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Health and Human Services: regla5

Health and Human Services: regla5

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17919
Federal Register
 /Vol. 64, No. 69/Monday, April 12, 1999/Rules and Regulations
Based on the nature or function of thecontract, States must include appropriateadministrative costs associated withcontracts and subcontracts that counttowards the 15% administrative cost caps.
 Line 6k.
Systems. Enter in columns (A),(B), (C), and (D) the cumulative totalexpenditures for systems costs related tomonitoring and tracking under the programfrom October 1 of the Federal fiscal year forwhich the report is being submitted throughthe current quarter being reported.
Note:
Section 404(b)(1) of the Act limitsStates to which a grant is made under section403 to expend no more than 15% of the grantfor administrative costs. In addition, section404(b)(2) of the Act states that the 15%administrative cost cap shall not apply to theuse of a grant for information technology andcomputerization needed for tracking ormonitoring required by or under part IV–A of the Act. The systems exclusion applies toitems that might normally be administrativecosts, but are systems-related and needed formonitoring or tracking purposes underTANF. Under our final rules the sameinformation technology exclusion applies toMOE expenditures. The TANF rules at§§263.2 and 263.13 provide guidance aboutwhat is excluded under this provision.
 Line 6l.
Other. Enter in columns (A), (B),(C), and (D) the cumulative totalexpenditures for other expendituresconsidered ‘‘expenditures on non-assistance’’that were not included on Lines 6a through6j from October 1 of the Federal fiscal yearfor which the report is being submittedthrough the current quarter being reported.For example, include as ‘‘other’’ costs ongeneral family preservation activities andparenting training. Include costs on activitiessuch as substance abuse treatment, domesticviolence services, and case management tothe extent that such costs are not directed atthe second goal of TANF and included aswork-related costs above.
Note:
In the 4th quarter annual report theState must describe in a footnote theactivities for which ‘‘other expenditures’’under this line item applies.
 Line 7.
Total Expenditures. Enter incolumns (A), (B), (C), and (D) the cumulativetotal expenditures (i.e., the sum of Line 5athrough Line 6l) from October 1 of theFederal fiscal year for which the report isbeing submitted through the current quarterbeing reported.
 Line 8.
Transitional Services for Employed.Enter in columns (A), (B), (C), and (D) thecumulative total expenditures to providetransitional services to families that cease toreceive assistance under the TANF programbecause of employment from October 1 of theFederal fiscal year for which the report isbeing submitted through the current quarterbeing reported. Expenditures reported on thisline must also be included in the expenditurecategories reported on lines 5 through 7.
Note:
The expenditures reported on thisline will duplicate expenditures reportedelsewhere in this report. Section 411(a)(5)requires separate quarterly reporting of expenditures on transitional services forfamilies that have ceased to receiveassistance because of employment.
 Line 9.
Federal Unliquidated Obligations.Enter in columns (A) and (D) the cumulativetotal Federal unliquidated obligations fromOctober 1 of the Federal fiscal year for whichthe report is being submitted through thecurrent quarter being reported. Obligationsreported on this line must meet the definitionof obligations contained in 45 CFR 92.3. Forthe Contingency Fund, this line shouldindicate $0 for the report submitted for thefourth quarter.
 Line 10.
Unobligated Balance. Enter incolumns (A) and (D) the cumulative totalFederal unobligated balances from October 1of the Federal fiscal year for which the reportis being submitted through the currentquarter being reported. After the end of theFederal fiscal year any amount reported incolumn (D), as an unobligated balance, willbe de-obligated by ACF.
Note:
The State must report any Federalfunds reserved for ‘rainy day’’ purposes asan unobligated balance on this line.Unobligated balances expended in any futureFederal fiscal year must be expended only onassistance (reported on Line 5 categories of this report) or administrative costs related toproviding assistance (reported on line 6(j)).
 Line 11.
State Replacement Funds. Enter incolumn (B) the cumulative total StateReplacement Funds expended as a result of the imposition of a TANF penalty fromOctober 1 of the Federal fiscal year for whichthe report is being submitted through thecurrent quarter being reported.
 Line 12.
Estimate for Next Quarter Ended.Enter in column (A) the estimate of SFAGgrant award funds requested for the nextquarter ending, whose ending date wasentered at the top of this report.
Note:
Section 405(c)(1) of the Act statesthat ACF shall estimate the amount to bepaid to each eligible State for each quarter,such estimate is to be based on a report filedby the State of the total sum to be expendedby the State in the quarter under the Stateprogram funded under section 403.
