(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) 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) 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) of this part.
(ii) One and one quarter percent (1.25%) of the funds subject to a penalty for each reporting period in which ACF makes a final determination that the State agency's data file does not comply with the outcome universe standard defined in section 1356.85(b)(2) of this part.
(iii) One half of one percent (0.5%) of the funds subject to a penalty for each reporting period in which ACF makes a final determination that the State agency's data file does not comply with the participation rate for youth in foster care standard defined in section 1356.85(b)(3)(i) of this part.
(iv) One half of one percent (0.5%) of the funds subject to a penalty for each reporting period in which ACF makes a final determination that the State agency's data file does not comply with the participation rate for discharged youth standard defined in section 1356.85(b)(3)(ii) of this part.
(c) Calculation of the penalty amount. ACF will add together any assessed penalty amounts described in paragraphs (b)(1) or (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) 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.
(f) Appeals. The State agency may appeal, pursuant to 45 CFR part 16, ACF's final determination to the HHS Departmental Appeals Board. [73 FR 10365, Feb. 26, 2008, as amended at 77 FR 952, Jan. 6, 2012]
Sec. Appendix A to Part 1356--NYTD Data Elements ------------------------------------------------------------------------
Responses Applicable
Element No. Element name options population------------------------------------------------------------------------1................. State........... 2 digit FIPS
code.2................. Report date..... CYYMM...........
CC = century
year (i.e., 20).
YY = decade year
(00-99).
MM = month (01-
12).3................. Record number... Encrypted,
unique person
identification
number.4................. Date of birth... CCYYMMDD........
CC = century
year (i.e., 20).
YY = decade year
(00-99).
MM = month (01-
12).
DD= day (01-31).5................. Sex............. Male............
Female..........6................. Race--American Yes............. All youth in
Indian or served,
Alaska Native. baseline and
follow-up
populations.
No..............7................. Race--Asian..... Yes.............
No..............8................. Race--Black or Yes.............
African
American.
No..............9................. Race--Native Yes.............
Hawaiian or
Other Pacific
Islander.
No..............10................ Race--White..... Yes.............
No..............11................ Race--Unknown... Yes.............
No..............
12................ Race--Declined.. Yes.............
No..............13................ Hispanic or Yes.............
Latino
Ethnicity.
No..............
Unknown.........
Declined........14................ Foster care Yes............. Served
status--service population
s. only.
No..............15................ Local agency.... FIPS code(s)....
Centralized unit16................ Federally- Yes.............
recognized
tribe.
No..............17................ Adjudicated Yes.............
delinquent.
No..............18................ Education level. Less than 6th Served
grade. population
only.
6th grade.......
7th grade.......
8th grade.......
9th grade.......
10th grade......
11th grade......
12th grade......
Postsecondary
education or
training.
College, at
least one
semester.19................ Special Yes.............
education.
No..............20................ Independent Yes.............
living needs
assessment.
No..............21................ Academic support Yes.............
No..............22................ Post-secondary Yes.............
educational
support.
No..............23................ Career Yes.............
preparation.
No..............24................ Employment Yes.............
programs or
vocational
training.
No..............25................ Budget and Yes.............
financial
management.
No..............26................ Housing Yes.............
education and
home management
training.
No..............27................ Health education Yes.............
and risk
prevention.
No..............28................ Family Support/ Yes.............
Healthy
Marriage
Education.
No..............29................ Mentoring....... Yes.............
No..............30................ Supervised Yes.............
independent
living.
No..............31................ Room and board Yes.............
financial
assistance.
No..............32................ Education Yes.............
financial
assistance.
No..............33................ Other financial Yes.............
assistance.
No..............34................ Outcomes Youth Baseline and
reporting Participated. follow-up
status. Youth Declined.. populations
Parent Declined. (with the
Youth exception of
Incapacitated.. the response
Incarcerated.... option ``not in
Runaway/Missing. sample'' which
Unable to locate/ is applicable
invite.. to 19-year olds
Death........... in the follow-
Not in sample... up only).35................ Date of outcome CCYYMMDD........ Baseline and
data collection. follow-up
populations.
