CSBG IM #132 Application for FY 2014 Funds (Tribes)

Publication Date: June 20, 2013

U.S. Department of Health and Human Services
Administration for Children and Families
Office of Community Services
Division of State Assistance
370 L'Enfant Promenade, S.W.
Washington, D.C. 20447


Information Memorandum

Transmittal No. 132

Date: June 20, 2013

TO: Indian Tribes and Tribal Organizations

SUBJECT: Application for Fiscal Year (FY) 2014 Community Services Block Grant Program (CSBG) Funds Based on the Availability of CSBG Funds

RELATED REFERENCES: Community Services Block Grant Act, Title VI, Subtitle B, of the Omnibus Budget Reconciliation Act of 1981, Public Law 97-35, as amended; Human Services Amendments of 1994, P.L.103-252; the FY 1996 CSBG Appropriation Legislation, P.L.104-134; C.F.R. Title 45, Part 96; Coats Human Services Reauthorization Act of 1998, P. L. 105-285, Department of Health and Human Services Block Grant Regulations and Current Poverty Income Guidelines.

PURPOSE: To inform Indian Tribes and Tribal Organizations of the CSBG application requirements for FY 2014 and to provide a framework for the suggested format and “Outline for Model Tribe and Tribal Organization CSBG Application”.

BACKGROUND: Indian Tribes and Tribal Organizations may apply for funding under the CSBG Act by submitting an application that meets the requirements of Sections 676 and 677 of the Act.  There is increased focus on outcomes performance measurement, fiscal accountability, monitoring and reporting.  Additionally, a model outline for CSBG applications is provided as an attachment.  The use of the model outline is encouraged for ease in focusing on priority elements, consistency, systemic depiction, content, presentation and expeditious processing of applications by the Office of Community Services (OCS).

APPLICATION DUE DATE: A Federally or State-recognized Indian Tribe or Tribal Organization interested in receiving CSBG funds directly must submit an application no later than September 1, 2013.  Applications postmarked later than September 1, 2013, will be ineligible for direct funding from OCS, unless written approval has been obtained from the respective State’s CSBG office. (This is the State in which the Tribal organization is located and generally will be the State CSBG lead agency.)  According to C.F.R. Title 45, Part 96.42(e), “Beginning with fiscal year 1983, any request by an Indian tribe or tribal organization for direct funding by the Secretary must be submitted to the Secretary, together with the required application and related materials, by September 1 preceding the Federal fiscal year for which funds are sought.  A separate application is required for each block grant.  After the September 1 deadline, tribal applications will be accepted only with concurrence from the State (or States) in which the tribe or tribal organization is located.” Applications that do not meet the required application criteria stated above will be returned to the Tribe or Tribal Organization.

Indian Tribes and Tribal Organizations have the option of submitting CSBG applications covering a one-year or a two-year period.  CSBG funding will continue to be made available during each of the years for those CSBG applications which cover a two-year period.  Plans may be submitted either in electronic versions or official paper copy.   NOTE: if the Tribe or Tribal Organization chooses to submit an application which covers a two-year period, they will then be required to submit an annual report on the use of its FY 2013 CSBG funds, in order to receive CSBG funds the next fiscal year (per IM #34 dated July 30, 1999).

CONTENT OF APPLICATION: A complete CSBG application should contain:
(1) Specific assurances certified by the Chief Executive Officer (CEO) of the Tribe or Tribal Organization, which contain the language precisely as it appears in Subsections 676(b)(1)(A) through (C) of the CSBG Act.  OCS accepts CSBG applications based solely on the determination that the application is complete. A complete application contains the required legislative assurances to which the Tribe must certify.  Certifications must show original signatures and be signed by the CEO.  If the CEO has delegated this responsibility, a written confirmation of such a delegation signed by the CEO must be submitted with the application.

