[Federal Register Volume 69, Number 67 (Wednesday, April 7, 2004)]
[Notices]
[Pages 18390-18400]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 04-7816]


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DEPARTMENT OF HEALTH AND HUMAN SERVICES

Substance Abuse and Mental Health Services Administration


Notice of Request for Applications for Minority Fellowship 
Program (MFP) Grants

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

ACTION: Notice of request for applications for Minority Fellowship 
Program (MFP) grants.

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

SUMMARY: The Substance Abuse and Mental Health Services Administration 
(SAMHSA), Center for Mental Health Services (CMHS), Center for 
Substance Abuse Treatment (CSAT), and Center for Substance Abuse 
Prevention (CSAP), are accepting applications for Fiscal Year 2004 
grants to facilitate entry of ethnic minority students into mental 
health and substance abuse disorders careers and increases the number 
of psychology, psychiatry, nursing, and social work professionals 
trained to teach, administer, conduct services research, and provide 
direct mental health/substance abuse services to ethnic/racial/social/
cultural minority groups. For purposes of this Request for Applications 
(RFA), ethnic/racial/social/cultural minority groups include the 
following: American Indians, Native Alaskans, Asian Americans, Native 
Hawaiians, Native Pacific Islanders, African Americans and Hispanics/
Latinos, who are hereafter referred to as ethnic minorities or 
minorities.

DATES: Applications are due on June 7, 2004.

FOR FURTHER INFORMATION CONTACT: For questions on program issues 
contact: Paul Wohlford, Ph.D., SAMHSA/CMHS, Division of State & 
Community Systems Development, 5600 Fishers Lane, Room 15C-26, 
Rockville, MD 20857; Phone: (301) 443-3503; E-mail: 
[email protected]; or Herbert Joseph, Ph.D., M.P.H., SAMHSA/CMHS, 
Division of State & Community Systems Development, 5600 Fishers Lane, 
Room 15C-26, Rockville, MD 20857; Phone: 301-443-4257; 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:

Minority Fellowship Program--(SM 04-001) (Initial)

    Catalogue of Federal Domestic Assistance (CFDA) No.: No. 93.244.

                                Key Dates
 
------------------------------------------------------------------------
 
------------------------------------------------------------------------
Application deadline..............  Applications are due by June 7,
                                     2004.
Intergovernmental Review (E.O.      Letters from State Single Point of
 12372).                             Contact (SPOC) are due no later
                                     than August 6, 2004.
Public Health System Impact         Applicants must send the PHSIS to
 Statement (PHSIS)/SSA               appropriate State and local health
 Coordination.                       agencies by application deadline.
                                     Comments from Single State Agency
                                     are due no later than August 6,
                                     2004.
------------------------------------------------------------------------

Table of Contents

I. Funding Opportunity Description
    1. Introduction
    2. Expectations
II. Award Information
    1. Award Amount
    2. Funding Mechanism
III. Eligibility Information
    1. Eligible Applicants
    2. Cost-sharing
    3. Other
IV. Application and Submission Information
    1. Address to Request Application Package
    2. Content and Form of Application Submission
    3. Submission Dates and Times
    4. Intergovernmental Review (E.O. 12372) Requirements
    5. Funding Limitations/Restrictions
    6. Other Submission Requirements
V. Application Review Information
    1. Evaluation Criteria
    2. Review and Selection Process
VI. Award Administration Information
    1. Award Notices
    2. Administrative and National Policy Requirements
    3. Reporting Requirements
VII. Agency Contacts

Appendix A: Checklist for Formatting Requirements and Screenout 
Criteria for SAMHSA Grant Applications
Appendix B: Performance Measures for Minority Fellowship Program
Appendix C: Trainee Stipends

I. Funding Opportunity Description

1. Introduction

    As authorized under Sections 509, 516 and 520A of the Public Health 
Service Act, SAMHSA announces the availability of funds for the 
Minority Fellowship Program (MFP) grants. The MFP facilitates entry of 
ethnic minority students into mental health and substance abuse 
disorders careers and increases the number of psychology, psychiatry, 
nursing, and social work

[[Page 18391]]

professionals trained to teach, administer, conduct services research, 
and provide direct mental health/substance abuse services to ethnic/
racial/social/cultural minority groups. For purposes of this Request 
for Applications (RFA), ethnic/racial/social/cultural minority groups 
include the following: American Indians, Native Alaskans, Asian 
Americans, Native Hawaiians, Native Pacific Islanders, African 
Americans and Hispanics/Latinos, who are hereafter referred to as 
ethnic minorities or minorities.

