[Congressional Bills 108th Congress]
[From the U.S. Government Publishing Office]
[S. 263 Introduced in Senate (IS)]
108th CONGRESS
1st Session
S. 263
To amend part A of title IV of the Social Security Act to require a
comprehensive strategic plan for the State temporary assistance to
needy families program and to give States the flexibility to implement
innovative welfare programs that have been proven effective in other
States.
_______________________________________________________________________
IN THE SENATE OF THE UNITED STATES
January 30, 2003
Mr. Bingaman introduced the following bill; which was read twice and
referred to the Committee on Finance
_______________________________________________________________________
A BILL
To amend part A of title IV of the Social Security Act to require a
comprehensive strategic plan for the State temporary assistance to
needy families program and to give States the flexibility to implement
innovative welfare programs that have been proven effective in other
States.
Be it enacted by the Senate and House of Representatives of the
United States of America in Congress assembled,
SECTION 1. SHORT TITLE.
This Act may be cited as the ``Self Sufficiency and Accountability
Act of 2003''.
SEC. 2. COMPREHENSIVE STRATEGIC TANF PLAN.
(a) In General.--Section 402 of the Social Security Act (42 U.S.C.
602) is amended to read as follows:
``SEC. 402. ELIGIBLE STATES; STATE PLAN.
``(a) In General.--As used in this part, the term `eligible State'
means, with respect to a fiscal year, a State that, during the 27-month
period ending with the close of the 1st quarter of the fiscal year, has
submitted to the Secretary, and revised when necessary in accordance
with subsection (b), a written plan that the Secretary has found
includes the following:
``(1) Outline of family assistance program.--
``(A) Programmatic information.--Information
relating to the State program, including the following:
``(i) With respect to each program that
will be funded under this part, or with
qualified State expenditures claimed by the
State to meet the requirements of section
409(a)(7), over the 2-year period for which the
plan is being submitted--
``(I) the name of the program;
``(II) the goals of the program;
``(III) a description of the
benefits and services provided in the
program;
``(IV) a description of principal
eligibility rules and populations
served under the program, including the
circumstances under which the State
provides benefits or services to
individuals who are not citizens of the
United States;
``(V) a description of how the
State will ensure fair and equitable
treatment among program applicants and
recipients and how the State will
provide opportunities for applicants
and recipients who have been adversely
affected to be heard in a State
administrative or appeal process,
including a description of the steps
that the State has taken (or will take)
to ensure--
``(aa) compliance with
nondiscrimination, civil
rights, and employment laws
throughout the process of
providing services under this
part, including at the time of
application for benefits,
during the applicant assessment
process, when determining
availability of an eligibility
for benefits and services,
during the actual delivery of
services or benefits, and when
deciding to terminate benefits
in full or in part; and
``(bb) that program
applicants and recipients are
aware of their rights and the
process for enforcing their
rights; and
``(VI) a description of how the
program meets 1 or more of the purposes
described in section 401 or, in the
case of a program funded with qualified
State expenditures, how the program
meets the criteria in section
409(a)(7)(B).
``(ii) With respect to each program that
will be funded under this part, or with
qualified State expenditures claimed by the
State to meet the requirements of section
409(a)(7), over the 2-year period for which the
plan is being submitted and that provides
assistance--
``(I) a description of the
applicable financial and nonfinancial
eligibility rules including, income
eligibility thresholds, the treatment
of earnings, asset eligibility rules,
and excluded forms of income;
``(II) a description of applicable
work-related requirements, including
which adults are required to
participate in such activities, the
activities in which they can
participate, the criteria for
determining the activity an adult is
assigned to, and the procedures used to
screen and assess participants for
barriers to employment including
physical or mental impairments,
substance abuse, learning disabilities,
domestic violence, inadequate or
unstable housing and very low basic
skills;
``(III) a description of applicable
time limit policies, including the
length of the time limit, exemption and
extension policies, and procedures and
policies for providing services to
families reaching time limits and
who have lost assistance due to time limits; and
``(IV) a description of applicable
sanction policies and procedures,
including the program requirements for
which a sanction can be applied for
failure to comply, the amount and
duration of sanctions, the State-
defined criteria that constitute good
cause for failing to meet each program
requirement for which a sanction may be
imposed, how the State will comply with
the requirement in section 407(e)(2),
and the procedures in place to identify
families who are unable to comply with
program requirements due to various
barriers (such as physical or mental
impairments, domestic violence,
unavailable or inaccessible child care,
illiteracy, lack of English
proficiency) and procedures for
providing services to those families
rather than imposing a sanction on
them.
