Community Based Model of PHN Case Management Services (Behavioral Health), 14012-14019 [2017-05248]

Agencies

• DEPARTMENT OF HEALTH AND HUMAN SERVICES
• Indian Health Service

[Federal Register Volume 82, Number 50 (Thursday, March 16, 2017)]
[Notices]
[Pages 14012-14019]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2017-05248]


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

DEPARTMENT OF HEALTH AND HUMAN SERVICES

Indian Health Service

[Funding Announcement Number: HHS-2017-IHS-PHN-0001: Catalog of Federal 
Domestic Assistance Number: 93.933]


Community Based Model of PHN Case Management Services (Behavioral 
Health)

AGENCY: Division of Nursing, Public Health Nursing, Indian Health 
Service, HHS.

Key Dates

Application Deadline Date: May 15, 2017
Review Date: May 26-June 5, 2017
Earliest Anticipated Start Date: June 15, 2017
Proof of Non-Profit Due Date: May 15, 2017

I. Funding Opportunity Description

Statutory Authority

    The Indian Health Service (IHS) Office of Clinical and Preventive 
Services (OCPS), Division of Nursing Services/Public Health Nursing 
(PHN), is accepting applications for grant awards for the Community 
Based Model of PHN Case Management Services (Behavioral Health). This 
program is authorized under the Snyder Act, 25 U.S.C. 13; the Transfer 
Act, 42 U.S.C. 2011; the Public Health Service Act, as amended, 42 
U.S.C. 241; and the Indian Health Care Improvement Act, as amended, 
(IHCIA), 25 U.S.C. 1653(c). This program is described in the Catalog

[[Page 14013]]

of Federal Domestic Assistance (CFDA) under 93.933.

Background

    The IHS OCPS PHN Program serves as the primary source for national 
advocacy, policy development, budget development, and allocation for 
the PHN programs for the IHS. The IHS PHN Program is a community health 
nursing program that focuses on the goals of promoting health and 
quality of life, and preventing disease and disability. The PHN program 
provides quality, culturally sensitive health promotion and disease 
prevention nursing services through primary, secondary and tertiary 
prevention services to individuals, families, and community groups. The 
PHN Program supports population-focused services to promote healthier 
communities through community based nursing services, community 
development, and health promotion and/or disease prevention activities. 
The PHN Program promotes the establishment of program plans based on 
community assessments and evaluations to prevent disease, promote 
health, and implement community based programs. There is an emphasis on 
screening, home visits, immunizations, maternal-child health care, 
elder care, chronic disease, school services, health promotion and 
disease prevention, case management, population based services and 
community disease surveillance. The PHN Program is available to support 
transitions of care from the clinical setting into the community with 
an emphasis on the clinical, preventive, and public health needs of 
American Indian/Alaska Native (AI/AN) communities and developing, 
managing, and administering such program.

