OFFICE OF COMMUNITY SERVICES

DIVISION OF TRIBAL SERVICES

TANF Guidance

PART B: TRIBAL TANF PLAN CONTENT AND PROCESS



PLAN CONTENT

ACF does not intend to issue a TANF plan preprint.  A Tribe may use whatever structure it prefers as long as all necessary elements of the plan are included.  The contents of a Tribal TANF plan must include all the elements delineated at Section 412(b) of title IV-A of the Act, as amended by Pub.L. 104-193 and cover a three year period.

Although a specific format is not required, we ask that a Tribal TANF plan address each of the following elements under clearly marked headings.  We also ask that all plan pages be numbered.

Under section 412(b) of the Act the Tribal TANF plan must do the following:
>   Outline the Indian tribe's approach to providing welfare-related services;

>    Specify whether the welfare-related services will be provided directly by the Tribe or through agreements, contracts or compacts with intertribal consortia, States, or other entities;

>   Identify the population and service area to be served;

>    Provide that families receiving assistance under the Tribal plan may not receive duplicative assistance from a State or other Tribe;

>   Identify the employment opportunities in or near the service area and the manner in which the Tribe will cooperate and enhance such opportunities for recipients consistent with any applicable State standards; and

>    Apply the fiscal accountability provisions of section 5(f)(1) of the Indian Self-Determination Act (25 U.S.C. 450c(f)(1)), relating to the submission of a single-State agency audit report.

Section 412(c) of the statute requires the Secretary, with the participation of Tribes, to establish for each Tribal grantee:

>    minimum work participation requirements;

>    appropriate time limits for the receipt of welfare-related services; and

>    penalties against individuals.

ACF has begun soliciting input from Indian tribes and other stakeholders as to a process for establishing these elements for each grantee.  Although Tribal TANF plans may have to be revised when a final process is established, in the interim we suggest the Tribal TANF plan contain a Tribal proposal for each of these elements.

We offer the following guidance to address all of the elements listed above.

OUTLINE THE APPROACH TO PROVISION OF WELFARE-RELATED SERVICES

The TANF program is about work, responsibility and self-sufficiency for families.  The Tribal TANF plan should identify the Tribe's goals in relation to work and self-sufficiency for families and how these goals will be met by the Tribal program. Successful program outcomes and what results will be measured should be considered for inclusion in the plan.

We ask that the plan include a statement indicating how Tribal members and others were involved in designing the TANF program and whether the public was given an opportunity to review and comment on the Tribal TANF plan.  ACF suggests the Indian tribe make the plan available to Tribal members and other interested parties for review and comment prior to the submission of the plan to ACF.

The plan must address how "needy families" will be defined.  This includes a description of which family members will be included in the TANF assistance unit, as well as the Tribe's definition of either "Indian family" or "Tribal member family".  In addition, a description of the income and resource levels which will qualify a family for assistance must be included.

The plan must describe what assistance and services, including supportive services and child care, will be provided to needy families.  Whether the assistance and services will be provided through cash, in-kind, vouchers, or through a combination must be indicated in the plan.  Also, the plan needs to describe whether assistance and services will be provided and for how long to families who are working, and for those who are no longer eligible for Tribal TANF assistance because of a mix of earned and unearned income (i.e, child support payments).

The plan must outline how the privacy of families will be protected.  In addition, the process available to applicants and recipients to challenge decisions must be described in the plan.

Included with the plan should be a Tribal resolution and the certifications that can be found at attachment 3.

SPECIFY WHETHER THE WELFARE-RELATED SERVICES WILL BE PROVIDED DIRECTLY BY THE TRIBE OR THROUGH AGREEMENT, CONTRACTS OR COMPACTS

The Tribal TANF plan must indicate how the various welfare-related services will be provided: through the Tribe itself; a consortium of Tribes; or some other entity.  If services will be provided by other entities, the plan should describe if this will be accomplished through agreements, contracts, or compacts.

