HomeMy WebLinkAboutSTOP Act Grant CFCDepartment of Health and Human Services
Substance Abuse and Mental Health Services Administration
Sober Truth on Preventing Underage Drinking Act Grants
Short Title: STOP Act Grants
(Initial Announcement)
Request for Applications (RFA) No. SP-13-001
Catalogue of Federal Domestic Assistance (CFDA) No.: 93.243
Key Dates:
Application Deadline Applications are due by March 1, 2013.
Intergovernmental Review
(E.O. 12372)
Applicants must comply with E.O. 12372 if their state(s)
participates. Review process recommendations from the
State Single Point of Contact (SPOC) are due no later
than 60 days after application deadline.
Public Health System
Impact Statement
(PHSIS)/Single State
Agency Coordination
Applicants must send the PHSIS to appropriate state and
local health agencies by application deadline. Comments
from Single State Agency are due no later than 60 days
after application deadline.
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Table of Contents
EXECUTIVE SUMMARY: ................................................................................................. 4
I. FUNDING OPPORTUNITY DESCRIPTION ............................................................ 5
1. PURPOSE ....................................................................................................... 5
2. EXPECTATIONS ............................................................................................ 5
II. AWARD INFORMATION ....................................................................................... 10
III. ELIGIBILITY INFORMATION ................................................................................ 10
1. ELIGIBLE APPLICANTS ............................................................................... 10
2. COST SHARING AND MATCH REQUIREMENTS ....................................... 11
3. OTHER.......................................................................................................... 11
IV. APPLICATION AND SUBMISSION INFORMATION ............................................ 11
1. ADDRESS TO REQUEST APPLICATION PACKAGE .................................. 11
2. CONTENT AND GRANT APPLICATION SUBMISSION ............................... 11
3. APPLICATION SUBMISSION REQUIREMENTS ......................................... 15
4. INTERGOVERNMENTAL REVIEW (E.O. 12372) REQUIREMENTS ........... 15
5. FUNDING LIMITATIONS/RESTRICTIONS ................................................... 15
V. APPLICATION REVIEW INFORMATION ............................................................. 15
1. EVALUATION CRITERIA .............................................................................. 15
2. REVIEW AND SELECTION PROCESS ........................................................ 18
VI. ADMINISTRATION INFORMATION...................................................................... 19
1. AWARD NOTICES ........................................................................................ 19
2. ADMINISTRATIVE AND NATIONAL POLICY REQUIREMENTS ................. 19
3. REPORTING REQUIREMENTS ................................................................... 20
VII. AGENCY CONTACTS .......................................................................................... 21
Appendix A – Checklist for Formatting Requirements and Screenout Criteria for
SAMHSA Grant Applications ..................................................................... 22
Appendix B – Guidance for Electronic Submission of Applications ................................ 24
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Appendix C – Intergovernmental Review (E.O. 12373) Requirements ........................... 30
Appendix D – Funding Restrictions ................................................................................ 32
Appendix E – Biographical Sketches and Job Descriptions ........................................... 34
Appendix F – Sample Budget and Justification .............................................................. 35
(no match required) ........................................................................................................ 35
Appendix G – Background Information ........................................................................... 43
Appendix H – Disclosure of Drug Free Communities Grant ........................................... 44
Appendix I – Addressing Behavioral Health Disparities .................................................. 45
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EXECUTIVE SUMMARY:
The Substance Abuse and Mental Health Services Administration, Center for
Substance Abuse Prevention (CSAP) is accepting applications for fiscal year (FY) 2013
Sober Truth on Preventing Underage Drinking Act (STOP Act) grants. The purpose of
this program is to prevent and reduce alcohol use among youth ages 12-20 in
communities throughout the United States.
Funding Opportunity Title: Sober Truth on Preventing Underage Drinking
Act (STOP Act) Grants
Funding Opportunity Number: SP-13-001
Due Date for Applications: March 1, 2013
Anticipated Total Available Funding: Approximately $756,000
Estimated Number of Awards: Approximately 15 grants
Estimated Award Amount: Up to $50,000.00 per year
Cost Sharing/Match Required No
Length of Project Period: Up to four years
Eligible Applicants: Domestic public and private nonprofit entities
that are current or former Drug Free
Communities Support Program (DFC)
grantees. Past STOP Act grantees funded in
FY 2008 and FY 2009 are eligible to apply for
the FY 2013 STOP Act grant.
[See Section III-1 of this RFA for complete
eligibility information.]
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I. FUNDING OPPORTUNITY DESCRIPTION
1. PURPOSE
The Substance Abuse and Mental Health Services Administration, Center for Substance
Abuse Prevention (CSAP) is accepting applications for fiscal year (FY) 2013 Sober
Truth on Preventing Underage Drinking Act (STOP Act) grants. The purpose of this
program is to prevent and reduce alcohol use among youth ages 12-20 in communities
throughout the United States.
The STOP Act language states that the purposes of the Act are to “prevent and reduce
alcohol use among youth in communities throughout the United States; strengthen
collaboration among communities, the federal government, state, local and tribal
governments; enhance intergovernmental cooperation and coordination on the issue of
alcohol use among youth; serve as a catalyst for increased citizen participation and
greater collaboration among all sectors and organizations of a community that first
demonstrates a long-term commitment to reducing alcohol use among youth;
disseminate to communities timely information regarding state-of-the-art practices and
initiatives that have proven to be effective in preventing and reducing alcohol use
among youth; and enhance, not supplant, effective local community initiatives for
preventing and reducing alcohol use among youth.” See Appendix G for further
background information.
The STOP Act program aligns with SAMHSA’s Strategic Initiative 1: Prevention of
Substance Abuse and Mental Illness, Goal 1.2: Prevent or reduce consequences of
underage drinking and adult problem drinking; Objective 1.2.1: Establish the prevention
of underage drinking as a priority issue for states, territories, tribal entities, universities,
and communities; 1.2.1.3: Through the Sober Truth on Preventing Underage Drinking
Act (STOP Act) program, enhance intergovernmental cooperation and coordination on
the issue of alcohol use among youth and provide communities timely information
regarding state-of-the-art practices that have proven to be effective. Consistent with
addressing behavioral health disparities, STOP Act grantees should utilize their data to
identify and address any appropriate subpopulations of youth (i.e., racial, ethnic,
sexual/gender minority groups) that are vulnerable to disparities and (2) should
implement strategies to decrease the differences in programmatic access, service use,
and outcomes among such subpopulations.
STOP Act grants are authorized under 42 U.S.C. 290bb–25b; Section 519B of the
Public Health Service Act, as amended. This announcement addresses Healthy People
2020 Substance Abuse Topic Area HP 2020 -SA.
2. EXPECTATIONS
• Grants awarded through the STOP Act program are intended to enhance the
ability of established community organizations to create community-level
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change regarding underage drinking. STOP Act grant funds must focus
primarily on strengthening collaboration among community entities to reduce
alcohol use among youth in current and former DFC grantee communities.
• As noted above, the STOP Act language states that the purposes of the Act
include “strengthen collaboration among communities, the federal
government, state, local and tribal governments,” and “enhance
intergovernmental cooperation and coordination on the issue of alcohol use
among youth.” Therefore, applicants are expected to collaborate with or
indicate the barriers to collaboration with their Single State Authority (SSA) or
tribal equivalent (as described in Section 2.2 below). Applicants are also
required to collaborate with or indicate barriers to collaboration with other
organizations addressing underage drinking, such as institutions of higher
education, host sites for SAMHSA’s Town Hall meetings, local education
agencies, and state counterparts of the members of the Federal Interagency
Coordinating Committee on the Prevention of Underage Drinking (ICCPUD).
• SAMHSA expects grantees to utilize their data to (1) identify subpopulations
(i.e., racial, ethnic, sexual/gender minority groups) vulnerable to disparities;
and (2) implement strategies to decrease the differences in access, service
use, and outcomes among subpopulations. A strategy for addressing health
disparities is use of the National Standards for Culturally and Linguistically
Appropriate Services (CLAS) in Health and Health Care. See Appendix I:
Addressing Behavioral Health Disparities.
• Over 2 million men and women have been deployed to serve in support of
overseas contingency operations, including Operation Enduring Freedom
(OEF), Operation Iraqi Freedom (OIF) and Operation New Dawn (OND).
Individuals returning from Iraq and Afghanistan are at increased risk for
suffering post-traumatic stress and other related disorders. Experts estimate
that up to one-third of returning veterans will need mental health and/or
substance abuse treatment and related services. In addition, the family
members of returning veterans have an increased need for related support
services. To address these concerns, SAMHSA strongly encourages all
applicants to consider the unique needs of returning veterans and their
families in developing their proposed project.
SAMHSA strongly encourages all grantees to provide a tobacco -free workplace and to
promote abstinence from all tobacco products (except in regard to accepted tribal
traditions and practices).