2. Expectations

    The overall program goal of the MFP is to facilitate entry of 
ethnic minority students into mental health and substance abuse 
disorders careers and to increase the number of psychology, psychiatry, 
nursing, and social work professionals trained to teach, administer, 
conduct services research, and provide direct mental health/substance 
abuse services to ethnic minority groups. The MFP has two target 
populations:
     The ultimate target populations are ethnic 
minority persons with mental and/or substance abuse disorders who are 
presently underserved.
     The intermediary target populations are trainees 
receiving MFP support who will, later in their careers, directly and/or 
indirectly serve the ultimate target populations.
2.1 Background
    The mental health and substance abuse needs of minority communities 
within the United States have been historically underserved by trained 
practitioners sensitive to the cultural issues or equipped with the 
language skills that impact effective services delivery. In 1974, the 
National Institute of Mental Health (NIMH) established the MFP to 
enhance services to minority mental health professionals in psychiatry, 
nursing, social work, and psychology. In 1992, SAMHSA was established, 
and the MFP was transferred from NIMH to CMHS in SAMHSA.
    While ethnic minority groups continue to increase in absolute 
numbers and as a proportion of the general population (more than 25 
percent), the number of professionally trained minority mental health 
providers and service researchers (currently around 8 percent) is not 
increasing in a similar manner. Moreover, relatively few minority 
students pursue higher professional degrees. The lack of trained ethnic 
minority professionals is considered to be a significant factor in the 
lack of access and utilization of minority communities to appropriate 
health care, including mental health and substance abuse treatment and 
prevention services.
2.2 Program Plan
    Goals. To reduce disparities in mental health/substance abuse 
services, the goals of the MFP are to:
    (1) Create a nucleus of doctoral-level ethnic minority behavioral 
health professionals who will provide leadership, consultation, 
training, evaluation of programs, and services administration expertise 
to State and community agencies, primary care provider organizations, 
and educational institutions to ensure delivery of the highest quality 
treatment and prevention services to minorities with mental health and 
substance abuse disorders. Specifically, programs should work toward 
the goal of having all MFP Fellows trained in the latest Evidence-based 
Practices (EBP) in mental health and substance abuse treatment and 
prevention.
    (2) Collaborate with national mental health and substance abuse 
organizations to provide training support and to enhance 
interdisciplinary efforts that will increase quality of care and access 
to mental health and substance abuse treatment and prevention services 
in underserved minority communities; specifically, programs should work 
toward the goal of having all MFP Fellows well-trained in both mental 
health and substance abuse treatment and prevention.
    (3) Ensure that training is consistent with the latest EBP 
developments in culturally competent, behavioral health delivery, and 
financing mechanisms. SAMHSA defines cultural competency as a set of 
behaviors, skills, attitudes, and policies that promote awareness, 
acceptance, and respect for differences; continued knowledge 
development about other cultures; and adaptable models of service 
delivery to meet the needs of diverse ethnic minority populations.
    (4) Expand training for the evaluation of treatment and prevention 
programs from the standpoint of ethnic minority consumers who have 
mental health and/or substance abuse issues.
    (5) Enlarge the scope of the program, address the issue of the 
small number of minority students who pursue higher professional 
degrees, and increase the pool of available qualified applicants for 
MFP Fellowships.
2.3 Allowable Activities
    SAMHSA's Minority Fellowship Program grants will support the 
following types of activities:
    (1) Develop and administer an MFP program that supports doctoral-
level training in mental health and substance abuse prevention and 
treatment services to minorities, with an emphasis on providing 
evidence-based treatment and prevention in managed behavioral health 
care settings.
    (2) Establish an advisory committee for the discipline-specific 
MFP, including minority consumers, to provide consultation and guidance 
to the MFP, serve as planner and overseer, review both new and renewal 
student support applications, and select MFP fellows for each funded 
grant year.
    (3) Work with accredited, professional graduate schools to recruit 
ethnic minority students who are committed to serving minorities with 
mental health and substance abuse disorders, with particular attention 
given to bilingual/bicultural individuals.
    (4) Collaborate with other professional organizations and 
educational institutions to increase the pool of available qualified 
MFP applicants and to facilitate information dissemination concerning 
the MFP and its program goals and outcomes.
    (5) Encourage doctoral students in schools of behavioral health to 
specialize in areas where personnel shortages frequently occur within 
minority communities (e.g., child/adolescent and geriatric mental 
health and substance abuse services; impact of poverty on the mental 
health needs of minority communities; mental health services to 
minority communities in inner cities or rural areas; services or 
treatment for minority persons with serious mental illness or co-
occurring substance abuse and mental health disorders).
    (6) Provide training opportunities to MFP Fellows in settings that 
involve ethnic minority consumers and families in the planning and 
implementation of treatment and prevention service programs and involve 
training in evaluation to improve services.
2.4 Data and Performance Measurement
    The Government Performance and Results Act of 1993 (Pub. 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 annual performance targets related to their 
strategic plan; and

[[Page 18392]]

     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 the 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. In your application, you must 
demonstrate your ability to collect and report on these measures, and 
you must provide some baseline data.
    Appendix B provides the performance indicators for SAMHSA's MFP 
grantees. You can obtain more detailed information about how to collect 
and report on these measures by contacting the Government Project 
Officer listed below.
    Before making a grant award, a final agreement regarding data 
collection will be reached. The terms and conditions of the grant award 
will specify the data to be submitted and the schedule for submission. 
Grantees will be required to adhere to these terms and conditions of 
award.
2.4 Grantee Meetings
    You must plan to send a minimum of two people (including the 
Project Director) to at least one joint grantee meeting in each year of 
the grant, and you must include funding for this travel in your budget. 
At these meetings, grantees will present the results of their projects, 
and Federal staff will provide technical assistance. Each meeting will 
be 2 to 3 days. These meetings usually will be held in the Washington, 
DC, area, and attendance is mandatory.
2.5 Evaluation
    Grantees must evaluate their projects, and applicants are required 
to describe their evaluation plans in their applications. The 
evaluation should be designed to provide regular feedback to the 
project in order to improve services. Therefore, the evaluation must 
include the required performance measures described above. The 
evaluation must include both process and outcome components. Process 
and outcome evaluations must measure change relating to project goals 
and objectives over time, compared with baseline information. Control 
or comparison groups are not required. You must consider your 
evaluation plan when preparing the project budget. No more than 10 
percent of the total grant award may be used for evaluation and data 
collection.
    Process components should address issues such as:
     How closely did implementation match the plan?
     What types of deviations from the plan occurred?
     What led to the deviations?
     What impact did the deviations have on the 
intervention and evaluation?
     Who provided (program, staff) what training 
(modality, type, intensity, duration), to whom (individual 
characteristics), in what context (system, community), and at what cost 
(facilities, personnel, dollars)?
    Outcome components should address issues such as:
     What were the effects of the training program on 
the professional career development of individual MFP Fellows? (e.g., 
direct service, supervision, administration, teaching, research, etc.)
     What program/contextual factors were associated 
with outcomes?
     What individual factors were associated with 
outcomes?
     How durable were the effects?

II. Award Information

1. Award Amount

    It is expected that $3.3 million will be available for up to four 
Minority Fellowship Program awards in FY 2004. Annual awards are 
expected to be up to $950,000 per year in total costs (direct and 
indirect). Applicants may request a project period of up to three 
years.
    Proposed budgets cannot exceed $950,000 in any year of the proposed 
budget. 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. Eligibile Applicants

