HomeMy WebLinkAbout12.23.19 Email from Scott Kennelly - Butte County Behavioral Health Pursuing an Assisted Outpatient Treatment Grant (Laura's Law)
Department of Health and Human Services
Substance Abuse and Mental Health Services
Administration
FY 2020 Assisted Outpatient Treatment Program for
Individuals with Serious Mental Illness
(Short Title: Assisted Outpatient Treatment \[AOT\])
(Initial Announcement)
Funding Opportunity Announcement (FOA) No. SM-20-006
Catalogue of Federal Domestic Assistance (CFDA) No.: 93.997
Key Dates:
Application Deadline Applications are due by January 24, 2020.
Intergovernmental Review Applicants must comply with E.O. 12372 if their state(s)
(E.O. 12372) participate(s). Review process recommendations from
the State Single Point of Contact (SPOC) are due no later
than 60 days after application deadline.
Public Health System Applicants must send the PHSIS to appropriate state and
Impact Statement local health agencies by the application deadline.
(PHSIS)/Single State Comments from the Single State Agency are due no later
Agency Coordination than 60 days after the application deadline.
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Table of Contents
EXECUTIVE SUMMARY .................................................................................................. 4
I. PROGRAM DESCRIPTION .................................................................................... 6
1. PURPOSE ....................................................................................................... 6
II. FEDERAL AWARD INFORMATION ..................................................................... 11
III. ELIGIBILITY INFORMATION ................................................................................ 11
1. ELIGIBLE APPLICANTS ............................................................................... 11
2. COST SHARING and MATCHING REQUIREMENTS .................................. 11
3. EVIDENCE OF EXPERIENCE AND CREDENTIALS ................................... 12
IV. APPLICATION AND SUBMISSION INFORMATION ............................................ 13
1. REQUIRED APPLICATION COMPONENTS: ............................................... 13
2. APPLICATION SUBMISSION REQUIREMENTS ......................................... 15
3. FUNDING LIMITATIONS/RESTRICTIONS ................................................... 15
4. INTERGOVERNMENTAL REVIEW (E.O. 12372) REQUIREMENTS ........... 16
V. APPLICATION REVIEW INFORMATION ............................................................. 16
1. EVALUATION CRITERIA .............................................................................. 16
2. REVIEW AND SELECTION PROCESS ........................................................ 18
1. REPORTING REQUIREMENTS ................................................................... 19
2. FEDERAL AWARD NOTICES .................................................................... 20
VII. AGENCY CONTACTS .......................................................................................... 20
Appendix A Application and Submission Requirements .............................................. 21
1. GET REGISTERED ...................................................................................... 21
2. APPLICATION COMPONENTS .................................................................... 24
3. WRITE AND COMPLETE APPLICATION ..................................................... 24
4. SUBMIT APPLICATION ................................................................................ 27
5. AFTER SUBMISSION ................................................................................... 29
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Appendix B- Formatting Requirements and System Validation ...................................... 32
1. SAMHSA FORMATTING REQUIREMENTS ................................................. 32
2. GRANTS.GOV FORMATTING AND VALIDATION REQUIREMENTS ......... 32
3. eRA COMMONS FORMATTING AND VALIDATION REQUIREMENTS ...... 33
Appendix C Statement of Assurance ........................................................................... 37
Appendix D Confidentiality and SAMHSA Participant Protection/Human Subjects
Guidelines .......................................................................................................... 38
Appendix E Developing Goals and Measurable Objectives ......................................... 41
Appendix F Developing the Plan for Data Collection, Performance Assessment, and
Quality Improvement .......................................................................................... 44
Appendix G Biographical Sketches and Position Descriptions .................................... 48
Appendix H Addressing Behavioral Health Disparities ................................................ 49
Appendix I Standard Funding Restrictions .................................................................. 51
Appendix J Intergovernmental Review (E.O. 12372) Requirements ............................ 53
Appendix K Administrative and National Policy Requirements .................................... 55
Appendix L Sample Budget and Justification............................................................... 62
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The Substance Abuse and Mental Health Services Administration (SAMHSA), Center
for Mental Health Services (CMHS), is accepting applications for fiscal year (FY) 2020
Assisted Outpatient Treatment Grant Program for Individuals with Serious Mental Illness
(Short title: Assisted Outpatient Treatment \[AOT\]). This four-year program is intended
to implement and evaluate new AOT programs and identify evidence-based practices in
order to reduce the incidence and duration of psychiatric hospitalization, homelessness,
incarcerations, and interactions with the criminal justice system while improving the
health and social outcomes of individuals with a serious mental illness (SMI). This
program is designed to work with courts to allow these individuals to obtain treatment
while continuing to live in the community and their homes.
Funding Opportunity Title: Assisted Outpatient Treatment Program
for Individuals with Serious Mental Illness
(Short Title: Assisted Outpatient Treatment
\[AOT\])
Funding Opportunity Number: SM-20-006
Due Date for Applications: January 24, 2020
Estimated Total Available Funding: $13,398,000
Estimated Number of Awards: 14 awards
Estimated Award Amount: Up to $1,000,000 per year
Cost Sharing/Match Required: No
Anticipated Project Start Date: 7/30/2020
Length of Project Period: Up to four years
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Eligible Applicants: Eligible Applicants are: states, counties,
cities, mental health systems (including
state mental health authorities), mental
health courts, or any other entity with
authority under the law of the state in
which the applicant is located to
implement, monitor, and oversee AOT
programs. Applicants must operate in
jurisdictions that have in place an existing,
sufficient array of services for individuals
with serious mental illness (SMI), such as
Assertive Community Treatment (ACT),
mobile crisis teams, supportive housing,
supported employment, peer supports,
case management, outpatient
psychotherapy services, medication
management, and trauma informed care.
\[See Section III-1 for complete eligibility
information.\]
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Be sure to check the SAMHSA website periodically for any updates on this
program.
All applicants MUST
application. This process takes up to six weeks. If you believe you are interested
in applying for this opportunity, you MUST start the registration process
immediately. Do not wait to start this process.
WARNING: BY THE DEADLINE FOR THIS FOA YOU MUST HAVE
SUCCESSFULLY COMPLETED THE FOLLOWING TO SUBMIT AN APPLICATION:
The applicant organization MUST be ;
AND
The project director MUST have an active eRA Commons account (with
the PI role) affiliated with the organization in eRA Commons.
No exceptions will be made.
Applicants also must register with the System for Award Management (SAM) and
Grants.gov (see Appendix A for all registration requirements).
1. PURPOSE
The Substance Abuse and Mental Health Services Administration (SAMHSA), Center
for Mental Health Services (CMHS) is accepting applications for fiscal year (FY) 2020
Assisted Outpatient Treatment Grant Program for Individuals with Serious Mental Illness
(Short title: Assisted Outpatient Treatment \[AOT\]). This four-year program is intended
to implement and evaluate new AOT programs and identify evidence-based practices in
order to reduce the incidence and duration of psychiatric hospitalization, homelessness,
incarcerations, and interactions with the criminal justice system while improving the
health and social outcomes of individuals with a serious mental illness (SMI). This
program is designed to work with courts, to allow these individuals to obtain treatment
while continuing to live in the community and their homes.
This program was established by the Protecting Access to Medicare Act of 2014
(PAMA), Section 224, that was enacted into law on April 1, 2014. Within the Act, AOT
is a patient receives while
living in a community under the terms of a law authorizing a state or local court to order
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Grants will be awarded only to applicants that have not previously implemented an AOT
program.
AOT law, the eligible applicant has not fully implemented AOT approaches through the
courts within the jurisdiction that they are operating in.
AOT (also known as involuntary outpatient commitment, conditional release, and other
terms) involves petitioning local courts to order individuals to enter and remain in
treatment within the community for a specified period of time. AOT is a recognized
evidence-based practice and is intended to facilitate the delivery of community-based
outpatient mental disorder treatment services for individuals with SMI that are under
court order.
AOT grants are authorized under Section 224 of PAMA.
Key Personnel:
Key personnel are staff members who must be part of the project regardless of whether
or not they receive a salary or compensation from the project. These staff members
must make a substantial contribution to the execution of the project.
The key staff for this program will be the Project Director and Evaluator. These
positions require prior approval by SAMHSA after review of credentials of staff
and job descriptions. The level of effort for the Project Director should be at least
.75 FTE and the Evaluator should be at least .5 FTE.
Required Activities:
The AOT grant program SAMHSA
intends that its services grants result in the delivery of services as soon as possible
after award. Service delivery should begin by the fourth month of the project at the
latest.
Recipients funded with this grant will be required to:
Demonstrate and utilize existing relationships with local participants in the civil
commitment process including law enforcement, families, judges and/or
administrative law judges/magistrates and special justices that preside over civil
commitment processes on AOT, hospitals, inpatient settings, housing services
and peer recovery support services. Build a coalition of local stakeholders in the
civil commitment process so that local issues and barriers regarding the
implementation of AOT can be addressed. (Letters of Commitment from the
stakeholders must be submitted in Attachment 1).
Evaluate the psychiatric, social, and medical needs of individuals participating in
the program.
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Prepare and execute a treatment plan that includes evidence-based mental and,
when indicated, substance use disorder services to those living with SMI
including the delivery of outpatient and intensive outpatient services with a
multidisciplinary team of clinical experts.
Provide case management services that support the treatment plan, including
ensuring that appropriate referrals are made to medical and home- and
community-based social service and recovery support service providers.
Form partnerships between the behavioral health entities that provide an array of
evidence-based treatment and the criminal justice system, including the courts.
Evaluate the process for implementing AOT to ensure consistency with the
Provide community recovery support services, including educational/training
programs aimed at assisting with employment, other employment services,
housing linkages, peer recovery support, and other related services.
Allowable Activities:
Engage families and natural supports in the support process, including by
providing family psycho-education services.
Collaborate and coordinate with area hospitals to ensure appropriate discharge
planning and follow-up for individuals participating in the AOT program.
Other Expectations:
If your application is funded, you will be expected to develop a behavioral health
disparities impact statement no later than 60 days after your award. (See Appendix H,
Addressing Behavioral Health Disparities).
Recipients must utilize third party and other revenue realized from provision of services
to the extent possible and use SAMHSA grant funds only for services to individuals who
are not covered by public or commercial health insurance programs, individuals for
whom coverage has been formally determined to be unaffordable, or for services that
ar plan. Recipients are also
expected to facilitate the health insurance application and enrollment process for eligible
uninsured clients. Recipients should also consider other systems from which a potential
service recipient may be eligible for services (for example, the Veterans Health
Administration or senior services), if appropriate for and desired by that individual to
meet his/her needs. In addition, recipients are required to implement policies and
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procedures that ensure other sources of funding are utilized first when available for that
individual.
SAMHSA encourages all recipients to address the behavioral health needs of returning
veterans and their families in designing and developing their programs and to consider
prioritizing this population for services, where appropriate. SAMHSA will encourage its
recipients to utilize and provide technical assistance for service members, veterans and
their families. This includes efforts to engage their staff in cultural competency training
courses and to collaborate with key organizations in their local communities that are
focused on serving this population.
1.1 Using Evidence-Based Practices (EBPs)
grants are intended to fund services or practices that have a
demonstrated evidence base and that are appropriate for the population(s) of focus. An
evidence-based practice (EBP) refers to approaches to prevention or treatment that are
validated by some form of documented research evidence. Both researchers and
practitioners recognize that EBPs are essential to improving the effectiveness of
treatment and prevention services in the behavioral health field.
SAMHSA recognizes there is a strong evidence base for AOT. In your application, you
will describe how you will implement this approach in an evidence-based manner.
Applicants are also encouraged to visit the SAMHSA Evidence-Based Program
Resource Center (www.samhsa.gov/ebp-resource-center).
1.2 Data Collection and Performance Measurement
All SAMHSA recipients are required to collect and report certain data so that SAMHSA
can meet its obligations under the Government Performance and Results (GPRA)
Modernization Act of 2010. In addition, Section 224 of the Protecting Access to
Medicare Act that authorized the demonstration program calls for evaluations of the
impact of these grants on cost savings, public health outcomes such as mortality,
suicide, substance abuse, utilization of services (including hospitalization), rates of
incarceration and homelessness among participants, and consumer and family
satisfaction with the program. You must document your plan for data collection and
reporting in Section E: Data Collection and Performance Measurement.
