PART 1356—REQUIREMENTS APPLICABLE TO TITLE IV-E Authority: 42 U.S.C. 620 et seq., et seq.; § 1356.10 Scope. This part applies to title IV-E agency programs for foster care maintenance payments, adoption assistance payments, related foster care and adoption administrative and training expenditures, and the independent living services program under title IV-E of the Act. [77 FR 946, Jan. 6, 2012] § 1356.20 Title IV-E plan document and submission requirements. (a) To be in compliance with the title IV-E plan requirements and to be eligible to receive Federal financial participation (FFP) in the costs of foster care maintenance payments and adoption assistance under this part, a title IV-E agency must have a plan approved by the Secretary that meets the requirements of this part, part 1355, section 471(a) of the Act and for Tribal title IV-E agencies, section 479B(c) of the Act. The title IV-E plan must be submitted to the appropriate Regional Office, ACYF, in a form determined by the title IV-E agency. (b) Failure by a title IV-E agency to comply with the requirements and standards for the data reporting system for foster care and adoption (§ 1355.40 of this chapter) shall be considered a substantial failure by the title IV-E agency in complying with the plan. (c) The following procedures for approval of plans and amendments apply to the title IV-E program: (1) Plan. (2) Submittal. (3) Review. (4) Action. (5) Basis for approval. (6) Prompt approval of plans. (7) Prompt approval of plan amendments. (8) Effective date. (d) Once the title IV-E plan has been submitted and approved, it shall remain in effect until amendments are required. An amendment is required if there is any significant and relevant change in the information or assurances in the plan, or the organization, policies or operations described in the plan. [77 FR 946, Jan. 6, 2012] § 1356.21 Foster care maintenance payments program implementation requirements. (a) Statutory and regulatory requirements of the Federal foster care program. (b) Reasonable efforts. (1) Judicial determination of reasonable efforts to prevent a child's removal from the home. (ii) If the determination concerning reasonable efforts to prevent the removal is not made as specified in paragraph (b)(1)(i) of this section, the child is not eligible under the title IV-E foster care maintenance payments program for the duration of that stay in foster care. (2) Judicial determination of reasonable efforts to finalize a permanency plan. (ii) If such a judicial determination regarding reasonable efforts to finalize a permanency plan is not made in accordance with the schedule prescribed in paragraph (b)(2)(i) of this section, the child becomes ineligible under title IV-E at the end of the month in which the judicial determination was required to have been made, and remains ineligible until such a determination is made. (3) Circumstances in which reasonable efforts are not required to prevent a child's removal from home or to reunify the child and family. (i) A court of competent jurisdiction has determined that the parent has subjected the child to aggravated circumstances (as defined in State, or for a Tribal title IV-E agency, Tribal law, which definition may include but need not be limited to abandonment, torture, chronic abuse, and sexual abuse); (ii) A court of competent jurisdiction has determined that the parent has been convicted of: (A) Murder (which would have been an offense under section 1111(a) of title 18, United States Code, if the offense had occurred in the special maritime or territorial jurisdiction of the United States) of another child of the parent; (B) Voluntary manslaughter (which would have been an offense under section 1112(a) of title 18, United States Code, if the offense had occurred in the special maritime or territorial jurisdiction of the United States) of another child of the parent; (C) Aiding or abetting, attempting, conspiring, or soliciting to commit such a murder or such a voluntary manslaughter; or (D) A felony assault that results in serious bodily injury to the child or another child of the parent; or, (iii) The parental rights of the parent with respect to a sibling have been terminated involuntarily. (4) Concurrent planning. (5) Use of the Federal Parent Locator Service. (c) Contrary to the welfare determination. (d) Documentation of judicial determinations. (1) If the reasonable efforts and contrary to the welfare judicial determinations are not included as required in the court orders identified in paragraphs (b) and (c) of this section, a transcript of the court proceedings is the only other documentation that will be accepted to verify that these required determinations have been made. (2) Neither affidavits nor nunc pro tunc orders will be accepted as verification documentation in support of reasonable efforts and contrary to the welfare judicial determinations except for a Tribal title IV-E agency for the first 12 months that agency's title IV-E plan is in effect as provided for in section 479B(c)(1)(C)(ii)(I) of the Act. (3) Court orders that reference State or Tribal law to substantiate judicial determinations are not acceptable, even if such law provides that a removal must be based on a judicial determination that remaining in the home would be contrary to the child's welfare or that removal can only be ordered after reasonable efforts have been made. (e) Trial home visits. (f) Case review system. (g) Case plan requirements. (1) Be a written document, which is a discrete part of the case record, in a format determined by the title IV-E agency, which is developed jointly with the parent(s) or guardian of the child in foster care; and (2) Be developed within a reasonable period, to be established by the title IV-E agency, but in no event later than 60 days from the child's removal from the home pursuant to paragraph (k) of this section; (3) Include a discussion of how the case plan is designed to achieve a safe placement for the child in the least restrictive (most family-like) setting available and in close proximity to the home of the parent(s) when the case plan goal is reunification and a discussion of how the placement is consistent with the best interests and special needs of the child. (FFP is not available when a court orders a placement with a specific foster care provider); (4) Include a description of the services offered and provided to prevent removal of the child from the home and to reunify the family; and (5) Document the steps to finalize a placement when the case plan goal is or becomes adoption or placement in another permanent home in accordance with sections 475(1)(E) and (5)(E) of the Act. When the case plan goal is adoption, at a minimum, such documentation shall include child-specific recruitment efforts such as the use of State, Tribal, regional, and national adoption exchanges including electronic exchange systems. (This requirement has been approved by the Office of Management and Budget under OMB Control Number 0980-0140. 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.) (h) Application of the permanency hearing requirements. (2) In accordance with paragraph (b)(3) of this section, when a court determines that reasonable efforts to return the child home are not required, a permanency hearing must be held within 30 days of that determination, unless the requirements of the permanency hearing are fulfilled at the hearing in which the court determines that reasonable efforts to reunify the child and family are not required. (3) If the title IV-E agency concludes, after considering reunification, adoption, legal guardianship, or permanent placement with a fit and willing relative, that the most appropriate permanency plan for a child is placement in another planned permanent living arrangement, the title IV-E agency must document to the court the compelling reason for the alternate plan. Examples of a compelling reason for establishing such a permanency plan may include: (i) The case of an older teen who specifically requests that emancipation be established as his/her permanency plan; (ii) The case of a parent and child who have a significant bond but the parent is unable to care for the child because of an emotional or physical disability and the child's foster parents have committed to raising him/her to the age of majority and to facilitate visitation with the disabled parent; or, (iii) the Tribe has identified another planned permanent living arrangement for the child. (4) When an administrative body, appointed or approved by the court, conducts the permanency hearing, the