Office of Tribal Self-Governance; Negotiation Cooperative Agreement, 15533-15540 [2016-06556]

Agencies

• DEPARTMENT OF HEALTH AND HUMAN SERVICES
• Indian Health Service

[Federal Register Volume 81, Number 56 (Wednesday, March 23, 2016)]
[Notices]
[Pages 15533-15540]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2016-06556]


-----------------------------------------------------------------------

DEPARTMENT OF HEALTH AND HUMAN SERVICES

Indian Health Service


Office of Tribal Self-Governance; Negotiation Cooperative 
Agreement

    Announcement Type: New--Limited Competition.
    Funding Announcement Number: HHS-2016-IHS-TSGN-0001.
    Catalog of Federal Domestic Assistance Number: 93.444.

Key Dates

    Application Deadline Date: June 3, 2016.
    Review Date: June 17, 2016.
    Earliest Anticipated Start Date: July 1, 2016.
    Signed Tribal Resolutions Due Date: June 3, 2016.

I. Funding Opportunity Description

Statutory Authority

    The Indian Health Service (IHS) Office of Tribal Self-Governance 
(OTSG) is accepting limited competition Negotiation Cooperative 
Agreement applications for Tribal Self-Governance Program (TSGP). This 
program is authorized under Title V of the Indian Self-Determination 
and Education Assistance Act (ISDEAA), 25 U.S.C. 458aaa-2(e). This 
program is described in the Catalog of Federal Domestic Assistance 
(CFDA), available at https://www.cfda.gov/, under 93.444.

Background

    The TSGP is more than an IHS program; it is an expression of the 
government-to- government relationship between the United States and 
Indian Tribes. Through the TSGP, Tribes negotiate with the IHS to 
assume Programs, Services, Functions and Activities (PSFAs), or 
portions thereof, which gives Tribes the authority to manage and tailor 
health care programs in a manner that best fits the needs of their 
communities.
    Participation in the TSGP is one of three ways that Tribes can 
choose to obtain health care from the Federal Government for their 
members. Specifically, Tribes can choose to: (1) Receive health care 
services directly from the IHS, (2) contract with the IHS to administer 
individual PSFAs that the IHS would otherwise provide (referred to as 
Title I Self-Determination Contracting), or (3) compact with the IHS to 
assume control over healthcare PSFAs that the IHS would otherwise 
provide (referred to as Title V Self-Governance Compacting or the 
TSGP). These options are not exclusive and Tribes may choose to combine 
options based on their individual needs and circumstances. 
Participation in the TSGP affords Tribes the most flexibility to tailor 
health care PSFAs to the needs of their communities.
    The TSGP is a Tribally-driven initiative and strong Tribal/Federal 
partnerships are essential for program success. The IHS established the 
OTSG to implement Tribal self-governance authorities. The OTSG: (1) 
Serves as the primary liaison and advocate for Tribes participating in 
the TSGP, (2) develops, directs, and implements TSGP policies and 
procedures, (3) provides information and technical assistance to Self-
Governance Tribes, and (4) advises the IHS Director on compliance with 
TSGP policies, regulations, and guidelines. Each IHS Area has an Agency 
Lead Negotiator (ALN), designated by the IHS Director, who has the 
authority to negotiate Self-Governance Compacts and Funding Agreements. 
A Tribe should contact their respective ALN to begin the self-
governance planning process or, if

[[Page 15534]]

currently an existing Self-Governance Tribe, discuss methods to expand 
current PSFAs. The ALN shall provide an overview of the TSGP 
negotiations process and will provide technical assistance as the Tribe 
prepares to participate in the TSGP.