Accountability and Reporting System (SPARS). SPARS access, guidance, and
technical assistance will be provided upon award. Data for the above performance
measures will be reported on a quarterly basis. Recipients will be expected to complete
SPARS training within three months after award and enter annual goals data into
SPARS within four months after award.
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Recipients are required to report performance on measures such as the following:
The number of organizational changes made to support improvement of mental
health-related practices/activities that are consistent with the goals of the grant.
The number of organizations collaborating, coordinating, and/or sharing
resources with other organizations as a result of the grant.
The number of people receiving evidence-based mental health-related services
as a result of the grant.
Recipients will also be required to report client-level data at intake to services, every six
months thereafter, and at discharge from services. Data elements will include, but not
be limited to diagnoses, services received, criminal justice status, hospitalizations,
employment, mental health functioning, social connectedness, and substance use.
The collection of these data enables SAMHSA to report on key outcome measures
relating to the grant program. In addition to these outcomes, data collected by recipients
ies in
access, service use, and outcomes nationwide.
Justification.
1.3 Project Performance Assessment
Recipients must periodically review the performance data they report to SAMHSA (as
required above), assess their progress, and use this information to improve the
management of their grant project. Recipients are also required to report on their
progress addressing the goals and objectives identified in B.1 of the application
narrative.
The project performance assessment should be designed to help 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. The project performance
assessments should also be used to determine whether your project is having/will have
the intended impact on behavioral health disparities.
You will be required to submit an annual report on the progress you have achieved,
barriers encountered, and efforts to overcome these barriers. Refer to Section VI.1 for
any program specific information on the frequency of reporting and any additional
requirements.
Note: See Appendix E and Appendix F for more information on responding to
Sections I-1.2 and 1.3.
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No more than 20 percent of the total grant award may be used for data collection,
performance measurement, performance assessment, and evaluation.
1.4 Grantee Meetings
All grantee meetings will be held virtually. Grantees are expected to participate fully in
all meetings. If SAMHSA elects to hold an in-person meeting, budget revisions will be
permitted.
Funding Mechanism: Grant
Estimated Total Available Funding: $13,398,000
Estimated Number of Awards: 14
Estimated Award Amount: Up to $1,000,000/year
Length of Project Period: Up to four years
Proposed budgets cannot exceed $1,000,000 in total costs (direct and indirect) in
any year of the proposed project. Annual continuation awards will depend on the
availability of funds, recipient 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 2020 appropriation. Applicants should
be aware that funding amounts are subject to the availability of funds.
1. ELIGIBLE APPLICANTS
Eligible applicants are: states, counties, cities, mental health systems (including state
mental health authorities), mental health courts, or any other entity with authority under
the law of the state in which the applicant is located to implement, monitor, and oversee
AOT programs.
Applicants must operate in jurisdictions that have in place an existing, sufficient array of
services for people with SMI such as ACT, mobile crisis teams, supportive housing,
supported employment, peer supports, case management, outpatient psychotherapy
services, medication management, and trauma-informed care.
2. COST SHARING and MATCHING REQUIREMENTS
Cost sharing/match is not required in this program.
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3. EVIDENCE OF EXPERIENCE AND CREDENTIALS
SAMHSA believes that only existing, experienced, and appropriately credentialed
organizations with demonstrated infrastructure and expertise will be able to provide
required services quickly and effectively. You must meet three additional requirements
related to the provision of services.
The three requirements are:
A provider organization for direct client (e.g., substance abuse treatment,
substance abuse prevention, mental health) home- and community-based
services appropriate to the grant must be involved in the proposed project. The
provider may be the applicant or another organization committed to the project.
More than one provider organization may be involved;
Each mental health/substance abuse treatment provider organization must
have at least two years of experience (as of the due date of the application)
providing relevant services, including mental health case management (official
documents must establish that the organization has provided relevant services
for the last two years); and
Each mental health/substance abuse treatment provider organization must
comply with all applicable local (city, county) and state licensing, accreditation
and certification requirements, as of the due date of the application.
\[Note: The above requirements apply to all service provider organizations. A
license from an individual clinician will not be accepted in lieu of a provider
Documentation of accreditation will not be accepted in
. Eligible tribes and tribal organization mental
health/substance abuse treatment providers must comply with all applicable
tribal licensing, accreditation, and certification requirements, as of the due date
of the application. See Appendix C, Statement of Assurance, in this document.\]
Follo
Government Project Officer (GPO) may contact you to request that additional
documentation be sent by email or uploaded through eRA Commons, or to verify that
the documentation you submitted is complete. If the GPO does not receive this
documentation within the time specified, your application will not be considered
for an award.
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1. REQUIRED APPLICATION COMPONENTS:
SF-424 Fill out all Sections of the SF-424. In Line #4 (i.e., Applicant
Identified), input the Commons Username of the PD/PI. In Line #17 input the
following information: (Proposed Project Date: a. Start Date: 7/30/2020; b.
End Date: 7/29/2024).
Budget Information Form Use SF-424A. Fill out all Sections of the SF-
424A.
o Section A Budget Summary: Use the first row only (Line 1) to report the
total federal funds (e) and non-federal funds (f) requested for the first
year of your project only.
o Section B Budget Categories: Use the first column only (Column 1) to
report the budget category breakouts (Lines 6a through 6h) and indirect
charges (Line 6j) for the total funding requested for the first year of your
project only.
o Section C Leave blank if cost sharing/match is not required for this
program. Complete if cost sharing/match is required.
o Section D Forecasted Cash Needs: Input the total funds requested,
broken down by quarter, only for Year 1 of the project period. Use the first
row for federal funds and the second row for non-federal funds.
o Section E Budget Estimates of Federal Funds Needed for Balance of
the Project: Input the total funds requested for the out years (e.g., Year 2,
Year 3, Year 4). For example, if you are requesting funds for four years in
total, you would input information in columns b, c, and d (i.e., 3 out years).
A sample budget form and justification is included in Appendix L of this
document. It is highly recommended that you use this sample budget
format. This will expedite review of your application.
Project Narrative and Supporting Documentation The Project Narrative
describes your project. It consists of Sections A through E. Sections A-E
together may not be longer than 10 pages. (Remember that if your Project
Narrative starts on page 5 and ends on page 15, it is 11 pages long, not 10
pages.) More detailed instructions for completing each section of the Project
Narrative are provided in Section V Application Review Information.
The Supporting Documentation section provides additional information
necessary for the review of your application. This supporting documentation
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must be attached to your application using the Other Attachments Form if
applying with Grants.gov Workspace or Other Narrative Attachments if
applying with eRA ASSIST. Additional instructions for completing these
sections and page limitations for Biographical Sketches/Position Descriptions
are included in Appendix A: 3.1 Required Application Components, and
Appendix G, Biographical Sketches and Position Descriptions. Supporting
documentation should be submitted in black and white (no color).
Budget Justification and Narrative The budget justification and narrative
must be submitted as a file entitled BNF (Budget Narrative Form) when you
submit your application into Grants.gov. (See Appendix A: 3.1 Required
Application Components.)
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 30 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. (Use the Other
Attachments Form if applying with Grants.gov Workspace or Other Narrative
Attachments if applying with eRA ASSIST.)
o Attachment 1: (1) Identification of at least one experienced, licensed
mental health/substance abuse home- and community-based treatment
provider organization; (2) a list of all direct home- and community-based
service provider organizations that have agreed to participate in the
proposed project, including the applicant agency, if it is a treatment or
prevention service provider organization; (3) letters of commitment from
these direct service provider organizations; (4) letters of commitment from
local stakeholders in the civil commitment process; (Do not include any
letters of support. Reviewers will not consider them if you do.) and
(5) the Statement of Assurance (Appendix C) signed by the authorized
representative of the applicant organization identified on the first page
(SF-424) of the application, that assures SAMHSA that all listed providers
meet the two-year experience requirement, are appropriately licensed,
accredited, and certified, and that if the application is within the funding
range for an award, the applicant will send the GPO the required
documentation within the specified time.
o Attachment 2: 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
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instrument(s) or interview protocol(s) is/are not standardized, you must
include a copy in Attachment 2.
o Attachment 3: Sample Consent Forms
o Attachment 4: Letter to the SSA (if applicable; see: Appendix J,
Intergovernmental Review (E.O. 12372) Requirements). This Attachment
can be deleted for FOAs with eligibility limited to States and tribes.
o Attachment 5: Response to Appendix D - Confidentiality and SAMHSA
Participant Protection/Human Subjects Guidelines. This is a required
attachment.
2. APPLICATION SUBMISSION REQUIREMENTS
Applications are due by 11:59 PM (Eastern Time) on January 24, 2020.
All applicants MUST
application. This process takes up to six weeks. If you believe you are
interested in applying for this opportunity, you MUST start the registration
process immediately. Do not wait to start this process.
WARNING: BY THE DEADLINE FOR THIS FOA YOU MUST HAVE
SUCCESSFULLY COMPLETED THE FOLLOWING TO SUBMIT AN
APPLICATION:
The applicant organization MUST be ;
AND
The project director MUST have an active eRA Commons account (with
the PI role) affiliated with the organization in eRA Commons.
No exceptions will be made.
Applicants also must register with the System for Award Management (SAM) and
Grants.gov (see Appendix A for all registration requirements).
3. FUNDING LIMITATIONS/RESTRICTIONS
Applicants responding to this announcement may request funding for a project period of
up to four years, at no more than $1,000,000 per year. Awards to support projects
beyond the first budget year will be contingent upon Congressional appropriation,
continued funding would be in the best interest of the Federal Government.
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The funding restrictions for this project are as follows:
No more than 20 percent of the total grant award may be used for data collection,
performance measurement, and performance assessment, including incentives
for participating in the required data collection follow-up.
Be sure to identify these expenses in your proposed budget.
SAMHSA recipients must also
restrictions, which are included in Appendix I, Standard Funding Restrictions.
4. INTERGOVERNMENTAL REVIEW (E.O. 12372) REQUIREMENTS
All SAMHSA grant programs are 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 J for additional information on these requirements as well as
requirements for the Public Health System Impact Statement (PHSIS).
1. EVALUATION CRITERIA
The Project Narrative describes what you intend to do with your project and includes the
Evaluation Criteria in Sections A-E below. Your application will be reviewed and scored
according to the quality of your response to the requirements in Sections A-E.
In developing the Project Narrative section of your application, use these instructions,
which have been tailored to this program.
The Project Narrative (Sections A-E) together may be no longer than 10 pages.
You must use the five sections/headings listed below in developing your Project
Narrative. You must indicate the Section letter and number in your
response, i.e., --
question. You may not combine two or more questions or refer to another
section of the Project Narrative in your response, such as indicating that the
response for B.2 is in C.1. Only information included in the appropriate
numbered question will be considered by reviewers. Your application will be
scored according to how well you address the requirements for each section of
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
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scoring weights are not assigned to individual questions, each question is
assessed in deriving the overall Section score.
Section A: Population of Focus and Statement of Need (20 points
approximately 1 page)
1. Identify the population(s) of focus and the geographic catchment area where
services will be delivered.
2. Describe the extent of the problem in the catchment area, including service gaps,
and document the extent of the need for AOT programming (i.e., current prevalence
rates or incidence data) for the population(s) of focus identified in your response to
A.1. Identify the source of the data.
Section B: Proposed Implementation Approach (30 points approximately 5
pages)
1. Describe the goals and measurable objectives (see Appendix E) of the proposed
project and align them with the Statement of Need described in A.2. State the
unduplicated number of individuals you propose to serve (annually and over the
entire project period) with grant funds.
2. Describe how you will implement the Required Activities as stated in Section I.
3. Provide a chart or graph depicting a realistic timeline for the entire four years of the
project period showing dates, key activities, and responsible staff. These key
activities must include the requirements outlined in Section I. NOTE: Be sure to
show that the project can be implemented and service delivery can begin as soon as
possible and no later than four months after grant award. The timeline must be part
of the Project Narrative. It must not be placed in an attachment.