CC = century
year (i.e., 20).
YY = decade year
(00-99).
MM = month (01-
12).
DD = day (01-31)36................ Foster care Yes.............
status-outcomes.
No..............37................ Current full- Yes.............
time employment.
No..............
Declined........38................ Current part- Yes.............
time employment.
No..............
Declined........39................ Employment- Yes.............
related skills.
No..............
Declined........40................ Social Security. Yes.............
No..............
Declined........41................ Educational aid. Yes.............
No..............
Declined........42................ Public financial Yes............. Follow-up
assistance. population not
in foster care.
No..............
Not applicable..
Declined........43................ Public food Yes.............
assistance.
No..............
Not applicable..
Declined........44................ Public housing Yes.............
assistance.
No..............
Not applicable..
Declined........45................ Other financial Yes............. Baseline and
support. follow-up
population.
No..............
Declined........46................ Highest High school
educational diploma/GED.
certification
received.
Vocational
certificate.
Vocational
license.
Associate's
degree.
Bachelor's
degree.
Higher degree...
None of the
above.
Declined........47................ Current Yes.............
enrollment and
attendance.
No..............
Declined........48................ Connection to Yes.............
adult.
No..............
Declined........49................ Homelessness.... Yes.............
No..............
Declined........50................ Substance abuse Yes.............
referral.
No..............
Declined........51................ Incarceration... Yes.............
No..............
Declined........52................ Children........ Yes.............
No..............
Declined........53................ Marriage at Yes.............
child's birth.
No..............
Not applicable..
Declined........54................ Medicaid........ Yes.............
No..............
Don't know......
Declined........55................ Other health Yes............. Baseline and
insurance. follow-up
population.
No..............
Don't know......
Declined........56................ Health insurance Yes.............
type--medical.
No..............
Don't know......
Not Applicable..
Declined........57................ Health insurance Yes.............
type--mental
health.
No..............
Don't know......
Not applicable..
Declined........58................ Health insurance Yes.
type--prescript No..............
ion drugs. Don't know......
Not applicable..
Declined........------------------------------------------------------------------------ [77 FR 952, Jan. 6, 2012]
Sec. Appendix B to Part 1356--NYTD Youth Outcome Survey ------------------------------------------------------------------------
Question to youth
Topic/element No. and response Definition
options------------------------------------------------------------------------
INFORMATION TO COLLECT FROM ALL YOUTH SURVEYED FOR OUTCOMES, WHETHER IN
FOSTER CARE OR NOT------------------------------------------------------------------------Current full-time employment Currently are you ``Full-time'' means
(37). employed full- working at least 35
time? hours per week at
one or multiple
jobs.
_Yes
_No
_DeclinedCurrent part-time employment Currently are you ``Part-time'' means
(38). employed part- working at least 1-
time? 34 hours per week at
one or multiple
jobs.
_Yes
_No
_DeclinedEmployment-related skills (39) In the past year, This means
did you complete apprenticeships,
an internships, or
apprenticeship, other on-the-job
internship, or trainings, either
other on-the-job paid or unpaid, that
training, either helped the youth
paid or unpaid? acquire employment-
_Yes related skills
_No (which can include
_Declined specific trade
skills such as
carpentry or auto
mechanics, or office
skills such as word
processing or use of
office equipment).Social Security (40).......... Currently are you These are payments
receiving social from the government
security to meet basic needs
payments for food, clothing,
(Supplemental and shelter of a
Security Income person with a
(SSI, Social disability. A youth
Security may be receiving
Disability these payments
Insurance because of a parent
(SSDI), or or guardian's
dependents' disability, rather
payments)? than his/her own.
_Yes
_No
_DeclinedEducational Aid (41).......... Currently are you Scholarships, grants,
using a and stipends are
scholarship, funds awarded for
grant, stipend, spending on expenses
student loan, related to gaining
voucher, or an education.
other type of ``Student loan''
educational means a government-
financial aid to guaranteed, low-
cover any interest loan for
educational students in post-
expenses? secondary education.