Appendix E—SSP MOE Data Report—Section One—Disaggregated Data Collectionfor Families Receiving Assistance Under theSeparate State Program(s)Instructions and Definitions
General Instruction:
If a State claims MOEexpenditures for separate State programs(SSPs) and for persons served by thoseprograms, it must collect and report thisinformation on the SSP–MOE Data Report onSSP–MOE families receiving assistance onlyas follows: (1) If the State wishes to receivea high performance bonus, it must file theinformation in sections one and three of theSSP–MOE Data Report; and (2) if the Statewishes to quality for caseload reductioncredit, it must file the information in all threesections of the SSP–MOE Data Report.The State agency should collect and reportdata for each data element. The data must becomplete (unless explicitly instructed toleave the field blank) and accurate (i.e,correct).An ‘‘Unknowncode may appear only onfour sets of data elements ([
#
28 and
#
60] Dateof Birth, [
#
29 and
#
61] Social SecurityNumber, [
#
37 and
#
67] Educational Level,and (
#
38 and
#
68] Citizenship/Alienage). Forthese data elements, unknown is not anacceptable code for individuals who aremembers of the eligible family (i.e., familyaffiliation code ‘‘1’’).There are six data elements for whichStates have the option to report based oneither the budget month or the reportingmonth. These are:
#
14 Amount of FoodStamps Assistance;
#
17 Amount of ChildSupport;
#
18 Amount of Families CashResources;
#
57 Amount of Earned Income;and [
#
58 and
#
69] Amount of UnearnedIncome. Whichever choice the State selectsmust be used for all families reported eachmonth and must be used for all months inthe fiscal year.The data elements in the SSP–MOE DataReport are similar to those in the TANF DataReport for the TANF Program. This will giveus comparable information on the SSPprograms. It will allow us, for example, tocalculate a SSP–MOE work participation rate.Because a State’s definitions and eligibilityrequirements for its SSPs may be differentfrom those in its TANF Program, the datarequired in its SSP–MOE Data Report maynot precisely correspond to the informationcollected by the State in its SSP–MOE DataReport. We encourage States to provide thebest possible information.1.
State FIPS Code:
Enter your two-digitState code from the following listing. Thesecodes are the standard codes used by theNational Institute of Standards andTechnology.
State CodeAlabama .............................................. 01Alaska ................................................. 02American Samoa ................................ 60Arizona ................................................ 04Arkansas ............................................. 05California ............................................. 06Colorado ............................................. 08Connecticut ......................................... 09Delaware ............................................. 10Dist. of Columbia ................................ 11Florida ................................................. 12Georgia ............................................... 13Guam .................................................. 66Hawaii ................................................. 15Idaho ................................................... 16Illinois .................................................. 17Indiana ................................................ 18Iowa .................................................... 19Kansas ................................................ 20Kentucky ............................................. 21Louisiana ............................................ 22Maine .................................................. 23Maryland ............................................. 24Massachusetts .................................... 25Michigan ............................................. 26Minnesota ........................................... 27Mississippi .......................................... 28Missouri .............................................. 29Montana .............................................. 30Nebraska ............................................ 31Nevada ............................................... 32New Hampshire .................................. 33New Jersey ......................................... 34New Mexico ........................................ 35New York ............................................ 36North Carolina .................................... 37North Dakota ...................................... 38
 
17920
Federal Register
 /Vol. 64, No. 69/Monday, April 12, 1999/Rules and Regulations
State CodeOhio .................................................... 39Oklahoma ........................................... 40Oregon ................................................ 41Pennsylvania ...................................... 42Puerto Rico ......................................... 72Rhode Island ...................................... 44South Carolina .................................... 45South Dakota ...................................... 46Tennessee .......................................... 47Texas .................................................. 48Utah .................................................... 49Vermont .............................................. 50Virgin Islands ...................................... 78Virginia ................................................ 51Washington ......................................... 53West Virginia ...................................... 54Wisconsin ........................................... 55Wyoming ............................................. 56
2.
County FIPS Code:
Enter the three-digitcode established by the National Institute of Standards and Technology for classificationof counties and county equivalents. Codeswere devised by listing countiesalphabetically and assigning sequentially oddintegers; e.g., 001, 003, 005. A complete listof codes is available in Appendix F of theTANF Sampling and Statistical MethodsManual.3.
 Reporting Month:
Enter the four-digityear and two-digit month codes that identifythe year and month for which the data arebeing reported.4.
