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Policy Database - Policy Questions &; Answers

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Child Welfare Policy Manual

May 27, 2016

. AFCARS

.1 AFCARS, Compliance and Penalties

. Question: How are the penalties calculated for a submission (e.g., the 90% accuracy requirement)?

Deleted 07/05/2002)

.2 AFCARS, Data Elements and Defin itions

. Question: What procedures should a child welfare worker follow in order to most effectively obtain accurate information the racial and ethnic s tatus of children and adults?

nswer: AFCARS requi res the repor ting of race and Hispanic/Lat ino Or ig in on children in foster care, ch ildren who havebeen adopted, foster care providers, and adoptive parents. As noted in Appendices A and B of the Federal regulations aCFR 1355, in the sections related to the instructions for foster care and adoption data elements, race and Hispanic/Latin

origin information is based on how a client/adult perceives him/herself, or in the case of young children, how the parentdentifies the child. This means the information on race and Hispanic/Latino Origin is to be self-reported by the individuaAdditionally, racial and ethnic information should be collected and stored as separate pieces of information about the cl

Workers must ask clients th is information and not make assumptions on which and how many races a person may be awhether the client is Hispanic or Latino or not. When a worker, rather than the client, makes this determination, he or shmay be under-representing all poss ible races.

For AFCARS extraction and submission purposes, information no t collected or not available for a particular client recorfor whatever reason) is mapped as all blanks (not all zeros, all 9?s, etc.). Missing information shou ld never be mapped t

valid AFCARS value.

Source/Date: 7/19/04

Legal and Related References: Section 479 of title IV-E of the Social Security Act; 45 CFR 1355, Appendix A, Sectio Definitions and Instructions for Foster Care Data Elements, II. Child¿s Demographic Information, c. Race/Ethnicity and Appendix B, Section II Definitions and Instructions for Adoption Data Elements, II. Child¿s Demographic Information, c. Race/Ethnicity

.2A AFCARS, Data Elements and Defini tions, Adopt ion Specific Elements

. Question: In terms of reporting adoptions it is not clear whether States are required to submit data on adoptions for wan agency may have limited involvement, such as only performing a home study. The agency's data on these adoptions be very limited. Does the Department want in formation on such adoptions submitted to AFCARS?

nswer: The regulat ions encourage, but do not requi re, States to repor t data on chi ldren adopted without the types of St

nvolvement indicated in the " Reporting Population" section in Appendix B to 45 CFR 1355. The State is required to repoan adoption i f : 1) the child was in foster care under the responsibl ity and care of the State child welfare agency andubsequently adopted; 2) the child has special needs and on whose behalf the State provided reimbursementfor non-

ecurring expenses of adoption; or 3) an adoption service or payment is being provided by way of an arrangement with tState agency. Because a State that has performed only a home study does not fall within one of these three categories, State is not required to report information on such a child. If the State chooses to report information on such a child, or other chi ldren adopted without State involvement as indicated above, - the appropriate response is to enter a "No" for adoption element 4 " Did the State Agency Have any Involvement in This adoption?"

Source/Date: ACYF-CB-PIQ-94-01 (7/8/94); updated (5-28-02)Legal and Related References: 45 CFR 1355.40; Appendix B to 45 CFR 1355

2. Question: What procedures should a child welfare worker follow in order to most effectively obtain accurate informati


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on the racial and ethnic s tatus of children and adults?

nswer: AFCARS requi res the repor ting of race and Hispanic/Lat ino Or ig in on children in foster care, ch ildren who havebeen adopted, foster care providers, and adoptive parents. As noted in Appendices A and B of the Federal regulations aCFR 1355, in the sections related to the instructions for foster care and adoption data elements, race and Hispanic/Latinorigin information is based on how a client/adult perceives him/herself, or in the case of young children, how the parentdentifies the child. This means the information on race and Hispanic/Latino Origin is to be self-reported by the individuaAdditionally, racial and ethnic information should be collected and stored as separate pieces of information about the cl

Workers must ask clients th is information and not make assumptions on which and how many races a person may be a

whether the client is Hispanic or Latino or not. When a worker, rather than the client, makes this determination, he or shmay be under-representing all poss ible races.


valid AFCARS value.

Source/Date: 7/19/04Legal and Related References: Section 479 of title IV-E of the Social Security Act; 45 CFR 1355, Appendix A, Sectio Definitions and Instructions for Foster Care Data Elements, II. Child¿s Demographic Information, c. Race/Ethnicity and Appendix B, Section II Definitions and Instructions for Adoption Data Elements, II. Child¿s Demographic Information, c. Race/Ethnicity

.2A.1 AFCARS, Data Elements and Definitions, Adoption Specific Elements, Adopt ive parents





valid AFCARS value.


.2A.2 AFCARS, Data Elements and Definitions, Adoption Specific Elements, Birth parents

. Question: When an adoption is dissolved and the child is then re-adopted, should the State submit the information onrst adoptive (legal) parents or the birth parents?

nswer: The AFCARS report should always include information on the legal parents. Therefore, in this case, the Stateshould submit information on the previous adoptive parents.

Source/Date: ACYF-CB-PIQ-95-01 (3/8/95)Legal and Related References: Social Secur ity Act - section 479; 45 CFR Parts 1355, 1356 and 1357


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2. Question: What if a State has info rmation on both the legal as well as one or more putative fathers? For whom shouldnformation be provided?

nswer: Informat ion should be provided on the legal father ; however , if a child has one or more putat ive fathers and a leather is not established, the year of birth used shou ld be that of the putative father whose parental righ ts were terminatast. (See: 45 CFR 1355, Appendix B , Section I, Roman Numeral IV, Question A2. Also see: Appendix D, Detailed AdoptioElement Number 17.)


.2A.3 AFCARS, Data Elements and Definit ions, Adoption Specif ic Elements, Child's demographic

. Question: AFCARS reporting requires all data submissions to be in numeric format, however, the data elementefiniti ons, both for foster care and adoption, ind icate the use of the U.S. Postal Service's two letter State abbreviation.

What should be used?

nswer: A numeric code is to be used for the State identi ficat ion. It is the fi rs t two digi ts of the State's Federal InformatioProcessing Standard (FIPS). (See: 45 CFR 1355, Appendix B, Section I, Roman Numeral I, Question A. Also see: AppendDetailed Adoption, Element Number 01.)


2. Question: What procedures should a child welfare worker follow in order to most effectively obtain accurate information the racial and ethnic s tatus of children and adults?


Workers must ask clients th is information and not make assumptions on which and how many races a person may be a

whether the client is Hispanic or Latino or not. When a worker, rather than the client, makes this determination, he or shmay be under-representing all poss ible races.


valid AFCARS value.


.2A.4 AFCARS, Data Elements and Definitions, Adoption Specific Elements, Court actions

.2A.5 AFCARS, Data Elements and Definitions, Adoption Specific Elements, Financial informatio

.2A.6 AFCARS, Data Elements and Definit ions, Adoption Specific Elements, Placement

.2B AFCARS, Data Elements and Definit ions , Foster Care Specifi c Elements



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valid AFCARS value.


