[Federal Register: March 25, 2004 (Volume 69, Number 58)]
[Notices]
[Page 15348-15356]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr25mr04-79]
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DEPARTMENT OF HEALTH AND HUMAN SERVICES
Substance Abuse and Mental Health Services Administration
Notice of Request for Applications for SAMHSA Dissertation
Grants: Support for Analyses in Substance Abuse (PA 04-001)
AGENCY: Substance Abuse and Mental Health Services Administration, HHS.
ACTION: Notice of request for applications for SAMHSA Dissertation
Grants: Support for Analyses in Substance Abuse (PA 04-001).
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Authority: Section 501(d)(8) of the Public Health Service Act.
SUMMARY: The Substance Abuse and Mental Health Services Administration
(SAMHSA), Office of Applied Studies, is accepting applications for
Fiscal Year 2004 grants to support dissertation research on involving
data analysis on substance abuse services issues. The purpose of the
program is to expand the number of researchers who conduct high-quality
substance abuse services research, the study of how various factors
(social, financial, organizational, and personal) affect the need for
and access to substance abuse treatment, the quality and cost of
substance abuse treatment, and, ultimately, health and well being.
Students registered and in good standing at an accredited academic
doctoral degree program (e.g., Ph.D., Sc.D., or Dr.P.H.), which
requires a dissertation based on original research, may apply. Students
in such fields as sociology, psychology, social work, biostatistics,
epidemiology, economics, policy, management, medicine, nursing, public
health or health services research are especially encouraged to apply.
The student must apply through a public or private nonprofit U.S.
institution that will administer the grant on his or her behalf.
DATES: Applications are due on June 1, 2004.
FOR FURTHER INFORMATION CONTACT: For questions on program issues,
contact: Sara Q. Duffy, Ph.D., Senior Economist, SAMHSA/Office of
Applied Studies, 5600 Fishers Lane, Room 16-105, Rockville, MD 20857,
Phone: (301) 443-8565; e-mail: sduffy@samhsa.gov.
For questions on grants management issues, contact: Gwendolyn
Simpson, SAMHSA/Division of Grants Management, 5600 Fishers Lane, Room
13-103, Rockville, MD 20857, Phone: (301) 443-4456; e-mail:
gsimpson@samhsa.gov.
SUPPLEMENTARY INFORMATION:
Department of Health and Human Services
Substance Abuse and Mental Health Services Administration
SAMHSA Dissertation Grants: Support for Analyses in Substance Abuse (PA
04-001)
(Initial Announcement)
Catalogue of Federal Domestic Assistance (CFDA) No.: 93.243.
Key Dates
Application Deadline--Applications for FY2004 grants are due by
June 1, 2004. The annual application receipt date for subsequent fiscal
years will be May 1, or, if May 1 is a Saturday or Sunday, the
following Monday.
Intergovernmental Review (E.O. 12372)--Letters from State Single
Point of Contact (SPOC) 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
[[Page 15349]]
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 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: Performance Measures for the SAMHSA Dissertation Grants
Program
Appendix B: Checklist for Application Formatting Requirements
Appendix C: Glossary
I. Funding Opportunity Description
1. Introduction
The Substance Abuse and Mental Health Services Administration
(SAMHSA), Office of Applied Studies, is accepting applications for
Fiscal Year 2004 grants to support dissertation research on involving
data analysis on substance abuse services issues. Students registered
and in good standing at an accredited academic doctoral degree program
(e.g., Ph.D., Sc.D., or Dr.P.H.), which requires a dissertation based
on original research, may apply. Students in such fields as sociology,
psychology, social work, biostatistics, epidemiology, economics,
policy, management, medicine, nursing, public health or health services
research are especially encouraged to apply. The student must apply
through a public or private nonprofit U.S. institution that will
administer the grant on his or her behalf.
SAMHSA Dissertation Grants are authorized under section 501(d)(8)
of the Public Health Service Act.
