45 C.F.R. PART 286—TRIBAL TANF PROVISIONS
Title 45 - Public Welfare
Authority: 42 U.S.C. 612.
Source: 65 FR 8530, Feb. 18, 2000, unless otherwise noted.
Section 412 of the Social Security Act allows Indian tribes to apply to operate a Tribal Family Assistance program. This part implements section 412. It specifies: (a) who can apply to operate a Tribal Family Assistance program; (b) the requirements for the submission and contents of a Tribal Family Assistance Plan; (c) the determination of the amount of a Tribal Family Assistance Grant; and (d) other program requirements and procedures. The following definitions apply under this part: ACF means the Administration for Children and Families. Act means the Social Security Act, unless otherwise specified. Administrative cost means costs necessary for the proper administration of the TANF program. (1) It excludes the direct costs of providing program services. (i) For example, it excludes costs of providing diversion benefits and services, providing program information to clients, screening and assessments, development of employability plans, work activities, post-employment services, work supports, information on and referral to Medicaid, Child Health Insurance Program (CHIP), Food Stamp and Native Employment Works (NEW) programs and case management. (ii) It excludes the salaries and benefit costs for staff providing program services and the direct administrative costs associated with providing the services, such as the costs for supplies, equipment, travel, postage, utilities, rental of office space and maintenance of office space, and (iii) It excludes information technology and computerization needed for tracking and monitoring. (2) It includes the costs for general administration and coordination of this program, including contract costs for these functions and indirect (or overhead) costs. Some examples of administrative costs include, but are not limited to: (i) Salaries and benefits and all other direct costs not associated with providing program services to individuals, including staff performing administrative and coordination functions; (ii) Preparation of program plans, budgets, and schedules; (iii) Monitoring of programs and projects; (iv) Fraud and abuse units; (v) Procurement activities; (vi) Public relations; (vii) Services related to accounting, litigation, audits, management of property, payroll, and personnel; (viii) Costs for the goods and services required for administration of the program such as the costs for supplies, equipment, travel, postage, utilities, and rental of office space and maintenance of office space, provided that such costs are not excluded as a direct administrative cost for providing program services under paragraph (1) of this definition; (ix) Travel costs incurred for official business and not excluded as a direct administrative cost for providing program services under paragraph (1) of this definition; (x) Management information systems not related to the tracking and monitoring of TANF requirements (e.g., for a personnel and payroll system for Tribal staff); and (xi) Preparing reports and other documents related to program requirements. Adult means an individual who is not a “minor child,” as defined below. Alaska Tribal TANF entity means the twelve Alaska Native regional nonprofit corporations in the State of Alaska and the Metlakatla Indian Community of the Annette Islands Reserve. Assistant Secretary means the Assistant Secretary for Children and Families, Department of Health and Human Services. Cash assistance, when provided to participants in the Welfare-to-Work program, has the meaning specified at §286.130. Comparability means similarity between State and Tribal TANF programs in the State of Alaska. Comparability, when defined related to services provided, does not necessarily mean identical or equal services. Consortium means a group of Tribes working together for the same identified purpose and receiving combined TANF funding for that purpose. The Department means the Department of Health and Human Services. Duplicative Assistance means the receipt of services/ assistance from two or more TANF programs for the same purpose. Eligible families means all families eligible for TANF funded assistance under the Tribal TANF program funded under section 412(a), including: (1) All U.S. citizens who meet the Tribe's criteria for Tribal TANF assistance; (2) All qualified aliens, who meet the Tribe's criteria for Tribal TANF assistance, who entered the U.S. before August 22, 1996; (3) All qualified aliens, who meet the Tribe's criteria for Tribal TANF assistance, who entered the U.S. on or after August 22, 1996, who have been in the U.S. for at least 5 years beginning on the date of entry into the U.S. with a qualified alien status, are eligible beginning 5 years after the date of entry into the U.S. There are exceptions to this 5-year bar for qualified aliens who enter on or after August 22, 1996, and the Tribal TANF program must cover these excepted individuals: (a) An alien who is admitted to the U.S. as a refugee under section 207 of the Immigration and Nationality Act; (b) An alien who is granted asylum under section 208 of such Act; (c) An alien whose deportation is being withheld under section 243(h) of such Act; and (d) An alien who is lawfully residing in any State and is a veteran with an honorable discharge, is on active duty in the Armed Forces of the U.S., or is the spouse or unmarried dependent child of such an individual; (4) All permanent resident aliens who are members of an Indian tribe, as defined in section 4(e) of the Indian Self-Determination and Education Assistance Act; (5) All permanent resident aliens who have 40 qualifying quarters of coverage as defined by Title II of the Act. Eligible Indian tribe means any Tribe or intertribal consortium that meets the definition of Indian tribe in this section and is eligible to submit a Tribal TANF plan to ACF. Family Violence Option (or FVO) means the provision at section 402(a)(7) of the Act made available to Tribes under which a Tribe may certify in its Tribal TANF plan that it has elected the option to implement comprehensive strategies for identifying and serving victims of domestic violence. Fiscal year means the 12-month period beginning on October 1 of the preceding calendar year and ending on September 30. FY means fiscal year. Good cause domestic violence waiver means a waiver of one or more program requirements granted by a Tribe to a victim of domestic violence under the FVO, as described in §286.140(a)(3). Grant period means the period of time that is specified in the Tribal TANF grant award document. Indian, Indian tribe and Tribal Organization have the same meaning given such terms by section 4 of the Indian Self-Determination and Education Assistance Act (25 U.S.C. 450b), except that the term “Indian tribe” means, with respect to the State of Alaska, only the Metlakatla Indian Community of the Annette Islands Reserve and the following Alaska Native regional nonprofit corporations: (1) Arctic Slope Native Association; (2) Kawerak, Inc.; (3) Maniilaq Association; (4) Association of Village Council Presidents; (5) Tanana Chiefs Council; (6) Cook Inlet Tribal Council; (7) Bristol Bay Native Association; (8) Aleutian and Pribilof Island Association; (9) Chugachmuit; (10) Tlingit Haida Central Council; (11) Kodiak Area Native Association; and (12) Copper River Native Association. Indian country has the meaning given the term in 18 U.S.C. 1151. Minor child means an individual who: (1) Has not attained 18 years of age; or (2) Has not