95-19679. Title IV-B and Title IV-E of the Social Security Act: Data Collection for Foster Care and Adoption  

  • [Federal Register Volume 60, Number 153 (Wednesday, August 9, 1995)]
    [Rules and Regulations]
    [Pages 40505-40508]
    From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
    [FR Doc No: 95-19679]
    
    
    
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    DEPARTMENT OF HEALTH AND HUMAN SERVICES
    Administration for Children and Families
    
    45 CFR Part 1355
    
    RIN 0979-AB58
    
    
    Title IV-B and Title IV-E of the Social Security Act: Data 
    Collection for Foster Care and Adoption
    
    AGENCY: Administration on Children, Youth and Families (ACYF) 
    Administration for Children and Families (ACF), HHS.
    
    ACTION: Final rule.
    
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    SUMMARY: The Administration on Children, Youth and Families is adding a 
    financial data element to the Appendices of the regulation for data 
    collection for foster care and adoption. In addition, we are adding the 
    Office of Management and Budget's (OMB) control number for the data 
    collection section of the regulation. All States that administer State 
    plans under title IV-B and IV-E of the Social Security Act are subject 
    to this addition to the Appendices of the regulation.
    
    EFFECTIVE DATE: August 9, 1995.
    
    FOR FURTHER INFORMATION CONTACT:
    Daniel H. Lewis, Deputy Associate Commissioner, Children's Bureau, 
    Administration on Children, Youth and Families, (202) 205-8618.
    
    SUPPLEMENTARY INFORMATION:
    
    I. Background
    
        The Administration on Children, Youth and Families published a 
    final rule on December 22, 1993 (58 FR 67912) that implements the 
    requirements of section 479 of the Social Security Act. This section 
    requires the Secretary to publish regulations that implement a system 
    for the collection of adoption and foster care data in the United 
    States. All States that administer State plans under titles IV-B and 
    IV-E of the Society Security Act are subject to this regulation.
    
    II. General
    
        This regulation, 45 CFR part 1355, generally known as the Adoption 
    and Foster Care Analysis and Reporting System (AFCARS), is designed to 
    collect uniform, reliable information on children who are under the 
    responsibility of the State title IV-B/IV-E agency for placement and 
    care. The collection of adoption and foster care data is mandated by 
    section 479 of the Social Security Act. In order to adequately meet the 
    intent of the law and the requirements of this regulation, the States' 
    data collection systems for AFCARS must be computerized.
    
    [[Page 40506]]
    
        The Department of Health and Human Services (DHHS) will use this 
    information to respond to Congressional requests for current data on 
    children in foster care or who have been adopted, and to respond to 
    questions and requests from other Departments and agencies, including 
    the General Accounting Office, the Office of Management and Budget 
    (OMB), the DHHS Office of Inspector General, national advocacy 
    organizations, States and other interested organizations.
    
    III. Program Description
    
        Title IV-B, Subpart 1, of the Social Security Act (the Act), the 
    Child Welfare Services program, is a formula grant program. Each State 
    receives grants during the year representing its allotment. The grants 
    provide States with Federal support for a wide variety of State child 
    welfare services including: Preplacement preventive services to 
    strengthen families and avoid placement of children; services to 
    prevent abuse and neglect; foster care and adoption services; and 
    certain protections for children in foster care. Title IV-B, Subpart 2, 
    Family Preservation and Support Services, is an entitlement program 
    which encourages and enables each State to develop and establish or 
    expand, and to operate a program of family preservation services and 
    community based family support services. Funds under both subparts of 
    title IV-B can be used to provide services regardless of the income of 
    the families and children who are in need of such services.
        Title IV-E of the Act is an entitlement program which authorizes 
    Federal financial participation (FFP) in the costs of State foster care 
    maintenance and adoption assistance payments. Federal matching of State 
    foster care maintenance payments is available for children in foster 
    care who meet certain eligibility criteria that are based, in part, on 
    the child's eligibility under the Aid to Families With Dependent 
    Children (AFDC) program. The adotpion assistance program under title 
    IV-E is designed to assist States in placing ``special needs'' children 
    with adoptive families through the provision of an adoption assistance 
    payment. In order to be eligible for this program, a child must be 
    eligible for AFDC, title IV-E foster care or Supplemental Security 
    Income for the Blind and Disabled (SSI) and must meet the statutory 
    definition of ``a child with special needs'' according to section 
    473(c) of the Act. Title IV-E of the Act is the major single source of 
    Federal support for foster care and adoption assistance payments. 
    However, over half the funds for adoption and foster care and half the 
    children are supported by State and local governments and private 
    sector.
        According to State agency information gathered by the American 
    Public Welfare Association (APWA) under the Voluntary Cooperative 
    Information System (VICS), there were approximately 444,000 children in 
    foster care on the last day of 1993.
        In 1990, the most recent year for which data have been analyzed, 
    approximately 407,000 children were in foster care. Of these children, 
    approximately 69,000 had a plan for adoption and approximately 20,000 
    had parental rights terminated or relinquished and were waiting for 
    adoptive homes.
    