procedural safeguards set forth in the definition of permanency hearing (i) Application of the requirements for filing a petition to terminate parental rights at section 475(5)(E) of the Social Security Act. (i) Whose child has been in foster care under the responsibility of the title IV-E agency for 15 of the most recent 22 months. The petition must be filed by the end of the child's fifteenth month in foster care. In calculating when to file a petition for termination of parental rights, the title IV-E agency: (A) Must calculate the 15 out of the most recent 22 month period from the date the child is considered to have entered foster care as defined at section 475(5)(F) of the Act and § 1355.20 of this part; (B) Must use a cumulative method of calculation when a child experiences multiple exits from and entries into foster care during the 22 month period; (C) Must not include trial home visits or runaway episodes in calculating 15 months in foster care; and, (D) Need only apply section 475(5)(E) of the Act to a child once if the title IV-E agency does not file a petition because one of the exceptions at paragraph (i)(2) of this section applies; (ii) Whose child has been determined by a court of competent jurisdiction to be an abandoned infant (as defined under State or for a Tribal title IV-E agency, Tribal law). The petition to terminate parental rights must be filed within 60 days of the judicial determination that the child is an abandoned infant; or, (iii) Who has been convicted of one of the felonies listed at paragraph (b)(3)(ii) of this section. Under such circumstances, the petition to terminate parental rights must be filed within 60 days of a judicial determination that reasonable efforts to reunify the child and parent are not required. (2) The title IV-E agency may elect not to file or join a petition to terminate the parental rights of a parent per paragraph (i)(1) of this section if: (i) At the option of the title IV-E agency, the child is being cared for by a relative; (ii) The title IV-E agency has documented in the case plan (which must be available for court review) a compelling reason for determining that filing such a petition would not be in the best interests of the individual child. Compelling reasons for not filing a petition to terminate parental rights include, but are not limited to: (A) Adoption is not the appropriate permanency goal for the child; or, (B) No grounds to file a petition to terminate parental rights exist; or, (C) The child is an unaccompanied refugee minor as defined in 45 CFR 400.111; or (D) There are international legal obligations or compelling foreign policy reasons that would preclude terminating parental rights; or (iii) The title IV-E agency has not provided to the family, consistent with the time period in the case plan, services that the title IV-E agency deems necessary for the safe return of the child to the home, when reasonable efforts to reunify the family are required. (3) When the title IV-E agency files or joins a petition to terminate parental rights in accordance with paragraph (i)(1) of this section, it must concurrently begin to identify, recruit, process, and approve a qualified adoptive family for the child. (j) Child of a minor parent in foster care. foster care maintenance payments (k) Removal from the home of a specified relative. (i) A voluntary placement agreement entered into by a parent or guardian which leads to a physical or constructive removal (i.e., a non-physical or paper removal of custody) of the child from the home; or (ii) A judicial order for a physical or constructive removal of the child from a parent or specified relative. (2) A removal has not occurred in situations where legal custody is removed from the parent or relative and the child remains with the same relative in that home under supervision by the title IV-E agency. (3) A child is considered constructively removed on the date of the first judicial order removing custody, even temporarily, from the appropriate specified relative or the date that the voluntary placement agreement is signed by all relevant parties. (l) Living with a specified relative. (1) The child was living with the parent or specified relative, and was AFDC eligible in that home in the month of the voluntary placement agreement or initiation of court proceedings; or (2) The child had been living with the parent or specified relative within six months of the month of the voluntary placement agreement or the initiation of court proceedings, and the child would have been AFDC eligible in that month if s/he had still been living in that home. (m) Review of payments and licensing standards. (1) The amount of the payments made for foster care maintenance to assure their continued appropriateness, and that the amount made to a licensed or approved relative or kinship foster family home is the same as the amount that would have been made if the child was placed in a licensed or approved non-relative foster family home; (2) The amount of the payments made for adoption assistance to assure their continued appropriateness; and (3) The licensing or approval standards for child care institutions and foster family homes. (n) Foster care goals. (o) Notice and right to be heard. [65 FR 4088, Jan. 25, 2000, as amended at 66 FR 58677, Nov. 23, 2001; 77 FR 947, Jan. 6, 2012; 88 FR 66708, Sept. 28, 2023] § 1356.22 Implementation requirements for children voluntarily placed in foster care. (a) As a condition of receipt of Federal financial participation (FFP) in foster care maintenance payments for a dependent child removed from his home under a voluntary placement agreement, the title IV-E agency must meet the requirements of: (1) Section 472 of the Act, as amended; (2) Sections 422(b)(8) and 475(5) of the Act; (3) 45 CFR 1356.21(e), (f), (g), (h), and (i); and (4) The requirements of this section. (b) Federal financial participation is available only for voluntary foster care maintenance expenditures made within the first 180 days of the child's placement in foster care unless there has been a judicial determination by a court of competent jurisdiction, within the first 180 days of such placement, to the effect that the continued voluntary placement is in the best interests of the child. (c) The title IV-E agency must establish and maintain a uniform procedure or system, consistent with State or Tribal law, for revocation by the parent(s) of a voluntary placement agreement and return of the child. [65 FR 4090, Jan. 25, 2000, as amended at 66 FR 58677, Nov. 23, 2001; 77 FR 949, Jan. 6, 2012] § 1356.30 Safety requirements for foster care and adoptive home providers. (a) The title IV-E agency must provide documentation that criminal records checks have been conducted with respect to prospective foster and adoptive parents. (b) The title IV-E agency may not approve or license any prospective foster or adoptive parent, nor may the title IV-E agency claim FFP for any foster care maintenance or adoption assistance payment made on behalf of a child placed in a foster home operated under the auspices of a child placing agency or on behalf of a child placed in an adoptive home through a private adoption agency, if the title IV-E agency finds that, based on a criminal records check conducted in accordance with paragraph (a) of this section, a court of competent jurisdiction has determined that the prospective foster or adoptive parent has been convicted of a felony involving: (1) Child abuse or neglect; (2) Spousal abuse; (3) A crime against a child or children (including child pornography); or, (4) A crime involving violence, including rape, sexual assault, or homicide, but not including other physical assault or battery. (c) The title IV-E agency may not approve or license any prospective foster or adoptive parent, nor may the title IV-E agency claim FFP for any foster care maintenance or adoption assistance payment made on behalf of a child placed in a foster home operated under the auspices of a child placing agency or on behalf of a child placed in an adoptive home through a private adoption agency, if the title IV-E agency finds, based on a criminal records check conducted in accordance with paragraph (a) of this section, that a court of competent jurisdiction has determined that the prospective foster or adoptive parent has, within the last five years, been convicted of a felony involving: (1) Physical assault; (2) Battery; or, (3) A drug-related offense. (d) [Reserved] (e) In all cases where the State opted out of the criminal records check requirement, as permitted prior to the