---
kind: "range"
citation: "45 C.F.R. §§ 1356.81–1356.86"
title: "45"
from: "1356.81"
to: "1356.86"
count: 6
url: "https://uscodex.org/cfr/45/1356.81..1356.86"
---

# §1356.81. Reporting population.


The reporting population is comprised of all youth in the following categories:

- (a) **Served population.** Each youth who receives an independent living service paid for or provided by the State agency during the reporting period.
- (b) **Baseline population.** Each youth who is in foster care as defined in [45 CFR 1355.20](/cfr/45/1355.20.md) and reaches his or her 17th birthday during Federal fiscal year (FFY) 2011, and such youth who reach a 17th birthday during every third year thereafter.
- (c) **Follow-up population.** Each youth who reaches his or her 19th or 21st birthday in a Federal fiscal year and had participated in data collection as part of the baseline population, as specified in [section 1356.82(a)(2)](/cfr/45/1356.82.md?p=a-2) of this part. A youth has participated in the outcomes data collection if the State agency reports to ACF a valid response (i.e., a response option other than “declined” and “not applicable”) to any of the outcomes-related elements described in [section 1356.83(g)(37) through (g)(58)](/cfr/45/1356.83.md?p=g-37..g-58) of this part.

# §1356.82. Data collection requirements.

- (a) The State agency must collect applicable information as specified in [section 1356.83](/cfr/45/1356.83.md) of this part on the reporting population defined in [section 1356.81](/cfr/45/1356.81.md) 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)](/cfr/45/1356.83.md?p=b) and [1356.83(c)](/cfr/45/1356.83.md?p=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)](/cfr/45/1356.83.md?p=b) and [1356.83(d)](/cfr/45/1356.83.md?p=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)](/cfr/45/1356.83.md?p=b) and [1356.83(e)](/cfr/45/1356.83.md?p=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](/cfr/45/1356.84.md) of this part to satisfy the data collection requirements in [paragraph (a)(3)](#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)](/cfr/45/1356.83.md?p=e).

# §1356.83. Reporting requirements and data elements.

- (a) **Reporting periods and deadlines.** The six-month reporting periods are from October 1 to March 31 and April 1 to September 30. The State agency must submit data files that include the information specified in this section to ACF on a semi-annual basis, within 45 days of the end of the reporting period (i.e., by May 15 and November 14).
- (b) **Data elements for all youth.** The State agency must report the data elements described in [paragraphs (g)(1) through (g)(13)](#g-1..g-13) of this section for each youth in the entire reporting population defined in [section 1356.81](/cfr/45/1356.81.md) of this part.
- (c) **Data elements for served youth.** The State agency must report the data elements described in [paragraphs (g)(14) through (g)(33)](#g-14..g-33) of this section for each youth in the served population defined in [section 1356.81(a)](/cfr/45/1356.81.md?p=a) of this part.
- (d) **Data elements for baseline youth.** The State agency must report the data elements described in [paragraphs (g)(34) through (g)(58)](#g-34..g-58) of this section for each youth in the baseline population defined in [section 1356.81(b)](/cfr/45/1356.81.md?p=b) of this part.
- (e) **Data elements for follow-up youth.** The State agency must report the data elements described in [paragraphs (g)(34) through (g)(58)](#g-34..g-58) of this section for each youth in the follow-up population defined in [section 1356.81(c)](/cfr/45/1356.81.md?p=c) of this part or alternatively, for each youth selected in accordance with the sampling procedures in [section 1356.84](/cfr/45/1356.84.md) of this part. A State that samples must identify in the outcomes reporting status element described in [paragraph (g)(34)](#g-34), the 19-year-old youth who participated in the outcomes data collection as a part of the baseline population at age 17, who are not in the sample.
- (f) **Single youth record.** The State agency must report all applicable data elements for an individual youth in one record per reporting period.
- (g) **Data element descriptions.** For each element described in [paragraphs (g)(1) through (58)](#g-1..g-58) of this section, the State agency must indicate the applicable response as instructed.
  - (1) **State.** State means the State responsible for reporting on the youth. Indicate the first two digits of the State's Federal Information Processing Standard (FIPS) code for the State submitting the report to ACF.
  - (2) **Report date.** The report date corresponds with the end of the current reporting period. Indicate the last month and the year of the reporting period.
  - (3) **Record number.** The record number is the encrypted, unique person identification number for the youth. The State agency must apply and retain the same encryption routine or method for the person identification number across all reporting periods. The record number must be encrypted in accordance with ACF standards. Indicate the record number for the youth.
    - (i) If the youth is in foster care as defined in [45 CFR 1355.20](/cfr/45/1355.20.md) 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](/cfr/45/1355.20.md), 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.** The youth's date of birth. Indicate the year, month, and day of the youth's birth.
