[Federal Register Volume 69, Number 45 (Monday, March 8, 2004)]
[Notices]
[Pages 10828-10839]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 04-4692]


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DEPARTMENT OF HEALTH AND HUMAN SERVICES

Substance Abuse and Mental Health Services Administration


Notice of Republication of Standard Infrastructure Grants 
Announcement

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

ACTION: Notice of republication of standard infrastructure grants 
announcement.

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SUMMARY: On November 21, 2003, the Substance Abuse and Mental Health 
Services Administration published standard grant announcements for 
Services Grants, Infrastructure Grants, Best Practices Planning and 
Implementation Grants, and Service to Science Grants. The primary 
purpose of this republication is to revise the criteria used to screen 
out applications from peer review. Motivated by the need to assure 
equitable opportunity and a ``level playing field'' to all applicants, 
SAMHSA believes the screening criteria in these announcements will not 
best

[[Page 10829]]

serve the public unless revised and republished. This is a 
republication of the Infrastructure Grants announcement. This 
republication makes those criteria more lenient, permitting a greater 
number of applications to be reviewed. The revisions to the criteria 
can be found, in their entirety, in: Section IV, Application and 
Submission Information; and Appendix A, Checklist for Formatting 
Requirements and Screenout Criteria for SAMHSA Grant Applications. 
Additional references to the criteria elsewhere in the text have been 
changed to be consistent with the revised criteria in Section IV and 
Appendix A.

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

    In addition, this republication includes an additional award 
criterion in Section V, updated agency contact information in Section 
VII, and minor technical changes to comply with the formatting 
requirements for announcement of Federal funding opportunities, as 
specified by the Office of Management and Budget.
    This notice provides the republished text for SAMHSA's standard 
Infrastructure Grants announcement.

DATES: Use of the republished standard Infrastructure Grants 
announcement will be effective March 8, 2004. 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) 443-6902.

SUPPLEMENTARY INFORMATION: SAMHSA is republishing its standard 
Infrastructure Grants announcement to make the criteria used to screen 
out applications from peer review more lenient, permitting a greater 
number of applications to be reviewed. This republication also includes 
an additional award criterion in Section V, updated agency contact 
information in Section VII, and minor technical changes to comply with 
the formatting requirements for announcement of Federal funding 
opportunities, as specified by the Office of Management and Budget. The 
text for the republished 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.).

Department of Health and Human Services

Substance Abuse and Mental Health Services Administration

Infrastructure Grants--INF 04 PA (MOD) (Modified 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)
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 www.grants.gov.
Intergovernmental review (E.O. 12372)--Letters from State Single Point 
of Contact (SPOC) are due no later than 60 days after application 
deadline.
Public Health System Impact Statement (PHSIS)/SSA coordination--
Applicants must send the PHSIS to appropriate State and local health 
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
    1. Introduction
    2. Expectations
II. Award Information
    1. Award Amount
    2. Funding Mechanism
III. Eligibility Information
    1. Eligible Applicants
    2. Cost Sharing
IV. Application and Submission Information
    1. Address to Request Application Package
    2. Content and Form of Application Submission
    3. Submission Dates and Times
    4. Intergovernmental Review (E.O. 12372) Requirements
    5. Funding Limitations/Restrictions
    6. Other Submission Requirements
V. Application Review Information
    1. Evaluation Criteria
    2. Review and Selection Process
VI. Award Administration Information
    1. Award Notices
    2. Administrative and National Policy Requirements
    3. Reporting Requirements
VII. Agency Contacts

Appendix A--Checklist for Formatting Requirements and Screenout 
Criteria for SAMHSA

Grant Applications
Appendix B--Glossary
Appendix C--Logic Model Resources

I. Funding Opportunity Description

1. 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:
     Services Grants provide funding to implement 
substance abuse and mental health services.
     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.
     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.

[[Page 10830]]

    SAMHSA's Infrastructure Grants are authorized under Section 509, 
516 and/or 520A of the Public Health Service Act, unless otherwise 
specified in a NOFA in the Federal Register and on www.grants.gov.
    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:
     Specify total funding available for the first 
year of the grants and the expected size and number of awards;
     Provide the application deadline;
     Note any specific program requirements for each 
funding opportunity; and
     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.

