[Federal Register Volume 75, Number 44 (Monday, March 8, 2010)]
[Pages 10492-10496]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2010-4854]



Indian Health Service

[Funding Announcement Number: HHS-2010-IHS-TSGN-0001]

Tribal Self-Governance Program; Negotiation Cooperative Agreement

    Announcement Type: New.
    Catalog of Federal Domestic Assistance Number: 93.444.
    Key Dates: Application Deadline Date: April 16, 2010. Review Date: 
May 14, 2010. Anticipated Start Date: June 14, 2010.

I. Funding Opportunity Description

    The purpose of the Negotiation Cooperative Agreement is to provide 
resources to Tribes interested in participating in the Tribal Self-
Governance Program (TSGP), as authorized by Public Law (Pub. L.) 106-
260, the Tribal Self-Governance Amendments of 2000, and Title V of the 
Indian Self-Determination and Education Assistance Act, Public Law 93-
638, as amended (Title V) (25 U.S.C. 458aaa-2(e)). The Negotiation 
Cooperative Agreement provides a Tribe with funds to help cover the 
expenses involved in preparing for and negotiating a compact and 
Funding Agreement (FA) with the Indian Health Service (IHS).
    There is limited competition under this announcement because the 
authorizing legislation 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-Governance by 
enabling Tribes to assume control of IHS programs, services, functions, 
and activities (PSFAs), or portions thereof, through compacts 
negotiated with the IHS. This program is described at 93.444 in the 
Catalog of Federal Domestic Assistance (CFDA).
    The Negotiation Cooperative Agreement provides resources to assist 
Indian Tribes with negotiation activities that include but are not 
limited to:
    1. Determine what PSFAs, or portions therein, will be negotiated.
    2. Identification of Tribal funding shares that will be included in 
the FA.
    3. Development of the terms and conditions that will be set forth 
in the compact and FA.
    Indian Tribes that have completed comparable health planning 
activities in previous years using Tribal resources are not required to 
receive a Self-Governance Planning Cooperative Agreement to be eligible 
to apply for a Negotiation Cooperative Agreement. The receipt of a 
Negotiation Cooperative Agreement award is not a prerequisite to enter 
the TSGP.
    The Tribes eligible to compete for the Negotiation Cooperative 
Agreements include: Any Federally recognized Indian Tribe that has not 
previously received a Negotiation Cooperative Agreement; Federally 
recognized Indian Tribes that have previously received a Negotiation 
Cooperative Agreement, but chose not to enter the TSGP; and those 
Federally recognized Indian Tribes that received a Negotiation 
Cooperative Agreement, entered the TSGP, and would like to negotiate 
the assumption of new and expanded programs. If a Tribe applies for a 
Planning Cooperative Agreement within the same grant cycle, the 
Negotiation Cooperative Agreement will be awarded only upon the 
successful completion of the Planning Cooperative Agreement.

II. Award Information

    Type of Awards: Cooperative Agreement.
    Estimated Funds Available: The total amount identified for Fiscal 
Year (FY) 2010 is $240,000 for approximately eight Tribes. Awards under 
this announcement are subject to the availability of funds. In the 
absence of funding, the agency is under no obligation to make awards 
that are selected for funding under this announcement.
    Anticipated Number of Awards: The estimated number of awards under 
the program to be funded is approximately eight.
    Project Period: 12 months.
    Award Amount: $30,000 per year.
    Programmatic Involvement: Negotiation Cooperative Agreements entail 
substantial IHS 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 grantee roles and responsibilities are critical to the success 
of the TSGP and include:
     Determining the PSFAs and associated funding the Tribe may 
elect to assume.

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     Preparing 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.
     Developing a compact and FA to submit to the Agency Lead 
Negotiator prior to negotiations. The Agency Lead Negotiator is the 
Federal official with the delegated authority of the IHS Director to 
negotiate compacts and funding agreements on behalf of the IHS.