    Eligibility is limited to the American Nurses Association (ANA), 
the American Psychiatric Association (ApA), American Psychological 
Association (APA), and the Council on Social Work Education (CSWE). 
These professional organizations have unique access to students 
entering their respective professions. The fields of psychiatric 
nursing, psychiatry, psychology, and social work have been recognized 
nationally for decades as the four core behavioral health disciplines, 
providing part of an essential core of services for individuals with 
serious mental illness and also less severe mental disorders. The ANA, 
ApA, and APA are the largest national professional organizations in the 
country for nursing, psychiatry, and psychology, respectively. The ANA, 
ApA, and APA and their affiliates have activities in all major areas of 
national policies affecting nursing, psychiatry, and psychology as 
professions, including education and training. In the field of social 
work, the CSWE is the leading national organization that focuses just 
on the education and training of social workers, and it maintains a 
close working relationship with the National Association of Social 
Workers, the largest professional social work organization in the 
country.
    All four organizations, the ANA, ApA, APA, and CSWE, along with 
their affiliates, have direct involvement in curriculum development, 
school accreditation, and pre-/post-doctoral training. All four have 
had decades of experience in working directly with university training 
programs from which the pools of participants are selected. These are 
the only organizations that have the infrastructure and expertise in 
place to administer this program. They already have mechanisms and 
databases in place to identify minority students. All four 
organizations have developed relationships with appropriate minority 
professional organizations that may serve as useful liaisons; for 
instance, APA has developed relationships with the Association of Black 
Psychologists, Native American Psychological Association, Hispanic 
Psychological Association, and Asian American Psychological 
Association. Each organization assists APA in identifying pools of 
qualified applicants.
    Because of their unique characteristics and long history, these 
four organizations, the ANA, ApA, APA, and CSWE, were chosen more than 
25 years ago as the exclusive representatives for education/training in 
their respective fields. During that time, they have administered their 
MFP programs exceptionally well. They have recruited excellent 
students, assured that all program requirements were satisfied, and 
effectively monitored the progress of fellows during and after the 
fellowship period. Their MFP Fellows have been successful in addressing 
the MFP goals of providing leadership in the delivery of mental health/
substance abuse services to ethnic minority communities. These MFP 
grantees continue to operate in their unique position of representing 
this core mental

[[Page 18393]]

health and substance abuse discipline exceptionally well. Therefore, 
eligibility has been restricted to only these four organizations.

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 will not be reviewed: Use of the PHS 5161-1 
application; application submission requirements in section IV-3 of 
this document; and formatting requirements provided in section IV-2.3 
of this document.

IV. Application and Submission Information

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

1. Address To Request Application Package

    An application will be sent to each of the four eligible 
applicants. Also, you may request a complete application kit by calling 
one of SAMHSA's national clearinghouses:
     For substance abuse prevention or treatment 
grants, call the National Clearinghouse for Alcohol and Drug 
Information (NCADI) at 1-800-729-6686.
     For mental health grants, call the National 
Mental Health Information Center at 1-800-789-CMHS (2647).
    You also may download the required documents from the SAMHSA Web 
site at www.samhsa.gov. Click on ``grant opportunities.''
    Additional materials available on the SAMHSA Web site include:
     A technical assistance manual for potential 
applicants;
     Standard terms and conditions for SAMHSA grants;
     Guidelines and policies that relate to SAMHSA 
grants (e.g., guidelines on cultural competence, consumer and family 
participation, and evaluation); and
     Enhanced instructions for completing the PHS 
5161-1 application.

2. Content and Form of Application Submission

2.1 Required Documents
    SAMHSA application kits include the following documents:
     PHS 5161-1 (revised July 2000)--Includes the 
face page, budget forms, assurances, certification, and checklist. You 
must use the PHS 5161-1. Applications that are not submitted on the PHS 
5161-1 will be screened out and will not be reviewed.
     Request for Applications (RFA)--Provides 
specific information about the availability of funds, along with 
instructions for completing the grant application. This document is the 
RFA. The RFA will be available on the SAMHSA Web site (www.samhsa.gov). 
You must use all of the above documents in completing your application.
2.2 Required Application Components
    To ensure equitable treatment of all applications, applications 
must be complete. In order for your application to be complete, it must 
include the required ten components: (Face Page, Abstract, Table of 
Contents, Budget Form, Project Narrative and Supporting Documentation, 
Appendices, Assurances, Certifications, Disclosure of Lobbying 
Activities, and Checklist.
     Face Page--Use Standard Form (SF) 424, which is 
part of the PHS 5161-1.


    Note: Beginning October 1, 2003, applicants will need to provide 
a Dun and Bradstreet (DUNS) number to apply for a grant or 
cooperative agreement from the Federal Government. SAMHSA applicants 
will be required to provide their DUNS number on the face page of 
the application. Obtaining a DUNS number is easy and there is no 
charge. To obtain a DUNS number, access the Dun and Bradstreet Web 
site at www.dunandbradstreet.com, or call 1-866-705-5711. To 
expedite the process, let Dun and Bradstreet know that you are a 
public/private nonprofit organization getting ready to submit a 
Federal grant application.


     Abstract--Your total abstract should not be 
longer than 35 lines. In the first five lines or less of your abstract, 
write a summary of your project that can be used, if your project is 
funded, in publications, reports to Congress, or press releases.
     Table of Contents--Include page numbers for each 
of the major sections of your application and for each appendix.
     Budget Form--Use SF 424A, which is part of the 
5161-1. Fill out sections B, C, and E of the SF 424A.
     Project Narrative and Supporting Documentation--
The Project Narrative describes your project. It consists of sections A 
through C. These sections in total may not be longer than 25 pages. 
More detailed instructions for completing each section of the Project 
Narrative are provided in ``Section V--Application Review Information'' 
of this document.
    The Supporting Documentation provides additional information 
necessary for the review of your application. This supporting 
documentation should be provided immediately following your Project 
Narrative in Sections D through G. There are no page limits for these 
sections, except for Section F, Biographical Sketches/Job Descriptions.
     Section D--Literature Citations. This section 
must contain complete citations, including titles and all authors, for 
any literature you cite in your application.
     Section E--Budget Justification, Existing 
Resources, Other Support. You must provide a narrative justification of 
the items included in your proposed budget, as well as a description of 
existing resources and other support you expect to receive for the 
proposed project. Be sure to show that no more than 20% of the total 
grant award will be used for data collection and evaluation.
     Section F--Biographical Sketches and Job 
Descriptions.

--Include a biographical sketch for the Project Director and other key 
positions. Each sketch should be 2 pages or less. If the person has not 
been hired, include a letter of commitment from the individual with a 
current biographical sketch.
--Include job descriptions for key personnel. Job descriptions should 
be no longer than 1 page each.
--Sample sketches and job descriptions are listed on page 22, Item 6 in 
the Program Narrative section of the PHS 5161-1.