amendments made by section 152 of Public Law 109-248, the licensing file for that foster or adoptive family must contain documentation which verifies that safety considerations with respect to the caretaker(s) have been addressed. (f) In order for a child care institution to be eligible for title IV-E funding, the licensing file for the institution must contain documentation which verifies that safety considerations with respect to the staff of the institution have been addressed. [65 FR 4090, Jan. 25, 2000, as amended at 77 FR 949, Jan. 6, 2012] § 1356.40 Adoption assistance program: Administrative requirements to implement section 473 of the Act. (a) To implement the adoption assistance program provisions of the title IV-E plan and to be eligible for Federal financial participation in adoption assistance payments under this part, the title IV-E agency must meet the requirements of this section and section 471(a), applicable provisions of section 473, and section 475(3) of the Act. (b) The adoption assistance agreement for payments pursuant to section 473(a)(2) must meet the requirements of section 475(3) of the Act and must: (1) Be signed and in effect at the time of or prior to the final decree of adoption. A copy of the signed agreement must be given to each party; and (2) Specify its duration; and (3) Specify the nature and amount of any payment, services and assistance to be provided under such agreement and, for purposes of eligibility under title XIX of the Act, specify that the child is eligible for Medicaid services; and (4) Specify, with respect to agreements entered into on or after October 1, 1983, that the agreement shall remain in effect regardless of the place of residence of the adoptive parents at any given time. (c) There must be no income eligibility requirement (means test) for the prospective adoptive parent(s) in determining eligibility for adoption assistance payments. (d) In the event an adoptive family moves from one place of residence to another, the family may apply for social services on behalf of the adoptive child in the new place of residence. If a needed service(s) specified in the adoption assistance agreement is not available in the new place of residence, the title IV-E agency making the original adoption assistance payment remains financially responsible for providing the specified service(s). (e) A title IV-E agency may make an adoption assistance agreement with adopting parent(s) who reside in another State or a Tribal service area. If so, all provisions of this section apply. (f) The title IV-E agency must actively seek ways to promote the adoption assistance program. [48 FR 23116, May 23, 1983, as amended at 53 FR 50220, Dec. 14, 1988; 77 FR 949, Jan. 6, 2012] § 1356.41 Nonrecurring expenses of adoption. (a) The amount of the payment made for nonrecurring expenses of adoption shall be determined through agreement between the adopting parent(s) and the title IV-E agency administering the program. The agreement must indicate the nature and amount of the nonrecurring expenses to be paid. (b) The agreement for nonrecurring expenses may be a separate document or a part of an agreement for either State, Tribal, or Federal adoption assistance payments or services. (c) There must be no income eligibility requirement (means test) for adopting parents in determining whether payments for nonrecurring expenses of adoption shall be made. However, parents cannot be reimbursed for out-of-pocket expenses for which they have otherwise been reimbursed. (d) For purposes of payment of nonrecurring expenses of adoption, the title IV-E agency must determine that the child is a “child with special needs” as defined in section 473(c) of the Act, and that the child has been placed for adoption in accordance with applicable laws; the child need not meet the categorical eligibility requirements at section 473(a)(2). (e)(1) The title IV-E agency must notify all appropriate courts and all public and licensed private nonprofit adoption agencies of the availability of funds for the nonrecurring expenses of adoption of children with special needs as well as where and how interested persons may apply for these funds. This information should routinely be made available to all persons who inquire about adoption services. (2) The agreement for nonrecurring expenses must be signed at the time of or prior to the final decree of adoption. Claims must be filed with the title IV-E agency within two years of the date of the final decree of adoption. (f)(1) Funds expended by the title IV-E agency under an adoption assistance agreement, with respect to nonrecurring adoption expenses incurred by or on behalf of parents who adopt a child with special needs, shall be considered an administrative expenditure of the title IV-E Adoption Assistance Program. Federal reimbursement is available at a 50 percent matching rate, for title IV-E agency expenditures up to $2,000, for any adoptive placement. (2) Title IV-E agencies may set a reasonable lower maximum which must be based on reasonable charges, consistent with State, Tribal, and local practices, for special needs adoptions within the State or Tribal service area. The basis for setting a lower maximum must be documented and available for public inspection. (3) In cases where siblings are placed and adopted, either separately or as a unit, each child is treated as an individual with separate reimbursement for nonrecurring expenses up to the maximum amount allowable for each child. (g) Federal financial participation for nonrecurring expenses of adoption is limited to costs incurred by or on behalf of adoptive parents that are not otherwise reimbursed from other sources. Payments for nonrecurring expenses shall be made either directly by the title IV-E agency or through another public or licensed nonprofit private agency. (h) When the adoption of the child involves a placement outside the State or Tribal service area, the title IV-E agency that enters into an adoption assistance agreement under section 473(a)(1)(B)(ii) of the Act or under a State or Tribal subsidy program will be responsible for paying the nonrecurring adoption expenses of the child. In cases where there is placement outside the State or Tribal service area but no agreement for other Federal, Tribal, or State adoption assistance, the title IV-E agency in the jurisdiction in which the final adoption decree is issued will be responsible for reimbursement of nonrecurring expenses if the child meets the requirements of section 473(c). (i) The term “nonrecurring adoption expenses” means reasonable and necessary adoption fees, court costs, attorney fees and other expenses which are directly related to the legal adoption of a child with special needs, which are not incurred in violation of State, Tribal or Federal law, and which have not been reimbursed from other sources or other funds. “Other expenses which are directly related to the legal adoption of a child with special needs” means the costs of the adoption incurred by or on behalf of the parents and for which parents carry the ultimate liability for payment. Such costs may include the adoption study, including health and psychological examination, supervision of the placement prior to adoption, transportation and the reasonable costs of lodging and food for the child and/or the adoptive parents when necessary to complete the placement or adoption process. (j) Failure to honor all eligible claims will be considered non-compliance by the title IV-E agency with title IV-E of the Act. (k) A title IV-E expenditure is considered made in the quarter during which the payment was made by a title IV-E agency to a private nonprofit agency, individual or vendor payee. [53 FR 50220, Dec. 14, 1988, as amended at 77 FR 949, Jan. 6, 2012] § 1356.50 Withholding of funds for non-compliance with the approved title IV-E plan. (a) To be in compliance with the title IV-E plan requirements, a title IV-E agency must meet the requirements of the Act and 45 CFR 1356.20, 1356.21, 1356.30, and 1356.40 of this part. (b) To be in compliance with the title IV-E plan requirements, a title IV-E agency that chooses to claim FFP for voluntary placements must meet the requirements of the Act, 45 CFR 1356.22 and paragraph (a) of this section; and (c) For purposes of this section, the procedures in § 1355.39 of this chapter apply. [48 FR 23117, May 23, 1983, as amended at 65 FR 4091, Jan. 25, 2000; 66 FR 58677, Nov. 23, 2001; 77 FR 950, Jan. 6, 2012] § 1356.60 Fiscal requirements (title IV-E). (a) Federal matching funds for foster care maintenance and adoption