[Federal Register Volume 69, Number 60 (Monday, March 29, 2004)]
[Notices]
[Pages 16276-16279]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 04-7090]



[[Page 16276]]

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

DEPARTMENT OF HEALTH AND HUMAN SERVICES

Substance Abuse and Mental Health Services Administration


Funding Opportunity Title: Grants To Expand Substance Abuse 
Treatment Capacity in Targeted Areas of Need--[Short Title: Targeted 
Capacity Expansion (TCE) Grants]

    Announcement Type: Modification.
    This modification provides information on reasonable costs to be 
used in preparing Section E-Evaluation and Data, of the application. 
(See Section V-1.3 of this announcement.)
    Funding Opportunity Number: TI 04-003.
    Catalog of Federal Domestic Assistance (CFDA) Number: 93.243.
    Due Date for Applications: May 25, 2004.

    [Note: Letters from State Single Point of Contact (SPOC) in 
response to E.O. 12372 are due (July 26, 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 Grants to Expand Substance Abuse 
Treatment Capacity in Targeted Areas of Need [Short Title: Targeted 
Capacity Expansion (TCE) Grants]. A synopsis of this funding 
opportunity, as well as many other Federal Government funding 
opportunities, is also available at the Internet site: 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 most 
SAMHSA Services Grants including the Targeted Capacity Expansion Grants 
program. SAMHSA's Services Grants provide funds to expand and 
strengthen effective, culturally appropriate substance abuse and/or 
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, SAMHSA's Services Grants are appropriate for 
applicants seeking Federal support to implement substance abuse and/or 
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 the Targeted Capacity Expansion Grants 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 the Targeted Capacity Expansion Grants program is to 
expand and/or enhance the community's ability to provide a 
comprehensive, integrated, and community-based response to a targeted, 
well-documented substance abuse treatment capacity problem and/or 
improve the quality and intensity of services. For example, a community 
might seek a Targeted Capacity Expansion Grant to add state-of-the-art 
treatment approaches or new services to address emerging trends or 
unmet needs (e.g., intensive case management, referral, and follow-up 
services to address related HIV, tuberculosis, hepatitis B and C, and 
other primary health care needs of substance abusing clients). 
Applicants are encouraged to engage (coordinate with or subcontract) 
the skills of private, non-profit, and community-based organizations 
not eligible to apply on their own because they are not a State or 
local government entity.
    To encourage the substance abuse treatment system to become more 
responsive and bridge the gap between what is needed by individual 
States, localities, and/or tribal organizations, and what is known 
about effective treatments to meet those needs, SAMHSA/CSAT intends to 
fund programs in four areas in FY 2004: (1) Treatment for minority 
populations \*\; (2) treatment in rural areas; (3) treatment focused on 
methamphetamine and other emerging drugs; and (4) other innovative 
approaches to treatment capacity expansion that: Focus on early 
identification of, and interventions for, persons with substance use 
disorders that have not progressed to dependence; are implemented in 
general medical and othercommunity settings (e.g., community health 
centers, social service agencies, schools/school-based health clinics 
and student assistance programs, occupational health clinics, 
hospitals, emergency departments); and seek to improve linkages among 
such community agencies and specialist substance abuse treatment 
agencies.\**\
---------------------------------------------------------------------------

    \*\ Minority population include, but are not limited to, 
Hispanic/Latino(a); African American; Native populations including 
American Indian, Alaska Natives, and Pacific Islanders; and Asians, 
among other minority racial/ethnic groups.
    \**\ A community may be a geopolitical unit (city, county), a 
health district or human services region, or a substate planning 
area as defined for purposes of allocating Substance Abuse 
Prevention and Treatment Block Grant (SAPTBG) funds.
---------------------------------------------------------------------------

    Background: Information reported by SAMHSA underscores a 
significant disparity between the availability of treatment services 
for persons with alcohol and drug use disorders and the demand for such 
services. It is estimated, based on various studies, that there are 3-5 
million individuals who use and abuse alcohol and other drugs who have 
a significant impact on both the utilization of services and costs 
within the health care, juvenile justice, welfare, child welfare, and 
other publicly funded social support systems. However, currently, of 
these individuals, only 1.8 million can be served through the existing 
publicly funded treatment system. By providing needed treatment 
services, this program is intended to reduce the health and social 
costs of substance abuse and dependence to the public, and increase the 
safety of America's citizens by reducing substance abuse related crime 
and violence.

