Temporary Assistance for Needy Families Part 265: Data Collection and Reporting

Section 265: Data Collection and Reporting I.Purpose of Data Collection II.Public Comment -- Overview III.DHHS Response IV.General Information on the Reporting Requirements V.Major Provisions

I. Purpose of Data Collection Determine the Success of the TANF Program. Are adults being employed? Why are families leaving the rolls? Accountability –Work Participation Rates –Time Limits –MOE Expenditures Consistency of Data –Facilitates comparison of data across States and over time. –Promotes better understanding of what is happening nationwide.

II. Public Comment -- Overview General agreement on the need for data collection but objections to the overall reporting requirements, our estimate of the burden, and to specific proposals. Major areas of concern were: Reporting on SSP-MOE programs. Specific data elements. Reporting on closed cases. The “complete and accurate” standard. Proposed sampling requirements.

III. DHHS Response Seriously considered all comments and concerns. Accepted many of the comments and recommendations. Made substantive and technical changes. Reduced burden and provided flexibility consistent with statutory requirements.

IV. General Information on the Reporting Requirements Reporting Burden –The reporting requirements in the final rule are less burdensome than the NPRM. –We reduced the number of required data elements and made some data elements optional for certain family members. –We reduced the types of SSP-MOE program(s) on which States must report case-record data.

IV. General Information on the Reporting Requirements (continued) Statutory Authority –Most of the information is required under section 411 of the Act. –We also require some data elements to: Ensure accountability under section 409(a) (penalties). Calculate the caseload reduction credit under section 407. Implement administrative requirements under sections 403 and 405. Rank States as required in section 413.

IV. General Information on the Reporting Requirements (continued) Other reporting requirements (outside Part 265): –Caseload Reduction Documentation process, due December 31 of each year (Part 261). –Reasonable Cause/Corrective Compliance Documentation process (Part 262). –Domestic Violence Good Cause Waiver Redetermination process (Part 260). –Governor’s Waiver Certification process (Part 260).

V. Major Provisions Effective Date Provided an effective date of October 1, 1999, for the final rule and for these new reporting requirements. States will continue to report the data in the Emergency TANF Data Report for reporting periods prior to October 1, Data must be filed electronically. Data are due 45 days after the end of the quarter. The first report based on the data in the final rule will be due February 14, 2000.

V. Major Provisions (continued) Y2K Added an additional criterion for reasonable cause; States that miss the deadline for submitting complete and accurate data for the first two quarters of FY 2000 will receive reasonable cause if: (1) they can clearly demonstrate that their failure was attributable to Y2K compliance activities; and (2) they submit the required data by September 30, 2000.

V. Major Provisions (continued) Definition of Assistance Substantially modified the definition of assistance, which affects the number of TANF families receiving assistance (families for which the State must collect and report data). Definition of Family for Reporting Purposes Retained the definition of “family” for reporting purposes only. All data elements must be reported for individuals receiving assistance.

V. Major Provisions (continued) A. Reports Three Quarterly Reports: –TANF Data Report. –SSP-MOE Data Report. –TANF Financial Report. One Annual Report (formerly an addendum to fourth quarter TANF Financial Report). Eliminated the Annual Program and Performance Report.

V. Major Provisions (continued) B. TANF Data Report Three Sections –Section One: Disaggregated (case-record) data on families and individuals receiving assistance and certain other family members. –Section Two: Disaggregated data on closed cases. –Section Three: Aggregate data.

V. Major Provisions B. TANF Data Report (continued) Reduced the number of data elements. Made optional some data elements for family members not receiving assistance. Clarified reporting on non-custodial parents, domestic violence waivers, and waivers under welfare reform demonstration programs. Added a few data elements such as an element on child- only cases (to better track cases converted to “child- only” status) and an element to identify when the needs of a pregnant woman are considered in providing assistance.

V. Major Provisions B. TANF Data Report (continued) Reporting on Closed Cases Clarified that States need not track closed cases but may report data based on the last month of assistance received.

V. Major Provisions (continued) C. TANF Financial Report TANF Financial Report Significantly revised the ACF-196 by adding several categories of expenditures and more detailed instructions.

