OMB Combined Report

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Identifying Promising Temporary Assistance for Needy Families (TANF) Diversion Practices

OMB Combined Report

OMB: 0970-0331

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Contract No.:
233-02-0086/HHSP233200600007T
MPR Reference No.: 6292-310

Supporting Justification
for OMB Clearance
of Data Collection
Instruments for the
Identifying Promising
Temporary Assistance for
Needy Families Diversion
Practices Study
Revised
November 6, 2007

Linda Rosenberg

Submitted to:
Administration for Children and Families
Office of Research Planning and Evaluation
370 L’Enfant Promenade
Washington, DC 20447
Project Officer:
Michael Dubinsky

Submitted by:
Mathematica Policy Research, Inc.
P.O. Box 2393
Princeton, NJ 08543-2393
Telephone: (609) 799-3535
Facsimile: (609) 799-0005
Project Director:
Linda Rosenberg

CONTENTS

Chapter
I

Page
JUSTIFICATION............................................................................................................1
A. CIRCUMSTANCES NECESSITATING DATA COLLECTION..........................1
1.
3.
4.

Mail Survey......................................................................................................3
Site Visits .........................................................................................................5
Possible Study Limitation ................................................................................7

B. HOW, BY WHOM, AND FOR WHAT PURPOSE INFORMATION IS
TO BE USED...........................................................................................................8
C. USE OF AUTOMATED, ELECTRONIC, MECHANICAL, AND OTHER
TECHNOLOGICAL COLLECTION TECHNIQUES............................................8
D. EFFORTS TO AVOID DUPLICATION OF EFFORT ..........................................8
E. SENSITIVITY TO BURDEN OF SMALL ENTITIES ..........................................9
F. CONSEQUENCES TO FEDERAL PROGRAM OR POLICY ACTIVITIES
IF THE COLLECTION IS NOT CONDUCTED OR IS CONDUCTED
LESS FREQUENTLY THAN PROPOSED .........................................................10
G. SPECIAL CIRCUMSTANCES.............................................................................10
H. FEDERAL REGISTER ANNOUNCEMENT AND CONSULTATION .............10
1.
2.

Federal Register Announcement....................................................................10
Consultation ...................................................................................................10

PAYMENTS OF GIFTS TO RESPONDENTS ....................................................11

CONFIDENTIALITY OF THE DATA.................................................................11

K. ADDITIONAL JUSTIFICATION FOR SENSITIVE QUESTIONS ...................12
L. ESTIMATES OF HOUR BURDEN OF THE COLLECTION OF
INFORMATION....................................................................................................12
M. ESTIMATE OF TOTAL ANNUAL COSTS AND BURDEN TO
RESPONDENTS OR RECORD KEEPERS .........................................................13

CONTENTS (continued)
Chapter

Page
N. ESTIMATES OF ANNUALIZED COSTS TO THE FEDERAL
GOVERNMENT....................................................................................................13
O. REASONS FOR PROGRAM CHANGES OR ADJUSTMENTS........................13
P. PLANS FOR TABULATION AND PUBLICATION AND SCHEDULE
FOR THE PROJECT .............................................................................................14
1.
2.

Publication Plans............................................................................................14
Tabulation Plans.............................................................................................14

Q. APPROVAL NOT TO DISPLAY THE EXPIRATION DATA FOR OMB
APPROVAL ..........................................................................................................15
R. EXCEPTION TO THE CERTIFICATION STATEMENT ..................................15
II

COLLECTION OF INFORMATION EMPLOYING STATISTICAL
METHODS ...................................................................................................................16
A. RESPONDENT UNIVERSE AND SAMPLING METHODS .............................16
1.
2.

Survey and Telephone Interviews..................................................................16
Site Visits .......................................................................................................16

B. STATISTICAL METHODS FOR SAMPLE SELECTION AND DEGREE
OF ACCURACY NEEDED ..................................................................................18
C. METHODS TO MAXIMIZE RESPONSE RATE AND TO DEAL WITH
NONRESPONSE...................................................................................................18
1.
2.

Mail Survey and Telephone Interview...........................................................18
Site Visits .......................................................................................................19

D. TEST OF PROCEDURES AND METHODS TO BE UNDERTAKEN ..............19
1.
2.

Survey and Telephone Interviews..................................................................19
Site Visits .......................................................................................................20

E. INDIVIDUALS CONSULTED ON THE STATISTICAL ASPECTS
OF THE DESIGN ..................................................................................................20
REFERENCES..............................................................................................................21

iii

CONTENTS (continued)
Chapter

Page
APPENDIX A: ADVANCE LETTER AND QUESTIONNAIRE..............................22
APPENDIX B: STATE AND LOCAL TELEPHONE INTERVIEW GUIDES.........29
APPENDIX C: SITE VISIT INTERVIEW GUIDES..................................................49
APPENDIX D: PUBLIC COMMENTS AND RESPONSES .....................................79

TABLES

Table

Page

I.1

ESTIMATED RESPONSE BURDEN FOR RESPONDENTS FOR
THE IDENTIFYING PROMISING TANF DIVERSION
PRACTICES STUDY.................................................................................................. 13

I. JUSTIFICATION

A. CIRCUMSTANCES NECESSITATING DATA COLLECTION
Changes in welfare over the past ten years have led states to implement policies and
programs that encourage welfare applicants to participate in work-related activities or find an
alternative to welfare. The passage of the 1996 Personal Responsibility and Work Opportunities
Reconciliation Act (PRWORA) changed the welfare system in the United States by replacing the
Aid to Families with Dependent Children with the Temporary Assistance for Needy Families
(TANF) program.

PRWORA gave states increased flexibility in designing their welfare

programs but also placed a limit of 60 months on recipients’ lifetime receipt of federal welfare
benefits and required an increasing percentage of the TANF caseload to be engaged in a workrelated activity. By redefining the calculation of the caseload reduction credit that states can
receive for reducing the number of families receiving cash assistance, the Deficit Reduction Act
of 2005 (DRA) effectively increased the proportion of states’ caseloads required to participate in
work-related activities. This change has caused states to reevaluate their welfare programs and
to identify new strategies for meeting the needs of poor families seeking cash assistance.
To increase work participation rates, decrease the welfare rolls, and preserve families’
lifetime welfare limit, states have implemented programs designed to divert TANF applicants
from the welfare program. The most common type of diversion program implemented in the
wake of PRWORA was an offer of a lump-sum payment in lieu of TANF cash benefits to
applicants meeting certain criteria, most often those who were work-ready or already employed.
Typically, the lump sum is equivalent to several months of welfare receipt, and lump-sum
recipients often face a period of ineligibility for TANF. As of 2005, approximately 30 states had
a lump-sum program (The Urban Institute 2006).

Another common policy to discourage reliance on welfare is placing requirements on TANF
applicants before they are certified for cash assistance. For example, about 18 states require all
or certain types of applicants to participate in a job search activity before their TANF
applications can be approved (The Urban Institute 2006).

States have also implemented

additional work-related application requirements to assist applicants in finding work, such as the
development of an employability plan or attendance at a work-related orientation session.
Through these activities, applicants understand the importance placed on work in the welfare
program and may have the opportunity to find employment before their TANF application is
approved. Another approach to diverting applicants from TANF is to require applicants to
explore alternative community and other resources, ensuring that the TANF program is a
program of last resort.
With the passage of the DRA, some states are creating applicant programs with the goal of
engaging applicants in work activities before they begin receiving TANF while also providing
short term financial assistance. Through these programs states expect to prepare applicants for
the work participation requirements before they become eligible for TANF assistance. Since
assistance is short term and is considered “non-assistance,” applicants’ time in these programs is
not counted toward their lifetime TANF limit and these applicants are not included in the
calculation of the state’s work participation rates.
Other states are implementing or considering solely state-funded programs for families that
are unlikely to meet the work participation requirements required for those families who receive
cash assistance funded with federal TANF or state maintenance-of-effort funds. These state
programs may have the benefit of providing targeted families with needed services that are not
countable federal work activities and removing these families from the calculation of the state’s

work participation rate. In some states, applicants for the TANF program may be referred to
these state programs.
In September 2006, the U.S. Department of Health and Human Services (HHS),
Administration for Children and Families (ACF) contracted with Mathematica Policy Research,
Inc., to document the types of diversion and upfront applicant strategies that states have
implemented and their prevalence across the country.

The project will provide valuable

information on how state and local offices are using strategies to divert TANF applicants or
engage them in work activities to meet the work participation requirements under DRA.
The Identifying Promising TANF Diversion Practices study will collect details on these
programs, identify promising practices, and learn more about the types of data state and local
offices maintain on their programs through the following activities:
• A mail survey of the 50 states and the District of Columbia to document the types of
applicant programs and requirements in place
• Interviews with state and local administrators about their strategies regarding
applicant diversion and employment-related programs
• Site visits to two local offices in each of three states to gather details on
implementation
This Office of Management and Budget (OMB) submission requests approval to conduct these
study components.
1.

Mail Survey
To document the types of diversion and TANF applicant activities in place across the

country, the study team will administer a mail questionnaire to the TANF directors in the 50
states and the District of Columbia (see Appendix A). This survey will enable the project team
to provide ACF with an up-to-date count of the states that utilize each type of diversion and

applicant program. However, we will not request details of these activities through the survey.
Through follow-up telephone interviews, the study team will acquire the specific information
needed.
Upon OMB approval, we will mail out the short questionnaire to the TANF directors. We
will follow up by telephone as necessary to ensure a 100 percent completion rate. Responses
from the 51 questionnaires will be entered into an Excel spreadsheet.
2.

State and Local Telephone Interviews
The research team will conduct a follow-up telephone interview with each of the state

TANF directors and selected local TANF directors. Through the former, we will learn more
about each state’s approach to TANF diversion and applicant programs; through the latter, we
will learn more about how implementation of diversion efforts occurs at the local level. The
interviews have four objectives:
1. Clarify Key Aspects of Applicant Diversion and Employment Strategies. The
interviews will explore the nature of practices by gathering information on the details
of key dimensions and by determining whether, how, and why these policies may
have changed over the course of the state’s implementation of the TANF program and
since passage of DRA.
2. Ascertain the Degree of Standardization or Variation in Practices Within a
State. The interviews will seek to understand the extent of discretion granted to local
TANF administrators and how widely diversion policies and practices vary across a
state.
3. Gather Detailed Information on Implementation of Policies. The interview will
explore the typical client flow for a particular program or requirement in order to
understand how a client experiences the program, what staff is involved in
determining eligibility and delivering services, and whether lessons may be learned
from state and local implementation experiences.
4. Determine the Availability and Accessibility of Data on Applicant Diversion and
Employability Programs. The interview will investigate whether states and/or
localities collect data on client participation and outcomes, what specific data
elements are tracked, how the data are collected, whether the data are accessible for
analysis, and whether any analysis or reports are available.

Depending on a state’s diversion strategies, the state-level interview will take from 10 to 60
minutes. Based on preliminary information on the implementation of these policies across states,
we anticipate that 16 of the interviews will be approximately 20 minutes each, while 35 will
average 60 minutes each. Since the local interviews will be targeted to local offices with
applicant requirements and/or programs, we estimate that these interviews will last about
60 minutes.
To accommodate the different diversion strategies the state and local offices have
implemented, the interview guide consists of several modules (see Appendix B). Each module
contains a set of interview questions for the particular type of diversion strategy employed. Thus
we will be able to tailor each interview to the types of applicant diversion and employment
strategies implemented in the state or local office.
We will schedule each state’s telephone interview after we have received its completed state
mail questionnaire so that we can tailor the interview appropriately. Based on information we
obtain from the state-level telephone interviews on the extent of variation in diversion practices
and the types of activities being implemented across their local offices, we will purposively
select approximately 30 local offices (3 from each of 10 states) for interviews. We will select
local offices in states that have a diverse range of diversion practices or that offer local office
discretion in selecting and implementing diversion strategies.
3.

Site Visits
Site visits will offer an opportunity for deeper exploration of the implementation details of

diversion programs and the identification of promising practices. We will interview key staff at
the local level in three states with innovative applicant diversion and employment programs.
Key topics we plan to cover during site visits include the following:

• Development of Innovative Practices. We will ask local administrators about their
motivation for adopting a particular practice and the timeline for implementation. We
will also investigate how the policies and procedures were developed and changed
over time.
• Implementation and Service Delivery. Our interviews will explore in detail the
process for implementing and delivering the applicant strategy, including the types of
staff members involved, the training provided to staff, and typical experiences among
clients.
• Major Challenges and Lessons Learned. To provide a full understanding of
promising practices, we will gather information on program administrators’
impressions of the challenges and successes encountered in implementing the
practices. We will ask administrators to suggest lessons for other states or localities
that may consider adopting similar practices.
• Program Administrative Data. We will make every effort to obtain readily
accessible data files, system reports, or analyses that can help answer questions about
the level of program participation and the characteristics and outcomes of TANF
applicants.
We plan to conduct site visits to three states, visiting two localities in a single state when
possible. Our criteria for selecting local sites will be whether they currently employ an applicant
diversion or employment approach that is likely to be of interest to other states and localities and
that appears to be achieving its intended goals. The program should have the potential to serve
as a promising practice for possible replication and should have been operating long enough to
have resolved initial implementation issues. We also will aim to include a mix of approaches
among the local sites visited. We will develop a list of possible locations for site visits by using
data collected from the state and local telephone interviews, and information gathered from a
research review and from interviews with representatives of national organizations and noted
welfare researchers.

