+-------------------+------------------------+------------------------+
| ACF               | **U.S. DEPARTMENT OF   |                        |
|                   | HEALTH AND HUMAN       |                        |
|                   | SERVICES**             |                        |
|                   |                        |                        |
|                   | **Administration for   |                        |
|                   | Children and           |                        |
|                   | Families**             |                        |
+-------------------+------------------------+------------------------+
| Administration    | **1. Log No:**         | **2. Issuance Date:**  |
|                   | ACYF-PI-CC-06-03       | May 4, 2006            |
+-------------------+------------------------+------------------------+
| for Children      | **3. Originating       |                        |
|                   | Office:** Child Care   |                        |
|                   | Bureau                 |                        |
+-------------------+------------------------+------------------------+
| and Families      | **4. Key Words:**      |                        |
|                   | Child Care and         |                        |
|                   | Development Fund       |                        |
|                   | (CCDF) Fiscal Year     |                        |
|                   | 2007 Funding;          |                        |
|                   | Application and Plan   |                        |
|                   | Requirements to        |                        |
|                   | Consolidate CCDF Under |                        |
|                   | a 102-477 Indian       |                        |
|                   | Employment, Training   |                        |
|                   | and Related Services   |                        |
|                   | Plan                   |                        |
+-------------------+------------------------+------------------------+

##  PROGRAM INSTRUCTION

**TO** Tribal Lead Agencies consolidating child care programs under
Public Law (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 (CCDBG) Act of 1990, 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:

-   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;

-   Foster economic development on Indian lands; and

-   Serve Tribally determined goals consistent with the policies of
    self-determination and self-governance.

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 Office of Indian Energy
and Economic Development, Department of the Interior. Eligible
applicants may include the CCDF in their 102-477 Plan.

The CCDF is comprised of two funding sources:

-   [Discretionary Funds]{.underline} -- funding that is provided under
    the CCDBG Act of 1990, as amended; and

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-   [Tribal Mandatory Funds]{.underline} -- 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 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.

**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]{.underline} -- Only the
> Metlakatla Indian Community of the Annette Islands Reserve and the 12
> Alaska Native Regional Non-profit Corporations are eligible to receive
> Tribal Mandatory Funds. New Tribal applicants in Alaska should contact
> the Administration for Children and Families (ACF) Region X
> (Attachment C) with questions about this Special Rule.

**THE 102-477** To receive CCDF funding under a consolidated 102-477
Plan, all Tribal grantees and

**PROCESS** Tribal applicants must: 1) be eligible to receive CCDF
funding (see Eligibility Section of this Program Instruction); 2) have
no outstanding CCDF program or financial reports---ACF-700 and ACF-696T
reports (applicable only to those Tribes submitting initial 102-477
Plans); and 3) have submitted a consolidated 102-477 Plan to the Office
of Indian Energy and Economic Development, Department of the Interior,
that includes the CCDF program. Although 102-477 Plans cover multi-year
periods, current 102-477 grantees and new Tribal applicants
[must]{.underline} apply annually for CCDF funds.

**ANNUAL 102-477** An annual Child Count Declaration (Attachment A) must
be submitted to receive Fiscal **APPLICATION** Year (FY) 2007 CCDF
funds. By submitting a signed Child Count Declaration, the Tribe
**REQUIREMENT** is making application for FY 2007 CCDF funds, according
to the estimated allocation for

the Tribe on the FY 2007 Tribal Estimates Chart (Attachment B).

> By applying for FY 2007 CCDF funds a Tribe agrees to follow the
> provisions of the CCDBG Act of 1990, as amended, and applicable
> regulations at 45 CFR Parts 98 and 99.
>
> Current grantees that apply for FY 2007 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 2007, ACF will calculate grant
awards based on the number of children under age 13. A Tribe
[must]{.underline} submit a self-certified Child Count Declaration for
children **under age 13** (not age 13 and under) in order to receive FY
2007 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 must be signed by the governing body of the Tribe or a
person authorized to act for the applicant's Tribe or Tribal
organization.

> An application submitted [without]{.underline} 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 Office of
> Indian Energy and Economic Development, Department of the Interior, by
> July 1, 2006.
>
> **[PLEASE BE ADVISED]{.underline}: The Tribal Lead Agency [may not
> count]{.underline} 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]{.underline}** to confer
> with **[all]{.underline}** 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 CCDBG definition of an Indian Tribe.
>
> Tribal Lead Agencies are also advised that ACF will [not]{.underline}
> accept declarations based on child counts that were conducted [prior
> to]{.underline} July 1 of the previous year. For FY 2007 funding, the
> child count of children under age 13 must be completed **no later
> than** June 30, 2006, and **no earlier than** July 1, 2005.

