[Federal Register: March 8, 2004 (Volume 69, Number 45)]
[Notices]
[Page 10814-10828]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr08mr04-149]
-----------------------------------------------------------------------
DEPARTMENT OF HEALTH AND HUMAN SERVICES
Substance Abuse and Mental Health Services Administration
Notice of Republication of Standard Services Grants Announcement
AGENCY: Substance Abuse and Mental Health Services Administration, HHS.
ACTION: Notice of republication of standard services grants
announcement.
-----------------------------------------------------------------------
SUMMARY: On November 21, 2003, the Substance Abuse and Mental Health
Services Administration published standard grant announcements for
Services Grants, Infrastructure Grants, Best Practices Planning and
Implementation Grants, and Service to
[[Page 10815]]
Science Grants. The primary purpose of this republication is to revise
the criteria used to screen out applications from peer review.
Motivated by the need to assure equitable opportunity and a ``level
playing field'' to all applicants, SAMHSA believes the screening
criteria in these announcements will not best serve the public unless
revised and republished. This is a republication of the Services Grants
announcement. This republication makes those criteria more lenient,
permitting a greater number of applications to be reviewed. The
revisions to the criteria can be found, in their entirety, in: Section
IV, Application and Submission Information; and Appendix A, Checklist
for Formatting Requirements and Screenout Criteria for SAMHSA Grant
Applications. Additional references to the criteria elsewhere in the
text have been changed to be consistent with the revised criteria in
Section IV and Appendix A.
Authority: Sections 509, 516, and 520A of the Public Health
Service Act.
In addition, this republication includes an additional award
criterion in Section V, updated agency contact information in Section
VII, and minor technical changes to comply with the formatting
requirements for announcement of Federal funding opportunities, as
specified by the Office of Management and Budget.
This notice provides the republished text for SAMHSA's standard
Services Grants announcement.
DATES: Use of the republished standard Services Grants announcement
will be effective March 8, 2004. The standard Services Grants
announcement must be used in conjunction with separate Notices of
Funding Availability (NOFAs) that will provide application due dates
and other key dates for specific SAMHSA grant funding opportunities.
ADDRESSES: Questions about SAMHSA's standard Services Grants
announcement may be directed to Cathy Friedman, M.A., Office of Policy,
Planning and Budget, 5600 Fishers Lane, Room 12C-26, Rockville,
Maryland 20857. Fax: (301-594-6159) E-mail: cfriedma@samhsa.gov.
FOR FURTHER INFORMATION CONTACT: Cathy Friedman, M.A., Office of
Policy, Planning and Budget, 5600 Fishers Lane, Room 12C-26, Rockville,
Maryland 20857. Fax: (301-594-6159) E-mail: cfriedma@samhsa.gov. Phone:
(301) 443-6902.
SUPPLEMENTARY INFORMATION: SAMHSA is republishing its standard Services
Grants announcement to make the criteria used to screen out
applications from peer review more lenient, permitting a greater number
of applications to be reviewed. This republication also includes an
additional award criterion in Section V, updated agency contact
information in Section VII, and minor technical changes to comply with
the formatting requirements for announcement of Federal funding
opportunities, as specified by the Office of Management and Budget. The
text for the republished standard Services Grants announcement is
provided below.
The standard Services Grants announcement will be posted on
SAMHSA's web page (http://www.samhsa.gov) and will be available from
SAMHSA's clearinghouses on an ongoing basis. The standard announcements
will be used in conjunction with brief Notices of Funding Availability
(NOFAs) that will announce the availability of funds for specific grant
funding opportunities within each of the standard grant programs (e.g.,
Homeless Treatment grants, Statewide Family Network grants, HIV/AIDS
and Substance Abuse Prevention Planning Grants, etc.).
Department of Health and Human Services
Substance Abuse and Mental Health Services Administration
Services Grants--SVC 04 PA (MOD)
(Modified Announcement)
Catalogue of Federal Domestic Assistance (CFDA) No.: 93.243 (unless
otherwise specified in a NOFA in the Federal Register and on http://www.grants.gov
)
Key Dates
Application Deadline--This Program Announcement provides general
instructions and guidelines for multiple funding opportunities.
Application deadlines for specific funding opportunities will be
published in Notices of Funding Availability (NOFAs) in the Federal
Register and on http://www.grants.gov.
Intergovernmental Review (E.O. 12372)--Letters from State Single Point
of Contact (SPOC) are due no later than 60 days after application
deadline.
Public Health System Impact Statement (PHSIS)/Single State Agency
Coordination--Applicants must send the PHSIS to appropriate State and
local health agencies by application deadline. Comments from Single
State Agency are due no later than 60 days after application deadline.
Table of Contents
I. Funding Opportunity Description
1. Introduction
2. Expectations
II. Award Information
1. Award Amount
2. Funding Mechanism
III. Eligibility Information
1. Eligible Applicants
2. Cost Sharing
3. Other
IV. Application and Submission Information
1. Address to Request Application Package
2. Content and Form of Application Submission
3. Submission Dates and Times
4. Intergovernmental Review (E.O. 12372) Requirements
5. Funding Limitations/Restrictions
6. Other Submission Requirements
V. Application Review Information
1. Evaluation Criteria
2. Review and Selection Process
VI. Award Administration Information
1. Award Notices
2. Administrative and National Policy Requirements
3. Reporting Requirements
VII. Agency Contacts
Appendix A--Checklist for Formatting Requirements and Screenout
Criteria for SAMHSA Grant Applications
Appendix B--Glossary
Appendix C--National Registry of Effective Programs
Appendix D--Center for Mental Health Services Evidence-Based
Practice Toolkits
Appendix E--Effective Substance Abuse Treatment Practices
Appendix F--Statement Of Assurance
Appendix G--Logic Model Resources
I. Funding Opportunity Description
1. Introduction
The Substance Abuse and Mental Health Services Administration
(SAMHSA) announces its intent to solicit applications for Services
Grants. These grants will expand and strengthen effective, culturally
appropriate substance abuse and mental health services at the State and
local levels. The services implemented through SAMHSA's Services Grants
must incorporate the best objective information available regarding
effectiveness and acceptability. In general, the services implemented
through SAMHSA's Services Grants will have strong evidence of
effectiveness. However, because the evidence base is limited in some
areas, SAMHSA may fund some services for which the evidence base, while
limited, is sound. SAMHSA expects that the services funded through
these grants will be sustained by the grantee beyond the term of the
grant.
