[Federal Register Volume 69, Number 56 (Tuesday, March 23, 2004)]
[Notices]
[Pages 13559-13563]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 04-6375]


-----------------------------------------------------------------------

DEPARTMENT OF HEALTH AND HUMAN SERVICES

Substance Abuse and Mental Health Services Administration


Funding Opportunity Title: Residential Treatment for Pregnant and 
Postpartum Women and Residential Treatment for Women and Their Children 
(Short Title: PPW/RWC)

    Announcement Type: Initial.
    Funding Opportunity Number: TI 04-004.
    Catalog of Federal Domestic Assistance (CFDA) Number: 93.243.
    Due Date for Applications: June 2, 2004.
    (Note: Letters from State Single Point of Contact (SPOC) in 
response to E.O. 12372 are due August 2, 2004.)
SUMMARY: The Substance Abuse and Mental Health Services Administration 
(SAMHSA), Center for Substance Abuse Treatment (CSAT), announces the 
availability of FY 2004 funds for Residential Treatment for Pregnant 
and Postpartum Women and Residential Treatment for Women and Their 
Children (Short Title: PPW/RWC). A synopsis of this funding 
opportunity, as well as many other Federal Government funding 
opportunities, are also available at the Internet site: http://www.grants.gov.
    For complete instructions, potential applicants must obtain a copy 
of SAMHSA's standard Services Grants Program Announcement (SVC-04 PA 
(MOD)), and the PHS 5161-1 (Rev. 7/00) application form before 
preparing and submitting an application. The SVC-04 PA (MOD) describes 
the general program design and provides instructions for applying for 
all SAMHSA Services Grants, including the PPW/RWC program. SAMHSA's 
Services Grants provide funds to expand and strengthen effective, 
culturally appropriate substance abuse and mental health services at 
the State and local levels. The services implemented through SAMHSA's 
Services Grants must incorporate the best objective information 
available regarding effectiveness and acceptability. In general, these 
grants are appropriate for applicants seeking Federal support to 
implement substance abuse and mental health services that have a strong 
evidence-base for effectiveness. SAMHSA's Services Grants must be used 
primarily to support direct service delivery. SAMHSA expects that the 
services will be sustained beyond the term of the grant. Additional 
instructions and specific requirements for this funding opportunity are 
described below.

I. Funding Opportunity Description

    Authority: Section 509 of the Public Health Service Act, as 
amended and subject to the availability of funds.

    The purpose of PPW/RWC grants is to expand the availability of 
comprehensive, high quality residential substance abuse treatment 
services for low-income (as defined by Federal poverty definitions) 
women, age 18 and over, who are pregnant, postpartum (the period after 
childbirth up to12 months), or other parenting women, and their minor 
children, age 17 and under, who

[[Page 13560]]