2. 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.
2.1 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:
     Needs assessment
     Strategic planning
     Financing/coordination of funding streams
     Organizational/structural change (e.g., to 
create locus of responsibility for a specific issue/population, or to 
increase access to or efficiency of services)
     Development of interagency coordination 
mechanisms
     Provider/network development
     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)
     Quality improvement efforts
     Performance measurement development
     Workforce development (e.g., training, support 
for licensure, credentialing, or accreditation)
     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.
2.2 Data and Performance Measurement
    The Government Performance and Results Act of 1993 (Pub. 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 Web site 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 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.
2.3 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.
2.4 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:
     How closely did implementation match the plan?
     What types of deviation from the plan occurred?
     What led to the deviations?
     What impact did the deviations have on the 
intervention and evaluation?
     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)?

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    Outcome components should address issues such as:
     What was the effect of infrastructure 
development on service capacity and other system outcomes?
     What program/contextual factors were associated 
with outcomes?
     What individual factors were associated with 
outcomes?
     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

1. 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. 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.
    Proposed budgets cannot exceed the allowable amount as specified in 
the NOFA in any year of the proposed project. Annual continuation 
awards will depend on the availability of funds, grantee progress in 
meeting project goals and objectives, and timely submission of required 
data and reports.

2. Funding Mechanism

    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

1. 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.

2. 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.

3. Other

    Applications must comply with the following requirements, or they 
will be screened out and will not be reviewed: Use of the PHS 5161-1 
application; application submission requirements in Section IV-3 of 
this document; and formatting requirements provided in Section IV-2.3 
of this document. Applicants should be aware that the NOFA may include 
additional requirements that, if not met, will result in applications 
being screened out and returned without review. These requirements will 
be specified in Section III-3 of the NOFA.
    You also must comply with any additional 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.

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.)

1. Address To Request Application Package

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

2. Content and Form of Application Submission

2.1 Required Documents
    SAMHSA application kits include the following documents:
     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.
     Program Announcement (PA)--Includes instructions 
for the grant application. This document is the PA.
     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.
2.2 Required Application Components
    To ensure equitable treatment of all applications, applications 
must be complete. 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,

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Appendices, Assurances, Certifications, Disclosure of Lobbying 
Activities, and Checklist).

--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.]

--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.
--Table of Contents--Include page numbers for each of the major 
sections of your application and for each appendix.
--Budget Form--Use SF 424A, which is part of the 5161-1. Fill out 
Sections B, C, and E of the SF 424A.
--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.
     Section E--Literature Citations. This section 
must contain complete citations, including titles and all authors, for 
any literature you cite in your application.
     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.
     Section G--Biographical Sketches and Job 
Descriptions.
     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.
     Include job descriptions for key personnel. Job 
descriptions should be no longer than 1 page each.
     Sample sketches and job descriptions are listed 
on page 22, Item 6 in the Program Narrative section of the PHS 5161-1.
     Section H--Confidentiality and SAMHSA 
Participant Protection/Human Subjects. Section IV-2.4 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.

--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.

     Appendix 1: Letters of Support
     Appendix 2: Data Collection Instruments/
Interview Protocols
     Appendix 3: Sample Consent Forms
     Appendix 4: Letter to the SSA (if applicable; 
see Section IV-4 of this document)
     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.

--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 and provided in the application kits available at SAMHSA's 
clearinghouse (NCADI).
--Certifications--Use the ``Certifications'' forms found in PHS 5161-1.
--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.
--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.
2.3 Application Formatting Requirements
    Applicants also must comply with the following basic application 
requirements. Applications that do not comply with these requirements 
will be screened out and will not be reviewed.

--Information provided must be sufficient for review.
--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.

--Paper must be white paper and 8.5 inches by 11.0 inches in size.
--To ensure equity among applications, the amount of space allowed for 
the 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 25-page limit for the Project Narrative.
     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 25. This number 
represents the full page

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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.

--The 30-page limit for Appendices 1, 3, and 4 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, following these guidelines will help reviewers 
to consider your application.

--Pages should be typed single-spaced with one column per page.
--Pages should not have printing on both sides.
--Please use black ink and number pages consecutively from beginning to 
end so that information can be located easily during review of the 
application. The 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 Section IV-6.1 of this document. Please do not use staples, paper 
clips, or fasteners. Nothing should be attached, stapled, folded, or 
pasted. Do not use heavy or lightweight paper or any material that 
cannot be copied using automatic copying machines. Odd-sized and 
oversized attachments such as posters will not be copied or sent to 
reviewers. Do not include videotapes, audiotapes, or CD-ROMs.
2.4 SAMHSA Confidentiality and Participant Protection Requirements and 
Protection of Human Subjects Regulations
    Applicants must describe procedures relating to Confidentiality, 
Participant Protection and the Protection of Human Subjects Regulations 
in Section H of the application, using the guidelines provided below. 
Problems with confidentiality, participant protection, and protection 
of human subjects identified during peer review of the application may 
result in the delay of funding.

