[Federal Register Volume 69, Number 58 (Thursday, March 25, 2004)]
[Notices]
[Pages 15348-15356]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 04-6606]


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DEPARTMENT OF HEALTH AND HUMAN SERVICES

Substance Abuse and Mental Health Services Administration


Notice of Request for Applications for SAMHSA Dissertation 
Grants: Support for Analyses in Substance Abuse (PA 04-001)

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

ACTION: Notice of request for applications for SAMHSA Dissertation 
Grants: Support for Analyses in Substance Abuse (PA 04-001).

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    Authority: Section 501(d)(8) of the Public Health Service Act.

SUMMARY: The Substance Abuse and Mental Health Services Administration 
(SAMHSA), Office of Applied Studies, is accepting applications for 
Fiscal Year 2004 grants to support dissertation research on involving 
data analysis on substance abuse services issues. The purpose of the 
program is to expand the number of researchers who conduct high-quality 
substance abuse services research, the study of how various factors 
(social, financial, organizational, and personal) affect the need for 
and access to substance abuse treatment, the quality and cost of 
substance abuse treatment, and, ultimately, health and well being. 
Students registered and in good standing at an accredited academic 
doctoral degree program (e.g., Ph.D., Sc.D., or Dr.P.H.), which 
requires a dissertation based on original research, may apply. Students 
in such fields as sociology, psychology, social work, biostatistics, 
epidemiology, economics, policy, management, medicine, nursing, public 
health or health services research are especially encouraged to apply. 
The student must apply through a public or private nonprofit U.S. 
institution that will administer the grant on his or her behalf.

DATES: Applications are due on June 1, 2004.

FOR FURTHER INFORMATION CONTACT: For questions on program issues, 
contact: Sara Q. Duffy, Ph.D., Senior Economist, SAMHSA/Office of 
Applied Studies, 5600 Fishers Lane, Room 16-105, Rockville, MD 20857, 
Phone: (301) 443-8565; e-mail: [email protected].
    For questions on grants management issues, contact: Gwendolyn 
Simpson, SAMHSA/Division of Grants Management, 5600 Fishers Lane, Room 
13-103, Rockville, MD 20857, Phone: (301) 443-4456; e-mail: 
[email protected].

SUPPLEMENTARY INFORMATION:

Department of Health and Human Services

Substance Abuse and Mental Health Services Administration

SAMHSA Dissertation Grants: Support for Analyses in Substance Abuse (PA 
04-001)

(Initial Announcement)
    Catalogue of Federal Domestic Assistance (CFDA) No.: 93.243.

Key Dates

    Application Deadline--Applications for FY2004 grants are due by 
June 1, 2004. The annual application receipt date for subsequent fiscal 
years will be May 1, or, if May 1 is a Saturday or Sunday, the 
following Monday.
    Intergovernmental Review (E.O. 12372)--Letters from State Single 
Point of Contact (SPOC) are due no later than 60 days after application 
deadline.

Table of Contents

I. Funding Opportunity Description
    1. Introduction
    2. Expectations
II. Award Information
    1. Award Amount

[[Page 15349]]

    2. Funding Mechanism
III. Eligibility Information
    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 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: Performance Measures for the SAMHSA Dissertation Grants 
Program
Appendix B: Checklist for Application Formatting Requirements
Appendix C: Glossary

I. Funding Opportunity Description

1. Introduction

    The Substance Abuse and Mental Health Services Administration 
(SAMHSA), Office of Applied Studies, is accepting applications for 
Fiscal Year 2004 grants to support dissertation research on involving 
data analysis on substance abuse services issues. Students registered 
and in good standing at an accredited academic doctoral degree program 
(e.g., Ph.D., Sc.D., or Dr.P.H.), which requires a dissertation based 
on original research, may apply. Students in such fields as sociology, 
psychology, social work, biostatistics, epidemiology, economics, 
policy, management, medicine, nursing, public health or health services 
research are especially encouraged to apply. The student must apply 
through a public or private nonprofit U.S. institution that will 
administer the grant on his or her behalf.
    SAMHSA Dissertation Grants are authorized under section 501(d)(8) 
of the Public Health Service Act.

