Office of Tribal Self-Governance; Negotiation Cooperative Agreement, 23253-23260 [2017-10468]

Agencies

• DEPARTMENT OF HEALTH AND HUMAN SERVICES
• Indian Health Service

[Federal Register Volume 82, Number 97 (Monday, May 22, 2017)]
[Notices]
[Pages 23253-23260]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2017-10468]


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DEPARTMENT OF HEALTH AND HUMAN SERVICES

Indian Health Service


Office of Tribal Self-Governance; Negotiation Cooperative 
Agreement

    Announcement Type: New--Limited Competition.
    Funding Announcement Number: HHS-2017-IHS-TSGN-0001.
    Catalog of Federal Domestic Assistance Number: 93.444.

Key Dates

    Application Deadline Date: June 23, 2017.
    Review Date: July 17-21, 2017.
    Earliest Anticipated Start Date: August 15, 2017.
    Tribal Resolutions Due Date: June 23, 2017.

I. Funding Opportunity Description

Statutory Authority

    The Indian Health Service (IHS) Office of Tribal Self-Governance 
(OTSG) is accepting applications for Negotiation Cooperative Agreements 
for the Tribal Self-Governance Program (TSGP). This program is 
authorized under: Title V of the Indian Self-Determination and 
Education Assistance Act (ISDEAA), 25 U.S.C. 5383(e). This program is 
described in the Catalog of Federal Domestic Assistance (CFDA) 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 (U.S.) 
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 affords Tribes the most flexibility to 
tailor health care PSFAs and is one of three ways that Tribes can 
choose to obtain health care from the Federal Government for their 
citizens. Specifically, Tribes can choose to: (1) Receive health care 
services directly from the IHS, (2) contract with the IHS to administer 
individual programs and services the IHS would otherwise provide 
(referred to as Title I Self-Determination Contracting, and (3) compact 
with the IHS to assume control over health care programs 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.
    The TSGP is a Tribally-driven initiative, and strong Federal-Tribal 
partnerships are essential to the program's success. The IHS 
established the OTSG to implement the Tribal Self-Governance 
authorities under the ISDEAA. The primary OTSG functions are to: (1) 
Serve as the primary liaison and advocate for Tribes participating in 
the TSGP, (2) develop, direct, and implement TSGP policies and 
procedures, (3) provide information and technical assistance to Self-
Governance Tribes, and (4) advise 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 to act on his or 
her behalf, who has authority to negotiate Self-Governance Compacts and 
Funding Agreements. Prospective Tribes interested in participating in 
the TSGP should contact their respective ALN to begin the self-
governance planning process. Also, Tribes currently participating in 
the TSGP, who are interested in expanding existing or adding new PSFAs, 
should also contact their respective ALN to discuss the best methods 
for expanding or adding new PSFAs.