attained 19 years of age and is a full-time student in a secondary school (or in the equivalent level of vocational or technical training). Minor Head-of-Household means an individual under age 18, or 19 and a full-time student in a secondary school, who is the custodial parent of a minor child. PRWORA means the Personal Responsibility and Work Opportunity Reconciliation Act of 1996. Qualified Aliens has the same meaning given the term in 8 U.S.C. 1641 except that it also includes members of an Indian tribe, as defined in section 4(e) of the Indian Self-Determination and Education Assistance Act, who are lawfully admitted under 8 U.S.C. 1359. Retrocession means the process by which a Tribe voluntarily terminates and cedes back (or returns) a Tribal TANF program to the State which previously served the population covered by the Tribal TANF plan. Retrocession includes the voluntary relinquishment of the authority to obligate previously awarded grant funds before that authority would otherwise expire. Secretary means the Secretary of the Department of Health and Human Services. Scientifically acceptable sampling method means a probability sampling method in which every sampling unit has a known, non-zero chance to be included in the sample and the sample size requirements are met. SFAG or State Family Assistance Grant means the amount of the block grant funded under section 403(a) of the Act for each eligible State. SFAP or State Family Assistance Plan is the plan for implementation of a State TANF program under PRWORA. State means, except as otherwise specifically provided, the 50 States of the United States, the District of Columbia, the Commonwealth of Puerto Rico, the United States Virgin Islands, Guam, and American Samoa. TANF means the Temporary Assistance for Needy Families Program, which is authorized under title IV-A of the Social Security Act. TANF funds mean funds authorized under section 412(a) of the Act. TFAG or Tribal Family Assistance Grant means the amount of the block grant funded under section 412(a) of the Act for each eligible Tribe. TFAP or Tribal Family Assistance Plan means the plan for implementation of the Tribal TANF program under section 412(b) of the Act. Title IV-A refers to the title of the Social Security Act that now includes TANF, but previously included AFDC and EA. For the purpose of the TANF program regulations, this term does not include child care programs authorized and funded under section 418 of the Act, or their predecessors, unless we specify otherwise. Title IV-F refers to the title of the Social Security Act that was eliminated with the creation of TANF and previously included the Job Opportunities and Basic Skills Training Program (JOBS). Tribal TANF expenditures means expenditures of TANF funds, within the Tribal TANF program. Tribal TANF program means a Tribal program subject to the requirements of section 412 of the Act that is funded by TANF funds on behalf of eligible families. Victim of domestic violence means an individual who is battered or subject to extreme cruelty under the definition at section 408(a)(7)(C)(iii) of the Act. We (and any other first person plural pronouns) refers to The Secretary of Health and Human Services, or any of the following individuals or organizations acting in an official capacity on the Secretary's behalf: the Assistant Secretary for Children and Families, the Regional Administrators for Children and Families, the Department of Health and Human Services, and the Administration for Children and Families. Welfare-related services means all activities, assistance, and services funded under Tribal TANF provided to an eligible family. See definition of “Assistance” in §286.10. Welfare-to-Work means the program for funding work activities at section 412(a)(2)(C) of the Act. WtW means Welfare-to-Work. WtW cash assistance, when provided to participants in the Welfare-to-Work program, has the meaning specified at §286.130. (a) The term “assistance” includes cash, payments, vouchers, and other forms of benefits designed to meet a family's ongoing basic needs (i.e., for food, clothing, shelter, utilities, household goods, personal care items, and general incidental expenses). (1) It includes such benefits even when they are: (i) Provided in the form of payments by a TANF agency, or other agency on its behalf, to individual recipients; and (ii) Conditioned on participation in work experience or community service or any other work activity. (2) Except where excluded under paragraph (b) of this section, it also includes supportive services such as transportation and child care provided to families who are not employed. (b) It excludes: (1) Nonrecurring, short-term benefits that: (i) Are designed to deal with a specific crisis situation or episode of need; (ii) Are not intended to meet recurrent or ongoing needs; and (iii) Will not extend beyond four months. (2) Work subsidies (i.e., payments to employers or third parties to help cover the costs of employee wages, benefits, supervision, and training); (3) Supportive services such as child care and transportation provided to families who are employed; (4) Refundable earned income tax credits; (5) Contributions to, and distributions from, Individual Development Accounts; (6) Services such as counseling, case management, peer support, child care information and referral, information on and referral to Medicaid, Child Health Insurance Program (CHIP), Food Stamp and Native Employment Works (NEW) programs, transitional services, job retention, job advancement, and other employment-related services that do not provide basic income support; and (7) Transportation benefits provided under a Job Access or Reverse Commute project, pursuant to section 404(k) of the Act, to an individual who is not otherwise receiving assistance. (c) The definition of the term assistance specified in paragraphs (a) and (b) of this section does not preclude a Tribe from providing other types of benefits and services consistent with the purposes of the TANF program. (a) An Indian tribe that meets the definition of Indian tribe given in §286.5 is eligible to apply to operate a Tribal Family Assistance Program. (b) In addition, an intertribal consortium of eligible Indian tribes may develop and submit a single TFAP. (a) We will request and use data submitted by a State to determine the amount of a TFAG. The State data that we will request and use are the total Federal payments attributable to State expenditures, including administrative costs (which includes systems costs) for fiscal year 1994 under the former Aid to Families With Dependent Children, Emergency Assistance and Job Opportunities and Basic Skills Training programs, for all Indian families residing in the geographic service area or areas identified in the Tribe's letter of intent or Tribal Family Assistance Plan. (1) A Tribe must indicate its definition of “Indian family” in its Tribal Family Assistance Plan. Each Tribe may define “Indian family” according to its own criteria. (2) When we request the necessary data from the State, the State will have 30 days from the date of the request to submit the data. (i) If we do not receive the data requested from the State at the end of the 30-day period, we will so notify the Tribe. (ii) In cases where data is not received from the State, the Tribe will have 45 days from the date of the notification in which to submit relevant information. Relevant information may include, but is not limited to, Census Bureau data, data from the Bureau of Indian Affairs, data from other Federal programs, and Tribal records. In