  - (5) **Sex.** The youth's sex. Indicate whether the youth is male or female as appropriate.
  - (6) **Race: American Indian or Alaska Native.** In general, a youth's race is determined by the youth or the youth's parent(s). An American Indian or Alaska Native youth has origins in any of the original peoples of North or South America (including Central America), and maintains tribal affiliation or community attachment. Indicate whether this racial category applies for the youth, with a “yes” or “no.”
  - (7) **Race: Asian.** In general, a youth's race is determined by the youth or the youth's parent(s). An Asian youth has origins in any of the original peoples of the Far East, Southeast Asia, or the Indian subcontinent including, for example, Cambodia, China, India, Japan, Korea, Malaysia, Pakistan, the Philippine Islands, Thailand, and Vietnam. Indicate whether this racial category applies for the youth, with a “yes” or “no.”
  - (8) **Race: Black or African American.** In general, a youth's race is determined by the youth or the youth's parent(s). A Black or African American youth has origins in any of the black racial groups of Africa. Indicate whether this racial category applies for the youth, with a “yes” or “no.”
  - (9) **Race: Native Hawaiian or Other Pacific Islander.** In general, a youth's race is determined by the youth or the youth's parent(s). A Native Hawaiian or Other Pacific Islander youth has origins in any of the original peoples of Hawaii, Guam, Samoa, or other Pacific Islands. Indicate whether this racial category applies for the youth, with a “yes” or “no.”
  - (10) **Race: White.** In general, a youth's race is determined by the youth or the youth's parent(s). A White youth has origins in any of the original peoples of Europe, the Middle East, or North Africa. Indicate whether this racial category applies for the youth, with a “yes” or “no.”
  - (11) **Race: unknown.** The race, or at least one race of the youth is unknown, or the youth and/or parent is not able to communicate the youth's race. Indicate whether this category applies for the youth, with a “yes” or “no.”
  - (12) **Race: declined.** The youth or parent has declined to identify a race. Indicate whether this category applies for the youth, with a “yes” or “no.”
  - (13) **Hispanic or Latino ethnicity.** In general, a youth's ethnicity is determined by the youth or the youth's parent(s). A youth is of Hispanic or Latino ethnicity if the youth is a person of Cuban, Mexican, Puerto Rican, South or Central American, or other Spanish culture or origin, regardless of race. Indicate which category applies, with “yes,” “no,” “unknown” or “declined,” as appropriate. “Unknown” means that the youth and/or parent is unable to communicate the youth's ethnicity. “Declined” means that the youth or parent has declined to identify the youth's Hispanic or Latino ethnicity.
  - (14) **Foster care status—services.** The youth receiving services is or was in foster care during the reporting period if the youth is or was in the placement and care responsibility of the State title IV-B/IV-E agency in accordance with the definition of foster care in [45 CFR 1355.20](/cfr/45/1355.20.md). Indicate whether the youth is or was in foster care at any point during the reporting period, with a “yes” or “no” as appropriate. If the youth is not in the served population this element must be left blank.
  - (15) **Local agency.** The local agency is the county or equivalent jurisdictional unit that has primary responsibility for placement and care of a youth who is in foster care consistent with the definition in [45 CFR 1355.20](/cfr/45/1355.20.md), or that has primary responsibility for providing services to a youth who is not in foster care. Indicate the five-digit Federal Information Processing Standard (FIPS) code(s) that corresponds to the identity of the county or equivalent unit jurisdiction(s) that meets these criteria during the reporting period. If a youth who is not in foster care is provided services by a centralized unit only, rather than a county agency, indicate “centralized unit.” If the youth is not in the served population this element must be left blank.
  - (16) **Federally recognized tribe.** The youth is enrolled in or eligible for membership in a federally recognized tribe. The term “federally recognized tribe” means any Indian tribe, band, nation, or other organized group or community of Indians, including any Alaska Native village or regional or village corporation, as defined in or established pursuant to the Alaska Native Claims Settlement Act ([43 U.S.C 1601](/usc/43/1601.md) et seq.), that is recognized as eligible for the special programs and services provided by the United States to Indians because of their status as Indians pursuant to the Indian Self-Determination and Educational Assistance Act ([25 U.S.C. 450](/usc/25/450.md) et seq.). Indicate “yes” or “no” as appropriate. If the youth is not in the served population this element must be left blank.
  - (17) **Adjudicated delinquent.** Adjudicated delinquent means that a State or Federal court of competent jurisdiction has adjudicated the youth as a delinquent. Indicate “yes,” or “no” as appropriate. If the youth is not in the served population this element must be left blank.
  - (18) **Educational level.** Educational level means the highest educational level completed by the youth. For example, for a youth currently in 11th grade, “10th grade” is the highest educational level completed. Post-secondary education or training refers to any post-secondary education or training, other than an education pursued at a college or university. College refers to completing at least a semester of study at a college or university. Indicate the highest educational level completed by the youth during the reporting period. If the youth is not in the served population this element must be left blank.
