Office of Tribal Self-Governance Program, Negotiation Cooperative Agreement, 44049-44056 [2014-17800]

Agencies

• DEPARTMENT OF HEALTH AND HUMAN SERVICES
• Indian Health Service

[Federal Register Volume 79, Number 145 (Tuesday, July 29, 2014)]
[Notices]
[Pages 44049-44056]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2014-17800]


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DEPARTMENT OF HEALTH AND HUMAN SERVICES

Indian Health Service


Office of Tribal Self-Governance Program, Negotiation Cooperative 
Agreement

    Announcement Type: New--Limited Competition.
    Funding Announcement Number: HHS-2014-IHS-TSGN-0001.

    Catalog of Federal Domestic Assistance Number: 93.444.

Key Dates

    Application Deadline Date: August 29, 2014.
    Review Date: September 8, 2014.
    Earliest Anticipated Start Date: September 15, 2014.
    Signed Tribal Resolutions Due Date: August 29, 2014.

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. Sec.  
458aaa-2(e). The 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 Tribal Self-Governance 
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 the respective ALN to 
begin the Self-Governance planning process or, if 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

[[Page 44050]]

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 Sec. Sec.  137.24-
26; see also 42 CFR Sec.  137.10.

II. Award Information

Type of Award

Cooperative Agreement.

Estimated Funds Available

    The total amount of funding identified for fiscal year (FY) 2014 is 
approximately $144,000. Individual award amounts are anticipated to be 
$48,000. The amount of funding available for competing awards issued 
under this announcement is 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 three awards will be issued under this program 
announcement.

Project Period

    The project period is for 12 months and runs from September 1, 2014 
to August 31, 2015.

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.
    (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. Sec.  450b(e); a 
``Tribal Organization'' as defined in 25 U.S.C. Sec.  450b(l); or an 
``Inter-Tribal Consortium'' as defined at 42 CFR Sec.  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, Pub. 
L. No. 113-76. By statute, the Native Village of Eyak, Eastern Aleutian 
Tribes, Inc., 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

[[Page 44051]]

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. 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.
    Draft Tribal resolutions are acceptable in lieu of official signed 
resolutions and can be submitted along with the electronic application. 
However, an official signed Tribal resolution must be received by the 
Division of Grants Management (DGM) prior to the beginning of 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, the application will be considered 
incomplete and ineligible.
    Official signed Tribal 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 
required 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. 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 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. Sec.  458aaa-2; 42 CFR Sec. Sec.  137.15-
23.
    For Tribes or Tribal organizations that expended $300,000 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 database.
    For Tribes or Tribal organizations that expended less than $300,000 
($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 Sec. Sec.  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. Sec.  458aaa-2; 42 CFR Sec. Sec.  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: https://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, the 
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.
    Questions regarding the electronic application process may be 
directed to Mr. Paul Gettys at (301) 443-2114.

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.
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 evaluation criteria (refer to Section V.I, Evaluation criteria in 
this announcement) and place all responses and required information in 
the correct section (noted below), or it will 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 the cooperative agreement 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 and 
budget justifications, narratives, and/or other appendix items.

[[Page 44052]]

    There are three parts to the narrative, including: (1) Part A--
Program Information; (2) Part B--Program Planning and Evaluation; and 
(3) 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.
    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 outlines 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 
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. 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 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, 
at Paul.Gettys@ihs.gov or at (301) 443-2114. 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 Ms. Tammy 
Bagley, Acting Director of DGM (see Section IV.6 below for additional 
information). 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 can be 
sent to GrantsPolicy@ihs.gov with a copy to Tammy.Bagley@ihs.gov. Once 
the waiver request has been approved, the applicant will receive a 
confirmation of approval and the mailing address to submit the 
application. A copy of the written approval must be submitted along 
with the hardcopy that is mailed to DGM. Paper applications that are 
submitted without a copy of the signed waiver from the Acting Director 
of the DGM 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 that are submitted 
without a copy of the signed waiver from the Acting Director of the DGM 
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 cooperative agreement will be awarded per 
applicant per grant cycle. Tribes cannot apply for both the Planning 
Cooperative Agreement and the Negotiation Cooperative Agreement within 
the same grant cycle (new rule).
     IHS will not acknowledge receipt of applications.

[[Page 44053]]

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 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 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 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 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 10 page narrative section 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 current level of services provided so that an 
informed decision can be made on new or expanded program assumption.

[[Page 44054]]

    (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 minimum eligibility criteria shall be 
reviewed for merit by the ORC based on evaluation criteria in this 
funding announcement. 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., 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 OTSG 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 2014, then 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

[[Page 44055]]

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 to 
request assistance 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. 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.
    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 DGM 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: Jeremy 
Marshall, Program Official, Office of Tribal Self-Governance, 801 
Thompson Avenue, Suite 240, Rockville, MD 20852, Phone: (301) 443-7821, 
Fax: (301) 443-1050, Email: Jeremy.Marshall@ihs.gov.
    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, Pub. L. 103-
227, the Pro-Children Act of 1994, prohibits smoking in certain 
facilities (or in some cases, any portion of the facility) in which 
regular or routine education, library, day care, health care, or early 
childhood development services are provided to children. This is 
consistent with the HHS mission to protect and advance the physical and 
mental health of the American people.

Date:------------------------------------------------------------------

-----------------------------------------------------------------------
Yvette Roubideaux, M.D., M.P.H.
Acting Director, Indian Health Service.

    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, Pub. L. 103-
227, the Pro-Children Act of 1994, prohibits smoking in certain 
facilities (or in some cases, any portion of the facility) in which 
regular or routine education, library, day care, health care, or early 
childhood development services are provided to children. This is 
consistent with the HHS mission to protect and advance the

[[Page 44056]]

physical and mental health of the American people.

    Dated: July 19, 2014.
Yvette Roubideaux,
Acting Director, Indian Health Service.
[FR Doc. 2014-17800 Filed 7-28-14; 8:45 am]
BILLING CODE 4165-16-P