------------------ -------------------------- --------------------------
  ACF                **U.S. DEPARTMENT OF       
                     HEALTH AND HUMAN           
                     SERVICES**                 

  Administration     **1. Log No:**             **2. Issuance Date:** May
                     CCDF-ACF-PI-2008-03        27, 2008

  For Children       **3. Originating Office:** 
                     Child Care Bureau, Office  
                     of Family Assistance       

  And Families       **4. Key Words:** Child    
                     Care and Development Fund  
                     (CCDF) Fiscal Year 2009    
                     Funding; Application and   
                     Plan Requirements to       
                     Consolidate CCDF Under a   
                     102-477 Indian Employment, 
                     Training and Related       
                     Services Plan              
  ------------------ -------------------------- --------------------------

**CHILD CARE AND DEVELOPMENT FUND**

##  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:** The Child Care and Development Block Grant Act of 1990
(CCDBG) as amended; section 418 of the Social Security Act; 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 U.S. Department of the
Interior (DOI). 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]{.underline} -- funding that is provided under
    the Child Care and Development Block Grant Act, as amended; and

```{=html}
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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,
including the obligation and liquidation periods at 45 CFR 98.60(e).
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 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.

**The 102-477** To receive CCDF funding under a consolidated 102-477
plan, all Tribal grantees

**Process:** 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 the 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 C) must
be submitted to receive

**Application** fiscal year (FY) 2009 CCDF funds. By submitting a signed
Child Count **Requirement:** Declaration, the Tribe is making
application for FY 2009 CCDF funds.

> By applying for FY 2009 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 2009 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 2009, 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
2009 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 as Attachment C. 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]{.underline} a Child Count
> Declaration will be treated as an
>
> incomplete application. Therefore, to facilitate the approval process,
> a signed,
>
> completed Child Count Declaration (Attachment C) must be submitted to
> the
>
> U.S. Department of the Interior, by July 1, 2008.
>
> **[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 Child Care and Development Block Grant Act's
> definition of 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 2009 funding, the
> child count of children under age 13 must be completed **no later
> than** June 30, 2008, and **no earlier than** July 1, 2007.

**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 members
    of the tribal community (or communities 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 the payment rates for child care services that ensure
    eligible children equal access to comparable care [and]{.underline}
    a summary of the facts relied on by the Tribal Lead Agency to
    determine that the attached rates are sufficient to ensure equal
    access to comparable child care services provided to children whose
    parents are not eligible to receive child care assistance under the
    CCDF and other governmental programs. At a minimum the Tribal Lead
    Agency must: 1) include the date of the local market rate
    survey(s); 2) describe how the payment rates are adequate to ensure
    equal access based on the results of the required local market rate
    survey (i.e., the relationship between the attached payment rates
    and the market rates observed in the survey); 3) indicate if the
    payment rates are based on the State survey(s): and 4) Non-Exempt
    Tribes must explain how the choice of the full range of providers is
    made available to parents if the payment rates do [not]{.underline}
    reflect individual rates for the full range of providers \--
    center-based, group home, family and in-home care.
    [NOTE]{.underline}: A Tribal Lead Agency [may]{.underline} base its
    payment rates on the State's market rate survey rather than
    conducting its own survey [if]{.underline} the Tribe's reservation
    or Tribal service area is included in the State's survey.

7.  Indicate if the Tribe's definition of Grantee Median Income (GMI) is
    based on Tribal Median Income [or]{.underline} State Median Income
    [and]{.underline} complete column (a) of the matrix below. Complete
    column (b) below ONLY if the Tribal Lead Agency is using income
    eligibility limits lower than 85% of GMI.

