**DEPARTMENT OF HEALTH AND HUMAN SERVICES**

**Substance Abuse and Mental Health Services Administration**

**Office of Applied Studies**

**Request for Applications (RFA) No. OA-03-003**

**SAMHSA Dissertation Grants:**

**Support for Analyses in Substance Abuse**

**Short Title: Dissertation Grants**

# Programmatic Guidance

# Receipt Date: July 2, 2003

**Please read both the Programmatic Guidance and the PHS 398
Instructions before contacting the project officer.**

**\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_**

Donald M. Goldstone, M.D. Charles G. Curie, M.A., A.C.S.W.

Director, Office of Applied Studies Administrator

Substance Abuse and Mental Health Substance Abuse and Mental Health

Services Administration Services Administration

Date of Issuance: April, 2003

Catalog of Federal Domestic Assistance (CFDA) No. 93.243. Authority:
Title V Section 501(d) (8) of the Public Health Service Act, as amended
and subject to the availability of funds.

**Table of Contents**

\[Note to Applicants: To prepare a complete application, PHS Form 398
and Instructions must be used in conjunction with this document,
"Programmatic Guidance."\]

Agency\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...........\...\...\...\...\...\...\...\...\.......\...\...\...\...\...
4

Purpose of this
Announcement\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\.......\...\...\...\...\...\...\............\...
4

Who Can
Apply\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\.............
4

Letter of Intent
\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\............\...
4

Application
Kit\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...............
5

How to Get an Application
Kit\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\..............\...
5

Where to Send the
Application\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\..............\...
5

Application Due
Date\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\..............\...
6

How to Get
Help\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...............
6

Award
Criteria\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\.............\...
6

Post Award
Requirements\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\.............
6

Program
Overview\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\............\...
7

What to Include in Your
Application\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\..............
7

Face Page

Description, Performance Sites, and Key Personnel

Research Grant Table of Contents

Modular Budget Form

Biographical Sketch

Resources

Research Plan -- Sections a through i

Section a: Specific Aims

Section b: Background and Significance

> Section c: Preliminary Studies/Progress Report
>
> Section d: Research Design and Methods
>
> Section e: Human Subjects Research
>
> Section f: Vertebrate Animals
>
> Section g: Literature Citations
>
> Section h: Consortium/Contractual Arrangements
>
> Section i: Consultants

Checklist Form Page

Personal Data Form Page

Appendix

Letter from Faculty Committee or University Official

Assurances and Certifications

Review
Criteria\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...........\...\...\...\...\...\...\...\...\.........
9

Terms and Conditions of
Support\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\.........\...\...\...\...\...\...\...\...\.........
10

Allowable Items of Expenditure

Funding Restrictions

Reporting Requirements

Lobbying Prohibition

Healthy People 2010

Intergovernmental Review (E.O. 12371)

Promoting Nonuse of Tobacco

Population Inclusion Requirements

**[Agency]{.underline}**

Department of Health and Human Services (DHHS), Substance Abuse and
Mental Health Services Administration.

**[Purpose of this Announcement]{.underline}**

The Substance Abuse and Mental Health Services Administration (SAMHSA),
Office of Applied Studies, is accepting applications for Fiscal Year
2003 grants to support dissertation research involving data analysis on
substance abuse services issues. The purpose of the program is to expand
the number of researchers who conduct high-quality substance abuse
services research, the study of how various factors (social, financial,
organizational, and personal) affect the need for and access to
substance abuse treatment, the quality and cost of substance abuse
treatment, and, ultimately, health and well being.

It is expected that approximately \$150,000 will be available for 5
grant (R03) awards in FY 2003. The average annual award will range from
\$20,000 to \$30,000 in total costs (direct and indirect). Cost-sharing
is not required in this program. Actual funding levels will depend on
the availability of funds. The amount of funds available will depend on
the appropriation.

Applications with proposed budgets that exceed total costs of \$30,000
per year will be returned without review.

Awards may be requested for a period not to exceed 2 years. The second
year of the award will depend on the availability of funds and progress
achieved.

![](media/image1.wmf){width="9.305555555555556e-2in"
height="9.305555555555556e-2in"}**[Who Can Apply?]{.underline}**

Students registered and in good standing at an accredited academic
doctoral degree program (*e.g*., Ph.D., Sc.D., or Dr.P.H.), which
requires a dissertation based on original research, may apply. The
student must apply through a public or private nonprofit institution
that will administer the grant on his or her behalf. The dissertation
must examine in a quantitative way a problem or issue in the area of
substance abuse. Students in such fields as sociology, psychology,
biostatistics, epidemiology, economics, policy, management, medicine,
nursing, public health or health services research are especially
encouraged to apply.