2.1 Pre-application Webinar
Potential applicants are encouraged to participate in a pre -application webinar. This
webinar is not mandatory in order to apply for this grant. This webinar will provide
technical assistance to help applicants complete their applications. The webinar is not a
general technical assistance webinar for coalitions. Applicants should read this RFA in
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advance and be prepared to ask questions related to the effective completion of their
applications. Information on the webinar will be posted on the SAMHSA website. If an
applicant is unable to call into the webinar, a recorded version will b e posted to the
SAMHSA website on January 16, 2013.
2.2 Collaboration with Single State Authority or Tribal Authority
Applicants must document collaboration or barriers to collaboration with the Single State
Authority or tribal equivalent. Therefore, applicants must send a letter or e-mail to their
Single State Authority or his/her representative (e.g., National Prevention Network
representative), or equivalent tribal official, describing how their proposal aligns with the
state’s/tribe’s efforts on underage drinking. The letter or e-mail must also request a
response from the state/tribe in support of this collaborative effort (see SSA contact
information at http://www.samhsa.gov/grants/ssadirectory.pdf ). A copy of the response
from the state/tribe (letter or e-mail) is required in Attachment 3 of your application.
If you sent a letter or e-mail to the state or tribe as described above, but have not
received a response, you should include two items in Attachment 3 of your application:
a copy of the written request (letter or e-mail) to the state or tribal authority and a
statement noting that a response has not been received.
Denial of support or lack of support from the Single State Authority or
representative or equivalent tribal entity will not affect the scoring of the
application. However, if the documentation described in this section is not
included, the application will be screened out and will not be reviewed.
2.3 Required Activities
Applicants are required to select activities that are consistent with the strategies
identified in the 2007 Surgeon General’s Call to Action to Prevent and Reduce
Underage Drinking and/or with the 2011 National Prevention Strategy that seek to
change the environment within which underage drinking takes place, such as changing
community norms regarding alcohol use by youth, reducing opportunities for underage
drinking by limiting youth access to alcohol, creating changes in underage drinking
enforcement efforts, addressing penalties for underage use, and/or reducin g the
prevalence of negative consequences associated with underage drinking (such as
motor vehicle crashes, sexual assaults, etc.). Applicants are also encouraged to consult
the Report to Congress on the Prevention of Underage Drinking (December 2012) for
information on current state programs and policies addressing underage drinking and to
consult the forthcoming National Strategy for Preventing Underage Drinking when it is
released.
Applicants must address community underage drinking problems by building on
strategic plans that were developed previously under a DFC grant and include a
community needs assessment, an implementation plan, a method to collect data, and a
way to evaluate, monitor, and improve strategies being implemented to create
measurable outcomes. Grantees whose strategic plans were not developed using the
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Strategic Prevention Framework (SPF) process will be expected to adapt their plan
using a process consistent with the SPF.
Strategic Prevention Framework
SAMHSA’s Strategic Prevention Framework (SPF) is a five-step evidence-based
process for community planning and decision-making. The five-step process includes:
1. needs assessment (profile community needs);
2. capacity building (mobilize/build capacity to address community needs);
3. planning (develop a comprehensive strategic plan);
4. implementation (implement the plan with multiple interventions); and
5. evaluation (monitor, sustain, improve, or replace prevention strategies).
Applicants must describe how they will build on the 5 steps of the SPF to carry out their
proposed project in “Section B; Proposed Approach” of the Project Narrative.
2.4 Data Collection and Performance Measurement
All SAMHSA grantees are required to collect and report certain data so that SAMHSA
can meet its obligations under the Government Performance and Results Modernization
Act of 2010 (GPRA). You must document your ability to collect and report the required
data in “Section D: Data Collection and Performance Measurement” of your application.
Grantees will be required to report performance on the following performance
measures;
1. Past 30-day use (alcohol only)
2. Perception of risk or harm (alcohol only)
3. Perception of parental disapproval of use (alcohol only)
4. Attitude toward peer use (alcohol only)
This information will be gathered using the local surveys determined by the local entity
receiving the grant. Data will be collected and reported at least every two years and for
at least three grade levels (i.e., 6th through 12th grade) for alcohol use. It is important to
note that the size of the data collection must be sufficient to provide an accurate and
meaningful statistical representation of the geographic area served by the coalition.
All required data are to be submitted via the Coalition Online Management and
Evaluation Tool (COMET). STOP Act grant Project Officers will provide technical
assistance related to data collection and reporting.
The collection of these data will enable CSAP to report on the National Outcome
Measures (NOMs), which have been defined by SAMHSA as key priority areas relating
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to substance use. Performance data will be reported to the public, the Office of
Management and Budget (OMB) and Congress as part of SAMHSA’s budget request.
2.5 Local Performance Assessment
Grantees must periodically review the performance data they report to SAMHSA (as
required above) and assess their progress and use this information to improve
management of their grant projects. The assessment should be designed to hel p you
determine whether you are achieving the goals, objectives and outcomes you intend to
achieve and whether adjustments need to be made to your project.
At a minimum, your performance assessment should include your progress achieved,
barriers encountered, and efforts to overcome these barriers in a performance
assessment report to be submitted through the Coalition Online Management and
Evaluation Tool (COMET), on a quarterly basis. You may also consider outcome and
process questions, such as the following:
Outcome Questions:
What was the effect of strategies used on underage drinking rates in your
area?
What contextual factors were associated with outcomes?
How did underage drinking rates change before and after STOP Act funding?
As appropriate, describe how the data, including outcome data, will be analyzed by
racial/ethnic group or other demographic factors to assure that appropriate populations
are being served and that disparities in services and outcomes are minimized.
Process Questions:
• How closely did implementation match the plan?
• What types of changes were made to the originally proposed plan?
• What led to the changes in the original plan?
• What effect did the changes have on the planned intervention and performance
assessment?
• Who provided (program staff) what services (modality, type, intensity, duration),
to whom (individual characteristics), in what context (system, community), and
at what cost (facilities, personnel, dollars)?
No more than 20 percent of the total grant award may be used for data collection,
performance measurement, and local performance assessment, e.g., activities
required in Sections I-2.4 and 2.5 above.
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2.6 Grantee Meetings
SAMHSA’s STOP Act grantees are not required to attend a designated grantee meeting
for this grant. Grantees must participate in a series of webinars as advised by
SAMHSA. Grantees may attend identified trainings sponsored by or supported by
organizations represented on the Federal Interagency Coordinating Committee on the
Prevention of Underage Drinking (ICCPUD). Grantees may include funding plans to
attend regional and/or national trainings that focus on underage drinking issues utilizing
funds from this grant.
2.7 Disclosure of Drug–Free Communities Grant
All current and former grantee organizations are required to complete the form in
Appendix H of this RFA (“Disclosure of Drug-Free Communities Grant”) and submit it in
Attachment 4 of their application or the application will be screened out and will not
be reviewed. Information submitted in this form will be verified by CSAP staff before
awards are made.
II. AWARD INFORMATION
Proposed budgets cannot exceed $50,000 in total costs (direct and indirect) 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, timely
submission of required data and reports, and compliance with all terms and conditions
of award.
Funding estimates for this announcement are based on an annualized Continuing
Resolution and do not reflect the final FY 2013 appropriation. Applicants should
be aware that funding amounts are subject to the availability of funds.
These awards will be made as grants.
III. ELIGIBILITY INFORMATION
1. ELIGIBLE APPLICANTS
The statutory authority for this program (stated in the STOP Act CFDA: 93.243,
Legislative Authority, 42 U.S.C. 290bb–25b, Section 519B of the Public Health Service
Act) limits eligibility to domestic public and private nonprofit entities that are current or
former Drug Free Communities Support Program (DFC) grantees. For example: local
governments, federally recognized American Indian/Alaska Native tribes, territories, and
Pacific and Caribbean jurisdictions may be eligible. STOP Act grantees that received
their award in fiscal year 2008 and fiscal year 2009 are eligible to apply for the FY 2013
STOP Act grant.
Tribal organization means the recognized body of any AI/AN tribe; any legally
established organization of American Indians/Alaska Natives which is controlled,
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sanctioned, or chartered by such governing body or which is democratically elected by
the adult members of the Indian community to be served by such organization and
which includes the maximum participation of American Indians/Alaska Natives in all
phases of its activities. Consortia of tribes or tribal organizations are eligible to apply,
but each participating entity must indicate its approval.
The statutory authority for this program prohibits grants to for-profit agencies.
2. COST SHARING AND MATCH REQUIREMENTS
Cost sharing/match is not required in this program.
3. OTHER
You must comply with the following three requirements, or your application will
be screened out and will not be reviewed: 1) use of the SF-424 application form;
Budget Information form SF-424A; Project/Performance Site Location(s) form;
Disclosure of Lobbying Activities, if applicable; and Checklist; 2) application submission
requirements in Section IV-3 of this document; and 3) formatting requirements provided
in Appendix A of this document.
