Adoption and Foster Care Analysis and Reporting System

Office of Human Development Services, HHS
host mainframe. The software will be provided by the Department. This method is
best suited for small to moderate (100 to
5,000) records transmissions. The advantages
of Electronic File Transfer are the elimination of tapes and associated problems and
the advantage of automatic record checking
during the transmission session. If a State is
currently maintaining the AFCARS data on
a personal computer and is unable to
download and upload to its mainframe, Electronic File Transfer is an appropriate transmission mechanism.

tailed Data Elements Record is 72 characters
long. The Foster Care Summary Data Elements Record and the Adoption Summary
Data Elements Record are each 172 characters long.
(4) All States and Indian Tribes must inform the Department, in writing, of the
method of transfer they intend to use.
[58 FR 67931, Dec. 22, 1993; 59 FR 42520, Aug.
18, 1994, as amended at 60 FR 40507, Aug. 9,
1995]

APPENDIX D TO PART 1355—FOSTER
CARE AND ADOPTION RECORD LAYOUTS

4. Personal Computer to Personal Computer

erowe on DSK5CLS3C1PROD with CFR

This method uses the SIMPC software
package on the sending personal computer
and the receiving personal computer. The
software will be provided by the Department.
This method is best suited for small to moderate (100 to 5,000) records transmissions.
The advantages of Electronic File Transfer
are the elimination of tapes and associated
problems and the advantage of automatic
record checking during the transmission session. If a State is currently maintaining the
AFCARS data on a personal computer, the
personal computer to personal computer
transfer is an appropriate transmission
mechanism.
In conjunction with Departmental staff,
State agencies and Indian Tribes should review their resources and select the system
that will best suit their data transmission
needs. Over time, State agencies and Indian
Tribes can change their transmission methods, provided that proper notification is provided.
Regardless of the electronic data transmission methodology selected, certain criteria must be met by the State agencies and
Indian Tribes:
(1) Records must be written using ASCII
standard character format.
(2) All elements must be comprised of integer (numeric) value(s). Element character
length specifications refer to the maximum
number of numeric values permitted for that
element. See appendix D.
(3) All records must be a fixed length. The
Foster Care Detailed Data Elements Record
is 150 characters long and the Adoption De-

Pt. 1355, App. D

A. Foster Care
1. Foster Care Semi-Annual Detailed Data
Elements Record
a. The record will consist of 66 data
elements.
b. Data must be supplied for each of the
elements in accordance with these instructions:
(1) All data must be numeric. Enter the appropriate value for each element.
(2) Enter date values in year, month and
day order (YYYYMMDD), e.g., 19991030 for
October 30, 1999, or year and month order
(YYYYMM), e.g., 199910 for October 1999.
Leave the element value blank if dates are
not applicable.
(3) For elements 8, 11–15, 26–40, 52, 54 and
59–65, which are ‘‘select all that apply’’ elements, enter a ‘‘1’’ for each element that applies, enter a zero for non-applicable elements.
(4) Transaction Date—is a computer generated date indicating when the datum (Elements 21 or 55) is entered into the State’s
automated information system.
(5) Report the status of all children in foster care as of the last day of the reporting
period. Also, provide data for all children
who were discharged from foster care at any
time during the reporting period, or in the
previous reporting period, if not previously
reported.
c. Foster Care Semi-Annual Detailed Data
Elements Record Layout follows:
No. of numeric characters

Element No.

Appendix A data element

Data element description

01 ......................
02 ......................
03 ......................
04 ......................
05 ......................
06 ......................
07 ......................
08 ......................
08a ....................
08b ....................
08c ....................
08d ....................

I.A. ..................................
I.B. ..................................
I.C. ..................................
I.D. ..................................
I.E. ..................................
II.A. .................................
II.B. .................................
II.C.1. ..............................
.........................................
.........................................
.........................................
.........................................

State ..................................................................................................
Report period ending date ................................................................
Local Agency FIPS code (county or equivalent jurisdiction) ............
Record number ..................................................................................
Date of most recent periodic review .................................................
Child’s date of birth ...........................................................................
Sex ....................................................................................................
Race.
American Indian or Alaska native .....................................................
Asian ..................................................................................................
Black or African American .................................................................
Native Hawaiian or Other Pacific Islander ........................................