In addition, we will use the pretests of the survey instrument as an

opportunity to learn more about states and localities that appear to be particularly strong
candidates for site visits. Based on these criteria, we expect that states selected for site visits will
have work-related application requirements and/or a pre-TANF job search program.

The site visits will include semi-structured interviews with a variety of agency staff
members, including directors, mid-level managers responsible for implementing diversion
practices, and line staff who screen applicants for participation in applicant diversion or
employment programs and/or deliver services to applicants. Site visitors will tailor the site visit
interview guide for each interview to ensure the questions reflect the experience and
responsibilities of the person being interviewed (see Appendix C). If partner organizations are
involved in the practice, we will seek to interview representatives of those organizations as well.
Finally, we will observe the delivery of services related to applicant diversion and employment
efforts—such as individual intake (or screening) meetings, group orientations, or required group
job search sessions or workshops—in order to gain as much insight as possible into how the
diversion approach functions in practice and is experienced by potential TANF applicants.
Two project team members, the project director and a research analyst, will jointly conduct
each of the visits to the two local offices within the three selected states. In a typical day, site
visitors will aim to conduct a total of four to five interviews plus observations of program
activities. In general, both staff members will be present at any given interview. The two-person
approach increases the effectiveness of the probing during the interview and allows visitors to
compare notes and impressions following the interviews to ensure that all information is
captured accurately. At the same time, a pair of staff members on site allows flexibility in the
site visit schedule, should it be necessary.
4.

Possible Study Limitation
The study’s main limitation is that it will not evaluate the effectiveness of state and local

offices’ applicant diversion and employment programs. While the study will be able to identify
and describe innovative and potentially promising practices, it will not determine which
approaches are most effective at diverting applicants or preparing them for TANF’s work-related
7

requirements. In addition, although the study will attempt to collect administrative data on these
programs, it will not be able to report the outcomes for participants of these programs.
B. HOW, BY WHOM, AND FOR WHAT PURPOSE INFORMATION IS TO BE USED
This study will inform ACF and states of the types of applicant diversion and employability
programs in place across the country. Specifically, the study aims to describe states and local
offices’ approaches to and experiences with diverting applicants from TANF or requiring their
participation in work-related activities. This information may inform these offices’ decisions
about policies and implementation guidelines for their own applicant programs.
C. USE OF AUTOMATED, ELECTRONIC, MECHANICAL,
TECHNOLOGICAL COLLECTION TECHNIQUES

AND

OTHER

This study will use limited technological techniques to collect information from states. The
initial survey will be mailed (or emailed) to state respondents and the study team will follow up
with telephone interviews. No other techniques are necessary given the size of the initial mailing
(50 states plus the District of Columbia) and the nature of the telephone followup (semistructured interviews).
D. EFFORTS TO AVOID DUPLICATION OF EFFORT
This study will enhance existing efforts to document state and local offices’ use of TANF
applicant diversion and employment strategies. Through the Welfare Rules Database (WRD),
the Urban Institute has documented state rules with regard to particular TANF policies. While
the database contains information on states’ TANF diversion strategies and applicant job search
requirements, it does not describe states’ overall approach to diverting applicants and engaging
them in work activities. Additionally, the WRD does not capture all types of diversion activities
such as applicant job search programs that provide short-term cash assistance or requirements

that applicants complete an employability plan or attend a work-related orientation. This study
will cover a broader range of diversion strategies and provide more analysis of the states’ goals
for their programs, whether the strategies are meeting intended goals, and other approaches they
are considering in the wake of DRA.
To avoid duplicating the work of the Urban Institute, wherever possible, we will use the data
it has collected on these programs so that we do not ask states or localities for information
already collected. For example, in interviewing an administrator in a state with a known lumpsum payment program, we will summarize the information in the WRD database and ask the
respondent to confirm the information, rather than asking the respondent to relate all the policy
details.
E. SENSITIVITY TO BURDEN OF SMALL ENTITIES
The information requested is the minimum required to meet the study objectives. The
burden on state and local offices has been minimized as much as possible by designing an
approach to data collection that intrudes only minimally. First, state TANF directors will be
asked to complete a short, non-labor intensive questionnaire to help frame the rest of the study.
Then, based on the results, we will tailor subsequent telephone interviews to ask each state
director only those questions that are appropriate for his or her state context. We will schedule
the telephone interviews for a time most convenient for the respondent.
Before each round of site visits, the research team member who will be leading the visit will
contact the local TANF director to explain the purpose of and review possible dates for the visit.
We will offer directors alternative dates and allow them to select the dates most convenient for
program staff. Following this initial contact, we will send the director a letter that details what
we hope to accomplish during the visit, who we need to interview, the approximate amount of
time needed for each interview, and the amount of time needed for the discussions.
9

F. CONSEQUENCES TO FEDERAL PROGRAM OR POLICY ACTIVITIES IF THE
COLLECTION IS NOT CONDUCTED OR IS CONDUCTED LESS FREQUENTLY
THAN PROPOSED
The data collected in this study will provide important information to understand how states
use TANF diversion and applicant strategies, especially in response to the new requirements
contained in the DRA. If these data were not collected, ACF would not have a comprehensive
understanding of states’ strategies to divert TANF applicants from public assistance or to prepare
them for the TANF work-participation requirements.
G. SPECIAL CIRCUMSTANCES
There are no special circumstances.
H. FEDERAL REGISTER ANNOUNCEMENT AND CONSULTATION
1.

Federal Register Announcement
The initial Federal Register announcement was printed on November 16, 2006 in Volume

71, No. 221, p. 66786. The second notice was printed on February 13, 2007 in Volume 72, No.
29, pp. 6736-6737. For additional information, see the Office of the Secretary Certification
Statement.
2.

Consultation
A number of individuals beyond the study team have been consulted on the design of the

study and the development of the data collection instruments. Their names, organizational
affiliations, and telephone numbers are listed below:
• Naomi Goldstein, ACF (202-401-9220)
• Karl Koerper, ACF (202-401-4535)
• Michael Dubinsky, ACF (202-401-3442)
• Peter Germanis, ACF (202-401-6495)
10

• Gretchen Kirby, MPR (202-484-3470)
• Liz Schott, Center on Budget and Policy Priorities (202-408-1080)
I.

PAYMENTS OF GIFTS TO RESPONDENTS
No payments will be made to respondents for their participation in this study.

CONFIDENTIALITY OF THE DATA
This study is being conducted in accordance with all relevant regulations and requirements,

including the Privacy Act of 1974 (5USC 552a), the Privacy Act Regulations (34 CFR Part 5b),
and the Freedom of Information Act (5 CFR 552) and related regulations (41 CFR Part 1-1, 45
CFR Part 5b, and 40 CFR 44502). In our introductions to each telephone or in-person interview,
we will assure respondents that (1) their participation in the study is voluntary; (2) their name
will never be used in reporting the results, and answers will not be released in any manner that
would enable someone to identify them; (3) the information they provide will be kept private to
the extent permitted by law; and (4) the information they provide will not be used for monitoring
or accountability purposes and will in no way affect their employment.

To further put

respondents at ease, we will assure them that our study is not evaluating state or local TANF
offices but is collecting information to understand how diversion programs are being used and
implemented. In past research studies, this approach has helped elicit useful information from
respondents about their perceptions and opinions on key topics.
Project staff members responsible for the data collection will be fully informed of MPR’s
policies and procedures regarding confidentiality of data. They will be trained to remind survey
and site visit respondents of these procedures as necessary.

MPR routinely employs the

following safeguards to ensure confidentiality:
• All employees at MPR sign a confidentiality pledge that emphasizes the importance
of confidentiality and describes their obligations.
11

• Access to personal identifying information with regard to the respondent universe for
a survey and to completed hardcopy survey instruments is strictly limited to MPR
staff directly involved in the survey. Documents are stored in locked files and
cabinets. Discarded material is shredded.
• Computer files are protected with passwords, and access is limited to specific users.
All identifying respondent information is stripped from electronic data analysis files.
In addition, data are maintained on removable storage devices that are kept physically
secure in when not in use.
• Data confidentiality and security at MPR’s survey operation center is further ensured
by code access to the center, lockable storage areas for sensitive documents, and
controlled access to computerized files and systems.
K. ADDITIONAL JUSTIFICATION FOR SENSITIVE QUESTIONS
We are not collecting any sensitive data. We will ask state and local respondents about the
details of their applicant programs and requirements. We also will ask about their opinions of
these policies, how they believe they affect applicants’ decision to enroll or not enroll in welfare,
and the successes and challenges of these policies.
L. ESTIMATES OF HOUR BURDEN OF THE COLLECTION OF INFORMATION
We estimate the total respondent burden for the Identifying Promising TANF Diversion
Practices study to be 137.63 hours in 2007—16.83 hours for the mail survey, 69.8 hours for
telephone interviews of state and local TANF administrators, and 51 hours for the in-person site
visits (Table I.1). Based on the pretest of the mail questionnaire of state TANF directors, we are
estimating that the questionnaire will take an average of 20 minutes to complete. We assume
that the telephone interview will average 60 minutes for about 70 percent of states and 18
minutes for the other 30 percent. Interviews with approximately 30 local offices will take no
more than 60 minutes to complete. For the in-person site visits we are assuming that there will
be an average of 8 respondents per site (with a maximum of 6 sites) and that most interviews will
take 60 minutes to complete. All data collection will occur in 2007.

TABLE I.1
ESTIMATED RESPONSE BURDEN FOR RESPONDENTS FOR THE IDENTIFYING
PROMISING TANF DIVERSION PRACTICES STUDY

Number of
Respondents

Number of
Responses per
Respondent

Average Burden
per Response
(Hours)

Mail Questionnaire

.33

17.00

State Director Interview

.80

39.80

Local State Director Interview

1.00

30.00

Site Visit
Administrator Interview
Supervisor Interview
Line Staff
Partner Organization

6
12
18
12

1
1
1
1

1.50
1.00
1.00
1.00

9.00
12.00
18.00
12.00

Total for 2007

Annual Burden
(Hours)

137.80

M. ESTIMATE OF TOTAL ANNUAL COSTS AND BURDEN TO RESPONDENTS OR
RECORD KEEPERS
State and local TANF offices will not incur any financial costs for participating in
evaluation activities.
N. ESTIMATES OF ANNUALIZED COSTS TO THE FEDERAL GOVERNMENT
The estimated cost to the federal government through September 2007 of the Identifying
Promising TANF Diversion Strategies study—including designing and administering the data
collection instruments; collecting, processing, and analyzing the data; and preparing reports
summarizing the results—is $288,028. This estimate is based on MPR’s previous experience
managing data collection efforts of these types.
O. REASONS FOR PROGRAM CHANGES OR ADJUSTMENTS
This is a new data collection effort.

P. PLANS FOR TABULATION AND PUBLICATION AND SCHEDULE FOR THE
PROJECT
1.

Publication Plans
As part of this data collection, we will produce one final report. The final study report,

expected to be delivered in September 2007, will summarize findings from all of the data
collection activities—the mail survey, state and local TANF office interviews, and local TANF
office site visits. To supplement dissemination of these reports, team members will also seek to
present their research at several professional conferences.
2.

Tabulation Plans

Survey and Telephone Interviews
Based on survey and interview data with state and local TANF administrators, we will

develop spreadsheets with important features of the state and local programs. Using these
spreadsheets, we will be able to summarize information about these programs across state and
local TANF offices.
b. Site Visits
Soon after each site visit is completed, one member of the site visit team will organize and
consolidate his or her notes, consulting with the other team member as necessary. During the
consolidation process, the designated staff member can identify any ambiguities or missing data
elements for resolution through brief follow-up telephone calls. We will compile and synthesize
all the collected information into a site-specific, internal memorandum that will be used for the
analysis and writing of the final report. Each memorandum will follow a uniform outline based
on the key study topics and will draw on information obtained from interviews; any program
observations; and documents obtained before, during, and after the site visits. The memorandum
will highlight points of disagreement and close agreement among data sources.
14

To facilitate cross-site comparisons, we will construct tables that summarize key findings for
each site. In qualitative research, the identification of themes or categories is a standard method
of data analysis (Yin 1994). In addition, the project staff members will meet after each site visit
to debrief and consider what we have learned with respect to the key research questions. The
meetings will provide an opportunity to discern common themes emerging from the site visits
and generate ideas for information to be highlighted in the final report.
Q. APPROVAL NOT TO DISPLAY THE EXPIRATION DATA FOR OMB APPROVAL
All study materials will display the OMB expiration date.
R. EXCEPTION TO THE CERTIFICATION STATEMENT
No exceptions to the certification statement are requested.

II. COLLECTION OF INFORMATION EMPLOYING STATISTICAL METHODS

A. RESPONDENT UNIVERSE AND SAMPLING METHODS
1.

Survey and Telephone Interviews
We plan to administer the mail questionnaire to all 50 states and the District of Columbia.

Similarly, all states and the District of Columbia will participate in the follow-up telephone
interview. However, the length of the interview will depend on the number and types of TANF
applicant diversion and employment programs implemented.
We will purposively select the 30 local TANF offices to interview based on the state
interviews. First, through the state interviews, we will identify which states allow local offices to
determine (1) the types of applicant programs to implement or (2) how to implement programs
that have been authorized by the state. In our interviews with states that do give local offices
latitude, we will ask states for their recommendations of local offices to include in the telephone
interviews and the later site visits. Then, based on this information, we will purposively select
local offices to interview. Our expectation is that our state interviews will indicate that about 10
states grant broad local discretion, and we will purposefully select 3 local offices in each that
represent different approaches.
2.

