[Federal Register Volume 68, Number 243 (Thursday, December 18, 2003)]
[Notices]
[Pages 70514-70517]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 03-31158]


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DEPARTMENT OF HEALTH AND HUMAN SERVICES

Substance Abuse and Mental Health Services Administration


Fiscal Year (FY) 2004 Funding Opportunity

ACTION: Notice of funding availability for Statewide Family Network 
Grants.

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    Authority: Section 520 A of the Public Health Service Act, as 
amended and subject to the availability of funds.
SUMMARY: The Substance Abuse and Mental Health Services Administration 
(SAMHSA), Center for Mental Health Services (CMHS) announces the 
availability of FY 2004 funds for Statewide Family Network Grants. A 
synopsis of this funding opportunity, as well as many other Federal 
Government funding opportunities, is also available at the Internet 
site: http://www.grants.gov.
    For complete instructions, potential applicants must obtain a copy 
of the standard Infrastructure Grants Program Announcement (INF-04 PA), 
and the PHS 5161-1 (Rev. 7/00) application form before preparing and 
submitting an application. The INF-04 PA describes the general program 
design and provides instructions for applying for all SAMHSA 
Infrastructure Grants, including Statewide Family Network Grants. 
Additional instructions and requirements specific to the Statewide 
Family Network Grants are described below.
    Funding Opportunity Title: Statewide Family Network Grants.
    Announcement Type: Initial.
    Funding Opportunity Number: SM 04-004.
    Catalog of Federal Domestic Assistance (CFDA) Number: 93.243.

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    Due Date for Applications: February 27, 2004.
    You will be notified by postal mail that your application has been 
received.

    Note:  Letters from State Single Point of Contact (SPOC) in 
response to E.O. 12372 are due April 27, 2004.