SAMHSA also funds grants under three other standard grant
announcements:
[[Page 10816]]
Infrastructure Grants support identification and
implementation of systems changes but are not designed to fund
services.
Best Practices Planning and Implementation
Grants help communities and providers identify practices to effectively
meet local needs, develop strategic plans for implementing/adapting
those practices and pilot-test practices prior to full-scale
implementation.
Service to Science Grants document and evaluate
innovative practices that address critical substance abuse and mental
health service gaps but that have not yet been formally evaluated.
This announcement describes the general program design and provides
application instructions for all SAMHSA Services Grants. The
availability of funds for specific Services Grants will be announced in
supplementary Notices of Funding Availability (NOFAs) in the Federal
Register and at http://www.grants.gov_the Federal grant announcement
web page.
SAMHSA's Services Grants are authorized under Section 509, 516 and/
or 520A of the Public Health Service Act, unless otherwise specified in
a NOFA in the Federal Register and on http://www.grants.gov.
Typically, funding for Services Grants will be targeted to specific
populations and/or issue areas, which will be specified in the NOFAs.
The NOFAs will also:
Specify total funding available for the first
year of the grants and the expected size and number of awards;
Provide the application deadline;
Note any specific program requirements for each
funding opportunity; and
Include any limitations or exceptions to the
general provisions in this announcement (e.g., eligibility, allowable
activities).
It is, therefore, critical that you consult the NOFA as well as
this announcement in developing your grant application.
2. Expectations
The Services Grant program is designed to address gaps in substance
abuse and mental health services and/or to increase the ability of
States, units of local government, Indian tribes, tribal organizations
and governments, and community- and faith-based organizations to help
specific populations or geographic areas with serious, emerging mental
health and substance abuse problems. SAMHSA intends that its Services
Grants result in the delivery of services as soon as possible and no
later than 4 months after award. SAMHSA's Services Grants may include
substance abuse prevention, substance abuse treatment and/or mental
health services. Throughout this announcement, SAMHSA will use the term
``services'' to refer to all three types of services. The NOFA will
provide guidance on the particular type of service to be provided
through each funding opportunity.
2.1 Documenting the Evidence-Base for Services To Be Implemented
The services implemented through SAMHSA's Services Grants must
incorporate the best objective information available regarding the
effectiveness and acceptability of the services to be implemented. In
general, the services implemented through SAMHSA's Services Grants will
have strong evidence of effectiveness. However, because the evidence
base is limited in some areas, SAMHSA may fund some services for which
the evidence of effectiveness is based on formal consensus among
recognized experts in the field and/or evaluation studies that have not
been published in the peer reviewed literature.
Applicants must document in their applications that the services/
practices they propose to implement are evidence-based services/
practices. In addition, applicants must justify use of the proposed
services/practices for the target population along with any adaptations
or modifications necessary to meet the unique needs of the target
population or otherwise increase the likelihood of achieving positive
outcomes. Further guidance on each of these requirements is provided
below.
Documenting the Evidence-Based Practice/Service
SAMHSA has already determined that certain services/practices are
solidly evidence-based services/practices and encourages applicants to
select services/practices from following sources (though this is not
required):
SAMHSA's National Registry of Effective Programs
(NREP) (see Appendix C)
Center for Mental Health Services (CMHS)
Evidence Based Practice Tool Kits (see Appendix D)
List of Effective Substance Abuse Treatment
Practices (see Appendix E)
Additional practices identified in the NOFA for
a specific funding opportunity, if applicable
Applicants proposing services/practices that are not included in
the above-referenced sources must provide a narrative justification
that summarizes the evidence for effectiveness and acceptability of the
proposed service/practice. The preferred evidence of effectiveness and
acceptability will include the findings from clinical trials, efficacy
and/or effectiveness studies published in the peer-reviewed literature.
In areas where little or no research has been published in the
peer-reviewed scientific literature, the applicant may present evidence
involving studies that have not been published in the peer-reviewed
research literature and/or documents describing formal consensus among
recognized experts. If consensus documents are presented, they must
describe consensus among multiple experts whose work is recognized and
respected by others in the field. Local recognition of an individual as
a respected or influential person at the community level is not
considered a ``recognized expert'' for this purpose.
In presenting evidence in support of the proposed service/practice,
applicants must show that the evidence presented is the best objective
information available.
Justifying Selection of the Service/Practice for the Target Population
Regardless of the strength of the evidence-base for the service/
practice, all applicants must show that the proposed service/practice
is appropriate for the proposed target population. Ideally, this
evidence will include research findings on effectiveness and
acceptability specific to the proposed target population. However, if
such evidence is not available, the applicant should provide a
justification for using the proposed service/practice with the target
population. This justification might involve, for example, a
description of adaptations to the proposed service/practice based on
other research involving the target population.