III. Eligibility Information

1. Eligible Applicants

    To be eligible for a Negotiation Cooperative Agreement under this 
announcement, an applicant must:
    A. Be a Federally recognized Tribe as defined in 25 U.S.C. 450b(e). 
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 the 
Alaska Tribal Health Compact in 1998. By Congressional statute, the 
Native Village of Eyak, Eastern Aleutian Tribes, and the Council for 
Athabascan Tribal Governments have also been deemed Alaska Native 
regional health entities. Those Alaska Tribes not represented by a 
Self-Governance Tribal consortium FA within their area may still be 
considered to participate in the TSGP.
    B. Submit a Tribal resolution or other official action from the 
appropriate governing body of each Indian Tribe to be served 
authorizing the submission of the Negotiation Cooperative Agreement 
application. An Indian Tribe that is proposing a Negotiation 
Cooperative Agreement affecting another Indian Tribe must include 
resolutions from all affected Tribes to be served. Tribal consortia 
applying for a Negotiation Cooperative Agreement shall submit 
individual Tribal Council Resolutions from all individual Tribes who's 
PSFAs will be compacted.
    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: Kimberly M. Pendleton, 801 Thompson Avenue, TMP Suite 360, 
Rockville, MD 20852, by May 12, 2010, prior to the Objective Review 
Committee (ORC) evaluation on May 14, 2010. If the IHS DGO does not 
receive an official signed resolution by May 12, 2010, 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 a 
delivery method that includes proof of receipt.
    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.
    Applicants are required to submit complete annual audit reports for 
the three years prior to the year in which the applicant is applying 
for the Negotiation Cooperative Agreement. The applicants may scan an 
electronic copy of the documents and attach them to the online 
application. If the applicant determines that the audit reports are too 
lengthy, then the applicants may submit them separately via regular 
mail by the due date, April 16, 2010. Applicants sending in audit 
reports via regular mail must submit two copies of the complete audits 
for the three previous fiscal years under separate cover directly to 
the DGO, Attn: Kimberly M. Pendleton, 801 Thompson Avenue, TMP Suite 
360, Rockville, MD 20852, referencing the Funding Opportunity Number, 
HHS-2010-IHS-TSGN-0001, as prescribed by Public Law 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 
the IHS DGO does not receive this documentation by April 16, 2010, then 
the application will be considered incomplete and will be returned to 
the applicant without further consideration. Applicants must include 
the grant tracking number assigned to their electronic submission from 
Grants.gov and the date submitted via Grants.gov in their cover letter 
transmitting the required complete audits for the previous three fiscal 

2. Cost Sharing or Matching

    The Negotiation Cooperative Agreement does not require matching 
funds or cost sharing to participate in the competitive grant process.

3. Other Requirements

    A. This program is described at 93.444 in the CFDA.
    B. If the application budget documents exceed 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 through Grants.gov 
(www.Grants.gov) or at: http://www.ihs.gov/NonMedicalPrograms/gogp/index.cfm?module=gogp_funding.
    Information regarding this announcement may also be found on the 
Office of Tribal Self-Governance Web site at: http://www.ihs.gov/NonMedicalPrograms/SelfGovernance/index.cfm?module=planning_negotiation.
    2. Content and Form of Application Submission:
    A. The application must contain the following:
    (1) Table of Contents.
    (2) Abstract (one page) summarizing the project.
    (3) Project Narrative (no more than seven pages) providing:
    (a) Background information on the Tribe.
    (b) Proposed scope of work, objectives, and activities that provide 
a description of what will be accomplished including a one-page Time 
Frame Chart.
    (4) Application forms: SF-424, SF-424A, and SF-424B.
    (5) Budget narrative and justification.
    (6) Tribal Resolution (or official action).
    (7) Appendices:
    (a) Work plan for proposed objectives.
    (b) Resumes or position descriptions of key staff.
    (c) Contractor/Consultant resumes or qualifications and scope of 
    (d) Current Indirect Cost Agreement.
    (e) Organizational Chart (optional).
    (f) Audits.
    B. The project and budget narratives must:
    (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'' 
    C. The seven-page limit for the narrative does not include the work 
plan, standard forms, Tribal resolutions or letters of support, 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 Discrimination policy.
    3. Submission Dates and Times:
    Applications must be submitted electronically through Grants.gov by 
12 midnight Eastern Standard Time (EST)

