[Federal Register Volume 81, Number 56 (Wednesday, March 23, 2016)]
[Notices]
[Pages 15533-15540]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2016-06556]
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DEPARTMENT OF HEALTH AND HUMAN SERVICES
Indian Health Service
Office of Tribal Self-Governance; Negotiation Cooperative
Agreement
Announcement Type: New--Limited Competition.
Funding Announcement Number: HHS-2016-IHS-TSGN-0001.
Catalog of Federal Domestic Assistance Number: 93.444.
Key Dates
Application Deadline Date: June 3, 2016.
Review Date: June 17, 2016.
Earliest Anticipated Start Date: July 1, 2016.
Signed Tribal Resolutions Due Date: June 3, 2016.
I. Funding Opportunity Description
Statutory Authority
The Indian Health Service (IHS) Office of Tribal Self-Governance
(OTSG) is accepting limited competition Negotiation Cooperative
Agreement applications for Tribal Self-Governance Program (TSGP). This
program is authorized under Title V of the Indian Self-Determination
and Education Assistance Act (ISDEAA), 25 U.S.C. 458aaa-2(e). This
program is described in the Catalog of Federal Domestic Assistance
(CFDA), available at https://www.cfda.gov/, under 93.444.
Background
The TSGP is more than an IHS program; it is an expression of the
government-to- government relationship between the United States and
Indian Tribes. Through the TSGP, Tribes negotiate with the IHS to
assume Programs, Services, Functions and Activities (PSFAs), or
portions thereof, which gives Tribes the authority to manage and tailor
health care programs in a manner that best fits the needs of their
communities.
Participation in the TSGP is one of three ways that Tribes can
choose to obtain health care from the Federal Government for their
members. Specifically, Tribes can choose to: (1) Receive health care
services directly from the IHS, (2) contract with the IHS to administer
individual PSFAs that the IHS would otherwise provide (referred to as
Title I Self-Determination Contracting), or (3) compact with the IHS to
assume control over healthcare PSFAs that the IHS would otherwise
provide (referred to as Title V Self-Governance Compacting or the
TSGP). These options are not exclusive and Tribes may choose to combine
options based on their individual needs and circumstances.
Participation in the TSGP affords Tribes the most flexibility to tailor
health care PSFAs to the needs of their communities.
The TSGP is a Tribally-driven initiative and strong Tribal/Federal
partnerships are essential for program success. The IHS established the
OTSG to implement Tribal self-governance authorities. The OTSG: (1)
Serves as the primary liaison and advocate for Tribes participating in
the TSGP, (2) develops, directs, and implements TSGP policies and
procedures, (3) provides information and technical assistance to Self-
Governance Tribes, and (4) advises the IHS Director on compliance with
TSGP policies, regulations, and guidelines. Each IHS Area has an Agency
Lead Negotiator (ALN), designated by the IHS Director, who has the
authority to negotiate Self-Governance Compacts and Funding Agreements.
A Tribe should contact their respective ALN to begin the self-
governance planning process or, if
[[Page 15534]]
currently an existing Self-Governance Tribe, discuss methods to expand
current PSFAs. The ALN shall provide an overview of the TSGP
negotiations process and will provide technical assistance as the Tribe
prepares to participate in the TSGP.
Purpose
The purpose of this Negotiation Cooperative Agreement is to provide
Tribes with resources to help defray costs related to preparing for and
conducting TSGP negotiations. TSGP negotiations are a dynamic,
evolving, and Tribally-driven process that requires careful planning
and preparation by both Tribal and Federal parties, including the
sharing of precise, up-to-date information. The design of the
negotiations process: (1) Enables a Tribe to set its own priorities
when assuming responsibility for IHS PSFAs, (2) observes the
government-to-government relationship between the United States and
each Tribe, and (3) involves the active participation of both Tribal
and IHS representatives, including the OTSG. Because each Tribal
situation is unique, a Tribe's successful transition into the TSGP, or
expansion of their current program, requires focused discussions
between the Federal and Tribal negotiation teams about the Tribe's
specific health care concerns and plans.
The negotiations process has four major stages, including: (1)
Planning, (2) pre-negotiations, (3) negotiations, and (4) post-
negotiations. Title V of the ISDEAA requires that a Tribe or Tribal
organization complete a planning phase to the satisfaction of the
Tribe. The planning phase must include legal and budgetary research and
internal Tribal government planning and organizational preparation
relating to the administration of health care programs. During pre-
negotiations, the Tribal and Federal negotiation teams review and
discuss issues identified during the planning phase. A draft compact,
funding agreement, and funding tables are developed, typically by the
Tribe, and distributed to both the Tribal and Federal negotiation
teams. These draft documents are used as the basis for pre- and final
negotiations. Pre-negotiations provide an opportunity for the Tribe and
the IHS to identify and discuss issues directly related to the Tribe's
compact, funding agreement, and Tribal shares. At final negotiations,
Tribal and Federal negotiation teams come together to determine and
agree upon the terms and provisions of the Tribe's compact and funding
agreement.
