Index: "Dear Colleague" Letter | ACYF-PI-CC-01-05 | Guidance | Plan Preprint | Tribal Estimates | (Collection available in Word and PDF)

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

Program Instruction (ACYF-PI-CC-01-05)

To

Tribal Lead Agencies administering child care programs under the Child Care and Development Block Grant Act of 1990, as amended, and other interested parties.

Purpose

This Program Instruction (PI) conveys the pre-printed Tribal Plan for Child Care and Development Fund (CCDF) services for the FY 2002 - 2003 biennium and provides guidance for completing and submitting it. This Plan is required by Section 658E of the Child Care Development Block Grant Act.

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.

Background

Tribes are required to submit a complete tribal Plan preprint for the FY 2002 -2003 biennium (October 1, 2001 - September 30, 2003). This revised Plan preprint will be effective for a two-year period beginning October 1, 2001.

The attached tribal Plan preprint format is the same as the one used for the FY 2000 - 2001 biennium. However, we have provided additional guidance and clarification in this year's instructions. Therefore, we strongly recommend that you review the attached "Guidance for Completing the Plan" as you develop your tribal Plan for the FY 2002 - 2003 Plan period. Tribal Lead Agencies should also be guided by the amended Act and the CCDF regulations. Each Plan section includes a statutory citation or reference to the applicable regulation.

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, or such similar age, as determined by the Secretary from the best available data.

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.

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 Plan preprint or annual CCDF funding application. However, beginning this year, all Tribal Lead Agencies must submit a self-certified child count with their Plan preprint submission. A CCDF Plan preprint submitted without a child count will be treated as an incomplete plan. Therefore, to facilitate the approval process, the information requested on the child count declaration at Appendix 3 of the Plan preprint must be included with the Plan submission due by July 1. This new policy (which was originally announced a year ago in ACYF-PI-CC-00-02) is designed to ensure that funds are equitably distributed based on the most recent data.

Funding Estimates
And Allocation
Formulas:

Tribal Mandatory Funds - funding that is provided to eligible Tribes and tribal organizations under Section 418 of the Social Security Act.

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 2001) 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.

Important Note: These amounts shown in Attachment B are provided for the purpose of estimating the allotments that will become available for FY 2002 and may increase or decrease when updated child count 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 allocations will be adjusted accordingly.

Discretionary
Earmark:

Administrative Costs:

Tribal Lead Agencies are reminded that no more than 15 percent of the aggregate CCDF funds expended from each year's allotment may be used for administrative costs. Tribal Lead Agencies are advised to review the CCDF regulations at 45 CFR 98.52 for a discussion of administrative costs. Note: the Discretionary Funds base amount is neither subject to the 15 percent limitation, nor included in the calculation for the 15 percent limitation.

Construction and Renovation:

In order to use CCDF funds for construction or major renovation projects, all Tribes receiving CCDF funds are required to follow ACF's construction and renovation application procedures (Program Instruction ACYF-PI-CC-01-01, dated February 5, 2001). Early in the planning process, Tribes are advised to contact their appropriateACF Regional Office (Attachment A). 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).

Obligation and
Liquidation
Periods: 

For FY 2002 Tribal Mandatory and Discretionary CCDF Funds (other than funds approved for construction/renovation), Tribal Lead Agencies must obligate all funds by September 30, 2003 and liquidate all funds by September 30, 2004. FY 2002 CCDF funds approved for construction/renovation must be liquidated by September 30, 2004--with no separate obligation deadline.

Deadlines and Effective Dates: 

The Plan must be submitted for ACF review by July 1, 2001. When approved by the ACF Regional Office, the Plans are effective on October 1, 2001.

Amending the Plan:

After the Plan is approved by ACF, substantive changes to the CCDF program must be reflected by amending the Plan per 45 CFR 98.18(b). Tribal Lead Agencies should enter information about the amendment on the Amendment Log at the beginning of the Plan.

Electronic Format: 

The Plan is available in word processing format from the ACF Regional Offices. If you would like a copy of the Plan in an electronic format, or to submit the Plan electronically, contact your ACF Regional Office. If submitting a Plan electronically, a Tribal Lead Agency should: (1) "write protect" the Plan, and (2) submit a letter signed by the program administrator to the appropriate Regional Office confirming that on a specific date the Plan is submitted for review and approval

Submitting the Plan:

One (1) copy to:
Administration on Children, Youth and Families
Child Care Bureau
Room 2046
330 C Street, S.W.
Washington, D.C. 20447

Public Law 102-477 Option:

The instructions contained in this Program Instruction and the Plan preprint process do not apply to those Tribes and tribal organizations that apply to have CCDF funds consolidated under P.L. 102-477. A separate Program Instruction (ACYF-PI-CC-01-06) containing 102-477 application and plan requirements will be issued simultaneously and mailed with this Program Instruction.

Inquiries:

Direct all inquiries to the ACF Regional Offices (see Attachment A).

James A. Harrell
Acting Commissioner
Administration on Children, Youth and Families

Attachment A - ACF Regional Administrators List
Attachment B - FY 2002 Tribal Estimates Chart
Attachment C - Guidance for Completing the Plan