[Federal Register Volume 78, Number 79 (Wednesday, April 24, 2013)]
[Notices]
[Pages 24212-24220]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2013-09674]
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DEPARTMENT OF HEALTH AND HUMAN SERVICES
Indian Health Service
Tribal Management Grant Program
Announcement Type: New and Competing Continuation.
Funding Announcement Number: HHS-2013-IHS-TMD-0001.
Catalog of Federal Domestic Assistance Number: 93.228.
Key Dates
Application Deadline Date: May 31, 2013.
Review Date: July 8-12, 2013.
Earliest Anticipated Start Date: September 1, 2013.
Signed Tribal Resolutions Due Date: July 7, 2013.
I. Funding Opportunity Description
Statutory Authority
The Indian Health Service (IHS) is accepting competitive grant
applications for the Tribal Management Grant (TMG) Program. This
program is authorized under: 25 U.S.C. 450h(b)(2) and 25 U.S.C. 450h(e)
of the Indian Health Self-Determination and Education Assistance Act
(ISDEAA), Public Law (Pub. L.) 93-638, as amended. This program is
described in the Catalog of Federal Domestic Assistance under 93.228.
Background
The TMG Program is a competitive grant program that is capacity
building and developmental in nature and has been available for
Federally-recognized Indian Tribes and Tribal organizations (T/TO)
since shortly after the passage of the ISDEAA in 1975. It was
established to assist T/TO to assume all or part of existing IHS
programs, functions, services, and activities (PFSA) and further
develop and improve their health management capability. The TMG Program
provides discretionary competitive grants to T/TO to establish goals
and performance measures for current health programs; assess current
management capacity to determine if new components are appropriate;
analyze programs to determine if T/TO management is practicable; and
develop infrastructure systems to manage or organize PFSA.
Purpose
The purpose of this IHS grant announcement is to announce the
availability of the TMG Program to enhance and develop health
management infrastructure and assist T/TO in assuming all or part of
existing IHS PSFA through a Title I contract and assist established
Title I contractors and Title V compactors to further develop and
improve their management capability. In addition, TMGs are available to
T/TO under the authority of 25 U.S.C. 450h(e) for: (1) Obtaining
technical assistance from providers designated by the T/TO (including
T/TO that operate mature contracts) for the purposes of program
planning and evaluation, including the development of any management
systems necessary for contract management and the development of cost
allocation plans for indirect cost rates; and (2) the planning,
designing, monitoring, and evaluation of Federal programs serving the
T/TO, including Federal administrative functions.
II. Award Information
Type of Award
Grant.
Estimated Funds Available
The total amount of funding identified for the current fiscal year
2013 is approximately $2,679,000. Individual award amounts are
anticipated to be between $50,000 and $100,000. All competing and
continuation awards issued under this announcement are subject to the
availability of funds. In the absence of funding, the IHS is under no
obligation to make any awards selected for funding under this
announcement.
Anticipated Number of Awards
Approximately 20-25 awards will be issued under this program
announcement.
Project Period
The project periods vary based on the project type selected.
Project periods could run from one, two, or three years and will run
consecutively from the earliest anticipated start date of September 1,
2013 through August 31, 2014, for one year projects; September 1, 2013
through August 31, 2015 for two year projects; and September 1, 2013
through August 31, 2016 for three year projects. Please refer to
``Eligible TMG Project Types, Maximum Funding Levels and Project
Periods'' below for additional details. State the number of years for
the project period and include the exact dates.
III. Eligibility Information
I. Eligibility
Eligible Applicants: ``Indian Tribes'' and ``Tribal organizations''
(T/TO) as defined by the ISDEAA, are eligible to apply for the TMG
Program. The definitions for each entity type are outlined below. Only
one application per T/TO is allowed.
Definitions: ``Indian Tribe'' means any Indian tribe, band, nation,
or other organized group or community, including any Alaska Native
village or regional or village corporation as defined in or established
pursuant to the Alaska Native Claims Settlement Act (85 Stat. 688) [43
U.S.C. 1601 et seq.], which is recognized as eligible for the special
programs and services provided by the United States to Indians because
of their status as Indians. 25 U.S.C. 450b(e).
``Tribal organization'' means the recognized governing body of any
Indian tribe; any legally established organization of Indians which is
controlled, sanctioned, or chartered by such governing body or which is
democratically elected by the adult members of the Indian community to
be served by such organization and which includes the maximum
participation of Indians in all phases of its activities. 25 U.S.C.
450b(l).
Tribal organizations must provide proof of non-profit status.
Tribal organizations are eligible to receive this grant only if it is
incorporated for the primary purpose of improving AI/AN health, and it
is representing the Tribes or AN villages in which it is located.
Full competition announcement: This is a full competition
announcement.
Eligible TMG Project Types, Maximum Funding Levels and Project
Periods: The TMG Program consists of four project types: (1)
Feasibility study; (2) planning; (3) evaluation study; and (4) health
management structure. Applicants may submit applications for one
project type only. Applicants must state the project type selected.
Applications that address more than one project type will be considered
ineligible. The maximum funding levels noted include both direct and
indirect costs. Applicant budgets may not exceed the maximum funding
level or project period identified for a project type. Applicants whose
budget or project period exceed the maximum funding level or project
period will be deemed ineligible and will not be reviewed. Please refer
to Section IV.5, ``Funding Restrictions'' for further information
regarding ineligible project activities.
