Office of Community Services

CHAPTER 2. PREEXPENDITURE REPORTS

To receive its Social Services Block Grant (SSBG) allocation, each State is required to develop and submit an annual preexpenditure report that describes how the State plans to administer its SSBG funds for the coming year. Unlike the postexpenditure report, Federal regulations do not require a specific format for the preexpenditure report, and States vary greatly in the information they provide and the structure of the report. Section 2004 of the Social Security Act provides the following guidance to States regarding this report:

Prior to expenditure by a State of payments made to it under section 2002 for any fiscal year, the State shall report on the intended use of the payments the State is to receive under this title, including information on the types of activities to be supported and the categories or characteristics of individuals to be served. The report shall be transmitted to the Secretary and made public within the State in such manner as to facilitate comment by any person (including any Federal or other public agency) during development of the report and after its completion. The report shall be revised throughout the year as may be necessary to reflect substantial changes in the activities assisted under this title, and any revision shall be subject to the requirements of the previous sentence.¹

In their preexpenditure reports, States may report their intended use of SSBG funds in a number of ways, including using the standard postexpenditure reporting form, matching the service categories supported with SSBG expenditures to one of the five national goals of SSBG, and describing planning activities undertaken to allocate and spend SSBG funds. This chapter provides examples of these ways that States report on their intended use of SSBG funds in the preexpenditure reports.

Reporting Intended Use of Funds on Standard Form

Because the preexpenditure report does not have a standard format, States typically report on the planned use of SSBG expenditures using the service categories defined in their own States rather than the standard service categories described in SSBG regulations. For example, a State may list its planned expenditures for "homemaker services" or "home care" rather than for "home-based services." Sometimes the crosswalk of the State-defined service names to the 29 SSBG service categories is clear, and sometimes it is less clear.

Six States--Maryland, Minnesota, Nebraska, New Hampshire, Oregon, and Washington--used the same standard format as the postexpenditure reporting form to report on their planned SSBG expenditures and recipients. By using this format to report the intended use of SSBG funds, it is possible to track whether States made any changes between planning and implementation, in terms of the amount spent on a particular service or number of individuals served.

Matching Services To National Goals

States are required to use SSBG funds to meet the broad social policy goals described in chapter 1. To describe the services they plan to support with SSBG funding, some States list the national goals to which each of the services is directed. States that provide this information include California, Illinois, Louisiana, Ohio, and Pennsylvania. However, most of these States link the national goals to the service categories using State-defined service names, rather than the 29 uniform service categories.

Table 2-1 is an excerpt from the preexpenditure report that Pennsylvania submitted for 2004 and provides an example of how services can be linked to the national SSBG goals.

TABLE 2-1 Relationship Between Services and SSBG Goals (Excerpted from the 2004 SSBG Preexpenditure Report for Pennsylvania)
Program and Service	Federal Goals
Program and Service	1	2	3	4	5
Attendant Care Program -- Attendant Care Service (Home-based services)
Child Welfare Program -- Child Welfare Social Service (Protective services -- children)
Community Services Program for Persons with Physical Disabilities -- Specialized Counseling/Training Service (Special services -- disabled)
Family Planning Program -- Family Planning Service
Legal Service Program -- Legal Service

Table 2-2 provides an excerpt from the preexpenditure report submitted by Illinois for 2004, providing an example of how services can be linked to the national SSBG goals.

TABLE 2-2 Relationship Between Services and SSBG Goals (Excerpted from the 2004 SSBG Preexpenditure Report for Illinois)
HOMEMAKER (HOME-BASED SERVICES)
Definition Teaching of and assistance in household management and personal care to support individuals and families in their own homes when there are disruptions caused by illness, disability, or other problems. Components Assessment of individuals’ needs, including guidance and counseling. Teaching and provision of home management and parenting skills. Medical care may be included as an integral but subordinate part of the service. Emergency caretaker services Transportation services Relationship to Goals The department directs this service at national goals I, II, III, and IV by teaching household management or providing support or protection.	This service is deemed necessary by the provider for individuals or families needing assistance in achieving self-sufficiency or preventing neglect, abuse, or exploitation of children and preventing inappropriate institutionalization. Guidelines for Need DCFS provides services to individual or families whose physical, emotional, or mental condition or lack of training prevents self-care or care of the home or children. No family member, relative, or friend can meet the need. A teaching, therapeutic or protective need must also be present. DHS offers individuals with disabilities who are at risk of premature unnecessary institutionalization the alternative of in-home care when the cost of home care does not exceed the cost of a health care facility.

TABLE 2-2 Relationship Between Services and SSBG Goals
(Excerpted from the 2004 SSBG Preexpenditure Report for Illinois)

HOMEMAKER (HOME-BASED SERVICES)

Definition

Teaching of and assistance in household management and personal care to support individuals and families in their own homes when there are disruptions caused by illness, disability, or other problems.

Components

Assessment of individuals’ needs, including guidance and counseling.
Teaching and provision of home management and parenting skills.
Medical care may be included as an integral but subordinate part of the service.
Emergency caretaker services
Transportation services

Relationship to Goals

The department directs this service at national goals I, II, III, and IV by teaching household management or providing support or protection.

