Tribal Self-Governance Demonstration Program: Planning and Negotiation Cooperative Agreements and IHS Compacts
Published on AidPage by IDILOGIC on Jun 24, 2005
Purpose of this program:
To make financial assistance awards to Indian tribes to enable them to assume programs, functions, services, and activities (PFSA) with respect to which Indian tribes or Indians are primary or significant beneficiaries, administered by the Department of Health and Human Services (DHHS) through the Indian Health Service. Cooperative Agreements: In preparation for additional tribes each fiscal year, the IHS will make Planning Cooperative Agreements available. The Planning Cooperative Agreements allows a tribe to gather information to determine the current types and extent of PFSAs and funding levels available within its service areas and to plan for the types and extent of PFSAs and funding to be made available to the tribe under a compact. The IHS will also award Negotiation Cooperative Agreements which allow tribes to prepare to negotiate for compacting under Self-Governance. Compacts/Funding Agreements: Such assumptions will be by compact/funding agreements.
Possible uses and use restrictions...
Cooperative Agreements: Establishing and operating programs to provide planning and negotiation resources to tribes interested in participating in the Tribal Self-Governance Program (TSGP). These cooperative agreements will be awarded on a one-time basis. Compacts/Funding Agreements: Funds are to be spent in accordance with Title V, applicable regulations and negotiated compact/funding agreement terms.
Who is eligible to apply...
For planning cooperative agreements, any Federally-recognized tribe which (1) Formally requests, through a governing body action, a planning cooperative agreement for the purpose of participation in the TSGP and (2) has furnished organization-wide single audit reports as prescribed by Public Law 96-502, the Single Audit Act of 1984, as amended, for the previous 3 years that contain no uncorrected significant and material audit exceptions in the audit of the tribe's self-determination contracts or self-governance funding agreements with any Federal agency. For Negotiation Cooperative Agreements: In addition to the two criteria listed above, applicants must have successfully completed the planning phase as described at 42 CFR 137.20. Compacts/Funding Agreements: Per 42 CFR 137.18, to be eligible to participate in self-governance, an Indian tribe must have: (a) successfully completed the planning phase described in Sec. 137.20; (b) requested participation in self-governance by resolution or other official action by the governing body of each Indian tribe to be served; and (c) demonstrated, for three fiscal years, financial stability ad financial management capability. Per 42 CFR 137-21, the Indian tribe provides evidence that, for the three years prior to participation in self-governance, 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. Per 42 CFR 137.26, an Indian tribe does not need to receive a planning or negotiation cooperative agreement to be eligible to participate in self-governance. An Indian tribe may use other resources to meet the planning requirement and to negotiate. For each fiscal year, an additional 50 Indian tribes that meet the eligibility criteria shall be entitled to participate in self-governance.
Credentials/Documentation
For planning, costs will be determined in accordance with OMB Circular No. A-87 for State and Local Governments and Indian tribes and applicable grant administration regulations 45 CFR, Part 92. Compacts/Funding Agreements: Per 42 CFR 137.167 and 137.168, a self-governance tribe must apply the cost principles of the applicable OMB Circular, except as modified by: (a) section 106(k) of the Act (25 U.S.C. 450j-1), (b) other provisions of law, or (c) any exemptions to applicable OMB circulars subsequently granted by the OMB. No other audit or accounting standards shall be required by the Secretary.
Note:This is a brief description of the credentials or documentation required prior to, or along with, an application for assistance.
About this section:
This section indicates who can apply to the Federal government for assistance and the criteria the potential applicant must satisfy.
For example, individuals may be eligible for research grants, and the criteria to be satisfied may be that they have a professional or scientific degree,
3 years of research experience, and be a citizen of the United States. Universities, medical schools, hospitals, or State and local governments may also be eligible.
Where State governments are eligible, the type of State agency will be indicated (State welfare agency or State agency on aging) and the criteria that they
must satisfy.
Certain federal programs (e.g., the Pell Grant program which provides grants to students) involve intermediate levels of application processing, i.e., applications
are transmitted through colleges or universities that are neither the direct applicant nor the ultimate beneficiary. For these programs,
the criteria that the intermediaries must satisfy are also indicated, along with intermediaries who are not eligible.
How to apply...
