[Federal Register Volume 73, Number 62 (Monday, March 31, 2008)]
[Pages 16870-16874]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: E8-6428]



Indian Health Service

Tribal Self-Governance Program; Negotiation Cooperative Agreement

    Announcement Type: New.
    Funding Announcement Number: HHS-2008-IHS-TSGP-0001.

Catalog of Federal Domestic Assistance Numbers(s): 93.210.

    Key Dates: Application Deadline Date: April 28, 2008.
    Review Date: May 8-9, 2008.
    Earliest Anticipated Start Date: June 1, 2008.

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, Public Law 106-260, Title V, 
restricts eligibility to Tribes that meet specific criteria (Refer to 
Section III.l.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 Compacts and Funding Agreements 
(FAs). This program is described at 93.210 in the Catalog of Federal 
Domestic Assistance (CFDA).
    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 
(PSFAs) 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 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.

II. Award Information

    Type of Awards: Cooperative Agreement.
    Estimated Funds Available: The total amount identified for Fiscal 
Year (FY) 2008 is $240,000 for approximately twelve (12) Tribes. Awards 
under this announcement are subject to the availability of funds.
    Anticipated Number of Awards: The estimated number of awards under 
the program to be funded is approximately 12.

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    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 PSFAs and associated funding that could be 
incorporated into their programs.
    The IHS roles and responsibilities will include:
    Providing a description of PSFAs 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's roles and responsibilities are essential to the 
overall success of the project.
    Therefore the grantee must:
    Determine the PSFAs and associated funding the Tribe may elect to 
    Prepare to discuss each PSFA in comparison to the current level of 
services provided, so that an informed decision can be made on new 
program 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, Public 
Law 106-260, Tribal Self-Governance Amendments of 2000, of the Indian 
Self-Determination and Education Assistance Act (ISDA), Public Law 93-
638, as amended. However, Alaska Native Villages or Alaska Native 
Village Corporations are not eligible if they are located within the 
area served by an Alaska Native regional health entity already 
participating in ISDA compacting (25 U.S.C. 458aaa-2(e)). Those Tribes 
not 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
    The Self-Governance Negotiation Cooperative Agreement 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 CFDA.
    B. Request participation in self-governance by resolution from 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 to submit with the application. However, 
an official signed Tribal resolution must be received by the Division 
of Grants Operations (DGO), Attn: John Hoffman, 801 Thompson Avenue, 
TMP 360, Rockville, MD 20852, by Friday, April 25, 2008. If an official 
signed resolution is not submitted by April 25, 2008 the application 
will be considered incomplete and will be returned to the applicant 
without further consideration.
    * It is highly recommended that the Tribal resolution be sent by 
Federal Express for proof of receipt.
    D. Demonstrate, for three FYs, 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, April 28, 2008. If the grantee determines that the audit reports 
are not lengthy, the applicants may scan the documents and attach them 
to the electronic application. While all of the other components of the 
application will be submitted through www.Grants.gov (Grants.gov), the 
applicants must submit two copies of the audits that reflect three 
previous fiscal years under separate cover directly to the Division of 
Grants Operations, Attn: John Hoffman, 801 Thompson Avenue, TMP 360, 
Rockville, MD 20852, referencing the Funding Opportunity Number, HHS-
2008-IHS-TSGP-0002, as prescribed by Public Law 98-502, the Single 
Audit Act, as amended (see 0MB Circular A-133, revised June 24, 1997, 
Audits of States, Local Governments, and Non-Profit Organizations). If 
this documentation is not submitted with the application by the 
application receipt date, April 28, 2008, the application will be 
considered as incomplete and be returned to the applicant without 
further consideration. 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.
    If the application budget exceeds the stated dollar amount that is 
outlined within this announcement, the application will be returned to 
the applicant without further consideration.

IV. Application and Submission Information

    1. Applicant package may be found in Grants.gov or at: http://www.ihs.gov/NonMedicalPrograms/gogp/gogp_funding.asp. Information 
regarding the electronic application process may be directed to 
Michelle G. Bulls at (301) 443-6528.
    The entire application package is available at: http://www.ihs.gov/NonMedicalPrograms/SelfGovernance/index.cfm?module=planning_negotiation.
    Detailed application instructions for this announcement are 
downloadable on Grants.gov.
    2. Content and Form of Application Submission:
    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 seven typed pages that 
includes the other submission requirements below. The seven page 
narrative does not include the work plan, standard forms, Tribal 
resolutions or letters of support (if necessary), table of contents, 
budget, budget justifications, narratives, and/or other appendix items.
    Public Policy Requirements: All Federal-wide public policies apply 
to IHS grants with the exception of the

