Tribal Self-Governance Program, Negotiation Cooperative Agreement, Announcement Type: New-Limited Competition, 37821-37828 [2013-14932]

Agencies

• DEPARTMENT OF HEALTH AND HUMAN SERVICES
• Indian Health Service

[Federal Register Volume 78, Number 121 (Monday, June 24, 2013)]
[Notices]
[Pages 37821-37828]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2013-14932]


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DEPARTMENT OF HEALTH AND HUMAN SERVICES

Indian Health Service


Tribal Self-Governance Program, Negotiation Cooperative 
Agreement, Announcement Type: New--Limited Competition

    Funding Announcement Number: HHS-2013-IHS-TSGN-0001.

Catalog of Federal Domestic Assistance Number: 93.444.

Key Dates

    Application Deadline Date: July 31, 2013.
    Review Date: August 12, 2013.
    Earliest Anticipated Start Date: August 30, 2013.
    Signed Tribal Resolutions Due Date: July 31, 2013.

[[Page 37822]]

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 the 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 IHS Programs, Services, Functions and Activities (PSFAs), or 
portions thereof, which enables Tribes 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 the IHS would otherwise provide (referred to as Title 
I Self-Determination Contracting), or (3) compact with the IHS to 
assume control over health care PSFAs the IHS would otherwise provide 
(referred to as Title V Self-Governance Compacting or the TSGP). These 
options are not exclusive; Tribes may choose to combine them 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 Federal-Tribal 
partnerships are essential to the program's success. The IHS 
established the OTSG to implement Tribal Self-Governance authorities 
within the IHS. The OTSG: (1) Serves as the primary liaison and 
advocate for Tribes participating in the TSGP, (2) develops, directs, 
and implements Tribal Self-Governance policies and procedures, (3) 
provides information and technical assistance to Self-Governance 
Tribes, and (4) advises the IHS Director on IHS compliance with TSGP 
policies, regulations, and guidelines. Each IHS Area has an Agency Lead 
Negotiator (ALN) that negotiates Self-Governance instruments (Compacts 
and Funding Agreements) on behalf of the IHS Director. A Tribe should 
contact the respective ALN to begin the Self-Governance negotiations 
process and discuss methods to expand current PSFAs. The ALN shall 
provide an overview of the TSGP and provide technical assistance as the 
Tribe explores the option of participating in or expanding current 
PSFAs within 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 organization 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 table 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 Tribes 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 negotiation 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; the 
negotiation teams 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 
agreed to during negotiations. 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 receipt of a Negotiation Cooperative Agreement is not a 
prerequisite to enter the TSGP. A Tribe may use its own 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 (refer to Section III.1.Eligibility of this 
announcement). See 25 U.S.C. 458aaa-2(e); 42 CFR 137.24-26; see also 42 
CFR 137.10. Tribes eligible to compete for the Negotiation Cooperative 
Agreements include: any Indian Tribe

[[Page 37823]]

that has not previously received a Negotiation Cooperative Agreement; 
any Indian Tribe that has previously received a Negotiation Cooperative 
Agreement but chose not to enter the TSGP; and those Indian Tribes that 
received a Negotiation Cooperative Agreement, entered the TSGP, and 
would like to plan for the assumption of new or expanded PSFAs.

II. Award Information

Type of Award

    Cooperative Agreement.

Estimated Funds Available

    The total amount of funding identified for the current Fiscal Year 
(FY) 2013 is approximately $240,000. Individual award amounts are 
anticipated to be $48,000.
    Competing awards issued under this announcement are subject to the 
availability of funds. In the absence of funding, 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 August 30, 2013 
to August 29, 2014.

