Guidance for Completing the Plan |
The examples used in this guidance are illustrative
only. They are not
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| Part 1: | 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. Note: 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 | The purpose of sections 1.1 - 1.4 is to provide the public with
an indication of the amount of funding available for child care
and related activities through the CCDF. The amounts provided
in response to these sections 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 10/1/99 -- 9/30/00 (FY 2000) even though the Plan covers a 2 year period. Collecting information on FY 2000 CCDF funds in the Plan replaces the need to collect it in a separate application. |
| 1.1 | In section 1.1 the Tribal Lead Agency estimates the total amounts that will be received in FY 2000 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. |
| 1.3 | In section 1.3 the Tribal Lead Agency estimates the amount (or
percentage) of CCDF funds awarded in FY 2000 that will be used
to administer all services and activities under the CCDF.
Tribal Lead Agencies are reminded that no more than 15 percent of the aggregate CCDF funds expended from each year's allotment may be used for administrative costs. Tribal Lead Agencies are advised to review the CCDF regulations at 45 CFR 98.52 for a discussion of administrative costs. Note: the base amount under the Discretionary Funds is not included in this calculation. |
| 1.4 | In section 1.4 the Tribal Lead Agency estimates the amount (or percentage) of CCDF funds awarded in FY 2000 that will be used on quality activities. |
| 1.6 | 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 non-governmental organization or entity, answer "yes" to this question. |
| 1.7 | Examples of how the Tribal Lead Agency can demonstrate that
it maintains overall control when services and activities are
provided through other agencies include:
A discussion of how frequently and in what manner the Tribal Lead Agency monitors the other agencies. Whether other agencies must certify that Tribal Lead Agency guidelines are followed. What benchmarks, performance indicators, or standards are applied to the other agency. A discussion of the contract process, including an indication of how often a contract is opened to new competition. Requirements specified in interagency agreements or memoranda of understanding. |
| 1.8 | A tribal consortium is required to 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 for the 10/1/99—9/30/01 plan period 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 | The self-certified child count declaration must be for children
under age 13 (rather than under age 16, as in
the past ). The declaration must certify the number of Indian
children (as defined in Appendix 2, #2 in the Tribal Lead Agency's
CCDF Plan), under age 13, who reside on or near the reservation
or service area (as defined in Appendix 2, #3 in the Tribal Lead
Agency's CCDF Plan).
The Tribal Lead Agency should use the "Child
Count Declaration" format at Appendix 3. Because of the statutory "Special Rule for Indian Tribes in Alaska" under Tribal Mandatory Funding, some Alaska Native Regional Nonprofit Corporations will have to provide a separate child count certification for Discretionary Funding purposes. This count will consist of its self-certified Tribal Mandatory Funding count, minus the child count number for any Alaska Tribal grantee in its Region which applies directly for Discretionary Funding. In instances where a Regional Corporation has separate child counts for Discretionary and Tribal Mandatory Funds, both counts may be reported on the declaration, which is requested as an attachment under 1.9. The Tribal Lead Agency may not count any children who are included in the child count of another CCDF Tribal Lead Agency. To ensure unduplicated child counts, a Tribal Lead Agency should confer with any other Tribal Lead Agency that has an overlapping or neighboring service area. Tribal Lead Agencies are advised that ACF will not accept declarations based on child counts that were conducted prior to July 1 of the previous year. For the CCDF plan that is due by July 1, 1999, the child count of children under age 13 must be completed no later than June 30, 1999 and no earlier than July 1, 1998. Important Note: If a child count for children under age 13 is not included as an attachment to the CCDF plan, ACF will adjust the previous child count to reflect the change in counting children under age 16 to only counting children under age 13. ACF will calculate the adjusted child count by deducting 1/5 of the Tribal Lead Agency's child count that was used to award FY 1999 CCDF funds. The 1/5 reduction approximates the decrease from under age 16 to under age 13 (3 years). This decrease represents about 1/5 of the total years used under the prior age threshold (under age 16). |
| Part 2: 2.1 |
