Index: "Dear Colleague" Letter | ACYF-PI-CC-01-06 | Tribal Estimates | Declaration | List of Assurances | Statutory and Regulatory Requirements | (Collection also available in Word and PDF)

Related Items: ACF Regional Administrators | 2002 Tribal Application Plan Procedures for CCDF Grantees | FY 2001 Procedures for 102-477 Grantees | Tribal Construction and Renovation Procedures  Document Collections

Program Instruction (ACYF-PI-CC-01-06)

To:

Tribal Lead Agencies consolidating child care programs under P.L. 102-477.  This Program Instruction only applies to Tribes currently operating or planning to operate an employment, training and related services program under P.L. 102-477.

Purpose:

To provide information on the procedures to consolidate the Child Care and Development Fund (CCDF) program with other employment and training funding sources under a P.L. 102-477 plan.

References:

Section 418 of the Social Security Act; the Child Care and Development Block Grant Act of 1990 as amended. 45 CFR Parts 98 and 99, and the Indian Employment, Training and Related Services Demonstration Act of 1992, as amended (P.L. 102-477).

Background:

The Indian Employment, Training and Related Services Demonstration Act of 1992, as amended (P.L. 102-477) was enacted to:

• Demonstrate how Indian tribal governments can integrate the employment, training and related services they provide in order to improve the effectiveness of those services;
• Reduce joblessness in Indian communities; and
• Serve tribally determined goals consistent with the policy of self-determination.

In accordance with P.L. 102-477, eligible tribal applicants may choose to streamline tribal services by submitting a consolidated plan for employment, training and related services to the Bureau of Indian Affairs (BIA), Department of the Interior. Eligible applicants may include the Child Care and Development Fund (CCDF) in their 102-477 plan. The CCDF is comprised of two funding sources:

• Discretionary Funds - funding that is provided under the Child Care and Development Block Grant Act, as amended; and
  
• Tribal Mandatory Funds - funding that is provided to eligible Tribes and tribal organizations under Section 418 of the Social Security Act.

Tribes that elect to consolidate their CCDF funds under a 102-477 plan are still required to operate comprehensive CCDF programs. By applying for CCDF funds, a Tribe agrees to follow the provisions of the Child Care Development Block Grant Act of 1990, as amended, and applicable regulations at 45 CFR 98 and 99. However, in contrast to the required CCDF application and plan process, Tribes that consolidate CCDF funds under a 102-477 plan are permitted to submit abbreviated applications and plans for CCDF funding.

CCDF Construction and/or Renovation Under a 102-477 Plan

All Tribes receiving CCDF funds - including those with approved 102-477 plans - are required to follow ACF's construction and renovation application procedures in order to use CCDF funds for construction or major renovation projects. Tribes are advised to contact their appropriate ACF Regional Office (Attachment A) to discuss construction or renovation plans, and to request a copy of ACF's construction and renovation application procedures (Program Instruction ACYF-PI-CC-01-01, dated February 5, 2001). If a Tribe constructs or renovates more than one facility, it must seek ACF approval for each project (even if the projects use identical plans and specifications).

CCDF Eligibility:

Pursuant to 45 CFR 98.62, a Tribe is eligible to receive CCDF funds if the Tribe is federally recognized and the tribal population includes at least 50 children under age 13.

A Tribe with fewer than 50 children under age 13 may participate in a consortium of eligible tribes. In order to be eligible to receive CCDF funds on behalf of its member Tribes, a consortium must:

• Consist of Tribes that meet the eligibility requirements for the CCDF program or that would meet the eligibility requirements if the Tribe or tribal organization had at least 50 children under age 13; and
  
  
• Adequately demonstrate it has authorization from each participating Tribe to receive CCDF funds on behalf of the Tribe.

Special Rule for Indian Tribes in Alaska:

Only specified Alaska Native entities may receive Tribal Mandatory Funds. The Metlakatla Indian Community of the Annette Islands Reserve and the following Alaska Native regional nonprofit corporations are eligible to receive Tribal Mandatory Funds:

• Arctic Slope Native Association;
• Kawerak, Inc.;
• Maniilaq Association;
• Association of Village Council Presidents;
• Tanana Chiefs Conference;
• Cook Inlet Tribal Council;
• Bristol Bay Native Association;
• Aleutian and Pribilof Islands Association;
• Chugachmuit;
• Tlingit and Haida Central Council;
• Kodiak Area Native Association; and
• Copper River Native Association.
  

