Attachment to AT-00-10
PROCEDURES FOR THE SUBMISSION, REVIEW, AND APPROVAL OF STATE PLAN AMENDMENTS AND ATTACHMENTS
STATE PREPARATION AND SUBMITTAL OF THE PLAN OR AMENDMENT
As a condition of receiving Federal financial participation, the State IV-D agency must submit an approvable State plan describing the nature and scope of its child support enforcement program. The State plan consists of the preprinted State plan pages, related attachments and contains all information necessary for the Office of Child Support Enforcement (OCSE) to determine whether a State plan can be approved. The authority to approve State plans is delegated to the Regional Offices, but the Director of OCSE (the Director) retains the authority for determining that a State IV-D plan is not approvable (see regulations at 45 CFR 301.13(c)).
Amendments to the State Plan are either required by Federal action (e.g., publication of new or amended Federal regulations or amendments to Title IV-D of the Social Security Act (the Act)) or required by State action (e.g., State legislative changes). OCSE prepares and distributes new preprinted pages for use by the State IV-D agency and if necessary, a State IV-D agency may request additional copies of preprint pages from the Regional Office. The State IV-D agency must fill in any blanks and check appropriate boxes on the preprinted pages and submit the preprint with any required attachments within the specified time frame. Each page of an attachment should be numbered and must be labeled with the name of the State and the number and name of the attachment as it appears in the Table of Contents (see attached). Under 45 CFR 301.13(a) States are encouraged to consult with the Regional Office during the State plan preparation or revision process.
To assist the Regional Office in its review of the preprint pages and attachments, the State may be asked to complete the Legislative/Regulatory Analysis Checklist. The checklist is designed to be used in the analysis of legislation, regulations and/or procedures which have the full force and effect of law which are developed to meet Federal requirements. The State IV-D agency may request from the Regional Office, a copy of the most recent Legislative/Regulatory Analysis Checklist which was used to analyze the State's compliance with the Personal Responsibility and Work Opportunity Reconciliation Act of 1996 and the Balanced Budget Act of 1997.
When there are State legislative, regulatory or procedural changes, the State IV-D agency initiates the preparation of a plan amendment by updating an existing plan page or attachment or if appropriate, completing the new preprint page. Attachments must be kept current and should be revised when the content is no longer valid. States are required to officially submit deletions to the State plan when such deletions become necessary. The State must submit each new or amended State plan page to the Office of the State Governor for review and comment. The Transmittal and Notice of Approval of State Plan Material form (OCSE-21-U4) (transmittal) includes a section to document the Governor's review and action. If a designee other than the Governor of the State is authorized to review a State plan submittal, a copy of the delegation of authority from the Governor to his or her designee should be on file in the Regional Office.
Once the State receives the Governor's or designee's approval, two copies of the completed State plan page or amendment with two copies of any attachments should be submitted to the Regional Office using a completed and signed copy of the transmittal. One copy of the transmittal must have original signatures. The printed instructions on the transmittal sheet, which require the submission of "4 Copies" including "2 Original Signatures" should be disregarded. The State should assign a number to the transmittal. If there is no number assigned by the State, the Regional Office must assign a number and communicate the number to the State IV-D agency in the acknowledgement letter. If necessary, the State IV-D agency may request additional copies of the transmittal from the Regional Office.
DOCUMENTED RECEIPT BY THE REGIONAL OFFICE
The Regional Office should acknowledge receipt of the submittal in writing to the State IV-D agency and record the date of receipt on the transmittal. Under 45 CFR 301.13(e), OCSE has 90 days following the date on which the submittal is received to determine whether the State plan conforms to the requirements under Title IV-D of the Act and regulations. To extend the 90 day approval period, the Regional Office must secure a written agreement from the State IV-D agency.
REGIONAL OFFICE REVIEW
Under 45 CFR 301.13(c), each Regional Office exercises delegated authority to take affirmative action on each State plan and amendment on the basis of policy statements or precedents previously approved by the Director. The exercise of this authority must include a careful review of State plan material, including State laws and procedures, using the Legislative/Regulatory Analysis Checklist, if appropriate. Where State laws or procedures are required the State may meet the requirements through the enactment of State law, regulations (including court rules) and/or procedures which have the full force and effect of law. Each portion of the checklist must be completed and submitted with the appropriate State plan page and necessary attachments of the appropriate law, regulation and/or procedure to the Central Office.
In addition, care should be given to review State submissions of copies of statutes and regulations under Attachment 3.3A of the State plan which support State compliance with Federal requirements. However, approval of Attachment 3.3A alone does not constitute approval for purposes of compliance with Federal requirements; the appropriate State plan preprint pages certifying State compliance with a particular Federal requirement must be submitted and approved.
The Regional Office should review the submittal as follows: 1.Determine that the State plan submittal contains the language of the State plan preprint page and that the required attachments and supporting documentation have been included. Determine that the required information is furnished in the blank spaces of the State plan page. Examine all attachments to assure that they are properly identified and correct. No material other than that specified is to be submitted as an attachment. Insure that the Governor's Review section of the transmittal is completed. If appropriate, complete the Legislative/Regulatory Analysis Checklist with the citation to the new or current State law, regulations, and/or procedures which meets the requirement. Compare the State plan page with the content of the attachments to ensure that the information fully supports the plan requirements. Consult with the State IV-D agency staff if additional supporting documentation (e.g., State laws, regulations (including court rules), and or procedures) or clarification is needed. If the Regional Office staff is unable to determine whether a State has satisfied Federal requirements, the Regional Office should refer questions with Regional Office recommendations to OCSE's Division of Policy. Regional counsel review of the State plan amendments is not mandatory but Regional Office staff are strongly encouraged to consult with Regional counsel.
APPROVAL OR DISAPPROVAL
TN# __________ Approval Date __________ Effective Date __________
The earliest effective date that can be assigned is the first day of the quarter in which all approvable material is postmarked. Approvable material includes attachments as well as preprinted pages.
CHILD SUPPORT ENFORCEMENT PROGRAM
TABLE OF CONTENTS
*1.1A Organization and Staffing of IV-D Agency
*2.5A Application Fees Charged to Individuals Not Receiving IV-A or Foster Care
2.8A Cooperative Agreement between IV-D Agency and State Medicaid Agency
2.12-2A List of Exemption(s) from Expedited Process
2.12-5A Paternity Establishment
2.12-9A Statute or Court Ruling to Prohibit Retroactive Modification of Child Support Obligation
*3.1A List of Cooperative Agreements
*3.3A List of Statutes and Regulations
*3.6A Bonding Arrangements Approved by the State IV-D Agency
*3.11A Guidelines for Setting Child Support Obligations
* (indicates that an attachment is required)