We ask that the name of the Tribal agency or department that will be responsible for the administration of the Tribe's TANF program be provided in the plan.  In addition, we suggest a brief discussion of the administrative structure of this unit, as well as the administrative systems that will be in place to provide and track welfare-related services, be included here.

IDENTIFY THE POPULATION AND SERVICE AREA TO BE SERVED

Section 412(b)(1)(C) indicates that a Tribal TANF plan must identify the Tribal TANF service population and service area. The statute does not explicitly define service area or population.  ACF is soliciting input from Indian tribes and other stakeholders as to how service area and population should be defined in regulation.

Until such time as the regulations are published, a Tribal TANF plan should define the Tribe's proposed TANF service area and the population eligible to receive welfare-related services from the Tribe.

PROVIDE THAT FAMILIES RECEIVING ASSISTANCE UNDER THE TRIBAL PLAN MAY NOT RECEIVE DUPLICATIVE ASSISTANCE FROM A STATE OR OTHER TRIBE

The Tribal TANF plan must provide that a family receiving assistance under the plan may not receive duplicative assistance from other State or Tribal programs funded under title IV-A of the Social Security Act, as amended. Thus, an individual receiving assistance from a Tribal TANF program may not receive assistance from another TANF program.

We recommend the plan include a description of the mechanisms the Tribe will use to assure that duplicative assistance is not given by the Tribe or received by those being served by the Tribe.

IDENTIFY THE EMPLOYMENT OPPORTUNITIES IN OR NEAR THE SERVICE AREA AND THE MANNER IN WHICH THE TRIBE WILL COOPERATE AND ENHANCE SUCH OPPORTUNITIES FOR RECIPIENTS CONSISTENT WITH ANY APPLICABLE STATE STANDARDS

The Tribal TANF plan must describe the employment opportunities in and near the Tribe's service area.  In addition, the plan must describe how the Tribe will cooperate to enhance such opportunities for TANF recipients.

APPLY THE FISCAL ACCOUNTABILITY PROVISIONS OF SECTION 5(F)(1) OR THE INDIAN SELF-DETERMINATION ACT, RELATING TO THE SUBMISSION OF A SINGLE-STATE AGENCY AUDIT REPORT

The Tribe must certify that it will apply the fiscal accountability provisions of section 5(f)(1) of the Indian Self-Determination and Education Assistance Act (25 U.S.C. 450c(f)(1)), relating to the submission of a single-agency audit report required by chapter 75 of title 31, United States Code.

MINUMUM WORK PARTICIPATION REQUIREMENTS

The promotion of work is a primary focus of PRWORA.  Section 407 of title IV-A of the Act, as amended, sets forth mandatory work requirements for State TANF programs.  Although Tribal TANF programs will not be subject to the exact same work requirements as specified in section 407, section 412(c) of title IV-A of the Act, as amended, does require minimum work participation requirements to be established for each Tribal TANF grantee.

As mentioned earlier in this document, a final process for establishing minimum work participation requirements and possible standards for Indian tribes has yet to be established.  In the interim, the Tribal TANF plan should indicate what the Tribe proposes for minimum work participation requirements.  The proposal must include, for both one-parent and two-parent families, a work participation rate; the number of hours of weekly participation that will be required; allowable work activities; and any limitations and special rules related to the proposed work requirements.

The rationale for each of these elements of the proposal needs to be included in the plan.  For a Tribal TANF program, minimum work participation requirements must be consistent with the purposes of the TANF program; consistent with the economic conditions and resources available to the Tribe; and similar to comparable provisions of the Act which apply to States.  Thus, the plan needs to explain how the Tribe's proposed minimum work participation requirements meet these conditions.

Since the Tribe's proposal for minimum work participation requirements must be comparable to the provisions applicable to the States, the following synopsis of the minimum work participation requirements that must be met by the States is provided.  Section 407(a) of title IV-A of the Act, as amended, requires from 25% (FY 1997) to 50% (2002 and thereafter) of all families, and 75% (FY 1997) to 90% (FY 1999 and thereafter) of two-parent families receiving assistance, to be engaged in specified work activities.