[[Page 16872]]

Lobbying and Discrimination public policy.
    3. Submission Dates and Times:
    Applications must be submitted electronically through Grants.gov by 
12 midnight Eastern Standard Time (EST). If technical challenges arise 
and the applicant is unable to successfully complete the electronic 
application process, the applicant should contact Michelle G. Bulls, 
Grants Policy Staff (GPS), at least fifteen days prior to the 
application deadline and advise of the difficulties. The grantee must 
obtain prior approval, in writing (e-mails are acceptable) allowing the 
paper submission. If submission of a paper application is requested and 
approved, the original and two copies may be sent to the appropriate 
grants contact that is listed in Section IV.1. above. Applications not 
submitted through Grants.gov, without an approved waiver, may be 
returned to the applicant without review or consideration. Late 
applications will not be accepted for processing, will be returned to 
the applicant, and will not be considered for funding.
    4. Intergovernmental Review:
    Executive Order 12372 requiring intergovernmental review is not 
applicable to this program.
    5. Funding Restrictions:
    A. Only one negotiation cooperative agreement will be awarded per 
    B. Each negotiation cooperative agreement shall not exceed $20,000.
    C. The available funds are inclusive of direct and appropriate 
indirect costs.
    D. IHS will not acknowledge receipt of applications.
    6. Other Submission Requirements:
    A. Table of Contents.
    B. Abstract (one page)--Summarizes the project.
    C. Narrative (no more than 7 pages) and should include the 
    (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.
    D. Budget narrative and justification.
    E. Tribal Resolution.
    F. Appendices to include:
    (1) Resumes or position descriptions of key staff.
    (2) Contractors/Consultants resumes or qualifications and scope of 
    (3) Current Indirect Cost Agreement.
    (4) Organizational Chart (Optional) Abstract (one page)--Summarizes 
the project.
    Electronic Submission--The preferred method for receipt of 
applications is electronic submission through Grants.gov. However, 
should any technical challenges arise regarding the submission, please 
contact Grants.gov Customer Support at 1-800-518-4726 or 
[email protected]. The Contact Center hours of operation are Monday-
Friday from 7 a.m. to 9 p.m. EST. If you require additional assistance 
please call (301) 443-6290 and identify the need for assistance 
regarding your Grants.gov application. Your call will be transferred to 
the appropriate grants staff member. The applicant must seek assistance 
at least fifteen days prior to the application deadline. Applicants 
that do not adhere to the timelines for Central Contractor Registry 
(CCR) and/or Grants.gov registration and/or requesting timely 
assistance with technical issues will not be a candidate for paper 
    To submit an application electronically, please use http://www.Grants.gov and select ``Apply for Grants'' link on the home page. 
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 grant 
application to IHS.
    Please be reminded of the following:
    Under the new IHS application submission requirements, paper 
applications are not the preferred method. However, if you have 
technical problems submitting your application on-line, please directly 
contact Grants.gov Customer Support at: http://www.grants.gov/CustomerSupport.
    Upon contacting Grants.gov obtain a tracking number as proof of 
contact. The tracking number is helpful if there are technical issues 
that cannot be resolved and a waiver request from GPS must be obtained.
    If it is determined that a formal waiver is necessary, the 
applicant must submit a request, in writing (e-mails are acceptable), 
to [email protected] that includes a justification for the need to 
deviate from the standard electronic submission process. Upon receipt 
of approval, a hard-copy application package must be downloaded by the 
applicant from Grants.gov, and sent directly to the Division of Grants 
Operations (DGO), 801 Thompson Avenue, TMP 360, Rockville, MD 20852 by 
the due date, April 28, 2008.
    Upon entering the Grants.gov site, there are application 
instructions available to applicants under this announcement that 
outline the requirements of the Grants.gov submission process, as well 
as the hours of operation. We strongly encourage all applicants not to 
wait until the deadline date to begin the application process through 
Grants.gov as the registration process for CCR and Grants.gov could 
take up to fifteen working days.
    To use Grants.gov, you, as the applicant, must have a DUNS Number 
and register in the CCR. You should allow a minimum of ten days working 
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.
    Please use the optional attachment feature in Grants.gov to attach 
additional documentation that may be requested by IHS.
    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, DGO will retrieve your 
application from Grants.gov. DGO will not notify applicants that the 
application has been received.
    You may access the electronic application for this program on 
    You may search for the downloadable application package either by 
the CFDA number or the Funding Opportunity Number. Both numbers are 
identified in the heading of this announcement.
    The applicant must provide the Funding Opportunity Number: HHS-
    E-mail applications will not be accepted under this announcement.