``(iii) A description of--
``(I) the primary problems that
families receiving assistance, and
families who have recently stopped
receiving assistance, under the State
program funded under this part, or
under a program funded with qualified
State expenditures as defined in
section 407(a)(7), experience in
securing and retaining adequate,
affordable housing and the estimated
extent of each such problem, including
the price of such housing in various
parts of the State that include a large
proportion of recipients of assistance
under the State program, and the steps
that have been and will be taken by the
State and other public or private
entities that administer housing
programs to address these problems; and
``(II) the methods the State has
adopted to identify barriers to work
posed by the living arrangement,
housing cost, and housing location of
individuals eligible for participation
in the State program funded under this
part and the services and benefits that
have been or will be provided by the
State and other public or private
entities to help families overcome such
barriers.
``(iv) A description of the steps the State
will take to restrict the use and disclosure of
information about individuals and families
applying for or receiving assistance under a
program funded under this part, or with
qualified State expenditures as defined in
section 409(a)(7).
``(v) A description of how the State will
ensure the availability of a stable and
professional workforce in the administration of
the State program under this part with the
resources, skills, and expertise necessary to
successfully carry out the program, including a
description of the plan of the State to provide
program staff with training on the following:
``(I) Program information and
services.
``(II) The rights of recipients of
assistant under all laws applicable to
the activities of the program,
including nondiscrimination and
employment laws.
``(III) Cultural diversity and
sensitivity.
``(IV) Referral of recipients of
assistance to all appropriate programs
and services for which such recipients
are eligible.
``(V) Screening of recipients of
assistance for serious barriers to
employment and referral to qualified
specialists.
``(vi) A description of the steps that the
State has taken to inform applicants for and
recipients of assistance under the State
program under this part of their rights and
obligations under such program. Such
description shall include--
``(I) an explanation of the manner
in which the State will ensure that
such information is communicated
effectively to all such individuals,
including how the State will provide
appropriate translation or
interpretation services where
necessary; and
``(II) an assurance that the
communication of such information will
take place throughout the service
delivery and processing.
``(B) Information about programs designed or
implemented at sub-state levels.--With respect to any
program described in clauses (i) or (ii) of
subparagraph (A) in which the State permits counties or
other substate entities to design their own rules with
respect to any of the information required under such
clauses, the State plan shall be designed to reflect
the policies of each such county or substate entity.
``(C) State goals and benchmarks.--For each purpose
contained in section 401(a), the State plan shall
provide the following information:
``(i) A description of specific goals the
State will attempt to achieve over the
succeeding 5-year period to further that
purpose.
``(ii) A description of how the State
intends to meet the goals described in clause
(i) over such 5-year period and a description
of the steps the State will take during such
period to work toward achieving such goals.
``(iii) A description of performance
measures that will be used to measure progress
made by the State toward achieving each such
goal, including the methodology for computing
such measures. Each performance and outcome
measure described in the State plan under this
subparagraph shall be reported by the State
annually in a form prescribed by the Secretary.
``(iv) An identification of those key
factors external to the program and beyond the
control of the State that could significantly
affect the attainment of the goals.
``(v) A description of any additional
evaluation methods the State will use to
measure progress made by the State toward
achieving such goals.
``(2) Minimum participation rates.--A description of how
the minimum participation rates specified in section 407 will
be satisfied.
``(3) Estimate of expenditures.--An estimate of the total
amount of State or local expenditures under all programs
described in clauses (i) or (ii) of paragraph (1)(A) for the
fiscal year in which the plan is submitted.
