[Federal Register Volume 69, Number 120 (Wednesday, June 23, 2004)]
[Notices]
[Pages 35041-35044]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 04-14191]


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DEPARTMENT OF HEALTH AND HUMAN SERVICES

Indian Health Service


Tribal Self-Governance Program Planning Cooperative Agreement; 
New Discretionary Funding Cycle for Fiscal Year 2004

    Funding Opportunity Number: HHS-IHS-TSGP-2004-001.
    CFDA Number: 93.210.

DATES: Application Kits sent out--June 28, 2004;
    Applications Due--August 2, 2004;
    Cost Analysis/Audit Reviews to Determine Eligibility--August 13, 
2004;
    Objective Review Committee to Evaluate Applications--August 19-20, 
2004;
    Project Start Date--September 15, 2004.

I. Funding Opportunity Description

    The purpose of the program is to award cooperative agreements that 
provide planning resources to Tribes interested in participating in the 
Tribal Self-Governance Program (TSGP) as authorized by Title V, Tribal 
Self-Governance Amendments of 2000 of the Indian Self-Determination and 
Education Assistance Act of Pub. L. 93-638, as amended. The TSGP is 
designed to promote self-determination by allowing Tribes to assume 
more control of Indian Health Service (IHS) programs and services 
through compacts negotiated with the IHS. The planning cooperative 
agreement allows a tribe to gather information to determine the current 
types and amounts of programs, services, functions, and activities 
(PSFAs), and funding available at the Service Unit, Area, and 
Headquarters levels and identify programmatic alternatives that will 
better meet the needs of tribal members.

II. Award Information

    Type of Award: Cooperative Agreement.
    Estimated Funds Available: The total amount identified for fiscal 
year (FY) 2004 is $500,000 for approximately ten (10) tribes to enter 
the TSGP planning process for compacts beginning in FY 2006 or calender 
year 2006. Awards under this announcement are subject to the 
availability of funds.
    Anticipated Number of Awards: The estimated number of awards to be 
funded is one to ten.
    Project Period: 12 months.
    Award Amount: $50,000 per year.
    Substantial Programmatic Involvement: IHS TSGP funds will be 
awarded as cooperative agreements and will have substantial 
programmatic involvement as follows:
     Research and analysis of the complex IHS budget, at the 
Service Unit, Area and Headquarters levels.
     Estabishment of a basic understanding of IHS PSFAs 
operations at the Service Unit, Area, and Headquarters levels.
     Establishment of a process through which tribes can 
effectively approach IHS to identify programs and associated funding 
which could be incorporated into programs.
     Identification of IHS staff that will consult with 
applicants on methods used by IHS to manage and deliver health care.
     Provide applicants with a list of laws and regulations 
that provide authority for the various IHS programs.

[[Page 35042]]

III. Eligibility Information

I. Eligible Applicants

    To be eligible for a planning cooperative agreement under this 
announcement, an applicant must meet all of the following criteria:
    A. Be a federally-recognized tribe as defined in Title V, Pub. L. 
106-260, Tribal Self-Governance Amendments of 2000, of the Indian Self-
Determination and Education Assistance Act (the Act), Pub. L. 93-638, 
as amended. However, Alaska Native Villages or Alaska Native village 
corporations, who are located with the area served by an Alaska Native 
regional health entity already participating in compact status, are not 
eligible. (Pub. L. 106-260, Title V, Section 12(a)(2).)
    B. Request participation in self-governance by resolution or other 
official action by the governing body of the Indian tribe. An Indian 
tribe that is proposing a cooperative agreement affecting another 
Indian tribe must include resolutions from all affected tribes to be 
served.
    C. Demonstrate, for three fiscal years, financial stability and 
financial management capability, which is defined as no uncorrected 
significant and material audit exceptions in the required annual audit 
of the Indian tribe's self-determination contracts or self-governance 
funding agreements with any Federal agency.
    D. Applicants must submit copies of audits prescribed by Pub. L. 
98-502, the Single Audit Act, as amended (see OMB Circular A-133, 
revised June 24, 1979, Audits of States, Local Governments, and Non-
Profit Organizations), for the three previous fiscal years (2000, 2001, 
2002 or 2001, 2002, 2003).*
    *If this documentation is not submitted, the application will be 
considered as unresponsive and will not be considered.

2. Cost Sharing or Matching Funds

    The Self-Governance Planning Cooperative Agreement Announcement 
does not require matching funds or cost sharing to participate in the 
competitive grant process.

