Technical Bulletin #8 AFCARS State Data Compliance Utility Version 3.0 REVISED: March, 20001, 2, 3

This technical bulletin provides guidance for installing and executing the AFCARS Data Compliance Utility (DCU), version 3.0. It also provides information to the States on how to properly use the utility and interpret the data reports generated by the utility.

This utility is made available to States to assist them in assessing the compliance of their data with AFCARS standards prior to submission of the data to ACF.

1. GENERAL INFORMATION

   1. Background

      The Data Compliance Utility (DCU) was created as a way to provide technical assistance to States. The DCU incorporates only those edit checks required to assess the States compliance with the standards in 45 CFR 1355.40. The Children's Bureau developed the utility in order to inform the States of their compliance status on the data being submitted in the Adoption and Foster Care Analysis and Reporting System (AFCARS). The utility is also on the Federal AFCAR system and is what is used to assess the data's compliance with each of the required standards.

      ACF encourages the States to use this utility prior to submitting the data to ACF. In order to optimize the usefulness of this utility, States should incorporate this utility as a routine task in quality control of the AFCARS data and assess the data on a regular basis, such as quarterly.

   2. Overview

      This technical bulletin provides guidance for installing and executing the AFCARS State Data Compliance Utility (DCU) version 3.0. The utility uses the same logic as the Federal AFCAR system. A diagram of the programming logic has been included in Appendix C. The utility will only work on an AFCARS data file that has been formatted according to Technical Bulletin #2: AFCARS File Format.

      The utility will create two files that contain the same four reports that a State receives from the Federal system:

      • A file that contains a Foster Care Data Compliance Detailed Report and a Foster Care Data Compliance Summary Report.
      • A file that contains an Adoption Data Compliance Detailed Report and an Adoption Data Compliance Summary Report.

      Directions on how to interpret these reports are included in this document in Section 3.

   3. Utility Files

      Software has been distributed to all States and the District of Columbia. The software can also be downloaded from the Children's Bureau's AFCARS web site at /programs/cb/afcars/index.htm. The utility source code file is available in the C programming language and a PC-compatible executable in C.

      Following is a complete listing of the utility files:

      C Files:
      
      CHKDAT3.EXE (executable)
      CHKDAT3.C (source code)

      ASCII file:
      
      FIPS.LST (contains a list of valid local agency FIPS codes)

   4. Options for Using the Utility

      ACF is providing both source code and executable files to allow the States to select their own approach for checking their AFCARS data. Two options are listed below:

      1. Use an executable file.This is the easiest option. Simply copy the executable and the "FIPS.LST" file to the PC where the AFCARS data submission file is stored and execute it. The executable will only run on a PC under DOS.
      2. Use the source code.This option provides the flexibility to execute the utility on different computer platforms. The source code and the "FIPS.LST" file can be copied to a PC or mainframe. The code must then be compiled. The code may be edited to include additional checks at the State's option.However, ACF cannot guarantee the validity of reports created by the utility if the source code is modified in any way from its original form.

   5. C Source Code and Executable Files

      The executable written in C follows the logical diagram included in Appendix C of this bulletin.

      To compile the source code (with or without making modifications) either on a PC or another platform, a C compiler should be available. The C code requires a compiler that meets the ANSI-C standard.

2. USING THE DATA COMPLIANCE UTILITY

   1. Installing the Software

      Copy the executable file for the AFCARS State DCU file and the "FIPS.LST" file to an IBM 386 (or higher), or a compatible personal computer running DOS 3.0 or higher.

      When using the source code, copy the source code and the "FIPS.LST" files to the platform where the C compiler is located. Then make any modifications and compile the source code.

      IMPORTANT NOTICE: The "FIPS.LST" file contains a list of valid local agency FIPS codes which the AFCARS Data Compliance Utility uses to validate foster care element #3. When executing the utility, the "FIPS.LST" file must be contained in the same directory as the executable. Otherwise, the utility will not work properly.

