[Federal Register Volume 69, Number 78 (Thursday, April 22, 2004)]
[Notices]
[Pages 21842-21855]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 04-9149]


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DEPARTMENT OF HEALTH AND HUMAN SERVICES

Substance Abuse and Mental Health Services Administration


Notice of Request for Applications for Grants for National 
Technical Assistance Centers on Consumer/Peer-Run Programs (Consumer TA 
Centers)

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

ACTION: Notice of request for applications for grants for National 
Technical Assistance Centers on Consumer/Peer-Run Programs (Consumer TA 
Centers).

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    Authority: Section 520A of the Public Health Service Act.

SUMMARY: The Substance Abuse and Mental Health Services Administration 
(SAMHSA), Center for Mental Health Services (CMHS), is accepting 
applications for Fiscal Year 2004 grants to assist in the 
transformation of the mental health system by providing consumers with 
necessary skills to foster consumer/peer-run programs. These programs 
maximize consumer self-determination and recovery and assist people 
with severe mental illness to decrease their dependence on expensive 
social services and avoid psychiatric hospitalization.

DATES: Applications are due on June 25, 2004.

FOR FURTHER INFORMATION CONTACT: For questions on program issues 
contact: Risa S. Fox, M.S., SAMHSA/CMHS, 5600 Fishers Lane, Room 11C-
22, Rockville, MD 20857, Phone: (301) 443-3653; 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:

Grants for National Technical Assistance Centers on Consumer/Peer-Run 
Programs (SM 04-011) (Initial Announcement)

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

                                Key Dates
------------------------------------------------------------------------
 
------------------------------------------------------------------------
Application Deadline.........  Applications are due by June 25, 2004.
Intergovernmental Review       Letters from State Single Point of
 (E.O. 12372).                  Contact (SPOC) are due no later than
                                August 24, 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 60 days after
                                application deadline.
------------------------------------------------------------------------

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. Definitions
    3. Cost-Sharing
    4. Other
IV. Application and Submission Information
    1. Address to Request Application Package
    2. Content and Form of Application Submission
    3. Submission Dates and Times
    4. Intergovernmental Review (E.O. 12372) Requirements
    5. Funding Restrictions
    6. Other Submission Requirements
V. Application Review Information
    1. Criteria
    2. Review and Selection Process
VI. Award Administration Information
    1. Award Notices
    2. Administrative and National Policy Requirements
    3. Reporting
VII. Agency Contacts
Appendix A: Checklist for Application Formatting Requirements
Appendix B: Glossary
Appendix C: Certification of Consumer or Consumer Supporter 
Eligibility
Appendix D: Guidelines for Conducting the Alternatives Conference
Appendix E: Customer Satisfaction Survey

[[Page 21843]]

I. Funding Opportunity Description

1. Introduction

    As authorized under Section 520A of the Public Health Service Act, 
the Substance Abuse Mental Health Services Administration (SAMHSA) 
announces the availability of funds for National Technical Assistance 
Centers on Consumer/Peer-Run Programs (Consumer/Peer-Run TACs) grants. 
The Consumer/Peer-Run TACs will assist in the transformation of the 
mental health system by providing consumers with necessary skills to 
foster consumer/peer-run programs. These programs maximize consumer 
self-determination and recovery and assist people with severe mental 
illness to decrease their dependence on expensive social services and 
avoid psychiatric hospitalization.

