Tribal Self-Governance Negotiation Cooperative Agreement Program, 62826-62833 [2021-24679]

Agencies

• DEPARTMENT OF HEALTH AND HUMAN SERVICES
• Indian Health Service

[Federal Register Volume 86, Number 216 (Friday, November 12, 2021)]
[Notices]
[Pages 62826-62833]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2021-24679]


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DEPARTMENT OF HEALTH AND HUMAN SERVICES

Indian Health Service


Tribal Self-Governance Negotiation Cooperative Agreement Program

    Announcement Type: New.
    Funding Announcement Number: HHS-2022-IHS-TSGN-0001.
    Assistance Listing (Catalog of Federal Domestic Assistance or CFDA) 
Number: 93.444.

Key Dates

    Application Deadline Date: February 10, 2022.
    Earliest Anticipated Start Date: March 28, 2022.

I. Funding Opportunity Description

Statutory Authority

    The Indian Health Service (IHS) is accepting applications for 
Negotiation Cooperative Agreements for the Tribal Self-Governance 
Program (TSGP). This program is authorized under the Snyder Act, 25 
U.S.C. 13; the Transfer Act, 42 U.S.C. 2001(a); and 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://sam.gov/content/home (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

[[Page 62827]]

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 Office of Tribal Self-Governance (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 that 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 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 (T/TO) 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

[[Page 62828]]

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) 2022 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 1 year.

Cooperative Agreement

    Cooperative agreements awarded by the HHS are administered under 
the same policies as grants. 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 of the IHS.

Substantial Agency 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, applicant must meet the 
following criteria:
     Applicant 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 from contracting pursuant to the 
ISDEAA are not eligible. See section 424(a) of the Consolidated 
Appropriations Act, 2014, Public Law 113-76, as amended by section 428 
of the Consolidated Appropriations Act, 2018, Public Law 115-141, and 
section 1201 of the Consolidated Appropriations Act, 2021, Public Law 
116-260.
     Pursuant to 25 U.S.C. 5383(c)(1)(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.
     Pursuant to 25 U.S.C. 5383(c)(1)(C), applicant must 
demonstrate financial stability and financial management capability for 
3 fiscal years.
    Please see Section IV.2, Application and Submission Information, 
Content and Form Application Submission for details on required 
documentation.
    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.
    The program office will notify any applicants deemed ineligible.

    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 nonprofit 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 Section II Award Information, Estimated Funds 
Available, or exceed the period of performance outlined under Section 
II Award Information, Period of Performance, are considered not 
responsive and will not be reviewed. The Division of Grants Management 
(DGM) will notify the applicant.

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 T/TO 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 application without a signed Tribal 
Resolution is selected for funding, the applicant will be contacted by 
the Grants Management Specialist (GMS) listed in this funding 
announcement and given 90 days to submit an official, signed Tribal 
Resolution to the GMS. If the signed Tribal Resolution is not received 
within 90 days, the award will be forfeited.
    Tribes organized with a governing structure other than a Tribal 
council may submit an equivalent document commensurate with their 
governing organization.

IV. Application and Submission Information

1. Obtaining Application Materials

    The application package and detailed instructions for this 
announcement are available at 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

    Mandatory documents for all applicants include:
     Abstract (one page) summarizing the project.
     Application forms:

[[Page 62829]]

