[Federal Register Volume 68, Number 225 (Friday, November 21, 2003)]
[Notices]
[Pages 65783-65793]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 03-28875]


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DEPARTMENT OF HEALTH AND HUMAN SERVICES

Substance Abuse and Mental Health Services Administration


Notice of Final Standard Infrastructure Grants Announcement

AGENCY: Substance Abuse and Mental Health Services Administration, HHS.

ACTION: Notice of final Infrastructure Gants announcement.

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SUMMARY: On August 21, 2003, the Substance Abuse and Mental Health 
Services Administration (SAMHSA) announced plans to change its approach 
to announcing and soliciting applications for its discretionary grant 
programs in Fiscal Year (FY) 2004. These changes involved the 
publication of four standard grant announcements that would provide the 
basic program design and application instructions for four types of 
grants--Services Grants, Infrastructure Grants, Best Practices Planning 
and Implementation Grants, and Service-to-Science Grants. The four 
announcements were made available for public review and comment for 60 
days. The comments received and changes made to the standard grant 
announcements are described in a separate Federal Register notice. This 
notice provides the final text for SAMHSA's standard Infrastructure 
Grants announcement.

    Authority: Sections 509, 516, and 520A of the Public Health 
Service Act.

DATES: Use of the standard Infrastructure Grants announcement will be 
effective November 21, 2003. The standard Infrastructure 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 Infrastructure 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: [email protected].

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: [email protected]. 
Phone: (301) 443-1910.

SUPPLEMENTARY INFORMATION: Starting in FY 2004, SAMHSA is changing its 
approach to announcing and soliciting applications for its 
discretionary grants. SAMHSA will publish four standard grant 
announcements that will describe the general program design and provide 
application instructions for four types of grants--Services Grants, 
Infrastructure Grants, Best Practices Planning and Implementation 
Grants, and Service-to-Science Grants. The text for the final standard 
Infrastructure Grants announcement is provided below.
    The standard Infrastructure Grants announcement will be posted on 
SAMHSA's web page (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.).

Infrastructure Grants--INF 04 (Initial Announcement)

    Catalogue of Federal Domestic Assistance (CFDA) No.: 93.243 
(unless otherwise specified in a NOFA in the Federal Register and on 
www.grants.gov).


    Authority: Sections 509, 516 and/or 520A of the Public Health 
Service Act, as amended, and subject to the availability of funds 
(unless otherwise specified in a NOFA in the Federal Register and on 
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.      Letters from State Single Point of
 12372).                             Contact (SPOC) are due no later
                                     than 60 days after application
                                     deadline.
Public Health System Impact         Applicants must send the PHSIS to
 Statement (PHSIS)/SSA               appropriate State and local health
 Coordination.                       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
    A. Introduction
    B. Expectations
II. Award Information
    A. Award Amount
    B. Funding Mechanism
    III. Eligibility Information
    A. Eligible Applicants
    B. Cost-Sharing
    C. Other

[[Page 65784]]

IV. Application and Submission Information
    A. Address to Request Application Package
    B. Content and Form of Application Submission
    C. Submission Dates and Times
    D. Intergovernmental Review (E.O. 12372) Requirements
    E. Funding Limitations/Restrictions
    F. Other Submission Requirements
V. Application Review Information
    A. Evaluation Criteria
    B. Review and Selection Process
    C. Award Criteria
VI. Award Administration Information
    A. Award Notices
    B. Administrative and National Policy Requirements
    C. Reporting Requirements
VII. Agency Contacts
VIII. Other Information
    A. SAMHSA Confidentiality and Participant Protection 
Requirements and Protection of Human Subjects Regulations
    B. Intergovernmental Review (E.O. 12372) Instructions
    C. Public Health System Impact Statement
Appendix A: Checklist for Application Formatting Requirements
Appendix B: Glossary
Appendix C: Logic Model Resources

I. Funding Opportunity Description

A. Introduction

    The Substance Abuse and Mental Health Services Administration 
(SAMHSA) announces its intent to solicit applications for 
Infrastructure Grants. These grants will increase the capacity of 
mental health and/or substance abuse service systems to support 
effective programs and services. Applicants who seek Federal support to 
develop or enhance their service system infrastructure in order to 
support effective substance abuse and/or mental health services should 
apply for awards under this announcement.
    SAMHSA also funds grants under three other standard grant 
announcements:
    [sbull] Services Grants provide funding to implement substance 
abuse and mental health services.
    [sbull] 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.
    [sbull] 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 Infrastructure Grants. The 
availability of funds for specific Infrastructure Grants will be 
announced in supplementary Notices of Funding Availability (NOFAs) in 
the Federal Register and at www.grants.gov--the Federal grant 
announcement web page.
    Typically, funding for Infrastructure Grants will be targeted to 
specific populations and/or issue areas, which will be specified in the 
NOFAs. The NOFAs will also:
    [sbull] Specify total funding available for the first year of the 
grants and the expected size and number of awards;
    [sbull] Provide the application deadline;
    [sbull] Note any specific program requirements for each funding 
opportunity; and
    [sbull] 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.