1. Feasibility Study (Maximum Funding/Project Period: $70,000/12
Months)
The Feasibility Study must include a study of a specific IHS
program or segment of a program to determine if Tribal management of
the program is possible. The study shall present the
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planned approach, training, and resources required to assume Tribal
management of the program. The study must include the following four
components:
Health needs and health care services assessments that
identify existing health care services and delivery systems, program
divisibility issues, health status indicators, unmet needs, volume
projections, and demand analysis.
Management analysis of existing management structures,
proposed management structures, implementation plans and requirements,
and personnel staffing requirements and recruitment barriers.
Financial analysis of historical trends data, financial
projections and new resource requirements for program management costs
and analysis of potential revenues from Federal/non-Federal sources.
Decision statement/report that incorporates findings,
conclusions and recommendations; the presentation of the study and
recommendations to the Tribal governing body for determination
regarding whether Tribal assumption of program(s) is desirable or
warranted.
2. PLANNING (Maximum Funding/Project Period: $50,000/12 Months)
Planning projects entail a collection of data to establish goals
and performance measures for the operation of current health programs
or anticipated PFSA under a Title I contract. Planning projects will
specify the design of health programs and the management systems
(including appropriate policies and procedures) to accomplish the
health priorities of the T/TO. For example, planning projects could
include the development of a Tribal Specific Health Plan or a Strategic
Health Plan, etc. Please note that updated Healthy People information
and Healthy People 2020 objectives are available in electronic format
at the following Web site: http://www.health.gov/healthypeople/publications. The Public Health Service (PHS) encourages applicants
submitting strategic health plans to address specific objectives of
Healthy People 2020.
3. Evaluation Study (Maximum Funding/Project Period: $50,000/12 Months)
The Evaluation Study must include a systematic collection,
analysis, and interpretation of data for the purpose of determining the
value of a program. The extent of the evaluation study could relate to
the goals and objectives, policies and procedures, or programs
regarding targeted groups. The evaluation study could also be used to
determine the effectiveness and efficiency of a Tribal program
operation (i.e., direct services, financial management, personnel, data
collection and analysis, third-party billing, etc.), as well as to
determine the appropriateness of new components of a Tribal program
operation that will assist Tribal efforts to improve their health care
delivery systems.
4. Health Management Structure (Average Funding/Project Period:
$100,000/12 months; maximum funding/project period: $300,000/36 months)
The first year maximum funding level is limited to $150,000 for
multi-year projects. The Health Management Structure component allows
for implementation of systems to manage or organize PFSA. Management
structures include health department organizations, health boards, and
financial management systems; including systems for accounting,
personnel, third-party billing, medical records, management information
systems, etc. This includes the design, improvement, and correction of
management systems that address weaknesses identified through quality
control measures, internal control reviews, and audit report findings
under the Office of Management and Budget (OMB) OMB Circular A-133,
Audits of States, Local Governments and Non-Profit Organizations and
ISDEAA requirements. The OMB Circular A-133 can be found at the
following Web site: http://www.whitehouse.gov/omb/circulars_default.
For the minimum standards for the management systems used by Indian
T/TO when carrying out self-determination contracts, please see 25 CFR
Part 900, Contracts Under the Indian Self-Determination and Education
Assistance Act, Subpart F--``Standards for Tribal or Tribal
Organization Management Systems,'' Sec. Sec. 900.35-900.60. For
operational provisions applicable to carrying out Self-Governance
compacts, please see 42 CFR Part 137, Tribal Self-Governance, Subpart
I,--``Operational Provisions'' Sec. Sec. 137.160--137.220.
Please see Section IV ``Application and Submission Information''
for information on how to obtain a copy of the TMG application package.
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
If application budgets exceed the highest dollar amount outlined
under the ``Estimated Funds Available'' section within this funding
announcement, the application will be considered ineligible and will
not be reviewed for further consideration. If deemed ineligible, IHS
will not return the application. The applicant will be notified by
email by the Division of Grants Management (DGM) of this decision.
Tribal Resolution
A. Tribal Resolution--A resolution of the Indian Tribe served by
the project must accompany the application submission. This can be
attached to the electronic application. An Indian Tribe that is
proposing a project affecting another Indian Tribe must include
resolutions from all affected Tribes to be served. Applications by
Tribal organizations will not require a specific Tribal resolution if
the current Tribal resolution(s) under which they operate would
encompass the proposed grant activities. Draft resolutions are
acceptable in lieu of an official resolution. However, an official
signed Tribal resolution must be received by the DGM prior to the
beginning of the Objective Review. If an official signed resolution is
not received by the Review Date listed under the Key Dates section on
page one of this announcement, the application will be considered
incomplete and ineligible.
B. Tribal organizations applying for technical assistance and/or
training grants must submit documentation that the Tribal organization
is applying upon the request of the Indian Tribe/Tribes it intends to
serve.
C. Documentation for Priority I Participation requires a copy of
the Federal Register notice or letter from the Bureau of Indian Affairs
verifying establishment of Federally-recognized Tribal status within
the last five years. The date on the documentation must reflect that
Federal recognition was received during or after March 2008.
D. Documentation for Priority II Participation requires a copy of
the most current transmittal letter and Attachment A from the
Department of Health and Human Services (HHS), Office of Inspector
General (OIG), National External Audit Review Center (NEAR). See
``FUNDING PRIORITIES'' below for more information. If an
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applicant is unable to locate a copy of their most recent transmittal
letter or needs assistance with audit issues, information or technical
assistance may be obtained by contacting the IHS, Office of Finance and
Accounting, Division of Audit at (301) 443-1270, or the NEAR help line
at (800) 732-0679 or (816) 426-7720. Federally-recognized Indian Tribes
or Tribal organizations not subject to Single Audit Act requirements
must provide a financial statement identifying the Federal dollars in
the footnotes. The financial statement must also identify specific
weaknesses/recommendations that will be addressed in the TMG proposal
and that are related to 25 CFR Part 900, Subpart F--``Standards for
Tribal and Tribal Organization Management Systems.''