.2B.1 AFCARS, Data Elements and Defini tions, Foster Care Specific Elements, Case plan goal

. Question: Some States require that parental rights must be terminated before a child's case plan can reflect a goal of adoption. What should be indicated as a goal, if this is a State's policy?

nswer: The chi ld 's goal should be ref lective of the " actual " goal; adopt ion. (See: 45 CFR 1355, Appendix A, Sect ion I,Roman Numeral VI. Also see: Appendix D, Detailed Foster Care, Element Number 43.)


2. Question: If a child 's case plan goal is Independent Living how is i t indicated on the AFCARS questionnaire?

nswer: Any chi ld wi th a case plan goal of independent living should be indicated as having a goal of emancipation. (Se

CFR 1355, Appendix A, Section I, Roman Numeral VI. Also see: Append ix D, Detailed Foster Care, Element Number 43.)


.2B.2 AFCARS, Data Elements and Defini tions, Foster Care Specific Elements, Child'sdemographics

. Question: What if a parent refuses to disclose whether or not a child has been previously adopted?

nswer: If a parent refuses to answer th is quest ion, " Unable to Determine" would represent the correct response. (See: 4CFR 1355, Appendix A, Section I, Roman Numeral II. Also see: Append ix D, Detailed Foster Care, Element Number 16.)


2. Question: AFCARS requires race/ethnici ty info rmation on all children. But if a child is identifi ed as Hispanic, whatnformation is entered for the race question?

nswer: If a chi ld is ident if ied as Hispanic or " Lat ino" in element number 09, then his/her ethnic ity should also be furtherlarified, using element number 08, according to how the child or the ch ild's parents define him/her. (See: 45 CFR 1355,

Appendix A, Section I, Roman Numeral II, Questions C.1 and C.2. Also see: Appendix D, Detailed Foster Care, ElementNumbers 8 and 9.)

Source/Date: ACYF-CB-PIQ-94-01 (7/8/94)


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Legal and Related References: Social Secur ity Act - section 479; 45 CFR Parts 1355, 1356 and 1357

3. Question: Should the FIPS code be that of the chi ld's place of residence or that of the agency responsible for the case

nswer: The FIPS code should be the agency's not the child's p lace of res idence. (See: 45 CFR 1355, Appendix D, Detai leFoster Care, Element Number 3)


4. Question: AFCARS reporting requires all data submissions to be in numeric format, however, the data elementefiniti ons, both for foster care and adoption, ind icate the use of the U.S. Postal Service's two letter State abbreviation.

What should be used?

nswer: A numeric code is to be used for the State identi ficat ion. It is the fi rs t two digi ts of the State's Federal InformatioProcessing Standard (FIPS). (See: 45 CFR 1355, Appendix A, Section I, Roman Numeral I, Question D. Also see: AppendDetailed Foster Care, Element Number 4.)


5. Question: In the AFCARS regulation at section 1355.40 (b)(2) there is a reference to the most recent date of a periodiceview (either administrative or court) being entered for ch ildren who have been in foster care for nine months or more a

other references indicate seven months. Is this a typographical error?

nswer: No. It is not a typographical error . Sect ion 422 of the Social Secur ity Act requi res per iodic reviews at least everymonths; in practice, a 30 day grace period has been allowed, resulting in a seven month period in which to complete aeview without penalty. For AFCARS reporting this fact, coupled with the intention to allow 60 days to enter the date

associated with the review, results in a nine month time frame for entry of information about the periodic review. Therefoany child in foster care at least nine months must have a periodic review date entered into the AFCARS report.

n summary, the review must take place within seven months of the child's entry into the foster care system (or of the laperiodic review). The review date must be entered into the system with in 60 days of the review date. This results in the nmonth time frame referenced in the regulation.


6. Question: What procedures should a child welfare worker follow in order to most effectively obtain accurate information the racial and ethnic s tatus of children and adults?




valid AFCARS value.

Source/Date: 7/19/04Legal and Related References: Section 479 of title IV-E of the Social Security Act; 45 CFR 1355, Appendix A, Sectio Definitions and Instructions for Foster Care Data Elements, II. Child¿s Demographic Information, c. Race/Ethnicity and Appendix B, Section II Definitions and Instructions for Adoption Data Elements, II. Child¿s Demographic


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Information, c. Race/Ethnicity

.2B.3 AFCARS, Data Elements and Definit ions, Foster Care Specifi c Elements, Episode and remocircumstances

. Question: Following a trial home visit which extends beyond six months and where the child is considered "dischargewhat happens if the child returns to a group home? Is this a new placement, a new episode, or an entirely new removal?

nswer: The return to a group home or any other substi tu te care sett ing wil l represent a removal and the removal is the sof a new episode.


2. Question: If a child is removed from a home in which a sibling was alleged to have been abused, but the child beingemoved from the home was not abused, should physical abuse (alleged/reported) be marked as a condition associatedhe child's removal?

nswer: A record should only indicate condit ions associated with the removal of the child who is the subject of the recon the context of AFCARS, and using the above example of alleged abuse of the child's sibling, if physical abuse is

alleged/reported for the child who is the subject of the record then that condition is considered to be associated with theecision to remove that child from home and Element #26 should be coded as 1 (yes). If physical abuse has not been

alleged/reported for the child who is the sub ject of the record, phys ical abuse does NOT apply and element #26 should banswered as 0 (does not apply). (See: 45 CFR 1355, Append ix D, Detailed Foster Care, Element numbers 26 - 40.)


3. Question: What if the only reason for a child's removal from home is mental abuse? How do you code this for AFCAR

nswer: You should mark " Neglect (Al leged/Repor ted)" (Foster Care, element number #28) wi th a "1" . (See: 45 CFR 1355Appendix D, Detailed Foster Care, Element Numbers 26 - 40.)


. Question: Please clarify the meaning o f the terms removal, placement, episode, and d ischarge.

nswer: A Removal is ei ther the physical act of a child being taken from his or her normal place of residence, by court oor a voluntary placement agreement and placed in a substitute care setting, or the removal of custody from the parent oelative guardian pursuant to a court order or vo luntary placement agreement which permits the child to remain in aubstitute care setting.

Placement occurs after removal and is the physical setting in which a child finds himself or herself, that is, the resultantoster care setting. A new Placement setting results when the foster care setting changes, for example, when a child morom one foster family home to another or to a group home or institut ion.

An Episode is a removal with one or more placement settings. A previous episode is one that has been completed by a

ischarge. A current episode is a removal and one or more placement settings wi thout a discharge.

A Discharge represents that point in time when the child is no longer in foster care under the care and responsibility or upervision of the State agency. For AFCARS purposes, situations in which the State retains supervision of a child and

child returns home on a trial basis, for an unspecified period of time, are considered a discharge from foster care after amonth period. (See: 45 CFR 1355, Appendix A, Section I, Roman Numeral III, Questions A and B. Also see: Appendix D,Detailed Foster Care, Element Numbers 18, 20, and 23.))

Source/Date: ACYF-CB-PIQ-94-01 (7/8/94); Final Rule (65 FR 4020) (1/25/00)Legal and Related References: Social Secur ity Act - section 479; 45 CFR Parts 1355, 1356 and 1357

5. Question: Does the definition of Neglect include cases of failure to provide supervision (non-supervision)?


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nswer: Yes. Neglect is al leged or substant iated negl igent treatment or mal treatment , including failure to provide adequaood, clothing , shelter or care and includes failure to provide supervision (non-supervision). (See: 45 CFR 1355, Append

Section I, Roman Numeral IV, Question B. Also see: Appendix D, Detailed Foster Care, Element Number 28.)