B. Expectations

    SAMHSA's Infrastructure Grants support an array of activities to 
help the grantee build a solid foundation for delivering and sustaining 
effective substance abuse prevention and/or treatment and/or mental 
health services.
    SAMHSA recognizes that each applicant will start from a unique 
point in developing infrastructure and will serve populations/
communities with specific needs. Awardees may pursue diverse strategies 
and methods to achieve their infrastructure development and capacity 
expansion goals. Successful applicants will provide a coherent and 
detailed conceptual ``roadmap'' of the process by which they have 
assessed or intend to assess service system needs and plan/implement 
infrastructure development strategies that meet those needs. The plan 
put forward in the grant application must show the linkages among 
needs, the proposed infrastructure development strategy, and increased 
system capacity that will enhance and sustain effective programs and 
services.
1. Allowable Activities
    SAMHSA's Infrastructure Grants will support the following types of 
activities:
    Infrastructure Development. Infrastructure Grant funds must be used 
primarily to support infrastructure development, including the 
following types of activities:
    [sbull] Needs assessment.
    [sbull] Strategic planning.
    [sbull] Financing/coordination of funding streams.
    [sbull] Organizational/structural change (e.g., to create locus of 
responsibility for a specific issue/population, or to increase access 
to or efficiency of services).
    [sbull] Development of interagency coordination mechanisms.
    [sbull] Provider/network development.
    [sbull] Policy development to support needed service system 
improvements (e.g., rate-setting activities, establishment of standards 
of care, development/revision of credentialing, licensure, or 
accreditation requirements).
    [sbull] Quality improvement efforts.
    [sbull] Performance measurement development.
    [sbull] Workforce development (e.g., training, support for 
licensure, credentialing, or accreditation).
    [sbull] Data infrastructure/MIS development.
    Implementation Pilots (maximum 15 percent of total grant award). 
Depending on the scope of the project (see description of award 
categories below), up to 15 percent of the total grant award may be 
used for ``implementation pilots'' to test the effectiveness of the 
infrastructure changes on services delivery. Funds may not be used to 
provide direct services except in the context of an implementation 
pilot.
2. 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 website 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

[[Page 65785]]

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.
3. 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.
4. Evaluation
    Grantees must evaluate their projects, and applicants are required 
to describe their evaluation plans in their applications. 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:
    [sbull] How closely did implementation match the plan?
    [sbull] What types of deviation from the plan occurred?
    [sbull] What led to the deviations?
    [sbull] What impact did the deviations have on the intervention and 
evaluation?
    [sbull] 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:
    [sbull] What was the effect of infrastructure development on 
service capacity and other system outcomes?
    [sbull] What program/contextual factors were associated with 
outcomes?
    [sbull] What individual factors were associated with outcomes?
    [sbull] How durable were the effects?
    If the project includes an implementation pilot involving services 
delivery, the evaluation should include client and system outcomes.
    No more than 20% of the total grant award may be used for 
evaluation and data collection. The evaluation and data collection may 
be considered ``Infrastructure'' and/or ``Implementation Pilots'' 
expenditures, depending on their purpose.

II. Award Information

A. Award Amount

    The NOFA will specify the expected award amount for each funding 
opportunity. Regardless of the amount specified in the NOFA, the actual 
award amount will depend on the availability of funds.
    Two types of Infrastructure Grants will be made:
    Category 1--Small Infrastructure Grants. The Category 1 grants will 
be limited in scope as specified in the NOFA. For example, allowable 
activities might be limited to workforce development, data 
infrastructure, or strategic planning. Implementation pilots are not 
allowed in Category 1 awards. Category 1 awards are expected to be for 
a period of 1-3 years in amounts ranging from $250,000-$500,000 per 
year.
    Category 2--Comprehensive Infrastructure Grants. The scope of the 
Category 2 grants will be much larger. While applicants are not 
required to include all of the allowable activities in their proposed 
projects, the proposed projects must encompass multiple domains (e.g., 
needs assessment, strategic and financial planning, organizational/
structural change, and network development). Category 2 awards may use 
a maximum of 15 percent of the total grant award for implementation 
pilots. Category 2 awards are expected to be for a period of 3-5 years 
in amounts ranging from $750,000-$3 million per year.
    Applications with proposed budgets that exceed the allowable amount 
as specified in the NOFA in any year of the proposed project will be 
screened out and will not be reviewed. 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.