2. Expectations

2.1 Background
    The Consumer/Peer-Run TACs support the work of SAMHSA's Center for 
Mental Health Services (CMHS) to transform the mental health system 
through changes that help adults with severe mental illnesses recover 
and live independently and productively in the community. CMHS fosters 
consumer involvement in the planning, delivery, and evaluation of 
mental health services and recognizes the role of self-help, mutual 
support, and empowerment in the recovery of persons with a severe 
mental illness. In 1992, to further the development of self-help 
programs, Federal funding was used to support the first national self-
help technical assistance centers directed by and for mental health 
consumers. Assistance to supporters of consumers was added to the 
program in 1998.
2.2 Service Population
    The primary focus for activities of the Consumer/Peer-Run TACs must 
be individual's serious mental illnesses. These individuals should 
reflect a culturally and racially diverse population. Services must be 
provided to the full range of mental health consumers and must not be 
limited to specific subpopulations of adults with mental illness. In 
addition, outreach and assistance should be available to a range of 
stakeholders, including State mental health systems serving adults, 
consumer supporters, service providers, and the general public.
2.3 Tenets of Mental Health Self-Help
    The values and philosophies that guide consumer self-help are the 
driving forces behind its development and success. SAMHSA expects these 
values and philosophies to be the cornerstone of programs funded under 
this announcement, including:
     Empowerment--grantees must promote the ability 
of consumers to make decisions that directly affect their own lives;
     Independence--grantees must support consumers in 
striving for self-reliance, and in pursuing opportunities to function 
as productive citizens;
     Responsibility--grantees must encourage 
individuals to take responsibility for themselves and others;
     Choice--grantees must promote an environment in 
which consumers can make informed choices about treatment, housing, and 
other services and supports;
     Respect and Dignity--grantees must promote the 
idea that all individuals are valued and have skills and strengths to 
offer society; and,
     Transformation--grantees must advocate for 
changes in how consumers/survivors are treated by the mental health 
system and society at large.
2.4 The Roles of Consumers and Consumer Supporters in the Program
    Mental health consumer/survivor self-help is the process by which 
mental health consumers provide assistance to one another. This process 
involves both people with mental illnesses (i.e., ``consumers'') as 
well as ``consumer supporters'' (individuals, such as parents, 
siblings, spouses and significant others who are involved with the 
support of the consumer).
    The roles of consumers and consumer-supporters are distinct but 
share some common elements. Both serve an important role in providing 
opportunities for mental health consumers to assist one another.
    Examples of the Role of Consumers:
     Providing mutual support to peers to facilitate 
recovery.
     Educating providers, community leaders, and 
others on the value of peer-run programs to transform mental health 
systems.
     Developing, administering, researching and 
evaluating peer-run programs.
     Partnering with providers, researchers, 
advocates and others to promote peer-run programs.
     Providing training and consultation to other 
consumer/peer-run programs to expand such approaches.
     Fostering the financing and human resource 
development of peer-run programs and the identification, dissemination 
and application of evidence based practices of peer-run programs.
    Examples of the Role of Consumer Supporters:
     Educating professionals about the value of 
consumer/peer-run programs and self-help approaches;
     Assisting consumer/peer-run groups to obtain 
needed resources;
     Facilitating referrals to consumer/peer-run 
programs;
     Providing the necessary training, expertise and 
knowledge to consumers;
     Facilitating in the collection and dissemination 
of research findings, evaluation and data related to consumer/peer-run 
programs;
     Developing policies to foster consumer/peer-run 
programs through finances and human resource development (i.e. 
certification and credentialing); and,
     Identifying, disseminating and applying best 
practices on consumer/peer run programs.
2.5 Program Goals
    Goals of the Consumer/Peer-Run TACs program include:
    (1) Promoting skills development for consumers with an emphasis on 
leadership, business and management;
    (2) Strengthening consumer organizations and leadership in 
communities;
    (3) Improving collaboration among consumers, families, advocates, 
providers, administrators and build coalitions to transform community 
mental health services and supports;
    (4) Increasing the opportunities for knowledge application and 
field-based skill building of self-management/self-help approaches; 
and,
    (5) Increasing consumer participation in all aspects of mental 
health system transformation, including: planning, development, 
evaluation and policy formation.
2.6 Program Focus and Examples of Activities
    Applicants must select two of the program foci listed below as 
areas of concentration for the proposed project. Although focus area 
number four is specifically dedicated to cultural outreach and self-
help adaptation, all activities for selected focus areas must be 
culturally and linguistically appropriate for diverse service 
populations.
    (1) Self-care/Self-management: Improving knowledge and information 
on best practices of consumer/peer-run programs and self-management 
approaches for people with serious mental illnesses. Examples of 
activities include: Analyzing and producing materials on self-help best 
practices; convening community stakeholders and providers to identify 
barriers to implementing exemplary models.

[[Page 21844]]

    (2) Employment: Improving consumer workforce development. Examples 
of activities include: Providing technical assistance to State and 
local organizations on recruiting and retaining self-help 
practitioners; providing technical assistance to consumers reentering 
the job market; providing technical assistance on identifying financing 
mechanisms for hiring peer employees.
    (3) Program Management and Administration: Facilitating business 
and management training and other skill development efforts for 
consumer/peer-run programs. Examples of activities include: Providing 
technical assistance to consumer organizations on non-profit management 
issues including leadership and financial management; developing and 
conducting training of trainers focused on skills development to 
promote self-help.
    (4) Cultural Outreach and Self-Help Adaptation: Making self-help/
self- management approaches available and accessible to specific 
cultural groups (e.g. African Americans, Hispanics/Latinos, Asian and 
Pacific Islanders, American Indians, and Alaska Natives). Examples 
include: Identifying models for serving diverse cultural groups; 
convening policy makers and consumer leaders to develop guidelines on 
how to serve ethnically diverse people.
    (5) Recovery: Increasing the knowledge on what facilitates or 
hinders recovery at the individual, as well as systems level. Examples 
include: Serving as a repository for the collection, analysis and 
development of materials on recovery from mental illness; convening 
policy makers and community leaders to develop a strategic plan for the 
development of recovery-based approaches; educating supporters on the 
role they can play in facilitating the recovery of consumers.
2.7 Guidelines for Assessing Consumer and Family Participation
    Applicants must have experience or a track record of involving 
mental health consumers. The applicant organization should have a 
documented history of positive programmatic involvement of recipients 
of mental health services. This involvement should be meaningful and 
span all aspects of the organization's activities as described below:
    Program Mission--An organization's mission must reflect the value 
of involving consumers in order to improve outcomes.
    Program Planning--Consumers are involved in substantial numbers in 
the conceptualization of initiatives including identifying community 
needs, goals and objectives, and innovative approaches. This includes 
participation in the development of the grant application for this 
program. Strategies must also incorporate consumer/peer-run program 
approaches.
    Training and Staffing--The staff of the organization must have 
substantive training in and be familiar with consumer/peer-run program 
approaches and related issues. Attention must be placed on staffing the 
initiative with people who are themselves consumers. Such staff must be 
paid commensurate with their work and in parity with other staff.
    Rights Protection--Consumers and family members must be fully 
informed of all their rights including those designated by the 
President's Healthcare Consumer Bill of Rights and Responsibilities: 
Respect and Non Discrimination.
    Program Administration, Governance, and Policy Determination--
Consumers must be hired in key management roles to provide project 
oversight and guidance. Steering Committees must be established for 
this project, which are composed of a minimum of 75% consumers. Such 
committee members should be fully trained and compensated for their 
activities, including childcare.
2.8 Definitions
    CMHS has used the following definitions in developing this 
announcement:
    Consumer--An individual, 18 years of age or older, with severe 
mental illness. CMHS recognizes that some consumers may choose to 
identify themselves with other terminology.
    Consumer Supporter--An individual involved with the support of a 
consumer (age 18 or older), including parents, siblings, spouses and 
significant others, friends, co-workers, and neighbors, who provide 
support in a nonprofessional capacity.
    Consumer Organization--An organization that is controlled and 
managed by consumers and is dedicated to the transformation of mental 
health service systems which are consumer and family driven. The 
organization must have a board of directors comprised of more than 50 
percent consumers.
    Consumer Supporter Organization--An organization, including 
volunteer mental health organizations, which is controlled and managed 
by consumer supporters and mental health consumers. It must be 
dedicated to the transformation of mental health service systems which 
are consumer and family driven and have a board of directors comprised 
of more than 50 percent consumer supporters.
2.9 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 performance targets annually related to 
their strategic plan; and,
     Report annually on the degree to which the 
previous year's targets were met.
    Agencies are expected to evaluate their programs regularly and to 
use results of these evaluations to explain their successes and 
failures and justify requests for funding.
    To meet these requirements, SAMHSA must collect performance data 
(i.e., ``GPRA data'') from grantees. Grantees are required to report 
these GPRA data to SAMHSA on a timely basis.
    GPRA measures related to each of the program focus areas referenced 
in Section I-2.6 in this announcement are under development. In your 
application, you must demonstrate your ability to collect and report on 
these measures, and you may be required to provide some baseline data.
    More detailed information about how to collect and report on these 
measures may be obtained by contacting the Government Project Officer, 
listed in Section VII--``Agency Contacts'' of this announcement.
    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.
2.10 Evaluation
    Grantees will be required to participate in a collaborative 
assessment designed to evaluate the Consumer/Peer-Run TACs' 
effectiveness in providing technical assistance to foster consumer/
peer-run programs. This evaluation will be managed by an external 
evaluator who will be responsible for reporting overall the findings to 
SAMHSA.
    The current evaluation activities assess customer satisfaction by 
distributing a Customer Satisfaction Survey to any person who contacts 
the Consumer/Peer-Run TACs for assistance. Applicants should be aware 
that evaluation of the Consumer/Peer-Run TACs will be expanded to 
provide increased feedback to the project to

