Executive Summary
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The purpose of this study was to gather information from both HHS program
officials and tribal representatives on their perspectives on various program
and regulatory barriers to American Indian, Alaska Native, and other Native
American (AI/AN/NA) tribes and communities accessing HHS discretionary grants,
identify for HHS the most significant barriers to grants access for American
Indians, Alaska Natives and Native Americans (AI/AN/NA), and consider strategies
for improving access. Lessons learned about reducing barriers to funding
in other recent HHS initiatives targeting special populations were also reviewed
to inform the study. The main components of the project included:
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Developing, administering, and analyzing the results of a survey of officials
of HHS programs for which AI/AN/NAs and entities that serve them are eligible,
to ascertain their perspectives on possible barriers and remedies;
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Conducting focus groups with staff from a subset of these programs to explore
relevant issues in more detail;
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Holding discussions with representatives of AI/AN/NA groups to obtain their
input on perceived and actual barriers and how they can be lessened; and
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Consulting with a workgroup of HHS and tribal representatives at major junctures
in the project.
In addition, a draft of this report was circulated to HHS staff from all
of the Operating Divisions that participated in the study and to members
of the HHS workgroup. Comments received during this review process clarified
and provided additional information that was important to ensure accuracy
of information included in the report and, particularly, to identify some
of the initiatives that are underway within HHS and/or individual Operating
Divisions that are similar to some of the strategies that emerged from this
study.
This report summarizes the findings of the study, with emphasis on possible
strategies for reducing identified barriers to access HHS grant programs.
The report also discusses and categorizes the suggested strategies in terms
of those that would require different amounts of resources and time for
implementation within HHS, those strategies that could be implemented by
AI/AN/NA tribes and organizations, and those that may require congressional
action to implement. In addition, issues of feasibility and practicality
of specific suggestions are discussed.
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Information on barriers to access to HHS discretionary grant programs and
suggestions for strategies to reduce barriers were obtained from HHS staff
and AI/AN/NA representatives and focused on several key areas of grant processes:
1) sources of information about grant opportunities; 2) factors affecting
decisions to apply for specific grants; 3) preparing grant applications;
4) experiences with grant review processes; and 5) experiences with grants
management processes. In addition, participants provided several broad
suggestions for changes that would increase access to HHS grant programs.
Limited resources of AI/AN/NA tribes and organizations were identified by
both AI/AN/NA representatives and by HHS program staff as a major barrier
to access of many tribes and organizations to HHS grants. The limited resources
available make it difficult to: 1) learn about grant opportunities; 2) apply
for grants that have matching requirements or limits on indirect costs; 3)
prepare a successful grant application; and 4) develop and implement the
infrastructure necessary to meet all grants management requirements.
Possible strategies to reduce barriers to access were suggested by the study
respondents. The feasibility of implementing these strategies is discussed
separately in Section IV, Practical Considerations for Implementing Suggested
Strategies.
These strategies identified through the study process are organized by topic
areas. They include:
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Announce grant opportunities through multiple methods, with targeted outreach
and communications with AI/AN/NA organizations.
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Increase time between grant announcements and due dates.
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Increase use of annual or multi-year program announcements, with multiple
due dates.
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Increase use of planning grants by HHS agencies that may provide opportunities
to build capacity and infrastructure.
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Establish a pre-proposal letter of inquiry process to screen and select a
limited number of invited proposals.
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Include explicit statements about eligibility of AI/AN/NA tribes and
organizations in all grant announcements.
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Include explicit statements about minimum population base requirements in
grant announcements, if applicable.
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Include explicit statements in grant announcement that experience may substitute
for academic credentials of key staff
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Increase accessibility of HHS grant program contacts.
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Re-examine type and extent of requirements for data on "need" for grant program
services for rural AI/AN/NA applicants and/or work with potential applicants
to determine data required to establish need.
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Increase training and technical assistance on grants processes and grants
preparation skills, provided by HHS and/or national and regional AI/AN/NA
organizations, including possible knowledge transfer between successful AI/AN/NA
grantees and less experienced tribes and organizations.
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Provide training and technical assistance in more locations that are more
accessible to AI/AN/NA tribes and communities.
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Greater participation by staff of AI/AN/NA tribes and organizations in available
training and technical assistance opportunities.
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Consider waiving or modifying indirect cost limits and matching funds
requirements, particularly for those tribes and communities that have limited
resources.
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Consider waiving or modifying requirements for collaboration or coordination
with states or local governments.
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Consider waiving or modifying requirements to demonstrate that the program
would be fully sustainable after the end of grant funding.
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Develop a standardized HHS-wide grant application format and requirements.
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Continue acceptance of hard copy grant applications, as an option, rather
than moving to required electronic submission.
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Design grant programs to better fit AI/AN/NA needs and make RFAs more culturally
appropriate.
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Consider reducing reliance on academic reviewers who place disproportionate
emphasis on academic credentials of grant applicant staff, where such credentials
are not necessary for successful performance and where alternative forms
of expertise are demonstrated.
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Increase use of AI/AN/NA grant reviewers and those familiar with AI/AN/NA
subjects, when AI/AN/NA grant applications are to be considered.
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Provide orientation for grant reviewers to help them understand unique AI/AN/NA
issues and circumstances.
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If agency has not established a minimum population base for the grant program,
provide reviewers with clear guidance on this issue.
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Provide clear information on reasons for rejection of application.
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Follow-up contact with HHS program staff by AI/AN/NA organizations to clarify
reasons for rejection or to obtain summary statements, if not provided by
agency.
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Develop standardized HHS-wide grants management requirements.
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Provide training and technical assistance on grants management requirements,
particularly for new grantees.
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Consider AI/AN/NA "set-asides" or special grant initiatives within grant
programs, including ways to address the needs of smaller/poorer tribes and
organizations.
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Improve capacity for HHS to track grant submissions and awards by AI/AN/NA
tribes and communities.
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Increase the number of grants targeted specifically to AI/AN/NA
tribes/organizations.
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Require evidence that states and academic institutions have support and
participation of AI/AN/NA tribes and organizations, if they are included
in grant application.
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Provide opportunities for HHS program staff to visit AI/AN/NA tribes and
communities and become knowledgeable of unique issues and circumstances.
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Increase interagency collaboration to expand grant opportunities and assist
AI/AN/NA groups to build capacity.
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There was considerable agreement among study respondents on barriers and
on strategies to reduce those barriers. Within HHS, there are currently
initiatives underway at the department level or within specific agencies
that are similar to several of the suggested strategies. These initiatives,
some of which were identified by HHS staff reviewing a draft version of this
report, are discussed in Section IV.
The feasibility of implementing specific strategies for increasing AI/AN/NA
access to HHS grant programs and the time that might be needed to implement
changes depends on a number of factors, including:
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The cost in HHS staff time and additional resources required for planning
and implementation of new policies and procedures.
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The cost to AI/AN/NA tribes and organizations to implement strategies requiring
action on their part.
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Whether congressional action is required. (Such changes are included in this
report because they were identified by study respondents; their inclusion
is not meant to imply that HHS has made any commitment to pursue such legislative
changes.)
This report provides an initial starting point for discussion of ways to
potentially increase AI/AN/NA access to and participation in DHHS grant programs.
A summary of the key findings in this report was presented to the DHHS
Intradepartmental Council on Native American Affairs, and the Department
is considering how best to utilize this information.
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