Purpose

    The purpose of this Negotiation Cooperative Agreement is to provide 
Tribes with resources to help defray costs related to preparing for and 
conducting TSGP negotiations. TSGP negotiations are a dynamic, 
evolving, and Tribally-driven process that requires careful planning 
and preparation by both Tribal and Federal parties, including the 
sharing of precise, up-to-date information. The design of the 
negotiations process: (1) Enables a Tribe to set its own priorities 
when assuming responsibility for IHS PSFAs, (2) observes the 
government-to-government relationship between the United States and 
each Tribe, and (3) involves the active participation of both Tribal 
and IHS representatives, including the OTSG. Because each Tribal 
situation is unique, a Tribe's successful transition into the TSGP, or 
expansion of their current program, requires focused discussions 
between the Federal and Tribal negotiation teams about the Tribe's 
specific health care concerns and plans.
    The negotiations process has four major stages, including: (1) 
Planning, (2) pre-negotiations, (3) negotiations, and (4) post-
negotiations. Title V of the ISDEAA requires that a Tribe or Tribal 
organization complete a planning phase to the satisfaction of the 
Tribe. The planning phase must include legal and budgetary research and 
internal Tribal government planning and organizational preparation 
relating to the administration of health care programs. During pre-
negotiations, the Tribal and Federal negotiation teams review and 
discuss issues identified during the planning phase. A draft compact, 
funding agreement, and funding tables are developed, typically by the 
Tribe, and distributed to both the Tribal and Federal negotiation 
teams. These draft documents are used as the basis for pre- and final 
negotiations. Pre-negotiations provide an opportunity for the Tribe and 
the IHS to identify and discuss issues directly related to the Tribe's 
compact, funding agreement, and Tribal shares. At final negotiations, 
Tribal and Federal negotiation teams come together to determine and 
agree upon the terms and provisions of the Tribe's compact and funding 
agreement.
    The Tribal negotiation team must include a Tribal leader from the 
governing body. This representative may be a Tribal leader or a 
designee, like the Tribal Health Director. The Tribal negotiation team 
may also include technical and program staff, legal counsel, and other 
consultants. The Federal negotiations team is led by the ALN and 
generally includes an OTSG Program Analyst and a member of the Office 
of the General Counsel. It may also include other IHS staff and subject 
matter experts as needed. The ALN is the only member of the Federal 
negotiation team with delegated authority to negotiate on behalf of the 
IHS Director.
    Negotiations provide an opportunity for the Tribal and Federal 
negotiation teams to work together in good faith to enhance each self-
governance agreement. Negotiations are not an allocation process; they 
provide an opportunity to mutually review and discuss budget and 
program issues. As issues arise, both negotiation teams work through 
the issues to reach agreement on the final documents. After the 
negotiations are complete, the compact and funding agreement are signed 
by the authorizing Tribal official and submitted to the ALN who then 
reviews the final package to ensure each document accurately reflects 
what was negotiated. Once the ALN completes this review, the final 
package is submitted to the OTSG to be prepared for the IHS Director's 
signature. After the compact and funding agreement have been signed by 
both parties, they become legally binding and enforceable agreements. 
The negotiating Tribe then becomes a ``Self-Governance Tribe,'' and a 
participant in the TSGP.
    A Negotiation Cooperative Agreement is not a prerequisite to enter 
the TSGP. A Tribe may use other resources to develop and negotiate its 
compact and funding agreement. Tribes that receive a Negotiation 
Cooperative Agreement are not obligated to participate in Title V and 
may choose to delay or decline participation or expansion in the TSGP.

Limited Competition Justification

    There is limited competition under this announcement because the 
authorizing legislation restricts eligibility to Tribes that meet 
specific criteria. See 25 U.S.C. 458aaa-2(e); 42 CFR 137.24-26; see 
also 42 CFR 137.10.

II. Award Information

Type of Award

    Cooperative Agreement.

Estimated Funds Available

    The total amount of funding identified for fiscal year (FY) 2016 is 
approximately $240,000. Individual award amounts are anticipated to be 
$48,000. The amount of funding available for competing awards issued 
under this announcement are subject to the availability of 
appropriations and budgetary priorities of the Agency. The IHS is under 
no obligation to make awards that are selected for funding under this 
announcement.

Anticipated Number of Awards

    Approximately five awards will be issued under this program 
announcement.

Project Period

    The project period is for 12 months and runs from July 1, 2016 to 
June 30, 2017.

Cooperative Agreement

    Cooperative agreements awarded by the Department of Health and 
Human Services (HHS) are administered under the same policies as a 
grant. The funding agency (IHS) is required to have substantial 
programmatic involvement in the project during the entire award 
segment. Below is a detailed description of the level of involvement 
required for both IHS and the grantee. IHS will be responsible for 
activities listed under section A and the grantee will be responsible 
for activities listed under section B as stated:

Substantial Involvement Description for the TSGP Negotiation 
Cooperative Agreement

A. IHS Programmatic Involvement
    (1) Provide descriptions of PSFAs and associated funding at all 
organizational levels (Service Unit, Area, and Headquarters), including 
funding formulas and methodologies related to determining Tribal 
shares.
    (2) Meet with Negotiation Cooperative Agreement recipient to 
provide program information and discuss methods currently used to 
manage and deliver health care.
    (3) Identify and provide statutes, regulations, and policies that 
provide authority for administering IHS programs.
    (4) Provide technical assistance on the IHS budget, Tribal shares, 
and other topics as needed.
B. Grantee Negotiation Cooperative Agreement Award Activities
    (1) Determine the PSFAs that will be negotiated into the Tribe's 
compact and funding agreement. Prepare and discuss each PSFA in 
comparison to the current level of services provided so that an 
informed decision can be made on new or expanded program assumption.

[[Page 15535]]

    (2) Identify Tribal shares associated with the PSFAs that will be 
included in the funding agreement.
    (3) Develop the terms and conditions that will be set forth in both 
the compact and funding agreement to submit to the ALN prior to 
negotiations.