[[Page 21845]]

improve services. Grantees will be required to participate in the 
additional evaluation activities.
2.11 Grantee Meetings
    The Program or Project Director must plan to attend at least three 
meetings in each year of the grant, and must include funding for this 
travel in your budget. This includes two meetings of the Center for 
Mental Health Services National Advisory Council (including the pre-
meeting of the Subcommittee on Consumer/Survivor issues) and the 
Alternatives Conference. These meetings will usually be held in the 
Washington, DC area and attendance is mandatory.
2.12 Alternatives Conference
    Each of the three Consumer National Technical Assistance Centers 
will rotate as ``host'' for the annual national conference entitled 
``Alternatives,'' a meeting of consumers from across the Nation. This 
conference is intended to present a variety of viewpoints, provide for 
the exchange of information and ideas, and provide technical assistance 
on many topics. The selection of the conference host for the first year 
of the grants will be determined by the score on Section G (Plan for 
Alternatives Conference) of the Project Narrative. In subsequent years, 
the selection of the host will be based on the next highest scores on 
Section G. Each grantee will host the conference at least once during 
the 3-year project period.
    Since each Consumer TAC will host one Alternatives Conference 
during the project period, applications must include a budget for the 
Conference of $133,000. The money is for support of the conference and 
does not include scholarship support. Guidelines for Conducting the 
Alternatives Conference are in Appendix D. Consumer organizations may 
not apply only for facilitating the Alternatives Conference or only for 
the Consumer National Technical Assistance Center.

II. Award Information

1. Award Amount

    It is expected that $1.75 million will be available to fund up to 
five National Technical Assistance Centers on Consumer/Peer-Run Program 
awards in FY 2004, three national consumer self-help technical 
assistance centers and two national consumer-supporter self-help 
technical assistance centers. Annual awards are expected to be up to 
$350,000 per year in total costs (direct and indirect). Applicants may 
request a project period of up to three years.
    Proposed budgets cannot exceed $350,000 in any year of the proposed 
project. Annual continuation awards will depend on the availability of 
funds, grantee progress in meeting project goals and objectives, and 
timely submission of required data and reports.
    An additional $133,000 will be competitively awarded each year to 
one of the three successful national consumer technical assistance 
centers to facilitate the Alternatives Conference. (See section 
entitled Alternatives Conference in Section V: Application Review).

2. Funding Mechanism

    Awards will be made as grants.

III. Eligibility Information

1. Eligible Applicants

    Eligible applicants are domestic, private, nonprofit entities, 
including faith-based organizations, which meet the criteria for 
consumer or consumer-supporter organizations found in Section I-2.7 
Definitions and the following requirements:
    (1) Applicant organizations must have been in operation for a 
minimum of one year.
    (2) An applicant must complete the Certification of Consumer and 
Consumer-Supporter Organization Eligibility (See Appendix B of this 
document), indicating that the applicant meets all eligibility 
requirements. Applicants must complete and sign a Certification of 
Eligibility and provide necessary supportive documentation.
    The statutory authority for this program precludes grants to for-
profit 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. However, you may 
include cash or in-kind contributions in your proposal as evidence of 
commitment to the proposed project.

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

    You may request a complete application kit by calling 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'' then click on 
``Useful Information for Applicants.''
    Additional materials available on this 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 
required application form will be screened out and will not be 
reviewed.
     Request for Applications (RFA)--Includes 
instructions for the grant application. This document is the RFA.
    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 application 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

[[Page 21846]]

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, reporting 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-F for national consumer supporter technical assistance centers and 
Sections A-G for the national consumer technical assistance centers. 
The Project Narrative for Sections A-F in total may not be longer than 
25 pages. The Project Narrative for Section G may not exceed 3 
additional 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 H through I. There are no page limits for these 
sections, except for Section F, Biographical Sketches/Job Descriptions.
     Section H--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.
     Section I--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.