Exempt vs.
Non-Exempt
Grantee Status:

Tribal Lead Agencies with CCDF allocations equal to or greater than $500,000 for a fiscal year are considered non-exempt grantees; therefore: 1) no less than 4 percent of the aggregate CCDF funds expended for a fiscal year must be used for quality activities; and 2) the Tribal Lead Agency must operate a certificate program that offers parental choice from a full range of providers (i.e., center-based, group home, family and in-home care). A Tribal Lead Agency that moves from the exempt to non-exempt category has a phase-in period of up to one year to meet the CCDF non-exempt requirements.

For example, if a Tribal Lead Agency's FY 2001 allocation moved it into the non-exempt category, the Tribal Lead Agency must describe how it is meeting non-exempt requirements in it's plan preprint due by July 1, 2001 and effective October 1, 2001.

Funding Estimates
And Allocation
Formulas:

ACF estimates that $98,339,748 in FY 2002 CCDF funds will be available for tribal grantees ($43,999,748 in Discretionary Funds and $54,340,000 in Tribal Mandatory Funds).

Grants from Discretionary Funds will include a base amount of $20,000 plus a per child amount (approximately $56 per child in FY 2000) for each Tribe or tribal consortium with a minimum of 50 children. Grants from Tribal Mandatory Funds are calculated solely on a per-child basis (approximately $97 per child in FY 2001) and do not include a base amount.

Since the per-child amount for both Discretionary and Tribal Mandatory Funds depends upon the total number of children in all participating Tribes, ACF cannot calculate in advance the exact per-child amount. However, Tribes and tribal organizations may use the FY 2002 Tribal Estimates Chart (See Attachment B) as a guide. A new applicant should use the base amount plus approximately $56 per child to estimate its allotment for Discretionary funding, and should use approximately $97 per child to estimate its allotment for Tribal Mandatory funding.

A tribal consortium should estimate its allotment for Discretionary funding for each of its members by calculating a portion of the base amount that is equivalent to the ratio of the number of children in each member Tribe to 50, plus the additional per child amount. For example, a Tribe with 49 children is allotted 49/50ths of $20,000, or $19,600. The per child amount is then multiplied by 49 and added to the $19,600 base amount.

The Administration's FY 2002 budget contains a proposed $400 million increase for Discretionary Funds. The Tribal Estimates shown in Attachment B reflect this proposed increase, which would require Congressional action. Tribes would receive 2 percent of any FY 2002 funding increase for CCDF.

Important Note: These amounts are provided for the purpose of estimating the allotments that will become available for FY 2002 and may increase or decrease when updated data become available before the final grant awards are issued. In addition, the estimates reflect the President's FY 2002 budget request, which is subject to Congressional action. If Congress enacts and the President approves a different appropriation amount, the allotments will be adjusted accordingly.

Discretionary
Earmark:

Child Counts:

For funds that become available for FY 2002, ACF will calculate grant awards based on the number of children under age 13. A Tribe must submit a declaration that certifies the number of Indian children, as defined in the 102-477 plan, under age 13 (not age 13 and over), who reside on or near the reservation or tribal service area. The declaration must be included as an attachment to the 102-477 application and/or plan.

The Tribal Lead Agency should use the "Child Count Declaration" format at Attachment C. The declaration must be signed by the governing body of the Tribe or a person authorized to act for the applicant Tribe or organization.

IMPORTANT NOTE REGARDING CHILD COUNTS: In prior years, ACF had an established procedure to determine the child count for those Tribal Lead Agencies that elected not to include a child count with their annual CCDF funding application. However, beginning this year, all Tribal Lead Agencies must submit a self-certified child count with their application. A CCDF funding application submitted without a child count will be treated as an incomplete application. Therefore, to facilitate the approval process, the information requested on the child count declaration at Attachment C must be included with the application due by July 1. This new policy (which was originally announced a year ago in ACYF-PI-CC-00-02 and ACYF-PI-CC-00-03) is designed to ensure that funds are equitably distributed based on the most recent data.