The Tribal negotiation team must include a Tribal leader from the
governing body. This representative may be a Tribal leader or a
designee, like the Tribal Health Director. The Tribal negotiation team
may also include technical and program staff, legal counsel, and other
consultants. The Federal negotiations team is led by the ALN and
generally includes an OTSG Program Analyst and a member of the Office
of the General Counsel. It may also include other IHS staff and subject
matter experts as needed. The ALN is the only member of the Federal
negotiation team with delegated authority to negotiate on behalf of the
IHS Director.
Negotiations provide an opportunity for the Tribal and Federal
negotiation teams to work together in good faith to enhance each self-
governance agreement. Negotiations are not an allocation process; they
provide an opportunity to mutually review and discuss budget and
program issues. As issues arise, both negotiation teams work through
the issues to reach agreement on the final documents. After the
negotiations are complete, the compact and funding agreement are signed
by the authorizing Tribal official and submitted to the ALN who then
reviews the final package to ensure each document accurately reflects
what was negotiated. Once the ALN completes this review, the final
package is submitted to the OTSG to be prepared for the IHS Director's
signature. After the compact and funding agreement have been signed by
both parties, they become legally binding and enforceable agreements.
The negotiating Tribe then becomes a ``Self-Governance Tribe,'' and a
participant in the TSGP.
A Negotiation Cooperative Agreement is not a prerequisite to enter
the TSGP. A Tribe may use other resources to develop and negotiate its
compact and funding agreement. Tribes that receive a Negotiation
Cooperative Agreement are not obligated to participate in Title V and
may choose to delay or decline participation or expansion in the TSGP.
Limited Competition Justification
There is limited competition under this announcement because the
authorizing legislation restricts eligibility to Tribes that meet
specific criteria. See 25 U.S.C. 458aaa-2(e); 42 CFR 137.24-26; see
also 42 CFR 137.10.
II. Award Information
Type of Award
Cooperative Agreement.
Estimated Funds Available
The total amount of funding identified for fiscal year (FY) 2016 is
approximately $240,000. Individual award amounts are anticipated to be
$48,000. The amount of funding available for competing awards issued
under this announcement are subject to the availability of
appropriations and budgetary priorities of the Agency. The IHS is under
no obligation to make awards that are selected for funding under this
announcement.
Anticipated Number of Awards
Approximately five awards will be issued under this program
announcement.
Project Period
The project period is for 12 months and runs from July 1, 2016 to
June 30, 2017.
Cooperative Agreement
Cooperative agreements awarded by the Department of Health and
Human Services (HHS) are administered under the same policies as a
grant. The funding agency (IHS) is required to have substantial
programmatic involvement in the project during the entire award
segment. Below is a detailed description of the level of involvement
required for both IHS and the grantee. IHS will be responsible for
activities listed under section A and the grantee will be responsible
for activities listed under section B as stated:
Substantial Involvement Description for the TSGP Negotiation
Cooperative Agreement
A. IHS Programmatic Involvement
(1) Provide descriptions of PSFAs and associated funding at all
organizational levels (Service Unit, Area, and Headquarters), including
funding formulas and methodologies related to determining Tribal
shares.
(2) Meet with Negotiation Cooperative Agreement recipient to
provide program information and discuss methods currently used to
manage and deliver health care.
(3) Identify and provide statutes, regulations, and policies that
provide authority for administering IHS programs.
(4) Provide technical assistance on the IHS budget, Tribal shares,
and other topics as needed.
B. Grantee Negotiation Cooperative Agreement Award Activities
(1) Determine the PSFAs that will be negotiated into the Tribe's
compact and funding agreement. Prepare and discuss each PSFA in
comparison to the current level of services provided so that an
informed decision can be made on new or expanded program assumption.
[[Page 15535]]
(2) Identify Tribal shares associated with the PSFAs that will be
included in the funding agreement.
(3) Develop the terms and conditions that will be set forth in both
the compact and funding agreement to submit to the ALN prior to
negotiations.
III. Eligibility Information
1. Eligibility
To be eligible for this Limited Competition Negotiation Cooperative
Agreement under this announcement, an applicant must:
A. Be an ``Indian Tribe'' as defined in 25 U.S.C. 450b(e); a
``Tribal Organization'' as defined in 25 U.S.C. 450b(l); or an ``Inter-
Tribal Consortium'' as defined at 42 CFR 137.10. 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. See Consolidated Appropriations Act, 2014, Public Law 113-76.
By 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 and therefore are eligible to
apply. Those Alaska Tribes not represented by a Self-Governance Tribal
consortium Funding Agreement within their area may still be considered
to participate in the TSGP.
B. Demonstrate, for three fiscal years, financial stability and
financial management capability. The Indian Tribe must provide evidence
that, for the three years prior to participation in Self-Governance,
the Indian Tribe has had 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. See 25 U.S.C. 458aaa-2; 42 CFR 137.15-23.
