[Federal Register Volume 69, Number 68 (Thursday, April 8, 2004)]
[Notices]
[Pages 18617-18620]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 04-7910]


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DEPARTMENT OF HEALTH AND HUMAN SERVICES

Substance Abuse and Mental Health Services Administration


Funding Opportunity Title: Notice of Funding Availability (NOFA) 
for Intervention Development and Evaluation Centers of the National 
Child Traumatic Stress Initiative (Short Title: NCTSI-IDE Centers)

    Announcement Type: Initial.
    Funding Opportunity Number: SM 04-009.
    Catalog of Federal Domestic Assistance (CFDA) Number: 93.243.
    Due Date for Application: June 10, 2004.

    [Note: Letters from State Single Point of Contact (SPOC) in 
response to E.O. 12372 are due August 9, 2004.]

SUMMARY: The Substance Abuse and Mental Health Services Administration 
(SAMHSA), Center for Mental Health Services (CMHS), announces the 
availability of FY 2004 funds for Intervention Development and 
Evaluation Centers of the National Child Traumatic Stress Initiative 
(NCTSI-IDE Centers). A synopsis of this funding opportunity, as well as 
many other Federal Government funding opportunities, are also available 
at the Internet site: http://www.grants.gov.
    For complete instructions, potential applicants must obtain a copy 
of SAMHSA's standard Service-to-Science Grants Announcement [STS-04 PA 
(MOD)], and the PHS 5161-1 (Rev. 7/00) application form before 
preparing and submitting an application. The STS-04 PA (MOD) describes 
the general program design and provides instructions for applying for 
all SAMHSA Service-to-Science Grants, including the NCTSI-IDE Centers. 
Additional instructions and specific requirements for this funding 
opportunity are described below.

I. Funding Opportunity Description

    Authority: Section 582 of the Public Health Service Act, as 
amended and subject to the availability of funds.

    The Intervention Development and Evaluation Centers of the National 
Child Traumatic Stress Initiative (NCTSI-IDE Centers) are SAMHSA 
Service-to-Science Grants. The purpose of NCTSI-IDE Center grants is to 
develop, deliver and evaluate improved treatment approaches and service 
delivery models within the NCTSI for specific types of trauma (e.g., 
child abuse or refugee trauma) and/or different service settings (e.g., 
schools or residential treatment centers), and/or diverse populations 
of traumatized children/adolescents (racial/ethnic, rural.) To 
complement the development of treatment approaches for acute and 
chronic trauma in children and adolescents, the IDE Centers also 
develop intervention manuals, and training procedures for service 
providers in effective trauma interventions. In their defined area of 
national expertise, IDE Centers serve as a resource for public and 
professional education, training, consultation and technical assistance 
on effective treatments and services.
    This one-year funding announcement will allow the initial cohort of 
IDE Centers to continue activities begun during the current funding 
period, further refine specialized treatment approaches, tailor 
practice manuals for new service settings, and update procedures to 
disseminate intervention products nationally. Grantees may complete 
ongoing Phase I activities but may not begin new ones under this grant.

Expectations:

    The major emphasis of the NCTSI-IDE Centers grant will be the 
development of intervention approaches, evaluation of these 
intervention approaches in community settings, or the development of 
processes for disseminating effective practices to a diverse array of 
providers and communities. These quantitative and qualitative 
evaluations must meet the Phase 2 requirements described in the STS-04 
PA (MOD). At the end of this year of funding, SAMHSA expects the IDE 
Centers to have completed one evaluation for entrance in SAMHSA's 
National Registry of Effective Programs (NREP), a SAMHSA effort 
initiated in 1998 to search for and to certify effective substance 
abuse prevention and mental health interventions. SAMHSA intends to 
promote a more systematic collection of evaluation results and 
dissemination of effective service practices as a cornerstone of the 
NCTSN in the future.
    A critical aspect of the IDE Centers is their role in the National 
Child Traumatic Stress Network. Therefore, applicants must describe the 
following when completing their applications:
     How they will develop, implement, evaluate and 
disseminate their intervention approaches within the existing framework 
of the National Child Traumatic Stress Network.
     How they participate in the current structure 
and operation of the NCTSN to develop intervention products within this 
collaborative framework.
     What consultation services, training, and 
resource development they provide to (1) other NCTSN centers, (2) local 
service programs, and (3) other service programs.
     For grantees who provide direct clinical 
services, their participation in clinical data collection, both in the 
development of clinical data collection protocols for the NCTSI network 
and collection of clinical data from service recipients.
     Assessment of effectiveness of training 
activities.
    Applicants may build upon existing evaluation activities begun 
during the previous three years of funding. Applicants may do more than 
one evaluation, especially if several evaluations are underway or if 
several approaches have completed Phase I activities and are poised for 
evaluation. The desired endpoint for Phase II is the documented 
achievement of the intervention's effectiveness and readiness for 
submission in NREP or experimental study.

