FY 2004 Application and Plan Procedures for 102-477 Grantees |
Index: Cover Letter | ACYF-PI-CC-03-02 | Child Count Declaration | FY 2004 Tribal Allocation Estimates | ACF Regional Administrators | Assurances and Certifications | Statutory and Regulatory Requirements That Will Not be Waived |
Program Instruction (ACYF-PI-CC-03-02) (Also available in Word and PDF) |
ACF
Administration for Children and Families |
Administration on Children, Youth and Families |
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1. Log No: ACYF-PI-CC-03-02 | 2. Issuance Date: April 29, 2003 | |
3. Originating Office: Child Care Bureau | ||
4. Key Words: Child Care and Development Fund (CCDF) Fiscal Year 2004 Funding; Application and Plan Requirements to Consolidate CCDF Under a 102-477 Indian Employment, Training and Related Services Plan |
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 (CCDBG) 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:
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:
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 CCDBG 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. |
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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:
Special Rule for Indian Tribes in Alaska - Only the Metlakatla Indian Community of the Annette Islands Reserve and the 12 Alaska Native Regional Nonprofit Corporations are eligible to receive Tribal Mandatory Funds. New Tribal Applicants in Alaska should contact ACF Region X (Attachment C) with questions about this Special Rule. |
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The 102-477 Process: |
To receive CCDF funding under a consolidated 102-477 plan, all tribal grantees and tribal applicants must: 1) Be eligible to receive CCDF funding (see Eligibility Section of this Program Instruction); and 2) Have submitted a consolidated 102-477 plan to BIA that includes the CCDF program. Although 102-477 plans cover multi-year periods, current 102-477 grantees and new tribal applicants must apply annually for CCDF funds. |
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Annual 102-477 Application Requirement: |
An annual Child Count Declaration (Attachment A) must be submitted to receive FY 2004 CCDF funds. By submitting a signed Child Count Declaration, the Tribe is making application for FY 2004 CCDF funds, according to the estimated allocation for the Tribe on the FY 2004 Tribal Estimates Chart (Attachment B). By applying for FY 2004 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 2004 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). Tribal Child Counts For funds that become available in FY 2004, ACF will calculate grant awards based on the number of children under age 13. A Tribe must submit a self-certified Child Count Declaration for children under age 13 (not age 13 and under), in order to receive FY 2004 CCDF funds. The Child Count Declaration must certify the number of Indian children (as defined in the CCDF section of the 102-477 Plan), under age 13, who reside on or near the reservation or service area. The Child Count Declaration is provided at Attachment A. The Child Count Declaration must be signed by the governing body of the Tribe or a person authorized to act for the applicant Tribe or tribal organization. An application submitted without a Child Count Declaration will be treated as an incomplete application. Therefore, to facilitate the approval process, a signed, completed Child Count Declaration (Attachment A) must be submitted to the ACF Regional Office by July 1, 2003 (Attachment C). 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 Act8217s 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 2004 funding, the child count of children under age 13 must be completed no later than June 30, 2003 and no earlier than July 1, 2002. |
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102-477 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:
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Plan Waivers: |
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 inconsistent 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:
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. |
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Special Instructions For Tribal Consortia: |
Individual Child Counts
Required - A tribal consortium must submit an Instructions
individual Child Count Declaration, signed by an individual authorized
to act for For Tribal the Tribe, for each Tribal member
in a tribal consortium. A tribal consortium must Consortia: also
provide a summary section listing each tribal 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 Child Count Declaration (Attachment A). Membership Changes 8211 It is the responsibility of a tribal consortium to notify ACF of any changes in its membership for CCDF funding purposes during the approved plan period. For example - - if a new Tribe joins a tribal consortium to receive FY 2004 CCDF funds, or if a current tribal consortium member elects not to receive FY 2004 CCDF funds through that tribal consortium - - these changes must be conveyed to ACF in writing by the tribal consortium. |
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Exempt vs. Non-Exempt Grantee Status: | ACF recognizes that a number of small CCDF grantees
do not have the necessary infrastructure to support certain CCDF
requirements, such as: certificate program. Similarly, in many
small rural communities child care options are often limited.
Consequently, additional flexibility has been provided for smaller
Tribes and tribal organizations by 8220exempting8221 them from
certain CCDF requirements (see 45 CFR 98.83(f)). 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).