     Appendices 1 through 5--Use only the appendices 
listed below. Do not use more than 30 pages for the appendices. Do not 
use appendices to extend or replace any of the sections of the Project 
Narrative. Reviewers will not consider them if you do.

--Appendix 1: Letters of Support
--Appendix 2: Certificate of Eligibility
--Appendix 3: Sample Consent Forms
--Appendix 4: Data Collection Instruments/Interview Protocols
--Appendix 5: Letter to the SSA

     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 (Sections A through F) and 3-page 
limit for Section G.
--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 (or 28). 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 through 5 
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.

[[Page 21847]]

2.4 SAMHSA Confidentiality and Participant Protection Requirements and 
Protection of Human Subjects Regulations
    You must describe your procedures relating to Confidentiality, 
Participant Protection and the Protection of Human Subjects Regulations 
in Section H 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. Protect Clients and Staff from Potential Risks
     Identify and describe any foreseeable physical, 
medical, psychological, social, legal, or other risks or adverse 
affects.
     Discuss risks that are due either to 
participation in the project itself or to the evaluation activities.
     Describe the procedures you will follow to 
minimize or protect participants against potential risks, including 
risks to confidentiality.
     Identify plans to provide help if there are 
adverse effects to participants.
     Where appropriate, describe alternative 
treatments and procedures that may be beneficial to the participants. 
If you choose not to use these other beneficial treatments, provide the 
reasons for not using them.
    2. Fair Selection of Participants
     Describe the target population(s) for the 
proposed project. Include age, gender, and racial/ethnic background and 
note if the population includes homeless youth, foster children, 
children of substance abusers, pregnant women, or other groups.
     Explain the reasons for including groups of 
pregnant women, children, people with mental disabilities, people in 
institutions, prisoners, or others who are likely to be vulnerable to 
HIV/AIDS.
     Explain the reasons for including or excluding 
participants.
     Explain how you will recruit and select 
participants. Identify who will select participants.
    3. Absence of Coercion
     Explain if participation in the project is 
voluntary or required. Identify possible reasons why it is required, 
for example, court orders requiring people to participate in a program.
     If you plan to pay participants, state how 
participants will be awarded money or gifts.
     State how volunteer participants will be told 
that they may receive services even if they do not participate in the 
project.
    4. Data Collection
     Identify from whom you will collect data (e.g., 
from participants themselves, family members, teachers, others). 
Describe the data collection procedures and specify the sources for 
obtaining data (e.g., school records, interviews, psychological 
assessments, questionnaires, observation, or other sources). Where data 
are to be collected through observational techniques, questionnaires, 
interviews, or other direct means, describe the data collection 
setting.
     Identify what type of specimens (e.g., urine, 
blood) will be used, if any. State if the material will be used just 
for evaluation or if other use(s) will be made. Also, if needed, 
describe how the material will be monitored to ensure the safety of 
participants.
     Provide in Appendix 2, ``Data Collection 
Instruments/Interview Protocols,'' copies of all available data 
collection instruments and interview protocols that you plan to use.
    5. Privacy and Confidentiality
     Explain how you will ensure privacy and 
confidentiality. Include who will collect data and how it will be 
collected.
     Describe:

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

    Note: If applicable, grantees must agree to maintain the 
confidentiality of alcohol and drug abuse client records according 
to the provisions of Title 42 of the Code of Federal Regulations, 
Part 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 their participation is voluntary.
--Their right to leave the project at any time without problems.
--Possible risks from participation in the project.
--Plans to protect clients from these risks.
     Explain how you will get consent for youth, the 
elderly, people with limited reading skills, and people who do not use 
English as their first language.


    Note: If the project poses potential physical, medical, 
psychological, legal, social or other risks, you must get written 
informed consent.


     Indicate if you will get informed consent from 
participants or from their parents or legal guardians. Describe how the 
consent will be documented. For example: Will you read the consent 
forms? Will you ask prospective participants questions to be sure they 
understand the forms? Will you give them copies of what they sign?
     Include sample consent forms in your Appendix 3, 
``Sample Consent Forms.'' If needed, give English translations.


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


     Describe if separate consents will be obtained 
for different stages or parts of the project. For example, will they be 
needed for both participant protection in treatment intervention and 
for the collection and use of data.
     Additionally, if other consents (e.g., consents 
to release information to others or gather information from others) 
will be used in your project, provide a description of the consents. 
Will individuals who do not consent to having individually identifiable 
data collected for evaluation purposes be allowed to participate in the 
project?
    7. Risk/Benefit Discussion
    Discuss why the risks are reasonable compared to expected benefits 
and importance of the knowledge from the project.
    Protection of Human Subjects Regulations. Depending on the 
evaluation design you proposed in your application, you may have to 
comply with the Protection of Human Subjects Regulations (45 CFR part 
46).
    Applicants whose projects must comply with the Protection of Human 
Subjects Regulations must describe the process for obtaining 
Institutional Review Board (IRB) approval fully in their applications. 
While IRB approval is not required at the time of grant award, these 
applicants will be required, as a condition of award, to provide the 
documentation that an Assurance of Compliance is on file with the 
Office for Human Research

[[Page 21848]]

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 Times and Dates

    Applications are due by close of business on June 25, 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 by a week prior to the application deadline will be screened 
out and will not be reviewed.