2. Expectations
The purpose of the program is to expand the number of researchers
who conduct high-quality substance abuse services research, the study
of how various factors (social, financial, organizational, and
personal) affect the need for and access to substance abuse treatment,
the quality and cost of substance abuse treatment, and, ultimately,
health and well being. The research domains are individuals, families,
organizations, institutions, communities and populations. Funded
projects may address topics including the organization, financing and
delivery of substance abuse prevention and treatment services, and the
need for such services, as well as methodological advances in health
services research methods applicable to the study of substance abuse
issues. In addition, attention to substance abuse issues in racial/
ethnic minority populations, women, children and families, older
adults, low income groups, the homeless, those in rural settings, and
persons with mental illness is encouraged. Topics of special interest
include the factors affecting the supply of services, the cost
effectiveness of prevention and treatment services, barriers to access
to care, and alternative sources of treatment such as the criminal
justice system and faith-based organizations. Given the program's
focus, submission of proposals involving secondary analyses of existing
data sources is encouraged, while submission of clinical research
proposals is discouraged. In addition to developing a cadre of
researchers capable of producing high-quality substance abuse services
research, one of the goals of the program is to promote secondary
analyses of data collected by SAMHSA, although secondary analyses of
other relevant data sets is acceptable.
2.1 Allowable Activities
The Principal Investigator's salary.
Direct project expenses such as travel, data
purchasing, data processing, and supplies.
Fees for maintaining matriculation or other fees
imposed on those preparing dissertations, providing the fees are
required of all students of similar standing, regardless of the source
of funding.
Consultant fees when use of consultants conforms
to university policy.
2.2 Data and Performance Measurement
The Government Performance and Results Act of 1993 (P.L. 103-62, or
``GPRA'') requires all Federal agencies to:
Develop strategic plans that specify what they
will accomplish over a 3 to 5-year period;
set performance targets annually related to
their strategic plan; and
report annually on the degree to which the
previous year's targets were met.
The law further requires agencies to link their performance to
their budgets. Agencies are expected to evaluate their programs
regularly and to use results of these evaluations to explain their
successes and failures.
To meet these requirements, SAMHSA must collect performance data
(i.e., ``GPRA data'') from grantees. You are required to report these
GPRA data to SAMHSA on a timely basis so that performance results are
available to support budgetary decisions.
Appendix A provides the performance indicators for SAMHSA's
Dissertation Grant Program. You can obtain more detailed information on
these measures by contacting the Government Project Officer at
sduffy@samhsa.gov.
The information used to compile GPRA measures for the Dissertation
Grant Program comes from the annual reports and completed
dissertations, which are required to be reported under the terms and
conditions of the grant award. Therefore, no additional data reporting
by grantees will be required.
II. Award Information
1. Award Amount
It is expected that up to $150,000 will be available to fund up to
five awards in FY2004. Awards are expected to be $20,000 to $30,000 per
year in total costs (direct and indirect). Applicants may request a
project period of up to 2 years.
Proposed budgets cannot exceed $30,000 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
Awards will be made as grants.
III. Eligibility Information
1. Eligible Applicants
Eligible applicants are domestic public or private, nonprofit
entities. The statutory authority for this program precludes grants to
for-profit organizations and any non-domestic entity.
Students registered and in good standing at an accredited academic
doctoral degree program (e.g., Ph.D., Sc.D., or Dr.P.H.), which
requires a dissertation based on original research, may apply. The
student must apply through an eligible institution that will administer
the grant on his or her behalf. The dissertation must examine in a
quantitative way a problem or issue in the area of substance abuse.
Students in such fields as sociology, psychology, social work,
biostatistics, epidemiology, economics, policy, management, medicine,
nursing, public health or
[[Page 15350]]
health services research are especially encouraged to apply.
The student is the Principal Investigator and the institution is
the applicant/grantee. In accordance with the Appropriations Act Ban,
the doctoral student must be a citizen or a non-citizen national of the
United States or an individual who has been lawfully admitted for
permanent residence (i.e., in possession of an Alien Registration
Receipt Card) at the time of application. To be eligible, given the
goals of the program, the dissertation must be a major part of the
training program and be in an area of interest to SAMHSA with
demonstrated relevance to the issues pertaining to substance abuse
services in the United States. Requirements for the doctoral degree,
other than the dissertation and any other contemporaneous requirements,
must be completed before the funds provided can be spent. Confirmation
that all requirements other than the dissertation have been completed
and notification that the dissertation proposal has been accepted must
be made in writing by the chairperson of the committee and submitted
before initiation of the grant. SAMHSA will make the final
determination of eligibility for support. Restrictions on eligibility
are based on the program's goals and the desire to assure a successful
outcome for the student.