[[Page 10494]]

on April 16, 2010. Any application received after the application 
deadline will not be accepted for processing, and it will be returned 
to the applicant(s) without further consideration for funding.
    If technical challenges arise and assistance is required with the 
electronic application process, contact Grants.gov Customer Support via 
e-mail to [email protected] or at (800) 518-4726. Customer Support is 
available to address questions 24 hours a day, 7 days a week (except on 
Federal holidays). If problems persist, contact Tammy Bagley, Division 
of Grants Policy (DGP) ([email protected]) at (301) 443-5204. Please 
be sure to contact Ms. Bagley at least ten days prior to the 
application deadline. Please do not contact the DGP until you have 
received a Grants.gov tracking number. In the event you are not able to 
obtain a tracking number, call the DGP as soon as possible.
    If an applicant needs to submit a paper application instead of 
submitting electronically via Grants.gov, prior approval must be 
requested and obtained. The waiver must be documented in writing (e-
mails are acceptable), before submitting a paper application. A copy of 
the written approval must be submitted along with the hardcopy that is 
mailed to the DGO (Refer to Section VII for grant contact information). 
Paper applications that are submitted without a waiver will be returned 
to the applicant without review or further 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. Each Negotiation Cooperative Agreement shall not exceed $30,000.
    B. The available funds are inclusive of direct and appropriate 
indirect costs.
    C. Only one Negotiation Cooperative Agreement will be awarded per 
applicant per grant cycle.
    D. Pre-award costs are not allowable without prior approval from 
the awarding agency. All pre-award costs are incurred at the 
recipient's risk.
    6. Electronic Submission Requirements:
    The preferred method for receipt of applications is electronic 
submission through Grants.gov. In order to submit an application 
electronically, please go to http://www.Grants.gov and select the 
``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.
    Applicants that receive a waiver to submit paper application 
documents must follow the rules and timelines that are noted below. The 
applicant must seek assistance at least ten days prior to the 
application deadline (exact date April 6, 2010).
    Please be reminded of the following:
     Please search for the application package in Grants.gov 
(http://www.Grants.gov) by entering the CFDA number or the Funding 
Opportunity Number. Both numbers are located in the header of this 
     Paper applications are not the preferred method for 
submitting applications. However, if you experience technical 
challenges while submitting your application electronically, please 
contact Grants.gov Customer Support directly at: http://www.Grants.gov/
CustomerSupport or (800) 518-4726. Customer Support is available to 
address questions 24 hours a day, 7 days a week (except on Federal 
     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 the DGO must 
be obtained.
     If it is determined that a waiver is needed, you must 
submit a request in writing (e-mails are acceptable) to 
[email protected] with a copy to [email protected] Please 
include a clear justification for the need to deviate from our standard 
electronic submission process.
     If the waiver is approved, the application should be sent 
directly to the DGO grants official (Refer to Section VII) by the 
deadline date, April 16, 2010.
     You must submit all documents electronically, including 
all information typically included on the SF-424 and all necessary 
assurances and certifications. Audits being sent separately must be 
received by the due date, April 16, 2010. Although draft Tribal 
resolutions may be submitted with the application, an official signed 
Tribal resolution must be received by May 12, 2010, prior to the ORC 
review on May 14, 2010.
     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 IHS DGO will retrieve your application 
from Grants.gov. The DGO will not notify applicants that the 
application has been received.
     If submission of a paper application is requested and 
approved, the original and two copies must be sent to the appropriate 
grants contact listed in Section VII.
     E-mail applications will not be accepted under this 

Dun and Bradstreet (D&B) Data Universal Numbering System (DUNS)

    Applicants are required to have a DUNS number to apply for a grant 
or cooperative agreement from the Federal Government. The DUNS number 
is a unique nine-digit identification number provided by D&B, which 
uniquely identifies your entity. The DUNS number is site specific; 
therefore each distinct performance site may be assigned a DUNS number. 
Obtaining a DUNS number is easy and there is no charge. To obtain a 
DUNS number, you may access it through the following Web site http://fedgov.dnb.com/webform or to expedite the process call (866) 705-5711.
    Another important fact is that applicants must also be registered 
with the Central Contractor Registration (CCR) and a DUNS number is 
required before an applicant can complete their CCR registration. 
Registration with the CCR is free of charge. Applicants may register 
online at http://www.ccr.gov or by calling (866) 606-8220. Additional 
information regarding the DUNS, CCR, and Grants.gov processes can be 
found at: www.Grants.gov.

