9/27/2014 Monday, September 29, 2014 ELIGIBILITY FOR TRIBAL SELF-GOVERNANCE Planning, Requests, and Audits Monday, September 29, 2014 Presentation Objectives • Eligibility criteria overview • Explaining the financial stability requirement • What is a “planning phase”? • Key Features • Information Resources • Funding and Support • Review a sample eligibility memo Monday, September 29, 2014 Eligibility Overview: 3 Requirements To be eligible for the IHS Tribal Self-Governance Program, a Tribe must: 1. Successfully complete a planning phase; 2. Request participation in self-governance by resolution or other official action by the governing body of each Tribe to be served; and 3. Demonstrate, for 3 fiscal years, financial stability and financial management capability. • Defined in the statute (25 USC 458aaa-2(c)) and regulations (Code of Federal Regulations Title 42, PART 137, Subpart C; 42 CFR 137.15 – 26) 1
9/27/2014 Monday, September 29, 2014 Demonstrating financial stability and financial management capability Monday, September 29, 2014 How to demonstrate financial stability and financial management capability? • For the purposes of eligibility, “evidence that, during the 3-year period … an Indian tribe had no uncorrected significant and material audit exceptions in the required annual audit of the tribe’s self -determination contracts or self-governance funding agreements with any Federal agency shall be conclusive evidence of the required stability and capability.” 25 USC 458aaa -2(c)(2) • The IHS Office of Tribal Self-Governance reviews the Tribe’s audits to determine whether this requirement has been met. Monday, September 29, 2014 Key Features • 3-year period: The most recent 3 years • Uncorrected : Title V does not include terms “clean audit” or “mature contract” • Audit exceptions: Usually from the Tribe’s auditor in the audit • Self-determination contracts or self-governance funding agreements with any Federal agency: The review only looks at BIA and IHS contracts/compacts findings, except for cross-cutting centralized functions (e.g. personnel, payroll, property management, etc.). (42 CFR 137.22) × It does not include casino, HUD, or DHHS/Child Care grant findings. 2
9/27/2014 Monday, September 29, 2014 What is a “planning phase”? Monday, September 29, 2014 Key Features • The planning phase shall be conducted to the satisfaction of the Tribe • It must include: • Legal and budgetary research • Internal tribal government planning and organizational preparation relating to the administration of health care programs • Assessment of existing systems and resources • Determination of Tribal priorities and goals • Community engagement • When complete, a “planning statement” is submitted to OTSG. The planning statement is a very simple document saying that the planning phase has been completed to the Tribe’s satisfaction. Monday, September 29, 2014 Information Resources: Tribal Shares • Part of the planning phase is gathering information on what is available for assumption from the IHS. • Each Tribe has a “tribal share”, which is the Tribe’s portion of all funds and resources that support secretarial programs, services, functions, and activities (PSFAs) that are not required by the Secretary for performance of inherent federal functions. (Funds that are Congressionally restricted, i.e. earmarks, are also not available for tribal shares). 3
9/27/2014 Monday, September 29, 2014 Information Resources: Point of Contact • During the planning phase, IHS provides Tribes with the necessary financial and programmatic information to understand what PSFAs may be assumed by the Tribe and the funding associated with those PSFAs. • Each IHS Area has an assigned Agency Lead Negotiator (ALN). The ALN will be responsible for negotiating your compact and funding agreement on behalf of the IHS Director and is the primary point of contact for providing this information during the planning phase. The ALN may also work with Office of Tribal Activities or Office of Self- Determination staff at the Area level. Monday, September 29, 2014 What are Tribal Shares? Monday, September 29, 2014 Transferrable Categories of PSFAs No No No No 4