II. Award Information

    1. Estimated Funding Available/Number of Awards: It is expected 
that up to $3 million will be available to fund up to 5 awards in FY 
2004. The maximum allowable award is $600,000 in total costs (direct 
and indirect) for one year. Proposed budgets cannot exceed the 
allowable amount. The actual amount available for the award may vary, 
depending on unanticipated program requirements and the number and 
quality of the applications received.
    2. Funding Instrument: Cooperative Agreement.

Role of Federal Staff

     Consult with Intervention Development and 
Evaluation Center project directors on all phases of the project to 
ensure accomplishment of the goals of the Initiative;

[[Page 18618]]

     Review critical project activities for 
conformity to the goals of NCTSI;
     Monitor the conduct and progress of NCTSI 
project activities;
     Provide feedback on project design and 
components;
     Participate in selected policy and steering 
groups or related work groups;
     Review quarterly reports and conduct site 
visits, as needed;
     Provide support services or recommend outside 
consultants, if needed;
     Author or co-author publications on program 
findings; and
     Provide technical assistance on ways to help 
disseminate and implement products of collaborative activities.

Role of Awardee

     Comply with the terms of the cooperative 
agreement award as specified in the requirements of the STS-04 PA 
(MOD), the Notice of Funding Availability (NOFA), and the Notice of 
Grant Award (NOGA);
     Participate in collaborative activities with 
other National Child Traumatic Stress Network (NCTSN) centers and other 
collaborative network activities;
     Participate in grantee meetings;
     Accept guidance and respond to requests for data 
from CMHS;
     Participate in policy steering groups and other 
work groups to help accomplish project goals;
     As appropriate, author or co-author publications 
on project results for use by the field;
     Participate in post-award, cross-site process 
and outcome evaluation activities; and
     Implement specified activities, data collection, 
and quality control; and
     Complete required SAMHSA reports.

III. Eligibility Information

    1. Eligible Applicants are limited to the original cohort of five 
IDE Centers (Category II grantees) funded in FY 2001 under the National 
Child Traumatic Stress Initiative. These eligibility criteria supersede 
the criteria specified in Section III-1 of the STS-04 PA (MOD). SAMHSA/
CMHS is currently funding four cohorts of IDE Center grantees with 
different start and end dates, as well as different project periods.
    2. Cost Sharing or Matching is not required.
    3. Other: Applicants must also meet certain application formatting 
and submission requirements or the application will be screened out and 
will not be reviewed. These requirements are described in Section IV-2 
below as well as in the STS-04 PA (MOD).

IV. Application and Submission Information

    1. Address to Request Application Package: Complete application 
kits may be obtained from: the National Mental Health Information 
Center at 1-800-789-2647. When requesting an application kit for this 
program, applicants must specify the funding opportunity title (NCTSI-
IDE Centers) and the funding opportunity number (SM 04-009). 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 STS-04 PA (MOD) is available 
electronically at http://www.samhsa.gov/grants/2004/standard/srv2sci/index.asp. When submitting an application, be sure to type ``SM 04-009, 
NCTSI-IDE Centers'' in Item Number 10 on the face page of the 
application form. Also, SAMHSA applicants are required to provide a 
DUNS Number on the face page of the application. To obtain a DUNS 
Number, access the Dun and Bradstreet Web site at http://www.dunandbradstreet.com or call 1-866-705-5711.
    2. Content and Form of Application Submission: Additional 
information including required documents, required application 
components, and application formatting requirements is available in the 
STS-04 PA (MOD) in Section IV-2.