B. Funding Mechanism

    The NOFA will indicate whether awards for each funding opportunity 
will be made as grants or cooperative 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

A. 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 precludes grants to for-profit 
organizations. The NOFA will indicate any limitations on eligibility.

B. 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 (see Glossary) contributions 
in your proposal as evidence of commitment to the proposed project.

C. Other

    SAMHSA applicants must comply with certain program requirements, 
including:
    [sbull] Budgetary limitations as specified in Sections I, II, and 
IV-E of this document; and
    [sbull] Documentation of nonprofit status as required in the PHS 
5161-1.
    You also must comply with any additional program requirements 
specified in the NOFA, such as the required signature of certain 
officials on the face page of the application and/or required memoranda 
of understanding with certain signatories.
    Applications that do not comply with the eligibility and specific 
program requirements for the funding opportunity for which the 
application is submitted will be screened out and will not be reviewed.

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.)

[[Page 65786]]

A. Address To Request Application Package

    You may request a complete application kit by calling one of 
SAMHSA's national clearinghouses:
    [sbull] For substance abuse prevention or treatment grants, call 
the National Clearinghouse for Alcohol and Drug Information (NCADI) at 
1-800-729-6686.
    [sbull] 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 www.samhsa.gov. Click on ``grant opportunities.''
    Additional materials available on this Web site include:
    [sbull] A technical assistance manual for potential applicants;
    [sbull] Standard terms and conditions for SAMHSA grants;
    [sbull] Guidelines and policies that relate to SAMHSA grants (e.g., 
guidelines on cultural competence, consumer and family participation, 
and evaluation); and
    [sbull] Enhanced instructions for completing the PHS 5161-1 
application.

B. Content and Form of Application Submission

1. Required Documents
    SAMHSA application kits include the following documents:
    [sbull] PHS 5161-1 (revised July 2000)--Includes the face page, 
budget forms, assurances, certification, and checklist. You must 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.
    [sbull] Program Announcement (PA)--Includes instructions for the 
grant application. This document is the PA.
    [sbull] 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 
(www.grants.gov).
    You must use all of the above documents in completing your 
application.
2. Required Application Components
    To ensure equitable treatment of all applications, SAMHSA will 
accept only complete applications for review. 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). Applications that do not contain the required components 
will be screened out and will not be reviewed.
    [sbull] 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 
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.]
    [sbull] 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.
    [sbull] Table of Contents--Include page numbers for each of the 
major sections of your application and for each appendix.
    [sbull] Budget Form--Use SF 424A, which is part of the 5161-1. Fill 
out Sections B, C, and E of the SF 424A.
    [sbull] Project Narrative and Supporting Documentation--The Project 
Narrative describes your project. It consists of Sections A through D. 
These sections in total may not be longer than 25 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 E through H. There are no page limits for these 
sections, except for Section G, Biographical Sketches/Job Descriptions.
    [sbull] Section E--Literature Citations. This section must contain 
complete citations, including titles and all authors, for any 
literature you cite in your application.
    [sbull] Section F--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 20% of the total grant award 
will be used for data collection and evaluation. If you are proposing a 
services implementation pilot (allowed only for Category 2 applicants), 
show that no more than 15% of the total grant award will be used for 
the pilot.
    [sbull] Section G--Biographical Sketches and Job Descriptions.
    [sbull] 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.
    [sbull] Include job descriptions for key personnel. Job 
descriptions should be no longer than 1 page each.
    [sbull] Sample sketches and job descriptions are listed on page 22, 
Item 6 in the Program Narrative section of the PHS 5161-1.
    [sbull] Section H--Confidentiality and SAMHSA Participant 
Protection/Human Subjects. Section VIII-A 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.
    [sbull] 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.
    [sbull] Appendix 1: Letters of Support.
    [sbull] Appendix 2: Data Collection Instruments/Interview 
Protocols.
    [sbull] Appendix 3: Sample Consent Forms.
    [sbull] Appendix 4: Letter to the SSA (if applicable; see Section 
VIII-C of this document).
    [sbull] 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.
    [sbull] 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