**102-477 PLAN** The CCDF program may be incorporated into a P.L.
102-477 Plan that covers

**REQUIREMENTS** multi-year periods. If an applicant elects to include
CCDF in a consolidated 102-477

Plan, the following CCDF requirements [must]{.underline} 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 the
    102-477 Plan and the [results]{.underline} 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]{.underline}: If the CCDF Lead Agency changes during
    the approved Plan period, the grantee must submit a written
    notification of this change to the Department of Interior.

4.  A description of the **[results]{.underline}** 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 for Needy Families (TANF) agency and/or
    Tribal TANF agency---if the Tribe is operating its own TANF 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 statutory provisions, 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.

**PLAN WAIVERS** Section 7 of P.L. 102-477, as amended, authorizes the
Secretary of the Department of

Health 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 CCDBG Act of 1990, as
amended.

To obtain a waiver, the 102-477 Plan **must:**

-   Identify the specific statutory provision, regulation, policy or
    procedure;

-   Justify the need for the waiver; and

-   Explain what the Tribe will use to replace the existing statutory
    provision, 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.

**PLAN** ACF's approval is contingent on several factors, including:

**APPROVALS**

-   Receipt of Plans, and ACF's requested revisions, if applicable, in a
    timely fashion; and

-   Receipt of past year's CCDF program and financial reports
    (applicable only to those Tribes submitting initial 102-477 Plans).
    Specifically, ACF must be in receipt of the ACF-700 program data
    reporting form and the ACF-696T financial data reporting form for FY
    2005

> (e.g., October 1, 2004 -- September 30, 2005) [before]{.underline} ACF
> will grant approval to a Tribe's 102-477 Plan. ACF is unable to issue
> an approval to a pending 102-477 Plan unless [both]{.underline} data
> reports have been received by ACF.
>
> **SPECIAL [Individual Child Counts Required]{.underline}** -- 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]{.underline} Tribal member in a
> Tribal consortium. A Tribal consortium
>
> **CONSORTIA** must also provide a summary section listing each Tribal
> member's name and child
>
> count and the [total]{.underline} child count for all members.
>
> > Because of the statutory "Special Rule for Indian Tribes in Alaska"
> > under Tribal Mandatory Funding, some Alaska Native Regional
> > Non-profit 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
> > that 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]{.underline}** -- 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 2007
> CCDF funds, or if a current Tribal consortium member elects not to
> receive FY 2007 CCDF funds through that Tribal consortium---these
> changes must be conveyed to ACF in writing by the Tribal consortium.
> Alternately, if a member Tribe elects not to receive FY 2007 CCDF
> funds through a Tribal consortium, it is the Tribal consortium's
> responsibility to notify ACF of this change.

**EXEMPT VS.** ACF recognizes that a number of small CCDF grantees do
not have the necessary

**NON-EXEMPT** infrastructure to support certain CCDF requirements, such
as a certificate

**GRANTEE** program. Similarly, in many small rural communities child
care options are often

**STATUS** limited. Consequently, additional flexibility has been
provided for smaller Tribes and Tribal organizations by "exempting" 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 four 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 (e.g., center-based, group home, family and in-home
care).

> [Transition Period Moving into Non-Exempt Status]{.underline}
>
> 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. Therefore, if a Tribal Lead Agency's FY 2006
> allocation moved it into the non-exempt category, the Tribal Lead
> Agency must meet the non-exempt requirements by October 1, 2006.
> Please contact your ACF Regional Office if you have questions about
> exempt or non-exempt grantee status.

**FUNDING** ACF estimates that \$99,581,620 in FY 2007 CCDF funds will
be available for

**ESTIMATES AND** Tribal grantees on October 1, 2006 (\$41,241,620 in
Discretionary Funds and

**ALLOCATION** \$58,340,000 in Tribal Mandatory Funds).

**FORMULAS**

> Grants from [Discretionary Funds]{.underline} will include a base
> amount of \$20,000 plus a per-child amount (approximately \$57
> per-child) for each Tribe or Tribal consortium with a minimum of 50
> children. Grants from [Tribal Mandatory Funds]{.underline} are
> calculated solely on a per-child basis (approximately \$105 per-child)
> 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 2007 Tribal
Estimates Chart as a guide. A new applicant should use the base amount
plus approximately \$57 per-child to estimate its allotment for
Discretionary funding and should use approximately \$105 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]{.underline}: These amounts are provided for the purpose
of estimating the

> allotments that will become available on October 1, 2006, and may
> increase or
>
> decrease when updated data become available before the final grant
> awards
>
> are issued. The estimates reflect the Administration's FY 2007 budget
> request.