2. Cost-Sharing
Cost-sharing is not required in this program, and applications will
not be screened out on the basis of cost-sharing.
3. Other
Applications must comply with the following requirements or they
will be screened out and not reviewed:
Documentation of nonprofit status: If an
applicant has evidence of current nonprofit status on file with an
agency of PHS, it will not be necessary to file similar papers again.
Simply specify the place (Federal Agency) and date of filing.
Otherwise, private, nonprofit organizations must include evidence of
nonprofit status with the application. Any of the following is
acceptable evidence.
--A reference to the organization's listing in the Internal Revenue
Service's (IRS) most recent list of tax-exempt organizations described
in section 501(c)(3) of the IRS Code; or
--A copy of a currently valid Internal Revenue Service Tax exemption
certificate; or
--A statement from a State taxing body, State Attorney General, or
other appropriate State official certifying that the applicant
organization has a nonprofit status and that none of the net earnings
accrue to any private shareholders or individuals; or
--A certified copy of the organization's certificate of incorporation
or similar document if it clearly establishes the nonprofit status of
the organization; or
--Any of the above proof for a State or national parent organization,
and a statement signed by the parent organization that the applicant
organization is a local nonprofit affiliate.
Use of the PHS 398 [revised May 2001--updated 9/10/
2003].
Application submission requirements in Section IV-3
of this document.
Formatting requirements provided in Section IV-2.3
of this document.
IV. Application and Submission Information
(To ensure that you have met all submission requirements, a
checklist is provided for your use in Appendix B of this document.)
1. Address to Request Application Package
You may request a complete application kit by:
Calling or emailing Jane Feldmann, (301) 443-
5628, jfeldman@samhsa.gov; or
This Program Announcement, PHS 398 Instructions
and Forms, List of Offices Negotiating Indirect Cost Rates, State
Single Point of Contact (SPOC) List, and Survey on Ensuring Equal
Opportunity for Applicants are also available on http://www.SAMHSA.gov.
Click on ``Grant Opportunities''.
Additional materials available on this Web site include:
Standard terms and conditions for SAMHSA grants;
and
Guidelines and policies that relate to SAMHSA
grants (e.g., guidelines on cultural competence, consumer and family
participation, and evaluation).
2. Content and Form of Application Submission
2.1 Required Documents
The application kit for the Dissertation Grant program contains the
following documents:
PHS 398 (REVISED May 2001)--Updated: 09/09/2003.
Required sections include the Instructions; Face Page; Description,
Performance Sites and Key Personnel; Research Grant Table of Contents;
Modular Budget Form; Biographical Sketch; Resources; Research Plan;
Checklist Form Page; and Personal Data Form Page. The Appendix is
optional, unless you plan to collect data (please see section IV-2.4,
below). Applications that are not submitted on the specified version of
the PHS 398 will be screened out and will not be reviewed.
Program Announcement (PA)--Provides specific
information about the availability of funds along with instructions for
completing the grant application. This document is the PA. The PA will
be available on the SAMHSA Web site (http://www.samhsa.gov) and on the Federal grants Web site (http://www.grants.gov). A Notice of Funding
Availability summarizing the PA will be published in the Federal
Register. Note: In case of conflict between the PHS 398 Instructions
and the instructions in this PA, please follow the instructions in this
PA. Please contact the Government Project Officer if you have any
questions.
You must use all of the above documents in completing your
application.
2.2 Order of Sections
Applications must be complete and contain all information needed
for review. In order for your application to be complete, it must
include the following sections in the order listed.
Face Page--Use the PHS 398 Form Page 1, Face
Page. Please see Section I.C. of the PHS 398 Instructions, for
guidance. In signing the face page of the application, you are agreeing
that the information is accurate and complete. [Note: Beginning October
1, 2003, applicants will need to provide a Dun and Bradstreet (DUNS)
number to apply for a grant from the Federal Government. SAMHSA
applicants are 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.]
Description, Performance Sites, and Key
Personnel--Your description must fit in the space provided on Form Page
2 of the PHS 398. Please see Section C of the PHS 398 Instructions for
guidance. In the first 5 lines or less of your description, write a
summary of your project that can be used, if your project is funded, in
publications, reporting to Congress, or press releases.