Purpose

    The purpose of this IHS grant announcement is to improve specific 
behavioral health outcomes of an identified high risk group of patients 
through a case management model that utilizes the PHN as a case 
manager. The emphasis is on reducing the prevalence and incidence of 
behavioral health diseases and conditions and to support the efforts of 
AI/AN communities toward achieving excellence in holistic behavioral 
health treatment, rehabilitation, and prevention services for 
individuals and their families. Case management involves the client, 
family, and other members of the health care team. Quality of care, 
continuity, and assurance of appropriate and timely interventions are 
also crucial. In addition to reducing the cost of health care, case 
management has proven its worth in terms of improving rehabilitation, 
improving quality of life, increasing client satisfaction and 
compliance by promoting client self-determination. The PHN model of 
community based case management utilizes roles and functions of PHN 
services of assessment, planning, coordinating services, communication 
and monitoring. The goals and outcomes of the PHN case management model 
are early detection, diagnosis, treatment and evaluation that will 
improve health outcomes in a cost effective manner. This model utilizes 
all prevention components of primary, secondary and tertiary prevention 
in the home and community with patient and family. The community based 
case management model addresses the PHN scope of practice of working 
with individuals and families in a population-based practice to provide 
nursing care services. This project will focus on a PHN community based 
case management model. The project will be conducted in a phased 
approach, using the nursing process--assessment, planning, 
implementation, and evaluation.
    First Phase: Assessment--Complete a generic community assessment 
(most PHN programs have this readily available as a part of their 
annual program plans). Include, if available, pertinent data from local 
community assessments and behavioral health statistical data in the 
assessment; include the local behavioral health staff as subject matter 
experts and any data available. In addition, obtain input from key 
stake-holders such as community members, Tribal leaders, healthcare 
administration and community health groups to determine the health care 
priorities. Obtain approval for the establishment of the PHN case 
management program from the healthcare administration, governing boards 
and medical executive committees as needed.
    Second Phase: Planning--Based on the community assessment, the high 
risk behavioral health population is identified and the planning of the 
case management project begins. Develop case management services 
addressing the behavioral health priority health issues identified from 
the community assessment. Collaborate with the local behavioral health 
programs on planning in this phase. Plan specific guidelines for the 
case management services of the high risk group of patients such as 
admission criteria, caseload size, policies and procedures, and an 
evaluation plan to include data tracking for outcomes generated. 
Identify if there is a best practice case management model available to 
replicate to target the identified high risk behavioral health 
population (such as the Pine Ridge PHN Case Management community 
suicide prevention program or the Resources to Enhance All Caregiver's 
Health, REACH, into Indian Country). Obtain additional staff training 
needed for the community based nurse case management model such as 
evidence based practices, motivational interviewing, nurse competencies 
and any other training that would be applicable to the behavioral 
health issues identified. Identify or develop patient education 
materials and community education materials for the program. Develop 
plans for project sustainability.
    Third Phase: Implementation--The case management program includes 
admission criteria of the high risk behavioral health population, 
caseload size, and appropriate health care standards. Establish patient 
caseload. Monitor progress and make adjustments as needed. Track 
patient data outcomes. Continue to plan ongoing sustainability of the 
program after the award period ends.
    Fourth Phase: Patient Satisfaction--In order to evaluate program 
services; initiate a patient satisfaction program, such as one that 
provides patients with an opportunity to provide feedback on their 
experiences to assess the satisfaction of the services. Analyze 
findings so a concentrated effort is made to relate the customer 
satisfaction results to internal process metrics, and examine trends 
over time in order to take action on a timely basis. Evaluate and 
revise the case management program if needed, review policies and 
procedures, education materials and staff competencies semi-annually. 
To the extent permitted by law, report back to key stake-holders 
progress of the project, especially to inform clients about changes 
brought about as a direct result of listening to their needs. Each site 
will share program material with IHS Headquarters PHN program. This 
information will be shared IHS-wide for replication of the project 
across IHS with credit given to the organization that developed the 
material. Poster presentation or oral presentation will be given at the 
national meetings and/or webinars.

II. Award Information

Type of Award

    Grant.

Estimated Funds Available

    The total amount of funding identified for the current fiscal year 
(FY) 2017 is approximately $1,500,000.

[[Page 14014]]

Individual award amounts are anticipated to be between $124,000 and 
$150,000. The amount of funding available for competing and 
continuation 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 ten awards will be issued under this program 
announcement.

Project Period

    The project period is for five years and will run consecutively 
from June 1, 2017 to May 31, 2022.

III. Eligibility Information

I.

1. Eligibility

    To be eligible under this ``New Announcement'', applicants must be 
one of the following as defined by 25 U.S.C. 1603:
     A Federally-recognized Indian Tribe 25 U.S.C. 1603(14); 
operating an Indian health program operated pursuant to a contract, 
grant, cooperative agreement, or compact with IHS pursuant to the 
Indian Self-Determination and Education Assistance Act (ISDEAA), (Pub. 
L. 93-638).
     A Tribal organization 25 U.S.C. 1603(26); operating an 
Indian health program operated pursuant to as contract, grant, 
cooperative agreement, or compact with the IHS pursuant to the ISDEAA, 
(Pub. L. 93-638).
     An Urban Indian organization as defined by 25 U.S.C. 
1603(29). Operating a Title V Urban Indian health program that 
currently has a grant or contract with the IHS under Title V of the 
Indian Health Care Improvement Act, (Pub. L. 93-437). Applicants must 
provide proof of non-profit status with the application, e.g. 
501(c)(3).

    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.

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 5 pages).
     Project Narrative (must be single-spaced and not exceed 
ten pages).
    [cir] Background information on the organization.
    [cir] Proposed scope of work, objectives, and activities that 
provide a description of what will be accomplished, including a one-
page Timeframe Chart.
     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).
     Documentation of current Office of Management and Budget 
(OMB) Financial Audit (if applicable).
    Acceptable forms of documentation include:
    [cir] Email confirmation from Federal Audit Clearinghouse (FAC) 
that audits were submitted; or
    [cir] Face sheets from audit reports. These can be found on the FAC 
Web site: https://harvester.census.gov/facdissem/Main.aspx.
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, 
type written, have consecutively numbered pages, use black type not 
smaller than 12 points, and be printed on one side only of standard 
size 8\1/2\'' x 11'' paper.
    Be sure to succinctly answer all questions listed under the 
evaluation criteria (refer to Section V.1, Evaluation criteria in this 
announcement) and place all responses and required information in the 
correct section (noted below), or they will not be considered or 
scored. These narratives will assist the Objective Review Committee 
(ORC) in becoming familiar with the applicant's activities and 
accomplishments prior to this possible grant award. If the narrative 
exceeds the page limit, only the first 10 pages will be reviewed. The 
10-page limit for the narrative does not include the work plan, 
standard forms, Tribal resolutions, table of contents, budget, budget 
justifications, narratives, and/or other appendix items.
    There are three parts to the narrative: Part A--Program 
Information; Part B--Program Planning and Evaluation; and Part C--
Program Report. See below for additional details about what must be 
included in the narrative.
    The page limitations below are for each narrative and budget 
submitted.
Part A: Program Information (3 Pages)
Section 1: Needs. Describe how the applicant has determined it has the 
administrative infrastructure to support the activities to implement a 
PHN (Behavioral Health) Case Management Program and evaluate and 
sustain it. Explain the previous planning activities the applicant has 
completed relevant to this or similar goals. Describe any internal 
relationships or collaborative relationships with behavioral health 
subject matter experts to support this activity.