Next, a narrative description of the manner in which the Indian Tribe will carry out the required legislative assurances must be provided.  If the assurance is applicable, it must contain the language precisely as it appears in Subsections 676(b)(1)(A) through (C) of the CSBG Act.  Tribes are required to implement at least one of the programmatic assurances contained in Subsections 676(b)(1)(A) through (C) of the CSBG Act.  Please review the Tribal plan to ensure that all of the required assurances are addressed in detail.  It is advised to not assume that any assurance is self-explanatory.  If funds are used to address more than one programmatic assurance, include each of the assurances.

(1) The plan should include: (1) a statement of goals and objectives, (2) information on the specific types of activities to be supported to carry out both programmatic and administrative assurances, (3) information about areas and categories of individuals to be served, and (4) the criteria and method used for the distribution of funds.  Please refer to the Tribal model plan for the expected requirements.

(2) Evidence that the Tribal CSBG Plan was made available for public review and comment in conjunction with development of the plan as required by Section 676(a)(2)(B) of the CSBG Act.

(3) A Tribal Resolution — “A tribal organization representing more than one Indian tribe will be eligible to receive block grant funds on behalf of a particular tribe only if the tribe has by resolution authorized the organization’s action.” (C.F.R. Title 45, Part 96.42(b))

(4) State Recognition — “An organized group of Indians is eligible for direct funding based on State recognition if the State has expressly determined that the group is an Indian tribe.  In addition, the statement of the State’s chief executive officer (Office of the Governor) verifying that a tribe is recognized by that State will also be sufficient to verify State recognition for the purpose of direct funding.” (C.F.R. Title 45, Part 96.44(b))

(5) An Annual Report must be submitted with the 2014 Plan for all FY 2013 CSBG activities.  The Annual Report -- (previously referred to as the prior year report) -- is a narrative description of how the Tribe met its CSBG goals and objectives, and provides information on the types of projects supported with FY 2012 CSBG funds.  Specifically, Annual Reports should contain accomplishments of projects and activities relating to the required assurances supported with CSBG funds received for Fiscal Year 2013.  Annual Reports must contain outcome data that addresses the implementation of the national goals.  We recognize that many Tribal programs have different program years; however, to the extent possible, reports should address the use and distribution of the FY 2013 allocation (CSBG grant awards received during the period of October 1, 2012 through September 30, 2013).

(6) Administrative Requirements — Indicate the date of the last audit undertaken and the period for which the audit covers in compliance with the Single Audit Act of 1984 (P.L. 98-502).  Include the required certifications regarding Anti-Lobbying, Drug Abuse, Debarment and Suspension, and the Environmental Tobacco Smoke, also known as the Pro-Children Act of 1994, P.L. 103-227.

ADDITIONAL INFORMATION: The OCS implemented a first-ever training and technical assistance initiative in September 2011 to strengthen Tribal grantees’ administration of the CSBG and to help provide for information delivery on the CSBG including regulatory requirements, program administration issues, and increase communication to eligible Tribal entities.  This initiative continues through consultation with Tribal representatives and the development of technical assistance guidance specifically targeted to Tribal anti-poverty and program accountability efforts.

Applications should be mailed to:

Department of Health and Human Services
Administration for Children and Families
Office of Community Services
Division of State Assistance
Attention: Community Services Block Grant Program
370 L'Enfant Promenade S.W., 5th Floor West
Washington, D.C.  20447

If providing an official paper copy, please send an original of the Tribe’s FY 2014 CSBG application.  Electronic versions may be forwarded.  The OCS does not have adequate storage capacity in which to receive plans via e-mail at this time. Use of some electronic versions will require a separate submittal of the Tribal Chief or Chief Executive Officer original signature and certification pages.

If you need additional information, contact the OCS’ CSBG Program Manager assigned to the Region/State in which the Tribe/Tribal organization is located.  A listing of the CSBG Program Managers and the Model Tribal CSBG Application Outline are attached. Both documents may be found at www.acf.hhs.gov/programs/ocs.

Jeannie L. Chaffin
Office of Community Services


- Outline for Model Tribe/Tribal Organization CSBG Application
- CSBG Program Manager Listing
- Information Contact Form
- Poverty Guidelines
- Federal Certifications
- Lobbying
- Debarment/Suspension
- Drug Free Work Place
- Environmental Tobacco Smoke




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