Stratum:Guidance:
All families that receiveassistance under separate State Programs (i.e,SSP–MOE families) and are selected in thesample from the same stratum must beassigned the same stratum code. Validstratum codes may range from ‘‘00’’ to ‘‘99.’’States with stratified samples should providethe ACF Regional Office with a listing of thenumeric codes utilized to identify anystratification. If a State opts to provide datafor its entire caseload, enter the same stratumcode (any two-digit number) for each SSP–MOE family.
 Instruction:
Enter the two-digit stratumcode.Family-Level Data
 Definition:
For reporting purposes, theSSP–MOE family means (a) all individualsreceiving assistance as part of a family underthe separate State program(s); and (b) thefollowing additional persons living in thehousehold, if not included under (a) above:(1) Parent(s) or caretaker relative(s) of anyminor child receiving assistance;(2) Minor siblings of any child receivingassistance; and(3) Any person whose income or resourceswould be counted in determining thefamily’s eligibility for or amount of assistance.5.
Case Number—Separate State MOE:Guidance:
If the case number is less thanthe allowable eleven characters, a State mayuse lead zeros to fill in the number.
 Instruction:
Enter the number assigned bythe State agency to uniquely identify thecase.6.
 ZIP Code:
Enter the five-digit ZIP codefor the SSP–MOE family’s place of residencefor the reporting month.7.
 Disposition:Guidance:
A family that did not receiveany assistance for the reporting month butwas listed on the monthly sample frame forthe reporting month is ‘‘listed in error.’States are to complete data collection for allsampled cases that are not listed in error.
 Instruction:
Enter one of the followingcodes for each SSP–MOE sampled case.1=Data collection completed.2=Not subject to data collection/listed inerror.8.
 Number of Family Members:
Enter twodigits that represent the number of membersin the family receiving assistance under theseparate State program(s). Include in thenumber of family members, the noncustodialparent whom the State has opted to includeas part of the eligible family, who is receivingassistance as defined in §260.31, or who isparticipating in work activities as defined insection 407(d) of the Act.9.
Type of Family for Work Participation:Guidance:
This data element identifieswhether the family would be used in thecalculations for both the overall and two-parent work participation rates, would beused in only the overall work participationrate, or would not be used in either work participation rate.A family with an adult or minor childhead-of-household will be included in theoverall work participation rate unlessexplicitly disregarded. See data element
#
41Work Participation Status’’ for reasons fordisregarding a family.For the purpose of calculating the two-parent work participation rate, the two-parent families include any family with twoor more natural or adoptive parents (of thesame minor child) receiving assistance andliving in the home, unless both are minor andneither is a head-of-household. All two-parent families are included in the two-parent work participation rate unless thefamily is explicitly disregarded. See dataelement
#
41 ‘‘Work Participation Status’’ forreasons for disregarding a family. A two-parent family that includes a disabled parentis not included in the two-parent work participation rate.A family with a minor child head-of-household should be coded as either a single-parent family or two-parent family,whichever is appropriate.A noncustodial parent is defined in§260.30 as a parent who lives in the Stateand does not live with his/her child(ren). TheState must report information on thenoncustodial parent if the noncustodialparent: (1) Is receiving assistance as definedin §260.31; (2) is participating in work activities as defined in section 407(d) of theAct; or (3) has been designated by the Stateas a member of a family receiving assistance.
 Instruction:
Enter the one-digit code thatrepresents the type of family for purposes of calculating the work participation rates.1=Family included only in overall work participation rate.2=Two-Parent Family included in both theoverall and two-parent work participationrates.3=Family excluded from both the overalland two-parent work participation rates.10.
 Has the Family Received AssistanceUnder a State (Tribal) TANF Program Withinthe Past Six Months:
If the SSP–MOE familyhas received assistance under a State (Tribal)TANF Program within the past six months,enter code ‘‘1.’’ Otherwise, enter ‘‘2.’’1=Yes, family has received assistanceunder a State (Tribal) TANF program withinthe past six months.2=No.11.
 Receives Subsidized Housing:Guidance:
Subsidized housing refers tohousing for which money was paid by theFederal, State, or local government orthrough a private social service agency to thefamily or to the owner of the housing to assistthe family in paying rent. Two familiessharing living expenses does not constitutesubsidized housing.
 Instruction:
Enter the one-digit code thatindicates whether or not the SSP–MOEfamily received subsidized housing for thereporting month.1=Public housing.2=Rent subsidy.3=No housing subsidy.12.