This service is deemed necessary by the provider for individuals or families needing assistance in achieving self-sufficiency or preventing neglect, abuse, or exploitation of children and preventing inappropriate institutionalization.

Guidelines for Need

DCFS provides services to individual or families whose physical, emotional, or mental condition or lack of training prevents self-care or care of the home or children. No family member, relative, or friend can meet the need. A teaching, therapeutic or protective need must also be present.

DHS offers individuals with disabilities who are at risk of premature unnecessary institutionalization the alternative of in-home care when the cost of home care does not exceed the cost of a health care facility.

Describing Planning Activities

In addition to addressing national goals, each State undertakes a planning process to determine how to allocate funds. The majority of States' descriptions of their planning processes include only a mention that the State makes the plan available for public review, as required by the SSBG regulation. Some preexpenditure reports briefly mention needs assessments or other planning processes, but provide little detail, while other States describe the planning process at the local level. This section summarizes the planning processes described in the preexpenditure reports for Arizona, New Jersey, and Ohio.

Arizona

The disbursement of SSBG funds in Arizona occurs at both the State and local levels. At the State level, six different divisions within the Department of Economic Security coordinate their planning efforts toward development of their own planning documents and incorporating them into the statewide plan. Local planning is conducted by two separate local service delivery systems--Councils of Governments (COGs) and Indian Tribes.

The COGs and Tribes receive varying amounts of SSBG funds, based on allocation formulas. Approximately 24 percent of the total SSBG allocation is available for services funded through the six different COGs. The exact amount that each COG receives is determined by a formula based on 50 percent population and 50 percent poverty. These funds are available for recommendations for locally planned SSBG services after identifying priorities and coordinating with other entities.

Almost 7 percent of the total SSBG allocation is available for services on Arizona's Indian Reservations, which have been established as separate SSBG planning and services areas. Technical assistance in planning for SSBG use is provided to the Tribes as needed by the Department of Economic Security or one of its contractors.

New Jersey

The New Jersey Department of Human Services conducts its planning activities guided by two basic principles--increased public participation in planning and protection of vulnerable and disabled populations. The department has undertaken an initiative to transfer program planning for the purchase of services from the State to the local level, and has established, certified, and contracted with Human Services Advisory Councils within each of the 21 counties in New Jersey.

Human Services Advisory Councils develop comprehensive social services plans within their respective counties and update these plans each year. The councils use the resulting plans to prioritize services and develop recommendations for the expenditures of SSBG funds.

Each council reviews all contracts funded by the SSBG to ensure that the contracts meet the needs identified by the planning process. The activities of the councils are coordinated and monitored by the department. New Jersey has concluded that this cooperative relationship between the State and the counties has continued to result in the successful planning and distribution of SSBG funds.

Ohio

The preexpenditure report submitted by Ohio for 2004 provides a detailed chronology of the sequence of events that comprise the planning for SSBG and preparation of the annual preexpenditure reports. This process is known in Ohio as the Comprehensive Title XX Social Services Plan (CTXXSSP). Table 2-3 shows the calendar of events that was included in the 2004 report.

TABLE 2-3 Comprehensive Title XX Social Services Plan (CTXXSSP) Calendar of Events, 2004–2005(Excerpted from the 2004 SSBG Preexpenditure Report for Ohio)
September and October 2002	Meetings on proposed CTXXSSP with CDJFS, Mental Health, and MR/DD staff.
No later than September 2002	ODJFS, ODMH, and ODMR/DD to issue proposed grants to CDJFSs, MH, and MR/DD boards.
Last week of October	Proposed county profiles and title XX Needs Reports due in the field offices.
First week of November	Proposed county profiles and title XX Needs Reports due in central office.
First week of December	ODMH and ODMR/DD submit respective sections of their plan to ODJFS for inclusion in the proposed plan.
Third week of December	Proposed CTXXSSP is sent to the printer.
Fourth week of December	Preparation of news release on the proposed CTXXSSP.
First week of January 2003	45-day public comment period begins.
January 2003	County family services planning committee, MH boards, and MR/DD boards hold local hearing on proposed CTXXSSP.
Second week of February	County hearing summaries are due to ODJFS.
Middle of February	End of public comment period.
Second week of February	Amended final county profiles and title XX Needs Report due in the field offices.
Third week of February	Amended final county profiles and title XX Needs Report due in central office.
Second week of May	Approved Final CTXXSSP is submitted to the governor for signature.
Fourth week of May	Approved Final CTXXSSP is sent to HHS.
First week of June	Approved Final CTXXSSP is sent to the printer.
Third week of June	Publication of notice on the availability of the Final CTXXSSP and distribution of the CTXXSSP.

Future Use of Preexpenditure Reports

Preexpenditure reports from the States vary in their scope and level of detail, but provide important and useful information on the use of SSBG program funds within each State. Although the reports are not required in a specific format, they provide States an opportunity to document their planning processes and outline their goals and objectives for SSBG service provision during the coming year. During the coming year, the Office of Community Services (OCS) will work with States to improve their presentation of information in the preexpenditure reports to better meet statutory requirements.

Continue to Chapter 3

¹ 42 U.S.C. 1397 or Section 2004 of the Social Security Act.