For Tribes or Tribal organizations that expended $750,000 or more
($500,000 for FYs ending after December 31, 2003) in Federal awards,
the OTSG shall retrieve the audits directly from the Federal Audit
Clearinghouse.
For Tribes or Tribal organizations that expended less than $750,000
($500,000 for FYs ending after December 31, 2003) in Federal awards,
the Tribe or Tribal organization must provide evidence of the program
review correspondence from IHS or Bureau of Indian Affairs officials.
See 42 CFR 137.21-23.
Meeting the eligibility criteria for a Negotiation Cooperative
Agreement does not mean that a Tribe or Tribal organization is eligible
for participation in the IHS TSGP under Title V of the ISDEAA. See 25
U.S.C. 458aaa-2; 42 CFR 137.15-23. For additional information on
eligibility for the IHS TSGP, please visit the Eligibility and Funding
page on the OTSG Web site, located at: http://www.ihs.gov/SelfGovernance.
Note: Please refer to Section IV.2 (Application and Submission
Information/Subsection 2, Content and Form of Application
Submission) for additional proof of applicant status documents
required such as Tribal resolutions, proof of non-profit status,
etc.
2. Cost Sharing or Matching
The IHS does not require matching funds or cost sharing for grants
or cooperative agreements.
3. Other Requirements
If application budgets exceed the highest dollar amount outlined
under the ``Estimated Funds Available'' section within this funding
announcement, the application will be considered ineligible and will
not be reviewed for further consideration. If deemed ineligible, IHS
will not return the application. The applicant will be notified by
email by the Division of Grants Management (DGM) of this decision.
Tribal Resolution
An Indian Tribe or Tribal organization that is proposing a project
affecting another Indian Tribe must include resolutions from all
affected Tribes to be served. Applications by Tribal organizations will
not require a specific Tribal resolution if the current Tribal
resolution(s) under which they operate would encompass the proposed
grant activities.
An official signed Tribal resolution must be received by the DGM
prior to a Notice of Award being issued to any applicant selected for
funding. However, if an official signed Tribal resolution cannot be
submitted with the electronic application submission prior to the
official application deadline date, a draft Tribal resolutions must be
submitted by the deadline in order for the application to be considered
complete and eligible for review. The draft tribal resolution is not in
lieu of the required signed resolution, but is acceptable until a
signed resolution is received. If an official signed Tribal resolution
is not received by DGM when funding decisions are made, then a Notice
of Award will not be issued to that applicant and they will not receive
any IHS funds until such time as they have submitted a signed
resolution to the Grants Management Specialist listed in this Funding
Announcement.
An applicant submitting any of the above additional documentation
after the initial application submission due date is required to ensure
the information was received by the IHS by obtaining documentation
confirming delivery (i.e. FedEx tracking, postal return receipt, etc.).
IV. Application and Submission Information
1. Obtaining Application Materials
The application package and detailed instructions for this
announcement can be found at http://www.Grants.gov or http://www.ihs.gov/dgm/funding/.
Questions regarding the electronic application process may be
directed to Mr. Paul Gettys at (301) 443-2114 or (301) 443-5204.
2. Content and Form Application Submission
The applicant must include the project narrative as an attachment
to the application package. Mandatory documents for all applicants
include:
Table of contents.
Abstract (one page) summarizing the project.
Application forms:
[cir] SF-424, Application for Federal Assistance.
[cir] SF-424A, Budget Information--Non-Construction Programs.
[cir] SF-424B, Assurances--Non-Construction Programs.
Budget Justification and Narrative (must be single spaced
and not exceed five pages).
Project Narrative (must be single spaced and not exceed
ten pages).
[cir] Background information on the Tribe or Tribal organization.
[cir] Proposed scope of work, objectives, and activities that
provide a description of what will be accomplished, including a one-
page Timeframe Chart.
Tribal Resolution(s).
501(c)(3) Certificate (if applicable).
Biographical sketches for all Key Personnel.
Contractor/Consultant resumes or qualifications and scope
of work.
Disclosure of Lobbying Activities (SF-LLL).
Certification Regarding Lobbying (GG-Lobbying Form).
Copy of current Negotiated Indirect Cost rate (IDC)
agreement (required) in order to receive IDC.
Organizational Chart (optional).
Public Policy Requirements
All Federal-wide public policies apply to IHS grants and
cooperative agreements with exception of the Discrimination policy.
[[Page 15536]]
Requirements for Project and Budget Narratives
A. Project Narrative: This narrative should be a separate Word
document that is no longer than ten pages and must: Be single-
spaced, be type written, have consecutively numbered pages, use
black type not smaller than 12 characters per one inch, and be
printed on one side only of standard size 8\1/2\'' x 11'' paper.
Be sure to succinctly address and answer all questions listed
under the narrative and place them under the evaluation criteria
(refer to Section V.1, Evaluation criteria in this announcement) and
place all responses and required information in the correct section
(noted below), or they shall not be considered or scored. These
narratives will assist the Objective Review Committee (ORC) in
becoming familiar with the applicant's activities and
accomplishments prior to this cooperative agreement award. If the
narrative exceeds the page limit, only the first ten pages will be
reviewed. The ten page limit for the narrative does not include the
work plan, standard forms, Tribal resolutions, table of contents,
budget and budget justifications, narratives, and/or other appendix
items.