``(4) Special provisions.--
``(A) Certification regarding assessment of
regional economies and informing localities of sectoral
labor shortages and identification of self-sufficiency
standard.--
``(i) In general.--A certification by the
chief executive officer of the State that,
during the fiscal year, the State will--
``(I) assess its regional economies
and provide information to political
subdivisions of the State about the
industrial sectors that are
experiencing a labor shortage and that
provide higher entry-level wage
opportunities for unemployed and
underemployed job seekers identified in
accordance with section 411(c); and
``(II) identify the self-
sufficiency standards for families
after the families cease to receive
assistance under the State program
funded under this part in accordance
with clause (ii).
``(ii) Requirements for identification of
self-sufficiency standards.--
``(I) In general.--The State shall
provide to the Secretary a document
adopted or developed by the State,
that--
``(aa) describes the income
needs of families (in this part
referred to as `State self-
sufficiency standards') based
on family size, the number and
ages of children in the family,
and sub-State geographical
considerations; and
``(bb) if the State has a
sizeable Native American
population, includes
information specific to the
needs of that population.
``(II) Criteria.--The State self-
sufficiency standards shall separately
specify the monthly costs of housing,
food, child care, transportation,
health care, other basic needs, and
taxes (including tax benefits), and
shall be determined using national,
State and local data on the cost of
purchasing goods and services in the
marketplace.
``(III) Categories of families.--
The State self-sufficiency standards
shall categorize families--
``(aa) by whether there are
1 or 2 adults in the family;
``(bb) by whether there are
0, 1, 2, 3, or more than 3
children in the family; and
``(cc) by the age of each
child in the family, according
to whether a child is an
infant, of pre-school age, of
school age, or a teenager.
``(IV) Regulations.--The Secretary
shall prescribe the protocols,
criteria, cost categories, definitions,
and means of making inflation
adjustments to be used in developing
self-sufficiency standards pursuant to
this clause, which shall be based on
commonly accepted definitions of
adequacy, such as those used for
establishing fair market rents, and
that reflect, to the extent possible,
consensus and use among those
calculating family budgets and self-
sufficiency standards.
``(V) Data.--The self-sufficiency
standards developed pursuant to this
clause shall be--
``(aa) recalculated on
adoption if the data on which
the standards are based is more
than 3 years old;
``(bb) recalculated every 5
years after adoption; and
``(cc) updated for
inflation each year after
adoption in which the standards
are not be recalculated
pursuant to item (bb).
``(VI) Technical assistance in
developing standards.--The Secretary
may provide financial or technical
assistance to an eligible State to
enable the State to develop or improve
the State self-sufficiency standards
and produce State reports required by
section 411(d). The Secretary shall
carry out this paragraph by making a
grant to, or entering into a contract
with an organization or institution
with substantial experience in
calculating and implementing on the
State level family budgets and self-
sufficiency standards. An organization
or institution desiring to provide
technical assistance described in this
subclause shall submit to the Secretary
an application at such time, in such
manner, and accompanied by such
information as the Secretary may
require.
``(B) Certification that the state will operate a
child support enforcement program.--A certification by
the chief executive officer of the State that, during
the fiscal year, the State will operate a child support
enforcement program under the State plan approved under
part D.
``(C) Certification that the state will operate a
foster care and adoption assistance program.--A
certification by the chief executive officer of the
State that, during the fiscal year, the State will
operate a foster care and adoption assistance program
under the State plan approved under part E, and that
the State will take such actions as are necessary to
ensure that children receiving assistance under such
part are eligible for medical assistance under the
State plan under title XIX.
``(D) Certification of the administration of the
program.--A certification by the chief executive
officer of the State specifying which State agency or
agencies will administer and supervise the family
assistance program referred to in paragraph (1) for the
fiscal year, which shall include assurances that local
governments and private sector organizations--
``(i) have been consulted regarding the
plan and design of welfare services in the
State so that services are provided in a manner
appropriate to local populations; and
``(ii) have had at least 45 days to submit
comments on the plan and the design of such
services.
``(E) Certification that the state will provide
indians with equitable access to assistance.--A
certification by the chief executive officer of the
State that, during the fiscal year, the State will
provide each member of an Indian tribe, who is
domiciled in the State and is not eligible for
assistance under a tribal family assistance plan
approved under section 412, with equitable access to
assistance under the State program.