4. Intergovernmental Review (E.O. 12372) Instructions

    Executive Order 12372, as implemented through Department of Health 
and Human Services (DHHS) regulation at 45 CFR Part 100, sets up a 
system for State and local review of applications for Federal financial 
assistance. A current listing of State Single Points of Contact (SPOCs) 
is included in the application kit and can be downloaded from the 
Office of Management and Budget (OMB) Web site at www.whitehouse.gov/omb/grants/spoc.html.
     Check the list to determine whether your State 
participates in this program. You do not need to do this if you are a 
federally recognized Indian tribal government.
     If your State participates, contact your SPOC as 
early as possible to alert him/her to the prospective application(s) 
and to receive any necessary instructions on the State's review 
process.
     For proposed projects serving more than one 
State, you are advised to contact the SPOC of each affiliated State.
     The SPOC should send any State review process 
recommendations to the following address within 60 days of the 
application deadline: Substance Abuse and Mental Health Services 
Administration, Office of Program Services, Review Branch, 5600 Fishers 
Lane, Room 17-89, Rockville, Maryland, 20857, ATTN: SPOC--Funding 
Announcement No. (SM 04-002).
    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 5, ``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. SM 04-011.
    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 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 National Technical Assistance Centers On 
Consumer/Peer-Run Programs Grant recipients must comply with the 
following funding restrictions:
     Grant funds must be used for purposes supported 
by the program.
     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 short title and funding announcement number 
(Consumer/Peer-Run TACs, SM 04-011) and designate whether you are 
applying for a Consumer National Technical Assistance Center or a 
Consumer Supporter National Technical Assistance Center 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 2 copies (including appendices) to 
the mailing address provided above. The original and copies must not be 
bound. Do not use staples, paper clips, or fasteners. Nothing should be 
attached, stapled, folded, or pasted.
    You must use a recognized commercial or governmental carrier. Hand 
carried applications will not be

[[Page 21849]]

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-F for applicants applying for a consumer supporter National Technical 
Assistance Center or Sections A-G for applicants applying for a 
consumer National Technical Assistance Center. Sections A-F describe 
what you intend to do with your project and may not exceed 25 pages. 
Section G describes the plan for the Alternatives Conference and may 
not exceed 3 additional pages.
     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 seven 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 H-I and Appendices 1-5 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.
     Only the points in Section A-F will be used to 
determine the priority score for the Consumer Technical Assistance 
Center awards. Section G will be used to select the host for the 
Alternatives Conference. The Consumer Technical Assistance Center with 
the highest score on Section G will be given the first opportunity to 
host the next Conference and the Conference host will be rotated to the 
other Consumer TACs for years 2 and 3 of the grant program.
    Section A: Understanding of the Philosophy & Principals of the 
Project (25 points)
     Describe the specifics of how your organization 
has integrated and embraced the tenets of the mental health self-help 
movement, philosophies and fundamental principals described in Section 
I-2.3 of this Announcement and how consumers and family members have 
been involved in the activities of your organization.
     Describe what you consider to be your 
organization's unique characteristics and capabilities to provide the 
leadership as either a national consumer or consumer supporter 
technical assistance center, including your organization's history and 
experience in providing leadership in the field for consumer/peer-run 
programs for people with a serious mental illness.
     Provide data on the total number of employees 
(full and part-time) in your organization and any parent organization, 
and the number and percent that are consumers and consumer supporters.
     Describe the ethnic and cultural diversity 
within your organization. Indicate whether any staff members are fluent 
in languages other than English and indicate the languages they can 
read, write, speak, and understand in conversation.
     Describe the types and amount of technical 
assistance services your organization currently provides to consumers 
and consumer supporters, stakeholders of the mental health system, 
including faith- and community-based organizations (representing 
diverse racial, ethnic, and cultural groups), and mental health 
providers.
     Describe the service population for technical 
assistance. Include numbers to be served and demographic information. 
Discuss the target population's language, beliefs, norms and values, as 
well as socioeconomic factors that must be considered in delivering 
technical assistance to this population.
    Section B: Understanding of the Project/Materials Development (20 
points)
     Clearly identify which two (2) of the ``Program 
Focus'' topics (referenced in Section I-2.6 of this announcement) your 
organization will concentrate on for this project and include a 
description of how cultural and linguistic issues will be addressed.
     Clearly state the purpose of the proposed 
project and how it will address the stated problem/issue and assist in 
achieving the goals of the program.
     Describe specific approaches for accomplishing 
the goals outlined in Section I-2.5 (Program Goals) of this 
announcement, including how these approaches will be culturally and 
linguistically appropriate for a diverse service population.
     List and briefly describe materials you will 
develop, describe your plan for disseminating these materials, and 
identify how these products will be tailored to the cultural and 
linguistic needs of the select audience.
     Describe the technological systems you will use 
to serve as a repository and procedures for stakeholders to access 
these materials in a timely manner.
     Describe your organization's experience in 
producing and disseminating self-help/self-management materials to 
multiple stakeholder groups.
     Describe your organization's experience in 
organizing, planning, and conducting small working meetings.
     Describe the resources available and the 
capabilities of your organization for synthesizing, summarizing and 
producing documents that are visually appealing, culturally and 
linguistically relevant, using maps and graphics, as appropriate.
    Section C: Provision of Consultation and Training (20 points)
     Describe your plans for providing consultation, 
training, and technical assistance to a diverse group of stakeholders.
     Describe your plans for developing training 
curricula and strategies for making sure the training materials are 
culturally and linguistically appropriate.
     Describe your plans for developing and using web 
site and other web technology to disseminate materials and information.
     Describe the resources available and the 
capabilities of your organization for developing and operating a web 
site and using other Internet telecommunications technology.
    Section D: Stakeholder Engagement (15 points)
     Describe the process you will use to solicit 
input from a culturally diverse group of stakeholders regarding the 
development and dissemination of materials and other technical 
assistance services and activities.
     Describe the process you will use to identify 
and reach culturally diverse populations (e.g., African Americans, 
Hispanics/Latinos, Asian & Pacific Islanders, American Indians, and 
Alaska Natives) for input into your Center's activities.