There are three parts to the narrative: Part A--Program
Information; Part B--Program Planning and Evaluation; and Part C--
Program Report. See below for additional details about what must be
included in the narrative.
Part A: Program Information (4 Page Limitation)
Section 1: Needs
Introduction and Need for Assistance
Demonstrate that the Tribe has conducted previous self-
governance planning activities by clearly stating the results of
what was learned during the planning process. Explain how the Tribe
has determined it has the knowledge and expertise to assume or
expand PSFAs. Identify the need for assistance and how the
Negotiation Cooperative Agreement would benefit the health
activities the Tribe is preparing to assume or expand.
Part B: Program Planning and Evaluation (4 Page Limitation)
Section 1: Program Plans
Project Objective(s), Work Plan and Approach
State in measurable terms the objectives and appropriate
activities to achieve the following Cooperative Agreement Recipient
Award Activities:
(a) Determine the PSFAs that will be negotiated into the Tribe's
Compact and Funding Agreement. Prepare and discuss each PSFA in
comparison to the current level of services provided so that an
informed decision can be made on new or expanded program assumption.
(b) Identify Tribal shares associated with the PSFAs that will
be included in the Funding Agreement.
(c) Develop the terms and conditions that will be set forth in
both the Compact and Funding Agreement to submit to the ALN prior to
negotiations.
(d) Describe fully and clearly how the Tribe's proposal will
result in an improved approach to managing the PSFAs to be assumed
or expanded. Include how the Tribe plans to demonstrate improved
health services to the community and incorporate the proposed
timelines for negotiations.
Organizational Capabilities, Key Personnel and Qualifications
Describe the organizational structure of the Tribe and its
ability to manage the proposed project. Include resumes or position
descriptions of key staff showing requisite experience and
expertise. If applicable, include resumes and scope of work for
consultants that demonstrate experience and expertise relevant to
the project.
Section 2: Program Evaluation
Describe fully and clearly the improvements that will be made by
the Tribe to manage the health care system and identify the
anticipated or expected benefits for the Tribe. Define the criteria
to be used to evaluate objectives associated with the project.
Part C: Program Report (2 Page Limitation)
Section 1: Describe major accomplishments over the last 24
months.
Please identify and describe significant health related
accomplishments associated with the delivery of quality health
services. This section should highlight major program achievements
over the last 24 months.
Section 2: Describe major activities over the last 24 months.
Please provide an overview of significant program activities
associated with the delivery of quality health services over the
last 24 months. This section should address significant program
activities including those related to the accomplishments listed in
the previous section.
B. Budget Narrative: This narrative must include a line item budget
with a narrative justification for all expenditures identifying
reasonable and allowable costs necessary to accomplish the goals and
objectives as outlined in the project narrative. Budget should match
the scope of work described in the project narrative. The page
limitation should not exceed five pages.
3. Submission Dates and Times
Applications must be submitted electronically through Grants.gov by
11:59 p.m. Eastern Daylight Time (EDT) on the Application Deadline Date
listed in the Key Dates section on page one of this announcement. Any
application received after the application deadline will not be
accepted for processing, nor will it be given further consideration for
funding. Grants.gov will notify the applicant via email if the
application is rejected.
If technical challenges arise and assistance is required with the
electronic application process, contact Grants.gov Customer Support via
email 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 Mr. Paul Gettys
([email protected]), DGM Grant Systems Coordinator, by telephone at
(301) 443-2114 or (301) 443-5204. Please be sure to contact Mr. Gettys
at least ten days prior to the application deadline. Please do not
contact the DGM until you have received a Grants.gov tracking number.
In the event you are not able to obtain a tracking number, call the DGM
as soon as possible.
If the applicant needs to submit a paper application instead of
submitting electronically through Grants.gov, a waiver must be
requested. Prior approval must be requested and obtained from Mr.
Robert Tarwater, Director, DGM. The waiver must: (1) Be documented in
writing (emails are acceptable), before submitting a paper application,
and (2) include clear justification for the need to deviate from the
required electronic grants submission process. A written waiver request
must be sent to [email protected] with a copy to
[email protected]. Once the waiver request has been approved, the
applicant will receive a confirmation of approval email containing
submission instructions and the mailing address to submit the
application. A copy of the written approval must be submitted along
with the hardcopy of the application that is mailed to DGM. Paper
applications that are submitted without a copy of the signed waiver
from the Director of Grants Management, will not be reviewed or
considered for funding. The applicant will be notified via email of
this decision by the Grants Management Officer of the DGM. Paper
applications must be received by the DGM no later than 5:00 p.m., EDT,
on the Application Deadline Date listed in the Key Dates section on
page one of this announcement. Late applications will not be accepted
for processing or considered for funding.
