Office of Tribal Self-Governance; Negotiation Cooperative Agreement, 39341-39348 [2019-17135]

Agencies

• DEPARTMENT OF HEALTH AND HUMAN SERVICES
• Indian Health Service

[Federal Register Volume 84, Number 154 (Friday, August 9, 2019)]
[Notices]
[Pages 39341-39348]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2019-17135]


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DEPARTMENT OF HEALTH AND HUMAN SERVICES

Indian Health Service


Office of Tribal Self-Governance; Negotiation Cooperative 
Agreement

    Announcement Type: New.
    Funding Announcement Number: HHS-2019-IHS-TSGN-0001.
    Assistance Listing (Catalog of Federal Domestic Assistance or CFDA) 
Number: 93.444.

Key Dates

    Application Deadline Date: October 23, 2019.
    Earliest Anticipated Start Date: November 22, 2019.

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 Assistance Listings located at https://beta.sam.gov (formerly 
known as Catalog of Federal Domestic Assistance) 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-

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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 (FA). 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, preparation and sharing of precise, up-to-date information by 
both Tribal and Federal parties. Because each Tribal situation is 
unique, a Tribe's successful transition into the TSGP, or expansion of 
their current program, requires focused discussions between the Federal 
and Tribal negotiation teams about the Tribe's specific health care 
concerns and plans. 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 the OTSG. Negotiations are a method of 
determining and agreeing upon the terms and provisions of a Tribe's 
Compact and 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 the U.S. Department 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 documents 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, including: (1) 
Planning; (2) pre-negotiations; (3) negotiations; and (4) post-
negotiations. Title V of the ISDEAA requires that a Tribe or Tribal 
organization complete a planning phase to the satisfaction of the 
Tribe. The planning phase must include legal and budgetary research and 
internal Tribal Government planning and organizational preparation 
relating to the administration of health care programs. 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 the 
IHS to secure the following: (1) Program titles and 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 the 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

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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.

II. Award Information

Type of Award

    Cooperative Agreement.

Estimated Funds Available

    The total funding identified for fiscal year (FY) 2019 is 
approximately $240,000. Individual award amounts are anticipated to be 
$48,000. The funding available for competing and subsequent 
continuation awards issued under this announcement is subject to the 
availability of appropriations and budgetary priorities of the Agency. 
The IHS is under no obligation to make awards that are selected for 
funding under this announcement.

Anticipated Number of Awards

    Approximately five awards will be issued under this program 
announcement.

Period of Performance

    The period of performance is for one year.

Cooperative Agreement

    Cooperative agreements awarded by the HHS are administered under 
the same policies as a grant. However, the funding agency (IHS) is 
anticipated 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 IHS.

Substantial IHS Involvement Description for Cooperative Agreement

    A. 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.
    B. Meet with Negotiation Cooperative Agreement recipients to 
provide program information and discuss methods currently used to 
manage and deliver health care.
    C. Identify and provide statutes, regulations, and policies that 
provide authority for administering IHS programs.
    D. Provide technical assistance on the IHS budget, Tribal shares, 
and other topics as needed.

III. Eligibility Information

1. Eligibility

    To be eligible for the New 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'' as 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 
and Consolidated Appropriations Act, 2018, Public Law 115-141. By 
statute, the Native Village of Eyak, Eastern Aleutian Tribes, and the 
Council for Athabascan Tribal Governments have also been deemed Alaska 
Native regional health entities and therefore are eligible to apply. 
Those Alaska Tribes not represented by a Self-Governance Tribal 
consortium FA within their area may still be considered to participate 
in the TSGP.
    (B) Applicant must request participation in self-governance by 
resolution or other official action by the governing body of each 
Indian tribe to be served. Please see IV. Application and Submission 
Information, 2. Content and Form Application Submission, Additional 
Required Documentation, Tribal Resolution(s) for details.
    (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 FAs 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 
Agreement 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 
website 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

    Applications with budget requests that exceed the highest dollar 
amount outlined under the Award Information, Estimated Funds Available 
section, or exceed the Period of Performance outlined under the Award 
Information, Period of Performance section will be considered not 
responsive and will not be reviewed. The Division of Grants Management 
(DGM) will notify the applicant.

IV. Application and Submission Information

1. Obtaining Application Materials

    The application package and detailed instructions for this 
announcement is hosted on https://www.Grants.gov.
    Please direct questions regarding the application process 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:
     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.

