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TANF-ACF-PI-2000-06 (Guidance on Submitting the Annual Report on TANF and State MOE Programs) (REVISED)

Published: October 10, 2000
Audience:
Temporary Assistance for Needy Families (TANF)
Topics:
Data Collection and Reporting, State TANF and MOE Annual Reports
Types:
Program Instructions (PI)
Tags:
Data Collection and Reporting Requirements

To:

State agencies administering the Temporary Assistance for Needy Families (TANF) program and other interested parties.

Subject:

Guidance on Submitting the Annual Report on TANF and State MOE Programs

References:

Sections 403, 407, 409, and 411 of the Social Security Act; 45 CFR 265.9

Attachments:

Annual Report Requirements under 45 CFR 265.9(b), Form ACF-204 and Instructions for Submitting the Annual Report on State Maintenance-of-Effort (MOE) Programs

Purpose:

The purpose of this Program Instruction is to provide State agencies with guidance on submitting their annual reports (including the annual report on their State MOE programs), beginning with reports for fiscal year 2000.

This Program Instruction also transmits form ACF-204, the form and instructions that States must use to report annually on their MOE programs.

Action:

Annual reports for a fiscal year are due at the same time as the fourth-quarter TANF Data Report, i.e., 45 days after the end of the quarter.  The first annual reports required under the TANF final rules are for FY 2000 and are due November 14, 2000.  However, a State would not risk a penalty for failure to report timely if it submits the items potentially subject to a penalty --i.e., items #1 and #2 in Attachment A -- by the end of the quarter (i.e., by December 31, 2000, for the first annual report).

In response to public comments, we have revised Form ACF-204 and the associated instructions since their publication in the Federal Register on April 12, 1999 (at Appendix I, 64 FR 17931)  Most of the changes are of a clarifying nature. Please read the new form and instructions carefully before completing the report.

In the interest of reducing paperwork, we specified in 45 CFR 265.9(d) that, if the State plan contained the information being requested in the annual report, and the information in the plan is accurate, the State may reference the State plan language in lieu of resubmitting the information again.

In subsequent years, the State will also have the ability to cross-reference information in previous annual reports, where appropriate and applicable.

The State should submit the original version of the annual report (with original signatures) to: Administration for Children and Families, Office of Family Assistance, Aerospace Building, 5th Floor, 370 L'Enfant Promenade, S.W., Washington, D.C. 20447. It should submit a copy to the ACF Regional Administrator.

Background:

Under the final TANF rules, at 45 CFR 265.9, States must submit an annual report containing information on their TANF and State MOE programs.  The report would incorporate information on the State activities for the fiscal year ending in the prior quarter.  For example, the report due November 14, 2000, would incorporate information on State activities during Federal fiscal year 2000.

Paragraphs (b) and (c) of §265.9 list the items that each State must provide on its TANF and MOE programs, respectively.  We have provided the list of TANF program information required under paragraph (b) in Attachment A for your reference.  Since there is no report form for this information, States have flexibility in deciding the format they will use.

For the information on State MOE programs specified in 45 CFR 265.9(c), we developed a specific form and published it as Appendix I to the TANF final rule published April 12, 1999.  Based on comments received, we have made some clarifying changes to the form.  The changes do not limit the States discretion in deciding the program basis they will use for reporting MOE information.

As we noted in the TANF Q's and A's posted in March of 1999, while the annual report is officially due at the same time as the fourth-quarter data report, i.e., November 14th of each year, since the statute and regulations both hold States harmless from a reporting penalty if they submit the required quarterly reports by December 31, we have decided to allow the same latitude on the submission of the annual report.  Thus, a State could have until December 31 to file the annual report required under 45 CFR 265.9.

Complete, accurate, and timely reporting is important because the annual reports will be an important source for information about the different ways that States are using their resources to help families attain and maintain self-sufficiency.  We intend to synthesize the information provided in the annual reports when we discuss program characteristics in our annual report to Congress.  We also will use the information in responding to Congressional and public inquiries about how TANF programs are evolving and in assessing State MOE expenditures.  Thus, it is very important that States submit the information required in these reports in a complete, accurate, and timely manner.

