[Federal Register Volume 71, Number 198 (Friday, October 13, 2006)]
[Notices]
[Pages 60545-60549]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 06-8642]


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DEPARTMENT OF HEALTH AND HUMAN SERVICES

Indian Health Service

Funding Opportunity Number: HHS-2007-IHS-TSGP-0002


Tribal Self-Governance Program; Negotiation Cooperative 
Agreement; New Funding Cycle for Fiscal Year 2007

CFDA Number: 93.210.

    Key Dates: Applications Due--November 16, 2006.
    Objective Review Committee to Evaluate Applications--December 7-8, 
2006.
    Anticipation Project Start Date--January 15, 2007.

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 Public Law (Pub. L.) 93-
638, as amended. There is limited competition under this announcement 
because the authorizing legislation, Pub. L. 106-260, Title V, 
restricts eligibility to Tribes that meet specific criteria. (Refer to 
Section III. (1.) (A.), Eligible Applicants in this announcement.) 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 January 15, 2007.
    The Negotiation Cooperative Agreement provides resources to assist 
Indian Tribes to conduct negotiation activities that include but are 
not limited to:
    1. Determine what programs, services, functions, and activities 
(PSFA's) will be negotiated.
    2. Identification of Tribal shares that will be included in the FA.
    3. Development of the terms and conditions that will be set forth 
in a Compact and Funding (FA).
    The award of a Negotiation Cooperative Agreement is not required

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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.

II. Award Information

    Type of Award: Cooperative Agreement.
    Estimated Funds Available: The total amount identified for Fiscal 
Year (FY) 2007 is $240,000 for approximately twelve (12) Tribes to 
enter the TSGP negotiation process.
    Anticipated Number of Awards: The estimated number of awards to be 
funded is approximately 12.
    Project Period: 12 months.
    Award Amount: $20,000 per year.
    Programmatic Involvement: IHS TSGP funds will be awarded as 
cooperative agreements and will have substantial programmatic 
involvement to establish a process through which Tribes can effectively 
approach the IHS to identify Programs, Services, Functions and 
Activities (PSFA's) and associated funding that could be incorporated 
into their programs.
    The IHS roles and responsibilities will include:
     Providing a description of PSFA's and associated funding 
at all levels, including funding formulas and methodologies related to 
determining Tribal shares.
     Identification of IHS staff that will consult with 
applicants on methods currently used to manage and deliver health care.
     Provide applicants with statutes, regulations and policies 
that provide authority for administering IHS programs, including 
contract support costs criteria for new or expanded programs.
    The Grantee roles and responsibilities are essential to the overall 
success of the project. Therefore the grantee must:
     Determine the PSFA's and associated funding the Tribe may 
elect to assume.
     Prepare to discuss each PSFA in comparison to the current 
level of services provided, so that an informed decision can be made on 
new programs assumption.
     Develop a compact and FA to submit to the Agency Lead 
Negotiator prior to negotiations.

III. Eligibility Information

1. Eligible Applicants

    To be eligible for a 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)(b)). Those 
Tribes are represented by a self-governance Tribal consortium compact, 
within their area, may still be considered to participate in the TSGP.

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.
    B. Request participation in self-governance by resolution 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. Tribal Resolution--A resolution of the Indian Tribe served by 
the project must accompany the application submission. For Tribal 
Consortia applying for a Negotiation Cooperative Agreement, individual 
Tribal Council Resolutions from all individual Tribes whose PSFAs will 
be compacted must be submitted.
    Draft resolutions are acceptable in lieu of an official resolution 
during the review process. However, an official signed Tribal 
resolution must be received by the Office of Tribal Self-Governance 
(OTSG), Attn: Jolene Aguilar, 801 Thompson Avenue, Suite 240, 
Rockville, MD 20852, before the Objective Review (December 6, 2006). If 
an official signed resolution is not submitted by December 6, 2006, the 
application will be considered incomplete and will be returned as 
unresponsive.
    *It is highly recommended that the Tribal resolution be sent by 
Federal Express for proof of receipt.
    D. 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.
    E. Grantees are required to submit a current version of the 
organization's audit report. Audit reports can be lengthy; therefore, 
the applicants may submit them separately via regular mail by the due 
date (November 16, 2006). If the grantee determines that the audit 
reports are not lengthy, the applicants may scan the documents and 
attach them to the electronic application. Applicants must submit two 
copies of the audits that reflect three previous fiscal years under 
separate cover directly to the Office of Tribal Self-Governance, Attn: 
Kevin C. Quinn, 801 Thompson Avenue, Suite 240, Rockville, MD 20852, 
referencing the Funding Opportunity Number, HHS-2007-IHS-TSGP-0002, as 
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). If this documentation is 
not submitted by the due date, the application will be considered as 
unresponsive and will not be considered. Applicants must include the 
grant tracking number assigned to their electronic submission by 
Grants.gov and the date submitted via Grants.gov in their cover letter 
transmitting the required audits for the previous three fiscal years.