Justifying Adaptations/Modifications of the Proposed Service/Practice
SAMHSA has found that a high degree of faithfulness or ``fidelity''
(see Glossary) to the original model for an evidence-based service/
practice increases the likelihood that positive outcomes will be
achieved when the model is used by others. Therefore, SAMHSA encourages
fidelity to the original evidence-based service/practice to be
implemented. However, SAMHSA recognizes that adaptations or
modifications to the original model may be necessary for a variety of
reasons:
To allow implementers to use resources
efficiently
To adjust for specific needs of the client
population
[[Page 10817]]
To address unique characteristics of the local
community where the service/practice will be implemented
All applicants must describe and justify any adaptations or
modifications to the proposed service/practice that will be made.
2.2 Services Delivery
SAMHSA's Services Grant funds must be used primarily to support
direct services, including the following types of activities:
Conducting outreach and pre-service strategies
to expand access to treatment or prevention services to underserved
populations. If you propose to provide only outreach and pre-service
strategies, you must show that your organization is an effective and
integral part of a network of service providers.
Purchasing or providing direct treatment
(including screening, assessment, and care management) or prevention
services for populations at risk. Treatment must be provided in
outpatient, day treatment or intensive outpatient, or residential
programs.
Purchasing or providing ``wrap-around'' services
(see Glossary) (e.g., child care, vocational, educational and
transportation services) designed to improve access and retention.
Collecting data using specified tools and
standards to measure and monitor treatment or prevention services and
costs. (No more than 20% of the total grant award may be used for data
collection and evaluation.)
2.3 Infrastructure Development (Maximum 15% of Total Grant Award)
Although SAMHSA expects that its Services Grant funds will be used
primarily for direct services, SAMHSA recognizes that infrastructure
changes may be needed to support service delivery expansion in some
instances. You may use up to 15% of the total Services Grant award for
the following types of infrastructure development, if necessary to
support the direct service expansion of the grant project.
Building partnerships to ensure the success of
the project and entering into service delivery and other agreements.
Developing or changing the infrastructure to
expand treatment or prevention services.
Training to assist treatment or prevention
providers and community support systems to identify and address mental
health or substance abuse issues.
2.4 Data and Performance Measurement
The Government Performance and Results Act of 1993 (P.L.103-62, or
``GPRA'') requires all Federal agencies to set program performance
targets and report annually on the degree to which the previous year's
targets were met.
Agencies are expected to evaluate their programs regularly and to
use results of these evaluations to explain their successes and
failures and justify requests for funding.
To meet the GPRA requirements, SAMHSA must collect performance data
(i.e., ``GPRA data'') from grantees. Grantees are required to report
these GPRA data to SAMHSA on a timely basis.
Specifically, grantees will be required to provide data on a set of
required measures, as specified in the NOFA. The data collection tools
to be used for reporting the required data will be provided in the
application kits distributed by SAMHSA's clearinghouses and posted on
SAMHSA's Web site along with each NOFA. In your application, you must
demonstrate your ability to collect and report on these measures, and
you may be required to provide some baseline data.
The terms and conditions of the grant award also will specify the
data to be submitted and the schedule for submission. Grantees will be
required to adhere to these terms and conditions of award.
Applicants should be aware that SAMHSA is working to develop a set
of required core performance measures for each of SAMHSA's standard
grants (i.e., Services Grants, Infrastructure Grants, Best Practices
Planning and Implementation Grants, and Service-to-Science Grants). As
this effort proceeds, some of the data collection and reporting
requirements included in SAMHSA's NOFAs may change. All grantees will
be expected to comply with any changes in data collection requirements
that occur during the grantee's project period.
2.5 Grantee Meetings
You must plan to send a minimum of two people (including the
Project Director) to at least one joint grantee meeting in each year of
the grant, and you must include funding for this travel in your budget.
At these meetings, grantees will present the results of their projects
and Federal staff will provide technical assistance. Each meeting will
be 3 days. These meetings will usually be held in the Washington, DC,
area, and attendance is mandatory.
2.6 Evaluation
Grantees must evaluate their projects, and you are required to
describe your evaluation plans in your application. The evaluation
should be designed to provide regular feedback to the project to
improve services. The evaluation must include both process and outcome
components. Process and outcome evaluations must measure change
relating to project goals and objectives over time compared to baseline
information. Control or comparison groups are not required. You must
consider your evaluation plan when preparing the project budget.
Process components should address issues such as:
How closely did implementation match the plan?
What types of deviation from the plan occurred?
What led to the deviations?
What effect did the deviations have on the
planned intervention and evaluation?
Who provided (program, staff) what services
(modality, type, intensity, duration), to whom (individual
characteristics), in what context (system, community), and at what cost
(facilities, personnel, dollars)?
Outcome components should address issues such as:
What was the effect of treatment on
participants?
What program/contextual factors were associated
with outcomes?
What individual factors were associated with
outcomes?
How durable were the effects?
No more than 20% of the total grant award may be used for
evaluation and data collection, including GPRA.
II. Award Information
1. Award Amount
The expected award amount for each funding opportunity will be
specified in the NOFA. Typically, SAMHSA's Services Grant awards are
expected to be about $500,000 per year in total costs (direct and
indirect) for up to 5 years. Awards may range as high as $3.0 million
per year in total costs (direct and indirect) for up to 5 years.
Regardless of the award amount specified in the NOFA, the actual award
amount will depend on the availability of funds.
Proposed budgets cannot exceed the allowable amount specified in
the NOFA in any year of the proposed project. Annual continuation
awards will depend on the availability of funds, grantee progress in
meeting project goals and objectives, and timely submission of required
data and reports.
2. Funding Mechanism
The NOFA will indicate whether awards for each funding opportunity
will be made as grants or cooperative
[[Page 10818]]
agreements (see the Glossary in Appendix B for further explanation of
these funding mechanisms). For cooperative agreements, the NOFA will
describe the nature of Federal involvement in project performance and
specify roles and responsibilities of grantees and Federal staff.
