Program Instruction: ACYF-PI-CC-97-03 |
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Administration |
Administration on Children, Youth and Families |
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| 1. Log No. ACYF-PI-CC-97-03 | 2. Issuance Date: May 13, 1997 | |
| 3. Originating Office: Child Care Bureau | ||
| 4. Key Word: Child Care and Development Fund Plan, Indian Tribes, Tribal Consortia | ||
| Child Care and Development Fund Tribal Plan Preprint | ||
To
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Tribal Lead Agencies administering child care programs under the Child
Care and Development Block Grant Act of 1990 as amended, and other
interested parties.
Purpose
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This Program Instruction (PI):
- Conveys a new Plan preprint for services under the Child Care and Development Fund (CCDF); and
- Provides guidance for completing and submitting the Plan.
References
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Section 418 of the Social Security Act; The Child Care and Development
Block Grant Act of 1990 as amended. 45 CFR Parts 98 and 99.
Background
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Recent amendments to the Child Care Development Block Grant Act and
title IV-A of the Social Security Act necessitate a new Plan for CCDF
services and activities. We based this new Plan on the Child Care
Development Block Grant Plan used in the past, but we:
- Created a separate Plan preprint for Tribes;
- Deleted sections no longer required by the statutes;
- Simplified the remaining sections and their overall format;
- Removed sections that our experience indicates need not be monitored through the Plan; and
- Reorganized the overall structure of the Plan to give a better sense of an integrated child care system.
Eligibility
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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 13 years of age (or such similar age, as
determined by the Secretary from the best available data).
- Consist of Tribes which meet the eligibility requirements for
the CCDF program or which 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.
- 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 Island Association;
- Chugachmuit;
- Tlingit and Haida Central Council;
- Kodiak Area Native Association; and
- Copper River Native Association.
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:
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:
Exempt and Non-Exempt Tribal Grantees:
Until new regulations are issued to implement the new law, Tribes that were previously exempt under regulations at 45 CFR 98.83(f) continue to be exempt. Grantees that received FY 1996 funds of less than $295,000 are determined to be "exempt" grantees. Grantees that received FY 1996 funds of more than $295,000 are determined to be "non-exempt" grantees. Exempt grantees are not required to have a certificate program, or to give priority to children of families with very low income.
During this interim period, all tribal grantees must spend at least 63.75 percent of their total per-child amount of CCDF funds on direct child care services as provided in 45 CFR 98.83(g) and (h). The remaining 36.25 percent may be used for child care services, activities to improve the availability and quality of child care, and administrative costs. While this policy previously applied only to exempt Tribes, we are extending it to apply to all Tribes during this interim period since the law is silent on such requirements for Tribes. We urge Tribes to spend prudently on administrative costs, and we intend to regulate on this issue. The base amount, provided under the Discretionary Funds, may be used for any activity which is consistent with the purposes of the CCDF.
Funding Estimates and Funding Allocation Formulas:
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ACF estimates the following amounts will be available for tribal grantees
on October 1, 1997 (Federal fiscal year (FFY) 1998): $20,000,000 in
Discretionary Funds and $41,340,000 in Tribal Mandatory Funds.
Discretionary Funds will continue to include a base amount of $20,000 plus approximately $51 per child for each Tribe or tribal consortium with a minimum of 50 children. Tribal Mandatory Funds are calculated solely on a per-child basis and do not include a base amount. Since the per-child amount depends upon the total number of children in all participating Tribes, ACF cannot calculate in advance the exact per-child amount. A new applicant should use the base amount plus approximately $51 per child to estimate its allotment for Discretionary funding.
Tribes and tribal organizations should use the Tribal Allocation Chart (See Attachment A) as a guide in preparing the budget for the CCDF application. A new applicant should use the base amount plus approximately $51 per child to estimate its allotment for Discretionary 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.
Note: These amounts are provided for the purpose of estimating the allotments that will become available on October 1, 1997 and may increase or decrease when updated data becomes available before the final grant awards are issued.
Effective Dates
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This Program Instruction is effective on issuance. Plans must be submitted
for ACF review by July 1, 1997. Plans, when approved by the ACF Regional
Administrator, are effective no earlier than October 1, 1997.