E. Documentation of Consortium Participation--If an Indian Tribe
submitting an application is a member of an eligible intertribal
consortium, the Tribe must:
--Identify the consortium.
--Indicate if the consortium intends to submit a TMG application.
--Demonstrate that the Tribe's application does not duplicate or
overlap any objectives of the consortium's application.
--Identify all of the consortium member Tribes.
--Identify if any of the member Tribes intend to submit a TMG
application of their own.
--Demonstrate that the consortium's application does not duplicate or
overlap any objectives of the other consortium members who may be
submitting their own TMG application.
Funding Priorities: The IHS has established the following funding
priorities for TMG awards:
Priority I--Any Indian Tribe that has received Federal
recognition (including restored, funded, or unfunded) within the past
five years, specifically received during or after March 2008, will be
considered Priority I.
Priority II--All other eligible Federally-recognized
Indian Tribes or Tribal organizations submitting a competing
continuation application or a new application for the sole purpose of
addressing audit material weaknesses will be considered Priority II.
Note the following definitions:
Audit finding means deficiencies which the auditor is required by
OMB Circular A-133, Subpart E `Auditors', Section 510 `Audit findings',
Subsection (a) `Audit findings reported', to report in the schedule of
findings and questioned costs. Circular No. A-133 can be found at
http://www.whitehouse.gov/omb/circulars_default.
Material weakness - The ``Statements on Auditing Standards 115''
defines material weakness as a deficiency, or combination of
deficiencies, in internal control, such that there is a reasonable
possibility that a material misstatement of the entity's financial
statements will not be prevented, or detected and corrected on a timely
basis.
Source: http://www.whitehouse.gov/sites/default/files/omb/fedreg/2007/062607_audits.pdf.
Significant deficiency--The Statements on Auditing Standards 115
defines significant deficiency as a deficiency, or a combination of
deficiencies, in internal control that is less severe than a material
weakness, yet important enough to merit attention by those charged with
governance.
Source: http://www.whitehouse.gov/sites/default/files/omb/fedreg/2007/062607_audits.pdf.
The audit findings are identified in Attachment A of the
transmittal letter received from the HHS/OIG/NEAR. Please identify the
material weaknesses to be addressed by underlining the item(s) listed
on Attachment A.
Federally-recognized Indian Tribes or Tribal organizations not
subject to Single Audit Act requirements must provide a financial
statement identifying the Federal dollars received in the footnotes.
The financial statement should also identify specific weaknesses/
recommendations that will be addressed in the TMG proposal and that are
related to 25 CFR Part 900, Subpart F--``Standards for Tribal and
Tribal Organization Management Systems.''
Priority II participation is only applicable to the Health
Management Structure project type. For more information, see ``Eligible
TMG Project Types, Maximum Funding Levels and Project Periods'' in
Section II.
Priority III--All other eligible Federally-recognized
Indian Tribes or Tribal Organizations submitting a competing
continuation application or a new application will be considered
Priority III.
The funding of approved Priority I applicants will occur before the
funding of approved Priority II applicants. Priority II applicants will
be funded before approved Priority III applicants. Funds will be
distributed until depleted.
Please refer to Section IV, ``Application and Submission
Information,'' particularly Item 5, ``Funding Restrictions'' and
Section V. ``Application Review/Information'' regarding other
application submission information and/or requirements.
Letters of Intent will not be required under this funding
opportunity announcement.
An applicant submitting any of the above additional documentation
after the initial application submission due date is required to ensure
the information was received by the IHS by obtaining documentation
confirming delivery (i.e. FedEx tracking, postal return receipt, etc.).
IV. Application and Submission Information
1. Obtaining Application Materials
The application package and detailed instructions for this
announcement can be found at http://www.Grants.gov or https://www.ihs.gov/dgm/index.cfm?module=dsp_dgm_funding.
Questions regarding the electronic application process may be
directed to Mr. Paul Gettys, Grants Systems Coordinator, at (301) 443-
2114.
2. Content and Form Application Submission
The applicant must include the project narrative as an attachment
to the application package. Mandatory documents for all applicants
include:
Table of contents.
Abstract (one page) summarizing the project.
Application forms:
[cir] SF-424, Application for Federal Assistance.
[cir] SF-424A, Budget Information--Non-Construction Programs.
[cir] SF-424B, Assurances--Non-Construction Programs.
Budget Justification and Narrative (must be single spaced
and not exceed five pages).
Project Narrative (must be single spaced and not exceed 14
pages).
[cir] Background information on the Tribe.
[cir] Proposed scope of work, objectives, and activities that
provide a description of what will be accomplished, including a one-
page Timeframe Chart.
Tribal Resolution or Tribal Letter of Support (Tribal
Organizations only).
Letter of Support from Organization's Board of Directors.
501(c)(3) Certificate (if applicable).
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.
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Organizational Chart (optional).
Documentation of current OMB A-133 required Single Audit
(if applicable).
Acceptable forms of documentation include:
[cir] Email confirmation from Federal Audit Clearinghouse (FAC)
that audits were submitted; or
[cir] Face sheets from audit reports. These can be found on the FAC
Web site: http://harvester.census.gov/sac/dissem/accessoptions.html?submit=Go+To+Database
Public Policy Requirements
All Federal-wide public policies apply to IHS grants with exception
of the Discrimination policy.
