[Federal Register Volume 69, Number 45 (Monday, March 8, 2004)]
[Notices]
[Pages 10852-10863]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 04-4694]


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DEPARTMENT OF HEALTH AND HUMAN SERVICES

Substance Abuse and Mental Health Services Administration


Notice of Republication of Standard Service to Science Grants 
Announcement

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

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

ACTION: Notice of republication of Standard Service to Science 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 serve the public unless revised and republished. This is a 
republication of the Service to Science 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.
    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 
Service to Science Grants announcement.

DATES: Use of the republished standard Service to Science Grants 
announcement will be effective March 8, 2004. The standard Service to 
Science 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 Service to Science 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 Service 
to Science 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 Service to Science Grants 
announcement is provided below.
    The standard Service to Science 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

Service-to-Science Grants--STS 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 
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 60 days after application deadline.
    Public Health System Impact Statement (PHSIS)/Single State Agency 
Coordination: Applicants must send the PHSIS to appropriate State and 
local health agencies by application deadline. Comments from Single 
State Agency are due 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

[[Page 10853]]

    1. Eligible Applicants
    2. Cost Sharing
    3. Other
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 Service-to-
Science grants. These grants will document and evaluate innovative 
practices that address critical substance abuse and mental health 
service gaps but have not yet been formally evaluated. Applicants who 
seek to stabilize, document, and evaluate promising practices for 
mental health and/or substance abuse treatment, prevention, and support 
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.
     Infrastructure Grants support identification and 
implementation of systems changes but are not designed to fund 
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.
    This announcement describes the general program design and provides 
application instructions for all SAMHSA Service-to-Science Grants. The 
availability of funds for specific Service-to-Science 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.
    SAMHSA's Service-to-Science 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 Service-to-Science 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, award size, 
allowable activities).
    It is, therefore, critical that you consult the NOFA as well as 
this announcement in developing your grant application.

2. Expectations

    While there is a well-established evidence base for many behavioral 
health practices, critical service gaps exist for which there is no 
formal evidence base. Stakeholders have developed many innovative 
practices to fill these gaps, but they may lack the expertise and/or 
resources to formally document and evaluate their practices. 
Consequently, it is not clear whether these innovative practices are 
effective, and they are not disseminated widely. SAMHSA seeks to 
encourage continued development of evidence-based practices to fill 
service gaps by documenting and evaluating promising stakeholder-
initiated practices. This program will help organizations that have 
identified promising new practices to evaluate and package those 
innovations for review and inclusion in the National Registry of 
Effective Programs (NREP) as well as for further research.
2.1 Program Design
    SAMHSA will fund Service-to-Science grants in two phases. You may 
apply for Phase I and II combined or for Phase II alone. Applications 
for Phase I alone will not be accepted.
    Phase I provides support for up to 2 years to stabilize and 
document an existing practice that fills an identified gap. During 
Phase I, you may:
     Further develop or refine the promising 
practice;
     Develop training and practice manuals;
     Train persons who are implementing the practice;
     More systematically implement the practice;
     Develop measurement instruments; and
     Ensure that the intended target population (see 
Glossary) is being reached by the practice.
    The desired endpoint of Phase I is readiness to conduct a high-
quality, systematic evaluation.
    Phase II provides support for 1-3 years to evaluate the success of 
the practice. The purpose of Phase II is to conduct a high-quality, 
systematic evaluation to document short-term outcomes and demonstrate 
that the practice is worthy of an experimental study. On the basis of 
the evaluation, you may need to further refine the practice and further 
refine the practice manual. The evaluation may use a pre-post approach, 
an open trial model, other quasi or non-experimental model, or an 
experimental model.
    The desired endpoint for Phase II is readiness to submit the 
practice for inclusion in SAMHSA's NREP and/or to submit applications 
to various research institutions for additional research.
    SAMHSA's Service-to-Science grants will provide support to 
stabilize practices so that they may be documented and evaluated. 
However, these grants are not intended to support development of 
entirely new practices. The practices must be in place and operational 
for at least one year prior to application, and you must have at least 
anecdotal evidence that the practice is effective.
    You may apply for a combination of Phases I and II in a single 
grant application if you have identified a priority gap for which a 
fully developed and documented practice currently does not exist.
     During Phase I, you will further develop and 
document the practice.
     During Phase II, you will evaluate the practice.
    At the conclusion of Phase I, SAMHSA staff will review your 
progress to determine whether Phase II is warranted. This decision will 
be based on review of the documentation required by the end of Phase I, 
as described under the Performance Expectations section below. You must 
provide compelling evidence that the practice has been sufficiently 
developed and documented to be evaluated and has produced positive 
results.
    For practices that are already fully developed, implemented, 
stabilized, and documented but that have not yet