Research Grant Table of Contents--Using Form
Page 3, please include page
[[Page 15351]]
numbers for each required item as indicated on the PHS 398.
Modular Budget Form--Since these projects are to
be funded at less than $250,000, please use the ``Modular Budget Format
Page'' in the PHS 398 to report the budget. You do not need to submit
PHS 398 Form 4 or 5.
Biographical Sketch--Please follow the
instructions on the ``Biographical Sketch Format Page'' and section
``6. BIOGRAPHICAL SKETCH'' of the PHS 398 Instructions. This section
must contain the biographical sketch of the Principal Investigator.
Resources--Please use the ``Resources Format
Page'' and consult section ``7. RESOURCES'' of the PHS 398 Instructions
for guidance.
Research Plan--The Research Plan describes your
proposed project. It consists of Sections a through i. Please consult
``8. RESEARCH PLAN'' in the PHS 398 Instructions. Sections a-d may not
be longer than 25 pages combined. If a specific section does not apply,
please include it in the application and state that it is not
applicable. More detailed information about Sections a through i,
including the recommended number of pages for each section is available
in the PHS 398 Instructions. The required sections are:
Section a--Specific Aims.
Section b--Background and Significance.
Section c--Preliminary Studies/Progress Report.
Section d--Research Design and Methods.
Section e--Human Subjects Research. The projects
SAMHSA expects to fund under this grant program are secondary analyses
of existing data sources. As such, applicants will check ``No'' on item
4 of the Face Page, claim exemption 4 from Human Subjects Regulation
(please see page 21 of the PHS 398 Instructions), and will not have to
discuss these issues in their applications.
Instead, applicants conducting secondary analysis of these types of
data are expected to discuss in this section how they will keep secure
data that may be confidential. Pursuant to section 501(n) of the Public
Health Service Act (42 U.S.C. 290aa), information obtained in the
course of any SAMHSA-sponsored study that identifies an individual or
entity must be treated as confidential in accordance with any promises
made or implied regarding the use and purposes of the data collection.
Applicants using SAMHSA-collected data must describe in the Human
Subjects section of the application procedures for ensuring the
confidentiality of information where disclosure of individuals who
supplied the data or might be identified in the data are possible. The
description of the procedures should include a discussion of where the
data are to be stored, who will and who will not be permitted access to
them, both raw data and machine readable files, and how personal
identifiers and other identifying or identifiable data will be
safeguarded. Applicants using data collected by other organizations are
expected to describe and show how they will uphold the provisions of
the data use agreements they have with the providers of those data.
Applicants using data from organizations that do not require a data use
agreement should discuss any confidentiality concerns of the data they
are using and how they will address them.
Applicants proposing to collect data (which is not encouraged under
this grant announcement) are expected to describe how they will
implement SAMHSA's Confidentiality Requirements and Protection of Human
Subjects Regulations. Please see Section IV-2.4 of this Program
Announcement.
Section f--Vertebrate Animals. This program is
not intended to fund research using vertebrate animals. Applicants
should state ``not applicable'' in this section.
Section g--Literature Citations.
Section h--Consortium/Contractual Arrangements.
We expect that most applications will not involve consortia or
contractual arrangements. However, if your application does, please
consult page 29 of the PHS 398 Instructions.
Section i--Consultants.
Checklist Form Page--Please consult Section C.10
of the PHS 398 Instructions for guidance.
Personal Data Form Page--Self-explanatory.
Letter From Faculty Committee Or University
Official--A letter, on University letterhead, from the faculty
committee or the university official directly responsible for
supervising the dissertation research must be submitted with the grant
application. The letter must certify that:
The grant application represents the
dissertation proposal on which the proposed Principal Investigator is
working;
A collaborative process was established between
the proposed Principal Investigator and advisors in the development,
review, and editing of the research application;
The proposed Principal Investigator has
completed all requirements for the doctoral degree, except the
dissertation proposal and any other contemporaneous requirements, prior
to submission of the application;
Prior to initiation of the grant, the
dissertation committee will send a letter to OAS indicating that it has
approved the dissertation proposal and all other requirements for the
degree, except the dissertation, have been fulfilled satisfactorily.