    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 five 
pages). See Section IV.2.B, Budget Narrative for instructions.
     One-page Timeframe Chart.
     Tribal Resolution(s), which must explicitly authorize 
participation in a Self-Governance Negotiation Cooperative Agreement.
     Letters of Support from organization's Board of Directors 
(Optional).
     501(c)(3) Certificate.
     Biographical sketches for all Key Personnel.
     Contractor/Consultant resumes or qualifications and scope 
of work.
     Disclosure of Lobbying Activities (SF-LLL), if applicant 
conducts reportable lobbying.
     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 sufficient to demonstrate financial 
stability and financial management capability for 3 fiscal years. The 
Indian Tribe must provide evidence that, for the 3 fiscal years prior 
to requesting participation in the TSGP, the Indian Tribe has had no 
uncorrected significant and material audit exceptions in the required 
annual audit of the Indian Tribe's Self-Determination Contracts or 
Self-Governance Funding Agreements with any Federal agency. See 25 
U.S.C. 5383, 42 CFR 137.15-23. For Tribes or Tribal organizations (T/
TO) that expended $500,000 or more in Federal awards, the OTSG shall 
retrieve the audits directly from the Federal Audit Clearinghouse. For 
T/TO that expended less than $500,000 in Federal awards, the T/TO must 
provide evidence of the program review correspondence from the IHS or 
Bureau of Indian Affairs officials. See 42 CFR 137.21-23.
     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 at https://harvester.census.gov/facdissem/Main.aspx.
Public Policy Requirements
    All Federal public policies apply to IHS grants and cooperative 
agreements. Pursuant to 45 CFR 80.3(d), an individual shall not be 
deemed subjected to discrimination by reason of their exclusion from 
benefits limited by Federal law to individuals eligible for benefits 
and services from the IHS. See https://www.hhs.gov/grants/grants/grants-policies-regulations/.
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; 
and (4) 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 will 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: Introduction and Need for Assistance
    Demonstrate that the Tribe has conducted previous Self-Governance 
planning activities by clearly stating the results of what was learned 
during the planning process. Explain how the Tribe has determined it 
has the knowledge and expertise to assume or expand PSFAs and 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 goals and proposed activities 
will improve 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 your organization's significant program 
activities and accomplishments over the past several years associated 
with the goals of this announcement and leading up to the negotiation 
phase.
    Please identify and describe significant program activities and 
achievements associated with the delivery of quality health services. 
Provide a comparison of the actual

[[Page 62830]]

accomplishments to the goals established for the project period or, if 
applicable, provide justification for the lack of progress.
    B. Budget Narrative (Limit--5 Pages): Provide a budget narrative 
that explains the amounts requested for each line item of the budget 
from the SF-424A (Budget Information for Non-Construction Programs). 
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 Time 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]v), Acting Director, DGM, by 
telephone at (301) 443-2114 or (301) 443-5204. Please be sure to 
contact Mr. Gettys at least 10 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 indirect 
costs.
     Only one cooperative agreement may 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 request 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. Eastern Time 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 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 20 
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. 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 
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://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://sam.gov.
    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 at https://www.ihs.gov/dgm/policytopics/.

[[Page 62831]]

V. Application Review Information

    Possible points assigned to each section are noted in parentheses. 
The 10-page project narrative and five-page budget 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 fully 
understand the project. Attachments requested in the criteria do not 
count toward the page limit for the project narrative. 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 knowledge and expertise to assume or expand PSFAs and 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 Other Attachments in 
Grants.gov. These can include:
     Work plan, logic model, and/or timeline 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).
     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 (budget limit, project period limit) 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 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 award, 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 1 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

    Awards issued under this announcement are subject to, and 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, Cost Principles, and 
Audit Requirements for HHS Awards currently in effect or implemented 
during the period of award, other Department regulations and policies 
in effect at the time of award, and applicable statutory provisions. At 
the time of publication, this includes 45 CFR part 75, at https://www.govinfo.gov/content/pkg/CFR-2020-title45-vol1/pdf/CFR-2020-title45-vol1-part75.pdf.

[[Page 62832]]

     Please review all HHS regulatory provisions for 
Termination at 45 CFR 75.372, at https://www.ecfr.gov/cgi-bin/retrieveECFR?gp&;SID=2970eec67399fab1413ede53d7895d99&mc=true&
;n=pt45.1.75&r=PART&ty=HTML&se45.1.75_1372#se45.1.75_1372.
    C. Grants Policy:
     HHS Grants Policy Statement, Revised January 2007, at 
https://www.hhs.gov/sites/default/files/grants/grants/policies-regulations/hhsgps107.pdf.
    D. Cost Principles:
     Uniform Administrative Requirements for HHS Awards, ``Cost 
Principles,'' at 45 CFR part 75 subpart E.
    E. Audit Requirements:
     Uniform Administrative Requirements for HHS Awards, 
``Audit Requirements,'' at 45 CFR part 75 subpart F.
    F. As of August 13, 2020, 2 CFR 200 was updated to include a 
prohibition on certain telecommunications and video surveillance 
services or equipment. This prohibition is described in 2 CFR 200.216. 
This will also be described in the terms and conditions of every IHS 
grant and cooperative agreement awarded on or after August 13, 2020.