Requirements for Project and Budget Narratives
A. Project Narrative
This narrative should be a separate Word document that is no longer
than 14 pages and must: Be single-spaced, be type written, have
consecutively numbered pages, use black type not smaller than 12
characters per one inch, and be printed on one side only of standard
size 8[frac1s2] x 11 paper.
Be sure to succinctly answer all questions listed under the
evaluation criteria (refer to Section V.1, Evaluation criteria in this
announcement) and place all responses and required information in the
correct section (noted below), or they will not be considered or
scored. These narratives will assist the Objective Review Committee
(ORC) in becoming more familiar with the grantee's activities and
accomplishments prior to this grant award. If the narrative exceeds the
page limit, only the first 14 pages will be reviewed. The 14-page limit
for the narrative does not include the work plan, standard forms,
Tribal resolutions, table of contents, budget, budget justifications,
narratives, and/or other appendix items.
There are three parts to the narrative: Part A--Program
Information; Part B--Program Planning and Evaluation; and Part C--
Program Report. See below for additional details about what must be
included in the narrative.
Part A: Program Information (4 Pages)
Section 1: Needs
Describe how the T/TO has determined the need to either enhance or
develop its management capability to either assume PSFAs or not in the
interest of self-determination. Note the progression of previous TMG
projects/awards.
Part B: Program Planning and Evaluation (11 Pages)
Section 1: Program Plans
Describe fully and clearly the direction the T/TO plans to take
with the selected TMG project type including how the T/TO plans to
demonstrate improved health and services to the community it serves.
Include proposed timelines.
Section 2: Program Evaluation
Describe fully and clearly the improvements that will be made by
the T/TO that will impact their management capability or prepare them
for future improvements to their organization that will allow them to
manage their health care system and identify the anticipated or
expected benefits for the Tribe.
Part C: Program Report (3 Pages)
Section 1: Describe major Accomplishments over the last 24 months.
Please identify and describe significant program achievements
associated with the delivery of quality health services. Provide a
comparison of the actual accomplishments to the goals established for
the project period, or if applicable, provide justification for the
lack of progress.
Section 2: Describe major Activities over the last 24 months.
Please identify and summarize recent major health related project
activities of the work done during the project period.
B. Budget Narrative
This narrative must describe the budget requested and match the
scope of work described in the project narrative. The budget narrative
should not exceed five pages.
3. Submission Dates and Times
Applications must be submitted electronically through Grants.gov by
12:00 a.m., midnight Eastern Daylight Time (EDT) on the Application
Deadline Date listed in the Key Dates section on page one of this
announcement. Any application received after the application deadline
will not be accepted for processing, nor will it be given further
consideration for funding. The applicant will be notified by the DGM
via email of this decision.
If technical challenges arise and assistance is required with the
electronic application process, contact Grants.gov Customer Support via
email to [email protected] or at (800) 518-4726. Customer Support is
available to address questions 24 hours a day, 7 days a week (except on
Federal holidays). If problems persist, contact Mr. Paul Gettys, DGM
([email protected]) at (301) 443-2114. 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.
If the applicant needs to submit a paper application instead of
submitting electronically via Grants.gov, prior approval must be
requested and obtained (see Section IV.6 below for additional
information). The waiver must be documented in writing (emails are
acceptable), before submitting a paper application. A copy of the
written approval must be submitted along with the hardcopy that is
mailed to the DGM. Once the waiver request has been approved, the
applicant will receive a confirmation of approval and the mailing
address to submit the application. Paper applications that are
submitted without a waiver from the Acting Director of DGM will not be
reviewed or considered further for funding. The applicant will be
notified via email of this decision by the Grants Management Officer of
DGM. Paper applications must be received by the DGM no later than 5:00
p.m., EDT, on the Application Deadline Date listed in the Key Dates
section on page one of this announcement. Late applications will not be
accepted for processing or considered for funding.
4. Intergovernmental Review
Executive Order 12372 requiring intergovernmental review is not
applicable to this program.
5. Funding Restrictions
Pre-award costs are not allowable.
The available funds are inclusive of direct and
appropriate indirect costs.
Only one grant/cooperative agreement will be awarded per
applicant.
IHS will not acknowledge receipt of applications.
The TMG may not be used to support recurring operational
programs or to replace existing public and private resources. Funding
received under a recurring Public Law 93-638 contract cannot be totally
supplanted or totally replaced. Exception is allowed to charge a
portion or percentage of salaries of existing staff positions involved
in implementing the TMG grant, if applicable. However, this percentage
of TMG funding must reflect supplementation of funding for the project
not supplantation of existing ISDEAA contract funds. Supplementation is
``adding to a
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program'' whereas supplantation is ``taking the place of'' funds. An
entity cannot use the TMG funds to supplant the ISDEAA contract or
recurring funding.
Ineligible Project Activities--The inclusion of the
following projects or activities in an application will render the
application ineligible.
[cir] Planning and negotiating activities associated with the
intent of a Tribe to enter the IHS Self-Governance Project. A separate
grant program is administered by the IHS for this purpose. Prospective
applicants interested in this program should contact Mrs. Anna Johnson,
Program Analyst, Office of Tribal Self-Governance, Indian Health
Service, Reyes Building, 801 Thompson Avenue, Suite 240, Rockville,
Maryland 20852, (301) 443-7821, and request information concerning the
``Tribal Self-Governance Program Planning Cooperative Agreement
Announcement'' or the ``Negotiation Cooperative Agreement
Announcement.''