IV. APPLICATION AND SUBMISSION INFORMATION
1. ADDRESS TO REQUEST APPLICATION PACKAGE
You may request a complete application package from SAMHSA at 1 -877-SAMHSA7
[TDD: 1-800-487-4889].
You also may download the required documents from the SAMHSA website at
http://www.samhsa.gov/grants/apply.aspx.
Additional materials available on this website include: a grant writing 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
consumer and family participation, and evaluation); and
• a list of certifications and assurances referenced in item 21 of the SF-424.
2. CONTENT AND GRANT APPLICATION SUBMISSION
2.1 Application Package
A complete list of documents included in the application package is available at
http://www.samhsa.gov/Grants/ApplicationKit.aspx. This includes:
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• The Face Page (SF-424); Budget Information form (SF-424A);
Project/Performance Site Location(s) form; Disclosure of Lobbying Activities,
if applicable; and Checklist. Applications that do not include the required
forms will be screened out and will not be reviewed.
• Request for Applications (RFA) – Provides a description of the program,
specific information about the availability of funds, and instructions for
completing the grant application. This document is the RFA. The RFA will be
available on the SAMHSA website
(http://www.samhsa.gov/grants/index.aspx) and a synopsis of the RFA is
available on the federal grants website (http://www.Grants.gov).
You must use all of the above documents in completing your application.
2.2 Required Application Components
Applications must include the following 12 required application components:
• Face Page – SF-424 is the face page. [Note: Applicants must provide a Dun
and Bradstreet (DUNS) number to apply for a grant or cooperative agreement
from the federal government. SAMHSA applicants are required to provide
their DUNS number on the face page of the application. Obtaining a DUNS
number is easy and there is no charge. To obtain a DUNS number, access
the Dun and Bradstreet website at http://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. In addition, you must be registered in the new
System for Award Management (SAM). The former Central Contractor
Registration (CCR) transitioned to the SAM on July 30, 2012. For any
registrations in process during the transition period between July 16, 2012
and October 15, 2012, the data that were previously submitted to CCR were
migrated to SAM. SAM information must be updated at least every 12
months to remain active (for both grantees and sub-recipients). Once
you update your record in SAM, it will take 48 to 72 hours to complete the
validation processes. Grants.gov will reject submissions from applicants
who are not registered in SAM or those with expired SAM registrations
(Entity Registrations). If you do not have an active SAM registration
prior to submitting your application, it will be screened out and returned
to you without review. The DUNS number you use on your application
must be registered and active in the SAM. To Create a user account,
Register/Update entity and/or Search Records from CCR, go to
https://www.sam.gov.
• Abstract – Your total abstract must not be longer than 35 lines. It should
include the project name, population(s) to be served (demographics and
clinical characteristics), strategies/interventions, project goals and
measurable objectives, including the number of people to be served annually
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and throughout the lifetime of the project, etc. 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 attachment.
• Budget Information Form – Use SF-424A. Fill out Sections B, C, and E of
the SF-424A. A sample budget and justification is included in Appendix F of
this document.
• Project Narrative and Supporting Documentation – The Project Narrative
describes your project. It consists of Sections A- D. Sections A-D together
may not be longer than 25 pages. (Remember that if your Project Narrative
starts on page 5 and ends on page 30, it is 26 pages long, not 25 pages.)
More detailed instructions for completing each section of the Project Narrative
are provided in “Section V – Application Review Information” of this
document.
The Supporting Documentation provides additional information necessary for
the review of your application. This supporting documentation should be
provided immediately following your Project Narrative in Section E. Additional
instructions for completing this section are included in Section V under
“Supporting Documentation.” Supporting documentation should be submitted
in black and white (no color).
• Attachments 1 through 5 – Use only the attachments listed below. If your
application includes any attachments not required in this document, they will
be disregarded. Do not use more than a total of 25 pages for Attachments 1,
3 and 4 combined. There are no page limitations for Attachments 2 and 5.
Do not use attachments to extend or replace any of the sections of the Project
Narrative. Reviewers will not consider them if you do. Please label the
attachments as: Attachment 1, Attachment 2, etc.
o Attachment 1: Data Collection Instruments/Interview Protocols – if you are
using standardized data collection instruments/interview protocols, you do
not need to include these in your application. Instead, provide a web link
to the appropriate instrument/protocol. If the data collection instrument(s)
or interview protocol(s) is/are not standardized, you must include a copy in
Attachment 1.
o Attachment 2: Sample Consent Forms
o Attachment 3: Letters to and/or from the SSA (See Sections I-2.2 and IV-
4 of this document)
o Attachment 4: Disclosure of Drug Free Communities Grant Form included
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in Appendix H of this RFA. Applications that do not include this form
will be screened out and will not be reviewed.
o Attachment 5: Work Action Plan - for currently funded DFC grantees only
– include most recent DFC action plan.
Project/Performance Site Location(s) Form – The purpose of this form is to
collect location information on the site(s) where work funded under this grant
announcement will be performed. This form will be posted on SAMHSA’s
website with the RFA and provided in the application package.
Assurances – Non-Construction Programs. You must read the list of
assurances provided on the SAMHSA website and check the box marked ‘I
Agree’ before signing the face page (SF-424) of the application. You are also
required to complete the Assurance of Compliance with SAMHSA Charitable
Choice Statutes and Regulations Form SMA 170. This form will be posted on
SAMHSA’s website with the RFA and provided in the application package.
Certifications – You must read the list of certifications provided on the SAMHSA
website and check the box marked ‘I Agree’ before signing the face page (SF-
424) of the application.
Disclosure of Lobbying Activities – 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. You must sign and submit this form, if applicable.
Checklist – The Checklist ensures that you have obtained the proper signatures,
assurances and certifications. You must complete the entire form, including
the top portion, “Type of Application”, indicating if this is a new, noncompeting
continuation, competing continuation or supplemental application, as well as
Parts A though D.
Documentation of nonprofit status as required in the Checklist.
2.3 Application Formatting Requirements
Please refer to Appendix A, Checklist for Formatting Requirements and
Screenout Criteria for SAMHSA Grant Applications, for SAMHSA’s basic
application formatting requirements. Applications that do not comply with these
requirements will be screened out and will not be reviewed.
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3. APPLICATION SUBMISSION REQUIREMENTS
Applications are due by 11:59 PM (Eastern Time) on March 1, 2013. Your application
must be submitted through http://www.Grants.gov. Please refer to Appendix B,
“Guidance for Electronic Submission of Applications.”
4. INTERGOVERNMENTAL REVIEW (E.O. 12372) REQUIREMENTS
This grant program is covered under Executive Order (EO) 12372, as implemented
through Department of Health and Human Services (DHHS) regulation at 45 CFR Part
100. Under this Order, states may design their own processes for reviewing and
commenting on proposed federal assistance under covered programs. See Appendix C
for additional information on these requirements as well as requirements for the Public
Health Impact Statement.
5. FUNDING LIMITATIONS/RESTRICTIONS
Cost principles describing allowable and unallowable expenditures for federal grantees,
including SAMHSA grantees, are provided in the following documents, which are
available at http://www.samhsa.gov/grants/management.aspx:
• Educational Institutions: 2 CFR Part 220 and OMB Circular A-21
• State, Local and Indian Tribal Governments: 2 CFR Part 225 (OMB Circular
A-87)
• Nonprofit Organizations: 2 CFR Part 230 (OMB Circular A-122)
• Hospitals: 45 CFR Part 74, Appendix E
In addition, SAMHSA’s STOP Act grant recipients must comply with the following
funding restrictions:
No more than 20 percent of the grant award may be used for data collection,
performance measurement, and performance assessment expenses.
No more than 6 percent of the grant may be used for administrative expenses.
SAMHSA grantees must also comply with SAMHSA’s standard funding
restrictions, which are included in Appendix D.
V. APPLICATION REVIEW INFORMATION
1. EVALUATION CRITERIA
The Project Narrative describes what you intend to do with your project and includes the
Evaluation Criteria in Sections A-D below. Your application will be reviewed and scored
according to the quality of your response to the requirements in Sections A-D.
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• In developing the Project Narrative section of your application, use these
instructions, which have been tailored to this program.
• The Project Narrative (Sections A-D) together may be no longer than 25
pages.
• You must use the four sections/headings listed be low in developing your
Project Narrative. You must 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 of the
Project Narrative.
• The Budget Justification and Supporting Documentation you provide in
Section E and Attachments 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 is the maximum number of points a
review committee may assign to that section of your Project Narrative.
Although scoring weights are not assigned to individual bullets, each bullet is
assessed in deriving the overall Section score.
Section A: Needs Assessment (Progress to Date) (20 points)
Describe your present or former Drug Free Communities Support Grant
experience. Report on accomplishments to date. Discuss any
obstacles/problems that have been encountered and actions taken towards their
resolution.
