Tribal Self-Governance Demonstration Program: Planning and Negotiation Cooperative Agreements and IHS Compacts (93.210)

Program

93.210 Tribal Self-Governance Demonstration Program: Planning and Negotiation Cooperative Agreements and IHS Compacts

Federal Agency

Agency: Department of Health and Human Services
Office: Indian Health Service

Authorization

Indian Self-Determination and Education Assistance Act, Title 3, Section 302, Public Law 93-638.

Program Number

93.210

Last Known Status

Active

Objectives

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. Such assumptions will be by compact/funding agreements.

Types of Assistance

Direct Payments for Specified Use

Uses and Use Restrictions

Funds are to be spent in accordance with Public Law 93-638, as amended, applicable regulations and negotiated compact/funding agreement terms. 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. Per 42 CFR 137.100, pursuant to section 508(h) of the Act 25 U.S.C. 458aaa7(h), a Self-Governance Tribe may retain and spend interest earned on any funds paid under a compact or funding agreement. Per 42 CFR 137.101, a Self-Governance Tribe is under a duty to invest and manage the funds as a prudent investor would, in light of the purpose, terms, distribution requirements, and provisions in the compact or funding agreement and Title V. This duty requires the exercise of reasonable care, skill, and caution, and is to be applied to investments not in isolation but in the context of the investment portfolio and as a part of an overall investment strategy, which should incorporate risk and return 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. Per 42 CFR 137.100, pursuant to section 508(h) of the Act 25 U.S.C. 458aaa7(h), a Self-Governance Tribe may retain and spend interest earned on any funds paid under a compact or funding agreement. Per 42 CFR 137.101, a Self-Governance Tribe is under a duty to invest and manage the funds as a prudent investor would, in light of the purpose, terms, distribution requirements, and provisions in the compact or funding agreement and Title V. This duty requires the exercise of reasonable care, skill, and caution, and is to be applied to investments not in isolation but in the context of the investment portfolio and as a part of an overall investment strategy, which should incorporate risk and return objectives reasonably suitable to the Self-Governance Tribe. In making and implementing investment decisions, the Self-Governance Tribe has a duty to diversify the investments unless, under the circumstances, it is prudent not to do so. In addition, the Self-Governance Tribe must: (a) Conform to fundamental fiduciary duties of loyalty and impartiality; (b) Act with prudence in deciding whether and how to delegate authority and in the selection and supervision of agents; and (c) Incur only costs that are reasonable in amount and appropriate to the investment responsibilities of the Self-Governance Tribe. All IHS funds are discretionary funds.

Eligibility Requirements

Applicant Eligibility

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.

Beneficiary Eligibility

Federally-recognized Indian tribes and tribal organizations (as defined in 25 U.S.C. 450b(l)) will benefit.

Credentials/Documentation

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. OMB Circular No. A-87 applies to this program.

Application and Award Process

Preapplication Coordination

Preapplication coordination is not applicable. Environmental impact information is not required for this program. This program is excluded from coverage under E.O. 12372.

Application Procedure

OMB Circular No. A-102 applies to this program. OMB Circular No. A-110 applies to this program. None.

Award Procedure

Compacts/funding agreements are awarded to those Indian tribes or organizations who have completed negotiations with IHS.

Deadlines

Contact the headquarters or regional office, as appropriate, for application deadlines.

Range of Approval/Disapproval Time

From 60 to 90 days. Grants are approved or disapproved within 90 days of receipt of grant applications by the Indian Health Service, Division of Grants Operations.

Appeals

See 42 CFR 137.410 through 137.445, for regulations governing ompacts/funding agreement decisions.

Renewals

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. 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.

Assistance Considerations

Formula and Matching Requirements

This program has no statutory formula.

This program has no matching requirements.

This program does not have MOE requirements.

Length and Time Phasing of Assistance

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. Method of awarding/releasing assistance: quarterly.

Post Assistance Requirements

Reports

Program reports are not applicable. Grantee will be required to submit, quarterly PMS 272 Federal Cash Transaction Reports to the Division Of Payment Management Branch. Depending on services provided, progress and financial reports will be required either quarterly or semi-annually with final performance and financial status reports due 90 after the end of the project period. A SF269 Financial Status Report will be due to the Division of Grants Management Operations 90 after the end of each budget period. IHS grants are monitored by the Division of Grants Operations for financial compliance and by the IHS Program Staff for programmatic compliance.