[[Page 21850]]

     Identify issues that will be important topics of 
discussion for the field. Describe which issue is most important for 
each stakeholder group and how you will engage the stakeholders in such 
discussions.
     Describe your plan to make relevant stakeholders 
aware of your TA Center and the activities, services, and materials 
available.
     Describe the resources available and the 
capabilities of your organization for promoting, participating in, and 
convening discussions among stakeholders about topics of importance.
    Section E: Organizational Capabilities and Project Management Plan 
(15 points)
     Describe your plans for organizing the TA 
Center, including the organizational structure, allocation of 
resources, and staffing plans that reflect the expertise needed and 
consultants who supplement the staff.
     Describe the process and system you will use to 
ensure, prioritize, track and follow-up requests for products and 
technical assistance services and activities.
    Section F: Evaluation Plan Methodology (5 points)
     Grantees must describe their plans for 
collecting and reporting on the required GPRA measures.
     Describe how you will incorporate, manage and as 
necessary change your project to incorporate and respond to issues 
raised by the external evaluation.


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


    Section G: Plan for the Alternatives Conference (25 points)
    This section is to be answered only by applicants applying for 
funding for a National Consumer Technical Assistance Center. The score 
will only be used to select the conference host for the first year of 
the grant.
     Describe your organization's experience in 
organizing, planning, and conducting very large conferences and 
meetings.
     Describe your experience with certified meeting 
planners and how you would choose such an individual or organization.
     Describe how you would develop the theme for the 
Conference.
     Describe the process for selecting the steering 
committee.
     Describe the process for planning the conference 
and selecting the location and the hotel.
     Identify issues you feel should be important 
topics for the next Alternatives Conference.
     Describe the resources available and the 
capabilities of your organization for planning, organizing, and 
implementing the Conference.
     Describe the procedure for rating workshops.

2. Review and Selection Process

    SAMHSA applications are peer-reviewed according to the evaluation 
criteria listed above. Applications for programs having individual 
awards over $100,000 must also be reviewed by the appropriate National 
Advisory Council.
    Decisions to fund a grant are based on:
     The strengths and weaknesses of the application 
as identified by peer reviewers and, when applicable, approved by the 
appropriate National Advisory Council;
     Availability of funds;
     Equitable distribution of awards in terms of 
geography (including urban, rural and remote settings) and balance 
among target populations and program size;
     Distribution of awards to support implementation 
of varied program focus areas; and,
     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 Understanding of the 
Philosophy & Principals of the Project--25 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 re-apply if there is another receipt 
date for the program.

2. Administrative and National Policy Requirements

     You must comply with all terms and conditions of 
the grant award. SAMHSA's standard terms and conditions are available 
on the SAMHSA Web site 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 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

[[Page 21851]]

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. Because 
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 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. 
The performance requirements for SAMHSA's Grants for National Technical 
Assistance Centers On Consumer/Peer-Run Programs grants are described 
in Section I--2.9 under ``Data and Performance Measurement''.
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 questions about program issues, contact: Risa S. Fox, M.S., 
Public Health Advisor, Center for Mental Health Services, SAMHSA, 5600 
Fishers Lane, Room 11C-22, Rockville, MD 20857, (301) 443-3653, E-mail: 
[email protected].
    For questions on grants management issues, contact: Gwendolyn 
Simpson, Office of Program Services, Division of Grants Management, 
Substance Abuse and Mental Health Services Administration/OPS, 5600 
Fishers Lane, 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 within 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

[[Page 21852]]