In addition, individuals must be participating in the work activities for a minimum number of hours; 20 (FY 1997) hours per week minimum to 30 (FY 2000 and thereafter) hours per week minimum for all families and 30 (FY 1997 and thereafter) hours per week minimum for two-parent families, with exceptions.

Section 407(d), as amended, defines allowable work activities as unsubsidized or subsidized (public or private) employment; work experience if employment is not available; on-the-job training; job search and job readiness assistance; community service programs; providing child care for participants engaged in community service; vocational training for no more than 12 cumulative months; job skills training directly related to employment; education directly related to employment for those who have not received a high school diploma or GED; and high school or equivalency for those 17 and younger.  Limits apply to vocational education and teen parents.

TIME LIMITS

Section 408(a)(7) provides that a State may not use Federal funds to provide assistance to any family that includes an adult who has received assistance for 60 months (whether or not consecutive) under any State program funded under title IV-A of the Act, as amended by Pub.L. 104-193.  Up to 20% of the caseload may be exempted due to hardship.  Limited transitional services may be made available after time limits have been reached.  Under section 408(a)(7)(D), time during which assistance is received while residing in certain qualifying areas of Indian Country or Alaska Native villages would not count towards the 60 month lifetime limit.  This provision is applicable to both State and Tribal TANF programs.

As previously stated, a final process for establishing time limits and possible standards for Indian tribes has not been established.  Until then, the Tribal TANF plan should include the Tribe's proposal for time limits for the receipt of welfare-related services and the rationale for this proposal.  The Tribal proposal should describe any exceptions from the time limits due to hardship. If exceptions are provided, then the proposal should indicate what percentage of the caseload the Tribe proposes to exempt and the proposed definition of hardship.

The plan must explain how the proposed time limits are consistent with the purposes of the TANF program and with the economic conditions and resources available to the Tribe.

PENALTIES AGAINST INDIVIDUALS

Section 407(e) provides that the State must reduce either by a pro rata amount, or more at the State's option, the amount of assistance payable to the family, or terminate assistance if the parent/caretaker refuses to engage in work activity without good cause (as defined by the State).  Section 412(c)(3) of the Act requires penalties against individuals, which are similar to comparable provisions in section 407(e), be established for each Tribal TANF grantee.

As mentioned earlier in this document, a final process for establishing penalties against individuals and possible standards for Indian tribes has yet to be finalized.  Until then, the Tribal TANF plan should include the Tribe's proposal for its policies in relation to sanctioning those individuals who refuse to engage in work activities.  This includes how the Tribe defines "good cause" and how the Tribe will provide notice of adverse actions and what will be the TANF recipient's appeal rights.  These proposals need to be consistent with the purposes of TANF; consistent with the economic conditions and resources available to the Tribe; and similar to comparable provisions in section 407(e).

PLAN PROCESS

According to the statute, an Indian tribe is eligible to implement a TANF program no earlier than July 1, 1997, after the submission and approval of a Tribal TANF plan.  There is no closing date for initiation of a Tribal TANF program.  This flexibility allows every Tribe the opportunity for sufficient planning and to see how State TANF programs operate and function.

A Tribe will be able to implement a Tribal TANF program on the first day of any month.  Plans need to be submitted according to the table below to allow adequate time for the review, negotiation and approval process.

Adequate time is also needed to request the data needed to determine the amount of the Tribal TANF grant; resolve any issues concerning the data; and to satisfy the requirement at section 405(b) of the Act which requires that a State be notified of the amount of any reduction in its TANF grant due to a Tribal TANF grant.  The notification to the State must be made 3 months prior to the issuance of the State's quarterly grant award installment. To accomplish these tasks, we ask a Tribe to submit a letter of intent prior to the submission of a formal plan in accordance with the table below.