Section C: Proposed Evidence-Based Service/Practice (25 points approximately
2 pages)
1. Describe how you will implement the evidenced-base practice of AOT with fidelity.
Include details of your implementation approach and the relationships you will utilize
to ensure a comprehensive system.
Section D: Staff and Organizational Experience (15 points approximately 1
page)
1. Describe the experience of your organization with similar projects and/or providing
services to the population(s) of focus for this FOA. Identify other organization(s) that
you will collaborate with in the proposed project. Describe their experience providing
services to the population(s) of focus, and their specific roles and responsibilities for
this project. If applicable, Letters of Commitment from each partner must be
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included in Attachment 1 of your application. If you are not partnering with any other
organization (s), indicate so in your response. In addition, identify the local
stakeholders in the civil commitment process that will be involved in the project and
provide Letters of Commitment from these stakeholders in Attachment 1.
2. Provide a complete list of staff positions for the project, including the Key Personnel
(Project Director and Evaluator) and other significant personnel. Describe the role of
each, their level of effort, and qualifications, to include their experience providing
services to the population(s) of focus and familiarity with their culture(s) and
language(s).
Section E: Data Collection and Performance Measurement (10 points
approximately 1 page)
1. Provide specific information about how you will collect the required data for this
program and how such data will be utilized to manage, monitor and enhance the
program.
Budget Justification, Existing Resources, Other Support (other federal and non-
federal sources)
You must provide a narrative justification of the items included in your proposed budget,
as well as a description of existing resources and other support you expect to receive
for the proposed project. Other support is defined as funds or resources, whether
federal, non-federal or institutional, in direct support of activities through 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.
An illustration of a budget and narrative justification is included in Appendix L: Sample
Budget and Justification. It is highly recommended that you use this sample budget
format. Your budget must reflect the funding limitations/restrictions specified in Section
IV-3. Specifically identify the items associated with these costs in your budget.
1. REQUIRED SUPPORTING DOCUMENTATION
Biographical Sketches and Position Descriptions
See Appendix G for information on completing biographical sketches and job
descriptions.
2. REVIEW AND SELECTION PROCESS
SAMHSA applications are peer-reviewed according to the evaluation criteria listed
above.
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Decisions to fund a grant are based on:
The strengths and weaknesses of the application as identified by peer
reviewers. The results of the peer review are of an advisory nature. The
program office and approving official make the final determination for funding;
When the individual award is over $250,000, approval by the CMHS National
Advisory Council;
Availability of funds;
Equitable distribution of awards in terms of geography (including urban, rural
and remote settings) and balance among populations of focus and program
size;
Submission of any required documentation that must be submitted prior to
making an award; and
In accordance with 45 CFR 75.212, SAMHSA reserves the right not to make
an award to an entity if that entity does not meet the minimum qualification
standards as described in section 75.205(a)(2). If SAMHSA chooses not to
award a fundable application, SAMHSA must report that determination to the
designated integrity and performance system accessible through the System
for Award Management (SAM) \[currently the Federal Awardee Performance
and Integrity Information System (FAPIIS)\].
VI. FEDERAL AWARD ADMINISTRATION INFORMATION
1. REPORTING REQUIREMENTS
Program Specific:
Recipients must comply with the data reporting requirements listed in Section I-1.2 and
Section I-1.3.
Data Collection Refer to Section I-1.2 for data collection schedule.
Progress Reports recipients will be expected to submit an annual report.
Grants Management:
Successful applicants must also comply with the following standard grants management
reporting and schedules at https://www.samhsa.gov/grants/grants-
management/reporting-requirements, unless otherwise noted in the FOA or Notice of
Award.
19
2. FEDERAL AWARD NOTICES
will describe
the process for how you can view the general results of the review of your application,
including the score that your application received.
If the application is approved for funding, a Notice of Award (NoA) will be emailed to the
following: 1) the email address identified on the HHS Checklist
form submitted with the application; and 2) the email associated with the Commons
account for the Project Director. Hard copies of the NoA will no longer be mailed via
postal service. The NoA is the sole obligating document that allows you to receive
federal funding for work on the grant project. Information about what is included in the
NoA can be found at: https://www.samhsa.gov/grants/grants-management/notice-
award-noa.
If the application is not funded
eRA Commons.
For program related questions contact:
David Barry
Center for Mental Health Services
Substance Abuse and Mental Health Services Administration
David.Barry@samhsa.hhs.gov
(240) 276-0116
For fiscal/budget related questions contact:
Corey Sullivan
Office of Financial Resources, Division of Grants Management
Substance Abuse and Mental Health Services Administration
(240) 276-1213 or (240) 276-1412
FOACMHS@samhsa.hhs.gov
For grant review process and application status questions contact:
Gabriela Porter
Review Administrator
Office of Financial Resources, Division of Grant Review
Substance Abuse and Mental Health Services Administration
(240) 276-1675
Gabriela.Porter@samhsa.hhs.gov
20
WARNING: If your organization is not registered and you do not have an active
eRA Commons PD/PI account by the deadline, the application will NOT be
accepted. No exceptions will be made.
bmit an
application. This process takes up to six weeks. If you believe you are interested
in applying for this opportunity, you MUST start the registration process
immediately. Do not wait to start this process.
Applicants also must register with the System for Award Management (SAM) and
Grants.gov (see below for all registration requirements).
1. GET REGISTERED
You are required to complete four (4) registration processes:
1. Dun & Bradstreet Data Universal Numbering System (to obtain a DUNS
number);
2. System for Award Management (SAM);
3. Grants.gov; and
4. eRA Commons.
If this is your first time submitting an application, you must complete all four registration
processes. If you have already completed registrations for DUNS, SAM, and
Grants.gov, you need to ensure that your accounts are still active, and then register in
eRA Commons. If you have not registered in Grants.gov, the registration for
Grants.gov and eRA Commons can be done concurrently. You must register in eRA
Commons and receive a Commons Username in order to have access to electronic
submission, receive notifications on the status of your application, and retrieve grant
information. If your organization is not registered and does not have an active eRA
Commons PI account by the deadline, the application will not be accepted.
The organization must maintain an active and up-to-date SAM and DUNS registrations
in order for SAMHSA to make an award. If your organization is not compliant when
SAMHSA is ready to make an award, SAMHSA may determine that your organization is
not qualified to receive an award and use that determination as the basis for making an
award to another applicant.
1.1 Dun & Bradstreet Data Universal Numbering System (DUNS) Registration
SAMHSA applicants are required to obtain a valid DUNS Number, also known as the
Unique Entity Identifier, and provide that number in the application. Obtaining a DUNS
number is easy and there is no charge.
21
To obtain a DUNS number, access the Dun and Bradstreet website at:
http://www.dnb.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. The DUNS number you use on your application
must be registered and active in the System for Award Management (SAM).
1.2 System for Award Management (SAM) Registration
You must also register with the System for Award Management (SAM) and continue to
maintain active SAM registration with current information during the period of time your
organization has an active federal award or an application under consideration by an
agency (unless you are an individual or federal agency that is exempted from those
requirements under 2 CFR § 25.110(b) or (c), has an exception approved by the agency
under 2 CFR § 25.110(d)). To create a SAM user account, Register/Update your
account, and/or Search Records, go to https://www.sam.gov.
It is also highly recommended that you renew your account prior to the expiration date.
SAM information must be active and up-to-date, and should be updated at least
every 12 months to remain active (for both recipients and sub-recipients). Once
you update your record in SAM, it will take 48 to 72 hours to complete the validation
processes. Grants.gov rejects electronic submissions from applicants with expired
registrations.
If your SAM account expires, the renewal process requires the same validation with IRS
and DoD (Cage Code) as a new account requires. The renewal process can take up to
one month.
1.3 Grants.gov Registration
Grants.gov is an online portal for submitting federal grant applications. It requires a one-
time registration in order to submit applications. While Grants.gov registration is a one-
time only registration process, it consists of multiple sub-registration processes (i.e.,
DUNS number and SAM registrations) before you can submit your application. \[Note:
eRA Commons registration is separate\].
You can register to obtain a Grants.gov username and password at
http://www.grants.gov/web/grants/register.html.
If you have already completed Grants.gov registration and ensured your Grants.gov
and SAM accounts are up-to-date and/or renewed, please skip this section and
focus on the eRA Commons registration steps noted below. If this is your first time
submitting an application through Grants.gov, registration information can be found at
the GApplicants
The person submitting your application must be properly registered with Grants.gov as
the Authorized Organization Representative (AOR) for the specific DUNS number cited
on the SF-424 (first page). See the Organization Registration User Guide for details at
22
the following Grants.gov link: http://www.grants.gov/web/grants/applicants/organization-
registration.html.
1.4 eRA Commons Registration
eRA Commons is an online interface managed by NIH that allows applicants, recipients,
and federal staff to securely share, manage, and process grant-related information.
Organizations applying for SAMHSA funding must register in eRA Commons. This is a
one-time registration separate from Grants.gov registration. In addition to the
organization registration, Business Officials and Program Directors listed as key
personnel on SAMHSA applications must have an account in eRA Commons and
receive a Commons ID in order to have access to electronic submission and retrieval of
application/grant information. It is strongly recommended that you start the eRA
Commons registration process at least six (6) weeks prior to the application due date.
If your organization is not registered and does not have an active eRA Commons
PI account by the deadline, the application will not be accepted.
For organizations registering with eRA Commons for the first time, either the Authorized
Organization Representative (AOR) from the SF-424 or the Business Official (BO) from
the HHS Checklist must complete the online Institution Registration Form. Instructions
on how to complete the online Institution Registration Form is provided on the eRA
Commons Online Registration Page.
\[Note: You must have a valid and verifiable DUNS number to complete the eRA
Commons registration.\]
Registration Form and clicks Submit, the eRA Commons will send an e-mail notification
from era-notify@mail.nih.gov with the link to confirm the email address. Once the e-mail
address is verified, the registration request will be reviewed and confirmed via email. If
your request is denied, the representative will receive an email detailing the reason for
the denial. If the request is approved, the representative will receive an email with a
receive a separate email pertaining to this SO account containing its temporary
password used for first-time log in. The representative will need to log into Commons
with the temporary password, at which time the system will provide prompts to change
the temporary password to one of their choosing. Once the designated contact Signing
Official (SO) signs the registration request, the organization will be active in Commons.
The Signing Official can then create additional accounts for the organization as needed.
Organizations can have multiple user accounts with the SO role, and any user with the
SO role will
staff, including accounts for those designated as Program Directors (PI role) and other
Business Officials (SO role).
23
Important: The eRA Commons requires organizations to identify at least one SO, who
can be either the AOR from the SF-424 or the BO from the HHS Checklist, and at least
one Program Director/Principal Investigator (PD/PI) account in order to submit an
application. The primary SO must create the account for the PD/PI listed as the PD/PI
SF-424 document (Line 4).
You can find additional information about the eRA Commons registration process at
https://era.nih.gov/reg_accounts/register_commons.cfm.
2. APPLICATION COMPONENTS
You must complete your application using eRA ASSIST, Grants.gov Workspace or
another system to system (S2S) provider. You will also need to go to the SAMHSA
website to download the required documents you will need to apply for a SAMHSA
grant or cooperative agreement.
2.1 Additional Documents for Submission (SAMHSA Website)
You will find additional materials you will need to complete your application on the
SAMHSA website at http://www.samhsa.gov/grants/applying/forms-resources.
For a full list of required application components, refer to Section II-3.1, Required
Application Components.
3. WRITE AND COMPLETE APPLICATION
SAMHSA strongly encourages you to sign up for Grants.gov email notifications
regarding this FOA. If the FOA is cancelled or modified, individuals who sign up
with Grants.gov for updates will be automatically notified.
3.1 Required Application Components
After downloading and retrieving the required application components and completing
the registration processes, it is time to write and complete your application. All files
uploaded with the Grants.gov application MUST be in Adobe PDF file format.