   2. Checking State Data Files

      IMPORTANT NOTICE: The AFCARS State DCU executable will process only files formatted as specified in "AFCARS Technical Bulletin #2: File Format" and will not process files in EBCDIC and/or other non-ASCII formats.

      Execute the command by typing, or selecting, the name of the executable that has been copied or compiled (i.e.,CHKDAT3.exe).

      The program will then prompt the user for four things:

      1. The name of the AFCARS file to be checked. This file contains the State client identifier numbers that may be encrypted or sequential. The data file submitted to the Federal AFCARS should have the client identification number either encrypted or in sequential order.
      2. The name to be used for the file that will be generated by the program that contains the two foster care report files.
      3. The name to be used for the file that will be generated by the program that contains the two adoption report files.
      4. The user State's two-digit Federal Information Processing Standard (FIPS) code (please refer to the "AFCARS Guide to the Foster Care Elements").

      The program will then process the data file. If the file is not formatted correctly, the utility will not run properly so it is important that the directions are followed as listed in AFCARS Technical Bulletin #2 when creating the file.

      After the program has completed processing, the two report files generated may be viewed or printed by using any text editor. A word processing software package such as WordPerfect or Microsoft Word may also be used to view the file. If a word processor is used, be sure to use a non-scalable font (we suggest Courier 12 cpi) when printing the file. Otherwise, the reports will not print properly.

3. INTERPRETING AFCARS DATA REPORTS

   1. Overview

      This section provides guidance on how to interpret the AFCARS data compliance reports generated by the AFCARS State DCU. These reports are exactly the same as the reports generated by the Federal AFCAR system and sent to the State after any AFCARS data file is submitted and processed.

      There are two types of reports for foster care and adoption data. The "Data Compliance Detailed Report" gives a breakdown of errors for each record. The "Data Compliance Summary Report" is a summary report that gives the total of each type of error for each element. Examples of both reports are included in Appendix A.

   2. Special Information

      In order to interpret the AFCARS data compliance reports there are a few caveats that need to be kept in mind regarding the AFCARS data requirements.

      1. Subject Records

         You will note that in the data compliance summary report the number of records in the "subject records" column will differ from element to element. This is because every element is not subject to compliance assessment. This could be due to the relationship/dependence of one element on another, or because the element is not a core element (see below for discussion on core elements).

      2. Foster Care

         In the AFCARS foster care data set there are "core" data elements (see Appendix A of 45 CFR 1355 for core elements). Core data elements are the only elements that are assessed for errors in one of two situations:

         • Children who were in foster care for 30 days or less; or
         • The child entered foster care prior to October 1, 1995 and is still in the same removal episode.²

         If a record meets one of the above criteria, then only those core elements listed in the Federal regulation will be considered for compliance purposes. The Children's Bureau recommends that the State complete as much of the remaining information as possible.

         For either of these criteria to be accounted for by the DCU, the "date of latest removal" (foster care element #21) must have no errors. Therefore, any record in which foster care element #21 fails the missing check (see section III.D.1 below), the out-of-range check (see section III.D.2, below), or any internal consistency check (see section III.D.3 below) will require ALL foster care elements to be completed.

      3. Adoption

         All data elements are required for adoption if the record meets one of the three criteria for State agency involvement in Appendix B of 45 CFR 1355. If the response to adoption element #4 is "no", then only elements #1-4 are required. The Children's Bureau encourages the submission of information on all voluntary adoptions.

         Any record in which adoption element #4 fails the missing check, the out-of-range check, or any internal consistency check will require ALL adoption elements to be completed.

   3. Data Compliance Detailed Reports

      The data compliance detailed report lists all of the errors found by the utility. The first column in the report gives the record number, which is element #4 for foster care and element #3 for adoption.

      This column may contain different information in the report generated by the utility than the report that is received back from the Federal system if the file on which the utility is run contained the actual State client identifier. The file that is submitted to the Federal system must contain either sequential numbers or encrypted versions of the State identifier.