Statement of Data Availability--If you have the
data you plan to use in your analysis in hand, a simple statement to
that effect will suffice. If you do not yet have the data in hand,
please describe how you will gain access to the data, including a
description of the approval process required by the data provider for
you to gain access to the data and use it for your intended research.
Assurances And Certifications--The signature of
the Official Signing for Applicant Organization on the Face Page of the
application verifies a number of assurances and certifications, which
are described in Section III.G of the PHS 398 Instructions. These
assurances and certifications must be verified regardless of whether
the application is exempt from Human Subjects Regulation. These
assurances and certifications include:
Human Subjects.
Research on Transplantation of Human Fetal
Tissue.
Women and Minority Inclusion in Clinical
Research Policy.
Inclusion of Children Policy.
Research Using Human Embryonic Stem Cells.
Vertebrate Animals.
Debarment and Suspension.
Drug-Free Workplace.
Lobbying.
Nondelinquency on Federal Debt.
Research Misconduct.
Compliance (Civil Rights, Handicapped
Individuals, Sex Discrimination, Age Discrimination).
Financial Conflict of Interest.
Documentation of Nonprofit Status--Please see
Section III-3 of this PA, above.
Appendix--The appendix is optional, unless you
propose to collect data. In that case you must provide copies of all
available data collection instruments, interview protocols, and consent
forms that you plan to use (please see Section IV-2.4 of this PA,
below). The appendix may be used for supplemental material such as
publications, or survey questionnaires that may support the
application. Please pay careful attention to Section C.9 of the PHS 398
Instructions. Do not use appendices to extend or replace any of the
sections of this PA (reviewers will not consider them if you do).
[[Page 15352]]
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. Where a conflict exists,
the instructions in this Program Announcement supersede those in the
PHS 398 Instructions.
Information provided must be sufficient for
review.
Text must be legible.
Type size in the Research Plan 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 Research Plan 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 Research plan cannot be exceeded.
Applications would meet this requirement by
using all margins (left, right, top, bottom) of at least \1/2\ inch
each, and adhering to the 25-page limit for the Research Plan.
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 Research Plan (excluding
margins, but including charts, tables, graphs and footnotes) cannot
exceed 75 square inches multiplied by 25. 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 Research Plan (excluding margins) is
considered part of the Research Plan, in determining compliance.
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 Face Page should be page
1, the Description, Performance Sites, and Personnel page, should be
page 2, the table of contents page should be page 3, etc. Appendices
should be labeled and placed at the end of the application, 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
If you plan to collect data as part of your research or otherwise
conduct human subjects research (neither of which are priorities under
this program), you must describe your procedures relating to
confidentiality, participant protection and the protection of human
subjects regulations in Section e of your Research Plan, using the
guidelines provided below. Problems with confidentiality, participant
protection, and protection of human subjects identified during the
review of your application may result in the delay of funding.
Confidentiality and Participant Protection:
All applicants not using existing data sources must address each of
the following elements relating to confidentiality and participant
protection. You must document how you will address these requirements
or why they do not apply.
1. Protect Clients and Staff From Potential Risks
Identify and describe any foreseeable physical,
medical, psychological, social, legal, or other risks or adverse
affects.
Discuss risks that are due either to
participation in the project itself or to the evaluation activities.
Describe the procedures you will follow to
minimize or protect participants against potential risks, including
risks to confidentiality.
Identify plans to provide help if 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 groups.
Explain the reasons for including groups of
pregnant women, children, people with mental disabilities, people in
institutions, prisoners, or others who are likely to be 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 it is required,
for example, court orders requiring people to participate in a program.
If you plan to pay participants, state how
participants will be awarded money or gifts (Note: Dissertation Grant
funds may not be used to pay participants).
State how volunteer participants will be told
that they may receive services even if they do not participate in 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 material will be monitored to ensure the safety of
participants.
Provide an appendix, entitled ``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
[[Page 15353]]
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 2.
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 get written
informed consent.
Indicate if you will get informed consent from
participants or 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 sample consent forms in an appendix
entitled, ``Sample Consent Forms.'' 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 your proposed research design, you may have to comply
with the Protection of Human Subjects Regulations (45 CFR 46).
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 that 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
Applications for FY 2004 funding are due by close of business on
June 1, 2004. Your application must be received by the application
deadline. Applications sent through postal mail and 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.