[cir] Projects related to water, sanitation, and waste management.
[cir] Projects that include direct patient care and/or equipment to
provide those medical services to be used to establish or augment or
continue direct patient clinical care. Medical equipment that is
allowable under the Special Diabetes Grant Program is not allowable
under the TMG Program.
[cir] Projects that include recruitment efforts for direct patient
care services.
[cir] Projects that include long-term care or provision of any
direct services.
[cir] Projects that include tuition, fees, or stipends for
certification or training of staff to provide direct services.
[cir] Projects that include pre-planning, design, and planning of
construction for facilities, including activities relating to program
justification documents.
[cir] Projects that propose more than one project type. Refer to
Section II, ``Award Information,'' specifically ``Eligible TMG Project
Types, Maximum Funding Levels and Project Periods'' for more
information. An example of a proposal with more than one project type
that would be considered ineligible may include the creation of a
strategic health plan (defined by TMG as a planning project type) and
improving third-party billing structures (defined by TMG as a health
management structure project type). Multi-year applications that
include in the first year planning, evaluation, or feasibility
activities with the remainder of the project years addressing
management structure are also deemed ineligible.
Other Limitations--A current TMG recipient cannot be
awarded a new, renewal, or competing continuation grant for any of the
following reasons:
[cir] The grantee will be administering two TMGs at the same time
or have overlapping project/budget periods;
[cir] The current project is not progressing in a satisfactory
manner;
[cir] The current project is not in compliance with program and
financial reporting requirements; or
[cir] The applicant has an outstanding delinquent Federal debt. No
award shall be made until either:
[ssquf] The delinquent account is paid in full; or
[ssquf] A negotiated repayment schedule is established and at least
one payment is received.
6. Electronic Submission Requirements
All applications must be submitted electronically. Please use the
http://www.Grants.gov Web site to submit an application electronically
and select the ``Find Grant Opportunities'' link on the homepage.
Download a copy of the application package, complete it offline, and
then upload and submit the completed application via the http://www.Grants.gov Web site. Electronic copies of the application may not
be submitted as attachments to email messages addressed to IHS
employees or offices.
If the applicant receives a waiver to submit paper application
documents, they must follow the rules and timelines that are noted
below. The applicant must seek assistance at least ten days prior to
the Application Deadline Date listed in the Key Dates section on page
one of this announcement.
Applicants that do not adhere to the timelines for System for Award
Management (SAM) and/or http://www.Grants.gov registration or that fail
to request timely assistance with technical issues will not be
considered for a waiver to submit a paper application.
Please be aware of the following:
Please search for the application package in http://www.Grants.gov by entering the CFDA number or the Funding Opportunity
Number. Both numbers are located in the header of this announcement.
If you experience technical challenges while submitting
your application electronically, please contact Grants.gov Support
directly at: [email protected] or (800) 518-4726. Customer Support is
available to address questions 24 hours a day, 7 days a week (except on
Federal holidays).
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.
If it is determined that a waiver is needed, you must
submit a request in writing (emails are acceptable) to
[email protected] with a copy to [email protected]. Please
include a clear justification for the need to deviate from the standard
electronic submission process.
If the waiver is approved, the application should be sent
directly to the DGM by the Application Deadline Date listed in the Key
Dates section on page one of this announcement.
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
fifteen working days.
Please use the optional attachment feature in Grants.gov
to attach additional documentation that may be requested by the DGM.
All applicants must comply with any page limitation
requirements described in this Funding Announcement.
After electronically submitting the application, the
applicant will receive an automatic acknowledgment from Grants.gov that
contains a Grants.gov tracking number. The DGM will download your
application from Grants.gov and provide necessary copies to the
appropriate agency officials. Neither the DGM nor the ODSCT will notify
the applicant that the application has been received.
Email applications will not be accepted under this
announcement.
Dun and Bradstreet (D&B) Data Universal Numbering System (DUNS)
All IHS applicants and grantee organizations are required to obtain
a DUNS number and maintain an active registration in the SAM database.
The DUNS number is a unique 9-digit identification number provided by
D&B which uniquely identifies your 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, you may access it through http://fedgov.dnb.com/webform, or to expedite the process, call (866) 705-
5711.
All HHS recipients are required by the Federal Funding
Accountability and Transparency Act of 2006, as amended (``Transparency
Act''), to report information on subawards. Accordingly, all IHS
grantees must notify potential first-tier subrecipients that no entity
may receive a first-tier subaward unless
[[Page 24217]]
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 were not registered with Central Contractor
Registration (CCR) and have not registered with SAM will need to obtain
a DUNS number first and then access the SAM online registration through
the SAM home page at https://www.sam.gov (U.S. organizations will also
need to provide an Employer Identification Number from the Internal
Revenue Service that may take an additional 2-5 weeks to become
active). Completing and submitting the registration takes approximately
one hour to complete and your SAM registration will take 3-5 business
days to process. Registration with the SAM is free of charge.
Applicants may register online at https://www.sam.gov.
Additional information on implementing the Transparency Act,
including the specific requirements for DUNS and SAM, can be found on
the IHS Grants Management, Grants Policy Web site: https://www.ihs.gov/dgm/index.cfm?module=dsp_dgm_policy_topics.
V. Application Review Information
The instructions for preparing the application narrative also
constitute the evaluation criteria for reviewing and scoring the
application. Weights assigned to each section are noted in parentheses.