6. Question: For both of the computer-generated transaction dates: should the date be generated on the date that the dawas fir st entered or the date that the data was last updated?

nswer: This date should represent the date that the data was FIRST entered. The reason for this element is to insure thahe record is entered into the system in a timely fashion. (See: 45 CFR 1355, Appendix D, Detailed Foster Care, Element

Number 22 and 57.)


7. Question: For a child who is in and out of the foster care system over a period of several years, what does the State reor foster care element 18 "Date of firs t removal from home" if it does not have the date of the first removal?

nswer: This informat ion is required by the regulat ions at appendix A to 45 CFR 1355 and should exist in the case recorda court record. As is the case for all missing data, if the date of the child's fir st removal from home is not available, the d

hould be left b lank.(See: 45 CFR1355, Appendix D, Detailed Foster Care, Element Number 18.)

Source/Date: ACYF-CB-PIQ-95-01 (3/8/95), updated (5-28-02)Legal and Related References: 45 CFR 1355.40; Appendix A to 45 CFR 1355

8. Question: A State title IV-E agency has an agreement in effect pursuant to section 472(a)(2)(B)(ii) of the Social SecurityAct w ith the State juvenile justice agency. As such, the State reports to AFCARS children who are in the placement and esponsibility of the State juvenile justice agency and receiving title IV-E foster care maintenance payments in a foster amily home or child care institution. When such a child is no longer receiving title IV-E foster care maintenance paymen

because the child is p laced in an unallowable facility (e.g., in detention), should the State stop reporting the chi ld toAFCARS?

nswer: It depends. Chi ldren in foster care who are p laced in a juveni le justice faci li ty and who are expected to be return

o a foster care setting should continue to be included in the AFCARS reporting population (see Child Welfare Policy MaSection 1.3 QA# 12). This means that the State will report to AFCARS the date the child was placed in the unallowableacility as the date of placement in current fos ter care setting (foster care element #23) and ind icate that the child?s curr

placement setting (foster care element #41) is an institu tion. The State will also increment the number of previous p lacesettings (foster care element #24).

f, however, the State does not expect the child to return to a foster care setting, the State may enter the child as discharfoster care element #56) as of the date the child left the foster family home or chi ld care institution and indicate the reasor discharge (foster care element #58).

Source/Date: 8/21/2006Legal and Related References: Social Security Act - section 479

.2B.4 AFCARS, Data Elements and Defini tions, Foster Care Specific Elements, Financial element

. Question: Should a State report that a child is eligib le for, but not actually receiving titl e IV-E foster care maintenancepayments in foster care element 59, "Sources of Federal Financial Support/Assistance for Child?"

nswer: No. The State should only indicate whether a chi ld received a t it le IV-E foster care maintenance payment during eporting period in answering foster care element 59.

Source/Date: (5-28-02)Legal and Related References: Append ix A to 45 CFR 1355.40


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.2B.5 AFCARS, Data Elements and Definit ions, Foster Care Specifi c Elements, Foster family hom


nswer: AFCARS requi res the repor ting of race and Hispanic/Lat ino Or ig in on children in foster care, ch ildren who havebeen adopted, foster care providers, and adoptive parents. As noted in Appendices A and B of the Federal regulations aCFR 1355, in the sections related to the instructions for foster care and adoption data elements, race and Hispanic/Latinorigin information is based on how a client/adult perceives him/herself, or in the case of young children, how the parentdentifies the child. This means the information on race and Hispanic/Latino Origin is to be self-reported by the individua

Additionally, racial and ethnic information should be collected and stored as separate pieces of information about the cl



valid AFCARS value.


.2B.6 AFCARS, Data Elements and Definit ions, Foster Care Specifi c Elements, Outcome info rma

. Question: Some States do no t capture information about ou tcomes except when the children not on ly are dischargedrom agency custody, but also the case is closed and the agency is no longer providing any type of services to the familhis is the case for a particular State, how wi ll penalties be assessed for lack of information?

Deleted 07/05/2002)

.2B.7 AFCARS, Data Elements and Defini tions, Foster Care Specific Elements, Placements

. Question: How does a State code a record where the status of the placement changes? For example, if a child is in aoster family home placement setting and that family decides to adopt the child , thus becoming a pre-adoptive home

placement setting, how do States record the placement setting, the date of placement, and the number of placements?

nswer: The State should change the p lacement sett ing to pre-adoptive home. However , the number of p lacements shouot change nor should the date of placement. There is no internal consistency check among these elements and therefohere will be no error detected with the change of placement even though the number of placements has not inc reased.See: 45 CFR 1355, Appendix D, Detailed Foster Care, Element Numbers 23, 24, and 41.)

Source/Date: ACYF-CB-PIQ 95-01 (3/8/95)Legal and Related References: Social Secur ity Act - section 479; 45 CFR Parts 1355, 1356 and 1357

2. Question: The internal consis tency check for date of placement in current fos ter care setting states that it must be lathan the date of latest removal from home. Can't it also be equal to the date of latest removal?

nswer: Yes. The system wil l not consider i t an error if the date of placement in current foster care sett ing is the same daas the date of latest removal from home. (See: 45 CFR 1355, Appendix D, Detailed Foster Care, Element Number 23.)


3. Question: If a child is on a trial home visit or has run away as of the end of the reporting period, what is to be reportedhe "Date of placement in current foster care setting" field?


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Deleted 07/05/2002)

4. Question: How do States indicate emergency shelter care - as "inst itution" or " group home?"

nswer: Generally, the shel ter should be coded as the type of p lacement that it most closely resembles. Therefore, the sof the facility should determine whether the shelter care is considered as an institution or a group home. It is also poss ior an emergency shelter to be coded as relative or non-relative foster care if the shelter is a home.


. Question: Please provide a more inclusive definition of Pre-Adoptive Home, Foster Family Home (Non-Relative),nstitution and Trial Home Visit.

nswer: A Pre-Adoptive Home is a home in which the fami ly has been approved to adopt the child. The family may or manot be receiving a foster care payment or an adoption subsidy on behalf of the child. The child is considered in foster ca

ntil the adoption has been finalized, that is, a judge has signed the adoption decree.

A Foster Family Home (Non-Relative) is a licensed or approved foster family home regarded by the State as a foster careving arrangement. This placement setting also includes what are referred to in some States as receiving foster homes.

An Institut ion is a child care facility operated by a public or private agency and providing 24-hour care and/or treatment children who require separation from their own homes and group living experience. These facilities may include: child c

nstitutions , residential treatment facilities, maternity homes, nursing homes, hospitals, etc.

A Trial Home Visit occurs when the child has been in a fos ter care placement, but, under continuing State agencyupervision, is then returned to the principal caretaker for a limited and specified period of time. If a time period is notpecified the child should be identified as having been returned home at the point at which the trial home visit exceeds

months. (See: 45 CFR 1355, Appendix A, Section I, Roman Numeral V, Question A. Also see: Appendix D, Detailed FosteCare, Element Number 41.)