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: Glossary

    Best Practice: Best practices are practices that incorporate the 
best objective information currently available from recognized 
experts regarding effectiveness and acceptability.
    Consumer-Operated Services: These programs, run by consumers, 
include drop-in centers, consumer operated supported businesses, 
employment and housing programs, crisis services, outreach programs 
and case management programs.
    Cooperative Agreement: A cooperative agreement is a form of 
Federal grant. Cooperative agreements are distinguished from other 
grants in that, under a cooperative agreement, substantial 
involvement is anticipated between the awarding office and the 
recipient during performance of the funded activity. This 
involvement may include collaboration, participation, or 
intervention in the activity. HHS awarding offices use grants or 
cooperative agreements (rather than contracts) when the principal 
purpose of the transaction is the transfer of money, property, 
services, or anything of value to accomplish a public purpose of 
support or stimulation authorized by Federal statute. The primary 
beneficiary under a grant or cooperative agreement is the public, as 
opposed to the Federal Government.
    Cost-Sharing or Matching: Cost-sharing refers to the value of 
allowable non-Federal contributions toward the allowable costs of a 
Federal grant project or program. Such contributions may be cash or 
in-kind contributions. For SAMHSA grants, cost-sharing or matching 
is not required, and applications will not be screened out on the 
basis of cost-sharing. However, applicants often include cash or in-
kind contributions in their proposals as evidence of commitment to 
the proposed project. This is allowed, and this information may be 
considered by reviewers in evaluating the quality of the 
application.
    Culturally competent services: The delivery of services that are 
responsive to the cultural concerns of racial and ethnic minority 
groups, including their language, histories, traditions, beliefs, 
and values.
    Emerging Practice: Emerging practices are specific approaches 
that receive high marks from consumers and/or others, but which are 
too new to have received scientific attention.
    Grant: A grant is the funding mechanism used by the Federal 
Government when the principal purpose of the transaction is the 
transfer of money, property, services, or anything of value to 
accomplish a public purpose of support or stimulation authorized by 
Federal statute. The primary beneficiary under a grant or 
cooperative agreement is the public, as opposed to the Federal 
Government.
    In-Kind Contribution: In-kind contributions toward a grant 
project are non-cash contributions (e.g., facilities, space, 
services) that are derived from non-Federal sources, such as State 
or sub-State non-Federal revenues, foundation grants, or 
contributions from other non-Federal public or private entities.
    National Registry of Effective Programs (NREP): The NREP was 
developed to review, identify and disseminate effective evidence-
based practices for substance abuse prevention programs.
    Peer Support: Peer Support embodies a variety of approaches that 
are based on the belief that people who share the same illness can 
help each other through mutual support. These practices and programs 
are lead by peers rather than by professionals.
    Practice: A practice is any activity, or collective set of 
activities, intended to improve outcomes for people with or at risk 
for substance abuse and/or mental illness. Such activities may 
include direct service provision, or they may be supportive 
activities, such as efforts to improve access to and retention in 
services, organizational efficiency or effectiveness, community 
readiness, collaboration among stakeholder groups, education, 
awareness, training, or any other activity that is designed to 
improve outcomes for people with or at risk for substance abuse or 
mental illness.
    Practice Support System: This term refers to contextual factors 
that affect practice delivery and effectiveness in the pre-adoption 
phase, delivery phase, and post-delivery phase, such as a) community 
collaboration and consensus building, b) training and overall 
readiness of those implementing the practice, and c) sufficient 
ongoing supervision for those implementing the practice.
    The President's New Freedom Commission on Mental Health entitled 
``Achieving the Promise: Transforming Mental Health Care in 
America'' identified primary six goals:
    Goal 1: Americans Understand that Mental Health Is Essential to 
Overall Health.
    Goal 2: Mental Health Care Is Consumer and Family Driven.
    Goal 3: Disparities in Mental Health Services Are Eliminated.
    Goal 4: Early Mental Health Screening, Assessment, and Referral 
to Services Are Common Practice.
    Goal 5: Excellent Mental Health Care Is Delivered and Research 
Is Accelerated.
    Goal 6: Technology Is Used to Access Mental Health Care and 
Information.
    Achieving these goals will transform mental health care in 
America.
    Promising Practice: Promising practices are practices that are 
well known and have either expert consensus or other support which 
show promise in improving outcomes for consumers.
    Recovery: Refers to the process in which people are able to 
live, work, learn, and participate fully in their communities. For 
some individuals, recovery is the ability to live a fulfilling and 
productive life despite a disability. For others, recovery implies 
reduction or complete remission of symptoms. Science has shown that 
having hope plays an integral role in an individual's recovery.
    Resilience: Means the personal and community qualities that 
enable us to rebound from adversity, trauma, tragedy, threats, or 
other stresses--and to go on with life with a sense of mastery, 
competence, and hope. We now understand from research that 
resilience is fostered by a positive childhood and includes positive 
individual traits, such as optimism, good problem-solving skills, 
and treatments. Closely-knit communities and neighborhoods are also 
resilient, providing supports for their members.
    Stakeholder: A stakeholder is an individual, organization, 
constituent group, or other entity that has an interest in and will 
be affected by a proposed grant project.
    Stigma: Refers to a cluster of negative attitudes and beliefs 
that motivate the general public to fear, reject, avoid, and 
discriminate against people with mental illnesses. Stigma is 
widespread in the United States and other Western nations.16 Stigma 
leads others to avoid living, socializing, or working with, renting 
to, or employing people with mental disorders--especially severe 
disorders, such as schizophrenia. It leads to low self-esteem, 
isolation, and hopelessness. It deters the public from seeking and 
wanting to pay for care.5 Responding to stigma, people with mental 
health problems internalize public attitudes and become so 
embarrassed or ashamed that they often conceal symptoms and fail to 
seek treatment.
    Target population catchment area: The target population 
catchment area is the geographic area from which the target 
population to be served by a program will be drawn.
    Wellness Recovery and Action Plan (WRAP): A recovery-focused 
practice in which an individual develops his/her own system for 
monitoring and responding to symptoms in order to achieve the 
highest possible levels of wellness.
    Wraparound Service: Wraparound services are non-clinical 
supportive services--such as child care, vocational, educational, 
and transportation services--that are designed to improve the 
individual's access to and retention in the proposed project.

Appendix C: Certificate of Eligibility for National Technical 
Assistance Centers on Consumer/Peer Run Programs

    An authorized representative of the applicant organization 
(whose signature appears on page one of the face page of the 
application PHS form 5161) must complete and sign this Certificate. 
Appendix 2 of the application must include this Certificate and all 
supporting documentation specified within it.
    All applicant organizations must meet the criteria of either 
consumer organizations or consumer supporter organizations, Sections 
A or B below and the requirements of Section C.
    (A) Applicants for the National Technical Assistance Centers 
(controlled and managed by consumers) must certify and attest to the 
following:
     I certify that:

--The applicant is an organization that is controlled and managed by 
consumers and dedicated to the improvement of mental health 
services. Please include minutes of meetings and all other pertinent 
material to demonstrate that your organization is

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controlled and managed by consumers and dedicated to the improvement 
of mental health services.
--The applicant organization has a board of directors comprised of 
more than 50 per cent consumers. Please include names of your Board 
of Directors and length of time each has served.
--The consumers on the board of directors are individuals 18 years 
of age or older with severe mental illness.
--The consumer Board of Directors has been in operation for more 
than one year. Please include minutes and names of individuals who 
have served on the Board of Directors starting in calendar year 
2003.

    (B) Applicants for the National Technical Assistance Centers 
(controlled and managed by consumer supporters) must certify and 
attest to the following:
     I certify that:

--The applicant is an organization that is controlled and managed by 
consumer supporters and dedicated to the improvement of mental 
health services. Please include minutes of meetings and all other 
pertinent material to demonstrate that your organization is 
controlled and managed by consumer supporters and dedicated to the 
improvement of mental health services.
--The applicant organization has a Board of Directors comprised of 
more than 50 per cent consumer supporters. Please include names of 
your Board of Directors and length of time each has served.
--The consumer supporters on the Board of Directors are individuals 
involved with the support of a consumer (age 18 or older) including 
parents, siblings, spouses and significant others, friends, co-
workers, and neighbors who provide support in a non-professional 
capacity.
--The consumer supporter Board of Directors has been in operation 
for more than one year. Please send minutes and names of individuals 
who served on the Board of Directors starting in calendar year 2003.

