45 CFR Part 1355 — General

PART 1355—GENERAL Authority: 42 U.S.C. 620 et seq., et seq.; § 1355.10 Scope. Unless otherwise specified, part 1355 applies to States and Indian Tribes and contains general requirements for Federal financial participation under titles IV-B and IV-E of the Social Security Act. [61 FR 58653, Nov. 18, 1996] § 1355.20 Definitions. (a) Unless otherwise specified, the following terms as they appear in 45 CFR parts 1355, 1356 and 1357 of this title are defined as follows— Act ACYF Adoption Child abuse and neglect Child care institution Commissioner Date a child is considered to have entered foster care Department Detention facility Entity, Foster care Foster care maintenance payments (1) Foster family care (2) Child care institutions Foster family home Full review Legal guardianship legal guardian National Child Abuse and Neglect Data System (NCANDS) Partial review (1) For the purpose of the child and family services review, the joint Federal and State/Tribal review of one or more federally-assisted child and family services program(s), including family preservation and support services, child protective services, foster care, adoption, and independent living services. A partial review may consist of any of the components of the full review, as mutually agreed upon by the title IV-E agency and the Administration for Children and Families as being sufficient to determine substantial conformity of the reviewed components with the plan requirements of titles IV-B and IV-E as listed in § 1355.34 of this part; (2) For the purpose of title IV-B and title IV-E State plan compliance issues that are outside the prescribed child and family services review format, e.g., compliance with AFCARS requirements, a review of State laws, policies, regulations, or other information appropriate to the nature of the concern, to determine State compliance; or (3) For the purpose of title IV-E plan compliance issues for a Tribal title IV-E agency which are outside of the prescribed child and family services review format, a review of Tribal laws, policies, regulations, or other information appropriate to the nature of the concern, to determine plan compliance. Permanency hearing (1) The hearing required by section 475(5)(C) of the Act to determine the permanency plan for a child in foster care. Within this context, the court (including a Tribal court) or administrative body determines whether and, if applicable, when the child will be: (i) Returned to the parent; (ii) Placed for adoption, with the title IV-E agency filing a petition for termination of parental rights; (iii) Referred for legal guardianship; (iv) Placed permanently with a fit and willing relative; or (v) Placed in another planned permanent living arrangement, but only in cases where the title IV-E agency has documented to the State or Tribal court a compelling reason for determining that it would not be in the best interests of the child to follow one of the four specified options above. (2) The permanency hearing must be held no later than 12 months after the date the child is considered to have entered foster care in accordance with the definition at § 1355.20 of this part or within 30 days of a judicial determination that reasonable efforts to reunify the child and family are not required. After the initial permanency hearing, subsequent permanency hearings must be held not less frequently than every 12 months during the continuation of foster care. The permanency hearing must be conducted by a family or juvenile court or another court of competent jurisdiction or by an administrative body appointed or approved by the court which is not a part of or under the supervision or direction of the title IV-E agency. Paper reviews, ex parte State State agency Statewide assessment (or Tribal assessment) Title IV-E agency Tribal agency (b) Unless otherwise specified, the definitions contained in section 475 of the Act apply to all programs under titles IV-E and IV-B of the Act. [48 FR 23114, May 23, 1983, as amended at 57 FR 30429, July 9, 1992; 58 FR 67924, Dec. 22, 1993; 61 FR 58653, Nov. 18, 1996; 65 FR 4076, Jan. 25, 2000; 66 FR 58675, Nov. 23, 2001; 77 FR 925, Jan. 6, 2012; 88 FR 66708, Sept. 28, 2023] § 1355.21 Plan requirements for titles IV-E and IV-B. (a) The plans for titles IV-E and IV-B must provide for safeguards on the use and disclosure of information which meet the requirements contained in section 471(a)(8) of the Act. (b) The plans for titles IV-E and IV-B must provide for compliance with the Department's regulations applicable to the State and/or Tribe as listed in 45 CFR 1355.30. (c) The State agency and the Indian Tribe must make available for public review and inspection the Child and Family Services Plan (CFSP) and the Annual Progress and Services Reports. (See 45 CFR 1357.15 and 1357.16.) The title IV-E agency also must make available for public review and inspection the title IV-E Plan. [48 FR 23114, May 23, 1983, as amended at 61 FR 58654, Nov. 18, 1996; 77 FR 926, Jan. 6, 2012] § 1355.22 [Reserved] § 1355.25 Principles of child and family services. The following principles, most often identified by practitioners and others as helping to assure effective services for children, youth, and families, should guide the States and Indian Tribes in developing, operating, and improving the continuum of child and family services. (a) The safety and well-being of children and of all family members is paramount. When safety can be assured, strengthening and preserving families is seen as the best way to promote the healthy development of children. One important way to keep children safe is to stop violence in the family including violence against their mothers. (b) Services are focused on the family as a whole; service providers work with families as partners in identifying and meeting individual and family needs; family strengths are identified, enhanced, respected, and mobilized to help families solve the problems which compromise their functioning and well-being. (c) Services promote the healthy development of children and youth, promote permanency for all children and help prepare youth emancipating from the foster care system for self-sufficiency and independent living. (d) Services may focus on prevention, protection, or other short or long-term interventions to meet the needs of the family and the best interests and need of the individual(s) who may be placed in out-of-home care. (e) Services are timely, flexible, coordinated, and accessible to families and individuals, principally delivered in the home or the community, and are delivered in a manner that is respectful of and builds on the strengths of the community and cultural groups. (f) Services are organized as a continuum, designed to achieve measurable outcomes, and are linked to a wide variety of supports and services which can be crucial to meeting families' and children's needs, for example, housing, substance abuse treatment, mental health, health, education, job training, child care, and informal support networks. (g) Most child and family services are community-based, involve community organizations, parents and residents in their design and delivery, and are accountable to the community and the client's needs. (h) Services are intensive enough and of sufficient duration to keep children safe and meet family needs. The actual level of intensity and length of time needed to ensure safety and assist the family may vary greatly between preventive (family support) and crisis intervention services (family preservation), based on the changing needs of children and families at various times in their lives. A family or an individual does not need to be in crisis in order to receive services. [61 FR 58654, Nov. 18, 1996] § 1355.30 Other applicable regulations. Except as specified, the following regulations are applicable to State and Tribal programs funded under titles IV-B and IV-E of the Act. (a) 45 CFR Part 16—Procedures of the Departmental Grant Appeals Board. (b) 45 CFR Part 30—Claims Collection. (c) 2 CFR part 376—Nonprocurement Debarment and Suspension. (d) 2 CFR part 382—Requirements for Drug-Free Workplace (Financial Assistance). (e) 45 CFR Part 80—Nondiscrimination Under Programs Receiving Federal Assistance Through the Department of Health and Human Services Effectuation of Title VI of the Civil Rights Act of 1964. (f) 45 CFR Part 81—Practice and Procedure for Hearings Under Part 80 of This Title. (g) 45 CFR Part 84—Nondiscrimination on the Basis of Handicap in Programs and Activities Receiving Federal Financial Assistance. (h) 45 CFR Part 91—Nondiscrimination on the Basis of Age in HHS Programs or Activities Receiving Federal Financial Assistance. (i) 2 CFR parts 200 and 300—Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards. 2 CFR parts 200 and 300 are applicable to title IV-B programs and the John H. Chafee Foster Care Independence Program under Section 477 of the Act that are operated by States and/or Tribes. 2 CFR parts 200 and 300 are applicable to title IV-E foster care and adoption assistance programs operated by a State title IV-E agency, except that section 2 CFR 200.306 Cost sharing and 2 CFR 200.328 Financial reporting do not apply. 2 CFR parts 200 and 300 are applicable to title IV-E foster care and adoption assistance programs operated by a Tribal title IV-E agency pursuant to section 479B, except that 2 CFR 200.328 and the sections specified in § 1356.68 do not apply to a Tribal title IV-E agency. (j) 45 CFR Part 93—New Restrictions on Lobbying. (k) 45 CFR part 95—General Administration—Grant Programs (Public Assistance and Medical Assistance). Part 95 of this title is applicable to State and Indian Tribe operated title IV-B and title IV-E programs, except: (1) Notwithstanding 45 CFR 95.1(a), subpart A, Time Limits for States to File Claims, does not apply to State and Indian Tribe-operated title IV-B (subparts 1 and 2) program and the John H. Chafee Foster Care Independence Program; and (2) 45 CFR part 95 Subpart E, Cost Allocation Plans, is not applicable to Indian Tribe-operated title IV-E foster care and adoption assistance pursuant to section 479B of the Act (ACYF-CB-PI-10-13). (l) 45 CFR Part 97—Consolidation of Grants to the Insular Areas. (Applicable only to the title IV-B programs). (m) 45 CFR part 100—Intergovernmental Review of Department of Health and Human Services Programs and Activities. Only one section is applicable: 45 CFR 100.12, How may a State simplify, consolidate, or substitute federally required State plans? This section is applicable to a State title IV-E agency only. (n) 45 CFR part 201—Grants to States for Public Assistance Programs. Only the following sections are applicable: (1) § 201.5—Grants. Applicable to title IV-E foster care and adoption assistance only. (2) § 201.6—Withholding of payment; reduction of Federal financial participation in the costs of social