Describe your current organizational infrastructure available to support the STOP
Act activities. Demonstrate how this project will enhance, not replace, the
capacity you have established with your DFC grant.
Section B: Proposed Approach (30 points)
Clearly describe all activities that will be supported with the new grant funds.
o Describe how your proposed project will meet the goals and objectives of the
STOP Act program.
o Discuss how the new activities will be integrated into the ongoing DFC
project.
o Provide the projected number and demographics of persons to be served.
o Demonstrate how the proposed approach addresses factors such as age,
race, ethnicity, culture, language, sexual orientation, disability, literacy, and
gender of the population.
o Describe how you will collaborate with other organizations addressing
underage drinking, such as institutions of higher education, host sites for
SAMHSA’s Town Hall meetings, local education agencies, and State
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counterparts of the members of the Federal Interagency Coordinating
Committee on the Prevention of Underage Drinking (ICCPUD).
o As described in the STOP Act legislation, the purposes of the program
include to “strengthen collaboration among communities, the Federal
Government, and State, local, and tribal Governments,” and “enhance
intergovernmental cooperation and coordination on the issue of alcohol use
among youth.” Describe your proposed collaboration with the state, tribe, or
jurisdiction, and describe any barriers to accomplishing this plan.
Discuss how the activities identified above are consistent with the strategies and
interventions identified in the 2007 Surgeon General’s Call to Action to Prevent
and Reduce Underage Drinking and SAMHSA’s Strategic Initiative: Prevention of
Substance Abuse and Mental Illness. Please see the document section at
http://www.samhsa.gov/about/strategy.aspx
Discuss how you will build on the 5 steps of the SPF (needs assessment;
capacity building; planning; implementation; and evaluation) to carry out your
proposed activities.
Section C: Project Implementation Plan and Staff, Management, and Relevant
Experience (35 points)
Describe how you will implement and manage the STOP Act activities. Include a
timeline for implementation showing key activities and milestones. Include
milestones and timelines for the 5 steps of the SPF discussed in Section B
above.
Discuss the capability and experience of the applicant organization and other
participating organizations with similar projects and populations, including
experience in providing culturally appropriate/competent services.
Outline your proposal for involving sector members of the DFC coalition in
planning and implementing your STOP Act activities. Describe how particular
segments of your community coalition may play a role in advancing the goals of
your STOP Act grant. Indicate how members of the DFC coalition will inter-relate
and collaborate on STOP Act grant activities.
Section D: Performance Assessment and Data (15 points)
Provide a plan for how you will collect data on the four core measures to
demonstrate population-level change. Identify data that will be collected to
provide regular feedback to the project, as well as to SAMHSA to determine if the
goals of the new program are being met. The evaluation should include both
process and outcome requirements.
18
NOTE: Although the budget for the proposed project is not a scored 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.
Budget Justification, Existing Resources, Other Support (other federal and non-
federal sources)
You must provide a narrative justification of the items included in your propose d budget,
as well as a description of existing resources and other support you expect to receive
for the proposed project. Other support is defined as funds or resources, whether
federal, non-federal or institutional, in direct support of activities throu gh fellowships,
gifts, prizes, in-kind contributions or non-federal means. (This should correspond to
Item #18 on your SF-424, Estimated Funding.) Other sources of funds may be used for
unallowable costs, e.g., meals, sporting events, entertainment.
Be sure to show that no more than 20 percent of the total grant award will be used for
data collection, performance measurement and performance assessment, and that no
more than 6 percent of the total grant award will be used for administrative expenses.
Specifically identify the items associated with these costs in your budget. An
illustration of a budget and narrative justification is included in Appendix F, Sample
Budget and Justification, of this document.
The budget justification and narrative must be submitted as file BNF when you
submit your application into Grants.gov. (See Appendix B, Guidance for
Electronic Submission of Applications.)
SUPPORTING DOCUMENTATION
Section E: 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 position description and/or a letter of commitment with a current
biographical sketch from the individual.
• Include job descriptions for key personnel. Job descriptions should be no
longer than 1 page each.
• Information on what should be included in Biographical Sketches and Job
Descriptions can be found in Appendix E of this document.
2. REVIEW AND SELECTION PROCESS
SAMHSA applications are peer-reviewed according to the evaluation criteria listed
above. Decisions to fund a grant are based on:
19
1. the strengths and weaknesses of the application as identified b y peer reviewers;
2. when the individual award is over $150,000, approval by the Center for
Substance Abuse Prevention National Advisory Council;
3. availability of funds; and
4. equitable distribution of awards in terms of geography (including urban, rural and
remote settings) and balance among populations to receive services and
program size.
VI. ADMINISTRATION INFORMATION
1. AWARD NOTICES
You will receive a letter from SAMHSA through postal mail that describes the general
results of the review of your application, including the score that your application
received.
If you are approved for funding, you will receive an additional notice through postal
mail, the Notice of Award (NoA), signed by SAMHSA’s Grants Management Officer.
The Notice of Award is the sole obligating document that allows you to receive federal
funding for work on the grant project.
If you are not funded, you will receive notification from SAMHSA.
2. ADMINISTRATIVE AND NATIONAL POLICY REQUIREMENTS
• If your application is funded, you must comply with all terms and conditions of
the grant award. SAMHSA’s standard terms and conditions are available on
the SAMHSA website at http://www.samhsa.gov/grants/management.aspx.
• If your application is funded, you must also comply with the administrative
requirements outlined in 45 CFR Part 74 or 45 CFR Part 92, as appropriate.
For more information see the SAMHSA website
(http://www.samhsa.gov/grants/management.aspx).
• Depending on the nature of the specific funding opportunity and/or your
proposed project as identified during review, SAMHSA may negotiate
additional terms and conditions with you prior to grant award. These may
include, for example:
o actions required to be in compliance with confidentiality and participant
protection/human subjects requirements;
o requirements relating to additional data collection and reporting;
o requirements relating to participation in a cross-site evaluation;
20
o requirements to address problems identified in review of the
application; or
o revised budget and narrative justification.
• If your application is funded, 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.
• If your application is funded, you must comply with Executive Order 13166,
which requires that recipients of federal financial assistance provide
meaningful access to limited English proficient (LEP) persons in their
programs and activities. You may assess the extent to which language
assistance services are necessary in your grant program by utilizing the HHS
Guidance to Federal Financial Assistance Recipients Regarding Title VI
Prohibition Against National Origin Discrimination Affecting Limited English
Proficient Persons, available at
http://www.hhs.gov/ocr/civilrights/resources/laws/revisedlep.html.
• Grant funds cannot be used to supplant current funding of existing activities.
“Supplant” is defined as replacing funding of a recipient’s existing program
with funds from a federal grant.
• 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 package for SAMHSA grants and is posted on
the SAMHSA website at
http://www.samhsa.gov/grants/downloads/SurveyEnsuringEqualOpp.pdf . You
are encouraged to complete the survey and return it, using the instructions
provided on the survey form.
3. REPORTING REQUIREMENTS
In addition to the data reporting requirements listed in Section I-2.4, grantees must
comply with the reporting requirements listed on the SAMHSA website at
http://www.samhsa.gov/Grants/apply.aspx.
21
VII. AGENCY CONTACTS
For questions about program issues contact:
Dan Fletcher, MPA
Senior Public Health Advisor
Division of Community Programs, Center for Substance Abuse Prevention
Substance Abuse and Mental Health Services Administration
1 Choke Cherry Road
Room 4-1085
Rockville, Maryland 20857
(240) 276-2578
dan.fletcher@samhsa.hhs.gov
For questions on grants management and budget issues contact:
Virginia Simmons
Division of Grants Management, Office of Financial Resources
Substance Abuse and Mental Health Services Administration
1 Choke Cherry Road
Room 7-1109
Rockville, Maryland 20857
(240) 276-1422
virginia.simmons@samhsa.hhs.gov
22
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 .
• Use the SF-424 Application form; Budget Information form SF-424A;
Project/Performance Site Location(s) form; Disclosure of Lobbying Activities,
if applicable; and Checklist.
• Applications must be received by the application due date and time, as
detailed in Section IV-3 of this grant announcement.
• You must be registered in the System Award Management (SAM) prior to
submitting your application. The DUNS number used on your application must
be registered and active in the SAM prior to submitting your application.
• Information provided must be sufficient for review.
• Text must be legible. Pages must be typed in black, single -spaced, using a
font of Times New Roman 12, with all margins (left, right, top, bottom) at least
one inch each. (See additional requirements in Appendix B, “Guidance for
Electronic Submission of Applications.”)
• To ensure equity among applications, page limits for the Project Narrative
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.
• Applications should comply with the following requirements:
o Budgetary limitations as specified in Sections I, II, and IV-5 of this
announcement.
o Documentation of nonprofit status as required in the Checklist.