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

**[Letter of Intent]{.underline}**

Investigators planning to submit an application in response to this
funding announcement are encouraged to submit a letter of intent at
least 30 days prior to the receipt date. Such notification is used by
SAMHSA to anticipate and manage the projected number of applications
received in response to a funding announcement. This letter is voluntary
and does not obligate the person/organization to submit an application.

The letter should indicate the number and title of the funding
announcement (OA-03-003, SAMHSA Dissertation Grants: Support for
Analyses in Substance Abuse) and the name of the potential applicant
organization, city, and State on one page.

Mail letter of intent to:

Review Branch

Division of Extramural Program Management

Office of Program Services

Substance Abuse and Mental Health Services Administration

Parklawn Building, Room 17-89

5600 Fishers Lane

Rockville, Maryland 20857

ATTN: Letter of Intent for Funding Announcement No. OA-03-003

**[Application Kit]{.underline}**

The application kit includes the following:

**1. PHS 398 Instructions Sections I -- III and Selected Forms and
Format Pages** *(revised May, 2001 Updated: 06/28/2002) -* The forms
include the Face Page (Form Page 1), Description, Performance Sites, and
Key Personnel (Form Page 2), Research Grant Table of Contents (Form Page
3), Checklist, and Personal Data form pages and the Modular Budget,
Biographical Sketch, and Resources format pages.

**2. Programmatic Guidance.** This document is the Programmatic Guidance
for this grant program. (Note: Most SAMHSA Requests for Application
\[RFAs\] also have another section, called "Part II\", which gives
standard provisions for SAMHSA applications. **There is no Part II to
this RFA.** Instead, all applicable standard provisions for this RFA are
included in this Programmatic Guidance document.)

**3. List of Offices Negotiating Indirect Cost Rates**

**4. State Single Point of Contact (SPOC) List**

**You must use all of the above documents of the kit in completing your
application.**

![](media/image1.wmf){width="9.305555555555556e-2in"
height="9.305555555555556e-2in"}**[How to Get an Application
Kit:]{.underline}**

-   Call or email Jane Feldman, (301) 443-5628, jfeldman@samhsa.gov or

-   Download this **Programmatic Guidance,** **PHS 398 Instructions and
    Forms, and Lists** referred to above from the SAMHSA web site at
    [www.samhsa.gov.](http://www.SAMHSA.gov./) Click on "Grant
    Opportunities" and then "Current Grant Funding Opportunities."

    **[Where to Send the Application]{.underline}**

    Send the original and 2 copies of your grant application to:

    Ray Lucero

Review Branch

Division of Extramural Program Management

Office of Program Services

Substance Abuse and Mental Health Services Administration

Parklawn Building, Room 17-89

5600 Fishers Lane

Rockville, Maryland 20857

ATTN: Announcement No. OA-03-003.

**All applications MUST be sent via a recognized commercial or
governmental carrier. Hand carried applications will not be accepted.
Faxed or e-mailed applications will not be accepted. You will be
notified by letter that your application has been received.**

Be sure to type "OA--03-003, SAMHSA Dissertation Grants: Support for
Analyses in Substance Abuse" and answer "Yes" in Item Number 2 on the
Face Page of the application.

**[Application Due Date]{.underline}**

Your application must be [received]{.underline} by July 2, 2003.

Applications received after this date must have a proof-of-mailing date
from the carrier seven days before the due date, if sent by U.S. mail,
and one day before the due date if sent by overnight carrier.

Private metered postmarks [are not]{.underline} acceptable as proof of
timely mailing. Late applications will be returned without review.

**[How to Get Help]{.underline}**

**For questions on program issues, contact:**

Sarah Q. Duffy, Ph.D.

Office of Applied Studies

Substance Abuse and Mental Health Services Administration

5600 Fishers Lane, Room 16-105

Rockville, MD 20857

\(301\) 443***-***8565

E-Mail: Sduffy@samhsa.gov

**For questions on grants management issues, contact:**

Stephen Hudak

Division of Grants Management

Substance Abuse and Mental Health Services Administration/OPS

5600 Fishers Lane/ Rockwall II, 6^th^ floor

Rockville, MD 20857

\(301\) 443-9666

Email: shudak@samhsa.gov

**[Award Criteria]{.underline}**

Decisions to fund a grant are based on:

1.  The strengths and weaknesses of the application as identified by the
    Review Committee (please see "Review Criteria").