such a case, we will use the data submitted by the Tribe to assist us in determining the amount of the TFAG. Where there are inconsistencies in the data, follow-up discussions with the Tribe and the State will ensue. (b) We will share the data submitted by the State under paragraph (a)(2)(i) of this section with the Tribe. The Tribe must submit to the Secretary a notice as to the Tribe's agreement or disagreement with such data no later than 45 days after the date of our notice transmitting the data from the State. During this 45-day period we will help resolve any questions the Tribe may have about the State-submitted data. (c) We will notify each Tribe that has submitted a TFAP of the amount of the TFAG. At this time, we will also notify the State of the amount of the reduction in its SFAG. (d) We will prorate TFAGs that are initially effective on a date other than October 1 of any given Federal fiscal year, based on the number of days remaining in the Federal fiscal year. (a) If a Tribe disagrees with the data submitted by a State, the Tribe may submit additional relevant information to the Secretary. Relevant information may include, but is not limited to, Census Bureau data, data from the Bureau of Indian Affairs, data from other Federal programs, and Tribal records. (1) The Tribe must submit any relevant information within 45 days from the date it notifies the Secretary of its disagreement with State submitted data under §286.20(b). (2) We will review the additional relevant information submitted by the Tribe, together with the State-submitted data, in order to make a determination as to the amount of the TFAG. We will determine the amount of the TFAG at the earliest possible date after consideration of all relevant data. (a) A Tribe that wishes to terminate its TFAG prior to the end of its three-year plan must— (1) Notify the Secretary and the State in writing of the reason(s) for termination no later than 120 days prior to the effective date of the termination, or (2) Notify the Secretary in writing of the reason(s) for termination no later than 30 days prior to the effective date of the termination, where such effective data is mutually agreed upon by the Tribe and the affected State(s). (b) The effective date of the termination must coincide with the last day of a calendar month. (c) For a Tribe that retrocedes, the provisions of 45 CFR part 92 will apply with regard to closeout of the grant. All unobligated funds will be returned by the Tribe to the Federal government. (d) The SFAG will be increased by the amount of the TFAG available for the subsequent quarterly installment. (e) A Tribe's application to implement a TANF program subsequent to its retrocession will be treated as any other application to operate a TANF program, except that we may take into account when considering approval— (1) Whether the circumstances that the Tribe identified for termination of its TANF program remain applicable and the extent to which— (i) The Tribe has control over such circumstances, and (ii) Such circumstances are reasonably related to program funding accountability, and (2) Whether any outstanding funds and penalty amounts are repaid. (f) A Tribe which retrocedes a Tribal TANF program is responsible for: (1) Complying with the data collection and reporting requirements and all other program requirements for the period before the retrocession is effective; (2) Any applicable penalties (see subpart D) for actions occurring prior to retrocession; the provisions of 45 CFR Part 92 and OMB Circulars A–87 and A–133; (3) compliance with other Federal statutes and regulations applicable to the TANF program; and (4) any penalties resulting from audits covering the period before the effective date of retrocession. (a) Tribes may use TFAGs for expenditures that: (1) Are reasonably calculated to accomplish the purposes of TANF, including, but not limited to, the provision to low income households with assistance in meeting home heating and cooling costs; assistance in economic development and job creation activities, the provision of supportive services to assist needy families to prepare for, obtain, and retain employment; the provision of supportive services to prevent of out-of-wedlock pregnancies, and assistance in keeping families together, or (2) Were an authorized use of funds under the State plans for Parts A or F of title IV of the Social Security Act, as such parts were in effect on September 30, 1995. (a) If the Tribe elects to operate an IDA program, it may use Federal TANF funds or WtW funds to fund IDAs for individuals who are eligible for TANF assistance and may exercise flexibility within the limits of Federal regulations and the statute. (b) The following restrictions apply to IDA funds: (1) A recipient may deposit only earned income into an IDA. (2) A recipient's contributions to an IDA may be matched by, or through, a qualified entity. (3) A recipient may withdraw funds only for the following reasons: (i) To cover post-secondary education expenses, if the amount is paid directly to an eligible educational institution; (ii) For the recipient to purchase a first home, if the amount is paid directly to the person to whom the amounts are due and it is a qualified acquisition cost for a qualified principal residence by a qualified first-time buyer; or (iii) For business capitalization, if the amounts are paid directly to a business capitalization account in a federally insured financial institution and used for a qualified business capitalization expense. (c) To prevent recipients from withdrawing funds held in an IDA improperly, Tribes may do the following: (1) Count withdrawals as earned income in the month of withdrawal, unless already counted as income, (2) Count withdrawals as resources in determining eligibility, or (3) Take such other steps as the Tribe has established in its Tribal plan or written Tribal policies to deter inappropriate use. (a) A Tribe may not use Tribal Family Assistance Grant funds to provide assistance to: (1) Families or individuals that do not otherwise meet the eligibility criteria contained in the Tribal Family Assistance Plan (TFAP); or (2) For more than the number of months as specified in a Tribe's TFAP (unless covered by a hardship exemption); or (3) Individuals who are not citizens of the United States or qualified aliens or who do not otherwise meet the definition of “eligible families” at §286.5. (b) Tribal Family Assistance Grant funds may not be used to contribute to or to subsidize non-TANF programs. (c) A Tribe may not use Tribal Family Assistance Grant funds for services or activities prohibited by OMB Circular A–87. (d) All provisions in OMB Circular A–133 and in 45 CFR part 92 are applicable to the Tribal TANF program. (e) Tribal TANF funds may not be used for the construction or purchase of facilities or buildings. (f) Tribes must use program income generated by the Tribal Family Assistance grant for the purposes of the TANF program and for allowable TANF services, activities and assistance. (a) ACF will negotiate a limitation on administrative costs with each Tribal TANF applicant individually for the first year of a program's operation based on the applicant's proposed administrative cost allocation. No Tribal TANF grantee may expend more than 35 percent of its Tribal Family Assistance Grant for administrative costs during the first year. (b) ACF will negotiate a limitation on administrative costs with each Tribal TANF applicant individually for the second year of a program's operation based on the applicant's proposed administrative cost allocation. No