The 14 page narrative should include only the first year of activities;
information for multi-year projects should be included as an appendix.
See ``Multi-year Project Requirements'' at the end of this section for
more information. The narrative section 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 points. A minimum score of 60 points is
required for funding. Points are assigned as follows:
1. Criteria
A. Introduction and Need for Assistance (20 Points)
(1) Describe the T/TO's current health operation. Include what
programs and services are currently provided (i.e., Federally-funded,
State-funded, etc.), information regarding technologies currently used
(i.e., hardware, software, services, etc.), and identify the source(s)
of technical support for those technologies (i.e., Tribal staff, Area
Office, vendor, etc.). Include information regarding whether the T/TO
has a health department and/or health board and how long it has been
operating.
(2) Describe the population to be served by the proposed project.
Include the number of eligible IHS beneficiaries who currently use the
services.
(3) Describe the geographic location of the proposed project
including any geographic barriers to the health care users in the area
to be served.
(4) Identify all TMGs received since FY 2008, dates of funding and
a summary of project accomplishments. State how previous TMG funds
facilitated the progression of health development relative to the
current proposed project. (Copies of reports will not be accepted.)
(5) Identify the eligible project type and priority group of the
applicant.
(6) Explain the need/reason for the proposed project by identifying
specific gaps or weaknesses in services or infrastructure that will be
addressed by the proposed project. Explain how these gaps/weaknesses
have been assessed.
(7) If the proposed project includes information technology (i.e.,
hardware, software, etc.), provide further information regarding
measures taken or to be taken that ensure the proposed project will not
create other gaps in services or infrastructure (i.e., negatively
affect or impact IHS interface capability, Government Performance and
Results Act reporting requirements, contract reporting requirements,
Information Technology (IT) compatibility, etc.) if applicable.
(8) Describe the effect of the proposed project on current programs
(i.e., Federally-funded, State-funded, etc.) and, if applicable, on
current equipment (i.e., hardware, software, services, etc.). Include
the effect of the proposed project on planned/anticipated programs and/
or equipment.
(9) Address how the proposed project relates to the purpose of the
TMG Program by addressing the appropriate description that follows:
Identify if the T/TO is an IHS Title I contractor. Address
if the self-determination contract is a master contract of several
programs or if individual contracts are used for each program. Include
information regarding whether or not the Tribe participates in a
consortium contract (i.e., more than one Tribe participating in a
contract). Address what programs are currently provided through those
contracts and how the proposed project will enhance the organization's
capacity to manage the contracts currently in place.
Identify if the T/TO is an IHS Title V compactor. Address
when the T/TO entered into the compact and how the proposed project
will further enhance the organization's management capabilities.
Identify if the T/TO is not a Title I or Title V
organization. Address how the proposed project will enhance the
organization's management capabilities, what programs and services the
organization is currently seeking to contract and an anticipated date
for contract.
B. Project Objective(s), Workplan and Consultants (40 Points)
(1) Identify the proposed project objective(s) addressing the
following:
Objectives must be measureable and (if applicable)
quantifiable.
Objectives must be results oriented.
Objectives must be time-limited.
Example: By installing new third-party billing software, the Tribe
will increase the number of bills processed by 15 percent at the end of
12 months.
(2) Address how the proposed project will result in change or
improvement in program operations or processes for each proposed
project objective. Also address what tangible products are expected
from the project (i.e., policies and procedures manual, health plan,
etc.).
(3) Address the extent to which the proposed project will build
local capacity to provide, improve, or expand services that address the
need(s) of the target population.
(4) Submit a work plan in the Appendix which includes the following
information:
Provide the action steps on a timeline for accomplishing
the proposed project objective(s).
Identify who will perform the action steps.
Identify who will supervise the action steps taken.
Identify what tangible products will be produced during
and at the end of the proposed project.
Identify who will accept and/or approve work products
during the duration of the proposed project and at the end of the
proposed project.
Include any training that will take place during the
proposed project and who will be providing and attending the training.
Include evaluation activities planned in the work plans.
[[Page 24218]]
(5) If consultants or contractors will be used during the proposed
project, please include the following information in their scope of
work (or note if consultants/contractors will not be used):
Educational requirements.
Desired qualifications and work experience.
Expected work products to be delivered on a timeline.
If a potential consultant/contractor has already been identified,
please include a resume in the Appendix.
(6) Describe what updates (i.e., revision of policies/procedures,
upgrades, technical support, etc.) will be required for the continued
success of the proposed project. Include when these updates are
anticipated and where funds will come from to conduct the update and/or
maintenance.
C. Program Evaluation (20 Points)
Each proposed objective requires an evaluation component to assess
its progression and ensure its completion. Also, include the evaluation
activities in the work plan.
Describe the proposed plan to evaluate both outcomes and processes.
Outcome evaluation relates to the results identified in the objectives,
and process evaluation relates to the work plan and activities of the
project.
(1) For outcome evaluation, describe:
What will the criteria be for determining success of each
objective?
What data will be collected to determine whether the
objective was met?
At what intervals will data be collected?
Who will collect the data and their qualifications?
How will the data be analyzed?
How will the results be used?
(2) For process evaluation, describe:
How will the project be monitored and assessed for
potential problems and needed quality improvements?
Who will be responsible for monitoring and managing
project improvements based on results of ongoing process improvements
and their qualifications?
How will ongoing monitoring be used to improve the
project?
Describe any products, such as manuals or policies, that
might be developed and how they might lend themselves to replication by
others.
How will the organization document what is learned
throughout the project period?
(3) Describe any evaluation efforts planned after the grant period
has ended.