[[Page 10854]]

been formally evaluated, you may apply for Phase II only. Applications 
for Phase I alone will not be accepted.
    Depending on your readiness, you may receive a combination of 
Phases I and II for a period of up to, but not more than, 5 years. You 
may apply for a shorter grant period than the maximum, and SAMHSA may 
award a grant for a shorter time period than you request.
2.2 Establishing Need
    Service-to-Science grants are intended to develop solutions to 
widespread needs. This grant program is not intended to address a local 
community's need for funds to solve a local problem. Therefore, you 
must demonstrate that the broader substance abuse and/or mental health 
field--not just your local community--has a need for the practice. You 
must also show that no well-documented solution to the problem exists, 
and that your local community can support an evaluation that will 
increase the knowledge base of the field.
2.3 Allowable Activities
Phase I: Practice Development and Documentation
    In Phase I, you will further develop and document the practice. The 
types of activities that may be needed and that are allowable include, 
but are not limited to, the following:

 Strategic planning
 Convening stakeholder meetings
 Training of practitioners
 Efforts to overcome policy and funding barriers to 
practice stability
 Development of an action plan for systematizing and 
stabilizing the practice
 Development of a practice support system
 Developing needed partnerships for ongoing 
implementation
 Logic model development
 Documentation of core elements of the practice
 Practice manual development
 Measurement instrument development/selection
 Participant recruitment
 Development of quality assurance and accountability 
mechanisms
 Implementation and refinement of the practice
 Implementation process evaluation
 Management information system development
 Collection of pilot outcome data
Phase II: Practice Evaluation
    During Phase II, SAMHSA will (if necessary) continue to fund 
implementation of the practice being evaluated. Other types of 
allowable activities include, but are not limited to, the following:

 Convening relevant stakeholder meetings
 Alignment of management information systems with 
data collection needs
 Training evaluators
 Measurement instrument development/selection
 Data collection
 Database management
 Data and cost analysis
 Dissemination of results
 Refinement of logic model and practice manual based 
on evaluation results
2.4 Performance Expectations
    All grantees will be expected to meet the following performance 
requirements by the end of their grant projects.
Phase I
    By the end of Phase I, documentation for the practice must include:
     A logic model depicting the principles and 
concepts underlying the practice.
     A manual describing the practice in detail that 
would allow others to replicate the practice.
     Documentation of how critical stakeholders were 
included in the development of the practice.
     A detailed description of the population that 
the practice is designed to serve, and demographic characteristics of 
the people served by the practice over the past year.
     Documentation that the number of people being 
served by the practice has been stabilized.
     Documentation of the number and percentage of 
staff trained in the practice, and a mechanism for ongoing training for 
any new staff.
     A process evaluation demonstrating that the 
practice is in full operation and that a routine service delivery 
process is in place.
     Pilot outcome results. (Note: Collection of 
these data need not include an extensive set of outcomes systematically 
collected on all participants, but quantitative project data should 
provide some indication that key outcomes are being achieved.)
Phase II
    By the end of Phase II, the evaluation of the practice must have 
demonstrated that:
     Key outcome measures have been clearly 
identified and defined.
     Participant data collection systems are in place 
that include:
 Demographic characteristics
 Practice outcomes
 Service utilization
 Service delivery costs
 Satisfaction with services

     Demographic characteristics of participants, as 
well as the types of services that participants have received, are 
consistent with expectations based on the logic model for the practice.
     Service delivery patterns are stable.
     A fidelity scale has been developed for 
assessing the integrity of the practice, and the practice has been 
implemented with fidelity according to the scale.
     Systematically collected short-term outcome 
measures indicate meaningful results.
     Consumers, family members, and other critical 
stakeholders are satisfied with the practice.
    In addition, at the end of Phase II, grantees must:
     Demonstrate how consumers, family members, and 
other critical stakeholders participated in the evaluation of the 
practice.
     Demonstrate how the practice will be sustained 
over the 5 years following the end of the grant period.
     As appropriate, submit the practice to the 
SAMHSA National Registry of Effective Programs (NREP).
     Demonstrate the willingness of those who 
initiated the practice to participate in rigorous research over the 
next 5 years (e.g., through submission of grant applications to the 
National Institutes of Health, private foundations, or other research 
funding sources; through formal agreements between practice initiators 
and researchers; etc.)
2.5 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

[[Page 10855]]

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.
2.6 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.