Purpose

    The purpose of this Negotiation Cooperative Agreement is to provide 
Tribes with resources to help defray the costs associated with 
preparing for and engaging in 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. Because each Tribal 
situation is unique, a Tribe's successful transition into the TSGP, or 
expansion of its current program, requires focused discussions between 
the Federal and Tribal negotiation teams about the Tribe's specific 
health care concerns and plans. One of the hallmarks of the TSGP is the 
collaborative nature of the negotiations process, which is designed to: 
(1) Enable a Tribe to set its own priorities when assuming 
responsibility for IHS PSFAs, (2) observe and respect the government-
to-government relationship between the U.S. and each Tribe, and (3) 
involve the active participation of both Tribal and IHS 
representatives, including OTSG. Negotiations are a method of 
determining and agreeing upon the terms and provisions of a Tribe's 
Compact and Funding Agreement (FA), the implementation documents 
required for the Tribe to enter into the TSGP. The Compact sets forth 
the general terms of the government-to-government relationship between 
the Tribe and the Secretary of Health and Human Services (HHS). The FA: 
(1) Describes the length of the agreement (whether it will be annual or 
multi-year); (2) identifies the PSFAs, or portions thereof, the Tribe 
will assume; (3) specifies the amount of funding associated with the 
Tribal assumption; and (4) includes terms required by Federal statute 
and other terms agreed to by the parties. Both the Compact and the 
Funding Agreement are required to participate in the TSGP and they are 
mutually negotiated agreements that become legally binding and mutually 
enforceable after both parties sign the documents. Either document can 
be renegotiated at the request of the Tribe.
    The negotiations process has four major stages: (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. See 25 U.S.C. 5383(d). The 
planning phase is critical to negotiations and helps Tribes make 
informed decisions about which PSFAs to assume and what organizational 
changes or modifications are necessary to support those PSFAs. A 
thorough planning phase improves timeliness and efficient negotiations 
and ensures that the Tribe is fully prepared to assume the transfer of 
IHS PSFAs to the Tribal health program.
    During pre-negotiations, the Tribal and Federal negotiation teams 
review and discuss issues identified during the planning phase. Pre-
negotiations provide an opportunity for the Tribe and the IHS to 
identify and discuss issues directly related to the Tribe's Compact, FA 
and Tribal shares. They may take the form of a formal meeting or a 
series of informal meetings or conference calls.
    In advance of final negotiations, the Tribe should work with IHS to 
secure the following: (1) Program titles and

[[Page 23254]]

descriptions, (2) financial tables and information, (3) information 
related to the identification and justification of residuals, and (4) 
the basis for determining Tribal shares (distribution formula). The 
Tribe may also wish to discuss financial materials that show estimated 
funding for next year, and the increases or decreases in funding it may 
receive in the current year, as well as the basis for those changes.
    Having reviewed the draft documents and funding tables, at final 
negotiations both negotiation teams work together in good faith to 
determine and agree upon the terms and provisions of the Tribe's 
Compact and FA. Negotiations are not an allocation process; they 
provide an opportunity to mutually review and discuss budget and 
program issues.
    As issues arise, both negotiations teams work through the issues to 
reach agreement on the final documents.
    There are various entities involved throughout the negotiations 
process. For example, a Tribal government selects its representative(s) 
for negotiations and the Tribal negotiations team, which may include a 
Tribal leader from the governing body, a Tribal health director, 
technical and program staff, legal counsel, and other consultants. 
Regardless of the composition of the Tribal team, Tribal 
representatives must have decision making authority from the Tribal 
governing body to successfully negotiate and agree to the provisions 
within the agreements. The Federal negotiations team is led by the ALN 
and may include area and headquarters staff, including staff from the 
OTSG, the Office of Finance and Accounting, and the Office of the 
General Counsel. The ALN is the only member of the Federal negotiations 
team with delegated authority to negotiate on behalf of the IHS 
Director. The ALN is the designated official that provides Tribes with 
self-governance information, assists Tribes in planning, organizes 
meetings between the Tribe and the IHS, and coordinates the Agency's 
response to Tribal questions during the negotiations process. The ALN 
role requires detailed knowledge of IHS, awareness of current policy 
and practice, and understanding of the rights and authorities available 
to a Tribe under Title V of the ISDEAA.
    In post-negotiations, after the Compact, FA, and all negotiations 
are complete, the documents are signed by the authorizing Tribal 
official and submitted to the ALN who reviews the final package to 
ensure each document accurately reflects what was negotiated. Once the 
ALN completes this review, then the final package is submitted to the 
OTSG to be prepared for the IHS Director's signature, provided that no 
outstanding issues delay or prevent signature. After the Compact and FA 
have been signed by both parties, they become legally binding and 
enforceable agreements. A signed Compact and FA are necessary for the 
payment process to begin. The negotiating Tribe then becomes a ``Self-
Governance Tribe'' and a participant in the TSGP.
    Acquiring 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 FA. See 42 CFR 137.26. 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 identified in Section III. Eligibility Criteria, 1. 
Eligibility, A. See 25 U.S.C. 5383(e); 42 CFR 137.10 and 42 CFR 137.24-
26.