Directions for creating PDF files can be found on the Grants.gov website. Please see
Appendix B for all application formatting and validation requirements. Applications
that do not comply with these requirements will be screened out and will not be
reviewed.
24
3.2 Standard Application Components
Applications must include the following required application components listed in the
table below. This table consists of a full list of standard application components, a
description of each required component, and its source for application submission.
# Standard Application Description Source
Components
1 SF-424 (Application for This form must be completed by applicants for all ASSIST,
Federal Assistance) SAMHSA grants and cooperative agreements. Workspace,
Form or other S2S
provider
2 SF-424 A (Budget Use SF-424A. Fill out Sections A, B, D and E of the ASSIST,
Information Non-SF-424A. Section C should only be completed if Workspace,
applicable. It is highly recommended that you use
Construction Programs) or other S2S
the sample budget format in the FOA.
Form provider
3 HHS Checklist Form The HHS Checklist ensures that you have obtained ASSIST,
the proper signatures, assurances, and Workspace,
certifications. You are not required to complete the
or other S2S
entire form, but please include the top portion of the provider
Type of Application
new, noncompeting continuation, competing
continuation, or supplemental application; the
Business Official and Program Director/Project
Director/Principal Investigator contact information
(Part C
(Part D, if applicable). All SAMHSA Notices of
Award (NoAs) wil
eRA Commons to the Project Director/Principal
Investigator (PD/PI), and Signing Official/Business
Official (SO/BO).
4 Project/Performance The purpose of this form is to collect location ASSIST,
Site Location(s) Form information on the site(s) where work funded under this Workspace,
or other S2S
grant announcement will be performed.
provider
5 Project Abstract Your total abstract must not be longer than 35 lines. It ASSIST,
Summary should include the project name, population(s) to be Workspace,
served (demographics and clinical characteristics), or other S2S
strategies/interventions, project goals and measurable provider
objectives, including the number of people to be served
annually 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, reports to Congress,
or press releases.
25
# Standard Application Description Source
Components
6 Project Narrative The Project Narrative describes your project. The ASSIST,
Attachment application must address how your organization will Workspace,
implement and meet the goals and objectives of the or other S2S
program. You must attach the Project Narrative file provider
(Adobe PDF format only) inside the Project Narrative
Attachment Form.
7 Budget Justification and You must include a detailed Budget Narrative in ASSIST,
Narrative Attachment addition to the Budget Form SF-424A. In preparing the Workspace,
budget, adhere to any existing federal grantor agency or other S2S
guidelines which prescribe how and whether budgeted
provider
amounts should be separately shown for different
functions or activities within the program. The budget
justification and narrative must be submitted as file
BNF when you submit your application into Grants.gov
8 SF-424 B (Assurances You must read the list of assurances provided on the SAMHSA
for Non-Construction) SAMHSA website Website
Form before signing the first page (SF-424) of the
application.
9 Disclosure of Lobbying Federal law prohibits the use of appropriated funds for ASSIST,
Activities (SF-LLL) Form publicity or propaganda purposes or for the Workspace,
preparation, distribution, or use of the information or other S2S
designed to support or defeat legislation pending provider
before Congress or state legislatures. You must sign
and submit this form, if applicable.
Refer to the Supporting Documents below. Use the ASSIST,
10 Other Attachments Form
Other Attachments Form to attach all required Workspace,
additional/supporting documents listed in the table or other S2S
below. provider
3.3 Supporting Documents
In addition to the Standard Application Components listed above, the following
supporting documents are necessary for the review of your application. Supporting
documents must be attached to your application. For each of the following
application components, attach each document (Adobe PDF format only) using
the Other Attachments Form in ASSIST, Workspace, or other S2S provider.
# Supporting Description Source
Documents
26
1HHS 690 FormEvery grant applicant must have a completed HHS 690 SAMHSA
form (PDF | 291 KB) on file with the Department of Website
Health and Human Services.
2 Charitable Choice Form See Section IV-1 of the FOA to determine if you are SAMHSA
SMA 170 required to submit Charitable Choice Form SMA 170. Website
If you are, you can upload this form to Grants.gov when
you submit your application.
3 Biographical Sketches See Appendix G of this document for additional Appendix G of
and Job Descriptions instructions for completing these sections. this document.
4 Confidentiality and See the FOA or requirements related to confidentiality, FOA: See
SAMHSA Participant participant protection, and the protection of human Appendix D
Protection/Human
Subjects
5 Additional Documents The FOA will indicate the attachments you need to FOA: Section
in the FOA include in your application. IV-1.
4. SUBMIT APPLICATION
4.1 Electronic Submission (eRA ASSIST, Grants.gov Workspace, or other S2S
provider)
After completing all required registration and application requirements, SAMHSA
requires applicants to electronically submit using eRA ASSIST, Grants.gov
Workspace or another system to system (S2S) provider. Information on each of these
options is below:
1) ASSIST The Application Submission System and Interface for Submission
Tracking (ASSIST) is an NIH sponsored online interface used to prepare
applications using the SF424 form set, submit electronically through Grants.gov
to SAMHSA and other participating agencies, and track grant applications.
\[Note: ASSIST requires an eRA Commons ID to access the system\]
2) Grants.gov Workspace You can use the shared, online environment of the
Grants.gov Workspace to collaboratively work on different forms within the
application.
The specific actions you need to take to submit your application will vary by submission
method as listed above. The steps to submit your application are as follows:
27
To submit to Grants.gov using ASSIST: eRA Modules, User Guides, and
Documentation | Electronic Research Administration (eRA)
To submit to Grants.gov using the Grants.gov Workspace:
http://www.grants.gov/web/grants/applicants/workspace-overview.html
Regardless of the option you use, your application will be subject to the same
registration requirements, completed with the same data items, routed through
Grants.gov, validated against the same agency business rules, assembled in a
consistent format for review consideration, and tracked in eRA Commons. All
applications that are successfully submitted must be validated by Grants.gov before
proceeding to the NIH eRA Commons system and validations.
On-time submission requires that electronic applications be error-free and made
available to SAMHSA for processing from the NIH eRA system on or before the
application due date and time. Applications must be submitted to and validated
successfully by Grants.gov and eRA Commons no later than 11:59 PM Eastern Time on
the application due date.
You are strongly encouraged to allocate additional time prior to the submission deadline
to submit your application and to correct errors identified in the validation process. You
are also encouraged to check the status of your application submission to determine if
the application is complete and error-free.
If you encounter problems when submitting your application in Grants.gov, you must
attempt to resolve them by contacting the Grants.gov Service Desk at the following:
By e-mail: support@grants.gov
By phone: (toll-free) 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.
Make sure you receive a case/ticket/reference number that documents the
issues/problems with Grants.gov.
Additional support is also available from the NIH eRA Service desk at:
By e-mail: http://grants.nih.gov/support/index.html
By phone: 301-402-7469 or (toll-free) 1-866-504-9552. The NIH eRA Service
desk is available Monday Friday, 7 a.m. to 8 p.m. Eastern Time, excluding
federal holidays.
If you experience problems accessing or using ASSIST (see below), you can:
Access the ASSIST Online Help Site at: https://era.nih.gov/erahelp/assist/
28
Or contact the NIH eRA Service Desk
SAMHSA highly recommends that you submit your application 24-72 hours before the
submission deadline. Many submission issues can be fixed within that time and you can
attempt to re-submit.
4.2 Waiver of Electronic Submission
SAMHSA will not accept paper applications except under very special circumstances. If
you need special consideration, SAMHSA must approve the waiver of this requirement
in advance.
If you do not have the technology to apply online, or your physical location has no
Internet connection, you may request a waiver of electronic submission. You must send
a written request to the Division of Grant Review at least 15 calendar days before the
application's due date.
Direct any questions regarding the submission waiver process to the Division of Grant
Review at 240-276-1199.
5. AFTER SUBMISSION
5.1 System Validations and Tracking
After you complete and comply with all registration and application requirements and
submit your application, the application will be validated by Grants.gov. You will receive
a notification that your application is being processed. You will receive two additional e-
mails from Grants.gov within the next 24-48 hours (one notification email will confirm
receipt of the application in Grants.gov, and the other notification email will indicate that
the application was either successfully validated by the Grants.gov system or rejected
due to errors). It is important that you retain this Grants.gov tracking number. Receipt
of the Grants.gov 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 (see resources for assistance in Section 4.1).
problem is found,
Grants.gov will allow the eRA system to retrieve the application and check it against its
own agency business rules (eRA Commons Validations). If you use ASSIST to
complete your application, you are able to validate your application and fix errors before
submission.
After you successfully submit your application through Grants.gov, your application will
go through eRA Commons validations. You must check your application status in eRA
29
Commons. You must have an eRA Commons ID in order to have access to electronic
submission and retrieval of application/grant information.
If no errors are found, the application will be assembled in the eRA Commons. At this
point, you can view your application in eRA commons. It will then be forwarded to
SAMHSA as the receiving institution for further review. If errors are found, you will
receive a System Error and/or Warning notification regarding the problems found in the
application. You must take action to make the required corrections, and re-submit the
application through Grants.gov before the application due date and time.
You are responsible for viewing and tracking your applications in the eRA
Commons after submission through Grants.gov to ensure accurate and
successful submission. Once you are able to access your application in the eRA
Commons, be sure to review it carefully as this is what reviewers will see.
5.2 eRA Commons: Warning vs. Error Notifications
You may receive a System Warning and/or Error notification after submitting an
application. Take note that there is a distinction between System Errors and System
Warnings.
Warnings If you receive a Warning notification after the application is submitted, you
are not required to resubmit the application. The reason for the Warning will be
identified in the notification. It is at your discretion to choose to resubmit, but if the
application was successfully received, it does not require any additional action.
Errors If you receive an Error notification after the applications is submitted, you must
correct and resubmit the application. The word Error is used to characterize any
condition which causes the application to be deemed unacceptable for further
consideration.
5.3 System or Technical Issues
If you encounter a system error that prevents you from completing the application
submission process on time, the BO from your organization will receive an email
notification from eRA Commons. SAMHSA highly recommends contacting the eRA
Service Desk and submitting a web ticket to document your good faith attempt to submit
your application, and determining next steps. See Section 4.1 for more information on
contacting the eRA Service Desk.
5.4 Resubmitting a Changed/Corrected Application
If SAMHSA does not receive your application by the application due date as a result of
30
the Division of Grant Review within one business day after the official due date at:
dgr.applications@samhsa.hhs.gov and provide the following:
allows SAMHSA to obtain documentation from the respective entity for the cause
of the error.
SAMHSA will consider the documentation to determine if you followed Grants.gov and
within the recommended time limits, met FOA requirements for submission of electronic
applications, and made no errors that cau
eRA to fail. No exceptions for submission are allowed when user error is involved.
Please note that system errors are extremely rare.
\[Note: When resubmitting an application, please ensure that the Project Title is
identical to the Project Title in the originally submitted application (i.e., no extra
spacing) as the Project Title is a free-text form field.\] In addition, check the
Changed/Corrected Application box in #1.
31
1. SAMHSA FORMATTING REQUIREMENTS
applications. For this reason, SAMHSA has established certain formatting requirements
for its applications. See below for a list of formatting requirements required by
SAMHSA:
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. You may use Times New Roman 10 only for charts or tables.
You must submit your application and all attached documents in Adobe PDF
format or your application will not be forwarded to eRA Commons and will not
be reviewed.
To ensure equity among applications, page limits for the Project Narrative
cannot be exceeded.
Black print should be used throughout your application, including charts and
graphs (no color).
The page limits for Attachments stated in the FOA: Section IV-1 should not
be exceeded.
If you are submitting more than one application under the same announcement number,
you must ensure that the Project Title in Field 15 of the SF-424 is unique for each
submission.
2. GRANTS.GOV FORMATTING AND VALIDATION REQUIREMENTS
Grants.gov allows the following list of UTF-8 characters when naming your
attachments: A-Z, a-z, 0-9, underscore, hyphen, space, and period. Other
UTF-8 characters should not
eRA Commons, as indicated in item #10 in the table below.