     Section G--Confidentiality and SAMHSA 
Participant Protection/Human Subjects. Section IV-2.4 of this document 
describes requirements for the protection of the confidentiality, 
rights and safety of participants in SAMHSA-funded activities. This 
section also includes guidelines for completing this part of your 
application.
    Appendices 1 through 9--Use only the appendices listed below. Do 
not use more than 30 pages for Appendices 1, 3, 4, 6, 8 and 9. There 
are no page limitations for Appendices 5 and 7. Do not use appendices 
to extend or replace any of the sections of the Project Narrative 
unless specifically required in the NOFA. Reviewers will not consider 
them if you do.

--Appendix 1: Letters of Coordination/Support
--Appendix 2: Literature Citations
--Appendix 3: Sample Consent Forms
--Appendix 4: Letter to the SSA (if applicable; see Section IV-4 of 
this document)
--Appendix 5: Employment of Past Fellows

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--Appendix 6: Students Entering and Leaving Program
--Appendix 7: Current Fellows
--Appendix 8: Evaluation of the Program
--Appendix 9: Implementation Schedule

     Assurances--Non-Construction Programs. Use 
Standard Form 424B found in PHS 5161-1.
     Certifications--Use the ``Certifications'' forms 
found in PHS 5161-1.
     Disclosure of Lobbying Activities--Use Standard 
Form LLL found in the PHS 5161-1. Federal law prohibits the use of 
appropriated funds for publicity or propaganda purposes, or for the 
preparation, distribution, or use of the information designed to 
support or defeat legislation pending before the Congress or State 
legislatures. This includes ``grass roots'' lobbying, which consists of 
appeals to members of the public suggesting that they contact their 
elected representatives to indicate their support for or opposition to 
pending legislation or to urge those representatives to vote in a 
particular way.
     Checklist--Use the Checklist found in PHS 5161-
1. The Checklist ensures that you have obtained the proper signatures, 
assurances and certifications and is the last page of your application.
2.3 Application Formatting Requirements
    Applicants also must comply with the following basic application 
requirements. Applications that do not comply with these requirements 
will be screened out and will not be reviewed.
     Information provided must be sufficient for 
review.
     Text must be legible.
     Type size in the Project Narrative cannot exceed 
an average of 15 characters per inch, as measured on the physical page. 
(Type size in charts, tables, graphs, and footnotes will not be 
considered in determining compliance.)
     Text in the Project Narrative cannot exceed 6 
lines per vertical inch.
     Paper must be white paper and 8.5 inches by 11.0 
inches in size.
     To ensure equity among applications, the amount 
of space allowed for the Project Narrative cannot be exceeded.
     Applications would meet this requirement by 
using all margins (left, right, top, bottom) of at least one inch each, 
and adhering to the 25-page limit for the Project Narrative.
     Should an application not conform to these 
margin or page limits, SAMHSA will use the following method to 
determine compliance: The total area of the Project Narrative 
(excluding margins, but including charts, tables, graphs and footnotes) 
cannot exceed 58.5 square inches multiplied by 25. This number 
represents the full page less margins, multiplied by the total number 
of allowed pages.
     Space will be measured on the physical page. 
Space left blank within the Project Narrative (excluding margins) is 
considered part of the Project Narrative, in determining compliance.
     The 30-page limit for Appendices 1, 3, 4, 6, 8 
and 9 cannot be exceeded.
    To facilitate review of your application, follow these additional 
guidelines. Failure to adhere to the following guidelines will not, in 
itself, result in your application being screened out and returned 
without review. However, following these guidelines will help reviewers 
to consider your application.
     Pages should be typed single-spaced with one 
column per page.
     Pages should not have printing on both sides.
     Please use black ink and number pages 
consecutively from beginning to end so that information can be located 
easily during review of the application. The cover page should be page 
1, the abstract page should be page 2, and the table of contents page 
should be page 3. Appendices should be labeled and separated from the 
Project Narrative and budget section, and the pages should be numbered 
to continue the sequence.
     Send the original application and two copies to 
the mailing address in section IV-6.1 of this document. Please do not 
use staples, paper clips, and fasteners. Nothing should be attached, 
stapled, folded, or pasted. Do not use heavy or lightweight paper or 
any material that cannot be copied using automatic copying machines. 
Odd-sized and oversized attachments such as posters will not be copied 
or sent to reviewers. Do not include videotapes, audiotapes, or CD-
ROMs.
2.4 SAMHSA Confidentiality and Participant Protection Requirements and 
Protection of Human Subjects Regulations
    You must describe your procedures relating to Confidentiality and 
Participant Protection and the Protection of Human Subjects Regulations 
in Section G of your application, using the guidelines provided below. 
Problems with confidentiality, participant protection, and protection 
of human subjects identified during peer review of your application may 
result in the delay of funding.
    Confidentiality and Participant Protection. All applicants 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) Protection of Clients and Staff from Potential Risks
     Identify and describe any foreseeable physical, 
medical, psychological, social, legal, or other risks or adverse 
effects.
     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 on 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 
(e.g., court orders requiring people to participate in a program).
     If you plan to pay participants, state how 
participants will be awarded money or gifts.
     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., 
participants themselves, family members, teachers, or others). Describe 
the data collection procedures and specify the sources for obtaining

[[Page 18395]]

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.
(5) Privacy and Confidentiality
     Explain how you will ensure privacy and 
confidentiality. Identify 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 (e.g., using a 
coding system on data records, limiting access to records, or storing 
identifiers separately from data).


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

(6) Adequate Consent Procedures
     List what information will be given to people 
who participate in the project. Include the type and purpose of their 
participation. Identify the data that will be collected, how the data 
will be used, and how you will keep the data private.
     State:

--Whether or not participation is voluntary.
--The right of participants 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, as appropriate, sample consent forms 
that provide for: (1) Informed consent for participation in service 
intervention; (2) informed consent for participation in the data 
collection component of the project; and (3) informed consent for the 
exchange (releasing or requesting) of confidential information. The 
sample forms must be included in Appendix 3, ``Sample Consent Forms'', 
of your application. If needed, give English translations.


    Note: Never imply that the participant waives or appears to 
waive any legal rights, may not end involvement with the project, or 
releases your project or its agents from liability for negligence.


