OMB Control No. 0970-0174
Expiration Date: 3/31/2002

Public Law 104-193, the Personal Responsibility and Work Opportunity Reconciliation Act of 1996 (PRWORA), changed the current welfare system and permitted Indian tribes and Alaska Native organizations that operated a Tribal Job Opportunities and Basic Skills Training (JOBS) Program in fiscal year (FY) 1995 to receive funding for a new tribal work activities program. We named the work activities program the Native Employment Works (NEW) Program. Indian tribes and Alaska Native organizations that are eligible for NEW Program grants are referred to as the "eligible tribes".

The NEW Program began on July 1, 1997. PRWORA authorized continued payment of $7,633,287 to eligible tribes for each of FYs from 1997 to 2002. An eligible tribe's grant for each FY is equal to the amount of the Tribal JOBS grant the tribe received in FY 1994.

This program plan guidance document explains the information needed to complete the NEW program plan and the process for plan submission for NEW program years starting July 1, 2001. This document is issued under transmittal number NEW-ACF-PI-01-02. This document supersedes the Native Employment Works Program Abbreviated Preprint (OMB number 0970-0158) issued under transmittal number NEW-ACF-PI-97-1 dated July 17, 1997, and the NEW program plan guidance issued under transmittal number NEW-ACF-PI-98-1.

The program year for the NEW Program is July 1 - June 30. Each NEW program plan covers a three-year cycle. This NEW program plan guidance covers NEW renewal plans to be prepared and submitted for the three-year period starting July 1, 2001.

NEW Program grantees should submit a plan as soon as possible to continue the NEW Program in program years 2001-2002, 2002-2003, and 2003-2004. Applicants should make every effort to submit these renewal plans by June 8, 2001.

The plan may be amended at any time should the tribe wish to modify or revise any aspect of its NEW program. Proposed changes should be submitted to the Administration for Children and Families (ACF) for approval 45 days prior to implementation.

The original NEW plan must be submitted to the appropriate ACF regional office (information attached). In addition, one copy of the NEW plan must be submitted to:

Administration for Children and Families/DHHS
Office of Community Services
Division of Tribal Services, Attention: NEW Team
370 L'Enfant Promenade, SW
5th Floor, WestWashington, DC 20447

After initial review of the plan, a conference call will be scheduled, if needed, between the tribe and ACF to discuss any significant outstanding issues. Every effort will be made to complete the review process within 45 days and resolve any issues as quickly as possible.

Approved plans will become effective on July 1, 2001, or thereafter on the date of approval. A letter of approval will be issued by the regional office.

Inquiries should be addressed to the appropriate regional official, ACF.

Grantees that have a 102-477 plan in effect do not need to submit a separate NEW plan. Where an eligible tribe includes the NEW Program as part of its 102-477 demonstration project, information regarding the NEW Program will be reviewed and approved through the 102-477 plan review process administered by the Bureau of Indian Affairs (BIA). When a 102-477 plan is newly submitted to BIA, it should contain any appropriate changes related to NEW work activities and supportive services.

Under the Paperwork Reduction Act of 1995 (Public Law 104-13), the Department is required to submit to the Office of Management and Budget (OMB) for review and approval any reporting and record keeping requirements or information collection. An agency may not conduct or sponsor, and a person is not required to respond to a collection of information unless it displays a current valid OMB control number.

The information in the NEW Program is collected in accordance with section 412 of the Social Security Act, as amended. Information received in the NEW plans sets forth how the NEW Program will be administered and operated in the tribal service area.

Public reporting burden for collection of information related to submission of a 3-year program plan is estimated to average 40 hours per response. The calculation of reporting burden includes time for reviewing the instructions, gathering and maintaining the data needed, and reviewing the collection of information.

This information is not considered confidential. Therefore, no additional safeguards are considered necessary beyond that customarily applied to routine government information.

PART 1 - ADMINISTRATION

The Native Employment Works Program is limited under section 412(a)(2) of the Social Security Act, as amended by PRWORA, to the Tribal JOBS grantees that were operating programs FY 1995.

List the tribal governmental agency to be responsible for administering NEW. A contact person (name, position, telephone and fax numbers, and e-mail address) whom ACF staff may contact if additional information or clarification is needed must be identified.

The plan must define the tribal service area in which the NEW Program will be operated and the service population to be served. If the designated service area for the NEW Program is different from the tribe’s Bureau of Indian Affairs (BIA) designated service area, the plan must provide an explanation (per 45 CFR 287.110(a)).

The NEW plan should describe the process for coordination between the NEW Program and other agencies or organizations. The description should indicate if coordination activities occur as a result of agreements, contracts, compacts, or informal arrangements, and explain the benefits of coordination for NEW clients.

A. The plan should provide a description of the working relationships with the following agencies, programs, and systems:

• The tribal agencies responsible for job training and education programs/systems such as JTPA, Workforce Investment, Welfare-to-Work (W2W), Tribal Work Experience (TWEP)/ BIA, Office of Indian Education/DoEd;
• The state employment office;
• One - stop centers;
• TANF agencies (both tribal and state, as appropriate), including information about referrals, changes in client status and services, participation in work
• The BIA General Assistance Program;
• Child care services and Head Start agencies;
• Existing formal advisory councils, such as private industry councils, economic development agencies, and Tribal Employment Rights Offices, for the purpose of identifying and obtaining advice on the types of employment available or likely to be available within a reasonable commuting distance from the tribe or organization's service area or boundaries.

The NEW grantee should provide a summary of the coordination activities with each agency. However, where interaction occurs between the NEW Program and an association of agencies that also provide services within the NEW Program service area, it is appropriate to describe coordination activities with the association of agencies.