Cooperative Agreement

    In the HHS, a cooperative agreement is administered under the same 
policies as a grant. The funding agency (IHS) has 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 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 Cooperative Agreement Award Activities
    (1) Determine the PSFAs that will be negotiated into the Tribe's 
Compact and Funding Agreement and prepare to 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.
    (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 already participating in the Alaska Trial Health Compact of 
1998. See Consolidated Appropriations Act, 2012, Public Law 112-74. 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. 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. Submit a Tribal resolution from the appropriate governing body 
of each Indian Tribe to be served by the ISDEAA Compact authorizing the 
submission of the Negotiation Cooperative Agreement application. Tribal 
consortia applying for a TSGP Negotiation Cooperative Agreement shall 
submit Tribal Council resolutions from each Tribe in the consortium. 
Tribal resolutions can be attached to the electronic online 
application. Draft resolutions can be submitted with the application in 
lieu of an official signed resolution; however an official signed 
Tribal resolution must be received by the Division of Grants Management 
(DGM) prior to the Objective Review. If the DGM does not receive an 
official signed resolution by the Review Date listed under the Key 
Dates section on page one of this announcement, then the application 
shall be considered incomplete and ineligible for review or further 
consideration.
    Official signed resolutions can be mailed to the DGM, Attn: Mr. 
John Hoffman, 801 Thompson Avenue, TMP Suite 360, Rockville, MD 20852. 
Applicants submitting Tribal resolutions after or aside from the online 
electronic application submission must ensure that the information is 
received by the IHS, DGM. It is highly recommended that the 
documentation be sent by a delivery method that includes delivery 
confirmation and tracking. Please contact Mr. John Hoffman by telephone 
at (301) 443-5204 prior to the Review Date regarding submission 
questions.
    C. 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 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 $300,000 or more 
($500,000 for Fiscal Years ending after December 31, 2003) in Federal 
awards, the OTSG shall retrieve the audits directly from the Federal 
Audit Clearinghouse database.
    For Tribes or Tribal organizations that expended less than $300,000 
($500,000 for Fiscal Years 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.
    Please note that 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, 25 U.S.C. 458aaa-2; 42 CFR 137.15-23.
    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.

[[Page 37824]]

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 DGM of this decision.

IV. Application and Submission Information

1. Obtaining Application Materials

    The application package and detailed instructions for this 
announcement can be found at https://www.Grants.gov or https://www.ihs.gov/dgm/index.cfm?module=dsp_dgm_funding
    Additional information regarding the TSGP may also be found on the 
OTSG Web site at: https://www.ihs.gov/selfgovernance.
    Questions regarding the electronic application process may be 
directed to Mr. Paul Gettys, Grants Systems Coordinator, at (301) 443-
2114 or by email at Paul.Gettys@ihs.gov.

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 with exception 
of the Discrimination policy.
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 answer all questions listed 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 will not be considered or 
scored. These narratives will assist the Objective Review Committee 
(ORC) in becoming more familiar with the grantee's activities and 
accomplishments prior to this grant award. If the narrative exceeds the 
page limit, only the first ten pages will be reviewed. The 10-page 
limit for the narrative does not include the work plan, standard forms, 
Tribal resolutions, table of contents, budget, 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 and prepare to 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.
    Describe fully and clearly how the Tribe's proposal will result in 
an improved approach to managing the PSFAs to be assumed or expanded, 
including how the Tribe plans to demonstrate improved health services 
to the community. Include 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
    Define the criteria to be used to evaluate planning activities. 
Describe fully and clearly the methodology that will be used to 
determine if the needs identified are being met and if the outcomes are 
being achieved.
    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.

[[Page 37825]]

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 describe the budget 
requested and match the scope of work described 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 
12:00 a.m., midnight 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. The applicant will be notified by the DGM 
via email of this decision.
    If technical challenges arise and assistance is required with the 
electronic application process, contact Grants.gov Customer Support via 
email to support@grants.gov 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, DGM 
Grants Systems Coordinator, by telephone at (301) 443-2114 or via email 
at Paul.Gettys@ihs.gov. 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 via Grants.gov, prior approval must be 
requested and obtained (see Section IV.6 below for additional 
information). The waiver must be documented in writing (emails 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 DGM. Once the waiver request has been approved, the 
applicant will receive a confirmation of approval and the mailing 
address to submit the application. Paper applications that are 
submitted without a waiver from the Acting Director of DGM will not be 
reviewed or considered further for funding. The applicant will be 
notified via email of this decision by the Grants Management Officer of 
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.
     Although IHS shall only award one Negotiation Cooperative 
Agreement per applicant per grant cycle, a Tribe may also apply for a 
Planning Cooperative Agreement within the same grant cycle. Both 
applications shall be reviewed separately for merit by the ORC based on 
the evaluation criteria.
     IHS will not acknowledge receipt of applications.

6. Electronic Submission Requirements

    All applications must be submitted electronically. Please use the 
https://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 https://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 an applicant receives a waiver to submit paper application 
documents, the applicant 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 https://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 https://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: support@grants.gov 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 
GrantsPolicy@ihs.gov with a copy to Tammy.Bagley@ihs.gov. 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

[[Page 37826]]

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 https://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 subawards. Accordingly, all IHS 
grantees must notify potential first-tier subrecipients that no entity 
may receive a first-tier subaward 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: https://www.ihs.gov/dgm/index.cfm?module=dsp_dgm_policy_topics.