2.  The overall merit of the application.

3.  Availability of funds.

    **[Post Award Requirements]{.underline}**

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1.  As noted above, requirements for the doctoral degree, other than the
    dissertation and any contemporaneous requirements, must be completed
    by the commencement date of the grant. This information and the
    approval of the dissertation proposal by a named committee of the
    institution must be verified in a letter of certification from the
    thesis chairperson and submitted to OAS before initiation of the
    grant.

2.  Grantees are required to submit an annual progress report, as part
    of the continuation process, and two copies of the completed
    dissertation in a form acceptable and approved by the academic
    institution. All submitted documents must be written in English.

    **[Program Overview]{.underline}**

    This grant program has been developed to increase the amount of
    high-quality health services research focused on substance abuse
    issues. Health services research is the study of how various factors
    (social, financial, organizational, and personal) affect the need
    for and access to health care, the quality and cost of health care,
    and, ultimately, health and well-being. The research domains are
    individuals, families, organizations, institutions, communities and
    populations. Research projects may address the organization,
    financing and delivery of substance abuse prevention and treatment
    services, as well as methodological advances in health services
    research methods applicable to substance abuse issues. In addition,
    attention to substance abuse issues in racial/ethnic minority
    populations, women, children and families, older adults, low income
    groups, the homeless, those in rural settings, and the mentally ill
    is encouraged. Issues of special interest include the factors
    affecting the supply of services, the cost effectiveness of
    prevention and treatment services, barriers to access to care, and
    alternative sources of treatment such as the criminal justice system
    and faith-based organizations. In addition to developing a cadre of
    researchers capable of producing high-quality substance abuse
    services research, one of the goals of the program is to promote the
    use of data collected by SAMHSA, although the use of other relevant
    data sets is acceptable.

    **[What to Include in Your]{.underline} [Application]{.underline}**

    In order for your application to be complete, it must include the
    following in the order listed. Check off areas as you complete them
    for your application. Please follow the formatting and other
    requirements described in Section I.B. on page 3 of the PHS 398
    Instructions.

-   **[1. FACE PAGE]{.underline}**

    Use the PHS 398 Form 1, Face Page. Please see Section I.C. of the
    PHS 398 Instructions, pages 5-10, for guidance. In signing the face
    page of the application, you are agreeing that the information is
    accurate and complete.

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-   **[2. DESCRIPTION, PERFORMANCE SITES, AND KEY
    PERSONNEL]{.underline}**

    Your description must fit in the space provided on Form 2 of the
    PHS 398. Please see page 11 of the PHS 398 Instructions. In the
    [first 5 lines or less]{.underline} of your description, write a
    summary of your project that can be used, if your project is funded,
    in publications, reporting to Congress, or press releases.

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-   [**3. RESEARCH GRANT TABLE OF CONTENTS**]{.underline}

    Using Form Page 3, please include page numbers for each required
    item as indicated on the PHS 398.

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-   **[4. MODULAR BUDGET FORM]{.underline}**

    Since these projects are to be funded at less than \$250,000, please
    use the "Modular Budget Format Page" in the PHS 398 to report the
    budget. You **do not** need to submit PHS 398 Form 4 or 5. Please
    consult page 11 of the PHS 398 Instructions.

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-   **[5. BIOGRAPHICAL SKETCH]{.underline}**

    Please follow the instructions on the

    "Biographical Sketch Format Page" and section "**6. BIOGRAPHICAL
    SKETCH"** on page 14 of the PHS 398 Instructions. This section must
    contain the biographical sketch of the Principal Investigator.

-   **[6. RESOURCES]{.underline}**

Please consult section "**7. RESOURCES"** on page 14 of the PHS 398
Instructions.

-   **[7. RESEARCH PLAN]{.underline}**

    **The Research Plan describes your proposed project. It consists of
    Sections a through i.** Please consult "**8. RESEARCH PLAN"** on
    pages 15-29 of the PHS 398 Instructions. Sections **a-d** may not be
    longer than 25 pages combined. If a specific section does not apply,
    please include it in the application and state that it is not
    applicable. More detailed information about Sections **a through
    i**, including the recommended number of pages for each section is
    available in the PHS 398 Instructions. The required sections are:

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-   **Section a --** Specific Aims

-   **Section b** -- Background and Significance

-   **Section c --** Preliminary Studies/Progress Report

-   **Section d** -- Research Design and Methods

-   **Section e** -- Human Subjects Research

The projects we expect to fund under this grant program are secondary
analyses of existing data sources. As such, applicants will check "No"
on item 4 of the Face Page, claim exemption 4 from Human Subjects
Regulation (please see page 21 of the PHS 398 Instructions), and will
not have to discuss these issues in their applications.

