Office
of Family Assistance Division
of Tribal TANF Management
OMB Control No.:
0970-0157
Expiration Date: 06/30/2004
Guidance
for the Tribal Temporary Assistance for Needy Families Program
Department of Health and Human Services Administration for
Children and Families
370 L'Enfant Promenade, S.W., Washington, D.C.20447
Revised: June 2001
On August 22, 1996, Public Law 104-193, the "Personal
Responsibility and Work Opportunity Reconciliation Act of 1996" was signed
into law. Public Law 104-193 contains nine titles and is comprehensive in its
effect on federal programs. Title I amends title IV-A of the Social Security
Act (the Act) and creates the Temporary Assistance for Needy Families (TANF)
program. Title II creates revised eligibility standards for Supplemental
Security Income (SSI). Title III makes changes to title IV-D of the Act to
increase child support requirements on States and recipients, and make direct
funding available to Indian tribes. Title IV establishes new restrictions on
receipt of welfare and public benefits for non-citizens. Title V retains
current law for titles IV-E and IV-B of the Act. Title VI consolidates the
funding of the title IV-A child care programs with the Child Care Development
Block Grant (CCDBG)into the Child Care Development Fund (CCDF). Title VII
restructures several provisions of the School Nutrition Program. Title VIII
retains the open entitlement structure of the Food Stamp Program, increases
state flexibility and adds new work requirements. Title IX contains several
miscellaneous provisions.
Public Law 105-33, the Balanced Budget Act
of 1997, made some additional changes to title IV-A of the Social Security Act.
Implementing regulations for Tribal TANF are 45 CFR Part 286 and were published
in the Federal Register on February 18, 2000 (65 FR 6477). These final rules took effect June 19, 2000. This document reflects pertinent changes.
The purpose of this document, "Tribal
Guidance for the Temporary Assistance for Needy Families Program", is to
provide program information, TANF plan content guidance, and a suggested plan
outline for an application under title I, direct funding and administration of
the TANF program by Indian tribes. Complete requirements of Tribal TANF
applications are found in the Tribal TANF final regulations at 45 CFR Part 286.
TANF PROGRAM
Title I of Pub.L. 104-193 amends part A of
title IV of the Social Security Act by replacing the Aid to Families with
Dependent Children (AFDC) program, the Job Opportunities and Basic Skills
Training (JOBS) program and the Emergency Assistance (EA) program with the
Temporary Assistance for Needy Families (TANF) program. Under the part A of
title IV of the Social Security Act, open ended funding and guaranteed
individual entitlement to public assistance have been repealed. TANF gives both
States and Federally recognized Indian tribes flexibility in the design of
welfare programs which promote work and responsibility and strengthen families.
The purpose of the law is to support programs designed to provide assistance to
needy families so that children may be cared for in their own homes or in the
homes of relatives; reduce dependency on public benefits by promoting job
preparation, work, and marriage; prevent and reduce the incidence of
out-of-wedlock pregnancies; and encourage the formation and maintenance of
two-parent families. Thus, the legislation provides both challenges and
opportunities to help needy families.
TRIBAL TANF
ELIGIBILITY
Federally recognized Indian tribes are
eligible to apply for funding under section 412 of the Social Security Act, as
amended by Pub.L. 104-193 to administer and operate their own TANF programs.
Implementation of a Tribal TANF program may begin no earlier than July 1, 1997, and requires that eligible Indian tribes submit a
three year Tribal TANF plan to the Secretary of the Department of Health and
Human Services (HHS) through the Administration for Children and Families (ACF)
for review and approval. Authority to apply for funding under this part
continues through fiscal year 2002.
Special Rule for Alaska: Section 419(4)(B) limits the entities in the
State of Alaska who may operate a TANF program. The Metlakatla
Indian Community of the Annette Islands Reserve plus the twelve Alaska Native
regional non-profits are the only eligible entities.
Under section 412(h) of the Act, unless
waived by the State of Alaska, Alaska Native organizations operating a TANF
program must use the grant in accordance with comparable requirements
applicable to the State. Comparability will be established via program criteria
established by the Secretary, the State of Alaska, and the appropriate Alaska Native organization.
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 at 45 CFR Part 286 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 should 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.
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 agreements,
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
A Tribal TANF plan must 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) of 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.
Minimum 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.
Minimum work participation requirements
will be established for each TANF plan through negotiation. The plan should
indicate what minimum participation rates the Tribe proposes.