(4) Describe the ultimate benefit to the Tribe that is expected to
result from this project. An example of this might be the ability of
the Tribe to expand preventive health services because of increased
billing and third party payments.
D. Organizational Capabilities, Key Personnel and Qualifications (15
Points)
This section outlines the broader capacity of the organization to
complete the project outlined in the work plan. It includes the
identification of personnel responsible for completing tasks and the
chain of responsibility for successful completion of the projects
outlined in the work plan.
(1) Describe the organizational structure of the T/TO beyond health
care activities, if applicable.
(2) Provide information regarding plans to obtain management
systems if the T/TO does not have an established management system
currently in place that complies with 25 CFR Part 900, Subpart F,
``Standards for Tribal or Tribal Organization Management Systems.''
State if management systems are already in place and how long the
systems have been in place.
(3) Describe the ability of the organization to manage the proposed
project. Include information regarding similarly sized projects in
scope and financial assistance as well as other grants and projects
successfully completed.
(4) Describe what equipment (i.e., fax machine, phone, computer,
etc.) and facility space (i.e., office space) will be available for use
during the proposed project. Include information about any equipment
not currently available that will be purchased through the grant.
(5) List key personnel who will work on the project. Include all
titles of key personnel in the work plan. In the Appendix, include
position descriptions and resumes for all key personnel. Position
descriptions should clearly describe each position and duties,
indicating desired qualifications and experience requirements related
to the proposed project. Resumes must indicate that the proposed staff
member is qualified to carry out the proposed project activities. If a
position is to be filled, indicate that information on the proposed
position description.
(6) Address how the T/TO will sustain the position(s) after the
grant expires if the project requires additional personnel (i.e., IT
support, etc.). State if there is no need for additional personnel.
(7) If the personnel are to be only partially funded by this grant,
indicate the percentage of time to be allocated to the project and
identify the resources used to fund the remainder of the individual's
salary.
E. Categorical Budget and Budget Justification (5 Points)
(1) Provide a categorical budget for each of the 12-month budget
periods requested.
(2) If indirect costs are claimed, indicate and apply the current
negotiated rate to the budget. Include a copy of the rate agreement in
the Appendix.
(3) Provide a narrative justification explaining why each
categorical budget line item is necessary and relevant to the proposed
project. Include sufficient cost and other details to facilitate the
determination of cost allowability (i.e., equipment specifications,
etc.).
Multi-Year Project Requirements
For projects requiring a second and/or third year, include only
Year 2 and/or Year 3 narrative sections (objectives, evaluation
components and work plan) that differ from those in Year 1. For every
project year, include a full budget justification and a detailed,
itemized categorical budget showing calculation methodologies for each
item. The same weights and criteria which are used to evaluate a one-
year project or the first year of a multi-year project will be applied
when evaluating the second and third years of a multi-year application.
A weak second and/or third year submission could negatively impact the
overall score of an application and result in elimination of the
proposed second and/or third years with a recommendation for only a
one-year award.
Appendix Items
Work plan, logic model and/or time line for proposed
objectives.
Position descriptions for key staff.
Resumes of key staff that reflect current duties.
Consultant or contractor proposed scope of work and letter
of commitment (if applicable).
Current Indirect Cost Agreement.
Organizational chart(s) highlighting proposed project
staff and their supervisors as well as other key contacts within the
organization and key community contacts.
Map of area to benefit project identifying where target
population resides and 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 by the DGM staff for
eligibility and completeness as outlined in the funding announcement.
Incomplete applications and applications that are non-
[[Page 24219]]
responsive to the eligibility criteria will not be referred to the ORC.
Applicants will be notified by DGM, via email, to outline minor missing
components (i.e., signature on the SF-424, audit documentation, key
contact form) needed for an otherwise complete application. All missing
documents must be sent to DGM on or before the due date listed in the
email of notification of missing documents required.
To obtain a minimum score for funding by the ORC, applicants must
address all program requirements and provide all required
documentation. If an applicant receives less than a minimum score, it
will be considered to be ``Disapproved'' and will be informed via email
by the IHS Program Office of their application's deficiencies. A
summary statement outlining the strengths and weaknesses of the
application will be provided to each disapproved applicant. The summary
statement will be sent to the Authorized Organizational Representative
(AOR) that is identified on the face page (SF-424), of the application
within 30 days of the completion of the Objective Review.
VI. Award Administration Information
1. Award Notices
The Notice of Award (NoA) is a legally binding document signed by
the Grants Management Officer and serves as the official notification
of the grant award. The NoA will be initiated by the DGM in our grant
system, GrantSolutions (https://www.grantsolutions.gov). Each entity
that is approved for funding under this announcement will need to
request or have a user account in GrantSolutions in order to retrieve
their NoA. 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 grant, the terms and conditions of
the award, the effective date of the award, and the budget/project
period.
Disapproved Applicants
Applicants who received a score less than the recommended funding
level for approval, 60 points, and were deemed to be disapproved by the
ORC, will receive an Executive Summary Statement from the IHS program
office within 30 days of the conclusion of the ORC outlining the
weaknesses and strengths of their submitted application. The IHS
program office will also provide additional contact information as
needed to address questions and concerns as well as provide technical
assistance if desired.
Approved But Unfunded Applicants
Approved but unfunded applicants that met the minimum scoring range
and were deemed by the ORC to be ``Approved'', but were not funded due
to lack of funding, will have their applications held by DGM for a
period of one year. If additional funding becomes available during the
course of FY 2013, the approved application may be re-considered by the
awarding program office for possible funding. The applicant will also
receive an Executive Summary Statement from the IHS program office
within 30 days of the conclusion of the ORC.