``(F) Certification of standards and procedures to
ensure against program fraud and abuse.--A
certification by the chief executive officer of the
State that the State has established and is enforcing
standards and procedures to ensure against program
fraud and abuse, including standards and procedures
concerning nepotism, conflicts of interest among
individuals responsible for the administration and
supervision of the State program, kickbacks, and the
use of political patronage.
``(G) Optional certification of standards and
procedures to ensure that the state will screen for and
identify domestic violence.--
``(i) In general.--At the option of the
State, a certification by the chief executive
officer of the State that the State has
established and is enforcing standards and
procedures to--
``(I) screen and identify
individuals receiving assistance under
this part with a history of domestic
violence while maintaining the
confidentiality of such individuals;
``(II) refer such individuals to
counseling and supportive services; and
``(III) waive, pursuant to a
determination of good cause, other
program requirements such as time
limits (for so long as necessary) for
individuals receiving assistance,
residency requirements, child support
cooperation requirements, and family
cap provisions, in cases where
compliance with such requirements would
make it more difficult for individuals
receiving assistance under this part to
escape domestic violence or unfairly
penalize such individuals who are or
have been victimized by such violence,
or individuals who are at risk of
further domestic violence.
``(ii) Domestic violence defined.--For
purposes of this subparagraph, the term
`domestic violence' has the same meaning as the
term `battered or subjected to extreme
cruelty', as defined in section
408(a)(7)(C)(iii).
``(b) Procedures for Submitting and Amending State Plans.--
``(1) Standard state plan format.--The Secretary shall,
after notice and public comment, develop a proposed Standard
State Plan Form to be used by States under subsection (a). Such
form shall be finalized by the Secretary for use by the State
not later than February 1, 2003.
``(2) Requirement for completed plan using standard state
plan format by fiscal year 2004.--Notwithstanding any other
provision of law, each State shall submit a complete State
plan, using the Standard State Plan Form developed under
paragraph (1), not later than October 1, 2003.
``(3) Public notice and comment.--Prior to submitting a
State plan to the Secretary under this section, the State
shall--
``(A) make the proposed State plan available to the
public through an appropriate State maintained Internet
web site and through other means as the State
determines appropriate;
``(B) allow for a reasonable public comment period
of not less than 45 days; and
``(C) make comments received concerning such plan
or, at the discretion of the State, a summary of the
comments received available to the public through such
web site and through other means as the State
determines appropriate.
``(4) Public availability of state plan.--A State shall
ensure that the State plan, that is in effect for any fiscal
year, is available to the public through an appropriate State
maintained Internet web site and through other means as the
State determines appropriate.
``(5) Amending the state plan.--A State shall file an
amendment to the State plan with the Secretary if the State
determines that there has been a material change in any
information required to be included in the State plan or any
other information the State has included in the plan, including
substantial changes in the use of funding. Prior to submitting
an amendment to the State plan to the Secretary, the State
shall--
``(A) make the proposed amendment available to the
public as provided for in paragraph (3)(A);
``(B) allow for a reasonable public comment period
of not less than 45 days; and
``(C) make the comments available as provided for
in paragraph (3)(C).''.
(b) Conforming Amendment.--Section 408(a)(5)(B)(i) of the Social
Security Act (42 U.S.C. 608(a)(5)(B)(i)) is amended by striking
``referred to in section 402(a)(4)''.
SEC. 3. MONITORING OF FEDERAL AND STATE EFFORTS; ASSESSMENT OF REGIONAL
ECONOMIES.
(a) General Reporting Requirement.--Section 411(a) of the Social
Security Act (42 U.S.C. 611(a)) is amended--
(1) by redesignating paragraph (7) as paragraph (9); and
(2) by inserting after paragraph (6), the following:
``(7) Self-sufficiency standard.--The report required by
paragraph (1) for a fiscal quarter shall include a description
of the self-sufficiency standard identified for families in
accordance with section 402(a)(4)(A)(ii).
``(8) Information regarding civil rights.--As part of the
information collected and reported under paragraph (1), the
State shall include information on the number of complaints
filed by applicants for or recipients of assistance under the
State program under this part that allege civil rights or
employment law violations and the status of such complaints,
including the number of complaints pending at the time the
report is prepared. Such information shall be delineated by
alleged violation, the number of resolutions during the
reporting period in favor of and against the complainants, and
the average length of time to process complaints.''.