[[Page 65787]]

and provided in the application kits available at SAMHSA's 
clearinghouse (NCADI).
    [sbull] Certifications--Use the ``Certifications'' forms found in 
PHS 5161-1.
    [sbull] Disclosure of Lobbying Activities--Use Standard Form LLL 
found in the PHS 5161-1. Federal law prohibits the use of appropriated 
funds for 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.
    [sbull] 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.
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.
    [sbull] Text must be legible.
    [sbull] Paper must be white and 8.5'' by 11.0'' in size.
    [sbull] Pages must be typed single-spaced with one column per page.
    [sbull] Page margins must be at least one inch.
    [sbull] Type size in the Project Narrative cannot exceed an average 
of 15 characters per inch when measured with a ruler. (Type size in 
charts, tables, graphs, and footnotes will not be considered in 
determining compliance.)
    [sbull] Photo reduction or condensation of type cannot be closer 
than 15 characters per inch or 6 lines per inch.
    [sbull] Pages cannot have printing on both sides.
    [sbull] Page limitations specified for the Project Narrative and 
Appendices cannot be exceeded.
    [sbull] Information provided must be sufficient for review.
    To facilitate review of your application, follow these additional 
guidelines:
    [sbull] Applications should be prepared using black ink. This 
improves the quality of the copies of applications that are provided to 
reviewers.
    [sbull] Do not use heavy or light-weight paper or any material that 
cannot be photocopied using automatic photocopying machines. Odd-sized 
and oversized attachments, such as posters, will not be copied or sent 
to reviewers. Do not send videotapes, audiotapes, or CD-ROMs.
    [sbull] Pages should be numbered consecutively from beginning to 
end so that information can be located easily during review of the 
application. For example, the cover page should be labeled ``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 in the sequence.
C. 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 (www.grants.gov).
    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.
    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.

D. 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. Instructions for this review are included in Section VIII-B 
of this document. Section VIII-C provides instructions for the Public 
Health System Impact Statement (PHSIS) and submission of comments from 
the Single State Agency (SSA).

E. Funding Limitations/Restrictions

    Cost principles describing allowable and unallowable expenditures 
for Federal grantees, including SAMHSA grantees, are provided in the 
following documents:
    [sbull] Institutions of Higher Education: OMB Circular A-21.
    [sbull] State and Local Governments: OMB Circular A-87.
    [sbull] Nonprofit Organizations: OMB Circular A-122.
    [sbull] Appendix E Hospitals: 45 CFR Part 74.
    In addition, SAMHSA Infrastructure Grant recipients must comply 
with the following funding restrictions:
    [sbull] Infrastructure grant funds must be used for purposes 
supported by the program.
    [sbull] If requested project funds exceed $750,000, a maximum of 
15% of grant award funds may be used for implementation pilots. Direct 
services may be funded only in the context of an implementation pilot.
    [sbull] No more than 20% of the grant award may be used for 
evaluation and data collection expenses. These expenses may be 
considered infrastructure or implementation pilot expenses, depending 
on the nature of the evaluation and data collection.
    [sbull] Infrastructure funds may not be used to pay for the 
purchase or construction of any building or structure to house any part 
of the grant project. Applications may request up to $75,000 for 
renovations and alterations of existing facilities.

F. Other Submission Requirements

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.
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

A. 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-D). These sections 
describe what you intend to do with your project.

[[Page 65788]]