6. Question: " Group homes" as they are called in some States may more closely match the AFCARS definition of institu tions" by their size, so the data reported may look like the State has foster homes and institutions as placements

and nothing much else. Won't this be a problem?

nswer: For AFCARS' report ing purposes "Group Homes" are defined as subst itute care set tings which house 12 or fewchild ren, whereas, an " Institution" provides care for more than 12 children. Given this d istinc tion o f size, and if States arconsis tent in their use of size as a distinguishing factor, it should be clear as to the types of substitute care children areand should not pose a major problem.


. Question: Please clarify the meaning o f the terms removal, placement, episode, and d ischarge.

nswer: A Removal is ei ther the physical act of a child being taken from his or her normal place of residence, by court oor a voluntary placement agreement and placed in a substitute care setting, or the removal of custody from the parent oelative guardian pursuant to a court order or vo luntary placement agreement which permits the child to remain in aubstitute care setting.

Placement occurs after removal and is the physical setting in which a child finds himself or herself, that is, the resultantoster care setting. A new Placement setting results when the foster care setting changes, for example, when a child morom one foster family home to another or to a group home or institut ion.

An Episode is a removal with one or more placement settings. A previous episode is one that has been completed by aischarge. A current episode is a removal and one or more placement settings wi thout a discharge.


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A Discharge represents that point in time when the child is no longer in foster care under the care and responsibility or upervision of the State agency. For AFCARS purposes, situations in which the State retains supervision of a child and

child returns home on a trial basis, for an unspecified period of time, are considered a discharge from foster care after amonth period. (See: 45 CFR 1355, Appendix A, Section I, Roman Numeral III, Questions A and B. Also see: Appendix D,Detailed Foster Care, Element Numbers 18, 20, and 23.)


8. Question: For AFCARS reporting purposes what information is entered for a child who returns to a placement setting

different than the placement setting from which he/she ran away or left for a trial home visit?

nswer: If the chi ld , after having run away or exper ienced a tr ial home v is it , returns to a placement set ting di fferent than one he/she ran away from or left for a trial home vis it, then the " Date of Placement in Current Foster Care Setting," " CurPlacement Setting," and " Number of Previous Placement Settings during this Removal Episode" will be changed. Theollowing information should be entered, "Date of Placement in Current Foster Care Setting" will be changed to the date

child enters the "different" placement setting, " Current Placement Setting" will be changed to the appropriate setting, anNumber of Previous Placement Settings during this Removal Episode" will be increased by one (+1). (See: 45 CFR 1355

Appendix D, Detailed Foster Care, Element Number 23, 41, and 24, respectively .)


9. Question: Why are trial home visi ts (which count as placements for element 41 and may last up to 6 months or more) ounted as placements for element 24 - number of placements?

nswer: Trial home visi ts and Runaway are the same in that they are recorded as placement sett ings. This al lows the Stao more accurately show the physical setting that the child is in at the time the report period ends. However, they are no

counted in the number of placements in order to guard against misleading data. For example, in the case of a child in aroup home who runs away for one week and then returns to the group home, if the runaway were counted as a placeme

would appear that the child had three placements, when actually the agency had only placed the child once. Likewise, ifchild was placed in a trial home visit w ith the intent that the child would be discharged back to the family the trial home hould not be considered a placement. The number of placements element is meant to gather info rmation on how manyimes the agency found it necessary to move the child while in foster care. (See: 45 CFR 1355, Appendix D, Detailed Fos

Care, Element Number 24.)


0. Question: " Runaway" is an option for a child's " Current Placement Setting" ; should it be counted when calculating thanswer to, "Number of Previous Placements During This Removal Episode"?

nswer: No. While it is important for ACF to know the number of chi ldren in runaway status at a part icular t ime, " runawanot a placement setting and should not be counted as such. (See: 45 CFR 1355, Appendix D, Detailed Foster Care, ElemeNumbers 41 and 24, respectively).


1. Question: For AFCARS reporting purposes what info rmation is entered for a chi ld who returns to the same placemenetting from which he/she ran away or left for a trial home visit?

nswer: If the chi ld returns to the same placement set ting they were in, prior to running away or having the tr ial home v isonly the "Current Placement Setting" will be changed and it will be changed to the placement setting he/she was in priorunning away or leaving for their trial home visit. (See: 45 CFR 1355, Appendix D, Detailed Foster Care, Element Number


2. Question: The data element, "Number o f Previous Placement Settings During This Removal Episode" clearly indictes


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previous placement settings ; however, the definition in the regulation says to include the current placement setting in thcount. This seems to be contradictory . Which is correct?

nswer: When answer ing the question, "Number of Previous Placement Set tings During This Removal Episode" , includecurrent placement setting. (See: 45 CFR 1355, Appendix D, Detailed Foster Care, Element Number 24. Also see: AppendSection II, Roman Numeral III, Removal/Placement Setting Indicators.)


3. Question: Mental health institutions and jails are not normally considered to be the same type of facilit y. Some Stateexpressed concern with counting them as the same for AFCARS. Why are they counted all the same as "ins titutions?"

nswer: " Insti tution," as i t is used for AFCARS report ing, generally ind icates large groups of chi ldren, even though weacknowledge that this could represent children in mental health facilities, nursing homes, long-term hospital care, juvenustice facilities, and many other placement settings serving large numbers of individuals. To assist ACF in clarifying

placements, we encourage States to footnote signi ficant percentages, for example, 25% of children in ins titutional care n juvenile justice facilities.


4. Question: If a child goes home on a regular basis (e.g., the child is placed in an institut ion, but goes home to his or h

amily on weekends), is this considered two placements each week?

Deleted 07/05/2002)

5. Question: Occasionally a child may be placed in the home of a neighbor or family fr iend who is in the process of beincensed but is no t licensed at the end of the reporting period. In this case, how shou ld that placement setting be coded?

nswer: ACF hopes that it wi ll be a rare occasion when a chi ld is placed in an unl icensed faci li ty . But in those rare casescode the placement setting as the definition that most closely resembles the placement setting. For this case, the placemetting should be coded as a non-relati ve foster home. (See: 45 CFR 1355, Appendix D, Detailed Foster Care, Element

Number 41).


6. Question: How are children in shelter care indicated on the AFCARS questionnaire?

Deleted 07/05/2002)

7. Question: If the provider changes status (e.g. was a county service foster home and changes to a ch ild p lacementervice) and the child remains with the same family is this 1 placement setting or 2 placement settings?

nswer: AFCARS repor ting is not concerned wi th the status of the subst itute care provider, only the number of placemeetting changes a child experiences. Consequently, the child in the above question does not experience a placement sehange, therefore, no change will be made to " Number of Previous Placement Settings during this Removal Episode", (S

45 CFR 1355, Append ix D, Detailed Fos ter Care, Element Number 24.)

f a child 's placement setting status changes to a setting as defined for AFCARS reporting, e.g., a group home becomescensed as an institution , then for AFCARS reporting purposes we would request that the child's " Current Placement

Setting" be changed as appropriate. However, there would be no change in the " Date of Placement in the Current FosterCare Setting" nor in the "Number o f Previous Placements During this Removal Episode" . (See: 45 CFR 1355, Appendix DDetailed Foster Care, Element Number 41, 23, and 24 respectively.)


8. Question: If a child is in a foster family home and then goes to a different foster family home, is this one placement o


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wo placements?

nswer: Two placement set tings in the current episode. (See: 45 CFR 1355, Appendix D, Detai led Foster Care, ElementNumber 24.)