Site Visits
We will select purposively three states and two localities from each state to include in the

site visits. We will select them based on the state and local interviews, a review of available
public documents and data, and conversations with and recommendations of colleagues in the
welfare policy and research fields. Data on diversion programs collected through the state- and
local-telephone interviews will be another source of information. We will use these data to
assess the extent to which particular state or local programs appear to be achieving their stated
16

goals. We will include in the study those programs that appear to be successful, as well as select
states that allow their local offices discretion in how or what kinds of programs they implement.
We also will consider states and localities that have recently changed their programs and policies
in response to the DRA.
In addition, the sampling strategy will ensure that a mix of different diversion practices—
such as work-related application requirements, pre-TANF job search programs, and other
innovative approaches—will be included in the site visits. However, the information currently
available on the solely state-funded programs indicates that many are in the very early stages of
implementation and most represent a change in funding source rather than the creation of a new
program that differs substantially from the state’s TANF program. Consequently, we expect
there would be little to learn about these programs on visits to local sites. The telephone
interviews are likely to provide most of the pertinent information about their implementation.
Questions about how local sites implement work-related application requirements or job-search
programs may be more appropriate for site visits.
Once we have identified the site visit sites, we will contact the TANF administrator in each
of the three states to inform him or her that two local offices have been selected for the site visit
component of the study and enlist his or her support in eliciting the participation of the local
offices. After securing local offices’ agreement to participate, we will arrange convenient times
to conduct the visits. Site visit respondents include local office program administrators, case
managers, eligibility workers, other front-line staff who have responsibilities in the applicant
programs and requirements, and administrators and front-line staff at contracted service
providers and community-based organizations with responsibilities for these programs. We will
ask each site to designate one contact to serve as site visit coordinator with whom we can discuss
the appropriate number and combination of staff members to include in each site visit interview.
17

B. STATISTICAL METHODS FOR SAMPLE SELECTION AND DEGREE OF
ACCURACY NEEDED
There will be no statistical methods used to select the sample of survey and telephone
interview respondents or case study sites.
C. METHODS TO MAXIMIZE RESPONSE RATE AND TO DEAL WITH
NONRESPONSE
1.

Mail Survey and Telephone Interview
Achieving a high response rate in the mail survey and telephone interview is essential in

order to capture a complete picture of states’ TANF applicant diversion and employment
strategies, and we will take special steps to assure success. First, MPR staff will send an advance
letter to state TANF directors to inform them about the study and the survey stages (see
Appendix A). The letter will explain the study’s purpose and sponsors, describe what the study
will entail, and assure the confidentiality of respondents. Administrators of selected local TANF
offices will receive a similar letter. In addition, as we identify the local welfare offices for the
telephone interview, we will inform both the state TANF director and the local offices of the
selection.
Second, telephone interviews will be conducted by MPR researchers who have experience
conducting interviews and are familiar with TANF programs. They are particularly attuned to
addressing respondent concerns about the study and encouraging participation without alienating
potential respondents. For TANF administrators who are reluctant to participate because of lack
of time, interviewers will stress that the survey may be done at their convenience and over
several appointment times. For those concerned about confidentiality, interviewers will explain
MPR’s confidentiality procedures.

Site Visits
We will take several steps to maximize response rates during the site visits. First, we will

attempt to increase response and cooperation by guaranteeing confidentiality to all potential
respondents. Before each interview, we will assure respondents that (1) their participation in the
study is voluntary, (2) their name will never be used in reporting the results and answers will not
be released in any manner that would enable someone to identify them, (3) the information they
provide will be held in strict confidence and used only for the study, and (4) the information they
provide will not be used for monitoring or accountability purposes and will in no way affect their
employment.
Second, we will attempt to reduce nonresponse due to scheduling conflicts or lack of time
through advance planning. All site visits will be scheduled at least one month in advance,
allowing time to identify the important respondents, contact them individually, and gain
assurance of their availability. We will give each site visit coordinator a detailed site visit
schedule and request that he or she (1) share copies of the schedule with each respondent well in
advance of the visit and (2) alert MPR staff to any problems in individuals’ schedules before the
visit so that alternate respondents can be identified and scheduled.
Finally, we will attempt to reduce nonresponse for other reasons by distributing to each
respondent, in advance of each site visit, hardcopy materials that explain the study and its
sponsors and encourage participation.
D. TEST OF PROCEDURES AND METHODS TO BE UNDERTAKEN
1.

Survey and Telephone Interviews
Prior to this OMB submission, we conducted a pretest of the mail questionnaire and

telephone interviews with seven states. Following receipt of the seven mail questionnaires, we
discussed the questionnaire with each respondent for their feedback. Based on this feedback we
19

modified the questionnaire. For the pretest telephone interviews, MPR project staff conducting
each interview considered whether responses to questions were consistent with the intent of the
questions and whether respondents understood each question appropriately.

Based on the

pretest, we modified a draft version of the protocol to improve the clarity of question wording
and the sequencing and flow of questions.
2.

Site Visits
The site visit protocols draw heavily on MPR’s experience developing protocols for other

studies, such as the Implementation of TANF Sanctions study and the Assessing Medicaid and
Food Stamp Program Access and Participation study. We do not believe that further testing is
necessary since the protocols are intended to serve as general guides rather than instruments to
be followed precisely; in this kind of data collection, early experience in the field will lead to
ongoing feedback about which topics merit more or less emphasis and what avenues are most
fruitful for follow-up probing to explore issues. We expect that senior staff from MPR will adapt
and tailor lines of questioning in each site based on the particular circumstances in the site.
E. INDIVIDUALS CONSULTED ON THE STATISTICAL ASPECTS OF THE DESIGN
No individuals beyond the study team were consulted on the statistical aspects of the design.

REFERENCES

The Urban Institute.
“Welfare Rules Database.”
http://anfdata.urban.org/WRD/WRDWelcome.CFM.

Accessed October 9, 2006 from

Yin, Robert. Case Study Research: Design and Methods, Second Edition. Sage Publications:
Thousand Oaks, CA, 1994.

APPENDIX A
ADVANCE LETTER AND QUESTIONNAIRE

January 9, 2007
TANF Director
[address]
Dear Director:
The Administration for Children and Families (ACF) has contracted with Mathematica Policy
Research, Inc. (MPR) to conduct a study of state policies and programs designed to provide
assistance to families before approving their application for ongoing cash assistance through the
Temporary Assistance for Needy Families (TANF) block grant.
The study will be based on information collected in each state and the District of Columbia.
The information will be collected in two stages. In the first stage, MPR will send you a mail survey
requesting current information on your state’s programs and policies that target TANF applicants.
The purpose of these programs may be to divert applicants from the TANF program or prepare them
for the TANF work-related requirements. In the second stage, an MPR researcher will conduct a
follow-up telephone conversation to gather additional information on these policies and programs.
Depending on your state’s practices and policies, this interview will last between 10 and 60 minutes.
Following the state interviews, MPR will collect additional information from local TANF offices in
selected states through semistructured interviews and in-person visits.
While participation in this study is voluntary, the answers you provide will help ACF
understand how states are assisting TANF applicants. If you have questions or would like to know
more about the study, please call [xxxx].
Sincerely,
Naomi Goldstein
Director
Office of Planning, Research
and Evaluation
cc: Files

MPR Reference No.: 6292-310
Survey Identification Number: |

OMB Approval Number: xxxx-xxxx
Expiration Date: xx/xx/xxxx

Study of Temporary
Assistance for Needy
Families (TANF)
Diversion Practices
State TANF Director
Questionnaire
January 4, 2007

Introduction
The TANF program is now more than ten years old, and each state continues to explore and
experiment with methods of encouraging work and promoting self-sufficiency. The Administration for
Children and Families (ACF) has initiated the TANF Diversion Practices study to better understand the
strategies states are using to promote employment and self-sufficiency among families applying for cash
assistance and to facilitate information-sharing across states about these practices. As a first step, we are
asking you to complete the short questionnaire about your efforts to engage TANF applicants in work or
work-related activities or to provide financial and other assistance to applicant families to divert them
from the TANF program. We will use the information from this questionnaire to identify and further
explore innovative strategies that may be of interest to other states. After we review your responses, we
will contact you to schedule a follow-up telephone interview to gather additional information. The
follow-up interview will last between 10 and 60 minutes.

Instructions
Always proceed to the next question in the survey unless special instructions tell you to go
elsewhere. Most questions can be answered by simply placing a check mark in the appropriate box. For
a few questions you will be asked to write in a response. Feel free to elaborate on any responses in the
questionnaire margins or to provide additional thoughts about your TANF diversion program at the end of
the questionnaire. Please write “DK” next to the answer category if you do not know an answer.
Please return the completed questionnaire in the enclosed return mail envelope to Mathematica
Policy Research, Inc., P.O. Box 2393, Princeton, NJ 08543-2393, ATTN: Todd Ensor, or fax it to
Mr. Ensor at (609) 799-0005. If you have any questions, please call Todd Ensor at (609) 275-2326.
According to the Paperwork Reduction Act of 1995, no persons are required to respond to a collection of information unless it displays a valid OMB
control number. The valid OMB control number for this information collection is xxxx-xxxx, expiration date xx/xx/xxxx. The time required to complete
this information collection is estimated to average 12 minutes per response, including the time to review instructions, search existing data resources,
gather the data needed, and complete and review the information collected. If you have any comments concerning the accuracy of the time
estimate(s) or suggestions for improving this form, please write to: U.S. Department of Health and Human Services, 200 Independence Avenue, SW,
Washington, DC 20201.

Employment, Self-Sufficiency, and Alternative Income
Support Strategies for TANF Applicants
Please provide the following information for strategies you may have in place, or are planning to put into place, for families
who apply for cash assistance.

B3. Is this program targeted to all eligible TANF
applicants (excluding child-only cases) or a
subset of applicants with certain characteristics?

Section A. Lump Sum Payments To Divert
Applicants From TANF Assistance
A1. Does your state offer or plan to offer lump sum
payments (via cash, vendor payments, or
vouchers) to families applying for cash
assistance with the intent of alleviating the need
for TANF assistance?
1

! Yes, statewide — Go to A2

! Yes, at county discretion — Go to B1

! No — Go to B1

! All eligible applicants

! Subset of eligible applicants

B4. Is participation in this program voluntary or
mandatory for the target population?
1

! Voluntary

! Mandatory

A2. Please record the month and year of initial or
planned implementation of this program.
|

B5. Please record the month and year of initial or
planned implementation of this program.

| |/| | |
Month
Year

Section B. Pre-TANF Job Search and Assessment
Programs That Provide Short-Term
Financial Assistance
Section C. Work-Related TANF Application
Requirements

B1. Does your state have or plan to implement a
program separate from your TANF cash
assistance program that provides short-term
financial assistance to families who apply for
TANF assistance while they participate in job
search, complete an employability assessment,
or participate in other work-related activities?

C1. In this section we ask about your state’s current
or planned work-related requirements that all or
some TANF applicants complete before they are
approved to receive TANF cash assistance.

! Yes, statewide — Go to B2

! Yes, at county discretion — Go to C1

Are TANF applicants required to participate
in an orientation program focused on work
requirements or employment-related activities?

! No — Go to C1

! Yes, statewide — Go to C2

! Yes, at county discretion — Go to C4

! No — Go to C4

B2. Please record the name of that program.
C2. Is a family’s application for TANF cash
assistance denied if they fail to comply
with the requirement?

Prepared by Mathematica Policy Research, Inc.

! Yes

! No

C9. Please record the month and year of initial or
planned implementation of this requirement.

C3. Please record the month and year of initial or
planned implementation of this requirement.
|

| |/| | |
Month
Year

C10. Are TANF applicants required to participate in a
job search?

C4. Are TANF applicants required to complete a plan
that outlines what steps they will take to find
employment or move towards self-sufficiency?

! Yes, statewide — Go to C11

! Yes, statewide — Go to C5

! Yes, at county discretion — Go to D1

! Yes, at county discretion — Go to C7

! No — Go to D1

! No — Go to C7
C11. Is a family’s application for TANF cash
assistance denied if they fail to comply
with this requirement?

C5. Is a family’s application for TANF cash
assistance denied if they fail to comply
with the requirement?
1

! Yes

! No

! Yes

! No

C12. Please record the month and year of initial or
planned implementation of this requirement.
|

C6. Please record the month and year of initial or
planned implementation of this requirement.
|

| |/| | |
Month
Year

Section D. Consideration of Alternative Resources
D1. As part of the TANF application process, are
intensive services provided to help applicants
find other means of assistance in lieu of receiving
TANF?

C7. Are TANF applicants required to register for
work?
1

! Yes, statewide — Go to C8

! Yes, at county discretion — Go to C10

! No — Go to C10

| |/| | |
Month
Year

! Yes, statewide — Go to D2

! Yes, at county discretion — Go to E1

! No — Go to E1

D2. Please record the month and year of initial or
planned implementation of these services.
C8. Is a family’s application for TANF cash
assistance denied if they fail to comply with
the requirement?
1

! Yes

! No

Prepared by Mathematica Policy Research, Inc.

| |/| | |
Month
Year

E5.

Section E. Solely State-Funded Cash Assistance
Programs
E1.

Does your state have or plan to implement a
program that is funded solely by state or local
dollars (not TANF or TANF Maintenance of Effort
(MOE) dollars) that provides ongoing financial
assistance to families with children who would
otherwise be eligible for TANF?
1

! Yes, statewide — Go to E2

! Yes, at county discretion — Go to F1

! No — Go to F1

E6.