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.
In addition, the number of hours per week
individuals must participate in work activities will also be established for
each Tribal TANF plan through negotiation. The plan must indicate the minimum
hours proposed by the Tribe.
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.
Time limits and related standards will be
established for each Tribal TANF plan through negotiation. 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.
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 January 1, February 1 or March 1
the letter of intent is due July
1 of the previous year
the formal plan is due September
1 of previous year
and we will notify the State prior
to October 1 of the previous year
If proposed implementation
date is April 1, May 1 or June 1
the letter of intent is due October
1 of previous year
the formal plan is due December
1 of previous year
and we will notify the State prior
to January 1 of same year
If proposed implementation
date is July 1, August 1, or September 1
the letter of intent is due January
1 of same year
the formal plan is due March 1 of
same year
and we will notify the State piror
to April 1 of same year
If proposed implementation
date is October 1, November 1 or December 1
the letter of intent is due April
of same year
the formal plan is due June 1 of
same year
and we will notify the State 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.
Respondents may provide comments to ACF at
the following address:
Administration for Children and Families
Office of Community Services
Division of Tribal Services,
370 L'Enfant Promenade, S.W. - 5th Floor Washington, D.C.20447
PART C: PROGRAM INFORMATION AND CONSIDERATIONS
We encourage Tribes to use the TANF
planning process to consider and address important questions in consultation
with members of the Indian tribe, other interested parties including the
business and social services community in and near the Tribal service area, and
representatives from appropriate Federal and State agencies. These discussions
and consultations should cover both the areas the statute specifies to be
included in the Tribal TANF plan as well as various significant issues and
concerns that are closely related to creating and operating a temporary
assistance program whose primary goals include helping families achieve
economic independence. In this Part we offer suggestions that are not intended
to be inclusive, but which may serve as a useful guide in the Tribe's planning
and decision-making activities.
TRIBAL
TANF FUNDING
Section 412(a)(1)(B) describes the data
that will be used to determine the amount of a Tribal TANF grant. The statute
provides that for each fiscal year 1997 - 2002, an Indian tribe that has an
approved TANF plan will receive an amount equal to the Federal share
(including administration expenditures, which may include systems costs) of all
expenditures (other than child care expenditures) by the State or States under
the AFDC (title IV-A) and JOBS (title IV-F) programs for fiscal year (FY) 1994
for Indian families residing in the service area(s) identified in the Tribal
TANF plan. For Tribes which operated a Tribal JOBS program in FY 1994, the
State title IV-F expenditures used in the calculation would be for expenditures
made on behalf of non-member Indians living in the designated TANF service
area(s). Any expenditures by the State for Tribal members who were served by
the State JOBS program will also be included in the determination. The data
used to make the determination of a Tribal TANF grant amount will be submitted
by the State.
Under the AFDC, JOBS, and EA programs,
States were generally required to use State dollars to match Federal dollars at
a rate of 50%. As noted above, the formula used to determine Tribal TANF grants
includes only Federal payments; State matching payments are not used.
It may be useful for an Indian tribe
considering the implementation of a TANF program to request data from the State
in advance in order to:
>determine the estimated amount of the grant
the Indian tribe would receive to operate its own TANF program;
>help the Tribe determine the potential costs
of operating its own TANF program; and
>help the Tribe evaluate its interest in and
capacity to operate its own tribal program from the administrative and
operational perspectives.
Once a letter of intent that contains the
proposed service area and population to be served or Tribal TANF plan is
received, ACF will officially request from the State the data needed to
determine the amount of the Tribal TANF grant. The letter to the State
requesting the data will ask that the State send a copy of the response to the
Tribe as well as to ACF. If the Indian tribe has already requested and received
the necessary data from the State and agrees with the data, the Tribe can
submit the State data with the Tribal TANF plan. The Tribe should also include
a certification that it agrees with the State submitted data.
Under 412(a)(1)(B)(ii)(II) of the Act if a
Tribe believes that the data submitted by the State is not correct, the Tribe
may submit additional information that may be relevant to the determination of
the grant amount along with a letter asking the Secretary to review its determination.
This letter should be sent to your ACF Regional Office and to ACF's Division of
Tribal Services (see Attachment 1 and page 10 for the addresses).