services and training. Applicable only to an unapprovable change in an approved plan, or the failure of the agency to change its approved plan to conform to a new Federal requirement for approval of plans. (3) § 201.15—Deferral of claims for Federal financial participation. Applicable only to title IV-E foster care and adoption assistance. (4) § 201.66—Repayment of Federal funds by installments. Applicable only to title IV-E foster care and adoption assistance. (o) 45 CFR 204.1—Submittal of State Plans for Governor's Review. Applicable to State title IV-E agencies only. (p) 45 CFR Part 205—General Administration—Public Assistance Programs. Only the following sections are applicable: (1) § 205.5—Plan amendments. (2) § 205.10—Hearings. (3) § 205.50—Safeguarding information for the financial assistance programs. (4) § 205.100—Single State agency. [61 FR 58654, Nov. 18, 1996, as amended at 66 FR 58675, Nov. 23, 2001; 77 FR 926, Jan. 6, 2012; 81 FR 3022, Jan. 20, 2016; 89 FR 80073, Oct. 2, 2024] § 1355.31 Elements of the child and family services review system. Scope. [77 FR 926, Jan. 6, 2012] § 1355.32 Timetable for the reviews. (a) Initial reviews. (b) Reviews following the initial review. (i) Complete a full review every five years; and (ii) Submit a completed statewide assessment, or in the case of a Tribal title IV-E agency, a completed Tribal assessment of the service area, to ACF three years after the on-site review. The assessment will be reviewed jointly by the title IV-E agency and ACF to determine the State's or Indian Tribe's continuing substantial conformity with the plan requirements subject to review. No formal approval of this interim assessment by ACF is required. (2) A program found not to be operating in substantial conformity during an initial or subsequent review will: (i) Be required to develop and implement a program improvement plan, as defined in § 1355.35 of this part; and (ii) Begin a full review two years after approval of the program improvement plan. (c) Reinstatement of reviews based on information that a title IV-E agency is not in substantial conformity. (2) Prior to reinstating a full or partial review, ACF will conduct an inquiry and require the title IV-E agency to submit additional data whenever ACF receives information that the title IV-E agency may not be in substantial conformity. (3) If the additional information and inquiry indicates to ACF's satisfaction that the title IV-E agency is operating in substantial conformity, ACF will not proceed with any further review of the issue addressed by the inquiry. This inquiry will not substitute for the full reviews conducted by ACF under § 1355.32(b). (4) ACF may proceed with a full or partial review if the title IV-E agency does not provide the additional information as requested, or the additional information confirms that the title IV-E agency may not be operating in substantial conformity. (d) Partial reviews based on noncompliance with plan requirements that are outside the scope of a child and family services review. (1) Conduct an inquiry and require the title IV-E agency to submit additional data. (2) If the additional information and inquiry indicates to ACF's satisfaction that the title IV-E agency is in compliance, we will not proceed with any further review of the issue addressed by the inquiry. (3) ACF will institute a partial review, appropriate to the nature of the concern, if the title IV-E agency does not provide the additional information as requested, or the additional information confirms that the title IV-E agency may not be in compliance. (4) If the partial review determines that the title IV-E agency is not in compliance with the applicable plan requirement, the title IV-E agency must enter into a program improvement plan designed to bring the title IV-E agency into compliance, if the provisions for such a plan are applicable. The terms, action steps and time-frames of the program improvement plan will be developed on a case-by-case basis by ACF and the title IV-E agency. The program improvement plan must take into consideration the extent of noncompliance and the impact of the noncompliance on the safety, permanency or well-being of children and families served through the title IV-E agency's title IV-B or IV-E allocation. If the title IV-E agency remains out of compliance, the title IV-E agency will be subject to a penalty related to the extent of the noncompliance. [65 FR 4076, Jan. 25, 2000, as amended at 66 FR 58675, Nov. 23, 2001; 77 FR 926, Jan. 6, 2012] § 1355.33 Procedures for the review. (a) The full child and family services reviews will: (1) Consist of a two-phase process that includes a statewide assessment and an on-site review; and (2) Be conducted by a team of Federal, and State or Tribal reviewers that includes: (i) Staff of the child and family services agency, including the offices that represent the service areas that are the focus of any particular review; (ii) Representatives selected by the title IV-E agency, in collaboration with the ACF Regional Office, from those with whom the title IV-E agency was required to consult in developing its CFSP, as described and required in 45 CFR 1357.15(l); (iii) Federal staff of HHS; and (iv) Other individuals, as deemed appropriate and agreed upon by the title IV-E agency and ACF. (b) Statewide or Tribal Assessment. (1) Address each systemic factor under review including the statewide/Tribal information system; case review system; quality assurance system; staff training; service array; agency responsiveness to the community; and foster and adoptive parent licensing, recruitment and retention; (2) Assess the outcome areas of safety, permanence, and well-being of children and families served by the title IV-E agency using data from AFCARS and NCANDS. For the initial review, ACF may approve another data source to substitute for AFCARS, and in all reviews, ACF may approve another data source to substitute for NCANDS. The title IV-E agency must also analyze and explain its performance in meeting the national standards for the statewide/Tribal service area data indicators; (3) Assess the characteristics of the title IV-E agency that have the most significant impact on the agency's capacity to deliver services to children and families that will lead to improved outcomes; (4) Assess the strengths and areas of the title IV-E agency's child and family services programs that require further examination through an on-site review; (5) Include a listing of all the persons external to the title IV-E agency who participated in the preparation of the assessment pursuant to § 1355.33(a)(2)(ii) and (iv); and (6) Be completed and submitted to ACF within 4 months of the date that ACF transmits the information for the assessment to the title IV-E agency. (c) On-site review. (1) The on-site review will cover the title IV-E agency's programs under titles IV-B and IV-E of the Act, including in-home services and foster care. It will be jointly planned by the title IV-E agency and ACF, and guided by information in the completed assessment that identifies areas in need of improvement or further review. (2) The on-site review may be concentrated in several specific political subdivisions or jurisdictions of the title IV-E agency, as agreed upon by the ACF and the title IV-E agency; however, for a State title IV-E agency, a State's largest metropolitan subdivision must be one of the locations selected. (3) ACF has final approval of the selection of specific areas of the title IV-E agency's child and family services continuum described in paragraph (c)(1) of this section and selection of the political subdivisions or jurisdiction referenced in paragraph (c)(2) of this section. (4) Sources of information collected during the on-site review to determine substantial conformity must include, but are not limited to: (i) Case records on children and families served by the agency; (ii) Interviews with children and families whose case records have been reviewed and who are, or have been, recipients of services of the agency; (iii) Interviews with caseworkers, foster parents, and service providers for the cases selected for the on-site review; and (iv) Interviews with key stakeholders, both internal and external to the agency, which, at a minimum, must include those individuals who participated in the development of the State's or Tribal title IV-E agency's CFSP required at 45 CFR 1357.15(1), courts, administrative review bodies, children's guardians ad litem and other individuals or bodies assigned responsibility for representing the best interests of the child. (5) The sample will range from 30-50 cases. Foster care cases must be drawn randomly from AFCARS, or, for the initial review, from another source approved by ACF and include children who entered foster care during the year under review. In-home cases must be drawn randomly from NCANDS or from another source approved by ACF. To ensure that all program areas are adequately represented, the sample size may be increased. (6) The sample of 30-50 cases reviewed on-site will be selected from a randomly drawn oversample of no more than 150 foster care and 150 in-home services cases. The oversample must be statistically significant at a 90 percent compliance rate (95 percent in subsequent reviews), with a tolerable sampling error of 5 percent and a confidence coefficient of 95 percent. The additional cases in the oversample not selected for the on-site review will form the sample of cases to be reviewed, if needed, in order to resolve discrepancies between the statewide/Tribal assessment and the on-site review in accordance with paragraph (d)(2) of this section. (d) Resolution of discrepancies between the assessment and the findings of the on-site portion of the review. (1) The submission of additional information by the title IV-E agency; or (2) ACF and the title IV-E agency will review additional cases using only those indicators in which the discrepancy occurred. ACF and the title IV-E agency will determine jointly the number of additional cases to be reviewed, not to exceed 150 foster care cases or 150 in-home services cases to be selected as specified in paragraph (c)(6) of this section. (e) Partial review. (f) Notification. [65 FR 4077, Jan. 25, 2000, as amended at 66 FR 58675, Nov. 23, 2001; 77 FR 927, Jan. 6, 2012] § 1355.34 Criteria for determining substantial conformity. (a) Criteria to be satisfied. (1) Its ability to meet national standards, set by the Secretary, for the statewide/Tribal service area data indicators associated with specific outcomes for children and families; (2) Its ability to meet criteria related to outcomes for children and families; and (3) Its ability to meet criteria related to the title IV-E agency's capacity to deliver services leading to improved outcomes. (b) Criteria related to outcomes. (i) In the area of child safety: (A) Children are, first