assistance payments. (i) Foster care maintenance payments as defined in section 475(4) of the Act, made in accordance with §§ 1356.20 through 1356.30, section 472 of the Act, and, for a Tribal title IV-E agency, section 479B of the Act; and (ii) Adoption assistance payments made in accordance with §§ 1356.20 and 1356.40, applicable provisions of section 473, section 475(3), and, for a Tribal title IV-E agency, section 479B of the Act. (2) Federal financial participation is available at the rate of the Federal medical assistance percentage as defined in section 1905(b), 474(a)(1) and (2), and 479B(d) of the Act as applicable, definitions, and pertinent regulations as promulgated by the Secretary, or the designee. (b) Federal matching funds for title IV-E agency training for foster care and adoption assistance under title IV-E. (i) Training personnel employed or preparing for employment by the title IV-E agency administering the plan, and; (ii) Providing short-term training (including travel and per diem expenses) to current or prospective foster or adoptive parents and the members of the state licensed or approved child care institutions providing care to foster and adopted children receiving title IV-E assistance. (2) All training activities and costs funded under title IV-E shall be included in the agency's training plan for title IV-B. (3) Short and long term training at educational institutions and in-service training may be provided in accordance with the provisions of §§ 235.63 through 235.66(a) of this title. (c) Federal matching funds for other title IV-E agency administrative expenditures for foster care and adoption assistance under title IV-E. (1) The determination and redetermination of eligibility, fair hearings and appeals, rate setting and other costs directly related only to the administration of the foster care program under this part are deemed allowable administrative costs under this paragraph. They may not be claimed under any other section or Federal program. (2) The following are examples of allowable administrative costs necessary for the administration of the foster care program: (i) Referral to services; (ii) Preparation for and participation in judicial determinations; (iii) Placement of the child; (iv) Development of the case plan; (v) Case reviews; (vi) Case management and supervision; (vii) Recruitment and licensing of foster homes and institutions; (viii) Rate setting; (ix) A proportionate share of related agency overhead; (x) Costs related to data collection and reporting; and (xi) Costs related to legal representation described in paragraph (c)(4) of this section. (3) Allowable administrative costs do not include the costs of social services provided to the child, the child's family or foster family which provide counseling or treatment to ameliorate or remedy personal problems, behaviors or home conditions. (4) The following are allowable administrative costs of legal representation: (i) Legal representation in foster care proceedings provided by an attorney representing the title IV-E agency or any other public agency (including an Indian tribe) which has an agreement in effect under which the other agency has placement and care responsibility of a title IV-E eligible child pursuant to 472(a)(2)(B)(ii) of the Act; (ii) Independent legal representation provided by an attorney representing a child in title IV-E foster care, a child who is a candidate for title IV-E foster care, the child's parent(s), the child's relative caregiver(s), and the child's Indian custodian(s) in foster care and other civil legal proceedings as necessary to carry out the requirements in the agency's title IV-E foster care plan. Independent legal representation in civil proceedings includes facilitating, arranging, brokering, advocating, or otherwise linking clients with providers and services as identified in the child's case plan pursuant to sections 422, 471(a)(16), and 475 of the Act; and (iii) Legal representation provided by an attorney representing an Indian child's tribe (as defined by 25 U.S.C.1903(5)), or representation of an Indian child's tribe provided by a non-attorney, when the child's tribe participates or intervenes in any state court proceeding for the foster care placement or termination of parental rights of an Indian child who is in title IV-E foster care or an Indian child who is a candidate for title IV-E foster care. (d) Cost of the data collection system. (2) For information systems used for purposes other than those specified by section 479 of the Act, costs must be allocated and must bear the same ratio as the foster care and adoption population bears to the total population contained in the information system as verified by reports from all other programs included in the system. (e) Federal matching funds for CCWIS and Non-CCWIS. [47 FR 30925, July 15, 1982, as amended at 48 FR 23117, May 23, 1983; 53 FR 50221, Dec. 14, 1988; 58 FR 67938, 67947, Dec. 22, 1993; 65 FR 4091, Jan. 25, 2000; 66 FR 58677, Nov. 23, 2001; 77 FR 950, Jan. 6, 2012; 81 FR 35482, June 2, 2016; 87 FR 42339, July 15, 2022; 89 FR 40417, May 10, 2024] §§ 1356.65-1356.66 [Reserved] § 1356.67 Procedures for the transfer of placement and care responsibility of a child from a State to a Tribal title IV-E agency or an Indian Tribe with a title IV-E agreement. (a) Each State with a title IV-E plan approved under section 471 of the Act must establish and maintain procedures, in consultation with Indian Tribes, for the transfer of responsibility for the placement and care of a child under a State title IV-E plan to a Tribal title IV-E agency or an Indian Tribe with a title IV-E agreement in a way that does not affect a child's eligibility for, or payment of, title IV-E and the child's eligibility for medical assistance under title XIX of the Act. (b) The procedures must, at a minimum, provide for the State to: (1) Determine, if the eligibility determination is not already completed, the child's eligibility under section 472 or 473 of the Act at the time of the transfer of placement and care responsibility of a child to a Tribal title IV-E agency or an Indian Tribe with a title IV-E agreement. (2) Provide essential documents and information necessary to continue a child's eligibility under title IV-E and Medicaid programs under title XIX to the Tribal title IV-E agency, including, but not limited to providing: (i) All judicial determinations to the effect that continuation in the home from which the child was removed would be contrary to the welfare of the child and that reasonable efforts described in section 471(a)(15) of the Act have been made; (ii) Other documentation the State has that relates to the child's title IV-E eligibility under sections 472 and 473 of the Act; (iii) Information and documentation available to the agency regarding the child's eligibility or potential eligibility for other Federal benefits; (iv) The case plan developed pursuant to section 475(1) of the Act, including health and education records of the child pursuant to section 475(1)(C) of the Act; and (v) Information and documentation of the child's placement settings, including a copy of the most recent provider's license or approval. [77 FR 950, Jan. 6, 2012] § 1356.68 Tribal title IV-E agency requirements for in-kind administrative and training contributions from third-party sources. (a) Option to claim in-kind expenditures from third-party sources for non-Federal share of administrative and training costs. (b) In-kind expenditures for fiscal years 2010 and 2011 Administrative costs. (2) Training costs. (i) A State or local government; (ii) An Indian Tribe, Tribal organization, or Tribal consortium other than the Indian Tribe, organization, or consortium submitting the title IV-E plan; (iii) A public institution of higher education; (iv) A Tribal College or University (as defined in section 316 of the Higher Education Act of 1965 (20 U.S.C. 1059c)); and (v) A private charitable organization. (c) In-kind expenditures for fiscal years 2012 and thereafter Administrative costs. (2) Training costs. (3) Third-party sources. [77 FR 950, Jan. 6, 2012] §§ 1356.69-1356.70 [Reserved] § 1356.71 Federal review of the eligibility of children in foster care and the eligibility of foster care providers in title IV-E programs. (a) Purpose, scope and overview of the process. (2) The requirements of this section apply to title IV-E agencies that receive Federal payments for foster care under title IV-E of the Act. (3) The review process begins with a primary review of foster care cases for the title IV-E eligibility