ACYF-CB-PI-99-01

PLEASE NOTE: This policy issuance has been withdrawn in its entirety and should be used only for historical or reference purposes.

ACF Administration for Children and Families	U.S. DEPARTMENT OF HEALTH AND HUMAN SERVICES Administration for Children, Youth and Families
	1. Log No:ACYF-CB-PI-99-01	2. Issuance Date: January 27, 1999
	3. Originating Office: Children's Bureau
	4. Key Words: Adoption and Foster Care Analysis and Reporting System; OMB Directive No. 15; Data Collection on Race

PROGRAM INSTRUCTION

TO: State Agencies Administering or Supervising the Administration of Titles IV-B and IV-E of the Social Security Act.

SUBJECT: Adoption and Foster Care Analysis and Reporting System Collection of Race Information.

LEGAL AND RELATED REFERENCES: Section 479 of the Social Security Act; 45 CFR 1355.40; OMB Directive Number 15, "Race and Ethnic Standards for Federal Statistics and Administrative Reporting."

PURPOSE: The purpose of this Program Instruction (PI) is to provide information to States on required changes to the Adoption and Foster Care Analysis and Reporting System (AFCARS) collection of race data. These changes are being implemented in response to the Office of Management and Budget's (OMB) Federal Register Notice: "Revisions to the Standards for the Classification of Federal Data on Race and Ethnicity", 62 FR 58782, October 30, 1997. Additionally, clarification is being provided on the accurate usage of "unable to determine" for AFCARS reporting purposes.

BACKGROUND: Federal regulations at 45 CFR 1355.40, which implement section 479 of the Social Security Act (the Act), set forth the Adoption and Foster Care Analysis and Reporting System (AFCARS) requirements. The purpose of AFCARS is to collect uniform, reliable information on children who are under the placement and care responsibility of the State title IV-B/IV-E agency, and children adopted under the auspices of the State public child welfare agency. As of October 1, 1994, States were required to collect and submit AFCARS data semi-annually to the Administration for Children and Families (ACF).

On October 30, 1997, the Office of Management and Budget (OMB) published a notice in the Federal Register (62 FR 58782) announcing its decision concerning the revision of Statistical Policy Directive Number 15, Race and Ethnic Standards for Federal Statistics and Administrative Reporting. OMB's Statistical Policy standards provide a common language to promote uniformity and comparability of data on race and ethnicity for the population groups specified in Directive Number 15. The Department of Health and Human Services is required to meet these standards. The revised standards have five categories for data on race: American Indian or Alaskan Native, Asian, Black or African American, Native Hawaiian or Other Pacific Islander, and White. The new standards allow individuals to identify with more than one race. Also, there are two new categories for data on ethnicity: "Hispanic or Latino" and "Not Hispanic or Latino."

The AFCARS currently collects information on the race and ethnicity of children in foster care and those who have been adopted, foster parents, and adoptive parents. In order to meet the new OMB race standards, AFCARS race elements must be modified. At this time, the collection of racial information in AFCARS is a single response only. There are four race categories currently allowed in AFCARS: American Indian/Alaskan Native; Asian/Pacific Islander; Black; and White. The worker selects one race as reported to him/her, which is then submitted to AFCARS.

The current collection of "Hispanic origin" data in AFCARS is compliant with the new OMB standards for ethnicity. The only change being made is to the name of the category. The new name for the ethnicity category is "Hispanic or Latino Origin".

In addition to the race and ethnicity codes, AFCARS has the code "unable to determine" which is defined as: "The specific race category is "unable to determine" because the child is very young or is severely disabled and no person is available to identify the child's race [or Hispanic Origin]"¹. For adults, "unable to determine" is also a valid response and has the same definition that is used for a child². Because the definition given in the regulation for adults is the same as that for a child, this PI will clarify the appropriate circumstances under which "unable to determine" may be used for adults, as well as children.

INSTRUCTION: This section describes the changes which must be made to the AFCARS for the collection of race data. As of October 1, 1999, States are required to collect race information in the new format for AFCARS as described in paragraph "B". Beginning April 1, 2000, the Federal AFCAR system will accept data in the new format only.

Race Definitions

In accordance with the OMB directive, the revised categories and definitions for use in the collection of race data in AFCARS are as follows:
- American Indian or Alaskan Native: A person having origins in any of the original peoples of North or South America (including Central America), and who maintains tribal affiliation or community attachment.
- Asian: A person having 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.
- Black or African American: A person having origins in any of the black racial groups of Africa.
- Native Hawaiian or Other Pacific Islander: A person having origins in any of the original peoples of Hawaii, Guam, Samoa, or other Pacific Islands.
- White: A person having origins in any of the original peoples of Europe, the Middle East, or North Africa.
Data collection format, instructions and clarification.