      The remaining columns represent the element numbers (sixty-six for foster care, thirty-seven for adoption). If there is a "." in a column, the element had no errors in it. If there is not a "." there has been one of several errors. These errors are described below. Note that within a record, no element will be marked with more than one error. Therefore, if an element is found to be out of range it will not be subject to any further edit checks. Elements will be tested for the following errors:

      C.1 Missing

      A "1" in the detailed report indicates the element was found to be missing. This means that the element was required, but was left blank in the record and, in the case of race elements, all blanks. While there are certain elements that are allowed to be left blank, if they are not applicable to the record, most require that some value be entered.

      C.2 Out-of-Range

      A "2" in the detailed report indicates the element in that record was out-of-range (i.e., not an allowable value). Allowable values for coded elements are those values that are given in the Appendices A and B of 45 CFR 1355. Allowable values for data elements are formatted according to Appendices A and B of 45 CFR 1355. With the exception of the record number (element #4 in foster care, element #3 in adoption), all elements must contain only digits or blanks and no other characters.

      C.3 Internal Consistency Error

      An uppercase letter ("A", "B", "C", etc.) in the detailed report indicates that an internal consistency check has failed. There are nine adoption consistency checks and eighteen foster care consistency checks enumerated in Appendix E of 45 CFR 1355. These are the only consistency checks performed by this utility. The letter in the report corresponds to the legend, printed at the end of the detailed report, which indicates which elements were involved in the inconsistency.

      Also, these checks will be performed exactly as they appear in Appendix E, 45 CFR 1355. For example, foster care Internal Consistency Check #4 states:

      "If a child is identified as having a disability(ies) (foster care element #10), at least one "type of disability condition" (foster care elements #11-#15) must be indicated..."

      In this case, the record will only fail this check if foster care element #10 indicates the child has a disability but none of foster care elements #11-#15 indicates any type of disability. If, however, the record indicates that the child has a particular type of disability (in foster care elements #11-#15) but foster care element #10 indicates that the child has no disability, the record willnotfail the internal consistency check.

      There are three other important points to keep in mind about internal consistency checks:

      1. Only those internal consistency checks whereallelements involved are required in the record will be performed. Therefore, if the record only requires core elements, no internal consistency checks involving one or more non-CORE elements will be performed.
      2. If an element for a particular record was found to contain either missing or out-of-range data, then no internal consistencies that involve that element will be performed on the record. If an element has already failed one internal consistency check, no further internal consistency checks that involve that element will be performed on that record. The exception to this is internal foster care consistency check #13, which will still be performed even if foster care element #5 has failed foster care data internal consistency check #3.
      3. If an internal consistency check fails, all of the elements that are involved in the check will be considered to be in error (e.g., if foster care internal consistency check #4 fails then foster care elements #10-#15 will all be marked as errors for that record). The exception to this is foster care data internal consistency check #3, which will only mark foster care element #5 as failing check #3 if it fails.

      A full list of the internal consistency checks is included in Appendix B.

      C.4 Timeliness

      In the detailed data compliance report, a "3" for foster care elements #22 and #57 (transaction date of latest removal and transaction date of discharge, respectively) indicate that the element failed the timeliness standard as described in 45 CFR 1355 (i.e., the date entered is more than 60 days after the date of the actual occurrence).

      These elements should reflect thedate of data entryof the associated data element. For example, if the "date of latest removal" (foster care element #21) for a child is March 1, 1995, and that date is entered into the systemfor the first timeon March 20, 1995, then foster care element #22 should be 19950320 (March 20, 1995).

      IMPORTANT NOTICE: These elements should not change when a date is corrected in the system. In the example above, if the worker realizes that the "date of latest removal" for the current episode was actually March 2, 1995 and makes that modification to the system on April 20, 1995, the transaction date (foster care element #22) should still remain 19950320 (March 20, 1995), the date that the "date of latest removal" for the current episode was first entered.

      Since it is impossible for a State to change a transaction date, it will only be considered as a timeliness error in the first report that it occurs. For example, if a record indicates that a child's "date of latest removal" is January 1, 1995 and the transaction date indicates that this information was not entered into the system until March 20, 1995 (more than 60 days later), the transaction date will be subject to penalty for the period ending March 31, 1995.