299

VerDate Mar<15>2010

11:33 Dec 06, 2010

Jkt 220190

PO 00000

Frm 00309

Fmt 8010

Sfmt 8002

Y:\SGML\220190.XXX

220190

2
6
5
12
8
8
1
1
1
1
1

erowe on DSK5CLS3C1PROD with CFR

Pt. 1355, App. D

45 CFR Ch. XIII (10–1–10 Edition)
No. of numeric characters

Element No.

Appendix A data element

Data element description

08e ....................
08f .....................
09 ......................
10 ......................

.........................................
.........................................
II.C.2. ..............................
II.D. .................................

11
12
13
14
15
16
17
18
19
20
21
22
23
24

......................
......................
......................
......................
......................
......................
......................
......................
......................
......................
......................
......................
......................
......................

II.D.1.a. ...........................
II.D.1.b. ...........................
II.D.1.c. ...........................
II.D.1.d. ...........................
II.D.1.e ............................
II.E.1. ..............................
II.E.2. ..............................
III.A.1. .............................
III.A.2. .............................
III.A.3. .............................
III.A.4. .............................
III.A.5. .............................
III.B.1. .............................
III.B.2. .............................

25 ......................

IV.A. ................................

26 ......................
27 ......................
28 ......................
29 ......................
30 ......................
31 ......................
32 ......................
33 ......................
34 ......................
35 ......................
36 ......................
37 ......................
38 ......................
39 ......................
40 ......................
41 ......................
42 ......................
43 ......................
44 ......................
45 ......................
46 ......................
47 ......................
48 ......................
49 ......................
50 ......................
51 ......................
52 ......................
52a ....................
52b ....................
52c ....................
52d ....................
52e ....................
52f .....................
53 ......................
54 ......................
54a ....................
54b ....................
54c ....................
54d ....................
54e ....................
54f .....................
55 ......................
56 ......................
57 ......................
58 ......................

IV.B.1. .............................
IV.B.2. .............................
IV.B.3. .............................
IV.B.4. .............................
IV.B.5. .............................
IV.B.6. .............................
IV.B.7. .............................
IV.B.8. .............................
IV.B.9. .............................
IV.B.10. ...........................
IV.B.11. ...........................
IV.B.12. ...........................
IV.B.13. ...........................
IV.B.14. ...........................
IV.B.15. ...........................
V.A. .................................
V.B. .................................
VI. ...................................
VII.A. ...............................
VII.B.1. ............................
VII.B.2. ............................
VIII.A. ..............................
VIII.B. ..............................
IX.A. ................................
IX.B.1. .............................
IX.B.2. .............................
IX.C.1. ............................
.........................................
.........................................
.........................................
.........................................
.........................................
.........................................
IX.C.2. ............................
IX.C.3. ............................
.........................................
.........................................
.........................................
.........................................
.........................................
.........................................
IX.C.4. ............................
X.A.1. ..............................
X.A.2. ..............................
X.B. .................................

