Association on American Indian Affairs
GETTING THE MOST OUT OF A
TRIBAL-STATE TITLE IV-E
AGREEMENT
Prepared by
Jack F. Trope, Executive Director, AAIA
Association on American Indian Affairs
Overview of Titles IV-B and IV-E
• Basic federal child welfare statutes provide
core funding for state child welfare systems
• Establish requirements routinely included in
child welfare systems -- for example, case
plans, case review systems, reasonable
efforts requirements, focus on child health
and safety and expedited permanent
placements.
Association on American Indian Affairs
Title IV-E: Overview
• Provides money for foster care, adoption assistance
and relative guardianship payments on an entitlement
basis and grant money for services to children aging
out of foster care
• To be eligible (1) child’s family must have an income
below AFDC 1996 eligibility levels, and (2) certain
legal findings must have been made by a court of
jurisdiction or there must be a voluntary agreement
between the party and administering agency.
Association on American Indian Affairs
Title IV-E: Payments
• Reimbursement is received for foster care, adoption
assistance and guardianship payments, as well as
administration, data systems and training costs
connected with providing services to Title IV-E eligible
children.
•Reimbursement rate for direct payments for children
is based on the Federal Medical Assistance Rate
(FMAP), a calculation determined by per capita
income rates; administration and data systems costs
are reimbursed at 50%, most training at 75%
Association on American Indian Affairs
Title IV-E: Payments
• Administration Reimbursement formula: Allowable
costs x IV-E Penetration Rate x 50% of federal
reimbursement
• Examples of reimbursable administrative costs:
development of child’s case plan, case management
and supervision, case reviews, arranging for services,
IV-E data collection, implementation of quality
assurance system, overhead related to IV-E activities
Association on American Indian Affairs
Title IV-E: Payments
• Training Reimbursement formula: Allowable costs x
IV-E Penetration Rate x 75% of federal reimbursement
• Examples of reimbursable training: topics related to
administration, social work
practice, cultural
competency, activities designed to preserve or reunify
the family (but not related directly to services), child
abuse and neglect issues (not related directly to CPS),
effects of separation, child development, visitation,
and substance abuse
Association on American Indian Affairs
Options for Tribes Seeking to Access Title
IV-E funding
• Option #1 -Tribes may obtain direct funding for Title
IV-E by submitting a plan to the Children’s Bureau that
meets
IV-E
requirements;
plan
must
be
comprehensive (cover all aspects of Title IV-E)
• Option #2 – Access through the state; states have an
obligation to negotiate a IV-E agreement with a tribe in
good faith if requested by the tribe; agreement can
cover all or part of the program
Association on American Indian Affairs
Options for Tribes Seeking to Access Title
IV-E funding (cont.)
Tribal-State agreements are an alternative to
direct federal funding. Tribes can pursue
whichever approach makes sense – direct
funding or a tribal-state agreement –
depending upon the tribe’s specific situation
and needs.
Association on American Indian Affairs
Advantages of a Tribal-State Agreement
• Process may be quicker and easier route to
begin operating Title IV-E
• Allows tribe to ease its way into the program,
including operating only part of the program
(although this might be addressed by an
agreement even if direct tribal funding)
Association on American Indian Affairs
Advantages of a Tribal-State Agreement
• Process may be quicker and easier route to
begin operating Title IV-E
• Allows tribe to ease its way into the program,
including operating only part of the program
(although this might be addressed by an
agreement even if direct tribal funding)
Association on American Indian Affairs
Advantages of a Tribal-State Agreement
(cont.)
• May be able to utilize some existing state
data and other systems
• State funding may be available to help with
match (although this can also be done when
the tribe is funded directly)
Association on American Indian Affairs
Advantages of a Tribal-State Agreement
(cont.)
• Can formalize or institutionalize the
collaborative arrangement required between
states and tribes that may already be
occurring (or needs to occur) regarding court
proceedings, placements, etc.
Association on American Indian Affairs
Possible Disadvantages of a Tribal-State
Agreement
• May have to use some state systems and
standards as opposed to ones that are triballydeveloped
• In-kind match not available to states as it is
to direct-funded tribes
• May be subject to more state oversight than
tribe would like
Association on American Indian Affairs
Study of Title IV-E Tribal-State Agreements
• AAIA study is funded by Casey Family Programs
• Will consist of an analysis and a template-type
document identifying best practices in tribal-state
agreements
• Will be posted on NARF ICWA website and AAIA’s
website
Association on American Indian Affairs
Overview of Title IV-E Agreements
• As of the time of our review, there were 98
agreements involving 277 Indian tribal nations in 17
states
• Some of the agreements are comprehensive
(include maintenance, administration and training)
and some are more limited
Association on American Indian Affairs
Overview of Title IV-E Agreements (cont.)
• Many of the agreements are older and were
negotiated before states had a legal obligation to
negotiate [2008 amendment to the law created that
obligation]
• While most of the Agreements are “active”, some
have not been implemented
Association on American Indian Affairs
Negotiating a Title IV-E Tribal-State Agreement –
Overview
• Tribe should decide what it wants in the Agreement before
beginning negotiations – does it want to do all of the program
or share responsibility with the state
• Ideally, all tribal stakeholders (social services, courts, legal
department, etc.) should be part of the discussion
Association on American Indian Affairs
Negotiating a Title IV-E Tribal-State Agreement –
Overview (cont.)