Scanned images must be scanned at 150-200 dpi/ppi resolution and saved as
a PDF file. Using a higher resolution setting or different file type will result in a
larger file size, which could result in rejection of your application.
32
Any files uploaded or attached to the Grants.gov application must be PDF file
format and must contain a valid file format extension in the filename. In
addition, the use of compressed file formats such as ZIP, RAR or Adobe
Portfolio will not be accepted.
3. eRA COMMONS FORMATTING AND VALIDATION REQUIREMENTS
The following table is a list of formatting requirements and system validations required
by eRA Commons and will result in errors if not met. The application
to be processed through the eRA Commons. There may be additional validations which
will result in Warnings but these will not prevent the application from processing through
the submission process.
If you do not adhere to these requirements, you will receive an email notification from
era-notify@mail.nih.gov to take action and adhere to the requirements so that your
application can be processed successfully. It is highly recommended that you submit
your application 24-72 hours before the submission deadline to allow for sufficient time
to correct errors and resubmit the application. If you experience any system validation
or technical issues after hours on the application due date, contact the eRA Service
Desk and submit a Web ticket to document your good-faith attempt to submit your
application.
eRA Validations
eRA Error Message
Applicant Identifier (Item 4 on the SF-424):
The PD/PI Credentials must be provided The Commons Username must be provided in the
Applicant Identifier field for the PD/PI.
The Commons Username provided in the Applicant
Identifier is not a recognized Commons account.
Username provided must be a valid Commons
account
The Commons account provided in the Applicant
Identifier field for the PD/PI is either not affiliated
Username must be affiliated with the
with the applicant organization or does not hold the
organization submitting the application and or
PI role. Check with your Commons Account
have the PI role
Administrator to make sure your account affiliation
and roles are set-up correctly.
The DUNS number provided must include valid The DUNS number provided has invalid characters
characters (9 or 13 numbers with or without (other than 9 or 13 numbers) after stripping of
dashes) dashes
The documentation (forms) required for the The format of the application does not match the
FOA must be submitted format of the FOA. Please contact the eRA Service
Desk for assistance.
33
eRA Validations
eRA Error Message
If a change or correction is made to address an This application has been identified as a duplicate
of a
(Item #1 on the SF-424) should be set to Changed/Corrected if you are
addressing errors/warnings.
Refer to Section II-5.4 for more information on
resubmission criteria.
The application cannot exceed 1.2GB. The application did not follow the agency-specific
size limit of 1.2 GB. Please resize the application to
be no larger than 1.2GB before submitting.
The correct Funding Opportunity The Funding Opportunity Announcement number
Announcement (FOA) number must be does not exist.
All documents and attachments must be The <attachment> attachment is not in PDF format.
submitted in PDF format. All attachments must be provided to the agency in
PDF format with a .pdf extension. Help with PDF
attachments can be found at
http://grants.nih.gov/grants/ElectronicReceipt/pdf_g
uidelines.htm
All attachments must comply with the following
formatting requirements:
The {attachment} attachment was empty. PDF
PDF attachments cannot be empty (0 bytes). attachments cannot be empty, password protected
or encrypted.
The <attachment> attachment contained formatting
or features not currently supported by NIH:
All PDF attachments cannot have Meta data
<condition returned>.
missing, cannot be encrypted, password
protected or secured documents.
Filename <file> cannot be larger than U.S.
standard letter paper size of 8.5 x 11 inches. See
The size of PDF attachments cannot be larger
the PDF guidelines at
than 8.5 x 11 inches (horizontally or vertically).
http://grants.nih.gov/grants/ElectronicReceipt/pdf_g
\[Note: It is recommended that you limit the size
of attachments to 35 MB.\]
uidelines.htm f or additional information.
PDF attachments must have a valid file name.
The <attachment> attachment filename is invalid.
Valid file names must include the following
Valid filenames may only include the following
UTF-8 characters: A-Z, a-z, 0-9, underscore
characters: A-Z, a-z, 0-9, underscore ( _ ), hyphen
(_), hyphen (-), space, period.
(-), space, or period. No special characters
(including brackets) can be part of the filename.
34
eRA Validations
eRA Error Message
The email addresses for the Contact Person The submitted e-mail address for the person to be
(SF-424 Section F) and the Authorized contacted {email address}, is invalid. Must contain a
Representative (SF-424 below Section 21)
must contain
through 31 and 127), spaces and special chars < >
Control characters (ASCII 0 through 31 and ( ) \[ \] \\ , ; : are not valid.
127), spaces and special chars < > ( ) \[ \] \\ , ; :
are not valid.
Congressional district code of applicant (after Congressional district <Congressional District> is
truncating) must be valid. (SF-424, item 16 a invalid. To locate your district, visit
and b) http://www.house.gov/
Budget Errors
SF424-A: Section A Budget Summary
The total fields at the end of rows or at the Ensure that the sum of Grant Program Function or
bottom of columns must equal the sum of the Activity (a) elements entered equals the total
elements for that row or column amounts in the Total field
SF424-A: Section B Budget Categories
The Total in Section B (Column 5 - Row k) Ensure that the TOTALS Total (row k, column 5)
must equal the Total in Section A Budget equals the Budget Summary Totals in section A,
Summary: (Row 5, Column g). row 5 column g.
SF424-A: Section D Forecasted Cash Needs
The Federal Total for the 1st Year (Line 13) Ensure that the Federal Total for 1st year, in
must equal the Total in Section A (Row 5, Section D- Forecasted Needs equals the Section A,
Column g) New or Revised Budget Federal Totals (e-5)
amount.
The Non-Federal Total for 1st Year sum must
equal Estimated Unobligated Funds Non-Ensure that the Non-Federal Total for 1st year
Federal Totals in Section A (d-5) + New or equals the sum of Estimated Unobligated Funds
Revised Budget Non-Federal Totals (f-5) Non-Federal Totals (d-5) and New or Revised
Budget Non-Federal Totals (f-5) on Section A.
The Total for 1st Year TOTAL in Section D
Ensure that the Forecasted Cash Needs: 15.
must equal the Totals Total (Column 5, Row G)
TOTAL equals to SECTION A Budget Summary:
in Section A
5.Totals Total (g).
35
eRA Validations
eRA Error Message
SF424-A: Section E Budget Estimates Of
Federal Funds Needed For Balance of The
project
Ensure that the project period years on the SF 424
block 17 matches the provided budget periods in
The number of budget years/periods must the SF-424A. Enter data for the first budget period
match the span of the project. The number of in Section D and enter future budget periods in
years in the project period in Block 17 on the Section E.
SF-424 must align with the future funding
periods.
36
As the authorized representative of \[insert name of applicant organization\]
_________________________________________________, I assure SAMHSA that
all participating service provider organizations listed in this application meet the two-
year experience requirement and applicable licensing, accreditation, and certification
requirements. If this application is within the funding range for a grant award, we will
provide the SAMHSA Government Project Officer (GPO) with the following documents.
I understand that if this documentation is not received by the GPO within the specified
timeframe, the application will be removed from consideration for an award and the
funds will be provided to another applicant meeting these requirements.
Official documentation that all mental health treatment provider organizations
participating in the project have been providing relevant services for a minimum
of two years prior to the date of the application in the area(s) in which services
are to be provided. Official documents must definitively establish that the
organization has provided relevant services for the last two years; and
Official documentation that all mental health treatment provider organizations: (1)
comply with all local (city, county) and state requirements for licensing,
accreditation and certification; OR (2) official documentation from the appropriate
agency of the applicable state, county, or other governmental unit that licensing,
1
accreditation, and certification requirements do not exist.
accreditation, and certification. Documentation of accreditation will not be
applicant organization or from a provider organization attesting to compliance
with licensing, accreditation, and certification or that no licensing, accreditation,
certification requirements exist does not constitute adequate documentation.)
For tribes and tribal organizations only, official documentation that all
participating mental health/substance abuse treatment provider organizations: (1)
comply with all applicable tribal requirements for licensing, accreditation, and
certification; OR (2) documentation from the tribe or other tribal governmental
unit that licensing, accreditation, and certification requirements do not exist.
_______________________________ ______________________
Signature of Authorized Representative
1
Tribes and tribal organizations are exempt from these requirements.
37
Confidentiality and Participant Protection:
It is important to have safeguards protecting individuals from risks associated with their
participation in SAMHSA projects. All applicants (including those who plan to obtain
Institutional Review Board (IRB) approval) must address the elements below. If
some elements are not applicable to the proposed project, explain why the element(s) is
not applicable. In addition to addressing these elements, you will need to determine if
project. If so, you must submit the required documentation as described below. There
are no page limits for this section.
1. Protect Clients and Staff from Potential Risks
Identify and describe the foreseeable physical, medical, psychological, social
and legal risks or potential adverse effects participants may be exposed to as
a result of the project.
Identify and describe the foreseeable physical, medical, psychological, social
and legal risks or potential adverse effects staff may be exposed to as a result,
of the project.
Describe the procedures you will follow to minimize or protect participants and
staff against potential risks, including risks to confidentiality.
Identify your plan to provide guidance and assistance in the event there are
adverse effects to participants and staff.
2. Fair Selection of Participants
Explain how you will recruit and select participants.
Identify any individuals in the geographic catchment area where services will be
delivered who will be excluded from participating in the project and explain the
reasons for this exclusion.
3. Absence of Coercion
If you plan to compensate participants, state how participants will be awarded
incentives (e.g., gift cards, bus passes, gifts, etc.) If you have included funding
for incentives in your budget, you must address this item. (A recipient or
treatment or prevention provider may provide up to $30 non-cash incentive to
38
individuals to participate in required data collection follow up. This amount may
be paid for participation in each required follow-up interview.)
Provide justification that the use of incentives is appropriate, judicious and
removes the voluntary nature of participation.
Describe how you will inform participants that they may receive services even if
they chose to not participate in or complete the data collection component of
the project.
4. Data Collection
Identify from whom you will collect data (e.g., from participants themselves,
family members, teachers, others).
Describe the data collection procedures and specify the sources for obtaining
data (e.g., school records, interviews, psychological assessments,
questionnaires, observation or other sources). Identify what type of specimens
(e.g., urine, blood) will be used, if any. State if the specimens will be used for
purposes other than evaluation.
In Attachment 2must
provide copies of all available data collection instruments and interview
protocols that you plan to use (unless you are providing the web link to the
instrument(s)/protocol(s)).
5. Privacy and Confidentiality
Explain how you will ensure privacy and confidentiality. Describe:
o Where data will be stored.
o Who will have access to the data collected.
o How the identity of participants will be kept private, for example, through the
use of a coding system on data records, limiting access to records, or
storing identifiers separately from data.
NOTE: Recipients must maintain the confidentiality of alcohol and drug abuse client
records according to the provisions of Title 42 of the Code of Federal Regulations,
Part II.
6. Adequate Consent Procedures
Include, as appropriate, sample consent forms that provide for: (1) informed
consent for participation in service intervention; (2) informed consent for
39
participation in the data collection component of the project; and (3) informed
consent for the exchange (releasing or requesting) of confidential information.
The sample forms must be included in
, of your application. If needed, give English translations.
Explain how you will obtain consent for youth, the elderly, people with limited
reading skills, and people who do not use English as their first language.
Describe how the consent will be documented. For example: Will you read the
consent forms? Will you ask prospective participants questions to be sure they
understand the forms? Will you give them copies of what they sign?
NOTE: Never imply that the participant waives or appears to waive any legal rights,
may not end involvement with the project, or releases your project or its agents from
liability for negligence.
7. Risk/Benefit Discussion
Discuss why the risks you have identified in element 1. (Protect Clients and
Staff from Potential Risks) are reasonable compared to the anticipated
benefits to participants involved in the project.
Protection of Human Subjects Regulations
SAMHSA expects that most recipients funded under this announcement will not have to
comply with the Protection of Human Subjects Regulations (45 CFR 46), which requires
subjects. Although IRB approval is not required at the time of award, you are required
to provide the documentation below prior to enrolling participants into your project.
