Awarding Official Certification System

INDIAN AFFAIRS MANUAL

Part 13

Indian Self-Determination

Chapter 3

Page 1

1.1

Purpose.

This chapter establishes a Bureau o

f Indian Affairs (BIA) Awarding Official

Certification System (AOCS) to guide the selection, designation, development, and

restriction, suspension, or termination of Awarding Officials (AOs) for contracts,

including construction contracts and grants, awarded under the authority of the Indian

Self-Determination and Education Assistance Act (ISDEAA), as amended.

1.2

Scope.

Authority to award and administer Self-Determination (SD) contracts and

grants to Indian tribes and tribal organizations is vested in BIA employees who are

certified under the AOCS. There are no exceptions.

Certification of a BIA employee authorizes the employee to award, modify, and

administer SD contracts, including construction contracts and grants. This designation

does not alter the routine supervisor-employee relationship, except that designated

Senior A Os will provide professional supervision of SD contracting duties and

responsibilities.

1.3

Policy.

A Os duties and responsibilities are viewed as a professional discipline.

Employees must meet established standards of knowledge, training, performance, and

experience

prior to designation and certification as A Os.

1.4

Authority.

A. Statutes and Regulations.

1) U.S.C. §§450 et seq., ISDEAA of 1975, as amended

2) Public Law (P.L.) I 04-156, Single Audit Act Amendments of

1996

3) 41

U.S.C. §§601-613, Contract Disputes Act of 1978, as amended

4) 5 U.S.C. Appendix, Ethics in Government Act of 1978

5) 5

CFR Part 2635, Standards of Ethical Conduct for Employees of the

Executive

Branch

6) 25 CFR Chapter I, Subchapter M, ISDEAA Program

7) 25 CFR Chapter V, Part 900, Contracts Under the ISDEAA

8) 43 CFR Part 12, Administrative and Audit Requirements and Cost

Principals

for Assistance Programs

9) 43 CFR Part 20, Employee Responsibilities and Conduct

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Chapter 3

Indian Self-Determination

Awarding Official Certification System

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B. Guidance.

Executive Order 12731 Principles of Ethical Conduct for Government Officer

and Employees, October 17, 1990

Cost Principals

CF R 900.45(e) requires each tribal organization to have a financial

management

system from which the Secretary can determine the reasonableness, allowability and

allocability of SD contract costs based upon the terms of the contract and the tribal

organization's applicable Office of Management and Budget (0MB) cost principles.

Awarding Officials (AO) are encouraged to negotiate the cost principles of 2 CF R

1402 into new ISDEAA awards. 2 CF R part 1402 contains the cost principles

adopted by the Department for non-ISDEAA awards.

Audit Requirements

25 U.S.C. section 450c(f)(I) requires a tribal organization to submit the audit report

required by the Single Audit Act, 31 U.S.C. section

501

et seq.,

for each fiscal

year during which the tribal organization received or expended funds pursuant to a

SD contract.

0MB has implemented the Single Audit Act through 2 CF R part 200 subpart F.

Therefore, 2 CF R part 200 subpart F applies to all ISDEAA awards and annual

funding agreements, as a matter of law. 2 CF R section 200.512(6)(2) applies to

tribal organizations that enter into ISDEAA agreements, 0MB has interpreted 2 CF

R section 200.512(6)(2) to apply only to Indian tribes, as defined at 2 CF R 200.54.

Handbooks.

1) Internal Agency Procedures Handbook for Non-Construction

Contracting Under Title

of the ISDEAA.

This Handbook sets out the

procedures to guide the actions of all agencies of the Department of the Interior and

the Department of Health and Human Services to facilitate and enhance contracting

with Indian tribes and tribal organizations.

Awarding Official Certification System Handbook (AOCSH). The Handbook

provides procedures to implement a certification system for those persons designated

and delegated authority to function as AOs for contracts, including

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INDIAN AFFAIRS MANUAL

Part 13

Indian Self-Determination

Chapter 3

Awarding Official Certification System Page 3

construction contracts, awarded under the authority of the Act and all grants,

except for those grants awarded under the authority of the Tribally Controlled

Schools Act of

1988, as amended (P.L. I 00-297).

Delegation of Authority Handbook.

The Handbook provides procedures to

implement the delegation of authority to Indian Affairs (IA) line officers to

approve, decline, award, modify, and perform all other functions in the

administration of contracts, including construction contracts under the Act and

all grants, except for those grants awarded under the authority of P.L. I 00-297.

1.5 Responsibilities.

Director, BIA,

is responsible for:

1)Approving requests for AO certification;

2) Restricting, suspending, or terminating AO certification based on

recommendations from the Deputy Bureau Director, Indian Services (IS).

Deputy Bureau Director, BIA, is responsible for:

1) Issuing and maintaining a Handbook to provide detailed administrative

procedures to implement the AOCS, including qualifications, requirements,

and requests for AO certification;Establishing training requirements and a

curriculum of study;

2) Reviewing all requests for certification of AOs and making

recommendations to the Director, BIA;

3) Issuing AO certificates;

4) Maintaining a system of records that accurately reflects the status of A Os'

training, education, and experience;

5) Reviewing all Regional Directors' written recommendations for restriction,

suspension, or termination of AO certification and making recommendations

to the Director, BIA;

6)Terminating AO certification for administrative reasons, i.e., reassignment,

Reduction-in-Force, retirement, or death.