    IV. Legislation Establishing New Data Collection Requirements
    
        Section 9943 of the Omnibus Budget Reconciliation Act (OBRA) of 
    1986 (Pub. L. 99-509) amended title IV-E of the Social Security Act by 
    adding section 479. This section directs the Secretary to promulgate 
    regulations for the implementation of a system to collect data relating 
    to adoption and foster care in the United States. On December 22, 1993, 
    the Department published the AFCARS final rule which requires that 
    State agencies administering or supervising the administration of 
    titles IV-B and IV-E of the Act implement data collection systems and 
    report semi-annually on data elements set forth in the final rule.
        Page 67917 of the preamble to the AFCARS final rule, announced the 
    Department's intention to add a foster care financial data element to 
    the appendices of the AFCARS regulation. This data element will 
    indicate the total monthly amount of foster care benefit paid on behalf 
    of each child in foster care. At that time the Department urged 
    interested parties to comment on this intention so that expressed 
    concerns and comments could be taken into account in the development of 
    the data element. Two letters (both from State agencies) were received 
    in response to the final rule's request for comments on this matter.
        States should begin submitting the monthly foster care payment 
    information with their submittal for the fourth AFCARS reporting 
    period, April 1, 1996-September 30, 1996.
    
    V. Discussion of Comments and the Development's Response Part 1355--
    General
    
        Section 1355.40 Foster care and adoption data collection. The 
    letters from the State agencies related primarily to the usefulness of 
    the financial information and how States are to report it.
        Comment: One comment was that the request for such information 
    appears duplicative in light of the information submitted by the States 
    in accordance with the ACYF-PI-92-11, issued on August 21, 1992.
        Response: Although the data is similar, the Program Instruction 
    requires States submittal of quarterly financial data with a submitted 
    monthly average number of children for the quarter. The AFCARS 
    financial data element will, for the first time, allow for the analysis 
    of a payment per child in foster care, unlike the current average 
    dollars per child based on an average monthly number of children. The 
    result is the opportunity to develop demographic profiles of children 
    and the specific payments each receives. This information can result in 
    more comprehensive cost projections for children meeting particular 
    demographic profiles during their foster care episodes.
        Comment: Given that AFCARS' reporting frequency is semi-annual, how 
    would monthly amounts be reflected?
        Response: Monthly amounts would be reflected in the most recent 
    full monthly payment made on behalf of the child during the report 
    period.
        Comment: Why is this information necessary on a per child basis, 
    since the information can be calculated using the Federal Medical 
    Assistance Percentage (FMAP) rate?
        Response: The information is being requested on title IV-E and non 
    IV-E children; therefore the FMAP is not always applicable. The 
    information on a per child basis can be useful in a number of ways, 
    such as:
         Examining costs per placement setting type; and
         Examining costs per child based on a child's demographic 
    profile, more specifically, number of disabilities versus costs, age 
    vs. costs, etc.
        The understanding of costs as identified above are necessary for 
    accurate cost projections.
        Comment: Did you intend that this question would include the 
    administrative and training dollars expended?
        Response: No, only the maintenance dollars.
        Comment: Is the data necessary for non-title IV-E children?
        Response: Yes, all children as defined by the AFCARS reporting 
    population.
        Comment: For which classes of title IV-E children will the 
    information be required?
        Response: The information is required for all children in foster 
    care (title IV-
    
    [[Page 40507]]
    E and non IV-E) which meet the AFCARS reporting population definition.
    
    Purpose of the Amendment to Sec. 1355.40
    
        Page 67924 of the preamble of the AFCARS final rule in the 
    ``Paperwork Reduction Act'' section, identifies the need for and 
    approval of a control number by OMB. Paragraphs (a) and (b) of 45 CFR 
    1355.40 of the regulation, contain information collection requirements 
    for which an OMB approval number is required. In addition, OMB requires 
    the approval number to be displayed in the regulation. OMB approved and 
    assigned a number to the information collection requirements in 
    Sec. 1355.40 on August 22, 1994. This amendment adds that number at the 
    end of the section.
    
    VI. Impact Analysis
    
    Executive Order 12866
    
        Executive Order 12866 requires that regulations be reviewed to 
    ensure that they are consistent with the priorities and principles set 
    forth in the Executive Order. The Department has determined that this 
    rule which adds a financial data element to the appendices and 
    additionally publishes the required OMB control number is consistent 
    with these priorities and principles. As assessment of the costs and 
    benefits of available regulatory alternatives (including not 
    regulating) demonstrated that the approach taken in the regulation is 
    the most cost-effective and least burdensome while still achieving the 
    regulatory objectives.
    