3. Other Requirements

    The following documentation is required (if applicable):
    A. This program is described at 93.210 of the Catalog of Federal 
Domestic Assistance. There is limited competition under this 
announcement because the authorizing legislation restricts eligibility 
to Tribes that meet specific criteria. (Refer to Section III, 
Eligibility Criteria in this announcement.)
    B. Tribal Resolution--A resolution of the Indian tribe served by 
the project must accompany the application submission. An Indian tribe 
that is proposing a project affecting another Indian tribe must include 
resolutions from all affected tribes to be served. Draft resolutions 
are acceptable in lieu of an official resolution. However, an official 
signed tribal resolution must be received by the Grants Management 
Branch prior to the beginning of the Objective Review (August 19-20, 
2004). If an official signed resolution is not submitted by the date 
referenced, the application will be considered incomplete and will be 
returned without consideration.

IV. Application and Submission Information

1. Address to request application package

    Interested parties may request a copy of the application kit from 
either of the following persons:

Ms. Mary E. Trujillo, Office of Tribal Self-Governance, Indian Health 
Service, 801 Thompson Avenue, Suite 240, Rockville, Maryland 20852; 
(301) 443-7821.
Ms. Patricia Spotted Horse, Grants Management Branch, Indian Health 
Service, 801 Thompson Avenue, TMP 100, Rockville, Maryland 20852; (301) 
443-5204.

2. Content and Form of Application Submission

    A. All applications should:
     Be single spaced.
     Be typewritten.
     Have consecutively numbered pages.
     Use black type not smaller than 12 characters per one 
inch.
     Be printed on one side only of standard size 8\1/
2\ x 11 paper.
     Not be tabbed, glued, or placed in a plastic holder.
     Contain a narrative that does not exceed 7 typed pages 
that includes the sections listed below. (The 7 page narrative does not 
include the work plan, standard forms, Tribal resolution(s), table of 
contents, budget, budget justifications, narratives, and/or other 
appendix items.)
    Include in the application the following documents in the order 
presented. The Application Receipt Record, Checklists, General 
Information Page, Standard Forms, Certifications, and Disclosure of 
Lobbying Activities documents will be available in the appendix of the 
application kit.
     Application Receipt Record, IHS-815-1A (Rev. 2/04).
     FY 2005 Application Checklist.
     Tribal Resolution (final signed or draft unsigned).
     Standard Form 424A, Application for Federal Assistance.
     Standard Form 424A, Budget Information--Non-Construction 
Programs (pages 1-2).
     Standard Form 424B, Assurance--Non-Construction Programs 
(front and back). The application shall contain assurances to the 
Secretary that the applicant will comply with program regulations, 42 
CFR Part 36, Subpart H.
     Certifications (pages 17-19).
     PHS-5161 Checklist (pages 25-26).
     Disclosure of Lobbying Activities.
     Table of Contents with corresponding numbered pages.
     Project Narrative not to exceed 7 typewritten pages.
     Categorical Budget and Budget Justification.
     Appendix Items.

3. Submission Dates and Times

    Applications must be postmarked on or before Monday, August 2, 
2004. The IHS is accepting only paper applications at this time. 
Include one original and two complete copies of the final proposal with 
all required signatures and documentation. Mark the original 
application with a cover sheet that states, ``Original Grant 
Application.'' Mail or hand-deliver applications to the Division of 
Grants Management, Indian Health Service, 801 Thompson Avenue, Suite 
100, Rockville, Maryland 20852. Please note: All mailed applications 
must be postmarked on or before August 2, 2004.
    Hand Delivered Proposals. Hand-delivered proposals will be accepted 
from 8 a.m. to 5 p.m. eastern standard time, Monday through Friday. 
Applications will be considered to meet the deadline if they are 
received on or before the deadline, with hand-carried applications 
received by close of business 5 p.m. For mailed applications, a dated, 
legible receipt from a commercial carrier or the U.S. Postal Service 
will be accepted in lieu of a postmark. Private metered postmarks will 
not be accepted as proof of timely mailing. Late applications not 
accepted for processing will be returned to the applicant and will not 
be considered for funding. Receipt of applications will be acknowledged 
via the IHS-815-IA (Rev. 2/04) Application Receipt Record.

4. Intergovernmental Review

    Executive Order 12372 requiring intergovernmental review is not 
applicable to this program.