III. Eligibility Information

1. Eligibility

    To be eligible for this Limited Competition Negotiation Cooperative 
Agreement under this announcement, an applicant must:
    A. Be an ``Indian Tribe'' as defined in 25 U.S.C. 450b(e); a 
``Tribal Organization'' as defined in 25 U.S.C. 450b(l); or an ``Inter-
Tribal Consortium'' as defined at 42 CFR 137.10. However, Alaska Native 
Villages or Alaska Native Village Corporations are not eligible if they 
are located within the area served by an Alaska Native regional health 
entity. See Consolidated Appropriations Act, 2014, Public Law 113-76. 
By statute, the Native Village of Eyak, Eastern Aleutian Tribes, and 
the Council for Athabascan Tribal Governments have also been deemed 
Alaska Native regional health entities and therefore are eligible to 
apply. Those Alaska Tribes not represented by a Self-Governance Tribal 
consortium Funding Agreement within their area may still be considered 
to participate in the TSGP.
    B. Demonstrate, for three fiscal years, financial stability and 
financial management capability. The Indian Tribe must provide evidence 
that, for the three years prior to participation in Self-Governance, 
the Indian Tribe has had no uncorrected significant and material audit 
exceptions in the required annual audit of the Indian Tribe's Self-
Determination Contracts or Self-Governance Funding Agreements with any 
Federal agency. See 25 U.S.C. 458aaa-2; 42 CFR 137.15-23.
    For Tribes or Tribal organizations that expended $750,000 or more 
($500,000 for FYs ending after December 31, 2003) in Federal awards, 
the OTSG shall retrieve the audits directly from the Federal Audit 
Clearinghouse.
    For Tribes or Tribal organizations that expended less than $750,000 
($500,000 for FYs ending after December 31, 2003) in Federal awards, 
the Tribe or Tribal organization must provide evidence of the program 
review correspondence from IHS or Bureau of Indian Affairs officials. 
See 42 CFR 137.21-23.
    Meeting the eligibility criteria for a Negotiation Cooperative 
Agreement does not mean that a Tribe or Tribal organization is eligible 
for participation in the IHS TSGP under Title V of the ISDEAA. See 25 
U.S.C. 458aaa-2; 42 CFR 137.15-23. For additional information on 
eligibility for the IHS TSGP, please visit the Eligibility and Funding 
page on the OTSG Web site, located at:  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, IHS 
will not return the application. The applicant will be notified by 
email by the Division of Grants Management (DGM) of this decision.
Tribal Resolution
    An Indian Tribe or Tribal organization that is proposing a project 
affecting another Indian Tribe must include resolutions from all 
affected Tribes to be served. Applications by Tribal organizations will 
not require a specific Tribal resolution if the current Tribal 
resolution(s) under which they operate would encompass the proposed 
grant activities.
    An official signed Tribal resolution must be received by the DGM 
prior to a Notice of Award being issued to any applicant selected for 
funding. However, if an official signed Tribal resolution cannot be 
submitted with the electronic application submission prior to the 
official application deadline date, a draft Tribal resolutions must be 
submitted by the deadline in order for the application to be considered 
complete and eligible for review. The draft tribal resolution is not in 
lieu of the required signed resolution, but is acceptable until a 
signed resolution is received. If an official signed Tribal resolution 
is not received by DGM when funding decisions are made, then a Notice 
of Award will not be issued to that applicant and they will not receive 
any IHS funds until such time as they have submitted a signed 
resolution to the Grants Management Specialist listed in this Funding 
Announcement.
    An applicant submitting any of the above additional documentation 
after the initial application submission due date is required to ensure 
the information was received by the IHS by obtaining documentation 
confirming delivery (i.e. FedEx tracking, postal return receipt, etc.).

IV. Application and Submission Information

1. Obtaining Application Materials

    The application package and detailed instructions for this 
announcement can be found at https://www.Grants.gov or https://www.ihs.gov/dgm/funding/.
    Questions regarding the electronic application process may be 
directed to Mr. Paul Gettys at (301) 443-2114 or (301) 443-5204.

2. Content and Form Application Submission

    The applicant must include the project narrative as an attachment 
to the application package. Mandatory documents for all applicants 
include:
     Table of contents.
     Abstract (one page) summarizing the project.
     Application forms:
    [cir] SF-424, Application for Federal Assistance.
    [cir] SF-424A, Budget Information--Non-Construction Programs.
    [cir] SF-424B, Assurances--Non-Construction Programs.
     Budget Justification and Narrative (must be single spaced 
and not exceed five pages).
     Project Narrative (must be single spaced and not exceed 
ten pages).
    [cir] Background information on the Tribe or Tribal organization.
    [cir] Proposed scope of work, objectives, and activities that 
provide a description of what will be accomplished, including a one-
page Timeframe Chart.
     Tribal Resolution(s).
     501(c)(3) Certificate (if applicable).
     Biographical sketches for all Key Personnel.
     Contractor/Consultant resumes or qualifications and scope 
of work.
     Disclosure of Lobbying Activities (SF-LLL).
     Certification Regarding Lobbying (GG-Lobbying Form).
     Copy of current Negotiated Indirect Cost rate (IDC) 
agreement (required) in order to receive IDC.
     Organizational Chart (optional).
Public Policy Requirements
    All Federal-wide public policies apply to IHS grants and 
cooperative agreements with exception of the Discrimination policy.