Checklist for Formatting Requirements and Screen out 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.
    [shabox3] Use the PHS 5161-1 application.
    [shabox3] 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.
    [shabox3] Information provided must be sufficient for review.
    [shabox3] 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.
    [shabox3] Paper must be white paper and 8.5 inches by 11.0 inches 
in size.
    [shabox3] To ensure equity among applications, the amount of space 
allowed for the Project Narrative cannot be exceeded.
     Applications would meet this requirement by 
using all margins (left, right, top, bottom) of at least one inch each, 
and adhering to the page limit for the Project Narrative stated in the 
specific funding announcement.
     Should an application not conform to these 
margin or page limits, SAMHSA will use the following method to 
determine compliance: The total area of the Project Narrative 
(excluding margins, but including charts, tables, graphs and footnotes) 
cannot exceed 58.5 square inches multiplied by the page limit. This 
number represents the full page less margins, multiplied by the total 
number of allowed pages.
     Space will be measured on the physical page. 
Space left blank within the Project Narrative (excluding margins) is 
considered part of the Project Narrative, in determining compliance.
    [shabox3] 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.
    [shabox3] 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

[[Page 18619]]

     Appendices
     Assurances (Standard Form 424B, which is in PHS 
5161-1)
     Certifications (a form in PHS 5161-1)
     Disclosure of Lobbying Activities (Standard From 
LLL, which is in PHS 5161-1)
     Checklist (a form in PHS 5161-1)
    [shabox3] Applications should comply with the following 
requirements:
     Provisions relating to confidentiality, 
participant protection and the protection of human subjects, as 
indicated in the STS-04 PA (MOD).
     Budgetary limitations as specified in Section I, 
II, and IV-5 of the FY 2004 STS-04 PA (MOD).
     Documentation of nonprofit status as required in 
the PHS 5161-1.
    [shabox3] Pages should be typed single-spaced with one column per 
page.
    [shabox3] Pages should not have printing on both sides.
    [shabox3] 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.
    [shabox3] 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 any material that cannot be copied using 
automatic copying machines. Odd-sized and oversized attachments such as 
posters will not be copied or sent to reviewers. Do not include 
videotapes, audiotapes, or CD-ROMs.
    3. Submission Dates and Times: Applications must be received by 
June 10, 2004. You will be notified by postal mail that your 
application has been received. Additional submission Information is 
available in the STS-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 STS-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 http://www.whitehouse.gov/omb/grants/spoc.html.
    5. Funding Restrictions: Information concerning funding 
restrictions is available in the STS-04 PA (MOD) in Section IV-5.
    6. Other Submission Requirements: Instructions for submitting 
applications, including where and how to send applications, are 
provided in the STS-04 PA (MOD) in Section IV-6.

V. Application Review Information

    1. Evaluation Criteria: Applications will be reviewed against the 
Evaluation Criteria and requirements for the Project Narrative 
specified in the STS-04 PA (MOD). The following information describes 
exceptions or limitations to the STS-04 PA (MOD) and provides special 
requirements that pertain only to the NCTSI-IDE Centers cooperative 
agreements. Applicants must discuss the following requirements in their 
applications, in addition to the requirements specified in the STS-04 
PA (MOD). Applicants may apply for Phase I and Phase II combined or 
Phase II only. Grantees may complete ongoing Phase I activities, but 
may not begin new ones. Applications for Phase I alone will not be 
accepted.

1.1 Allowable Activities:

    (a) In addition to the allowable activities stated in the STS-04 PA 
(MOD), applicants must collaborate with other grantees within the 
National Child Traumatic Stress Network in completing their Phase I and 
Phase II activities.
    (b) IDE Centers are permitted to provide and support services in 
inpatient settings.

1.2 In ``Section A: Statement of Need:''

    (a) Given the efforts that have been implemented during the 
previous three-year grant cycle, applicants should complete the 
Statement of Need by defining the need/problem as the remaining work of 
the network or service gaps related to the IDE Center's trauma focus.
    (b) Rather than provide a literature review in their area of child 
trauma expertise, applicants must describe the following in this 
section:
    (1) Accomplishments in providing leadership within the NCTSN in 
area(s) of trauma expertise;
    (2) Participation of current center staff in network collaborative 
activity;
    (3) Progress on identifying/developing intervention approaches;
    (4) Accomplishments in collaborating with other NCTSI-IDE, and with 
Community Treatment and Service Centers (Category III grantees).
    (5) Progress in developing approaches to disseminating practices 
that have a documented evidence base; and
    (6) Progress on dissemination of effective evidence-based 
practices.