(b) Annual Reports to Congress.--Section 411(b) of the Social
Security Act (42 U.S.C. 611(b)) is amended--
(1) in paragraph (3), by striking ``and'' at the end;
(2) in paragraph (4), by striking the period and inserting
; and''; and
(3) by adding at the end the following:
``(5) the status of civil rights complaints filed under
this part with the Office of Civil Rights of the Department of
Health and Human Services by applicants for or recipients of
assistance under a State program, including the number of
complaints pending at the time the report is prepared
delineated by alleged violation, the number of resolutions
during the reporting period in favor of and against the
complainants, and the average length of time to process
complaints.''.
(c) Annual Assessment of Regional Economies; Annual Report on
Programs and Services Leading to Self-Sufficiency.--Section 411 of the
Social Security Act (42 U.S.C. 611) is amended by adding at the end the
following:
``(c) Assessment of Regional Economies To Identify Higher Entry
Level Wage Opportunities in Industries Experiencing Labor Shortages.--
``(1) In general.--An eligible State annually shall conduct
an assessment of its regional economies to identify higher
entry level wage opportunities in industries experiencing labor
market shortages.
``(2) Matters to be assessed.--
``(A) Labor market.--The assessment shall--
``(i) identify industries or occupations
that have or expect to grow, that have or
expect a loss of skilled workers, or that have
a need for workers;
``(ii) identify the entry-level education
and skills requirements for the industries or
occupations that have or expect a need for
workers; and
``(iii) analyze the entry-level wages and
benefits in identified industries or
occupations.
``(B) Job seekers.--The assessment shall create a
profile in each regional economy in the State, of the
characteristics of the unemployed and underemployed
residents of such regional economy, including
educational attainment, barriers to employment,
geographic concentrations, self-sufficiency needs, and
availability and utilization of need support services.
``(C) Education and training infrastructure.--The
assessment shall create a profile, in each regional
economy in the State of the education, training, and
support services in place in such regional economy to
prepare workers for the industries or occupations
identified pursuant to subparagraph (A).
``(D) Aligning industries and job seekers.--The
assessment shall compare the characteristics of the
industries or occupations identified pursuant to
subparagraph (A) to the profile of the job seekers in
the State and the profile of the education and training
infrastructure in the State.
``(3) Sharing of information with localities.--The State
shall share with all counties, municipalities, local workforce
investment boards established under section 117 of the
Workforce Investment Act of 1998 (29 U.S.C. 2832), and other
appropriate political subdivisions of the State, information
obtained pursuant to this subsection regarding higher entry-
wage job opportunities in industries experiencing labor
shortages, and information regarding opportunities for
collaboration with institutions of higher education, community-
based organizations, and economic development and welfare
agencies.
``(4) Reports of assessment of regional economies.--Each
eligible state shall submit to the Secretary annually a report
that contains the annual assessment conducted pursuant to this
subsection.
``(d) Annual Report on Programs and Services Leading to Self-
Sufficiency.--A State to which a grant is made under section 403(a) for
a fiscal year shall submit to the Secretary a report that describes,
with respect to the preceding fiscal year--
``(1) a description of the ways in which the State program
funded under this part, and support services provided by the
State to recipients of assistance under that program, moved
families toward self-sufficiency, and that highlights the
programs and services that appeared to have a particularly
positive effect on families achieving self-sufficiency;
``(2) the total family income for families that left the
State program funded under this part (including earnings,
unemployment compensation, and child support); and
``(3) the benefits received by families that have left the
State program funded under this part (including benefits under
the food stamp program under the Food Stamp Act of 1977, the
medicaid program under title XIX, the State children's health
insurance program under title XXI, earned income tax credits,
and housing assistance).''.
(d) Research, Evaluations, and National Studies.--Section 413(h) of
the Social Security Act (42 U.S.C. 613(h)) is amended by adding at the
end the following:
``(4) Technical assistance in assessing regional
economies.--
``(A) In general.--The Secretary may provide
technical assistance to an eligible State to enable the
State to conduct the assessments required by section
411(c).