  - (19) **Special education.** The term “special education,” means specifically designed instruction, at no cost to parents, to meet the unique needs of a child with a disability. Indicate whether the youth has received special education instruction during the reporting period with a “yes” or “no” as appropriate. If the youth is not in the served population this element must be left blank.
  - (20) **Independent living needs assessment.** An independent living needs assessment is a systematic procedure to identify a youth's basic skills, emotional and social capabilities, strengths, and needs to match the youth with appropriate independent living services. An independent living needs assessment may address knowledge of basic living skills, job readiness, money management abilities, decision-making skills, goal setting, task completion, and transitional living needs. Indicate whether the youth received an independent living needs assessment that was paid for or provided by the State agency during the reporting period with a “yes” or “no” as appropriate. If the youth is not in the served population this element must be left blank.
  - (21) **Academic support.** Academic supports are services designed to help a youth complete high school or obtain a General Equivalency Degree (GED). Such services include the following: Academic counseling; preparation for a GED, including assistance in applying for or studying for a GED exam; tutoring; help with homework; study skills training; literacy training; and help accessing educational resources. Academic support does not include a youth's general attendance in high school. Indicate whether the youth received academic supports during the reporting period that were paid for or provided by the State agency with a “yes” or “no” as appropriate. If the youth is not in the served population this element must be left blank.
  - (22) **Post-secondary educational support.** Post-secondary educational support are services designed to help a youth enter or complete a post-secondary education and include the following: Classes for test preparation, such as the Scholastic Aptitude Test (SAT); counseling about college; information about financial aid and scholarships; help completing college or loan applications; or tutoring while in college. Indicate whether the youth received post-secondary educational support during the reporting period that was paid for or provided by the State agency with a “yes” or “no” as appropriate. If the youth is not in the served population this element must be left blank.
  - (23) **Career preparation.** Career preparation services focus on developing a youth's ability to find, apply for, and retain appropriate employment. Career preparation includes the following types of instruction and support services: Vocational and career assessment, including career exploration and planning, guidance in setting and assessing vocational and career interests and skills, and help in matching interests and abilities with vocational goals; job seeking and job placement support, including identifying potential employers, writing resumes, completing job applications, developing interview skills, job shadowing, receiving job referrals, using career resource libraries, understanding employee benefits coverage, and securing work permits; retention support, including job coaching; learning how to work with employers and other employees; understanding workplace values such as timeliness and appearance; and understanding authority and customer relationships. Indicate whether the youth received career preparation services during the reporting period that was paid for or provided by the State agency with a “yes” or “no” as appropriate. If the youth is not in the served population this element must be left blank.
  - (24) **Employment programs or vocational training.** Employment programs and vocational training are designed to build a youth's skills for a specific trade, vocation, or career through classes or on-site training. Employment programs include a youth's participation in an apprenticeship, internship, or summer employment program and do not include summer or after-school jobs secured by the youth alone. Vocational training includes a youth's participation in vocational or trade programs and the receipt of training in occupational classes for such skills as cosmetology, auto mechanics, building trades, nursing, computer science, and other current or emerging employment sectors. Indicate whether the youth attended an employment program or received vocational training during the reporting period that was paid for or provided by the State agency, with a “yes” or “no” as appropriate. If the youth is not in the served population this element must be left blank.
  - (25) **Budget and financial management.** Budget and financial management assistance includes the following types of training and practice: Living within a budget; opening and using a checking and savings account; balancing a checkbook; developing consumer awareness and smart shopping skills; accessing information about credit, loans and taxes; and filling out tax forms. Indicate whether the youth received budget and financial management assistance during the reporting period that was paid for or provided by the State agency with a “yes” or “no” as appropriate. If the youth is not in the served population this element must be left blank.
  - (26) **Housing education and home management training.** Housing education includes assistance or training in locating and maintaining housing, including filling out a rental application and acquiring a lease, handling security deposits and utilities, understanding practices for keeping a healthy and safe home, understanding tenants rights and responsibilities, and handling landlord complaints. Home management includes instruction in food preparation, laundry, housekeeping, living cooperatively, meal planning, grocery shopping and basic maintenance and repairs. Indicate whether the youth received housing education or home management training during the reporting period that was paid for or provided by the State agency with a “yes” or “no” as appropriate. If the youth is not in the served population this element must be left blank.
  - (27) **Health education and risk prevention.** Health education and risk prevention includes providing information about: Hygiene, nutrition, fitness and exercise, and first aid; medical and dental care benefits, health care resources and insurance, prenatal care and maintaining personal medical records; sex education, abstinence education, and HIV prevention, including education and information about sexual development and sexuality, pregnancy prevention and family planning, and sexually transmitted diseases and AIDS; substance abuse prevention and intervention, including education and information about the effects and consequences of substance use (alcohol, drugs, tobacco) and substance avoidance and intervention. Health education and risk prevention does not include the youth's actual receipt of direct medical care or substance abuse treatment. Indicate whether the youth received these services during the reporting period that were paid for or provided by the State agency with a “yes” or “no” as appropriate. If the youth is not in the served population this element must be left blank.