9. Question: If a foster family moves to another city or county or State, is the move considered to be a new placement fhe child living with the family?

nswer: If the chi ld remains with the same family , it should not be considered a new placement if the family moves. (SeeCFR 1355, Appendix D, Detailed Fos ter Care, Element Numbers 23, 24, and 41.)


20. Question: The AFCARS definition of "institut ion" seems different from the definit ion used fo r IV-E and adoptionprograms. Why?

nswer: The defini tional use of insti tu tional care sett ing for AFCARS was purposely broadened to make it applicable toituations which cannot be recorded in any other manner. But it remains the same for purposes other than AFCARSeporting.


1. Question: How should the State count brief periods spent away from the child 's foster care provider in fos ter careelement 24, " Number of previous placement settings during the removal episode"?

nswer: In general, the State is required to count a placement that lasts more than 24 hours while the child is in foster caunder the placement, care or supervision responsibil ity of the State agency. See 45 CFR 1355.40 and CWPM 1.2B.7 and This includes moves that may be made on an emergency or unplanned basis, such as shelter care placements, treatmenacility placements, and certain placements for juvenile justice purposes. See CWPM 1.3. However, there are certainemporary living condit ions that are not placements, but rather represent a temporary absence from the child's ongoingoster care placement. As such, the State must exclude the fol lowing temporary absences from the calculation of theumber of previous placement settings for fos ter care element 24.

Visitation with a sibling , relative, or other caretaker (i.e., preplacement visits wi th a subsequent fos ter care provide

preadoptive parents)

Hospitalization for medical treatment, acute psychiatric episodes or diagnos is

Respite care

Day or summer camps

Trial home visits

Runaway episodes

Source/Date: (5-28-02)

Legal and Related References: Social Security Act - section 479; 45 CFR 1355.40 & appendices; Child Welfare Poli Manual Sections 1.2B.7 and 1.3

22. Question: How should a State count a child's placement back into a previous foster home in foster care element 24,Number of p revious placement settings during the removal episode"? Should a State only increase the number of prev

placement settings if the child i s placed in a foster care setting in which he has not been placed before?

nswer: Foster care element 24 is meant to gather informat ion on how many t imes the agency found it necessary to movhe child while in foster care. Therefore, the number of p revious placement settings during the removal episode must re

all placement moves includ ing the cur rent placement and placements in to a previous foster care setting, regardless of whether the child was previously placed in that setting. The exception to this policy is w ith regard to a child who returnshe same foster care setting follow ing a temporary absence that is specifically excluded from the calulation of p revious

placment settings.(see CWPM 1.2B.7).


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Source/Date: (5-28-02)Legal and Related References: Append ix A to 45 CFR 1355.40

23. Question: If a child is on a trial home vis it or has run away how should the State report this child in AFCARS?

nswer: The State must indicate the date the chi ld was placed on the tr ial home vis it , or known to have run away from thast placement setting as the "Date of placement in current foster care setting" (foster care element 23). The State must hange the " Current Placement Setting" (foster care element 41) to either "Runaway" or "Trial Home Visit" , as appropria

The State should not increase the "number of previous p lacement settings during th is removal episode" (foster care

element 24).

Source/Date: (5-28-02)Legal and Related References: Social Security Act - section 479; 45 CFR 1355.40 & appendices

24. Question: Should a State report in AFCARS a child who is under the placement and care responsibilit y of the State tiV-B/IV-E agency but who has not yet been placed in a foster care setting because the child ran away prior to placement

nswer: Yes. The State should repor t to AFCARS chi ldren who are under the placement and care responsib il ity of the t itV-E agency but who ran away prior to the chi ld?s placement in a fos ter care setting. In this situation, the State shouldeport the child as having a current placement setting (foster care element #41) of runaway and indicate the date the chian away as the date of placement in current foster care setting (foster care element #23). Since there has not been an a

placement, the State should indicate a placement count (foster care element #24) of zero.


25. Question: If a child in foster care moves within a child care institu tion at a single location (e.g., from one building, docottage, or wing to another within the inst itution) should a State report this to AFCARS as a change in placement? Is itelevant whether the child is moving w ithin the institution because of a change in the level of care necessary?

nswer: No to both questions. The child remains at a s ingle child care insti tution and placement and the State must notndicate a change in the date of placement in current fos ter care setting (foster care element 23), number of previousplacement settings (foster care element 24) or the current placement setting (foster care element 41) due to such a move


.2B.8 AFCARS, Data Elements and Defini tions, Foster Care Specific Elements, Principal caretake

. Question: When an adoption is dissolved and the child is then re-adopted, should the State submit the information onrst adoptive (legal) parents or the birth parents?

nswer: The AFCARS report should always include information on the legal parents. Therefore, in this case, the Stateshould submit information on the previous adoptive parents.


2. Question: What if a State has info rmation on both the legal as well as one or more putative fathers? For whom shouldnformation be provided?

nswer: Informat ion should be provided on the legal father ; however , if a child has one or more putat ive fathers and a leather is not established, the year of birth used shou ld be that of the putative father whose parental righ ts were terminatast. (See: 45 CFR 1355, Appendix B , Section I, Roman Numeral IV, Question A2. Also see: Appendix D, Detailed AdoptioElement Number 17.)



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3. Question: If a child 's principal caretakers are a same sex couple how is it indicated for AFCARS reporting?

nswer: The couple should be entered as either an unmarr ied or married couple depending on how State law views themSee: 45 CFR 1355, Appendix B, Section I, Roman Numeral VII, Question A. Also see: Appendix D, Detailed Foster Care,

Element Numbers 44 and 49.)


.2B.9 AFCARS, Data Elements and Definit ions, Foster Care Specifi c Elements, Termination of

parental rights

.3 AFCARS, Reporting Population

. Question: Please clarify the definiti on of the AFCARS foster care reporting population , that is, the children States are ubmit AFCARS data on.

nswer: Foster care is def ined in 45 CFR 1355.20 and 1355.40. Section 1355.20 gives the general def in it ion of foster care24 hour subst itute care for all child ren placed away from their parent(s) or guardian(s) and for whom the State agency haplacement and care responsibility. Section 1355.40 (a)(2), defines the foster care population for AFCARS reportingpurposes. Each State's data transmission must include all children in foster care, as defined in section 1355.20, for whohe State title IV-B/IV-E agency has responsibil ity for p lacement, care or supervision.


2. Question: Should children who are still receiving funding from the State agency be reported on in AFCARS even if theare age 18 or over?

nswer: In general, States are to report all ch ildren in foster care and under the placement , care of supervision of the Staagency to AFCARS. In the case of youth 18 years of age or over, State must report to AFCARS:

youth who have not yet reached the State's legal age of majority; and

youth who have attained 18 years of age, but not yet 19 years of age on whose behalf the State is providing tit le IV

fos ter care maintenance payments.

Pursuant to long-standing Departmental policy, States are instructed to exclude those youth who are considered to beadults in a State from the chi ld protection requirements in section 422 of the Act and AFCARS reporting requirements.However, youth who receive title IV-E foster care maintenance payments must be reported to AFCARS and be provided tection 422 protections regardless of whether they have reached the legal age of majority in the State.