have limited access to quality health services. SAMHSA/CSAT has 
identified traditionally underserved populations, especially racial and 
ethnic minority women, as important subpopulations.
    For purposes of this grant announcement, residential treatment 
programs are programs that offer organized substance abuse treatment 
services that feature a planned regimen of care in a safe 24-hour 
residential setting with staff supervision. If treatment services are 
provided off-site, they must be well coordinated and integrated to 
ensure that specific aspects of the individual treatment plan and 
services for the children can be addressed in both facilities. Such 
services must be coupled with access to primary health, mental health 
and social services for pregnant, postpartum, and other parenting women 
who suffer from alcohol and drug use problems, and for their minor 
children impacted by the perinatal and environmental effects of 
maternal substance use and abuse. These systems of care must be 
designed to improve the overall treatment outcomes for the woman, her 
children, and the family unit as a whole. For those minor children who 
do not reside in the treatment facility, it is important that they are 
actively engaged in the treatment process with their mothers. 
Applicants are required to: (1) Identify state-of-the-art clinical and 
service delivery approaches that are gender-specific and culturally 
appropriate for women and their minor children; and (2) utilize 
effective strategies for outreach, engagement, and retention of women 
in treatment.
    Projects must expand or create additional treatment services that 
contribute to a comprehensive continuum of care. To accomplish a 
comprehensive service system, SAMHSA/CSAT expects that applicant 
organizations will need to partner with other organizations. As 
evidence of these partnerships, SAMHSA/CSAT requires applicants to have 
written memoranda of understanding/agreement (MOU/MOA) signed by the 
authorizing official in all partnership agencies and organizations that 
are critical to the success of the project. These partnership agencies 
and organizations may include local public housing authorities (for 
permanent housing for families), child welfare, health, mental health, 
and child serving agencies, family court, criminal justice, employment 
and education programs, and other public and private partners.
    Background: According to the 1999 National Household Survey on Drug 
Abuse (NHSDA), almost 4 percent of pregnant females aged 15 to 44 used 
illicit drugs (i.e., marijuana, including hashish; cocaine, including 
crack; heroin; hallucinogens, including PCP and LSD; inhalants; or any 
prescription-type psychotherapeutic used non-medically) during the 
month before the survey. Of these, 3.4 percent of pregnant females aged 
15 to 44 had used a single illicit drug in the past month, and 0.3 
percent had used two or more drugs.
    A recent NIDA study shows that children exposed to alcohol and 
illicit drugs are at-risk for birth defects, mental retardation, and 
later behavioral and learning difficulties. Other studies reveal that 
children who are raised by drug abusing adults tend to exhibit a wide 
range of developmental, mental health and behavioral problems, and are 
themselves at higher risk for using alcohol and other drugs.
    SAMHSA/CSAT is especially concerned about the high morbidity and 
mortality rates of African American pregnant women and their infants. 
African American pregnant women tend to use illicit drugs at a higher 
rate than any other population of pregnant women. Data from the 2002 
National Survey on Drug Use and Health found that among pregnant women 
15 to 44 years of age, 6.2 percent of African American women reported 
illicit drug use in the month prior to survey compared to 3.6 percent 
of white women. The effects of illicit drug use by women during the 
prenatal period are well documented in the literature to include 
inadequate prenatal care, premature labor, low birth weight infants, 
and other adverse outcomes. The National Center for Health Statistics 
reports persistent racial/ethnic disparities in infant mortality. From 
1997-2001, the infant mortality rate for babies born to African 
American mothers was 14.0 per 1000 births while the rate for babies 
born to Caucasian mothers was 5.7 per 1000.
    A CSAT cross-site evaluation study of PPW/RWC projects found 
strikingly positive treatment outcomes on low birth weight (LBW) 
deliveries, premature deliveries, and infant deaths. These outcomes 
were compared to outcomes for women in the general population and to 
the best available estimates of the rates of adverse outcomes that 
would have been likely had women continued abusing drugs throughout 
their pregnancies. The rate of LBW delivery among women in treatment 
was 5.8% compared to 7.5% for a national sample, and 34% for a 
comparison of women testing positive for cocaine at delivery. The rate 
of premature delivery among women in treatment was 7.3% compared to the 
national sample of 11.4% and a cocaine-using sample of 27%. The rate of 
infant death for women in treatment was 0.4% compared to the national 
sample of 0.7% and the cocaine-using sample of 1.2%.
    The effects of alcohol and drug use have negative consequences for 
women, their children, and the entire family. Providing comprehensive 
treatment services significantly improves the quality of life for women 
and their children.

II. Award Information

    1. Estimated Funding Available/Number of Awards: It is expected 
that up to $7 million will be available to fund up to 14 awards in FY 
2004. The maximum allowable award is $500,000 in total costs (direct 
and indirect) per year for up to 3 years. Proposed budgets cannot 
exceed the allowable amount in any year of the proposed project. The 
actual amount available for the awards may vary, depending on 
unanticipated program requirements and the number and quality of the 
applications received. Annual continuations will depend on the 
availability of funds, grantee progress in meeting program goals and 
objectives, and timely submission of required data and reports.
    2. Funding Instrument: Grant.