  - (28) **Family support and healthy marriage education.** Such services include education and information about safe and stable families, healthy marriages, spousal communication, parenting, responsible fatherhood, childcare skills, teen parenting, and domestic and family violence prevention. Indicate whether the youth received these services that were paid for or provided by the State agency during the reporting period with a “yes” or “no” as appropriate. If the youth is not in the served population this element must be left blank.
  - (29) **Mentoring.** Mentoring means that the youth has been matched with a screened and trained adult for a one-on-one relationship that involves the two meeting on a regular basis. Mentoring can be short-term, but it may also support the development of a long-term relationship. While youth often are connected to adult role models through school, work, or family, this service category only includes a mentor relationship that has been facilitated, paid for or provided by the State agency or its staff. Indicate whether the youth received mentoring services that were paid for or provided by the State agency during the reporting period with a “yes” or “no” as appropriate. If the youth is not in the served population this element must be left blank.
  - (30) **Supervised independent living.** Supervised independent living means that the youth is living independently under a supervised arrangement that is paid for or provided by the State agency. A youth in supervised independent living is not supervised 24 hours a day by an adult and often is provided with increased responsibilities, such as paying bills, assuming leases, and working with a landlord, while under the supervision of an adult. Indicate whether the youth was living in a supervised independent living setting that was paid or provided by the State agency during the reporting period with a “yes” or “no” as appropriate. If the youth is not in the served population this element must be left blank.
  - (31) **Room and board financial assistance.** Room and board financial assistance is a payment that is paid for or provided by the State agency for room and board, including rent deposits, utilities, and other household start-up expenses. Indicate whether the youth received financial assistance for room and board that was paid for or provided by during the reporting period with a “yes” or “no” as appropriate. If the youth is not in the served population this element must be left blank.
  - (32) **Education financial assistance.** Education financial assistance is a payment that is paid for or provided by the State agency for education or training, including allowances to purchase textbooks, uniforms, computers, and other educational supplies; tuition assistance; scholarships; payment for educational preparation and support services (i.e., tutoring), and payment for GED and other educational tests. This financial assistance also includes vouchers for tuition or vocational education or tuition waiver programs paid for or provided by the State agency. Indicate whether the youth received education financial assistance during the reporting period that was paid for or provided by the State agency with a “yes” or “no” as appropriate. If the youth is not in the served population this element must be left blank.
  - (33) **Other financial assistance.** Other financial assistance includes any other payments made or provided by the State agency to help the youth live independently. Indicate whether the youth received any other financial assistance that was paid for or provided by the State agency during the reporting period with a “yes” or “no” as appropriate. If the youth is not in the served population this element must be left blank.
  - (34) **Outcomes reporting status.** The outcomes reporting status represents the youth's participation, or lack thereof, in the outcomes data collection. If the State agency collects and reports information on any of the data elements in [paragraphs (g)(37) through (g)(58)](#g-37..g-58) of this section for a youth in the baseline or follow-up sample or population, indicate that the youth participated. If a youth is in the baseline or follow-up sample or population, but the State agency is unable to collect the information, indicate the reason and leave the data elements in [paragraph (g)(37) through (g)(58)](#g-37..g-58) of this section blank. If a 19-year old youth in the follow-up population is not in the sample, indicate that the youth is not in the sample. If the youth is not in the baseline or follow-up population this element must be left blank.
    - (i) **Youth participated.** The youth participated in the outcome survey, either fully or partially.
    - (ii) **Youth declined.** The State agency located the youth successfully and invited the youth's participation, but the youth declined to participate in the data collection.
    - (iii) **Parent declined.** The State agency invited the youth's participation, but the youth's parent/guardian declined to grant permission. This response may be used only when the youth has not reached the age of majority in the State and State law or policy requires a parent/guardian's permission for the youth to participate in information collection activities.
    - (iv) **Incapacitated.** The youth has a permanent or temporary mental or physical condition that prevents him or her from participating in the outcomes data collection.
    - (v) **Incarcerated.** The youth is unable to participate in the outcomes data collection because of his or her incarceration.
    - (vi) **Runaway/missing.** A youth in foster care is known to have run away or be missing from his or her foster care placement.
    - (vii) **Unable to locate/invite.** The State agency could not locate a youth who is not in foster care or otherwise invite such a youth's participation.
    - (viii) **Death.** The youth died prior to his participation in the outcomes data collection.