White .................................................................................................
Unable to Determine .........................................................................
Hispanic or Latino Ethnicity ...............................................................
Has this child been clinically diagnosed as having a disability(ies)
Indicate each type of disability of the child with a ‘‘1’’ for elements 11–15 and a zero for disabilities that do not apply.
Mental retardation .............................................................................
Visually or hearing impaired ..............................................................
Physically disabled ............................................................................
Emotionally disturbed (DSM III) ........................................................
Other medically diagnosed condition requiring special care ............
Has this child ever been adopted .....................................................
If yes, how old was the child when the adoption was legalized? ....
Date of first removal from home .......................................................
Total number of removals from home to date ..................................
Date child was discharged from last foster care episode ................
Date of latest removal from home ....................................................
Removal transaction date .................................................................
Date of placement in current foster care setting ..............................
Number of previous placement settings during this removal episode.
Manner of removal from home for current placement episode ........
Actions or conditions associated with child’s removal: Indicate with a ‘‘1’’ for elements 26–40 and a zero for conditions that do not apply.
Physical abuse (alleged/reported) .....................................................
Sexual abuse (alleged/reported) .......................................................
Neglect (alleged/reported) .................................................................
Alcohol abuse (parent) ......................................................................
Drug abuse (parent) ..........................................................................
Alcohol abuse (child) .........................................................................
Drug abuse (child) .............................................................................
Child’s disability .................................................................................
Child’s behavior problem ...................................................................
Death of parent(s) .............................................................................
Incarceration of parent(s) ..................................................................
Caretaker’s inability to cope due to illness or other reasons ...........
Abandonment ....................................................................................
Relinquishment ..................................................................................
Inadequate housing ...........................................................................
Current placement setting .................................................................
Out of State placement .....................................................................
Most recent case plan goal ...............................................................
Caretaker family structure .................................................................
Year of birth (1st principal caretaker) ...............................................
Year of birth (2nd principal caretaker) ..............................................
Date of mother’s parental rights termination ....................................
Date of legal or putative father’s parental rights ..............................
Foster family structure .......................................................................
Year of birth (1st foster caretaker) ....................................................
Year of birth (2nd foster caretaker) ...................................................
Race of 1st foster caretaker.
American Indian or Alaska Native .....................................................
Asian ..................................................................................................
Black or Asian American ...................................................................
Native Hawaiian or Other Pacific Islander ........................................
White .................................................................................................
Unable to Determine .........................................................................
Hispanic or Latino ethnicity of 1st foster caretaker ..........................
Race of 2nd foster caretaker.
American Indian or Alaska Native .....................................................
Asian ..................................................................................................
Black or African American .................................................................
Native Hawaiian or Other pacific islander .........................................
White .................................................................................................
Unable to Determine .........................................................................
Hispanic or Latino ethnicity of 2nd foster caretaker .........................
Date of discharge from foster care ...................................................
Foster care discharge transaction date ............................................
Reason for discharge ........................................................................
Sources of Federal support/assistance for child; indicate with
a ‘‘1’’ for elements 58–64 and a zero for sources that do not
apply.

300

VerDate Mar<15>2010

11:33 Dec 06, 2010

Jkt 220190

PO 00000

Frm 00310

Fmt 8010

Sfmt 8002

Y:\SGML\220190.XXX

220190

1
1
1
1

1
1
1
1
1
1
1
8
2
8
8
8
8
2
1

1
1
1
1
1
1
1
1
1
1
1
1
1
1
1
1
1
1
1
4
4
8
8
1
4
4
1
1
1
1
1
1
1
1
1
1
1
1
1
1
8
8
1

Office of Human Development Services, HHS
Element No.
59
60
61
62
63
64
65
66

......................
......................
......................
......................
......................
......................
......................
......................

Data element description

XI.A. ................................
XI.B. ................................
XI.C. ...............................
XI.D. ...............................
XI.E. ................................
XI.F. ................................
XI.G. ...............................
XII ...................................

Title IV-E (Foster Care) .....................................................................
Title IV-E (Adoption Assistance) .......................................................
Title IV-A (Aid to Families With Dependent Children) ......................
Title IV-D (Child Support) ..................................................................
Title XIX (Medicaid) ...........................................................................
SSI or other Social Security Act benefits .........................................
None of the above ............................................................................
Amount of monthly foster care payment (regardless of source) ......

1
1
1
1
1
1
1
5

Total characters ......................................................................

197

a. The record will consist of 22 data elements.
The values for these data elements are generated by processing all records in the semiannual detailed data transmission and computing the summary values for Elements 1
and 3–22. Element 2 is the semi-annual report
period ending date. In calculating the age
range for the child, the last day of the reporting period is to be used.
Element No.

b. Data must be supplied for each of the
elements in accordance with these instructions:
(1) Enter the appropriate value for each
element.
(2) For all elements where the total is zero,
enter a numeric zero.
(3) Enter date values in year, month order
(YYYYMM), e.g.,199912 for December 1999.
c. Foster Care Semi-Annual Summary
Data Elements Record Layout follows:
No. of characters

Summary data file

...............................
...............................
...............................
...............................
...............................
...............................
...............................
...............................
...............................
...............................
...............................
...............................
...............................
...............................
...............................
...............................
...............................
...............................
...............................
...............................
...............................
...............................