    [sbull] In developing the Project Narrative section of your 
application, use these 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.
    [sbull] You must use the four 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.
    [sbull] 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 www.samhsa.gov. Click on ``Grant 
Opportunities.''
    [sbull] The Supporting Documentation you provide in Sections E-H 
and Appendices 1-5 will be considered by reviewers in assessing your 
response, along with the material in the Project Narrative.
    [sbull] The number of points after each heading below 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 each section.
Section A: Statement of Need (10 points)
    [sbull] Describe the target population (see Glossary) and the 
proposed catchment area (see Glossary), 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.
    [sbull] Document the need for an enhanced infrastructure to 
increase the capacity to implement, sustain, and improve effective 
substance abuse prevention and/or treatment and/or mental health 
services for the proposed target population in the proposed catchment 
area. Documentation of need may 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.
    [sbull] Describe the service gaps, barriers, and other problems 
related to the need for infrastructure development. Describe the 
stakeholders (see Glossary) and resources in the target area that can 
help implement the needed infrastructure development.
    [sbull] Non-tribal applicants must show that identified needs are 
consistent with priorities of the State or county that has primary 
responsibility for the service delivery system. Include, in 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. 
Tribal applicants must provide similar documentation relating to tribal 
priorities.
    [sbull] Check the NOFA for any additional requirements.
Section B: Proposed Approach (35 points)
    [sbull] Clearly state the purpose of the proposed project, with 
goals and objectives. Describe how achievement of goals will increase 
system capacity to support effective substance abuse and/or mental 
health services.
    [sbull] Describe the proposed project. Provide evidence that the 
proposed activities meet the infrastructure needs and show how your 
proposed infrastructure development strategy will meet the goals and 
objectives.
    [sbull] Provide a logic model (see Glossary) that demonstrates the 
linkage between the identified need, the proposed approach, and 
outcomes.
    [sbull] If you plan to include an advisory body in your project, 
describe its membership, roles and functions, and frequency of 
meetings.
    [sbull] Describe any other organizations that will participate and 
their roles and responsibilities. Demonstrate their commitment to the 
project. Include letters of commitment/coordination/support from these 
community organizations in Appendix 1 of the application. Identify any 
cash or in-kind contributions that will be made to the project.
    [sbull] Describe how the proposed project will address issues of 
age, race/ethnicity, culture, language, sexual orientation, disability, 
literacy, and gender in the target population.
    [sbull] Describe how members of the target population were involved 
in the preparation of the application, and how they will be involved in 
the planning, implementation, and evaluation of the project.
    [sbull] Describe the potential barriers to successful conduct of 
the proposed project and how you will overcome them.
    [sbull] Describe how your activities will improve substance abuse 
prevention and/or treatment and/or mental health services.
    [sbull] Provide a plan to secure resources to sustain the proposed 
infrastructure enhancements when Federal funding ends.
    [sbull] Check the NOFA for any additional requirements.
Section C: Staff, Management, and Relevant Experience (25 points)
    [sbull] Provide a realistic time line for the project (chart or 
graph) showing key activities, milestones, and responsible staff. 
[Note: The time line should be part of the Project Narrative. It should 
not be placed in an appendix.]
    [sbull] Discuss the capability and experience of the applicant 
organization and other participating organizations with similar 
projects and populations, including experience in providing culturally 
appropriate/competent services.
    [sbull] Provide a list of staff who will participate in the 
project, showing the role of each and their level of effort and 
qualifications. Include the Project Director and other key personnel, 
such as the evaluator and treatment/prevention personnel.
    [sbull] Describe the racial/ethnic characteristics of key staff and 
indicate if any are members of the target population/community. If the 
target population is multi-linguistic, indicate if the staffing pattern 
includes bilingual and bicultural individuals.
    [sbull] Describe the resources available for the proposed project 
e.g., facilities, equipment). If an implementation pilot is proposed 
that includes direct services, provide evidence that services will be 
provided in a location that is adequate, accessible, compliant with the 
Americans with Disabilities Act (ADA), and amenable to the target 
population.
    [sbull] Check the NOFA for any additional requirements.
Section D: Evaluation and Data (30 points)
    [sbull] Describe the process and outcome evaluation. Include 
specific performance measures and target outcomes related to the goals 
and objectives identified for the project in Section B of your Project 
Narrative.
    [sbull] Document your ability to collect and report on the required 
performance measures as specified in the NOFA, including data required 
by SAMHSA to meet GPRA requirements. Specify and

[[Page 65789]]

justify any additional measures you plan to use for your grant project.
    [sbull] Describe plans for data collection, management, analysis, 
interpretation and reporting. Describe the existing approach to the 
collection of data, along with any necessary modifications. Be sure to 
include data collection instruments/interview protocols in Appendix 2.
    [sbull] Discuss the reliability and validity of evaluation methods 
and instruments(s) in terms of the gender/age/culture of the target 
population.
    [sbull] Describe how collection, analysis and reporting of 
performance data will be integrated into the evaluation activities.
    [sbull] Check the NOFA for any additional requirements.

    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.

B. Review and Selection Process

    SAMHSA applications are peer-reviewed according to the review 
criteria listed above. For those programs where the individual award is 
over $100,000, applications must also be reviewed by the appropriate 
National Advisory Council.

C. Award Criteria

    Decisions to fund a grant are based on:
    [sbull] The strengths and weaknesses of the application as 
identified by peer reviewers and, when appropriate, approved by the 
appropriate National Advisory Council;
    [sbull] Availability of funds; and
    [sbull] Equitable distribution of awards in terms of geography 
(including urban, rural and remote settings) and balance among target 
populations and program size.

VI. Award Administration Information

A. Award Notices

    After your application has been reviewed, you will receive a letter 
from SAMHSA through postal mail that describes the general results of 
the review, including the score that your application received.
    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 can re-apply if there is another receipt 
date for the program.

B. Administrative and National Policy Requirements

    [sbull] 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 (www.samhsa.gov).
    [sbull] Depending on the nature of the specific funding opportunity 
and/or the proposed project as identified during review, additional 
terms and conditions may be identified in the NOFA or negotiated with 
the grantee prior to grant award. These may include, for example:
    [sbull] Actions required to be in compliance with human subjects 
requirements;
    [sbull] Requirements relating to additional data collection and 
reporting;
    [sbull] Requirements relating to participation in a cross-site 
evaluation; or
    [sbull] Requirements to address problems identified in review of 
the application.
    [sbull] You will be held accountable for the information provided 
in the application relating to performance targets. SAMHSA program 
officials will consider your progress in meeting goals and objectives, 
as well as your failures and strategies for overcoming them, when 
making an annual recommendation to continue the grant and the amount of 
any continuation award. Failure to meet stated goals and objectives may 
result in suspension or termination of the grant award, or in reduction 
or withholding of continuation awards.
    [sbull] 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.