    Funding Instrument: Grant.
    Funding Opportunity Description: The Statewide Family Networks 
program is one of SAMHSA's Infrastructure Grants programs. SAMHSA's 
Infrastructure Grants provide funds to increase the capacity of mental 
health and/or substance abuse service systems to support programs and 
services. SAMHSA's Infrastructure Grants are intended for applicants 
seeking Federal support to develop or enhance their service system 
infrastructure in order to support effective substance abuse and/or 
mental health service delivery. Statewide Family Network Grants are 
intended for applicants seeking Federal support to act as ``Agents of 
Transformation'' in developing or enhancing their service system 
infrastructure in order to support effective substance abuse and/or 
mental health service delivery which is consumer and family driven. The 
Statewide Family Network Program is a critical part of the SAMHSA/CMHS 
effort to implement the President's New Freedom Commission on Mental 
Health Report.
    The purpose of the Statewide Family Networks program is to enhance 
State capacity and infrastructure to be more oriented to the needs of 
children and adolescents with serious emotional disturbances and their 
families. The programs goals are to: (1) Strengthen organizational 
relationships; (2) foster leadership and business management skills 
among families of children and adolescents with serious emotional 
disturbance; and (3) identify and address the technical assistance 
needs of children and adolescents with serious emotional disturbances 
and their families. To achieve this goal, the program assists family 
members around the country to work with policy makers and service 
providers to improve services for children and adolescents with serious 
emotional disturbances and their families. The Statewide Family 
Networks Program is designed to ensure that families are the catalysts 
for transforming the mental health and related systems in their State 
by strengthening coalitions among family members, and between family 
members and policymakers and service providers, recognizing that family 
members are the best and most effective change agents.
    Background: The Statewide Family Network Program builds on the work 
of The Child, Adolescent and Services Systems Program (CASSP), which 
helped to establish a child and family focus in programs serving 
children and adolescents with serious emotional disturbances around the 
county. Today, nearly every State has active family organizations 
dedicated to promoting systems of care that are responsive to the needs 
of children and adolescents with serious emotional disturbances and 
their families. Although significant progress has been made, further 
support will ensure self-sufficient, empowered networks that will 
effectively participate in State and local mental health services 
planning and health care reform activities related to improving 
community-based services for children and adolescents with serious 
emotional disturbances and their families.
    Estimated Funding Available/Number of Awards: It is expected that 
$2.8 million will be available to fund 43 awards in FY 2004, with a 
limit of one award per State. Only Category 1--Small Infrastructure 
Grant awards, as defined in the INF-04 PA, will be made. In general, 
these Category 1 awards are expected to be up to $60,000 per year in 
total costs (direct and indirect). Up to 22 grantees with projects that 
include a youth leadership component may receive an additional $10,000 
per year. Applications without a youth leadership component that 
include proposed budgets that exceed $60,000 in any year will be 
returned without review. Applications with a youth leadership component 
that include proposed budgets that exceed $70,000 in any year will be 
returned without review. The actual amount available for the awards may 
vary, depending on unanticipated program requirements and the number 
and quality of the applications received. This program is being 
announced prior to the annual appropriation for FY 2004 for SAMHSA's 
programs, with funding estimates based on the President's budget 
request for FY 2004 and/or preliminary Congressional action on SAMHSA's 
appropriation. Applications are invited based on the assumption that 
sufficient funds will be appropriated for FY 2004 to permit funding of 
a reasonable number of applications hereby solicited. This program is 
being announced in order to allow applicants sufficient time to plan 
and prepare applications. Solicitation of applications in advance of a 
final appropriation will also enable the award of appropriated grant 
funds in an expeditious manner. All applicants are reminded, however, 
that we cannot guarantee that sufficient funds will be appropriated to 
permit SAMHSA to fund any applications.
    Period of Support: Awards will be made for project periods of up to 
three years, with annual continuations depending on the availability of 
funds, grantee progress in meeting program goals and objectives, and 
timely submission of required data and reports.
    Eligible Applicants: Eligible applicants are limited to domestic 
private, nonprofit entities, including faith-based entities, tribal 
family organizations, and currently funded Statewide Family Networks 
grantees that: (1) Are controlled and managed by family members; (2) 
are dedicated to the improvement of mental health services statewide; 
and (3) have a Board of Directors comprised of no less than 51 percent 
family members. SAMHSA is limiting eligibility to family-controlled 
organizations because the goals of this grant program are to: 
strengthen the capacity of families to act as agents of transformation 
in influencing the type and amount of services provided to them and to 
their children who have a serious emotional disturbance and to ensure 
that their mental health care is consumer and family driven. Applicants 
will be required to complete and sign a Certification of Eligibility 
and provide necessary supportive documentation. This certification will 
be provided in the application kit, available from the National Mental 
Health Information Center, and will also be posted on the SAMHSA Web 
page along with the NOFA.
    Additional information regarding eligibility, including program 
requirements and formatting requirements, is provided in the INF-04 PA. 
Applications that do not comply with these requirements will be 
screened out and will not be reviewed.
    Is Cost Sharing or Matching Required: No.
    Exceptions to the INF-04 and Other Special Requirements: The 
following information describes exceptions or limitations to the INF-04 
PA and provides special requirements that pertain only to the Statewide 
Family Network Grants:
    [sbull] Review Criteria/Project Narrative: Applicants for Statewide 
Family Networks grants are required to address the following 
requirements in the Project Narrative of their applications, in 
addition to the requirements specified in the INF-04 PA:
    (1) In Section B, applicants must describe how the primary focus of 
the proposed project will be on training capacity, network development 
(i.e., with other consumer and family organizations), organizational 
and