Is participation in this program voluntary or
mandatory for the target population?
1

! Voluntary

! Mandatory

Please record the month and year of initial or
planned implementation of this program.
|

| |/| | |
Month
Year

Section F. Final Comments
E2.

Please provide the name of this program.
F1.

Please provide us with materials such as
regulations, reports, or educational material you
have describing these policies or programs. If
they are available on-line, please provide us with
the link and we will download them.

Web Links:

E3.

Is this program available to families who are
applying for TANF assistance?
1

! Yes, statewide — Go to E4

! Yes, at county discretion — Go to F1

! No — Go to F1
F2.

E4.

To which types of TANF applicants is this
program targeted?

Mark Yes or No for each type
Yes

a. Two parent families?.........................

b. Families with a household head
attending college?.............................

Families experiencing personal or
family challenges? ............................

d. Other types of families (Please
describe below) ...................................

Prepared by Mathematica Policy Research, Inc.

We will be following up shortly to discuss your
state’s responses in this questionnaire. In the
meantime, please write in any comments that
might help us prepare for this discussion.

F3.

Please enter the name and telephone number of
the person who completed this questionnaire.

Telephone Number:
(|

|)-|

|-|

Area Code

F4.

Please enter the name and telephone number of
the person we should contact for the follow-up
telephone interview, if different from the person
who completed this questionnaire.

Telephone Number:
(|

|)-|

|-|

Area Code

F5.

Thank you for completing this survey. Please
return it in the enclosed return envelope to
Todd Ensor at Mathematica Policy Research, Inc.,
P.O. Box 2393, Princeton, NJ 08543-2393 or fax it
to Mr. Ensor at (609) 799-0005. We will follow up
by phone shortly.

Prepared by Mathematica Policy Research, Inc.

APPENDIX B
STATE AND LOCAL TELEPHONE INTERVIEW GUIDES

TANF DIVERSION STUDY
STATE AND LOCAL TELEPHONE INTERVIEW PROTOCOL
Introduction
In the mail survey you completed last month you indicated that the state targets the following
programs or requirements to applicants for TANF assistance: [name programs].
[Local interview: From discussions we have had with the state TANF office, we understand that
your local office has implemented the following program(s) targeted to applicants for TANF
assistance: [programs] .]
The purpose of this interview is to learn more about each of these programs. First, I would like
to discuss each of these programs with you and, then, I will ask you some general questions
about the state’s [local office’s] overall strategy.
We would like to start with [name of program].
Modules
Module 1: Formal Diversion Payments (Lump-Sum Payment)
Module 2: Job Search and Other Work-Related Requirements
Module 3: Alternative Resources
Module 4: Pre-TANF Job Search and Assessment Program with Cash Assistance
Module 5: Solely State-Funded Cash Assistance Program
Concluding Questions
Is the state trying to achieve a broader goal with its mix of applicant requirements and programs?
If so, how well is this mix meeting the state’s goals?
Are there any approaches you would like to see the state take with respect to diverting TANF
applicants and/or preparing them for the work-participation requirements?
How has the state’s [local office’s] overall approach to diverting applicants been influenced by
passage of the DRA?
Are there new programs or approaches being considered by the state [local office] to divert
applicants from TANF? Please describe.
Thank you for your time.

MODULE 1: FORMAL DIVERSION PAYMENTS
I.

Program Details

We have obtained information from the Urban Institute on the structure of your formal diversion
payment or lump sum payment program. We would like to review this information and then ask
you some additional questions: [Review the following information]
Maximum Payment Amount
Form of payment
How often recipient can receive payment
Period of TANF ineligibility without penalty after payment
How the payment is treated with regards to the time limit
II.

Program Goals/Scope
1. What is the primary purpose/goal of the lump sum payment program?
2. Was the program created through state legislation or administratively?
3. What is the funding source for this program? If state money supports this
program, how has this affected the funding for other state programs?
4. Do county or local offices have any discretion to offer a formal diversion payment
that is different than what we just reviewed? If yes, please describe.

III.

Eligibility
1. To whom is the program targeted?
2. Are there explicit criteria that an applicant must meet to be considered for the
program? If so, what are the criteria?
3. For those applicants that meet the program criteria, is the program mandatory or
voluntary?
4. Are there any circumstances under which an applicant who does not meet the
program criteria can receive a diversion payment? Please describe.
5. Are the income and assets criteria for eligibility the same as for the TANF
program?
-

IV.

If no: How are they different?

Recruitment and Screening
1. What strategies are used to inform and recruit applicants to participate in the
program? When is an applicant informed about the program and by whom?
2. How are intake or eligibility workers trained to discuss the option of a lump sum
payment with applicants? Who trains them?

Module 1

3. How consistently do you think these discussions occur between workers and
applicants?
4. At what point in the application process do these discussions occur? What event
or information triggers the discussion?
5. Which workers screen applicants and manage the payments?
V.

Payment
1. How is the amount of the payment determined? What information does the
applicant need to provide to demonstrate the need for the payment? How much
discretion do workers have in determining the payment amount?
2. Are there restrictions on how the payment can be used?
discretion on how it is used?

Do workers have

3. Over what time period is the payment received?
4. Is participation in any work activity required to receive the payment? If yes, what
is the requirement?
VI.

Application Processing
1. How much time do you have to make a decision on an application? Does the
clock start ticking at the time the initial application is submitted or after the
completion of any pre-application work requirements?
2. What is the disposition of a participant’s initial TANF application?
3. How is the participant’s application for other supports (Medicaid, food stamps)
handled? How does this change if an applicant finds employment?
4. How are participants’ payments treated in determining eligibility for Medicaid
and food stamps?
5. If a person receives a lump sum payment, are they eligible to receive any other
kind of supports either while receiving the lump sum or if they find a job? [child
care, transportation, case management, education and training]

VII.

Participation and Outcomes
1. What proportion of applicants is considered for the program? Of those
considered, what proportion receives a lump sum cash payment? How many
applicants enroll in the program during an average month?
2. How do you track participation in the program?
3. To what extent do you maintain data on participation and outcomes (participation
rates, employment rates, proportion reapply for assistance)? [request data]
4. Do you have any data or reports that compare the outcomes of lump-sum
recipients with families that receive TANF assistance? [If so, request data/reports]

Module 1

VIII. Successes/Challenges/Advice for Other States
1. To what extent is the program achieving its goals?
2. What challenges have you had to overcome to implement the program? What
strategies helped you to overcome those challenges?
3. What lessons have you learned that you would like to pass along to states that are
considering implementing a similar program?
4. Have you made or considered making any changes to this requirement since the
reauthorization of TANF? Please describe.
5. Which counties or local offices have done an exemplary job implementing the
program and/or have had high participation rates? What do they do differently
than other offices?

Module 1

MODULE 2: JOB SEARCH AND OTHER WORK-RELATED REQUIREMENTS
(WORK PROGRAM ORIENTATION, WORK REGISTRATION
OR DEVELOPMENT OF AN EMPLOYMENT PLAN)
You indicated that TANF applicants are required to complete [the program requirement] as a
condition of eligibility for TANF. We would like to learn more about this requirement,
including what is expected of applicants, what assistance is available to them and what happens
if they do not complete the requirement.
I.

Program Goals/Scope
1. What is the primary purpose/goal of requiring applicants to [insert program
requirement] as a part of the TANF application process?
2. Was this requirement created through state legislation or administratively?
3. What is the funding source for this program? If state money supports this
program, how has this affected the funding for other state programs?
4. Is [the program requirement] required statewide or only in selected areas?
5. Do county or local offices have any discretion in defining or altering [the program
requirement]? If yes, please describe.

II.

Eligibility
1. Who is required to complete the [program requirement]? How do you determine
if someone should be exempted from this requirement?
2. Are there any circumstances in which this requirement can be waived? Please
describe.
3. How is the participant’s application for other supports (Medicaid, food stamps)
handled while they are completing the [program requirement]?

III.

Recruitment and Screening
1. What strategies are used to inform applicants about this requirement? When is an
applicant informed about the requirement and by whom?
2. Who explains this requirement to applicants?

IV.

Program Structure
1. How is the [program requirement] structured? What must the applicant do? Over
what period of time?
2. What assistance is provided to participants to help them meet this requirement?
Who provides this assistance? [the TANF agency; another government agency,

Module 2

such as the One Stop Career Center or the Workforce Development agency; or a
contractor]
3. Is child care assistance available for participants? If yes, is there a formal process
for linking participants with child care assistance? If so, please describe this
process.
4. Where does an applicant have to go to complete the requirement? Is an applicant
given an appointment to complete the requirement or are they required to
schedule a time on their own? What are the options for rescheduling if an
applicant misses an appointment?
5. How long does it take to complete the requirement?
6. For job search requirements, how is participation monitored? Who monitors
participation?
V.

Consequences for Not Participating
1. What are the consequences for not completing the requirement?
2. If an applicant begins to participate but then stops participating, are any efforts in
place to reengage them?
3. How much time do you have to make a decision on an application? Does the
clock start ticking at the time the initial application is submitted or after the
completion of any pre-application work requirements?
4. What is the disposition of the TANF application if an applicant does not complete
the requirement?
5. When can the applicant reapply for assistance if their application is denied for
failing to meet the requirement?
6. What happens to a participant’s applications for food stamps and Medicaid if they
do not complete the requirement?

VI.

Participation
1. What proportion of applicants is required to complete [the program requirement]?
2. Of those required to complete the requirement, what proportion complete it?
3. How do you track completion of the requirement?
4. To what extent do you maintain data on who completes the requirement and who
finds employment? [request data]

VII.

Employment (Job search requirements only)
1. What proportion of applicants finds employment before going on to TANF?

Module 2

2. How is the TANF application handled if an applicant finds employment? How is
their eligibility for TANF determined?
3. Is an applicant who finds employment before going on to TANF eligible for the
same earnings disregard as a TANF recipient who finds employment? If not, how
does the earnings disregard differ for applicants?
4. If they find employment and are not eligible for TANF, are they eligible for the
same benefits as a TANF recipient who finds employment and exits TANF? If
not, what is different? Do you offer a post-employment TANF program or exit
bonus for TANF recipients? Are applicants who find employment eligible for
this program or bonus?
5. How is the food stamp and Medicaid application handled if the applicant finds a
job?
VIII. TANF Transition (Job search requirements only)
1. If an applicant does not find employment or finds employment and is still eligible,
how is the transition to TANF handled?
2. What work activity are they required to participate in?
3. Do they undergo an assessment? If so, when?
IX.

Successes/Challenges/Advice for Other States
1. To what extent is the program achieving its goals?
2. What challenges have you had to overcome to implement the requirement? What
strategies helped you to overcome those challenges?
3. What lessons have you learned that you would like to pass along to states that are
considering implementing a similar requirement?
4. Have you made or considered making any changes to this requirement since the
reauthorization of TANF? Please describe.
5. Which counties or local offices have done an exemplary job of implementing [the
program requirement]? What makes them exemplary?

Module 2

MODULE 3: ALTERNATIVE RESOURCES
You indicated that as a part of the application process, eligibility workers are required to explore
the availability of alternative resources (such as family or friends or services provided by
community organizations) with families applying for assistance. We would like to learn more
about this requirement and how it is implemented.
I.

Program Goals/Scope
1. What is the primary purpose/goal of this approach?
2. Was this approach created through state legislation or administratively? When?
3. What is the funding source for this program? If state money supports this
program, how has this affected the funding for other state programs?
4. Is this approach implemented statewide or only in selected areas?
5. Do county or local offices have any discretion in defining or altering this
requirement? Please describe.
6. Have you made or considered making any changes to this approach since the
reauthorization of TANF?
7. What public agency or other organization manages this program?

II.

Eligibility
1. To whom is the consideration of alternative resources targeted?
2. Are there any circumstances when an applicant can choose to apply for TANF
rather than accessing alternative resources even when identified?

III.

Recruitment and Screening
1. What strategies are used to inform applicants that they must consider alternative
resources before their TANF application can be approved? When is an applicant
informed about the requirement and by whom?
2. Can you describe when this discussion takes place and what instructions workers
have been given about how to facilitate this discussion?
3. Is information gathered as a part of the written TANF application that helps to
guide this discussion. Or, does the intake worker initiate the discussion during the
eligibility interview?
4. Who conducts this discussion with applicants? How are they trained?

Module 3

5. How consistently do you think these discussions occur between workers and
applicants?
6. How does a worker determine whether alternative resources are available and
accessible to an applicant?
7. If alternative resources are identified, what is the next step? Is the TANF
application placed on hold? If so, for what period of time or until what specific
requirement is met?
IV.

Outcomes
1. How often are workers able to identify alternative resources that alleviate the need
to apply for TANF benefits? How often is a TANF application withdrawn or
denied because a family’s needs can be met through alternative resources?
2. How do you track which applications are withdrawn or denied because alternative
resources have been identified? [request data]

Successes/Challenges/Advice for Other States
1. To what extent is the program achieving its goals?
2. What challenges have you had to overcome to implement the program? What
strategies helped you to overcome those challenges?
3. What lessons have you learned that you would like to pass along to states that are
considering implementing a similar program?
4. Have you made or considered making any changes to this requirement since the
reauthorization of TANF?
5. Which counties or local offices have done an exemplary job of implementing this
approach? What makes them exemplary?

Module 3

MODULE 4: PRE-TANF JOB SEARCH AND ASSESSMENT PROGRAMS
WITH CASH ASSISTANCE

You indicated on your survey form that you have implemented a program separate from your
TANF programs that provides short-term financial assistance to families who apply for TANF
assistance while they participate in job search, complete an assessment, or participate in other
work-related activities.
I.