C. Reporting Requirements

1. Progress and Financial Reports
    [sbull] Grantees must provide annual and final progress reports. 
The final progress report must summarize information from the annual 
reports, describe the accomplishments of the project, and describe next 
steps for implementing plans developed during the grant period.
    [sbull] 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. Because SAMHSA 
is extremely interested in ensuring that infrastructure development and 
enhancement efforts can be sustained, your financial reports must 
explain plans to ensure the sustainability (see Glossary) of efforts 
initiated under this grant. Initial plans for sustainability should be 
described in year 1 of the grant. In each subsequent year, you should 
describe the status of the project, successes achieved and obstacles 
encountered in that year.
    [sbull] SAMHSA will provide guidelines and requirements for these 
reports to grantees at the time of award and at the initial grantee 
orientation meeting after award. SAMHSA staff will use the information 
contained in the reports to determine the grantee's progress toward 
meeting its goals.
2. Government Performance and Results Act
    The Government Performance and Results Act (GPRA) mandates 
accountability and performance-based management by Federal agencies. To 
meet the GPRA requirements, SAMHSA must collect performance data (i.e., 
``GPRA data'') from grantees. These requirements will be specified in 
the NOFA for each funding opportunity.
3. Publications
    If you are funded under this grant program, you are required to 
notify the Government Project Officer (GPO) and 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:
    [sbull] Provide the GPO and SAMHSA Publications Clearance Officer 
with advance copies of publications.
    [sbull] Include acknowledgment of the SAMHSA grant program as the 
source of funding for the project.
    [sbull] 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.

[[Page 65790]]

VII. Agency Contacts

    The NOFAs provide contact information for questions about program 
issues.
    For questions on grants management issues, contact: Stephen Hudak, 
Office of Program Services, Division of Grants Management, Substance 
Abuse and Mental Health Services Administration, 5600 Fishers Lane, 
Rockwall II 6th Floor, Rockville, MD 20857, (301) 443-9666, 
[email protected].

VIII. Other Information

A. SAMHSA Confidentiality and Participant Protection Requirements and 
Protection of Human Subjects Regulations

    You must describe your procedures relating to Confidentiality, 
Participant Protection and the Protection of Human Subjects Regulations 
in Section H of your application, using the guidelines provided below. 
Problems with confidentiality, participant protection, and protection 
of human subjects identified during peer review of your application may 
result in the delay of funding.
    Confidentiality and Participant Protection: All applicants must 
address each of the following elements relating to confidentiality and 
participant protection. You must describe how you will address these 
requirements.
1. Protect Clients and Staff From Potential Risks
    [sbull] 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.
    [sbull] Describe the procedures you will follow to minimize or 
protect participants against potential risks, including risks to 
confidentiality.
    [sbull] Identify plans to provide guidance and assistance in the 
event there are adverse effects to participants.
    [sbull] 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
    [sbull] 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.
    [sbull] 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.
    [sbull] Explain the reasons for including or excluding 
participants.
    [sbull] Explain how you will recruit and select participants. 
Identify who will select participants.
3. Absence of Coercion
    [sbull] 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.
    [sbull] If you plan to compensate participants, state how 
participants will be awarded incentives (e.g., money, gifts, etc.).
    [sbull] 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
    [sbull] 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.
    [sbull] 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.
    [sbull] 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
    [sbull] Explain how you will ensure privacy and confidentiality. 
Include who will collect data and how it will be collected.
    [sbull] Describe:
    [sbull] How you will use data collection instruments.
    [sbull] Where data will be stored.
    [sbull] Who will or will not have access to information.
    [sbull] 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
    [sbull] 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.
    [sbull] State:
    [sbull] Whether or not their participation is voluntary.
    [sbull] Their right to leave the project at any time without 
problems.
    [sbull] Possible risks from participation in the project.
    [sbull] Plans to protect clients from these risks.
    [sbull] 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.

    [sbull] 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?
    [sbull] 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.

    [sbull] 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?
    [sbull] Additionally, if other consents (e.g., consents to release 
information to others

[[Page 65791]]

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 part 
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 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 ([email protected]) or by phone 
(301-496-7005).

B. Intergovernmental Review (E.O. 12372) Instructions

    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 www.whitehouse.gov/omb/grants/spoc.html.
    [sbull] 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.
    [sbull] 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.
    [sbull] For proposed projects serving more than one State, you are 
advised to contact the SPOC of each affiliated State.
    [sbull] 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. [fill in pertinent funding opportunity number from the 
NOFA].

