[Federal Register Volume 69, Number 120 (Wednesday, June 23, 2004)]
[Notices]
[Pages 35044-35047]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 04-14192]


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DEPARTMENT OF HEALTH AND HUMAN SERVICES

Indian Health Service


Tribal Self-Governance Program Negotiation Cooperative Agreement; 
New Discretionary Funding Cycle for Fiscal Year 2004; Funding 
Opportunity Number: HHS-IHS-TSGP-2004-002; CFDA Number: 93.210

KEY 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 negotiation 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 P.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 negotiation 
cooperative agreement provides Tribes with funds to help cover the 
expenses involved in preparing for and negotiating with the IHS and 
assists eligible Indian Tribes to prepare for Compacts and Funding 
Agreements (FAs) with an effective date of October 1, 2005, or January 
1, 2006.
    The Negotiation Cooperative Agreement provides resources to assist 
Indian Tribes to conduct negotiation activities that include but not 
limited to:
    1. Analysis of the complex IHS budget to determine what PSFAs will 
be negotiated.
    2. Development of the terms and conditions that will be set forth 
in a Compact and Funding Agreement (FA).
    3. Consultant costs such as Attorney or Financial Advisors.
    4. Communication Costs.
    5. Identification of tribal shares that will be included in the FA.
    The award of a negotiation cooperative agreement is not required as 
a prerequisite to enter the TSGP. Indian Tribes that have completed 
comparable health planning activities in previous years using tribal 
resources but have not received a Tribal self-governance planning award 
are also eligible to apply. A report of the applicant's health planning 
activity must accompany the application.

II. Award Information

    Type of Award: Cooperative Agreement.
    Estimated Funds Available: The total amount identified for fiscal 
year (FY) 2004 is $200,000 for approximately ten (10) Tribes to enter 
the TSGP negotiation process for compacts beginning in FY or calendar 
year 2005. Awards under this announcement are subject to the 
availability of funds.
    Anticipated Number of Awards: The estimated number of awards to be 
funded is 1-10.
    Project Period: 12 months.

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    Award Amount: $20,000 per year.
    Substantial Programmatic Involvement: IHS TSGP funds will be 
awarded as cooperative agreements and will have substantial 
programmatic involvement as follows:
    1. Research and analysis of the complex IHS budget, at the Service 
Unit, Area, and Headquarters levels.
    2. Establishment of a basic understanding of IHS PSFAs operations 
at the Service Unit, Area, and Headquarters levels.
    3. Establishment of a process through which Tribes can effectively 
approach IHS to identify programs and associated funding which could be 
incorporated into programs.
    4. Identification of IHS staff that will consult with applicants on 
methods used by IHS to manage and deliver health care.
    5. applicants with a list of laws and regulations that provide 
authority for the various IHS programs.

III. Eligibility Information

    1. Eligible Applicants. To be eligible for negotiation 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 within 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)). Those 
Tribes not represented by a self-governance Tribal consortium compact 
that have previously received negotiation funds may still be considered 
to participate in the TSGP, subject to the provisions in this 
announcement, however, with the following exception cited in Section 
351, Pub. L. 105-277, the FY 1999 Omnibus Appropriations Bill: 
``Notwithstanding any other provision of law, prior to September 1, 
2001, the IHS may not disburse funds for the provision of health care 
services pursuant to Pub. L. 93-638 (25 U.S.C. 450, et seq.) with any 
Alaska Native Village or Alaska Native Village Corporation that is 
located within the area served by an Alaska Native regional health 
entity.''
    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 FY's, 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, 1997, Audits of States, Local Governments, and Non-
Profit Organizations), for the three previous FY's (2000, 2001, 2002 or 
2001, 2002, 2003).*
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    * If this documentation is not submitted, the application will 
be considered as unresponsive and will not be considered.
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    2. Cost Sharing or Matching Funds
    The Self-Governance Negotiation 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 in 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:
    (1) Be single spaced.
    (2) Be typewritten.
    (3) Have consecutively numbered pages.
    (4) Use black type not smaller than 12 characters per one inch.
    (5) Be printed on one side only of standard size 8\1/2\'' x 11'' 
paper.
    (6) Not be tabbed, glued, or placed in a plastic holder.
    (7) 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.)
    B. 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 
application kit.
    (1) Application Receipt Record, IHS-815-1A (Rev. 2/04).
    (2) FY 2005 Application Checklist.
    (3) Tribal Resolution (final signed or draft unsigned).
    (4) Standard Form 424A, Application for Federal Assistance.
    (5) Standard Form 424A, Budget Information--Non-Construction 
Programs (pages 1-2).
    (6) 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.
    (7) Certifications (pages 17-19).
    (8) PHS-5161 Checklist (pages 25-26).
    (9) Disclosure of Lobbying Activities
    (10) Table of Contents with corresponding numbered pages.
    (11) Project Narrative not to exceed 7 typewritten pages.
    (12) Categorical Budget and Budget Justification.
    (13) 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

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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-815-1A (Rev. 2/04) Application Receipt Record.
    4. Intergovernmental Review:
    Executive Order 12372 requiring intergovernmental review is not 
applicable to this program.
    5. Funding Restrictions:
    1. Only one negotiation cooperative agreement will be awarded per 
applicant.
    2. Each negotiation cooperative agreement shall not exceed $20,000. 
The available funds are inclusive of direct and indirect costs.
    3. Negotiation 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 application 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 814-1A, 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 
change).
    (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

Demonstration of Previous Planning Activities (30) points)
    Thoroughness and appropriateness of planning activity to proposed 
scope of compact is demonstrated, i.e., has the Indian Tribe determined 
the PSFAs to be assumed? Has the Indian Tribe determined it has the 
administrative infrastructure to support the assumption of the PSFAs? 
Are the results of what was learned or is being learned during the 
planning process clearly stated?
Thoroughness of Approach (25 points)
    Is a specific narrative provided of the direction the Indian Tribe 
plans to take in the TSGP? How will the Tribe demonstrate improved 
health and services? Is the Indian Tribe ready to negotiate a compact 
to begin October 1, 2005 or January 1, 2006? Are proposed time lines 
for negotiations indicated?
Project Outcome (20 points)
    What beneficial contributions are expected or anticipated to the 
TSGP projected? Is information provided on the services that will be 
assumed? How will any improvements be made to managing the health 
program under the TSGP to better serve its tribal members? Are tribal 
needs discussed in relation to programmatic alternatives and outcomes?
Administrative Capabilities (20 points)
    Does the Indian Tribe clearly demonstrate knowledge and experience 
in the operation and management of other health programs? Is the 
internal management and administrative infrastructure of the applicant 
described and its relationship to the successful implementation of 
self-governance operation of health programs explained?
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:
     The applicant and proposed project type is eligible in 
accordance with this grant announcement.
     The application is not a duplication of a previously 
funded project.
     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 maybe returned.
    B. Competitive Review of Eligible Applications (Objective Review: 
August 19-20, 2004).
    Applications meeting eligibility requirements that are complete, 
responsible, and conform to this program announcement will be reviewed 
for merit by the Ad Hoc Objective Review Committee (ORC)

[[Page 35047]]

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 the status of the applicant's single audit 
reports. The comments from the ORC will be advisory only. The IHS 
Director will make a 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 
Organizations.''
     OMB Circular A-133, ``Audits of States, Local Governments, 
and Non-Profit Organizations.''
     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 seven of 
this application kit. Grant related and business management information 
may be obtained from Ms. Patricia Spotted Horse through the information 
listed on page seven 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, Public Law 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. 04-14192 Filed 6-22-04; 8:45 am]
BILLING CODE 4160-16-M