      If, however, that same child is still in the same removal episode during the next reporting period (and, therefore, the date of latest removal has not changed) then the transaction date will not be subject to penalty in that reporting period.

      The transaction dates are used to ensure that these dates are being entered into the State information system in a timely manner. To that end, there is a requirement that no more that 10% of the cases can have a transaction date of latest removal that is more than 60 days beyond the actual date latest removal. Also, no more than 10% of the cases can have a transaction date of discharge that is more than 60 days beyond the actual date of discharge.

   4. Data Compliance Summary Reports

      The data compliance summary report is provided for two reasons: 1) to allow the user to evaluate whether the data would exceed the standard (10%), as stated in the AFCARS regulation (45 CFR 1355), if it were submitted to the Federal AFCAR system; and 2) to assist the user in determining problems/errors in the data.

      There are three types of errors that may appear in the foster care and adoption reports: late submission, format errors, and data errors. In addition to these two, the foster care report also contains timeliness errors.

      D.1 Format Errors

      In order for a file to be received and processed, it must meet the format standards set forth in the regulations, Technical Bulletin #2 (AFCARS File Format)and any other ACF memorandum describing proper file format.

      Format errors appear in the top section of the Data Report.Anyformat error that occurs in a data file submitted could result in the file being found out of compliance.

      The most common type of format error is when the summary file created by the State does not match the summary file that the Federal AFCARS creates using the data in the detail file. This file will be compared with the submitted summary file record. The summary file is included with each detail file for the purpose of ensuring that no error has occurred during transmission, or that the file was not formatted properly by the State. If the number of records do not match, the detail data file will not be validated and the State will be out of compliance for the file. The summary file also lists the number of records for each of the 19 age groups. Another common type of format error is when the number of records in the detail file for these age groups is found inconsistent with the summary file. Therefore, it is very important that the State ensure that the information in the summary file matches the information in the detail file.

      An example of the language that will appear in the data compliance summary report for the age group inconsistencies is given in the sample reports in Appendix A. Below is the language that will be displayed when the number of records in the detailed file does not equal the number of records in the summary file.

      "Foster Care # of Records Not Equal to Summary #

      # of Records in summary file: 1321

      Actual # of records in file: 1322"

      Other "fatal" format errors, which will cause the Federal system and the utility not to process the data, are no file delimiters³and no summary file included. A new format error message has been added due to the change in record length resulting from adding reporting of multi-racial information. If the State does not submit a file in the proper file length, the detailed file will not be validated and the State will be out of compliance for the file. The following error message will appear:

      "Incorrect foster care detailed record length. The file contained 182 characters, the correct record length for new race format is 197 characters for foster care."

      If any of these errors exist in the file, neither the Federal system nor the utility will be able to properly process the file.

      D.2 Data ErrorsData errors are those errors that exist in the data records. This section is a summary of the errors that appear in the data compliance detailed report. Remember, only those elements in records where that element is required will appear in the AFCARS data reports. The data errors appear in the second half of the data report, below the format errors. The data error section has eight columns:

      1. Data Element- the element number.
      2. Missing Data- the number of records where the element was required, but data were not included.
      3. Out-of-Range- the number of records where the element was required, but the response was not an allowable response, e.g., not one of the allowable codes, an invalid date, etc.
      4. Internal Consistency- the number of records where the element was required, but the information given did not meet all of the internal consistencies applicable to it as enumerated
         in 45 CFR 1355.40.
      5. Total Errors- the total number of records with Missing, Out-Of-Range, or Internal Consistency Errors for the element (i.e., the sum of columns 2,3, and 4 above).
      6. Subject Records- the total number of records in which the element was required.
      7. Percent Failing- the percentage of that element that failed (i.e., column 5 divided by column 6).
      8. Exceeded Standard- if column 7 indicates that the element exceeded the allowable percentage of error⁴, this column will have an "X".