Tribal TANF grantee may expend more than 30 percent of its TFAG for administrative costs during the second year. (c) ACF will negotiate a limitation on administrative costs with each Tribal TANF applicant individually for the third and all subsequent years of a program's operation based on the applicant's proposed administrative cost allocation. As negotiated, a Tribal TANF grantee may not expend more than 25 percent of its TFAG for administrative costs during any subsequent grant period. (1) For the purposes of determining administrative costs, Tribes with approved plans who have been operating Tribal TANF programs prior to the effective date of this regulation will be able to negotiate a reasonable adjustment in their approved administrative cost rate, not to exceed the limitations in the Final Rule delineated above. (2) [Reserved] (d) ACF will negotiate limitations on administrative costs based on, but not limited to, a Tribe's TANF funding level, economic conditions, and the resources available to the Tribe, the relationship of the Tribe's administrative cost allocation proposal to the overall purposes of TANF, and a demonstration of the Tribe's administrative capability. (a) Activities that fall within the definition of “administrative costs” at §286.5 are subject to the limit determined under §286.50. (b) Information technology and computerization for tracking, data entry and monitoring, including personnel and other costs associated with the automation activities needed for Tribal TANF monitoring, data entry and tracking purposes, are excluded from the administrative cost cap, even if they fall within the definition of “administrative costs.” (c) Designing, administering, monitoring, and controlling a sample are not inherent parts of information technology and computerization and, thus, costs associated with these tasks must be considered administrative costs. (d) Indirect Costs negotiated by BIA, the Department's Division of Cost Allocation, or another federal agency must be considered to be part of the total administrative costs. (a) No. A Tribe may reserve amounts awarded to it, without fiscal year limitation, to provide assistance under the Tribal TANF program. (b) A Tribe may expend funds beyond the fiscal year in which awarded only on benefits that meet the definition of assistance at §286.10 or on the administrative costs directly associated with providing that assistance. (a) Any eligible Indian tribe, Alaska Native organization, or intertribal consortium that wishes to administer a Tribal TANF program must submit a three-year TFAP to the Secretary of the Department of Health and Human Services. The original must be submitted to the appropriate ACF Regional Office with a copy to the ACF Central Office. (b) A Tribe currently operating a Tribal TANF program must submit to the appropriate ACF Regional Office, with a copy to the ACF Central Office, no later than 120 days prior to the end of the three-year grant period, either— (1) A letter of intent, with a copy to the affected State or States, which specifies they do not intend to continue operating the program beyond the end of the three-year grant period; or (2) A letter of intent, with a copy to the affected State or States, which specifies they intend to continue program operations with no changes to the geographic service area or service population; or (3) A new three-year plan which indicates a change in either the geographic service area or service population. (c) For Tribes choosing option (b)(2) above, a new three-year plan must be submitted to the appropriate ACF Regional Office, with a copy to the ACF Central Office, no later than 60 days before the end of the current three-year grant period. (a) A TFAP must be submitted by the chief executive officer of the Indian tribe and be accompanied by a Tribal resolution supporting the TFAP. (b) A TFAP from a consortium must be forwarded under the signature of the chief executive officer of the consortium and be accompanied by Tribal resolutions from all participating Tribes that demonstrate each individual Tribe's support of the consortium, the delegation of decision-making authority to the consortium's governing board, and the Tribe's recognition that matters involving operation of the Tribal TANF consortium are the express responsibility of the consortium's governing board. (c) When one of the participating Tribes in a consortium wishes to withdraw from the consortium, the Tribe needs to both notify the consortium and the Secretary of this fact. (1) This notification must be made at least 120 days prior to the effective date of the withdrawal. (2) The time frame in paragraph (c)(i) of this section is applicable only if the Tribe's withdrawal will cause a change to the service area or population of the consortium. (d) When one of the participating Tribes in a consortium wishes to withdraw from the consortium in order to operate its own Tribal TANF program, the Tribe needs to submit a Tribal TANF plan that follows the requirements at §286.75 and §286.165. (a) The TFAP must outline the Tribe's approach to providing welfare-related services for the three-year period covered by the plan, including: (1) Information on the general eligibility criteria the Tribe has established, which includes a definition of “needy family,” including income and resource limits and the Tribe's definition of “Tribal member family” or “Indian family.” (2) A description of the assistance, services, and activities to be offered, and the means by which they will be offered. The description of the services, assistance, and activities to be provided includes whether the Tribe will provide cash assistance, and what other assistance, services, and activities will be provided. (3) If the Tribe will not provide the same services, assistance, and activities in all parts of the service area, the TFAP must indicate any variations. (4) If the Tribe opts to provide different services to specific populations, including teen parents and individuals who are transitioning off TANF assistance, the TFAP must indicate whether any of these services will be provided and, if so, what services will be provided. (5) The Tribe's goals for its TANF program and the means of measuring progress towards those goals; (6) Assurance that a 45-day public comment period on the Tribal TANF plan concluded prior to the submission of the TFAP. (7) Assurance that the Tribe has developed a dispute resolution process to be used when individuals or families want to challenge the Tribe's decision to deny, reduce, suspend, sanction or terminate assistance. (8) Tribes may require cooperation with child support enforcement agencies as a condition of eligibility for TANF assistance. Good cause and other exceptions to cooperation shall be defined by the Tribal TANF program. (b) The TFAP must identify which Tribal agency is designated by the Tribe as the lead agency for the overall administration of the Tribal TANF program along with a description of the administrative structure for supervision of the TANF program. (c) The TFAP must indicate whether the services, assistance and activities will be provided by the Tribe itself or through grants, contracts or compacts with inter-Tribal consortia, States, or other entities. (d) The TFAP must identify the population to be served by the Tribal TANF program. (1) The TFAP must identify whether it will serve Tribal member families only, or whether it will serve all Indian families residing in the Tribal TANF service area. (2) If the Tribe wishes to serve any non-Indian families (and thus include non-Indians in