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community readiness, and policy development to support best practices.
    (2) In Section B, applicants must describe the applicant's 
collaborations with other family and consumer networks, the State 
Director of Consumer Affairs (if applicable), family representatives on 
the State Planning Council, and other disability groups.
    (3) In Section C, applicants must describe the applicant's 
organizational mission and how its scope of work reflects statewide 
focus on families who have children, youth and adolescents up to age 18 
with a serious emotional, behavior or mental disorder and are currently 
receiving services, or up to age 25 with a serious emotional, behavior 
or mental disorder and are receiving transitional services from 
children to adult services.
    (4) In Section C, applicants must describe the extent to which the 
applicant's Board of Directors includes family members whose children 
up to age 18 with a serious emotional, behavior or mental disorder and 
are currently receiving services, or up to age 25 with a serious 
emotional, behavior or mental disorder and are receiving transitional 
services from children to adult services.
    (5) Applicants must clearly indicate in their applications whether 
or not a youth leadership component is included in the proposed 
project. Applicants that include a youth leadership component must 
include relevant information about the youth leadership component in 
all sections of the Project Narrative and Supporting Documentation. For 
example, Section A must address the need for a youth leadership 
component in the State where the project will be located, Section B 
must include a description of the proposed approach for implementing a 
youth leadership component, Section C must include a description of the 
staff, management and related experience for the youth leadership 
component, and Section D must include a description of evaluation and 
data activities for the youth leadership component. The budget for the 
youth leadership component provided in Section E must be separately 
justified and may not exceed $10,000.
    Performance Measurement: All SAMHSA grantees are required to 
collect performance data so that SAMHSA can meet its obligations under 
the Government Performance and Results Act (GPRA). In Section D of 
their applications, applicants for the Statewide Family Networks 
program must document their ability to collect and report data on the 
following indicators:
    [sbull] An increase of families served; and
    [sbull] An increase in the number of grantees that demonstrate 
inclusion of consumers [adolescents and young adults transitioning to 
adult services] and family members in planning, policy, and service 
delivery decisions through (a) Having policies in place; and (b) data 
on consumers [adolescents and young adults transitioning to adult 
services] and family member participation.
    SAMHSA will work with grantees to finalize a standard methodology 
related to these indicators shortly after award. The data collection 
tool is yet to be developed. Grantees will be required to report 
performance data to SAMHSA on an annual basis.
    Application and Submission Information: Complete application kits 
may be obtained from: the National Mental Health Information Center at 
1-800-789-2649. When requesting an application kit, the applicant must 
specify the funding opportunity title and number for which detailed 
information is desired. All information necessary to apply, including 
where to submit applications and application deadline instructions, are 
included in the application kit. The PHS 5161-1 application form is 
also available electronically via SAMHSA's World Wide Web Home Page: 
http://www.samhsa.gov (Click on ``Grant Opportunities'') and the INF-04 
PA is available electronically at http://www.samhsa.gov/grants/2004/standard/Infrastructure/index.asp.
    When submitting an application, be sure to type ``SM 04-004, 
Statewide Family Networks'' in Item Number 10 on the face page of the 
application form. Also, SAMHSA applicants are required to provide a 
DUNS number on the face page of the application. To obtain a DUNS 
Number, access the Dun and Bradstreet Web site at http://www.dunandbradstreet.com or call 1-866-705-5711.
    Intergovernmental Review: Applicants for this funding opportunity 
must comply with Executive Order 12372 (E.O. 12372). E.O.12372, as 
implemented through Department of Health and Human Services regulation 
at 45 CFR Part 100, sets up a system for State and local review of 
applications for Federal financial assistance. Grantees must comply 
with the requirements of E.O. 12372. Instructions for complying with 
E.O. 12372 are provided in the INF-04 PA. A current listing of State 
Single Points of Contact (SPOCs) is included in the application kit and 
is available at http:// www.whitehouse.gov/omb/grants/spoc.html.
    Public Health System Impact Statement: The Public Health System 
Impact Statement (PHSIS) is intended to keep State and local health 
officials informed of proposed health services grant applications 
submitted by community-based, non-governmental organizations within 
their jurisdictions. State and local governments and Indian tribal 
government applicants are not subject to the Public Health System 
Reporting Requirements. Instructions for completing the PHSIS are 
provided in the INF-04 PA.
    Application Review Information: SAMHSA applications are peer-
reviewed. For those programs where the individual award is over 
$100,000, applications must also be reviewed by the Appropriate 
National Advisory Council. Decisions to fund a grant are based on the 
strengths and weaknesses of the application as identified by the peer 
review committee and approved by the National Advisory Council, and the 
availability of funds. Unless otherwise specified, SAMHSA intends to 
make not more than one award per organization per funding opportunity 
in any given fiscal year.
    Checklist for Application Formatting Requirements: SAMHSA's desire 
is to review all applications submitted for grant funding. However, 
this desire 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. Your 
application must adhere to these formatting requirements. 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 specified in the NOFA. Please check the entire 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.
    [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,

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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.
    Award Administration: Award information, including information 
about award notices, administrative requirements and reporting 
requirements, is included in the INF-04 PA.
    Contact for Additional Information: Elizabeth Sweet, SAMHSA/CMHS, 
Child, Adolescent and Family Branch, Center for Mental Health Services, 
5600 Fishers Lane, Room 11C-16, Rockville, MD 20857; 301-443-1333; E-
mail: [email protected].

    Dated: December 12, 2003.
Anna Marsh,
Acting Executive Officer, Substance Abuse and Mental Health Services, 
Administration.
[FR Doc. 03-31158 Filed 12-17-03; 8:45 am]
BILLING CODE 4162-20-P