2. Expectations

    The purpose of the program is to expand the number of researchers 
who conduct high-quality substance abuse services research, the study 
of how various factors (social, financial, organizational, and 
personal) affect the need for and access to substance abuse treatment, 
the quality and cost of substance abuse treatment, and, ultimately, 
health and well being. The research domains are individuals, families, 
organizations, institutions, communities and populations. Funded 
projects may address topics including the organization, financing and 
delivery of substance abuse prevention and treatment services, and the 
need for such services, as well as methodological advances in health 
services research methods applicable to the study of substance abuse 
issues. In addition, attention to substance abuse issues in racial/
ethnic minority populations, women, children and families, older 
adults, low income groups, the homeless, those in rural settings, and 
persons with mental illness is encouraged. Topics of special interest 
include the factors affecting the supply of services, the cost 
effectiveness of prevention and treatment services, barriers to access 
to care, and alternative sources of treatment such as the criminal 
justice system and faith-based organizations. Given the program's 
focus, submission of proposals involving secondary analyses of existing 
data sources is encouraged, while submission of clinical research 
proposals is discouraged. In addition to developing a cadre of 
researchers capable of producing high-quality substance abuse services 
research, one of the goals of the program is to promote secondary 
analyses of data collected by SAMHSA, although secondary analyses of 
other relevant data sets is acceptable.
2.1 Allowable Activities
     The Principal Investigator's salary.
     Direct project expenses such as travel, data 
purchasing, data processing, and supplies.
     Fees for maintaining matriculation or other fees 
imposed on those preparing dissertations, providing the fees are 
required of all students of similar standing, regardless of the source 
of funding.
     Consultant fees when use of consultants conforms 
to university policy.
2.2 Data and Performance Measurement
    The Government Performance and Results Act of 1993 (P.L. 103-62, or 
``GPRA'') requires all Federal agencies to:
     Develop strategic plans that specify what they 
will accomplish over a 3 to 5-year period;
     set performance targets annually related to 
their strategic plan; and
     report annually on the degree to which the 
previous year's targets were met.
    The law further requires agencies to link their performance to 
their budgets. Agencies are expected to evaluate their programs 
regularly and to use results of these evaluations to explain their 
successes and failures.
    To meet these requirements, SAMHSA must collect performance data 
(i.e., ``GPRA data'') from grantees. You are required to report these 
GPRA data to SAMHSA on a timely basis so that performance results are 
available to support budgetary decisions.
    Appendix A provides the performance indicators for SAMHSA's 
Dissertation Grant Program. You can obtain more detailed information on 
these measures by contacting the Government Project Officer at 
[email protected].
    The information used to compile GPRA measures for the Dissertation 
Grant Program comes from the annual reports and completed 
dissertations, which are required to be reported under the terms and 
conditions of the grant award. Therefore, no additional data reporting 
by grantees will be required.

II. Award Information

1. Award Amount

    It is expected that up to $150,000 will be available to fund up to 
five awards in FY2004. Awards are expected to be $20,000 to $30,000 per 
year in total costs (direct and indirect). Applicants may request a 
project period of up to 2 years.
    Proposed budgets cannot exceed $30,000 in any year of the proposed 
project. Annual continuation awards will depend on the availability of 
funds, grantee progress in meeting project goals and objectives, and 
timely submission of required data and reports.

2. Funding Mechanism

    Awards will be made as grants.

III. Eligibility Information

1. Eligible Applicants

    Eligible applicants are domestic public or private, nonprofit 
entities. The statutory authority for this program precludes grants to 
for-profit organizations and any non-domestic entity.
    Students registered and in good standing at an accredited academic 
doctoral degree program (e.g., Ph.D., Sc.D., or Dr.P.H.), which 
requires a dissertation based on original research, may apply. The 
student must apply through an eligible institution that will administer 
the grant on his or her behalf. The dissertation must examine in a 
quantitative way a problem or issue in the area of substance abuse. 
Students in such fields as sociology, psychology, social work, 
biostatistics, epidemiology, economics, policy, management, medicine, 
nursing, public health or

