Self-Governance Training
Negotiation Process
IHS Emphasis
March 27, 2012
Vickie Hanvey, CPA MBA
Negotiation Process
Getting Started with IHS:
“Tribal Self-Governance
A Handbook for Tribal Governments”
2
Negotiation Process
Major Components of an Ongoing Process
– Planning
– Negotiations
– Implementation
– Monitoring
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Negotiation Process
Planning–
–
–
–
–
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complete review of existing operations
determination of Tribal priorities
identification of short and long-term goals
establish baseline measures
research (financial, legal, programmatic)
analysis of information; options
• efficient & effective use of resources
4
Negotiation Process
Negotiation– “government-to-government”
– good faith
– results in a compromise agreement between
the two parties
– allowed the flexibility to re-design programs
and reallocate budgets to meet local needs
5
Negotiation Process
Negotiation– Ability to negotiate a single compact and
funding agreement for all PSFAs
– Compact:
• Umbrella agreement
• General terms
• Long term
– FA:
• PFSAs
• More specific terms
• Short term (1-3 years)
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Negotiation Process
Negotiation– Funding Tables
• HQ & Area
• Stable Base Budgets
– Residual Amounts
• federal functions which cannot legally be delegated
– Retained Services or Buybacks
– Tribal Shares
• PFSA Manual
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Negotiation Process
Negotiation– Statutorily Mandated Grants
• Lump sum advance payment
• Grant terms & conditions apply
• May not be reallocated / redesigned
– Final Offer
•
•
•
•
Resolving disputes
45 day review
Secretary may only reject due to specific reasons
DO NOT submit entire Compact / FA
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Negotiation Process
Implementation– Both parties are responsible for executing their
respective parts of the negotiated agreement.
– Regulations can be waived upon request
– Not required to follow Federal policy
– OMB circular A-87 (2CFR Part 225) still
applies
– Must be consistent with applicable law and
regulations
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Negotiation Process
ORDER OF PRECEDENCE
Implementation-
Federal Funds
United States Constitution
Statutes and Orders of General Applicability
Federal Government Wide
[e.g., Assurances, Davis Bacon, Lobbying, Debarment, Drug Free Workplace]
Federal Legislation
[Public Law xxx-xxx Acts and Amendments]
Office of Management and Budget & Dept of Treasury Circulars
[e.g., A-87 and A-133]
Agency Code of Federal Regulation
[e.g., 45CFR-1300 , Program Instructions (PI) and Information Memorandums (IM)]
Terms and Conditions of Grant/Contract Award Document
Agency Wide Regulations
[e.g., 45 CFR Part 74 and Part 92]
Grants Administration Manual
Governing Body
[Official Grantee, e.g. Cherokee Nation]
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Negotiation Process
MonitoringCurrent:
– adherence to the negotiated agreement
– budget
• earmarked/non-earmarked
– compliance with applicable laws and
regulations
• programmatic & financial
• Tribal and Federal
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Negotiation Process
Monitoring– Compliance in Summary
Costs must be
a) allowable; meet regulations
b) allocable; belong to this program
c) reasonable; to a “prudent” person
d) documented; attached to original source of entry
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Negotiation Process
MonitoringCurrent:
– funding allocations
•
(Did we get our fair share of funding?)
– payments
•
(Did we get paid accurately & timely?)
– performance to tribal desired outcomes
• (Are we efficient and effective in meeting our
goals?)
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Negotiation Process
MonitoringFuture:
– funding distribution methodologies
– rulemaking or policy developments
– legislative initiatives
•
beware of lobbying activities
– identify opportunities/threats regarding
assumption, re-design, reprogramming and
operation
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Negotiation Process
Tribal Self-Governance
demands careful and ongoing
assessment of the Tribal
organization
and its operations.
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Negotiation Process
Personal Comments/Observations:
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Cherokee Nation
“ A misconception exists
today that our Indian
health care is free.
It is not.
It has been paid for by
the blood and tears of
our ancestors, and by the
land our people were
forced to give away.”
--Dr. Brenda Stone,
Cherokee
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What has the Cherokee Nation paid
for its relationship with the U.S.?
The Cherokee
Nation ceded
81 million acres
of land in the
southeastern United
States between
1721 and 1835
Negotiation Process
Comments/Observations:
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Acronyms
Develop a Resource Library
Develop a SG historical records system
Importance of coordination and networking
with other Tribes (NCAI, NIHB, TSGAC,
etc)
– Build a “Team” of experts (Legal, Financial,
Programmatic, etc)
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Negotiation Process
Comments/Observations:
– Maintain periodic analysis of Funding Tables,
Payments, etc
– Build a “Team” of experts (Legal, Financial,
Programmatic, etc)
– Challenge of obtaining information/response
from agencies
– Resolution to issues can be a slow process
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Negotiation Process
Comparisons DOI & IHS:
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–
–
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Final Offers
Payment (subsequent funding agreement)
Tribal Shares/Residuals
Formulas / Allocations
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Negotiation Process
Example:
Cherokee Nation
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Cherokee Nation
• Sovereign Nation within a
Nation
• Tripartite government
• 2nd largest Indian Nation
(314,000 citizens)
• 14 county area (over 7,000 sq
mi.)
• Largest employer in
northeastern Oklahoma
(9,000)
• Capitol located in Tahlequah,
Oklahoma
Cherokee Nation
The Cherokee
Nation existed
before the
United States
and the State of
Oklahoma.
GROUP OF CHEROKEES WHO VISITED
LONDON IN 1762
Cherokee Nation
• Starting in 1993
• Approached ISDEA assumption in
incremental steps
• Gradually assumed federal programs &
reallocated/redesigned federal “cookie
cutter” programs into programs and
services responsive to our unique, specific
needs
Cherokee Nation
• Systematic approach by first establishing a strong
health system
• Then assuming additional federal activities
– Limited disruption to patients
– Health care providers
– Nation operations
• Some activities still performed by IHS
(Claremore Hospital)
Cherokee Nation
2001 Comprehensive Long Range Plan
• to meet the health care needs of tribal citizens
• based on work of tribal and IHS health care
teams
• randomized opinion surveys
– 1,200 patients
– 30 health providers
– 16 tribal leaders and health administrators
Cherokee Nation
2001 Comprehensive Long Range Plan
•Resulted in two significant changes to achieve our
goals:
–Seamless health care delivery model, where primary
and tertiary health care facilities compliment each other,
so we can offer state of the art, comprehensive care to
our citizens in an efficient and coordinated manner
–Establishment of a health care facility so services are
accessible within a 30 mile radius.
14 County Jurisdictional Boundaries
Will Rogers Health Center
Vinita Health Clinic
Bartlesville Health Clinic
Claremore Indian
Hospital
Legend
Sam Hider Health Center
A-Mo Health Center
CN WW Hastings Hospital
Wilma P. Mankiller Health
Center
Cherokee Nation Clinic
Hospital
Main Complex
Three Rivers Health
Center
Redbird Smith Health Center