+------------+------------------------+-------------------------------+
| ** **      | **(a)**                | **(b)**                       |
|            |                        |                               |
| ** **      | **85% of Grantee       | **Income Level,\              |
|            | Median Income (GMI)\   | lower than 85%\               |
| **Family   | (\$/month)**           | GMI, if used to\              |
| Size**     |                        | limit eligibility\            |
|            |                        | (\$/month)**                  |
+------------+------------------------+-------------------------------+
| **1**      | ** **                  |                               |
+------------+------------------------+-------------------------------+
| **2**      | ** **                  |                               |
+------------+------------------------+-------------------------------+
| **3**      | ** **                  |                               |
+------------+------------------------+-------------------------------+
| **4**      | ** **                  |                               |
+------------+------------------------+-------------------------------+
| **5**      | ** **                  |                               |
+------------+------------------------+-------------------------------+

 

8.  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. \[Note: A Tribe cannot use Federal CCDF dollars
    to pay the parental contribution (co-payment) on behalf of an Indian
    family who is receiving a CCDF subsidy from a State or Tribe.

9.  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.

10. Any statutory provisions, regulations, policies, or procedures that
    the Tribe requests to be waived.

11. 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
Child Care

and Development Block Grant Act, 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 Approvals:** ACF's approval is contingent on several factors,
including:

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

-   Have no outstanding CCDF program (ACF-700) or financial (ACF-696-T)
    reports (applicable only to those Tribes submitting initial 102-477
    plans).

> **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
>
> > (Attachment A).
>
> **[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 2009 CCDF
> funds, or if a current Tribal consortium member elects not to receive
> FY 2009 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 2009 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

**Non-Exempt** necessary infrastructure to support certain CCDF
requirements, such as a

**Grantee Status:** 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 "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 (i.e.,
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 2008
> allocation moved it into the non-exempt category, the Tribal Lead
> Agency must meet the non-exempt requirements by October 1, 2008.
> Please contact your ACF Regional Office (Attachment A) if you have
> questions about exempt or non-exempt grantee status.

**Funding** ACF estimates that \$99,581,617 in FY 2009 CCDF funds will
be available

**Estimates and** for tribal grantees starting October 1, 2008
(\$41,241,617 in Discretionary

**Allocation** Funds and \$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 \$53 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 \$97 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 2009 Tribal
Estimates Chart (See Attachment B) as a guide. A new applicant should
use the base amount plus approximately \$53 per child to estimate its
allotment for Discretionary funding, and should use approximately \$97
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 beginning October 1, 2008 and may
increase or decrease when updated data become available before the final
grant awards are issued. The estimates reflect the Administration's FY
2009 budget request.

**Discretionary** The Administration's FY 2009 budget request includes
targeted funds for school-

**Targeted Funds:** age care and resource and referral activities. The
FY 2009 Tribal Estimates

Chart (Attachment B) shows the estimated targeted funds requirement for

FY 2009. The column labeled Discretionary Targeted Funds shows the
estimated amount that must be spent on resource and referral activities
and/or school-age care. The column labeled Discretionary Excluding
Targeted Funds is the amount of Discretionary Funds remaining (other
than targeted funds) that can be spent on any allowable CCDF activities
(assuming quality expenditure, administrative cost, and other Federal
requirements are met). The amount of targeted funds for resource and
referral activities and school-age care is based on a \$500 amount per
Tribe plus a per child amount. All amounts in the FY 2009 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]{.underline}: The targeted
> 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

**and Renovation** Tribes receiving CCDF funds \-- including Tribes with
approved 102-477 plans -- **Under a** are required to follow ACF\'s
construction and renovation application procedures **102-477 Plan:**
(Program Instruction CCDF-ACF-PI-2007-03). This Program Instruction is

> available on the Child Care Bureau's website at:
> <http://www.acf.hhs.gov/programs/ccb/law/tribal_topic_construction.htm>.
> 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]{.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 U.S. Department of the Interior no later than July 1,
2008. 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 (see Attachment A) on the Child Care Bureau's website
at:
<http://www.acf.hhs.gov/programs/ccb/law/tribal_topic_application.htm>**.**

#### Submitting the The original and 1 copy of the 

#### Materials: materials must be mailed An additional copy must 

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

> U.S. Department of the Interior, Office of Tribal Technical Assistance
> Center
>
> Indian Energy and Economic Development c/o Native American Management
>
> Division of Workforce Development Services, Inc.