Regional Directors (RD) are responsible for:

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Awarding Official Certification System

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1) Submitting applications for AO

certification, with recommendations for approv

or denial, to the Deputy Bureau Director, IS;

Ensuring that training and technical assistance is provided to AOs and other SD

staff within the Region.

Senior AOs

or Regional SD designated contacts have the following responsibilities

under the AOCS:

1) Functioning as the regional certification system coordinator;

2) Maintaining a staffing pattern designed to meet current and future workload

needs in an efficient and effective manner, subject to available resources;

3)Providing training and other information on AOCS requirements to employees;

4) Counseling employees as to present and projected training requirements of the

AOCS;

5) Ensuring that recertification requirements are met;

6) Providing written notification to the Deputy Bureau Director, IS through the RD

that an AO will no longer be exercising certification authority due to transfer,

reassignment, resignation, retirement, or death.

1.6 Requests for Certification of AOs.

A. A BIA employee is certified as an AO based on that employee meeting applicable

training, experience, and work performance requirements, as well as a specific

organizational need for the position. Qualifications for SD positions are outlined in

Attachment I. AOs must occupy a SD position that Indian Affairs has classified in

the General Schedule (GS) series, GS-I IO I.

B. RDs and Central Office Deputy Bureau Directors must submit written requests to the

Deputy Bureau Director, IS. The request should include:

1)A justification for the appointment of an AO;

2) The name, classification series and grade of the nominee for whom the request is

made, and the location and position that the individual will occupy;

3) The nominee's application for certification (which at a minimum, must include

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INDIAN AFFAIRS MANUAL

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Chapter 3

Indian Self-Determination

Awarding Official Certification System

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specification as outlined in A above); and

4) Verification that the nominee's Conflict-of-Interest Disclosure Statement is on file in

the servicing Human Resources Office.

The Deputy Bureau Director, IS reviews and evaluates the request, and either disapproves

the request or forwards the request with a recommendation for approval to the Director,

BIA. If the request is disapproved, the Deputy Bureau Director, IS will notify in writing

this recommendation to the RD or Central Office Deputy Bureau Director, the supervisory

official and the nominee, which will include the specific reason(s) for the declination.

1.7 Certification of Awarding Officials.

A. If the minimum requirements are met, the Director, BIA approves the request and the

Deputy Bureau Director, IS issues a certificate with an assigned AOCS number

designating the individual as an AO and designating the level of authority.

B. Certificates are effective for four (4) years unless otherwise restricted, suspended, or

terminated by the Director, BIA.

AOs are to include their AOCS number wherever their name/signature and title appear

on official SD award documents.

1.8 Continued Certification as an AO.

Employees who have received certification are subject

to the following professional development requirement

Successful completion of a minimum of 80 hours every four (4) years of relevant SD and

acquisition training provided by training sources approved by the Deputy Bureau Director,

IS. The Deputy Bureau Director, IS may consider, on a case by case basis, to extend by one

(1 ) year the completion of acquisition training.

Evidence of satisfactory performance appraisals based on performance elements that reflect

the employee's AO duties relating to SD contract planning and execution, compliance with

Federal laws and regulations, and BIA policies.

Requests for recertification of employees are submitted to the Deputy Bureau Director, IS

by the RD or Deputy Bureau Director for review and evaluation at least three (3) months

prior to the requested recertification date. If all requirements are met, the Deputy Bureau

Director, IS will provide the submission to the Director, BIA for approval and

recertification.

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Chapter 3

Awarding Official Certification System

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1.9

Change in Duty Station.

If an employee has a change in duty station but still meets the

requirements as outlined in this chapter, the employee must submit through his/her RD or

Deputy Bureau Director to the Deputy Bureau Director, IS, a request for continued

certification at the new duty station prior to any authorization to execute contracts/grants.

The written request must include Position of Record, Position Number, and Position

Description.

1.10

Restriction, Suspension, or Termination.

A. An

AO's certificate may be restricted, suspended, or terminated by the Director, BIA, for

any of the following reasons related to the performance of the employee:

1) Unsatisfactory performance of the designated AO duties and responsibilities, or, receipt

of a less-than-satisfactory performance rating from the immediate supervisor;Failure of

the employee to exercise good business judgment and to comply with the applicable

Federal laws, statutes, Executive Order, regulations, Departmental, and IA policies or

procedures;

2) Inability or unwillingness to institute appropriate corrective management actions to

reconcile negative audit findings or internal SD contract management reviews;

3) Failure to properly exercise certification authority;

4) Failure to maintain certification system standards and successfully complete training

requirements after appointment;

5) Violation of the Standards of Ethical Conduct for Employees of the Executive Branch

(5 CFR 2635); Executive Order 12731 (Oct. 17, 1990): Principles of Ethical Conduct for

Government Officers and Employees; and/or Title 43 CFR, Part 20, Employee

Responsibilities and Conduct;

6) Organizational need for a certified AO no longer exists.

