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Tribal Self-Governance Program: IHS Compacts/Funding Agreements

OTSG Compacts
Number: 93.210
Agency: Department of Health and Human Services
Office: Indian Health Service

Program Information 

Program Number/Title (010):
93.210 Tribal Self-Governance Program: IHS Compacts/Funding Agreements
Federal Agency (030):
Indian Health Service, Department of Health and Human Services
Authorization (040):
Indian Self-Determination and Education Assistance Act (ISDEAA), 25 U.S.C 458aaa; Tribal Self-Governance Amendments of 2000, 42 U.S.C 137.1-450.
Objectives (050):
To allow Federally recognized Indian Tribes to enter into an agreement with the Indian Health Service (IHS) to assume full funding and control over programs, services, functions and activities (PSFA) (or portions thereof) that the IHS would otherwise provide for Indians because of their status as Indians. Such assumptions shall be through compact and funding agreement or construction project agreement under Title V of the ISDEAA.
Types of Assistance (060):
Direct Payments for Specified Use
Uses and Use Restrictions (070):
Funds must be spent in accordance with the ISDEAA, applicable regulations and terms of the negotiated compact, funding agreement, or construction project agreement. Per 42 C.F.R. §§ 137.167-168, a Tribe participating in the IHS Self-Governance Program (Self-Governance Tribe) must apply the cost principles of the applicable OMB Circular, except as modified by: (a) 25 U.S.C. § 450j-1, (b) other provisions of law, or (c) any exemptions to applicable, subsequent OMB circulars. No other audit or accounting standards shall be required by the Secretary. Per 25 U.S.C § 458aaa-7(h) and 42 C.F.R. § 137.100, a Self-Governance Tribe may retain and spend interest earned on any funds paid under a compact or funding agreement. Per 42 C.F.R. § 137.101, a Self-Governance Tribe must 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 ISDEAA 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 that should incorporate risk and return objectives reasonably suitable to the Self-Governance Tribe. In making and implementing investment decisions, the Self-Governance Tribe must diversify the investments, unless it is imprudent under the circumstances. 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.
Eligibility Requirements (080)
Applicant Eligibility (081):
Per 42 C.F.R. § 137.18, to be eligible to participate in the IHS Tribal Self-Governance Program (Program), any Federally recognized Indian tribe must: (a) successfully complete the planning phase described in 42 C.F.R. § 137.20; (b) request participation in the Program by resolution or other official action by the governing body of each Indian tribe to be served; and (c) demonstrate financial stability and financial management capability for three fiscal years. Per 42 C.F.R. § 137.21, the Indian tribe provides evidence that, for the three years prior to participation in the Program, 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 C.F.R. § 137.22, if the Indian Tribe chooses to centralize its self-determination or self-governance financial and administrative functions with non-self-determination or non-self-governance financial and administrative functions, such as personnel, payroll, property management, etc., the Secretary may consider uncorrected significant and material audit exceptions related to the integrity of a cross-cutting centralized function in determining the Indian Tribe's eligibility for participation in the self-governance program. Per 42 C.F.R. § 137.26, an Indian tribe does not need to receive a planning or negotiation cooperative agreement to be eligible to participate in the IHS Tribal Self-Governance Program. An Indian tribe may use other resources to meet the planning requirement and to negotiate. Under 25 U.S.C. § 458aaa-2(b)(1), each year, an additional 50 Indian tribes that meet the eligibility criteria are entitled to participate in the IHS Tribal Self-Governance Program.
Beneficiary Eligibility (082):
Federally-recognized Indian tribes and tribal organizations (as defined in 25 U.S.C. § 458aaa-(b)) may benefit.
Credentials/Documentation (083):
No Credentials or documentation are required. 2 CFR 200, Subpart E - Cost Principles applies to this program.
Application and Award Process (090)
Preapplication Coordination (091):