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     Project Narrative (not to exceed 10 pages). See IV.2.A 
Project Narrative for instructions.
    [cir] Background information on the organization.
    [cir] Proposed scope of work, objectives, and activities that 
provide a description of what the applicant plans to accomplish.
     Budget Justification and Narrative (not to exceed 5 
pages). See IV.2.B Budget Narrative for instructions.
     One-page Timeframe Chart.
     Tribal Resolution(s) (please see additional information 
below).
     Letters of Support from organization's Board of Directors.
     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
    Face sheets from audit reports. Applicants can find these on the 
FAC website: https://harvester.census.gov/facdissem/Main.aspx.
Additional Required Documentation
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.
    The DGM must receive an official, signed Tribal resolution prior to 
issuing a Notice of Award (NoA) to any applicant selected for funding. 
An Indian Tribe or Tribal organization that is proposing a project 
affecting another Indian Tribe must include resolutions from all 
affected Tribes to be served. However, if an official, signed Tribal 
resolution cannot be submitted with the application prior to the 
application deadline date, a draft Tribal resolution must be submitted 
with the application by the deadline date 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 NoA will not be issued to that applicant and it will not 
receive IHS funds until it has submitted a signed resolution to the 
Grants Management Specialist listed in this Funding Announcement.
Public Policy Requirements
    All Federal public policies apply to IHS grants and cooperative 
agreements with the exception of the Discrimination Policy.
Requirements for Project and Budget Narratives
    A. Project Narrative: This narrative should be a separate document 
that is no more than 10 pages and must: (1) Have consecutively numbered 
pages; (2) use black font 12 points or larger; (3) be single-spaced; 
(4) and be formatted to fit standard letter paper (8-1/2 x 11 inches).
    Be sure to succinctly answer all questions listed under the 
evaluation criteria (refer to Section V.1, Evaluation Criteria) and 
place all responses and required information in the correct section 
noted below or they will not be considered or scored. If the narrative 
exceeds the page limit, the application will be considered not 
responsive and not be reviewed. The 10-page limit for the narrative 
does not include the work plan, standard forms, Tribal resolutions, 
budget, budget justifications, narratives, and/or other appendix items.
    There are three parts to the narrative: Part 1--Program 
Information; Part 2--Program Planning and Evaluation; and Part 3--
Program Report. See below for additional details about what must be 
included in the narrative.
    The page limits below are for each narrative and budget submitted.
Part 1: Program Information (Limit--4 Pages)
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 2: Program Planning and Evaluation (Limit--4 Pages)
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 Program, Service, Function, 
and Activity 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 3: Program Report (Limit--2 Pages)
    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

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services. This section should highlight major program achievements over 
the last 24 months.
    Section 2: Describe major activities over the last 24 months. 
Please provide an overview of significant program activities associated 
with the delivery of quality health services over the last 24 months. 
This section should address significant program activities and include 
those related to the accomplishments listed in the previous section.
B. Budget Narrative (Limit--5 Pages)
    Provide a budget narrative that explains the amounts requested for 
each line of the budget. The budget narrative should specifically 
describe how each item will support the achievement of proposed 
objectives. Be very careful about showing how each item in the 
``other'' category is justified. Do NOT use the budget narrative to 
expand the project narrative.

3. Submission Dates and Times

    Applications must be submitted through Grants.gov by 11:59 p.m. 
Eastern Daylight Time (EDT) on the Application Deadline Date. Any 
application received after the application deadline will not be 
accepted for review. Grants.gov will notify the applicant via email if 
the application is rejected.
    If technical challenges arise and assistance is required with the 
application process, contact Grants.gov Customer Support (see contact 
information at https://www.grants.gov). If problems persist, contact 
Mr. Paul Gettys ([email protected]), 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.
    The IHS will not acknowledge receipt of applications.

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.
     Tribes can apply for a Planning Cooperative Agreement and 
a Negotiation Cooperative Agreement in the same cycle, so long as the 
project proposals are different for each application. Tribes cannot 
apply for both the Planning Cooperative Agreement and the Negotiation 
Cooperative Agreement within the same grant cycle with the same 
proposed project.
     Only one Negotiation grant/cooperative agreement will be 
awarded per applicant per grant cycle under this announcement.

