Child Care Bureau: Laws, Policies, Program Instructions, and Allocations

FY 2004 Tribal Application Plan Procedures for CCDF Grantees

Program Instruction ACYF-PI-CC-03-03

ACF Administration for Children and Families	U.S. DEPARTMENT OF HEALTH AND HUMAN SERVICES Administration on Children, Youth and Families
	1. Log No: ACYF-PI-CC-03-03	2. Issuance Date:June 3, 2003
	3. Originating Office: Child Care Bureau
	4. Key Words: Child Care and Development Fund (CCDF) Fiscal Year 2004 Funding; Indian Tribes and Tribal Consortia

CHILD CARE AND DEVELOPMENT FUND PROGRAM INSTRUCTION
To	Tribal Lead Agencies administering child care programs under the Child Care and Development Block Grant (CCDBG) 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 2004 8211 2005 biennium and provides guidance for completing and submitting it. This Plan is required by Section 658E of the CCDBG Act.
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.
Background	Tribes are required to submit a complete tribal Plan preprint for the FY 2004 -2005 biennium (October 1, 2003 - September 30, 2005). The Plan preprint will be effective for a two-year period beginning October 1, 2003. The attached tribal Plan preprint format is the same as the one used for the FY 2002 - 2003 biennium. We strongly recommend that you review the 8220Guidance for Completing the Plan8221 (Attachment C) as you develop your tribal Plan for the FY 2004 8211 2005 Plan period. Tribal Lead Agencies should also be guided by the amended CCDBG 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. 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 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 A) with questions about this Special Rule.
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 by a Tribal Lead Agency in Appendix 2, #2 of the Plan), under age 13, who reside on or near the reservation or service area (as defined by a Tribal Lead Agency in Appendix 2, #3 of the Plan). 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 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 must be submitted to the ACF Regional Office by July 1, 2003 (Attachment A). 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.
Special Instructions For Tribal Consortia:	Individual Child Counts Required - A tribal consortium must submit an individual Child Count Declaration, signed by an individual authorized to act for the Tribe, for each Tribal member in a tribal consortium. A tribal consortium must 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. 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.
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 a 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 A) if you have questions about exempt or non-exempt grantee status.
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.
Discretionary Earmark:	The Administration8217s FY 2004 budget request includes an earmark for school age care and resource and referral care 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.

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:	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 appropriate ACF 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 2004 Tribal Mandatory and Discretionary CCDF Funds (other than funds approved for construction/renovation), Tribal Lead Agencies must obligate all funds by September 30, 2005 and liquidate all funds by September 30, 2006. FY 2002 CCDF funds approved for construction/renovation must be liquidated by September 30, 2006 -- with no separate obligation deadline.
Deadlines and Effective Dates:	The Plan must be submitted for ACF review by July 1, 2003. When approved by the ACF Regional Office, the Plans are effective on October 1, 2003.
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. A copy of the Plan is also available on the Child Care Bureau8217s website at: /programs/ccb/law/index.htm#guidance.
Submitting the Plan:	Submit copies of the Plan as follows:
	One (1) copy to: ACF Regional Administrator (see Attachment A)	One (1) copy to: ACYF Operations Center Attn: Child Care Bureau CCDF 2004 Tribal Plan 1150 Connecticut Ave., NW, Suite 1100 Washington, DC 20036 Telephone: 1-800-351-2293 CCB@esilsg.org
Public Law 102-477 Option:	The 8220Indian Employment, Training and Related Services Demonstration Act of 19928221 (P.L. 102-477) permits tribal governments to consolidate a number of Federal programs to integrate their federally funded employment, training, and related services programs into a single, coordinated comprehensive program. The CCDF is one of the programs that may be consolidated under P.L. 102-477. The instructions contained in this Program Instruction (i.e., for the tribal Plan preprint) 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-03-02) contains 102-477 application and plan instructions. Tribes interested in learning more about the 102-477 process are encouraged to contact Ginny Gorman in ACF8217s Child Care Bureau at (202) 401-7260. A copy of the 102-477 Program Instruction is also available on the Child Care Bureau8217s website at: /programs/ccb/law/index.htm#guidance.
Reporting Requirements:	By the end of December each year, Tribal Lead Agencies are required to report CCDF aggregate program data on the ACF-700 report form, and CCDF financial expenditures on the ACF-696T report. Separate Program Instructions are issued each year providing information on the ACF-700 and ACF-696-T reporting requirements. These Program Instructions are also available on the Child Care Bureau8217s website at: /programs/ccb/law/index.htm#guidance.
Audits:	Tribes must follow the audit requirements established in OMB Circular A-133 "Audits of States, Local Governments and Non-Profit Organizations," 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.
Inquiries:	Direct all inquiries to the ACF Regional Offices (see Attachment A)
	Joan E. Ohl /s/ Commissioner
Attachments: Attachment A - ACF Regional Administrators List Attachment B - FY 2002 Tribal Estimates Chart Attachment C - Guidance for Completing the Plan