    (C) All applicants for National Technical Assistance Centers on 
Consumer/Peer-Run Programs must certify that:

--The applicant organization has been in operation as a legal entity 
for a minimum of one year. Please submit proof.
--The United States Federal Government Internal Revenue Service 
(I.R.S.) has issued the applicant organization tax-exempt status. 
Supporting documentation of such status dated prior to January 2004 
is included in this application.
--The applicant organization will take an active role in the fiscal 
management and oversight of the project and will be legally, 
fiscally, administratively, and programmatically responsible for the 
grant and has not submitted a ``pass through,'' ``umbrella,'' or 
``cover letter'' application.

    This form must be signed and dated below by an authorized 
representative of the applicant organization certifying that the 
aforementioned statements are accurate.
-----------------------------------------------------------------------

Type or print name and title
-----------------------------------------------------------------------

Signature of Applicant certifying validity of Date of Signature all 
information contained in this document
-----------------------------------------------------------------------

Date of Signature
-----------------------------------------------------------------------

Type: Consumer or Consumer Supporter TAC

Appendix D: Requirements for Planning CSP-Supported National Consumer 
Conferences

    Since 1985, the Center for Mental Health Services' (CMHS) 
Community Support Program (CSP) has supported national conferences 
for primary consumers (also referred to as ex-patients or survivors) 
of mental health services. The purpose of this issuance is to 
facilitate the planning of these conferences by clarifying CMHS and 
CSP policies and defining the roles and responsibilities of grantees 
organizing the event, the Government Project Officer (GPO), the 
Conference Advisory Committee, and other CMHS staff involved in 
planning these conferences.

Purpose of Conference

    The purpose of this conference is to provide a forum for 
consumers from across the Nation to meet, exchange information and 
ideas, and provide and receive technical assistance on a variety of 
topics of interest, such as peer support, consumer-operated 
services, self-help, protection and advocacy issues, empowerment, 
and recovery. The conference also transfers knowledge on best 
practices in mental health and support services. The information and 
knowledge gained through attending this conference enables consumers 
to advocate for effective individual treatments and services, as 
well as for broader managed care and service system improvements.

Participants

    The conference is open to all individuals who have had or are 
currently experiencing a mental health disorder. It also is open to 
others at the discretion of the Advisory Committee.

Grantee Organizing Conference

    The grantee organization responsible for overseeing the 
conference will select a site that is accessible and affordable and, 
to the extent possible, different from previous sites for national 
conferences. The grantee also will be responsible for the logistics 
of the conference, including moderating the Conference Advisory 
Committee meetings and teleconference calls; developing and 
disseminating materials; handling publicity; and arranging for 
lodging, meals, registration, meeting rooms, emergency procedures, 
transportation, and the conference evaluation. Within 3 months of 
the conference, the grantee is responsible for submitting a final 
report on the conference that details the expenditures, summarizes 
the evaluations, and provides recommendations for future national 
consumer conferences.

Government Project Officer (GPO)

    The GPO will approve the individual(s) who have a major role in 
coordinating the conference and will review and provide guidance on 
the composition of the Conference Advisory Committee, the proposed 
budget expenditures for the conference, policies regarding 
scholarships, and logistical plans. Furthermore, the location, 
agenda, and specific conference brochure providing presenters and 
workshop descriptions must be approved by the GPO prior to 
finalizing and sending to the field. The GPO will participate in 
Conference Advisory Committee meetings and teleconferences. The GPO 
also will provide technical assistance, as requested.

Advisory Committee and Planning Process

    The conference will be planned by a committee formed 
approximately 1 year prior (as funding permits) to the actual 
conference. The members will include duly appointed representatives 
of the national consumer organizations, Federal CMHS CSP staff 
(Grant Project Officer), CMHS Consumer Affairs liaison staff, and 
the Directors or designees of the CSP-funded Consumer Technical 
Assistance Centers. The Committee will reflect gender, ethnic/
minority representation, and, to the extent possible, geographic 
distribution and involvement of individuals who have not 
participated on previous Conference Advisory Committees.
    The Committee will devise a process for gathering information 
from consumers throughout the Nation on topics of interest for the 
agenda and speakers. Final decisions regarding the agenda will be 
made by the Advisory Committee. However, the workshop areas selected 
should represent a variety of viewpoints and mainly include 
workshops run by and for consumers.
    The Advisory Committee is responsible for designing the 
programmatic aspects of the conference, including the theme and 
logo. Only members of the Committee may vote on decisions regarding 
the agenda and speakers for the conference. The Advisory Committee 
should meet physically once and handle continuing business through 
telephone conference calls, mailings, and computer e-mail.

Involvement of National Consumer Organizations

    The conference agenda and official workshops may not be used to 
further the development of national consumer organizations or for 
other purely parochial interests. However, individuals from the 
various national consumer organizations may use the times before and 
after the conference, free times scheduled on the agenda, and 
evenings to conduct activities related to promoting or planning for 
their respective organizations. Of course, national consumer 
organizations and other organizations may sponsor substantive 
workshops.
    Information related to the business activities of individuals or 
national organizations must be kept separate from the conference 
agenda and sent out in separate mailings.

BILLING CODE 4162-20-P

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    Dated: April 19, 2004.
Daryl Kade,
Director, Office of Policy Planning and Budget, Substance Abuse and 
Mental Health Services Administration.

[FR Doc. 04-9149 Filed 4-21-04; 8:45 am]
BILLING CODE 4162-20-C