and foremost, protected from abuse and neglect; and, (B) Children are safely maintained in their own homes whenever possible and appropriate; (ii) In the area of permanency for children: (A) Children have permanency and stability in their living situations; and (B) The continuity of family relationships and connections is preserved for children; and (iii) In the area of child and family well-being: (A) Families have enhanced capacity to provide for their children's needs; (B) Children receive appropriate services to meet their educational needs; and (C) Children receive adequate services to meet their physical and mental health needs. (2) A title IV-E agency's level of achievement with regard to each outcome reflects the extent to which a title IV-E agency has: (i) Met the national standard(s) for the statewide/Tribal service area data indicator(s) associated with that outcome, if applicable; and, (ii) Implemented the following CFSP requirements or assurances: (A) The requirements in 45 CFR 1357.15(p) regarding services designed to assure the safety and protection of children and the preservation and support of families; (B) The requirements in 45 CFR 1357.15(q) regarding the permanency provisions for children and families in sections 422 and 471 of the Act; (C) The requirements in section 422(b)(7) of the Act regarding recruitment of potential foster and adoptive families; (D) The assurances as required by section 422(b)(8)(B) of the Act regarding policies and procedures for abandoned children; (E) The requirements in section 422(b)(9) of the Act regarding the State's compliance with the Indian Child Welfare Act; (F) The requirements in section 422(b)(10) of the Act regarding a title IV-E agency's plan for effective use of cross-jurisdictional resources to facilitate timely adoptive or permanent placements; and, (G) The requirements in section 471(a)(15) of the Act regarding reasonable efforts to prevent removals of children from their homes, to make it possible for children in foster care to safely return to their homes, or, when the child is not able to return home, to place the child in accordance with the permanency plan and complete the steps necessary to finalize the permanent placement. (3) A title IV-E agency will be determined to be in substantial conformity if its performance on: (i) Each statewide/Tribal service area data indicator developed pursuant to paragraph (b)(4) of this section meets the national standard described in paragraph (b)(5) of this section; and, (ii) Each outcome listed in paragraph (b)(1) of this section is rated as “substantially achieved” in 95 percent of the cases examined during the on-site review (90 percent of the cases for an initial review). Information from various sources (case records, interviews) will be examined for each outcome and a determination made as to the degree to which each outcome has been achieved for each case reviewed. (4) The Secretary may, using AFCARS and NCANDS, develop statewide/Tribal service area data indicators for each of the specific outcomes described in paragraph (b)(1) of this section for use in determining substantial conformity. The Secretary may add, amend, or suspend any such statewide/Tribal service area data indicator(s) when appropriate. To the extent practical and feasible, the statewide/Tribal service area data indicators will be consistent with those developed in accordance with section 203 of the Adoption and Safe Families Act of 1997 (Pub. L. 105-89). (5) The initial national standards for the statewide data indicators described in paragraph (b)(4) of this section will be based on the 75th percentile of all State performance for that indicator, as reported in AFCARS or NCANDS. The Secretary may adjust these national standards if appropriate. The initial national standard will be set using the following data sources: (i) The 1997 and 1998 submissions to NCANDS (or the most recent and complete 2 years available), for those statewide data indicators associated with the safety outcomes; and, (ii) The 1998b, 1999c, and 2000a submissions to AFCARS (or the most recent and complete report periods available), for those statewide data indicators associated with the permanency outcomes. (c) Criteria related to title IV-E agency capacity to deliver services leading to improved outcomes for children and families. (1) Statewide/Tribal information system: (2) Case review system: (i) Provide, for each child, a written case plan to be developed jointly with the child's parent(s) that includes provisions: for placing the child in the least restrictive, most family-like placement appropriate to his/her needs, and in close proximity to the parents' home where such placement is in the child's best interests; for visits with a child placed out of State/Tribal service area at least every 12 months by a caseworker of the agency or of the agency in the State/Tribal service area where the child is placed; and for documentation of the steps taken to make and finalize an adoptive or other permanent placement when the child cannot return home (sections 422(b)(8)(A)(ii), 471(a)(16) and 475(5)(A) of the Act); (ii) Provide for periodic review of the status of each child no less frequently than once every six months by either a court or by administrative review (sections 422(b)(8)(A)(ii), 471(a)(16) and 475(5)(B) of the Act); (iii) Assure that each child in foster care under the supervision of the title IV-E agency has a permanency hearing in a family or juvenile court or another court of competent jurisdiction (including a Tribal court), or by an administrative body appointed or approved by the court, which is not a part of or under the supervision or direction of the title IV-E agency, no later than 12 months from the date the child entered foster care (and not less frequently than every 12 months thereafter during the continuation of foster care) (sections 422(b)(8)(A)(ii), 471(a)(16) and 475(5)(C) of the Act); (iv) Provide a process for termination of parental rights proceedings in accordance with sections 422(b)(8)(A)(ii), 475(5)(E) and (F) of the Act; and, (v) Provide foster parents, preadoptive parents, and relative caregivers of children in foster care with notice of and a right to be heard in permanency hearings and six-month periodic reviews held with respect to the child (sections 422(b)(8)(A)(ii), 475(5)(G) of the Act, and 45 CFR 1356.21(o)). (3) Quality assurance system: (i) Is in place in the jurisdictions within the State/Tribal service area where services included in the CFSP are provided; (ii) Is able to evaluate the adequacy and quality of services provided under the CFSP; (iii) Is able to identify the strengths and needs of the service delivery system it evaluates; (iv) Provides reports to agency administrators on the quality of services evaluated and needs for improvement; and (v) Evaluates measures implemented to address identified problems. (4) Staff training: (i) Supports the goals and objectives in the title IV-E agency's CFSP; (ii) Addresses services provided under both subparts of title IV-B and the training plan under title IV-E of the Act; (iii) Provides training for all staff who provide family preservation and support services, child protective services, foster care services, adoption services and independent living services soon after they are employed and that includes the basic skills and knowledge required for their positions; (iv) Provides ongoing training for staff that addresses the skills and knowledge base needed to carry out their duties with regard to the services included in the CFSP; and, (v) Provides training for current or prospective foster parents, adoptive parents, and the staff of State/Tribal-licensed or State/Tribal-approved child care institutions providing care to foster and adopted children receiving assistance under title IV-E that addresses the skills and knowledge base needed to carry out their duties with regard to caring for foster and adopted children. (5) Service array: (i) Services that assess the strengths and needs of children and families assisted by the agency and are used to determine other service needs; (ii) Services that address the needs of the family, as well as the individual child, in order to create a safe home environment; (iii) Services designed to enable children at risk of foster care placement to remain with their families when their safety and well-being can be reasonably assured; (iv) Services designed to help children achieve permanency by returning to families from which they have been removed, where appropriate, be placed for adoption or with a legal guardian or in some other planned, permanent living arrangement, and through post-legal adoption services; (v) Services that are accessible to families and children in all political subdivisions and/or the entire service area covered in the CFSP; and, (vi) Services that can be individualized to meet the unique needs of children and families served by the agency. (6) Agency responsiveness to the community: (i) The title IV-E agency, in implementing the provisions of the CFSP, engages in ongoing consultation with a broad array of individuals and organizations representing the State/Tribal and county/local agencies responsible for implementing the CFSP and other major stakeholders in the services delivery system including, at a minimum, Tribal representatives, consumers, service providers, foster care providers, the juvenile court, and other public and private child and family serving agencies (45 CFR 1357.15(l)(3)); (ii) The agency develops, in consultation with these or similar representatives, annual reports of progress and services delivered pursuant to the CFSP (45 CFR 1357.16(a)); (iii) There is evidence that the agency's goals and objectives included in the CFSP reflect consideration of the major concerns of stakeholders consulted in developing the plan and on an ongoing basis (45 CFR 1357.15(m)); and (iv) There is evidence that the services under the plan are coordinated with services or benefits under other Federal or federally-assisted programs serving the same populations to achieve the goals and objectives in the plan (45 CFR 1357.15(m)). (7) Foster and adoptive parent licensing, recruitment and retention: (i) The State or Tribe has established and maintains standards for foster family homes and child care institutions which are reasonably in accord with recommended standards of national organizations concerned with standards for such institutions or homes (section 471(a)(10) of the Act); (ii) The standards so established are applied by the State or Tribe to every licensed or approved foster family home or child care institution receiving funds under title IV-E or IV-B of the Act (section 471(a)(10) of the Act); (iii) The title IV-E agency complies with the safety requirements for foster care and adoptive placements in accordance with sections 471(a)(16), 471(a)(20) and 