    Confidentiality and Participant Protection:
    All applicants must describe how they will address the requirements 
for each of the following elements relating to confidentiality and 
participant protection.

1. Protect Clients and Staff From Potential Risks

     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.
     Describe the procedures you will follow to 
minimize or protect participants against potential risks, including 
risks to confidentiality.
     Identify plans to provide guidance and 
assistance in the event there are adverse effects to participants.
     Where appropriate, describe alternative 
treatments and procedures that may be beneficial to the participants. 
If you choose not to use these other beneficial treatments, provide the 
reasons for not using them.

2. Fair Selection of Participants

     Describe the target population(s) for the 
proposed project. Include age, gender, and racial/ethnic background and 
note if the population includes homeless youth, foster children, 
children of substance abusers, pregnant women, or other targeted 
groups.
     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.
     Explain the reasons for including or excluding 
participants.
     Explain how you will recruit and select 
participants. Identify who will select participants.

3. Absence of Coercion

     Explain if participation in the project is 
voluntary or required. Identify possible reasons why participation is 
required, for example, court orders requiring people to participate in 
a program.
     If you plan to compensate participants, state 
how participants will be awarded incentives (e.g., money, gifts, etc.).
     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

     Identify from whom you will collect data (e.g., 
from participants themselves, family members, teachers, others). 
Describe the data collection procedures and specify the sources for 
obtaining data (e.g., school records, interviews, psychological 
assessments, questionnaires, observation, or other sources). Where data 
are to be collected through observational techniques, questionnaires, 
interviews, or other direct means, describe the data collection 
setting.
     Identify what type of specimens (e.g., urine, 
blood) will be used, if any. State if the material will be used just 
for evaluation or if other use(s) will be made. Also, if needed, 
describe how the material will be monitored to ensure the safety of 
participants.
     Provide 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

     Explain how you will ensure privacy and 
confidentiality. Include who will collect data and how it will be 
collected.
     Describe:
     How you will use data collection instruments.
     Where data will be stored.
     Who will or will not have access to information.
     How the identity of participants will be kept 
private, for example, through the use of a coding system on data 
records, limiting access to records, or storing identifiers separately 
from data.

    Note: If applicable, grantees must agree to maintain the 
confidentiality of alcohol and drug abuse client records according 
to the provisions of Title 42 of the Code of Federal Regulations, 
Part II.

6. Adequate Consent Procedures

     List what information will be given to people 
who participate in the project. Include the type and purpose of their 
participation. Identify the data that will be collected, how the data 
will be used and how you will keep the data private.
     State:
     Whether or not their participation is voluntary.
     Their right to leave the project at any time 
without problems.
     Possible risks from participation in the 
project.
     Plans to protect clients from these risks.
     Explain how you will get consent for youth, the 
elderly, people with limited reading skills, and people who do not use 
English as their first language.

    Note: If the project poses potential physical, medical, 
psychological, legal, social or other risks, you must obtain written 
informed consent.


[[Page 10834]]


     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?
     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.

     Describe if separate consents will be obtained 
for different stages or parts of the project. For example, will they be 
needed for both participant protection in treatment intervention and 
for the collection and use of data?
     Additionally, if other consents (e.g., consents 
to release information to others or gather information from others) 
will be used in your project, provide a description of the consents. 
Will individuals who do not consent to having individually identifiable 
data collected for evaluation purposes be allowed to participate in the 
project?

7. Risk/Benefit Discussion

    Discuss why the risks are reasonable compared to expected benefits 
and importance of the knowledge from the project.
    Protection of Human Subjects Regulations:
    Applicants may have to comply with the Protection of Human Subjects 
Regulations (45 CFR part 46), depending on the evaluation and data 
collection requirements of the particular funding opportunity for which 
the applicant is applying or the evaluation design proposed in the 
application. 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).

3. 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.