 Receives Medical Assistance:
Enter ‘‘1’’if, for the reporting month, any SSP–MOEfamily member is enrolled in Medicaid andthus eligible to receive medical assistanceunder the State plan approved under TitleXIX or ‘‘2’’ if no SSP–MOE family memberis enrolled in Medicaid.1=Yes, enrolled in Medicaid.2=No.13.
 Receives Food Stamps:
Enter the one-digit code that indicates whether or not theSSP–MOE family is receiving food stampassistance.1=Yes, receives food stamp assistance.2=No.14.
 Amount of Food Stamp Assistance:Guidance:
For situations in which the foodstamp household differs from the SSP–MOEfamily, code this element in a manner thatmost accurately reflects the resourcesavailable to the SSP–MOE family. Oneacceptable method for calculating the amountof food stamp assistance available to theSSP–MOE family is to prorate the amount of food stamps equally between each foodstamp recipient then add together theamounts belonging to the SSP–MOErecipients.
 Instruction:
Enter the SSP–MOE eligiblefamily’s authorized dollar amount of foodstamp assistance for the reporting month orfor the month used to budget for thereporting month. If the SSP–MOE family didnot receive any food stamps for the reportingmonth, enter 0.’15.
 Receives Subsidized Child Care: Instruction:
If the SSP–MOE familyreceives subsidized child care for thereporting month, enter code ‘‘1’’ or ‘‘2,’’whichever is appropriate. Otherwise, entercode ‘‘3.’’1=Yes, receives child care funded entirelyor in part with Federal funds (e.g., receiveseither TANF, CCDF, SSBG, or other federallyfunded child care).2=Yes, receives child care funded entirelyunder a State, Tribal, and/or local program.3=No subsidized child care received.16.
 Amount of Subsidized Child Care:Guidance:
Subsidized child care means agrant by the Federal, State or localgovernment to or on behalf of a parent (or
 
17921
Federal Register
 /Vol. 64, No. 69/Monday, April 12, 1999/Rules and Regulations
caretaker relative) to support, in part orwhole, the cost of child care servicesprovided by an eligible provider to aneligible child. The grant may be paid directlyto the parent (or caretaker relative) or to achild care provider on behalf of the parent (orcaretaker relative).
 Instruction:
Enter the dollar amount of subsidized child care that the SSP–MOEfamily has received from all sources (e.g.,CCDF, TANF, SSBG, State, local, etc.) forservices in the reporting month. If SSP–MOEfamily did not receive any subsidized childcare for services in the reporting month, enter‘‘0’’ as the amount.17.
 Amount of Child Support:
Enter thetotal dollar value of child support receivedon behalf of the SSP–MOE family in thereporting month or for the month used tobudget for the reporting month. This includescurrent payments, arrearages, recoupment,and pass-through amounts whether paid tothe State or the family.18.
 Amount of the Family’s Cash Resources
Enter the total dollar amount of the SSP–MOE family’s cash resources as the Statedefines them for determining eligibility and/ or computing benefits for the reportingmonth or for the month used to budget forthe reporting month.Amount of Assistance Received and theNumber of Months That the Family HasReceived Each Type of Assistance Under theSeparate State Program
Guidance:
The term assistance’includescash, payments, vouchers, and other forms of benefits designed to meet a family’s ongoingbasic needs (i.e., for food, clothing, shelter,utilities, household goods, personal careitems, and general incidental expenses). Itincludes such benefits even when they areprovided in the form of payments by a TANFagency, or other agency on its behalf, toindividual recipients and conditioned ontheir participation in work experience,community service, or other work activities(i.e., under the CFR §261.30).Except where excluded as indicated in thefollowing paragraph, it also includessupportive services such as transportationand child care provided to families who arenot employed.The term ‘‘assistance’excludes:(1) Nonrecurrent, short-term benefits (suchas payments for rent deposits or appliancerepairs) that:(i) Are designed to deal with a specificcrisis situation or episode of need;(ii) Are not intended to meet recurrent orongoing needs; and(iii) Will not extend beyond four months.(2) Work subsidies (i.e., payments toemployers or third parties to help cover thecosts of employee wages, benefits,supervision, and training);(3) Supportive services such as child careand transportation provided to families whoare employed;(4) Refundable earned income tax credits;(5) Contributions to, and distributionsfrom, Individual Development Accounts;(6) Services such as counseling, casemanagement, peer support, child careinformation and referral, transitionalservices, job retention, job advancement, andother employment-related services that donot provide basic income support; and(7) Transportation benefits provided underan Access to Jobs or Reverse Commuteproject, pursuant to section 404(k) of the Act,to an individual who is not otherwisereceiving assistance.The exclusion of nonrecurrent, short-termbenefits under (1) of this paragraph alsocovers supportive services for recentlyemployed families, for temporary periods of unemployment, in order to enable continuityin their service arrangements.