The Annual application receipt date for subsequent fiscal years
will be May 1, or, if May 1 is a Saturday or Sunday, the following
Monday.
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 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. PA 04-001.
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 Dissertation Grant recipients must comply with
the following funding restrictions. Grant funds may not be used to:
Provide salary support for the dissertation
committee.
Buy, build, alter or renovate a facility to
house any part of the project.
Provide services to incarcerated populations
(defined as those persons in jail, prison, detention facilities or in
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custody where they are not free to move about in the community.)
Also, the indirect cost rate for this project will be either 8% or
the applicant organization's cost rate, whichever is lower.
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 program announcement title, ``SAMHSA
Dissertation Grants: Support for Analyses in Substance Abuse'', and
number, ``PA 04-001,'' in item number 2 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
A review committee will assign a single score
for each scored application, based on the criteria listed below.
In evaluating these criteria, strong emphasis is
placed on the reviewers' assessment of the quality and relevance of the
written proposal, and on the degree of guidance and support to be
provided to the student by the dissertation committee.
In determining the strengths and weaknesses of
the application, reviewers will evaluate the merits of the following 8
components: Biographical Sketch, Resources, Research Plan, Checklist
Form Page, Personal Data Form Page, Letter From Faculty Committee or
University Official, Statement of Data Availability, Assurances and
Certifications.
Reviewers will use the following criteria in assessing the
applications:
1. Significance and originality from a scientific or technical
viewpoint: Does this study address an important problem? If the aims of
the application are achieved, how will the findings be of benefit? What
will be the effects of these studies on the concepts or method that
drive the substance abuse services research field?
2. Topic: Does the proposed project analyze data on the incidence
and prevalence of substance abuse, the distribution and characteristics
of substance abuse treatment facilities and services, the costs and
outcomes of substance abuse treatment programs, or other issues of
interest to SAMHSA?
3. Approach: Are the conceptual framework, design, methods, and
analyses adequately developed, well-integrated, and appropriate to the
aims of the project? Are adequate data available for the project or is
there an adequate proposed plan to collect data required for the
project? Does the applicant recognize potential problem areas and
explain how they might be resolved?
4. Environment: Does the scientific environment in which the work
will be done contribute to the probability of success? Is there
evidence of institutional support? Is there sufficient evidence that
the confidentiality of any data used in the study will be adequately
protected?
Note:
Although the budget for the proposed project is not a review
criterion, the Review Group will be asked to comment on the
appropriateness of the budget after the merits of the application
have been considered.
2. Review and Selection Process
A committee will review the applications based on the above
criteria and make recommendations to SAMHSA.
Decisions to fund a grant are based on:
The strengths and weaknesses of the application
as identified by the Review Committee.
The overall merit of the application. Some
preference will be given to proposals that make use of SAMHSA-collected
databases, such as the National Survey on Drug Use and Health (NSDUH,
formerly known as the National Household Survey on Drug Abuse), the
Alcohol and Drug Services Study (ADSS), and the Drug and Alcohol
Services Information System (DASIS).
Availability of funds.
VI. Award Administration Information
1. Award Notices
After your application has been reviewed, you will receive a letter
from SAMHSA through postal mail that contains your score and a summary
statement, prepared by SAMHSA staff, of the Review Committee's
comments.
If you are approved for funding, you will receive an additional
notice, the Notice of Grant Award, signed by SAMHSA's Grants Management
Officer. The Notice of Grant Award is the sole obligating document that
allows the grantee to receive Federal funding for work on the grant
project. It is sent by postal mail and is addressed to the contact
person listed on the face page of the application.
If you are not funded, you may re-apply at subsequent application
deadlines.
2. Administrative and National Policy Requirements
You must comply with all terms and conditions of
the grant award. SAMHSA's standard terms and conditions are available
on the SAMHSA Web site at http://www.samhsa.gov/grants/2004/useful_info.asp
.
In an effort to improve access to funding
opportunities for applicants, SAMHSA is participating in the U.S.
Department of Health and Human Services ``Survey on Ensuring Equal
Opportunity for Applicants.'' This survey is included in the
application kit for SAMHSA grants. Applicants are encouraged to
complete the survey and return it, using the instructions provided on
the survey form.