C. Public Health System Impact Statement (PHSIS)

    The Public Health System Impact Statement or PHSIS (Approved by OMB 
under control no. 0920-0428; see burden statement below) 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 
the following Public Health System Reporting Requirements.
    Community-based, non-governmental service providers who are not 
transmitting their applications through the State must submit a PHSIS 
to the head(s) of the appropriate State and local health agencies in 
the area(s) to be affected no later than the pertinent receipt date for 
applications. This PHSIS consists of the following information:
    [sbull] A copy of the face page of the application (SF 424); and
    [sbull] 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 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:
    [sbull] Applicants may request that the SSA send them a copy of any 
State comments.
    [sbull] 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).]

Appendix A--Checklist for Application Formatting Requirements

    Your application must adhere to these formatting requirements. 
Failure to do so will result in your application being screened out 
and returned to you without review. In addition to these formatting 
requirements, there may be programmatic requirements specified in 
the NOFA. Please check the NOFA before preparing your application.
    [sbull] Use the PHS 5161-1 application.
    [sbull] The 10 application components required for SAMHSA 
applications must be included (i.e., Face Page, Abstract, Table of 
Contents, Budget Form, Project Narrative and Supporting 
Documentation, Appendices, Assurances, Certifications, Disclosure of 
Lobbying Activities, and Checklist.)
    [sbull] Text must be legible.
    [sbull] Paper must be white paper and 8.5'' by 11.0'' in size.

[[Page 65792]]

    [sbull] Pages must be single-spaced with one column per page.
    [sbull] Margins must be at least one inch.
    [sbull] Type size in the Project Narrative cannot exceed an 
average of 15 characters per inch when measured with a ruler. (Type 
size in charts, tables, graphs, and footnotes will not be considered 
in determining compliance.)
    [sbull] Photo reduction or condensation of type cannot be closer 
than 15 characters per inch or 6 lines per inch.
    [sbull] Pages cannot have printing on both sides.
    [sbull] Page limitations specified for the Project Narrative (25 
pages) and Appendices 1, 3, and 4 (30 pages) cannot be exceeded.
    [sbull] Information provided must be sufficient for review.
    [sbull] 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 postmarked a week prior to the application deadline will 
not be reviewed.
    [sbull] Applications that do not comply with the following 
requirements and any additional program requirements specified in 
the NOFA, or are otherwise unresponsive to PA guidelines, will be 
screened out and returned to the applicant without review:
    [sbull] Provisions relating to confidentiality, participant 
protection and the protection of human subjects specified in Section 
VIII-A of this document.
    [sbull] Budgetary limitations as specified in Sections I, II and 
IV-E of this document.
    [sbull] Documentation of nonprofit status as required in the PHS 
5161-1.
    To facilitate review of your application, follow these 
additional guidelines. Failure to follow these guidelines will not 
result in your application being screened out. However, following 
these guidelines will help reviewers to consider your application.
    [sbull] 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.
    [sbull] Send the original application and two copies to the 
mailing address in the PA. Please do not use staples, paper clips, 
and fasteners. Nothing should be attached, stapled, folded, or 
pasted. Do not use 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.