its service population), an agreement with the State TANF agency must be included in the TFAP. This agreement must provide that, where non-Indians are to be served by Tribal TANF, these families are subject to Tribal TANF program rules. (e) The TFAP must include a description of the geographic area to be served by the Tribal TANF program, including a specific description of any “near reservation” areas, as defined at 45 CFR 20.1(r), or any areas beyond “near reservation” to be included in the Tribal TANF service area. (1) In areas beyond those defined as “near reservation”, the TFAP must demonstrate the Tribe's administrative capacity to serve such areas and the State(s)', and if applicable, other Tribe(s)' concurrence with the proposed defined boundaries. (2) A Tribe cannot extend its service area boundaries beyond the boundaries of the State(s) in which the reservation and BIA near-reservation designations are located. (3) For Tribes in Oklahoma, if the Tribe defines its service area as other than its “tribal jurisdiction statistical area” (TJSA), the Tribe must include an agreement with the other Tribe(s) reflecting agreement to the service area. TJSAs are areas delineated by the Census Bureau for each federally-recognized Tribe in Oklahoma without a reservation. (f) The TFAP must provide that a family receiving assistance under the plan may not receive duplicative assistance from other State or Tribal TANF programs and must include a description of the means by which the Tribe will ensure duplication does not occur. (g) The TFAP must identify the employment opportunities in and near the service area and the manner in which the Tribe will cooperate and participate in enhancing such opportunities for recipients of assistance under the plan, consistent with any applicable State standards. This should include: (1) A description of the employment opportunities available, in both the public and private sector, within and near the Tribal service area; and (2) A description of how the Tribe will work with public and private sector employers to enhance the opportunities available for Tribal TANF recipients. (h) The TFAP must provide an assurance that the Tribe applies the fiscal accountability provisions of section 5(f)(1) of the Indian Self-Determination and Education Assistance Act (25 U.S.C. 450c(f)(1)), relating to the submission of a single-agency audit report required by chapter 75 of title 31, United States Code. (a) To assess a Tribe's level of success in meeting its TANF work objectives, a Tribe that submits a TFAP must negotiate with the Secretary minimum work participation requirements that will apply to families that receive Tribal TANF assistance that includes an adult or minor head of household receiving such assistance. (b) A Tribe that submits a TFAP must include in the plan the Tribe's proposal for minimum work participation requirements, which includes the following: (1) For each fiscal year covered by the plan, the Tribe's proposed participation rate(s) for all families, for all families and two-parent families, or for one-parent families and two-parent families; (2) For each fiscal year covered by the plan, the Tribe's proposed minimum number of hours per week that adults and minor heads of household will be required to participate in work activities; (i) If the Tribe elects to include reasonable transportation time to and from the site of work activities in determining the hours of work participation, it must so indicate in its TFAP along with a definition of “reasonable” for purposes of this subsection, along with: (A) An explanation of how the economic conditions and/or resources available to the Tribe justify inclusion of transportation time in determining work participation hours; and (B) An explanation of how counting reasonable transportation time is consistent with the purposes of TANF; (3) The work activities that count towards these work requirements; (4) Any exemptions, limitations and special rules being established in relation to work requirements; and (5) The Tribe must provide rationale for the above, explaining how the proposed work requirements relate to and are justified based on the Tribe's needs and conditions. (i) The rationale must address how the proposed work requirements are consistent with the purposes of TANF and with the economic conditions and resources of the Tribe. (ii) Examples of the information that could be included to illustrate the Tribe's proposal include, but are not limited to: poverty, unemployment, jobless and job surplus rates; education levels of adults in the service area; availability of and/or accessibility to resources (educational facilities, transportation) to help families become employable and find employment; and employment opportunities on and near the service area. (a) Work participation rate(s) will be the percentage of families with an adult or minor head-of-household receiving TANF assistance from the Tribe who are participating in a work activity approved in the TFAP for at least the minimum number of hours approved in the TFAP. (b) The participation rate for a fiscal year is the average of the Tribe's participation rate for each month in the fiscal year. (c) A Tribe's participation rate for a month is expressed as the following ratio: (1) The number of families receiving TANF assistance that include an adult or a minor head-of-household who is participating in activities for the month (numerator), divided by (2) The number of families that include an adult or a minor head-of-household receiving TANF assistance during the month excluding: (i) Families that were penalized for non-compliance with the work requirements in that month as long as they have not been sanctioned for more than three months (whether or not consecutively) out of the last 12 months; and (ii) Families with children under age one, if the Tribe chooses to exempt these families from participation requirements. (d) If a family receives assistance for only part of a month or begins participating in activities during the month, the Tribe may count it as a month of participation if an adult or minor head-of-household in the family is participating for the minimum average number of hours in each full week that the family receives assistance or participates in that month. (e) Two-parent families in which one of the parents is disabled are considered one-parent families for the purpose of calculating a Tribe's participation rate. During the month, an adult or minor head-of-household must participate in work activities for at least the minimum average number of hours per week specified in the Tribe's approved Tribal Family Assistance Plan. Parents in a two-parent family may share the number of hours required to be considered as engaged in work. (a) Activities that count toward a Tribe's participation rate may include, but are not limited to, the following: (1) Unsubsidized employment; (2) Subsidized private sector employment; (3) Subsidized public sector employment; (4) Work experience; (5) On-the-job training (OJT); (6) Job search and job readiness assistance; (see §286.105) (7) Community service programs; (8) Vocational educational training; (see §286.105) (9) Job skills training directly related to employment; (10) Education directly related to employment, in the case of a recipient who has not received a high school diploma or a certificate of high school equivalency; (11) Satisfactory attendance at secondary school or in a course of study leading to a certificate of general equivalence, if a recipient has not completed secondary school or received such a