B. For each agency or association of agencies with which the NEW program coordinates, describe coordination activities in terms of:

• Information and material the agencies exchange (policy memoranda, eligibility lists, etc.);
• Type of agreement that authorizes and describes the working relationship between the agencies (informal agreements, contracts, etc.) (the plan must provide detailed information regarding contracts and agreements as requested in the "Contracts and Agreements" section below);
• Forum or medium through which exchange of information between the agencies occurs (formal meetings of staff workers and supervisors; electronic data transmissions, etc);
• Benefits to NEW participants of coordination activities (direct: cash assistance, family counseling, etc.; indirect: identification of sources of employment, child care, etc.).

C. In describing coordination activities with TANF agencies, the plan should indicate whether the state accepts NEW work activities toward fulfillment of state work participation rates.

The NEW Program grantee should also indicate if the NEW Program has sufficient funds to provide work activities and services to all referrals from the state who are within the tribe’s service population. If funds are insufficient, explain the agreement with the state regarding serving NEW clients when NEW funds are depleted.

The NEW plan should describe the contractual relationships existing between the tribal grantee and any tribal/state TANF agency, and any intertribal or interorganizational agency.

Provisions of contracts and agreements that delineate responsibilities for NEW program administration and delivery of services should be provided. The purpose of this information is to ensure that interrelated program functions are effectively performed.

The plan should include the name of the organizational entity responsible for coordination of the responsibilities and program functions.

Standards of accountability for program performance are an important aspect of all federal programs. The Government Performance and Results Act (GPRA) requires that all federal agencies establish measures of program performance to insure that federal funds are spent effectively.

The tribe should identify program goals in relation to work and self-sufficiency and describe how these goals will be met by the tribal program. The tribe is encouraged to develop its own standards. No specific methodology is required, except that the standards should take into account the special circumstances of the individual tribal grantee.

In developing standards for its program, the tribe should consider the goals and strategies around which its plan is designed. A clear statement of the goals, strategies, and outcomes must be included in the tribe's plan.

There must be at least two standards or measures of program performance proposed by the tribe. These standards must be measurable, outcome based, consistent with the tribe's NEW plan, and supported by a discussion of the reasons for their use. The success in achieving projected program outcomes will be reported on the annual NEW program report.

Following are some suggested standards based on the outcomes achieved by individual participants as well as those leaving the tribe's program:

• The plan may propose standards which indicate the number of participants a tribe anticipates will achieve specified outcomes, such as the number of participants the tribe expects to place in unsubsidized jobs, or the standards may be expressed in terms of a percentage of participants expected to achieve an outcome, such as the percentage of NEW participants the tribe expects to place in jobs.
• The program's standards may be based on its prior performance or on the economic conditions which program participants face in the labor market area served by the tribe's program. Different standards may be set for different categories of participants (for example, those receiving assistance or for youth). Separate standards may also be set on the basis of the type of services provided, such as standards for those participants receiving only direct placement or supportive services, or standards for those participants receiving intensive educational or training services.
• Standards may include the recruitment of employees and the development of job skills for particular employers, such as a tribal enterprise.
• Standards may include ones related to the training of entrepreneurs or managers for tribal or individual Indian-owned businesses.
• Standards may include job creation, economic development initiatives, or the development and implementation of a particular project, such as the development and staffing of a child care center.

Section 412(a)(2)(C) of the Social Security Act, as amended, states, "Each Indian tribe to which a grant is made... shall use the grant for the purpose of operating a program to make work activities available to such population and such service areas... as the tribe specifies." The plan must provide measurable criteria for determining eligibility for services, including work activities.

PRWORA freezes tribal allocations at the amount of the Tribal JOBS grants provided to eligible Tribes in FY 1994. Consequently, resources are limited and these limitations may restrict the program's scope. Because of limited resources, and the possibility of demand for services exceeding these resources, the plan should explain the process for moving from an eligibility status to a participating status.

The NEW plan should describe a planned outreach approach and case management procedure.

The plan must include criteria for establishing priorities for active participation in NEW. Under NEW, the tribe will be responsible for defining client eligibility and determining which group of clients will have priority service. Do you plan to have any target groups? If so, please list. Will there be any prioritization of clients? If so, please describe the process.

The plan must indicate that an individual or family engaged in a work activities program under this plan should not receive duplicative services from other state or tribal programs funded under title IV-A of the Social Security Act, as amended.

Individuals eligible for Temporary Assistance for Needy Families (TANF) should be referred to the appropriate TANF agency whether or not they are wait listed for NEW Program services.

Describe the work activities that will be provided. In addition, there must be an indication of the sources of each of these activities, i.e., the plan must list which activities are to be provided by the administering agency and which are provided by another agency or organization. If the activities are provided by entities other than the tribe, indicate if they are provided under a purchase agreement or at no charge (non-reimbursable).

The thrust of this program is to establish a self-reliant population. A crucial issue to the success of the program is how opportunities for self-reliant activities and employment on or near the reservation will be identified. This issue must be addressed in the plan.

The plan should describe the supportive and job retention services that will be available to clients in the program, as well as the sources of these services. If the services are provided by entities other than the tribe, indicate if they are provided under a purchase agreement or at no charge (non-reimbursable).

PART 5 - PROGRAM OVERSIGHT

The plan must indicate the internal controls that will be implemented to insure the program: achieves its goals; provides the best possible options for the clients to achieve self-sufficiency and work; and prevents fraud, abuse, and misuse of program funds.

PART 6 - CERTIFICATIONS

Certifications are required regarding: 1. debarment, suspension, and other responsibility matters; 2. drug free workplace requirements; 3. tobacco smoke; and 4. assurances - non construction programs. These documents must be signed by the tribal chair.

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revised May 5, 2004