• Negotiate an individualized agreement
• In general (absent explicit tribal decision to the
contrary) – include all three elements –
administration, training and maintenance payments
– particularly if the tribe is doing case management
Association on American Indian Affairs
Strategies for Engaging States
• Identify key state decision makers
• Assess tribe’s relationship with state, political and
budgetary environment and key interests of the state
• Be prepared – understand IV-E, know what other
states/tribes have done, and be aware of previous
efforts within your own state
Association on American Indian Affairs
Strategies for Engaging States (cont.)
•Identify benefits to state (better outcomes, state
budgetary savings, etc.) and have a clear goal of the
outcomes desired from a tribal perspective before
the discussions or negotiations begin
• Make sure you have your full team involved and
engaged, including access to experts, federal
agency staff and tribal leaders, as needed
Association on American Indian Affairs
Key Issues – Sovereignty
• Explicit recognition of the tribe’s sovereignty and tribal
jurisdiction as laid out in the tribe’s governing documents
• Base
agreement
on
government-to-government
relationship, not merely a vendor relationship
• Compliance with federal requirements for program utilizing
tribal law wherever possible, not state law
Association on American Indian Affairs
Key Issues – Sovereignty (cont.)
• Recognition of tribal law, including applicability of tribal
licensing requirements and customary adoption (adoption
without termination of parental rights)
• No requirement that sovereign immunity be waived;
development of alternative dispute resolution mechanisms
• May want to address ICWA compliance in agreement.
Association on American Indian Affairs
Key Issue – Building Tribal Capacity
Training – can include not only reimbursement for tribally-run
trainings and for attendance at third party trainings, but also
notice and access to relevant State trainings
Access to State technical assistance – many of the Title IV-E
requirements, especially those relating to data collection and
processing of administrative costs are highly technical; state
T/A should be provided, be collaborative in nature, and
targeted to compliance with statute, not micro-managing of
tribal program
Association on American Indian Affairs
Key Issue – Building Tribal Capacity
(cont.)
• Access to State databases, including access to the State
background check system and child abuse registries
•Developing relationship with the state and a written
agreement to protect children can build tribal capacity by
clarifying roles and responsibilities of state and tribe.
• Maximizing resources to the tribe and its families (see
below)
Association on American Indian Affairs
Key Issue – Maximizing Resources for
Tribal Programs and Families
• Include payments for foster care maintenance,
guardianships and adoption assistance
• Maintenance payments should include not only
the base payment, but also payments for “special
circumstances” such as difficulty of care, medically
fragile and therapeutic foster care rates
Association on American Indian Affairs
Key Issue – Maximizing Resources for
Tribal Programs and Families (cont.)
• Many states pay all or part of the match; where
the state does not, make sure tribal FMAP applies
• If the state has a IV-E waiver, agreement should
allow participation in the waiver program if possible
Association on American Indian Affairs
Other – Chafee Program
• Tribes can also access the John H. Chafee
Independent Living Program through a Tribal-State
agreement and states are required to negotiate
such agreements in good faith
•Chafee provides assistance to older youth
transitioning out of foster care (education,
employment, living skills)
Association on American Indian Affairs
Provisions to Avoid
• State taking back a percentage of the federal
reimbursement to cover its overhead
• Application of state laws, policies and
procedures that exceed federal requirements.
Association on American Indian Affairs
Continued State Role – Direct Funding
In case of direct funding to tribes, there may still be a role for
a tribal-state agreement:
•Coordinating with tribes, especially in regard to tribal service
areas beyond reservation boundaries and cases involving
transfer from state court to tribal court
•Ensuring that no child loses funding as a result of the tribe
receiving direct funding
Association on American Indian Affairs
Direct Funding Agreement (cont.)
• Providing funding to tribe to help meet the match
requirement
• Cross-system coordination between tribal and
state IV-E agencies, TANF and child support
agencies and with the state Medicaid office
• Tribe can sub-contract with state to operate parts
of the program
Association on American Indian Affairs
Direct Funding Agreement (cont.)
• Providing training, access to state data systems,
transportation and other state services and products
• Tribe may be able to claim some of the services and
products provided as in-kind expenses
• Facilitate involvement of tribes in state court improvement
planning (and assist tribes who have received court
improvement dollars for their tribal courts, if requested)
Association on American Indian Affairs
Direct Funding Agreement (cont.)
• Providing for tribal engagement in the development of
state IV-E and IV-B plans and Child and Family Services
reviews, particularly in terms of ICWA compliance
• Building collaborations and partnerships for a variety of
purposes;, for example, reducing numbers of children in
foster care and disproportionality, providing culturally
sensitive services and training, recruiting more Native
foster homes
Association on American Indian Affairs
Conclusion
For many tribes, tribal-state agreements may be a
mechanism to gain access to the Title IV-E program. If
properly prepared before beginning negotiations, a tribe
should be able to reach an agreement that will respect
tribal sovereignty, enhance tribal capacity, and maximize
resources for the tribe and tribal families.
Even where direct funding is sought, a tribal-state
agreement may sometimes be helpful to a tribe.