+-------------------+---------------------+---------------------------+
| ACF               | **U.S. DEPARTMENT   |                           |
|                   | OF HEALTH AND HUMAN |                           |
|                   | SERVICES**          |                           |
|                   |                     |                           |
|                   | **Administration on |                           |
|                   | Children, Youth and |                           |
|                   | Families**          |                           |
+-------------------+---------------------+---------------------------+
| Administration    | **1. Log No:**      | **2. Issuance Date:** May |
|                   | ACYF-PI-CC-05-04    | 5, 2005                   |
+-------------------+---------------------+---------------------------+
| For Children      | **3. Originating    |                           |
|                   | Office:** Child     |                           |
|                   | Care Bureau         |                           |
+-------------------+---------------------+---------------------------+
| And Families      | **4. Key Words:**   |                           |
|                   | Child Care and      |                           |
|                   | Development Fund    |                           |
|                   | (CCDF) Fiscal Year  |                           |
|                   | 2006 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
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 Act of 1990 (CCDBG) 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 Self
Governance and Self Determination, 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]{.underline} -- funding that is provided under
    the Child Care and Development Block Grant Act, 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 Nonprofit Corporations are eligible to receive
> Tribal Mandatory Funds. New tribal applicants in Alaska should contact
> 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); and 2)
Have submitted a consolidated 102-477 plan to the Office of Self
Governance and Self Determination, 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

**Application** FY 2006 CCDF funds. By submitting a signed Child Count
Declaration, the Tribe is

**Requirement:** making application for FY 2006 CCDF funds, according to
the estimated allocation for the Tribe on the FY 2006 Tribal Estimates
Chart (Attachment B).

> By applying for FY 2006 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 2006 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 2006, 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
2006 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 at Attachment A. 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 A) must be submitted to
> the
>
> Office of Self Governance and Self Determination, Department of the
> Interior, by
>
> July 1, 2005 (Attachment C).
>
> **[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 2006 funding, the
> child count of children under age 13 must be completed **no later
> than** June 30, 2005 and **no earlier than** July 1, 2004.

**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 BIA.

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 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

Heath 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.

> **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 must
>
> **Consortia:** 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 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
>
> > (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 2006 CCDF
> funds, or if a current tribal consortium member elects not to receive
> FY 2006 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 2006 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 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]{.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 2005
> allocation moved it into the non-exempt category, the Tribal Lead
> Agency must meet the non-exempt requirements by October 1, 2005.
> Please contact your ACF Regional Office (Attachment C) if you have
> questions about exempt or non-exempt grantee status.

**Funding** ACF estimates that \$\$95,998,200 in FY 2006 CCDF funds will
be available

**Estimates and** for tribal grantees on October 1, 2005 (\$41,658,200
in Discretionary

**Allocation** Funds and \$54,340,000 in Tribal Mandatory Funds).

**Formulas:**

Grants from [Discretionary Funds]{.underline} will include a base amount
of \$20,000 plus a

per-child amount (approximately \$56 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 \$96
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 2005 Tribal
Estimates Chart (See Attachment B) as a guide. A new applicant should
use the base amount plus approximately \$56 per-child to estimate its
allotment for Discretionary funding, and should use approximately \$96
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, 2005 and may
> increase or
>
> decrease when updated data become available before the final grant
> awards are
>
> issued. The estimates reflect the Administration's FY 2006 budget
> request.

**Discretionary** The Administration's FY 2006 budget request includes
an earmark for school-

**Earmark:** age care and resource and referral activities. The FY 2006
Tribal Estimates

Chart (Attachment B) shows the estimated earmark requirement for FY
2006.

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 2006 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 earmarked
> funds are to be
>
> used in addition to the "not less than 4 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 Renovation** receiving CCDF funds \-- including Tribes with
approved 102-477 plans - - are required

**Under a** to follow ACF\'s construction and renovation application
procedures (Program Instruction

**102-477 Plan:** ACYF-PI-CC-04-01, dated January 23, 2004). This
Program Instruction is available

under the "Application and Plan" section of the Child Care Bureau's
website at:

<http://www.acf.dhhs.gov/programs/ccb/policy1/triblist.htm>. Early in
the planning process,

Tribes are advised to contact their appropriate ACF Regional Office
(Attachment C). 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 Self Governance and Self Determination, Department of
the Interior.

no later than July 1, 2005. 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, and under the "Application and Plan" section of the
Child Care

Bureau's website at:
<http://www.acf.dhhs.gov/programs/ccb/policy1/triblist.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}:

> Department of the Interior, Office of ACYF Operations Center
>
> Self Governance and Self Determination c/o The Dixon Group, Inc.
>
> Office of Economic Development CCDF 2006 Tribal Applications
>
> Division of Job Placement and Training 118 Q Street, N.E.,
>
> 1849 C Street, NW Washington, DC 20002-2132    

Mail Stop 4063 MIB

Washington, D.C. 20240

**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 (Attachment C). For general inquires
> about consolidating CCDF into a 102-477 plan, you may also contact
> ACF's Child Care Bureau at: (202) 690-6782.

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

**Requirements:** funding through the BIA. Therefore, program and
financial reporting of CCDF funds

> awarded under a 102-477 consolidated plan will be made to the BIA.
> However, the
>
> expenditure and obligation of all CCDF funds awarded
> [prior]{.underline} to a 102-477 plan approval
>
> will continue to be reported to ACF on the ACF-696-T financial
> reporting form. Similarly,
>
> program data on CCDF funds awarded prior to a 102-477 plan approval
> must be
>
> reported on the ACF-700 data reporting form.

**Obligation and** Tribal Lead Agencies must [obligate]{.underline} FY
2006 Tribal Mandatory and Discretionary

**Liquidation Periods** Funds by September 30, 2007 and
[liquidate]{.underline} all funds by September 30, 2008.

**Audits**: Tribes that elect to consolidate their CCDF funds under a
102-477 plan 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** 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

> June 30, 2005. ACF is requesting an extension of this information
> collection
>
> with no changes. Since the authority to collect information under OMB
> number
>
> 0970-0198 is extended during the OMB review process, Tribal Lead
> Agencies
>
> are required to submit the application and/or plan information
> requested in this
>
> Program Instruction for FY 2006 CCDF funding purposes

Joan E. Ohl

Commissioner

[Attachments]{.underline}:

A - Child Count Declaration

B - FY 2006 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