The Plan in an electronic format
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To assist Lead Agencies in completing the Plan, the preprint is available
in word processing format (WordPerfect®, version 5.1) format from
their ACF Regional Office.
Completing the Plan
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This Plan is based on the Child Care Development Block Grant Act,
as amended, and those regulations which we believe have not been impacted
by the recent amendments to the Act. This Plan does not reflect
regulatory policies that ACF may propose as a result of the amendments.
When final regulations incorporating the amendments to the Act are
published some Plan pages will be modified and need to be resubmitted
to ACF.
Completion of most of the Plan is self-explanatory. When necessary, we have provided additional guidance or instructions in the attachment.
Public review
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This Plan, must reflect the integration of child care services envisioned
by the enactment of the Personal Responsibility and Work Opportunity
Reconciliation Act of 1996. The Plan is subject to a hearing pursuant
to section 658D(b)(1)(C) of the Child Care Development Block Grant
Act. The hearing for this Plan must have been held after August 22,
1996 (the date the amendments to the Child Care Development Block
Grant Act became law).
Lead Agencies are advised that the public hearing is not held for the purposes of "approving" the Plan as it will be submitted to ACF, but rather to solicit public comment and input into the services which will be provided through the CCDF. The Plan that is submitted to ACF must, however, reflect the program that will be conducted and must include the changes that result from the input received during the public hearing, if any. For monitoring purposes, the Lead Agency is advised to retain a copy of the draft Plan that it made available for public comment.
Amending the Plan
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Substantive changes to the CCDF program, after the Plan is approved
by ACF, must be reflected by amending the Plan per 45 CFR 98.16(b).
The attached Plan includes a simplified "Amendments Log"
page which replaces the form FSA-4596. Changes to the program do not
require advance ACF approval.
Public Law 102-477 Option
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The "Indian Employment, Training and Related Services Demonstration
Act of 1992" (P.L. 102-477) permits tribal governments to consolidate
a number of Federal programs to integrate their federally funded employment,
training, and related services programs into a single, coordinated
comprehensive program. The CCDF is one of the programs that can be
consolidated under P.L. 102-477. The instructions contained in this
Program Instruction and the plan preprint process do not apply
to those Tribes and tribal organizations that apply to have CCDF funds
consolidated under P.L. 102-477. A separate Program Instruction containing
102-477 application and plan requirements will be issued simultaneously
and mailed with this Program Instruction.
Where to send the Plan
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Submit copies of the Plan to each of the following:
1 Copy to:
ACF Regional Office
(see Attachment B)
2 Copies to:
Child Care Bureau
HHS Building - Rm. 320F
200 Independence Ave. S.W.
Washington, D.C. 20201
The Plan may be submitted electronically. Contact your ACF Regional Contact for details.
Inquiries
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All inquiries should be directed to the ACF Regional Administrator.
Attachments
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Attachment A - Tribal Allocation Chart
Attachment B - List of ACF Regional Administrators
/s/
Joan Lombardi
Associate Associate Commissioner
Child Care Bureau
GUIDANCE FOR COMPLETING THE PLAN
Part 1:
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Tribal grantees must designate a Lead Agency to administer the CCDF.
If a tribal grantee applies for both Tribal Mandatory Funds and Discretionary
funds, the programs must be integrated and administered by the same
Lead Agency.
Tribal Consortia
If a Tribe participating in a consortium arrangement elects to receive only part of the CCDF (e.g., Discretionary Funds), it may not join a different consortium to receive the other part of the CCDF (Tribal Mandatory Funds), or apply as a direct grantee to receive the other part of the fund. In this situation, individual tribal consortium members must remain with the consortium they have selected for the fiscal year in which they are receiving any part of CCDF funds. (However, an Alaska Native village that must receive Tribal Mandatory Funds indirectly through an Alaska Native Regional Nonprofit Corporation may still apply directly for Discretionary Funds).
1.1 - 1.4
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The purpose of questions 1.1 - 1.4 is to provide the public with an
indication of the magnitude of funding available for child care and
related activities through the CCDF. The amounts provided in response
to these questions are informational only and will not be subject
to compliance actions, nor will ACF distribute funds based on these
estimates. Pursuant to section 658K(a)(1) of the Act, information
on the actual use of funds must be provided to ACF on other designated
financial management forms and reports.