475(1) of the Act and 45 CFR 1356.30; (iv) The title IV-E agency has in place an identifiable process for assuring the diligent recruitment of potential foster and adoptive families that reflect the ethnic and racial diversity of children in the State or Tribe for whom foster and adoptive homes are needed (section 422(b)(7) of the Act); and, (v) The title IV-E agency has developed and implemented plans for the effective use of cross-jurisdictional resources to facilitate timely adoptive or permanent placements for waiting children (section 422(b)(10) of the Act). (d) Availability of review instruments. [65 FR 4078, Jan. 25, 2000, as amended at 66 FR 58675, Nov. 23, 2001; 77 FR 928, Jan. 6, 2012; 89 FR 34861, Apr. 30, 2024; 91 FR 43047, July 14, 2026] § 1355.35 Program improvement plans. (a) Mandatory program improvement plan. (i) Be developed jointly by title IV-E agency and Federal staff in consultation with the review team; (ii) Identify the areas in which the title IV-E agency's program is not in substantial conformity; (iii) Set forth the goals, the action steps required to correct each identified weakness or deficiency, and dates by which each action step is to be completed in order to improve the specific areas; (iv) Set forth the amount of progress the statewide/Tribal data will make toward meeting the national standards; (v) Establish benchmarks that will be used to measure the title IV-E agency's progress in implementing the program improvement plan and describe the methods that will be used to evaluate progress; (vi) Identify how the action steps in the plan build on and make progress over prior program improvement plans; (vii) Identify the technical assistance needs and sources of technical assistance, both Federal and non-Federal, which will be used to make the necessary improvements identified in the program improvement plan. (2) In the event that ACF and the title IV-E agency cannot reach consensus regarding the content of a program improvement plan or the degree of program or data improvement to be achieved, ACF retains the final authority to assign the contents of the plan and/or the degree of improvement required for successful completion of the plan. Under such circumstances, ACF will render a written rationale for assigning such content or degree of improvement. (b) Voluntary program improvement plan. (1) The title IV-E agency and Regional Office agree that there are areas of the title IV-E agency's child and family services programs in need of improvement which can be addressed through the development and implementation of a voluntary program improvement plan; (2) ACF approval of the voluntary program improvement plan will not be required; and (3) No penalty will be assessed for the title IV-E agency's failure to achieve the goals described in the voluntary program improvement plan. (c) Approval of program improvement plans. (2) Any program improvement plan will be approved by ACF if it meets the provisions of paragraph (a) of this section. (3) If the program improvement plan does not meet the provisions of paragraph (a) of this section, the title IV-E agency will have 30 calendar days from the date it receives notice from ACF that the plan has not been approved to revise and resubmit the plan for approval. (4) If the title IV-E agency does not submit a revised program improvement plan according to the provisions of paragraph (c)(3) of this section or if the plan does not meet the provisions of paragraph (a) of this section, withholding of funds pursuant to the provisions of § 1355.36 of this part will begin. (d) Duration of program improvement plans. (2) Particularly egregious areas of nonconformity impacting child safety must receive priority in both the content and time frames of the program improvement plans and must be addressed in less than two years. (3) The Secretary may approve extensions of deadlines in a program improvement plan not to exceed one year. The circumstances under which requests for extensions will be approved are expected to be rare. The title IV-E agency must provide compelling documentation of the need for such an extension. Requests for extensions must be received by ACF at least 60 days prior to the affected completion date. (4) Title IV-E agencies must provide quarterly status reports (unless ACF and the title IV-E agency agree to less frequent reports) to ACF. Such reports must inform ACF of progress in implementing the measures of the plan. (e) Evaluating program improvement plans. (1) The methods and information used to measure progress must be sufficient to determine when and whether the title IV-E agency is operating in substantial conformity or has reached the negotiated standard with respect to statewide/Tribal service area data indicators that failed to meet the national standard for that indicator; (2) The frequency of evaluating progress will be determined jointly by the title IV-E agency and Federal team members, but no less than annually. Evaluation of progress will be performed in conjunction with the annual updates of the title IV-E agency's CFSP, as described in paragraph (f) of this section; (3) Action steps may be jointly determined by the title IV-E agency and ACF to be achieved prior to projected completion dates, and will not require any further evaluation at a later date; and (4) The title IV-E agency and ACF may jointly renegotiate the terms and conditions of the program improvement plan as needed, provided that: (i) The renegotiated plan is designed to correct the areas of the title IV-E agency's program determined not to be in substantial conformity and/or achieve a standard for the statewide/Tribal service area data indicators that is acceptable to ACF; (ii) The amount of time needed to implement the provisions of the plan does not extend beyond three years from the date the original program improvement plan was approved; (iii) The terms of the renegotiated plan are approved by ACF; and (iv) The Secretary approves any extensions beyond the two-year limit. (f) Integration of program improvement plans with CFSP planning. (This requirement has been approved by the Office of Management and Budget under OMB Control Number 0970-0214. In accordance with the Paperwork Reduction Act of 1995, an agency may not conduct or sponsor, and a person is not required to respond to, a collection of information unless it displays a currently valid OMB control number.) [65 FR 4080, Jan. 25, 2000, as amended at 66 FR 58675, Nov. 23, 2001; 77 FR 929, Jan. 6, 2012] § 1355.36 Withholding Federal funds due to failure to achieve substantial conformity or failure to successfully complete a program improvement plan. (a) For the purposes of this section: (1) The term “title IV-B funds” refers to the title IV-E agency's combined allocation of title IV-B subpart 1 and subpart 2 funds; and (2) The term “title IV-E funds” refers to the title IV-E agency's reimbursement for administrative costs for the foster care program under title IV-E. (b) Determination of the amount of Federal funds to be withheld. (1) A title IV-E agency will have the opportunity to develop and complete a program improvement plan prior to any withholding of funds. (2) Title IV-B and IV-E funds will not be withheld from a title IV-E agency if the determination of nonconformity was caused by the title IV-E agency's correct use of formal written statements of Federal law or policy provided the title IV-E agency by DHHS. (3) A portion of the title IV-E agency's title IV-B and IV-E funds will be withheld by ACF for the year under review and for each succeeding year until the title IV-E agency either successfully completes a program improvement plan or is found to be operating in substantial conformity. (4) The amount of title IV-B and title IV-E funds subject to withholding due to a determination that a title IV-E agency is not operating in substantial conformity is based on a pool of funds defined as follows: (i) The title IV-E agency's allotment of title IV-B funds for each of the years to which the withholding applies; and (ii) An amount equivalent to 10 percent of the title IV-E agency's Federal claims for title IV-E foster care administrative costs for each of the years to which withholding applies; (5) The amount of funds to be withheld from the pool in paragraph (b)(4) of this section will be computed as follows: (i) Except as provided for in paragraphs (b)(7) and (b)(8) of this section, an amount equivalent to one percent of the funds described in paragraph (b)(4) of this section for each of the years to which withholding applies will be withheld for each of the seven outcomes listed in § 1355.34(b)(1) of this part that is determined not to be in substantial conformity; and (ii) Except as provided for in paragraphs (b)(7) and (b)(8) of this section, an amount equivalent to one percent of the funds described in paragraph (b)(4) of this section for each of the years to which withholding applies will be withheld for each of the seven systemic factors listed in § 1355.34(c) of this part that is determined not to be in substantial conformity. (6) Except as provided for in paragraphs (b)(7), (b)(8), and (e)(4) of this section, in the event the title IV-E agency is determined to be in nonconformity on each of the seven outcomes and each of the seven systemic factors subject to review, the maximum amount of title IV-B and title IV-E funds to be withheld due to the title IV-E agency's failure to comply is 14 percent per year of the funds described in paragraph (b)(4) of this section for each year. (7) Title IV-E agencies determined not to be in substantial conformity that fail to correct the areas of nonconformity through the successful completion of a program improvement plan, and are determined to be in nonconformity on the second full review following the first full review in which a determination of nonconformity was made will be subject to increased withholding as follows: (i) The amount of funds described in paragraph (b)(5) of this section will increase to two percent for each of the seven outcomes and each of the seven systemic factors that continues in nonconformity since the immediately preceding child and family services review; (ii) The increased withholding of funds for areas of continuous nonconformity is subject to the provisions of paragraphs (c), (d), and (e) of this section; (iii) The maximum amount of title IV-B and title IV-E funds to be withheld due to the title IV-E agency's failure to comply on the second full review following the first full review in which the determination of nonconformity was made is 28 percent of the funds described in paragraph (b)(4) of this section for each year to which the withholding of funds applies. (8) Title IV-E agencies determined not to be in substantial conformity that fail to correct the areas of nonconformity through the successful completion of a program improvement plan, and are determined