6. Electronic Submission Requirements

    All applications must be submitted via Grants.gov. Please use the 
https://www.Grants.gov website to submit an application. Find the 
application by selecting the ``Search Grants'' link on the homepage. 
Follow the instructions for submitting an application under the Package 
tab. No other method of application submission is acceptable.
    If the applicant cannot submit an application through Grants.gov, a 
waiver must be requested. Prior approval must be requested and obtained 
from Mr. Robert Tarwater, Director, DGM. A written waiver request must 
be sent to [email protected] with a copy to [email protected]. 
The waiver must: (1) Be documented in writing (emails are acceptable), 
before submitting an application by some other method; and (2) include 
clear justification for the need to deviate from the required 
application submission process.
    Once the waiver request has been approved, the applicant will 
receive a confirmation of approval email containing submission 
instructions. A copy of the written approval must be included with the 
application that is submitted to DGM. Applications that are submitted 
without a copy of the signed waiver from the Director of the DGM will 
not be reviewed. The Grants Management Officer of the DGM will notify 
the applicant via email of this decision. Applications submitted under 
waiver must be received by the DGM no later than 5:00 p.m., EDT, on the 
Application Deadline Date. Late applications will not be accepted for 
processing. Applicants that do not register for both the System for 
Award Management (SAM) and Grants.gov and/or fail to request timely 
assistance with technical issues will not be considered for a waiver to 
submit an application via alternative method.
    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, please contact Grants.gov Customer Support (see 
contact information at https://www.grants.gov).
     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 twenty 
working days.
     Please follow the instructions on Grants.gov to include 
additional documentation that may be requested by the NOFO.
     Applicants must comply with any page limits described in 
this funding announcement.
     After submitting the application, the applicant will 
receive an automatic acknowledgment from Grants.gov that contains a 
Grants.gov tracking number. The IHS will not notify the applicant that 
the application has been received.
Dun and Bradstreet (D&B) Data Universal Numbering System (DUNS)
    Applicants and grantee organizations are required to obtain a DUNS 
number and maintain an active registration in the SAM database. The 
DUNS number is a unique 9-digit identification number provided by D&B, 
which uniquely identifies each entity. The DUNS number is site 
specific; therefore, each distinct performance site may be assigned a 
DUNS number. Obtaining a DUNS number is easy, and there is no charge. 
To obtain a DUNS number, please access the request service through 
https://fedgov.dnb.com/webform, or call (866) 705-5711.
    The Federal Funding Accountability and Transparency Act of 2006, as 
amended (``Transparency Act''), requires all HHS recipients 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 are not registered with SAM will need to obtain 
a DUNS number first and then access the SAM online registration through 
the SAM

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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). Please 
see SAM.gov for details on the registration process and timeline. 
Registration with the SAM is free of charge, but can take several weeks 
to process. Applicants may register online at https://www.sam.gov.
    Additional information on implementing the Transparency Act, 
including the specific requirements for DUNS and SAM, are available on 
the IHS Grants Management, Policy Topics web page: https://www.ihs.gov/dgm/policytopics/.

V. Application Review Information

    Weights assigned to each section are noted in parentheses. The 10-
page narrative 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 
possible points. 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 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 Negotiation Cooperative Agreement recipient 
award activities:
    (1) Determine the PSFAs that will be negotiated into the Tribe's 
Compact and FA. Prepare and discuss each Program, Service, Function and 
Activity 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 for eligibility and 
completeness as outlined in the funding announcement. Applications that 
meet the eligibility criteria shall be reviewed for merit by the 
Objective Review Committee (ORC) based on evaluation criteria. 
Incomplete applications and applications that are not responsive to the 
administrative thresholds will not be referred to the ORC and will not 
be funded. The applicant will be notified of this determination.
    Applicants must address all program requirements and provide all 
required documentation.

3. Notifications of Disposition

    All applicants will receive an Executive Summary Statement from the 
IHS OTSG within 30 days of the conclusion of the ORC outlining the 
strengths and weaknesses of their application. The summary statement 
will be sent to the Authorizing Official identified on the face page 
(SF-424) of the application.
A. Award Notices for Funded Applications
    The Notice of Award (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. Each entity approved for funding must have a 
user account in GrantSolutions in order to retrieve the NoA. Please see 
the Agency Contacts list in Section VII for the systems contact 
information.
B. Approved but Unfunded Applications
    Approved applications not funded due to lack of available funds 
will be held for one year. If funding becomes available during the 
course of the year, the application may be reconsidered.

    Note: Any correspondence other than the official NoA executed 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 the IHS.

VI. Award Administration Information

1. 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.
    C. Grants Policy:

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     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.

2. Indirect Costs

    This section applies to all recipients that request reimbursement 
of indirect costs (IDC) in their application budget. 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 agreement 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.

3. 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 period of performance.
B. Financial Reports
    Federal Financial Report (FFR or 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. The applicant 
is also requested to upload a copy of the FFR (SF-425) report into our 
grants management system, GrantSolutions. Failure to submit timely 
reports may result in adverse award actions blocking access to funds.
    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.
    The 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 period of performance is made up of more than one 
budget period) and where: (1) The period of performance 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 
website 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. The 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 (800) 368-1019 or TDD (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

[[Page 39348]]

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 website: 
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), at https://www.fapiis.gov, 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. The 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, MD 20857, (Include 
``Mandatory Grant Disclosures'' in subject line), Office: (301) 443-
5204, Fax: (301) 594-0899, Email: [email protected].

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/, (Include 
``Mandatory Grant Disclosures'' in subject line), Fax: (202) 205-0604 
(Include ``Mandatory Grant Disclosures'' in subject line) or Email: 
[email protected].

    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: Roxanne 
Houston, Program Officer, Office of Tribal Self-Governance, 5600 
Fishers Lane, Mail Stop: 08E05, Rockville, MD 20857, Phone: (301) 443-
7821, Email: [email protected], Website: https://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: [email protected].
    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: [email protected].

VIII. Other Information

    The Public Health Service strongly encourages all grant, 
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.

Chris B. Buchanan,
Assistant Surgeon General, RADM, U.S. Public Health Service Deputy 
Director, Indian Health Service.
[FR Doc. 2019-17135 Filed 8-8-19; 8:45 am]
 BILLING CODE 4165-16-P