>
> 1951 Constitution Ave., NW re: CCDF 2009 Application
>
> Mail Stop 20 SIB 12110 Sunset Hills Road, Suite 450    

Washington, DC 20240 Reston, VA 20190

> [Note]{.underline}: ACF's Tribal Child Care Technical Assistance
> Center (TriTAC) is only serving as a receipt point for materials. ACF
> will conduct the review and approval of Tribal FY 2009 CCDF funding
> applications and/or plans.

**Reporting** CCDF Tribal grantees with an approved 102-477 plan will
receive their CCDF

**Requirements:** funding through the DOI. Therefore, program and
financial reporting of CCDF funds awarded under a 102-477 consolidated
plan will be made to the DOI. 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 and** Tribal Lead Agencies must [obligate]{.underline} FY
2009 Tribal Mandatory and Discretionary

**Liquidation Periods** Funds by September 30, 2010 and
[liquidate]{.underline} all funds by September 30, 2011 (with the
exception of any FY 2009 CCDF funds approved by ACF for construction or
major renovation, which must be obligated and liquidated by September
30, 2011).

**Reallotted** 102-477 Lead Agencies are required to notify ACF by April
1, 2009 if they will be **Discretionary** unable to obligate any portion
of their FY 2008 CCDF Discretionary Funds

**Funds:** allotment by September 30, 2009. In accordance with 45 CFR
98.64(d), any

> portion of a Tribe's allotment of Discretionary Funds that is not
> required to carry out its plan, in the period for which the allotment
> is made available, shall be realloted to other tribal grantees in
> proportion to their original allotments.
>
> If the total amount available for reallotment from all tribal CCDF
> grantees is [\$25,000 or more]{.underline}, funds will be reallotted
> to other tribal grantees. If the total available is [less than
> \$25,000]{.underline}, no reallotment will take place, and funds will
> revert to the Federal government. If an individual reallotment amount
> to a Tribe is less than \$500, a reallotment award will not be issued
> to that Tribe.  If a tribal CCDF grantee does [not]{.underline} submit
> a reallotment report by the April deadline, a determination will be
> made that no funds are available for reallotment. Any funds reported
> to be available for reallotment after the April deadline shall revert
> to the Federal government.
>
> **Application Process to Receive Reallotted Funds**
>
> Should FY 2008 Discretionary Funds become available for reallotment,
> the 102-477 Tribal Lead Agency must inform ACF whether or not it would
> like to receive these funds by checking either "Yes" or "No" in the
> "Request for FY 2008 Reallotted Tribal Discretionary Funds" box on
> Attachment C.

**CCDF Withdrawal** If a Tribe decides to withdraw CCDF from an approved
102-477 plan, the Tribal **from 102-477 Plan** Chair must submit a
letter to the 102-477 Lead Agency at the U.S. Department of

> Interior (with a copy to the Child Care Bureau). The letter must
> indicate that the Tribe has decided to withdraw its CCDF funds from
> its existing 102-477 plan, and it must specify the Tribe's approved
> 102-477 plan period.  Please note that the withdrawal will become
> effective no sooner than the beginning of the following fiscal year. 
> In order to directly receive CCDF funding outside of 102-477 in fiscal
> year 2009, a Tribe must submit the required letter from the Tribal
> Chair (described above), as well as a completed CCDF tribal plan
> preprint, no later than July 1, 2008 (see:
> <http://www.acf.hhs.gov/programs/ccb/law/guidance/current/pi2007-01/tribal_preprint_2008.htm>). If
> approved, the new CCDF plan will cover a one-year period of October 1,
> 2008 to September 30, 2009 (consistent with the current plan period
> for all CCDF tribal plans which extends through September 30, 2009). 
> CCDF will remain as part of the Tribe's approved 102-477 plan until
>
> October 1, 2008.