    Regulatory Flexibility Act
    
        Consistent with the Regulatory Flexibility Act of 1980 (5 U.S.C. ch 
    6), the Department tries to anticipate and reduce the impact of rules 
    and paperwork requirements on small businesses. For each rule, with a 
    ``significant economic impact on a substantial number of small 
    entities'' an analysis is prepared describing the rule's impact on 
    small entities. Small entities are defined in the Regulatory 
    Flexibility Act to include small businesses, small non-profit 
    organizations, and small governmental entities.
        The primary impact of this rule is on the States which are not 
    ``small entities'' within the meaning of the Act. For this reason, the 
    Secretary certifies that this rule will not have a significant impact 
    on a substantial number of small entities.
    
    Paperwork Reduction Act
    
        Under the Paperwork Act of 1980, Pub. L. 96-511, all Departments 
    are required to submit to the Office of Management and Budget (OMB) for 
    review and approval any reporting or recordkeeping requirements in a 
    proposed or final rule. The addition of a financial data element in 
    several of the Appendices and the OMB control number will not make an 
    appreciable change in the burden to the States. Therefore no submission 
    to OMB is required.
    
    List of Subjects in 45 CFR CFR Part 1355
    
        Adoption and foster care, Child welfare, Data collection, 
    Definitions, Grant Programs--Social Programs.
    
    (Catalog of Federal Domestic Assistance Program Nos. 93.658, Foster 
    Care Maintenance, 93.659, Adoption Assistance and 93.645, Child 
    Welfare Services-State Grants)
    
        Dated: July 18, 1995.
    Mary Jo Bane,
    Assistant Secretary for Children and Families.
    
        For the reasons set forth in the preamble, 45 CFR part 1355 is 
    amended as follows:
        1. The authority citation for part 1355 continues to read as 
    follows:
    
        Authority: 42 U.S.C. 1302.
    
        2. Section 1355.40 is amended by adding the OMB Control Number at 
    the end of the section to read as follows:
    
    
    Sec. 1355.40  Foster care and adoption data collection.
    
    * * * * *
    (Information collection requirements contained in paragraphs (a) and 
    (b) of this section were approved on August 22, 1994, by the Office 
    of Management and Budget under Control Number 0980-0267).
    
    Appendix A--[Amended]
    
        3. Appendix A to Part 1355, Sections I and II are amended by adding 
    elements XII to each section to read as follows:
    
    Section I--Foster Care Data Elements
    
    * * * * *
        XIII. Amount of the monthly foster care payment (regardless of 
    sources). ________________.
    * * * * *
    Section II--Definition of and Instructions for Foster Care Data 
    Elements
    
    * * * * *
        XII. Amount of the monthly foster care payment (regardless of 
    sources)--Enter the monthly payment paid on behalf of the child 
    regardless of source (i.e., Federal, State, county, municipality, 
    tribal, and private payments). If title IV-E is paid on behalf of 
    the child the amount indicated should be the total computable 
    amount. If the payment made on behalf of the child is not the same 
    each month, indicate the amount of the last full monthly payment 
    made during the reporting period. If no monthly payment has been 
    made during the period, enter all zeros.
    
    Appendix C--[Amended]
    
        4. In Appendix C to part 1355, under Section number 4., paragraph 
    (3) is revised to read as follows:
    
        4. Personal Computer to Personal Computer * * *
        (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.
    * * * * *
    
    Appendix D--[Amended]
    
        5. In Appendix D to part 1355, Section A, Foster Care, subsection 
    1., is amended by revising paragraph a. and adding to paragraph c. the 
    following elements at the end of the table and revising the number of 
    ``Total Characters'' to read as follows:
    
        1. Foster Care Semi-Annual Detailed Data Elements Record
        a. The record will consist of 66 data elements.
    * * * * *
        c. * * *
    
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                                                                                                            No. of  
                   Element No.                 Appendix A data          Data element description           numeric  
                                                   element                                                characters
    ----------------------------------------------------------------------------------------------------------------
                                                                                                                    
    *                  *                  *                  *                  *                  *                
                                                            *                                                       
    66......................................  XII               Amount of monthly foster care payment              5
                                                                 (regardless of source).                            
                                                                                                        ------------
          Total characters..................  ................  .......................................          150
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    [[Page 40508]]
    
    * * * * *
    
    Appendix E--[Amended]
    
        6. In Appendix E to part 1355, in Section A., subsection 3., 
    paragraph b.(2) is amended by adding the following elements to the end 
    of the table to read as follows:
    
        3. Missing Data Standards
    * * * * *
        b. * * *
        (2) Less Than Ten Percent Missing Data * * *
    
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               Element No.                      Element description         
    ------------------------------------------------------------------------
                                                                            
                      *        *        *        *        *                 
    66...............................  Amount of monthly foster care payment
                                        (regardless of source).             
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    * * * * *
    [FR Doc. 95-19679 Filed 8-8-95; 8:45 am]
    BILLING CODE 4184-01-M
    
    

Document Information

Effective Date:
8/9/1995
Published:
08/09/1995
Department:
Children and Families Administration
Entry Type:
Rule
Action:
Final rule.
Document Number:
95-19679
Dates:
August 9, 1995.
Pages:
40505-40508 (4 pages)
RINs:
0979-AB58
PDF File:
95-19679.pdf
CFR: (1)
45 CFR 1355.40