• Black print should be used throughout your application, including charts and
graphs (no color). Materials with printing on both sides will be excluded
from the application and not sent to peer reviewers.
23
• Pages should be numbered consecutively from beginning to end so that
information can be located easily during review of the application. The
abstract page should be page 1, the table of contents should be page 2, etc.
The four pages of SF-424 are not to be numbered. Attachments should be
labeled and separated from the Project Narrative and budget section, and the
pages should be numbered to continue the sequence.
• The page limits for Attachments stated in Section IV-2.2 of this
announcement should not be exceeded.
24
Appendix B – Guidance for Electronic Submission of
Applications
Beginning in FY 2013, SAMHSA discretionary grant applications must be submitted
electronically through Grants.gov. SAMHSA will not accept paper applications,
except when a waiver of this requirement is approved by SAMHSA. The process for
applying for a waiver is described later in this appendix.
If this is the first time you have submitted an application through Grants.gov, you must
complete three separate registration processes before you can submit your
application. Allow at least two weeks (10 business days) for these registration
processes, prior to submitting your application. The processes are:
1. DUNS Number registration:
The DUNS number you use on your application must be registered and
active in the SAM.
2. System for Award Management (SAM) registration:
The System for Award Management (SAM) is a federal government owned and
operated free website that replaces capabilities of the former Central Contractor
Registry (CCR) system, as well as EPLS. Future phases of SAM will add the
capabilities of other systems used in federal awards processes.
SAM information must be updated at least every 12 months to remain
active (for both grantees and sub-recipients). Once you update your record
in SAM, it will take 48 to 72 hours to complete the validation processes.
Grants.gov will reject electronic submissions from applicants with expired
registrations. To Create a user account, Register/Update entity and/or
Search Records from CCR, go to https://www.sam.gov.
You will find a Quick Start Guide for Entities Interested in Being Eligible for
Grants through SAM at
https://www.sam.gov/sam/transcript/Quick_Guide_for_Grants_Registrations.pdf .
3. Grants.gov Registration (get username and password):
Be sure the person submitting your application is properly registered with
Grants.gov as the Authorized Organization Representative (AOR) for the specific
DUNS number cited on the SF-424 (face page). See the Organization
Registration User Guide for details at the following Grants.gov link:
http:/www.grants.gov/applicants/get_registered.jsp.
You can find additional information on the registration process at
http://www.grants.gov/assets/organizationregcheck_092112.pdf. The Organization
Registration Checklist available at this site provides registration guidance for a
25
company, institution, state, local or tribal government, or other type of organization
submitting for the first time through Grants.gov.
To submit your application electronically, you may search http://www.Grants.gov for the
downloadable application package by the funding announcement number (called the
opportunity number) or by the Catalogue of Federal Domestic Assistance (CFDA)
number. You can find the funding announcement number and CFDA number on the
cover page of this funding announcement.
You must follow the instructions in the User Guide available at the
http://www.Grants.gov apply site, on the Help page. In addition to the User Guide, you
may wish to use the following sources for technical (IT) help:
• By e-mail: support@grants.gov
• By phone: 1-800-518-4726 (1-800-518-GRANTS). The Grants.gov Contact
Center is available 24 hours a day, 7 days a week, excluding federal holidays.
Please allow sufficient time to enter your application into Grants.gov. When you submit
your application, you will receive a notice that your application is being processed and
that you will receive two e-mails from grants.gov within the next 24-48 hours. One will
confirm receipt of the application in grants.gov, and the other will indicate that the
application was either successfully validated by the system (with a tracking number) or
rejected due to errors. It will also provide instructions that if you do not receive a re ceipt
confirmation and a validation confirmation or a rejection e-mail within 48 hours, you
must contact grants.gov directly. It is important that you retain this tracking number.
Receipt of the tracking number is the only indication that grants.gov has
successfully received and validated your application. If you do not receive a
grants.gov tracking number, you may want to contact the grants.gov help desk
for assistance. Please note that it is incumbent on the applicant to monitor your
application to ensure that it is successfully received and validated by grants.gov. If
your application is not successfully validated by grants.gov, it will not be
forwarded to SAMHSA as the receiving institution.
It is strongly recommended that you prepare your Project Narrative and other
attached documents in Adobe PDF format. If you do not have access to Adobe
software, you may submit in Microsoft Office 2007 products (e.g., Microsoft Word 2007,
Microsoft Excel 2007, etc.). Directions for creating PDF files can be found on the
Grants.gov website. Use of file formats other than Adobe PDF or Microsoft Office 2007
may result in your file being unreadable by our staff.
The Abstract, Table of Contents, Project Narrative, Supporting Documentation, Budget
Justification, and Attachments must be combined into 4 separate files in the electronic
submission. If the number of files exceeds 4, only the four files will be
downloaded and considered in the peer review of applications.
Formatting requirements for SAMHSA e-Grant application files are as follows:
26
Project Narrative File (PNF): The PNF consists of the Abstract, Table of
Contents, and Project Narrative (Sections A-D) in this order and numbered
consecutively.
Budget Narrative File (BNF): The BNF consists of only the budget justification
narrative.
Other Attachment File 1: The first Other Attachment file will consist of the
Supporting Documentation (Sections E-F) in this order and lettered
consecutively.
Other Attachment File 2: The second Other Attachment file will consist of the
Attachments (Attachments 1-5) in this order and numbered consecutively.
If you have documentation that does not pertain to any of the 4 listed attachment files,
include that documentation in Other Attachment File 2.
New for FY 2013
Applicants are now limited to using the following characters in all attachment file names:
Valid file names may include only the following characters:
A-Z, a-z, 0-9, underscore ( _ ), hyphen (-), space, period.
If your application uses any other characters when naming your attachment files,
your application will be rejected by Grants.gov.
Scanned images must be scanned at 150-200 dpi/ppi resolution and saved as a jpeg or
pdf file. Using a higher resolution setting or different file type could result in rejection of
your application.
Waiver Request Process
Applicants may request a waiver of the requirement for electronic submission if they are
unable to submit electronically through the Grants.gov portal because their physical
location does not have adequate access to the Internet. Inadequate Internet access is
defined as persistent and unavoidable access problems/issues that would make
compliance with the electronic submission requirement a hardship. The process for
applying for a waiver is described below. Questions on applying for a waiver may be
directed to SAMHSA’s Division of Grant Review, 240-276-1199.
All applicants must register in the System for Award Management (SAM) and
Grants.gov, even those who intend to request a waiver. If you do not have an
active SAM registration prior to submitting your paper application, it will be screened out
and returned to you without review. Registration is necessary to ensure that information
required for paper submission is available and that the applicant is ready to sub mit
electronically if the waiver is denied. (See directions for registering in SAM and on
Grants.gov above.)
27
A written waiver request must be received by SAMHSA at least 15 calendar days in
advance of the application due date stated on the cover page of this RFA. The request
must be either e-mailed to DGR.Waivers@samhsa.hhs.gov, or mailed to:
Diane Abbate, Director of Grant Review
Office of Financial Resources
Substance Abuse and Mental Health Services Administration
Room 3-1044
1 Choke Cherry Road
Rockville, MD 20857
Applicants are encouraged to request a waiver by e-mail, when possible. When
requesting a waiver, the following information must be included:
SAMHSA RFA title and announcement number
Name, address, and telephone number of the applicant organization as they
will appear in the application
Applicant organization’s DUNS number
Authorized Organization Representative (AOR) for the named applicant
Name, telephone number, and e-mail of the applicant organization’s Contact
Person for the waiver
Details of why the organization is unable to submit electronically through the
Grants.gov portal, explaining why their physical location does not have
adequate access to the Internet.
The Office of Grant Review will either e-mail (if the waiver request was received by e-
mail) or express mail/deliver (if the waiver request was received by mail) the waiver
decision to the Contact Person no later than seven calendar days prior to the
application due date. If the waiver is approved, a paper application must be submitted.
(See instructions for submitting a paper application below.) SAMHSA will not accept
any applications that are sent by e-mail or facsimile or hand carried. If the waiver is
disapproved, the applicant organization must be prepared to submit through Grants.gov
or forfeit the opportunity to apply. The written approval must be included as the cover
page of the paper application and the application must be received by the due date.
A waiver approval is valid for the remainder of the fiscal year and may be used for other
SAMHSA discretionary grant applications during that fiscal year. When submitting a
subsequent paper application within the same fiscal year, this waiver approval must be
included as the cover page of each paper application. The organization and DUNS
number named in the waiver and any subsequent application must be identical.
A paper application will not be accepted without the waiver approval and will be
returned to the applicant if it is not included. Paper applications received after
the due date will not be accepted.
28
Instructions for Submitting a Paper Application with a Waiver
Paper submissions are due by 5:00 PM on the application due date stated on the cover
page of this RFA. Applications may be shipped using only Federal Express
(FedEx), United Parcel Service (UPS), or the United States Postal Service (USPS).