requirements. (i) Title IV-E agencies in substantial compliance. (ii) Title IV-E agencies not in substantial compliance. (b) Composition of review team and preliminary activities preceding an on-site review. (2) The title IV-E agency must provide ACF with the complete payment history for each of the sample and oversample cases prior to the on-site review. (c) Sampling guidance and conduct of review. i.e., (2) A sample of 80 cases (plus a 10 percent oversample of eight cases) from the title IV-E foster care program will be selected for the primary review utilizing probability sampling methodologies. Usually, the chosen methodology will be simple random sampling, but other probability samples may be utilized, when necessary and appropriate. (3) Cases from the oversample will be substituted and reviewed for each of the original sample of 80 cases which is found to be in error. (4) At the completion of the primary review, the review team will determine the number of ineligible cases. When the total number of ineligible cases does not exceed eight, ACF can conclude with a probability of 88 percent that in a population of 1000 or more cases the population ineligibility case error rate is less than 15 percent and the title IV-E agency will be considered in substantial compliance.For primary reviews held subsequent to the initial primary reviews, the acceptable population ineligibility case error rate threshold will be reduced from less than 15 percent (eight or fewer ineligible cases) to less than 10 percent (four or fewer ineligible cases)). A title IV-E agency which meets this standard is considered to be in “substantial compliance” (see paragraph (h) of this section). A disallowance will be assessed for the ineligible cases for the period of time the cases are ineligible. (5) A title IV-E agency which has been determined to be in “noncompliance” ( i.e., (6) At the completion of the secondary review, the review team will calculate both the sample case ineligibility and dollar error rates for the cases determined ineligible during the review. An extrapolated disallowance equal to the lower limit of a 90 percent confidence interval for the population total dollars in error for the amount of time corresponding to the AFCARS reporting period will be assessed if both the child/provider (case) ineligibility and dollar error rates exceed 10 percent. If neither, or only one, of the error rates exceeds 10 percent, a disallowance will be assessed for the ineligible cases for the period of time the cases are ineligible. (d) Requirements subject to review. (1) The eligibility of the children on whose behalf the foster care maintenance payments are made (section 472(a)(1)-(4) of the Act) to include: (i) Judicial determinations regarding “reasonable efforts” and “contrary to the welfare” in accordance with § 1356.21(b) and (c), respectively; (ii) Voluntary placement agreements in accordance with § 1356.22; (iii) Responsibility for placement and care vested with the title IV-E or other public agency per section 472(a)(2)(B) of the Act; (iv) Placement in a licensed foster family home or child care institution; and, (v) Eligibility for AFDC under such State plan as it was in effect on July 16, 1996 per section 472(a)(3) or 479B(c)(1)(C)(ii)(II) of the Act, as appropriate. (2) Allowable payments made to foster care providers who comport with sections 471(a)(10), 471(a)(20), 472(b) and (c), and 479B(c)(2) of the Act and § 1356.30. (e) Review instrument. (f) Eligibility determination—child. (g) Eligibility determination—provider. (i) Public child care institutions with 25 children or less in residence; (ii) Private child care institutions; (iii) Group homes; and (iv) Foster family homes, including relative homes. (2) The licensing file must contain documentation that the title IV-E agency has complied with the safety requirements for foster and adoptive placements in accordance with § 1356.30. (3) If the licensing file does not contain sufficient information to support a child's placement in a licensed facility, the title IV-E agency may provide supplemental information from other sources ( e.g., (h) Standards of compliance. (2) Substantial compliance and noncompliance are defined as follows: (i) Substantial compliance i.e., substantial compliance (ii) Noncompliance i.e., noncompliance (3) ACF will notify the title IV-E agency in writing within 30 calendar days after the completion of the review of whether the title IV-E agency is, or is not, operating in substantial compliance. (4) Title IV-E agencies which are determined to be in substantial compliance must undergo a subsequent review after a minimum of three years. (i) Program improvement plans. (i) Be developed jointly by title IV-E agency and Federal staff; (ii) Identify the areas in which the title IV-E agency's program is not in substantial compliance; (iii) Not extend beyond one year. A title IV-E agency will have a maximum of one year in which to implement and complete the provisions of the program improvement plan unless State/Tribal legislative action is required. In such instances, an extension may be granted with the title IV-E agency and ACF negotiating the terms and length of such extension that shall not exceed the last day of the first legislative session after the date of the program improvement plan; and (iv) Include: (A) Specific goals; (B) The action steps required to correct each identified weakness or deficiency; and, (C) a date by which each of the action steps is to be completed. (2) Title IV-E agencies determined not to be in substantial compliance as a result of a primary review must submit the program improvement plan to ACF for approval within 90 calendar days from the date the title IV-E agency receives written notification that it is not in substantial compliance. This deadline may be extended an additional 30 calendar days when a title IV-E agency submits additional documentation to ACF in support of cases determined to be ineligible as a result of the on-site eligibility review. (3) The ACF Regional Office will intermittently review, in conjunction with the title IV-E agency, the title IV-E agency's progress in completing the prescribed action steps in the program improvement plan. (4) If a title IV-E agency does not submit an approvable program improvement plan in accordance with the provisions of paragraphs (i)(1) and (2) of this section, ACF will move to a secondary review in accordance with paragraph (c) of this section. (j) Disallowance of funds. (1) Title IV-E agencies which are found to be in substantial compliance during the primary or secondary review will have disallowances (if any) determined on the basis of individual cases reviewed and found to be in error. The amount of disallowance will be computed on the basis of payments associated with ineligible cases for the entire period of time that each case has been ineligible. (2) Title IV-E agencies which are found to be in noncompliance during the primary review will have disallowances determined on the basis of individual cases reviewed and found to be in error, and must implement a program improvement plan in accordance with the provisions contained within it. A secondary review will be conducted no later than during the AFCARS reporting period which immediately follows the program improvement plan completion date on a sample of 150 cases drawn from the title IV-E agency's most recent AFCARS data. If both the case ineligibility and dollar error rates exceed 10 percent, the title IV-E agency is not in compliance and an additional disallowance will be determined based on extrapolation from the sample to the universe of claims paid for the duration of the AFCARS reporting period ( i.e., (3) The title IV-E agency will be liable for interest on the amount of funds disallowed by the Department, in accordance with the provisions of 45 CFR 30.18. (4) Title IV-E agencies may appeal any disallowance actions taken by ACF to the HHS Departmental Appeals Board in accordance with regulations at 45 CFR part 16. [65 FR 4091, Jan. 25, 2000, as amended at 66 FR 58677, Nov. 23, 2001; 77 FR 951, Jan. 6, 2012] § 1356.80 Scope of the National Youth in Transition Database. The requirements of the National Youth in Transition Database (NYTD) §§ 1356.81 through 1356.86 of this part apply to the agency in any State, the District of Columbia, or Territory, that administers, or supervises the administration of the Chafee Foster Care Independence Program (CFCIP) under section 477 of the Social Security Act (the Act). [73 FR 10365, Feb. 26, 2008] § 1356.81 Reporting population. The reporting