to be in nonconformity on the third and any subsequent full reviews following the first full review in which a determination of nonconformity was made will be subject to increased withholding as follows: (i) The amount of funds described in paragraph (b)(5) of this section will increase to three percent for each of the seven outcomes and each of the seven systemic factors that continues in nonconformity since the immediately preceding child and family services review; (ii) The increased withholding of funds for areas of continuous nonconformity is subject to the provisions of paragraphs (c), (d), and (e) of this section; (iii) The maximum amount of title IV-B and title IV-E funds to be withheld due to the title IV-E agency's failure to comply on the third and any subsequent full reviews following the first full review in which the determination of nonconformity was made is 42 percent of the funds described in paragraph (b)(4) of this section for each year to which the withholding of funds applies. (c) Suspension of withholding. (i) The program improvement plan conforms to the provisions of § 1355.35 of this part; and (ii) The title IV-E agency is actively implementing the provisions of the program improvement plan. (2) Suspension of the withholding of funds is limited to three years following each review, or the amount of time approved for implementation of the program improvement plan, whichever is less. (d) Terminating the withholding of funds. (e) Withholding of funds. (2) Title IV-B and title IV-E funds will be withheld based on the following: (i) If the title IV-E agency fails to submit status reports in accordance with § 1355.35(d)(4), or if such reports indicate that the title IV-E agency is not making satisfactory progress toward achieving goals or actions steps, funds will be withheld at that time for a period beginning October 1 of the fiscal year for which the determination of nonconformity was made and ending on the specified completion date for the affected goal or action step. (ii) Funds related to goals and action steps that have not been achieved by the specified completion date will be withheld at that time for a period beginning October 1 of the fiscal year for which the determination of nonconformity was made and ending on the completion date of the affected goal or action step; and (iii) The withholding of funds commensurate with the level of nonconformity at the end of the program improvement plan will begin at the latest completion date specified in the program improvement plan and will continue until a subsequent full review determines the title IV-E agency to be in substantial conformity or the title IV-E agency successfully completes a program improvement plan developed as a result of that subsequent full review. (3) When the date the title IV-E agency is determined to be in substantial conformity or to have successfully completed a program improvement plan falls within a specific quarter, the amount of funds to be withheld will be computed to the end of that quarter. (4) A title IV-E agency that refuses to participate in the development or implementation of a program improvement plan, as required by ACF, will be subject to the maximum increased withholding of 42 percent of its title IV-B and title IV-E funds, as described in paragraph (b)(8) of this section, for each year or portion thereof to which the withholding of funds applies. (5) The title IV-E agency will be liable for interest on the amount of funds withheld by the Department, in accordance with the provisions of 45 CFR 30.18. [65 FR 4081, Jan. 25, 2000, as amended at 66 FR 58675, Nov. 23, 2001; 77 FR 930, Jan. 6, 2012] § 1355.37 Opportunity for public inspection of review reports and materials. The title IV-E agency must make available for public review and inspection all statewide or Tribal assessments (§ 1355.33(b)), report of findings (§ 1355.33(e)), and program improvement plans (§ 1355.35(a)) developed as a result of a full or partial child and family services review. [77 FR 931, Jan. 6, 2012] § 1355.38 Enforcement of section 471(a)(18) of the Act regarding the removal of barriers to interethnic adoption. (a) Determination that a violation has occurred in the absence of a court finding. (2) Based on the findings of the OCR investigation, ACF will determine if a violation of section 471(a)(18) has occurred. A section 471(a)(18) violation occurs if a title IV-E agency or an entity in the State/Tribe: (i) Has denied to any person the opportunity to become an adoptive or foster parent on the basis of the race, color, or national origin of the person, or of the child, involved; (ii) Has delayed or denied the placement of a child for adoption or into foster care on the basis of the race, color, or national origin of the adoptive or foster parent, or the child involved; or, (iii) With respect to a title IV-E agency, maintains any statute, regulation, policy, procedure, or practice that on its face, is a violation as defined in paragraphs (a)(2)(i) and (2)(ii) of this section. (3) ACF will provide the title IV-E agency or entity with written notification of its determination. (4) If there has been no violation, there will be no further action. If ACF determines that there has been a violation of section 471(a)(18), it will take enforcement action as described in this section. (5) Compliance with the Indian Child Welfare Act of 1978 (Pub. L. 95-608) does not constitute a violation of section 471(a)(18). (b) Corrective action and penalties for violations with respect to a person or based on a court finding. (2) Corrective action plans are subject to ACF approval. (3) If the corrective action plan does not meet the provisions of paragraph (d) of this section, the title IV-E agency must revise and resubmit the plan for approval until it has an approved plan. (4) A title IV-E agency or entity found to be in violation of section 471(a)(18) of the Act by a court must notify ACF within 30 days from the date of entry of the final judgment once all appeals have been exhausted, declined, or the appeal period has expired. (c) Corrective action for violations resulting from a title IV-E agency's statute, regulation, policy, procedure, or practice. (2) Corrective action plans are subject to ACF approval. (3) If the corrective action plan does not meet the provisions of paragraph (d) of this section, the title IV-E agency must revise and resubmit the plan within 30 days from the date it receives a written notice from ACF that the plan has not been approved. If the title IV-E agency does not submit a revised corrective action plan according to the provisions of paragraph (d) of this section, withholding of funds pursuant to the provisions of paragraph (g) of this section will apply. (d) Contents of a corrective action plan. (1) Identify the issues to be addressed; (2) Set forth the steps for taking corrective action; (3) Identify any technical assistance needs and Federal and non-Federal sources of technical assistance which will be used to complete the action steps; and, (4) Specify the completion date. This date will be no later than 6 months from the date ACF approves the corrective action plan. (e) Evaluation of corrective action plan. (f) Funds to be withheld. (g) Reduction of title IV-E funds. (i) A determination that a title IV-E agency or entity is in violation of section 471(a)(18) of the Act with respect to a person as described in paragraphs (a)(2)(i) and (a)(2)(ii) of this section, or: (ii) After a title IV-E agency's failure to implement and complete a corrective action plan and come into compliance as described in paragraph (c) of this section. (2) Once ACF notifies a title IV-E agency (in writing) that it has committed a section 471(a)(18) violation with respect to a person, the title IV-E agency's title IV-E funds will be reduced for the fiscal quarter in which the title IV-E agency received written notification and for each succeeding quarter within that fiscal year or until the title IV-E agency completes a corrective action plan and comes into compliance, whichever is earlier. Once ACF notifies an entity (in writing) that it has committed a section 471(a)(18) violation with respect to a person, the entity must remit to the Secretary all title IV-E funds paid to it by the title IV-E agency during the quarter in which the entity is notified of the violation. (3) For title IV-E agencies that fail to complete a corrective action plan within 6 months, title IV-E funds will be reduced by ACF for the fiscal quarter in which the title IV-E agency received notification of its violation. The reduction will continue for each succeeding quarter within that fiscal year or until the title IV-E agency completes the corrective action plan and comes into compliance, whichever is earlier. (4) If, as a result of a court finding, a title IV-E agency or entity is determined to be in violation of section 471(a)(18) of the Act, ACF will assess a penalty without further investigation. Once the title IV-E agency is notified (in writing) of the violation, its title IV-E funds will be reduced for the fiscal quarter in which the court finding was made and for each succeeding quarter within that fiscal year or until the title IV-E agency completes a corrective action plan and comes into compliance, whichever is sooner. Once an entity is notified (in writing) of the violation, the entity must remit to the Secretary all title IV-E funds paid to it by the title IV-E agency during the quarter in which the court finding was made. (5) The maximum number of quarters that a title IV-E agency will have its title IV-E funds reduced due to a finding of a title IV-E agency's failure to conform to section 471(a)(18) of the Act is limited to the number of quarters within the fiscal year in which a determination of nonconformity was made. However, an uncorrected violation may result in a subsequent review, another finding, and additional penalties. (6) No penalty will be imposed for a court finding of a violation of section 471(a)(18) until the judgement is final and all appeals have been exhausted, declined, or the appeal period has expired. (h) Determination of the amount of reduction of Federal funds. (1) Title IV-E agencies that violate section 471(a)(18) with respect to a person or fail to implement or complete a corrective action plan as described in paragraph (c) of this section will be subject to a penalty. The penalty structure will follow section 474(d)(1) of the Act. Penalties will be levied for the quarter of the fiscal year in which the title IV-E agency is notified of its section 471(a)(18) violation, and for each succeeding quarter within that fiscal year until the title IV-E agency comes into compliance with section 471(a)(18). The reduction in title IV-E funds will be computed as follows: (i) 2 percent of the title IV-E agency's title IV-E funds for the fiscal year quarter, as defined in paragraph (f) of this section, for the first finding of noncompliance in that fiscal year; (ii) 3 percent of the title IV-E agency's title IV-E funds for the fiscal year quarter, as defined in paragraph (f) of this section, for the second finding of noncompliance in that fiscal year; (iii) 5 percent of the title IV-E agency's title IV-E funds for the fiscal year quarter, as defined in paragraph (f) of this section, for the third or subsequent finding of noncompliance in that fiscal year. (2) Any entity (other than the title IV-E agency) which violates section 471(a)(18) of the Act during a fiscal quarter must remit to the Secretary all title IV-E funds paid to it by the title IV-E agency in accordance with the procedures in paragraphs (g)(2) or (g)(4) of this section. (3) No fiscal year payment to a title IV-E agency will be reduced by more than 5 percent of its title IV-E funds, as defined in paragraph (f) of this section, where the title IV-E agency has been determined to be out of compliance with section 471(a)(18) of the Act. (4) The title IV-E agency or an entity, as applicable, will be liable for interest on the amount of funds reduced by the Department, in accordance with the provisions of 45 CFR 30.18. (This requirement has been approved by the Office of Management and Budget under OMB Control Number 0970-0214. In accordance with the Paperwork Reduction Act of 1995, an agency may not conduct or sponsor, and a person is not required to respond to, a collection of information unless it displays a currently valid OMB control number.) [65 FR 4082, Jan. 25, 2000, as amended at 66 FR 58676, Nov. 23, 2001; 77 FR 931, Jan. 6, 2012] § 1355.39 Administrative and judicial review. A title IV-E agency determined not to be in substantial conformity with titles IV-B and IV-E plan requirements, or a title IV-E agency or an entity in violation of section 471(a)(18) of the Act: (a) May appeal, pursuant to 45 CFR part 16, the final determination and any subsequent withholding of, or reduction in, funds to the HHS Departmental Appeals Board within 60 days after receipt of a notice of nonconformity described in § 1355.36(e)(1) of this part, or receipt of a notice of noncompliance by ACF as described in § 1355.38(a)(3) of this part; and (b) Will have the opportunity to obtain judicial review of an adverse decision of the Departmental Appeals Board within 60 days after the title IV-E agency or entity receives notice of the decision by the Board. Appeals of adverse Department Appeals Board decisions must be made to the district court of the United States for the judicial district in which the principal or headquarters office of the agency responsible for administering the program is located. (c) The procedure described in paragraphs (a) and (b) of this section will not apply to a finding that a title IV-E agency or an entity has been determined to be in violation of section 471(a)(18) which is based on a judicial decision. [65 FR 4083, Jan. 25, 2000, as amended at 77 FR 932, Jan. 6, 2012] § 1355.40 [Reserved] § 1355.41 Scope of the Adoption and Foster Care Analysis and Reporting System. (a) This section applies to state and tribal title IV-E agencies unless indicated for state title IV-E agencies only. (b) An agency described in paragraph (a) of this section must report information on the characteristics and experiences of a child in the reporting populations described in § 1355.42. The title IV-E agency must submit the information collected to ACF on a semi-annual basis in an out-of-home care data file and adoption assistance data file as required in § 1355.43, pertaining to information described in §§ 1355.44 and 1355.45 and in a format according to ACF's specifications. [81 FR 90569, Dec. 14, 2016, as amended at 85 FR 28424, May 12, 2020] § 1355.42 Reporting populations. (a) Out-of-home care reporting population. (i) A child in foster care as defined in § 1355.20. (ii) A child on whose behalf title IV-E foster care maintenance payments are made and who is under the placement and care responsibility of another public agency or an Indian tribe, tribal organization or consortium with which the title IV-E agency has an agreement pursuant to section 472(a)(2)(B)(ii) of the Act. (iii) A child who runs away or whose whereabouts are unknown at the time the child is placed under the placement and care responsibility of the title IV-E agency. (2) Once a child enters the out-of-home care reporting population, the child remains in the out-of-home care reporting population through the end of the report period in which the title IV-E agency's placement and care responsibility ends, or a child's title IV-E foster care maintenance payment pursuant to a title IV-E agreement per section 472(a)(2) of the Act ends, regardless of any subsequent living arrangement. (b) Adoption and guardianship assistance reporting population. (i) In a finalized adoption under a title IV-E adoption assistance agreement pursuant to section 473(a) of the Act with the reporting title IV-E agency that is or was in effect at some point during the current report period; or (ii) In a legal guardianship under a title IV-E guardianship assistance agreement pursuant to section 473(d) of the Act with the reporting title IV-E agency that is or was in effect at some point during the current report period. (2) A child remains in the adoption or guardianship assistance reporting population through the end of the report period in which the title IV-E agreement ends or is terminated. [81 FR 90569, Dec. 14, 2016] § 1355.43 Data reporting requirements. (a) Report periods and deadlines. i.e., (b) Out-of-home care data file. (1) The title IV-E agency must report the most recent information for the applicable data elements in § 1355.44(a), (b), and (c). (2) The title IV-E agency must report the most recent information and all historical information for the applicable data elements in § 1355.44(d) through (i). (3) For state title IV-E agencies only, regarding only the ICWA-related data elements in § 1355.44(b)(3) through (6) and (i): For a child who entered the out-of-home care reporting population as defined in § 1355.42(a) prior to October 1, 2028 and exits the out-of-home care reporting population on or after October 1, 2028, the state title IV-E agency must report information for the data described in § 1355.44(b)(4)(i) and (ii) and (6)(i) only. (c) Adoption and guardianship assistance data file. (d) Missing information. (e) Electronic submission. (f) Record retention. [81 FR 90569, Dec. 14, 2016, as amended at 85 FR 28424, May 12, 2020; 89 FR 96588, Dec. 5, 2024] § 1355.44 Out-of-home care data file elements. Link to an amendment published at 89 FR 96588, Dec. 5, 2024. (a) General information Title IV-E agency. (2) Report date. (3) Local agency. (4) Child record number. (b) Child information Child's date of birth. (2) Child's sex. (3) Reason to know a child is an “Indian Child” as defined in the Indian Child Welfare Act (ICWA). (4) Child's tribal membership. (i) Indicate whether the child is a member of or eligible for membership in a federally recognized Indian tribe. Indicate “yes,” “no,” or “unknown”. (ii) If the state title IV-E agency indicated “yes” in paragraph (b)(4)(i) of this section, indicate all federally recognized Indian tribe(s) that may potentially be the Indian child's tribe(s). The title IV-E agency must submit the information in a format according to ACF's specifications. (5) Application of ICWA. (i) Indicate whether ICWA applies for the child. Indicate “yes,” “no,” or “unknown”. (ii) If the state title IV-E agency indicated “yes” in paragraph (b)(5)(i) of this section, indicate the date that the state title IV-E agency was notified by the Indian tribe or state or tribal court that ICWA applies. (6) Notification. (7) Child's race. (i) Race—American Indian or Alaska Native. (ii) Race—Asian. (iii) Race—Black or African American. (iv) Race—Native Hawaiian or Other Pacific Islander. (v) Race—White. (vi) Race—unknown. (vii) Race—abandoned. (viii) Race—declined. (8) Child's Hispanic or Latino ethnicity. (9) Health assessment. (10) Health, behavioral or mental health conditions. (i) Intellectual disability. (ii) Autism spectrum disorder. (iii) Visual impairment and blindness. (iv) Hearing impairment and deafness. (v) Orthopedic impairment or other physical condition. (vi) Mental/emotional disorders. (vii) Attention deficit hyperactivity disorder. (viii) Serious mental disorders. (ix) Developmental delay. (x) Developmental disability. (xi) Other diagnosed condition. (11) School enrollment. (12) Educational level. (13) Pregnant or parenting. (ii) Indicate whether the child has ever fathered or bore a child. Indicate “yes” or “no.” (iii) Indicate whether the child and his/her child(ren) are placed together at any point during the report period, if the response in paragraph (b)(13)(ii) of this section is “yes.” Indicate “yes,” “no,” or “not applicable” if the response in paragraph (b)(13)(ii) of this section is “no.” (14) Special education. (15) Prior adoption. (i) Prior adoption date. (ii) Prior adoption intercountry. (16) Prior guardianship general Prior guardianship. (ii) Prior guardianship date. (17) Child financial and medical assistance. (i) State/Tribal adoption assistance. (ii) State/Tribal foster care. (iii) Title IV-E adoption subsidy. (iv) Title IV-E guardianship assistance. (v) Title IV-A TANF. (vi) Title IV-B. (vii) Chafee Program. (viii) Other. (18) Title IV-E foster care during report period. (19) Total number of siblings. (20) Siblings in foster care. (21) Siblings in living arrangement. (c) Parent or legal guardian information Year of birth of first parent or legal guardian. (2) Year of birth of second parent or legal guardian. (3) Tribal membership mother. (4) Tribal membership father. (5) Termination/modification of parental rights. (i) Termination/modification of parental rights petition. (ii) Termination/modification of parental rights. (d) Removal information Date of child's removal. (2) Removal transaction date. (3) Environment at removal. (4) Child and family circumstances at removal. (i) Runaway. (ii) Whereabouts unknown. (iii) Physical abuse. (iv) Sexual abuse. (v) Psychological or emotional abuse. (vi) Neglect. (vii) Medical neglect. (viii) Domestic violence. (ix) Abandonment. (x) Failure to return. (xi) Caretaker's alcohol use. (xii) Caretaker's drug use. (xiii) Child alcohol use. (xiv) Child drug use. (xv) Prenatal alcohol exposure. (xvi) Prenatal drug exposure. (xvii) Diagnosed condition. (xviii) Inadequate access to mental health services. (xix) Inadequate access to medical services. (xx) Child behavior problem. (xxi) Death of caretaker. (xxii) Incarceration of caretaker. (xxiii) Caretaker's significant impairment—physical/emotional. (xxiv) Caretaker's significant impairment—cognitive. (xxv) Inadequate housing. (xxvi) Voluntary relinquishment for adoption. (xxvii) Child requested