Source/Date: ACYF-CB-PIQ-95-01 (3/8/95); updated (5-28-02)Legal and Related References: Social Security Act - section 479; 45 CFR Part 1355

3. Question: Are past placement his tories to be included or only current active cases?

nswer: Al l cases which are open at any time during the report ing period, whether or not there have been any changes in

le, need to be reported. Any cases which are closed, that is, the child is discharged from care, etc., need to be includedhe current report only if the closure activit y was entered into the system during the current reporting period.


4. Question: Do States report on the chi ldren in State custody even though the State has no placement or financialesponsibility?

nswer: Yes. Children who are under State custody and in foster care are included in AFCARS regardless of whether or a payment is made.


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5. Question: Do States report on children whose care is in the control o f tribal cour ts?

nswer: What cour t the chi ld goes through is not of part icular impor tance. The determining factor is whether the State t iV-B/IV-E agency has p lacement and care responsibili ty and/or supervision .


6. Question: What guidelines or qualifiers, if any, exist as to the inclusion of American Indian child ren in the AFCARSeporting population?

nswer: There are no guidel ines or qual if iers related to Amer ican Indian chi ldren. They are to be included in AFCARS as other child under the care and responsib ility o r supervision of the State child welfare agency.


7. Question: Do States report on children in pri vate agency care?

nswer: If the care of the chi ld is under the State child welfare agency (e.g., the pr ivate agency is providing care by cont

with the State), that child should be included in AFCARS reporting; i f it is st rictly private, that is, there is no contractualelationship with the IV-B/IV-E agency, do not report on the child.


. Question: What is the relationship between State and tribal o rganizations to access client data, especially non-IV-Eunded clients?

nswer: Chi ldren aff il iated with Tr ibes which have ti tle IV-E agreements wi th a State are to be included in the AFCARSeporting population. Any chi ld in substitu te care in which joint custody exists between the tribal court and IV-B/IV-E

agency, is inc luded in the AFCARS reporting population. If an agreement exists the title IV-B/IV-E agency should haveaccess to the necessary records.


9. Question: What agency submits data on adoption for children placed out of State (i.e., cooperative placementagreements)?

nswer: The State which has/had custody of the chi ld or is party to the adopt ion assistance agreement must submit theAFCARS data.


0. Question: Under what circumstances, if any, should children in emergency care be included in the AFCARS reportingopulation?

nswer: The report ing population includes chi ldren in emergency care, if the emergency care exceeds 24 hours, regardleof whether the placement and care responsibility o r supervision is on the basis of a court order, legislation or regulation


1. Question: Are child ren at home (i.e., trial home visits ) to be included in the AFCARS reporting population?


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nswer: Yes. Any child who is returned home on a t rial home visi t, for a speci fical ly limi ted per iod of t ime and for whom State agency continues to maintain placement and care responsibili ty or supervision should be included in AFCARS. If child is returned home on a trial basis with no specific time period ind icated, and the State agency maintains placementcare responsibi lity or supervision, he or she should be indicated as in foster care for a period of up to six months. After months such child should be indicated as discharged from foster care and returned home and should not be included inubsequent AFCARS reports unless the child i s returned to foster care.


2. Question: Are child ren in juvenile jus tice facilities inc luded in AFCARS reporting?

nswer: Chi ldren who are removed f rom thei r home and in it ial ly placed in a juvenile just ice fac il ity are not to be includedAFCARS reporting .

For children already in a juvenile justice facility with respect to whom a subsequent court order is signed giving placemcare or supervision to the title IV-E/IV-B agency, the date of the cour t order wi ll be used as the date of removal from thehome.

Children in a foster care setting who are moved to a juvenile justi ce facility and who are expected to be returned to a foscare setting should continue to be included in the AFCARS reporting population. The child's move into the juvenile justiacility should be reported as a placement change and recorded as an institutional foster care setting.

Children in a foster care setting who are moved to a juvenile justice facility and who become the responsibili ty of anotheagency should not be inc luded in the AFCARS reporting population. The date the court order was signed will serve as th

ate of discharge from foster care and the reason for discharge would be reported as transfer to another agency.

Source/Date: ACYF-CB-PIQ-94-01 (7/8/94); ACYF-CB-PIQ-95-01 (3/8/95)Legal and Related References: Social Secur ity Act - section 479; 45 CFR Parts 1355, 1356 and 1357

3. Question: What if a child in care is known to two different State agencies? Which agency should report on the child?

nswer: The agency which current ly has placement and care responsib il ity or superv is ion should report on the child. If ts jo int respons ibilit y (e.g., both the juvenile justice agency and the chi ld welfare agency) then the child welfare agencyhould report on the child.


4. Question: If the State has placement and financial payment respons ibilit y for some children, but the State does not hcustody , do we report them?

nswer: Yes. These chi ldren should be inc luded in the AFCARS repor ting populat ion.


.4 AFCARS, Technical Requirements

. Question: For programming purposes, are "6 months" and "180 days" supposed to be literally the same? Automatedystems must be programmed precisely as to what date to use.

nswer: The reference to 6 months is 6 calendar months, whereas, 180 days equals 180 days, i rrespect ive of calendar months.


. Question: What links are States to maintain between children in the AFCARS foster care data transmission and theAFCARS adoption data transmission? If the State uses encrypted numbers, the child's number will appear the same on


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he foster care and the adoption reports. Does this v iolate confidentiality?

nswer: No l ink may be maintained in the AFCARS transmissions for ch ildren who leave foster care and are adopted. If tState is stil l concerned about possible linkage of the foster care and adoption records, it should adopt a different encrypalgorithm for the adoption data report.


. CAPTA

.1 CAPTA, Assurances and Requirements

. Question: Must the poli cies that are the subject o f the CAPTA assurances be embodied in State statutes?

nswer: There are f ive assurances in CAPTA that requi re provisions in State law. Those are: 1) a law for mandatory repoby individuals required to report child abuse and neglect (section 106(b)(2)(B)(i)); 2) provisions for immunity fromprosecution under State and local laws and regulations fo r individuals making good faith reports of suspected or knownnstances of child abuse or neglect (section 106(b)(2)(B)(vii)); 3) upon implementation of provisions, procedures or mechanisms to assure that the State does not require reunification of a surv iving ch ild with a parent who has committedcertain felonies, that conviction of any one of those felonies constitute grounds under State law for the termination of parental rights of the convicted parent as to the surviving children (section 106(b)(2)(B)(xvii)); 4) authority under State la

or the State CPS system to pursue any legal remedies, including the authority to init iate legal proceedings in a court o f competent jurisd iction , as may be necessary to prevent the withholding of medically indicated treatment from disablednfants with li fe-threatening condi tions (section 106(b)(2)(C)(iii)); and 5) authority under State law to permit the State's Cystem to pursue any legal remedies, includ ing the authority to initi ate legal proceedings in a court of competenturisd iction , to provide medical care or treatment for a child when such care or treatment is necessary to prevent or remerious harm to the child, or to prevent the withholding o f medically indicated treatments from disabled infants with life-

hreatening cond itions (section 113(b)).

However, if a State has a law in effect which conflicts with the provisions in any assurance, or the State's statutorydefinitions of " child abuse and neglect" and " sexual abuse" do not meet the minimum standards in sections 3(2) and 11of CAPTA, it must mod ify its s tatute to correspond w ith the CAPTA requirements.