4. Intergovernmental Review (E.O. 12372) Requirements

    Executive Order 12372, as implemented through Department of Health 
and Human Services (DHHS) regulation at 45 CFR Part 100, sets up a 
system for State and local review of applications for Federal financial 
assistance. A current listing of State Single Points of Contact (SPOCs) 
is included in the application kit and can be downloaded from the 
Office of Management and Budget (OMB) web site at www.whitehouse.gov/omb/grants/spoc.html.
     Check the list to determine whether your State 
participates in this program. You do not need to do this if you are a 
federally recognized Indian tribal government.
     If your State participates, contact your SPOC as 
early as possible to alert him/her to the prospective application(s) 
and to receive any necessary instructions on the State's review 
process.
     For proposed projects serving more than one 
State, you are advised to contact the SPOC of each affiliated State.
     The SPOC should send any State review process 
recommendations to the following address within 60 days of the 
application deadline: Substance Abuse and Mental Health Services 
Administration, Office of Program Services, Review Branch, 5600 Fishers 
Lane, Room 17-89, Rockville, Maryland, 20857, ATTN: SPOC--Funding 
Announcement No. [fill in pertinent funding opportunity number from the 
NOFA].
    In addition, community-based, non-governmental service providers 
who are not transmitting their applications through the State must 
submit a Public Health System Impact Statement (PHSIS) (approved by OMB 
under control no. 0920-0428; see burden statement below) to the head(s) 
of appropriate State or local health agencies in the area(s) to be 
affected no later than the pertinent receipt date for applications. The 
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 these requirements.
    The PHSIS consists of the following information:
     A copy of the face page of the application (SF 
424); and
     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

[[Page 10835]]

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:
     Applicants may request that the SSA send them a 
copy of any State comments.
     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).]

5. Funding Limitations/Restrictions

    Cost principles describing allowable and unallowable expenditures 
for Federal grantees, including SAMHSA grantees, are provided in the 
following documents:
     Institutions of Higher Education: OMB Circular 
A-21
     State and Local Governments: OMB Circular A-87
     Nonprofit Organizations: OMB Circular A-122
     Appendix E Hospitals: 45 CFR Part 74
    In addition, SAMHSA Infrastructure Grant recipients must comply 
with the following funding restrictions:
     Infrastructure grant funds must be used for 
purposes supported by the program.
     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.
     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.
     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.

6. Other Submission Requirements

6.1 Where To Send Applications
    Send applications to the following address: Substance Abuse and 
Mental Health Services Administration, Office of Program Services, 
Review Branch, 5600 Fishers Lane, Room 17-89, Rockville, Maryland, 
20857.
    Be sure to include the 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.
6.2 How To Send Applications
    Mail an original application and 2 copies (including appendices) to 
the mailing address provided above. The original and copies must not be 
bound. Do not use staples, paper clips, or fasteners. Nothing should be 
attached, stapled, folded, or pasted.
    You must use a recognized commercial or governmental carrier. Hand 
carried applications will not be accepted. Faxed or e-mailed 
applications will not be accepted.

V. Application Review Information

1. Evaluation Criteria

    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.
     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.
     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.
     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.''
     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.
     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)
     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.
     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.
     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.
     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.

[[Page 10836]]

     Check the NOFA for any additional requirements.
Section B: Proposed Approach (35 points)
     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.
     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.
     Provide a logic model (see Glossary) that 
demonstrates the linkage between the identified need, the proposed 
approach, and outcomes.
     If you plan to include an advisory body in your 
project, describe its membership, roles and functions, and frequency of 
meetings.
     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.
     Describe how the proposed project will address 
issues of age, race/ethnicity, culture, language, sexual orientation, 
disability, literacy, and gender in the target population.
     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.
     Describe the potential barriers to successful 
conduct of the proposed project and how you will overcome them.
     Describe how your activities will improve 
substance abuse prevention and/or treatment and/or mental health 
services.
     Provide a plan to secure resources to sustain 
the proposed infrastructure enhancements when Federal funding ends.
     Check the NOFA for any additional requirements.
Section C: Staff, Management, and Relevant Experience (25 points)
     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.]
     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.
     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.
     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.
     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.
     Check the NOFA for any additional requirements.
Section D: Evaluation and Data (30 points)
     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.
     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 justify 
any additional measures you plan to use for your grant project.
     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.
     Discuss the reliability and validity of 
evaluation methods and instrument(s) in terms of the gender/age/culture 
of the target population.
     Describe how collection, analysis and reporting 
of performance data will be integrated into the evaluation activities.
     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.

2. 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.
    Decisions to fund a grant are based on:
     The strengths and weaknesses of the application 
as identified by peer reviewers and, when appropriate, approved by the 
appropriate National Advisory Council;
     Availability of funds;
     Equitable distribution of awards in terms of 
geography (including urban, rural and remote settings) and balance 
among target populations and program size; and
     After applying the aforementioned criteria, the 
following method for breaking ties: When funds are not available to 
fund all applications with identical scores, SAMHSA will make award 
decisions based on the application(s) that received the greatest number 
of points by peer reviewers on the evaluation criterion in Section V-1 
with the highest number of possible points (Proposed Approach--35 
points). Should a tie still exist, the evaluation criterion with the 
next highest possible point value will be used, continuing sequentially 
to the evaluation criterion with the lowest possible point value, 
should that be necessary to break all ties. If an evaluation criterion 
to be used for this purpose has the same number of possible points as 
another evaluation criterion, the criterion listed first in Section V-1 
will be used first.