4. Intergovernmental Review
Executive Order 12372 requiring intergovernmental review is not
applicable to this program.
5. Funding Restrictions
Pre-award costs are not allowable.
The available funds are inclusive of direct and
appropriate indirect costs.
Only one grant/cooperative agreement will be awarded per
applicant per grant cycle. Tribes cannot apply for both the Planning
Cooperative
[[Page 15537]]
Agreement and the Negotiation Cooperative Agreement within the same
grant cycle.
IHS will not acknowledge receipt of applications.
6. Electronic Submission Requirements
All applications must be submitted electronically. Please use the
http://www.Grants.gov Web site to submit an application electronically
and select the ``Find Grant Opportunities'' link on the homepage.
Download a copy of the application package, complete it offline, and
then upload and submit the completed application via the http://www.Grants.gov Web site. Electronic copies of the application may not
be submitted as attachments to email messages addressed to IHS
employees or offices.
If the applicant receives a waiver to submit paper application
documents, they must follow the rules and timelines that are noted
below. The applicant must seek assistance at least ten days prior to
the Application Deadline Date listed in the Key Dates section on page
one of this announcement.
Applicants that do not adhere to the timelines for System for Award
Management (SAM) and/or http://www.Grants.gov registration or that fail
to request timely assistance with technical issues will not be
considered for a waiver to submit a paper application.
Please be aware of the following:
Please search for the application package in http://www.Grants.gov by entering the CFDA number or the Funding Opportunity
Number. Both numbers are located in the header of this announcement.
If you experience technical challenges while submitting
your application electronically, please contact Grants.gov Support
directly at: [email protected] or (800) 518-4726. Customer Support is
available to address questions 24 hours a day, 7 days a week (except on
Federal holidays).
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 from the agency must be
obtained.
If it is determined that a waiver is needed, the applicant
must submit a request in writing (emails are acceptable) to
[email protected] with a copy to [email protected]. Please
include a clear justification for the need to deviate from the standard
electronic submission process.
If the waiver is approved, the application should be sent
directly to the DGM by the Application Deadline Date listed in the Key
Dates section on page one of this announcement.
Applicants are strongly encouraged not to wait until the
deadline date to begin the application process through Grants.gov as
the registration process for SAM and Grants.gov could take up to
fifteen working days.
Please use the optional attachment feature in Grants.gov
to attach additional documentation that may be requested by the DGM.
All applicants must comply with any page limitation
requirements described in this Funding Announcement.
After electronically submitting the application, the
applicant will receive an automatic acknowledgment from Grants.gov that
contains a Grants.gov tracking number. The DGM will download the
application from Grants.gov and provide necessary copies to the
appropriate agency officials. Neither the DGM nor the OTSG will notify
the applicant that the application has been received.
Email applications will not be accepted under this
announcement.
Dun and Bradstreet (D&B) Data Universal Numbering System (DUNS)
All IHS applicants and grantee organizations are required to obtain
a DUNS number and maintain an active registration in the SAM database.
The DUNS number is a unique 9-digit identification number provided by
D&B which uniquely identifies each 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, please access it through http://fedgov.dnb.com/webform, or to expedite the process, call (866) 705-
5711.
All HHS recipients are required by the Federal Funding
Accountability and Transparency Act of 2006, as amended (``Transparency
Act''), to report information on sub-awards. Accordingly, all IHS
grantees must notify potential first-tier sub-recipients that no entity
may receive a first-tier sub-award unless the entity has provided its
DUNS number to the prime grantee organization. This requirement ensures
the use of a universal identifier to enhance the quality of information
available to the public pursuant to the Transparency Act.
System for Award Management (SAM)
Organizations that were not registered with Central Contractor
Registration (CCR) and have not registered with SAM will need to obtain
a DUNS number first and then access the SAM online registration through
the SAM home page at https://www.sam.gov (U.S. organizations will also
need to provide an Employer Identification Number from the Internal
Revenue Service that may take an additional 2-5 weeks to become
active). Completing and submitting the registration takes approximately
one hour to complete and SAM registration will take 3-5 business days
to process. Registration with the SAM is free of charge. Applicants may
register online at https://www.sam.gov.
Additional information on implementing the Transparency Act,
including the specific requirements for DUNS and SAM, can be found on
the IHS Grants Management, Grants Policy Web site: http://www.ihs.gov/dgm/policytopics/.
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.
The ten page narrative should be written in a manner that is clear and
concise to outside reviewers unfamiliar with prior related activities
of the applicant. It should be well organized, succinct, and contain
all information necessary for reviewers to understand the project
fully. Points will be assigned to each evaluation criteria adding up to
a total of 100 points. A minimum score of 60 points is required for
funding. Points are assigned as follows:
1. Criteria
A. Introduction and Need for Assistance (25 Points)
Demonstrate that the Tribe has conducted previous self-governance
planning activities by clearly stating the results of what was learned
during the planning process. Explain how the Tribe has determined it
has the knowledge and expertise to assume or expand PSFAs. Identify the
need for assistance and how the Negotiation Cooperative Agreement would
benefit the health activities the Tribe is preparing to assume or
expand.