You will be notified by postal mail that your application has been received.
Note: If you use the USPS, you must use Express Mail.
SAMHSA will not accept or consider any applications that are sent by e-mail or
facsimile or hand carried.
If you are submitting a paper application, you must submit an original application and 2
copies (including attachments). The original and copies must not be bound and nothing
should be attached, stapled, folded, or pasted. Do not use staples, paper clips, or
fasteners. You may use rubber bands.
Send applications to the address below:
For United States Postal Service:
Diane Abbate, Director of Grant Review
Office of Financial Resources
Substance Abuse and Mental Health Services Administration
Room 3-1044
1 Choke Cherry Road
Rockville, MD 20857
Change the zip code to 20850 if you are using FedEx or UPS.
Do not send applications to other agency contacts, as this could delay receipt. Be sure
to include “STOP Act Grants, No. SP-13-001” in item number 12 on the face page (SF-
424) of your paper application. If you require a phone number for delivery, you may use
(240) 276-1199.
Your application must be received by the application deadline or it will not be
considered for review. Please remember that mail sent to federal facilities undergoes
a security screening prior to delivery. You are responsible for ensuring that you submit
your application so that it will arrive by the application due date and time.
If an application is mailed to a location or office (including room number) that is not
designated for receipt of the application and, as a result, the designated office does not
receive your application by the deadline, your application will be considered late and
ineligible for review.
If you are submitting a paper application, the application components required for
SAMHSA applications should be submitted in the following order:
29
o Face Page (SF-424)
o Abstract
o Table of Contents
o Budget Information Form (SF-424A)
o Project Narrative and Supporting Documentation
o Attachments
o Project/Performance Site Location(s) Form
o Disclosure of Lobbying Activities (Standard Form LLL, if applicable)
o Checklist – the Checklist should be the last page of your application.
o Documentation of nonprofit status as required in the Checklist
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.
Black print should be used throughout your application, including charts and graphs (no
color). Pages should be typed single-spaced with one column per page. Pages should
not have printing on both sides. Pages with printing on both sides run the risk of an
incomplete application going to peer reviewers, since scanning and copying may not
duplicate the second side. Materials with printing on both sides will be excluded
from the application and not sent to peer reviewers.
With the exception of standard forms in the application package, all pages in your
application should be numbered consecutively. Documents containing scanned
images must also contain page numbers to continue the sequence. Failure to
comply with these requirements may affect the successful transmission and
consideration of your application.
30
Appendix C – Intergovernmental Review (E.O. 12373)
Requirements
This grant program is covered under Executive Order (EO) 12372, as implemented
through Department of Health and Human Services (DHHS) regulation at 45 CFR Part
100. Under this Order, states may design their own processes for reviewing and
commenting on proposed federal assistance under covered programs. Certain
jurisdictions have elected to participate in the EO process and have established State
Single Points of Contact (SPOCs). A current listing of SPOCs is included in the
application package and can be downloaded from the Office of Management and
Budget (OMB) website at http://www.whitehouse.gov/omb/grants_spoc.
• Check the list to determine whether your state participates in this program.
You do not need to do this if you are an American Indian/Alaska Native tribe
or tribal organization.
• 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. For United
States Postal Service: Diane Abbate, Director of Grant Review, Office of
Financial Resources, Substance Abuse and Mental Health Services
Administration, Room 3-1044, 1 Choke Cherry Road, Rockville, MD 20857.
ATTN: SPOC – Funding Announcement No. SP-13-001. Change the zip
code to 20850 if you are using another delivery service.
In addition, if you are a community-based, non-governmental service provider and you
are not transmitting your application through the state, you must submit a Public Health
System Impact Statement (PHSIS)1 to the head(s) of appropriate state and local health
agencies in the area(s) to be affected no later than the application deadline. 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. If you are a state or local government or American
1 Approved by OMB under control no. 0920-0428; 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).
31
Indian/Alaska Native tribe or tribal organization, you 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 for substance
abuse can be found on SAMHSA’s website at http://www.samhsa.gov. A listing of the
SSAs for mental health can be found on SAMHSA’s website at
http://www.samhsa.gov/grants/SSAdirectory-MH.pdf. If the proposed project falls within
the jurisdiction of more than one state, you should notify all representative SSAs.
If applicable, you must include a copy of a letter transmitting the PHSIS to the SSA in
Attachment 3, “Letter to the SSA.” The letter must notify the state that, if it wishes to
comment on the proposal, its comments should be sent no later than 60 days after the
application deadline to the following address. For United States Postal Service:
Diane Abbate, Director of Grant Review, Office of Financial Resources, Substance
Abuse and Mental Health Services Administration, Room 3 -1044, 1 Choke Cherry
Road, Rockville, MD 20857. ATTN: SSA – Funding Announcement No. SP-13-001.
Change the zip code to 20850 if you are using another delivery service.
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.
32
Appendix D – Funding Restrictions
SAMHSA grant funds must be used for purposes supported by the program and may
not be used to:
• Pay for any lease beyond the project period.
• 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).
• Pay for the purchase or construction of any building or structure to house any
part of the program. (Applicants may request up to $75,000 for renova tions
and alterations of existing facilities, if necessary and appropriate to the
project.)
• Provide residential or outpatient treatment services when the facility has not
yet been acquired, sited, approved, and met all requirements for human
habitation and services provision. (Expansion or enhancement of existing
residential services is permissible.)
• Pay for housing other than residential mental health and/or substance abuse
treatment.
• Provide inpatient treatment or hospital-based detoxification services.
Residential services are not considered to be inpatient or hospital-based
services.
• Only allowable costs associated with the use of federal funds are permitted to
fund evidence-based practices (EBPs). Other sources of funds may be used
for unallowable costs (e.g., meals, sporting events, entertainment). Other
support is defined as funds or resources, whether federal, non-federal or
institutional, in direct support of activities through fellowships, gifts, prizes, or
in-kind contributions.
• Make direct payments to individuals to induce them to enter prevention or
treatment services. However, SAMHSA discretionary grant funds may be
used for non-clinical support services (e.g., bus tokens, child care) designed
to improve access to and retention in prevention and treatment programs.
• Make direct payments to individuals to encourage attendance and/or
attainment of prevention or treatment goals. However, SAMHSA
discretionary grant funds may be used for non-cash incentives of up to $20 to
encourage attendance and/or attainment of prevention or treatment goals
when the incentives are built into the program design and when the incentives
are the minimum amount that is deemed necessary to meet program goals.
SAMHSA policy allows an individual participant to receive more than one
33
incentive over the course of the program. However, non-cash incentives
should be limited to the minimum number of times deemed necessary to
achieve program outcomes. A grantee or treatment or prevention provider
may also provide up to $20 cash or equivalent (coupons, bus tokens, gifts,
child care, and vouchers) to individuals as incentives to participate in required
data collection follow up. This amount may be paid for participation in each
required interview.
• Meals are generally unallowable unless they are an integral part of a
conference grant or specifically stated as an allowable expense in the RFA.
Grant funds may be used for light snacks, not to exceed $2.50 per person.
• Funds may not be used to distribute sterile needles or syrin ges for the
hypodermic injection of any illegal drug.
• Pay for pharmacologies for HIV antiretroviral therapy, sexually transmitted
diseases (STD)/sexually transmitted illnesses (STI), TB, and hepatitis B and
C, or for psychotropic drugs.
SAMHSA will not accept a “research” indirect cost rate. The grantee must use the
“other sponsored program rate” or the lowest rate available.
34
Ap pendix E – Biographical Sketches and Job Descriptions
Biographical Sketches
Existing curricula vitae of project staff members may be used if they are updated and
contain all items of information requested below. You may add any information items
listed below to complete existing documents. For development of new curricula vitae
include items below in the most suitable format:
1. Name of staff member
2. Educational background: school(s), location, dates attended, degrees earned
(specify year), major field of study
3. Professional experience
4. Honors received and dates
5. Recent relevant publications
6. Other sources of support [Other support is defined as all funds or resources,
whether federal, non-federal, or institutional, available to the Project
Director/Program Director (and other key personnel named in the application) in
direct support of their activities through grants, cooperative agreements,
contracts, fellowships, gifts, prizes, and other means.]
Job Description
1. Title of position
2. Description of duties and responsibilities
3. Qualifications for position
4. Supervisory relationships
5. Skills and knowledge required
6. Personal qualities
7. Amount of travel and any other special conditions or requirements
8. Salary range
9. Hours per day or week
35
Appendix F – Sample Budget and Justification
(no match required)
THIS IS AN ILLUSTRATION OF A SAMPLE DETAILED BUDGET AND NARRATIVE
JUSTIFICATION WITH GUIDANCE FOR COMPLETING SF 424A: SECTION B FOR
THE BUDGET PERIOD
A. Personnel: Provide employee(s) (including names for each identified position) of the
applicant/recipient organization, including in-kind costs for those positions whose work
is tied to the grant project.