PLEASE BE ADVISED: The Tribal Lead Agency may not count any children who are included in the child count of another CCDF Tribal Lead Agency. To ensure unduplicated child counts, a Tribal Lead Agency is required to confer with all other CCDF Tribal Lead Agencies that have overlapping or neighboring service areas.

Tribal Lead Agencies are reminded that CCDF funds are allocated based on child counts of children from Federally recognized Indian Tribes, consistent with the Child Care and Development Block Grant Act's definition of Indian Tribe.

Tribal Lead Agencies are also advised that ACF will not accept declarations based on child counts that were conducted prior to July 1 of the previous year. For FY 2002 funding, the child count of children under age 13 must be completed no later than June 30, 2001 and no earlier than July 1, 2000.

Special Note for Tribal Consortia: A tribal consortium must submit individual self certified child count declarations signed by the governing body of the Tribe, or an individual authorized to act for the Tribe, for each of its members participating in the consortium. Also include a summary section listing each member's name and child count, and the total child count for all members.

Because of the statutory "Special Rule for Indian Tribes in Alaska" under Tribal Mandatory Funding, some Alaska Native Regional Nonprofit Corporations will have to provide a separate child count certification for Discretionary Funding purposes. This count will consist of its self certified Tribal Mandatory Funding count, minus the child count number for any Alaska Tribal grantee in its Region which applies directly for Discretionary Funding. In instances where a Regional Corporation has separate child counts for Discretionary and Tribal Mandatory Funds, both counts may be reported on the declaration (see format at attachment C).

Administrative
Costs:

Application
Requirements:

Although 102-477 plans cover multi-year periods, applicants must apply annually for CCDF funds - this includes new and current 102-477 grantees. To receive CCDF funding under a consolidated 102-477 plan, all tribal grantees and tribal applicants must:

• Be eligible to receive CCDF funding (see Eligibility Section of this Program Instruction);
  
  
• Have submitted a consolidated 102-477 plan to BIA that includes the CCDF program; and
  
  
• Submit an annual application to BIA requesting CCDF program funds.

There is no required format for the application. However, the application must be signed by the tribal chairperson (or his/her designee) and must include the following information:

1. Funds Requested

The amount of CCDF funds requested, based on the estimated CCDF amount for each applicant. This information can be found in the last column (Estimated Total FY 2002 CCDF Funding) of Attachment B "FY 2002 Tribal Estimates Chart."

2. Child Count Declaration

A signed declaration that certifies the number of Indian children, under age 13 for FY 2002 funding, who reside on or near the reservation or other tribal service area. The Tribal Lead Agency should use the Child Count Declaration format at Attachment C. Note: The child count self-certification process is explained under the "Funding Estimates and Allocation Formulas" section of this Program Instruction.

By applying for FY 2002 CCDF funds a Tribe agrees to follow the provisions of the Child Care and Development Block Grant Act of 1990, as amended, and applicable regulations at 45 CFR Parts 98 and 99.

Current grantees that apply for FY 2002 funds continue to be required to meet the assurances and certifications provided in the 102-477 plan for the remainder of the plan period. A new tribal applicant must include the required assurances and certifications as part of its plan submittal (see Attachment D).

Plan
Requirements:

The CCDF program may be incorporated into a P.L. 102-477 plan that covers multi-year periods. If an applicant elects to include CCDF in a consolidated 102-477 plan, the following CCDF requirements must be included in the 102-477 plan:

1. A statement of intent to administer the CCDF program under a P.L. 102-477 consolidated plan.
   
   
2. A description of the way CCDF services will be integrated and delivered with the employment and training programs included in the 102-477 plan, and the results expected.
   
   
3. The agency or agencies of the tribal government (or tribal consortium) to be involved in the delivery of CCDF services under the plan. Note: if the CCDF Lead Agency changes during the approved plan period, the grantee must submit a written notification of this change to the BIA.
   
   
4. A description of the results of the Tribal Lead Agency's coordination activities with agencies responsible for health (including the agency responsible for immunizations), education, employment services or workforce development, and the State TANF agency and/or tribal Temporary Assistance to Needy Families agency - if the Tribe is operating its own Temporary Assistance to Needy Families program.
   