VI. Award Administration Information

1. 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.

[[Page 10837]]

2. Administrative and National Policy Requirements

2.1 General Requirements
     You must comply with all terms and conditions of 
the grant award. SAMHSA's standard terms and conditions are available 
on the SAMHSA web site at www.samhsa.gov/grants/2004/useful_info.asp.
     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:
     Actions required to be in compliance with human 
subjects requirements;
     Requirements relating to additional data 
collection and reporting;
     Requirements relating to participation in a 
cross-site evaluation; or
     Requirements to address problems identified in 
review of the application.
     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.
     In an effort to improve access to funding 
opportunities for applicants, SAMHSA is participating in the U.S. 
Department of Health and Human Services ``Survey on Ensuring Equal 
Opportunity for Applicants.'' This survey is included in the 
application kit for SAMHSA grants. Applicants are encouraged to 
complete the survey and return it, using the instructions provided on 
the survey form.

3. Reporting Requirements

3.1 Progress and Financial Reports
     Grantees 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.
     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.
     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.

3.2 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.

3.3 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:
     Provide the GPO and SAMHSA Publications 
Clearance Officer with advance copies of publications.
     Include acknowledgment of the SAMHSA grant 
program as the source of funding for the project.
     Include a disclaimer stating that the views and 
opinions contained in the publication do not necessarily reflect those 
of SAMHSA or the U.S. Department of Health and Human Services, and 
should not be construed as such.
    SAMHSA reserves the right to issue a press release about any 
publication deemed by SAMHSA to contain information of program or 
policy significance to the substance abuse treatment/substance abuse 
prevention/mental health services community.

VII. Agency Contacts

    The NOFAs provide contact information for questions about program 
issues.
    For questions on grants management issues, contact:
Gwendolyn Simpson (CMHS), Office of Program Services, Division of 
Grants Management, Substance Abuse and Mental Health Services 
Administration, 5600 Fishers Lane, Room 13-103, Rockville, MD 20857, 
(301) 443-4456, [email protected].
Edna Frazier (CSAP), Office of Program Services, Division of Grants 
Management, Substance Abuse and Mental Health Services Administration, 
5600 Fishers Lane, Rockwall II, Suite 630, Rockville, MD 20857, (301) 
443-6816, [email protected].
Kathleen Sample (CSAT), Office of Program Services, Division of Grants 
Management, Substance Abuse and Mental Health Services Administration, 
5600 Fishers Lane, Rockwall II, Suite 630, Rockville, MD 20857, (301) 
443-9667, [email protected].

Appendix A--Checklist for Formatting Requirements and Screenout 
Criteria for SAMHSA Grant Applications

    SAMHSA's goal is to review all applications submitted for grant 
funding. However, this goal must be balanced against SAMHSA's 
obligation to ensure equitable treatment of applications. For this 
reason, SAMHSA has established certain formatting requirements for 
its applications. If you do not adhere to these requirements, your 
application will be screened out and returned to you without review. 
In addition to these formatting requirements, programmatic 
requirements (e.g., relating to eligibility) may be stated in the 
specific 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.

--Use the PHS 5161-1 application.
--Applications must be received by the application deadline. 
Applications received after this date must have a proof of mailing 
date from the carrier dated at least 1 week prior to the due date. 
Private metered postmarks are not acceptable as proof of timely 
mailing. Applications not received by the application deadline or 
not postmarked at least 1 week prior to the application deadline 
will not be reviewed.
--Information provided must be sufficient for review.
--Text must be legible.

     Type size in the 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.)

[[Page 10838]]

     Text in the Project Narrative cannot exceed 6 
lines per vertical inch.

--Paper must be white paper and 8.5 inches by 11.0 inches in size.
--To ensure equity among applications, the amount of space allowed 
for the 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 the Project Narrative 
stated in the specific funding 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.

--The page limit for Appendices stated in the specific funding 
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)

--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 lightweight paper or any 
material that cannot be copied using automatic copying machines. 
Odd-sized and oversized attachments such as posters will not be 
copied or sent to reviewers. Do not include videotapes, audiotapes, 
or CD-ROMs.

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

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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.
    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: February 26, 2004.
Daryl Kade,
Director, Office of Policy, Planning and Budget, Substance Abuse and 
Mental Health Services Administration.

[FR Doc. 04-4692 Filed 3-5-04; 8:45 am]
BILLING CODE 4162-20-P