B. Project Objective(s), Work Plan and Approach (25 Points)
State in measurable terms the objectives and appropriate activities
to achieve the following Cooperative Agreement Recipient Award
Activities:
1. Determine the PSFAs that will be negotiated into the Tribe's
Compact and Funding Agreement. Prepare and discuss each PSFA in
comparison to the
[[Page 15538]]
current level of services provided so that an informed decision can be
made on new or expanded program assumption.
2. Identify Tribal shares associated with the PSFAs that will be
included in the Funding Agreement.
3. Develop the terms and conditions that will be set forth in both
the Compact and Funding Agreement to submit to the ALN prior to
negotiations. Clearly describe how the Tribe's proposal will result in
an improved approach to managing the PSFAs to be assumed or expanded.
Include how the Tribe plans to demonstrate improved health care
services to the community and incorporate the proposed timelines for
negotiations.
C. Program Evaluation (25 Points)
Describe fully the improvements that will be made by the Tribe to
manage the health care system and identify the anticipated or expected
benefits for the Tribe. Define the criteria to be used to evaluate
objectives associated with the project.
D. Organizational Capabilities, Key Personnel and Qualifications (15
Points)
Describe the organizational structure of the Tribe and its ability
to manage the proposed project. Include resumes or position
descriptions of key staff showing requisite experience and expertise.
If applicable, include resumes and scope of work for consultants that
demonstrate experience and expertise relevant to the project.
E. Categorical Budget and Budget Justification (10 Points)
Submit a budget with a narrative describing the budget request and
matching the scope of work described in the project narrative. Justify
all expenditures identifying reasonable and allowable costs necessary
to accomplish the goals and objectives as outlined in the project
narrative.
Additional Documents Can Be Uploaded as Appendix Items in Grants.gov
Work plan, logic model and/or time line for proposed
objectives.
Position descriptions for key staff.
Resumes of key staff that reflect current duties.
Consultant or contractor proposed scope of work and letter
of commitment (if applicable).
Current Indirect Cost Agreement.
Organizational chart.
Map of area identifying project location(s).
Additional documents to support narrative (i.e. data
tables, key news articles, etc.).
2. Review and Selection
Each application will be prescreened by the DGM staff for
eligibility and completeness as outlined in the funding announcement.
Applications that meet the eligibility criteria shall be reviewed for
merit by the ORC based on evaluation criteria in this funding
announcement. The ORC could be composed of both Tribal and Federal
reviewers appointed by the OTSG to review and make recommendations on
these applications. The technical review process ensures selection of
quality projects in a national competition for limited funding.
Incomplete applications and applications that are non-responsive to the
eligibility criteria will not be referred to the ORC. The applicant
will be notified via email of this decision by the Grants Management
Officer of the DGM. Applicants will be notified by DGM, via email, to
outline minor missing components (i.e., budget narratives, audit
documentation, key contact form) needed for an otherwise complete
application. All missing documents must be sent to DGM on or before the
due date listed in the email of notification of missing documents
required.
To obtain a minimum score for funding by the ORC, applicants must
address all program requirements and provide all required documentation
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 will be initiated by the DGM in our grant
system, GrantSolutions (https://www.grantsolutions.gov). Each entity
that is approved for funding under this announcement will need to
request or have a user account in GrantSolutions in order to retrieve
their NoA. 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.
Disapproved Applicants
Applicants who received a score less than the recommended funding
level for approval (60 points) and were deemed to be disapproved by the
ORC, will receive an Executive Summary Statement from the IHS program
office within 30 days of the conclusion of the ORC outlining the
strengths and weaknesses of their application submitted. The OTSG will
also provide additional contact information as needed to address
questions and concerns as well as provide technical assistance if
desired.
Approved But Unfunded Applicants
Approved but unfunded applicants that met the minimum scoring range
and were deemed by the ORC to be ``Approved'', but were not funded due
to lack of funding, will have their applications held by DGM for a
period of one year. If additional funding becomes available during the
course of FY 2016, the approved but unfunded application may be re-
considered by the OTSG for possible funding. The applicant will also
receive an Executive Summary Statement from the OTSG within 30 days of
the conclusion of the ORC.
Note: Any correspondence other than the official NoA signed by
an IHS Grants Management Official announcing to the Project Director
that an award has been made to their organization is not an
authorization to implement their program on behalf of IHS.
2. Administrative Requirements
Cooperative agreements are administered in accordance with the
following regulations, policies, and OMB cost principles:
A. The criteria as outlined in this Program Announcement.
B. Administrative Regulations for Grants:
Uniform Administrative Requirements for HHS Awards,
located at 45 C.F.R Part 75.
C. Grants Policy:
HHS Grants Policy Statement, Revised 01/07.
D. Cost Principles:
Uniform Administrative Requirements for HHS Awards, ``Cost
Principles,'' located at 45 CFR part 75, subpart E.