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.
    You may apply for either a combined Phase I & II grant or for a 
Phase II only grant.
     Awards for Phase I of the combined grants are 
for up to $150,000 (direct and indirect costs) per year for up to 2 
years.
     Awards for Phase II are $300,000-$500,000 
(direct and indirect costs) per year for 1-3 years.
     Awards for combined Phase I and II grants may 
not exceed 5 years.
    Phase II funding will be approved only if you provide compelling 
evidence that the practice has been sufficiently developed and 
documented to be evaluated and has produced positive results.
    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.

                                                  Summary Table
----------------------------------------------------------------------------------------------------------------
                                                     Years of           Application       Funding level  (direct
          Phase               Activity focus          support           requirement         and indirect costs)
----------------------------------------------------------------------------------------------------------------
I.......................  Practice Development               0-2  Optional..............  Up to $150,000 per
                           and Documentation.                                              year.
II......................  Practice Evaluation...             1-3  Required..............  $300,000-$500,000 per
                                                                                           year.
                                                 ----------------
                          Total.................             1-5                          ......................
----------------------------------------------------------------------------------------------------------------

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.
    Though not required, SAMHSA encourages community-based providers 
and independent researchers to partner when applying for Service-to-
Science grants. Such partnerships will use the expertise of each 
partner to ensure sound service delivery, high-quality evaluation, 
independent results, and relevance of the evaluation design to service 
delivery outcomes.

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 program requirements 
specified in the NOFA, such as the required signature of certain 
officials on the face page of the application and/or required memoranda 
of understanding with certain signatories.

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).

[[Page 10856]]

     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, 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 be no 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 PHS 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 be no 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, the 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.
     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, 4, and 5. There are no page 
limitations for Appendices 2 and 3. 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: Documentation of the Practice (Phase 
II only applicants).
     Appendix 3: Data Collection Instruments/
Interview Protocols.
     Appendix 4: Sample Consent Forms.
     Appendix 5: Letter to the SSA (if applicable; 
see Section IV-4 of this document).

--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 form SF 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.

[[Page 10857]]

--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 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, 4 and 5 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, 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.
2.4 Confidentiality and Human Subjects Protection
    Applicants must describe procedures relating to Confidentiality and 
the Protection of Human Subjects Regulations in Section H of the 
application, using the guidelines provided below. Problems with 
confidentiality 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 3: 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,

[[Page 10858]]

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.

     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 4, ``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

    All applicants for Service-to-Science grants must comply with the 
Protection of Human Subjects Regulations (45 CFR part 46).
    Applicants 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, you 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 participants 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 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.

[[Page 10859]]

    For SAMHSA grants, the appropriate State agencies are the Single 
State Agencies (SSAs) for substance abuse and mental health. A listing 
of the SSAs can be found on SAMHSA's web site at www.samhsa.gov. If the 
proposed project falls within the jurisdiction of more than one State, 
you should notify all representative SSAs.
    Applicants who are not the SSA must include a copy of a letter 
transmitting the PHSIS to the SSA in Appendix 4, ``Letter to the SSA.'' 
The letter must notify the State that, if it wishes to comment on the 
proposal, its comments should be sent not later than 60 days after the 
application deadline to: Substance Abuse and Mental Health Services 
Administration, Office of Program Services, Review Branch, 5600 Fishers 
Lane, Room 17-89, Rockville, Maryland, 20857, Attn: SSA--Funding 
Announcement No. [fill in pertinent funding opportunity number from 
NOFA].
    In addition:
     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 Service-to-Science grant funds may not be used 
to:
     Pay for any lease beyond the project period.
     Provide services to incarcerated populations 
(defined as those persons in jail, prison, detention facilities, or in 
custody where they are not free to move about in the community).
     Pay for the purchase or construction of any 
building or structure to house any part of the program. (Applicants may 
request up to $75,000 for renovations and alterations of existing 
facilities, if necessary and appropriate to the project.)
     Provide residential or outpatient treatment 
services when the facility has not yet been acquired, sited, approved, 
and met all requirements for human habitation and services provision. 
(Expansion or enhancement of existing residential services is 
permissible.)
     Pay for housing other than residential mental 
health and/or substance abuse treatment.
     Provide inpatient treatment or hospital-based 
detoxification services. Residential services are not considered to be 
inpatient or hospital-based services.
     Pay for incentives to induce clients to enter 
treatment. However, a grantee or treatment provider may provide up to 
$20 or equivalent (coupons, bus tokens, gifts, childcare, and vouchers) 
to clients as incentives to participate in required data collection 
follow-up. This amount may be paid for participation in each required 
interview.
     Implement syringe exchange programs, such as the 
purchase and distribution of syringes and/or needles.
     Pay for pharmacologies for HIV antiretroviral 
therapy, sexually transmitted diseases (STDs)/sexually transmitted 
illnesses (STI), TB, and hepatitis B and C, or for psychotropic drugs.