     Describe, if separate consents will be obtained 
for different stages or parts of the project. For example, will 
consents 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 when compared with the 
expected benefits and importance of the knowledge from the project.
    Protection of Human Subjects Regulations. Applicants may have to 
comply with the Protection of Human Subjects Regulations (45 CFR 46), 
depending on the evaluation and data collection requirements of the 
particular funding opportunity for which the applicant is applying or 
the evaluation design proposed in the application. The NOFA will 
indicate whether all applicants for a particular funding opportunity 
must comply with the Protection of Human Subject Regulations.
    Applicants must be aware that even if the Protection of Human 
Subjects Regulations do not apply to all projects funded under a given 
funding opportunity, the specific evaluation design proposed by the 
applicant may require compliance with these regulations.
    Applicants whose projects must comply with the Protection of Human 
Subjects Regulations must describe the process for obtaining 
Institutional Review Board (IRB) approval fully in their applications. 
While IRB approval is not required at the time of grant award, these 
applicants will be required, as a condition of award, to provide the 
documentation that an Assurance of Compliance is on file with the 
Office for Human Research Protections (OHRP) and that IRB approval has 
been received prior to enrolling any clients in the proposed project.
    Additional information about Protection of Human Subjects 
Regulations can be obtained on the Web at http://ohrp.osophs.dhhs.gov. 
You may also contact OHRP by e-mail ([email protected]) or by phone 
(301-496-7005).

3. Submission Dates and Times

    Applications are due by close of business on June 7, 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.
    You will be notified by postal mail that your application has been 
received.
    Applications not received by the application deadline or not 
postmarked 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 is available at 
www.whitehouse.gov/omb/grants/spoc.html
     Check the list to determine whether your State 
participates in this program. You do not need to do this if you are a 
federally recognized Indian tribal government.
     If your State participates, contact your SPOC as 
early as possible to alert him/her to the prospective application(s) 
and to receive any necessary instructions on the State's review 
process.
     For proposed projects serving more than one 
State, you are advised to contact the SPOC of each affiliated State.

[[Page 18396]]

     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. SM 04-001.
    In addition, community-based, non-governmental service providers 
who are not transmitting their applications through the State must 
submit a Public Health System Impact Statement (PHSIS) (approved by OMB 
under control no. 0920-0428; see burden statement below) to the head(s) 
of appropriate State or local health agencies in the area(s) to be 
affected no later than the pertinent receipt date for applications. The 
PHSIS is intended to keep State and local health officials informed of 
proposed health services grant applications submitted by community-
based, non-governmental organizations within their jurisdictions. State 
and local governments and Indian tribal government applicants are not 
subject to these requirements.
    The PHSIS consists of the following information:
     A copy of the face page of the application (SF 
424); and
     A summary of the project, no longer than one 
page in length, that provides: (1) A description of the population to 
be served, (2) a summary of the services to be provided, and (3) a 
description of the coordination planned with appropriate State or local 
health agencies.
    For SAMHSA grants, the appropriate State agencies are the Single 
State Agencies (SSAs) for substance abuse and mental health. A listing 
of the SSAs can be found on SAMHSA's Web site at www.samhsa.gov. If the 
proposed project falls within the jurisdiction of more than one State, 
you should notify all representative SSAs.
    Applicants who are not the SSA must include a copy of a letter 
transmitting the PHSIS to the SSA in Appendix 4, ``Letter to the SSA.'' 
The letter must notify the State that, if it wishes to comment on the 
proposal, its comments should be sent not later than 60 days after the 
application deadline to: Substance Abuse and Mental Health Services 
Administration, Office of Program Services, Review Branch, 5600 Fishers 
Lane, Room 17-89, Rockville, Maryland, 20857, ATTN: SSA--Funding 
Announcement No. [fill in pertinent funding opportunity number from 
NOFA].
    In addition:
     Applicants may request that the SSA send them a 
copy of any State comments.
     The applicant must notify the SSA within 30 days 
of receipt of an award.

[Public reporting burden for the Public Health System Reporting 
Requirement is estimated to average 10 minutes per response, including 
the time for copying the face page of SF 424 and the abstract and 
preparing the letter for mailing. An agency may not conduct or sponsor, 
and a person is not required to respond to, a collection of information 
unless it displays a currently valid OMB control number. The OMB 
control number for this project is 0920-0428. Send comments regarding 
this burden to CDC Clearance Officer, 1600 Clifton Road, MS D-24, 
Atlanta, GA 30333, ATTN: PRA (0920-0428).]

5. Funding Limitations/Restrictions

    Cost principles describing allowable and unallowable expenditures 
for Federal grantees, including SAMHSA grantees, are provided in the 
following documents:
     Institutions of Higher Education: OMB Circular 
A-21.
     State and Local Governments: OMB Circular A-87.
     Nonprofit Organizations: OMB Circular A-122.
     Appendix E Hospitals: 45 CFR Part 74.
    In addition, SAMHSA MFP grant recipients must comply with the 
following funding restrictions:
     Grant funds must be used for purposes supported 
by the program.
     No more than 10 percent of the grant award may 
be used for evaluation and data collection expenses.
     Grant funds may not be used to pay for the 
purchase or construction of any building or structure to house any part 
of the grant project.

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 name of the program: Minority Fellowship 
Program and the RFA : SM 04-001 in item number 10 on the face 
page of the application. If you require a phone number for delivery, 
you may use (301) 443-4266.
6.2 How To Send Applications
    Mail an original application and two copies (including appendices) 
to the mailing address provided above. The original and copies must not 
be bound. Do not use staples, paper clips, or fasteners. Nothing should 
be attached, stapled, folded, or pasted.
    You must use a recognized commercial or governmental carrier. Hand-
carried applications will not be accepted. Faxed or e-mailed 
applications will not be accepted.