[[Page 15536]]

Requirements for Project and Budget Narratives

    A. Project Narrative: This narrative should be a separate Word 
document that is no longer than ten pages and must: Be single-
spaced, be type written, have consecutively numbered pages, use 
black type not smaller than 12 characters per one inch, and be 
printed on one side only of standard size 8\1/2\'' x 11'' paper.
    Be sure to succinctly address and answer all questions listed 
under the narrative and place them under the evaluation criteria 
(refer to Section V.1, Evaluation criteria in this announcement) and 
place all responses and required information in the correct section 
(noted below), or they shall not be considered or scored. These 
narratives will assist the Objective Review Committee (ORC) in 
becoming familiar with the applicant's activities and 
accomplishments prior to this cooperative agreement award. If the 
narrative exceeds the page limit, only the first ten pages will be 
reviewed. The ten page limit for the narrative does not include the 
work plan, standard forms, Tribal resolutions, table of contents, 
budget and budget justifications, narratives, and/or other appendix 
items.
    There are three parts to the narrative: Part A--Program 
Information; Part B--Program Planning and Evaluation; and Part C--
Program Report. See below for additional details about what must be 
included in the narrative.

Part A: Program Information (4 Page Limitation)

Section 1: Needs

Introduction and Need for Assistance

    Demonstrate that the Tribe has conducted previous self-
governance planning activities by clearly stating the results of 
what was learned during the planning process. Explain how the Tribe 
has determined it has the knowledge and expertise to assume or 
expand PSFAs. Identify the need for assistance and how the 
Negotiation Cooperative Agreement would benefit the health 
activities the Tribe is preparing to assume or expand.

Part B: Program Planning and Evaluation (4 Page Limitation)

Section 1: Program Plans

Project Objective(s), Work Plan and Approach

    State in measurable terms the objectives and appropriate 
activities to achieve the following Cooperative Agreement Recipient 
Award Activities:
    (a) Determine the PSFAs that will be negotiated into the Tribe's 
Compact and Funding Agreement. Prepare and discuss each PSFA in 
comparison to the current level of services provided so that an 
informed decision can be made on new or expanded program assumption.
    (b) Identify Tribal shares associated with the PSFAs that will 
be included in the Funding Agreement.
    (c) Develop the terms and conditions that will be set forth in 
both the Compact and Funding Agreement to submit to the ALN prior to 
negotiations.
    (d) Describe fully and clearly how the Tribe's proposal will 
result in an improved approach to managing the PSFAs to be assumed 
or expanded. Include how the Tribe plans to demonstrate improved 
health services to the community and incorporate the proposed 
timelines for negotiations.

Organizational Capabilities, Key Personnel and Qualifications

    Describe the organizational structure of the Tribe and its 
ability to manage the proposed project. Include resumes or position 
descriptions of key staff showing requisite experience and 
expertise. If applicable, include resumes and scope of work for 
consultants that demonstrate experience and expertise relevant to 
the project.

Section 2: Program Evaluation

    Describe fully and clearly the improvements that will be made by 
the Tribe to manage the health care system and identify the 
anticipated or expected benefits for the Tribe. Define the criteria 
to be used to evaluate objectives associated with the project.
Part C: Program Report (2 Page Limitation)
    Section 1: Describe major accomplishments over the last 24 
months.
    Please identify and describe significant health related 
accomplishments associated with the delivery of quality health 
services. This section should highlight major program achievements 
over the last 24 months.
    Section 2: Describe major activities over the last 24 months. 
Please provide an overview of significant program activities 
associated with the delivery of quality health services over the 
last 24 months. This section should address significant program 
activities including those related to the accomplishments listed in 
the previous section.

    B. Budget Narrative: This narrative must include a line item budget 
with a narrative justification for all expenditures identifying 
reasonable and allowable costs necessary to accomplish the goals and 
objectives as outlined in the project narrative. Budget should match 
the scope of work described in the project narrative. The page 
limitation should not exceed five pages.