``(B) Limitations on authorization of
appropriations.--For the cost of providing technical
assistance under subparagraph (A), there are authorized
to be appropriated to the Secretary not more than
$1,500,000 for each fiscal year in which amounts are
appropriated to carry out the State programs funded
under this part.''.
SEC. 4. PENALTY FOR FAILURE TO COMPLY WITH FAIR TREATMENT REQUIREMENTS.
Section 409(a)(7) of the Social Security Act (42 U.S.C. 609(a)(7))
is amended by adding at the end the following:
``(C) Increase in applicable percentage for failure
to comply with fair treatment requirements.--The
applicable percent under subparagraph (B)(ii) with
respect to a State shall be increased by 5 percentage
points for any year in which the Secretary determines
that the State has failed to comply with the State plan
requirements of clause (i)(V) or (vi) of section
402(a)(1)(A).''.
SEC. 5. WAIVERS.
(a) Continuation of Prewelfare Reform Waivers.--Section 415 of the
Social Security Act (42 U.S.C. 615) is amended by adding at the end the
following new subsection:
``(e) Continuation of Waivers Approved or Submitted Before Date of
Enactment of Welfare Reform.--Notwithstanding subsection (a), with
respect to any State that is operating under a waiver described in that
subsection which would otherwise expire on a date that occurs during
the period that begins on October 1, 2002, and ends on September 30,
2007, the State may elect to continue to operate under that waiver, on
the same terms and conditions as applied to the waiver on the day
before such date, through September 30, 2007.''.
(b) Approval of Waivers To Duplicate Innovative Programs.--Section
415 of the Social Security Act (42 U.S.C. 615), as amended by
subsection (a), is further amended by adding at the end the following:
``(f) Requirement To Approve Waivers To Duplicate Innovative
Programs.--
``(1) In general.--Notwithstanding any other provision of
law, if a State submits an application for a waiver of 1 or
more requirements of this part that contains terms that are
similar or identical to the terms of a waiver eligible to be
continued under subsection (e), and the application satisfies
the requirements of paragraph (2), the Secretary--
``(A) shall approve the application for a period of
at least 2 years, but not more than 4 years, unless the
Secretary determines that approval would be
inconsistent with the purposes of this part set forth
in section 401;
``(B) at the end of the waiver period, shall review
documentation of the effectiveness of the waiver
provided by the State; and
``(C) if such documentation adequately demonstrates
that the program as implemented under the waiver has
been effective, may renew the waiver for such period as
the Secretary determines appropriate, but not later
than September 30, 2007.
``(2) Application requirements.--An application for a
waiver described in paragraph (1) shall--
``(A) describe relevant State caseload
characteristics and labor market conditions;
``(B) specify how the waiver is likely to result in
improved employment outcomes, improved child well-
being, or both;
``(C) describe the State's proposed approach for
evaluation of the program under the waiver; and
``(D) include an agreement to conduct an
independent evaluation of the waiver and to submit the
results of the evaluation to the Secretary.''.
(c) Conforming Amendment.--Section 415(b)(1) of the Social Security
Act (42 U.S.C. 615(b)(1)) is amended by inserting ``, extended under
subsection (e), or approved under subsection (f)'' after ``(a)''.
SEC. 6. EFFECTIVE DATE.
(a) In General.--The amendments made by this Act shall take effect
as if enacted on October 1, 2002.
(b) Delay Permitted if State Legislation Required.--In the case of
a State plan under section 402 of the Social Security Act which the
Secretary of Health and Human Services determines requires State
legislation (other than legislation appropriating funds) in order for
the plan to meet the additional requirements imposed by the amendments
made by this Act, the State plan shall not be regarded as failing to
comply with the requirements of such section 402 solely on the basis of
the failure of the plan to meet such additional requirements before the
1st day of the 1st calendar quarter beginning after the close of the
1st regular session of the State legislature that begins after the date
of the enactment of this Act. For purposes of the previous sentence, in
the case of a State that has a 2-year legislative session, each year of
such session shall be deemed to be a separate regular session of the
State legislature.
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