**DISCRETIONARY** The Administration's FY 2007 budget request includes
an earmark for school-

**EARMARK** age care and resource and referral activities. The FY 2007
Tribal Estimates Chart

> shows the estimated earmark requirement for FY 2007. 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 2007 Tribal Estimates Chart are estimates that may increase or
> decrease when final grant awards are issued.
>
> > [Note to Non-Exempt Tribal Lead Agencies]{.underline}: The earmarked
> > funds are to be used in addition to the "not less than four percent"
> > required to be spent on activities that improve the quality and
> > availability of child care.

**ADMINISTRATIVE** Tribal Lead Agencies are reminded that no more than
15 percent of the aggregate

**COSTS** 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]{.underline}: The Discretionary Funds base amount is neither
> subject to the 15 percent limitation, nor included in the calculation
> for the 15 percent limitation.

**CONSTRUCTION** In order to use CCDF funds for construction or major
renovation projects, all Tribes

**AND** receiving CCDF funds---including Tribes with approved 102-477
Plans---are required

**RENOVATION** to follow ACF's construction and renovation application
procedures (Program Instruction

**UNDER A** ACYF-PI-CC-04-01, dated January 23, 2004). This Program
Instruction is available

**102-477 PLAN** under the "Application & Plan" section of the Child
Care Bureau's Web site at

> [http://www.acf.hhs.gov/programs/ccb/policy1/triblist.htm]{.underline}.
> Early in the planning process, Tribes are advised to contact their
> appropriate ACF Regional Office. If a Tribe constructs or renovates
> more than one facility, it [must]{.underline} seek ACF approval for
> [each]{.underline} 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 Office of Indian Energy and Economic Development, Department of
the Interior,

no later than July 1, 2006. Any applications and plans postmarked after
that date will

not be accepted. Faxed copies will not be accepted.

**ELECTRONIC:** The required Child Count Declaration is available in
electronic format from ACF

**FORMAT** Regional Offices and under the "Application & Plan" section
of the Child Care

> Bureau's Web site at
> [http://www.acf.hhs.gov/programs/ccb/policy1/triblist.htm]{.underline}.

#### 

#### SUBMITTING THE The original and one copy of the An additional copy must

#### MATERIALS materials must be mailed [also be sent to the]{.underline}:

[or hand-delivered to the]{.underline}:

> U.S. Department of the Interior Tribal Child Care Technical Assistance
>
> Office of Indian Energy and Center (TriTAC) c/o
>
> Development Native American Management Services
>
> Division of Job Placement and CCDF 2007 Tribal Applications
>
> Training 6858 Old Dominion Drive, Suite 310  
>
> 1951 Constitution Ave, NW McLean, Virginia 22101

Mail Stop 18 SIB

Washington, D.C. 20240

> [Note]{.underline}: TriTAC is serving as a receipt point for
> applications and/or Plans only. ACF will conduct the review and
> approval of Tribal FY 2007 102-477 CCDF funding applications and/or
> Plans.

**TECHNICAL** Tribes should refer to the **"Preparation of Tribal Plans,
Pursuant to Public Law**

**ASSISTANCE** **102-477, PROPOSED GUIDANCE FOR TRIBAL GOVERNMENTS"** 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
> Jody Garrison at (202) 208-2685.
>
> Questions related to the CCDF program should be directed to the
> appropriate ACF
>
> Regional Office. For general inquiries about consolidating CCDF into a
>
> 102-477 Plan, please contact Ginny Gorman in ACF's Child Care Bureau
> at <ggorman@acf.hhs.gov> or (202) 401-7260.

**REPORTING** CCDF Tribal grantees with an approved 102-477 Plan will
receive their CCDF

**REQUIREMENTS** funding through the Department of the Interior.
Therefore, program and financial

> reporting of CCDF funds awarded under a 102-477 consolidated Plan will
> be made to
>
> the Department of the Interior. However, the expenditure and
> obligation of all CCDF
>
> funds awarded [prior]{.underline} to a 102-477 Plan approval will
> continue to be reported to ACF on
>
> the ACF-696T 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.

**OBLIGATION** Tribal Lead Agencies must [obligate]{.underline} FY 2007
Tribal Mandatory and Discretionary

**AND** Funds by September 30, 2008, and [liquidate]{.underline} all
funds by September 30, 2009.

**LIQUIDATION**

**PERIODS**

**AUDITS** Tribes that elect to consolidate their CCDF funds under a
102-477 Plan must follow the

> audit requirements established in the Office of Management and Budget
> (OMB) Circular A-133 "Audits of States, Local Governments and
> Non-Profit Organizations," pursuant to the Single Audit Act Amendments
> of 1996.

**PAPERWORK** An agency may not conduct or sponsor, and a person is not
required to

**REDUCTION ACT** 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

8/31/08.

/s/

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Joan E. Ohl

Commissioner

[Attachments]{.underline}:

A -- Child Count Declaration

B -- FY 2007 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