[[Page 15350]]

health services research are especially encouraged to apply.
    The student is the Principal Investigator and the institution is 
the applicant/grantee. In accordance with the Appropriations Act Ban, 
the doctoral student must be a citizen or a non-citizen national of the 
United States or an individual who has been lawfully admitted for 
permanent residence (i.e., in possession of an Alien Registration 
Receipt Card) at the time of application. To be eligible, given the 
goals of the program, the dissertation must be a major part of the 
training program and be in an area of interest to SAMHSA with 
demonstrated relevance to the issues pertaining to substance abuse 
services in the United States. Requirements for the doctoral degree, 
other than the dissertation and any other contemporaneous requirements, 
must be completed before the funds provided can be spent. Confirmation 
that all requirements other than the dissertation have been completed 
and notification that the dissertation proposal has been accepted must 
be made in writing by the chairperson of the committee and submitted 
before initiation of the grant. SAMHSA will make the final 
determination of eligibility for support. Restrictions on eligibility 
are based on the program's goals and the desire to assure a successful 
outcome for the student.

2. Cost-Sharing

    Cost-sharing is not required in this program, and applications will 
not be screened out on the basis of cost-sharing.

3. Other

    Applications must comply with the following requirements or they 
will be screened out and not reviewed:
     Documentation of nonprofit status: If an 
applicant has evidence of current nonprofit status on file with an 
agency of PHS, it will not be necessary to file similar papers again. 
Simply specify the place (Federal Agency) and date of filing. 
Otherwise, private, nonprofit organizations must include evidence of 
nonprofit status with the application. Any of the following is 
acceptable evidence.

--A reference to the organization's listing in the Internal Revenue 
Service's (IRS) most recent list of tax-exempt organizations described 
in section 501(c)(3) of the IRS Code; or
--A copy of a currently valid Internal Revenue Service Tax exemption 
certificate; or
--A statement from a State taxing body, State Attorney General, or 
other appropriate State official certifying that the applicant 
organization has a nonprofit status and that none of the net earnings 
accrue to any private shareholders or individuals; or
--A certified copy of the organization's certificate of incorporation 
or similar document if it clearly establishes the nonprofit status of 
the organization; or
--Any of the above proof for a State or national parent organization, 
and a statement signed by the parent organization that the applicant 
organization is a local nonprofit affiliate.

 Use of the PHS 398 [revised May 2001--updated 9/10/
2003].
 Application submission requirements in Section IV-3 
of this document.
 Formatting requirements provided in Section IV-2.3 
of this document.

IV. Application and Submission Information

    (To ensure that you have met all submission requirements, a 
checklist is provided for your use in Appendix B of this document.)

1. Address to Request Application Package

    You may request a complete application kit by:
     Calling or emailing Jane Feldmann, (301) 443-
5628, [email protected]; or
     This Program Announcement, PHS 398 Instructions 
and Forms, List of Offices Negotiating Indirect Cost Rates, State 
Single Point of Contact (SPOC) List, and Survey on Ensuring Equal 
Opportunity for Applicants are also available on http://www.SAMHSA.gov. 
Click on ``Grant Opportunities''.
    Additional materials available on this Web site include:
     Standard terms and conditions for SAMHSA grants; 
and
     Guidelines and policies that relate to SAMHSA 
grants (e.g., guidelines on cultural competence, consumer and family 
participation, and evaluation).