III. Eligibility Information
1. Eligible Applicants
Eligible applicants are domestic public and private nonprofit
entities. For example, State, local or tribal governments; public or
private universities and colleges; community- and faith-based
organizations; and tribal organizations may apply. The statutory
authority for this program prohibits grants to for-profit
organizations. The NOFA will indicate any limitations on eligibility.
2. Cost Sharing
Cost sharing (see Glossary) is not required in this program, and
applications will not be screened out on the basis of cost sharing.
However, you may include cash or in-kind contributions (see Glossary)
in your proposal as evidence of commitment to the proposed project.
3. Other
3.1 Additional Eligibility Requirements
Applications must comply with the following requirements, or they
will be screened out and will not be reviewed: Use of the PHS 5161-1
application; application submission requirements in Section IV-3 of
this document; and formatting requirements provided in Section IV-2.3
of this document. Applicants should be aware that the NOFA may include
additional requirements that, if not met, will result in applications
being screened out and returned without review. These requirements will
be specified in Section III-3 of the NOFA.
You also must comply with any additional program requirements
specified in the NOFA, such as signature of certain officials on the
face page of the application and/or required memoranda of understanding
with certain signatories.
3.2 Evidence of Experience and Credentials
SAMHSA believes that only existing, experienced, and appropriately
credentialed organizations with demonstrated infrastructure and
expertise will be able to provide required services quickly and
effectively. Therefore, in addition to the basic eligibility
requirements specified in this announcement, applicants must meet three
additional requirements related to the provision of treatment or
prevention services.
The three requirements are:
A provider organization for direct client
services (e.g., substance abuse treatment, substance abuse prevention,
mental health services) appropriate to the grant must be involved in
each application. The provider may be the applicant or another
organization committed to the project. More than one provider
organization may be involved;
Each direct service provider organization must
have at least 2 years experience providing services in the geographic
area(s) covered by the application, as of the due date of the
application; and
Each direct service provider organization must
comply with all applicable local (city, county) and State/tribal
licensing, accreditation, and certification requirements, as of the due
date of the application.
[Note: The above requirements apply to all service provider
organizations. A license from an individual clinician will not be
accepted in lieu of a provider organization's license.]
In Appendix 1 of the application, you must: (1) Identify at least
one experienced, licensed service provider organization; (2) include a
list of all direct service provider organizations that have agreed to
participate in the proposed project, including the applicant agency if
the applicant is a treatment or prevention service provider
organization; and (3) include the Statement of Assurance (provided in
Appendix F of this announcement), signed by the authorized
representative of the applicant organization identified on the face-
page of the application, that all participating service provider
organizations:
Meet the 2-year experience requirement,
Meet applicable licensing, accreditation, and
certification requirements, and
If the application is within the funding range,
will provide the Government Project Officer (GPO) with the required
documentation within the time specified.
If Appendix 1 of the application does not contain items (1)-(3),
the application will be considered ineligible and will not be reviewed.
In addition, if, following application review, an application's
score is within the fundable range for a grant award, the GPO will call
the applicant and request that the following documentation be sent by
overnight mail:
A letter of commitment that specifies the nature
of the participation and what service(s) will be provided from every
service provider organization that has agreed to participate in the
project;
Official documentation that all participating
organizations have been providing relevant services for a minimum of 2
years before the date of the application in the area(s) in which the
services are to be provided; and
Official documentation that all participating
service provider organizations comply with all applicable local (city,
county) and State/tribal requirements for licensing, accreditation, and
certification or official documentation from the appropriate agency of
the applicable State/tribal, county, or other governmental unit that
licensing, accreditation, and certification requirements do not exist.
If the GPO does not receive this documentation within the time
specified, the application will be removed from consideration for an
award and the funds will be provided to another applicant meeting these
requirements.
IV. Application and Submission Information
To ensure that you have met all submission requirements, a
checklist is provided for your use in Appendix A of this document.
1. Address To Request Application Package
You may request a complete application kit by calling one of
SAMHSA's national clearinghouses:
For substance abuse prevention or treatment
grants, call the National Clearinghouse for Alcohol and Drug
Information (NCADI) at 1-800-729-6686.
For mental health grants, call the National
Mental Health Information Center at 1-800-789-CMHS (2647).
You also may download the required documents from the SAMHSA Web
site at http://www.samhsa.gov. Click on ``grant opportunities.''
Additional materials available on this Web site include:
A technical assistance manual for potential
applicants;
Standard terms and conditions for SAMHSA grants;
Guidelines and policies that relate to SAMHSA
grants (e.g., guidelines on cultural competence, consumer and family
participation, and evaluation); and
Enhanced instructions for completing the PHS
5161-1 application.
[[Page 10819]]
2. Content and Form of Application Submission
2.1 Required Documents
SAMHSA application kits include the following documents:
PHS 5161-1 (revised July 2000)--Includes the
face page, budget forms, assurances, certification, and checklist. Use
the PHS 5161-1, unless otherwise specified in the NOFA. Applications
that are not submitted on the required application form will be
screened out and will not be reviewed.
Program Announcement (PA)--Includes instructions
for the grant application. This document is the PA.
Notice of Funding Availability (NOFA)--Provides
specific information about availability of funds, as well as any
exceptions or limitations to provisions in the PA. The NOFAs will be
published in the Federal Register, as well as on the Federal grants Web
site (http://www.grants.gov).
You must use all of the above documents in completing your
application.
2.2 Required Application Components
To ensure equitable treatment of all applications, applications
must be complete. In order for your application to be complete, it must
include the required ten application components (Face Page, Abstract,
Table of Contents, Budget Form, Project Narrative and Supporting
Documentation, Appendices, Assurances, Certifications, Disclosure of
Lobbying Activities, and Checklist).