    - (ix) **Not in sample.** The 19-year-old youth participated in the outcomes data collection as a part of the baseline population at age 17, but the youth is not in the State's follow-up sample. This response option applies only when the outcomes data collection is required on the follow-up population of 19-year-old youth.
  - (35) **Date of outcome data collection.** The date of outcome data collection is the latest date that the agency collected data from a youth for the elements described in [paragraphs (g)(38) through (g)(58)](#g-38..g-58) of this section. Indicate the month, day and year of the outcomes data collection. If the youth is not in the baseline or follow-up population this element must be left blank.
  - (36) **Foster care status—outcomes.** The youth is in foster care if the youth is under the placement and care responsibility of the State title IV-B/IV-E agency in accordance with the definition of foster care in [45 CFR 1355.20](/cfr/45/1355.20.md). Indicate whether the youth is in foster care on the date of outcomes data collection with a “yes” or “no” as appropriate. If the youth is not in the baseline or follow-up population this element must be left blank.
  - (37) **Current full-time employment.** A youth is employed full-time if employed at least 35 hours per week, in one or multiple jobs, as of the date of the outcome data collection. Indicate whether the youth is employed full-time, with a “yes” or “no” as appropriate. If the youth does not answer this question indicate “declined.” If the youth is not in the baseline or follow-up population this element must be left blank.
  - (38) **Current part-time employment.** A youth is employed part-time if employed between one and 34 hours per week, in one or multiple jobs, as of the date of the outcome data collection. Indicate whether the youth is employed part-time, with a “yes” or “no.” If the youth does not answer this question, indicate “declined.” If the youth is not in the baseline or follow-up population this element must be left blank.
  - (39) **Employment-related skills.** A youth has obtained employment-related skills if the youth completed an apprenticeship, internship, or other on-the-job training, either paid or unpaid, in the past year. The experience must help the youth acquire employment-related skills, such as specific trade skills such as carpentry or auto mechanics, or office skills such as word processing or use of office equipment. Indicate whether the youth has obtained employment-related skills, with a “yes” or “no” as appropriate. If the youth does not answer this question, indicate “declined.” If the youth is not in the baseline or follow-up population this element must be left blank.
  - (40) **Social Security.** A youth is receiving some form of Social Security if receiving Supplemental Security Income (SSI) or Social Security Disability Insurance (SSDI), either directly or as a dependent beneficiary as of the date of the outcome data collection. SSI payments are made to eligible low-income persons with disabilities. SSDI payments are made to persons with a certain amount of work history who become disabled. A youth may receive SSDI payments through a parent. Indicate whether the youth is receiving a form of Social Security payments, with a “yes” or “no” as appropriate. If the youth does not answer this question, indicate “declined.” If the youth is not in the baseline or follow-up population this element must be left blank.
  - (41) **Educational aid.** A youth is receiving educational aid if using a scholarship, voucher (including education or training vouchers pursuant to section 477(h)(2) of the Social Security Act), grant, stipend, student loan, or other type of educational financial aid to cover educational expenses as of the date of the outcome data collection. 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. Indicate whether the youth is receiving educational aid with a “yes” or “no” as appropriate. If the youth does not answer this question, indicate “declined.” If the youth is not in the baseline or follow-up population this element must be left blank.
  - (42) **Public financial assistance.** A youth is receiving public financial assistance if receiving ongoing cash welfare payments from the government to cover some of his or her basic needs, as of the date of the outcome data collection. Public financial assistance does not include government payments or subsidies for specific purposes, such as unemployment insurance, child care subsidies, education assistance, food stamps or housing assistance. Indicate whether the youth is receiving public financial assistance, with “yes” or “no” as appropriate, and “not applicable” for a youth still in foster care. If the youth does not answer this question, indicate “declined.” If the youth is not in the baseline or follow-up population this element must be left blank.
  - (43) **Public food assistance.** A youth is receiving public food assistance if receiving food stamps in any form (i.e., government-sponsored checks, coupons or debit cards) to buy eligible food at authorized stores as of the date of the outcome data collection. This definition includes receiving public food assistance through the Women, Infants, and Children (WIC) program. Indicate whether the youth is receiving some form of public food assistance with “yes” or “no,” and “not applicable” for a youth still in foster care. If the youth does not answer this question, indicate “declined.” If the youth is not in the baseline or follow-up population this element must be left blank.
  - (44) **Public housing assistance.** A youth is receiving public housing assistance if the youth is living in government-funded public housing, or receiving a government-funded housing voucher to pay for part of his/her housing costs as of the date of the outcome data collection. CFCIP room and board payments are not included in this definition. Indicate whether the youth is receiving housing assistance with “yes” or “no” and “not applicable” for a youth still in foster care. If the youth does not answer this question, indicate “declined.” If the youth is not in the baseline or follow-up population this element must be left blank.