Number of records ..........................................................................................................
Report period ending date (YYYYMM) ...........................................................................
Children in care under 1 year .........................................................................................
Children in care 1 year old .............................................................................................
Children in care 2 years old ............................................................................................
Children in care 3 years old ............................................................................................
Children in care 4 years old ............................................................................................
Children in care 5 years old ............................................................................................
Children in care 6 years old ............................................................................................
Children in care 7 years old ............................................................................................
Children in care 8 years old ............................................................................................
Children in care 9 years old ............................................................................................
Children in care 10 years old ..........................................................................................
Children in care 11 years old ..........................................................................................
Children in care 12 years old ..........................................................................................
Children in care 13 years old ..........................................................................................
Children in care 14 years old ..........................................................................................
Children in care 15 years old ..........................................................................................
Children in care 16 years old ..........................................................................................
Children in care 17 years old ..........................................................................................
Children in care 18 years old ..........................................................................................
Children in care over 18 years old .................................................................................

8
6
8
8
8
8
8
8
8
8
8
8
8
8
8
8
8
8
8
8
8
8

Record Length ......................................................................................................

174

B. Adoption
1. Adoption Semi-Annual Detailed Data
Elements Record

erowe on DSK5CLS3C1PROD with CFR

No. of numeric characters

Appendix A data element

2. Foster Care Semi-Annual Summary Data
Elements Record

01
02
03
04
05
06
07
08
09
10
11
12
13
14
15
16
17
18
19
20
21
22

Pt. 1355, App. D

a. The record will consist of 37 data elements.
b. Data must be supplied for each of the
elements in accordance with these instructions:
(1) Enter the appropriate value for each
element.

(2) Enter date values in year, month and
day order (YYYYMMDD), e.g., 19991030 for
October 30, 1999, or year and month
(YYYYMM), e.g., 199910 for October 1999.
Leave the element value blank if dates are
not applicable.
(3) For elements 7, 11–15, 25, 27 and 29–32
which are ‘‘select all that apply’’ elements,
enter a ‘‘1’’ for each element that applies;
enter a zero for non-applicable elements.
c. Adoption Semi-Annual Detailed Data
Elements Record Layout follows:

301

VerDate Mar<15>2010

11:33 Dec 06, 2010

Jkt 220190

PO 00000

Frm 00311

Fmt 8010

Sfmt 8002

Y:\SGML\220190.XXX

220190

Pt. 1355, App. D

45 CFR Ch. XIII (10–1–10 Edition)

Appendix B data element

Data element description

01 ......................
02 ......................
03 ......................
04 ......................
05 ......................
06 ......................
07 ......................
07a ....................
07b ....................
07c ....................
07d ....................
07e ....................
07f .....................
08 ......................
09 ......................
10 ......................

I.A. ..................................
I.B. ..................................
I.C. ..................................
I.D. ..................................
II.A. .................................
II.B. .................................
II.C.1. ..............................
.........................................
.........................................
.........................................
.........................................
.........................................
.........................................
II.C.2. ..............................
III.A .................................
III.B .................................

11 ......................
12 ......................
13 ......................
14 ......................
15 ......................
16 ......................
17 ......................
18 ......................
19 ......................
20 ......................
21 ......................
22 ......................
23 ......................
24 ......................
25 ......................
25a ....................
25b ....................
25c ....................
25d ....................
25e ....................
25f .....................
26 ......................
27 ......................
27a ....................
27b ....................
27c ....................
27d ....................
27e ....................
27f .....................
28 ......................