Program Goals/Scope
1. What is the primary purpose/goal of providing a pre-TANF program that provides
financial assistance and requires individuals to participate in work activities?
2. Was this program created through state legislation or administratively?
3. What is the funding source for this program? If state money supports this
program, how has this affected the funding for other state programs?
4. Is the program available statewide or only in selected areas? Please describe.
5. Do county or local offices have any discretion in defining or altering the structure
of this program? Please describe.
6. What influence did increased work participation rates as a result of TANF
reauthorization have on the implementation of this program?
7. How is the program funded? Is financial assistance claimed as assistance or nonassistance for TANF/MOE reporting purposes?
8. What public agency or other organization manages this program?

II.

Eligibility
1. What are the eligibility criteria for the pre-TANF program? Which applicants are
exempted from participation in the pre-TANF program? How do you determine if
someone should be exempted from this requirement? Is participation in the preTANF program mandatory for eligible applicants?
2. For applicants who meet the eligibility criteria, are there any circumstances in
which this requirement can be waived and applicants can apply directly to TANF?

III.

Recruitment and Screening
1. What strategies are used to inform applicants about this program? When is an
applicant informed about the program and by whom?

Module 4

IV.

Financial Assistance

We would like to first learn more about the financial assistance component of the
program and then learn about the services and work component.
1. What is the maximum amount of financial assistance a family can receive through
this program? How does this compare to the amount of assistance they can
receive from TANF?
2. How is the amount of assistance determined? What information does the
applicant need to provide to demonstrate the need for the assistance?
3. How is the financial assistance provided to participants? (e.g., cash, voucher,
vendor payment)
4. How often is the financial assistance provided?
5. Are there any constraints on how the assistance can be used?
6. What is the maximum amount of time a family can receive assistance through the
program?
7. Do the months when a family is receiving financial assistance count toward the
time limit?
V.

Interaction with Other Programs
1. How is the participant’s application for other supports (Medicaid, food stamps)
handled?
2. Are families eligible for child care and other work supports while they are
participating in the pre-TANF program? If yes, is there a formal process for
linking participants with child care assistance? If so, please describe this process.
3. How are earnings treated while a family is in the pre-TANF program?
4. Are child support payments collected on behalf of families in the pre-TANF
program retained by the state? How does this differ from the TANF program?
Does child support distributed to families in the pre-TANF program reduce the
financial assistance they receive through the program? Does the state disregard
any of the child support income to determine the amount of financial assistance?

VI.

Module 4

4. What assistance is provided to participants? Who provides this assistance? [the
TANF agency; another government agency, such as the One Stop Career Center
or the Workforce Development agency; or a contractor]
5. How long does participation in the program last?
6. How is participation monitored? Who monitors participation?
VII.

Consequences for Not Participating
1. What happens if a participant stops participating? Are any efforts required to
reengage them?
2. What are the consequences for not participating? What happens to their financial
assistance?
3. When can they reapply for the program?

VIII. Transition to TANF
1. Under what circumstances is a family transitioned onto TANF? What happens
when a family reaches the maximum amount of time in the pre-TANF program?
2. How does this transition occur?
3. Is the transition automatic or does the family have to complete a separate
application for TANF?
4. If participants of this program are working, how are earnings treated when they
transition to TANF? Are they eligible for the same benefits as a TANF recipient
who finds employment? If not, what is different?
-

Is a participant who finds employment eligible for the same earnings
disregard as a TANF recipient? If not, how does the earnings disregard
differ for participants?

5. What benefits are available for families who find employment and are not eligible
for TANF due to earnings? Are they eligible for the same benefits as a TANF
recipient who finds employment? If not, what is different?
6. What work activity are participants required to participate in once on TANF?
IX.

Participation and Outcomes
1. How do you track participation in the program?
2. What proportion of applicants is required to participate in the pre-TANF
program?
3. Of those required to participate, what proportion do so? What proportion finds
employment before transferring to TANF? What proportion does not find

Module 4

employment, but does not transfer to TANF?
TANF?

What proportion transfers to

4. What other data do you maintain on program participation and outcomes?
[request all data/reports]
X.

Successes/Challenges/Advice for Other States
1. To what extent is the program achieving its goals?
2. What challenges have you had to overcome to implement the program? What
strategies helped you to overcome those challenges?
3. What lessons have you learned that you would like to pass along to states that are
considering implementing a similar program?
4. Which counties or local offices have done any exemplary job of implementing the
pre-TANF program? What makes them exemplary?

Module 4

MODULE 5: SOLELY STATE-FUNDED CASH ASSISTANCE PROGRAMS

You indicated on your survey form that you have implemented a financial assistance program
funded solely with state or local dollars that provides ongoing financial assistance to families
with children and in which families are not considered to be on TANF. We would like to learn
more about this program.
I.

Program Goals/Scope
1. What is the primary purpose/goal of creating a state program that provides cash
assistance to families with children?
2. Was this program created through state legislation or administratively?
3. What is the funding source for this state program? What state programs are no
longer funded as a result of this program?
4. Is the program available statewide or only in selected areas?
5. Do county or local offices have any discretion in defining or altering the structure
of this program? Please describe.
6. What influence did increased work participation rates resulting from TANF
reauthorization have on the implementation of this program?

II.

Eligibility
1. Which families are eligible for this program?
2. Does this program target new applicants, families that have been receiving TANF
assistance or both?
3. Is participation in the solely state-funded program mandatory for any families
who meet particular criteria?
4. How is eligibility for the program determined? How does the eligibility criteria
differ from your TANF program?
5. Is the application process for this program separate from the application process
for TANF? If yes, can you describe the application process?
6. Does the solely state-funded program have the same rules and regulations as the
state’s TANF program? If no, how does the program differ?

If no, complete subsequent sections of the protocol as needed. If yes, skip to section X of
the protocol.

Module 5

III.

Recruitment and Screening
1. What strategies are used to inform families about this program? If participation in
the program is optional, how are families informed of the option and of any
consequences for not participating?

IV.

Financial Assistance
1. What is the maximum amount of financial assistance a family can receive through
this program? How does this compare to the amount of assistance they can
receive from TANF?
2. How is the amount of assistance determined?
3. How is the financial assistance provided to participants? (e.g., cash, voucher,
vendor payment)
4. Are there any restrictions on how this assistance can be used?
5. How often is the financial assistance provided?
6. What is the maximum amount of time a family can receive assistance through the
program? Is this time limit for receiving assistance through the solely statefunded program based on the TANF time limit?
7. Does assistance received through the solely state-funded program count towards
the TANF time limit?
8. If there is no time limit on participation, are there other events that can cause
families to exit the program or transition into another program? Describe.

Interaction with Other Programs
1. How is the participant’s application for other supports (Medicaid, food stamps)
handled?
2. Are families eligible for child care and other work supports while they are
participating in this program?
3. Are child support payments collected on behalf of families in the solely statefunded program retained by the state? How does this differ from the TANF
program? Does child support distributed to families in the solely state-funded
program reduce the financial assistance they receive through the program? Does
the state disregard any of the child support income to determine the amount of
financial assistance?
4. How is eligibility for Medicaid or Transitional Medical Assistance handled for
families that exit the solely state-funded program? If the state offers Transitional
Food Stamps, how is eligibility for Transitional Food Stamps handled for families
that exit the solely state-funded program?

Module 5

VI.

Work Activity Requirement
1. In what type of work activities are program participants required to participate?
2. If all participants do not participate in the same activity, what determines the
activity in which they participate?
3. What level of participation is required in the work activity? Over what period of
time?
4. What assistance is provided to participants? Who provides this assistance? [the
TANF agency; another government agency, such as the One Stop Career Center
or the Workforce Development agency; or a contractor]
5. Who monitors their participation?

VII.

VIII. Transition to TANF
1. Are families participating in this program ever eligible for TANF? Describe.
2. If so, what is the process for transferring families from this program to TANF? Is
the transition automatic or does the family have to complete a separate application
for TANF?
3. If a family finds employment, how are earnings treated when families transition to
TANF?
4. What benefits are available for families who find employment and are not eligible
for TANF due to earnings?
IX.

Participation and Outcomes
1. How many families are currently participating in this program?
2. In an average month, how many families apply for or are transferred to the
program?
3. Among families applying directly to the program, how many families have been
deemed eligible? How many of these families were initially applicants for
TANF?

Module 5

4. How do you track participation in the program?
5. What other data do you maintain on program participation and outcomes?
[request all data/reports]
X.

Module 5

TANF DIVERSION STUDY
TELEPHONE INTERVIEW PROTOCOL:
STATES WITH NO REQUIREMENTS OR PROGRAMS
You indicated on your survey form that you do not currently engage TANF applicants in work or
work-related activities before their application is approved, or provide financial and other
assistance to applicant families through programs outside of your regular TANF program. We
would like to ask you a few questions about whether your state has any past experience with
these types of programs and/or requirements.
I.

Introduction
1. In the past, has your state ever:
Offered lump sum payments (via cash, vendor payments, or vouchers) to families
applying for cash assistance with the intent of alleviating the need for TANF
assistance?
Required all or some TANF applicants to complete any of the following before
they are approved to receive TANF cash assistance:
-

An orientation focused on work requirements and/or employmentrelated activities?

A plan that outlines what steps they will take to find employment
and/or move towards self-sufficiency?

Registration for work?

Participation in work-related activities, such as job search?

Required applicants to explore the availability of alternative resources (such as
family or friends or services provided by community organizations) as part of
your application process?
Implemented a program separate from your TANF cash assistance program that
provides short-term financial assistance to families who apply for TANF
assistance while they participate in job search, complete an employability
assessment, or participate in other work-related activities?
Established programs that are funded solely by state or local dollars (not TANF
or TANF MOE dollars) that provide ongoing financial assistance to families
with children and in which families are not considered to be on TANF?
II.

States with Prior Experience
If the state has prior experience with any of the above programs/requirements, ask
questions 2-8 for each program/requirement.
1. When was the program/requirement first implemented and how long did it exist?

State with No Program/Requirement

2. Was the program/requirement
administratively?

created

through

state

legislation

3. What was the primary purpose or goal of the program/requirement?
4. Did the program/requirement target a specific type of welfare applicant?
5. Did county or local offices have discretion in defining or altering the
program/requirement?
6. Did the state collect any data on participation or outcomes for the
program/requirement (participation rates, employment rates, proportion who
reapply for assistance)? Please describe.
7. Why did the state end/discontinue the program/requirement?
8. What were the main
program/requirement?

lessons

learned

from

implementing

the

9. Does the state have plans to reconsider this type of program in light of TANF
reauthorization or the interim final regulations?
If yes, why? When does the state expect to implement the program/requirement?
How will it differ from the state’s previous program/requirement
(purpose/goal, target population, implications for TANF application)? Is it a
statewide program or a program implemented at a county’s discretion?
If no, why not?
III.

States with No Prior Experience
If the state does not have prior experience with any of the above programs, ask the
following question:
1. Has the state considered implementing these types of programs/requirements for
applicants in light of TANF reauthorization or the interim final regulations?
If yes, what type of program/requirement did the state consider/is the state
considering? Is the state planning to implement the program/requirement?
Why or why not?
If the state is planning to implement the
program/requirement, please describe it (projected start date, purpose/goal,
target population, implications for TANF application). Is it planned as a
statewide program or a program implemented at county discretion?
If no, why has the state not considered these types of programs/requirements?

State with No Program/Requirement

APPENDIX C
SITE VISIT INTERVIEW GUIDES

IDENTIFYING PROMISING TANF DIVERSION PRACTICES STUDY
SITE VISIT GUIDE: GENERAL INTRODUCTION

Thank you for taking the time to speak with me today. My name is [X], and I am a [TITLE]
with Mathematica Policy Research, Inc. (MPR), a nonpartisan research firm. The Office of
Planning, Research, and Evaluation (OPRE) under the Administration for Children and Families
(ACF) has contracted with MPR to conduct a study of state policies and programs designed to
provide assistance to families before approving their application for ongoing cash assistance
through TANF. Through this study, we will examine the types of strategies states and local
offices are using.
During our conversation, I would like to hear about your experiences with these applicant
diversion and employment strategies, and will also ask you your opinions. I will ask you about
(1) the purpose of the program and how it was developed, (2) details of the program and the kind
of data kept on participants, and (3) your perceptions of the successes and challenges in
implementing and operating the program.
Everything you say will be kept private to the extent permitted by law. The information we
gather will be used to write a report about states’ experiences implementing these activities,
including their successes, challenges, and lessons learned. Our report will describe experiences
and views expressed by staff across states, but comments will not be attributed to specific
individuals or states. Staff members will not be quoted by name.
Do you have any questions before we get started?