In addition to the elements above, applicants whose projects must comply with the
Human Subjects Regulations must:
Describe the process for obtaining IRB approval for your project.
Provide documentation that an Assurance of Compliance is on file with the
Office for Human Research Protections (OHRP).
Provide documentation that IRB approval has been obtained for your project
prior to enrolling participants.
General information about Human Subjects Regulations can be obtained through OHRP
at http://www.hhs.gov/ohrp or (240) 453-6900. SAMHSAspecific questions should be
directed to the program contact listed in Section VII of this announcement.
40
To be able to effectively evaluate your project, it is critical that you develop realistic
goals and measurable objectives. This appendix provides information on developing
goals and objectives. It also provides examples of well-written goals and measurable
objectives.
GOALS
Definition -term expectation of what should
happen as a result of your program (the desired result). It serves as the foundation for
developing your program objectives. Goals should align with the statement of need that
is described. Goals should only be one sentence.
The characteristics of effective goals include:
Goals address outcomes, not how outcomes will be achieved;
Goals describe the behavior or condition in the community expected to change;
Goals describe who will be affected by the project;
Goals lead clearly to one or more measurable results; and
Goals are concise.
Examples
Unclear Goal Critique Improved Goal
Increase the substance abuse and This goal could be Increase the capacity of the local
improved by specifying
HIV/AIDS prevention capacity of the local school district to reduce high-risk
an expected program behaviors of students that may
school district
effect in reducing a contribute to substance abuse and/or
health problem HIV/AIDS
Decrease the prevalence of marijuana, This goal is not concise Decrease youth substance use in the
alcohol, and prescription drug use among community by implementing evidence-
youth in the community by increasing the based programs within the school
number of schools that implement district that address behaviors that may
effective policies, environmental change, lead to the initiation of use.
intensive training of teachers, and
educational approaches to address high-
risk behaviors, peer pressure, and
tobacco use.
OBJECTIVES
41
Definition Objectives describe the results to be achieved and the manner in which
they will be achieved. Multiple objectives are generally needed to address a single goal.
Well-written objectives help set program priorities and targets for progress and
accountability. It is recommended that you avoid verbs that may have vague meanings
end of 2019, 75% of program participants will be placed
In order to be effective, objectives should be clear and leave no room for interpretation.
SMART is a helpful acronym for developing objectives that are specific, measurable,
achievable, realistic, and time-bound:
Specific f program activities. Use only one action verb
the HIV risk assessment tool to at least 100 injection drug users in the population of
Measurable How much change is expected. It must be possible to count or otherwise
quantify an activity or its results. It also means that the source of and mechanism for
collecting measurement data can be identified and that collection of the data is feasible
for your program. A baseline measurement is required to document change (e.g., to
measure the percentage of increase or decrease). If you plan to use a specific
measurement instrument, it is recommended that you incorporate its use into the
th, thth
objective. Example: By 9/18 increase by 10% the number of 89, and 10 grade
students who disapprove of marijuana use as measured by the annual school youth
survey.
Achievable Objectives should be attainable within a given time frame and with
-time nutritionist will meet with
achievable obj
Realistic Objectives should be within the scope of the project and propose
reasonable programmatic steps that can be implemented within a specific time frame.
-gang members will make one school presentation each week for
-
Time-bound Provide a time frame indicating when the objective will be measured or a
42
Examples:
Non-SMART Objective Critique SMART Objective
Teachers will be trained on The objective is not SMART By June 1, 2019, LEA supervisory
the selected evidence-based because it is not specific, staff will have trained 75% of health
substance abuse prevention measurable, or time-bound. It can education teachers in the local
be made SMART by specifically
curriculum. school district on the selected,
indicating who is responsible for evidence-based substance abuse
training the teachers, how many prevention curriculum.
will be trained, who they are, and
by when the trainings will be
conducted.
90% of youth will participate This objective is not SMART By the end of the 2019 school year,
in classes on assertive because it is not specific or time-district health educators will have
communication skills. bound. It can be made SMART by conducted classes on assertive
indicating who will conduct the communication skills for 90% of youth
activity, by when, and who will in the middle school receiving the
participate in the lessons on substance abuse and HIV
assertive communication skills. prevention curriculum.
This objective is not SMART as it By the end of year two of the
Train individuals in the
is not specific, measurable or time-
project, the Health Department will
community on the prevention
bound. It can be made SMART by
have trained 75% of EMS staff in the
of prescription drug/opioid
specifically indicating who is
County Government on the selected
overdose-related deaths.
responsible for the training, how
curriculum addressing the prevention
many people will be trained, who of prescription drug/opioid overdose-
they are, and by when the training related deaths.
will be conducted.
43
Information in this Appendix should be taken into consideration when developing a
response to the criteria in Section D.
Data Collection:
In describing your plan for data collection, consider addressing the following points:
The electronic data collection software that will be used;
How often data will be collected;
The organizational processes that will be implemented to ensure the accurate
and timely collection and input of data;
The staff that will be responsible for collecting and recording the data;
The data source/data collection instruments that will be used to collect the data;
How well the data collection methods will take into consideration the language,
norms and values of the population(s) of focus;
How will the data be kept secure;
If applicable, how will the data collection procedures ensure that confidentiality is
protected and that informed consent is obtained; and
If applicable, how data will be collected from partners, sub-awardees.
It is not necessary to provide information related to data collection and performance
measurement in a table but the following samples may give you some ideas about how
to display the information.
Table 1 provides an example of how information for the required performance measures
could be displayed.
Table 1
44
Performance Data Data Responsible Method of Data
Measures Source Collection Staff for Data Analysis
Frequency Collection
Table 2 provides an example of how information could be displayed for the data that will
be collected to measure the objectives that are included in B.1
Table 2
Objective Data Source Data Collection Responsible Method of
Frequency Staff for Data Data Analysis
Collection
Objective 1.a
Objective 1.b
Data Management, Tracking, Analysis, and Reporting:
Points to consider:
Data management:
How data will be protected, including information about who will have access to
data;
How will data be stored.
Data tracking:
The staff member who will be responsible for tracking the performance
measures and measurable objectives.
45
Data analysis:
Who will be responsible for conducting the data analysis, including the role of the
Evaluator;
What data analysis methods will be used.
Data reporting:
Who will be responsible for completing the reports;
How will the data be reported to staff, stakeholders, SAMHSA, Advisory Board,
and other relevant project partners.
Performance Assessment:
Points to consider:
Information on how frequently performance data will be reviewed;
How you will use this data to monitor and evaluate activities and processes and
to assess the progress that has been made achieving the goals and objectives;
and
Who will be responsible for conducting the performance assessment.
Quality Improvement:
Points to consider:
If applicable, the QI model that will be used;
How will the QI process be used to track progress;
The staff members who will be responsible for overseeing these processes;
How you will implement any needed changes in project implementation and/or
project management;
o What decision-making processes will be used;
o When and by whom will decisions be made concerning project
improvement;
o What are the thresholds for determining that changes need to be made;
46
Will the Advisory Board have a role in the QI process; and
How will the changes be communicated to staff and/or partners/sub-awardees.
47
Include position descriptions for the Project Director and all key personnel. Position
descriptions should be no longer than one page each.
For staff members, who have been identified, include a biographical sketch for the
Project Director and other key positions. Each sketch should be two pages or less.
Biographical Sketch
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
Position Description
1. Title of position
2. Description of duties and responsibilities
3. Qualifications for position
4. Supervisory relationships
5. Skills and knowledge required
6. Amount of travel and any other special conditions or requirements
7. Salary range
8. Hours per day or week
48
SAMHSA expects recipients to utilize their data to: (1) identify the number of individuals
to be served during the grant period and identify subpopulations (i.e., racial, ethnic,
sexual, and gender minority groups) vulnerable to behavioral health disparities; (2)
implement a quality improvement plan for the use of program data on access, use, and
outcomes to support efforts to decrease the differences in access to, use, and
outcomes of service activities; and (3) identify methods for the development of policies
and procedures to ensure adherence to the National Standards for Culturally and
Linguistically Appropriate Services (CLAS) in Health and Health Care.
Definition of Health Disparities:
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
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
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 recipient, they may be predominant among
subpopulations or groups vulnerable to disparities. It is imperative that recipients
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, recipients are asked to address
access, use and outcomes for subpopulations, which can be defined by the following
factors:
49
By race
By ethnicity
By gender (including transgender populations)
By sexual orientation (including lesbian, gay and bisexual populations)
The ability to address the quality of care provided to subpopulations served within
CLAS standards.
National Standards for Culturally and Linguistically Appropriate Services (CLAS)
in Health and Health Care
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 essential 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
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
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.
Examples of a Behavioral Health Disparity Impact Statement are available on the
SAMHSA website at http://www.samhsa.gov/grants/grants-management/disparity-
impact-statement.
50
HHS codified the Uniform Administrative Requirements, Cost Principles, and Audit
Requirements for HHS Awards, 45 CFR Part 75. In Subpart E, cost principles are
described and allowable and unallowable expenditures for HHS recipients are
delineated. 45 CFR Part 75 is available at http://www.samhsa.gov/grants/grants-
management/policies-regulations/requirements-principles. Unless superseded by
program statute or regulation, follow the cost principles in 45 CFR Part 75 and the
standard funding restrictions below.
You may also reference the SAMHSA site for grantee guidelines on financial
management requirements at https://www.samhsa.gov/grants/grants-
management/policies-regulations/financial-management-requirements.
SAMHSA grant funds may not be used to:
Directly or indirectly, purchase, prescribe, or provide marijuana or treatment
using marijuana. Treatment in this context includes the treatment of opioid use
disorder. Grant funds also cannot be provided to any individual who or
organization that provides or permits marijuana use for the purposes of treating
substance use or mental disorders. See, e.g., 45 C.F.R. § 75.300(a) (requiring
possession, manufacture, sale, purchase or distribution of marijuana). This
prohibition does not apply to those providing such treatment in the context of
clinical research permitted by the DEA and under an FDA-approved
investigational new drug application where the article being evaluated is
marijuana or a constituent thereof that is otherwise a banned controlled
substance under federal law.
Pay for promotional items including, but not limited to, clothing and
commemorative items such as pens, mugs/cups, folders/folios, lanyards, and
conference bags.
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 renovations 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.)
51
Provide inpatient treatment or hospital-based detoxification services. Residential
services are not considered to be inpatient or hospital-based services.
Make direct payments to individuals to enter treatment or continue to participate
in prevention or treatment services.
Note: A recipient or treatment or prevention provider may provide up to $30 non-
cash incentive to individuals to participate in required data collection follow up.
This amount may be paid for participation in each required follow-up interview.
Meals are generally unallowable unless they are an integral part of a conference
grant or specifically stated as an allowable expense in the FOA. Grant funds
may be used for light snacks, not to exceed $3.00 per person per day.
Consolidated Appropriations Action, 2017 (Public Law 115-31) Division H,
Section 520, notwithstanding any other provision of this Act, no funds
appropriated in this Act shall be used to purchase sterile needles or syringes for
the hypodermic injection of any illegal drug. Provided, That such limitation does
not apply to the use of funds for elements of a program other than making such
purchases if the relevant State or local health department, in consultation with
the Centers for Disease Control and Prevention, determines that the State or
local jurisdiction, as applicable, is experiencing, or is at risk for, a significant
increase in hepatitis infections or an HIV outbreak due to injection drug use, and
such program is operating in accordance with state and local law.
Pay for pharmaceuticals for HIV antiretroviral therapy, sexually transmitted
diseases (STD)/sexually transmitted illnesses (STI), tuberculosis (TB), and
hepatitis B and C, or for psychotropic drugs.
52
States with SPOCs
All SAMHSA grant programs are 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). Information on the SPOC for participating
states can be found at: https://www.whitehouse.gov/wp-
content/uploads/2019/02/SPOC-February-2019.pdf
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
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: Director, Division of Grants
Management, Office of Financial Resources, Substance Abuse and Mental Health
Services Administration, Room 17E18, 5600 Fishers Lane, Rockville, MD 20857.
ATTN: SPOC Funding Announcement No. SM-20-006.