FEDERAL REQUEST
Position Name Annual
Salary/Rate Level of Effort Cost
(1) Project Director Jane
Doe $32,500 10% $3,250
TOTAL $3,250
JUSTIFICATION: Describe the role and responsibilities of each position.
(1) The Project Director will provide daily oversight of the grant and will be
considered key staff.
Key staff positions require prior approval by SAMHSA after review of credentials
of resume and job description.
FEDERAL REQUEST (enter in Section B column 1 line 6a of form SF424A) $3,250
B. Fringe Benefits: List all components that make up the fringe benefits rate
FEDERAL REQUEST
Component Rate Wage Cost
FICA .0765% $3,250 $249
Workers
Compensation .025% $3,250 $81
Insurance .105% $3,250 $341
36
Component Rate Wage Cost
TOTAL $671
JUSTIFICATION: Fringe reflects current rate for agency.
FEDERAL REQUEST (enter in Section B column 1 line 6b of form SF424A) $671
C. Travel: Explain need for all travel other than that required by this application. Local
travel policies prevail.
FEDERAL REQUEST
Purpose of Travel Location Item Rate Cost
(1) State
Prevention
Conference
City, State Enrollment
Fee
$200/per person x 2
persons $400
Travel to
and From
Conference
300 Miles @ $0.38 $114
Hotel $180/night x 2
persons x 2 nights $720
Per Diem
(meals and
incidentals)
$46/day x 2
persons x 2 days $184
(2) Local travel Mileage 3,000
miles@.38/mile $1,140
TOTAL $2,558
JUSTIFICATION: Describe the purpose of travel and how costs were determined.
(1) Attendance at the annual state substance abuse prevention conference is needed to
enhance our coalition’s capacity to assess substance abuse issues, problems,
consequences and to work effectively to develop, design and implement effective
community based interventions to reduce underage drinking.
(2) Local travel is needed to attend local meetings, project activities, and training
events. Local travel rate is based on organization’s policies/procedures for privately
owned vehicle reimbursement rate. If policy does not have a rate use GSA.
37
FEDERAL REQUEST (enter in Section B column 1 line 6c of form SF424A) $2,558
D. Equipment: an article of tangible, nonexpendable, personal property having a
useful life of more than one year and an acquisition cost of $5,000 or more per unit
(federal definition).
FEDERAL REQUEST – (enter in Section B column 1 line 6d of form SF424A) $ 0
E. Supplies: materials costing less than $5,000 per unit and often having one-time use
FEDERAL REQUEST
Item(s) Rate Cost
General office supplies $50/mo. x 12 mo. $600
Postage $37/mo. x 8 mo. $296
Copies 8000 copies x .10/copy $800
Laptop Computer $900 $900
Printer $300 $300
Projector $900 $900
Display board posters for
Town Hall meeting $200 $200
TOTAL $3,996
JUSTIFICATION: Describe the need and include an adequate justification of how each
cost was estimated.
(1) General office supplies, postage and copies are needed for general operation of the
project.
(2) The laptop computer and printer are needed for both project work and presentations
for Project Director.
(3) The projector is needed for presentations and workshops. All costs were based on
retail values at the time the application was written.
(4) The display board posters are needed for Town Hall educational meetings and
gatherings where the community will be gathered to discuss underage drinking issues
and related action.
38
FEDERAL REQUEST – (enter in Section B column 1 line 6e of form SF424A) $ 3,996
F. Contract: A contractual arrangement to carry out a portion of the programmatic effort
or for the acquisition of routine goods or services under the grant. Such arrangements
may be in the form of consortium agreements or contracts. A consultant is an individual
retained to provide professional advice or services for a fee. The applicant/grantee
must establish written procurement policies and procedures that are consistently
applied. All procurement transactions shall be conducted in a manner to provide to the
maximum extent practical, open and free competition.
COSTS FOR CONTRACTS MUST BE BROKEN DOWN IN DETAIL AND A
NARRATIVE JUSTIFICATION PROVIDED. IF APPLICABLE, NUMBERS OF
CLIENTS SHOULD BE INCLUDED IN THE COSTS.
FEDERAL REQUEST
Name Service Rate Other Cost
(1) Law
Enforcement Training $30/hr x 100 hrs x 3 300 Hours $9,000
(2) Underage
Drinking Expert
Training 2 training x 2 days 4 days $2,000
(3) Jane Smith
Evaluator $40 per hour x 120
hours 12 month period $4,800
(4) Town Hall
Meeting
Coordinator
Community
Event/Town
Hall x 5
meetings
$30 per hour x 208
hours 12 month period $6,240
(5) Community
Activities &
Evidence Based
Intervention
Coordinator
To be
selected
$40 per hour x 203
hours 12 month period $8,120
TOTAL $30,160
39
JUSTIFICATION: Explain the need for each contractual agreement and how it
relates to the overall project.
(1) Law enforcement staff will assist in implementing three intervention efforts; party
patrols, Shoulder Tap initiatives and alcohol retail compliance checks. Each of
their activities will be done three times during the grant year
(2) Two trainings (two days each) will be held for coalition members to increase their
understanding of and skills in developing underage drinking programs,
intervention, activities and policies. Trainers to be determined.
(3) Evaluator is provided by an experienced individual (Ph.D. level) with e xpertise in
substance abuse, research and evaluation, is knowledgeable about the
population of focus, and will report GPRA data.
(4) Town Hall Meeting Coordinator will develop and assist in implementing a plan to
include public education and outreach efforts to engage the community and key
actors about grantee activities, and provision of presentations at public meetings
(five per year) and community events to stakeholders, community civic
organizations, churches, agencies, family groups and schools.
(5) The Community Activities & Evidence Based Intervention Coordinator will
coordinate project services and project activities, including training,
communication, information dissemination and community liaison responsibilities.
*Represents separate/distinct requested funds by cost category
FEDERAL REQUEST – (enter in Section B column 1 line 6f of form SF424A) $30,160
G. Construction: NOT ALLOWED – Leave Section B columns 1& 2 line 6g on SF424A
blank.
H. Other: Expenses not covered in any of the previous budget categories
FEDERAL REQUEST
Item Rate Cost
(1) Rent* $15/sq.ft x 120 sq. feet $1,800
(2) Telephone $100/mo. x 12 mo. $1,200
(3) Brochures,
Materials and
Evidence Based
Resources
$1 x 5,012 brochures, materials,
manuals and resources $5,012
40
Item Rate Cost
TOTAL $8,012
JUSTIFICATION: Break down costs into cost/unit (e.g. cost/square foot). Explain the
use of each item requested.
(1) Office space is included in the indirect cost rate agreement; however, if other rental
costs for service site(s) are necessary for the project, they may be requested as a direct
charge. The rent is calculated by square footage or FTE and reflects SAMHSA’s fair
share of the space.
*If rent is requested (direct or indirect), provide the name of the owner(s) of the
space/facility. If anyone related to the project owns the building which is less
than an arms length arrangement, provide cost of ownership/use allowance
calculations. Additionally, the lease and floor plan (including common areas) is
required for all projects allocating rent costs.
(2) The monthly telephone costs reflect the percent of effort for the personnel listed in
this application for the SAMHSA project only.
(3) Brochures, material and resources will be used at various community functions
(health fairs, town halls and exhibits; etc).
FEDERAL REQUEST – (enter in Section B column 1 line 6h of form SF424A) $8,012
Indirect Cost Rate: Indirect costs can be claimed if your organization has a negotiated
indirect cost rate agreement. It is applied only to direct costs to th e agency as allowed
in the agreement. For information on applying for the indirect rate go to:
http://www.samhsa.gov then click on Grants – Grants Management – Contact
Information – Important Offices at SAMHSA and DHHS - HHS Division of Cost
Allocation – Regional Offices.
FEDERAL REQUEST (enter in Section B column 1 line 6j of form SF424A)
8 percent of personnel and fringe (.08 x $3,921)
$314
==================================================================
TOTAL DIRECT CHARGES:
FEDERAL REQUEST – (enter in Section B column 1 line 6i of form SF424A) $48,533
INDIRECT CHARGES:
41
FEDERAL REQUEST – (enter in Section B column 1 line 6j of form SF424A) $314
TOTALS: (sum of 6i and 6j)
FEDERAL REQUEST – (enter in Section B column 1 line 6k of form SF424A)
$48,847
UNDER THIS SECTION REFLECT OTHER NON-FEDERAL SOURCES OF FUNDING
BY DOLLAR AMOUNT AND NAME OF FUNDER e.g., Applicant, State, Local,
Other, Program Income, etc.