III.B.1.a ...........................
III.B.1.b. ..........................
III.B.1.c ...........................
III.B.1.d ...........................
III.B.1.e. ..........................
IV.A.1. .............................
IV.A.2. .............................
IV.B. ................................
V.A.1. ..............................
V.A.2. ..............................
V.B. .................................
VI.A. ................................
VI.B.1 ..............................
VI.B.2 ..............................
VI.C.1. ............................
.........................................
.........................................
.........................................
.........................................
.........................................
.........................................
VI.C.2 .............................
VI.C.3 .............................
.........................................
.........................................
.........................................
.........................................
.........................................
.........................................
VI.C.4 .............................

29
30
31
32
33
34
35
36
37

VI.D.1 .............................
VI.D.2. ............................
VI.D.3 .............................
VI.D.4 .............................
VII.A. ...............................
VII.B. ...............................
VIII.A. ..............................
VIII.B. ..............................
VIII.C ..............................

State ..................................................................................................
Report period ending date ................................................................
Record number ..................................................................................
State Agency involvement .................................................................
Date of birth ......................................................................................
Sex ....................................................................................................
Race.
American Indian or Alaska Native .....................................................
Asian ..................................................................................................
Black or African American .................................................................
Native Hawaiian or Other Pacific Islander ........................................
White .................................................................................................
Unable to Determine .........................................................................
Hispanic or Latino ethnicity ...............................................................
Has the State Agency determined that this child has special needs
Primary basis for special needs ........................................................
Indicate a primary basis of special needs with a ‘‘1’’ for elements 11–15. Enter a zero for special needs that do not
apply.
Mental retardation .............................................................................
Visually or hearing impaired ..............................................................
Physically disabled ............................................................................
Emotionally disturbed (DSM III) ........................................................
Other medically diagnosed condition requiring special care ............
Mother’s year of birth ........................................................................
Father’s (Putative or legal) year of birth ...........................................
Was the mother married at time of child’s birth ................................
Date of mother’s termination of parental rights ................................
Date of father’s termination of parental rights ..................................
Date adoption legalized ....................................................................
Adoptive parents family structure ......................................................
Mother’s year of birth (if applicable) .................................................
Father’s year of birth (if applicable) ..................................................
Adoptive mother’s race.
American Indian or Alaska Native .....................................................
Asian ..................................................................................................
Black or African American .................................................................
Native Hawaiian or Other Pacific Islander ........................................
White .................................................................................................
Unable to Determine .........................................................................
Hispanic or Latino Ethnicity ...............................................................
Adoptive father’s race.
American Indian or Alaska Native .....................................................
Asian ..................................................................................................
Black or African American .................................................................
Native Hawaiian or Other Pacific Islander ........................................
White .................................................................................................
Unable to Determine .........................................................................
Hispanic or Latino Ethnicity ...............................................................
Indicate each type of relationship of adoptive parent(s) to the
child with a ‘‘1’’ for elements 29–32. Enter a zero for relationships that do not apply below.
Stepparent .........................................................................................
Other relative of child by birth or marriage .......................................
Foster parent of child ........................................................................
Other non-relative ..............................................................................
Child was placed from .......................................................................
Child was placed by ..........................................................................
Is this child receiving a monthly subsidy ..........................................
If VIII.B is ‘‘yes.’’ What is the monthly amount .................................
If VII.B is ‘‘yes.’’ Is the child receiving title IV-E adoption assistance?.
Total Characters .....................................................................

......................
......................
......................
......................
......................
......................
......................
......................
......................

....................................

2. Adoption Semi-Annual Summary Data
Elements Record
erowe on DSK5CLS3C1PROD with CFR

No. of numeric characters

Element No.

a. The record will consist of 22 data elements.

11:33 Dec 06, 2010

Jkt 220190

PO 00000

Frm 00312

Fmt 8010

1
1
1
1
1
1
1
1
1

1
1
1
1
1
4
4
1
8
8
8
1
4
4
1
1
1
1
1
1
1
1
1
1
1
1
1
1

1
1
1
1
1
1
1
5
1
111

The values for these data elements are generated by processing all records in the semiannual detailed data transmission and computing the summary values for Elements 1
and 3–22. Element 2 is the semi-annual report