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 through 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 (15 Points)
     Describe the problem the project will address. 
Describe the national significance of the problem. Documentation of 
need may come from a variety of qualitative and quantitative sources in 
the professional literature. The quantitative data could also come from 
national data available regarding mental health and substance use 
needs, gaps, and priorities. For example:
     Applications focusing on substance abuse might 
draw from SAMHSA's National Household Survey on Drug Use

[[Page 10860]]

and Health (NHSDUH); Drug Abuse Warning Network (DAWN); and Drug and 
Alcohol Services Information System (DASIS), which includes the 
Treatment Episode Data Set (TEDS).
     Applications focusing on mental health might 
draw on data available from the National Association of State Mental 
Health Program Directors (NASMHPD), SAMHSA (www.samhsa.gov/cmhs/MentalHealthStatistics), or other sources.
    Qualitative sources may also include conclusions of conferences and 
events of national significance.
     Describe the target population for the practice, 
including 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
     Review the literature that demonstrates a need 
to develop or adapt an effective practice for the target population. 
Demonstrate through the literature review that current evidence-based 
approaches to the problem do not exist or have not been evaluated for 
the specific target populations, or that approaches of greater clinical 
or cost effectiveness are needed.
     Demonstrate that the need in the community in 
which the project will be carried out is of sufficient magnitude that 
an adequate evaluation of the practice can be conducted. To the extent 
possible, use locally generated data or State data such as that 
available through State needs assessments.
     Check the NOFA for any additional requirements.
Section B: Proposed Approach (30 Points)
     Describe the practice proposed for evaluation. 
Document that the practice has been in place and operational for at 
least one year prior to the application due date.
     Describe how the proposed practice will respond 
to the needs described in Section A of your Project Narrative.
     Discuss the potential effectiveness of the 
practice proposed for evaluation. Why has this practice been selected? 
Present the theoretical underpinnings, core principles, and major 
assumptions of the proposed practice. Outline the key operational 
elements of the practice and summarize any relevant literature.
     Identify any necessary collaborators on the 
project, including their roles and responsibilities. Demonstrate their 
commitment to the project. Include letters of support in Appendix 1: 
Letters of Support. Identify any cash or in-kind contributions that 
will be made to the project by the applicant or other partnering 
organizations.
     Describe your experience with similar 
collaborative projects, and explain why you believe you will be able to 
sustain this collaboration throughout the project period.
     If applying for combined Phase I and II, 
describe the extent to which the practice has been previously 
developed, implemented, stabilized, and documented. Include a 
description of the extent to which the support system needed for full 
implementation of the proposed practice is in place--e.g., community 
collaboration and consensus building; alignment of management 
information systems, policies, and funding mechanisms; documentation of 
core elements of the practice; reliable recruitment and intake 
procedures; quality assurance and accountability mechanisms; training 
and overall readiness of those implementing the practice; and 
involvement of families and consumers in the project.
     If applying for Phase II only, show that the 
practice is ready for systematic evaluation by providing documentation, 
in Appendix 2, that includes all of the following:
     A logic model depicting the principles and 
concepts underlying the practice.
     A copy of the Title Page and Table of Contents 
for a manual describing the practice in detail that would allow others 
to replicate the practice, and details on how the manual can be 
acquired.
     Documentation of how critical stakeholders were 
included in the development of the practice.
     A detailed description of the population that 
the practice is designed to serve, and demographic characteristics of 
the people served by the practice over the past year.
     Demonstration of stability in the number of 
people being served by the practice.
     Documentation that staff are trained in the 
practice (via the number and percentage of staff trained), and a 
mechanism for ongoing training for any new staff.
     Evidence demonstrating that the practice is in 
full operation and that a routine service delivery process is in place.
     Pilot outcome results. (Note: Collection of 
these data need not include an extensive set of outcomes systematically 
collected on all participants, but quantitative project data should 
provide some indication that key outcomes are being achieved.)
     Present the goals and measurable objectives of 
the project. Describe why the practice can better be evaluated for 
effectiveness following completion of the grant activities. For 
applications that include Phase I, include in your description how 
achievement of your goals will fulfill the Performance Expectations 
cited in Section I-2 of this document.
     Describe the action steps to accomplish the 
goals and objectives. Demonstrate that the action steps will lead to 
successful accomplishment of the goals and objectives.
     Describe the potential barriers to successful 
conduct of the proposed project and how you will overcome them.
     Describe how the proposed project will address 
issues of age, race/ethnicity, culture, language, sexual orientation, 
disability, literacy, and gender in the target population.
     Check the NOFA for any additional requirements.
Section C: Evaluation Design and Analysis (40 Points)
     Describe in detail your evaluation design for 
determining the effectiveness of the practice. For applications that 
include Phase I, describe your process evaluation to determine that the 
practice is in full operation, as well as how you will track the number 
and percentage of staff fully trained in the practice.
     Describe the process and outcome evaluation 
protocols you intend to use. Include in Appendix 3 evaluation 
instruments to be used. Describe any literature or pilot testing done 
to verify the validity and reliability of the instruments to be used or 
how you plan to develop the instruments during the grant period.
     Discuss the reliability and validity of 
evaluation methods and instrument(s) in terms of the gender/age/culture 
of the target population.
     Describe how you will develop and manage a 
database management system to record participant demographic 
characteristics, practice outcomes, service utilization, practice 
costs, and satisfaction of stakeholders with the practice.
     Describe how the integrity of the practice will 
be assessed using a fidelity (see Glossary) scale. If no fidelity scale 
currently exists for the practice, describe the process by which you 
will develop one during the grant period. Describe how you will 
document and assess changes to the model that occur throughout the 
project.
     Document your ability to collect and report on 
the required performance measures as specified in the NOFA, including 
data required by SAMHSA to meet GPRA requirements. Specify and