**Audits**: As indicated at 45 CFR 98.65, each CCDF Lead Agency is
subject to audit requirements in accordance with Office of Management
and Budget (OMB) Circular A-133 and the Single Audit Act Amendments of
1996.  Tribes that consolidate CCDF under P.L. 102-477 will be audited
based on requirements in the A-133 Compliance Supplement for the Child
Care and Development Block Grant (CFDA 93.575) and Child Care Mandatory
and Matching Funds of the Child Care and Development Fund (CFDA 93.596).

**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

> August 31, 2008.

**Inquiries:** Questions related to the CCDF program should be directed
to the appropriate ACF Regional Office (Attachment A). For questions
about completing a consolidated 102-477 plan, please contact Jody
Garrison at (202) 208-2685 at the U.S. Department of the Interior,
Office of Indian Energy and Economic Development.

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ Sidonie
Squier

Director

Office of Family Assistance

[Attachments]{.underline}:

A - [ACF Regional Child Care Program Managers
List](http://www.acf.hhs.gov/programs/ccb/ta/raaddr/program_managers.htm)

B - [FY 2009 Tribal Estimates
Chart](http://www.acf.hhs.gov/programs/ccb/law/allocations/current/tribal2009/2009_estimated_allocations.htm)

C - Child Count Declaration

D - List of Assurances and Certifications

E - CCDF Statutory and Regulatory Requirements That Will Not Be Waived

**Attachment C**

**[CHILD COUNT DECLARATION]{.underline}**

Name of Tribal Lead Agency:
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

This certifies that the number of Indian children under age 13 (as
defined in the CCDF section of the 102-477 plan) who reside on or near
the reservation or service area (as defined in the CCDF section of the
102-477 plan) is: .

number

This count shows the number of Indian children under age 13 as of
\_\_\_\_\_\_\_\_\_. date

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

Signature of Individual Authorized to

Act for the Tribe

+-----------------------------------------------------------------------+
| **REQUEST FOR FY 2008 REALLOTTED TRIBAL DISCRETIONARY FUNDS**         |
|                                                                       |
| The Tribal Lead Agency named above requests FY 2008 Discretionary     |
| Funds that may be available through the reallotment process.          |
|                                                                       |
| \_\_\_\_\_\_\_YES \_\_\_\_\_\_\_ NO                                   |
+-----------------------------------------------------------------------+

**Attachment D**

**[Assurances and Certifications]{.underline}**

The applicant Tribe or tribal consortium assures that:

\(1\) Upon approval, it will have in effect a program that complies with
the provisions of the Plan printed herein, and is administered in
accordance with the Child Care and Development Block Grant Act of 1990,
as amended (the Act), Section 418 of the Social Security Act, and all
other applicable Federal laws and regulations. (658D(b) of the Act,
658E(a) of the Act, 45 C.F.R. 98.15(a)(1))

\(2\) The parent(s) of each eligible child within the Tribe or tribal
service area who receives or is offered child care services for which
financial assistance is provided is given the option either to enroll
such child with a child care provider that has a grant or contract for
the provision of the service or to receive a child care certificate.
(658E(c)(2)(A)(i) of the Act, 45 C.F.R. 98.2, 45 C.F.R. 98.30, 45 C.F.R.
98.15(a)(2)) **\[Exempt Tribal Lead Agencies are not required to operate
certificate programs.\]**

\(3\) In cases in which the parent(s) elect(s) to enroll the child with
a provider that has a grant or contract with the Lead Agency, the child
will be enrolled with the eligible provider selected by the parent to
the maximum extent practicable. (658E(c)(2)(A)(ii) of the Act, 45 C.F.R.
98.15(a)(3), 45 C.F.R. 98.30)

\(4\) The child care certificate offered to parents shall be of a value
commensurate with the subsidy value of child care services provided
under a grant or contract. (658E(c)(2)(A)(iii) of the Act, 45 C.F.R.