II. Award Information

Type of Award

    Cooperative Agreement.

Estimated Funds Available

    The total amount of funding identified for the current fiscal year 
(FY) 2017 is approximately $240,000. Individual award amounts are 
anticipated to be $48,000. 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 five awards will be issued under this program 
announcement.

Project Period

    The project period is for one year and runs from August 15, 2017 to 
August 14, 2018.

Cooperative Agreement

    Cooperative agreements awarded by the HHS are administered under 
the same policies as a grant. However, 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 recipients to 
provide program information and discuss methods currently used to 
manage and deliver health care.
    (3) Identify and provide statutes, regulations, and policies that 
provide authority for administering IHS programs.
    (4) Provide technical assistance on the IHS budget, Tribal shares, 
and other topics as needed.
B. Grantee Cooperative Agreement Award Activities
    (1) Determine the PSFAs that will be negotiated into the Tribe's 
Compact and FA. Prepare and discuss each PSFA in comparison to the 
current level of services provided so that an informed decision can be 
made on new or expanded program assumption.
    (2) Identify Tribal shares associated with the PSFAs that will be 
included in the FA.
    (3) Develop the terms and conditions that will be set for in both 
the Compact and FA to submit to the ALN prior to negotiations.

III. Eligibility Information

1. Eligibility

    To be eligible for the New Limited Competition Negotiation 
Cooperative Agreement under this announcement, an applicant must:
    A. Be an ``Indian Tribe'' as defined in 25 U.S.C. 5304(e); a 
``Tribal Organization'' defined in 25 U.S.C. 5304(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.

[[Page 23255]]

Those Alaska Tribes not represented by a Self-Governance Tribal 
consortium FA within their area may still be considered to participate 
in the TSGP.
    B. Submit Tribal resolution(s) from the appropriate governing body 
of each Indian Tribe to be served by the ISDEAA Compact authorizing the 
submission of the Negotiation Cooperative Agreement. Tribal consortia 
applying for a TSGP Negotiation Cooperative Agreement shall submit 
Tribal Council resolutions from each Tribe in the consortium. Tribal 
resolutions can be attached to the electronic online application.
    Applications by Tribal organizations will not require a specific 
resolution if the current Tribal resolution(s) under which they operate 
would encompass the proposed grant activities.
    C. Demonstrate for three fiscal years, financial stability and 
financial management capability. The Indian Tribe must provide evidence 
that, for the three fiscal years prior to requesting participation in 
the TSGP, 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. 5383; 42 CFR 137.15-
23.
    For Tribes or Tribal organizations (T/TO) that expended $750,000 or 
more ($500,000 for Fiscal Years ending after December 31, 2003) in 
Federal awards, the OTSG shall retrieve the audits directly from the 
Federal Audit Clearinghouse.
    For T/TO that expended less than $750,000 ($500,000 for Fiscal 
Years ending after December 31, 2003) in Federal awards, the T/TO 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 does 
not mean that a T/TO is eligible for participation in the IHS TSGP 
under Title V of the ISDEAA. See 25 U.S.C. 5383; 42 CFR 137.15-23. For 
additional information on the 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(s)
    Submit Tribal resolution(s) from the appropriate governing body of 
the Indian Tribe to be served by the ISDEAA Compact authorizing the 
submission of a Negotiation Cooperative Agreement application. Tribal 
consortia applying for a TSGP Negotiation Cooperative Agreement shall 
submit Tribal Council resolutions from each Tribe in the consortium. 
Tribal resolutions can be attached to the electronic online 
application. Applications by Tribal organizations will not require a 
specific Tribal resolution if the current Tribal resolution(s) under 
which they operate would encompass the proposed grant activities.
    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 resolution 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 Tribal resolution(s) 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 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).
     Letters of Support from organization's Board of Directors.
     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.