3. Submission Dates and Times

    Applications must be submitted electronically through Grants.gov by 
11:59 p.m. Eastern Daylight Time (EDT) on the Application Deadline Date 
listed in the Key Dates section on page one of this announcement. Any 
application received after the application deadline will not be 
accepted for processing, nor will it be given further consideration for 
funding. Grants.gov will notify the applicant via email if the 
application is rejected.
    If technical challenges arise and assistance is required with the 
electronic application process, contact Grants.gov Customer Support via 
email to 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 
(Paul.Gettys@ihs.gov), DGM Grant Systems Coordinator, by telephone at 
(301) 443-2114 or (301) 443-5204. Please be sure to contact Mr. Gettys 
at least ten days prior to the application deadline. Please do not 
contact the DGM until you have received a Grants.gov tracking number. 
In the event you are not able to obtain a tracking number, call the DGM 
as soon as possible.
    If the applicant needs to submit a paper application instead of 
submitting electronically through Grants.gov, a waiver must be 
requested. Prior approval must be requested and obtained from Mr. 
Robert Tarwater, Director, DGM. The waiver must: (1) Be documented in 
writing (emails are acceptable), before submitting a paper application, 
and (2) include clear justification for the need to deviate from the 
required electronic grants submission process. A written waiver request 
must be sent to GrantsPolicy@ihs.gov with a copy to 
Robert.Tarwater@ihs.gov. Once the waiver request has been approved, the 
applicant will receive a confirmation of approval email containing 
submission instructions and the mailing address to submit the 
application. A copy of the written approval must be submitted along 
with the hardcopy of the application that is mailed to DGM. Paper 
applications that are submitted without a copy of the signed waiver 
from the Director of Grants Management, will not be reviewed or 
considered for funding. The applicant will be notified via email of 
this decision by the Grants Management Officer of the DGM. Paper 
applications must be received by the DGM no later than 5:00 p.m., EDT, 
on the Application Deadline Date listed in the Key Dates section on 
page one of this announcement. Late applications will not be accepted 
for processing or considered for funding.

4. Intergovernmental Review

    Executive Order 12372 requiring intergovernmental review is not 
applicable to this program.

5. Funding Restrictions

     Pre-award costs are not allowable.
     The available funds are inclusive of direct and 
appropriate indirect costs.
     Only one grant/cooperative agreement will be awarded per 
applicant per grant cycle. Tribes cannot apply for both the Planning 
Cooperative

[[Page 15537]]

Agreement and the Negotiation Cooperative Agreement within the same 
grant cycle.
     IHS will not acknowledge receipt of applications.

6. Electronic Submission Requirements

    All applications must be submitted electronically. Please use the 
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 Robert.Tarwater@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 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 sub-awards. Accordingly, all IHS 
grantees must notify potential first-tier sub-recipients that no entity 
may receive a first-tier sub-award unless the entity has provided its 
DUNS number to the prime grantee organization. This requirement ensures 
the use of a universal identifier to enhance the quality of information 
available to the public pursuant to the Transparency Act.
System for Award Management (SAM)
    Organizations that were not registered with Central Contractor 
Registration (CCR) and have not registered with SAM will need to obtain 
a DUNS number first and then access the SAM online registration through 
the SAM home page at https://www.sam.gov (U.S. organizations will also 
need to provide an Employer Identification Number from the Internal 
Revenue Service that may take an additional 2-5 weeks to become 
active). Completing and submitting the registration takes approximately 
one hour to complete and SAM registration will take 3-5 business days 
to process. Registration with the SAM is free of charge. Applicants may 
register online at https://www.sam.gov.
    Additional information on implementing the Transparency Act, 
including the specific requirements for DUNS and SAM, can be found on 
the IHS Grants Management, Grants Policy Web site: https://www.ihs.gov/dgm/policytopics/.

V. Application Review Information

    The instructions for preparing the application narrative also 
constitute the evaluation criteria for reviewing and scoring the 
application. Weights assigned to each section are noted in parentheses. 
The ten page narrative should be written in a manner that is clear and 
concise to outside reviewers unfamiliar with prior related activities 
of the applicant. It should be well organized, succinct, and contain 
all information necessary for reviewers to understand the project 
fully. Points will be assigned to each evaluation criteria adding up to 
a total of 100 points. A minimum score of 60 points is required for 
funding. Points are assigned as follows:

1. Criteria

A. Introduction and Need for Assistance (25 Points)
    Demonstrate that the Tribe has conducted previous self-governance 
planning activities by clearly stating the results of what was learned 
during the planning process. Explain how the Tribe has determined it 
has the knowledge and expertise to assume or expand PSFAs. Identify the 
need for assistance and how the Negotiation Cooperative Agreement would 
benefit the health activities the Tribe is preparing to assume or 
expand.
B. Project Objective(s), Work Plan and Approach (25 Points)
    State in measurable terms the objectives and appropriate activities 
to achieve the following Cooperative Agreement Recipient Award 
Activities:
    1. Determine the PSFAs that will be negotiated into the Tribe's 
Compact and Funding Agreement. Prepare and discuss each PSFA in 
comparison to the

[[Page 15538]]