B. The servicing Human Resources Officer should be consulted if restriction, suspension,

or termination of certification is being considered and before a written recommendation

is submitted to the Deputy Bureau Director, IS.

C. All requests for restriction, suspension, or termination of certification must be in writing

and submitted by the RD or Deputy Bureau Director to the Deputy Bureau Director, IS,

who reviews and forwards the request with written recommendations to the Director,

BIA,

for

action.

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Indian Self-Determination

Chapter 3

Awarding Official Certification System

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The Deputy Bureau Director, IS, may terminate an AO's certification for

administrative reasons when:

1) The effective period of the certification appointment has expired;

2) The appointee is voluntarily reassigned to another BIA position where the

need for the certification does not exist;

3) The appointee is no longer employed by the BIA;

4) The appointee retires, resigns, or the appointee's employment is terminated;

5) Failure to maintain certification system standards and successfully complete

training requirements after appointment;

6) Violation of the Standards of Ethical Conduct for Employees of the

Executive Branch (5 CFR 2635); Executive Order 12731 (Oct. 17, 1990):

Principles of Ethical Conduct for

Government Officers and Employees; and/

or Title

CFR, Part 20, Employee Responsibilities

and Conduct;

7) Organizational

need for a certified AO no longer exists.

Approval

Michael Black

Director, Bureau of Indian Affairs

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Chapter 3 Awarding Official Certification System

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Attachment l

Qualifications for Self-Determination Awarding Official

(1) Self-Determination (SD) Specialist(GS-1101-11)- Level I Awarding Official. The

Awarding Official (AO) is certified via written designation. AO authority covers all SD

non-construction contracts, and grants. The minimum requirements below apply to those

staff seeking designation as a Level 1 AO:

(a) Two (2) years of satisfactory performance in diverse progressively

responsible, and increasingly complex full-time SD contract experiences involving

the knowledge, skills, and abilities set for in the Awarding Officials Certification

System Handbook

(AOCSH);

(b) Successful completion of the six (6) required core courses ( 120 hours) of

acceptable training, as outlined in the AOCSH;

including ethical conduct and the exercise of appropriate professional and business

judgment;

(d) The individual's full-time position must be classified in the SD classification

series

(GS-I IO I), excluded are the noted exceptions in 1.4 (B) and the entire portion

the employee's time must be dedicated to SD contract duties;

(e) Level I AO certification requires a minimum grade level of 11.

(2) SD Specialist/Officer

(GS-

I IO 1-12) - Level 11 Awarding Official (AO): This is the

journeyman level. The AO is certified. The AO authority covers all SD contracts and grants,

including construction contracts and grants. The minimum requirements below apply to those

staff seeking wishing to be a Level II AO:f

(a) Two (2) years of satisfactory perormance in diverse progressively responsible,

and increasingly complex full-time SD contract experiences involving the knowledge,

skills, and abilities set forth in the AOCSH;

(b) In addition to completion of the training requirements for Level I

certification, staff must have successful completion of the two (2) required courses

for Level 11 certification ( 168 hours) of acceptable training as outlined in the

AOCSH;

the minimum two (2) year work requirement may be substituted for twenty-four (24)

classroom hours of advanced training in that same subject area.

The maximum credit

for

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Chapter 3

Awarding Official Certification System

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the total of all additional year's work experience in separate concentrated SD contract

subject areas is ninety-six (96) classroom hours;

(d)

The individual's

full-time position

must be classified

in the SD

classi

fication

series (GS-

I I O

); excluded are the noted exceptions in 1 .4 (B) and the entire portion of

the employee's time must be dedicated to SD contract duties;

(e)

Level II AO certification requires a minimum GS grade level of 12 in the

designated series.

(3)

Senior Awarding Official: {GS- 13/14 or the equivalent): This is a Regional Office

position. The Senior AO is a certif ied Level II AO. This authority covers all SD contracts and

grants, including construction contracts and grants. The minimum requirements below apply to

those persons wishing to be a Senior AO:

(a)

One

(I)

more years

satisfactory performance as a Level JI

AO;

(b)

Two (2) years of satisfactory performance in

diverse progressively responsible,

and increasingly complex full-time SD

contract experiences involving

the knowledge,

skills, and abilities set forth in

AOCSH.

(c)

Successful

completion of

training requirements

at section

2.1

(

)(b)

and

section

2.I

A(2)(b ),

above.

(d)

One (1)

year of concentrated experience

a SD

contract subject

area beyond the

minimum

two (2) year work

requirement may be

substituted for

twenty-four

(24)

classroom hours of

advanced training in

that

same

subject

area. The

maximum credit for

the

total of all

additional year's work

experience in

separate concentrated SD

contract

subject areas is

ninety-six (96) classroom hours.

(e)

The individual's full-time position must be classified in the SD classification

series (GS-I IO I); excluded are the noted exceptions in 1.4 (B) and the entire portion of

the employee's time must be dedicated to SD contract duties;

(f)

Senior AO

status requires a minimum grade level of

a GS

1 3.

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