1.2a In ``Section B: Proposed Approach:''

    In Section B, applicants should describe a proposed approach for 
addressing the problem/s described in Section A. At least one major 
intervention approach must meet most of the criteria specified for 
readying the ``practice'' for evaluation as described in the standard 
announcement. The discussion of the ``practice'' for evaluation should 
indicate which of the criteria have been addressed and the plan for 
meeting any criteria that have not been addressed. For example, 
applicants that do not currently have a logic model for their 
intervention approaches must provide a plan for developing a logic 
model.
    Applicants may provide information and documentation on multiple 
practices that are at different stages of development, standardization, 
and dissemination. If applicants intend to enhance work on these, 
applicants must include documentation for the additional practices 
considered ready for systematic evaluation in Appendix 2. Applicants 
must indicate that they will participate in cross-site evaluation 
efforts. Applicants should refer to Section I-Expectations of this NOFA 
when completing Section B of their applications.

1.3 In ``Section C: Evaluation Design and Analysis:''

    (a) Applicants should refer to Section I-Expectations of this NOFA 
when completing Section C of their applications.
    (b) For those IDE Centers which have already completed the 
evaluation of an intervention approach and another evaluation is not 
feasible within the year, these applicants may select among the 
following evaluation options:
    (1) Choose to test other related interventions;
    (2) Prepare other communities to replicate the specific practice 
with the objective of subsequent evaluation;
    (3) Document and evaluate particular elements of the existing 
evidence-based practice that need further study.

1.4 In ``Section D: Management Plan and Staffing:''

    In addition to describing the adequacy of staffing for 
administering the management aspects of the grant, applicants must 
describe the expertise and experience of staff in providing

[[Page 18620]]

services, intervention development, and/or training in the specialized 
areas of child trauma for which the IDE is responsible.

1.5 Performance Measurement

    All SAMHSA grantees are required to collect and report certain 
data, so that SAMHSA can meet its obligations under the Government 
Performance and Results Act (GPRA). Grantees of the NCTSI-IDE Centers 
will be required to report performance in: (1) increasing the number of 
children and adolescents reached by improved services; and (2) 
improving children's outcomes. Applicants must document their ability 
to collect and report the required data in ``Section C: Evaluation 
Design and Analysis'' of their applications.

2. Review and Selection Process

    Information about the review and selection process is available in 
the STS-04 PA (MOD) in Section V-2. Because eligibility is limited to 
NCTSI-IDE Centers grantees funded in FY 2001, equitable distribution of 
awards in terms of geographic criteria does not apply.

VI. Award Administration Information

    Award administration information, including award notices, 
administrative and national policy requirements, and reporting 
requirements are available in the STS-04 PA (MOD) in Section VI. 
SAMHSA's standard terms and conditions are available at http://www.samhsa.gov/grants/2004/useful_info.asp. In addition to the 
reporting requirements stated in the STS-04 PA (MOD), applicants must 
provide quarterly progress reports, as well as an annual evaluation 
report.

VII. Agency Contact for Additional Information

    For questions about program issues contact: Malcolm Gordon, Ph.D., 
Division of Prevention, Traumatic Stress, and Special Programs, SAMHSA/
CMHS, 5600 Fishers Lane, Room 15-77, Rockville, MD 20857; 301-443-2957; 
E-mail: [email protected]. For questions on grants management issues 
contact: Gwendolyn Simpson, SAMHSA/Division of Grants Management, 5600 
Fishers Lane, Room 13-105, Rockville, MD 20857; 301-443-3896; E-mail: 
[email protected].

    Dated: April 2, 2004.
Daryl Kade,
Director, Office of Policy, Planning and Budget, Substance Abuse and 
Mental Health Services Administration.
[FR Doc. 04-7910 Filed 4-7-04; 8:45 am]
BILLING CODE 4162-20-P