Appendix B--Glossary

    Best Practice: Best practices are practices that incorporate the 
best objective information currently available regarding 
effectiveness and acceptability.
    Catchment Area: A catchment area is the geographic area from 
which the target population to be served by a program will be drawn.
    Cooperative Agreement: A cooperative agreement is a form of 
Federal grant. Cooperative agreements are distinguished from other 
grants in that, under a cooperative agreement, substantial 
involvement is anticipated between the awarding office and the 
recipient during performance of the funded activity. This 
involvement may include collaboration, participation, or 
intervention in the activity. HHS awarding offices use grants or 
cooperative agreements (rather than contracts) when the principal 
purpose of the transaction is the transfer of money, property, 
services, or anything of value to accomplish a public purpose of 
support or stimulation authorized by Federal statute. The primary 
beneficiary under a grant or cooperative agreement is the public, as 
opposed to the Federal Government.
    Cost-Sharing or Matching: Cost-sharing refers to the value of 
allowable non-Federal contributions toward the allowable costs of a 
Federal grant project or program. Such contributions may be cash or 
in-kind contributions. For SAMHSA grants, cost-sharing or matching 
is not required, and applications will not be screened out on the 
basis of cost-sharing. However, applicants often include cash or in-
kind contributions in their proposals as evidence of commitment to 
the proposed project. This is allowed, and this information may be 
considered by reviewers in evaluating the quality of the 
application.
    Fidelity: Fidelity is the degree to which a specific 
implementation of a program or practice resembles, adheres to, or is 
faithful to the evidence-based model on which it is based. Fidelity 
is formally assessed using rating scales of the major elements of 
the evidence-based model. A toolkit on how to develop and use 
fidelity instruments is available from the SAMHSA-funded Evaluation 
Technical Assistance Center at http://tecathsri.org or by calling 
(617) 876-0426.
    Grant: A grant is the funding mechanism used by the Federal 
Government when the principal purpose of the transaction is the 
transfer of money, property, services, or anything of value to 
accomplish a public purpose of support or stimulation authorized by 
Federal statute. The primary beneficiary under a grant or 
cooperative agreement is the public, as opposed to the Federal 
Government.
    In-Kind Contribution: In-kind contributions toward a grant 
project are non-cash contributions (e.g., facilities, space, 
services) that are derived from non-Federal sources, such as State 
or sub-State non-Federal revenues, foundation grants, or 
contributions from other non-Federal public or private entities.
    Logic Model: A logic model is a diagrammatic representation of a 
theoretical framework. A logic model describes the logical linkages 
among program resources, conditions, strategies, short-term 
outcomes, and long-term impact. More information on how to develop 
logics models and examples can be found through the resources listed 
in Appendix C.
    Practice: A practice is any activity, or collective set of 
activities, intended to improve outcomes for people with or at risk 
for substance abuse and/or mental illness. Such activities may 
include direct service provision, or they may be supportive 
activities, such as efforts to improve access to and retention in 
services, organizational efficiency or effectiveness, community 
readiness, collaboration among stakeholder groups, education, 
awareness, training, or any other activity that is designed to 
improve outcomes for people with or at risk for substance abuse or 
mental illness.
    Practice Support System: This term refers to contextual factors 
that affect practice delivery and effectiveness in the pre-adoption 
phase, delivery phase, and post-delivery phase, such as (a) 
community collaboration and consensus building, (b) training and 
overall readiness of those implementing the practice, and (c) 
sufficient ongoing supervision for those implementing the practice.
    Stakeholder: A stakeholder is an individual, organization, 
constituent group, or other entity that has an interest in and will 
be affected by a proposed grant project.
    Sustainability: Sustainability is the ability to continue a 
program or practice after SAMHSA grant funding has ended.
    Target Population: The target population is the specific 
population of people whom a particular program or practice is 
designed to serve or reach.
    Wraparound Service: Wraparound services are non-clinical 
supportive services--such as child care, vocational, educational, 
and transportation services--that are designed to improve the 
individual's access to and retention in the proposed project.

Appendix C--Logic Model Resources

    Chen, W.W., Cato, B.M., & Rainford, N. (1998-9). Using a logic 
model to plan and evaluate a community intervention program: A case 
study. International Quarterly of Community Health Education, 18(4), 
449-458.
    Edwards, E.D., Seaman, J.R., Drews, J., & Edwards, M.E. (1995). 
A community approach for Native American drug and alcohol prevention 
programs: A logic model framework. Alcoholism Treatment Quarterly, 
13(2), 43-62.
    Hernandez, M. & Hodges, S. (2003). Crafting Logic Models for 
Systems of Care: Ideas into Action. [Making children's mental health 
services successful series, volume 1]. Tampa, FL: University of 
South Florida, The Louis de la Parte Florida Mental Health 
Institute, Department of Child & Family Studies. http://cfs.fmhi.usf.edu or phone (813) 974-4651
    Hernandez, M. & Hodges, S. (2001). Theory-based accountability. 
In M. Hernandez & S. Hodges (Eds.), Developing Outcome Strategies in 
Children's Mental Health, pp. 21-40. Baltimore: Brookes.
    Julian, D.A. (1997). Utilization of the logic model as a system 
level planning and evaluation device. Evaluation and Planning, 
20(3), 251-257.
    Julian, D.A., Jones, A., & Deyo, D. (1995). Open systems 
evaluation and the logic model: Program planning and evaluation 
tools. Evaluation and Program Planning, 18(4), 333-341.

[[Page 65793]]

    Patton, M.Q. (1997). Utilization-Focused Evaluation (3rd Ed.), 
pp. 19, 22, 241. Thousand Oaks, CA: Sage.
    Wholey, J.S., Hatry, H.P., Newcome, K.E. (Eds.) (1994). Handbook 
of Practical Program Evaluation. San Francisco, CA: Jossey-Bass Inc.

    Dated: November 13, 2003.
Daryl Kade,
Director, Office of Policy, Planning and Budget, Substance Abuse and 
Mental Health Services Administration.

[FR Doc. 03-28875 Filed 11-20-03; 8:45 am]
BILLING CODE 4162-20-P