The OMB approval number for the TANF data collection under the final rule, including ACF-204, is 0970-0199. The expiration date for the approval is June 30, 2002.  (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.  The current OMB control number is displayed in the lower left-hand corner of form ACF-204.)

We have designed Form ACF-204 so that you can complete it electronically or manually.  Although we do not currently have the capacity to accept electronic submissions of the report, you may download an electronic copy from the OFA Web site, complete it electronically, then print your completed report, and mail it.

Form ACF-204 includes numbers, narrative descriptions, and a certification page.  While we tried to provide adequate space, you may need to add attachments or additional lines to accommodate all the information you need to enter.

We remind States that failure to submit the information on the definition of work activities and the description of transitional services required under 45 CFR 265.9(b)(1) and (2), respectively, may result in a penalty against the State for failure to report.  Also, we will use the information provided under ACF-204 to determine if States have met their MOE requirements.

Inquiries:

Please direct inquiries and comments to the appropriate Administration for Children and Families (ACF) Regional Administrator.

/s/

Alvin C. Collins
Director
Office of Family Assistance


Appendix A

Annual Reporting On TANF Programs Under 45 CFR 265.9(b)

Each State must provide the following information on the TANF program (for the previous fiscal year):

(1) The State's definition of each work activity;

(2) A description of the transitional services provided to families no longer receiving assistance due to employment;

(3) A description of how a State will reduce the amount of assistance payable to a family when an individual refuses to engage in work without good cause pursuant to §261.14;

(4) The average monthly number of payments for child care services made by the State through the use of disregards, by the following types of child care providers:

(i) Licensed/regulated in-home child care;

(ii) Licensed/regulated family child care;

(iii) Licensed/regulated group home child care;

(iv) Licensed/regulated center-based child care;

(v) Legally operating (i.e., no license category available in State or locality) in-home child care provided by a nonrelative;

(vi) Legally operating (i.e., no license category available in State or locality) in-home child care provided by a relative;

(vii) Legally operating (i.e., no license category available in State or locality) family child care provided by a nonrelative;

(viii) Legally operating (i.e., no license category available in State or locality) family child care provided by a relative;

(ix) Legally operating (i.e., no license category available in State or locality) group child care provided by a nonrelative;

(x) Legally operating (i.e., no license category available in State or locality) group child care provided by a relative; and

(xi) Legally operated (i.e., no license category available in State or locality) center-based child care;

(5) If the State has adopted the Family Violence Option and wants Federal recognition of its good cause domestic violence waivers under subpart B of part 260, a description of the strategies and procedures in place to ensure that victims of domestic violence receive appropriate alternative services and an aggregate figure for the total number of good cause domestic waivers granted;

(6) A description of any nonrecurrent, short-term benefits provided, including:

(i) The eligibility criteria associated with such benefits, including any restrictions on the amount, duration, or frequency of payments;

(ii) Any policies that limit such payments to families that are eligible for TANF assistance or that have the effect of delaying or suspending a family's eligibility for assistance; and

(iii) Any procedures or activities developed under the TANF program to ensure that individuals diverted from assistance receive information about, referrals to, or access to other program benefits (such as Medicaid and food stamps) that might help them make the transition from welfare to work;

Annual Reporting On TANF Programs Under 45 CFR 265.9(b) continued

(7) A description of the procedures the State has established and is maintaining to resolve displacement complaints, pursuant to section 407(f)(3) of the Act. This description must include the name of the State agency with the lead responsibility for administering this provision and explanations of how the State has notified the public about these procedures and how an individual can register a complaint;

(8) A summary of State programs and activities directed at the third and fourth statutory purposes of TANF (as specified at §260.20(c) and (d)); and

(9) An estimate of the total number of individuals who have participated in subsidized employment under §261.30(b) or (c).

 


Attachment B

Annual Report on State Maintenance-of-Effort Programs: ACF-204

State ___ Fiscal Year _______

Date Submitted _______________

Provide the following information for EACH PROGRAM for which the State claims MOE expenditures.