Transition Period Moving into Non-Exempt Status 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 2003 allocation moved it into the non-exempt category, the Tribal Lead Agency must meet the non-exempt requirements by October 1, 2003. Please contact your ACF Regional Office (Attachment C) if you have questions about exempt or non-exempt grantee status. |
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Funding Estimates and Allocation Formulas: |
ACF estimates that $96,339,880 in FY 2004 CCDF funds will be available for tribal grantees on October 1, 2003 ($41,999,880 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 $61 per child in FY 2003) 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 $104 per child in FY 2003) 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 2004 Tribal Estimates Chart (See Attachment B) as a guide. A new applicant should use the base amount plus approximately $61 per child to estimate its allotment for Discretionary funding, and should use approximately $104 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 are provided for the purpose of estimating the allotments that will become available on October 1, 2003 and may increase or decrease when updated data become available before the final grant awards are issued. The estimates reflect the Administration8217s FY 2004 budget request. |
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Discretionary Earmark: | The Administration8217s FY 2004 budget request
includes an earmark for school age care and resource and referral
activities. The FY 2004 Tribal Estimates Chart (Attachment
B) shows the estimated earmark requirement for FY 2004. The
column labeled Discretionary Earmark shows the estimated amount
that must be spent on resource and referral activities and school-age
care. The column labeled Discretionary After Earmark is the amount
of Discretionary Funds remaining after the earmark that can be
spent on any allowable CCDF activities (assuming quality expenditure,
administrative cost, and other Federal requirements are met).
The earmark for resource and referral activities and school-age
care is based on a $500 amount per Tribe plus a per child amount.
Amounts in the FY 2004 Tribal Estimates Chart (Attachment
B) are estimates that may increase or decrease when final
grant awards are issued.
Note to Non-Exempt Tribal Lead Agencies: The earmarked funds are to be used in addition to the 8220not less than 4 percent8221 required to be spent on activities that improve the quality and availability of child care. |
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Administrative Costs: | Tribal Lead Agencies are reminded that no more than 15 percent of the aggregate CCDF funds expended from each year8217s 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 Under a 102-477 Plan: | In order to use CCDF funds for construction or major renovation projects, all Tribes receiving CCDF funds -- including Tribes with approved 102-477 plans - - 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 appropriate ACF Regional Office (Attachment C). 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). | ||||
Deadlines: | All CCDF applications (and plans, if applicable) must be postmarked or hand delivered to the BIA no later than July 1, 2003. Any applications and plans postmarked after that date will not be accepted. Faxed copies will not be accepted. | ||||
Electronic Format: | The required Child Count Declaration is available
in electronic format from ACF Regional Offices, and under the
8220Application and Plan8221 section of the Child Care Bureau8217s
website: /programs/ccb/law/index.htm#guidance. |
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Submitting the Materials: |
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Technical Assistance: |
Tribes should refer to the 8220Preparation of Tribal
Plans, Pursuant to Public Law 102-477, PROPOSED GUIDANCE FOR
TRIBAL GOVERNMENTS8221 in completing a consolidated
102-477 plan. To obtain a copy of this document, or for questions
related Questions related to the CCDF program should be directed to the appropriate ACF Regional Office (Attachment C). For general inquires about consolidating CCDF into a 102-477 plan, you may also contact Ginny Gorman in ACF8217s Child Care Bureau at (202) 401-7260. |
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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 data reporting form. | ||||
Audits: | Tribes that elect to consolidate their CCDF funds under a 102-477 plan must follow the audit requirements established in OMB Circular A-133 8220Audits of States, Local Governments and Non-Profit Organizations,8221 pursuant to the Single Audit Act Amendments of 1996. | ||||
Paperwork Reduction Act: | An agency may not conduct or sponsor, and a person is not required to respond to a collection of information unless it displays a currently valid OMB control number. The information collection required under this Program Instruction is approved under OMB Number 0970-0198, which expires June 30, 2005. | ||||
Joan E. Ohl |
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Attachments: A - Child Count Declaration B - FY 2004 Tribal Estimates Chart C - ACF Regional Administrators List D - List of Assurances and Certifications E - CCDF Statutory and Regulatory Requirements That Will Not Be Waived |