Source/Date: ACYF-NCCAN-PIQ-97-01 (3/4/97); updated 12/9/11

Legal and Related References: Child Abuse Prevention and Treatment Act (CAPTA), as amended (42 U.S.C. 5101 e seq.) - sect ions 3, 106, 111 and 113

. Question: Does the Administration on Children, Youth and Families (ACYF) intend to do in-depth reviews of State statand pol icies to determine State eligibility under the CAPTA Amendments of 1996?

nswer: CAPTA, as amended in the 1996 reauthorization, made a shif t f rom el igib il ity requirements to submission of a Splan with assurances in the form o f certifications by the State's Chief Executive Officer that certain provisions , proceduror programs are in place in the State. Legislative history confi rms that it was Congressional intent to simpli fy and streamhe administration of CAPTA at the Federal, State and local levels (Congressional Record - House, September 25, 1996, p

H11148). According ly, the primary respons ibilit y for review of State statutes and policies rests with the States.

f there are instances in wh ich ACYF is presented with evidence of potential deficiencies (e.g., through the new child and

amily services program reviews being conducted by the Children's Bureau, or other sources), action wi ll be taken to vewhether a problem actually exists. If a deficiency is verifi ed, the State will be notifi ed in writing and will be required to tacorrective action within a specified timeframe. Funds will not be jeopardized unless the State fails to correct the deficienwithin the specified timeframe.

Source/Date: ACYF-NCCAN-PIQ-97-01 (3/4/97); updated 2/3/05Legal and Related References: Child Abuse Prevention and Treatment Act (CAPTA), as amended (42 U.S.C. 5101 e seq.)

.1A CAPTA, Assurances and Requirements, Access to Child Abuse and Neglect Information

.1A.1 CAPTA, Assurances and Requirements, Access to Child Abuse and Neglect Information,


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Confidentiality

. Question: What are the Child Abuse Prevention and Treatment Act (CAPTA) confidentiality requirements?

nswer: In general, CAPTA requires that a State preserve the confidentiali ty of all ch ild abuse and neglect reports andecords in order to protect the rights of the child and the child's parents or guardians (section 106(b)(2)(B)(viii) of CAPTA

However, CAPTA allows the State to release information to certain individuals and entities.

The State may share confidential child abuse and neglect reports and records that are made and maintained in accordanwith CAPTA with any of the following:

Individuals who are the subject of a report (section 106(b)(2)(B)(viii)(I));

A grand jury or court , when necessary to determine an issue before the cour t or grand jury (sect ion 106(b)(2)(B)(vi(V)); and

Other entities or classes of individuals who are authorized by statute to receive information pursuant to a legitima State purpose (section 106(b)(2)(B)(viii )(VI)).

n addition, States have the option to allow publi c access to court p roceedings that determine child abuse and neglectases, so long as the State, at a minimum, can ensure the safety and well-being of the child , parents and families (see thast paragraph of section 106(b)(2) of CAPTA).

The State must provide certain otherwise confidential child abuse and neglect information to the following :

Any Federal , State, or local government ent ity, or any agent of such ent ity, that has a need for such informat ion in order to carry out i ts respons ibiliti es under law to pro tect child ren from abuse and neglect (permitted by 106(b)(2)(viii )(II) but requi red by section 106(b)(2)(B)(ix));

Child abuse citi zen review panels, if such panels are established to comply w ith section 106(c) of CAPTA (permitte by 106(b)(2)(B)(vii i)(III) but required by section 106(c)(5)(A));

Public disclosure of the findings or information about the case of child abuse or neglect that results in a child fata or near fatality (required by sect ion 106(b)(2)(B)(x)), in accordance with sect ion 2.1A.4, Q/A #8 of the CWPM; and

Child fatality review panels. Although disclosure to such panels is merely permissible under the language of secti

106(b)(2)(B)(viii)(IV), section 106(b)(2)(B)(x) of CAPTA requires disclosure of findings or information about the cas child abuse or neglect that results in a child fatality or near fatality. Accordingly , disclosure to a child fatality revie panel is required.

Authorized recipients of confidential child abuse and neglect information are bound by the same confidentiality restrictias the child protective services agency. Thus, recipients of such info rmation must use the information only for activit ieselated to the prevention and treatment of child abuse and neglect. Further disclosure is permitted only in accordance whe CAPTA standards.

There may be other Federal confidentiality restrictions for the State to consider when implementing the confidentialityprovisions under CAPTA.

Source/Date: ACYF-NCCAN-PIQ-97-01 (3/4/97); updated 9/27/11; updated 9/12/12

Legal and Related References: CAPTA section 106(b)(2)(B) and 106(c)(5)(A)

2. Question: Would legislation that pro tects the identity of the reporter, but would otherwise open child abuse and negleeports and records to the public, meet the confidentiality provisions in section 106 (b)(2)(B)(viii) of the Child Abuse

Prevention and Treatment Act (CAPTA)?

nswer: In general, such broad public access to chi ld abuse and neglect repor ts and records is not consistent wi th CAPStates must p reserve the confidentiality o f all reports and records in o rder to protect the rights of the child and the childparents or guardians, except in certain specified circumstances.

There are two circumstances in which info rmation contained in child abuse and neglect reports and records, which areypically kept confidential, may be shared with the public. First, a State must release findings or information to the publi


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about a case of child abuse or neglect which results in a child's death or near fatality cons istent with section 106(b)(2)(Bof CAPTA and in accordance with section 2.1A.4, Q/A #8 of the CWPM. Additionally, a State may open court proceedingshat determine child abuse and neglect to the publi c (see the last paragraph of section 106(b)(2) of CAPTA).


Source/Date: ACYF-NCCAN-PIQ-97-01 (3/4/97); updated 9/27/11; 9/12/12Legal and Related References: Child Abuse Prevention and Treatment Act (CAPTA), as amended (42 U.S.C. 5101 e seq.) - sections 106(b)(2) and 106(b)(2)(B)

3. Question: Do States have the authority to release otherwise confidential child abuse and neglect info rmation toesearchers for the purpose of child abuse and neglect research?

nswer: Yes. Consistent with sect ion 106(b)(2)(B)(vii i)(II) and (VI) of CAPTA, States have authori ty to release informat ionesearchers of child abuse and neglect in either of two ways: (1) the CPS agency may contract with a researcher, thereb

making the researcher its " agent;" or (2) States may statutorily authorize release of such information to researchers as aegitimate State purpose, since research involving data in CPS records can provide important information that will helpgovernment officials plan programs for abused and neglected children and develop futu re policy directions.