Audits

In accordance with the provisions of OMB Circular No. A-133 (Revised, June 27, 2003), "Audits of States, Local Governments, and Non-Profit Organizations," nonfederal entities that expend financial assistance of $500,000 or more in Federal awards will have a single or a program-specific audit conducted for that year. Nonfederal entities that expend less than $500,000 a year in Federal awards are exempt from Federal audit requirements for that year, except as noted in Circular No. A-133. Per 42 CFR 137.165, under the provisions of section 506(c) of the Act 25 U.S.C. 458aaa5(c), Self-Governance Tribes must undertake annual audits pursuant to the Single Audit Act, 31 U.S.C. 7501 et seq. Per 42 CFR 137.166, exceptions are described in 31 U.S.C. 7502 of the Single Audit Act.

Records

In accordance with 42 CFR - 137.175, Tribes are required to maintain records and provide Federal agency access to those records as provided in 137.177 - 137.176, except to the extent that a Self-Governance Tribe specifies otherwise in its compact or funding agreement, the records of the Self-Governance Tribe shall not be considered Federal records for purposes of chapter 5 of title 5, U.S.C. - 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 sections 3101 through 3106 of title 44 U.S.C. - 137.178, at the option of a Self-Governance Tribe, patient records may be stored at Federal Records Centers to the same extent and in the same manner as other Department patient records in accordance with section 105(o) of the Act 25 U.S.C. 450j(o). - 137.179, a Self-Governance Tribe may make agreements with the Federal Records Centers regarding disclosure and release of the patient records stored pursuant to 137.178. - 137.180, a Tribe must consider the potential application of Tribal, Federal and state law and regulations that may apply to requests for access to Tribal patient records, such as the provisions 42 CFR 2.1.2.67 pertaining to records regarding drug and/or alcohol treatment.

Program Accomplishments

Fiscal Year 2008: In fiscal year 2008, there are 73 compact, 94 funding agreements covering tribally operated facilities which include 11 hospitals, 71 health centers, one school health centers, and 189 health stations/village clinics. Fiscal Year 2009: No Current Data Available Fiscal Year 2010: No Current Data Available

Financial Information

Account Identification

75-0390-0-1-551.

Obligations

(Salaries) FY 08 not reported.; FY 09 est not reported.; FY 10 est not reported. - (Compacts/Funding Agreements) FY 08 $949,982,000; FY 09 $980,000,000; and FY 10 est $1,100,000,000.

Range and Average of Financial Assistance

Range $85,000 to $64,200,000; Average $11,300,000.

Regulations, Guidelines and Literature

The Indian Self-Determination and Education Assistance Act, Public Law 93-638, as amended, authorizes compacts/funding agreements. According to section 515(c) of the Act 25 U.S.C. 458aaa-16(e), "unless expressly agreed to by the participating Indian tribe in the compact or funding agreement, the participating Indian tribe shall not be subject to any agency circular, policy, manual, guidance, or rule adopted by the Indian Health Service, except for the eligibility provisions of section 105(g) and regulations promulgated under section 517.42 CFR 137 applies to compacts/funding agreements.

Related Programs

Not Applicable.

Information Contacts

Regional or Local Office

None. Program Contact: Ms. Hankie Ortiz, Director, Office of Tribal Self-Governance, Indian Health Service, 801 Thompson Avenue, Suite 240, Rockville, MD 20852. Telephone: (301) 443-7821. For Grants Management Contact: Ms. Kimberly Pendleton; Senior Grants Management Officer, Division of Grants Operations, Indian Health Service; 801 Thompson Avenue, TMP, Suite 360; Rockville, Maryland 20852; Telephone: (301) 443-5204. Use the same numbers for FTS.

Headquarters Office

IHS Grants Policy Staff 12300 Twinbrook Parkway, Suite 625, Rockville, Maryland 20852 Phone: 301-443-6290

Web Site Address

http://www.ihs.gov .

Examples of Funded Projects

Not Applicable.

Criteria for Selecting Proposals

Not Applicable.