Instead, applicants are expected to discuss in this section how they
will secure data that may be confidential. Pursuant to section 501(n) of
the Public Health Service Act (42 USC 290aa), information obtained in
the course of any SAMHSA-sponsored study that identifies an individual
or entity must be treated as confidential in accordance with any
promises made or implied regarding the use and purposes of the data
collection. Applicants using SAMHSA-collected data must describe in the
Human Subjects section of the application procedures for ensuring the
confidentiality of information where disclosure of individuals who
supplied the data or might be identified in the data are possible. The
description of the procedures should include a discussion of who will be
permitted access to the information, both raw data and machine readable
files, and how personal identifiers and other identifying or
identifiable data will be safeguarded. Applicants using data collected
by other organizations are expected to uphold the provisions of the data
use agreements they have with the providers of those data.

-   **Section f --** Vertebrate Animals

This program is not intended to fund research using vertebrate animals.
Applicants should state "not applicable" in this section.

-   **Section g** **--** Literature Citations

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-   **Section** **h** -- Consortium/Contractual Arrangements

    We expect that most applications will not involve consortia or
    contractual arrangements. However, if your application does, please
    consult page 29 of the PHS 398 Instructions.

-   **Section i** -- Consultants

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-   **[8. CHECKLIST FORM PAGE]{.underline}**

    Please consult page 30 of the PHS 398 Instructions.

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-   **[9. PERSONAL DATA FORM PAGE]{.underline}**

    Please consult page 30 of the PHS 398 Instructions.

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-   **[10. APPENDIX]{.underline}**.

The appendix may be used for supplemental material such as publications,
or survey questionnaires, that may support the application. Please pay
careful attention to page 29 of the PHS 398 Instructions.

**Do not** use appendices to extend or replace any of the sections of
this RFA (reviewers will not consider them if you do).

-   **[11. LETTER FROM FACULTY COMMITTEE OR UNIVERSITY
    OFFICIAL]{.underline}**

A letter from the faculty committee or the university official directly
responsible for supervising the dissertation research must be submitted
with the grant application. The letter must certify that:

1.  The grant application represents the dissertation proposal on which
    the proposed Principal Investigator is working;

2.  A collaborative process was established between the proposed
    Principal Investigator and advisors in the development, review, and
    editing of the research application;

3.  The proposed Principal Investigator has completed all requirements
    for the doctoral degree, except the dissertation proposal and any
    other contemporaneous requirements, prior to submission of the
    application;

4.  Prior to initiation of the grant, the dissertation committee will
    send a letter to OAS indicating that it has approved the
    dissertation proposal and all other requirements for the degree,
    except the dissertation, have been fulfilled satisfactorily.

-   **[12. ASSURANCES AND CERTIFICATIONS]{.underline}**

    The signature of the Official Signing for Applicant Organization on
    the Face Page of the application verifies a number of assurances and
    certifications, which are described in pages 45-52 of the PHS 398
    Instructions. These assurances and certifications must be verified
    regardless of whether the application is exempt from Human Subjects
    Regulation. These assurances and certifications include:

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-   Human Subjects

-   Research on Transplantation of Human Fetal Tissue

-   Women and Minority Inclusion in Clinical Research Policy

-   Inclusion of Children Policy

-   Research Using Human Embryonic Stem Cells

-   Vertebrate Animals

-   Debarment and Suspension

-   Drug-Free Workplace

-   Lobbying

-   Nondelinquency on Federal Debt

-   Research Misconduct

-   Compliance(Civil Rights, Handicapped Individuals, Sex
    Discrimination, Age Discrimination)

-   Financial Conflict of Interest

    **[Review Criteria]{.underline}**

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-   **Your application will be reviewed and scored against the
    requirements described below*.***

-   A review committee will assign a single score for each scored
    application, based on the criteria below.

-   In evaluating these criteria, strong emphasis is placed on the
    reviewers\' assessment of the quality and relevance of the written
    proposal, and the level of guidance and support to be provided to
    the student by the dissertation committee.