98.15(a)(4), 45 C.F.R. 98.30) **\[Exempt Tribal Lead Agencies are not
required to operate certificate programs.\]**

(5) The Tribe, or tribal consortium, will coordinate, to the maximum
    extent feasible, with the Lead Agency(ies) in the State(s) in which
    the child care programs or activities will be carried out. (45
    C.F.R. 98.12, 45 C.F.R. 98.14(a)&(b), 45 C.F.R. 98.81(b)(3)(i), 45
    C.F.R. 98.82)

\(6\) Tribal Child Care and Development Fund programs and activities
will be carried out for the benefit of Indian children on an Indian
reservation (except for Programs located in Alaska, California, or
Oklahoma). (45 C.F.R. 98.81(b)((3)(ii), 45 C.F.R. 98.83(b))

\(7\) With respect to State and local regulatory requirements (or tribal
regulatory requirements), health and safety requirements, payment rates,
and registration requirements, State or local (or tribal) rules,
procedures or other requirements promulgated for the purpose of the
Child Care and Development Fund will not significantly restrict parental
choice from among categories of care or types of providers.
((658E(c)(2)(A) of the Act, 45 C.F.R. 98.15(a)(5), 45 C.F.R. 98.15(p),
45 C.F.R. 98.30(e)&(f), 45 C.F.R. 98.40(b)(2), 45 C.F.R. 98.41(b), 45
C.F.R. 98.43(d), 45 C.F.R. 98.45(d))

**Page 2 - Assurances and Certifications**

The applicant Tribe or tribal consortium also certifies that:

\(1\) It has procedures in place to ensure that providers of child care
services for which assistance is provided under the Child Care and
Development Fund afford parents unlimited access to their children and
to the providers caring for their children during the normal hours of
operation and whenever such children are in the care of such providers.
(658E(c)(2)(B) of the Act, 45 C.F.R. 98.15(b)(1), 45 C.F.R. 98.31)

\(2\) It maintains a record of substantiated parental complaints and
makes information regarding such complaints available to the public on
request. (658E(c)(2)(C) of the Act, 45 C.F.R. 98.15(b)(2), 45 C.F.R.
98.32)

\(3\) It will collect and disseminate to parents of eligible children
and the general public, consumer education information that will promote
informed child care choices. (658E(c)(2)(D) of the Act, 45 C.F.R.
98.15(b)(3), 45 C.F.R. 98.33)

\(4\) There are in effect licensing requirements applicable to child
care services provided within the State (or area served by the tribal
Lead Agency), pursuant to 45 C.F.R. 98.40. (45 C.F.R. 98.15(b)(4), 45
C.F.R. 98.40)

\(5\) There are in effect, under tribal, local or State law,
requirements designed to protect the health and safety of children;
these requirements are applicable to child care providers that provide
services for which assistance is made available under the Child Care and
Development Fund. (658E(c)(2)(F) of the Act, 45 C.F.R. 98.15(b)(5), 45
C.F.R. 98.41)

(6) Procedures are in effect to ensure that child care providers that
    provide services for which assistance is provided under the Child
    Care and Development Fund comply with all applicable health and
    safety requirements. (658E(c)(2)(G) of the Act, 45 C.F.R.
    98.15(b)(6), 45 C.F.R. 98.41)

(7) Payment rates under the Child Care and Development Fund for the
    provision of child care services will be sufficient to ensure equal
    access for eligible children to comparable child care services in
    the Tribe or tribal service area that are provided to children whose
    parents are not eligible to receive assistance under this program or
    under any other Federal or State child care assistance programs.
    (658E(c)(4)(A) of the Act, 45 C.F.R. 98.15(b)(7), 45 C.F.R. 98.43)

(8) By the end of each three-year funding period (expenditure period for
    each Federal fiscal year's grant funding), the Tribe must have
    expenditures that are equal to grant funds received for that Fiscal
    Year. (45 C.F.R. 98.67(c))

# **Attachment E** 

**Statutory and Regulatory Requirements That Will Not be Waived**

The following are the CCDF statutory and regulatory requirements that
will not be waived under a consolidated 102-477 plan.

-   Grantees will coordinate, to the maximum extent feasible, with the
    Lead Agency(ies) in the State(s) in which the child care programs or
    activities will be carried out. (658O(c)(2)(A) of the Act, 45 C.F.R.