Application Procedure:
Cooperative Agreements: The standard application forms, as furnished by IHS and required by 45 CFR 92 for State and Local Governments, must be used for cooperative agreements under this program. An IHS Grant Application Kit may be obtained from the Grants Management Branch, Division of Acquisition and Grants Management, 801 Thompson Avenue, Suite 120, Rockville, MD 20852. Telephone: (301) 443-5204. This kit includes Standard Form PHS 5161-1 (Rev. 7/00); Standard Forms 424A & B (Rev. 7/97); Application Receipt Card, IHS-815-1A; instructions for preparing the program narrative; and IHS Application Check List. Compacts/Funding Agreements: Eligible Indian tribes interested in entering the self-governance should send a letter of intent to the Director, Office of Tribal Self-Governance, 801 Thompson Avenue, Suite 240, Rockville, MD 20852.
Note: Each program will indicate whether applications are to be submitted to the Federal headquarters, regional or local office, or to a State or local government office.
Award Procedure:
Cooperative Agreements: Cooperative agreements are made directly by the IHS to the Indian tribal applicants, based on results of a competitive review process. Compacts are awarded to those Indian tribes or organizations who have successfully negotiated with IHS. Compacts/Funding Agreements: Compacts/Funding Agreements are awarded to those Indian tribes or organizations who have completed negotiations with IHS.
Note: Grant payments may be made by a letter of credit, advance by Treasury check, or reimbursement by Treasury check.
Awards may be made by the headquarters office directly to the applicant, an agency field office, a regional office,
or by an authorized county office. The assistance may pass through the initial applicant for further distribution by
intermediate level applicants to groups or individuals in the private sector.
Deadlines and process...
Deadlines
Cooperative Agreements: Contact the Headquarters Office listed below for deadline dates. Compacts/Funding Agreements: There is no deadline for a Tribe entering into a Compact/Funding Agreement. Contact the Director, Office of Tribal Self-Governance, listed below for additional information.
Note:
When available, this section indicates the deadlines for applications to the funding agency which will
be stated in terms of the date(s) or between what dates the application should be received.
When not available, applicants should contact the funding agency for deadline information.
Range of Approval/Disapproval Time
Cooperative Agreements: Within 45 days of IHS deadline. Compacts/Funding Agreements: The time varies as these are negotiated documents.
Preapplication Coordination
Preapplication coordination not applicable. This program is excluded from coverage under E.O. 12372.
Note:
This section indicates whether any prior coordination or approval is required with governmental or nongovernmental units
prior to the submission of a formal application to the federal funding agency.
Appeals
Cooperative Agreements: Per 42 CFR 137.416, decisions relating to the award of Cooperative Agreements may be appealed under 45 CFR Part 5. Compacts/Funding Agreements: See 42 CFR 137.410 through 137.445, for regulations governing compacts/funding agreement decisions.
Note:
In some cases, there are no provisions for appeal. Where applicable, this section discusses appeal procedures or allowable rework time for resubmission
of applications to be processed by the funding agency. Appeal procedures vary with individual programs and are either listed in this section or
applicants are referred to appeal procedures documented in the relevant Code of Federal Regulations (CFR).
Renewals
Cooperative Agreements: There will not be renewals for the planning and negotiation awards. Compacts/Funding Agreements: Per 42 CFR 137.35, upon approval and execution of a self-governance compact, the compact remains in effect for so long as permitted by Federal law or until determined by mutual written agreement or retrocession or reassumption of all PSFAs. Per 42 CFR 137.55, a funding agreement shall have the term mutually agreed to by the parties. Absent notification from an Indian tribe that it is withdrawing or retroceding the operation of one or more PSFAs identified in the funding agreement, the funding agreement shall remain in full force and effect until a subsequent funding agreement is executed.
Note:
In some instances, renewal procedures may be the same as for the application procedure, e.g., for projects of a non-continuing nature renewals will be treated as new, competing applications; for projects of an ongoing nature, renewals may be given annually.
Who can benefit...
Cooperative Agreements and Compacts/Funding Agreements: Indian tribes will benefit.
Beneficiaries
About this section:
This section lists the ultimate beneficiaries of a program, the criteria they must satisfy and who specifically is not eligible. The applicant and beneficiary will generally be the same for programs that provide assistance directly from a Federal agency. However, financial assistance that passes through State or local governments will have different applicants and beneficiaries since the assistance is transmitted to private sector beneficiaries who are not obligated to request or apply for the assistance.