The letter of intent will allow us to request the necessary data from the State without a formal plan submittal.  The letter of intent should indicate the proposed Tribal TANF implementation date and the proposed service area and population.  It is important to clearly identify the proposed service area and population in the letter of intent for purposes of requesting the necessary data from the State.  Any subsequent changes in the service area and/or population before the Tribal TANF plan is approved may necessitate recalculation of the Tribal TANF grant. Tribes that have requested, received and agreed with the data from the State will not be required to submit a letter of intent.

Tribes who wish to implement a TANF program on other than the first day of a calendar quarter, i.e., January 1, April 1, July 1 or October 1, will need to submit both its letter of intent and its plan as if the proposed implementation date was the first day of a calendar quarter.  The following table illustrates, based on implementation dates, when letters of intent and formal plans need to be submitted in order for us to meet the statutory requirement for notification to the State.

Tribes should follow the timeframes in the following table to determine when Tribal TANF plans and letters are due.

If proposed implementation date is:	the letter of intent is due:	the formal plan is due:	and we will notify the State:
January 1, February 1 or March 1	July 1 of previous year	September 1 of previous year	prior to October 1 of previous year
April 1, May 1 or June 1	October 1 of previous year	December 1 of previous year	prior to January 1 of same year
July 1, August 1 or September 1	January 1 of same year	March 1 of same year	prior to April 1 of same year
October 1, November 1 or December 1	April 1 of same year	June 1 of same year	prior to July 1 of same year

It is important that the Tribal TANF plan submittal indicate the date the Tribe wishes to implement the program.

The original Tribal TANF plan must be submitted to the appropriate ACF Regional Official (see Attachment 1 for names and addresses).  In addition, one copy of the Tribal TANF plan must be submitted to:

   Administration for Children & Families
   Office of Community Services
   Division of Tribal Services
   370 L'Enfant Promenade, S.W. - 5th floor
   Washington, D.C. 20447

The Regional Official will notify the Indian tribe to confirm receipt and begin the review process.  A cover letter attached to the plan should identify a contact person (name, position and telephone number) whom ACF staff may call if additional information or clarification is needed.  After the initial review of the plan, a conference call will be scheduled between the Tribe and ACF to discuss any outstanding issues.  Every effort will be made to complete the review process and resolve any issues as quickly as possible.

INQUIRIES

Inquiries should be addressed to the appropriate Regional Official, Administration for Children and Families (see Attachment 1).  Information about all Tribal and State plans will be posted on the ACF Internet home page (http://www.acf.dhhs.gov).

PAPERWORK REDUCTION ACT of 1995

Under the Paperwork Reduction Act of 1995 (Pub.L. 104-13), the Department is required to submit to the Office of Management and Budget (OMB) for review and approval any reporting and recordkeeping requirements or information collection.

The information in the Tribal TANF plan is collected in accordance with section 412 of the Social Security Act, as amended.  Information received in the Tribal plans sets forth how the Tribal TANF program will be administered and operated in the Tribal service area.  ACF will use the information to review and approve Tribal TANF plans.  The information collected is mandatory in accordance with the above-mentioned citation.

The response burden for this collection of information is estimated to be 60 hours per response, including the time for reviewing the statute, gathering and preparing the information, and reviewing the information.  An agency may not conduct or sponsor, and a person is not required to respond to, a collection of information unless it displays a currently valid OMB control number.

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

PART A: INTRODUCTION

Background
TANF Program
Tribal TANF Eligibility

PART C: PROGRAM INFORMATION AND CONSIDERATIONS

Tribal TANF Funding
Data Collection and Reporting Requirements
Cash Assistance Program
Coordination with the State
Penalties
Nondiscrimination Provisions
Tribal TANF Program Timeline

PART D: DATA COLLECTION AND REPORTING REQUIREMENTS

ATTACHMENT 1

ACF Regional Officials: Names and Addresses

ATTACHMENT 2

Section 412: Direct Funding and Administration by Indian Tribes
Section 419(a): Definitions

ATTACHMENT 3 - Certifications

Certifications

For further information, write:

Feedback: jbushman@acf.dhhs.gov

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