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 narrative section should be written in a manner that is clear 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 (30 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 and prepare to 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.
    (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.
    Describe fully and clearly how the Tribe's proposal will result in 
an improved approach to managing the PSFAs to be assumed or expanded, 
including how the Tribe plans to demonstrate improved health services 
to the community. Include proposed timelines for negotiations.
C. Program Evaluation (10 points)
    Define the criteria to be used to evaluate objectives associated 
with the project. Describe fully and clearly: (1) the methodology that 
will be used to determine if the needs identified are being met and if 
the outcomes identified are being achieved, and (2) 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.
D. Organizational Capabilities, Key Personnel and Qualifications (20 
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 (15 points)
    Submit 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.
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(s) highlighting proposed project 
staff and their supervisors as well as other key contacts within the 
organization and key community contacts.
     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 minimum criteria shall be reviewed for merit 
by the ORC based on evaluation criteria. The ORC is 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. 
Applicants will be notified by DGM, via email, to outline minor missing 
components (i.e., signature on the SF-424, audit documentation, key 
contact form) needed for an otherwise complete application. All missing 
documents must be sent to DGM on or before the

[[Page 37827]]

due date listed in the email of notification of missing documents 
required.
    To obtain a minimum score the applicant must address all program 
requirements and provide all required documentation. If an applicant 
receives less than the minimum score, it will be considered to be 
``Disapproved'' and will be informed via email by the OTSG of their 
application's deficiencies. A summary statement outlining the strengths 
and weaknesses of the application will be provided to each disapproved 
applicant. The summary statement will be sent to the Authorized 
Organizational Representative that is identified on the face page (SF-
424), of the application within 30 days of the completion of the 
Objective Review.

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: (1) received a score less than the recommended 
funding level for approval, 60 points; and (2) were deemed to be 
disapproved by the ORC, will receive an Executive Summary Statement 
from OTSG outlining the weaknesses and strengths of the application 
within 30 days of the conclusion of the ORC. 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 funds, will have their applications held by DGM for a period 
of one year after the official conclusion of the Objective Review. If 
additional funding becomes available during the course of FY 2013, the 
approved 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:
     45 CFR Part 92, Uniform Administrative Requirements for 
Grants and Cooperative Agreements to State, Local and Tribal 
Governments.
     45 CFR Part 74, Uniform Administrative Requirements for 
Awards and Subawards to Institutions of Higher Education, Hospitals, 
and other Non-profit Organizations.
    C. Grants Policy:
     HHS Grants Policy Statement, Revised 01/07.
    D. Cost Principles:
     2 CFR Part 225--Cost Principles for State, Local, and 
Indian Tribal Governments (OMB Circular A-87).
     2 CFR Part 230--Cost Principles for Non-Profit 
Organizations (OMB Circular A-122).
    E. Audit Requirements:
     OMB 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 (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 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/Indirect_Cost_Services/index.cfm. For questions 
regarding the indirect cost policy, please call the DGM staff at (301) 
443-5204 to request assistance.

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. Reports must be submitted electronically via 
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, 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 Division 
of Payment Management, HHS at: https://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.

[[Page 37828]]

    Grantees are responsible and accountable for accurate information 
being reported on all required reports: The Progress Reports and 
Federal Financial Report.
C. Federal Subaward Reporting System (FSRS)
    This award may be subject to the Transparency Act subaward 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 subawards 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 subaward 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 subaward 
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 Grants Management Grants Policy Web site at: 
https://www.ihs.gov/dgm/index.cfm?module=dsp_dgm_policy_topics.
    Telecommunication for the hearing impaired is available at: TTY 
(301) 443-6394.

VII. Agency Contacts

1. Questions on the programmatic issues may be directed to: Anna 
Johnson, Program Official, Office of Tribal Self-Governance, 801 
Thompson Avenue, Suite 240, Rockville, MD 20852, Phone: (301) 443-7821, 
Fax: (301) 443-4666, Email: Anna.Johnson2@ihs.gov, Web site: 
www.ihs.gov/selfgovernance.
2. Questions on grants management and fiscal matters may be directed 
to: John Hoffman, Grants Management Specialist, Division of Grants 
Management, 801 Thompson Avenue, TMP Suite 360, Rockville, MD 20852, 
Phone: (301) 443-5204, Fax: (301) 443-9602, Email: 
John.Hoffman@ihs.gov.
3. Questions on systems matters may be directed to: Paul Gettys, Grant 
Systems Coordinator, 801 Thompson Avenue, TMP Suite 360, Rockville, MD 
20852, Phone: 301-443-2114; or the DGM main line 301-443-5204, Fax: 
301-443-9602, E-Mail: Paul.Gettys@ihs.gov.

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: June 13, 2013.
Yvette Roubideaux,
Acting Director, Indian Health Service.
[FR Doc. 2013-14932 Filed 6-21-13; 8:45 am]
BILLING CODE 4165-16-P