[[Page 35043]]

5. Funding Restrictions

    A. Only one planning cooperative agreement will be awarded per 
applicant.
    B. Each planning cooperative agreement shall not exceed $50,000. 
The available funds are inclusive of direct and indirect costs.
    C. Planning awards shall not exceed a maximum period of one year, 
unless a written request for extension is submitted and approved on a 
case-by-case basis.

6. Other Submission Requirements

    The applicant must comply with the following:
    A. Abstract (one page)--Summarizes the project.
    B. Application for Federal Assistance (SF-424, Rev. 09/03).
    C. Narrative (no more than 7 pages) with time frame chart (one 
page); pages numbered consecutively, including appendices, and Table of 
Contents, and should include the following:
    (1) Background information on the tribe.
    (2) Objectives and activities that provide a description of what 
will be accomplished.
    (3) A line-item budget and narrative justification.
    (4) Appendix to include:
    a. Resumes or position descriptions of key staff.
    b. Contractors/Consultants resumes or qualifications.
    c. Proposed Scope of Work.
    d. Application Receipt Card (IHS 815-1A, Rev. 2/04).
    e. Two copies of a report of health activities that have been 
performed either through an IHS Self-Governance Health Cooperative 
Agreement or a comparable health-project.
    D. ``DUNS'' Number. As of October 1, 2003, applicants must have a 
Dun and Bradstreet (D&B) Data Universal Numbering System (DUNS) number 
as the Universal identifier when applying for Federal grants or 
cooperative agreements.
    The DUNS number is a nine-digit identification number, which 
uniquely identifies business entities. There is no charge for applying.
    The DUNS number can be obtained by calling (866) 705-5711 or 
through the Web site at http://www.dunandbradstreet.com. Internet 
applications for a DUNS number can take up to 30 days to process. It is 
quicker to obtain one by phone. The following information is needed 
when requesting a DUNS number:
    (1) Organization.
    (2) Organization address and telephone number.
    (3) Name of CEO, Executive Director, President, etc. (the person in 
charge).
    (4) Legal structure of the organization.
    (5) Year organization started.
    (6) Primary business (activity) line.
    (7) Total number of employees.

V. Application Review Information

    The instructions for preparing the application narrative also 
constitute the evaluation criteria for reviewing and scoring the 
application. Weights assigned to each section are noted in parentheses.

1. Criteria

Goals and Objectives of the Project (30 Points)
    Are the goals and objectives measurable; are they consistent with 
the purpose of the program and terms of this announcement; and, are 
they achievable as demonstrated by an implementation schedule?
Organizational Capabilities and Qualifications (25 Points)
    Describe the organizational structure of the tribe/tribal 
organization and the ability of the organization to manage the proposed 
project. Include resumes or position descriptions of key staff showing 
requisite experience and expertise and, where applicable, include 
resumes of consultants that demonstrate experience and expertise 
relevant to the project.
Methodology (20 Points)
    Describe fully and clearly the methodology used to reflect the 
needs of tribal members and if the project can be accomplished with 
expected available resources.
Budget justification (15 Points)
    Submit a line-item budget with a brief narrative justification for 
all expenditures. Are costs identified reasonable and allowable in 
accordance with OMB Circulars A-87m ``Cost Principles for State and 
Local Governments'' and A-122, ``Cost Principles for Non-Profit 
Organizations?''
Management of Health Programs(s) (10 Points)
    Does the applicant propose an improved approach to managing the 
health program(s) and state/demonstrate how the delivery of quality 
health services will be maintained under self-governance?
    Appendix Items:
     Work plan for proposed objectives.
     Position descriptions for key staff.
     Resumes of key staff that reflect current duties.
     Consultant proposed scope of work (if applicable).
     Indirect Cost Agreement.
     Organizational chart (optional).