 Instruction:
For each type of assistanceprovided under the separate State program,enter the dollar amount of assistance that theSSP–MOE family received or that was paidon behalf of the SSP–MOE family for thereporting month and the number of monthsthat the SSP–MOE family has receivedassistance under the State’s Separate MOEprograms. Also, for SSP–MOE Child Care,enter the number of children covered by thechild care. If, for a ‘‘type of assistance,’’ nodollar amount of assistance was providedduring the reporting month, enter ‘‘0’as theamount. If, for a ‘‘type of assistance,’’ noassistance has ever been received by theeligible family, enter ‘‘0’’ as the number of months of assistance.19.
Cash and Cash Equivalents:
A.
 Amount 
B.
 Number of Months
20.
Child Care:Guidance:
Include only the child carefunded directly by these Separate Stateprograms. Do not include child care fundedunder the TANF Program or the Child Careand Development Fund.Number of:
 A. Amount  B. Children Covered C. Number of Months21. Transportation: A. Amount  B. Number of Months22. Transitional Services: A. Amount  B. Number of Months23. Other: A. Amount  B. Number of Months
24.
 Reason for and Amount of Reductionin Assistance: Instruction:
The amount of assistancereceived by a SSP–MOE family may bereduced for one or more reasons. For eachreason listed below, indicate whether theSSP–MOE family received a reduction inassistance. Enter the total dollar value of thereduction(s) for each group of reasons forreductions in assistance for the reportingmonth. If for any reason there was noreduction in assistance, enter ‘‘0.’a.
Sanctions:
i.
Total Dollar Amount of Reductions dueto Sanctions:
Enter the total dollar value of reduction in assistance due to sanctions.ii.
Work Requirements Sanction:
1=Yes.2=No.iii.
Family Sanction for an Adult with No High School Diploma or Equivalent:
1=Yes.2=No.iv.
Sanction for Teen Parent not AttendingSchool:
1=Yes.2=No.v.
 Non-Cooperation with Child Support:
1=Yes.2=No.vi.
Failure to Comply with an Individual Responsibility Plan:
1=Yes.2=No.vii.
Other Sanctions:
1=Yes.2=No.b.
 Recoupment of Prior Overpayment:
Enter the total dollar value of reduction inassistance due to recoupment of a prioroverpayment.c.
Other:
i.
Total Dollar Amount of Reductions dueto Other Reasons (exclude the amounts for sanction and recoupment):
Enter the totaldollar value of reduction in assistance due toreasons other than sanctions andrecoupment.ii.
Family Cap:
1=Yes.2=No.iii.
 Reduction Based on Family Moving intoState From Another State:
1=Yes.2=No.iv.
 Reduction Based on Length of Receipt of Assistance:
1=Yes.2=No.v.
Other, Non-sanction:
1=Yes.2=No.25.
Waiver Evaluation Experimental and Control Groups:Guidance:
If this data element is notapplicable to your State (Tribe), either codethis element ‘‘9’or leave this data elementblank. In connection with waivers that areapproved to allow States to implementWelfare Reform Demonstrations, a Stateassigned a portion of its cases to controlgroups (subject to the provisions of theregular, statutory AFDC program as definedby prior law) and experimental groups(subject to the provisions of the regular,statutory AFDC program as defined by priorlaw as modified by waivers). A State maychoose, for the purpose of completing impactanalyses, to maintain applicable control andexperimental group treatment policies asthey were implemented under their welfarereform demonstration (including prior lawpolicies not modified by waivers), even if such policies are inconsistent with TANF.However, cases not assigned to anexperimental or control group but subject towaiver policies in accordance with the termsand conditions of the waiver approval, maynot apply prior law policies inconsistentwith TANF unless such policies arespecifically linked to approved waivers.When a State continues waivers, but does notmaintain experimental and control groups forimpact evaluation purposes, all cases in thedemonstration site will be treated as casessubject to waiver policies in accordance withterms and conditions regardless of theiroriginal assignment as control group cases(i.e., prior law policies may only apply to theextent they are specially linked to approvedwaivers and former control group cases willnow be subject to waiver policies.)

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