placement. (xxviii) Sex trafficking. (xxix) Parental immigration detainment or deportation. (xxx) Family conflict related to child's sexual orientation, gender identity, or gender expression. (xxxi) Educational neglect. (xxxii) Public agency title IV-E agreement. (xxxiii) Tribal title IV-E agreement. (xxxiv) Homelessness. (5) Victim of sex trafficking prior to entering foster care. (i) Report to law enforcement. (ii) Date. (6) Victim of sex trafficking while in foster care. (i) Report to law enforcement. (ii) Date. (e) Living arrangement and provider information Date of living arrangement. (2) Foster family home. (3) Foster family home type. (i) Licensed home. (ii) Therapeutic foster family home. (iii) Shelter care foster family home. (iv) Relative foster family home. (v) Pre-adoptive home. (vi) Kin foster family home. (4) Other living arrangement type. (5) Location of living arrangement. (6) Jurisdiction or country where child is living. (7) Marital status of the foster parent(s). (8) Child's relationship to the foster parent(s). (9) Year of birth for first foster parent. (10) First foster parent tribal membership. (11) Race of first foster parent. (i) Race—American Indian or Alaska Native. (ii) Race—Asian. (iii) Race—Black or African American. (iv) Race—Native Hawaiian or Other Pacific Islander. (v) Race—White. (vi) Race—unknown. (vii) Race—declined. (12) Hispanic or Latino ethnicity of first foster parent. (13) Sex of first foster parent. (14) Year of birth for second foster parent. (15) Second foster parent tribal membership. (16) Race of second foster parent. (i) Race—American Indian or Alaska Native. (ii) Race—Asian. (iii) Race—Black or African American. (iv) Race—Native Hawaiian or Other Pacific Islander. (v) Race—White. (vi) Race—unknown. (vii) Race—declined. (17) Hispanic or Latino ethnicity of second foster parent. (18) Sex of second foster parent. (f) Permanency planning Permanency plan. (2) Date of permanency plan. (3) Date of periodic review(s). (4) Date of permanency hearing(s). (5) Caseworker visit dates. (6) Caseworker visit locations. (g) General exit information. (1) Date of exit. (2) Exit transaction date. (3) Exit reason. (4) Transfer to another agency. (h) Exit to adoption and guardianship information. (1) Marital status of the adoptive parent(s) or guardian(s). (2) Child's relationship to the adoptive parent(s) or guardian(s). (i) Relative(s). (ii) Kin. (iii) Non-relative(s). (iv) Foster parent(s). (3) Date of birth of first adoptive parent or guardian. (4) First adoptive parent or guardian tribal membership. (5) Race of first adoptive parent or guardian. (i) Race—American Indian or Alaska Native. (ii) Race—Asian. (iii) Race—Black or African American. (iv) Race—Native Hawaiian or Other Pacific Islander. (v) Race—White. (vi) Race—Unknown. (vii) Race—Declined. (6) Hispanic or Latino ethnicity of first adoptive parent or guardian. (7) Sex of first adoptive parent or guardian. (8) Date of birth of second adoptive parent, guardian, or other member of the couple. (9) Second adoptive parent, guardian, or other member of the couple tribal membership. (10) Race of second adoptive parent, guardian, or other member of the couple. (i) Race—American Indian or Alaska Native. (ii) Race—Asian. (iii) Race—Black or African American. (iv) Race—Native Hawaiian or Other Pacific Islander. (v) Race—White. (vi) Race—Unknown. (vii) Race—Declined. (11) Hispanic or Latino ethnicity of second adoptive parent, guardian, or other member of the couple. (12) Sex of second adoptive parent, guardian, or other member of the couple. (13) Inter/Intrajurisdictional adoption or guardianship. (14) Assistance agreement type. (15) Siblings in adoptive or guardianship home. [85 FR 28424, May 12, 2020] § 1355.45 Adoption and guardianship assistance data file elements. A title IV-E agency must report the following information for each child in the adoption and guardianship assistance reporting population, if applicable based on § 1355.42(b). (a) General information Title IV-E agency. (2) Report date. (3) Child record number. (b) Child demographics Child's date of birth. (2) Child's sex. (3) Child's race. (i) Race—American Indian or Alaska Native. (ii) Race—Asian. (iii) Race—Black or African American. (iv) Race—Native Hawaiian or Other Pacific Islander. (v) Race—White. (vi) Race—Unknown. (vii) Race—Abandoned. (viii) Race—Declined. (4) Hispanic or Latino ethnicity. (c) Adoption and guardianship assistance agreement information Assistance agreement type. (2) Adoption or guardianship subsidy amount. (d) Adoption finalization or guardianship legalization date. (e) Agreement termination date. (f) Adoption or guardianship placing agency. [81 FR 90569, Dec. 14, 2016, as amended at 85 FR 28433, May 12, 2020] § 1355.46 Compliance. (a) Files subject to compliance. (b) Errors. (1) Missing data. (2) Invalid data. (3) Internally inconsistent data. (4) Cross-file errors. (5) Tardy transactions. (c) Data file standards. (1) Timely submission. (2) Proper format. (d) Data quality standards. (2) Acceptable cross-file. (e) Compliance determination and corrected data. (2) If each data file meets the data file standards, ACF will then determine whether each data file meets the data quality standards in paragraph (d) of this section. For every data element, we will divide the total number of applicable records in error (numerator) by the total number of applicable records (denominator), to determine whether the title IV-E agency has met the applicable data quality standards. (3) In general, a title IV-E agency that has not met either the data file formatting standards or data quality standards must submit a corrected data file(s) no later than when data is due for the subsequent six month report period ( i.e., (f) Noncompliance. (g) Other assessments. [81 FR 90569, Dec. 14, 2016, as amended at 85 FR 28434, May 12, 2020] § 1355.47 Penalties. (a) Federal funds subject to a penalty. (b) Penalty amounts. (1) First six month period. 1/6 (2) Subsequent six month periods. 1/4 (c) Penalty reduction from grant. (d) Appeals. [81 FR 90569, Dec. 14, 2016] § 1355.50 Purpose. Sections 1355.50 through 1355.59 contain the requirements a title IV-E agency must meet to receive Federal financial participation authorized under sections 474(a)(3)(C) and (D), and 474(c) of the Act for the planning, design, development, installation, operation, and maintenance of a comprehensive child welfare information system. [81 FR 35479, June 2, 2016] § 1355.51 Definitions applicable to Comprehensive Child Welfare Information Systems (CCWIS). (a) Approved activity Automated function Child welfare contributing agency Data exchange Data exchange standard New CCWIS project Non-S/TACWIS project (i) ACF approved a development procurement; or (ii) The applicable state or tribal agency approved a development procurement below the thresholds of 45 CFR 95.611(a); or (iii) The operational automated data processing system provided the data for at least one AFCARS or NYTD file for submission to the federal system or systems designated by ACF to receive the report. Notice of intent S/TACWIS project (i) ACF approved a procurement to develop a S/TACWIS; or (ii) The applicable state or tribal agency approved a development procurement for a S/TACWIS below the thresholds of 45 CFR 95.611(a). Transition period (b) Other terms as they appear in §§ 1355.50 through 1355.59 are defined in 45 CFR 95.605. [81 FR 35479, June 2, 2016] § 1355.52 CCWIS project requirements. (a) Efficient, economical, and effective requirement. (1) Improving program management and administration by maintaining all program data required by federal, state or tribal law or policy; (2) Appropriately applying information technology; (3) Not requiring duplicative application system development or software maintenance; and (4) Ensuring costs are reasonable, appropriate, and beneficial. (b) CCWIS data requirements. (1) Title IV-B and title IV-E data that supports the efficient, effective, and economical administration of the programs including: (i) Data required for ongoing federal child welfare reports; (ii) Data required for title IV-E eligibility determinations, authorizations of services, and expenditures under IV-B and IV-E; (iii) Data to support federal child welfare laws, regulations, and policies; and (iv) Case management data to support federal audits, reviews, and other monitoring activities; (2) Data to support state or tribal child welfare laws, regulations, policies, practices, reporting requirements, audits, program evaluations, and reviews; (3) For states, data to support specific measures taken to comply with the requirements in section 422(b)(9) of the Act regarding the state's compliance with the Indian Child Welfare Act; and (4) For each state, data for the National Child Abuse and Neglect Data System. (c) Reporting requirements. (1) Generate, or contribute to, required title IV-B or IV-E federal reports according to applicable formatting and submission requirements; and (2) Generate, or contribute to, reports needed by state or tribal child welfare laws, regulations, policies, practices, reporting requirements, audits, and reviews that support programs and services described in title IV-B and title IV-E. (d) Data quality requirements. (i) Meet the most rigorous of the applicable federal, and state or tribal standards for completeness, timeliness, and accuracy; (ii) Be consistently and uniformly collected by CCWIS and, if applicable, child welfare contributing agency systems; (iii) Be exchanged and maintained in accordance with confidentiality requirements in section 471(a)(8) of the Act, and 45 CFR 205.50, and 42 U.S.C. 5106a(b)(2)(B)(viii) through (x) of the Child Abuse Prevention and Treatment Act, if applicable, and other applicable federal and state or tribal laws; (iv) Support child welfare policies, goals, and practices; and (v) Not be created by default or inappropriately assigned. (2) The title IV-E agency must implement and maintain automated functions in CCWIS to: (i) Regularly monitor CCWIS data quality; (ii) Alert staff to collect, update, correct, and enter CCWIS data; (iii) Send electronic requests to child welfare contributing agency systems to submit current and historical CCWIS data to the CCWIS; (iv) Prevent, to the extent practicable, the need to re-enter data already captured or exchanged with the CCWIS; and (v) Generate reports of continuing or unresolved CCWIS data quality problems. (3) The title IV-E agency must conduct biennial data quality reviews to: (i) Determine if the title IV-E agency and, if applicable, child welfare contributing agencies, meet the requirements of paragraphs (b), (d)(1), and (d)(2) of this section; and (ii) Confirm that the bi-directional data exchanges meet the requirements of paragraphs (e) and (f) of this section, and other applicable ACF regulations and policies. (4) The title IV-E agency must enhance CCWIS or the electronic