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, the IHS requires applicants to 
obtain a current IDC rate agreement and submit it to the DGM prior to 
the 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.
    Per 45 CFR 75.414(f) Indirect (F&A) costs, ``any non-Federal entity 
(NFE) [i.e., applicant] that has never received a negotiated indirect 
cost rate, . . . may elect to charge a de minimis rate of 10 percent of 
modified total direct costs which may be used indefinitely. As 
described in Section 75.403, costs must be consistently charged as 
either indirect or direct costs, but may not be double charged or 
inconsistently charged as both. If chosen, this methodology once 
elected must be used consistently for all Federal awards until such 
time as the NFE chooses to negotiate for a rate, which the NFE may 
apply to do at any time.''
    Electing to charge a de minimis rate of 10 percent only applies to 
applicants that have never received an approved negotiated indirect 
cost rate from HHS or another cognizant federal agency. Applicants 
awaiting approval of their indirect cost proposal may request the 10 
percent de minimis rate. When the applicant chooses this method, costs 
included in the indirect cost pool must not be charged as direct costs 
to the grant.
    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 at https://rates.psc.gov/ or the Department 
of the Interior (Interior Business Center) at 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 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 the imposition of special award 
provisions and/or 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 must 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. The progress 
report is due within 30 days after the reporting 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. A final report must be 
submitted within 90 days of expiration of the period of performance.
B. Financial Reports
    Federal Cash Transaction Reports are due 30 days after the close of 
every calendar quarter to the Payment Management Services at https://pms.psc.gov. Failure to submit timely reports may result in adverse 
award actions blocking access to funds.
    Federal Financial Reports are due 30 days after the end of each 
budget period, and a final report is due 90 days after the end of the 
Period of Performance.
    Grantees are responsible and accountable for reporting accurate 
information on all required reports: the Progress Reports, Federal Cash 
Transaction 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 threshold met for any specific 
reporting period.
    For the full IHS award term implementing this requirement and 
additional award applicability information, visit the DGM Grants 
Management website at https://www.ihs.gov/dgm/policytopics/.

[[Page 62833]]

D. Compliance With Executive Order 13166 Implementation of Services 
Accessibility Provisions for All Grant Application Packages and Funding 
Opportunity Announcements
    Should you successfully compete for an award, 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 (including gender 
identity, sexual orientation, and pregnancy). This includes ensuring 
programs are accessible to persons with limited English proficiency and 
persons with disabilities. 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/civil-rights/for-individuals/nondiscrimination/.
     Recipients of FFA must ensure that their programs are 
accessible to persons with limited English proficiency. For guidance on 
meeting your legal obligation to take reasonable steps to ensure 
meaningful access to your programs or activities by limited English 
proficiency individuals, see https://www.hhs.gov/civil-rights/for-individuals/special-topics/limited-english-proficiency/fact-sheet-guidance/ and https://www.lep.gov.
     For information on your specific legal obligations for 
serving qualified individuals with disabilities, including reasonable 
modifications and making services accessible to them, 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. See https://www.hhs.gov/civil-rights/for-individuals/sex-discrimination/.
     For guidance on administering your program in compliance 
with applicable Federal religious nondiscrimination laws and applicable 
Federal conscience protection and associated anti-discrimination laws, 
see https://www.hhs.gov/conscience/conscience-protections/ 
and https://www.hhs.gov/conscience/religious-freedom/.
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 FAPIIS at https://www.fapiis.gov before 
making any award in excess of the simplified acquisition threshold 
(currently $250,000) 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, 
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 an NFE 
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.
    All applicants and recipients must disclose in writing, in a timely 
manner, to the IHS and to the HHS Office of Inspector General of 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) 443-5204, 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 and 2 CFR part 
376).

VII. Agency Contacts

    1. Questions on the programmatic issues may be directed to: Roxanne 
Houston, Program Officer, Indian Health Service, 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: Sheila Little Miller, Grants Management Specialist, Indian 
Health Service, Division of Grants Management, 5600 Fishers Lane, Mail 
Stop: 09E70, Rockville, MD 20857, Phone: (240) 535-9308, Email: 
[email protected].
    3. Questions on systems matters may be directed to: Paul Gettys, 
Acting Director, Indian Health Service, Division of Grants Management, 
5600 Fishers Lane, Mail Stop: 09E70, Rockville, MD 20857, Phone: (301) 
443-2114; or the DGM main line (301) 443-5204, 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 Buchanan,
Assistant Surgeon General, RADM, USPHS, Acting Deputy Director, Indian 
Health Service.
[FR Doc. 2021-24679 Filed 11-10-21; 8:45 am]
BILLING CODE 4165-16-P