V. Application Review Information

1. Evaluation Criteria

    Your application will be reviewed and scored against the 
requirements listed below for developing the Project Narrative 
(Sections A-C). These sections describe what you intend to do with your 
project.
     In developing the Project Narrative section of 
your application, use these instructions, which have been tailored to 
this program. These are to be used instead of the ``Program Narrative'' 
instructions found in the PHS 5161-1.
     You must use the four sections/headings listed 
below in developing your Project Narrative. Be sure to place the 
required information in the correct section, or it will not be 
considered. Your application will be scored according to how well you 
address the requirements for each section.
     Reviewers will be looking for evidence of 
cultural competence in each section of the Project Narrative. Points 
will be assigned based on how well you address the cultural competence 
aspects of the evaluation criteria. SAMHSA's guidelines for cultural 
competence can be found on the SAMHSA Web site at www.samhsa.gov. Click 
on ``Grant Opportunities.''
     The Supporting Documentation you provide in 
Sections D-G and Appendices 1-9 will be considered by reviewers in 
assessing your response, along with the material in the Project 
Narrative.
    The number of points after each heading below is the maximum number 
of points a review committee may assign to that section of your Project 
Narrative. Bullet statements in each section do not have points 
assigned to them. They are provided to invite the attention of 
applicants and reviewers to important areas within each section.
Section A: Project Description With Supporting Documentation (30 
Points)
    Statement of the Problem/Issues: Describe the problem/issue that 
will be addressed relevant to the program goals and target populations. 
Provide data about the supply of and demand for behavioral health 
professionals to serve minority populations, including specific

[[Page 18397]]

information for the subgroups, as listed in the Introduction section on 
page four. The applicant also should demonstrate a need to resolve the 
problem/issue and the potential impact if not resolved.
    Target Population: The applicant should define both target 
populations as listed in the Expectations section on page four.
    Purpose and Goals: Provide a comprehensive framework and 
description of all aspects of the proposed project. More specifically:
    (1) Clearly state the purpose of the proposed project and how it 
will address the stated problem/issue and achieve the goals of the MFP.
    (2) State the goals and objectives, using an outline form, 
including specific recruitment goals for each minority population.
    (3) Clearly state how the proposed project will contribute to the 
field, including innovations to increase the supply of, and to recruit, 
retain, and prepare graduate students to serve the most vulnerable 
minority populations.
Section B: Project Plan (40 Points)
    Design: Describe specific approaches for accomplishing each of the 
goals outlined in the Purpose and Goals section above. These approaches 
should include a comprehensive implementation plan to meet the overall 
MFP goals. All applications must address the four areas below. In 
addition, the application may include other activities to meet MFP 
goals within available funding levels.
    (1) General: The application should include the following:
    a. A description of the content, methods, and organization of the 
training program in relation to the program goals.
    b. A strategy of recruitment based on greatest demonstrated need, 
e.g., that bilingual/bicultural applicants may be in short supply.
    c. An explanation of how didactic and experiential learning 
opportunities (e.g., clinical training and/or field work) will be 
provided in the following areas: linguistic and cultural sensitivity 
and competencies; services to minorities with mental health and 
substance abuse disorders and one or more additional underserved 
priority populations, including adults with serious mental illness, 
children with serious emotional disturbance, older adults and minority 
populations with mental health and substance abuse disorders living in 
rural communities; and services research.
    d. A description of how MFP fellows will be trained for leadership 
roles (i.e., administrative, services research, or program 
development).
    e. A description of how opportunities for enrichment activities, 
professional socialization, and other networking will be provided in 
the training settings.
    f. The criteria for eligibility in the MFP and a rationale for 
these criteria.
    g. A description of how the design is culturally competent.
    h. A description of consumer involvement in training programs.
    i. A description of innovations to increase the supply of qualified 
applicants.
    (2) Fellows: The applicant also must provide a plan for:
    a. Providing counseling to potential applicants to assist them in 
their election of training institutions. The plan should identify 
admissions requirements of the institutions.
    b. Describing the methods for recruiting and selecting candidates 
and methods for enhancing the supply of, and the retention and 
graduation, of fellows.
    c. Monitoring fellows' clinical and research training/experiences 
to ensure they complete the program. The plan should describe reporting 
requirements from the training institutions.
    d. Providing support and supervision of the fellows, including a 
description of reporting and evaluation requirements from the fellows 
and a summary of findings from past evaluations.
    e. Monitoring practices and internships to ensure that fellows 
obtain optimal mental health and substance abuse training related to 
the target populations.
    f. Monitoring the requirement that fellows focus their dissertation 
topics on the needs of minorities with mental health and substance 
abuse disorders and other underserved populations (children, 
adolescents, elderly, rural populations).
    (3) Training Record: The applicant must provide a record of fellows 
that have been in the MFP over the last 10 years (including the current 
grant year). The report must provide:
    a. In both summary and tabular form, in Appendix 5, Employment of 
Past Fellows, a list of types of jobs, especially those related to 
public mental health and addictions services to underserved 
populations, locations, other professional activities, etc.
    b. In Appendix 6, Students Entering and Leaving Program, reporting 
by year, sex, and ethnicity, the numbers of students admitted to the 
program, graduated, terminated before graduation, still in training, 
and disabled.
    c. In Appendix 7, Current Fellows, a description and list of 
fellows, by ethnicity and gender, who were admitted to the program 
during this period and those currently in training.
    d. An historical rate of attrition in the discipline's MFP and 
efforts to deal with this important training issue.
    (4) Evaluation of the Program: Provide an evaluation plan in 
Appendix 8 to assess the project's achievement of program goals. In 
particular, the plan should describe how the applicants are selected to 
ensure that different ethnic minority populations are represented.
Section C. Project Management: Implementation Plan, Organization, 
Staff, Equipment/Facilities, and Other Support (30 Points)
    Implementation Plan: Describe in Appendix 9, Implementation 
Schedule, the management/implementation schedule for this project. 
Complete an implementation plan time line that includes specific 
activities, target dates for completion, and responsible staff.
    Organization: Appendix 1, Letters of Coordination/Support, should 
document collaborative capacity or efforts to collaborate with other 
organizations, including minority, mental health, substance abuse, etc. 
Describe the administrative program structure and distribution of 
responsibilities.
    Staff: Describe the proposed staffing plan, and specify how the 
proposed staffing pattern and qualifications and experience of the 
staff and Advisory Committee are appropriate and adequate for 
implementation of the project. Explain how staff is culturally 
competent in relation to the students they will be recruiting.
    Equipment/Facilities: Describe the adequacy and availability of 
resources, and provide evidence that the activities and services are 
accessible.
    Other Support: If applicable, describe any additional resources 
that will be utilized to implement this project.


    Note: Although the budget for the proposed project is not a 
review criterion, the Review Group will be asked to comment on the 
budget after the merits of the application have been considered.