--Face Page--Use Standard Form (SF) 424, which is part of the PHS 5161-
1. [Note: Beginning October 1, 2003, applicants will need to provide a
Dun and Bradstreet (DUNS) number to apply for a grant or cooperative
agreement from the Federal Government. SAMHSA applicants will be
required to provide their DUNS number on the face page of the
application. Obtaining a DUNS number is easy and there is no charge. To
obtain a DUNS number, access the Dun and Bradstreet Web site at http://www.dunandbradstreet.com
or call 1-866-705-5711. To expedite the
process, let Dun and Bradstreet know that you are a public/private
nonprofit organization getting ready to submit a Federal grant
application.]
--Abstract--Your total abstract should not be longer than 35 lines. In
the first five lines or less of your abstract, write a summary of your
project that can be used, if your project is funded, in publications,
reporting to Congress, or press releases.
--Table of Contents--Include page numbers for each of the major
sections of your application and for each appendix.
--Budget Form--Use SF 424A, which is part of the PHS 5161-1. Fill out
Sections B, C, and E of the SF 424A.
--Project Narrative and Supporting Documentation--The Project Narrative
describes your project. It consists of Sections A through E. Sections
A-E together may not be longer than 30 pages. More detailed
instructions for completing each section of the Project Narrative are
provided in ``Section V--Application Review Information'' of this
document.
The Supporting Documentation provides additional information
necessary for the review of your application. This supporting
documentation should be provided immediately following your Project
Narrative in Sections F through I. There are no page limits for these
sections, except for Section H, the Biographical Sketches/Job
Descriptions.
Section F--Literature Citations. This section
must contain complete citations, including titles and all authors, for
any literature you cite in your application.
Section G--Budget Justification, Existing
Resources, Other Support. You must provide a narrative justification of
the items included in your proposed budget, as well as a description of
existing resources and other support you expect to receive for the
proposed project. Be sure to show that no more than 15% of the total
grant award will be used for infrastructure development and that no
more than 20% of the total grant award will be used for data collection
and evaluation, including GPRA.
Section H--Biographical Sketches and Job
Descriptions.
Include a biographical sketch for the Project
Director and other key positions. Each sketch should be 2 pages or
less. If the person has not been hired, include a letter of commitment
from the individual with a current biographical sketch.
Include job descriptions for key personnel. Job
descriptions should be no longer than 1 page each.
Sample sketches and job descriptions are listed
on page 22, Item 6 in the Program Narrative section of the PHS 5161-1.
Section I--Confidentiality and SAMHSA
Participant Protection/Human Subjects. Section IV-2.4 of this document
describes requirements for the protection of the confidentiality,
rights and safety of participants in SAMHSA-funded activities. This
section also includes guidelines for completing this part of your
application.
--Appendices 1 through 5--Use only the appendices listed below. Do not
use more than 30 pages for Appendices 1, 3, and 4. There are no page
limitations for Appendices 2 and 5. Do not use appendices to extend or
replace any of the sections of the Project Narrative unless
specifically required in the NOFA. Reviewers will not consider them if
you do.
Appendix 1: Letters of commitment/support.
Identification of at least one experienced, licensed service provider
organization. A list of all direct service provider organizations that
have agreed to participate in the proposed project, including the
applicant agency, if it is a treatment or prevention service provider
organization. The Statement of Assurance (provided in Appendix F of
this announcement) signed by the authorized representative of the
applicant organization identified on the face page of the application,
that assures SAMHSA that all listed providers meet the 2-year
experience requirement, are appropriately licensed, accredited, and
certified, and that if the application is within the funding range for
an award, the applicant will send the GPO the required documentation
within the specified time.
Appendix 2: Data Collection Instruments/
Interview Protocols
Appendix 3: Sample Consent Forms
Appendix 4: Letter to the SSA (if applicable;
see Section IV-4 of this document)
Appendix 5: A copy of the State or County
Strategic Plan, a State or county needs assessment, or a letter from
the State or county indicating that the proposed project addresses a
State-or county-identified priority.
--Assurances--Non-Construction Programs. Use Standard Form 424B found
in PHS 5161-1. Some applicants will be required to complete the
Assurance of Compliance with SAMHSA Charitable Choice Statutes and
Regulations Form SMA 170. If this assurance applies to a specific
funding opportunity, it will be posted on SAMHSA's Web site with the
NOFA and provided in the application kits available at SAMHSA's
clearinghouse (NCADI).
--Certifications--Use the ``Certifications'' forms found in PHS 5161-1.
--Disclosure of Lobbying Activities--Use Standard Form LLL found in the
PHS 5161-1. Federal law prohibits the use of appropriated funds for
[[Page 10820]]
publicity or propaganda purposes, or for the preparation, distribution,
or use of the information designed to support or defeat legislation
pending before the Congress or State legislatures. This includes
``grass roots'' lobbying, which consists of appeals to members of the
public suggesting that they contact their elected representatives to
indicate their support for or opposition to pending legislation or to
urge those representatives to vote in a particular way.
--Checklist--Use the Checklist found in PHS 5161-1. The Checklist
ensures that you have obtained the proper signatures, assurances and
certifications and is the last page of your application.
2.3 Application Formatting Requirements
Applicants also must comply with the following basic application
requirements. Applications that do not comply with these requirements
will be screened out and will not be reviewed.
--Information provided must be sufficient for review.
--Text must be legible.
Type size in the Project Narrative cannot exceed
an average of 15 characters per inch, as measured on the physical page.
(Type size in charts, tables, graphs, and footnotes will not be
considered in determining compliance.)