302

VerDate Mar<15>2010

2
6
6
1
6
1

Sfmt 8002

Y:\SGML\220190.XXX

220190

Office of Human Development Services, HHS
period ending date. In calculating the age
range for the child, the last day of the reporting period is to be used.
b. Data must be supplied for each of the
elements in accordance with these instructions:
(1) Enter the appropriate value for each
element.
Element No.
01
02
03
04
05
06
07
08
09
10
11
12
13
14
15
16
17
18
19
20
21
22

Pt. 1355, App. E

(2) For all elements where the total is zero,
enter a numeric zero.
(3) Enter data values in year, month order
(YYYYMM), e.g., 199912 for December 1999.
c. Adoption Semi-Annual Summary Data
Element Record Layout follows:

No. of characters

Summary data file

...............................
...............................
...............................
...............................
...............................
...............................
...............................
...............................
...............................
...............................
...............................
...............................
...............................
...............................
...............................
...............................
...............................
...............................
...............................
...............................
...............................
...............................

Number of records ..........................................................................................................
Report period ending date (YYYYMM) ...........................................................................
Children adopted Under 1 year old ................................................................................
Children adopted 1 year old ...........................................................................................
Children adopted 2 years old ..........................................................................................
Children adopted 3 years old ..........................................................................................
Children adopted 4 years old ..........................................................................................
Children adopted 5 years old ..........................................................................................
Children adopted 6 years old ..........................................................................................
Children adopted 7 years old ..........................................................................................
Children adopted 8 years old ..........................................................................................
Children adopted 9 years old ..........................................................................................
Children adopted 10 years old ........................................................................................
Children adopted 11 years old ........................................................................................
Children adopted 12 years old ........................................................................................
Children adopted 13 years old ........................................................................................
Children adopted 14 years old ........................................................................................
Children adopted 15 years old ........................................................................................
Children adopted 16 years old ........................................................................................
Children adopted 17 years old ........................................................................................
Children adopted 18 years old ........................................................................................
Children adopted over 18 years old ...............................................................................

8
6
8
8
8
8
8
8
8
8
8
8
8
8
8
8
8
8
8
8
8
8

Record Length ......................................................................................................

174

[58 FR 67931, Dec. 22, 1993; 59 FR 13535, Mar. 22, 1994; 59 FR 42520, Aug. 18, 1994, as amended
at 60 FR 40507, Aug. 9, 1995; 65 FR 4085, Jan. 25, 2000]

APPENDIX E TO PART 1355—DATA
STANDARDS
All data submissions will be evaluated to
determine the completeness and internal
consistency of the data. Four types of assessments will be conducted on both the foster
care and adoption data submissions. The results of these assessments will determine the
applicability of the penalty provisions. (See
§ 1355.40(e) for penalty provision description.)
The four types of assessments are:
• Comparisons of the detailed data to summary data;
• Internal consistency checks of the detailed data;
• An assessment of the status of missing
data; and
• Timeliness, an assessment of how current
the submitted data are.
A. Foster Care

erowe on DSK5CLS3C1PROD with CFR

1. Summary Data Elements Submission
Standards
A summary file must accompany the Detailed Data Elements submission. Both
transmissions must be sent through elec-

tronic means (see appendix C for details).
This summary will be used to verify basic
counts of records on the detailed data received.
a. The summary file must be a discrete file
separate from the semi-annual reporting period detailed data file. The record layout for
the summary file is included in appendix D.
section A.2.c. All data must be included. If
the value for a numeric field is zero, zero
must be entered.
b. The Department will develop a second
summary file by computing the values from
the detailed data file received from the
State. The two summary files (the one submitted by the State and the one created during Federal processing) will be compared,
field by field. If the two files match, further
validation of the detailed data elements will
commence. (See Section A.2 below.) If the
two summary files do not match, we will assume that there has been an error in transmission and will request a retransmission
from the State within 24 hours of the time
the State has been notified. In addition, a
log of these occurrences will be kept as a
means of cataloging problems and offering
suggestions on improved procedures.

303

VerDate Mar<15>2010

11:33 Dec 06, 2010

Jkt 220190

PO 00000

Frm 00313

Fmt 8010

Sfmt 8002

Y:\SGML\220190.XXX

220190