V. Application Review Information

1. Criteria

    A. Demonstration of Previous Planning Activities (30 points).
    Has the Indian Tribe determined the PSFAs it will assume? 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?
    B. 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

[[Page 10495]]

services to the community it serves? Are proposed time lines for 
negotiations indicated?
    C. 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?
    D. 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 

2. Review and Selection Process

    In addition to the criteria in Section V.1., applications are 
considered according to the following:
    A. Application Submission
    (1) The applicant and proposed project type is eligible in 
accordance with this cooperative agreement announcement.
    (2) The application is not a duplication of a previously funded 
    (3) The application narrative, forms, and materials submitted meet 
the requirements of the announcement, allowing the review panel to 
undertake an in-depth evaluation.
    B. Competitive Review of Eligible Applications
    Applications will undergo an initial pre-screening by the DGO. The 
pre-screening will assess whether applications that meet the 
eligibility requirements are complete, responsive, and conform to 
criteria outlined in this program announcement. The applications that 
meet the minimum criteria will be reviewed for merit by the ORC based 
on the evaluation criteria. The ORC is composed of both Tribal and 
Federal reviewers, 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 by each reviewer on the basis of the evaluation criteria listed 
in Section V.1. The reviewers will use the criteria outlined in this 
announcement 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 scored by the ORC at 60 points and above will be 
recommended for approval and forwarded to the DGO for cost analysis and 
further recommendation. The program official will forward 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 three 
previous years' single audit reports. The comments from the 
individual reviewers that participate in the ORC will be 
recommendations only. The IHS Director will make the final decision 
on awards.

VI. Award Administration Information

1. Award Notices

    The Notice of Award (NoA) is a legally binding document, signed by 
the Grants Management Officer, and serves as the official notification 
of the grant award. The NoA is the authorizing document for which funds 
are dispersed to the approved entities and reflects 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 will be mailed via postal mail to each 
entity that is approved for funding under this announcement. 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 correspondence other than the NoA 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:
    A. The criteria as outlined this Program Announcement.
    B. Program and Administrative Regulations:
     Program Regulations, 42 CFR 136.101 et seq.
     45 CFR Part 92, Uniform Administrative Requirements for 
Grants and Cooperative Agreements to State, Local and Tribal 
    C. Grants Policy:
     HHS Grants Policy Statement, January 2007.
    D. Cost Principles:
     Title 2: Grant and Agreements, Part 225--Cost Principles 
for State, Local, and Indian Tribal Governments (OMB Circular A-87).
    E. Audit Requirements:
     Audits of States, Local Governments, and Non-profit 
Organizations (OMB Circular A-133).

3. Indirect Costs

    This section applies to all grant recipients that request 
reimbursement of indirect costs in their grant application. In 
accordance with the 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 rate 
is not on file with the DGO 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 the DGO. Generally, 
indirect costs rates for IHS grantees are negotiated with the Division 
of Cost Allocation (http://rates.psc.gov/) and the Department of the 
Interior National Business Center (1849 C St., NW., Washington, DC 
20240) (http://www.aqd.nbc.gov/services/ICS/aspx). If your organization 
has questions regarding the indirect cost policy, please contact the 
DGO at (301) 443-5204 to request assistance.

4. Reporting Requirements

    Grantees must submit the reports consistent with the applicable 
deadlines. 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 
    A. Progress Report. Program progress reports are required to be 
submitted semi-annually, within 30 days after the

[[Page 10496]]

budget period ends, 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 after the budget period ends. Final 
financial status reports are due within 90 days of expiration of the 
budget/project period. Standard Form (SF) 269 (long form) will be used 
for financial reporting and the final SF-269 must be verified from the 
grantee's records on how the value was derived.
    C. Federal Cash Transaction Reports are due every calendar quarter 
to the Division of Payment Management (DPM), Payment Management Branch. 
Please refer to the DPM Web site (http://www.dpm.psc.gov/) for 
additional guidance. Failure to submit timely reports may cause a 
disruption in timely payments to your organization.
    Telecommunication for the hearing impaired is available at: TTY 
(301) 443-6394.

VII. IHS Agency Contact(s)

    1. Questions on the programmatic issues may be directed to: Anna 
Old Elk, Program Analyst, Office of Tribal Self-Governance, Telephone 
No.: (301) 443-7821, Fax No.: (301) 443-1050, E-mail: 
[email protected].
    2. Questions on grants management and fiscal matters may be 
directed to: Kimberly M. Pendleton, Grants Management Officer, 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 1, 2010.
Yvette Roubideaux,
Director, Indian Health Service.
[FR Doc. 2010-4854 Filed 3-5-10; 8:45 am]