IDENTIFYING PROMISING TANF DIVERSION PRACTICES STUDY
SITE VISIT GUIDE – ADMINISTRATOR

A. Goal/Purpose
1. What is the primary goal or purpose of the work-related application requirement/job
search program? Have the goals of the requirement evolved or changed over time? If
so, in what ways and why?
2. What was the impetus for implementing the work-related application requirement/job
search program? Was it imposed in response to a change in federal/state/local policy? If
so, how does it address the policy or policy change?
3. For pre-TANF job search with cash assistance program: Why did you decide to
establish a separate short-term financial assistance program with work requirements?
4. For older work-related application requirements/job search program: How has the
Deficit Reduction Act (DRA) or release of the subsequent federal regulations affected
the original work-related application requirement/job search program?
5. For office with multiple work-related application requirements: How do the different
applicant requirements complement each other?
6. Please describe the requirements and/or programs available to TANF applicants. Who
do they target and what is required or available?
B. Development Process
1. When was the work-related application requirement/job search program first
implemented?
2. What were the start up issues and challenges, if any?
3. What was the local office’s role in developing the work-related application
requirement/job search program?
4. What funds are used to support and implement the work-related application
requirement/job search program [federal, state MOE, or separate state funds]? Why are
these types of funds used? Has the source of funding for the program changed over
time? If so, how and why?
5. How much funding is currently allocated for the work-related application
requirement/job search program? How long is the funding period?
6. What kinds of support did the local office receive from the state or other local offices in
implementing the work-related application requirement/job search program? [e.g., rely
on experiences of other local offices/states; receive resources from the state]

Site Visit Guide -- Administrator

7. How much discretion do local offices have in implementing the work-related application
requirement/job search program? Do local offices have discretion over any of the
following:
-

Eligibility requirements
Screening process
Selecting partners
Determining types of job search assistance or services

C. Tracking Applicant/Participant and Program Outcomes
1. Where is applicant/participant information stored? Is it included in the TANF
administrative data system or a separate system? How are applicants/participants
tracked during their participation in the work-related application requirement/job search
program? Who is responsible for entering and tracking this information?
2. Are there any applicants/participants whose information is not entered into the data
system (e.g., applicants/participants that do not complete the application process,
applicants/participants that do not complete the job search requirement)?
3. Describe the data collected on TANF applicants/participants who do not end up
receiving TANF. [collect any available reports]
-

What demographic data are collected?

Is there information on the services provided to these participants?

What information is collected on participant outcomes, including employment
and TANF receipt?

Is it possible to determine whether a participant reapplied for TANF or
received TANF benefits after participation in the program/activity?

What information is available on employment, including type of employment,
wages, or hours for this population?

4. How accessible are the data? How long have the data been collected?
5. How are the data used? To determine eligibility for later TANF eligibility? To monitor
program outcomes?
6. What are the challenges associated with collecting these data?
7. How many families who start the TANF application process or enter the pre-TANF job
search program do not continue? For what reasons? What are the characteristics of
these families?
8. What are the employment outcomes for applicants/participants participating in the workrelated application requirement/upfront job search program?
What were the
characteristics of applicants who obtained work during the work-related application
requirement/job search program?

Site Visit Guide -- Administrator

9. How has the work-related application requirement/upfront job search program affected
the office’s TANF caseload? To what extent do TANF applicants not receive cash
assistance through TANF as a result of the work-related application requirement/job
search program?
10. For Work-Related Application Requirements: What percentage of applicants enroll in
TANF after completing the work-related application requirement? What percentage of
applicants who do not meet the application requirement reapply to TANF at a later date?
11. For Pre-TANF Job Search Programs: What percentage of participants (a) finish the
program, (b) find employment, (c) transfer onto TANF, (d) do not complete the program,
or (e) reapply to TANF?
12. How has the requirement/program affected the work participation rate? Did it have the
intended effect? Why or why not?
D. Successes, Challenges
1. Was the work-related application requirement/job search program implemented as
expected? How did implementation differ from what was expected? Why?
2. Which aspects of the program/activity worked well and which aspects did not? Why?
3. What are the major challenges in implementing the program/activity? How were these
challenges addressed?
4. To what extent is the work-related application requirement/job search program meeting
its purpose/goals? What information/data is this assessment based on?
5. Are you satisfied with the numbers and outcomes of applicants participating in the workrelated application requirement/job search program? Why or why not?
6. How has the program improved your ability to meet the TANF program changes
resulting from DRA and the new federal regulations?
7. What, if any, unexpected positive or negative consequences resulted from the workrelated application requirement/job search program? Explain.
8. What are the main lessons learned from your experience implementing the
requirement/program? What lessons were learned regarding:
-

Eligibility/screening process
Stringency of penalties
Funding
Staffing
Orientation
Support services

10. Are there new programs or approaches being considered by the state [local office]?
Please describe.
11. Is there a different approach you would like to see the state/office take with respect to
diverting TANF applicants and/or preparing them for the work-participation
requirements? Please describe.

Site Visit Guide -- Administrator

IDENTIFYING PROMISING TANF DIVERSION PRACTICES STUDY
SITE VISIT GUIDE – SUPERVISOR

A. Goal/Purpose
1. What is the primary goal or purpose of the work-related application requirement/job
search program? Have the goals of the requirement evolved or changed over time? If
so, in what ways and why?
2. For older work-related application requirements/job search program: How has the
Deficit Reduction Act (DRA) or release of the subsequent federal regulations affected
the original work-related application requirement/job search program?
3. For office with multiple work-related application requirements: How do the different
applicant requirements complement each other?
B. Development Process
1. What were the start up issues and challenges, if any?
2. What was the local office’s role in developing the work-related application
requirement/job search program?
3. What kinds of support did the local office receive from the state or other local offices in
implementing the work-related application requirement/job search program? [e.g., rely
on experiences of other local offices/states; receive resources from the state]
4. How much discretion do local offices have in implementing the work-related application
requirement/job search program? Do local offices have discretion over any of the
following:
-

Eligibility requirements
Screening process
Selecting partners
Determining types of job search assistance or services

C. TANF Application Process
1. Please describe the sequence of steps in the TANF application process and the specific
timing of required activities such as (a) attending an orientation, (b) completing an
employability plan, or (c) conducting an upfront job search?
Specifically:

Site Visit Guide – Supervisor

What steps in the TANF/pre-TANF application process occur before and/or
between each work-related application requirement, or before the job search
program?

How much of the TANF/pre-TANF application is completed before the workrelated application requirement/job search program?

Is a determination of TANF/pre-TANF eligibility made before an applicant
completes the work-related application requirement/job search program?

Are they group or

Site Visit Guide – Supervisor

6. What is the required time frame for an applicant to attend an orientation session? For
the average applicant, how much time is there between their initial visit to the welfare
office and orientation?
E. Employability Plan Requirement (ask if applicable)
1. Are applicants required to complete the employability plan before being approved for
assistance?
2. How are meetings to complete an employability plan scheduled? How many visits are
required to complete the employability plan? Where is the plan completed?
3. How much outreach is conducted to encourage completion of an employability plan? Is
there additional follow-up for applicants that do not complete an employability plan?
4. Who assists the applicant in preparing the employability plan?
background/training?

What is their

5. What information is collected to develop the plan? How is the plan developed? In what
ways and how often is it modified?
6. How is the plan used by staff or customers? What follow-up activities occur after
creation of the employability plan?
F. Job Search Application Requirement or Pre-TANF Job Search Program (ask if
applicable)
1. What job search activities must an applicant/participant complete before their
application is approved? Or as part of the pre-TANF job search program?
-

How is the job search requirement defined? Are applicants/participants
required to contact a specific number of employers, spend a certain number of
weeks looking for a job, attend job search classes or workshops?

What is the maximum/minimum amount of time the applicant/participant has
to participate in job search activities? What is the average amount of time the
typical customer spends in the activity?

Are these requirements the same for all applicants/participants? Explain.

How does the job search requirement/program differ from the job search
requirement for TANF recipients?

2. How much outreach is conducted to encourage participation in job search activities? Is
there additional follow-up for applicants/participants who do not participate in job search
activities?
3. What resources are provided to assist applicants/participants with their job search?

Site Visit Guide – Supervisor

Are there computer labs? Phones, fax machines, copy machines, printers, and
other office equipment? Does the program provide transportation assistance
for job interviews? What resources are most useful for clients?

When are the resources available? Where are they located? How often do
applicants/participants use the resources? Is there a staff person available to
assist applicants/participants in using the resources? Is there someone
available to assist customers with the computers?

How are these job search resources different from the resources available to
TANF recipients?

Who provides these resources?

4. Are job search classes or workshops provided for applicants/participants?
-

If so, are the classes/workshops mandatory or voluntary?
classes/workshops are required?

How many

What topics are covered in the classes? What is the format of the classes?
How long are the classes?

Who teaches the classes? Where are they provided?

How often are classes provided?

How many applicants attend a typical job search session?

How do the job search classes differ from classes offered to TANF recipients?

5. Do applicants/participants receive one-on-one job search assistance?
-

If so, who provides this assistance and where? How much time is typically
spent with each applicant/participant? What type of assistance is requested by
applicants/participants most often?

Are applicants/participants provided with job leads?

6. Are incentives offered to the applicant/participant for finding work during the upfront
(pre-TANF) period?
7. Is a case manager assigned to each applicant/participant during the period they are
meeting the requirement or participating in the program? If so, what is the case
manager’s role? How much and what kind of contact does the case manager have with
applicants/participants? What is the purpose of this contact? How many cases are
assigned to each case manager?
8. Please describe the staffing structure for this initiative. Specifically:
-

Who within the local office has responsibility for managing the job search
requirement/program? Did the office hire new staff or rely on existing staff?

What is the experience/background of staff involved?
responsibilities does this person have?

Site Visit Guide – Supervisor

What other

How much time do staff spend on the work-related application
requirement/job search program?

Have there been changes in staffing over time?

What kind of training do staff connected to the requirement/activity receive?

9. To what extent do other staff not directly connected to the program have knowledge or
information about the work-related application requirement/job search program to
inform applicants/clients? What kind of training do they receive?
10. To what extent does the program/activity rely on staff from partner agencies? What are
the responsibilities of these agencies?
G. Financial Assistance
1. Do applicants/participants receive financial assistance while participating in the job
search requirement/program? (If office offers financial assistance but through lump-sum
program, ask these questions as well)
-

If yes, what is the purpose of providing this assistance?

Are there conditions for receiving this assistance?

How is cash assistance provided (e.g., cash, voucher, vendor payment)? Do
case managers have discretion in deciding the form of assistance?

Are there restrictions on how the assistance can be used? Do case managers
have discretion in defining how the assistance can be used?

How is the amount of financial assistance determined? Do case managers
have discretion in deciding the amount of financial assistance or the length of
its receipt? What is the maximum amount of time a family can receive
assistance through the program? What is the maximum amount of financial
assistance a family can receive? How does this amount differ from the
amount they can receive under TANF?

How often is the financial assistance provided to applicants/participants?

Is this assistance treated as assistance or non-assistance? Why?

H. Other Forms of Assistance
1. Do applicants/participants receive any support services while completing the workrelated application requirement/job search program? For example, a transportation
stipend, food assistance, or other assistance? How are applicants informed of these
services? How many applicants/participants utilize these services? How do these
services compare to support services available through TANF? How are they funded?
2. Are applicants/participants participating in the work-related application requirement/job
search program eligible for childcare assistance? How are applicants enrolled in
childcare assistance? When does this assistance become available? How much
Site Visit Guide – Supervisor

assistance is available? How does the assistance compare to the childcare assistance
available through TANF? What proportion of applicants/participants utilize child care
assistance?
3. What is the status of an applicant’s/participant’s food stamp application while
completing the work-related application requirement/job search program? When is the
food stamp application filed and approved? Is approval of the food stamp application
dependent on completion of the requirements?
4. What is the status of an applicant’s/participant’s Medicaid application while completing
the work-related application requirement/job search program? When is the Medicaid
application filed and approved? Is approval of the Medicaid application dependent on
completion of the requirements?
I.

Requirement/Program Implications for TANF
For Work-Related Application Requirements (i.e., job search, orientation, or
employability plan):
1. At what point is the application for TANF approved or denied based on the work-related
application requirement (e.g., complete employability plan; after x months in pre-TANF
activities; after complete x number of employer contacts)? What happens when an
applicant finishes the work-related application requirement?
2. What are the consequences for applicants who do not complete each work-related
application requirement? What happens to their current TANF application or their
application for other services? What are the implications for their future TANF
eligibility, time on TANF, and sanctions?
3. For Job Search Application Requirements: What happens to applicants who find a job
during the job search requirement period? Are they transferred to a TANF work
program? What assistance or supports are available for participants who find a job as a
result of the job search requirement/program? Are these applicants eligible for earned
income disregards? Are the earned income disregards for applicants different than those
available for TANF recipients? If so, how do they differ?
For Pre-TANF Job Search Programs:
4. What is the maximum amount of time an individual can participate in the program?
5. How does participation in the program affect participants’ eligibility for TANF or their
time limit? Does financial assistance received during the job search program affect an
applicant’s eligibility for TANF cash benefits?
6. If still eligible for TANF, what triggers the participant’s transfer to TANF (for example,
exhausting their time in the program; successfully participating for x hours per week;
obtaining employment)? Is this different for different types of participants? Describe.

Site Visit Guide – Supervisor

7. If eligible for TANF, please describe the transfer process. Specifically, are participants
required to reapply for TANF? If so, do they need to complete the entire application
process? If not, how are participants transferred onto TANF?
8. What events trigger the exit of a participant from the pre-TANF job search program
(without making them eligible for TANF)?
9. What are the consequences for applicants who do not complete the required activities of
the program? What happens to their TANF application or their application for other
services? What are the implications for their future TANF eligibility, time on TANF,
and sanctions?
10. What happens to applicants who find a job during the program? Does the program
provide assistance or supports for participants who find a job as a result of the job search
requirement/program? How does this compare to the assistance and supports available
for TANF clients who find jobs? Are these applicants eligible for earned income
disregards? Are these applicants eligible for Transitional Medical Assistance or
Transitional Food Stamp benefits (if offered by the state)? How does their eligibility for
transitional benefits differ from the eligibility of TANF recipients?
11. Does the financial assistance received during the job search requirement/program count
towards their TANF time limit?
J.