3. Reporting Requirements
3.1 Progress and Financial Reports
Grantees are required to submit an annual
progress report, as part of the continuation process, and two copies of
the completed dissertation in a form acceptable and approved by the
academic institution. All submitted documents must be written in
English.
Grantees must provide annual and final financial
status reports. These reports may be included as separate sections of
annual and final progress reports or can be separate documents.
SAMHSA staff will use the information contained
in the reports to determine the grantee's progress toward meeting its
goals.
3.2 Government Performance and Results Act
The Government Performance and Results Act (GPRA) mandates
accountability and performance-based management by Federal agencies.
The performance requirements for SAMHSA's Dissertation Grants are
described in Section I-2.2 under ``Data and Performance Measurement''
and listed in Appendix A of this PA.
3.3 Publications
If you are funded under this grant program, you are required to
notify the Government Project Officer (GPO) and
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SAMHSA's Publications Clearance Officer (301-443-8596) of any materials
based on the SAMHSA-funded project that are accepted for publication.
In addition, SAMHSA requests that grantees:
Provide the GPO and SAMHSA Publications
Clearance Officer with advance copies of publications.
Include acknowledgment of the SAMHSA grant
program as the source of funding for the project.
Include a disclaimer stating that the views and
opinions contained in the publication do not necessarily reflect those
of SAMHSA or the U.S. Department of Health and Human Services, and
should not be construed as such.
SAMHSA reserves the right to issue a press release about any
publication deemed by SAMHSA to contain information of program or
policy significance to the substance abuse treatment/substance abuse
prevention/mental health services community.
VII. Agency Contacts
For questions on program issues, contact: Sarah Q. Duffy, Ph.D.,
Senior Economist, Government Project Officer, SAMHSA Dissertation
Grants, Office of Applied Studies, Substance Abuse and Mental Health
Services Administration, 5600 Fishers Lane Rm. 16-105, Rockville, MD
20857, (301) 443-8565.
E-mail: sduffy@samhsa.gov.
For questions on grants management issues, contact: Gwendolyn
Simpson, SAMHSA/Division of Grants Management, 5600 Fishers Lane, Room
13-103, Rockville, MD 20857, 301-443-4456, E-mail: gsimpson@samhsa.gov.
Appendix A--Performance Indicators for SAMHSA Dissertation Grants
SAMHSA Dissertation Grants: Support for Analyses in Substance Abuse
GPRA Performance Measures and Targets
Performance Goals and Measures
The goal of this program is to encourage progress on and the
completion of substance abuse services research dissertations, and,
by doing so, increase the number of knowledge products available.
The outcome is the number of documents, either annual progress
reports or completed dissertations. Grantees are required to submit
these documents under the terms and conditions of award.
SAMHSA's measures will be based on the cumulative number of
documents received. We expect to receive at least 5 documents each
year, pending availability of funding. This will vary over the
years, depending on the number of new and continuation grants we
fund. Our target will be 80% of the minimum number expected each
year, plus 80% of the cumulative expected number from previous
years. This leads to the following targets:
2004: 4.
2005: 8.
2006: 12.
2007: 16, etc.
In addition to this information, the performance measurement
system will contain the following information, all either available
in the application or required under the terms of the award:
(1). Grantee.
(2). Principal Investigator.
(3). Application Abstract.
(4). Certificate of Institutional Review Board (IRB) approval,
if applicable.
Appendix B--Checklist for Formatting Requirements and Screenout
Criteria for SAMHSA Grant Applications
SAMHSA's goal is to review all applications submitted for grant
funding. However, this goal must be balanced against SAMHSA's
obligation to ensure equitable treatment of applications. For this
reason, SAMHSA has established certain formatting requirements for
its applications. If you do not adhere to these requirements, your
application will be screened out and returned to you without review.
In addition to these formatting requirements, programmatic
requirements (e.g., relating to eligibility) may be stated in the
specific funding announcement. Please check the entire funding
announcement before preparing your application.
Use the PHS 398 application.
Applications 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. Applications not received by the
application deadline or not postmarked at least 1 week prior to the
application deadline will not be reviewed.
Information provided must be sufficient for
review.
Text must be legible.
Type size in the Research Plan 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 Research Plan cannot exceed 6
lines per vertical inch.