V. Major Provisions (continued) D. SSP-MOE Data Report A State must collect and report data similar to that reported in the TANF Data Report if it wishes to: –Receive a high performance bonus; or –Qualify for caseload reduction credit. A State must file this report only on: –SSPs that provide benefits that meet the definition of assistance. –SSPs for which MOE expenditures are claimed. We eliminated the requirement that the SSP-MOE Data Report must be filed in order to obtain penalty reduction.

V. Major Provisions D. SSP-MOE Data Report (continued) Three Sections –Disaggregated data on families and individuals receiving assistance and certain other family members. –Disaggregated data on closed cases. –Aggregate data. We made similar reductions, clarifications, and additions in this report as we did in the TANF Data Report.

V. Major Provisions (continued) E. Annual Report This report is due November 15 of each year but no penalty if the data is submitted by December 30. It contains some of the requirements proposed in the NPRM and adds some new requirements, in part in response to comments. From the NPRM –State definitions of each work activity. –State TANF program descriptions. –Information on TANF child care disregards (was proposed as a quarterly reporting requirement in the NPRM). –MOE program information.

V. Major Provisions E. Annual Report (continued) New Requirements State program descriptions of: –Domestic violence service strategies and total number of good cause domestic violence waivers granted. –Diversion programs and benefits. –Procedures for handling displacement complaints. –Programs and activities to reduce out-of-wedlock pregnancies and to promote the formation and maintenance of two parent families (the third and fourth statutory purposes of the TANF program). –Additional MOE expenditure data.

V. Major Provisions E. Annual Report (continued) If the State has submitted this information in the State Plan, it may meet the annual reporting requirement by reference in lieu of re-submission. If the State makes a substantive change in certain annual report requirements, it must file a copy of the change with the next quarterly data report.

V. Major Provisions (continued) F. Sampling Requirements Sampling to report disaggregated data is a State option. Clarified that States have considerable flexibility in developing their sampling plans. We retained the annual minimum required sample sizes proposed in the NPRM: –Families receiving assistance ø New applicants ø Ongoing recipients * Two parent families * All other families –Families no longer receiving assistance - 800

V. Major Provisions F. Sampling Requirements (continued) The same sample sizes apply to the SSP-MOE program. States may use sampling to generate certain aggregated data elements; for example, the total number of approved applications. States may not use sampling to report expenditure data. We retained the proposed definition of a “scientifically acceptable sampling method” as the basis for State sampling systems and reporting disaggregated data. In developing sampling plans, States must follow the specifications and procedures in the TANF Sampling and Statistical Methods Manual which we plan to issue in the next few months.

V. Major Provisions (continued) G. The Reporting Penalty What is the amount of the penalty? For each quarter in which a State fails to meet the reporting requirements, we will reduce the SFAG payable by an amount equal to four percent of the adjusted SFAG (or a lesser amount if the State achieves substantial compliance under a corrective compliance plan).

V. Major Provisions G. The Reporting Penalty (continued) How will we determine if the State is meeting the quarterly reporting requirements? –The TANF Data Report and the TANF Financial Report must be complete and accurate and filed by the due date. ( We retained the definition of a “complete and accurate” report as proposed in the NPRM.) –We will use audits and reviews to verify the accuracy of the data. –States must maintain records to adequately document all reports.

V. Major Provisions G. The Reporting Penalty (continued) Under what circumstances will we take actions to impose a reporting penalty? We will take action to impose a reporting penalty if: –The State fails to file a quarterly data report within 45 days of the end of the quarter. –The TANF Data Report and the TANF Financial Report do not contain complete and accurate data as specified in 265.8(a). –The annual report does not contain the State’s definition of work activities and the descriptions of transitional services provided by a State to families no longer receiving assistance due to employment.

V. Major Provisions G. The Reporting Penalty (continued) Clarified our policy on penalty relief for less than “complete and accurate” reporting. In some cases, a State may face other penalties (e.g., work participation) if it fails to provide data needed to determine compliance. We will not apply the reporting penalty to the SSP- MOE Data Report. We will not impose the reporting penalty if the State files the timely, complete, and accurate quarterly data report and certain information in the annual report before the end of the quarter following the quarter for which the reports were required.

Major Provisions G. Reporting Penalty (continued) If the State has not met the conditions for complete, accurate, and timely reporting as described in §265.8, the penalty provisions in §262.4 through §262.6 will apply. See clarifying preamble discussion.