1. Name of Benefit or Service Program:

2. Description of the Major Program Benefits, Services, and Activities:

3. Purpose(s) of Benefit or Service Program:

4. Program Type. (Check one)

______ This Program is operated under the TANF program.

______ This Program is a separate State program.

5. Description of Work Activities in the SSP-MOE program (I.e., Complete only if this program is a separate State program):

6. Total State Expenditures for the Program for the Fiscal Year:

_________________

7. Total State Expenditures Claimed as MOE under the Program for the Fiscal Year:_________________

8. Total Number of Families Served under the Program with MOE Funds:_________________

This last figure represents (check one):

________ The average monthly total for the fiscal year.

________ The total served over the fiscal year.

9. Eligibility Criteria for Receiving MOE-funded Benefits or Services under the Program:

10. Prior Program Authorization: Was this program authorized and allowable under prior law (i.e., as defined at §260.30)? (check one)

Yes __ No ___

11. Total Program Expenditures in FY 1995. _________________________

(NOTE: provide only if the response on to question 10 is No.)

This certifies that all families for which the State claims MOE expenditures for the fiscal year meet the State's criteria for "eligible families."

SIGNATURE: ___________________________________

NAME: ___________________________________ TITLE: ___________________________________

Approved OMB No. 0970-0199 Form ACF-204, expires 6/30/2002. 

 


Instruction for Completing Form ACF-204

Annual Report on State Maintenance-of-Effort Programs

Each State must complete and submit this report in accordance with these instructions and the requirements at 45 CFR 265.9(c).

Due Dates: This form, together with the other information required in the annual report (as specified at §265.9), is due November 14.  However, we will not impose a reporting penalty if the State submits the data required in §265.9(b)(1) and (b)(2) by December 31.

More importantly, a State must submit the information on this form on a timely basis in order for us to determine that it has met its MOE requirements for a fiscal year.  If a State fails to submit this information or to document its MOE expenditures adequately, it will be subject to the applicable MOE penalties.

States must submit this report for each fiscal year and include information for each benefit or service program for which the State has claimed MOE expenditures for the fiscal year.

Under §265.9(d), if a State has submitted information required under this form as part of its State plan, it may meet the reporting requirements by providing appropriate plan references rather than re-submitting the information.  Further, if a State reported information required in this form in the prior annual report and the information is still correct and valid,the State may provide a reference to the earlier information in lieu of re-transmittal.  Under this provision, we would expect a State always to complete items 1 and 6-8 for each MOE program each year.  However, a State could answer items 2-5 and 9-11 by cross-reference, where appropriate.

Distribution: The State should submit the original version of this form (with original signatures) to: Administration for Children and Families, Office of Family Assistance, Aerospace Building, 5th Floor, 370 L'Enfant Promenade, S.W., Washington, D.C. 20447. It should submit a copy to the ACF Regional Administrator.

General Instructions.

- Round all dollar amounts to the nearest dollar. Omit cents.

- Enter State Name

- Enter the Fiscal Year for which this report is being submitted.

- Enter the date that the report is being submitted.

Line Item Instructions

This report covers all State and local programs for which the State has claimed MOE expenditures.  MOE expenditures made either under the TANF program or under separate State programs may count as MOE if they are made for the types of benefits and/or services specified in §263.2 (e.g., cash assistance or child care), reasonably calculated to meet a purpose of TANF, and otherwise allowable under §§263.5 and 263.6.  These MOE expenditures need not meet the definition of assistance at §260.31.

The term "separate State program" has the meaning at §260.30.  Thus, if MOE funds support local "non-TANF" programs, the State would treat such a program as a "separate State program" for the purpose of this report.

Line 1.  Name of benefit or service program.  Enter the name of the State or local program for which MOE expenditures are being claimed.

States have some flexibility of how they define "program" for the purpose of this report.  They must differentiate among programs based on the nature of the benefits and services provided.

In general, if several budget accounts or line items in the State budget fund a particular program, the State may report its data at the broader program level.  Likewise, if a State funds multiple contracts or county programs through one account, it need not report separately on the individual contract or county expenditures.

Line Item Instructions Continued

Where States report aggregate figures, they must maintain adequate records to document how they derived the aggregate program information.  Further, State reports must contain sufficient detail to provide meaningful information on the State's MOE programs and expenditures, and the program categories States use must be adequate to support the application of the "new spending" test at §265.3.

For example, if a State's current program includes some major benefits and services that were authorized under prior law and some major benefits or services that were not authorized under prior law, the State needs to address those two types of expenditures by reporting them as two different programs in this report.