[[Page 14015]]

Part B: Program Planning and Evaluation (5 Pages)
Section 1: Program Plans. Describe fully and clearly the direction the 
applicant plans to take in the PHN Case Management Program, including 
plans to demonstrate improved behavioral health outcomes of the 
identified high risk group of patients and services to the community it 
serves. Include proposed timelines.

Section 2: Program Evaluation. Describe fully and clearly the 
improvements that will be made by the applicant to manage the PHN Case 
Management Program and identify the anticipated or expected benefits 
for the Tribe and AI/AN people served.
Part C: Program Report (2 Pages)
Section 1: Describe major accomplishments over the last 24 months. 
Identify and describe significant program achievements associated with 
the delivery of quality health care services or outreach services in 
the past 24 months as a part of implementing previous grant awards, 
cooperative agreements or other related activities. Provide a 
comparison of the actual accomplishments to the goals established for 
the project period, or if applicable, provide justification for the 
lack of progress.

Section 2: Describe major activities over the last 24 months. Please 
identify and summarize recent major health related project activities 
and the work done during the project period.
B. Budget Narrative: (5 Pages)
    This narrative must include a line item budget with a narrative 
justification for all expenditures identifying reasonable allowable, 
allocable 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.

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. 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.

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.
     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 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, (see Section IV.6 below for additional 
information). A written waiver request must be sent to 
GrantsPolicy@ihs.gov with a copy to Robert.Tarwater@ihs.gov. 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.
    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 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. 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.
     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 Division of 
Nursing/Public Health Nursing will

[[Page 14016]]

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, you may 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 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 include only the first year of 
activities; information for multi-year projects should be included as 
an appendix. See ``Multi-year Project Requirements'' at the end of this 
section for more information. The narrative section should be written 
in a manner that is clear to outside reviewers unfamiliar with prior 
related activities of the applicant. It should be well organized, 
succinct, and contain all information necessary for reviewers to 
understand the project fully. Points will be assigned to each 
evaluation criteria adding up to a total of 100 points. A minimum score 
of 70 points is required for funding. Points are assigned as follows:

1. Criteria

A. Introduction and Need for Assistance (5 Points)
    (1) Provide demographic information, prevalence rates of behavioral 
health disease, and baseline health data to substantiate the case 
management for the high risk group of patients.
    (2) Describe how data collection will support the stated project 
objectives and how it will support the project evaluation in order to 
determine the impact of the project. Address how the proposed project 
will result in behavioral health improvements.
B. Project Objective(s), Work Plan and Approach (35 Points)
(1) Goals and Objectives (15 Points)
    i. Establish two to three measurable objectives within a plan that 
will provide outcome. Goals/Objectives should be specific with 
measurable outcome and a realistic timeline.
(2) Methodology/Activities (20 Points)
    i. Describe the activities that will be implemented in a work plan 
to meet the objectives. The work plan should be directly related to the 
objectives.
    ii. Describe how you will monitor the objectives (chart reviews, 
patient comments/feedback, data collection tools, etc.).
    iii. Describe any collaborative efforts with any programs outside 
of PHN or your local behavioral health program.
C. Program Evaluation (20 Points)
    Describe the methods for evaluating the project activities. Each 
proposed project objective should have an evaluation component and the 
evaluation activities should appear on the work plan. At a minimum, 
projects should describe plans to collect or summarize evaluation 
information about all project activities. Please address the following 
for each of the proposed objectives:
    (1) Describe the community assessment results and what data will be 
selected to evaluate the success of the objective(s).
    (2) Describe how the data and patient satisfaction information will 
be collected to assess the programs objective(s) (e.g., methods used 
such as, but not limited to, providing mechanisms for patients to 
provide feedback on their experiences).
    (3) Identify when the data will be collected and the data analysis 
completed.
    (4) Describe the extent to which there are specific data sets, data 
bases or registries already in place to measure/monitor meeting 
objective.
    (5) Describe who will collect the data and any cost of the 
evaluation (whether internal or external)?
    (6) Describe where, when and to whom the data will be presented 
(only to the extent permitted by law, the data to be reported back to 
key stakeholders on the progress of the project, especially to inform 
clients about changes brought about as a direct result of listening to 
their needs).
    (7) Address anticipated obstacles to the success of the proposal 
such as underlying causes and the nature of their influence on 
accomplishing the objectives.
    (8) Describe how the community assessment will be used to identify 
high risk group of patient(s).
    (9) Describe the process that will be used to follow-up on the PHN 
Case Management Project findings/conclusions.
D. Organizational Capabilities, Key Personnel and Qualifications (25 
Points)
    This section outlines the broader capacity of the organization to 
complete the project outlined in the work plan. It includes the 
identification of personnel responsible for completing tasks and the 
chain of responsibility for successful completion of the project 
outlined in the work plan.
    (1) Describe the organizational structure.
    (2) Describe what equipment and facility space (i.e., office space) 
will be available for use during the proposed project. Include 
information about any equipment not currently available that will be 
purchased throughout the agreement.
    (3) List key personnel who will work on the project.