      Errors for elements that are not required for a particular record will not appear in columns 2-5. Likewise, the number of subject records (column 6) will not include any records in which an element is not required.

      D.3 Timeliness Errors

      Only the AFCARS foster care data compliance summary file contains a "Timeliness Error" section. This section summarizes the number of timeliness errors that appeared for foster care elements #22 and #57. The Subject Records for this section will include:

      • Foster care element #22: the total number of records in the file.
      • Foster care element #57: the total number of records in the file where there is a validdate of discharge (foster care element #56).

      For a detailed discussion of the timeliness standard, please see the discussion in section III.C.4.

4. ADDITIONAL INFORMATION

   If additional information is required on installing and executing the AFCARS State Data Compliance Utility, please contact the ACF Office of Information Services at (202) 401-1462.

APPENDIX A

SAMPLE REPORTS

Date: 3/3/2000
File: Test_File.dat
AFCARS Foster Care
Data Compliance Detailed Report (Version 3)
Report Period: March, 2000

Total Data Errors: 247

* * * * * *

As reflected in this report, data submitted by the State does not meet the AFCARS standards specified in 45 CFR 1355.40 (e).

* * * * * *

APPENDIX B

INTERNAL CONSISTENCY CHECKS

FOSTER CARE ⁵

A. Internal Consistency Check #1:The Local Agency (foster care element #3) must be the county or county equivalent unit that has responsibility for the case. The 5-digit Federal Information Processing (FIPS) code must be used.

B. Internal Consistency Check #2:If the Date of Latest Removal From Home is less than or equal to nine months prior to the Report Period Ending Date (foster care element #2) then the Date of Most Recent Periodic Review (Element #5) may be left blank.

C. Internal Consistency Check #3:If the Date of Latest Removal From Home is greater than nine months prior to the Report Period Ending Date (foster care element #2) then the Date of Most Recent Periodic Review (foster care element #5) must not be more than nine months prior to the Report Date (foster care element #2).

D. Internal Consistency Check #4:If a child is identified as having a disability(ies) (foster care element #10), at least one Type of Disability Condition (foster care elements #11-#15) must be indicated. Enter a zero (0) for disabilities that do not apply.

E. Internal Consistency Check #5:If the Total Number of Removals From Home to Date (foster care element #19) is one (1), the Date Child Was Discharged From Last Foster Care Episode (foster care element #20) must be blank.

F. Internal Consistency Check #6:If the Total Number of Removals From Home to Date (foster care element #19) is two or more, then the Date Child Was Discharged From Last Foster Care Episode (foster care element #20) must not be blank.

G. Internal Consistency Check #7:If the Date the Child was Discharged From Last Foster Care Episode (foster care element #20) exists, then the date entered for foster care element #20 must be a date prior to the Date of Latest Removal From Home (foster care element #21).

H. Internal Consistency Check #8:The Date of Latest Removal From Home (foster care element #21) must be equal or prior to the Date of Placement in Current Foster Care Setting (foster care element #23).

I. Internal Consistency Check #9:At least one element between foster care elements #26 - #40 must be answered by selecting a "1". Enter a zero (0) for conditions that do not apply.

J. Internal Consistency Check #10:If Current Placement Setting (foster care element # 41) is a value that indicates that the child is not in a foster family or pre-adoptive home, then foster care elements #49-#51, #53 and #55 must be zero (0); and foster care elements #52 and #54 may be a combination of all blanks and zeros (0s).

K. Internal Consistency Check #11:At least one element between foster care elements #59 - #65 must be answered by selecting a "1". Enter a zero for sources that do not apply.

L. Internal Consistency Check #12:If the answer to the question, "Has this child ever been adopted?" (foster care element #16) is "1" (Yes), then the question, "How old was the child when adoption was legalized?" (foster care element #17) must have an answer from "1" to "5".

M. Internal Consistency Check #13:If the Date of Most Recent Periodic Review (foster care element #5) is not blank, then Manner of Removal From Home For Current Placement Episode (foster care element #25) cannot be option 3, "Not Yet Determined."

