Tribal Self-Governance Program: Planning and Negotiation Cooperative Agreement

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.

In preparation for additional tribes each fiscal year, the IHS will make Planning Cooperative Agreements available.

The Planning Cooperative Agreements allow Tribes to gather information to determine the current types and extent of PFSAs and funding levels available within its service areas 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 Negotiation Cooperative Agreements which provide tribes with additional funding to negotiate Self-Governance Compacts.

Agency - Department of Health and Human Services

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.

Website Address

Relevant Nonprofit Program Categories

Program Accomplishments

In FY 2007, the IHS awarded two Planning Cooperative Agreements for a total of $100,000. In FY 2008, IHS estimates that it will award four Planning and one Negotiation Cooperative Agreement, for a total of $220,000 in award funding.

Uses and Use Restrictions

Establishing and operating programs to provide planning and negotiation resources to tribes interested in participating in the Tribal Self-Governance Program (TSGP).

These cooperative agreements will be awarded on a one-time basis.

Eligibility Requirements

Applicant Eligibility

For Planning Cooperative Agreements, any Federally-recognized tribe which (1) formally requests, through a governing body action, a Planning Cooperative Agreement for the purpose of preparing to enter the TSGP and (2) has furnished organization-wide single audit reports as prescribed by Public Law 96-502, the Single Audit Act of 1984, as amended, for the previous 3 years that contain no uncorrected significant and material audit exceptions.

See OMB Circular No.

A-133 (June 27, 2003).

For Negotiation Cooperative Agreements, in addition to the two criteria listed above, applicants must have successfully completed the planning phase as described at 42 CFR 137.20.

Beneficiary Eligibility

Indian tribes will benefit.


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.

Aplication and Award Process

Preapplication Coordination

Preapplication coordination not applicable.

This program is excluded from coverage under E.O.


Application Procedures

The preferred method for receipt of applications is electronic submission through However, should any technical problems arise regarding the submission, please contact Customer Support at (1-800) 518-4726 or The Contact Center hours of operation are Monday-Friday from 7:00 a.m. to 9:00 p.m. (Eastern Standard Time). If you require additional assistance please contact Michelle G. Bulls, Grants Policy Officer at (301) 443-6528 at least fifteen days prior to the application deadline. To submit an application electronically, please use the site. Download a copy of the application package, on the website, complete it offline and then upload and submit the application via the site. You may not e-mail an electronic copy of a grant application to us.

Award Procedures

Cooperative agreements are made directly by the IHS to the Indian tribal applicants, based on results of a competitive review process.


Contact the Headquarters Office listed below for deadline dates.


Indian Self-Determination and Education Assistance Act, Public Law 93-638, as amended.

Range of Approval/Disapproval Time

Within 45 days of IHS deadline.


Per 42 CFR 137.416, decisions relating to the award of Cooperative Agreements may be appealed under 45 CFR Part 5.


There will not be renewals for the planning and negotiation awards.

Assistance Considerations

Formula and Matching Requirements

This program has no statutory formula or matching requirements.

Length and Time Phasing of Assistance

Duration of project period is for 12 months. Project period can be extended on a no-cost basis.

Post Assistance Requirements


Cooperative agreements are subject to administrative requirements under 45 CFR Part 92 for grants to Indian tribes.


In accordance with the provisions of OMB Circular No. A-133 (Revised, June 27, 2003), "Audits of States, Local Governments, and Nonprofit Organizations," nonfederal entities that expend financial assistance of $300,000 ($500,000 for fiscal years ending after December 31, 2003) 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 ($500,000 for fiscal years ending after December 31, 2003) a year in Federal awards are exempt from Federal audit requirements for that year, except as noted in Circular No. A-133.


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.

Financial Information

Account Identification



FY 07 $100,000; FY 08 $220,000; and FY 09 est $340,000.

Range and Average of Financial Assistance

Typically over the last several years, Planning Cooperative Agreements have been awarded for a maximum of $50,000 and Negotiation Cooperative Agreements for a maximum of $20,000.

Regulations, Guidelines, and Literature

The Indian Self- Determination and Education Assistance Act, Public Law 93-638, as amended, authorizes both the cooperative agreements. HHS Grants Policy Statement, DHHS Publication No. (OASH) 94-50,000 (Rev. April 1, 1994), applies to the cooperative agreement awards.

Information Contacts

Regional or Local Office

Not applicable.

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. Grants Management Contact: Ms. Kimberly Pendleton, Grants Management Officer, Division of Grants Operations, Indian Health Service, 801 Thompson Avenue, TMP, Suite 360, Rockville, MD 20852. Telephone: (301) 443-5204. Use the same numbers for FTS.

Criteria for Selecting Proposals

For Planning Cooperative Agreements, the criteria are: Goals/Objectives; Methodology; Management of Health Program(s); Organizational Capabilities and Qualifications; and Budget Justification. For Negotiation Cooperative Agreements, the criteria are: Demonstration of Previous Planning Activities; Thoroughness of Approach, Project Outcome; and Administrative Capabilities.

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