  - (45) **Other financial support.** A youth has other financial support if receiving any other periodic and/or significant financial resources or support from another source not listed in the elements described in [paragraphs (g)(41) through (g)(44)](#g-41..g-44) of this section as of the date of outcome data collection. Such support can include payments from a spouse or family member (biological, foster or adoptive), child support that the youth receives for him or herself, or funds from a legal settlement. This definition 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 support which does not benefit the youth directly in supporting himself or herself. Indicate whether the youth is receiving any other financial support with a “yes” or “no.” If the youth does not answer this question, indicate “declined.” If the youth is not in the baseline or follow-up population this element must be left blank.
  - (46) **Highest educational certification received.** A youth has received an education certificate if the youth has a high school diploma or general equivalency degree (GED), vocational certificate, vocational license, associate's degree (e.g., A.A.), bachelor's degree (e.g., B.A. or B.S.), or a higher degree as of the date of the outcome data collection. Indicate the highest degree that the youth has received. If the youth does not answer this question, indicate “declined.” If the youth is not in the baseline or follow-up population this element must be left blank.
    - (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.** Indicate whether the youth is enrolled in and attending high school, GED classes, or postsecondary vocational training or college, as of the date of the outcome data collection. 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. Indicate whether the youth is currently enrolled and attending school with a “yes” or “no.” If the youth does not answer this question, indicate “declined.” If the youth is not in the baseline or follow-up population this element must be left blank.
  - (48) **Connection to adult.** A youth has a connection to an adult if, as of the date of the outcome data collection, the youth knows an adult who he or she can go to for advice or guidance when there is a decision to make or a problem to solve, or for companionship when celebrating personal achievements. The adult must be easily accessible to the youth, either by telephone or in person. 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. Indicate whether the youth has such a connection with an adult with a “yes” or “no.” If the youth does not answer this question, indicate “declined.” If the youth is not in the baseline or follow-up population this element must be left blank.
  - (49) **Homelessness.** A youth is considered to have experienced homelessness if the youth had no regular or adequate place to live. This definition includes situations where the youth is living in a car or on the street, or staying in a homeless or other temporary shelter. For a 17-year-old youth in the baseline population, the data element relates to a youth's lifetime experiences. For a 19- or 21-year-old youth in the follow-up population, the data element relates to the youth's experience in the past two years. Indicate if the youth has been homeless with a “yes” or “no.” If the youth does not answer this question, indicate “declined.” If the youth is not in the baseline or follow-up population this element must be left blank.
  - (50) **Substance abuse referral.** A youth has received a substance abuse referral if the youth was referred for an alcohol or drug abuse assessment or counseling. For a 17-year-old youth in the baseline population, the data element relates to a youth's lifetime experience. For a 19-or 21-year-old youth in the follow-up population, the data element relates to the youth's experience in the past two years. This definition includes either a self-referral or referral by a social worker, school staff, physician, mental health worker, foster parent, or other adult. Alcohol or drug abuse assessment is a process designed to determine if someone has a problem with alcohol or drug use. Indicate whether the youth had a substance abuse referral with a “yes” or “no.” If the youth does not answer this question, indicate “declined.” If the youth is not in the baseline or follow-up population this element must be left blank.
  - (51) **Incarceration.** A youth is considered to have been incarcerated if the youth was confined in a jail, prison, correctional facility, or juvenile or community detention facility in connection with allegedly committing a crime (misdemeanor or felony). For a 17-year-old youth in the baseline population, the data element relates to a youth's lifetime experience. For a 19-or 21-year-old youth in the follow-up population, the data element relates to the youth's experience in the past two years. Indicate whether the youth was incarcerated with a “yes” or “no”. If the youth does not answer this question, indicate “declined.” If the youth is not in the baseline or follow-up population this element must be left blank.
  - (52) **Children.** A youth is considered to have a child if the youth has given birth herself, or the youth has fathered any children who were born. For a 17-year-old youth in the baseline population, the data element relates to a youth's lifetime experience. For a 19-or 21-year-old youth in the follow-up population, the data element refers to children born to the youth in the past two years only. This refers to biological parenthood. Indicate whether the youth had a child with a “yes” or “no.” If the youth does not answer this question, indicate “declined.” If the youth is not in the baseline or follow-up population this element must be left blank.
  - (53) **Marriage at child's birth.** A youth is married at the time of the child's birth if he or she was united in matrimony according to the laws of the State to the child's other parent. Indicate whether the youth was married to the child's other parent at the time of the birth of any child reported in the element described in [paragraph (g)(52)](#g-52) of this section with a “yes” or “no”. If the youth does not answer this question, indicate “declined.” If the answer to the element described in [paragraph (g)(52)](#g-52) of this section is “no,” indicate “not applicable.” If the youth is not in the baseline or follow-up population this element must be left blank.