2. Review and Selection Process

    SAMHSA applications are peer-reviewed, according to the review 
criteria listed above. For those programs where the individual award is 
more than $100,000, applications also must be reviewed by the 
appropriate National Advisory Council.
    Decisions to fund a grant are based on:
     Strengths and weaknesses of the application, as 
identified by the Peer Review Committee and, when

[[Page 18398]]

necessary, approved by the appropriate National Advisory Council;
     Availability of funds;
     After applying the aforementioned criteria, the 
following method for breaking ties: When funds are not available to 
fund all applications with identical scores, SAMHSA will make award 
decisions based on the application(s) that received the greatest number 
of points by peer reviewers on the evaluation criterion in Section V-1 
with the highest number of possible points, Section B. Project Plan (40 
points). Should a tie still exist, the evaluation criterion with the 
next highest possible point value will be used, continuing sequentially 
to the evaluation criterion with the lowest possible point value, 
should that be necessary to break all ties. If an evaluation criterion 
to be used for this purpose has the same number of possible points as 
another evaluation criterion, the criterion listed first in Section V-1 
will be used first.

VI. Award Administration Information

1. Award Notices

    After your application has been reviewed, you will receive a letter 
from SAMHSA through postal mail that describes the general results of 
the review, including the score that your application received.
    If you are approved for funding, you will receive an additional 
notice, the Notice of Grant Award, signed by SAMHSA's Grants Management 
Officer. The Notice of Grant Award is the sole obligating document that 
allows the grantee to receive Federal funding for work on the grant 
project. It is sent by postal mail and is addressed to the contact 
person listed on the face page of the application.
    If you are not funded, you can reapply if there is another receipt 
date for the program.

2. Administrative and National Policy Requirements

2.1 General Requirements
     You must comply with all terms and conditions of 
the grant award. SAMHSA's standard terms and conditions are available 
on the SAMHSA Web site at www.samhsa.gov/grants/2004/useful_info.asp.
     Depending on the nature of the specific funding 
opportunity and/or the proposed project as identified during review, 
additional terms and conditions may be identified in the NOFA or 
negotiated with the grantee prior to grant award. These may include, 
for example:

--Actions required to be in compliance with human subjects 
requirements;
--Requirements relating to additional data collection and reporting;
--Requirements relating to participation in a cross-site evaluation; or
--Requirements to address problems identified in review of the 
application.


     You will be held accountable for the information 
provided in the application relating to performance targets. SAMHSA 
program officials will consider your progress in meeting goals and 
objectives, as well as your failures and strategies for overcoming 
them, when making an annual recommendation to continue the grant and 
the amount of any continuation award. Failure to meet stated goals and 
objectives may result in suspension or termination of the grant award, 
or in reduction or withholding of continuation awards.
     In an effort to improve access to funding 
opportunities for applicants, SAMHSA is participating in the U.S. 
Department of Health and Human Services ``Survey on Ensuring Equal 
Opportunity for Applicants.'' This survey is included in the 
application kit for SAMHSA grants. Applicants are encouraged to 
complete the survey and return it, using the instructions provided on 
the survey form.

3. Reporting Requirements

3.1 Progress and Financial Reports
     Grantees must provide annual and final progress 
reports. The final progress report must summarize information from the 
annual reports, describe the accomplishments of the project, and 
describe next steps for implementing plans developed during the grant 
period.
     Grantees must provide annual and final financial 
status reports. These reports may be included as separate sections of 
annual and final progress reports or can be separate documents. Since 
SAMHSA is extremely interested in ensuring that infrastructure 
development and enhancement efforts can be sustained, your financial 
reports must explain plans to ensure the sustainability of efforts 
initiated under this grant. Initial plans for sustainability should be 
described in year 1 of the grant. In each subsequent year, you should 
describe the status of the project, successes achieved, and obstacles 
encountered in that year.
     SAMHSA will provide guidelines and requirements 
for these reports to grantees at the time of award and at the initial 
grantee orientation meeting after the award. SAMHSA staff will use the 
information contained in the reports to determine the grantee's 
progress toward meeting its goals.
3.2 Government Performance and Results Act
    The Government Performance and Results Act (GPRA) mandates 
accountability and performance-based management by Federal agencies. To 
meet the GPRA requirements, SAMHSA must collect performance data (i.e., 
``GPRA data'') from grantees. The performance requirements for SAMHSA's 
MFP grants are described in Section I-2.2 under ``Data and Performance 
Measurement'' of this document.
3.3 Publications
    If you are funded under this grant program, you are required to 
notify the Government Project Officer (GPO) and SAMHSA's Publications 
Clearance Officer (301-443-8596) of any materials based on the SAMHSA-
funded project that are accepted for publication.
    In addition, SAMHSA requests that grantees:
     Provide the GPO and SAMHSA Publications 
Clearance Officer with advance copies of publications.
     Include acknowledgment of the SAMHSA grant 
program as the source of funding for the project.
     Include a disclaimer stating that the views and 
opinions contained in the publication do not necessarily reflect those 
of SAMHSA or the U.S. Department of Health and Human Services and 
should not be construed as such.
    SAMHSA reserves the right to issue a press release about any 
publication deemed by SAMHSA to contain information of program or 
policy significance to the substance abuse treatment/substance abuse 
prevention/mental health services community.

VII. Agency Contacts for Additional Information

    For questions about program issues, contact:

Paul Wohlford, Ph.D., Project Officer, Div. of State & Community 
Systems Development, Center for Mental Health Services, 5600 Fishers 
Lane, Room 15C-26, Rockville, MD 20857, (301) 443-3503, E-Mail: 
[email protected].

or:

Herbert Joseph, Ph.D., M.P.H., Alternate Project Officer, Div. of State 
& Community Systems Development, Center for Mental Health Services, 
5600 Fishers Lane, Room 15C-26, Rockville, MD 20857, (301) 443-4257, E-
Mail: [email protected].