certificate; (12) Providing child care services to an individual who is participating in a community service program; and (13) Other activities that will help families achieve self-sufficiency. (b) [Reserved] (a) Tribes are not required to limit vocational education for any one individual to a period of 12 months. (b) There are two limitations concerning job search and job readiness: (1) Job search and job readiness assistance only count for 6 weeks in any fiscal year. (2) If the Tribe's unemployment rate in the Tribal TANF service area is at least 50 percent greater than the United States' total unemployment rate for that fiscal year, then an individual's participation in job search or job readiness assistance counts for up to 12 weeks in that fiscal year. (c) If job search or job readiness is an ancillary part of another activity, then there is no limitation on counting the time spent in job search/job readiness. (a) An adult or minor head-of-household taking part in a work activity outlined in §286.100 cannot fill a vacant employment position if: (1) Any other individual is on layoff from the same or any substantially equivalent job; or (2) The employer has terminated the employment of any regular employee or otherwise caused an involuntary reduction in its work force in order to fill the vacancy with the TANF participant. (b) A Tribe must establish and maintain a grievance procedure to resolve complaints of alleged violations of this displacement rule. (c) This regulation does not preempt or supersede Tribal laws providing greater protection for employees from displacement. (a) The TFAP must include the Tribe's proposal for: (1) Time limits for the receipt of Tribal TANF assistance; (2) Any exceptions to these time limits; and (3) The percentage of the caseload to be exempted from the time limit due to hardship or if the family includes an individual who has been battered or subjected to extreme cruelty. (b) The Tribe must also include the rationale for its proposal in the plan. The rationale must address how the proposed time limits are consistent with the purposes of TANF and with the economic conditions and resources of the Tribe. (1) Examples of the information that could be included to illustrate the Tribe's proposal include, but are not limited to: Poverty, unemployment, jobless and job surplus rates; education levels of adults in the service area; availability of and/or accessibility to resources (educational facilities, transportation) to help families become employable and find employment; and employment opportunities on and near the service area. (c) We may require that the Tribe submit additional information about the rationale before we approve the proposed time limits. (d) Tribes must not count towards the time limit: (1) Any month of receipt of assistance to a family that does not include an adult head-of-household; (2) A family that does not include a pregnant minor head-of-household, minor parent head-of-household, or spouse of such a head-of-household; and (3) Any month of receipt of assistance by an adult during which the adult lived in Indian country or in an Alaskan Native Village in which at least 50 percent of the adults were not employed. (e) A Tribe must not use any of its TFAG to provide assistance (as defined in §286.10) to a family that includes an adult or minor head-of-household who has received assistance beyond the number of months (whether or not consecutive) that is negotiated with the Tribe. (a) Tribes have the option to exempt families from the established time limits for: (1) Hardship, as defined by the Tribe, or (2) The family includes someone who has been battered or has been subject to extreme cruelty. (b) If a Tribe elects the hardship option, the Tribe must specify in its TFAP the maximum percent of its average monthly caseload of families on assistance that will be exempt from the established time limit under paragraph (a) of this section. (c) If the Tribe proposes to exempt more than 20 percent of the caseload under paragraph (a) of this section, the Tribe must include a rationale in the plan. Yes, the Tribe must count prior months of TANF assistance funded with TANF block grant funds, except for any month that was exempt or disregarded by statute, regulation, or under any experimental, pilot, or demonstration project approved under section 1115 of the Act. (a) For purposes of an individual's time limit for receipt of TANF assistance as well as the penalty provision at §286.195(a)(1), WtW cash assistance counts towards a Tribe's TANF time limit only if: (1) Such assistance satisfies the definition at §286.10; and (2) Is directed at ongoing basic needs. (b) Only cash assistance provided in the form of cash payments, checks, reimbursements, electronic funds transfers, or any other form that can legally be converted to currency is subject to paragraph (a) of this section. (a) The TFAP must include the Tribe's proposal for penalties against individuals who refuse to engage in work activities. The Tribe's proposal must address the following: (1) Will the Tribe impose a pro rata reduction, or more at Tribal option, or will it terminate assistance to a family? (2) After consideration of the provision specified at §286.150, what will be the proposed Tribal policies related to a single custodial parent, with a child under the age of 6, who refuses to engage in work activities because of a demonstrated inability to obtain needed child care? (3) What good cause exceptions, if any, does the Tribe propose that will allow individuals to avoid penalties for failure to engage in work? (4) What other rules governing penalties does the Tribe propose? (5) What, if any, will be the Tribe's policies related to victims of domestic violence consistent with §286.140? (b) The Tribe's rationale for its proposal must also be included in the TFAP. (1) The rationale must address how the proposed penalties against individuals are consistent with the purposes of TANF, consistent with the economic conditions and resources of the Tribe, and how they relate to the requirements of section 407(e) of the Act. (2) Examples of the information that could be included to illustrate the Tribe's proposal include, but are not limited to; poverty, unemployment, jobless and job surplus rates; education levels of adults in the service area; availability of and/or accessibility to resources (educational facilities, transportation) to help families become employable and find employment; and employment opportunities on and near the service area. (c) We may require a Tribe to submit additional information about the rationale before we approve the proposed penalties against individuals. (a) Tribes electing the Family Violence Option (FVO) must certify that they have established and are enforcing standards and procedures to: (1) Screen and identify individuals receiving TANF assistance with a history of domestic violence, while maintaining the confidentiality of such individuals; (2) Refer such individuals to counseling and supportive services; and (3) Provide waivers, pursuant to a determination of good cause, of TANF program requirements to such individuals for so long as necessary in cases where compliance would make it more difficult for such individuals to escape domestic violence or unfairly penalize those who are or have been victimized by such violence or who are at risk of further domestic violence. (b) Tribes have broad flexibility to grant waivers of TANF program requirements, but such waivers must: (1) Identify the specific program requirement being waived; (2) Be granted based on need as determined