What types of assistance...
Project Grants
The funding, for fixed or known periods, of specific projects. Project grants can include fellowships, scholarships, research grants, training grants, traineeships, experimental and demonstration grants, evaluation grants, planning grants, technical assistance grants, survey grants, and construction grants.
How much financial aid...
Range and Average of Financial Assistance
Cooperative Agreements: $20,000 to $36,000 average. Compacts/Funding Agreements vary based on the types and levels of services and programs included in the awards. In FY 03, the range was 98,000 to $126,000, the average was $10,958,000.
Note:
This section lists the representative range (smallest to largest) of the amount of financial assistance available. These figures are based upon funds awarded in the past fiscal year and the current fiscal year to date. Also indicated is an approximate average amount of awards which were made in the past and current fiscal years.
Obligations
(Cooperative Agreements) FY 03 $330,000; FY 04 est $720,000; and FY 05 est $720,000. (Compacts/Funding Agreements) FY 03 $898,500,000; FY 04 est $910,000,000; and FY 05 est $910,000,000.
Note:
The dollar amounts listed in this section represent obligations for the past fiscal year (PY), estimates for the current fiscal year (CY), and estimates for the budget fiscal year (BY) as reported by the Federal agencies. Obligations for non-financial assistance programs indicate the administrative expenses involved in the operation of a program.
Account Identification
75-0390-0-1-551.
Note:
Note: This 11-digit budget account identification code represents the account which funds a particular program.
This code should be consistent with the code given for the program area as specified in Appendix III of the Budget of the United States Government.
Examples of funded projects...
Tribally operated facilities include hospitals, health centers, school health centers, and health stations/Alaska village clinics.
About this section
This section indicates the different types of projects which have been funded in the past. Only projects funded under Project Grants or Direct Payments for Specified Use should be listed here. The examples give potential applicants an idea of the types of projects that may be accepted for funding. The agency should list at least five examples of the most recently funded projects.
Program accomplishments...
In fiscal year 2003, there are 62 compact, 82 funding agreements covering tribally operated facilities which include 11 hospitals, 64 health centers, one school health centers, and 189 health stations/village clinics.
Criteria for selecting proposals...
For planning cooperative agreements, criteria are as follows: goals/objectives; methodology including innovativeness of approach; capability of applicant to successfully conduct the project; and budget and its effective use.
Assistance considerations...
Length and Time Phasing of Assistance
Cooperative Agreements: Payment of cooperative agreements are usually made through the DHHS Electronic Funds Transfer system. Compacts/Funding Agreements: Per 42 CFR 137.76, when a funding agreement requires an annual transfer of funding to be made at the beginning of a fiscal year, or requires semi-annual or other periodic transfers of funding to be made commencing at the beginning of a fiscal year, the first such transfer shall be made not later than 10 days after the apportionment of such funds by the OMB to the Department, unless the funding agreement provides otherwise. Per 42 CFR 137.77, the Secretary must transfer any funds that were not paid in the initial lump sum payment within 10 days after distribution methodologies and other decisions regarding payment of those funds have been made by the IHS.
Formula and Matching Requirements
Formula or Matching requirements. This program has no statutory formula or matching requirements.
Note:
A formula may be based on population, per capita income, and other statistical factors. Applicants are informed whether there are any matching requirements to be met when participating in the cost of a project. In general, the matching share represents that portion of the project costs not borne by the Federal government. Attachment F of OMB Circular No. A-102 (Office of Management and Budget) sets forth the criteria and procedures for the evaluation of matching share requirements which may be cash or in-kind contributions made by State and local governments or other agencies, institutions, private organizations, or individuals to satisfy matching requirements of Federal grants or loans.
Cash contributions represent the grantees' cash outlay, including the outlay of money contributed to the grantee by other public agencies, institutions, private organizations, or individuals. When authorized by Federal regulation, Federal funds received from other grants may be considered as the grantees' cash contribution.
In-kind contributions represent the value of noncash contributions provided by the grantee, other public agencies and institutions, private organizations or individuals. In-kind contributions may consist of charges for real property and equipment, and value of goods and services directly benefiting and specifically identifiable to the grant program. When authorized by Federal legislation, property purchased with Federal funds may be considered as grantees' in-kind contribution.