Text in the Project Narrative cannot exceed 6
lines per vertical inch.
--Paper must be white paper and 8.5 inches by 11.0 inches in size.
--To ensure equity among applications, the amount of space allowed for
the Project Narrative cannot be exceeded.
Applications would meet this requirement by
using all margins (left, right, top, bottom) of at least one inch each,
and adhering to the 30-page limit for the Project Narrative.
Should an application not conform to these
margin or page limits, SAMHSA will use the following method to
determine compliance: The total area of the Project Narrative
(excluding margins, but including charts, tables, graphs and footnotes)
cannot exceed 58.5 square inches multiplied by 30. This number
represents the full page less margins, multiplied by the total number
of allowed pages.
Space will be measured on the physical page.
Space left blank within the Project Narrative (excluding margins) is
considered part of the Project Narrative, in determining compliance.
--The 30-page limit for Appendices 1, 3 and 4 cannot be exceeded.
To facilitate review of your application, follow these additional
guidelines. Failure to adhere to the following guidelines will not, in
itself, result in your application being screened out and returned
without review. However, following these guidelines will help reviewers
to consider your application.
--Pages should be typed single-spaced with one column per page.
--Pages should not have printing on both sides.
--Please use black ink and number pages consecutively from beginning to
end so that information can be located easily during review of the
application. The cover page should be page 1, the abstract page should
be page 2, and the table of contents page should be page 3. Appendices
should be labeled and separated from the Project Narrative and budget
section, and the pages should be numbered to continue the sequence.
--Send the original application and two copies to the mailing address
in Section IV-6.1 of this document. Please do not use staples, paper
clips, and fasteners. Nothing should be attached, stapled, folded, or
pasted. Do not use heavy or lightweight paper or any material that
cannot be copied using automatic copying machines. Odd-sized and
oversized attachments such as posters will not be copied or sent to
reviewers. Do not include videotapes, audiotapes, or CD-ROMs.
2.4 SAMHSA Confidentiality and Participant Protection Requirements and
Protection of Human Subjects Regulations
Applicants must describe procedures relating to Confidentiality,
Participant Protection and the Protection of Human Subjects Regulations
in Section I of the application, using the guidelines provided below.
Problems with confidentiality, participant protection, and protection
of human subjects identified during peer review of the application may
result in the delay of funding.
Confidentiality and Participant Protection
All applicants must describe how they will address requirements for
each of the following elements relating to confidentiality and
participant protection.
1. Protect Clients and Staff from Potential Risks
Identify and describe any foreseeable physical,
medical, psychological, social and legal risks or potential adverse
effects as a result of the project itself or any data collection
activity.
Describe the procedures you will follow to
minimize or protect participants against potential risks, including
risks to confidentiality.
Identify plans to provide guidance and
assistance in the event there are adverse effects to participants.
Where appropriate, describe alternative
treatments and procedures that may be beneficial to the participants.
If you choose not to use these other beneficial treatments, provide the
reasons for not using them.
2. Fair Selection of Participants
Describe the target population(s) for the
proposed project. Include age, gender, and racial/ethnic background and
note if the population includes homeless youth, foster children,
children of substance abusers, pregnant women, or other targeted
groups.
Explain the reasons for including groups of
pregnant women, children, people with mental disabilities, people in
institutions, prisoners, and individuals who are likely to be
particularly vulnerable to HIV/AIDS.
Explain the reasons for including or excluding
participants.
Explain how you will recruit and select
participants. Identify who will select participants.
3. Absence of Coercion
Explain if participation in the project is
voluntary or required. Identify possible reasons why participation is
required, for example, court orders requiring people to participate in
a program.
If you plan to compensate participants, state
how participants will be awarded incentives (e.g., money, gifts, etc.).
State how volunteer participants will be told
that they may receive services intervention even if they do not
participate in or complete the data collection component of the
project.
4. Data Collection
Identify from whom you will collect data (e.g.,
from participants themselves, family members, teachers, others).
Describe the data collection procedures and specify the sources for
obtaining data (e.g., school records, interviews, psychological
assessments, questionnaires, observation, or other sources). Where data
are to be collected through observational techniques, questionnaires,
interviews, or other direct means, describe the data collection
setting.
Identify what type of specimens (e.g., urine,
blood) will be used, if any. State if the material will be used just
for evaluation or if other use(s) will be made. Also, if needed,
describe how the
[[Page 10821]]
material will be monitored to ensure the safety of participants.
Provide in Appendix 2, ``Data Collection
Instruments/Interview Protocols,'' copies of all available data
collection instruments and interview protocols that you plan to use.
5. Privacy and Confidentiality:
Explain how you will ensure privacy and
confidentiality. Include who will collect data and how it will be
collected.
Describe:
How you will use data collection instruments.
Where data will be stored.
Who will or will not have access to information.
How the identity of participants will be kept
private, for example, through the use of a coding system on data
records, limiting access to records, or storing identifiers separately
from data.
Note: If applicable, grantees must agree to maintain the
confidentiality of alcohol and drug abuse client records according
to the provisions of Title 42 of the Code of Federal Regulations,
Part II.
6. Adequate Consent Procedures:
List what information will be given to people
who participate in the project. Include the type and purpose of their
participation. Identify the data that will be collected, how the data
will be used and how you will keep the data private.
State:
Whether or not their participation is voluntary.
Their right to leave the project at any time
without problems.
Possible risks from participation in the
project.
Plans to protect clients from these risks.
Explain how you will get consent for youth, the
elderly, people with limited reading skills, and people who do not use
English as their first language.
Note: If the project poses potential physical, medical,
psychological, legal, social or other risks, you must obtain written
informed consent.
