detailed records that are included by the selection
rules in 3.c.(1), will serve as the denominator. The number of missing
data occurrences for each element will serve as the numerator. The
result will be multiplied by one hundred. The penalty is invoked when
any one element's missing data percentage is ten percent or greater.

[[Page 293]]

4. Timeliness of Foster Care Data Reports

The semi-annual reporting periods will be as of the end of March and
September for each year. The States are required to submit reports
within 45 calendar days after the end of the semi-annual reporting
period.
Computer generated transaction dates indicate the date when key
foster care events are entered into the State's computer system. The
intent of these transaction dates is to ensure that information about
the status of children in foster care is recorded and, thus, reported in
a timely manner.
a. Date of Latest Removal From Home
The Date of Latest Removal From Home Transaction Date (Element 22)
must not be more than 60 days after the Date of Latest Removal From Home
(Element 21) event.
b. Date of Discharge From Foster Care
The Date of Discharge From Foster Care Transaction Date (Element 57)
must not be more than 60 days after the Date of Discharge From Foster
Care (Element 56) event.
For purposes of penalty processing, ninety percent of the records in
a detailed data submission, must indicate that:
(1) The difference between the Date of Latest Removal From Home
Transaction Date (Element 22) and the Date of Latest Removal From Home
(Element 21) event is 60 days or less;

and, where applicable,

(2) The difference between the Date of Discharge From Foster Care
Transaction Date (Element 57), and the Date of Discharge From Foster
Care (Element 56) event is 60 days or less.

B. Adoption

1. Summary Data Elements File Submission Standards

A summary file must accompany the detailed Data Elements File
submission. Both files must be sent through electronic means (see
appendix C for details). This summary will be used to verify the
completeness of the Detailed Data File submission received.
a. The summary file should be a discrete file separate from the
semi-annual reporting period detailed data file. The record layout for
the summary file is included in appendix D, section B.2.c. All data must
be included. If the value for a numeric field is zero, zero must be
entered.
b. The Department will develop a second summary file by computing
the values from the detailed data file received from the State. The two
summary files (the one submitted by the State and the one created during
Federal processing) will be compared, field by field. If the two files
match, further validation of the detailed data elements will commence.
(See section B.2 below.) If the two summary files do not match, we will
assume that there has been an error in transmission and will request a
retransmission from the State within 24 hours of the time the State has
been notified. In addition, a log of these occurrences will be kept as a
means of cataloging problems and offering suggestions on improved
procedures.

2. Detailed Data Elements File Submission Standards

a. Internal Consistency Validations
Internal consistency validations involve evaluating the logical
relationships between data elements in a detailed record. For example,
an adoption cannot be finalized until parental rights have been
terminated. Thus, the dates of Mother/Father Termination of Parental
Rights, elements must be present and the dates must be prior to the
``Date Adoption Legalized.'' If this is not the case, an internal
inconsistency will be detected and an ``error'' indicated in the
detailed data file.
A number of data elements have ``if applicable'' contingency
relationships with other data elements in the detailed record. For
example, if the Adoptive Parent is single, then the appropriate sex of
the single female/male element in the ``Family Structure,'' ``Year of
Birth'' and ``Race/Origin'' elements must be completed and the ``non-
applicable'' fields for these elements are to be filled with zeros or
left blank.
The internal consistency validations that will be performed on the
adoption detailed data are as follows:
(1) The Child's Date of Birth (Element 5) must be later than both
the Mother's and Father's Year of Birth (Elements 16 and 17) unless
either of these is unknown.)
(2) If the State child welfare agency has determined that the child
is a special needs child (Element 9), then ``the primary basis for
determining that this child has special needs'' (Element 10) must be
completed. If ``the primary basis for determining that this child has
special needs'' (Element 10) is answered by option ``4,'' then at least
one element between Elements 11-15, ``Type of Disability,'' must be
selected. Enter a zero (0) for disabilities that do not apply.
(3) Dates of Parental Rights Termination (Elements 19 and 20) must
be completed and must be prior to the Date Adoption Legalized (Element
21).
(4) If ``Is a monthly financial subsidy being paid for this child''
(Element 35) is answered negatively, ``2'', then Element 36 must be zero
(0) and ``Is the subsidy paid under Title IV-E adoption assistance''
(Element 37) must be a ``2''.
(5) If the ``Child Was Placed By'' (Element 34) is answered with
option 1, ``Public Agency,'' then the question, ``Did the State Agency
Have any Involvement in This Adoption'' (Element 4) must be ``1''.
(6) If the ``Relationship of Adoptive Parent(s) to the Child,''
``Foster Parent of

[[Page 294]]