Tracking Applicant/Participant and Program Outcomes
1. How are applicants/participants tracked during their participation in the work-related
application requirement/job search program? Who is responsible for entering and
tracking this information?
2. Are there any applicants/participants whose information is not entered into the data
system (e.g., applicants/participants that do not complete the application process,
applicants/participants that do not complete the job search requirement)?
3. Describe the data collected on TANF applicants/participants who do not end up
receiving TANF. [collect any available reports]
4. How accessible are the data? How long have the data been collected?
5. What are the challenges associated with collecting these data?
6. How many families who start the TANF application process or enter the pre-TANF job
search program do not continue? For what reasons? What are the characteristics of
these families?
7. What are the employment outcomes for applicants/participants participating in the workrelated application requirement/upfront job search program?
What were the
characteristics of applicants who obtained work during the work-related application
requirement/job search program?

Site Visit Guide – Supervisor

8. For Work-Related Application Requirements: What percentage of applicants enroll in
TANF after completing the work-related application requirement? What percentage of
applicants who do not meet the application requirement reapply to TANF at a later date?
9. For Pre-TANF Job Search Programs: What percentage of participants (a) finish the
program, (b) find employment, (c) transfer onto TANF, (d) do not complete the program,
or (e) reapply to TANF?
K. Successes, Challenges
1. Was the work-related application requirement/job search program implemented as
expected? How did implementation differ from what was expected? Why?
2. Which aspects of the program/activity worked well and which aspects did not? Why?
3. What are the major challenges in implementing the program/activity? How were these
challenges addressed?
4. To what extent is the work-related application requirement/job search program meeting
its purpose/goals? What information/data is this assessment based on?
5. Are you satisfied with the numbers and outcomes of applicants participating in the workrelated application requirement/job search program? Why or why not?
6. How has the program improved your ability to meet the TANF program changes
resulting from DRA and the new federal regulations?
7. What, if any, unexpected positive or negative consequences resulted from the workrelated application requirement/job search program? Explain.
8. What are the main lessons learned from your experience implementing the
requirement/program? What lessons were learned regarding:
-

Eligibility/screening process
Stringency of penalties
Funding
Staffing
Orientation
Support services

9. What would you have done differently in implementing your applicant program or
requirement? What advice would you give to another state or local office considering
this type of program/requirement?
10. Is there a different approach you would like to see the state/office take with respect to
diverting TANF applicants and/or preparing them for the work-participation
requirements? Please describe.

Site Visit Guide – Supervisor

IDENTIFYING PROMISING TANF DIVERSION PRACTICES STUDY
SITE VISIT GUIDE – LINE STAFF

Background:
What is your experience/background?
How much time do you spend on the work-related application requirement/job search
program?
What other responsibilities do you have?
What kind of training do staff connected to the requirement/activity receive?
A. Goal/Purpose of Requirement/Program
1. What is the primary goal or purpose of the work-related application requirement/job
search program? Have the goals of the requirement evolved or changed over time? If
so, in what ways and why?
2. For office with multiple work-related application requirements: How do the different
applicant requirements complement each other?
B. Development Process
1. What were the start up issues and challenges, if any?
2. What kinds of support did the local office receive from the state or other local offices in
implementing the work-related application requirement/job search program? [e.g., rely
on experiences of other local offices/states; receive resources from the state]
C. TANF Application Process
1. Please describe the sequence of steps in the TANF application process and the specific
timing of required activities such as (a) attending an orientation, (b) completing an
employability plan, or (c) conducting an upfront job search?
Specifically:
-

What steps in the TANF/pre-TANF application process occur before and/or
between each work-related application requirement, or before the job search
program?

How much of the TANF/pre-TANF application is completed before the workrelated application requirement/job search program?

Site Visit Guide – Line Staff

Is a determination of TANF/pre-TANF eligibility made before an applicant
completes the work-related application requirement/job search program?

2. What is the typical amount of time between first entrance to the welfare office and each
work-related requirement?
3. How do applicants first hear about the work-related application requirements, and from
whom? What is the message conveyed to applicants regarding the work-related
application requirements?
4. Are any applicants exempted from the requirement/program? How much discretion do
program staff have in determining eligibility and granting exemptions from the
requirement/program? What is the process for determining whether someone should be
exempt from the requirement/program?
D. Orientation Requirement (ask if applicable)
1. What is the purpose of the orientation session? What information is covered? Are other
work-related application requirements explained during the orientation? What is the
format for the orientation session?
2. How long are the orientation sessions? Are they group or individual sessions? How
often are they held?
3. How are orientations scheduled for applicants—i.e., are dates and times assigned or do
applicants have some input into the scheduling process?
4. What is the process for tracking applicant participation in the orientation session?
Approximately what proportion of applicants attends orientation sessions?
5. How much outreach is conducted to encourage attendance at the orientation sessions? Is
there additional follow-up for applicants that do not attend the first scheduled orientation
or subsequent sessions?
6. What is the required time frame for an applicant to attend an orientation session? For
the average applicant, how much time is there between their initial visit to the welfare
office and orientation?
E. Employability Plan Requirement
1. Are applicants required to complete the employability plan before being approved for
assistance?
2. How are meetings to complete an employability plan scheduled? How many visits are
required to complete the employability plan? Where is the plan completed?
3. How much outreach is conducted to encourage completion of an employability plan? Is
there additional follow-up for applicants that do not complete an employability plan?
4. What is your role in preparing the employability plan?
Site Visit Guide – Line Staff

5. What information is collected to develop the plan? How is the plan developed? In what
ways and how often is it modified?
6. How is the plan used by staff or customers? What follow-up activities occur after
creation of the employability plan?
F. Job Search Application Requirement or Pre-TANF Job Search Program
1. What job search activities must an applicant/participant complete before their
application is approved? Or as part of the pre-TANF job search program?
-

What is the maximum/minimum amount of time the applicant/participant has
to participate in job search activities? What is the average amount of time the
typical customer spends in the activity?

Are these requirements the same for all applicants/participants? Explain.

How does the job search requirement/program differ from the job search
requirement for TANF recipients?

2. How are applicants/participants informed of the requirement/program? Is there an
orientation session to inform applicants/participants of the requirement/program?
3. How much outreach is conducted to encourage participation in job search activities? Is
there additional follow-up for applicants/participants who do not participate in job search
activities?
4. What resources are provided to assist applicants/participants with their job search?
-

How are these job search resources different from the resources available to
TANF recipients?

Who provides these resources?

5. Are job search classes or workshops provided for applicants/participants?
-

If so, are the classes/workshops mandatory or voluntary?
classes/workshops are required?

Site Visit Guide – Line Staff

How many

What topics are covered in the classes? What is the format of the classes?
How long are the classes?

Who teaches the classes? Where are they provided?

How often are classes provided?

How many applicants attend a typical job search session?

How do the job search classes differ from classes offered to TANF recipients?

6. Do applicants/participants receive one-on-one job search assistance?
-

If so, who provides this assistance and where? How much time is typically
spent with each applicant/participant? What type of assistance is requested by
applicants/participants most often?

Are applicants/participants provided with job leads?

7. Are incentives offered to the applicant/participant for finding work during the upfront
(pre-TANF) period?
8. If a case manager: What is your role with applicant/participant? How much and what
kind of contact do you have with applicants/participants? What is the purpose of this
contact? How many cases are assigned to you?
G. Financial Assistance
1. Do applicants/participants receive financial assistance while participating in the job
search requirement/program? (If office offers financial assistance but through lump-sum
program, ask these questions as well)
-

If yes, what are the conditions for receiving this assistance?

Do case managers have discretion in deciding the form of assistance?
Describe.

Do case managers have discretion in defining how the assistance can be used?
Describe.

Do case managers have discretion in deciding the amount of financial
assistance or the length of its receipt? Describe.

2. How often is the financial assistance provided to applicants/participants?
H. Other Forms of Assistance
1. Do applicants/participants receive any support services while completing the workrelated application requirement/job search program? For example, a transportation
stipend, food assistance, or other assistance? How are applicants informed of these
services? How many applicants/participants utilize these services? How do these
services compare to support services available through TANF? How are they funded?

Site Visit Guide – Line Staff

2. Are applicants/participants participating in the work-related application requirement/job
search program eligible for childcare assistance? How are applicants enrolled in
childcare assistance? When does this assistance become available? How much
assistance is available? How does the assistance compare to the childcare assistance
available through TANF? What proportion of applicants/participants utilize child care
assistance?
3. What is the status of an applicant’s/participant’s food stamp application while
completing the work-related application requirement/job search program? When is the
food stamp application filed and approved? Is approval of the food stamp application
dependent on completion of the requirements?
4. What is the status of an applicant’s/participant’s Medicaid application while completing
the work-related application requirement/job search program? When is the Medicaid
application filed and approved? Is approval of the Medicaid application dependent on
completion of the requirements?
I.

Requirement/Program Implications for TANF
For Work-Related Application Requirements (i.e., job search, orientation, or
employability plan):
1. At what point is the application for TANF approved or denied based on the work-related
application requirement (e.g., complete employability plan; after x months in pre-TANF
activities; after complete x number of employer contacts)? What happens when an
applicant finishes the work-related application requirement?
2. What are the consequences for applicants who do not complete each work-related
application requirement? What happens to their current TANF application or their
application for other services? What are the implications for their future TANF
eligibility, time on TANF, and sanctions?
3. For Job Search Application Requirements: What happens to applicants who find a job
during the job search requirement period? Are they transferred to a TANF work
program? What assistance or supports are available for participants who find a job as a
result of the job search requirement/program? Are these applicants eligible for earned
income disregards? Are the earned income disregards for applicants different than those
available for TANF recipients? If so, how do they differ?
For Pre-TANF Job Search Programs:
4. How does participation in the program affect participants’ eligibility for TANF or their
time limit? Does financial assistance received during the job search program affect an
applicant’s eligibility for TANF cash benefits?
5. If still eligible for TANF, what triggers the participant’s transfer to TANF (for example,
exhausting their time in the program; successfully participating for x hours per week;
obtaining employment)? Is this different for different types of participants? Describe.

Site Visit Guide – Line Staff

6. If eligible for TANF, please describe the transfer process. Specifically, are participants
required to reapply for TANF? If so, do they need to complete the entire application
process? If not, how are participants transferred onto TANF?
7. What events trigger the exit of a participant from the pre-TANF job search program
(without making them eligible for TANF)?
8. What are the consequences for applicants who do not complete the required activities of
the program? What happens to their TANF application or their application for other
services? What are the implications for their future TANF eligibility, time on TANF,
and sanctions?
9. What happens to applicants who find a job during the program? Does the program
provide assistance or supports for participants who find a job as a result of the job search
requirement/program? How does this compare to the assistance and supports available
for TANF clients who find jobs? Are these applicants eligible for earned income
disregards? Are these applicants eligible for Transitional Medical Assistance or
Transitional Food Stamp benefits (if offered by the state)? How does their eligibility for
transitional benefits differ from the eligibility of TANF recipients?
J.

Tracking Applicant/Participant and Program Outcomes
1. How are applicants/participants tracked during their participation in the work-related
application requirement/job search program? Who is responsible for entering and
tracking this information?
2. Are there any applicants/participants whose information is not entered into the data
system (e.g., applicants/participants that do not complete the application process,
applicants/participants that do not complete the job search requirement)?
3. What are the challenges associated with collecting the data on participants and
nonparticipants?
4. How many families who start the TANF application process or enter the pre-TANF job
search program do not continue? For what reasons? What are the characteristics of
these families?
5. For Work-Related Application Requirements: What percentage of applicants enroll in
TANF after completing the work-related application requirement? What percentage of
applicants who do not meet the application requirement reapply to TANF at a later date?
6. For Pre-TANF Job Search Programs: What percentage of participants (a) finish the
program, (b) find employment, (c) transfer onto TANF, (d) do not complete the program,
or (e) reapply to TANF?

K. Successes, Challenges
1. Was the work-related application requirement/job search program implemented as you
expected? How did implementation differ from what you expected? Why?
Site Visit Guide – Line Staff

2. Which aspects of the program/activity worked well and which aspects did not? Why?
3. What are the major challenges in implementing the program/activity? How were these
challenges addressed?
4. In your opinion, to what extent is the work-related application requirement/job search
program meeting its purpose/goals? What information/data is this assessment based on?
5. Are you satisfied with the numbers and outcomes of applicants participating in the workrelated application requirement/job search program? Why or why not?
6. What, if any, unexpected positive or negative consequences resulted from the workrelated application requirement/job search program? Explain.
7. What are the main lessons learned from your experience implementing the
requirement/program? What lessons were learned regarding:
-

Eligibility/screening process
Stringency of penalties
Funding
Staffing
Orientation
Support services

8. What advice would you give to another state or local office considering this type of
program/requirement?
9. Are there new programs or approaches being considered by the state [local office]?
Please describe.
10. Is there a different approach you would like to see the state/office take with respect to
diverting TANF applicants and/or preparing them for the work-participation
requirements? Please describe.

