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Content provided by the Catalog of Federal Domestic Assistance
93.210 Tribal Self-Governance Demonstration Program: Planning and Negotiation Cooperative Agreements and IHS Compacts




Indian Self-Determination and Education Assistance Act, Title III, Public Law 93-638, as amended, Section 302, Public Law 103-413.
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To make financial assistance awards to Indian tribes to enable them to assume programs, functions, services, and activities (PFSA) of the Indian Health Service (IHS), Department of Health and Human Services (DHHS), and of the Department of Interior that are otherwise available to Indian tribes or organizations. Such assumptions will be by compact awards. The Self-Governance (SG) Demonstration Projects initially limited the number of compacts that could be awarded to 30. However, the 1994 Amendments authorize the addition of up to 30 tribes per fiscal year for the 10-year demonstration period not to exceed 18 years. In preparation for additional tribes each fiscal year, the IHS will make planning cooperative agreements available. The planning cooperative agreement allows a tribe to gather information to determine the current types and extent of PFSAs and funding levels available within its service area 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 funding of negotiating cooperative agreements which allows tribes to prepare to negotiate for compact status.


Project Grants.
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Establishing and operating programs to provide planning and negotiation resources to tribes interested in participating in the SGDP. These cooperative agreements will be awarded on a one-time basis. Compacts awarded as the result of the negotiation cooperative agreements will be multi-year for the length of the demonstration phase.


Applicant Eligibility:   For planning projects, any federally- recognized tribe which (1) Formally requests, through a governing body action, a planning cooperative agreement for the purpose of participation in the SGDP (2) has operated two or more mature contracts; and (3) has furnished organization-wide single audit reports as prescribed by Public Law 96-502, the Single Audit Act of 1984, for the previous 3 years that contain no significant or material audit exceptions. For each fiscal year, an additional 30 tribes may be eligible for selection to participate in the SGDP.

Beneficiary Eligibility:   Indian tribes will benefit.

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 must comply with Compact and Annual Funding Agreement requirements.

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Pre-application Coordination:   Not applicable. This program is excluded from coverage under E.O. 12372.

Application Procedure:   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 815-1 (Rev. 4/97); instructions for preparing the program narrative; and IHS Application Check List.

Award Procedure:   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.

Deadlines:   Contact the Headquarters Office listed below for deadline dates.

Range of Approval/Disapproval Time:   Within 45 days of IHS deadline.

Appeals:   None.

Renewals:   There will not be renewals for the planning and negotiation awards. Annual Funding Agreements are renegotiated and compacts renewed annually.


Formula and Matching Requirements:   This program has no statutory formula or matching requirements.

Length and Time Phasing of Assistance:   Payment of cooperative agreements are usually made through the DHHS Electronic Funds Transfer system.


Reports:   Cooperative agreements are subject to administrative requirements under 45 CFR, Part 92 for grants to Indian tribes. Compacts must comply with requirements in the compacts and annual finding agreements.

Audits:   In accordance with the provisions of OMB Circular No. A- 133 (Revised, June 24, 1997), "Audits of States, Local Governments, and Nonprofit Organizations," nonfederal entities that expend financial assistance of $300,000 or more in Federal awards will have a single or a program-specific audit conducted for that year. Nonfederal entities that expend less than $300,000 a year in Federal awards are exempt from Federal audit requirements for that year, except as noted in Circular No. A-133.

Records:   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.


Account Identification:   75-0390-0-1-551.

Obligations:   (Compacts) FY 01 $440,000,000; FY 02 est $440,000,000; and FY 03 est $440,000,000. (Cooperative Agreements) FY 01 $480,000; FY 02 est $480,000; and FY 03 est $480,000.

Range and Average of Financial Assistance:  
Range $79,000 to $153,000,000; Average $16,563,000.

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In fiscal year 2001, there are 45 compact awards covering Tribally operated facilities which include nine hospitals, 63 health centers, two school health centers, and 171 health stations. Similar support is anticipated for fiscal year 2002 and fiscal year 2003.


The Indian Self- Determination and Education Assistance Act, Title III, as amended (Public Law 103-413) authorizes both the cooperative agreements and the compacts. PHS Grants Policy Statement, DHHS Publication No. (OASH) 94- 50,000 (Rev. April 1, 1994), applies to the cooperative agreement awards.


Regional or Local Office:  
None. Program Contact: Mr. Benjamin P. Smith, Director, Office of Tribal Self-Governance, Indian Health Service, 5600 Fishers Lane, Mail Stop: 08E05, Rockville, MD 20857. Phone: (301) 443-7821 Fax: (301) 443-1050.

Grants Management Contact: Mr. Robert Tarwater, Director, Division of Grants Management, Indian Health Service, 5600 Fishers Lane, Mail Stop 09E70, Rockville, MD 20857. Telephone: (301) 443-5204, Fax (301) 594-0899.

Headquarters Office:   Grants Policy Office 5600 Fishers Lane, Mail Stop: 09E70, Rockville, Maryland 20857 Email: Phone: 301-443-5204

Web Site Address:


Tribally operated facilities include hospitals, health centers, school health centers, and health stations.


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.

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