DUNS Number

    Applicants are required to obtain a DUNS number from Dun and 
Bradstreet 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 
    Applications submitted electronically must also be registered with 
the 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

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organization has a DUNS number. Registration with the CCR is free of 
    Applicants may register by calling 1-888-227-2423. Please review 
and complete the CCR Registration Worksheet located 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 to the community it serves? 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 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 

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: April 28, 2008). 
Applications submitted in advance of or by the deadline and verified by 
the tracking number will undergo a preliminary review to determine 
    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 
    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: 
May 8-9, 2008). 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 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 factors 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 Notice of Award (NoA) will be initiated by the DGO and will be 
mailed via postal mail to each entity that is approved for funding 
under this announcement. The NoA will be signed by the Grants 
Management Officer and this is the authorizing document under which 
funds are dispersed to the approved entities. The NoA will serve as the 
official notification of the grant award and will reflect the amount of 
Federal funds awarded the purpose of the grant, the terms and 
conditions of the award, the effective date of the award, and the 
budget/project period. The NoA is the legally binding document. 
Applicants who are approved but unfunded or disapproved based on their 
Objective Review score will receive a copy of the Final Executive 
Summary which identifies the weaknesses and strengths of the 
application submitted. Any other correspondence announcing to the 
Project Director that an application was selected is not an 
authorization to begin performance.
    2. Administrative Requirements.
    Cooperative Agreements are administered in accordance with the 
following documents:
    This Program Announcement.
    Program Regulations, 42 CFR Part 136.101 et seq., 45 CFR Part 92, 
``Uniform Administrative Requirements for Grants and Cooperative 
Agreements to State, Local and Tribal Governments,'' or 45 CFR Part 74, 
``Uniform Administrative Requirements for Awards to Institutions of 
Higher Education, Hospitals, Other Non-Profit Organizations, and 
Commercial Organizations.''
    Grants Policy Guidance: HHS Grants Policy Statement, January 2007.
    Cost Principles: 0MB Circular A-87, ``Cost Principles for State, 
Local, and Indian Tribal Governments'' (Title 2 Part 225).
    Administrative Requirements: 0MB Circular A-122, ``Non-Profit 
Organizations'' (Title 2 Part 230).
    Audit Requirements: 0MB Circular A-133, ``Audits of States, Local 
Governments, and Non-Profit Organizations.''
    3. Indirect Costs.
    This section applies to all grant recipients that request 
reimbursement of indirect costs in their grant application. In 
accordance with HHS Grants Policy Statement, Part II-27, IHS requires 
applicants to have a current indirect cost rate agreement in place 
prior to award. The rate agreement must be prepared in accordance with 
the applicable cost principles and guidance as provided by the 
cognizant agency or office. A current rate means the rate covering the 
applicable activities and the award budget period. If the current

[[Page 16874]]

rate is not on file with the Division of Grants Operations at the time 
of award, the indirect cost portion of the budget will be restricted 
and not available to the recipient until the current rate is provided 
to DGO.
    Generally, indirect costs rates for IHS grantees are negotiated 
with the Division of Cost Allocation (DCA)  http://rates.psc.gov/ and 
the Department of Interior (National Business Center) http://
www,nbc.gov/acquisition/ics/icshome.htrnl. If your organization has 
questions regarding the indirect cost policy, please contact the DGO at 
301-443-5204 or Grants Policy Staff at 301-443-6290.
    4. Reporting.
    A. Progress Report. Program progress reports are required semi-
annually. These reports must be submitted within 30 days of the end of 
the half year and will include a brief comparison of actual 
accomplishments to the goals established for the period, or, if 
applicable, provide sound justification for the lack of progress, 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. The final SF-269 must be verified from the 
grantee's records on how the value was derived. Grantees must submit 
reports in a reasonable period of time.
    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.
    5. Telecommunication for the hearing impaired is available at: TTY 

VII. Agency Contact(s)

    1. Questions on the programmatic issues may be directed to: Matt 
Johnson, Policy Analyst Office of Tribal Self-Governance Telephone No.: 
301-443-7821 Fax No.: 301-443-1050 E-mail: [email protected],gov.
    2. Questions on grants management and fiscal matters may be 
directed to: John Hoffman, 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, 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: March 24, 2008.
Robert G. McSwain,
Acting Director, Indian Health Service.
[FR Doc. E8-6428 Filed 3-28-08; 8:45 am]