[[Page 23256]]

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 of the Evaluation Criteria (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 cooperative 
agreement award. If the narrative exceeds the page limit, only the 
first ten pages will be reviewed. The 10-page limit for the narrative 
does not include the work plan, standard forms, Tribal resolutions, 
table of contents, budget, 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 (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: (1) Knowledge and expertise to assume or expand PSFAs, and (2) 
the administrative infrastructure to support the assumption of 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 measureable terms the objectives and appropriate 
activities to achieve the following Negotiation Cooperative Agreement 
recipient award activities:
    (a) Determine the PSFAs that will be negotiated into the Tribe's 
Compact and FA. 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 FA.
    (c) Develop the terms and conditions that will be set forth in both 
the Compact and FA 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 how 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 
associated with the goals of this announcement. Please identify and 
describe significant health-related program accomplishments associated 
with the delivery of quality health services.
    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 and include 
those related to the accomplishments listed in the previous section.
B. Budget Narrative (5 Page Limitation)
    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 per grant cycle. Tribes cannot apply for both the Planning 
Cooperative Agreement and the Negotiation Cooperative Agreement within 
the same grant cycle.
     IHS will not acknowledge receipt of applications.

[[Page 23257]]

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 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, 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 (``Transparency Act''), as 
amended, 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 10-page narrative section should be written in a manner that is 
clear to outside reviewers unfamiliar with prior related activities of 
the applicant. It should be well-organized, succinct, and contain all 
information necessary for reviewers to understand the project fully. 
Points will be assigned to each evaluation criteria adding up to a 
total of 100 points. A minimum score of 60 points is required for 
funding. Points are assigned as follows:

1. Criteria

A. Introduction and Need for Assistance (25 Points)
    Demonstrate that the Tribe has conducted previous self-governance 
planning activities by clearly stating the results of what was learned 
during the planning process. Explain how the Tribe has determined it 
has the: (1) Knowledge and expertise to assume or expand PSFAs, and (2) 
the administrative infrastructure to support the assumption of PSFAs. 
Identify the need for assistance and how the

[[Page 23258]]

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 Planning Cooperative Agreement recipient award 
activities:
    (1) Determine the PSFAs that will be negotiated into the Tribe's 
Compact and FA. Prepare and discuss each PSFA in comparison to the 
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 FA.
    (3) Develop the terms and conditions that will be set forth in both 
the Compact and FA 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 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, 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.

2. Administrative Requirements

    Cooperative agreements 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, which can be found at the U.S. Government 
Publishing Office Web site address: https://www.ecfr.gov/cgi-bin/text-idx?node=pt45.1.75.
    C. Grants Policy:

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     HHS Grants Policy Statement, Revised 01/07, located at: 
https://www.hhs.gov/sites/default/files/grants/grants/policies-regulations/hhsgps107.pdf.
    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 (SF-425), Cash Transaction Reports are due 
30 days after the close of every calendar quarter to the Payment 
Management Services, HHS at https://pms.psc.gov. It is recommended that 
the applicant also send a copy of the (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 Office of Management and Budget 
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 
information about obligations and prohibitions under Federal civil 
rights laws at https://www.hhs.gov/ocr/about-us/contact-us/ 
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

[[Page 23260]]

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)
Office: (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: Anna 
Johnson, Program Officer, Office of Tribal Self-Governance, 5600 
Fishers Lane, Mail Stop: 08E05, Rockville, MD 20857, Phone: (301) 443-
7821, Email: Anna.Johnson2@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, Email: 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: May 12, 2017.
Chris Buchanan,
RADM, Assistant Surgeon General, USPHS, Acting Director, Indian Health 
Service.
[FR Doc. 2017-10468 Filed 5-19-17; 8:45 am]
 BILLING CODE 4165-16-P