by an individualized assessment by a person trained in domestic violence and redeterminations no less than every six months; (3) Be accompanied by an appropriate services plan that: (i) Is developed in coordination with a person trained in domestic violence; (ii) Reflects the individualized assessment and any revisions indicated by any redetermination; and (iii) To the extent consistent with paragraph (a)(3) of this section, is designed to lead to work. (c) If a Tribe wants us to take waivers that it grants under this section into account in deciding if it has reasonable cause for failing to meet its work participation rates or comply with the established time limit on TANF assistance, has achieved compliance or made significant progress towards achieving compliance with such requirements during a corrective compliance period, the waivers must comply with paragraph (b) of this section. (d) We will determine that a Tribe has reasonable cause for failing to meet its work participation rates or to comply with established time limits on assistance if— (1) Such failures were attributable to good cause domestic violence waivers granted to victims of domestic violence; (2) In the case of work participation rates, the Tribe provides evidence that it achieved the applicable rates except with respect to any individuals who received a domestic violence waiver of work participation requirements. In other words, the Tribe must demonstrate that it met the applicable rates when such waiver cases are removed from the calculation of work participation rate; (3) In the case of established time limits on assistance, the Tribe provides evidence that it granted good cause domestic violence waivers to extend time limits based on the need for continued assistance due to current or past domestic violence or the risk of further domestic violence, and individuals and their families receiving assistance beyond the established time limit under such waivers do not exceed 20 percent of the total number of families receiving assistance. (e) We may take good cause domestic violence waivers of work participation or waivers which extend the established time limits for assistance into consideration in deciding whether a Tribe has achieved compliance or made significant progress toward achieving compliance during a corrective compliance period. (f) Tribes electing the FVO must submit the information specified at §286.275(b)(7). If an individual refuses to engage in work activities in accordance with the minimum work participation requirements specified in the approved TFAP, the Tribe must apply to the individual the penalties against individuals that were established in the approved TFAP. (a) If the individual is a single custodial parent caring for a child under age six, the Tribe may not reduce or terminate assistance based on the parent's refusal to engage in required work if he or she demonstrates an inability to obtain needed child care for one or more of the following reasons: (1) Appropriate child care within a reasonable distance from the home or work site is unavailable; (2) Informal child care by a relative or under other arrangements is unavailable or unsuitable; or (3) Appropriate and affordable formal child care arrangements are unavailable. (b) Refusal to work when an acceptable form of child care is available is not protected from sanctioning. (c) The Tribe will determine when the individual has demonstrated that he or she cannot find child care, in accordance with criteria established by the Tribe. These criteria must: (1) Address the procedures that the Tribe uses to determine if the parent has a demonstrated inability to obtain needed child care; (2) Include definitions of the terms “appropriate child care,” “reasonable distance,” “unsuitability of informal care,” and “affordable child care arrangements”; and (3) Be submitted to us. (d) The Tribal TANF agency must inform parents about: (1) The penalty exception to the Tribal TANF work requirement, including the criteria and applicable definitions for determining whether an individual has demonstrated an inability to obtain needed child care; (2) The Tribe's procedures (including definitions) for determining a family's inability to obtain needed child care, and any other requirements or procedures, such as fair hearings, associated with this provision; and (3) The fact that the exception does not extend the time limit for receiving Federal assistance. (a) Tribes have the option to condition eligibility for Tribal TANF assistance on assignment of child support to the Tribe consistent with paragraph (b) of this section. (b) For Tribes choosing to condition eligibility for Tribal TANF assistance on assignment of child support to the Tribe, the TFAP must address the following— (1) Procedures for ensuring that assigned child support collections in excess of the amount of Tribal TANF assistance received by the family will not be retained by the Tribe; and (2) How any amounts generated under an assignment and retained by the Tribe will be used to further the Tribe's TANF program, consistent with §286.45(f). [65 FR 8530, Feb. 18, 2000, as amended at 69 FR 16672, Mar. 30, 2004] (a) A Tribe must submit a Tribal TANF letter of intent and/or a TFAP to the Secretary according to the following time frames:
Title 45: Public Welfare
PART 286—TRIBAL TANF PROVISIONS
Section Contents
§ 286.1 What does this part cover?
§ 286.5 What definitions apply to this part?
§ 286.10 What does the term “assistance” mean?
§ 286.15 Who is eligible to operate a Tribal TANF program?
§ 286.20 How is the amount of a Tribal Family Assistance Grant (TFAG) determined?
§ 286.25 How will we resolve disagreements over the State-submitted data used to determine the amount of a Tribal Family Assistance Grant?
§ 286.30 What is the process for retrocession of a Tribal Family Assistance Grant?
§ 286.35 What are proper uses of Tribal Family Assistance Grant funds?
§ 286.40 May a Tribe use the Tribal Family Assistance Grant to fund IDAs ?
§ 286.45 What uses of Tribal Family Assistance Grant funds are improper?
§ 286.50 Is there a limit on the percentage of a Tribal Family Assistance Grant that can be used for administrative costs?
§ 286.55 What types of costs are subject to the administrative cost limit on Tribal Family Assistance Grant funds?
§ 286.60 Must Tribes obligate all Tribal Family Assistance Grant funds by the end of the fiscal year in which they are awarded?
§ 286.65 How can a Tribe apply to administer a Tribal Temporary Assistance For Needy Families (TANF) Program?
§ 286.70 Who submits a Tribal Family Assistance Plan?
§ 286.75 What must be included in the Tribal Family Assistance Plan?
§ 286.80 What information on minimum work participation requirements must a Tribe include in its Tribal Family Assistance Plan?
§ 286.85 How will we calculate the work participation rates?
§ 286.90 How many hours per week must an adult or minor head-of-household participate in work-related activities to count in the numerator of the work participation rate?
§ 286.95 What, if any, are the special rules concerning counting work for two-parent families?
§ 286.100 What activities count towards the work participation rate?
§ 286.105 What limitations concerning vocational education, job search and job readiness assistance exist with respect to the work participation rate?
§ 286.110 What safeguards are there to ensure that participants in Tribal TANF work activities do not displace other workers?
§ 286.115 What information on time limits for the receipt of assistance must a Tribe include in its Tribal Family Assistance Plan?
