Tribal Self-Governance Demonstration

Summary of Program Features as Recommended by DHHS(1)

PROGRAMS

• Initial Programs: Initially, tribes could select up to 11 specific programs to include in their demonstration programs.(2)
• Additional Programs: The Secretary could add up to six additional programs to the program.
• Tribal Choice: A tribe could choose to include some or all the above programs in its program.

ELIGIBLE ENTITIES

• Definition of Tribe: Indian tribes could include federally recognized Indian tribes or, where authorized by an Indian tribe, an inter-tribal or a tribal organization acting on its behalf.
• Number of Eligible Tribes: Up to 50 tribes.
• Conditions for Award: The tribe would either have to have (a) established a compact and funding agreement under Title V, (b) carried out a planning grant or (c) a pre-award survey
• Financial Status: The tribe would have to meet financial stability requirements.

PROJECT INITIATION

• Planning and Negotiation Grants: A tribe with a demonstrated need could receive a planning grant to assist them in preparing a self-governance proposal.
• Application Process: The Secretary could consolidate existing program requirements into a single application for tribal demonstration participation proposals.
• Compacts: The Secretary could negotiate and enter into a written compact with each participating tribe as under current law.
• Funding Agreements: The Secretary could negotiate and enter into a written funding agreement with each participating tribe as under current law.
• Final Offers - Appeals: Tribes would have the ability to appeal rejections of final offers for compacts and funding agreements although these appeals would be limited in scope.

PROJECT DESIGN

• Length of Demonstration: The demonstration would continue for five years.
• Indirect Costs/Matching: Current statutory requirements relating to indirect costs would be apply.
• Redesign and Consolidation: Tribes could redesign and consolidate programs during the course of the demonstration project, subject to limits imposed by non-waivable statutory or regulatory provisions of individual programs.
• Waivers: Program waivers would be available to tribes throughout the feasibility study.
• Withdrawal and Termination: Current law provisions would apply regarding possible withdrawal or termination for targeted programs; a tribe would be provided timely notification and due process prior to any proposed withdrawal by the Secretary based on program integrity.
• Conflict of Interest: Tribes would be required to have internal measures in place to prevent conflict of interest in the administration of the programs under the feasibility study.
• Cost Principles: Cost principles found in applicable OMB circulars and made applicable to recipients of financial assistance by various Federal regulations would apply.
• Audit Exceptions: Current audit procedures under OMB Circular A-133 regarding resolution of audit exceptions would apply.
• Record Keeping: Current Federal recording keeping requirements applicable to grantees would apply.
• Savings: Administrative savings from program consolidation would accrue to the tribe.
• Funds Transfer: A common funding cycle would be established for programs included under the demonstration.
• Prompt Payment Act: Prompt Payment statute, Chapter 39 of title 31, United States Code would apply to the transfer of funds due under the demonstration.
• Carryover of Funds: Funds awarded under a funding agreement would remain available until expended.
• Construction: Provisions of Sections 509 and 510, P.L. 106-260, relating to construction, would apply to the demonstration, subject to retention of a federal interest in the property.
• Changes in Funding: The demonstration would not affect the level of funding a tribe receives.
• Project Administrator: A single office in HHS would manage the project.

METHODS TO ASSURE QUALITY AND ACCOUNTABILITY

• Financial: The Single Audit Act already applied to projects under Title V would apply.
• Performance: Program accountability and quality would be monitored through specific performance measures and reports, established through negotiations with each tribe prior to the establishment of self-governance agreements.
  • A maintenance-of-effort provision would apply. Tribes would have the option to reprogram up to 20 percent of funds of individual programs.
  • An evaluation of the demonstration would be conducted.
  • Tribes would be authorized to use compact funds to comply with data collection and reporting requirements.
• Program Duplication - State Concerns: Participating tribes would be required to demonstrate efforts to coordinate information on dually eligible clients with States.

1. Based on findings and recommendations included in the Tribal Self-Governance Feasibility Study report of November 5, 2002, as required by Title VI, P.L. 106-260, Tribal Self-Governance Amendments Act of 2000.
2. AoA Grants for Native Americans, Tribal Temporary Assistance for Needy Families, Low Income Home Energy Assistance, Community Services Block Grant, Child Care and Development Fund, Native Employment Works, Head Start, Child Welfare Services, Promoting Safe and Stable Families & Family Violence Prevention, Grants for Battered Women's Shelters, and SAMHSA Targeted Capacity Expansion.