    98.12, 45 C.F.R. 98.14(a)&(b), 45 C.F.R. 98.81(b((3)(1), 45 C.F.R.
    98.82)

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-   Grantees must describe the results of the 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 TANF agency and/or
    tribal TANF agency -- if the Tribe is operating its own TANF
    program. (45 C.F.R. 98.14(a), 45 C.F.R. 98.16(d))

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-   With the exception of applicants located in Alaska, California, or
    Oklahoma, CCDF

> programs and activities will be carried out for the benefit of Indian
> children on Indian
>
> reservations. (658O(c)(2)(B) of the Act, 45 C.F.R. 98.81(b)(3)(ii), 45
> C.F.R. 98.83(b))

-   Applicants must demonstrate the administrative capability to
    successfully administer the proposed program in their initial plan.
    (658O(c)(3)(B) of the Act)

-   Grants and/or contracts are limited to a period of no more than 3
    years. (658O(c)(4) of the Act)

-   Funds may not be used for the purchase or improvement of land.
    (658F(b)(1) of the Act, 45 C.F.R. 98.54(b)(1))

-   Funds may not be used to pay for tuition or to contract for
    sectarian activities including worship or instruction. (658M of the
    Act, 45 C.F.R. 98.54(c)&(d))

-   Applicants must assure they will comply with provisions regarding a
    drug-free workplace, nondiscrimination, section 504 of the
    Rehabilitation Act of 1973, Education Amendments, and Age
    Discrimination Act of 1975, as amended at 45 CFR part 91. (45 C.F.R.
    98.13(b)(5))

> [Note]{.underline}: Since these certifications and assurances are
> required as part of the consolidated 102-477 plan, they [do
> not]{.underline} need to be submitted with the CCDF application.

-   At least one public hearing must be held by Tribes to allow for
    public comment. (45 C.F.R. 98.14(c))

## Page 2 - Statutory and Regulatory Requirements That Will Not be Waived

-   Grantees shall establish, and periodically revise a sliding fee
    scale(s) that provides for cost sharing by families, and is based on
    income and family size. Grantees may waive contributions and may
    apply different sliding fee scales. (658E(c)(5) of the Act, 45
    C.F.R. 98.42)

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-   There are in effect, under tribal, local or State law, requirements
    designed to protect the health and safety of children that are
    applicable to child care providers of services for which CCDF
    assistance is provided. These requirements shall include the
    prevention and control of infectious diseases (including
    immunizations); building and physical premises safety; and minimum
    health and safety training appropriate to the provider setting. (45
    C.F.R. 98.41(a))

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-   Grantees must submit a request to the Secretary of the Department of
    Health and Human Services, in accordance with uniform procedures, to
    use funds for construction and renovation purposes. Funds may not be
    used for construction or major renovation of child care facilities
    until the Tribe's 102-477 scope of work has been modified to allow
    for construction or major renovation. (658O(c)(6)(C) of the Act, 45
    C.F.R. 98.84(a)&(b))

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-   Grantees are not permitted to use amounts for construction or
    renovation purposes if such use will result in a decrease in the
    level of services provided by the grantee in the preceding fiscal
    year. (658O(c)(6)(C) of the Act, 45 C.F.R. 98.84(b)(3))

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-   Not more than 15 percent of the aggregate CCDF funds expended by a
    Tribal Lead Agency from each fiscal year (including amounts used for
    construction and renovation in accordance with 45 C.F.R. 98.84, but
    not including the base amount provided under 45 C.F.R. 98.83(e))
    shall be expended for administrative activities. Amounts used for
    construction and major renovation in accordance with 45 C.F.R. 98.84
    are not considered administrative costs. (45 C.F.R. 98.52(b), 45
    C.F.R. 98.83(g))

-   Grantees' fiscal and accounting procedures shall be sufficient to
    permit the preparation of required reports and the tracing of
    expenditures to a level of expenditure adequate to establish that
    such funds have not been used in violation of 45 C.F.R. 98
    Subpart G. (45 C.F.R. 98.67(c))