2. Content and Form of Application Submission

2.1 Required Documents
    The application kit for the Dissertation Grant program contains the 
following documents:
     PHS 398 (REVISED May 2001)--Updated: 09/09/2003. 
Required sections include the Instructions; Face Page; Description, 
Performance Sites and Key Personnel; Research Grant Table of Contents; 
Modular Budget Form; Biographical Sketch; Resources; Research Plan; 
Checklist Form Page; and Personal Data Form Page. The Appendix is 
optional, unless you plan to collect data (please see section IV-2.4, 
below). Applications that are not submitted on the specified version of 
the PHS 398 will be screened out and will not be reviewed.
     Program Announcement (PA)--Provides specific 
information about the availability of funds along with instructions for 
completing the grant application. This document is the PA. The PA will 
be available on the SAMHSA Web site (http://www.samhsa.gov) and on the 
Federal grants Web site (http://www.grants.gov). A Notice of Funding 
Availability summarizing the PA will be published in the Federal 
Register. Note: In case of conflict between the PHS 398 Instructions 
and the instructions in this PA, please follow the instructions in this 
PA. Please contact the Government Project Officer if you have any 
questions.
    You must use all of the above documents in completing your 
application.
2.2 Order of Sections
    Applications must be complete and contain all information needed 
for review. In order for your application to be complete, it must 
include the following sections in the order listed.
     Face Page--Use the PHS 398 Form Page 1, Face 
Page. Please see Section I.C. of the PHS 398 Instructions, for 
guidance. In signing the face page of the application, you are agreeing 
that the information is accurate and complete. [Note: Beginning October 
1, 2003, applicants will need to provide a Dun and Bradstreet (DUNS) 
number to apply for a grant from the Federal Government. SAMHSA 
applicants are 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 http://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.]
     Description, Performance Sites, and Key 
Personnel--Your description must fit in the space provided on Form Page 
2 of the PHS 398. Please see Section C of the PHS 398 Instructions for 
guidance. In the first 5 lines or less of your description, write a 
summary of your project that can be used, if your project is funded, in 
publications, reporting to Congress, or press releases.
     Research Grant Table of Contents--Using Form 
Page 3, please include page