[[Page 14017]]

    i. Identify staffing plan, existing personnel and new program staff 
to be hired.
    ii. In the appendix, include position descriptions and resumes for 
all key personnel. Position descriptions should clearly describe each 
position and duties indicating desired qualifications, experience, and 
requirements related to the proposed project and how they will be 
supervised. Resumes must indicate that the proposed staff member is 
qualified to carry out the proposed project activities and who will 
determine if the work of a contractor is acceptable.
    iii. If the project requires additional personnel beyond those 
covered by the grant award, (i.e., Information Technology support, 
volunteers, interviewers, etc.), note these and address how these 
positions will be filled and, if funds are required, the source of 
these funds.
    iv. If personnel are to be only partially funded by this grant, 
indicate the percentage of time to be allocated to this project and 
identify the resources used to fund the remainder of the individual's 
salary.
    (4) Capability
    i. Briefly describe the facility and user population.
    ii. Describe the organization's ability to conduct this initiative 
through linkages to community resources: partnerships established to 
refer out for additional services as needed for specialized treatment, 
care, and counseling services.
D. Categorical Budget and Budget Justification (15 Points)
    Provide a clear estimate of the project program costs and 
justification for expenses for the entire grant period. The budget and 
budget justification should be consistent with the tasks identified in 
the work plan. The budget focus should be on developing and sustaining 
PHN case management services as well as supporting retention into care.
    (1) A categorical budget (Form SF 424A, Budget Information Non- 
Construction Programs) completing each of the budget periods is 
requested.
    (2) Budget narrative that serves as justification for all costs, 
explaining why each line item is necessary or relevant to the proposed 
project. Include sufficient details to facilitate the determination of 
allowable costs.
    (3) Provide a succinct description of specific roles and activities 
of each person involved in the proposed project and their ability to 
perform in that capacity.
    (4) Budget justifications should include a brief narrative for the 
second year.
    (5) If indirect costs are claimed, indicate and apply the current 
negotiated rate to the budget. Include a copy of the rate agreement in 
the appendix.
Multi-Year Project Requirements
    Projects requiring a second, third, fourth, and/or fifth year must 
include a brief project narrative and budget (one additional page per 
year) addressing the developmental plans for each additional year of 
the project.
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 IHS program 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, 70, 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 summary statement will 
be sent to the Authorized Organizational Representative that is 
identified on the face page (SF-424) of the application. The IHS 
program office 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 2017, the approved but unfunded application may be re-
considered by the awarding program office for possible funding. The 
applicant will also receive an Executive Summary Statement from the IHS 
program office 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.


[[Page 14018]]



2. Administrative Requirements

    Grants are administered in accordance with the following 
regulations and policies:
    A. The criteria as outlined in this program announcement.
    B. Administrative Regulations for Grants:
     Uniform Administrative Requirements for HHS Awards, 
located at 45 CFR 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 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 ``Grant 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 (OCR) 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 OCR for more

[[Page 14019]]

information about obligations and prohibitions under Federal civil 
rights laws at https://www.hhs.gov/ocr/about-us/contact-us/headquarters-and-regional-addresses/ 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 IHS.
    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 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 IHS 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, Mail Stop: 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/report-fraud/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: Ms. 
Tina Tah, RN/BSN/MBA, Project Official/Indian Health Service, 5600 
Fishers Lane, Rockville, MD 20857, Phone: (301) 443-0038, Fax: (301) 
594-6213, E-Mail: Tina.tah@ihs.gov.
    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, E-Mail: 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, 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.

    Dated: March 6, 2017.
Chris Buchanan,
Assistant Surgeon General, USPHS, Acting Director, Indian Health 
Service.
[FR Doc. 2017-05248 Filed 3-15-17; 8:45 am]
BILLING CODE 4165-16-P