Maintenance of effort (MOE) is a requirement contained in certain legislation, regulations, or administrative policies stating that a grantee must maintain a specified level of financial effort in a specific area in order to receive Federal grant funds, and that the Federal grant funds may be used only to supplement, not supplant, the level of grantee funds.
Post assistance requirements...
Reports
Cooperative Agreements: Cooperative agreements are subject to administrative requirements under 45 CFR, Part 92 for grants to Indian tribes. Compacts/Funding Agreements: Per 42 CFR 137.200, Compacts or Funding Agreements negotiated between the Secretary and a Self-Governance Tribe must include a provision that requires the Self-Governance Tribe to report on health status and services delivery. These reports may only impose minimal burdens on the Self-Governance Tribes.
Note:
This section indicates whether program reports, expenditure reports, cash reports or performance monitoring are required by the Federal funding agency, and specifies at what time intervals (monthly, annually, etc.) this must be accomplished.
Audits
Cooperative Agreements and Compacts/Funding Agreements: In accordance with the provisions of OMB Circular No. A- 133 (Revised, June 27, 2003), "Audits of States, Local Governments, and Nonprofit Organizations," nonfederal entities that expend financial assistance of $300,000 ($500,000 for fiscal years ending after December 31, 2003) or more in Federal awards will have a single or a program-specific audit conducted for that year. Nonfederal entities that expend less than $300,000 ($500,000 for fiscal years ending after December 31, 2003) a year in Federal awards are exempt from Federal audit requirements for that year, except as noted in Circular No. A-133.
Note:
This section discusses audits required by the Federal agency.
The procedures and requirements for State and local governments and nonprofit entities are set forth in OMB Circular No. A-133.
These requirements pertain to awards made within the respective State's fiscal year - not the Federal fiscal year,
as some State and local governments may use the calendar year or other variation of time span designated as the fiscal year period,
rather than that commonly known as the Federal fiscal year (from October 1st through September 30th).
Records
Cooperative Agreements: DHHS and the Comptroller General of the United States or any of their authorized representatives, shall have the right to access any books, documents, papers, or other records of a grantee, subgrantee, contractor, or subcontractor, which are pertinent to the HHS award, in order to make audits, examinations, excerpts and transcripts. Grantees are required to maintain accounting records 3 years after the end of the budget period of the award. If any litigation, claim, negotiation, audit or other action involving the records shall be retained until completion of the action and resolution of all issues which arise from it, or until the end of the regular 3-year period, whichever is later. Compacts/Funding Agreements: The Comptroller General and the DHHS Secretary, or any of their duly authorized representatives, shall, until the expiration of 3 years after completion of the funding agreements, have access (for the purpose of audit and examination) to any books, documents, papers, and records which in the opinion of the Comptroller General or the DHHS Secretary may be related or pertinent to the grants, contracts, subcontracts, subgrants, or other arrangements of the funding agreement. In accordance with 42 CFR 137.177, after 30 days advance written notice from the Secretary, the Self-Governance Tribe must provide the Secretary with reasonable access to such records to enable the Department to meet its minimum legal recordkeeping system requirements under section 3101 through 3106 of title 44 United States Code.
Note:
This section indicates the record retention requirements and the type of records the Federal agency may require.
Not included are the normally imposed requirements of the General Accounting Office.
For programs falling under the purview of OMB Circular No. A-102, record retention is set forth in Attachment C.
For other programs, record retention is governed by the funding agency's requirements.
Regulations...
Authorization
Indian Self-Determination and Education Assistance Act, Title V, Public Law 93-638, as amended.
Note:
This section lists the legal authority upon which a program is based (acts, amendments to acts, Public Law numbers, titles, sections, Statute Codes, citations to the U.S. Code, Executive Orders, Presidential Reorganization Plans, and Memoranda from an agency head).
Regulations, Guidelines, And Literature
The Indian Self- Determination and Education Assistance Act, Title V, as amended, authorizes both the cooperative agreements and the compacts/funding agreements. PHS Grants Policy Statement, DHHS Publication No. (OASH) 94- 50,000 (Rev. April 1, 1994), applies to the cooperative agreement awards. 42 CFR 137 applies to compacts/funding agreements.
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