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numbers for each required item as indicated on the PHS 398.
     Modular Budget Form--Since these projects are to 
be funded at less than $250,000, please use the ``Modular Budget Format 
Page'' in the PHS 398 to report the budget. You do not need to submit 
PHS 398 Form 4 or 5.
     Biographical Sketch--Please follow the 
instructions on the ``Biographical Sketch Format Page'' and section 
``6. BIOGRAPHICAL SKETCH'' of the PHS 398 Instructions. This section 
must contain the biographical sketch of the Principal Investigator.
     Resources--Please use the ``Resources Format 
Page'' and consult section ``7. RESOURCES'' of the PHS 398 Instructions 
for guidance.
     Research Plan--The Research Plan describes your 
proposed project. It consists of Sections a through i. Please consult 
``8. RESEARCH PLAN'' in the PHS 398 Instructions. Sections a-d may not 
be longer than 25 pages combined. If a specific section does not apply, 
please include it in the application and state that it is not 
applicable. More detailed information about Sections a through i, 
including the recommended number of pages for each section is available 
in the PHS 398 Instructions. The required sections are:
     Section a--Specific Aims.
     Section b--Background and Significance.
     Section c--Preliminary Studies/Progress Report.
     Section d--Research Design and Methods.
     Section e--Human Subjects Research. The projects 
SAMHSA expects to fund under this grant program are secondary analyses 
of existing data sources. As such, applicants will check ``No'' on item 
4 of the Face Page, claim exemption 4 from Human Subjects Regulation 
(please see page 21 of the PHS 398 Instructions), and will not have to 
discuss these issues in their applications.
    Instead, applicants conducting secondary analysis of these types of 
data are expected to discuss in this section how they will keep secure 
data that may be confidential. Pursuant to section 501(n) of the Public 
Health Service Act (42 U.S.C. 290aa), information obtained in the 
course of any SAMHSA-sponsored study that identifies an individual or 
entity must be treated as confidential in accordance with any promises 
made or implied regarding the use and purposes of the data collection. 
Applicants using SAMHSA-collected data must describe in the Human 
Subjects section of the application procedures for ensuring the 
confidentiality of information where disclosure of individuals who 
supplied the data or might be identified in the data are possible. The 
description of the procedures should include a discussion of where the 
data are to be stored, who will and who will not be permitted access to 
them, both raw data and machine readable files, and how personal 
identifiers and other identifying or identifiable data will be 
safeguarded. Applicants using data collected by other organizations are 
expected to describe and show how they will uphold the provisions of 
the data use agreements they have with the providers of those data. 
Applicants using data from organizations that do not require a data use 
agreement should discuss any confidentiality concerns of the data they 
are using and how they will address them.
    Applicants proposing to collect data (which is not encouraged under 
this grant announcement) are expected to describe how they will 
implement SAMHSA's Confidentiality Requirements and Protection of Human 
Subjects Regulations. Please see Section IV-2.4 of this Program 
Announcement.
     Section f--Vertebrate Animals. This program is 
not intended to fund research using vertebrate animals. Applicants 
should state ``not applicable'' in this section.
     Section g--Literature Citations.
     Section h--Consortium/Contractual Arrangements. 
We expect that most applications will not involve consortia or 
contractual arrangements. However, if your application does, please 
consult page 29 of the PHS 398 Instructions.
     Section i--Consultants.
     Checklist Form Page--Please consult Section C.10 
of the PHS 398 Instructions for guidance.
     Personal Data Form Page--Self-explanatory.
     Letter From Faculty Committee Or University 
Official--A letter, on University letterhead, from the faculty 
committee or the university official directly responsible for 
supervising the dissertation research must be submitted with the grant 
application. The letter must certify that:
     The grant application represents the 
dissertation proposal on which the proposed Principal Investigator is 
working;
     A collaborative process was established between 
the proposed Principal Investigator and advisors in the development, 
review, and editing of the research application;
     The proposed Principal Investigator has 
completed all requirements for the doctoral degree, except the 
dissertation proposal and any other contemporaneous requirements, prior 
to submission of the application;
     Prior to initiation of the grant, the 
dissertation committee will send a letter to OAS indicating that it has 
approved the dissertation proposal and all other requirements for the 
degree, except the dissertation, have been fulfilled satisfactorily.
     Statement of Data Availability--If you have the 
data you plan to use in your analysis in hand, a simple statement to 
that effect will suffice. If you do not yet have the data in hand, 
please describe how you will gain access to the data, including a 
description of the approval process required by the data provider for 
you to gain access to the data and use it for your intended research.
     Assurances And Certifications--The signature of 
the Official Signing for Applicant Organization on the Face Page of the 
application verifies a number of assurances and certifications, which 
are described in Section III.G of the PHS 398 Instructions. These 
assurances and certifications must be verified regardless of whether 
the application is exempt from Human Subjects Regulation. These 
assurances and certifications include:
     Human Subjects.
     Research on Transplantation of Human Fetal 
Tissue.
     Women and Minority Inclusion in Clinical 
Research Policy.
     Inclusion of Children Policy.
     Research Using Human Embryonic Stem Cells.
     Vertebrate Animals.
     Debarment and Suspension.
     Drug-Free Workplace.
     Lobbying.
     Nondelinquency on Federal Debt.
     Research Misconduct.
     Compliance (Civil Rights, Handicapped 
Individuals, Sex Discrimination, Age Discrimination).
     Financial Conflict of Interest.
     Documentation of Nonprofit Status--Please see 
Section III-3 of this PA, above.
     Appendix--The appendix is optional, unless you 
propose to collect data. In that case you must provide copies of all 
available data collection instruments, interview protocols, and consent 
forms that you plan to use (please see Section IV-2.4 of this PA, 
below). The appendix may be used for supplemental material such as 
publications, or survey questionnaires that may support the 
application. Please pay careful attention to Section C.9 of the PHS 398 
Instructions. Do not use appendices to extend or replace any of the 
sections of this PA (reviewers will not consider them if you do).