9/27/2014 Monday, September 29, 2014 3 Levels of Shares are Available PSFAs and IHS-wide (HQ) Shares associated funds are available from all 3 Portion benefiting each Tribe levels of the IHS. Location and + dispersion does not Area Level Shares affect amounts Portion benefiting each Tribe available for contract. + Local Level Shares Portion benefiting each Tribe Monday, September 29, 2014 Transfer of Tribal Shares from IHS to Tribes Monday, September 29, 2014 “Transferred” v. “Retained” Associated PSFAs Shares Funds associated with A, B, and C are transferred to the contract A $ B C Tribe elects to Transferred contract A, B, C Associated funds are . $ retained by IHS to . perform X, Y, Z . Shares retained X Leaves X, Y, Z for for other Tribes Retained Y IHS to perform Z 5
9/27/2014 Monday, September 29, 2014 How are Tribal shares determined? Direct Financial Measures : Shares are precisely determined when financial accounts record actual spending for PSFAs for a Tribe, e.g. IHS funds at a local site serving 1 Tribe . Program Measures : Shares may be calculated in proportion to workloads, services, or patient counts for each Tribe. These formulas are most common for PSFAs associated with the Office of Environmental Health and Engineering. Proxy Formula: A proxy formula calculates shares in proportion to indirect measures such as user counts, number of Tribes, or other general distributive factors. Monday, September 29, 2014 Proxy Formula Example: Tribal Size Adjustment (most HQ PSFAs) Most HQ PSFAs collectively benefit more than 560 Tribes. The TSA formula calculates a $ benefit for all Tribes in proportion to tribal user counts. • 92% of the total funds associated with HQ PSFAs are calculated on a per user basis (applies to every Tribe) • 8% of the total $$ are identified for small Tribes of less than 2,500 users, calculated on a sliding scale that diminishes approaching 2,500 users. • This adjustment is intended to address economy of scale issues TSA Formula 92% of TSA $ is Aggregate funds for ~ 50 HQ calculated per user for Portions all Tribes for all PSFAs Tribes + 8% if < 2,500 users Monday, September 29, 2014 Protections for Tribal Shares Shares are determined when a PSFA is initially contracted. The amount is recurring thereafter. Subsequent negotiations occur before annual appropriations are known. Shares are ESTIMATED and adjusted when the appropriation is enacted. Recurring shares for contracted PSFAs are protected from reductions except for limited reasons stated in ISDEEA. Funds maybe added to a contract for special projects or limited time periods but are not recurring. 6
9/27/2014 Monday, September 29, 2014 Special Circumstances • Consortia – shares associated with individual tribes maybe consolidated for ISDEAA agreements • Delegation to another Tribe – a tribe may direct it’s shares to another Tribe to carry out the PSFA for its members (some examples in Oklahoma) • Grandfathered shares – a few unique agreements were implemented early in the 1990’s especially in pilot projects before self-governance became permanent. Some of the arrangements were grandfathered. Monday, September 29, 2014 Information Resources: Tables & Manuals • Information on PSFAs at the HQ level are contained in the HQ PSFA Manual, which can be obtained from your ALN. Some Areas also have Area-level PSFA Manuals. • Details of a Tribe’s “tribal share” at the HQ, Area, and program level are described in a series of tables, which should be provided to you by the ALN. • Table 4 : Shows each Tribes HQ shares • Self-Governance FA Table : Shows HQ, Area, & program shares • Table 4F : Shows funds appropriated by Congress for Facilities and managed by the IHS Office of Environmental Health and Engineering; primarily distributed by program formulas. • Area shares tables (differs by Area) Monday, September 29, 2014 Tribal Shares Tables 2) Area Level Tables 3) National Level Tables Area Budget Table #1 NEW Shows any CHANGES to entire IHS APPROPRIATION appropriation Area PSFA & $ Table #2 Local Budgets Splits Appropriation into parts managed by HQ and Areas HQ Budget AREA Budgets Area Shares Table #3 1) Local Level Tables HQ Tracked $ Breakout of HQ PSFA and funds. HQ PFSA & $ Local PSFA & $ Table #4 HQ SHARES Exists for each individual tribe and Local Shares shows the portion of $ available to it. Format and content of Area and Local level tables will vary, but will generally cover the topics listed above. 7
9/27/2014 Monday, September 29, 2014 Overview of HQ Tables Tracked by HQ Entire Appropriation Table #3 – Table #1 - HQ Budget Entire IHS Breakout by Appropriation PSFA Table #2 - Table #4 - Split into HQ Portion and Area Available to a Tracked Tribe Budgets Monday, September 29, 2014 Table 4: HQ Shares Available to a Tribe Portion Tribe’s available in contract Portion of year 1 or 2 each if applicable PSFA Self-Governance FA Table 8
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