2. Review Selection Process

    In addition to the above criteria/requirements, applications are 
considered according to the following:
    A. Application Submission (Application Deadline: August 2, 2004). 
Applications submitted in advance of or by the deadline and verified by 
the postmark will undergo a preliminary review to determine that:
    (1) The applicant and proposed project type is eligible in 
accordance with this grant announcement.
    (2) The application is not a duplication of a previously funded 
project.
    (3) The application narrative, forms, and materials submitted meet 
the requirements of the announcement allowing the review panel to 
undertake an in-depth evaluation; otherwise, it may be returned.
    B. Competitive Review of Eligible Applications (Objective Review: 
August 19-20, 2004). Applications meeting eligibility requirements that 
are complete, responsive, and conform to this program announcement will 
be reviewed for merit by the Ad Hoc Objective Review Committee (ORC) 
appointed by the IHS to review and make recommendations on these 
applications. The review will be conducted in accordance with the IHS 
Objective Review Guidelines. The technical review process ensures 
selection of quality projects in a national competition for limited 
funding. Applications will be evaluated and rated on the basis of the 
evaluation criteria listed in Section V.1. The criteria are used to 
evaluate the quality of a proposed project, determine the likelihood of 
success, and assign a numerical score to each application. The scoring 
of approved applications will assist the IHS in determining which 
proposals will be funded if the amount of TSGP funding is not 
sufficient to support all approved applications. Applications 
recommended for approval, having a score of 60 or above by the ORC and 
scored high enough to be considered for funding, are forwarded by the 
Division of Grants Management for cost analysis and further 
recommendation. The program official forwards the final approved list 
to the IHS Director for final review and approval. Applications scoring 
below 60 points will be disapproved and returned to the applicant.

    Note: In making final selections, the IHS Director will consider 
the ranking factor and

[[Page 35044]]

the status of the applicant's single audit reports. The comments 
from the ORC will be advisory only. The IHS Director will make the 
final decision on awards.

VI. Award Administration Information

1. Award Notices

    Notification: September 15, 2004.
    Applicants who are approved but unfunded and disapproved will 
receive a copy of the Executive Summary which identifies the weaknesses 
and strengths of the application submitted. Applicants which are 
approved and funded will be notified through the official Notice of 
Grant Award (NGA) document. The NGA will serve as the official 
notification of a grant award and will state the amount of Federal 
funds awarded, the purpose of the grant, the terms and conditions of 
the grant award, the effective date of the award, the project period, 
and the budget period. Any other correspondence announcing to the 
Project Director that an application was selected is not an 
authorization to begin performance. Any costs incurred before receipt 
of the NGA are at the recipient's risk and may be reimbursed only to 
the extent considered allowable pre-award costs.

2. Administrative and National Policy Requirements

    Grants are administered in accordance with the following documents:
     This grant announcement.
     Health and Human Services regulations governing Pub. L. 
93-638 grants at 42 CFR 36.101 et seq.
     45 CFR part 92, ``Department of Health and Human Services, 
Uniform Administrative Requirements for Grants and Cooperative 
Agreements to State and Local Governments Including Indian Tribes,'' or 
45 CFR part 74, ``Administration of Grants to Non-Profit Recipients.''
     Public Health Service Grants Policy Statement.
     Grants Policy Directives.
     Appropriate Cost Principles: OMB Circular A-87, ``State 
and Local Governments,'' or OMB Circular A-122, ``Non-Profit 
Organization.''
     OMB Circular A-133, ``Audits of States, Local Governments, 
and Non-Profit Organization.''
     Other Applicable OMB Circulars.

3. Reporting

    A. Progress Report. Program progress reports are required semi-
annually. These reports will include a brief comparison of actual 
accomplishments to the goals established for the period, reasons for 
slippage (if applicable), and other pertinent information as required. 
A final report must be submitted within 90 days of expiration of the 
budget/project period.
    B. Financial Status Report. Semi-annual financial status reports 
must be submitted within 30 days of the end of the half year. Final 
financial status reports are due within 90 days of expiration of the 
budget/project period. Standard Form 269 (long form) will be used for 
financial reporting.

VII. Agency Contact(s)

    Interested parties may obtain TSGP programmatic information from 
Ms. Mary E. Trujillo through the information listed on page 6 of this 
application kit. Grant related and business management information may 
be obtained from Ms. Patricia Spotted Horse through the information 
listed on page 6 of this application kit. Please note that the 
telephone numbers provided are not toll free.

VIII. Other Information

    The Public Health Service (PHS) strongly encourages all grant and 
contract recipients to provide a smoke-free workplace and promote the 
non-use of all tobacco products. In addition, Pub. L. 103-227, the Pro-
Children Act of 1994, prohibits smoking in certain facilities (or in 
some cases, any portion of the facility) in which regular or routine 
education, library, day care, health care or early childhood 
development services are provided to children. This is consistent with 
the PHS mission to protect and advance the physical and mental health 
of the American people.

    Dated: June 17, 2004.
Eugenia Tyner-Dawson,
Acting Deputy Director, Indian Health Service.
[FR Doc. 04-14191 Filed 6-22-04; 8:45 am]
BILLING CODE 4160-16-M