N. Internal Consistency Check #14:If Reason for Discharge (foster care element #58) is option 3, "Adoption," then Parental Rights Termination dates (foster care elements #47 and #48) must not be blank.

O. Internal Consistency Check #15:If the Date of Latest Removal From Home (foster care element #21) is present, the Date of Latest Removal From Home Transaction Date (foster care element #22) must be present and must be later than or equal to the Date of Latest Removal From Home (foster care element #21).

P. Internal Consistency Check #16:If the Date of Discharge From Foster Care (foster care element #56) is present, the Date of Discharge from Foster Care Transaction Date (foster care element #57) must be present and must be later than or equal to the Date of Discharge From Foster Care (foster care element #56).

Q.Internal Consistency Check #17:If the Date of Discharge from Foster Care (foster care element #56) is present, it must be after the Date of Latest Removal from Home (foster care element #21).

R. Internal Consistency Check #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.

ADOPTION ⁶

A. Internal Consistency Check #1:The Child's Date of Birth (adoption element #5) must be later than both the Mother's and Father's Year of Birth (adoption element #16 and #17), unless either of these is unknown.

B. Internal Consistency Check #2:If the State child welfare agency has determined that the child is a special needs child (adoption element #9), then "the primary basis for determining that this child has special needs" (adoption element #10) must be completed. If "the primary basis for determining that this child has special needs" (adoption element #10) is answered by option "4", then at least one element between adoption elements #11-#15, "Type of Disability," must be selected. Enter a zero (0) for disabilities that do not apply.

C. Internal Consistency Check #3:Dates of Parental Rights Termination (adoption elements #19 and #20) must be completed and must be prior to the Date Adoption Legalized (adoption element #21).

D. Internal Consistency Check #4:If "Is a monthly financial subsidy being paid for this child" (adoption element #35) is answered negatively, "2", then adoption element #36 must be zero (0) and "Is the subsidy paid under title IV-E adoption assistance" (adoption element #37) must be a "2".

E. Internal Consistency Check #5:If the "Child Was Placed By" (adoption element #34) is answered with option 1, "Public Agency," then the question, "Did the State Agency Have any Involvement in this Adoption" (adoption element #4) must be "1".

F. Internal Consistency Check #6:If the "Relationship of Adoptive Parent(s) to the Child - Foster Parent" (adoption element #31) is selected, then the question, "Did the State Agency Have any Involvement in This Adoption" (adoption element #4) must be "1".

G. Internal Consistency Check #7:If "Is a monthly financial subsidy being paid for this child?" (adoption element #35) is answered "1", then the question, "Did the State Agency Have any Involvement in This Adoption" (adoption element #4) must be "1".

H. Internal Consistency Check #8:If the "Family Structure" (adoption element #22) is option 3, Single Female, then the Mother's Year of Birth (adoption element #23), the "Adoptive Mother's Race" (adoption element #25) and "Hispanic or Latino Ethnicity" (adoption element #26) must be completed. Similarly, if the "Family Structure" (adoption element #22) is option 4, Single Male, then the Father's Year of Birth (adoption element #24), the "Adoptive Father's Race" (adoption element #27) and "Hispanic or Latino Ethnicity" (adoption element #28) must be completed. If the "Family Structure" (adoption element #22) is option 1 or 2, then both Mother's and Father's "Year of Birth" (adoption elements #23 and #24), "Race" (adoption elements #25 and #27) and "Hispanic or Latino Ethnicity" (adoption elements #26 and #28) must be completed.

I. Internal Consistency Check #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.

APPENDIX C

PROGRAMMING LOGIC DIAGRAM

¹ Initial issuance date August 31, 1995 as TB #12;
² Revised for century date format August 31, 1996, see ACYF-IM-CB-96-08, issued April 17, 1996 and 65 FR 4019;
³ Revised for race category format, see ACYF-CB-PI-99-01, January 27, 1999, and 65 FR 4019.