[[Page 15352]]

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. Where a conflict exists, 
the instructions in this Program Announcement supersede those in the 
PHS 398 Instructions.
     Information provided must be sufficient for 
review.
     Text must be legible.
     Type size in the Research Plan 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 Research Plan 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 Research plan cannot be exceeded.
     Applications would meet this requirement by 
using all margins (left, right, top, bottom) of at least \1/2\ inch 
each, and adhering to the 25-page limit for the Research Plan.
     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 Research Plan (excluding 
margins, but including charts, tables, graphs and footnotes) cannot 
exceed 75 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 Research Plan (excluding margins) is 
considered part of the Research Plan, in determining compliance.
    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 Face Page should be page 
1, the Description, Performance Sites, and Personnel page, should be 
page 2, the table of contents page should be page 3, etc. Appendices 
should be labeled and placed at the end of the application, 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 SAMHSA Confidentiality and Participant Protection Requirements and 
Protection of Human Subjects Regulations
    If you plan to collect data as part of your research or otherwise 
conduct human subjects research (neither of which are priorities under 
this program), you must describe your procedures relating to 
confidentiality, participant protection and the protection of human 
subjects regulations in Section e of your Research Plan, using the 
guidelines provided below. Problems with confidentiality, participant 
protection, and protection of human subjects identified during the 
review of your application may result in the delay of funding.

Confidentiality and Participant Protection:

    All applicants not using existing data sources must address each of 
the following elements relating to confidentiality and participant 
protection. You must document how you will address these requirements 
or why they do not apply.

1. Protect Clients and Staff From Potential Risks

     Identify and describe any foreseeable physical, 
medical, psychological, social, legal, or other risks or adverse 
affects.
     Discuss risks that are due either to 
participation in the project itself or to the evaluation activities.
     Describe the procedures you will follow to 
minimize or protect participants against potential risks, including 
risks to confidentiality.
     Identify plans to provide help if 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 groups.
     Explain the reasons for including groups of 
pregnant women, children, people with mental disabilities, people in 
institutions, prisoners, or others who are likely to be 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 it is required, 
for example, court orders requiring people to participate in a program.
     If you plan to pay participants, state how 
participants will be awarded money or gifts (Note: Dissertation Grant 
funds may not be used to pay participants).
     State how volunteer participants will be told 
that they may receive services even if they do not participate in 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 an appendix, entitled ``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

[[Page 15353]]

who will collect data and how it will be collected.
     Describe:

--How you will use data collection instruments.
--Where data will be stored.
--Who will or will not have access to information.
--How the identity of participants will be kept private, for example, 
through the use of a coding system on data records, limiting access to 
records, or storing identifiers separately from data.

    Note: If applicable, grantees must agree to maintain the 
confidentiality of alcohol and drug abuse client records according 
to the provisions of Title 42 of the Code of Federal Regulations, 
Part 2.

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 get written 
informed consent.

     Indicate if you will get informed consent from 
participants or 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 sample consent forms in an appendix 
entitled, ``Sample Consent Forms.'' 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

    Depending on your proposed research design, you may have to comply 
with the Protection of Human Subjects Regulations (45 CFR 46).
    Applicants whose projects must comply with the Protection of Human 
Subjects Regulations must describe the process for obtaining 
Institutional Review Board (IRB) approval fully in their applications. 
While IRB approval is not required at the time of grant award, these 
applicants will be required, as a condition of award, to provide the 
documentation that an Assurance of Compliance is on file with the 
Office for Human Research Protections (OHRP) and that IRB approval has 
been received prior to enrolling any clients in the proposed project.
    Additional information about Protection of Human Subjects 
Regulations can be obtained on the web at http://ohrp.osophs.dhhs.gov. 
You may also contact OHRP by e-mail ([email protected]) or by phone 
(301-496-7005).

3. Submission Dates and Times

    Applications for FY 2004 funding are due by close of business on 
June 1, 2004. Your application must be received by the application 
deadline. Applications sent through postal mail and received after this 
date must have a proof-of-mailing date from the carrier dated at least 
1 week prior to the due date. Private metered postmarks are not 
acceptable as proof of timely mailing.
    The Annual application receipt date for subsequent fiscal years 
will be May 1, or, if May 1 is a Saturday or Sunday, the following 
Monday.
    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 http://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. PA 04-001.

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 Dissertation Grant recipients must comply with 
the following funding restrictions. Grant funds may not be used to:
     Provide salary support for the dissertation 
committee.
     Buy, build, alter or renovate a facility to 
house any part of the project.
     Provide services to incarcerated populations 
(defined as those persons in jail, prison, detention facilities or in

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custody where they are not free to move about in the community.)
    Also, the indirect cost rate for this project will be either 8% or 
the applicant organization's cost rate, whichever is lower.