DATA COLLECTION
AND REPORTING REQUIREMENTS
Pursuant to section 412(g) of the Act,
Indian tribes that operate a TANF program will have to meet the data collection
and reporting requirements as specified in section 411 of title IV-A, as
amended. Section 411(a)(1)(A) contains a list of the items that must be
reported to the Secretary on a quarterly basis. One of the uses of the data
submitted on the reports is the determination as to whether a Tribe has met its
required work participation requirement.
Complete requirements in the area of data
collection and reporting for Tribal TANF are found in the Tribal TANF final
regulations at 45 CFR Part 286. The regulations address data elements; data
sampling methodology and plans; and methods for submitting data. Although data
can be reported manually, the preferred method will be electronic transmission.
Some of the questions that a Tribe needs
to address as part of its planning process are as follows:
>Will it submit data manually or
electronically? If electronically, does the Tribe currently have a mechanism in
place for electronic reporting? Is it feasible for the Tribal TANF program to
tie into the State's reporting mechanisms for TANF?
>Will sampling of the caseload be a viable
approach for the Tribe, if the Tribal TANF caseload qualifies for sampling?
INCOME SUPPORT PROGRAM
Adoption of a Tribal TANF Program means
that the Indian tribe assumes the role of providing temporary assistance to
needy families in lieu of the State. The State will no longer have
responsibility for the provision of assistance to needy families covered by a
Tribal TANF program.
Issues related to the operation and
maintenance of a cash assistance program are varied. For example, staff must be
available to assist Tribal TANF recipients with issues arising from receipt of
assistance. Another area of administration that is important for the operation
of a TANF program is the development and maintenance of procedural manuals and
documents outlining the structure, procedures and policies to be used to
determine initial eligibility for TANF, as well as continued eligibility once
the household has been determined eligible for TANF.
Exclusions of certain income when
determining eligibility will be established by each TANF plan on a negotiated
basis. The plan should list the tribe’s proposed exclusions and, where necessary,
provide justification. The development of administrative systems - either by
the Tribe itself or through any agreements, contracts, or compacts the Tribe
may enter into - that provide for effective implementation of welfare-related
services and tracking of program requirements, such as issuance of benefits,
time on assistance, and work requirements is also an important part of the
operation of a Tribal TANF program.
In addition, there are other issues
involved in operating a cash assistance program. These considerations include:
Size of the population to be served by the Tribal TANF program,
and the amount of funds available to serve that population.
Will TANF services be provided to both single and two parent
households?
Amount of any TANF cash assistance to be provided to needy
families. Will payment amounts be a flat TANF amount or be based on the
size of the household?
How will income and earnings be regarded? Will allowable per
capita distributions be considered as income counted against the TANF
grant? Will child support payments received by the TANF household be
counted against the TANF grant? How will education loans for students in
the household attending school be treated?
How will resources/assets (other than income) be regarded? Will a
resource limit be considered as part of the eligibility determination
process. What resources will be counted and which will be excluded?
Resources include such items as receipt of a lump sum, disposable income
in savings or checking accounts, and equity in vehicles.
Some items must be disregarded in the calculation of cash
assistance grants. These are generally the result of treaties entered into
between the United States and individual Indian tribes, or the result
of other statutes enacted into law. How will the Tribe deal with
"legal disregards of income and resources" in the calculation of
the benefit level?
Associated with the above issues is the verification of income
and resources. Will a self declaration of income and resources be
adequate, or will you need to establish a system to verify income and
resources that involves contacting other organizations, including: the
State Unemployment/Employment Program, the Social Security Administration,
employers, local banks and credit unions, State lottery boards, the
Internal Revenue Service, the State Department of Taxation and/or other
sources of income and financial information?
How will interaction with the State or Tribal agency responsible
for child support enforcement be accomplished?
How will the Tribal TANF program fulfill its responsibilities to
provide client information to other sources (for example State agencies
and other Tribes with TANF programs) on matters related to time limits and
work history?
How will overpayments and underpayments be managed? When an
overpayment occurs will an account receivable be established and tracked
and a recovery pursued?
How will TANF complement the Tribe's BIA General Assistance (GA)
system?
How will the reporting and cash management requirements of TANF
be met?