III. Eligibility Information

    1. 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 prohibits grants to for-profit 
organizations.
    Applications for SAMHSA Services Grants must include evidence of 
experience and credentials as described in Section III-3 of the SVC-04 
PA (MOD). Applications that do not include the required evidence will 
be screened out and will not be reviewed.
    2. Cost Sharing or Matching is not required.
    3. Other: Applicants must also meet certain application formatting 
and submission requirements or the application will be screened out and 
will not be reviewed. These requirements are described in Section IV-2 
below as well as in the SVC-04 PA (MOD).

IV. Application and Submission Information

    1. Address to Request Application Package: Complete application 
kits may be obtained from: the National Clearinghouse for Alcohol and 
Drug Information (NCADI) at 1-800-729-

[[Page 13561]]

6686. When requesting an application kit for this program, the 
applicant must specify the funding opportunity title (PPW/RWC) and the 
funding opportunity number (TI 04-004). All information necessary to 
apply, including where to submit applications and application deadline 
instructions, is included in the application kit. The PHS 5161-1 
application form is also available electronically via SAMHSA's World 
Wide Web Home Page: http://www.samhsa.gov. (Click on `Grant 
Opportunities') and the SVC-04 PA (MOD) is available electronically at 
http://www.samhsa.gov/grants/2004/standard/Services/index.asp. When 
submitting an application, be sure to type ``TI 04-004, PPW/RWC'' in 
Item Number 10 on the face page of the application form. Also, SAMHSA 
applicants are required to provide a DUNS Number on the face page of 
the application. To obtain a DUNS Number, access the Dun and Bradstreet 
web site at http://www.dunandbradstreet.com or call 1-866-705-5711.
    Because grantees in the PPW/RWC program may use grant funds to 
provide direct substance abuse services, applicants are required to 
complete the Assurance of Compliance with SAMHSA Charitable Choice 
Statutes and Regulations, form SMA 170. This form will be posted on 
SAMHSA's web site with the NOFA and provided in the Application kits 
available at NCADI.
    2. Content and Form of Application Submission: Information 
including required documents, required application components, and 
application formatting requirements is available in the SVC-04 PA (MOD) 
in Section IV-2.

Checklist for Application Formatting Requirements

    SAMHSA's goal is to review all applications submitted for grant 
funding. However, this goal must be balanced against SAMHSA's 
obligation to ensure equitable treatment of applications. For this 
reason, SAMHSA has established certain formatting requirements for its 
applications. If you do not adhere to these requirements, your 
application will be screened out and returned to you without review.
     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 
SVC-04 PA (MOD).
     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 SVC-
04 PA (MOD) 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, as 
indicated in the SVC-04 PA (MOD).
     Budgetary limitations as indicated in Sections 
I, II, and IV-5 of the SVC-04 PA (MOD).
     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.
    3. Submission Dates and Times: Applications must be received by 
June 2, 2004. You will be notified by postal mail that your application 
has been received. Additional submission information is available in 
the SVC-04 PA (MOD) in Section IV-3.
    4. Intergovernmental Review: Applicants for this funding 
opportunity must comply with Executive Order 12372 (E.O.12372). 
E.O.12372, as implemented through Department of Health and Human 
Services (DHHS) regulation at 45 CFR Part 100, sets up a system for 
State and local review of applications for Federal financial 
assistance. Instructions for complying with E.O. 12372 are provided in 
the SVC-04 PA (MOD) in Section IV-4. A current listing of State Single 
Points of

[[Page 13562]]

Contact (SPOCs) is included in the application kit and is available at 
http://www.whitehouse.gov/omb/grants/spoc.html.
    5. Funding Restrictions: Information concerning funding 
restrictions is available in the SVC-04 PA (MOD) in Section IV-5.