_Yes
_No
_DeclinedOther financial support (45).. Currently are you This means periodic
receiving any and/or significant
periodic and/or financial support
significant from a spouse or
financial family member
resources or (biological, foster
support from or adoptive), child
another source support that the
not previously youth receives or
indicated and funds from a legal
excluding paid settlement. This
employment? does not include
_Yes occasional gifts,
_No such as birthday or
_Declined graduation checks or
small donations of
food or personal
incidentals, child
care subsidies,
child support for a
youth's child or
other financial help
that does not
benefit the youth
directly in
supporting himself
or herself.
Highest educational What is the ``Vocational
certification received (46). highest certificate'' means
educational a document stating
degree or that a person has
certification received education
that you have or training that
received? qualifies him or her
_High school for a particular
diploma/GED job, e.g., auto
_Vocational mechanics or
certificate cosmetology.
_Vocational ``Vocational
license license'' means a
_Associate's document that
degree (e.g., indicates that the
A.A.) State or local
_Bachelor's government
degree (e.g., recognizes an
B.A. or B.S.) individual as a
_Higher degree qualified
_None of the professional in a
above particular trade or
_Declined business. An
Associate's degree
is generally a two-
year degree from a
community college,
and a Bachelor's
degree is a four-
year degree from a
college or
university. ``Higher
degree'' indicates a
graduate degree,
such as a Masters or
Doctorate degree.
``None of the
above'' means that
the youth has not
received any of the
above educational
certifications.Current enrollment and Currently are you This means both
attendance (47). enrolled in and enrolled in and
attending high attending high
school, GED school, GED classes,
classes, post- or postsecondary
high school vocational training
vocational or college. A youth
training, or is still considered
college? enrolled in and
_Yes attending school if
_No the youth would
_Declined otherwise be
enrolled in and
attending a school
that is currently
out of session
(e.g., Spring break,
summer vacation,
etc.).Connection to adult (48)...... Currently is This refers to an
there at least adult who the youth
one adult in can go to for advice
your life, other or guidance when
than your there is a decision
caseworker, to to make or a problem
whom you can go to solve, or for
for advice or companionship to
emotional share personal
support? achievements. This
_Yes can include, but is
_No not limited to,
_Declined adult relatives,
parents or foster
parents. The
definition excludes
spouses, partners,
boyfriends or
girlfriends and
current caseworkers.
The adult must be
easily accessible to
the youth, either by
telephone or in
person.Homelessness (49)............. Have you ever ``Homeless'' means
been homeless? that the youth had
OR no regular or
_In the past two adequate place to
years, were you live. This includes
homeless at any living in a car, or
time? on the street, or
_Yes staying in a
_No homeless or other
_Declined temporary shelter.Substance abuse referral (50). Have you ever This includes either
referred self-referring or
yourself or has being referred by a
someone else social worker,
referred you for school staff,
an alcohol or physician, mental
drug abuse health worker,
assessment or foster parent, or
counseling? other adult for an
OR alcohol or drug
abuse assessment or
counseling. Alcohol
or drug abuse
assessment is a
process designed to
determine if someone
has a problem with
alcohol or drug use.
In the past two
years, did you
refer yourself,
or had someone
else referred
you for an
alcohol or drug
abuse assessment
or counseling?
_Yes
_No
_DeclinedIncarceration (51)............ Have you ever This means that the
been confined in youth was confined
a jail, prison, in a jail, prison,
correctional correctional
facility, or facility, or
juvenile or juvenile or
community community detention
detention facility in
facility, in connection with a
connection with crime (misdemeanor
allegedly or felony) allegedly
committing a committed by the
crime? youth.
OR
In the past two
years, were you
confined in a
jail, prison,
correctional
facility, or
juvenile or
community
detention
facility, in
connection with
allegedly
committing a
crime?
_Yes
_No
_DeclinedChildren (52)................. Have you ever This means giving
given birth or birth to or
fathered any fathering at least
children that one child that was
were born? born. If males do
OR not know, answer
``No.''
In the past two
years, did you
give birth to or
father any
children that
were born?
_Yes
_No
_DeclinedMarriage at Child's Birth (53) If you responded This means that when
yes to the every child was born
previous the youth was
question, were married to the other
you married to parent of the child.
the child's
other parent at
the time each
child was born?