COORDINATION
WITH THE STATE AND OTHER INDIAN TRIBES
We strongly encourage coordination with
the State and with other Indian tribes. Coordination can take many forms; some
(not all) of these are listed below:
®The Tribe's decision as to whether: (a) to
operate its own TANF program; (b) not to operate its own TANF Program and be
served by the State's TANF program; (c) not to operate its own TANF Program,
but be served by another Tribe's TANF program; or (d) to operate its own Tribal
JOBS Program (for those operating the program in FY 1994), and be served by
either the State or other Tribal TANF program.
oIf (a), the request to the State needs to be
made for client data and expenditures in FY 1994 for the Tribal service
population and the Tribal service area (see below).
oIf (d), assuring coordination between the
work requirements of the State TANF program and the goals and objectives of the
Tribal JOBS program.
®Assuring continued Medicaid and Food Stamp
services to Tribal members from the State Agency administering these programs.
®Arranging for information exchange on Tribal
TANF members moving into the State's TANF service area or into another Tribal
TANF service area and vice versa.
®Assuring a means of exchanging information on
the individual's duration of TANF assistance in either the State or Tribal TANF
area.
®Assuring a means of exchanging information on
issues related to child support enforcement.
®Developing the scope of memoranda of
agreement as to various issues of mutual interest to the State and the Tribe in
the operation of TANF programs.
PENALTIES
Tribes with approved Tribal TANF plans are
subject to certain penalties. A Tribe who uses the TANF grant in violation of
the purposes of the TANF program is subject to a penalty in an amount equal to
the amount misused. There is also an enhanced penalty if the Tribe can not show
that the violation was unintentional. A Tribe that fails to meet its
established work participation rates is subject to a penalty in an amount equal
to a percentage of its Tribal Family Assistance grant.
NONDISCRIMINATION
PROVISIONS
Section 408(c) of the Act states that the
following provisions of law apply to any program or activity funded with
Federal TANF funds:
oThe Age Discrimination Act of 1975
oSection 504 of the Rehabilitation Act
of 1973
oThe Americans with Disabilities Act
of 1990
oTitle VI of the Civil Rights Act of
1964
TRIBAL
TANF PROGRAM TIMELINE
As mentioned earlier, Indian tribes
wanting to implement TANF need to submit letters of intent and formal plans
according to the table in Part C under "Plan Process". The following
provides some guidance on scheduling that may be of use in facilitating the
planning process for Tribal TANF programs and ensure that necessary actions are
taken on a timely basis.
Using X as the date of Tribal TANF
implementation:
oX
- 90-180 days =Date of ACF notification
to State of reduction in State TANF amount due to a Tribal TANF program.
oX
- 120 days =Date of Tribal TANF plan
submittal to ACF for review, negotiation, and approval.
oX
- 165 days =Date of TANF plan release to
the public for review and comment.
oX
- 180 days =Letter of intent sent to ACF
Regional Office.
oX
- 210 days =Planning period begins for
Tribal TANF plan.State submitted data requested by Tribe in
next step should be available.
oX
- 240 days = Tribal request to State for following data:
1.FY 1994 AFDC, EA, and State JOBS cases for
the population to be served in the projected Tribal TANF service area.
2.FY 1994 AFDC cash assistance payments for
cases in # 1.
3.FY 1994 AFDC, JOBS and EA administration
expenditures for cases in # 1.
4.FY 1994 EA expenditures for cases
in # 1.
5.FY 1994 State JOBS expenditures for cases in
# 1.
6.FYs 1994 - present AFDC caseload counts for
cases in # 1 to determine estimate for Tribal TANF caseload.
PART D: DATA COLLECTION AND REPORTING REQUIREMENTS
Under 411(a)(1)(A) and 412(g) of the Act
each Indian tribe operating a TANF program must collect on a monthly basis, and
report on a quarterly basis (OMB No. 0970-0215), the following disaggregated
case record information on the families receiving assistance under the Tribal
program:
othe
county of residence of the family;
owhether
a child receiving such assistance or an adult in the family is receiving:
- Federal disability insurance benefits;
-
benefits based on Federal disability status;
-
aid under a State plan approved under title XIV (as in effect without regard to
the amendment made by section 301 of the Social Security Amendments of 1972));
-
aid or assistance under a State plan approved under title XVI (as in effect
without regard to such amendment) by reason of being permanently and totally
disabled; or
-
supplemental security income benefits under title XVI (as in effect pursuant to
such amendment) by reason of disability.