population is comprised of all youth in the following categories: (a) Served population. (b) Baseline population. (c) Follow-up population. i.e. [73 FR 10365, Feb. 26, 2008] § 1356.82 Data collection requirements. (a) The State agency must collect applicable information as specified in section 1356.83 of this part on the reporting population defined in section 1356.81 of this part in accordance with the following: (1) For each youth in the served population, the State agency must collect information for the data elements specified in section 1356.83(b) and 1356.83(c) of this part on an ongoing basis, for as long as the youth receives services. (2) For each youth in the baseline population, the State agency must collect information for the data elements specified in section 1356.83(b) and 1356.83(d) of this part. The State agency must collect this information on a new baseline population every three years. (i) For each youth in foster care who turns age 17 in FFY 2011, the State agency must collect this information within 45 days following the youth's 17th birthday, but not before that birthday. (ii) Every third Federal fiscal year thereafter, the State agency must collect this information on each youth in foster care who turns age 17 during the year within 45 days following the youth's 17th birthday, but not before that birthday. (iii) The State agency must collect this information using the survey questions in appendix B of this part entitled “Information to collect from all youth surveyed for outcomes, whether in foster care or not.” (3) For each youth in the follow-up population, the State agency must collect information on the data elements specified in sections 1356.83(b) and 1356.83(e) of this part within the reporting period of the youth's 19th and 21st birthday. The State agency must collect the information using the appropriate survey questions in appendix B of this part, depending upon whether the youth is in foster care. (b) The State agency may select a sample of the 17-year-olds in the baseline population to follow over time consistent with the sampling requirements described in section 1356.84 of this part to satisfy the data collection requirements in paragraph (a)(3) of this section for the follow-up population. A State that samples must identify the youth at age 19 who participated in the outcomes data collection as part of the baseline population at age 17 who are not in the sample in accordance with 45 CFR 1356.83(e). [73 FR 10365, Feb. 26, 2008] § 1356.83 Reporting requirements and data elements. (a) Reporting periods and deadlines. i.e. (b) Data elements for all youth. (c) Data elements for served youth. (d) Data elements for baseline youth. (e) Data elements for follow-up youth. (f) Single youth record. (g) Data element descriptions. (1) State. (2) Report date. (3) Record number. (i) If the youth is in foster care as defined in 45 CFR 1355.20 or was during the current or previous reporting period, the State agency must use and report to the NYTD the same person identification number for the youth the State agency reports to AFCARS. The person identification number must remain the same for the youth wherever the youth is living and in any subsequent NYTD reports. (ii) If the youth was never in the State's foster care system as defined in 45 CFR 1355.20, the State agency must assign a person identification number that must remain the same for the youth wherever the youth is living and in any subsequent reports to NYTD. (4) Date of birth. (5) Sex. (6) Race: American Indian or Alaska Native. (7) Race: Asian. (8) Race: Black or African American. (9) Race: Native Hawaiian or Other Pacific Islander. (10) Race: White. (11) Race: unknown. (12) Race: declined. (13) Hispanic or Latino ethnicity. (14) Foster care status—services. (15) Local agency. (16) Federally recognized tribe. et seq. et seq. (17) Adjudicated delinquent. (18) Educational level. (19) Special education. (20) Independent living needs assessment. (21) Academic support. (22) Post-secondary educational support. (23) Career preparation. (24) Employment programs or vocational training. (25) Budget and financial management. (26) Housing education and home management training. (27) Health education and risk prevention. (28) Family support and healthy marriage education. (29) Mentoring. (30) Supervised independent living. (31) Room and board financial assistance. (32) Education financial assistance. (33) Other financial assistance. (34) Outcomes reporting status. (i) Youth participated. (ii) Youth declined. (iii) Parent declined. (iv) Incapacitated. (v) Incarcerated. (vi) Runaway/missing. (vii) Unable to locate/invite. (viii) Death. (ix) Not in sample. (35) Date of outcome data collection. (36) Foster care status—outcomes. (37) Current full-time employment. (38) Current part-time employment. (39) Employment-related skills. (40) Social Security. (41) Educational aid. (42) Public financial assistance. (43) Public food assistance. (44) Public housing assistance. (45) Other financial support. (46) Highest educational certification received. (i) A vocational certificate is a document stating that a person has received education or training that qualifies him or her for a particular job, e.g., auto mechanics or cosmetology. (ii) A vocational license is a document that indicates that the State or local government recognizes an individual as a qualified professional in a particular trade or business. (iii) An associate's degree is generally a two-year degree from a community college. (iv) A bachelor's degree is a four-year degree from a college or university. (v) A higher degree indicates a graduate degree, such as a Master's Degree or a Juris Doctor (J.D.). (vi) None of the above means that the youth has not received any of the above educational certifications. (47) Current enrollment and attendance. (48) Connection to adult. (49) Homelessness. (50) Substance abuse referral. (51) Incarceration. (52) Children. (53) Marriage at child's birth. (54) Medicaid. (55) Other health insurance coverage. (56) Health insurance type: Medical. (57) Health insurance type: Mental health. (58) Health insurance type: Prescription drugs. (h) Electronic reporting. (This requirement has been approved by the Office of Management and Budget under OMB Control Number OMB 0970-0340. 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.) [73 FR 10365, Feb. 26, 2008, as amended at 77 FR 952, Jan. 6, 2012] § 1356.84 Sampling. (a) The State agency may collect and report the information required in section 1356.83(e) of this part on a sample of the baseline population consistent with the sampling requirements described in paragraphs (b) and (c) of this section. (b) The State agency must select the follow-up sample using simple random sampling procedures based on random numbers generated by a computer program, unless ACF approves another sampling procedure. The sampling universe consists of youth in the baseline population consistent with 45 CFR 1356.81(b) who participated in the State agency's data collection at age 17. (c) The sample size is based on the number of youth in the baseline population who participated in the State agency's data collection at age 17. (1) If the number of youth in the baseline population who participated in the outcome data collection at age 17 is 5,000 or less, the State agency must calculate the sample size using the formula in appendix C of this part, with the Finite Population Correction (FPC). The State agency must increase the resulting number by 30 percent to allow for attrition, but the sample size may not be larger than the number of youth who participated in data collection at age 17. (2) If the number of youth in the baseline population who participated in the outcome data collection at age 17 is greater than 5,000, the State agency must calculate the sample size using the formula in appendix C of this part, without the FPC. The State agency must increase the resulting number by 30 percent to allow for attrition, but the sample size must not be larger than the number of youth who participated in data collection at age 17. [73 FR 10365, Feb. 26, 2008] § 1356.85 Compliance. (a) File submission standards. (1) Timely data. (2) Format. (3) Error-free information. (b) Data standards. (1) Error-free. (2) Outcomes universe. (3) Outcomes participation rate. (i) Foster care youth participation rate. (ii) Discharged youth participation rate. (iii) Effect of sampling on participation rates. (c) Errors. (1) Missing data is any element that has a blank response when a blank response is not a valid response option as described