E. Audit Requirements:
Uniform Administrative Requirements for HHS Awards,
``Audit Requirements,'' located at 45 CFR part 75, subpart F.
3. Indirect Costs
This section applies to all grant recipients that request
reimbursement of indirect costs (IDC) in their grant application. In
accordance with HHS Grants Policy Statement, Part II-27, IHS requires
applicants to obtain a current IDC rate agreement 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 covers the applicable grant activities under the current
award's
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budget period. If the current rate is not on file with the DGM at the
time of award, the IDC portion of the budget will be restricted. The
restrictions remain in place until the current rate is provided to the
DGM.
Generally, IDC rates for IHS grantees are negotiated with the
Division of Cost Allocation (DCA) https://rates.psc.gov/ and the
Department of Interior (Interior Business Center) https://www.doi.gov/ibc/services/finance/indirect-Cost-Services/indian-tribes. For
questions regarding the indirect cost policy, please call the Grants
Management Specialist listed under ``Agency Contacts'' or the main DGM
office at (301) 443-5204.
4. Reporting Requirements
The grantee must submit required reports consistent with the
applicable deadlines. Failure to submit required reports within the
time allowed may result in suspension or termination of an active
grant, 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 requirement
applies whether the delinquency is attributable to the failure of the
grantee organization or the individual responsible for preparation of
the reports. Per DGM policy, all reports are required to be submitted
electronically by attaching them as a ``Grants Note'' in
GrantSolutions. Personnel responsible for submitting reports will be
required to obtain a login and password for GrantSolutions. Please see
the Agency Contacts list in section VII for the systems contact
information.
The reporting requirements for this program are noted below.
A. Progress Reports
Program progress reports are required semi-annually, within 30 days
after the budget period ends. These reports must include a brief
comparison of actual accomplishments to the goals established for the
period, a summary of progress to date 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 Reports
Federal Financial Report FFR (SF-425), Cash Transaction Reports are
due 30 days after the close of every calendar quarter to the Payment
Management Services, HHS at: http://www.dpm.psc.gov. It is recommended
that the applicant also send a copy of the FFR (SF-425) report to the
Grants Management Specialist. Failure to submit timely reports may
cause a disruption in timely payments to the organization.
Grantees are responsible and accountable for accurate information
being reported on all required reports: the Progress Reports and
Federal Financial Report.
C. Federal Sub-Award Reporting System (FSRS)
This award may be subject to the Transparency Act sub-award and
executive compensation reporting requirements of 2 CFR part 170.
The Transparency Act requires the OMB to establish a single
searchable database, accessible to the public, with information on
financial assistance awards made by Federal agencies. The Transparency
Act also includes a requirement for recipients of Federal grants to
report information about first-tier sub-awards and executive
compensation under Federal assistance awards.
IHS has implemented a Term of Award into all IHS Standard Terms and
Conditions, NoAs and funding announcements regarding the FSRS reporting
requirement. This IHS Term of Award is applicable to all IHS grant and
cooperative agreements issued on or after October 1, 2010, with a
$25,000 sub-award obligation dollar threshold met for any specific
reporting period. Additionally, all new (discretionary) IHS awards
(where the project period is made up of more than one budget period)
and where: (1) The project period start date was October 1, 2010 or
after and (2) the primary awardee will have a $25,000 sub-award
obligation dollar threshold during any specific reporting period will
be required to address the FSRS reporting. For the full IHS award term
implementing this requirement and additional award applicability
information, visit the DGM Grants Policy Web site at: http://www.ihs.gov/dgm/policytopics/.
D. Compliance With Executive Order 13166 Implementation of Services
Accessibility Provisions for All Grant Application Packages and Funding
Opportunity Announcements
Recipients of federal financial assistance (FFA) from HHS must
administer their programs in compliance with federal civil rights law.
This means that recipients of HHS funds must ensure equal access to
their programs without regard to a person's race, color, national
origin, disability, age and, in some circumstances, sex and religion.
This includes ensuring your programs are accessible to persons with
limited English proficiency. HHS provides guidance to recipients of FFA
on meeting their legal obligation to take reasonable steps to provide
meaningful access to their programs by persons with limited English
proficiency. Please see http://www.hhs.gov/civil-rights/for-individuals/special-topics/limited-english-proficiency/guidance-federal-financial-assistance-recipients-title-VI/.
The HHS Office for Civil Rights also provides guidance on complying
with civil rights laws enforced by HHS. Please see http://www.hhs.gov/civil-rights/for-individuals/section-1557/index.html; and http://www.hhs.gov/civil-rights/index.html. Recipients of FFA also have
specific legal obligations for serving qualified individuals with
disabilities. Please see http://www.hhs.gov/civil-rights/for-individuals/disability/index.html. Please contact the HHS Office for
Civil Rights for more information about obligations and prohibitions
under federal civil rights laws at http://www.hhs.gov/civil-rights/for-individuals/disability/index.html or call 1-800-368-1019 or TDD 1-800-
537-7697. Also note it is an HHS Departmental goal to ensure access to
quality, culturally competent care, including long-term services and
supports, for vulnerable populations. For further guidance on providing
culturally and linguistically appropriate services, recipients should
review the National Standards for Culturally and Linguistically
Appropriate Services in Health and Health Care at http://minorityhealth.hhs.gov/omh/browse.aspx?lvl=2&lvlid=53.