othe
ages of the members of such families;
othe
number of individuals in the family, and the relation of each family member to
the head of the family;
othe
employment status and earnings of the employed adult in the family;
othe
marital level of the adults in the family, including whether such adults have
never married, are widowed, or are divorced;
othe
race and educational level of each adult in the family;
othe
race and educational status of each child in the family;
owhether
the family received subsidized housing, medical assistance under the State plan
approved under title XIX, food stamps, or subsidized child care, and if the
latter 2, the amount received;
othe
number of months that the family has received each type of assistance under the
program;
oif
the adults participated in, and the number of hours per week of participation
in, the following activities;
-education;
-subsidized private sector employment;
-unsubsidized employment;
-public sector employment, work experience,
or community service;
-job search;
-job skills training or on-the-job training;
-vocational education;
oinformation
necessary to calculate participation rates;
othe
type and amount of assistance received under the program, including the amount
of and reason for any reduction of assistance (including sanctions);
oany
amount of unearned income received by any member of the family;
othe
citizenship of the members of the family;
ofrom
a sample of closed cases, whether the family left the program, and if so,
whether the family left due to:
-employment;
-marriage;
-the prohibition set forth in section
408(a)(7);
-sanction; or
-Tribal policy, or if applicable, State
policy.
ofor
each individual in the family who has not attained age 20, whether the
individual is a parent of a child in the family.
Pub. L. 105-33, the Balanced Budget Act of
1997, amended section 411(a) by adding additional data collection and reporting
requirements for Tribes that receive Welfare-to-Work grants authorized under
section 403(a) of the Act. The additional requirements for disaggregated case
data are as follows:
ofor
each family participating in a Welfare-to-Work program:
-any activity described in section 403(a)(5)(C)(i) engaged in by a
family member;
-the total amount expended during the month
on the family member for each such activity;
-if the family member is engaged in
subsidized employment or on-the-job training under the program, the wage paid
to the family member and the amount of any wage subsidy provided to the family
member from Federal or State funds; and
-if the participation of a family member in
the program was ended during a month due to the family member obtaining
employment, the wage of the family member in the employment and whether the
participation was ended due to the family member obtaining unsubsidized
employment, obtaining subsidized employment, receiving an increased wage,
engaging in a work training activity funded under a program funded other than
under section 403(a)(5), or for other reasons.
In addition, section 411 of the Act states
that each quarterly report shall include a statement of the:
-percentage of the funds paid to the Indian
tribe that are used to cover administrative costs or overhead;
-total amount expended by the Indian tribe on
programs for needy families;
-number of noncustodial parents in the Tribal
service area who participated in work activities (as defined in section 407(d))
during the quarter;
-total amount expended by the Indian tribe
during the quarter to provide transitional services to a family that has ceased
to receive assistance under this part because of employment, along with a
description of such services;
-the number of families and individuals
receiving assistance under the Tribal program (including the number of 2-parent
and 1-parent families; and
-the total dollar value of TANF assistance
received by all families.
As mentioned above, Pub, L. 105-33 amended
section 411 to require States and Tribes to collect and report additional data
related to Welfare-to-Work grants. The additional requirements for aggregated
data are as follows:
-a separate statement of the percentage of
such funds that are used to cover administrative costs or overhead incurred for
programs operated with funds provided under section 403(a)(5);
-a separate statement of the total amount
expended by the Tribe during the quarter on programs operated with funds
provided under section 403(a)(5);
-a separate statement of the number of such
parents who participated in programs operated with funds provided under section
403(a)(5);
-with respect to families and individuals
participating in a program operated with funds provided under section
403(a)(5):
othe total number of such families and
individuals;
othe number of such families and individuals
whose participation in such a program was terminated during a month.
Region IX: Sharon Fujii, ACF Regional Administrator 50 United NationsPlaza, Room 450 San Francisco, CA. 94102
Region X:
Stephen Henigson, ACF Regional Administrator 2201 Sixth Ave., Suite 600 Seattle, WA. 98121
ATTACHMENT 2
TITLE IV-A STATUTORY TEXT -
SECTIONS 412 AND 419(a)
SEC. 412. DIRECT
FUNDING AND ADMINISTRATION BY INDIAN TRIBES
"(a) GRANTS FOR
INDIAN TRIBES.-
"(1) TRIBAL
FAMILY ASSISTANCE GRANT.-
"(A) IN
GENERAL.-For each of fiscal years 1997, 1998, 1999, 2000, 2001, and 2002, the
Secretary shall pay to each Indian tribe that has an approved tribal family
assistance plan a tribal family assistance grant for the fiscal year in an
amount equal to the amount determined under subparagraph (B) which shall be
reduced for a fiscal year, on a pro rata basis for each quarter, in the case of
a tribal family assistance plan approved during a fiscal year for which the
plan is to be in effect, and shall reduce the grant payable under section
403(a)(1) to any State in which lies the service area or areas of the Indian
tribe by that portion of the amount so determined that is attributable to
expenditures by the State.