Indicate if you will obtain informed consent
from participants or assent from minors along with consent from their
parents or legal guardians. Describe how the consent will be
documented. For example: Will you read the consent forms? Will you ask
prospective participants questions to be sure they understand the
forms? Will you give them copies of what they sign?
Include, as appropriate, sample consent forms
that provide for: (1) Informed consent for participation in service
intervention; (2) informed consent for participation in the data
collection component of the project; and (3) informed consent for the
exchange (releasing or requesting) of confidential information. The
sample forms must be included in Appendix 3, ``Sample Consent Forms'',
of your application. If needed, give English translations.
Note: Never imply that the participant waives or appears to
waive any legal rights, may not end involvement with the project, or
releases your project or its agents from liability for negligence.
Describe if separate consents will be obtained
for different stages or parts of the project. For example, will they be
needed for both participant protection in treatment intervention and
for the collection and use of data?
Additionally, if other consents (e.g., consents
to release information to others or gather information from others)
will be used in your project, provide a description of the consents.
Will individuals who do not consent to having individually identifiable
data collected for evaluation purposes be allowed to participate in the
project?
7. Risk/Benefit Discussion:
Discuss why the risks are reasonable compared to expected benefits
and importance of the knowledge from the project.
Protection of Human Subjects Regulations
Depending on the evaluation and data collection requirements of the
particular funding opportunity for which you are applying or the
evaluation design you propose in your application, you may have to
comply with the Protection of Human Subjects Regulations (45 CFR 46).
The NOFA will indicate whether all applicants for a particular funding
opportunity must comply with the Protection of Human Subject
Regulations.
Applicants must be aware that even if the Protection of Human
Subjects Regulations do not apply to all projects funded under a given
funding opportunity, the specific evaluation design proposed by the
applicant may require compliance with these regulations.
Applicants whose projects must comply with the Protection of Human
Subjects Regulations must describe the process for obtaining
Institutional Review Board (IRB) approval fully in their applications.
While IRB approval is not required at the time of grant award, these
applicants will be required, as a condition of award, to provide the
documentation that an Assurance of Compliance is on file with the
Office for Human Research Protections (OHRP) and the IRB approval has
been received prior to enrolling any clients in the proposed project.
Additional information about Protection of Human Subjects
Regulations can be obtained on the web at http://ohrp.osophs.dhhs.gov.
You may also contact OHRP by e-mail (ohrp@osophs.dhhs.gov) or by phone
(301/496-7005).
3. Submission Dates and Times
Deadlines for submission of applications for specific funding
opportunities will be published in the NOFAs in the Federal Register
and posted on the Federal grants Web site (http://www.grants.gov).
Your application must be received by the application deadline.
Applications received after this date must have a proof-of-mailing date
from the carrier dated at least 1 week prior to the due date. Private
metered postmarks are not acceptable as proof of timely mailing.
You will be notified by postal mail that your application has been
received.
Applications not received by the application deadline or not
postmarked by a week prior to the application deadline will be screened
out and will not be reviewed.
4. Intergovernmental Review (E.O. 12372) Requirements
Executive Order 12372, as implemented through Department of Health
and Human Services (DHHS) regulation at 45 CFR part 100, sets up a
system for State and local review of applications for Federal financial
assistance. A current listing of State Single Points of Contact (SPOCs)
is included in the application kit and can be downloaded from the
Office of Management and Budget (OMB) Web site at http://www.whitehouse.gov/omb/grants/spoc.html
.
Check the list to determine whether your State
participates in this program. You do not need to do this if you are a
federally recognized Indian tribal government.
If your State participates, contact your SPOC as
early as possible to alert him/her to the prospective application(s)
and to receive any necessary instructions on the State's review
process.
--For proposed projects serving more than one State, you are advised to
contact the SPOC of each affiliated State.
--The SPOC should send any State review process recommendations to the
following address within 60 days of the application deadline: Substance
[[Page 10822]]
Abuse and Mental Health Services Administration, Office of Program
Services, Review Branch, 5600 Fishers Lane, Room 17-89, Rockville,
Maryland 20857, Attn: SPOC--Funding Announcement No. [fill in pertinent
funding opportunity number from the NOFA].
In addition, community-based, non-governmental service providers
who are not transmitting their applications through the State must
submit a Public Health System Impact Statement (PHSIS) (approved by OMB
under control no. 0920-0428; see burden statement below) to the head(s)
of appropriate State or local health agencies in the area(s) to be
affected no later than the pertinent receipt date for applications. The
PHSIS is intended to keep State and local health officials informed of
proposed health services grant applications submitted by community-
based, non-governmental organizations within their jurisdictions. State
and local governments and Indian tribal government applicants are not
subject to these requirements.
The PHSIS consists of the following information:
A copy of the face page of the application (SF
424); and
A summary of the project, no longer than one
page in length, that provides: (1) A description of the population to
be served, (2) a summary of the services to be provided, and (3) a
description of the coordination planned with appropriate State or local
health agencies.
For SAMHSA grants, the appropriate State agencies are the Single
State Agencies (SSAs) for substance abuse and mental health. A listing
of the SSAs can be found on SAMHSA's Web site at http://www.samhsa.gov.
If the proposed project falls within the jurisdiction of more than one
State, you should notify all representative SSAs.
Applicants who are not the SSA must include a copy of a letter
transmitting the PHSIS to the SSA in Appendix 4, ``Letter to the SSA.''
The letter must notify the State that, if it wishes to comment on the
proposal, its comments should be sent not later than 60 days after the
application deadline to: Substance Abuse and Mental Health Services
Administration, Office of Program Services, Review Branch, 5600 Fishers
Lane, Room 17-89, Rockville, Maryland 20857. Attn: SSA--Funding
Announcement No. [fill in pertinent funding opportunity number from
NOFA].