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 program announcement title, ``SAMHSA 
Dissertation Grants: Support for Analyses in Substance Abuse'', and 
number, ``PA 04-001,'' in item number 2 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

     A review committee will assign a single score 
for each scored application, based on the criteria listed below.
     In evaluating these criteria, strong emphasis is 
placed on the reviewers' assessment of the quality and relevance of the 
written proposal, and on the degree of guidance and support to be 
provided to the student by the dissertation committee.
     In determining the strengths and weaknesses of 
the application, reviewers will evaluate the merits of the following 8 
components: Biographical Sketch, Resources, Research Plan, Checklist 
Form Page, Personal Data Form Page, Letter From Faculty Committee or 
University Official, Statement of Data Availability, Assurances and 
Certifications.
    Reviewers will use the following criteria in assessing the 
applications:
    1. Significance and originality from a scientific or technical 
viewpoint: Does this study address an important problem? If the aims of 
the application are achieved, how will the findings be of benefit? What 
will be the effects of these studies on the concepts or method that 
drive the substance abuse services research field?
    2. Topic: Does the proposed project analyze data on the incidence 
and prevalence of substance abuse, the distribution and characteristics 
of substance abuse treatment facilities and services, the costs and 
outcomes of substance abuse treatment programs, or other issues of 
interest to SAMHSA?
    3. Approach: Are the conceptual framework, design, methods, and 
analyses adequately developed, well-integrated, and appropriate to the 
aims of the project? Are adequate data available for the project or is 
there an adequate proposed plan to collect data required for the 
project? Does the applicant recognize potential problem areas and 
explain how they might be resolved?
    4. Environment: Does the scientific environment in which the work 
will be done contribute to the probability of success? Is there 
evidence of institutional support? Is there sufficient evidence that 
the confidentiality of any data used in the study will be adequately 
protected?

    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

    A committee will review the applications based on the above 
criteria and make recommendations to SAMHSA.
    Decisions to fund a grant are based on:
     The strengths and weaknesses of the application 
as identified by the Review Committee.
     The overall merit of the application. Some 
preference will be given to proposals that make use of SAMHSA-collected 
databases, such as the National Survey on Drug Use and Health (NSDUH, 
formerly known as the National Household Survey on Drug Abuse), the 
Alcohol and Drug Services Study (ADSS), and the Drug and Alcohol 
Services Information System (DASIS).
     Availability of funds.

VI. Award Administration Information

1. Award Notices

    After your application has been reviewed, you will receive a letter 
from SAMHSA through postal mail that contains your score and a summary 
statement, prepared by SAMHSA staff, of the Review Committee's 
comments.
    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 may re-apply at subsequent application 
deadlines.

2. Administrative and National Policy Requirements

     You must comply with all terms and conditions of 
the grant award. SAMHSA's standard terms and conditions are available 
on the SAMHSA Web site at http://www.samhsa.gov/grants/2004/useful_info.asp.
     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 are required to submit an annual 
progress report, as part of the continuation process, and two copies of 
the completed dissertation in a form acceptable and approved by the 
academic institution. All submitted documents must be written in 
English.
     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.
     SAMHSA staff will use the information contained 
in the reports to determine the grantee's progress toward meeting its 
goals.
3.2 Government Performance and Results Act
    The Government Performance and Results Act (GPRA) mandates 
accountability and performance-based management by Federal agencies. 
The performance requirements for SAMHSA's Dissertation Grants are 
described in Section I-2.2 under ``Data and Performance Measurement'' 
and listed in Appendix A of this PA.
3.3 Publications
    If you are funded under this grant program, you are required to 
notify the Government Project Officer (GPO) and

[[Page 15355]]

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

    For questions on program issues, contact: Sarah Q. Duffy, Ph.D., 
Senior Economist, Government Project Officer, SAMHSA Dissertation 
Grants, Office of Applied Studies, Substance Abuse and Mental Health 
Services Administration, 5600 Fishers Lane Rm. 16-105, Rockville, MD 
20857, (301) 443-8565.
    E-mail: [email protected].
    For questions on grants management issues, contact: Gwendolyn 
Simpson, SAMHSA/Division of Grants Management, 5600 Fishers Lane, Room 
13-103, Rockville, MD 20857, 301-443-4456, E-mail: [email protected].