States without SPOCs
If your state does not have a SPOC and you are a community-based, non-governmental
2
service provider, you must submit a Public Health System Impact Statement (PHSIS)
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 Indian/Alaska Native tribe or tribal
organization, you are not subject to these requirements.
2
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 first 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).
53
The PHSIS consists of the following information:
A copy of the first 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
http://www.samhsa.gov/grants/applying/forms-resources. If the proposed project falls
within the jurisdiction of more than one state, you should notify all representative SSAs.
Review the FOA: Section IV-1, carefully to determine if you must include an attachment
with a copy of a letter transmitting the PHSIS 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: Thomas Graves,
Director of Grants Management, Office of Financial Resources, Mental Health Services
Administration, Room 17E20, 5600 Fishers Lane, Rockville, MD 20857. ATTN: SSA
Funding Announcement No. SM-20-006.
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.
54
If your application is funded, you must comply with all terms and conditions of the NoA.
http://www.samhsa.gov/grants/grants-management/notice-award-noa/standard-terms-
conditions.
HHS Grants Policy Statement (GPS)
If your application is funded, you are subject to the requirements of the HHS Grants
Policy Statement (GPS) that are applicable based on recipient type and purpose of
award. This includes any requirements in Parts I and II of the HHS GPS that apply to
the award. The HHS GPS is available at http://www.samhsa.gov/grants/grants-
management/policies-regulations/hhs-grants-policy-statement. The general terms and
conditions in the HHS GPS will apply as indicated unless there are statutory, regulatory,
or award-specific requirements to the contrary (as specified in the NoA).
HHS Grant Regulations
If your application is funded, you must also comply with the administrative requirements
outlined in 45 CFR Part 75. For more information see the SAMHSA website at
http://www.samhsa.gov/grants/grants-management/policies-regulations/requirements-
principles.
Additional Terms and Conditions
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;
o requirements to address problems identified in review of the application; or
revised budget and narrative justification.
Performance Goals and Objectives
55
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.
Accessibility Provisions for All Grant Application Packages and Funding
Opportunity Announcements
Recipients of federal financial assistance (FFA) from HHS must administer their
programs in compliance with federal civil rights laws that prohibit discrimination on the
basis of race, color, national origin, disability, age and, in some circumstances, religion,
conscience, and sex. This includes ensuring programs are accessible to persons with
limited English proficiency. The HHS Office for Civil Rights provides guidance on
complying with civil rights laws enforced by HHS. Please see https://www.hhs.gov/civil-
rights/for-providers/provider-obligations/index.html and
http://www.hhs.gov/ocr/civilrights/understanding/section1557/index.html.
Recipients of FFA must ensure that their programs are accessible to persons
with limited English proficiency. HHS provides guidance to recipients of FFA
on meeting their legal obligation to take reasonable steps to provide
meaningful access to their programs by persons with limited English
proficiency. Please see https://www.hhs.gov/civil-rights/for-individuals/special-
topics/limited-english-proficiency/fact-sheet-guidance/index.html and
https://www.lep.gov. For further guidance on providing culturally and
linguistically appropriate services, recipients should review the National
Standards for Culturally and Linguistically Appropriate Services in Health and
Health Care at https://minorityhealth.hhs.gov/omh/browse.aspx?lvl=2&lvlid=53.
Recipients of FFA also have specific legal obligations for serving qualified
individuals with disabilities. Please see
http://www.hhs.gov/ocr/civilrights/understanding/disability/index.html.
HHS funded health and education programs must be administered in an
environment free of sexual harassment. Please see https://www.hhs.gov/civil-
rights/for-individuals/sex-discrimination/index.html;
https://www2.ed.gov/about/offices/list/ocr/docs/shguide.html; and
https://www.eeoc.gov/eeoc/publications/upload/fs-sex.pdf.
Recipients of FFA must also administer their programs in compliance with
applicable federal religious nondiscrimination laws and applicable federal
conscience protection and associated anti-discrimination laws. Collectively,
these laws prohibit exclusion, adverse treatment, coercion, or other
discrimination against persons or entities on the basis of their consciences,
56
religious beliefs, or moral convictions. Please see
https://www.hhs.gov/conscience/conscience-protections/index.html and
https://www.hhs.gov/conscience/religious-freedom/index.html.
Please contact the HHS Office for Civil Rights for more information about obligations
and prohibitions under federal civil rights laws at https://www.hhs.gov/ocr/about-
us/contact-us/index.html or call 1-800-368-1019 or TDD 1-800-537-7697.
Cultural and Linguistic Competence
Recipients of federal financial assistance (FFA) from HHS serve culturally and
linguistically diverse communities that are not just defined by race or ethnicity, but also
socio-economic status, sexual orientation, gender identity, physical and mental ability,
age, and other factors. Organizational behaviors, practices, attitudes, and policies
across all SAMHSA-supported entities respect and respond to the cultural diversity of
communities, clients and students served.
If your application is funded, you must ensure access to quality health care for all.
Quality care means access to services, information, and materials delivered by trained
providers in a manner that factor in the language needs, health literacy, culture, and
diversity of the populations served. Quality also means that data collection instruments
used should adhere to culturally and linguistically appropriate norms. For additional
information and guidance, refer to the National Standards for Culturally and
Linguistically Appropriate Services (CLAS) published by the U.S. Department of Health
and Human Services at https://www.thinkculturalhealth.hhs.gov/. Additional
cultural/linguistic competency and health literacy tools, and resources are available
online at http://www.samhsa.gov/capt/applying-strategic-prevention/cultural-competence
Acknowledgement of Federal Funding
As required by HHS appropriations acts, all HHS recipients must acknowledge Federal
funding when issuing statements, press releases, requests for proposals, bid invitations,
and other documents describing projects or programs funded in whole or in part with
Federal funds. Recipients are required to state (1) the percentage and dollar amounts of
the total program or project costs financed with Federal funds and (2) the percentage
and dollar amount of the total costs financed by nongovernmental sources
Supplement Not Supplant
Grant funds may be used to supplement existing activities. Grant funds may not be
s replacing
Mandatory Disclosures
57
A term may be added to the NoA which states: Consistent with 45 CFR 75.113,
applicants and recipients must disclose in a timely manner, in writing to the HHS
awarding agency, with a copy to the HHS Office of Inspector General (OIG), all
information related to violations of federal criminal law involving fraud, bribery, or
gratuity violations potentially affecting the federal award. Sub-recipients must disclose,
in a timely manner, in writing to the prime recipient (pass through entity) and the HHS
OIG, all information related to violations of federal criminal law involving fraud, bribery,
or gratuity violations potentially affecting the federal award. Disclosures must be sent in
writing to the awarding agency and to the HHS OIG at the following addresses:
SAMHSA
Attention: Office of Financial Advisory Services
5600 Fishers Lane
Rockville, MD 20857
AND
U.S. Department of Health and Human
Services Office of Inspector General
ATTN: Mandatory Grant Disclosures, Intake
Coordinator
330 Independence Avenue, SW, Cohen Building
Room 5527
Washington, DC 20201
Fax: (202) 205-Mandatory Grant Disclosures in subject line) or email:
MandatoryGranteeDisclosures@oig.hhs.gov
Failure to make required disclosures can result in any of the remedies described in 45
CFR 75.371 Remedies for noncompliance; including suspension or debarment (See 2
System for Award Management (SAM) Reporting
requirements provided at 45 CFR 75.113 and Appendix XII to 45 CFR Part 75,
recipients that have currently active federal grants, cooperative agreements, and
procurement contracts with cumulative total value greater than $10,000,000, must
report and maintain information in the System for Award Management (SAM) about civil,
criminal, and administrative proceedings in connection with the award or performance of
a federal award that reached final disposition within the most recent five-year
period. The recipient also must make semiannual disclosures regarding such
proceedings. Proceedings information will be made publicly available in the designated
integrity and performance system (currently the Federal Awardee Performance and
58
Integrity Information System (FAPIIS)). Full reporting requirements and procedures are
found in Appendix XII to 4
Drug-Free Workplace
drug-free workplace requirements in Subpart B (or Subpart C, if the recipient is an
individual) of part 382, which adopts the Government-wide implementation (2 CFR part
182) of section 5152-5158 of the Drug-Free Workplace Act of 1988 (Pub. L. 100-690,
Title V, Subtitle D; 41 U.S.C. 701-
Smoke-Free Workplace
The Public Health Service strongly encourages all award recipients to provide a smoke-
free workplace and to promote the non-use of all tobacco products. Further, Public Law
(P.L.) 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.
Standards for Financial Management
Recipients are required to meet the standards and requirements for financial
management systems set forth in 45 CFR part 75. The financial systems must enable
the recipient to maintain records that adequately identify the sources of funds for
federally assisted activities and the purposes for which the award was used, including
authorizations, obligations, unobligated balances, assets, liabilities, outlays or
expenditures, and any program income. The system must also enable the recipient to
compare actual expenditures or outlays with the approved budget for the award.
SAMHSA funds must retain their award-
or recording funds in a general account without the ability to identify each specific
source of funds for any expenditure.\] Common mistakes related to comingling are
outlined below:
Commingling of Cost Centers. Every business activity constitutes a cost center.
Examples of cost centers include: a federal grant, a state grant, a private grant,
matching costs for a specific grant, a self-funded project, fundraising activities,
membership activities, lines of business, unallowable costs, indirect costs, etc.
Recipients must establish a unique account(s) in the accounting system to
capture and accumulate expenditures of each cost center, apart from other cost
centers.
Commingling of Cost Categories. Recipients must avoid budget fluctuations that
violate programmatic restrictions. They must also avoid applying indirect cost
59
rates to prohibited cost categories, such as equipment, participant support costs
and subcontracts/subawards in excess of $25,000. As a result, recipients must
establish unique object codes in the accounting system to capture and
accumulate costs by budget category (i.e., salaries, fringe benefits, consultants,
travel, participant support costs, subcontracts, etc.).
Commingling of Time Worked and Not Worked. Recipients may not directly
charge Therefore,
Paid Time Off (PTO), such as vacation, holiday, sick and other paid leave, is not
recoverable directly from grants, but rather must be allocated to all grants,
projects and cost centers over an entire cost accounting period through either an
indirect cost or fringe benefit rate.
Unsupported Labor Costs. To support charges for direct and indirect salaries
and wages, recipients maintaining hourly timesheets must ensure that
timesheets encompass all hours worked and not worked on a daily basis. The
timesheet should identify the: (a) grant, project or cost center being worked on;
(b) number of hours worked on each; (c) description of work performed; and (d)
Paid Time Off (PTO) hours. The total hours recorded each day should coincide
blished policy (i.e.,
full-time employees work 8 hours each day, etc.).
Inconsistent Treatment of Costs. Recipients must treat costs consistently across
all federal and non-federal grants, projects and cost centers. For example,
recipients may not direct-charge federal grants for costs typically considered
indirect in nature, unless done consistently. Examples of indirect costs include:
administrative salaries, rent, accounting fees, utilities, etc. Additionally, in most
cases, the cost to develop an accounting system adequate to justify direct-
charging of the aforementioned items outweighs the benefits. As a result, use of
an indirect cost rate is the most effective mechanism to recover these costs and
not violate federal financial requirements of consistency, allocability and
Sample Budget and Justification
additional indirect cost guidance.
Trafficking in Persons
Awards issued by SAMHSA are subject to the requirements of Section 106(g) of the
Trafficking Victims Protection Act of 2000, as amended (22 U.S.C. 7104). For the full
text of the award term, go to http://www.samhsa.gov/grants/grants-management/notice-
award-noa/standard-terms-conditions.
NOTE: The signature of the AOR on the application serves as the required certification
of compliance for your organization regarding the administrative and national policy
requirements.
60
Publications
Recip
Publications Clearance Officer (240-276-2130) of any materials based on the SAMHSA-
funded grant project that are accepted for publication. In addition, SAMHSA requests
that recipients:
Provide the GPO and SAMHSA Publications Clearance Officer with advance
copies of publications
Include acknowledgment of the SAMHSA grant program as the source of
funding for the project.