In addition:
Applicants may request that the SSA send them a
copy of any State comments.
The applicant must notify the SSA within 30 days
of receipt of an award.
[Public reporting burden for the Public Health System Reporting
Requirement is estimated to average 10 minutes per response, including
the time for copying the face page of SF 424 and the abstract and
preparing the letter for mailing. An agency may not conduct or sponsor,
and a person is not required to respond to, a collection of information
unless it displays a currently valid OMB control number. The OMB
control number for this project is 0920-0428. Send comments regarding
this burden to CDC Clearance Officer, 1600 Clifton Road, MS D-24,
Atlanta, GA 30333, Attn: PRA (0920-0428).]
5. Funding Limitations/Restrictions
Cost principles describing allowable and unallowable expenditures
for Federal grantees, including SAMHSA grantees, are provided in the
following documents:
Institutions of Higher Education: OMB Circular
A-21
State and Local Governments: OMB Circular A-87
Nonprofit Organizations: OMB Circular A-122
Appendix E Hospitals: 45 CFR Part 74
In addition, SAMHSA Services Grant recipients must comply with the
following funding restrictions:
No more than 15% of the total grant award may be
used for developing the infrastructure necessary for expansion of
services.
No more than 20% of the total grant award may be
used for evaluation and data collection, including GPRA.
Service Grant funds must be used for purposes supported by the
program and may not be used to:
Pay for any lease beyond the project period.
Provide services to incarcerated populations
(defined as those persons in jail, prison, detention facilities, or in
custody where they are not free to move about in the community).
Pay for the purchase or construction of any
building or structure to house any part of the program. (Applicants may
request up to $75,000 for renovations and alterations of existing
facilities, if necessary and appropriate to the project.)
Provide residential or outpatient treatment
services when the facility has not yet been acquired, sited, approved,
and met all requirements for human habitation and services provision.
(Expansion or enhancement of existing residential services is
permissible.)
Pay for housing other than residential mental
health and/or substance abuse treatment.
Provide inpatient treatment or hospital-based
detoxification services. Residential services are not considered to be
inpatient or hospital-based services.
Pay for incentives to induce individuals to
enter treatment. However, a grantee or treatment provider may provide
up to $20 or equivalent (coupons, bus tokens, gifts, child care, and
vouchers) to individuals as incentives to participate in required data
collection follow-up. This amount may be paid for participation in each
required interview.
Implement syringe exchange programs, such as the
purchase and distribution of syringes and/or needles.
Pay for pharmacologies for HIV antiretroviral
therapy, sexually transmitted diseases (STD)/sexually transmitted
illnesses (STI), TB, and hepatitis B and C, or for psychotropic drugs.
6. Other Submission Requirements
6.1 Where To Send Applications
Send applications to the following address: Substance Abuse and
Mental Health Services Administration, Office of Program Services,
Review Branch, 5600 Fishers Lane, Room 17-89, Rockville, Maryland
20857.
Be sure to include the funding announcement number from the NOFA in
item number 10 on the face page of the application. If you require a
phone number for delivery, you may use (301) 443-4266.
6.2 How To Send Applications
Mail an original application and 2 copies (including appendices) to
the mailing address provided above. The original and copies must not be
bound. Do not use staples, paper clips, or fasteners. Nothing should be
attached, stapled, folded, or pasted.
You must use a recognized commercial or governmental carrier. Hand
carried applications will not be accepted. Faxed or e-mailed
applications will not be accepted.
V. Application Review Information
1. Evaluation Criteria
Your application will be reviewed and scored according to the
quality of your response to the requirements listed below for
developing the Project Narrative (Sections A-E). These sections
describe what you intend to do with your project.
In developing the Project Narrative section of
your application, use these
[[Page 10823]]
instructions, which have been tailored to this program. These are to be
used instead of the ``Program Narrative'' instructions found in the PHS
5161-1.
The Project Narrative (Sections A-E) together
may be no longer than 30 pages.
You must use the five sections/headings listed
below in developing your Project Narrative. Be sure to place the
required information in the correct section, or it will not be
considered. Your application will be scored according to how well you
address the requirements for each section of the Project Narrative.
Reviewers will be looking for evidence of
cultural competence in each section of the Project Narrative. Points
will be assigned based on how well you address the cultural competence
aspects of the evaluation criteria. SAMHSA's guidelines for cultural
competence can be found on the SAMHSA Web site at http://www.samhsa.gov.
Click on ``Grant Opportunities.''
The Supporting Documentation you provide in
Sections F-I and Appendices 1-5 will be considered by reviewers in
assessing your response, along with the material in the Project
Narrative.
The number of points after each heading is the
maximum number of points a review committee may assign to that section
of your Project Narrative. Bullet statements in each section do not
have points assigned to them. They are provided to invite the attention
of applicants and reviewers to important areas within the criterion.
Section A: Statement of Need (10 points)
Describe the target population (see Glossary) as
well as the geographic area to be served, and justify the selection of
both. Include the numbers to be served and demographic information.
Discuss the target population's language, beliefs, norms and values, as
well as socioeconomic factors that must be considered in delivering
programs to this population.
Describe the nature of the problem and extent of
the need for the target population based on data. The statement of need
should include a clearly established baseline for the project.
Documentation of need may come from a variety of qualitative and
quantitative sources. The quantitative data could come from local data
or trend analyses, State data (e.g., from State Needs Assessments),
and/or national data (e.g., from SAMHSA's National Household Survey on
Drug Abuse and Health or from National Center for Health Statistics/
Centers for Disease Control reports). For data sources that are not
well known, provide sufficient information on how the data were
collected so reviewers can assess the reliability and validity of the
data.