The foster care elements affected by the revisions to race are:
- Element #8, Child's race;
- Element #52, Race of first foster caretaker; and,
- Element, #54, Race of second foster caretaker.
The adoption elements affected by the revisions are:
- Element #7, Child's race;
- Element #25, Adoptive Mother's race; and,
- Element #27, Adoptive Father's race.
1. Format and instructions.
  
  Each of the above listed elements will be formatted as follows (Note: the numbering of the elements in the foster care file or the adoption file has not changed; instead, the letters a-f will be added to each of the race elements. Technical Bulletin No. 2 (Revised and attached), provides information on the requirements for the new and expanded race file format.):
  1. American Indian or Alaskan Native
  2. Asian
  3. Black or African American
  4. Native Hawaiian or Other Pacific Islander
  5. White
  6. Unable to Determine
  Indicate all races (a-e) that apply with a "1". For those that do not apply, indicate "0."
  
  Indicate f. unable to determine" with a "1" if it applies and a "0" if it does not.
2. Additional Information and Clarification.
  1. The Children's Bureau recommends that caseworkers ask children (if age appropriate) and adults to identify all the racial categories that apply. This is consistent with existing Children's Bureau's guidance and with the OMB Directive. We believe that self-identification or self-reporting is the preferred method of gathering information on race.
  2. A State may have categories for race in addition to the ones required by AFCARS; however, the additional categories must be mapped and extracted to the AFCARS categories.
  3. The Children's Bureau has identified a high percentage of children and adults whose race and/or Hispanic origin was incorrectly reported as "unable to determine." Additionally, during AFCARS pilot reviews the Children's Bureau has found that States were inappropriately mapping/defaulting missing racial and/or Hispanic origin information to "unable to determine." States that use "unable to determine" for the race and/or ethnicity elements because the information is missing must make changes to their programming to be in compliance with the AFCARS requirements. When data is missing or not known due to a worker not asking an individual for racial or Hispanic origin information, the response should be left blank.
  The following clarifies those instances when the code "unable to determine" may be used:
  - When a child is very young or is severely disabled and no person is available to identify the child's race or Hispanic ethnicity (as in the case of abandonment);
  - When an adult or child (if age appropriate) refuses to identify his or her race or Hispanic origin;
  - When a parent, relative or guardian refuses to identify the child's race or Hispanic origin.
Edit checks

The race data submitted will be evaluated to determine the internal consistency of the data. The results of this evaluation will determine compliance. Changes in the edit check(s) will be made to review all possible race combinations. The edit checks for a valid response will be performed as follows:
1. At least one of the race categories from "a-e" is selected (coded as "1") and "f" is coded as "0".
2. None of the race categories from "a-e" is selected (coded as "0") and "f" is coded as "1".
3. A combination of a "1" in any category "a-e" and a "1" in "f" will result in an error.
Compliance

Compliance with the race elements will be determined based on a selection of "applies" for at least one of the categories (a through f) for each race element. Responses to foster care and adoption race elements must meet a 90% level of tolerance to be compliant.
Existing data on race

For individuals who are currently coded for AFCARS purposes as "Asian/Pacific Islander", the State will need to take the appropriate actions to update this information. If the State collects this information as separate categories, then the programming code needs to be changed only for extraction purposes. If these are currently combined fields in the State's database, then the workers will need to ask the individuals their race, if it is unknown.

The Children's Bureau is not requiring States to update the remaining race data records for persons currently in their database.
Changes to the Federal AFCAR System

In order to implement the changes to the race elements in the Federal AFCAR system, the system will not receive State submissions from April 1, 2000 to April 14, 2000. The AFCARS data for the report period October 1, 1999 through March 31, 2000 is still due by May 15, 2000.

EFFECTIVE DATE: October 1, 1999

/s/ Patricia Montoya
Commissioner
Administration for Children, Youth and Families

Endnotes:
¹45 CFR 1355 Appendix A, Section II.II. C.1 and 2; Appendix B, Section II.II.C.1, Section II.VI.C
²45 CFR 1355 Appendix A, Section II.IX.C; Appendix B, Section II.VI.C.

Attachment: Technical Bulletin #2