Child'' (Element 31) is selected, then the question, ``Did the State
Agency Have any Involvement in This Adoption'' (Element 4) must be
``1''.
(7) If ``Is a monthly financial subsidy being paid for this child?''
(Element 35) answered ``1,'' then the question, ``Did the State Agency
Have any Involvement in This Adoption'' (Element 4) must be ``1.''
(8) If the ``Family Structure'' (Element 22) is option 3, Single
Female, then the Mother's Year of Birth (Element 23), the ``Adoptive
Mother's Race'' (Element 25) and ``Hispanic or Latino Ethnicity''
(Element 26) must be completed. Similarly, if the ``Family Structure''
(Element 22) is option 4, Single Male, then the Father's Year of Birth
(Element 24), the Adoptive Father's Race'' (Element 27) and ``Hispanic
or Latino Ethnicity'' (Element 28) must be completed. If the ``Family
Structure'' (Element 22) is option 1 or 2, then both Mother's and
Father's ``Year of Birth,'' ``Race'' and ``Hispanic or Latino
Ethnicity'' must be completed.
(9) In Elements 7, 25, and 27, race categories (``a'' through ``e'')
and ``f. Unable to Determine'' cannot be coded ``0,'' for it does not
apply. If any of the race categories apply and are coded as ``1'' then
``f. Unable to Determine'' cannot also apply.
b. Out-of-Range Standards.
Out-of-range standards relate to the occurrence of values in
response to data elements that exceed, either positively or negatively,
the acceptable range of responses to the question. For example, if the
acceptable response to the element, Sex of the Adoptive Child, is ``1''
for a male and ``2'' for a female, but the datum provided in the element
is ``3,'' this represents an out-of-range response situation.
Out-of-range comparisons will be made for all elements. The
acceptable values are described in appendix B, section I.

3. Missing Data Standards

The term ``missing data'' refers to instances where data for an
element are required but are not present in the submission. Data
elements with values of ``Unable to Determine,'' ``Other'' or which are
not applicable, are not considered missing.
a. In addition, the following situations will result in converting
data values to a missing data status:
(1) Data elements whose values fail internal consistency validations
as outlined in 2.a.(1)-(9) above, and
(2) Data elements whose values are out-of-range.
b. The maximum amount of allowable missing data is dependent on the
data elements as described below.
(1) No Missing Data.
The data for the elements listed below must be present in all
records in the submission. If any record contains missing data for any
of these elements, the entire submission will be considered missing and
processing will not proceed.

(2) Less Than Ten Percent Missing Data
The data for the elements listed below cannot have ten percent or
more missing data without incurring a penalty.

------------------------------------------------------------------------
Element No. Element name
------------------------------------------------------------------------
05............................... Child's date of birth.
06............................... Child's sex.
07............................... Child's race.
08............................... Is the child of Hispanic or Latino
ethnicity?
09............................... Does child have special needs?
10............................... Indicate the primary basis for
determining that the child has
special needs. (If Element 09 is
yes, you must answer this question.)
11-15............................ Type of special need (at least one
must be selected.)
16............................... Mother's year of birth.
17............................... Father's year of birth.
18............................... Was mother married at time of child's
birth?
19............................... Date of mother's termination of
parental rights.
20............................... Date of father's termination of
parental rights.
21............................... Date adoption legalized.
22............................... Adoptive parent(s)' family structure.
23............................... Mother's year of birth.
24............................... Father's year of birth.
25............................... Adoptive mother's race.
26............................... Hispanic or Latino ethnicity of
mother
27............................... Adoptive father's race.
28............................... Hispanic or Latino ethnicity of
father
29-32............................ Relationship of adoptive parent(s) to
child (at least one must be
selected.)
33............................... Child placed from.
34............................... Child placed by.
35............................... Is a monthly financial subsidy paid
for this child?
36............................... If yes, the monthly amount is?
37............................... Is the child receiving Title IV-E
adoption assistance? (If Element 35
is a ``1'' (Yes) an answer to this
question is required.)
------------------------------------------------------------------------

c. Penalty Processing.
Missing data are a major factor in determining the application of
the penalty provisions of this regulation.
(1) Selection Rules.
Only the adoption records with a ``1'' (Yes) answer in Element 4,
``Did the State Agency have any Involvement in this adoption'' will be
subject to the penalty assessment process.
(2) Penalty Calculations.
The percentage calculation will be performed for each data element.
The total number of detailed records will serve as the denominator and
the number of missing data occurrences for each element will serve as
the numerator. The result will be multiplied by one hundred. The penalty
is invoked when

[[Page 295]]

any one element's missing data percentage is ten percent or greater.