[[Page 10861]]

justify any additional measures you plan to use for your grant project.
     Describe how you will analyze the data 
collected. Include any analyses that will be done to determine the 
effectiveness of the practice for diverse subgroups, as well as the 
satisfaction of various stakeholder groups with the practice.
     Describe how your process evaluation will 
document the role of critical stakeholders in the development and/or 
evaluation of the practice.
     Check the NOFA for any additional requirements.
Section D: Management Plan and Staffing (15 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 members who will conduct 
the project, showing the role of each and their level of effort and 
qualifications. Include the Project Director and other key personnel, 
such as evaluators and database management 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.
     If you plan to include an advisory body in your 
project, describe its membership, roles and functions, and frequency of 
meetings.
     Describe the resources available for the 
proposed project (e.g., facilities, equipment), and provide evidence 
that resources are adequate for conducting a high-quality evaluation of 
the identified practice.
     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 the peer review committee and approved by the 
appropriate National Advisory Council;
     Availability of funds; 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 (Evaluation Design and 
Analysis--40 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.

2. Administrative and National Policy Requirements

     You must comply with terms and conditions of the 
grant award. Standard SAMHSA terms and conditions are available on 
SAMHSA's 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 treatment or prevention 
service efforts are sustained, your financial reports should 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.

[[Page 10862]]

     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 (GPRA)
    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 12-103, 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.)
     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

[[Page 10863]]

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

Appendix B--Glossary

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

Appendix C--Logic Model Resources

    Chen, W.W., Cato, B.M., & Rainford, N. (1998-9). Using a logic 
model to plan and evaluate a community intervention program: A case 
study. International Quarterly of Community Health Education, 18(4), 
449-458.
    Edwards, E.D., Seaman, J.R., Drews, J., & Edwards, M.E. (1995). 
A community approach for Native American drug and alcohol prevention 
programs: A logic model framework. Alcoholism Treatment Quarterly, 
13(2), 43-62.
    Hernandez, M. & Hodges, S. (2003). Crafting Logic Models for 
Systems of Care: Ideas into Action. [Making children's mental health 
services successful series, volume 1]. Tampa, FL: University of 
South Florida, The Louis de la Parte Florida Mental Health 
Institute, Department of Child & Family Studies. http://cfs.fmhi.usf.edu or phone (813) 974-4651.
    Hernandez, M. & Hodges, S. (2001). Theory-based accountability. 
In M. Hernandez & S. Hodges (Eds.), Developing Outcome Strategies in 
Children's Mental Health, pp. 21-40. Baltimore: Brookes.
    Julian, D.A. (l997). 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. 04-4694 Filed 3-5-04; 8:45 am]
BILLING CODE 4162-20-P