Estimates are for the one year period 10/1/97 -- 9/30/98 even though the Plan covers a 2 year period. Collecting this information in the Plan replaces the need to collect it in a separate application at this time.
1.1
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In question 1.1 the Lead Agency estimates the total amounts that will
be available for CCDF child care services and related activities from
the Federal CCDF, i.e., the Discretionary Fund and Tribal Mandatory
Fund (including CCDF funds used for administration, quality and construction
and renovation activities). This estimate does not include
any carry-over funds from previous fiscal years.
Note: before responding to 1.3 and 1.4, subtract the estimated amount for construction and renovation activities (if any) provided in 1.2 from the total CCDF estimate at 1.1. Estimates requested in 1.3 and 1.4 are based on this adjusted CCDF estimate (less construction or renovation estimates).
1.3
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In question 1.3 the Lead Agency estimates the amount (or percentage)
that will be used to administer all services and activities under
the CCDF.
1.4
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In question 1.4 the Lead Agency estimates the amount (or percentage)
that will be used on quality activities under the CCDF.
1.6
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A tribal consortium is not considered a non-governmental entity for
purposes of this section. However, if a tribal consortium delegates
responsibility for administering or implementing any part of its CCDF
program to another organization or entity, answer "yes"
to this question.
1.8
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A tribal consortium must provide a list of its participating Tribes
in this section. In addition, a tribal consortium must provide that
it has the authority to seek funding on behalf of its constituent
Tribes. "Demonstrations" of this authority must be provided
for each individual consortium member in the 2-year plan. It is the
responsibility of a tribal consortium to notify ACF, in writing, of
any changes in its consortium membership for purposes of CCDF funding
during this 2-year period.
1.9
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A Tribe must submit a declaration, signed by the governing body of
the Tribe or an individual authorized to act for the applicant Tribe
or organization, which certifies the number of Indian children, as
defined in Appendix 2, #2, under age 16, who reside on or near the
reservation or other tribal service area (as defined in Appendix 2,
#3).
A tribal consortium must submit individual 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.
Note: Because of the statutory "Special Rule for Indian Tribes in Alaska" under Tribal Mandatory Funding (see Eligibility Section), 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, which is requested as an attachment under 1.9.
A Tribe is not required to conduct a special count to obtain a child count number for funding that becomes available in FY 1998. Tribes may submit their most recent child count of such children. If a Tribe chooses to conduct a special count, it must be completed by the July 1 plan due date and submitted with the CCDF plan.
For the allocation of funds that become available in FY 1998, ACF will allow children under age 16 to be counted in order to provide flexibility in the type of data used to derive this number. If an application is submitted without a child count declaration, ACF will calculate the Tribe's grant award for funds that become available in FY 1998 using the same number of children used to determine the FY 1996 grant award.
Beginning with funds that become available in FY 1999, child count declarations will include children under age 13, in conformance with the Child Care Development Block Grant statute. Tribes will have to provide this information through a Plan Amendment to their approved 2-year plan.
A child count declaration is included as Attachment .
Part 2:
2.2
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The Lead Agency must describe how it coordinates the delivery of services
with other tribal, Federal, State, and local child care, early childhood
development programs, and before- and after-school care services.
Child care should be an integral part of a Tribe's self-sufficiency and workforce development efforts. In addition, the quality of child care benefits greatly from close coordination with the public health and education communities. Therefore, it is recommended that the Lead Agency include in this section a description of its coordination activities with agencies responsible for health (including the agency responsible for immunizations), education, employment services or workforce development, and the State agency responsible for providing Temporary Assistance to Needy Families (TANF) (or tribal agency, if the Tribe is operating its own Temporary Assistance to Needy Families program).
2.3
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The required hearing must be held before the Plan is submitted
to ACF.
Part 3:
3.1.1
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Examples of child care services include, but are not limited to: full
day child care; early childhood development; and before- and after-school
care. Examples of providers include: center-based child care providers;
group home child care providers; family child care providers; in-home
child care providers; or other providers of child care services for
compensation which meet specified licensing and regulatory requirements.