Assume that a State has an MOE-funded program of transitional benefits that serves eligible families and includes child care, transportation assistance, job retention, and job advancement services.  Transitional child care was previously provided under section 403 of the Act, and assume that the other transitional benefits were not available under JOBS or otherwise.

The State would report on transitional child care benefits as one of its MOE programs. Transitional child care was authorized and allowable under prior law and therefore is not subject to the "new spending" test.  Thus, as long as otherwise allowable, all the State's transitional child care expenditures would count as MOE.

The State would report on its other transitional benefits-- "other transitional work supports"-- as a second program.  This State program is subject to a "new spending" test because the "other transitional benefits" were not "authorized under prior law" (i.e., under AFDC, EA, JOBS, FAMIS, or the IV-A child care programs).  If the State did not provide these program benefits in 1995, its 1995 spending would be "$0," and all of its spending on such program benefits would count towards MOE.

Line 2.  Description of major program benefits, services, and activities.  Describe the major activities and major types of benefits and services provided under the program.

Line 3.  Purpose(s) of benefit or service program.  State the purpose(s) of the program and relate this purpose to the statutory and regulatory TANF purposes (at §260.20).

Line 4.  Program type.  Put an "X" on the appropriate line to indicate whether the MOE expenditures are being made under the TANF program or under a separate State program.

Line 5.  Description of work activities.  If the program is a separate State program (SSP), for which the State claims MOE, describe the work activities (if any) provided for eligible families.  To avoid duplicative reporting, if the work activities are the same as the TANF work activities (or are a subset of the TANF work activities), you may just provide a list of the SSP work activities and a cross-reference to the applicable definitions of the TANF work activities included in the annual report (as required in §265.9(b)(1)).

Also include information explaining the extent to which eligible families are subject to work requirements (i.e., whether individuals served by the program must participate in work activities and the extent to which such requirements apply to different categories of recipients).

Line 6.  Total State expenditures for the program for the fiscal year.  Enter the total dollar amount of State expenditures in the program during the Federal fiscal year (regardless of whether such expenditures were claimed as MOE).

Line 7.  Total State MOE expenditures under the program for the fiscal year.  Enter the total dollar amount of expenditures reported in item #6 that are claimed as State MOE expenditures.

Line 8.  Total number of families served under the program with MOE funds.  Enter the number of eligible families that are receiving benefits or services that are funded in whole or part with State MOE funds.  Estimates based on samples are acceptable where actual numbers are not available.  Also, put an "X" on the appropriate line to indicate whether the number being provided is a report on the average monthly number of families being served or on the total number served over the course of the fiscal year.

Line 9.  Eligibility criteria for receiving MOE-funded program benefits or services.  Provide the eligibility criteria (including financial eligibility criteria) for families served under this program with MOE funds.  If there is more than one kind of major benefit or service provided under the program and the eligibility criteria differ for the different kinds of benefits or services available under the program, specify the eligibility criteria for each of the major benefits and services.  (For example, the State might have a fatherhood program targeted at needy noncustodial fathers where certain counseling and peer support activities were generally available, but additional education, employment-related services, and work supports were available only for those fathers with outstanding child support obligations.)

Line 10.  Prior program authorization. Put an "X" on the appropriate line to indicate whether the program was authorized and allowable under prior law.  Programs that were previously authorized and allowable -- under an approved State IV-A plan in effect as of August 21, 1996 -- are not subject to the "new spending" test (see §263.5(a)).

Line 11.  Total program expenditures in FY 1995.  If the program was not previously authorized and allowable (i.e., if the answer to item #10 is "No"), enter the total expenditures for the program in 1995.  In other words, you should enter all program expenditures, regardless of whether the spending was on behalf of eligible families.  Only qualified State expenditures above this level may count as MOE.

Certification.  An authorized official must sign the certification. Under the signature line, type the title of the authorized official, together with the agency name.

Paperwork Reduction Act of 1995

Public reporting for this collection of information is estimated to average 80 hours per response, including the time for reviewing instructions, searching existing sources, gathering and maintaining the data needed, and completing and reviewing the collection of 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.  The current OMB control number is displayed in the lower left-hand corner of the form.