V. Application Review Information

    1. Evaluation Criteria: Applications will be reviewed against the 
Evaluation Criteria and requirements for the Project Narrative 
specified in the SVC-04 PA (MOD). The following information describes 
exceptions or limitations to the SVC-04 PA (MOD) and provides special 
requirements that pertain only to PPW/RWC grants. Applicants must 
discuss the following requirements in their applications, in addition 
to the requirements specified in the SVC-04 PA (MOD):
    1.1 In ``Section B: Proposed Evidence-Based Service/Practice'':
    a. Applicants must demonstrate that residential treatment services 
will be provided to pregnant, postpartum, or other parenting women and 
their minor children.
    b. Applicants must identify state-of-the art clinical and service 
delivery approaches that are gender-specific and culturally appropriate 
for women and also age appropriate for their minor children. Applicants 
must also discuss effective strategies for outreach, engagement, and 
retention of women in treatment.
    1.2 In ``Section C: Proposed Implementation Approach'':
    a. Applicants are not required to respond to the 4th bullet related 
to how project components will be embedded within the existing service 
delivery system.
     b. Applicants must describe a comprehensive service system of care 
that includes the required services described below. These services 
must be provided either by the applicant organization or through a 
network of provider organizations in partnership with the applicant. In 
Appendix 6 of the application, applicants must show evidence of all 
network partners by including memoranda of understanding/memoranda of 
agreement (MOU/MOA) signed by the authorizing official in all 
partnership agencies and organizations critical to the success of the 
proposed project. If an organization is a comprehensive service 
provider, does not require any partnering with other service providers, 
and has clearly justified this in the description of how the required 
services are provided, a statement to this effect must be provided in 
Appendix 6. [Note: For purposes of rating the evidence of a 
comprehensive system of care, including who performs the required 
services, and the signed MOU/MOAs with network partners (if 
applicable), reviewers will be instructed to use 12 of the total 25 
points allowed for the entire ``Proposed Implementation Approach'' 
criterion for this single critical requirement. You may include letters 
of commitment/support from community organizations supporting the 
project in Appendix 1 of the application; however these letters are not 
a substitute for the MOU/MOA requirement.]

 Required Services for Women

     Outreach, screening, and assessment;
     Detoxification;
     Substance abuse education and treatment;
     Medical, dental, other physical health care 
services, including diabetes, hypertension, prenatal and postpartum 
health care; and referrals for necessary hospital services;
     Training in parenting;
     Education, screening, counseling, and treatment 
of Hepatitis, HIV/AIDS, other STDs, and related issues;
     Mental health assessment and treatment;
     Trauma-informed services, including assessment 
and interventions for emotional, sexual, and physical abuse;
     Employment readiness, training, and placement;
     Education and tutoring assistance for obtaining 
a GED and higher education;
     Childcare during periods in which the woman is 
engaged in therapy or in other necessary health or rehabilitative 
activities; and
     Transportation and other wraparound services.

Required Services for Children

     Screenings and developmental diagnostic 
assessments regarding the social, emotional, cognitive, and physical 
status of the infants and children;
     Therapeutic interventions, including counseling, 
occupational, and physical therapies;
     Pediatric health care, including immunizations, 
and treatment for asthma, diabetes, hypertension, and any perinatal 
effects of maternal substance abuse, e.g., HIV;
     Social services and financial supports; and
     Education and recreational services.

Required Services for the Family

     Individual and family counseling/therapy;
     Alcohol and drug education;
     Parenting training; and
     Referral services for substance abuse, social, 
psychological, and medical services.

Required Case Management Services

     Coordinate services;
     Assess and monitor the extent to which required 
services are appropriate for women and children;
     Assist with community reintegration, before and 
after discharge, including referrals to appropriate resources; and
     Assist in accessing resources from Federal, 
State, and local programs that provide a range of treatment services, 
including substance abuse, health, mental health, housing, employment, 
education, and training.
     1.3 In ``Section E: Evaluation and Data'' the following 
requirements are added to the end of the 6th bullet: Applicants must 
state whether or not the per person costs are within the following 
reasonable ranges by treatment modality. Applicants must also discuss 
the reasonableness of the per person costs. If proposed costs exceed 
reasonable ranges, a detailed justification must be provided.
    Program costs. The following are considered reasonable ranges by 
treatment modality:

Residential: $3,000 to $10,000
Outpatient (Non-Methadone): $1,000 to $5,000
Outpatient (Methadone): $1,500 to $8,000
Intensive Outpatient: $1,500 to $7,500
Screen/Brief Intervention/Brief Treatment/Outreach/Pretreatment 
Services: $200 to $1,200