Note: Any correspondence other than the official NoA signed 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 IHS.
2. Administrative Requirements
Grants are administered in accordance with the following
regulations, policies, and Office of Management and Budget (OMB) cost
principles:
A. The criteria as outlined in this Program Announcement.
B. Administrative Regulations for Grants:
45 CFR Part 92, Uniform Administrative Requirements for
Grants and Cooperative Agreements to State, Local and Tribal
Governments.
45 CFR Part 74, Uniform Administrative Requirements for
Awards and Subawards to Institutions of Higher Education, Hospitals,
and other Non-profit Organizations.
C. Grants Policy:
HHS Grants Policy Statement, Revised 01/07.
D. Cost Principles:
2 CFR Part 225--Cost Principles for State, Local, and
Indian Tribal Governments (OMB Circular A-87).
2 CFR Part 230--Cost Principles for Non-Profit
Organizations (OMB Circular A-122).
E. Audit Requirements:
OMB Circular A-133, Audits of States, Local Governments,
and Non-profit Organizations.
3. Indirect Costs
This section applies to all grant recipients that request
reimbursement of indirect costs (IDC) in their grant application. In
accordance with HHS Grants Policy Statement, Part II-27, IHS requires
applicants to obtain a current IDC rate agreement prior to award. The
rate agreement must be prepared in accordance with the applicable cost
principles and guidance as provided by the cognizant agency or office.
A current rate covers the applicable grant activities under the current
award's budget period. If the current rate is not on file with the DGM
at the time of award, the IDC portion of the budget will be restricted.
The restrictions remain in place until the current rate is provided to
the DGM.
Generally, IDC rates for IHS grantees are negotiated with the
Division of Cost Allocation (DCA) https://rates.psc.gov/ and the
Department of Interior (National Business Center) http://www.doi.gov/ibc/services/Indirect_Cost_Services/index.cfm. For questions
regarding the indirect cost policy, please call (301) 443-5204 to
request assistance.
4. Reporting Requirements
The grantee must submit required reports consistent with the
applicable deadlines. Failure to submit required reports within the
time allowed may result in suspension or termination of an active
grant, withholding of additional awards for the project, or other
enforcement actions such as withholding of payments or converting to
the reimbursement method of payment. Continued failure to submit
required reports may result in one or both of the following: (1) The
imposition of special award provisions; and (2) the non-funding or non-
award of other eligible projects or activities. This requirement
applies whether the delinquency is attributable to the failure of the
grantee organization or the individual responsible for preparation of
the reports. Reports must be submitted electronically via
GrantSolutions. Personnel responsible for submitting reports will be
required to obtain a login and password for GrantSolutions. Please see
the Agency Contacts list in section VII for the systems contact
information.
The reporting requirements for this program are noted below.
A. Progress Reports
Program progress reports are required semi annually, within 30 days
after the budget period ends. These reports must include a brief
comparison of actual accomplishments to the goals established for the
period, 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 budget/project
period.
B. Financial Reports
Federal Financial Report FFR (SF-425), Cash Transaction Reports are
due
[[Page 24220]]
30 days after the close of every calendar quarter to the Division of
Payment Management, HHS at: http://www.dpm.psc.gov. It is recommended
that you also send a copy of your FFR (SF-425) report to your Grants
Management Specialist. Failure to submit timely reports may cause a
disruption in timely payments to your organization.
Grantees are responsible and accountable for accurate information
being reported on all required reports: The Progress Reports and
Federal Financial Report.
C. Federal Subaward Reporting System (FSRS)
This award may be subject to the Transparency Act subaward 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 subawards 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 subaward obligation dollar threshold met for any specific
reporting period. Additionally, all new (discretionary) IHS awards
where the project period is made up of more than one budget period and
where: (1) The project period start date was October 1, 2010 or after
and (2) the primary awardee will have a $25,000 subaward 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 Grants Management Grants Policy Web site at: https://www.ihs.gov/dgm/index.cfm?module=dsp_dgm_policy_topics.
Telecommunication for the hearing impaired is available at: TTY
(301) 443-6394.
VII. Agency Contacts
1. Questions on the programmatic issues may be directed to: Ms.
Patricia Spotted Horse, Program Analyst, Office of Direct Service and
Contracting Tribes, Indian Health Service, 801 Thompson Avenue, Suite
220, Rockville, MD 20852-1609, Telephone: (301) 443-1104, Fax: (301)
443-4666, Email: [email protected].
2. Questions on grants management and fiscal matters may be
directed to: Mr. Pallop Chareonvootitam, Grants Management Specialist,
Division of Grants Management, Office of Management Services, Indian
Health Service, 801 Thompson Avenue, TMP Suite 360, Rockville, MD
20852-1609, Telephone: (301) 443-5204, Fax: (301) 443-9602, Email:
[email protected].
3. Questions on systems matters may be directed to: Mr. Paul
Gettys, Grant Systems Coordinator, 801 Thompson Avenue, TMP Suite 360,
Rockville, MD 20852, Phone: 301-443-2114; or the DGM main line 301-443-
5204, Fax: 301-443-9602, E-Mail: [email protected].
VIII. Other Information
The Public Health Service strongly encourages all 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.
Dated: April 16, 2013.
Yvette Roubideaux,
Director, Indian Health Service.
[FR Doc. 2013-09674 Filed 4-23-13; 8:45 am]
BILLING CODE 4165-16-P