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 Procedures (092):
This program is excluded from coverage under 2 CFR 200, Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards.
Award Procedure (093):
Funds are transferred to Indian tribes who have successfully negotiated (1) a compact and funding agreement or (2) a compact, funding agreement, and construction project agreement entered into under ISDEAA Title V.
Deadlines (094):
Not Applicable.
Range of Approval/Disapproval Time (095):
Not applicable.
Appeals (096):
See 42 C.F.R. §§ 137.410-445 for regulations governing compacts, funding agreements, and construction project agreements entered into under ISDEAA Title V.
Renewals (097):
Per 42 C.F.R. § 137.35, upon approval and execution of an ISDEAA Title V compact, the compact remains in effect for so long as permitted by Federal law or until terminated by mutual written agreement or retrocession or reassumption of all PSFAs. Per 42 C.F.R. § 137.55, a funding agreement shall have the term mutually agreed to by the parties. Under 25 U.S.C. § 458aaa-4(e), absent notification from an Indian tribe that it is withdrawing or retroceding the operation of one or more PSFA identified in the funding agreement, the funding agreement shall remain in full force and effect until a subsequent funding agreement is executed.
Assistance Consideration (100)
Formula and Matching Requirements (101):
Statutory formulas are not applicable to this program.
Matching requirements are not applicable to this program.
MOE requirements are not applicable to this program.
Length and Time Phasing of Assistance (102):
Not applicable. Method of awarding/releasing assistance: lump sum.
Post Assistance Requirements (110)
Reports (111):
See 42 C.F.R. §§ 137.200-207 for reporting requirements for Self-Governance Tribes under ISDEAA Title V. Per 25 U.S.C. § 458aaa-6(a)(1) and 42 C.F.R. § 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; cash reports, progress reports, expenditure reports, and performance monitoring are not applicable; see 42 C.F.R § 137.351 for reporting requirements for construction project agreements. Cash reports are not applicable. Progress reports are not applicable. Expenditure reports are not applicable. Performance monitoring is not applicable.
Audits (112):
In accordance with the provisions of 2 CFR 200, Subpart F - Audit Requirements, non-Federal entities that expend financial assistance of $750,000 or more in Federal awards will have a single or a program-specific audit conducted for that year. Non-Federal entities that expend less than $750,000 a year in Federal awards are exempt from Federal audit requirements for that year, except as noted in 2 CFR 200.503. Per 25 U.S.C. § 458aaa-5(c) and 42 C.F.R. § 137.165, Self-Governance Tribes must undertake annual audits pursuant to the Single Audit Act, 31 U.S.C. § 7501 et seq. Per 42 C.F.R. § 137.166, exceptions are described in 31 U.S.C. § 7502 of the Single Audit Act.
Records (113):
See 42 C.F.R. §§ 137.175-180 for regulations governing records under ISDEAA Title V.
Financial Information (120)
Obligations (122):
(Direct Payments for Specified Use) FY 14 $1,808,200,000; FY 15 est $1,833,200,000; and FY 16 est $1,858,200,000
Range and Average of Financial Assistance (123):
Range $79,000 to $153,000,000; Average $16,563,000.
Program Accomplishments (130):
Not Applicable.
Regulations, Guidelines, and Literature (140):
Indian Self-Determination and Education Assistance Act (ISDEAA), 25 U.S.C. § 458aaa; 42 C.F.R. §§ 137,1-150. According to 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.”
Information Contacts (150)
Regional or Local Office (151) :
None. Program Contact: Mr. Benjamin P. Smith, Director, Office of Tribal Self-Governance, Indian Health Service, 801 Thompson Avenue, Suite 240, Rockville, MD 20852. Phone: (301) 443-7821 Fax: (301) 443-1050.

For Grants Management Contact: Ms. Tammy Bagley, Acting Director, Division of Grants Management, Indian Health Service; 801 Thompson Avenue, TMP, Suite 360; Rockville, Maryland 20852; Telephone: (301) 443-5204. Use the same numbers for FTS.
Headquarters Office (152):
Grants Policy Office 801 Thompson Avenue, Suite TMP 360, Rockville, Maryland 20852 Email: Phone: 301-443-5204
Website Address (153):
Examples of Funded Projects (170):
Not Applicable.
Criteria for Selecting Proposals (180):
Not Applicable.