[Federal Register Volume 69, Number 45 (Monday, March 8, 2004)]
[Notices]
[Pages 10731-10734]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 04-4688]


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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 (NOFA) for Statewide Consumer 
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 Consumer 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 revised standard Infrastructure Grants Program Announcement 
[INF-04 PA (MOD)], and the PHS 5161-1 (Rev. 7/00) application form 
before preparing and submitting an application. The INF-04 PA (MOD) 
describes the general program design and provides instructions for 
applying for all SAMHSA Infrastructure Grants, including Statewide 
Consumer Network Grants. Additional instructions and requirements 
specific to Statewide Consumer Network Grants are described below.
    Funding Opportunity Title: Statewide Consumer Network Grants (Short 
Title: Statewide Consumer Networks).
    Announcement Type: Modification.
    Funding Opportunity Number: SM 04-003.
    Catalog of Federal Domestic Assistance (CFDA) Number: 93.243.
    Due Date for Applications: April 7, 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 May 7, 2004.]

    Funding Instrument: Grant.
    Funding Opportunity Description: This is a republication of the 
Substance Abuse and Mental Health Services Administration's Notice of 
Funding Availability SM 04-003. The purpose of this republication is to 
revise the criteria used to screen out applications from peer review. 
These revised criteria are consistent with the standard grant 
announcement for Infrastructure Grants INF-04 PA (MOD).
    These revisions can be found in this document, in their entirety, 
in the

[[Page 10732]]

section on Eligible Applicants and the Checklist of Formatting 
Requirements and Screenout Criteria for SAMHSA Grant Applications.
    The deadline for applications has been extended to 30 days after 
the publication of this NOFA.
    The Statewide Consumer 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 Consumer 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 driven. The Statewide Consumer Network Grant Program 
is a critical part of the SAMHSA/CMHS efforts to implement the 
recommendations of the Final Report of the President's New Freedom 
Commission on Mental Health.
    The purpose of the Statewide Consumer Networks program is to 
enhance State capacity and infrastructure to be consumer-centered and 
targeted toward recovery and resiliency and consumer-driven by 
promoting the use of consumers as agents of transformation. The program 
goals are to (1) strengthen organizational relationships; (2) promote 
skill development with an emphasis on leadership and business 
management; and (3) identify technical assistance needs of consumers 
and provide training and support to ensure that they are the catalysts 
for transforming the mental health and related systems in their State. 
To achieve this goal, the program assists consumer organizations around 
the country to work with policymakers and services providers to improve 
services for consumers with a serious mental illness. The Program is 
designed to strengthen coalitions among consumers, policymakers and 
service providers, recognizing that the consumers are the best and most 
effective change agents.
    The Statewide Consumer Network grants will support State-level 
consumer-run organizations to assist consumers to participate in the 
development of policies, programs, and quality assurance activities 
related to the Final Report of the President's New Freedom Commission 
on Mental Health as it applies to mental health service delivery. 
Grantees are especially encouraged to utilize training capacity, 
network development, organizational and community readiness, and policy 
development to support best practices but are not limited to these 
specific activities. Examples of the types of community services that 
grantees will work to improve include State planning boards and 
councils, individualized plans of care, anti-stigma initiatives, 
interactions with the criminal justice system, supported employment 
programs, rights protection, cultural competence, outreach to people in 
rural areas, people of color and older adults: research on recovery, 
trauma and medication; evidence based determinations and applications; 
workforce development; tele-health and other on line supports including 
personal recovery pages.
    Background: The Statewide Consumer Network Grant Program builds on 
the work of the Federal Community Support Program (CSP). The Center for 
Mental Health Services has supported the development of accessible, 
responsive mental health treatment, rehabilitation, and supportive 
services for people with a serious mental illness through CSP. The 
mission of CSP is to promote the development of systems of care which 
help adults with serious mental illness recover, live independently and 
productively in the community, and avoid inappropriate use of 
institutions.
    CSP helped to establish consumer and family organizations 
throughout the country. Today, nearly every State has an active 
consumer organization dedicated to promoting systems of care that are 
responsive to the needs of people with a serious mental illness. By 
providing appropriate training and tools in the development of 
individualized mental health plans, understanding the need and use of 
accountability and evaluation measures, and the many other self-help, 
self-management skills, consumers can provide the guidance and 
foresight into changing the present system to a recover-oriented system 
for all peers and thereby ensuring the implementation of the goals of 
the Final Report of the President's New Freedom Commission on Mental 
Health.
    Estimated Funding Available/Number of Awards: It is expected that 
$1.5 million will be available in FY 2004 to fund approximately 20-22 
awards of up to $70,000 per year in total costs (direct and indirect), 
with a limit of one award per State. It is expected that only Category 
1--Small Infrastructure Grant awards, as defined in the INF-04 PA 
(MOD), will be made. Proposed budgets cannot exceed $70,000 in any 
year. The actual amount available for the awards may vary, depending on 
unanticipated program requirements and the number and quality of the 
applications received. All applicants are reminded that we cannot 
guarantee that sufficient funds will be appropriated to permit SAMHSA 
to fund any applications.
    Eligible Applicants: Eligible applicants are limited to the 
following, rather than the Eligible Applicants listed in the INF-04 PA 
(MOD): domestic private, nonprofit entities, including faith-based 
entities and currently funded Statewide Consumer Network Grantees that 
(1) are controlled and managed by mental health consumers; (2) are 
dedicated to the improvement of mental health services statewide; and 
(3) have a Board of Directors comprised of more than 51 percent 
consumers. SAMHSA is limiting eligibility to consumer-controlled 
organizations because the goals of this grant program are: To 
strengthen the capacity of consumers to act as agents of transformation 
in influencing the type and amount of services and supports provided to 
people with a serious mental illness and to ensure that their mental 
health care is consumer 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 
(MOD).
    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.
    Is Cost Sharing or Matching Required: No.
    Exceptions to the INF-04 PA (MOD) and Other Special Requirements: 
The following information describes exceptions or limitations to the 
INF-04 PA (MOD) and provides special requirements that pertain only to 
the Statewide Consumer Network Grants:
     Review Criteria/Project Narrative--Applicants 
for Statewide Consumer Networks grants are required to address the 
following requirements in the Project Narrative of their applications,