-   Some preference will be given to proposals that make use of
    SAMHSA-collected databases, such as the National Survey on Drug Use
    and Health (NSDUH, formerly known as the National Household Survey
    on Drug Abuse), the Alcohol and Drug Services Study (ADSS), and the
    Drug and Alcohol Services Information System (DASIS).

-   In determining the strengths and weaknesses of the application,
    reviewers will pay close attention to sections **5-11** of the
    application.

The Criteria are:

1.  **Significance and originality from a scientific or technical
    viewpoint**: Does this study address an important problem? If the
    aims of the application are achieved, how will the findings be of
    benefit? What will be the effects of these studies on the concepts
    or method that drive the substance abuse services research field?

2.  **Topic:** Does the proposed project analyze data on the incidence
    and prevalence of substance abuse, the distribution and
    characteristics of substance abuse treatment facilities and
    services, the costs and outcomes of substance abuse treatment
    programs, or other issues of interest to SAMHSA?

3.  **Approach:** Are the conceptual framework, design, methods, and
    analyses adequately developed, well-integrated, and appropriate to
    the aims of the project? Are adequate data available for the project
    or is there an adequate proposed plan to collect data required for
    the project? Does the applicant recognize potential problem areas
    and explain how they might be resolved?

4.  **Environment:** Does the scientific environment in which the work
    will be done contribute to the probability of success? Is there
    evidence of institutional support? Is there sufficient evidence that
    the confidentiality of any data used in the study will be adequately
    protected?

    Summary Statements on applications are prepared by SAMHSA staff
    using the comments of the reviewers and will be provided to the
    applicants.

    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.

**[Terms and Conditions of Support]{.underline}**

At SAMHSA, grants and cooperative agreements must be administered in
accordance with the Public Health System Grants Policy Statement, DHHS
Publication No. (OASH) 94-50,000 (Rev. April 1, 1994). Federal
regulations in Title 45 CFR Parts 74 and 92, generic requirements
concerning the administration of grants, are applicable to SAMHSA
awards. All grantees are required to comply with the audit requirements
at Title 45 CFR 74.26 or 92.26, as appropriate.

Grant funds may be used only for reasonable expenses clearly allocable
to and necessary for carrying out the approved activities, including
direct costs, which can be specifically identified with the project, and
allowable indirect costs. To recover the allowable indirect costs of a
project, it may be necessary to negotiate and establish an indirect cost
rate (unless such a rate has been established for the applicant
organization). The indirect cost rate for this project will be either 8%
or the applicant organization's cost rate, whichever is lower. For
information and assistance regarding the timing and submission of an
indirect cost rate proposal, applicants should contact the appropriate
office of the DHHS Division of Cost Allocation referenced in the list of
\"Offices Negotiating Indirect Cost Rates,\" included in the application
kit or on the SAMHSA web site, at http://www.samhsa.gov.

**[ALLOWABLE ITEMS OF EXPENDITURE]{.underline}**

Allowable costs include, but are not necessarily limited to, the
following, which are subject to applicable cost principles:

-   The Principal Investigator\'s salary.

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-   Direct project expenses such as travel, data purchasing, data
    processing, and supplies.

-   Fees for maintaining matriculation or other fees imposed on those
    preparing dissertations, provided the fees are required of all
    students of similar standing, regardless of the source of funding.

**[FUNDING RESTRICTIONS]{.underline}**

Grant funds may **not** be used to:

-   Provide salary support for the dissertation committee.

-   Buy, build, alter or renovate a facility to house any part of the
    project.

-   Provide services to incarcerated populations (defined as those
    persons in jail, prison, detention facilities or in custody where
    they are not free to move about in the community.)

-   Support any lease arrangements in association with the proposed
    project utilizing HHS funds beyond the project period nor may the
    portion of the space.

Furthermore, no portion of any space leased with HHS funds may be used
for purposes not supported by the program.

**[REPORTING REQUIREMENTS]{.underline}**

Interim and final progress reports and financial status reports will be
required as specified in the PHS Grants Policy Statement, and must be
submitted by the grantee.

**[LOBBYING PROHIBITIONS]{.underline}**

Appropriated funds, other than for normal and recognized
executive-legislative relationships, may not be used for lobbying the
Congress or State legislatures. Specifically, Federal law prohibits the
use of appropriated funds for publicity or propaganda purposes or for
the preparation, distribution, or use of 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. This prohibition applies not only to Federal agencies, but also
prohibits grantees and contractors of Federal agencies from using
Federal funds to conduct such activities. In addition to \"grass roots\"
lobbying, Federal grantees are prohibited from using Federal funds to
conduct any direct lobbying activities. This includes any activities
designed to influence legislation and/or appropriations pending before
the Congress or any State legislature.