   
5. A description of the public hearing process held to provide the Tribe (or member Tribes in the case of a tribal consortium) an opportunity to comment on the proposed CCDF activities under the consolidated 102-477 plan.
   
   
6. A copy of a sliding fee scale that provides for cost sharing by families and is based on income and family size. A grantee may waive contributions from families whose incomes are at or below the poverty level for a family of the same size, or may apply different sliding fee scales.
   
   
7. Definitions for 1) Indian Child; and 2) Indian Reservation or Tribal Service Area. Tribes have broad latitude in defining these terms that are used to determine eligibility. An applicant's child count declaration -- required in the annual CCDF application -- is based on the definition of these terms.
   
   
8. Any statutory provisions, regulations, policies, or procedures that the Tribe requests to be waived.
   
   
9. A consortium must submit a demonstration (e.g., a tribal resolution) from each member Tribe that authorizes the consortium to receive CCDF funds on its behalf for the duration of the plan period
   
   

Waiver:

Section 7 of P.L. 102-477, as amended, authorizes the Secretary of the Department of Heath and Human Services to waive any statutory provision, regulation, policy, or procedures requested by a Tribe, as long as the waiver is not consistent with the purpose of P.L. 102-477 or with provisions of the Child Care and Development Block Grant Act, as amended.

To obtain a waiver, the 102-477 plan must:

• Identify the specific statutory provision, regulation, policy or procedure;
  
  
• Justify the need for the waiver; and
  
  
• Explain what the Tribe will use to replace the existing statutory provision, regulation, policy or procedure, if applicable.

Waivers will be granted or denied on a case-by-case basis for each plan. Blanket waiver requests are not acceptable. See Attachment E for a list of statutory and regulatory requirements that will not be waived.

All CCDF applications (and plans, if applicable) must be postmarked or hand delivered to the BIA no later than July 1, 2001. Any applications and plans postmarked after that date will not be accepted. Faxed copies will not be accepted.

Submitting the
Materials:

original and 1 copy of the application (and plan, if applicable) must be mailed or hand-delivered to the:
Bureau of Indian Affairs
Office of Economic Development
Division of Job Placement and Training
1849 C Street, NW
Mail Stop 4660 MIB
Washington, D.C. 20240

Technical
Assistance:  

Tribes should refer to the "Preparation of Tribal Plans, Pursuant to Public Law 102-477, PROPOSED GUIDANCE FOR TRIBAL DOCUMENTS" in completing a consolidated 102-477 plan. To obtain a copy of this document, or for questions related to overall operation of P.L. 102-477, please contact:

Bonnie DeWeaver
102-477 Technical Assistance
Coordinator
(907) 265-5975

Reporting
Requirements:

CCDF Tribal grantees with an approved 102-477 plan will receive their CCDF funding through the BIA. Therefore, program and financial reporting of CCDF funds awarded under a 102-477 consolidated plan will be made to the BIA. However, the expenditure and obligation of all CCDF funds awarded prior to a 102-477 plan approval will continue to be reported to ACF on the ACF-696-T financial reporting form. Similarly, program data on CCDF funds awarded prior to a 102-477 plan approval must be reported on the ACF-700 form.

Paperwork
Reduction Act:

The Paperwork Reduction Act of 1980, as amended, requires that OMB approve all reporting and recordkeeping instruments. The information required to respond to this Program Instruction is approved under OMB Number 0970-0198 (expires 05/31/02).

Attachments:
A - ACF Regional Administrators List
B - FY 2002 Tribal Estimates Chart
C - Child Count Declaration
D - List of Assurances and Certifications
E - CCDF Statutory and Regulatory Requirements That Will Not Be Waived

Index: "Dear Colleague" Letter | ACYF-PI-CC-01-06 | Tribal Estimates | Declaration | List of Assurances | Statutory and Regulatory Requirements | (Collection also available in Word and PDF)

Related Items: ACF Regional Administrators | 2002 Tribal Application Plan Procedures for CCDF Grantees | FY 2001 Procedures for 102-477 Grantees | Tribal Construction and Renovation Procedures  Document Collections