current level of services provided so that an informed decision can be 
made on new or expanded program assumption.
    2. Identify Tribal shares associated with the PSFAs that will be 
included in the Funding Agreement.
    3. Develop the terms and conditions that will be set forth in both 
the Compact and Funding Agreement to submit to the ALN prior to 
negotiations. Clearly describe how the Tribe's proposal will result in 
an improved approach to managing the PSFAs to be assumed or expanded. 
Include how the Tribe plans to demonstrate improved health care 
services to the community and incorporate the proposed timelines for 
negotiations.
C. Program Evaluation (25 Points)
    Describe fully the improvements that will be made by the Tribe to 
manage the health care system and identify the anticipated or expected 
benefits for the Tribe. Define the criteria to be used to evaluate 
objectives associated with the project.
D. Organizational Capabilities, Key Personnel and Qualifications (15 
Points)
    Describe the organizational structure of the Tribe and its ability 
to manage the proposed project. Include resumes or position 
descriptions of key staff showing requisite experience and expertise. 
If applicable, include resumes and scope of work for consultants that 
demonstrate experience and expertise relevant to the project.
E. Categorical Budget and Budget Justification (10 Points)
    Submit a budget with a narrative describing the budget request and 
matching the scope of work described in the project narrative. Justify 
all expenditures identifying reasonable and allowable costs necessary 
to accomplish the goals and objectives as outlined in the project 
narrative.
Additional Documents Can Be Uploaded as Appendix Items in Grants.gov
     Work plan, logic model and/or time line for proposed 
objectives.
     Position descriptions for key staff.
     Resumes of key staff that reflect current duties.
     Consultant or contractor proposed scope of work and letter 
of commitment (if applicable).
     Current Indirect Cost Agreement.
     Organizational chart.
     Map of area identifying project location(s).
     Additional documents to support narrative (i.e. data 
tables, key news articles, etc.).

2. Review and Selection

    Each application will be prescreened by the DGM staff for 
eligibility and completeness as outlined in the funding announcement. 
Applications that meet the eligibility criteria shall be reviewed for 
merit by the ORC based on evaluation criteria in this funding 
announcement. The ORC could be composed of both Tribal and Federal 
reviewers appointed by the OTSG to review and make recommendations on 
these applications. The technical review process ensures selection of 
quality projects in a national competition for limited funding. 
Incomplete applications and applications that are non-responsive to the 
eligibility criteria will not be referred to the ORC. The applicant 
will be notified via email of this decision by the Grants Management 
Officer of the DGM. Applicants will be notified by DGM, via email, to 
outline minor missing components (i.e., budget narratives, audit 
documentation, key contact form) needed for an otherwise complete 
application. All missing documents must be sent to DGM on or before the 
due date listed in the email of notification of missing documents 
required.
    To obtain a minimum score for funding by the ORC, applicants must 
address all program requirements and provide all required documentation

VI. Award Administration Information

1. Award Notices

    The Notice of Award (NoA) is a legally binding document signed by 
the Grants Management Officer and serves as the official notification 
of the grant award. The NoA will be initiated by the DGM in our grant 
system, GrantSolutions (https://www.grantsolutions.gov). Each entity 
that is approved for funding under this announcement will need to 
request or have a user account in GrantSolutions in order to retrieve 
their NoA. The NoA is the authorizing document for which funds are 
dispersed to the approved entities and reflects the amount of Federal 
funds awarded, the purpose of the grant, the terms and conditions of 
the award, the effective date of the award, and the budget/project 
period.
Disapproved Applicants
    Applicants who received a score less than the recommended funding 
level for approval (60 points) and were deemed to be disapproved by the 
ORC, will receive an Executive Summary Statement from the IHS program 
office within 30 days of the conclusion of the ORC outlining the 
strengths and weaknesses of their application submitted. The OTSG will 
also provide additional contact information as needed to address 
questions and concerns as well as provide technical assistance if 
desired.
Approved But Unfunded Applicants
    Approved but unfunded applicants that met the minimum scoring range 
and were deemed by the ORC to be ``Approved'', but were not funded due 
to lack of funding, will have their applications held by DGM for a 
period of one year. If additional funding becomes available during the 
course of FY 2016, the approved but unfunded application may be re-
considered by the OTSG for possible funding. The applicant will also 
receive an Executive Summary Statement from the OTSG within 30 days of 
the conclusion of the ORC.

    Note:  Any correspondence other than the official NoA signed by 
an IHS Grants Management Official announcing to the Project Director 
that an award has been made to their organization is not an 
authorization to implement their program on behalf of IHS.

2. Administrative Requirements

    Cooperative agreements are administered in accordance with the 
following regulations, policies, and OMB cost principles:
    A. The criteria as outlined in this Program Announcement.
    B. Administrative Regulations for Grants:
     Uniform Administrative Requirements for HHS Awards, 
located at 45 C.F.R Part 75.
    C. Grants Policy:
     HHS Grants Policy Statement, Revised 01/07.
    D. Cost Principles:
     Uniform Administrative Requirements for HHS Awards, ``Cost 
Principles,'' located at 45 CFR part 75, subpart E.
    E. Audit Requirements:
     Uniform Administrative Requirements for HHS Awards, 
``Audit Requirements,'' located at 45 CFR part 75, subpart F.

3. Indirect Costs

    This section applies to all grant recipients that request 
reimbursement of indirect costs (IDC) in their grant application. In 
accordance with HHS Grants Policy Statement, Part II-27, IHS requires 
applicants to obtain a current IDC rate agreement prior to award. The 
rate agreement must be prepared in accordance with the applicable cost 
principles and guidance as provided by the cognizant agency or office. 
A current rate covers the applicable grant activities under the current 
award's

[[Page 15539]]

budget period. If the current rate is not on file with the DGM at the 
time of award, the IDC portion of the budget will be restricted. The 
restrictions remain in place until the current rate is provided to the 
DGM.
    Generally, IDC rates for IHS grantees are negotiated with the 
Division of Cost Allocation (DCA) https://rates.psc.gov/ and the 
Department of Interior (Interior Business Center) https://www.doi.gov/ibc/services/finance/indirect-Cost-Services/indian-tribes. For 
questions regarding the indirect cost policy, please call the Grants 
Management Specialist listed under ``Agency Contacts'' or the main DGM 
office at (301) 443-5204.

