[Federal Register Volume 69, Number 45 (Monday, March 8, 2004)]
[Notices]
[Pages 10734-10737]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 04-4689]


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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 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 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 
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: Modification.
    Funding Opportunity Number: SM 04-004.
    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 04-004. 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 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 Notice.
    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

[[Page 10735]]

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 (MOD), 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. Proposed budgets for applications without 
a youth leadership component cannot exceed $60,000 in any year. 
Proposed budgets for applications with a youth leadership component 
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.
    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 the 
following, rather than the Eligible Applicants listed in the INF-04 PA 
(MOD): 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 
(MOD).
    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 Family Network Grants:
     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 (MOD):
    (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 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

[[Page 10736]]

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:
     An increase of families served; and
     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 
1-800-789-2647. 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 04-004, 
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 (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.
    [squ] Use the PHS 5161-1 application.
    [squ] 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.
    [squ] Information provided must be sufficient for review.
    [squ] 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.
    [squ] Paper must be white paper and 8.5 inches by 11.0 inches in 
size.
    [squ] 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.
    [squ] 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)

[[Page 10737]]

 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)

    --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.
    --Pages should be typed single-spaced with one column per page.
    --Pages should not have printing on both sides.
    --Please use black ink and number pages consecutively from 
beginning to end so that information can be located easily during 
review of the application. The cover page should be page 1, the 
abstract page should be page 2, and the table of contents page should 
be page 3. Appendices should be labeled and separated from the Project 
Narrative and budget section, and the pages should be numbered to 
continue the sequence.
    --Send the original application and two copies to the mailing 
address in 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: 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: February 26, 2004.
Daryl Kade,
Director, Office of Policy, Planning and Budget, Substance Abuse and 
Mental Health Services Administration.
[FR Doc. 04-4689 Filed 3-5-04; 8:45 am]
BILLING CODE 4162-20-P