II. Award Information

    1. Estimated Funding Available/Number of Awards: It is expected 
that $12 million will be available in FY 2004 to fund programs in four 
categories: (1) Treatment focused on minority populations; (2) 
treatment in rural areas; (3) treatment focused on methamphetamine and 
other emerging drugs in specific States and localities; and (4) other 
innovative approaches to treatment capacity expansion that: Focus on 
early identification of, and interventions for, persons with substance 
use disorders that have not progressed to dependence; are implemented 
in general medical and other community settings (e.g., community health 
centers, social service agencies, schools/school-based health clinics 
and student assistance programs, occupational health clinics, 
hospitals, emergency departments); and seek to improve linkages among 
such community agencies and specialist substance abuse treatment 
agencies.
    SAMHSA expects that approximately $3 million will be available for 
awards in each category, and that approximately 6 awards will be made 
in each category. 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

[[Page 16277]]

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: Eligibility is restricted to States and 
units of local government (e.g., cities, towns, counties) or Indian 
tribes and tribal organizations in recognition of their responsibility 
for, and interest in, providing for the needs of their citizens, and 
because the success of the program will depend upon their authority and 
ability to broadly coordinate a variety of resources. Funding is not 
designed to meet statewide treatment needs, but to meet the needs of 
individual communities in cities, towns, counties, and multi-county 
partnerships. Therefore, States that apply must identify a specific 
city, town, county or multi-county partnership that will be the 
targeted geographic area of need. These eligibility criteria supersede 
the criteria specified in Section III-1 of the SVC 04 PA (MOD).
    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.
    1. Cost Sharing or Matching is not required.
    2. 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 1-800-729-6686. When requesting an 
application kit for this program, the applicant must specify the 
funding opportunity title (TCE Grants) and number (TI 04-003) for which 
detailed information is desired. 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 04-003, TCE'' 
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 www.dunandbradstreet.com or call 1-866-705-5711.
    Because grantees in the TCE Grants 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 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.

[ballot] Use the PHS 5161-1 application.
[ballot] 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.
[ballot] Information provided must be sufficient for review.
[ballot] 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.
[ballot] Paper must be white paper and 8.5 inches by 11.0 inches in 
size.
[squ] To ensure equity among applications, the amount of space allowed 
for the Project Narrative cannot be exceeded.
     Applications would meet this requirement by 
using all margins (left, right, top, bottom) of at least one inch each, 
and adhering to the page limit for 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.
[squ] 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.

[squ] 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-

[[Page 16278]]

1)
     Disclosure of Lobbying Activities (Standard Form 
LLL, which is in PHS 5161-1)
     Checklist (a form in PHS 5161-1)
[squ] 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.
[squ] Pages should be typed single-spaced with one column per page.
[squ] Pages should not have printing on both sides.
[squ] 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.
[squ] 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 May 
25, 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 Contact (SPOCs) is included in the application kit and is 
available at 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 Targeted Capacity Expansion Grants. 
Applicants must discuss the following requirements in their 
applications, in addition to the requirements specified in the SVC-04 
PA (MOD).
    1.1 The 2-year experience requirement in Section III.3.2., Evidence 
of Experience and Credentials, of the SVC-04 PA (MOD) applies only to 
specialist substance abuse treatment providers participating in the 
project.
    1.2 You must plan to send a minimum of three persons (Authorized 
Grantee, Project Director if different, Evaluator) to at least two 
joint grantee meetings each year instead of the requirement for two 
persons to one joint grantee meeting each year as stated in the SVC-04 
PA (MOD).
    1.3 In ``Section E, Evaluation and Data,'' applicants must, in 
addition to the requirements specified in the SVC-04 PA (MOD), address 
the following requirements that are added to the end of the 6th bullet 
under in the Evaluation Criteria section of the SVC-04 PA (MOD):
    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 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 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 Targeted Capacity Expansion Grants 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 Targeted Capacity Expansion grant applicants must document 
their ability to collect and report data using the Targeted Capacity 
Expansion Client Level GPRA tool that can be found at www.csat-gpra.samhsa.gov (click on ``Data Collection Tools/Instruments''), 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 (NCADI). 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 on. GPRA data are to be collected and then entered into CSAT's GPRA 
Data Entry and Reporting System (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.
    1.5 Progress and Financial Reports. Grantees must provide progress 
reports every six months instead of annual progress reports required by 
the SVC-04 PA (MOD). The last report will be a final, cumulative 
report.

[[Page 16279]]

    1.6 Public Health System Impact Statement (PHSIS). State and local 
governments and Indian tribal government applicants are not subject to 
the Public Health System Reporting Requirements; therefore, applicants 
for this TCE program are not required to follow the instructions for 
completing the PHSIS contained in the SVC-04 PA (MOD). In addition, 
applicants do not have to include an Appendix 4, Letter to the SSA, as 
required in the SVC-04 PA (MOD).
    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 information about award 
notices, administrative requirements and reporting requirements, is 
included in the SVC-04 PA (MOD) in Section VI. SAMHSA's standard terms 
and conditions are available at www.samhsa.gov/grants/2004/useful_info.asp.

VII. Contacts for Additional Information

    For questions about program issues, contact: Ken Robertson, SAMHSA/
CSAT, 5600 Fishers Lane, Rockwall II, Suite 740, Rockville, MD 20857; 
301-443-7612; 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 25, 2004.
Margaret Gilliam,
Acting Director, Office of Policy, Planning and Budget, Substance Abuse 
and Mental Health Services Administration.
[FR Doc. 04-7090 Filed 3-26-04; 8:45 am]
BILLING CODE 4162-20-P