[[Page 10733]]

in addition to the requirements specified in the INF-04 PA (MOD):
    (1) In Section B, applicants must describe how the primary focus of 
the proposed project will include work to transform the system through 
specific training and capacity building activities, and network and 
policy development that reflects the goals of the Final Report of the 
President's New Freedom Commission on Mental Health.
    (2) In Section B, applications must describe the applicant's 
collaborations with other family and consumer networks, the State 
Director of Consumer Affairs in the State office of mental health (if 
applicable), consumers 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 consumers with a serious mental illness and promotes the 
concepts of consumer self-help; management plan and staffing.
     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 Consumer 
Networks Program must document their ability to collect and report data 
on all the following indicators:
     An increase in the number of consumers served; 
and
     An increase in the number of consumers and 
family members in planning, policy, and service delivery decisions by 
(a) having policies in place; and (b) data on consumers 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 has not yet been 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 
1-800-789-2647. 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 (MOD) is available electronically at http://www.samhsa.gov/grants/2004/standard/Infrastructure/index.asp.
    When submitting an application, be sure to type ``SM 04-003, 
Statewide Consumer 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. Instructions for 
complying with E.O. 12372 are provided in the INF-04 PA (MOD). 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 (MOD).
    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 other 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 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 NOFA and 
in Section III of the standard grant announcement. Please check the 
entire NOFA and Section III of the standard grant announcement before 
preparing your application.
    [ballot] Use the PHS 5161-1 application.
    [ballot] 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.
    [ballot] Information provided must be sufficient for review.
    [ballot] Text must be legible.
     Type size in the Project Narrative cannot exceed 
an average of 15 characters per inch, as measured on the physical page. 
(Type size in charts, tables, graphs, and footnotes will not be 
considered in determining compliance.)
     Text in the Project Narrative cannot exceed 6 
lines per vertical inch.
    [ballot] Paper must be white paper and 8.5 inches by 11.0 inches in 
size.
    [ballot] To ensure equity among applications, the amount of space 
allowed for the Project Narrative cannot be exceeded.
     Applications would meet this requirement by 
using all margins (left, right, top, bottom) of at least one inch each, 
and adhering to the page limit for Project Narrative stated in the 
standard grant announcement.
     Should an application not conform to these 
margin or page limits, SAMHSA will use the following method to 
determine compliance: The total area of the Project Narrative 
(excluding margins, but including charts, tables, graphs and footnotes) 
cannot exceed 58.5 square inches multiplied by the page limit. This 
number represents the full page less margins, multiplied by the total 
number of allowed pages.
     Space will be measured on the physical page. 
Space left blank within the Project Narrative (excluding margins) is 
considered part of the Project Narrative, in determining compliance.

[[Page 10734]]

    [ballot] The page limit for Appendices stated in the standard grant 
announcement cannot be exceeded.
    To facilitate review of your application, follow these additional 
guidelines. Failure to adhere to the following guidelines will not, in 
itself, result in your application being screened out and returned 
without review. However, the information provided in your application 
must be sufficient for review. Following these guidelines will help 
ensure your application is complete, and will help reviewers to 
consider your application.
     The 10 application components required for 
SAMHSA applications should be included.
    These are:

     Face Page (Standard Form 424, which is in PHS 
5161-1)
     Abstract
     Table of Contents
     Budget Form (Standard Form 424A, which is in PHS 
5161-1)
     Project Narrative and Supporting Documentation
     Appendices
     Assurances (Standard Form 424B, which is in PHS 
5161-1)
     Certifications (a form in PHS 5161-1)
     Disclosure of Lobbying Activities (Standard Form 
LLL, which is in PHS 5161-1)
     Checklist (a form in PHS 5161-1)

    [ballot] Applications should comply with the following 
requirements:

     Provisions relating to confidentiality, 
participant protection and the protection of human subjects specified 
in Section IV-2.4 of the FY 2004 standard funding announcements.
     Budgetary limitations as specified in Section I, 
II, and IV-5 of the FY 2004 standard funding announcements.
     Documentation of nonprofit status as required in 
the PHS 5161-1.
    [ballot] Pages should be typed single-spaced with one column per 
page.
    [ballot] Pages should not have printing on both sides.
    [ballot] 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.
    [ballot] Send the original application and two copies to the 
mailing address in the funding announcement. Please do not use staples, 
paper clips, and fasteners. Nothing should be attached, stapled, 
folded, or pasted. Do not use heavy or light-weight 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.
    Award Administration: Award information, including information 
about award notices, administrative requirements and reporting 
requirements, is included in the INF-04 PA (MOD).

For Further Information Contact: Risa Fox, SAMHSA/Center for Mental 
Health Services, 5600 Fishers Lane, Room 11C-22, Rockville, MD 20857; 
301-443-3653; E-mail: [email protected].

    Dated: February 26, 2004.
Daryl Kade,
Director, Office of Planning, Policy and Budget, Substance Abuse and 
Mental Health Services Administration.
[FR Doc. 04-4688 Filed 3-5-04; 8:45 am]
BILLING CODE 4162-20-P