Tribal Application and Plan Requirements for Consolidating FY 2001 CCDF Program
Index: "Dear Colleague" Letter | ACYF-PI-CC-00-03 | Tribal Estimates | Declaration | Assurances and Certifications | Statutory and Regulatory Requirements | (Collection also available in Word and PDF) |
Related Items: ACF Regional Administrators | 2002 Plan Procedures for CCDF Grantees and 102-477 Grantees l FY 2002 Tribal Estimates | 2001 Procedures for 102-477 Grantees |
Program Instruction (ACYF-PI-CC-00-03) |
ACF |
Administration on Children, Youth and Families |
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Administration | 1. Log No: ACYF-PI-CC-00-03 | 2. Issuance Date: May 17, 2000 |
for Children | 3. Originating Office: Child Care Bureau | |
and Families | 4. Key Words: Child Care and Development Fund (CCDF) Fiscal Year 2001 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. | |
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 & Related Services Demonstration Act of 1992 (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. | |
Background: |
The Indian Employment, Training and Related Services Demonstration Act of 1992 (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 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. 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 base amount under the Discretionary Funds is not included in this calculation. 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. 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). |
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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:
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:
Exempt and Non-Exempt Tribal Grantees: 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). |
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Funding
Estimates and Allocation Formulas: |
ACF estimates that $74,993,440 in FY 2001 CCDF funds will be available for tribal grantees on October 1, 2001 ($23,653,440 in Discretionary Funds and $51,340,000 in Tribal Mandatory Funds). Grants from Discretionary Funds will include a base amount of $20,000 plus a per child amount (approximately $29 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 $101 per child in FY 2000) 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 2001 Tribal Estimates Chart (See Attachment B) as a guide. A new applicant should use the base amount plus approximately $29 per child to estimate its allotment for Discretionary funding, and should use approximately $101 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: These amounts are provided for the purpose of estimating the allotments that will become available on October 1, 2000 and may increase or decrease when updated data become available before the final grant awards are issued. The Administration's budget for FY 2001 contains a comprehensive child care initiative that includes a proposed $817 million increase in the CCDF. The estimates shown in Attachment C do not reflect this proposed increase, which would require Congressional action. Tribes would receive 2 percent of any FY 2001 funding increase for CCDF. |
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Discretionary |
The appropriations law for the Department of Health and Human Services (P.L.106-113) stipulated that a portion of FY 2001 Discretionary Funds be used (or earmarked) for child care resource and referral and school aged child care activities. School-age child care is a critical service for working parents. A safe and productive environment before and after school is important for both the peace of mind of working parents and the well-being of their children. Resource and referral is also a key support, since it is a vital link for all working families who seek appropriate child care, providing critical consumer education to parents and outreach to the child care community. The Tribal Estimates Chart (Attachment B) shows the estimated earmark requirement for FY 2001. 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 2001 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 "not less than 4%" required to be spent on activities that improve the quality and availability of child care. |
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Self- Certification of Child Counts: |
For funds that become available on October 1, 2000, 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 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. 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 2001 funding, the child count of children under age 13 must be completed no later than June 30, 2000 and no earlier than July 1, 1999. If a Tribal Lead Agency chooses not to provide a self-certified child count, ACF will calculate the Tribe's grant award for funds that become available in FY 2001 using the same number of children used to determine the FY 2000 grant award. New Tribal Lead Agencies (that did not receive funds in FY 2000) must provide a self-certified child count. All Tribes will be required to provide a self-certified child count for funding that becomes available in FY 2002. 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). |
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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:
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:
The amount of CCDF funds requested, based on the estimated CCDF amount for each applicant (see Attachment B "FY 2001 Tribal Estimates Chart").
A signed declaration that certifies the number of Indian children, under age 13 for FY 2001 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 2001 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 2001 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). |
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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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Waivers: |
Section 7 of P.L. 102-477 authorizes the Secretary of the Department of Heath and Human Services to waive any 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. P.L. 102-477 does not provide authority to waive any statutory provisions. 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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Deadlines: | All CCDF applications (and plans, if applicable) must be postmarked or hand delivered to the BIA no later than July 1, 2000. Any applications and plans postmarked after that date will not be accepted. Faxed copies will not be accepted. | |
Submitting
the Materials: |
The original and 1 copy of the application (and plan,
if applicable) must be mailed or hand-delivered to the: An additional copy must also be sent to the: |
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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: Lynn Forcia OR Bonnie DeWeaver Questions related to the CCDF program should be directed to the appropriate ACF Regional Office (Attachment A). |
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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 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). | |
Inquiries: | All inquiries should be directed to the ACF Regional Administrators. | |
Patricia Montoya Associate Commissioner Administration on Children, Youth and Families |
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Attachments: |
Index: "Dear Colleague" Letter | ACYF-PI-CC-00-03 | Tribal Estimates | Declaration | Assurances and Certifications | Statutory and Regulatory Requirements | (Collection also available in Word and PDF) |
Related Items: ACF Regional Administrators | 2002 Plan Procedures for CCDF Grantees and 102-477 Grantees l FY 2002 Tribal Estimates | 2001 Procedures for 102-477 Grantees |