**[HEALTHY PEOPLE 2010]{.underline}**

The Department of Health and Human Services (DHHS) is committed to
achieving the health promotion and disease prevention objectives of
Healthy People 2010, a DHHS-led national activity for setting health
priorities. SAMHSA is the co-lead agency for Objective 18, Mental Health
and Mental Disorders; and Objective 26, Substance Abuse. To learn more
about these objectives, applicants may check the web site
(http://web.health.gov/healthypeople/) or contact the Superintendent of
Documents, Government Printing Office, Washington, D.C. 20402-9325
(Telephone: 202-512-1800) to order the books or CD-ROM: Healthy People
2010: Understanding and Improving Health, Stock No. 017-001-00550-9;
Healthy People 2010: Volumes 1 and 2, Stock No. 017-001-00547-9; Healthy
People 2010: Tracking Healthy People 2010, Stock No. 017-001-00548-7;
Healthy People 2010 on CD-ROM, Stock No. 017-001-00549-5.

**[INTERGOVERNMENTAL REVIEW (E.O. 12372)]{.underline}**

Executive Order 12372, as implemented through DHHS regulations at 45 CFR
Part 100, sets up a system for State and local government review of
applications for Federal financial assistance. Applicants (other than
federally recognized Indian tribal governments) should contact the
State\'s Single Point of Contact (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, the applicant is advised to contact the
SPOC of each affected State. A current listing of SPOCs is included in
the application kit, or can be accessed at the Office of Management and
Budget Web site http://www.whitehouse.gov/omb. The SPOC should send any
State review process recommendations to the following address:

Review Branch

Division of Extramural Program Management

Office of Program Services

Substance Abuse and Mental Health Services Administration

Parklawn Building, Room 17-89

5600 Fishers Lane

Rockville, MD 20857

ATTN: SPOC -- Program Funding Number: OA-03-003.

The due date for State process recommendations is no later than 60 days
after the deadline date for the receipt of applications. SAMHSA does not
guarantee to accommodate or explain SPOC comments that are received
after the 60-day cut-off.

**[PROMOTING NONUSE OF TOBACCO]{.underline}**

All grant, cooperative agreement, and contract recipients are strongly
encouraged to provide a smoke-free workplace and to promote the non-use
of all tobacco products. In addition, Public Law 103-227, the
Pro-Children Act of 1994, prohibits smoking in certain facilities (or in
some cases, any portion of a facility) in which regular or routine
education, library, day care, health care or early childhood development
services are provided to children. This is consistent with the PHS
mission to protect and advance the physical and mental health of the
American people.

**[POPULATION INCLUSION REQUIREMENT]{.underline}**

In accordance with Sec. 602 Part 80-Nondiscrimination Under Programs
Receiving Federal Assistance through the Department of Health and Human
Services \...TITLE VI of the Civil Rights Act of 1964, SAMHSA requires
that applicants ensure that no person shall, on the basis of race,
color, or national origin, be excluded from participation in, be denied
the benefits of, or be otherwise subjected to discrimination under any
program or activity receiving Federal financial assistance from the
Department of Health and Human Services. In addition, the Age
Discrimination Act of 1975 (42-U.S.C. Sections 6101-6107) prohibits
discrimination on the basis of age in programs or activities receiving
Federal financial assistance and the Americans with Disabilities Act of
1990, Public Law 101-336, provides for the protection of the rights of
persons with disabilities.

It may be appropriate to identify a particular target population.
However, in accordance with the laws, SAMHSA requires that applicants
make services available to all populations in the target area,
regardless of age, disability, race/ethnicity, socioeconomic status,
sexual orientation, and gender, where feasible and appropriate.
Applicants must clearly define the population to be served. All
components of the project should reflect the needs and demographics of
the targeted population. The project's design, intervention strategies
and staff qualifications must ensure appropriateness and competence to
address the needs of all participants.

When evaluating projects using a common intervention with populations
differing by race/ethnicity, gender, or developmental age group, it is
important to ascertain whether the intervention is differentially
effective for the different populations. Such statistical analyses
should be done whenever the size of the sub-population(s) can support
such analysis. The results should be reported to include information
about as many demographics as feasible.