[[Page 18399]]


    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--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 5161-1 application.
     Applications must be received by the 
application deadline. Applications received after this date must 
have a proof of mailing date from the carrier dated at least 1 week 
prior to the due date. Private metered postmarks are not acceptable 
as proof of timely mailing. Applications not received by the 
application deadline or not postmarked at least 1 week prior to the 
application deadline will not be reviewed.
     Information provided must be sufficient for 
review.
     Text must be legible.
     Type size in the Project Narrative cannot 
exceed an average of 15 characters per inch, as measured on the 
physical page. (Type size in charts, tables, graphs, and footnotes 
will not be considered in determining compliance.)
     Text in the Project Narrative cannot exceed 6 
lines per vertical inch.
     Paper must be white paper and 8.5 inches by 
11.0 inches in size.
     To ensure equity among applications, the 
amount of space allowed for the Project Narrative cannot be 
exceeded.
     Applications would meet this requirement by 
using all margins (left, right, top, bottom) of at least one inch 
each, and adhering to the page limit for the Project Narrative 
stated in the specific funding announcement.
     Should an application not conform to these 
margin or page limits, SAMHSA will use the following method to 
determine compliance: The total area of the Project Narrative 
(excluding margins, but including charts, tables, graphs and 
footnotes) cannot exceed 58.5 square inches multiplied by the 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 Project Narrative (excluding margins) is 
considered part of the Project Narrative, in determining compliance.
     The page limit for Appendices stated in the 
specific funding announcement cannot be exceeded.
    To facilitate review of your application, follow these 
additional guidelines. Failure to adhere to the following guidelines 
will not, in itself, result in your application being screened out 
and returned without review. However, the information provided in 
your application must be sufficient for review. Following these 
guidelines will help ensure your application is complete, and will 
help reviewers to consider your application.
     The 10 application components required for 
SAMHSA applications should be included. These are:
     Face Page (Standard Form 424, which is in PHS 
5161-1)
     Abstract
     Table of Contents
     Budget Form (Standard Form 424A, which is in 
PHS 5161-1)
     Project Narrative and Supporting 
Documentation
     Appendices
     Assurances (Standard Form 424B, which is in 
PHS 5161-1)
     Certifications (a form in PHS 5161-1)
     Disclosure of Lobbying Activities (Standard 
Form LLL, which is in PHS 5161-1)
     Checklist (a form in PHS 5161-1)
     Applications should comply with the following 
requirements:
     Provisions relating to confidentiality, 
participant protection and the protection of human subjects 
specified in Section IV-2.4 of the 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 5161-1.
     Pages should be typed single-spaced with one 
column per page.
     Pages should not have printing on both sides.
     Please use black ink, and number pages 
consecutively from beginning to end so that information can be 
located easily during review of the application. The cover page 
should be page 1, the abstract page should be page 2, and the table 
of contents page should be page 3. Appendices should be labeled and 
separated from the Project Narrative and budget section, and the 
pages should be numbered to continue the sequence.
     Send the original application and two copies 
to the mailing address in the funding announcement. Please do not 
use staples, paper clips, and fasteners. Nothing should be attached, 
stapled, folded, or pasted. Do not use heavy or lightweight paper or 
any material that cannot be copied using automatic copying machines. 
Odd-sized and oversized attachments such as posters will not be 
copied or sent to reviewers. Do not include videotapes, audiotapes, 
or CD-ROMs.

Appendix B: Performance Indicators for the Minority Fellowship Program 
(MFP)

    Training Record: The applicant must provide a record of all 
fellows in the MFP over the last 10 years (including the current 
grant year). The report must include the following:

Employment of Past Fellows

    Provide, in both summary and tabular form, in Appendix 5, 
Employment of Past Fellows, a list of types of jobs, especially 
those related to mental health and addictions services to 
underserved populations, public/private locations, other 
professional activities, etc.

Attrition of Students From Training Programs

    Attrition of Students from Training Programs is calculated from 
Appendix 6, Students Entering and Leaving Program. Provide 
information about all students, reporting by year, sex, and 
ethnicity the numbers of students admitted to the program, 
graduated, terminated before graduation, still in training, and 
disabled. Also, provide an historical rate of attrition in the 
discipline's MFP and efforts to deal with this important training 
issue.

Current Fellows

    Provide in Appendix 7, Current Fellows, a description and list 
of fellows, by ethnicity and gender, who were admitted to the 
program during this period and those currently in training.

Evaluation of the Program

    Provide an evaluation plan to assess the project's achievement 
of program goals in Appendix 8. In particular, the plan should 
describe how the applicants are selected to ensure that different 
ethnic minority populations are represented.

Appendix C: Trainee Stipends

    Stipends are intended to assist trainees in meeting subsistence 
expenses and to enable them to pursue training on a full-time basis. 
The amount of this stipend is generally determined by the academic 
status of the appointee. Stipends for full-time trainees enrolled in 
training programs leading to or based on a degree are as follows 
(NIH, 3/7/03):

------------------------------------------------------------------------
                                                                Stipend
                         Career level                            for FY
                                                                  2003
------------------------------------------------------------------------
Undergraduates:
  Freshmen/Sophomores........................................    $ 7,296
  Juniors/Seniors............................................     10,224
Pre-doctoral.................................................     19,968
Post-doctoral
Years of Relevant Experience
  0..........................................................    $34,200
  1..........................................................     36,108
  2..........................................................     40,920
  3..........................................................     42,648
  4..........................................................     44,364
  5..........................................................     46,404
  6..........................................................     48,444
  7 or more..................................................     50,808
------------------------------------------------------------------------

    For purposes of determining appropriate stipend levels for 
subsequent years, prior years under a SAMHSA clinical training grant 
will count as ``years of relevant experience.'' Relevant experience 
is considered to be activities beyond the

[[Page 18400]]

doctoral degree such as an internship, residency, teaching, or 
providing services in the specific area of training, etc. For 
trainees who receive a SAMHSA training program stipend award for the 
first time in a second or later year of study, the level of support 
shall be determined by the relevant experience gained before initial 
entry into the program, plus another year of experience for each 
year already spent in full-time participation in the program.
    Stipends for full-time trainees enrolled in programs that are 
not degree-related may be paid commensurate with the trainee's 
career status and experience in accordance with the above schedule. 
Maximum support for any trainee is $44,412 per year, prorated 
according to the length of the program.
    For the MFP, the above rates may be used as ceilings rather than 
as levels. This deviation has been permitted to allow MFP training 
directors with the flexibility to use stipends to support greater 
numbers of trainees under these grants.

Other Trainee Costs

    In addition to stipends, the applicant may request funds for 
trainee travel. Trainee travel costs are allowable only between the 
training institution and field training sites. The MFP applicant may 
request travel for trainees to attend professional meetings.

    Dated: April 1, 2004.
Daryl Kade,
Director, Office of Policy Planning and Budget, Substance Abuse and 
Mental Health Services Administration.

[FR Doc. 04-7816 Filed 4-6-04; 8:45 am]
BILLING CODE 4162-20-P