Appendix A--Performance Indicators for SAMHSA Dissertation Grants

SAMHSA Dissertation Grants: Support for Analyses in Substance Abuse 
GPRA Performance Measures and Targets

Performance Goals and Measures

    The goal of this program is to encourage progress on and the 
completion of substance abuse services research dissertations, and, 
by doing so, increase the number of knowledge products available. 
The outcome is the number of documents, either annual progress 
reports or completed dissertations. Grantees are required to submit 
these documents under the terms and conditions of award.
    SAMHSA's measures will be based on the cumulative number of 
documents received. We expect to receive at least 5 documents each 
year, pending availability of funding. This will vary over the 
years, depending on the number of new and continuation grants we 
fund. Our target will be 80% of the minimum number expected each 
year, plus 80% of the cumulative expected number from previous 
years. This leads to the following targets:
    2004: 4.
    2005: 8.
    2006: 12.
    2007: 16, etc.
    In addition to this information, the performance measurement 
system will contain the following information, all either available 
in the application or required under the terms of the award:
    (1). Grantee.
    (2). Principal Investigator.
    (3). Application Abstract.
    (4). Certificate of Institutional Review Board (IRB) approval, 
if applicable.

Appendix B--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 funding announcement. Please check the entire funding 
announcement before preparing your application.
     Use the PHS 398 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 Research Plan 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 Research Plan 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 Research Plan cannot be exceeded.
     Applications would meet this requirement by 
using all margins (left, right, top, bottom) of at least \1/2\ inch 
each, and adhering to the page limit for the Research Plan 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 Research Plan (excluding 
margins, but including charts, tables, graphs and footnotes) cannot 
exceed 75 square inches multiplied by the total number of allowed 
pages. 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 Research Plan (excluding margins) is 
considered part of the Research Plan, in determining compliance.
     The page limit for Appendices stated in the 
specific funding announcement cannot be exceeded. (Note: There are 
no page limits for appendices in PA 04-001).
    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 12 application components required for PA 
04-001 applications should be included.
    These are:
     Face Page.
     Description, Performance Sites, and Key 
Personnel.
     Research Grant Table Of Contents.
     Modular Budget Form.
     Biographical Sketch.
     Resources.
     Research Plan, Sections a-i.
     Checklist Form Page.
     Personal Data Form Page.
     Letter From Faculty Committee Or University 
Official.
     Statement of Data Availability.
     Documentation of Nonprofit Status.
     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 specific funding announcement.
     Budgetary limitations as specified in 
Sections I, II, and IV-5 of the specific funding announcement.
     Documentation of nonprofit status as required 
in the PHS 398.
     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 Face Page 
should be page 1, the Description, Performance Sites and Key 
Personnel page should be page 2, the table of contents page should 
be page 3, etc. Appendices should be labeled and separated from the 
rest of the application, 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.

[[Page 15356]]

Appendix C--Glossary

    Services Research: Examines how people get access to health 
care, how much care costs, and what happens to patients as a result 
of this care. The main goals of health services research are to 
identify the most effective ways to organize, manage, finance, and 
deliver high quality care; reduce medical errors; and improve 
patient safety. Examples include research on the organization, 
financing, and delivery of health services, outcomes and cost-
effectiveness research.
    Biomedical Research: Examines the biological underpinnings of 
disease etiology, prevention, and treatment. Examples include basic 
science and clinical trials.
    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 the information may be 
considered by reviewers in evaluating the quality of the 
application.
    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.

    Dated: March 18, 2004.
Daryl Kade,
Director, Office of Policy, Planning and Budget, Substance Abuse and 
Mental Health Services Administration.

[FR Doc. 04-6606 Filed 3-24-04; 8:45 am]
BILLING CODE 4162-20-P