in section 1356.83(g) of this part. (2) Out-of-range data is any element that contains a value that is outside the parameters of acceptable responses or exceeds, either positively or negatively, the acceptable range of response options as described in section 1356.83(g) of this part; and (3) Internally inconsistent data is any element that fails an internal consistency check designed to evaluate the logical relationship between elements in each record. The evaluation will identify all elements involved in a particular check as in error. (d) Review for compliance. (i) For State agencies that achieve the file submission standards, ACF will determine whether the State agency's data file meets the data standards. (ii) For State agencies that do not achieve the file submission standards or data standards, ACF will notify the State agency that they have an opportunity to submit a corrected data file by the end of the subsequent reporting period in accordance with paragraph (e) of this section. (2) ACF may use monitoring tools or assessment procedures to determine whether the State agency is meeting all the requirements of section 1356.81 through 1356.85 of this part. (e) Submitting corrected data and noncompliance. (1) A State agency must submit a corrected data file no later than the end of the subsequent reporting period as defined in section 1356.83(a) of this part (i.e., by September 30 or March 31). (2) If a State agency fails to submit a corrected data file that meets the compliance standards in section 1356.85 of this part and the deadline in paragraph (e)(1) of this section, ACF will make a final determination that the State is out of compliance, notify the State agency, and apply penalties as defined in section 1356.86 of this part. [73 FR 10365, Feb. 26, 2008] § 1356.86 Penalties for noncompliance. (a) Definition of Federal funds subject to a penalty. (b) Assessed penalty amounts. (1) Penalty for not meeting file submission standards. (2) Penalty for not meeting certain data standards. (i) One and one quarter percent (1.25%) of the funds subject to a penalty for each reporting period in which ACF makes a final determination that the State agency's data file does not comply with the data standard for error-free data as defined in section 1356.85(b)(1) of this part. (ii) One and one quarter percent (1.25%) of the funds subject to a penalty for each reporting period in which ACF makes a final determination that the State agency's data file does not comply with the outcome universe standard defined in section 1356.85(b)(2) of this part. (iii) One half of one percent (0.5%) of the funds subject to a penalty for each reporting period in which ACF makes a final determination that the State agency's data file does not comply with the participation rate for youth in foster care standard defined in section 1356.85(b)(3)(i) of this part. (iv) One half of one percent (0.5%) of the funds subject to a penalty for each reporting period in which ACF makes a final determination that the State agency's data file does not comply with the participation rate for discharged youth standard defined in section 1356.85(b)(3)(ii) of this part. (c) Calculation of the penalty amount. (d) Notification of penalty amount. (e) Interest. (f) Appeals. [73 FR 10365, Feb. 26, 2008, as amended at 77 FR 952, Jan. 6, 2012] Appendix A to Part 1356—NYTD Data Elements Element No. Element name Responses options Applicable population 1 State 2 digit FIPS code 2 Report date CYYMM CC = century year (i.e., 20) YY = decade year (00-99) MM = month (01-12) 3 Record number Encrypted, unique person identification number 4 Date of birth CCYYMMDD CC = century year (i.e., 20) YY = decade year (00-99) MM = month (01-12) DD= day (01-31) 5 Sex Male Female 6 Race—American Indian or Alaska Native Yes All youth in served, baseline and follow-up populations. No 7 Race—Asian Yes No 8 Race—Black or African American Yes No 9 Race—Native Hawaiian or Other Pacific Islander Yes No 10 Race—White Yes No 11 Race—Unknown Yes No 12 Race—Declined Yes No 13 Hispanic or Latino Ethnicity Yes No Unknown Declined 14 Foster care status—services Yes Served population only. No 15 Local agency FIPS code(s) Centralized unit 16 Federally-recognized tribe Yes No 17 Adjudicated delinquent Yes No 18 Education level Less than 6th grade Served population only. 6th grade 7th grade 8th grade 9th grade 10th grade 11th grade 12th grade Postsecondary education or training College, at least one semester 19 Special education Yes No 20 Independent living needs assessment Yes No 21 Academic support Yes No 22 Post-secondary educational support Yes No 23 Career preparation Yes No 24 Employment programs or vocational training Yes No 25 Budget and financial management Yes No 26 Housing education and home management training Yes No 27 Health education and risk prevention Yes No 28 Family Support/Healthy Marriage Education Yes No 29 Mentoring Yes No 30 Supervised independent living Yes No 31 Room and board financial assistance Yes No 32 Education financial assistance Yes No 33 Other financial assistance Yes No 34 Outcomes reporting status Youth Participated Baseline and follow-up populations (with the exception of the response option “not in sample” which is applicable to 19-year olds in the follow-up only). 35 Date of outcome data collection CCYYMMDD Baseline and follow-up populations. CC = century year (i.e., 20) YY = decade year (00-99) MM = month (01-12) DD = day (01-31) 36 Foster care status-outcomes Yes No 37 Current full-time employment Yes No Declined 38 Current part-time employment Yes No Declined 39 Employment-related skills Yes No Declined 40 Social Security Yes No Declined 41 Educational aid Yes No Declined 42 Public financial assistance Yes Follow-up population not in foster care. No Not applicable Declined 43 Public food assistance Yes No Not applicable Declined 44 Public housing assistance Yes No Not applicable Declined 45 Other financial support Yes Baseline and follow-up population. No Declined 46 Highest educational certification received High school diploma/GED Vocational certificate Vocational license Associate's degree Bachelor's degree Higher degree None of the above Declined 47 Current enrollment and attendance Yes No Declined 48 Connection to adult Yes No Declined 49 Homelessness Yes No Declined 50 Substance abuse referral Yes No Declined 51 Incarceration Yes No Declined 52 Children Yes No Declined 53 Marriage at child's birth Yes No Not applicable Declined 54 Medicaid Yes No Don't know Declined 55 Other health insurance Yes Baseline and follow-up population. No Don't know Declined 56 Health insurance type—medical Yes No Don't know Not Applicable Declined 57 Health insurance type—mental health Yes No Don't know Not applicable Declined 58 Health insurance type—prescription drugs Yes. [77 FR 952, Jan. 6, 2012] Appendix B to Part 1356—NYTD Youth Outcome Survey Topic/element No. Question to youth and response options Definition INFORMATION TO COLLECT FROM ALL YOUTH SURVEYED FOR OUTCOMES, WHETHER IN FOSTER CARE OR NOT Current full-time employment (37) Currently are you employed full-time? “Full-time” means working at least 35 hours per week at one or multiple jobs. __Yes __No __Declined Current part-time employment (38) Currently are you employed part-time? “Part-time” means working at least 1-34 hours per week at one or multiple jobs. __Yes __No __Declined Employment-related skills (39) In the past year, did you complete an apprenticeship, internship, or other on-the-job training, either paid or unpaid? This means apprenticeships, internships, or other on-the-job trainings, either paid or unpaid, that helped the youth acquire employment-related skills (which can include specific trade skills such as carpentry or auto mechanics, or office skills such as word processing or use of office equipment). Social Security (40) Currently are you receiving social security payments (Supplemental Security Income (SSI, Social Security Disability Insurance (SSDI), or dependents' payments)? These are payments from the government to meet basic needs for food, clothing, and shelter of a person with a disability. A youth may be receiving these payments because of a parent or guardian's disability, rather than his/her own. __Yes __No __Declined Educational Aid (41) Currently are you using a scholarship, grant, stipend, student loan, voucher, or other type of educational financial aid to cover any educational expenses? Scholarships, grants, and stipends are funds awarded for spending on expenses related to gaining an education. “Student loan” means a government-guaranteed, low-interest