Source/Date: ACYF-NCCAN-PIQ-97-04 (3/4/97); updated 9/27/11Legal and Related References: Child Abuse Prevention and Treatment Act (CAPTA), as amended (42 U.S.C. 5101 e seq.) - sect ion 106(b)(2)(B)(vii i)

. Question: The confidentiality provision at section 106(b)(2)(B)(viii) of the Child Abuse Prevention and Treatment ActCAPTA) requires that States have a State law or operate a statewide program that includes methods to preserve the

confidentiality of all child abuse and neglect records and reports and provides for exceptions in certain circumstances. tatutory language states that such records " shall only be made available to" a specified list of persons and entities. Are

States required to disclose chi ld abuse and neglect records to the persons and entities enumerated in subsections (I)-(Vunder section (viii)?

nswer: In general, States are permit ted, but not requi red, to disc lose otherwise conf ident ial in formation to the persons entities in the enumerated categories in subsections (I)-(VI) under section (viii). However, the disclosure described inubsections (II), (III) and (IV), is required by subsequent provisions in CAPTA. Specifically, subsection (ix) requiresisclosure to any Federal, State or local entity, or agent of such entity , that has a need for the info rmation in order to car

out its responsibiliti es under law to protect children from abuse and neglect, so that disclosure as described under ubsection (viii)(II) is mandatory. Likewise, in accordance wi th section 106(c)(5)(A), the State must provide a citizen revie

panel with access to information on cases that the panel needs to review if the information is necessary for the panel tocarry out its functions . Further, section 106(b)(2)(B)(x) of CAPTA requires States to allow for public disclosure of the

ndings or information of the case of child abuse or neglect that results in a child fatality or near fatality. Thus, theisclosure described in subsection (viii)(IV) also is required. Otherwise, States are permitted, but no t required, to disc los

nformation to the persons or entit ies in the enumerated categories.


Source/Date: ACYF-NCCAN-PIQ-97-03 (9/26/97); updated 9/27/11Legal and Related References: Child Abuse Prevention and Treatment Act (CAPTA), as amended (42 U.S.C. 5101 e

seq.) - sections 106(b)(2)(B)(viii ) and (b)(2)(B)(x)

5. Question: Is there a prohib ition against redisclosure of confidential child abuse and neglect information?

nswer: Yes. Authorized recipients of otherwise conf ident ial child protective services (CPS) informat ion are bound by thame confidentiality restrict ions as the CPS agency. Thus, recipients of such information must use the information only

activities related to the prevention and treatment of child abuse and neglect. Further disc losure is permitted only inaccordance with the CAPTA standards.

Source/Date: ACYF-NCCAN-PIQ-97-03 (9/26/97); updated 2/3/05Legal and Related References: Child Abuse Prevention and Treatment Act (CAPTA), as amended (42 U.S.C. 5101 e seq.) - section 106


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6. Question: Will States compromise compliance with titles IV-B and IV-E of the Social Security Act if they comply with tconfidentiality requirements in sections 106(b)(2)(B)(viii), (ix) and (x) of CAPTA?

nswer: Tit le IV-E requires that States provide safeguards restr icting the use and/or disc losure of informat ion regardinghildren served by t itle IV-E foster care. Records maintained under both t itle IV-E and IV-B (both of which are subject to

Department's confidentiality provisions in 45 CFR 205.50) are to be safeguarded against unauthorized disclosure. Theegulation at 45 CFR 205.50 states that the release or use of information concerning individuals applying for o r receivingnancial assistance is restricted to certain persons or agencies that require it for specified purposes. Such recipients of

nformation are in turn subject to standards of confidentiality comparable to those of the agency administering the finanassistance programs.

There may be instances where CPS information i s subject both to disclosure requirements under CAPTA and to theonfidentiality requirements under title IV-E and 45 CFR 205.50. To the extent that the CAPTA provis ions require disclossuch as in section 106(b)(2)(B)(ix) to other governmental entities and in section 106(b)(2)(B)(x) in the case of a child fata

or near fatality), the CAPTA disclosure provision wou ld prevail in the event of a conflict since the CAPTA confidentialityprov isions were most recently enacted. However, where the CAPTA provision is permiss ive (such as in sections 106(b)(B)(viii)(I), (V) & (VI)), it allows States to disclose such information without violating CAPTA, but i t does no t make suchdisclosure permissible in other programs if it is no t otherwise allowed under the other program's governing statute or egulations.

Source/Date: ACYF-NCCAN-PIQ-97-03 (9/26/97); updated 9/27/11; 9/12/12Legal and Related References: Social Security Act - sections 471 (a)(8) and (c); Child Abuse Prevention and Treatm Act (CAPTA), as amended (42 U.S.C. 5101 et seq.) - sect ion 106; 45 CFR 205.50, 45 CFR 1355.21 (a)

7. Question: Do the confidentiality requirements in the Child Abuse Prevention and Treatment Act apply to the membersiti zen review panels?

nswer: Cit izen rev iew panel members are bound by the conf ident ial ity rest rict ions in section 106 (c)(4)(B)(i) of CAPTA.Specifically, members and staff of a panel may not disclose identifying information about any specific child protection co any person or government official, and may not make public other info rmation unless authorized by State statute to do. Further, section 106 (c)(4)(B)(ii) of CAPTA requires States to establish civi l sanctions fo r violations of these

confidentiality restrictions. States that have civil sanctions in place for breaches of conf identiality need not enact newegislation, so long as their existing provisions encompass the CAPTA requirements.

Source/Date: ACYF-CB-PI-98-01 (1/7/98); updated 2/3/05

Legal and Related References: Child Abuse Prevention and Treatment Act (CAPTA), as amended (42 U.S.C. 5101 e seq.) section 106(c)

8. Question: Is it permiss ible under the Child Abuse Prevention and Treatment Act (CAPTA) for the State to disclose to tpublic information in the child abuse and neglect record that does not pertain to the case of child abuse and neglect thaesults in a child fatality or near fatality?

nswer: No. Except as discussed below, States must preserve the conf ident ial ity of al l chi ld abuse and neglect reports aecords in order to protect the rights of the child and family. Consistent with section 106(b)(2)(B)(viii) of CAPTA, reports ecords made and maintained pursuant to the purposes of CAPTA shall be made available only to the entities and under

circumstances described in section 106(b)(2)(B)(viii)(I - VI) of CAPTA.

As the question implies, a State must release findings or information to the publi c about a case of child abuse or neglec

which results in a child's fatality or near fatality consistent with section 106(b)(2)(B)(x) of CAPTA in accordance with sec2.1A.4, Q/A #8 of the CWPM. In addition, a State may open court proceedings that determine child abuse and neglect to tpubli c if the safety and well-being of the child, parents and families involved are protected (see the last paragraph of sec

06(b)(2) of CAPTA).

Source/Date: updated 9/27/11; 9/12/12Legal and Related References: Child Abuse Prevention and Treatment Act section 106(b)(2)

.1A.2 CAPTA, Assurances and Requirements, Access to Child Abuse and Neglect Information,Expungement

. Question: How wi ll States be able to determine whether a pattern of abuse or neglect exists if unsubstantiated records


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must be expunged? While the statute allows these records to be kept in casework files, if the files are not maintained in central location, previous unsubstantiated report(s) may go undetected if a subsequent report comes into another officeeven another worker.

nswer: The impetus behind the expungement requi rement was the concern of Congress that fami lies are negatively andometimes unjust ly affected by maintenance of publi c records of unsubstantiated allegations of abuse or neglect. Howet was not the intent of Congress to prevent CPS agencies from keeping information on unsubstantiated reports for use uture risk and safety assessments (Senate Report 104-117, dated July 10, 1995, p. 14). While CAPTA requires prompt

expungement of records that are accessible to the general public or are used for purposes of employment or other background checks in cases determined to be unsubstantiat

us dhhs child welfare policy manual.pdf

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