Provide the total proposed Project Period and Federal funding as follows:
Proposed Project Period
a. Start Date: 09/30/2012 b. End Date: 09/29/2016
Category Year 1 Year 2* Year 3* Year 4* Year 5*
Total
Project
Costs
Personnel $3,250 $3,250 $3,250 $3,250 0 $13,000
Fringe $671 $671 $671 $671 0 $2,684
Travel $2,558 $2,558 $2,558 $2,558 0 $10,232
Equipment 0 0 0 0 0 0
Supplies $3,996 $3,996 $3,996 $3,996 0 $15,984
Contractual $30,160 $30,160 $30,160 $30,160 0 $120,640
Other $8,012 $8,012 $8,012 $8,012 0 $32,048
Total Direct
Charges $48,647 $48,647 $48,647 $48,647 0 $194,588
Indirect
Charges $314 $314 $314 $314 0 $1256
Total Project
Costs $48,847 $48,847 $48,847 $48,847 0 $195,844
42
BUDGET SUMMARY (should include future years and projected total)
TOTAL PROJECT COSTS: Sum of Total Direct Costs and Indirect Costs
FEDERAL REQUEST (enter in Section B column 1 line 6k of form SF424A) $48,847
*FOR REQUESTED FUTURE YEARS:
1. Please justify and explain any changes to the budget that differs from the reflected
amounts reported in the 01 Year Budget Summary.
2. If a cost of living adjustment (COLA) is included in future years, provide your
organization’s personnel policy and procedures that state all employees within the
organization will receive a COLA.
43
Appendix G – Background Information
According to the Surgeon General’s Call to Action to Prevent and Reduce Underage
Drinking available at
http://www.surgeongeneral.gov/topics/underagedrinking/calltoaction.pdf, cultural change
is necessary to prevent and reduce underage drinking. The Call to Action points out
that culture is complex, however, and changing it requires sustained efforts on the part
of multiple segments of society. In addition, the culture around underage drinking is
especially difficult to change because alcohol use is embedded in American society.
The responsibility for preventing and reducing underage alcohol use belongs to
everyone in the United States. Successfully addres sing the public health problem of
underage drinking will require cooperation, coordination and collaboration among
various community sectors including local government, criminal justice, education,
business, religious or fraternal organizations, civic or volunteer organizations,
healthcare professionals, media, parents, youth, and other organizations involved in
reducing substance abuse.
Prevention research indicates that community organizations are best suited to
implement environmental-level strategies which address the broader culture and context
within which decisions are made about underage drinking, and to create wide -scale
community change, rather than implementing strategies that are designed to effect
individual level change. Therefore, grantees must focus on environmental strategies for
preventing and reducing underage drinking, and grantees and member organizations
should continue to seek other funding sources to implement individual (non-
environmental) change strategies that are a part of a comprehensive community plan.
In fact, the promotion of positive mental health and prevention of mental and substance
use disorders are key parts of the Substance Abuse and Mental Health Services
Administration’s (SAMHSA’s) mission to reduce the impact of substance abuse and
mental illnesses on America’s communities. SAMHSA plans to promote health by
placing a national priority on healthy mental, emotional, and behavioral development,
especially in children, youth, and young adults.
44
Appendix H – Disclosure of Drug Free Communities Grant
1. Please check the line identifying the category that represents your organization:
• Former DFC Recipient ______
• Current DFC Recipient ______
• Former STOP ACT Grant Recipient Yes _____ No_____,
If Yes—Grant Number SPO __ __ __ __ __
2. Identify the name of fiscal agent (a) and name of the coalition (b) funded by the
DFC grant.
a)
b) _________________________________________________________________
3. If the DFC grant award is/was issued to a funding organization o r agency
representing the organization, identify the name of the agency to which the DFC
is or was awarded.
4. Please check the line identifying which of the following represents the DFC
funding for the organization.
• DFC Grant funded through Department of Justice _____
• DFC Grant funded through Department of Justice and SAMHSA _____
• DFC Grant funded through SAMHSA ____
5. Provide the grant number(s) that correspond with the information provided
above.
6. Provide the years of DFC funding (e.g., 2000-2005) awarded to the organization.
________________________________________________________________
45
Appendix I – Addressing Behavioral Health Disparities
In April 2011, the Department of Health and Human Services (HHS) released its Action
Plan to Reduce Racial and Ethnic Health Disparities. This plan outlines goals and
actions HHS agencies, including SAMHSA, will take to reduce health disparities among
racial and ethnic minorities. Agencies are required to continuously assess the impact of
their policies and programs on health disparities. The Action Plan is available at:
http://minorityhealth.hhs.gov/npa/files/Plans/HHS/HHS_Plan_complete.pdf .
The number one Secretarial priority in the Action Plan is to: “Assess and heighten the
impact of all HHS policies, programs, processes, and resource decisions to
reduce health disparities. HHS leadership will assure that: Program grantees, as
applicable, will be required to submit health disparity impact statements as part of their
grant applications. Such statements can inform future HHS investments and policy
goals, and in some instances, could be used to score grant applications if underlying
program authority permits.”
To accomplish this, SAMHSA expects grantees to utilize their data to (1) identifying
subpopulations (i.e., racial, ethnic, sexual/gender minority groups) vulnerable to health
disparities and (2) implement strategies to decrease the differences in access, service
use, and outcomes among those subpopulations. A strategy for addressing health
disparities is use of the National Standards for Culturally and Linguistically Appropriate
Services (CLAS) in Health and Health Care.
Definition of Health Disparities:
Healthy People 2020 defines a health disparity as a “particular type of health difference
that is closely linked with social, economic, and/or environmental disadvantage. Health
disparities adversely affect groups of people who have systematically experienced
greater obstacles to health based on their racial or ethnic group; religion; socioeconomic
status; gender; age; mental health; cognitive, sensory, or physical disability; sexual
orientation or gender identity; geographic location; or other characteristics historically
linked to discrimination or exclusion.”
Subpopulations
SAMHSA grant applicants are routinely asked to define the population they intend to
serve given the focus of a particular grant program (e.g., adults with serious mental
illness [SMI] at risk for chronic health conditions; young adults engaged in underage
drinking; populations at risk for contracting HIV/AIDS, etc.). Within these populations of
focus are subpopulations that may have disparate access to, use of, or outcomes from
provided services. These disparities may be the result of differences in language,
beliefs, norms, values, and/or socioeconomic factors specific to that subpopulation. For
instance, Latino adults with SMI may be at heightened risk for metabolic disorder due to
lack of appropriate in-language primary care services; Native American youth may have
an increased incidence of underage drinking due to coping patterns related to historical
trauma within the Native American community; and African American women may be at
46
greater risk for contracting HIV/AIDS due to lack of access to education on risky sexual
behaviors in urban low-income communities. While these factors might not be
pervasive among the general population served by a grantee, they may be predominant
among subpopulations or groups vulnerable to disparities. It is imperative that grantees
understand who is being served within their community in order to provide care that will
yield positive outcomes, per the focus of that grant. In order for organizations to attend
to the potentially disparate impact of their grant efforts, applicants are asked to address
access, use and outcomes for subpopulations, which can be defined by the following
factors:
By race
By ethnicity
By gender (including transgender), as appropriate
By sexual orientation (i.e., lesbian, gay, bisexual), as appropriate
HHS published final standards for data collection on race, ethnicity, sex, primary
language and disability status, as required by Section 4302 of the Affordable Care Act in
October 2011,
http://www.minorityhealth.hhs.gov/templates/browse.aspx?lvl=2&lvlid=208 .
The ability to address the quality of care provided to subpopulations served within
SAMHSA’s grant programs is enhanced by programmatic alignment with the federal
CLAS standards.
National Standards for Culturally and Linguistically Appropriate Services (CLAS)
in Health and Health Care (CLAS)
The National CLAS standards were initially published in the Federal Register on
December 22, 2000. Culturally and linguistically appropriate health care and services,
broadly defined as care and services that are respectful of and responsive to the
cultural and linguistic needs of all individuals, is increasingly seen as e ssential to
reducing disparities and improving health care quality. The National CLAS Standards
have served as catalyst and conduit for the evolution of the field of cultural and linguistic
competency over the course of the last 12 years. In recognition of these changes in the
field, the HHS Office of Minority Health undertook the National CLAS Standards
Enhancement Initiative from 2010 to 2012.
The enhanced National CLAS Standards seek to set a new bar in improving the quality
of health to our nation’s ever diversifying communities. Enhancements to the National
CLAS Standards include the broadening of the definitions of health and culture, as well
as an increased focus on institutional governance and leadership. The enhanced
National Standards for Culturally and Linguistically Appropriate Services in Health and
Health Care are comprised of 15 Standards that provide a blueprint for health and
health care organizations to implement culturally and linguistically appropriate services
47
that will advance health equity, improve quality, and help eliminate health care
disparities.
You can learn more about the CLAS mandates, guidelines, and recommendations at:
http://www.ThinkCulturalHealth.hhs.gov