Pursuant to 45 CFR 80.3(d), an individual shall not be deemed
subjected to discrimination by reason of his/her exclusion from
benefits limited by federal law to individuals eligible for benefits
and services from the Indian Health Service.
Recipients will be required to sign the HHS-690 Assurance of
Compliance form which can be obtained from the following Web site:
http://www.hhs.gov/sites/default/files/forms/hhs-690.pdf, and send it
directly to the: U.S. Department of Health and Human Services, Office
of Civil Rights, 200 Independence Ave. SW., Washington, DC 20201.
E. Federal Awardee Performance and Integrity Information System
(FAPIIS)
The IHS is required to review and consider any information about
the
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applicant that is in the Federal Awardee Performance and Integrity
Information System (FAPIIS) before making any award in excess of the
simplified acquisition threshold (currently $150,000) over the period
of performance. An applicant may review and comment on any information
about itself that a federal awarding agency previously entered. IHS
will consider any comments by the applicant, in addition to other
information in FAPIIS in making a judgment about the applicant's
integrity, business ethics, and record of performance under federal
awards when completing the review of risk posed by applicants as
described in 45 CFR 75.205.
As required by 45 CFR part 75 Appendix XII of the Uniform Guidance,
non-federal entities (NFEs) are required to disclose in FAPIIS any
information about criminal, civil, and administrative proceedings, and/
or affirm that there is no new information to provide. This applies to
NFEs that receive federal awards (currently active grants, cooperative
agreements, and procurement contracts) greater than $10,000,000 for any
period of time during the period of performance of an award/project.
Mandatory Disclosure Requirements
As required by 2 CFR part 200 of the Uniform Guidance, and the HHS
implementing regulations at 45 CFR part 75, effective January 1, 2016,
the Indian Health Service must require a non-federal entity or an
applicant for a federal award to disclose, in a timely manner, in
writing to the IHS or pass-through entity all violations of federal
criminal law involving fraud, bribery, or gratuity violations
potentially affecting the federal award.
Submission is required for all applicants and recipients, in
writing, to the IHS and to the HHS Office of Inspector General all
information related to violations of federal criminal law involving
fraud, bribery, or gratuity violations potentially affecting the
federal award. 45 CFR 75.113.
Disclosures must be sent in writing to: U.S. Department of Health
and Human Services, Indian Health Service, Division of Grants
Management, ATTN: Robert Tarwater, Director, 5600 Fishers Lane,
Mailstop 09E70, Rockville, Maryland 20857. (Include ``Mandatory Grant
Disclosures'' in subject line)
Ofc: (301) 443-5204
Fax: (301-594-0899
Email: [email protected]
and
U.S. Department of Health and Human Services, Office of Inspector
General, ATTN: Mandatory Grant Disclosures, Intake Coordinator, 330
Independence Avenue SW., Cohen Building, Room 5527, Washington, DC
20201. URL: http://oig.hhs.gov/fraud/reportfraud/index.asp. (Include
``Mandatory Grant Disclosures'' in subject line)
Fax: (202) 205-0604 (Include ``Mandatory Grant Disclosures'' in subject
line) or
Email: [email protected]
Failure to make required disclosures can result in any of the
remedies described in 45 CFR 75.371 Remedies for noncompliance,
including suspension or debarment (See 2 CFR parts 180 & 376 and 31
U.S.C. 3321).
VII. Agency Contacts
1. Questions on the programmatic issues may be directed to: Jeremy
Marshall, Program Officer, Office of Tribal Self-Governance, 5600
Fishers Lane, Mail Stop: 08E05, Rockville, MD 20857. Phone: (301) 443-
1912, Fax: (301) 443-1050, Email: [email protected], Web site:
www.ihs.gov/self-governance.
2. Questions on grants management and fiscal matters may be
directed to: Vanietta Armstrong, Grants Management Specialist, 5600
Fishers Lane, Mail Stop: 09E70, Rockville, MD 20857. Phone: (301) 443-
4792, Fax: (301) 594-0899, Email: [email protected].
3. Questions on systems matters may be directed to: Paul Gettys,
Grant Systems Coordinator, 5600 Fishers Lane, Mail Stop: 09E70,
Rockville, MD 20857. Phone: 301-443-2114; or the DGM main line 301-443-
5204, Fax: (301) 594-0899, E-Mail: [email protected].
VIII. Other Information
The Public Health Service 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 HHS mission to protect and advance the physical and
mental health of the American people.
Dated: Macrch 17, 2016.
Elizabeth Fowler,
Deputy Director for Management Operations, Indian Health Service.
[FR Doc. 2016-06556 Filed 3-22-16; 8:45 am]
BILLING CODE 4165-16-P