§ 286.120 Can Tribes make exceptions to the established time limit for families?
§ 286.125 Does the receipt of TANF benefits under a State or other Tribal TANF program count towards a Tribe's TANF time limit?
§ 286.130 Does the receipt of Welfare-to-Work (WtW) cash assistance count towards a Tribe's TANF time limit?
§ 286.135 What information on penalties against individuals must be included in a Tribal Family Assistance Plan?
§ 286.140 What special provisions apply to victims of domestic violence?
§ 286.145 What is the penalty if an individual refuses to engage in work activities?
§ 286.150 Can a family, with a child under age 6, be penalized because a parent refuses to work because (s)he cannot find child care?
§ 286.155 May a Tribe condition eligibility for Tribal TANF assistance on assignment of child support to the Tribe?
§ 286.160 What are the applicable time frames and procedures for submitting a Tribal Family Assistance Plan?
§ 286.165 How is a Tribal Family Assistance Plan amended?
§ 286.170 How may a Tribe petition for administrative review of disapproval of a TFAP or amendment?
§ 286.175 What special provisions apply in Alaska?
§ 286.180 What is the process for developing the comparability criteria that are required in Alaska?
§ 286.185 What happens when a dispute arises between the State of Alaska and the Tribal TANF eligible entities in the State related to the comparability criteria?
§ 286.190 If the Secretary, the State of Alaska, or any of the Tribal TANF eligible entities in the State of Alaska want to amend the comparability criteria, what is the process for doing so?
§ 286.195 What penalties will apply to Tribes?
§ 286.200 How will we determine if Tribal Family Assistance Grant funds were misused or intentionally misused?
§ 286.205 How will we determine if a Tribe fails to meet the minimum work participation rate(s)?
§ 286.210 What is the penalty for a Tribe's failure to repay a Federal loan?
§ 286.215 When are the TANF penalty provisions applicable?
§ 286.220 What happens if a Tribe fails to meet TANF requirements?
§ 286.225 How may a Tribe establish reasonable cause for failing to meet a requirement that is subject to application of a penalty?
§ 286.230 What if a Tribe does not have reasonable cause for failing to meet a requirement?
§ 286.235 What penalties cannot be excused?
§ 286.240 How can a Tribe appeal our decision to take a penalty?
§ 286.245 What data collection and reporting requirements apply to Tribal TANF programs?
§ 286.250 What definitions apply to this subpart?
§ 286.255 What quarterly reports must the Tribe submit to us?
§ 286.260 May Tribes use sampling and electronic filing?
§ 286.265 When are quarterly reports due?
§ 286.270 What happens if the Tribe does not satisfy the quarterly reporting requirements?
§ 286.275 What information must Tribes file annually?
§ 286.280 When are annual reports due?
§ 286.285 How do the data collection and reporting requirements affect Public Law 102–477 Tribes?
Subpart A—General Tribal TANF Provisions
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§ 286.1 What does this part cover?
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§ 286.5 What definitions apply to this part?
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§ 286.10 What does the term “assistance” mean?
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§ 286.15 Who is eligible to operate a Tribal TANF program?
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Subpart B—Tribal TANF Funding
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§ 286.20 How is the amount of a Tribal Family Assistance Grant (TFAG) determined?
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§ 286.25 How will we resolve disagreements over the State-submitted data used to determine the amount of a Tribal Family Assistance Grant?
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§ 286.30 What is the process for retrocession of a Tribal Family Assistance Grant?
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§ 286.35 What are proper uses of Tribal Family Assistance Grant funds?
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§ 286.40 May a Tribe use the Tribal Family Assistance Grant to fund IDAs ?
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§ 286.45 What uses of Tribal Family Assistance Grant funds are improper?
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§ 286.50 Is there a limit on the percentage of a Tribal Family Assistance Grant that can be used for administrative costs?
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§ 286.55 What types of costs are subject to the administrative cost limit on Tribal Family Assistance Grant funds?
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§ 286.60 Must Tribes obligate all Tribal Family Assistance Grant funds by the end of the fiscal year in which they are awarded?
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Subpart C—Tribal TANF Plan Content and Processing
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§ 286.65 How can a Tribe apply to administer a Tribal Temporary Assistance For Needy Families (TANF) Program?
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§ 286.70 Who submits a Tribal Family Assistance Plan?
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§ 286.75 What must be included in the Tribal Family Assistance Plan?
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§ 286.80 What information on minimum work participation requirements must a Tribe include in its Tribal Family Assistance Plan?
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§ 286.85 How will we calculate the work participation rates?
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§ 286.90 How many hours per week must an adult or minor head-of-household participate in work-related activities to count in the numerator of the work participation rate?
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§ 286.95 What, if any, are the special rules concerning counting work for two-parent families?
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§ 286.100 What activities count towards the work participation rate?
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§ 286.105 What limitations concerning vocational education, job search and job readiness assistance exist with respect to the work participation rate?
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§ 286.110 What safeguards are there to ensure that participants in Tribal TANF work activities do not displace other workers?
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§ 286.115 What information on time limits for the receipt of assistance must a Tribe include in its Tribal Family Assistance Plan?
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§ 286.120 Can Tribes make exceptions to the established time limit for families?
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§ 286.125 Does the receipt of TANF benefits under a State or other Tribal TANF program count towards a Tribe's TANF time limit?
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§ 286.130 Does the receipt of Welfare-to-Work (WtW) cash assistance count towards a Tribe's TANF time limit?
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§ 286.135 What information on penalties against individuals must be included in a Tribal Family Assistance Plan?
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§ 286.140 What special provisions apply to victims of domestic violence?
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§ 286.145 What is the penalty if an individual refuses to engage in work activities?
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§ 286.150 Can a family, with a child under age 6, be penalized because a parent refuses to work because (s)he cannot find child care?
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§ 286.155 May a Tribe condition eligibility for Tribal TANF assistance on assignment of child support to the Tribe?
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§ 286.160 What are the applicable time frames and procedures for submitting a Tribal Family Assistance Plan?
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