"(B) AMOUNT
DETERMINED.-
"(i) IN
GENERAL.-The amount determined under this subparagraph is an amount equal to
the total amount of the Federal payments to a State or States under section 403
(as in effect during such fiscal year) for fiscal year 1994 attributable to
expenditures (other than child care expenditures) by the State or States under
parts A and F (as so in effect) for fiscal year 1994 for Indian families residing
in the service area or areas identified by the Indian tribe pursuant to
subsection (b)(1)(C) of this section.
"(ii) USE OF
STATE SUBMITTED DATA.-
"(I) IN
GENERAL.-The Secretary shall use State submitted data to make each
determination under clause (i).
"(II)
DISAGREEMENT WITH DETERMINATION.-If an Indian tribe or tribal organization
disagrees with State submitted data described under subclause (I), the Indian
tribe or tribal organization may submit to the Secretary such additional
information as may be relevant to making the determination under clause (i) and
the Secretary may consider such information before making such determination.
"(2) GRANTS FOR
INDIAN TRIBES THAT RECEIVED JOBS FUNDS.-
"(A) IN
GENERAL.-For each of fiscal years 1997, 1998, 1999, 2000, 2001, and 2002, the
Secretary shall pay to each eligible Indian tribe that proposes to operate a
program described in subparagraph (C) a grant in an amount equal to the amount
received by the Indian tribe in fiscal year 1994 under section 482(i) (as in
effect during fiscal year 1994).
"(B) ELIGIBLE
INDIAN TRIBE.-For purposes of subparagraph (A), the term `eligible Indian
tribe' means an Indian tribe or Alaska Native organization that conducted a job
opportunities and basic skills training program in fiscal year 1995 under
section 482(i) (as in effect during fiscal year 1995).
"(C) USE OF
GRANT.-Each Indian tribe to which a grant is made under this paragraph shall
use the grant for the purpose of operating a program to make work activities
available to such population and such service area or areas as the tribe
specifies.
"(D)
APPROPRIATION.-Out of any money in the Treasury of the United States not otherwise appropriated, there
are appropriated $7,633,287 for each fiscal year specified in subparagraph (A)
for grants under subparagraph (A).
"(b) 3-YEAR
TRIBAL FAMILY ASSISTANCE PLAN.-
"(1) IN
GENERAL.-Any Indian tribe that desires to receive a tribal family assistance
grant shall submit to the Secretary a 3-year tribal family assistance plan
that-
"(A) outlines the
Indian tribe's approach to providing welfare-related services for the 3-year
period, consistent with this section;
"(B) specifies
whether the welfare-related services provided under the plan will be provided
by the Indian tribe or through agreements, contracts, or compacts with
intertribal consortia, States, or other entities;
"(C) identifies
the population and service area or areas to be served by such plan;
"(D) provides
that a family receiving assistance under the plan may not receive duplicative
assistance from other State or tribal programs funded under this part;
"(E) identifies
the employment opportunities in or near the service area or areas of the Indian
tribe and the manner in which the Indian tribe will cooperate and participate
in enhancing such opportunities for recipients of assistance under the plan
consistent with any applicable State standards; and
"(F) applies 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.
"(2)
APPROVAL.-The Secretary shall approve each tribal family assistance plan
submitted in accordance with paragraph (1).
"(3) CONSORTIUM
OF TRIBES.-Nothing in this section shall preclude the development and
submission of a single tribal family assistance plan by the participating
Indian tribes of an intertribal consortium.
"(c) MINIMUM WORK
PARTICIPATION REQUIREMENTS AND TIME LIMITS.-The Secretary, with the
participation of Indian tribes, shall establish for each Indian tribe receiving
a grant under this section minimum work participation requirements, appropriate
time limits for receipt of welfare-related services under the grant, and
penalties against individuals-
"(1) consistent
with the purposes of this section;
"(2) consistent
with the economic conditions and resources available to each tribe; and
"(3) similar to
comparable provisions in section 407(e).
