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Tribal Self-Governance Program: IHS Compacts/Funding Agreements
Such assumptions will be by compact/funding agreements.
The Department of Health and Human Services is the Federal government's principal agency for protecting the health of all Americans and providing essential human services, especially to those who are least able to help themselves.
Program Accomplishments
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.
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.
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.
Aplication and Award Process
Preapplication Coordination
None.
This program is excluded from coverage under E.O.
12372.
Application Procedures
None.
Award Procedures
Compacts/funding agreements are awarded to those Indian tribes or organizations who have completed negotiations with IHS.
Deadlines
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.
Authorization
Indian Self-Determination and Education Assistance Act, Public Law 93-638, as amended.
Range of Approval/Disapproval Time
None.
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
Per 42 CFR 137.217, funds provided under compacts, funding agreements, or grants made pursuant to Title V may be treated as non-Federal funds for purposes of meeting matching or cost participation requirements under any other Federal or non-Federal program.
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.
Post Assistance Requirements
Reports
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.
Audits
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.
Financial Information
Account Identification
75-0390-0-1-551.
Obigations
(Compacts/Funding Agreements) FY 07 $949,982,000; FY 08 $980,000,000; and FY 09 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.
Information Contacts
Regional or Local Office
None.
Headquarters Office
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. Use the same numbers for FTS.
Criteria for Selecting Proposals
None.
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