  - (54) **Medicaid.** A youth is receiving Medicaid if the youth is participating in a Medicaid-funded State program, which is a medical assistance program supported by the Federal and State government under title XIX of the Social Security Act as of the date of outcomes data collection. Indicate whether the youth receives Medicaid with “yes,” “no,” or “don't know” as appropriate. If the youth does not answer this question, indicate “declined.” If the youth is not in the baseline or follow-up population this element must be left blank.
  - (55) **Other health insurance coverage.** A youth has other health insurance if the youth has a third party pay (other than Medicaid) for all or part of the costs of medical care, mental health care, and/or prescription drugs, as of the date of the outcome data collection. This definition includes group coverage offered by employers, schools or associations, an individual health plan, self-employed plans, or inclusion in a parent's insurance plan. This also could include access to free health care through a college, Indian Health Service, or other source. Medical or drug discount cards or plans are not insurance. Indicate “yes”, “no”, or “don't know” as appropriate. If the youth does not answer this question, indicate “declined.”
  - (56) **Health insurance type: Medical.** If the youth has indicated that he or she has health insurance coverage in the element described in [paragraph (g)(55)](#g-55) of this section, indicate whether the youth has insurance that pays for all or part of medical health care services. Indicate “yes”, “no”, or “don't know” as appropriate, or “not applicable” if the youth did not indicate any health insurance coverage. If the youth does not answer this question, indicate “declined.” If the youth is not in the baseline or follow-up population this element must be left blank.
  - (57) **Health insurance type: Mental health.** If the youth has indicated that he or she has medical health insurance coverage as described in [paragraph (g)(56)](#g-56) of this section, indicate whether the youth has insurance that pays for all or part of the costs for mental health care services, such as counseling or therapy. Indicate “yes”, “no”, or “don't know” as appropriate, or “not applicable” if the youth did not indicate having medical health insurance coverage. If the youth does not answer this question, indicate “declined.” If the youth is not in the baseline or follow-up population this element must be left blank.
  - (58) **Health insurance type: Prescription drugs.** If the youth has indicated that he or she has medical health insurance coverage as described in [paragraph (g)(56)](#g-56) of this section, indicate whether the youth has insurance coverage that pays for part or all of the costs of some prescription drugs. Indicate “yes”, “no”, or “don't know” as appropriate, or “not applicable” if the youth did not indicate having medical health insurance coverage. If the youth does not answer this question, indicate “declined.” If the youth is not in the baseline or follow-up population this element must be left blank.
- (h) **Electronic reporting.** The State agency must report all data to ACF electronically according to ACF's specifications and appendix A of this part.

# §1356.84. Sampling.

- (a) The State agency may collect and report the information required in [section 1356.83(e)](/cfr/45/1356.83.md?p=e) of this part on a sample of the baseline population consistent with the sampling requirements described in paragraphs [(b)](#b) and [(c)](#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)](/cfr/45/1356.81.md?p=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.

# §1356.85. Compliance.

- (a) **File submission standards.** A State agency must submit a data file in accordance with the following file submission standards:
  - (1) **Timely data.** The data file must be received in accordance with the reporting period and timeline described in [section 1356.83(a)](/cfr/45/1356.83.md?p=a) of this part;
  - (2) **Format.** The data file must be in a format that meets ACF's specifications; and
  - (3) **Error-free information.** The file must contain data in the general and demographic elements described in section [1356.83(g)(1) through (g)(5)](/cfr/45/1356.83.md?p=g-1..g-5), [(g)(14)](/cfr/45/1356.83.md?p=g-14), and [(g)(36)](/cfr/45/1356.83.md?p=g-36) of this part that is 100 percent error-free as defined in [paragraph (c)](#c) of this section.
- (b) **Data standards.** A State agency also must submit a file that meets the following data standards:
  - (1) **Error-free.** The data for the applicable demographic, service and outcomes elements defined in section [1356.83(g)(6) through (13)](/cfr/45/1356.83.md?p=g-6..g-13), [(g)(15) through (35)](/cfr/45/1356.83.md?p=g-15..g-35) and [(g)(37) through (58)](/cfr/45/1356.83.md?p=g-37..g-58) of this part must be 90 percent error-free as described and assessed according to [paragraph (c)](#c) of this section.
  - (2) **Outcomes universe.** In any Federal fiscal year for which the State agency is required to submit information on the follow-up population, the State agency must submit a youth record containing at least outcomes data for the outcomes status element described in [section 1356.83(g)(34)](/cfr/45/1356.83.md?p=g-34) of this part on each youth for whom the State agency reported outcome information as part of the baseline population. Alternatively, if the State agency has elected to conduct sampling in accordance with [section 1356.84](/cfr/45/1356.84.md) of this part, the State agency must submit a record containing at least outcomes data for the outcomes status element described in [section 1356.83(g)(34)](/cfr/45/1356.83.md?p=g-34) of this part on each 19-year-old youth in the follow-up population, inclusive of those youth who are not in the sample, and each 21-year-old youth in the follow-up sample.