IV. Application and Submission Information

    1. Application package and detailed instructions for this 
announcement can be found on Grants.gov (http://www.grants.gov) or at 
http://www.ihs.gov/NonMedicalProgram/gogp/gogp_funding.asp.
    Information regarding the electronic application process may be 
directed to Michelle G. Bulls, at (301) 443-6528 or via e-mail at 
[email protected].
    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.
     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,

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budget justifications, narratives, and/or other appendix items.)
    Public Policy Requirements: All Federal-wide public policies apply 
to IHS cooperative agreements with exception of Lobbying and 
Discrimination.
    3. Submission Dates and Times:
    Applications must be submitted on-line by November 16, 2006. Late 
applications not accepted for processing will be returned to the 
applicant and will not be considered for funding.
    4. Intergovernmental Review:
    This funding opportunity is not subject to Executive Order 12372, 
``Intergovernmental Review of Federal Programs.'' State approval is not 
required.
    5. Funding Restrictions:
    A. Only one negotiation cooperative agreement will be awarded per 
applicant.
    B. Each negotiation cooperative agreement shall not exceed $20,000. 
The available funds are inclusive of direct and indirect costs.
    C. Division of Grants Operations will not acknowledge receipt of 
applications.
    6. Other Submission Requirements:
    The application must comply with the following:
    A. Table of Contents
    B. Abstract (one page)--Summarizes the project.
    C. Application for Federal Assistance (SF-424, Rev. 09/03)
    D. Narrative (no more than 7 pages) and should include the 
following:
    (1) Background information on the Tribe.
    (2) Proposed scope of work, objectives, and activities that provide 
a description of what will be accomplished including a one-page Time 
Frame Chart.
    E. A line-item budget and narrative justification.
    F. Appendices to include:
    (1) Resumes or position descriptions of key staff.
    (2) Contractors/Consultants resumes or qualifications and scope of 
work.
    (3) Current Indirect Cost Agreement.
    (4) Organizational Chart (Optional)

Electronic Transmission

    The preferred method for receipt of applications is electronic 
submission through Grants.gov. However, should any technical problems 
arise regarding the submission, please contact our Grants Policy Staff 
at (301) 443-6528 at least ten days prior to the application deadline. 
To submit an application electronically, please use the http://
www.Grants.gov apply site. Download a copy of the application package, 
on the Grants.gov Web site, complete it offline and then upload and 
submit the application via the Grants.gov site. You may not e-mail an 
electronic copy of a cooperative agreement application to us.
    Please note the following:
     Under the new IHS requirements, paper applications are not 
the preferred method. However, if you have technical problems 
submitting your application on-line, and you have contacted the Grants 
Policy Staff and advised them of the difficulties you are having 
submitting your application on-line, you may submit a paper application 
after you have downloaded the application package from Grants.gov, and 
sent it directly to the Division of Grants Operations, 801 Thompson 
Avenue, TMP 360, Rockville, MD 20852 by the due date, November 16, 
2006.
     When you enter the Grants.gov site, you will find 
information about submitting an application electronically through the 
site, as well as the hours of operation. We strongly recommend that you 
do not wait until the deadline date to begin the application process 
through Grants.gov.
     To use Grants.gov gov, you, as the applicant, must have a 
DUNS Number and register in the Central Contractor Registry (CCR). You 
should allow a minimum of 10-15 days to complete CCR registration. See 
below on how to apply.
     You must submit all documents electronically, including 
all information typically included on the SF-424 and all necessary 
assurances and certifications.
     Your application must comply with any page limitation 
requirements described in the program announcement.
     After you electronically submit your application, you will 
receive an automatic acknowledgment from Grants.gov that contains a 
Grants.gov tracking number. The Indian Health Service will retrieve 
your application from Grants.gov gov.
     You may access the electronic application for this program 
on http://www.Grants.gov.
     You must search for the downloadable application package 
by CFDA number.
     To receive an application package, the applicant must 
provide the Funding Opportunity Number: HHS-2007-IHS-TSGP-0002.
    E-mail applications will not be accepted under this announcement.

DUNS Number

    Beginning October 1, 2003, applicants were required to have a Dun 
and Bradstreet (DUNS) number to apply for a grant or cooperative 
agreement from the Federal Government. The DUNS number is a nine-digit 
identification number, which uniquely identifies business entities. 
Obtaining a DUNS number is easy and there is no charge. To obtain a 
DUNS number, access http://www.dunandbradstreet.com or call 1-866-705-
5711. Interested parties may wish to obtain their DUNS number by phone 
to expedite the process.
    Applications submitted electronically must also be registered with 
the Central Contractor Registry (CCR). A DUNS number is required before 
CCR registration can be completed. Many organizations may already have 
a DUNS number. Please use the number listed above to investigate 
whether or not your organization has a DUNS number. Registration with 
the CCR is free of charge.
    Applicants may register by calling 1-888-227-2423. Please review 
and complete the CCR ``Registration Worksheet'' located in the appendix 
of the TSGP Negotiation Cooperative Agreement application kit or on 
http://www.grants.gov/CCRRegister.
    More detailed information regarding these registration processes 
can be found at http://www.grants.gov.