Site Visit Guide – Line Staff

IDENTIFYING PROMISING TANF DIVERSION PRACTICES STUDY
SITE VISIT GUIDE – PARTNER ORGANIZATION

A. Goal/Purpose
1. What is the primary goal or purpose of the work-related application requirement/job
search program? Have the goals of the requirement evolved or changed over time? If
so, in what ways and why?
B. Development Process
1. When did you first provide services as part of the work-related application
requirement/job search program?
2. What were the start up issues and challenges, if any?
3. What was your organization’s role in developing the work-related application
requirement/job search program?
4. What funds are used to support and implement the work-related application
requirement/job search program [federal, state MOE, or separate state funds]?
5. How much funding is currently allocated to your organization for the work-related
application requirement/job search program? How long is the funding period?
6. What kinds of support did your organization receive from the local office, the state, or
other local offices in implementing the work-related application requirement/job search
program? [e.g., rely on experiences of other local offices/states; receive resources from
the state]
7. How much discretion does your organization have in implementing the work-related
application requirement/job search program? Does your organization have discretion
over any of the following:
-

Eligibility requirements
Screening process
Selecting partners
Determining types of job search assistance or services

C. Orientation Requirement (ask if the organization is involved in this requirement)
1. What is the purpose of the orientation session? What information is covered? Are other
work-related application requirements explained during the orientation? What is the
format for the orientation session?

Site Visit Guide – Partner Organization

2. Who conducts the orientation sessions? How long are they?
individual sessions? How often are they held?

Are they group or

3. How are orientations scheduled for applicants—i.e., are dates and times assigned or do
applicants have some input into the scheduling process?
4. What is the process for tracking applicant participation in the orientation session?
Approximately what proportion of applicants attends orientation sessions?
5. How much outreach is conducted to encourage attendance at the orientation sessions? Is
there additional follow-up for applicants that do not attend the first scheduled orientation
or subsequent sessions?
6. What is the required time frame for an applicant to attend an orientation session? For
the average applicant, how much time is there between their initial visit to the welfare
office and orientation?
D. Employability Plan Requirement (ask if the organization is involved in this
requirement)
1. Are applicants required to complete the employability plan before being approved for
assistance?
2. How are meetings to complete an employability plan scheduled? How many visits are
required to complete the employability plan? Where is the plan completed?
3. How much outreach is conducted to encourage completion of an employability plan? Is
there additional follow-up for applicants that do not complete an employability plan?
4. Who assists the applicant in preparing the employability plan?
background/training?

What is their

5. What information is collected to develop the plan? How is the plan developed? In what
ways and how often is it modified?
6. How is the plan used by staff or customers? What follow-up activities occur after
creation of the employability plan?
E. Job Search Application Requirement or Pre-TANF Job Search Program (ask if the
organization is involved in this requirement)
1. What job search activities must an applicant/participant complete before their
application is approved? Or as part of the pre-TANF job search program?
-

What is the maximum/minimum amount of time the applicant/participant has
to participate in job search activities? What is the average amount of time the
typical customer spends in the activity?

Site Visit Guide – Partner Organization

Are these requirements the same for all applicants/participants? Explain.

How does the job search requirement/program differ from the job search
requirement for TANF recipients?

How are these job search resources different from the resources available to
TANF recipients?

Who provides these resources?

5. Are job search classes or workshops provided for applicants/participants?
-

If so, are the classes/workshops mandatory or voluntary?
classes/workshops are required?

How many

What topics are covered in the classes? What is the format of the classes?
How long are the classes?

Who teaches the classes? Where are they provided?

How often are classes provided?

How many applicants attend a typical job search session?

How do the job search classes differ from classes offered to TANF recipients?

6. Do applicants/participants receive one-on-one job search assistance?
-

If so, who provides this assistance and where? How much time is typically
spent with each applicant/participant? What type of assistance is requested by
applicants/participants most often?

Are applicants/participants provided with job leads?

7. Are incentives offered to the applicant/participant for finding work during the upfront
(pre-TANF) period?

Site Visit Guide – Partner Organization

8. Is a case manager assigned to each applicant/participant during the period they are
meeting the requirement or participating in the program? If so, what is the case
manager’s role? How much and what kind of contact does the case manager have with
applicants/participants? What is the purpose of this contact? How many cases are
assigned to each case manager?
9. Please describe the staffing structure for this initiative. Specifically:
-

What is the experience/background of staff involved?
responsibilities does this person have?

What other

How much time do staff spend on the work-related application
requirement/job search program?

Have there been changes in staffing over time?

What kind of training do staff connected to the requirement/activity receive?

10. To what extent do other staff not directly connected to the program have knowledge or
information about the work-related application requirement/job search program to
inform applicants/clients? What kind of training do they receive?
11. To what extent does the program/activity rely on staff from partner agencies? What are
the responsibilities of these agencies?
F. Financial Assistance (ask if the organization is involved in providing this assistance)
1. Do applicants/participants receive financial assistance while participating in the job
search requirement/program? (If office offers financial assistance but through lump-sum
program, ask these questions as well)
-

If yes, what is the purpose of providing this assistance?

Are there conditions for receiving this assistance?

How is cash assistance provided (e.g., cash, voucher, vendor payment)? Do
case managers have discretion in deciding the form of assistance?

Are there restrictions on how the assistance can be used? Do case managers
have discretion in defining how the assistance can be used?

How often is the financial assistance provided to applicants/participants?

Is this assistance treated as assistance or non-assistance? Why?

Site Visit Guide – Partner Organization

G. Other Forms of Assistance (ask if the organization is involved in this requirement)
1. Do applicants/participants receive any support services while completing the workrelated application requirement/job search program? For example, a transportation
stipend, food assistance, or other assistance? What is your organization’s role in
providing these services?
2. Are applicants/participants participating in the work-related application requirement/job
search program eligible for childcare assistance? What is your organization’s role in
providing these services?
H. Tracking Applicant/Participant and Program Outcomes
1. How are applicants/participants tracked during their participation in the work-related
application requirement/job search program? Who is responsible for entering and
tracking this information?
2. Are there any applicants/participants whose information is not entered into the data
system (e.g., applicants/participants that do not complete the application process,
applicants/participants that do not complete the job search requirement)?
3. Describe the data your organization collects on TANF applicants/participants who do not
end up receiving TANF. [collect any available reports]
-

What demographic data are collected?

Is there information on the services provided to these participants?

What information is collected on participant outcomes, including employment
and TANF receipt?

Is it possible to determine whether a participant reapplied for TANF or
received TANF benefits after participation in the program/activity?

What information is available on employment, including type of employment,
wages, or hours for this population?

4. How are the data used? To determine eligibility for later TANF eligibility? To monitor
program outcomes?
5. What are the challenges associated with collecting this data?
6. How many families who start the TANF application process or enter the pre-TANF job
search program do not continue? For what reasons? What are the characteristics of
these families?
7. What are the employment outcomes for applicants/participants participating in the workrelated application requirement/upfront job search program?
What were the
characteristics of applicants who obtained work during the work-related application
requirement/job search program?

Site Visit Guide – Partner Organization

Successes, Challenges
1. Was the work-related application requirement/job search program implemented as
expected? How did implementation differ from what was expected? Why?
2. Which aspects of the program/activity worked well and which aspects did not? Why?
3. What are the major challenges in implementing the program/activity? How were these
challenges addressed?
4. To what extent is the work-related application requirement/job search program meeting
its purpose/goals? What information/data is this assessment based on?
5. Are you satisfied with the numbers and outcomes of applicants participating in the workrelated application requirement/job search program? Why or why not?
6. What, if any, unexpected positive or negative consequences resulted from the workrelated application requirement/job search program? Explain.
7. What are the main lessons learned from your experience implementing the
requirement/program? What lessons were learned regarding:
-

Eligibility/screening process
Stringency of penalties
Funding
Staffing
Orientation
Support services

8. What would you have done differently in implementing the applicant program or
requirement? What advice would you give to another state or local office considering
this type of program/requirement?
9. Is there a different approach you would like to see the state/office take with respect to
diverting TANF applicants and/or preparing them for the work-participation
requirements? Please describe.

Site Visit Guide – Partner Organization

APPENDIX D
PUBLIC COMMENTS AND RESPONSES

STATE OF ARIZONA COMMENTS ON PROPOSED DATA COLLECTION
The department specifically requests comment on:
(a) Whether the proposed collection of information is necessary for the proper performance
of the functions of the agency, including whether the information shall have practical
utility.
Comment (a): Arizona believes that the collection of information, while not necessary, is
important because the ability to review the policy and procedures of other States
and the sharing of “Best Practices” could enhance the performance of the TANF
Diversion Programs in Arizona and in other States as well.
(b) The accuracy of the agency’s estimate of the burden of the proposed collection of
information.
Comment (b): After considering the information provided in this Federal Register in regard to
the surveys, interviews and visits to the local offices, Arizona believes that the
estimated burden is a reasonable estimate of total burden hours.
(c) The quality, utility, and clarity of the information to be collected.
Comment (c): Arizona believes that surveys and interviews, coupled with the information
gathered by visits to the local offices should yield the quality of the information
that would be necessary to give good purpose to this study. The information
collected should bring a better understanding of local diversion practices and
procedures and provide clear direction for improving the application of diversion
programs.
(d) Ways to minimize the burden of the collection of information on respondents, including
through the use of automated collection techniques or other forms of information
technology.
Comment (d): While the surveys, interviews and local office visits will be necessary an
advanced communication to the local offices and the directors, with the details of
the specific information to be collected, would afford them the ability to gather
the information accurately and prepare for the surveys and interviews.

County of Los Angeles
DEPARTMENT OF PUBLIC SOCIAL SERVICES
12860 CROSSROADS PARKWAY SOUTH. CITY OF INDUSTRY, CALIFORNIA 91746
Tel (562) 908-8400 . Fax (562) 908-0459
BRYCE YOKOMIZO
Director

Board of Supervisors
GLORIA MOLINA
First District
YVONNE B. BURKE
Second District

LISA N U ~ E Z
Chief Deputy

ZEV YAROSLAVSKY
Third District

January 16,2007

DON KNABE
Fourth District

Administration for Children and Families
Office of Administration
Office of Information Services
370 L'Enfant Promenade, SW
Washington, DC 20447

MICHAEL D. ANTONOVICH
Fifth District

Attention: ACF Reports Clearance Officer
Dear SirIMadame:
Thank you for the opportunity to respond to the November 16, 2006, Federal Register
publication requesting comments on Identifying Promising Temporary Assistance for Needy
Families (TANF) Diversion Practices. Attached are our comments on the request for
information.
4 **-

If you have any questions, you may contact me at (562) 908-8517, or your staff may contact
Beverly Stevens at (562) 908-8530. Thank you again for the opportunity to participate in the
review process.
Sincerely,

Bill Taylor,
Director of Intergovernmental Relations

Attachment

"To Enrich Lives Through Effective And Caring Service"

COMMENTS ON FEDERAL REGISTER

NOVEMBER 16,2006- REQUEST FOR INFORMATION - IDENTIFYING PROMISING
TEMPORARY ASSISTANCE FOR NEEDY FAMILIES (TANF)
DIVERSION PRACTICES STUDY
Requested Information
Question (a):

Whether the proposed collection of information is necessary for the proper
performance of the functions of the agency, including whether information
shall have practical utility;

Response:

The proposed data collection effort is necessary to assess the operation of
diversion programs administered by states and will have practical utility if
researchers provide a replicable analysis and strong intercoder agreement
in qualitative data analysis.

Question (b):

the accuracy of the agency's burden of the purposed collection of
information;

Response:

Based on our Department's experience working with researchers, using
open-ended questions with multiple respondents, the burden on agencies is
generally understated. What is missing from estimates is the amount of
time it takes for staff to gather background information and prepare
responses in advance of the interview. It is likely that a team must be
assembled to address issues raised by research questions because policies
and practices are distributed across people and programs. The presence of
existing documentation on recent policy decisions, program goals and
outcomes will determine the burden of staff needed to prepare responses. ,. .

Question (c):

the quality, utility and clarity of this information to be collected; and

Response:

Consideration should be given to revising questions to include questions
which are close-ended and those which provide multiple choice selections.

Question (d):

ways to minimize the burden of the collection of information on
respondents, including through the use of automated collection techniques
or other information technology.

Response:

We recommend that survey questions be sent via electronic mail, (e-mail)
to staff at or above the middle management level. This will allow
agencies to submit written responses to each question. Additionally,
Department Directors will be able to scrutinize the wording of responses.
The e-mail process will eliminate the need for interviewers to translate
responses and reduce the possibility of misinterpretation of answers.
Additionally, interviews can be audio-recorded to reduce the cost of a
transcription service.
Finally, the submission of a separate text file in response to each question
could facilitate qualitative data analysis using one of many software
options available.

RESPONSES TO COMMENTS FROM LA COUNTY
Question (a)
N/A
Question (b)
During the pretest conducted in December 2006, respondents reported completing the mail
questionnaire in an average of 20 minutes. We have revised the burden estimates to reflect the
additional minutes The telephone interviews with pretest states averaged about 60 minutes.
Question (c)
As a result of the pretest in December 2006, we revised the telephone interview protocol to
minimize the burden on respondents. We also revised the questionnaire and interview protocol
to improve the clarity of questions.
Question (d)
Following the pretest, we clarified questions in the mail questionnaire and telephone interview
protocol to improve respondents’ understanding of the questions. We are also requesting
documentation on state policies and procedures prior to the telephone interview. This should
enable us to complete the interviews more quickly and ensure the accuracy of state applicant
employment and diversion strategies. We will enter all the information collected from the mail
questionnaire and telephone interviews into spreadsheets to compare policies across states and to
summarize the information.
We plan to conduct the interviews by telephone rather than by collecting responses through email to engage the respondents in conversations about their applicant diversion and employment
strategies. To the extent possible, we have included close-ended questions in the interview
protocol.

File Type	application/pdf
File Title	Microsoft Word - OMB-report.doc
Author	JMiller
File Modified	2007-11-06
File Created	2007-11-06