4. Timeliness of Adoption Data Reports

The semi-annual reporting periods will be as of the end of March and
September for each year. The States are required to submit reports
within 45 calendar days after the end of the semi-annual reporting
period.
For penalty assessment purposes, however, no specific timeliness of
data standards apply. Data on adoptions should be submitted as promptly
after finalization as possible.
The desired approach to reporting adoption data is that adoptions
should be reported during the reporting period in which the adoption is
legalized. Or, at the State's option, they can be reported in the
following reporting period if the adoption is legalized within the last
60 days of the reporting period.
Negative reports must be submitted for any semi-annual period in
which no adoptions have been legalized.

[58 FR 67934, Dec. 22, 1993; 59 FR 13535, Mar. 22, 1994, as amended at
60 FR 40508, Aug. 9, 1995]

Appendix F to Part 1355

Allotment of Funds With 427 Incentive Funds Title IV-B Child Welfare Services Fiscal Year 1993
----------------------------------------------------------------------------------------------------------------
Allotment at Allotment at 427 incentive
Name of State $294,624,000 \1\ $141,000,000 \1\ funds
----------------------------------------------------------------------------------------------------------------
Alabama................................................ 5,798,251 2,771,128 3,027,123
Alaska................................................. 674,777 355,179 319,598
Arizona................................................ 4,781,390 2,291,632 2,489,758
Arkansas............................................... 3,495,975 1,685,501 1,810,474
California............................................. 30,048,818 14,206,363 15,842,455
Colorado............................................... 3,844,876 1,850,024 1,994,852
Connecticut............................................ 2,065,826 1,011,122 1,054,704
Delaware............................................... 763,822 397,168 366,654
Dist of Col............................................ 448,212 248,344 199,868
Florida................................................ 12,946,006 6,141,615 6,804,391
Georgia................................................ 8,386,050 3,991,391 4,394,659
Hawaii................................................. 1,281,048 641,063 639,985
Idaho.................................................. 1,734,494 854,884 879,610
Illinois............................................... 12,157,021 5,769,574 6,387,447
Indiana................................................ 7,115,189 3,392,123 3,723,066
Iowa................................................... 3,565,712 1,718,385 1,847,327
Kansas................................................. 3,083,341 1,490,926 1,592,415
Kentucky............................................... 5,192,133 2,485,316 2,706,817
Louisiana.............................................. 6,750,330 3,220,076 3,530,254
Maine.................................................. 1,533,067 759,902 773,165
Maryland............................................... 4,256,288 2,044,023 2,212,265
Massachusetts.......................................... 4,566,755 2,190,422 2,376,333
Michigan............................................... 10,860,253 5,158,089 5,702,164
Minnesota.............................................. 5,092,532 2,438,349 2,654,183
Mississippi............................................ 4,437,556 2,129,499 2,308,057
Missouri............................................... 6,217,709 2,968,921 3,248,788
Montana................................................ 1,211,809 608,414 603,395
Nebraska............................................... 2,136,670 1,044,528 1,092,142
Nevada................................................. 1,326,362 662,431 663,931
New Hampshire.......................................... 1,078,123 545,375 532,748
New Jersey............................................. 5,307,662 2,539,793 2,767,869
New Mexico............................................. 2,493,475 1,212,778 1,280,697
New York............................................... 15,530,358 7,360,253 8,170,105
North Carolina......................................... 8,326,069 3,963,107 4,362,962
North Dakota........................................... 982,955 500,499 482,456
Ohio................................................... 13,052,582 6,191,871 6,860,711
Oklahoma............................................... 4,428,365 2,125,165 2,303,200
Oregon................................................. 3,576,418 1,723,434 1,852,984
Pennsylvania........................................... 12,649,960 6,002,017 6,647,943
Rhode Island........................................... 1,070,439 541,752 528,687
South Carolina......................................... 5,101,221 2,442,447 2,658,774
South Dakota........................................... 1,107,009 558,996 548,013
Tennessee.............................................. 6,328,617 3,021,219 3,307,398
Texas.................................................. 23,687,998 11,206,947 12,481,051
Utah................................................... 3,478,384 1,667,206 1,801,178
Vermont................................................ 749,584 390,454 359,130
Virginia............................................... 6,321,841 3,018,024 3,303,817
Washington............................................. 5,667,518 2,709,481 2,958,037
West Virginia.......................................... 2,564,554 1,246,294 1,318,260

[[Page 296]]

Wisconsin.............................................. 6,033,052 2,881,847 3,151,205
Wyoming................................................ 751,264 391,247 360,017
----------------------------------------------------------------------------------------------------------------
\1\ These totals include allotments to the United States Territories. Therefore, the summation of the States'
allotments will not be equivalent.

[58 FR 67937, Dec. 22, 1993, as amended at 65 FR 4087, Jan. 25, 2000]