Due to the important role that tribal colleges and universities can play in providing education and training opportunities, Tribal Lead Agencies are encouraged to consult with Tribal Colleges and Universities as they design their CCDF program activities, if applicable. |
| 2.2.1 | The Tribal 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. |
| 2.2.2 | The Tribal Lead Agency must coordinate with agencies responsible for health (including the agency responsible for immunizations), education, employment services or workforce development, and the State Temporary Assistance to Needy Families agency, and/or tribal Temporary Assistance to Needy Families agency -- if the Tribe is operating its own Temporary Assistance to Needy Families program. In this section, describe the results of the coordination activities with each of these agencies. |
| 2.3 | All Tribal Lead Agencies are required to conduct public hearings before the revised tribal plan preprint is submitted to ACF by July 1, 1999, but no earlier than January 1, 1999. The hearings are meant to solicit public comment and input into the services that will be provided through the CCDF. Tribal Lead Agencies must provide public notice of the hearing at least 20 days prior to the hearing. The notice must be made available across the reservation or service area. Tribal Lead Agencies shall make the contents of the plan available to the public in advance of the hearing. The required hearing must be held before the Plan is submitted to ACF. |
| 2.4 | Provide only examples of partnerships or planned activities with the business community or other private organizations (such as foundations). Coordination activities with Head Start programs and schools for before- and after-school care should be described under section 2.2.1. |
| Part 3: 3.1.1 |
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 child care providers include:
center-based; group home; and family and in-home providers; or
other providers of child care services for compensation which
meet specified licensing and regulatory requirements.
Certificate vs. Voucher — Exempt Tribal Lead Agencies are reminded that they are not required to operate certificate programs that offer parental choice from a full range of child care providers (i.e., center-based, group home, family and in-home care). Since the law is clear about parental choice and certificates, exempt Tribal Lead Agencies that offer some type of parent reimbursement system, but do not offer the full choice of child care providers are advised to refer to this type of payment system as a "voucher" program, not a certificate program. |
| 3.1.2 | Section 98.30(e)(1)(iv) now provides additional flexibility for limiting in-home care. If a Tribal Lead Agency intends to limit in-home care, it must describe the limits and the reasons for these limits. |
| 3.1.3 | The Lead Agency is not required to offer CCDF services, or the same services, throughout the entire reservation or service area (as defined in Appendix 2, #3. 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 | Section 98.43(b)(2) now requires that the Lead Agency provide
a summary of the facts relied on to determine that its payment
rates 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. The
payment rates must be based on a local market rate survey "conducted
no earlier than 2 years prior to the effective date of the currently
approved plan." For plans due by July 1, 1999, surveys should
have been conducted no earlier than October 1, 1997.
A Tribal Lead Agency may base its payment rates on the State's market rate survey rather than conducting its own survey if the Tribe's reservation or tribal service area is included in the State's survey. While Tribal Lead Agencies have additional flexibility in meeting this requirement, they are strongly encouraged to survey their local providers in order to establish a payment rate which is an accurate reflection of the child care market in their area—especially if their respective State survey(s) do not reflect local maRket rates or conditions. |
| 3.3.5 & 3.3.6 |
The upper age limit may not be over age 19 (e.g., not 19 years,
1 month or "up to age 20"). |
| 3.3.7 & 3.3.8 |
Tribal Lead Agencies must include foster care and respite care in their definition of protective services (at Appendix 2) if the Tribal Lead Agency proposes to provide CCDF-funded protective services child care in those circumstances. CCDF child care can be provided in two circumstances: for children of parents who are working or in education and training; or for children in protective services. Respite care is allowable only for children in protective services. |
| 3.4.3 | 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 | The 1999 HHS Poverty Guidelines for the 48 contiguous States
and the District of Columbia for a family of 1 = $8,240. Add $2,820
for each additional family member (e.g., family of 3 = $13,880).