    SAMHSA/CSAT computes per person costs as follows. The total support 
requested for the life of the project is multiplied by .8 (.2 will be 
the allowance for GPRA reporting requirements). The resulting amount is 
then be divided by the number of persons the applicant proposes to 
serve over the life of the project.
    The outreach and pretreatment services cost band only applies to 
outreach and pretreatment programs that do not also offer treatment 
services but operate within a network of substance abuse treatment 
facilities. Treatment programs that add outreach and pretreatment 
services to a treatment modality or modalities are expected to fall 
within the cost band for that treatment modality.
    1.4 Appendix 6: Memoranda of Understanding/Agreement: [Note: 
Appendix 6 is in addition to the 5 required appendices listed in SVC-04

[[Page 13563]]

PA (MOD).] To achieve a comprehensive service system, SAMHSA/CSAT 
expects that applicant organizations will need to partner with other 
organizations, including those providing primary health, mental health, 
and social services. Memoranda of understanding/agreement (MOU/MOA) 
signed by the authorizing official in all partnership agencies and 
organizations that are critical to the success of the project must be 
included in Appendix 6, ``Memoranda of Understanding/Agreement'' of the 
application. If the applicant organization is a comprehensive service 
provider and does not require any partnering with other service 
organizations, a statement to that effect must be included in Appendix 
6 of the application. Letters of commitment/support are not a 
substitute for the MOU/MOA requirement.
    1.5 Performance Measurement: All SAMHSA grantees are required to 
collect and report certain data, so that SAMHSA can meet its 
obligations under the Government Performance and Results Act (GPRA). 
Grantees of the PPW/RWC program will be required to report performance 
in several areas. Applicants must document their ability to collect and 
report the required data in ``Section E: Evaluation and Data'' of their 
applications. All PPW/RWC grant applicants must document their ability 
to collect and report data using the Targeted Capacity Expansion Client 
Level GPRA tool, which can be found at http://www.csat-gpra.samhsa.gov 
(click on ``Data Collection Tools/Instructions''), along with 
instructions for completing it. Hard copies are available in the 
application kits distributed by SAMHSA's National Clearinghouse for 
Alcohol and Drug Information. GPRA data must be collected at baseline 
(i.e., the client's entry into the project), 6 months after the 
baseline, and 12 months after the baseline. Projects serving 
adolescents also must collect 3-month post-baseline data to capture the 
nuances of change particular to this population. GPRA data must be 
entered into the GPRA web system within 7 business days of the forms 
being completed. In addition, 80% of the participants must be followed 
up. GPRA data are to be collected and then entered into CSAT's GPRA 
Data Entry and Reporting System (http://www.csat-gpra.samhsa.gov). 
Training and technical assistance on data collecting, tracking, and 
follow-up, as well as data entry, will be provided by CSAT. Applicants 
may also be required to collect additional data to determine the degree 
of SAMHSA/CSAT effectiveness in meeting its objectives for this 
program.
    2. Review and Selection Process: Information about the review and 
selection process is available in the SVC-04 PA (MOD) in Section V-2.
    VI. Award Administration Information
    Award administration information, including award notices, 
administrative and national policy requirements, and reporting 
requirements are available in the SVC-04 PA (MOD) in Section VI. 
SAMHSA's standard terms and conditions are available at http://www.samhsa.gov/grants/2004/useful_info.asp.
    VII. Agency Contact for Additional Information
    For questions concerning program issues, contact Linda White Young, 
SAMHSA/CSAT, 5600 Fishers Lane, Rockwall II, Suite 740, Rockville, MD 
20857; (301) 443-8392; E-mail: [email protected]. For questions on 
grants management issues, contact Kathleen Sample, SAMHSA/Division of 
Grants Management, 5600 Fishers Lane, Rockwall II, Suite 630, 
Rockville, MD 20857; (301) 443-9667; E-mail: [email protected].

    Dated: March 17, 2004.
Margaret M. Gilliam,
Acting Director, Office of Policy Planning and Budget, Substance Abuse 
and Mental Health Services Administration.
[FR Doc. 04-6375 Filed 3-22-04; 8:45 am]
BILLING CODE 4162-20-P