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)
    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 regarding the direction the Indian 
Tribe plans to take in the TSGP? How will the Tribe demonstrate 
improved health and services? Are proposed time lines for negotiations 
indicated?
Project Outcome (25 Points)
    What beneficial contributions are expected or anticipated for the 
Tribe? Is information provided on the services that will be assumed? 
What improvements will be made to manage the health care system? Are 
Tribal needs discussed in relation to the proposed programmatic 
alternatives and

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outcomes, which will serve the Tribal community?
Administrative Capabilities (20 Points)
    Does the Indian Tribe clearly demonstrate knowledge and experience 
in the operation and management of health programs? Is the internal 
management and administrative infrastructure of the applicant 
described?
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).
     Audits.

2. Review and Selection Process

    In addition to the above criteria/requirements, applications are 
considered according to the following:
    A. Application Submission (Application Deadline: November 16, 
2006). Applications submitted in advance of or by the deadline and 
verified by the tracking number will undergo a preliminary review to 
determine that:
     The applicant and proposed project type is eligible in 
accordance with this cooperative agreement 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 may be returned.
    B. Competitive Review of Eligible Applications (Objective Review: 
December 7-8, 2006). Applications meeting eligibility requirements that 
are complete, responsive, and conform to this program announcement will 
be reviewed for merit by the 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 are forwarded to the Division of Grants 
Operations (DGO) for cost analysis and further recommendation. The 
program official forwards the approval list to the IHS Director for 
final review and approval. Applications scoring below 60 points will be 
disapproved.


    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 the final decision on awards.

VI. Award Administration Information

1. Award Notices

    The Division of Grants Operations (DGO) will not award a 
cooperative agreement without an approved application that is in 
conformance with regulatory and policy requirements. When the 
application is approved for funding, the DGO will prepare a Notice of 
Award (NOA) with special terms and conditions binding upon the award 
and refer to all general terms applicable to the award. The NOA, signed 
by the Grants Management Officer, will serve as the official 
notification of a cooperative agreement award and will state the amount 
of Federal funds awarded, the purpose of the cooperative agreement, the 
terms and conditions of the cooperative agreement 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.

2. Administrative and National Policy Requirements

    Cooperative agreements are administered in accordance with the 
following documents:
     This cooperative agreement 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.''
     Public Health Service Grants Policy Statement.
     Grants Policy Directives.
     Appropriate Cost Principles: OMB Circular A-87, ``State 
and Local Governments.''
     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.
    Grantees are responsible and accountable for accurate reporting of 
the Progress Reports and Financial Status Reports which are generally 
due semi-annually. Financial Status Reports (SF-269) are due 90 days 
after each budget period and the final SF-269 must be verified from the 
grantee records on how the value was derived. Grantees are allowed a 
reasonable period of time in which to submit financial and performance 
reports.
    Failure to submit required reports within the time allowed may 
result in suspension or termination of an active cooperative agreement, 
withholding of additional awards for the project, or other enforcement 
actions such as withholding of payments or converting to the 
reimbursement method of payment. Continued failure to submit required 
reports may result in one or both of the following: (1) the imposition 
of special award provisions; and (2) the non-funding or non-award of 
other eligible projects or activities. This applies whether the 
delinquency is attributable to the failure of the grantee organization 
or the individual responsible for preparation of the reports.

VII. Agency Contact(s)

    1. Questions on the programmatic issues may be directed to: Jolene 
Aguilar, Program Specialists or Tena Larney, Program Analyst, Office of 
Tribal Self-Governance, Telephone No.: 301-443-7821, Fax No.: 301-443-
1050, E-mail: [email protected], E-mail: [email protected].

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    2. Questions on grants management and fiscal matters may be 
directed to: Denise Clark, Grants Management Specialist, Division of 
Grants Operations, Telephone No.: 301-443-5204, Fax No.: 301-443-9602, 
E-mail: [email protected].

VIII. Other Information

    The Public Health Service (PHS) strongly encourages all cooperative 
agreement and contract recipients to provide a smoke-free workplace and 
promote the non-use of all tobacco products. In addition, Publ. 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: October 6, 2006.
Charles W. Grim,
Assistant Surgeon General, Director, Indian Health Service.
[FR Doc. 06-8642 Filed 10-12-06; 8:45 am]
BILLING CODE 4165-16-M