3.1.3
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The Lead Agency is not required to offer CCDF services throughout
the entire reservation or service area (as defined in Appendix 2,
#3). Nor must the same services be offered throughout the entire reservation
or service area. If all services are not offered throughout
the area defined in Appendix 2, #3, indicate which services are not
available and the area where the services are not offered.
3.2
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The current regulations at 45 CFR 98.43 are impacted by the amendments
to the Act. For example, the requirements that variations within a
category of care may not vary by more than 10% -- and then only if
based on a "methodologically sound system" -- appear not
to apply now. Grantees should be guided by their understanding of
the amended Act which requires them to provide a summary of the facts
relied upon to ensure that payment rates ensure equal access to comparable
care for children with subsidies.
If the facts upon which the payment rates were established include a market survey or sample, indicate the date the survey/sample was conducted.
3.4.3
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Describe how the Tribe is addressing the needs of these families through
its CCDF program funds. Indicate if the Tribe operates its own tribal
work programs and/or its own Temporary Assistance to Needy Families
program.
3.5.3
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The 1997 HHS Poverty Guideline for the 48 contiguous States and the
District of Columbia is for a family of 1 = $7,890. Add $2,720 for
each additional family member (e.g., family of 3 = $13,330. In Alaska
a family of 1 = $9,870. Add $ 3,400 for each additional family member
(e.g., family of 3 = $16,670).
The Lead Agency need not use the 1997 Guidelines, but must indicate the poverty level it is using if it elects to waive the required fee. If all families must pay a fee indicate "N/A" for the amount.
Part 5:
5.1
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The list provided reflects the options Lead Agencies have selected
in the past. It is not intended to be all inclusive nor is it intended
to exclude other services or activities that meet the intent of the
Act. The Lead Agency may include other services or activities not
on the list by indicating "Yes" in the last selection. All
activities and services must be described in 5.2.
Part 6:
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The three health and safety requirements must be described separately
by category of care. The requirements for all care, whether licensed,
regulated, or otherwise legal, that is paid for with CCDF funds must
be described.
NOTE: A new section of the Child Care Development Block Grant Act (¤658E(c)(2)(E)(ii)) requires the development of minimum child care standards for Indian Tribes and tribal organizations. Until a process is developed, Tribes must have in place 1) requirements designed to protect the health and safety of children, (in accordance with ¤98.41 of the regulations, as referenced above); and 2) State or tribal licensing requirements, in accordance with ¤98.40.
6.5
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The Lead Agency has the option to exempt only those relatives
specifically mentioned in the Act from its health and safety requirements
-- the Lead Agency is not required to exempt them. The Lead
Agency should indicate the policy it follows regarding relative providers.
If relative providers are subject to different requirements than apply
to licensed providers, please describe the requirements that do apply.
Appendix 2
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The Lead Agency must complete the required definitions in Appendix
2, and include any special terms that are used.
(2) Indian Child - Tribal Lead Agencies have broad latitude in defining this term. Since the definition is used to determine eligibility, it can be used to limit or expand eligibility. Note: The certified child count described in Part 1.8 must reflect this definition. For example, if a Tribe chooses to serve only its members, the child count declaration should only include that Tribe's children, and not a count of all Indian children on the reservation or in the service area (as defined in #3, below).
(3) Indian Reservation or Service Area - Tribal Lead Agencies must define the area in which services will be offered. Examples include: reservation boundaries; on or near the reservation; or some other area determined by the Tribal Lead Agency. Note: The certified child count described in Part 1.8 must reflect this definition.
(7) Protective Services - The definition of protective services must include foster care and respite care if the Lead Agency proposes to provide CCDF-funded child care in those circumstances. Respite care is available for the parents of children in protective services only for short, temporary periods. A Lead Agency that intends to include respite care must explain the circumstances under which respite care is offered.
Appendix 3
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The certifications in Appendix 3 must be completed and submitted with
the Plan. These certifications must also be completed again at the
beginning of the 2nd year of the program period, i.e., October 1,
1998 and submitted at that time. The Lead Agency may wish to make
copies of these certifications before completing them the first time.
ACF will remind Lead Agencies when these certifications need to be
submitted again.