In Alaska a family of 1 = $10,320. Add $3,520 for each additional
family member (e.g., family of 3 = $17,360). A Tribal Lead Agency is not required to use the 1999 HHS Poverty Guidelines, but must indicate the poverty level it is using if it elects to waive the required fee. |
| 3.5.4 | The preamble to the regulations suggests that copayments which are no more than 10 percent of family income would be considered "affordable." It should be noted, however, that the regulations do not establish this or any other standard or criteria that copayments must meet. The Tribal Lead Agency explanation, at a minimum, should indicate the percent of family income that typically would be used to meet its required copayment. |
| 4.4 | The regulations do not establish, nor has ACF suggested, any
criteria or standard against which the requested Temporary Assistance to Needy Families definitions may be judged. This section is asked as a means of providing information to the public. ACF recognizes that the Temporary Assistance to Needy Families definitions requested are not the responsibility of the CCDF Lead Agency. Therefore, the section also asks that the Temporary Assistance to Needy Families agency/agencies be identified. In this section, as is true of many sections of the Plan, approval
of the Plan means that the Tribal Lead Agency has submitted
the required information, not that ACF approves of the definitions
provided. |
| Part 5: 5.1 |
The list provided reflects the options Tribal 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 Tribal 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. Non-exempt Tribal Lead Agencies are reminded that no less
than 4 percent of the aggregate CCDF funds expended must be used
for quality activities.
Resource and Referral/School Age Care Earmark Because of the Congressional earmark for resource and referral and school-age care activities, the earmarked CCDF funds must be designated for these purposes. Descriptions of these earmarked activities, and all other quality activities, must be provided in section 5.2 Note: Tribal Lead Agencies are encouraged to explore quality enhancement activities at tribal colleges and universities, where applicable. |
| Part 6: | 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.
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 section 98.41 of the regulations, as referenced above); and 2) State or tribal licensing requirements, in accordance with section 98.40. |
| 6.5 | 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, describe the requirements that do apply to the relative providers. |
| 6.6 | A description of how licensing requirements are effectively enforced might include the percent of providers inspected annually; the number of inspections conducted annually; the length of time between inspections, etc. |
| Appendix 2 | The Lead Agency must complete the required definitions in Appendix
2, and include any special terms that are used. The following
provides Tribal Lead Agencies with additional guidance in defining
these terms. (1) Attending (a job training or educational program)—Tribal Lead Agencies must list the criteria they will apply in determining whether a parent's participation in a job training or educational program is sufficient to be considered attendance for purposes of establishing eligibility (See section 98.20). Examples include any educational institution's definition of full-time attendance. The definition could also specify whether child care is available for travel and study time, as well as class time. (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 1.9 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 1.9 must reflect this definition. (4) In Loco Parentis—Tribal Lead Agencies must describe the criteria they will use to determine if an individual is "standing in place of" a parent of the child and, therefore, will be considered as the parent for the purpose of determining eligibility for CCDF services. This definition can be a previously established legal definition or can be specific for the purposes of the CCDF. For example, a person acting in loco parentis is one who has assumed guardianship and control of the child. The Tribal Lead Agency could specify whether guardianship must be formalized through a court. (5) Job Training and Educational Program—The definition must include the criteria necessary for a program to be considered a "job training and educational program" for the purposes of determining a family's eligibility. Examples include: the program must lead to a high school diploma (or its equivalent); the program must be accredited by the Board of Education; job training must lead to a skilled trade; or, job training must be approved by the local unemployment office. (6) Physical or Mental Incapacity —Tribal Lead
Agencies have the option to provide child care for children
age 13 and older if such children have a physical or mental
condition which makes the child incapable of self-care. The
Tribal Lead Agency must define such condition and describe who
will make such determinations. (8) Residing With—Tribal Lead Agencies must specify the conditions under which a child will be considered to be "residing with" a parent. For example, the child must live with the parent for at least six months of the year, or the child must live in the same household as the parent during the time period for which child care services are requested. (9) Special Needs Child—In section 3.4, Tribal Lead Agencies are asked how they will prioritize children with special needs. Tribal Lead Agencies must define or list the children they consider to have "special needs" and for whom they will give priority for service. Examples include: children who meet the definition of physical and mental incapacity; children from homeless families; children in need of protective services; or children of teenage parents. (10) Working—The definition must describe the types of activities Tribal Lead Agencies will accept as "work" for the purpose of determining eligibility. Examples include: the parent must be paid; the parent must be paid the minimum wage; the parent is looking for work (one-time only) for a maximum of 24 hours within one calendar quarter; or, the parent must work a minimum of 20 hours per week. |
| Appendix 3 | Child Count Declaration |
| Appendix 4 | List of Certifications
Only new tribal CCDF applicants must complete and submit
the certifications Tribes that received FY 1999 CCDF funds were required to submit
these |