Tribal Self-Governance Negotiation Cooperative Agreement, 45898-45905 [2020-16536]

Agencies

• DEPARTMENT OF HEALTH AND HUMAN SERVICES
• Indian Health Service

[Federal Register Volume 85, Number 147 (Thursday, July 30, 2020)]
[Notices]
[Pages 45898-45905]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2020-16536]


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DEPARTMENT OF HEALTH AND HUMAN SERVICES

Indian Health Service


Tribal Self-Governance Negotiation Cooperative Agreement

    Announcement Type: New.
    Funding Announcement Number: HHS-2020-IHS-TSGN-0001.
    Assistance Listing (Catalog of Federal Domestic Assistance or CFDA) 
Number: 93.444.

Key Dates

    Application Deadline Date: October 28, 2020.
    Earliest Anticipated Start Date: November 12, 2020.

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 their health care needs by choosing one of three ways 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 (FA). Tribes interested in participating in the TSGP 
should contact their respective ALN to begin the Self-Governance 
planning and negotiation process. Tribes currently participating in the 
TSGP, which 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 
statutes 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

[[Page 45899]]

mutually enforceable after both parties sign the documents. Either 
document can be renegotiated at the request of the Tribe.
    The negotiation 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 the negotiation process and 
assists Tribes with making 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.
    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.
    During the final negotiation both the Federal and Tribal 
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 to reach 
agreement and finalize documents.
    There are various entities involved throughout the negotiation 
process. For example, a Tribal government selects its representative(s) 
for the Tribal negotiation 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 negotiation team is led by the ALN and may 
include area and headquarters subject matter experts, OTSG staff, the 
Office of Finance and Accounting, and the Office of the General 
Counsel. The ALN is the only member of the Federal negotiation 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 negotiation 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, the mutually agreed to and negotiated Compact 
and FA are signed by the authorizing Tribal official and submitted to 
the OTSG in preparation for the IHS Director's signature. Once 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

Funding Instrument

    Cooperative Agreement.

Estimated Funds Available

    The total funding identified for fiscal year (FY) 2020 is 
approximately $240,000. Individual award amounts are anticipated to be 
$48,000. The funding available for competing awards issued under this 
announcement is subject to the availability of appropriations and 
budgetary priorities of the Agency. The IHS is under no obligation to 
make awards that are selected for funding under this announcement.

Anticipated Number of Awards

    Approximately 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 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 this opportunity, applicants must 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. Please note that 
Tribes prohibited under the Alaska Moratorium from receiving funds 
pursuant to the ISDEAA are not eligible. See Consolidated 
Appropriations Act, 2014, Public Law 113-76, as amended by Consolidated 
Appropriations Act, 2018, Public Law 115-141, and Consolidated 
Appropriations Act, 2020, Public Law 116-94.
     Applicant must submit from the appropriate governing body 
of each Tribe to be served a resolution or other official action 
authorizing the submission of the Planning Cooperative Agreement. 
Please see Section IV. Application and Submission Information, 2. 
Content and Form Application Submission, Additional

[[Page 45900]]

Required Documentation, Tribal Resolution(s) for details.
     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 are 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 where indicated in 
the application workspace. Mandatory documents for all applicants 
include:
     Abstract (one page) summarizing the project.
     Application forms:
    1. SF-424, Application for Federal Assistance.
    2. SF-424A, Budget Information--Non-Construction Programs.
    3. SF-424B, Assurances--Non-Construction Programs.
     Project Narrative (not to exceed 10 pages). See Section 
IV.2.A Project Narrative for instructions.
    1. Background information on the organization.
    2. 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 Section 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 
(optional).
     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:
    1. Email confirmation from Federal Audit Clearinghouse (FAC) that 
audits were submitted; or
    2. 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
    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.

[[Page 45901]]

Part 1: Program Information (Limit--4 Pages)
Section 1: 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: 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.
    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.
Section 2: 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 3: 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 using a 
model for tracking.
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 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]), Acting Director, DGM, 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.
    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.
     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 cooperative agreement will be awarded per 
applicant.