4. Reporting Requirements

    The grantee must submit required reports consistent with the 
applicable deadlines. Failure to submit required reports within the 
time allowed may result in suspension or termination of an active 
grant, withholding of additional awards for the project, or other 
enforcement actions such as withholding of payments or converting to 
the reimbursement method of payment. Continued failure to submit 
required reports may result in one or both of the following: (1) The 
imposition of special award provisions; and (2) the non-funding or non-
award of other eligible projects or activities. This requirement 
applies whether the delinquency is attributable to the failure of the 
grantee organization or the individual responsible for preparation of 
the reports. Per DGM policy, all reports are required to be submitted 
electronically by attaching them as a ``Grants Note'' in 
GrantSolutions. Personnel responsible for submitting reports will be 
required to obtain a login and password for GrantSolutions. Please see 
the Agency Contacts list in section VII for the systems contact 
information.
    The reporting requirements for this program are noted below.
A. Progress Reports
    Program progress reports are required semi-annually, within 30 days 
after the budget period ends. These reports must include a brief 
comparison of actual accomplishments to the goals established for the 
period, a summary of progress to date or, if applicable, provide sound 
justification for the lack of progress, and other pertinent information 
as required. A final report must be submitted within 90 days of 
expiration of the budget/project period.
B. Financial Reports
    Federal Financial Report FFR (SF-425), Cash Transaction Reports are 
due 30 days after the close of every calendar quarter to the Payment 
Management Services, HHS at: 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 Sub-Award Reporting System (FSRS)
    This award may be subject to the Transparency Act sub-award and 
executive compensation reporting requirements of 2 CFR part 170.
    The Transparency Act requires the OMB to establish a single 
searchable database, accessible to the public, with information on 
financial assistance awards made by Federal agencies. The Transparency 
Act also includes a requirement for recipients of Federal grants to 
report information about first-tier sub-awards and executive 
compensation under Federal assistance awards.
    IHS has implemented a Term of Award into all IHS Standard Terms and 
Conditions, NoAs and funding announcements regarding the FSRS reporting 
requirement. This IHS Term of Award is applicable to all IHS grant and 
cooperative agreements issued on or after October 1, 2010, with a 
$25,000 sub-award obligation dollar threshold met for any specific 
reporting period. Additionally, all new (discretionary) IHS awards 
(where the project period is made up of more than one budget period) 
and where: (1) The project period start date was October 1, 2010 or 
after and (2) the primary awardee will have a $25,000 sub-award 
obligation dollar threshold during any specific reporting period will 
be required to address the FSRS reporting. For the full IHS award term 
implementing this requirement and additional award applicability 
information, visit the DGM Grants Policy Web site at: https://www.ihs.gov/dgm/policytopics/.
D. Compliance With Executive Order 13166 Implementation of Services 
Accessibility Provisions for All Grant Application Packages and Funding 
Opportunity Announcements
    Recipients of federal financial assistance (FFA) from HHS must 
administer their programs in compliance with federal civil rights law. 
This means that recipients of HHS funds must ensure equal access to 
their programs without regard to a person's race, color, national 
origin, disability, age and, in some circumstances, sex and religion. 
This includes ensuring your programs are accessible to persons with 
limited English proficiency. HHS provides guidance to recipients of FFA 
on meeting their legal obligation to take reasonable steps to provide 
meaningful access to their programs by persons with limited English 
proficiency. Please see https://www.hhs.gov/civil-rights/for-individuals/special-topics/limited-english-proficiency/guidance-federal-financial-assistance-recipients-title-VI/.
    The HHS Office for Civil Rights also provides guidance on complying 
with civil rights laws enforced by HHS. Please see https://www.hhs.gov/civil-rights/for-individuals/section-1557/; and https://www.hhs.gov/civil-rights/. Recipients of FFA also have 
specific legal obligations for serving qualified individuals with 
disabilities. Please see https://www.hhs.gov/civil-rights/for-individuals/disability/. Please contact the HHS Office for 
Civil Rights for more information about obligations and prohibitions 
under federal civil rights laws at https://www.hhs.gov/civil-rights/for-individuals/disability/ or call 1-800-368-1019 or TDD 1-800-
537-7697. Also note it is an HHS Departmental goal to ensure access to 
quality, culturally competent care, including long-term services and 
supports, for vulnerable populations. For further guidance on providing 
culturally and linguistically appropriate services, recipients should 
review the National Standards for Culturally and Linguistically 
Appropriate Services in Health and Health Care at https://minorityhealth.hhs.gov/omh/browse.aspx?lvl=2&lvlid=53.
    Pursuant to 45 CFR 80.3(d), an individual shall not be deemed 
subjected to discrimination by reason of his/her exclusion from 
benefits limited by federal law to individuals eligible for benefits 
and services from the Indian Health Service.
    Recipients will be required to sign the HHS-690 Assurance of 
Compliance form which can be obtained from the following Web site: 
https://www.hhs.gov/sites/default/files/forms/hhs-690.pdf, and send it 
directly to the: U.S. Department of Health and Human Services, Office 
of Civil Rights, 200 Independence Ave. SW., Washington, DC 20201.
E. Federal Awardee Performance and Integrity Information System 
(FAPIIS)
    The IHS is required to review and consider any information about 
the

