Section

[Code of Federal Regulations]
[Title 45, Volume 4]
[Revised as of October 1, 2008]
From the U.S. Government Printing Office via GPO Access
[CITE: 45CFR1355 App E]

[Page 303-309]

TITLE 45--PUBLIC WELFARE

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

PART 1355_GENERAL--Table of Contents

Sec. 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:
Comparisons of the detailed data to summary data;
Internal consistency checks of the detailed data;
An assessment of the status of missing data; and
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 304]]

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 305]]

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 306]]

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 307]]

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 308]]

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 309]]

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]