Program Instruction (ACYF-PI-CC-00-03)

The Indian Employment, Training and Related Services Demonstration Act of 1992 (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. 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).

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 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).

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.

Discretionary
Earmark:

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.

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).

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 (see Attachment B "FY 2001 Tribal Estimates Chart").

2. Child Count Declaration

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).

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 the102-477 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 Temporary Assistance to Needy Families 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 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.

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:

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

The 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 and Families
Division of Job Placement and Training
1849 C Street, NW
Mail Stop 4660
Washington, D.C. 20240

An additional copy must also be sent to the:
Administration on Children, Youth
Child Care Bureau
Room 2046
MIB 330 C Street, S.W.
Washington, D.C. 20447

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
Chief, Division of Job Placement and Training
Bureau of Indian Affairs
(202) 219-5270

OR

Bonnie DeWeaver
477 Technical Assistance Coordinator
(888) 469-5978

Questions related to the CCDF program should be directed to the appropriate ACF Regional Office (Attachment A).

Attachments:
A - ACF Regional Administrators List
B - FY 2001 Tribal Estimates Chart
C - Child Count Declaration
D - List of Assurances and Certifications
E - CCDF Statutory and Regulatory Requirements That Will Not Be Waived