[[Page 15540]]

applicant that is in the Federal Awardee Performance and Integrity 
Information System (FAPIIS) before making any award in excess of the 
simplified acquisition threshold (currently $150,000) over the period 
of performance. An applicant may review and comment on any information 
about itself that a federal awarding agency previously entered. IHS 
will consider any comments by the applicant, in addition to other 
information in FAPIIS in making a judgment about the applicant's 
integrity, business ethics, and record of performance under federal 
awards when completing the review of risk posed by applicants as 
described in 45 CFR 75.205.
    As required by 45 CFR part 75 Appendix XII of the Uniform Guidance, 
non-federal entities (NFEs) are required to disclose in FAPIIS any 
information about criminal, civil, and administrative proceedings, and/
or affirm that there is no new information to provide. This applies to 
NFEs that receive federal awards (currently active grants, cooperative 
agreements, and procurement contracts) greater than $10,000,000 for any 
period of time during the period of performance of an award/project.
Mandatory Disclosure Requirements
    As required by 2 CFR part 200 of the Uniform Guidance, and the HHS 
implementing regulations at 45 CFR part 75, effective January 1, 2016, 
the Indian Health Service must require a non-federal entity or an 
applicant for a federal award to disclose, in a timely manner, in 
writing to the IHS or pass-through entity all violations of federal 
criminal law involving fraud, bribery, or gratuity violations 
potentially affecting the federal award.
    Submission is required for all applicants and recipients, in 
writing, to the IHS and to the HHS Office of Inspector General all 
information related to violations of federal criminal law involving 
fraud, bribery, or gratuity violations potentially affecting the 
federal award. 45 CFR 75.113.
    Disclosures must be sent in writing to: U.S. Department of Health 
and Human Services, Indian Health Service, Division of Grants 
Management, ATTN: Robert Tarwater, Director, 5600 Fishers Lane, 
Mailstop 09E70, Rockville, Maryland 20857. (Include ``Mandatory Grant 
Disclosures'' in subject line)

Ofc: (301) 443-5204
Fax: (301-594-0899
Email: Robert.Tarwater@ihs.gov
    and
    U.S. Department of Health and Human Services, Office of Inspector 
General, ATTN: Mandatory Grant Disclosures, Intake Coordinator, 330 
Independence Avenue SW., Cohen Building, Room 5527, Washington, DC 
20201. URL: https://oig.hhs.gov/fraud/reportfraud/index.asp. (Include 
``Mandatory Grant Disclosures'' in subject line)
Fax: (202) 205-0604 (Include ``Mandatory Grant Disclosures'' in subject 
line) or
Email: MandatoryGranteeDisclosures@oig.hhs.gov
    Failure to make required disclosures can result in any of the 
remedies described in 45 CFR 75.371 Remedies for noncompliance, 
including suspension or debarment (See 2 CFR parts 180 & 376 and 31 
U.S.C. 3321).

VII. Agency Contacts

    1. Questions on the programmatic issues may be directed to: Jeremy 
Marshall, Program Officer, Office of Tribal Self-Governance, 5600 
Fishers Lane, Mail Stop: 08E05, Rockville, MD 20857. Phone: (301) 443-
1912, Fax: (301) 443-1050, Email: Jeremy.Marshall@ihs.gov, Web site: 
www.ihs.gov/self-governance.
    2. Questions on grants management and fiscal matters may be 
directed to: Vanietta Armstrong, Grants Management Specialist, 5600 
Fishers Lane, Mail Stop: 09E70, Rockville, MD 20857. Phone: (301) 443-
4792, Fax: (301) 594-0899, Email: Vanietta.Armstrong@ihs.gov.
    3. Questions on systems matters may be directed to: Paul Gettys, 
Grant Systems Coordinator, 5600 Fishers Lane, Mail Stop: 09E70, 
Rockville, MD 20857. Phone: 301-443-2114; or the DGM main line 301-443-
5204, Fax: (301) 594-0899, E-Mail: 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: Macrch 17, 2016.
Elizabeth Fowler,
Deputy Director for Management Operations, Indian Health Service.
[FR Doc. 2016-06556 Filed 3-22-16; 8:45 am]
 BILLING CODE 4165-16-P