loan for students in post-secondary education. __Yes __No __Declined Other financial support (45) Currently are you receiving any periodic and/or significant financial resources or support from another source not previously indicated and excluding paid employment? This means periodic and/or significant financial support from a spouse or family member (biological, foster or adoptive), child support that the youth receives or funds from a legal settlement. This does not include occasional gifts, such as birthday or graduation checks or small donations of food or personal incidentals, child care subsidies, child support for a youth's child or other financial help that does not benefit the youth directly in supporting himself or herself. Highest educational certification received (46) What is the highest educational degree or certification that you have received? “Vocational certificate” means a document stating that a person has received education or training that qualifies him or her for a particular job, e.g., auto mechanics or cosmetology. “Vocational license” means a document that indicates that the State or local government recognizes an individual as a qualified professional in a particular trade or business. An Associate's degree is generally a two-year degree from a community college, and a Bachelor's degree is a four-year degree from a college or university. “Higher degree” indicates a graduate degree, such as a Masters or Doctorate degree. “None of the above” means that the youth has not received any of the above educational certifications. Current enrollment and attendance (47) Currently are you enrolled in and attending high school, GED classes, post-high school vocational training, or college? This means both enrolled in and attending high school, GED classes, or postsecondary vocational training or college. A youth is still considered enrolled in and attending school if the youth would otherwise be enrolled in and attending a school that is currently out of session (e.g., Spring break, summer vacation, etc.). Connection to adult (48) Currently is there at least one adult in your life, other than your caseworker, to whom you can go for advice or emotional support? This refers to an adult who the youth can go to for advice or guidance when there is a decision to make or a problem to solve, or for companionship to share personal achievements. This can include, but is not limited to, adult relatives, parents or foster parents. The definition excludes spouses, partners, boyfriends or girlfriends and current caseworkers. The adult must be easily accessible to the youth, either by telephone or in person. Homelessness (49) Have you ever been homeless? “Homeless” means that the youth had no regular or adequate place to live. This includes living in a car, or on the street, or staying in a homeless or other temporary shelter. Substance abuse referral (50) Have you ever referred yourself or has someone else referred you for an alcohol or drug abuse assessment or counseling? This includes either self-referring or being referred by a social worker, school staff, physician, mental health worker, foster parent, or other adult for an alcohol or drug abuse assessment or counseling. Alcohol or drug abuse assessment is a process designed to determine if someone has a problem with alcohol or drug use. In the past two years, did you refer yourself, or had someone else referred you for an alcohol or drug abuse assessment or counseling? __Yes __No __Declined Incarceration (51) Have you ever been confined in a jail, prison, correctional facility, or juvenile or community detention facility, in connection with allegedly committing a crime? This means that the youth was confined in a jail, prison, correctional facility, or juvenile or community detention facility in connection with a crime (misdemeanor or felony) allegedly committed by the youth. In the past two years, were you confined in a jail, prison, correctional facility, or juvenile or community detention facility, in connection with allegedly committing a crime? __Yes __No __Declined Children (52) Have you ever given birth or fathered any children that were born? This means giving birth to or fathering at least one child that was born. If males do not know, answer “No.” In the past two years, did you give birth to or father any children that were born? __Yes __No __Declined Marriage at Child's Birth (53) If you responded yes to the previous question, were you married to the child's other parent at the time each child was born? This means that when every child was born the youth was married to the other parent of the child. __Yes __No __Declined Medicaid (54) Currently are you on Medicaid [or use the name of the State's medical assistance program under title XIX]? Medicaid (or the State medical assistance program) is a health insurance program funded by the government. __Yes __No __Don't know __Declined Other Health insurance Coverage (55) Currently do you have health insurance, other than Medicaid? “Health insurance” means having a third party pay for all or part of health care. Youth might have health insurance such as group coverage offered by employers or schools, or individual policies that cover medical and/or mental health care and/or prescription drugs, or youth might be covered under parents' insurance. This also could include access to free health care through a college, Indian Tribe, or other source. Health insurance type—medical (56) Does your health insurance coverage include coverage for medical services? This means that the youth's health insurance covers at least some medical services or procedures. This question is for only those youth who responded “yes” to having health insurance. Health insurance type—mental health (57) Does your health insurance include coverage for mental health services? This means that the youth's health insurance covers at least some mental health services. This question is for only those youth who responded “yes” to having health insurance with medical coverage. Health insurance type—prescription drugs (58) Does your health insurance include coverage for prescription drugs? This means that the youth's health insurance covers at least some prescription drugs. This question is for only those youth who responded “yes” to having health insurance with medical coverage. ADDITIONAL OUTCOMES INFORMATION TO COLLECT FROM YOUTH OUT OF FOSTER CARE Public financial assistance (42) Currently are you receiving ongoing welfare payments from the government to support your basic needs? [The State may add and/or substitute the name(s) of the State's welfare program]. This refers to ongoing welfare payments from the government to support your basic needs. Do not consider payments or subsidies for specific purposes, such as unemployment insurance, child care subsidies, education assistance, food stamps or housing assistance in this category. __Yes __No __Declined Public food assistance (43) Currently are you receiving public food assistance? Public food assistance includes food stamps, which are government-issued coupons or debit cards that recipients can use to buy eligible food at authorized stores. Public food assistance also includes assistance from the Women, Infants and Children (WIC) program. Public housing assistance (44) Currently are you receiving any sort of housing assistance from the government, such as living in public housing or receiving a housing voucher? Public housing is rental housing provided by the government to keep rents affordable for eligible individuals and families, and a housing voucher allows participants to choose their own housing while the government pays part of the housing costs. This does not include payments from the child welfare agency for room and board payments. [77 FR 952, Jan. 6, 2012] Appendix C to Part 1356—Calculating Sample Size for NYTD Follow-Up Populations 1. Using Finite Population Correction The Finite Population Correction (FPC) is applied when the sample is drawn from a population of one to 5,000 youth, because the sample is more than five percent of the population. • (Py)(Pn), an estimate of the percent of responses to a dichotomous variable, is (.50)(.50) for the most conservative estimate. • Acceptable level of error = .05 (results are plus or minus five percentage points from the actual score) • Z = 1.645 (90 percent confidence interval) • N = number of youth from whom the sample is being drawn 2. Not Using Finite Population Correction The FPC is not applied when the sample is drawn from a population of over 5,000 youth. [73 FR 10372, Feb. 26, 2008]