  - (3) **Outcomes participation rate.** The State agency must report outcome information on each youth in the follow-up population at the rates described in [paragraphs (b)(3)(i) through (iii)](#b-3-i..b-3-iii) of this section. A youth has participated in the outcomes data collection if the State agency collected and reported a valid response (i.e., a response option other than “declined” or “not applicable”) to any of the outcomes-related elements described in [section 1356.83(g)(37) through (g)(58)](/cfr/45/1356.83.md?p=g-37..g-58) of this part. ACF will exclude from the calculation of the participation rate any youth in the follow-up population who is reported as deceased, incapacitated or incarcerated in [section 1356.83(g)(34)](/cfr/45/1356.83.md?p=g-34) at the time information on the follow-up population is required.
    - (i) **Foster care youth participation rate.** The State agency must report outcome information on at least 80 percent of youth in the follow-up population who are in foster care on the date of outcomes data collection as indicated in section [1356.83(g)(35)](/cfr/45/1356.83.md?p=g-35) and [(g)(36)](/cfr/45/1356.83.md?p=g-36) of this part.
    - (ii) **Discharged youth participation rate.** The State agency must report outcome information on at least 60 percent of youth in the follow-up population who are not in foster care on the date of outcomes data collection as indicated in section [1356.83(g)(35)](/cfr/45/1356.83.md?p=g-35) and [(g)(36)](/cfr/45/1356.83.md?p=g-36) of this part.
    - (iii) **Effect of sampling on participation rates.** For State agencies electing to sample in accordance with [section 1356.84](/cfr/45/1356.84.md) and appendix C of this part, ACF will apply the outcome participation rates in paragraphs (b)(2)(i) and (ii) of this section to the required sample size for the State.
- (c) **Errors.** ACF will assess each State agency's data file for the following types of errors: Missing data, out-of-range data, or internally inconsistent data. The amount of errors acceptable for each reporting period is described in paragraphs [(a)](#a) and [(b)](#b) of this section.
  - (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)](/cfr/45/1356.83.md?p=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)](/cfr/45/1356.83.md?p=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.**
  - (1) ACF will determine whether a State agency's data file for each reporting period is in compliance with the file submission standards and data standards in paragraphs [(a)](#a) and [(b)](#b) of this section.
    - (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)](#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](/cfr/45/1356.81..1356.85.md) of this part.
- (e) **Submitting corrected data and noncompliance.** A State agency that does not submit a data file that meets the standards in section 1356.85 of this part will have an opportunity to submit a corrected data file in accordance with paragraphs [(e)(1)](#e-1) and [(e)(2)](#e-2) of this section.
  - (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)](/cfr/45/1356.83.md?p=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)](#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](/cfr/45/1356.86.md) of this part.

# §1356.86. Penalties for noncompliance.

- (a) **Definition of Federal funds subject to a penalty.** The funds that are subject to a penalty are the CFCIP funds allocated or reallocated to the State agency under section 477(c)(1) of the Act for the Federal fiscal year that corresponds with the reporting period for which the State agency was required originally to submit data according to [section 1356.83(a)](/cfr/45/1356.83.md?p=a) of this part.
- (b) **Assessed penalty amounts.** ACF will assess penalties in the following amounts, depending on the area of noncompliance:
  - (1) **Penalty for not meeting file submission standards.** ACF will assess a penalty in an amount equivalent to two and one half percent (2.5%) 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 file submission standards defined in [section 1356.85(a)](/cfr/45/1356.85.md?p=a) of this part.
  - (2) **Penalty for not meeting certain data standards.** ACF will assess a penalty in an amount equivalent to:
    - (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)](/cfr/45/1356.85.md?p=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)](/cfr/45/1356.85.md?p=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)](/cfr/45/1356.85.md?p=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)](/cfr/45/1356.85.md?p=b-3-ii) of this part.
- (c) **Calculation of the penalty amount.** ACF will add together any assessed penalty amounts described in paragraphs [(b)(1)](#b-1) or [(b)(2)](#b-2) of this section to determine the total calculated penalty result. If the total calculated penalty result is less than one percent of the funds subject to a penalty, the State agency will be penalized in the amount of one percent.
- (d) **Notification of penalty amount.** ACF will advise the State agency in writing of a final determination of noncompliance and the amount of the total calculated penalty as determined in [paragraph (c)](#c) of this section.
- (e) **Interest.** The State agency will be liable for interest on the amount of funds penalized by the Department, in accordance with the provisions of [45 CFR 30.18](/cfr/45/30.18.md).
- (f) **Appeals.** The State agency may appeal, pursuant to [45 CFR part 16](/cfr/45/part16.md), ACF's final determination to the HHS Departmental Appeals Board.