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. Paul Gettys, Acting 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 the DGM. Applications that are 
submitted without a copy of the signed waiver from the Acting 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

[[Page 45902]]

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 Assistance Listing (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 this funding 
announcement.
     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. 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 
that 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 must have a DUNS 
number first, then access the SAM online registration through the SAM 
home page at https://www.sam.gov/SAM/ (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/SAM/.
    Additional information on implementing the Transparency Act, 
including the specific requirements for DUNS and SAM, are available on 
the DGM 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 project 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. Evaluation 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 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 and how they will be measured.
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 and time line or logic model 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 Rate Agreement.
     Organizational chart.
     Map of area identifying project location(s).

[[Page 45903]]

     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:
     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, and submit it to DGM, prior to DGM 
issuing an 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 
agreement 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.
    Available funds are inclusive of direct and appropriate indirect 
costs. Approved indirect funds are awarded as part of the award amount, 
and no additional funds will be provided.
    Generally, IDC rates for IHS grantees are negotiated with the 
Division of Cost Allocation (DCA) https://rates.psc.gov/ or the 
Department of the Interior (Interior Business Center) https://ibc.doi.gov/ICS/tribal. 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 awardee 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 
awardee 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, and the final 
report is due within 90 days after the project period ends (specific 
dates will be listed in the NoA Terms and Conditions). 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.
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) into our grants 
management system, GrantSolutions. Failure to submit timely reports may 
result in adverse award actions blocking access to funds.
    Awardees 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-

[[Page 45904]]

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 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 laws 
that prohibit discrimination on the basis of race, color, national 
origin, disability, age and, in some circumstances, religion, 
conscience, and sex. This includes ensuring programs are accessible to 
persons with limited English proficiency. The HHS Office for Civil 
Rights provides guidance on complying with civil rights laws enforced 
by HHS. Please see https://www.hhs.gov/civil-rights/for-providers/provider-obligations/ and https://www.hhs.gov/ocr/civilrights/understanding/section1557/.
     Recipients of FFA must ensure that their 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/fact-sheet-guidance/ and https://www.lep.gov. For further guidance on providing culturally and 
linguistically appropriate services, recipients should review the 
National Standards for Culturally and Linguistically Appropriate 
Services in Health and Health Care at https://minorityhealth.hhs.gov/omh/browse.aspx?lvl=2&lvlid=53.
     Recipients of FFA also have specific legal obligations for 
serving qualified individuals with disabilities. Please see https://www.hhs.gov/ocr/civilrights/understanding/disability/.
     HHS funded health and education programs must be 
administered in an environment free of sexual harassment. Please see 
https://www.hhs.gov/civil-rights/for-individuals/sex-discrimination/; https://www2.ed.gov/about/offices/list/ocr/docs/shguide.html; and https://www.eeoc.gov/eeoc/publications/fs-sex.cfm.
     Recipients of FFA must also administer their programs in 
compliance with applicable Federal religious nondiscrimination laws and 
applicable Federal conscience protection and associated anti-
discrimination laws. Collectively, these laws prohibit exclusion, 
adverse treatment, coercion, or other discrimination against persons or 
entities on the basis of their consciences, religious beliefs, or moral 
convictions. Please see https://www.hhs.gov/conscience/conscience-protections/ and https://www.hhs.gov/conscience/religious-freedom/.
    Please contact the HHS Office for Civil Rights for more information 
about obligations and prohibitions under Federal civil rights laws at 
https://www.hhs.gov/ocr/about-us/contact-us/ or call 1-800-
368-1019 or TDD 1-800-537-7697.
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. 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, 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: Paul Gettys, Acting Director, 5600 
Fishers Lane, Mail Stop: 09E70, Rockville, MD 20857, (Include 
``Mandatory Grant Disclosures'' in subject line), Office: (301) 443-
2114, 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).

[[Page 45905]]

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: 08E09B, Rockville, MD 20857, Phone: (301) 443-
7821, Email: [email protected], Website: https://www.ihs.gov/SelfGovernance/.
    2. Questions on grants management and fiscal matters may be 
directed to: Andrew Diggs, Senior Grants Management Specialist, 5600 
Fishers Lane, Mail Stop: 09E70, Rockville, MD 20857, Phone: (301) 443-
2241, Fax: (301) 594-0899, Email: [email protected].
    3. Questions on systems matters may be directed to: Paul Gettys, 
Acting Director, DGM, 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.

Michael D. Weahkee,
Assistant Surgeon General, U.S. Public Health Service, Director, Indian 
Health Service.
[FR Doc. 2020-16536 Filed 7-29-20; 8:45 am]
BILLING CODE 4165-16-P