"(d) EMERGENCY
ASSISTANCE.-Nothing in this section shall preclude an Indian tribe from seeking
emergency assistance from any Federal loan program or emergency fund.
"(e)
ACCOUNTABILITY.-Nothing in this section shall be construed to limit the ability
of the Secretary to maintain program funding accountability consistent with-
"(1) generally
accepted accounting principles; and
"(2) the
requirements of the Indian Self-Determination and Education Assistance Act (25
U.S.C. 450 et seq.).
"(f)"
ELIGIBILITY FOR FEDERAL LOANS.-Section 406 shall apply to an Indian tribe with
an approved tribal family assistance plan in the same manner as such section
applies to a State, except that section 406(c) shall be applied by substituting
'section 412(a)' for 'section 403(a)'.
"(g) PENALTIES.-
"(1) Subsections
(a)(1), (a)(6), (b), and (c) of section 409, shall apply to an Indian tribe
with an approved tribal assistance plan in the same manner as such subsections
apply to a State.
"(2) Section
409(a)(3) shall apply to an Indian tribe with an approved tribal assistance
plan by substituting `meet minimum work participation requirements established
under section 412(c)' for `comply with section 407(a)'.
"(h) DATA
COLLECTION AND REPORTING.-Section 411 shall apply to an Indian tribe with an
approved tribal family assistance plan.
"(i) SPECIAL RULE
FOR INDIAN TRIBES IN ALASKA.-
"(1) IN
GENERAL.-Notwithstanding any other provision of this section, and except as
provided in paragraph (2), an Indian tribe in the State of Alaska that receives
a tribal family assistance grant under this section shall use the grant to
operate a program in accordance with requirements comparable to the
requirements applicable to the program of the State of Alaska funded under this
part. Comparability of programs shall be established on the basis of program
criteria developed by the Secretary in consultation with the State of Alaska and such Indian tribes.
"(2) WAIVER.-An
Indian tribe described in paragraph (1) may apply to the appropriate State
authority to receive a waiver of the requirement of paragraph (1).
SEC. 419.
DEFINITIONS
"As used in this
part:
"(1) ADULT.-The
term `adult' means an individual who is not a minor child.
"(2) MINOR
CHILD.-The term `minor child' means an individual who-
"(A) has not
attained 18 years of age; or
"(B) has not
attained 19 years of age and is a full-time student in a secondary school (or
in the equivalent level of vocational or technical training).
"(3) FISCAL
YEAR.-The term `fiscal year' means any 12-month period ending on September 30
of a calendar year.
"(4) INDIAN,
INDIAN TRIBE, AND TRIBAL ORGANIZATION.-
"(A) IN
GENERAL.-Except as provided in subparagraph (B), the terms `Indian', `Indian
tribe', and `tribal organization' have the meaning given such terms by section
4 of the Indian Self-Determination and Education Assistance Act (25 U.S.C.
450b).
"(B) SPECIAL RULE
FOR INDIAN TRIBES IN ALASKA.-The term `Indian tribe' means, with respect to the
State of Alaska, only the Metlakatla Indian Community of the Annette Islands
Reserve and the following Alaska Native regional nonprofit corporations:
"(i) Arctic Slope Native Association.
"(ii) Kawerak, Inc.
"(iii) Maniilaq Association.
"(iv) Association of Village Council
Presidents.
"(v) Tanana Chiefs Conference.
"(vi) Cook Inlet Tribal Council.
"(vii) Bristol Bay Native Association.
"(viii) Aleutian and PribilofIsland Association.
"(ix) Chugachmiut.
"(x) Tlingit Haida Central Council.
"(xi) Kodiak Area Native Association.
"(xii) Copper River Native Association.
"(5)
STATE.-Except as otherwise specifically provided, the term `State' means the 50
States of the United States, the District of Columbia, the Commonwealth of
Puerto Rico, the United States Virgin Islands, Guam, and American Samoa.".
ATTACHMENT 3
The following certifications
need to be included with each Tribal TANF plan:
1)Certification
Regarding Debarment, Suspension, and Other Responsibility Matters - Primary
Covered Transactions.
2)U.S. Department of Health and Human Services,
Certification Regarding Drug Free Workplace Requirements, Grantees other Than
Individuals.
3)Certificate
Regarding Tobacco Smoke.
4)Assurances
- Non-Construction Programs.
Copies of these certifications can be
obtained from the ACF Regional Office.