bi-directional data exchanges or both to correct any findings from reviews described at paragraph (d)(3) of this section. (5) The title IV-E agency must develop, implement, and maintain a CCWIS data quality plan in a manner prescribed by ACF and include it as part of Annual or Operational APDs submitted to ACF as required in 45 CFR 95.610. The CCWIS data quality plan must: (i) Describe the comprehensive strategy to promote data quality including the steps to meet the requirements at paragraphs (d)(1) through (3) of this section; and (ii) Report the status of compliance with paragraph (d)(1) of this section. (e) Bi-directional data exchanges. (i) Systems generating the financial payments and claims for titles IV-B and IV-E per paragraph (b)(1)(ii) of this section, if applicable; (ii) Systems operated by child welfare contributing agencies that are collecting or using data described in paragraph (b) of this section, if applicable; (iii) Each system used to calculate one or more components of title IV-E eligibility determinations per paragraph (b)(1)(ii) of this section, if applicable; and (iv) Each system external to CCWIS used by title IV-E agency staff to collect CCWIS data, if applicable. (2) To the extent practicable, the title IV-E agency's CCWIS must support one bi-directional data exchange to exchange relevant data, including data that may benefit IV-E agencies and data exchange partners in serving clients and improving outcomes, with each of the following state or tribal systems: (i) Child abuse and neglect system(s); (ii) System(s) operated under title IV-A of the Act; (iii) Systems operated under title XIX of the Act including: (A) Systems to determine Medicaid eligibility described in 42 CFR 433.111(b)(2)(ii)(A); and (B) Medicaid Management Information Systems as defined at 42 CFR 433.111(b)(2)(ii)(B); (iv) Systems operated under title IV-D of the Act; (v) Systems operated by the court(s) of competent jurisdiction over title IV-E foster care, adoption, and guardianship programs; (vi) Systems operated by the state or tribal education agency, or school districts, or both. (f) Data exchange standard requirements. (1) For bi-directional data exchanges between CCWIS and each child welfare contributing agency; and (2) For data exchanges with systems described under paragraph (e)(1)(iv) of this section. (g) Automated eligibility determination requirements. (2) A tribal title IV-E agency must, to the extent practicable, use the same automated function or the same group of automated functions for all title IV-E eligibility determinations. (h) Software provision requirement. (i) Submission requirements. (i) A description of how the CCWIS will meet the requirements in paragraphs (a) through (h) of this section and, if applicable § 1355.54; (ii) A list of all automated functions included in the CCWIS; and (iii) A notation of whether each automated function listed in paragraph (i)(1)(ii) of this section meets, or when implemented will meet, the following requirements: (A) The automated function supports at least one requirement of this section or, if applicable § 1355.54; (B) The automated function is not duplicated within the CCWIS or systems supporting child welfare contributing agencies and is consistently used by all child welfare users responsible for the area supported by the automated function; and (C) The automated function complies with the CCWIS design requirements described under § 1355.53(a), unless exempted in accordance with § 1355.53(b). (2) Annual APD Updates and Operational APDs for CCWIS projects must include: (i) An updated list of all automated functions included in the CCWIS; (ii) A notation of whether each automated function listed in paragraph (i)(2)(i) of this section meets the requirements of paragraph (i)(1)(iii)(B) of this section; and (iii) A description of changes to the scope or the design criteria described at § 1355.53(a) for any automated function listed in paragraph (i)(2)(i) of this section. (j) Other applicable requirements. [81 FR 35479, June 3, 2016] § 1355.53 CCWIS design requirements. (a) Except as exempted in paragraph (b) of this section, automated functions contained in a CCWIS must: (1) Follow a modular design that includes the separation of business rules from core programming; (2) Be documented using plain language; (3) Adhere to a state, tribal, or industry defined standard that promotes efficient, economical, and effective development of automated functions and produces reliable systems; and (4) Be capable of being shared, leveraged, and reused as a separate component within and among states and tribes. (b) CCWIS automated functions may be exempt from one or more of the requirements in paragraph (a) of this section if: (1) The CCWIS project meets the requirements of § 1355.56(b) or (f)(1); or (2) ACF approves, on a case-by-case basis, an alternative design proposed by a title IV-E agency that is determined by ACF to be more efficient, economical, and effective than what is found in paragraph (a) of this section. [81 FR 35481, June 2, 2016] § 1355.54 CCWIS options. If a project meets, or when completed will meet, the requirements of § 1355.52, then ACF may approve CCWIS funding described at § 1355.57 for other ACF-approved data exchanges or automated functions that are necessary to achieve title IV-E or IV-B programs goals. [81 FR 35481, June 2, 2016] § 1355.55 Review and assessment of CCWIS projects. ACF will review, assess, and inspect the planning, design, development, installation, operation, and maintenance of each CCWIS project on a continuing basis, in accordance with APD requirements in 45 CFR part 95, subpart F, to determine the extent to which the project meets the requirements in §§ 1355.52, 1355.53, 1355.56, and, if applicable, § 1355.54. [81 FR 35481, June 2, 2016] § 1355.56 Requirements for S/TACWIS and non-S/TACWIS projects during and after the transition period. (a) During the transition period a title IV-E agency with a S/TACWIS project may continue to claim title IV-E funding according to the cost allocation methodology approved by ACF for development or the operational cost allocation plan approved by the Department, or both. (b) A S/TACWIS project must meet the submission requirements of § 1355.52(i)(1) during the transition period to qualify for the CCWIS cost allocation methodology described in § 1355.57(a) after the transition period. (c) A title IV-E agency with a S/TACWIS may request approval to initiate a new CCWIS and qualify for the CCWIS cost allocation methodology described in § 1355.57(b) by meeting the submission requirements of § 1355.52(i)(1). (d) A title IV-E agency that elects not to transition a S/TACWIS project to a CCWIS project must: (1) Notify ACF in an APD or Notice of Intent submitted during the transition period of this election; and (2) Continue to use the S/TACWIS through its life expectancy in accordance with 45 CFR 95.619. (e) A title IV-E agency that elects not to transition its S/TACWIS project to a CCWIS and fails to meet the requirements of paragraph (d) of this section is subject to funding recoupment described under § 1355.58(d). (f) A title IV-E agency with a non-S/TACWIS (as defined in § 1355.51) that elects to build a CCWIS or transition to a CCWIS must meet the submission requirements of § 1355.52(i)(1): (1) During the transition period to qualify for a CCWIS cost allocation as described at § 1355.57(a); or (2) At any time to request approval to initiate a new CCWIS and qualify for a CCWIS cost allocation as described at § 1355.57(b). [81 FR 35481, June 2, 2016] § 1355.57 Cost allocation for CCWIS projects. (a) CCWIS cost allocation for projects transitioning to CCWIS. (2) The Department may approve the applicable CCWIS cost allocation for an automated function of a project transitioning to a CCWIS if the automated function: (i) Supports programs authorized under titles IV-B or IV-E, and at least one requirement of § 1355.52 or, if applicable § 1355.54; and (ii) Is not duplicated within the CCWIS or systems supporting child welfare contributing agencies and is consistently used by all child welfare users responsible for the area supported by the automated function. (b) CCWIS cost allocation for new CCWIS projects. (2) An automated function of a CCWIS project described in paragraph (b)(1) of this section may qualify for a CCWIS cost allocation if the automated function: (i) Supports programs authorized under titles IV-B or IV-E, and at least one requirement of § 1355.52 or, if applicable § 1355.54; and (ii) Is not duplicated within the CCWIS or systems supporting child welfare contributing agencies and is consistently used by all child welfare users responsible for the area supported by the automated function. (c) CCWIS cost allocation for approved activities. (d) Project cost allocation. (e) CCWIS cost allocation. (i) Are approved by the Department; (ii) Meet the requirements of paragraphs (a), (b), or (c) of this section; and (iii) Benefit federal, state or tribal funded participants in programs and allowable activities described in title IV-E of the Act to the title IV-E program. (2) A title IV-E agency may also allocate CCWIS development costs to title IV-E for the share of system approved activities and automated functions that meet requirements (e)(1)(i) and (ii) of this section and: (i) Benefit title IV-B programs; or (ii) Benefit both title IV-E and child welfare related programs. (f) Non-CCWIS cost allocation. [81 FR 35481, June 2, 2016] § 1355.58 Failure to meet the conditions of the approved APD. (a) In accordance with 2 CFR 200.339 through 200.343 and 45 CFR 95.635, ACF may suspend title IV-B and title IV-E funding approved in the APD for a CCWIS if ACF determines that the title IV-E agency fails to comply with APD requirements in 45 CFR part 95, subpart F, or meet the requirements at § 1355.52 or, if applicable, § 1355.53, § 1355.54, or § 1355.56. (b) Suspension of CCWIS funding begins on the date that ACF determines the title IV-E agency failed to: (1) Comply with APD requirements in 45 CFR part 95, subpart F; or (2) Meet the requirements at § 1355.52 or, if applicable, § 1355.53, § 1355.54, or § 1355.56 and has not corrected the failed requirements according to the time frame in the approved APD. (c) The suspension will remain in effect until the date that ACF: (1) Determines that the title IV-E agency complies with 45 CFR part 95, subpart F; or (2) Approves a plan to change the application to meet the requirements at § 1355.52 and, if applicable, § 1355.53, § 1355.54, or § 1355.56. (d) If ACF suspends an APD, or the title IV-E agency voluntarily ceases the design, development, installation, operation, or maintenance of an approved CCWIS, ACF may recoup all title IV-E funds claimed for the CCWIS project. [81 FR 35482, June 2, 2016, as amended at 89 FR 80073, Oct. 2, 2024] § 1355.59 [Reserved]

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