_Yes
_No
_DeclinedMedicaid (54)................. Currently are you Medicaid (or the
on Medicaid [or State medical
use the name of assistance program)
the State's is a health
medical insurance program
assistance funded by the
program under government.
title XIX]?
_Yes
_No
_Don't know
_DeclinedOther Health insurance Currently do you ``Health insurance''
Coverage (55). have health means having a third
insurance, other party pay for all or
than Medicaid? part of health care.
_Yes Youth might have
_No health insurance
_Don't know such as group
_Declined coverage offered by
employers or
schools, or
individual policies
that cover medical
and/or mental health
care and/or
prescription drugs,
or youth might be
covered under
parents' insurance.
This also could
include access to
free health care
through a college,
Indian Tribe, or
other source.Health insurance type--medical Does your health This means that the
(56). insurance youth's health
coverage include insurance covers at
coverage for least some medical
medical services or
services? procedures. This
_Yes question is for only
_No those youth who
_Don't know responded ``yes'' to
_Not Applicable having health
_Declined insurance.Health insurance type--mental Does your health This means that the
health (57). insurance youth's health
include coverage insurance covers at
for mental least some mental
health services? health services.
_Yes This question is for
_No only those youth who
_Don't know responded ``yes'' to
Not Applicable having health
_Declined insurance with
medical coverage.Health insurance type-- Does your health This means that the
prescription drugs (58). insurance youth's health
include coverage insurance covers at
for prescription least some
drugs? prescription drugs.
_Yes This question is for
_No only those youth who
_Don't know responded ``yes'' to
_Declined having health
insurance with
medical coverage.------------------------------------------------------------------------ADDITIONAL OUTCOMES INFORMATION TO COLLECT FROM YOUTH OUT OF FOSTER CARE------------------------------------------------------------------------Public financial assistance Currently are you This refers to
(42). receiving ongoing welfare
ongoing welfare payments from the
payments from government to
the government support your basic
to support your needs. Do not
basic needs? consider payments or
[The State may subsidies for
add and/or specific purposes,
substitute the such as unemployment
name(s) of the insurance, child
State's welfare care subsidies,
program]. education
assistance, food
stamps or housing
assistance in this
category.
_Yes
_No
_DeclinedPublic food assistance (43)... Currently are you Public food
receiving public assistance includes
food assistance? food stamps, which
_Yes are government-
_No issued coupons or
_Declined debit cards that
recipients can use
to buy eligible food
at authorized
stores. Public food
assistance also
includes assistance
from the Women,
Infants and Children
(WIC) program.
Public housing assistance (44) Currently are you Public housing is
receiving any rental housing
sort of housing provided by the
assistance from government to keep
the government, rents affordable for
such as living eligible individuals
in public and families, and a
housing or housing voucher
receiving a allows participants
housing voucher? to choose their own
_Yes housing while the
_No government pays part
_Declined of the housing
costs. This does not
include payments
from the child
welfare agency for
room and board
payments.------------------------------------------------------------------------ [77 FR 952, Jan. 6, 2012] Sec. Appendix C to Part 1356--Calculating Sample Size for NYTD Follow-Up
Populations
1. Using Finite Population Correction
The Finite Population Correction (FPC) is applied when the sample is drawn from a population of one to 5,000 youth, because the sample is more than five percent of the population.[GRAPHIC] [TIFF OMITTED] TR26FE08.000
(Py)(Pn), an estimate of the percent of responses to a dichotomous variable, is (.50)(.50) for the most conservative estimate.[GRAPHIC] [TIFF OMITTED] TR26FE08.001
Acceptable level of error = .05 (results are plus or minus five percentage points from the actual score)
Z = 1.645 (90 percent confidence interval)
[GRAPHIC] [TIFF OMITTED] TR26FE08.002
N = number of youth from whom the sample is being drawn
2. Not Using Finite Population Correction
The FPC is not applied when the sample is drawn from a population of over 5,000 youth.[GRAPHIC] [TIFF OMITTED] TR26FE08.003 [73 FR 10372, Feb. 26, 2008]