Include a disclaimer stating that the views and opinions contained in the
publication do not necessarily reflect those of SAMHSA or the U.S. Department
of Health and Human Services, and should not be construed as such.
SAMHSA reserves the right to issue a press release about any publication deemed by
SAMHSA to contain information of program or policy significance to the substance
abuse treatment/substance abuse prevention/mental health services community.
61
All applications must have a detailed budget justification and narrative that explains the
federal and the non-federal expenditures broken out by the object class cost categories
listed on SF--construction awards.
The budget narrative must match the costs identified on the SF-424A form and
the total costs on the SF-424.
The Budget Narrative and justification must be consistent with and support the
Project Narrative.
The Budget Narrative and justification must be concrete and specific. It must
provide a justification for the basis of each proposed cost in the budget and how
that cost was calculated. Examples to consider when justifying the basis of your
estimates can be ongoing activities, market rates, quotations received from
vendors, or historical records. The proposed costs must be reasonable,
allowable, allocable, and necessary for the supported activity.
Refer to the program specific Funding Restrictions/Limitations and the Standard
Funding Restrictions in the FOA, as well as to 45 CFR Part 75 (https://www.ecfr.gov/cgi-
bin/text-idx?node=pt45.1.75, for applicable administrative requirements and cost
principles.
A SAMPLE BUDGET AND NARRATIVE JUSTIFICATION ARE PROVIDED AS WELL
AS INSTRUCTIONS FOR COMPLETING THE SF-424A. YOU ARE STRONGLY
ENCOURAGED TO USE THE SAMPLE BUDGET NARRATIVE STRUCTURE AS
APPLICABLE. A SAMPLE OF A COMPLETED SF-424A IS PROVIDED AT THE END
OF THIS APPENDIX.
A. Personnel
Provide the following information for the budget narrative and justification:
1. Position Provide the title of the position and an explanation of the roles and
responsibilities of the position as it relates to the objectives of the award
supported project.
a. The position must be relevant and allowable under the project.
b. The salaries of facilities and administrative (F&A) administrative and clerical
staff are normally treated as indirect costs (45 CFR §75.413c). Direct
charging of these costs may be appropriate only if all of the following
conditions are met:
i. administrative/clerical services are directly integral to a project or activity;
ii. individuals involved can be specifically identified with the project or
activity; and
iii. the costs are not also claimed as indirect costs.
62
2. Name The name of the individual to serve in the position. If the position is
vacant, identify the anticipated hire date.
a. If the position is being performed by someone other than a full-time, part-time,
or temporary employee of the applicant organization (e.g., consultant or
contractor), the grant-supported position should be listed under the contracts
category.
3. Key Personnel Identify if the position is key personnel required by the FOA:
a. Key staff positions require prior approval by SAMHSA after review of
credentials and job descriptions.
4. Salary/Rate The estimated annual salary or rate. If providing a rate, specify the
time basis (e.g., hourly, weekly).
a. Salaries should be comparable to those within your organization.
b. If the position is not being charged to the Federal award, but the individual is
-
5. Level of Effort (LOE) The level of effort (percentage of time) that the position
contributes to the project.
a. Personnel cannot exceed 100% of their time on all active projects (including
other Federal awards).
b. You should ensure the cost of living increase is built into the budget and
justified.
6. Total Salary The total salary/amount each position is paid based on their
contribution to the project.
a. If the position is not being charged to the Federal award, identify the cost as
$0.
The key staff positions identified in Section I-2 must be included in the Personnel
section and/or the Contractual Section (F). In addition, the Project Director must be the
same as the Project Director listed on the HHS Checklist.
FEDERAL REQUEST Sample Personnel Narrative
Total Salary
Annual Level of
Charge to
Name
Position Salary/Rate Effort
Key Award
(2)
(1) (4) (5)
Staff (3) (6)
Yes $64,890 10% $6,489
(1) Project Director Alice Doe
63
Total Salary
Annual Level of
Charge to
Name
Position Salary/Rate Effort
Key Award
(2)
(1) (4) (5)
Staff (3) (6)
Vacant, to
be hired
within 60
$46,276 100% $46,276
days of
(2) Program Coordinator
No
anticipated
award date
No
Jane Doe In-kind cost 20% 0
(3) Clinical Director
FEDERAL REQUEST (enter in Section B column 1, line 6a of SF-424A) $52,765
FEDERAL REQUEST Sample Justification for Personnel
1. The Project Director will provide daily oversight of the grant. This position is
responsible for overseeing the implementation of the project activities, internal
and external coordination, developing materials, and conducting meetings.
2. The Program Coordinator will coordinate project service and activities, including
training, communication and information dissemination.
B. Fringe Benefits
Fringe benefits are allowances and services provided to employees as compensation in
addition to regular salaries and wages. Fringe benefits charged to an award must
comply with HHS regulations at 45 CFR §75.431 (https://www.ecfr.gov/cgi-bin/text-
idx?node=pt45.1.75).
Provide the following information for the narrative and justification:
1. Position The title of the position being charged to the award to which the fringe
rate is being applied.
2. Name The name of the individual associated with the position (note if the position
is vacant.)
3. Rate The total fringe benefit rate used and a clear description of how the
computation of fringe benefits was done.
a. The justification must detail the elements that comprise the fringe benefits, e.g.,
explain how the fringe benefits were computed for each position.
4. Total Salary Charged to Award Use the amount provided under section A.
Personnel (6).
64
5. Provide total fringe amount based on the rate
applied to the total salary charted to the award.
a. Fringe benefits charged to the award can only reflect the percentage of time
devoted to the project.
b. Do not combine the fringe benefit costs with direct salaries and wages in the
personnel category.
FEDERAL REQUEST - Sample Fringe Benefits Narrative
Total Salary Total Fringe
Charged to Charged to
Award Award
Position Name Rate
(4) (5)
(1) (2) (3)
Project Director Alice Doe $6,489
29.65% $1,924
Vacant, to be hired
$46,276
Program
within 60 days of
29.65% $13,720
Coordinator
anticipated award date.
FEDERAL REQUEST (enter in Section B column 1, line 6b of SF-424A) $15,644
FEDERAL REQUEST Sample Justification for Fringe Benefits
Fringe Category Rate
Retirement 10%
FICA 7.65%
Insurance 6%
Social Security 6%
Total 29.65%
The fringe benefit rate for full-time employees for years one and two is calculated at
29.65%. For years three, four, and five it is anticipated to increase to 31%.
65
C. Travel
Travel costs charged to an award must comply with HHS regulations at 45 CFR
§75.474. If your organization does not have documented travel policies, the federal
GSA rates must be used (https://www.gsa.gov/portal/category/26429). If specific travel
details are unknown, the basis for proposed costs should be explained (e.g., historical
information).
Funds requested in the travel category should be only for project staff. Travel for
consultant/contractor fees. Because these costs are associated with contract-related
work, they must
participants, advisory committees, and review panels should be itemized the same way
Provide the following information for the narrative and justification:
1. Purpose Briefly note the purpose of the travel, e.g., regional conference,
training, site visit.
a. The justification must identify the need for the travel if the travel is not
specifically required by the FOA.
b. The narrative description should include the purpose, why it is necessary and
directly relates to the scope of work, number of trips planned, staff that will be
making the trip, and approximate dates.
2. Location specify the start and end locations of the trip
3. Item specify the costs associated with travel, e.g., mode of transportation
accommodations, per diem.
4. Rate Calculation specify the basis for the travel costs.
a. For mileage, specify the number of miles and the cost per mile. For air
transportation, specify the cost. For per diem, specify the number of days and
daily cost. For lodging, specify the number of nights and daily cost.
b. Costs for contingencies and miscellaneous costs are not allowable.
5. Travel Cost Charged to Award provide the total cost of the travel to be
charged to the award during the budget period.
FEDERAL REQUEST Sample Travel Narrative
Travel Cost Charged to the
Award
Purpose Destination Item Calculation
(5)
(1) (2) (3) (4)
Mandatory Chicago, IL to Airfare $200/flight x 2 $400
Grantee Washington
Meeting D.C.
Hotel $180/night x 2 $720
persons x 2 nights
66
Travel Cost Charged to the
Award
Purpose Destination Item Calculation
(5)
(1) (2) (3) (4)
Per Diem $46/day x 2 persons $184
(meals and x 2 days
incidentals)
Local Travel Mileage 3,000 miles $1,140
@.38/mile
FEDERAL REQUEST - (enter in Section B column 1, line 6c of SF-424A
$2,444
FEDERAL REQUEST: Sample Justification for Travel
1. Two staff (Project Director and Evaluator) to attend mandatory grantee meeting
in Washington, D.C.
2. Local travel is needed to attend local meetings, project activities, and training
privately owned vehicle reimbursement rate.
D. Equipment
Equipment is a single item of tangible, nonexpendable, personal property that has a
useful life of more than one year and a value of $5,000 or more (or a cost capitalization
threshold established by the applicant organization that is less). For example, an
applicant may classify equipment at $1,500 with a useful life of a year.
Provide the following information for the narrative and justification:
1. Item(s) Describe the equipment item(s) being purchased. The justification must
relate the use of each item to the scope of work and implementation of specific
program objectives.
2. Quantity Identify the number of items to be purchased.
3. Amount The total cost of purchase or lease of the equipment.
a. The justification should include the basis of how costs were estimated, e.g.,
fair market value, cost quotes.
b. The justification should include a lease versus purchase analysis, or a
statement addressing if it is feasible and/or cost effective to lease versus
purchase.
4. Percentage Charged to the Award
be charged to the award
5. Total Charged to the Award The total cost of the equipment that will be
charged to the award.
FEDERAL REQUEST Sample Equipment Narrative
67
Total Cost Charged to
Item(s) Quantity Amount % Charged to the the Award
(1) (2) (3) Award (5)
(4)
(enter in Section B column 1, line 6d of SF-424A) $0
E. Supplies
Supplies are items costing less than $5,000 per unit (federal definition), often having
one-time use.
Provide the following information for the narrative and justification:
1. Items list supplies by type, e.g., office supplies, postage, laptop computers.
a. The justification must include an explanation of the type of supplies to be
purchased and how it relates back to meeting the project objectives.
2. Calculation describe the basis for the cost, specifically the unit cost of each
item, number needed and total amount.
3. provide the total cost of the supply items
to be charged to the award during the budget period.
FEDERAL REQUEST Sample Supplies Narrative
Item(s) Rate Cost
General office supplies $50/mo. x 12 mo. $600
Postage $37/mo. x 8 mo. $296
Laptop Computer 1 x $900 $900
Printer 1 x $300 $300
Projector 1 x $900 $900
Copies 8000 copies x .10/copy $800
(enter in Section B column 1, line 6e of SF-424A) $3,796
FEDERAL REQUEST Sample Justification for Supplies
68
1. Office supplies, copies and postage 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.
F. Contract
List the budgets for each sub-award, contract, consultant, or consortium agreement.
Please note the differences between sub-awards, contracts, consultants, and
consortium agreements:
Sub-recipient means a non-Federal entity that receives a sub-award from a
pass-through entity to carry out part of a Federal award, including a portion of the
scope of work or objectives. Grant recipients are responsible for ensuring that all
sub-recipients comply with the terms and conditions of the award, per 45 CFR
§75.101.
Contracts are a legal instrument by which the grant recipient purchases good
and services needed to carry out the project or program under a Federal award.
Contracts include vendors (dealer, distributor or other sellers) that provide, for
example, supplies, expendable materials, or data processing services in support
of the project activities. The grant recipient must have established 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. Per 45 CFR §75.2, when
the substance of a contract meets the definition of sub-award, it must be treated
as a sub-award.
Consortium Agreements are between entities (which may or may not include
the grant recipient) working collaboratively on an award supported project. They
address the roles, responsibilities, implementation, and rights and responsibilities
between entities collaborating on an award.
Consultants are individuals retained to provide professional advice or services
for a fee. Travel for consultants and contractors should be shown in this category
along with consultant/contractor fees.
Provide the following information for the narrative and justification:
1. Name Provide the name of the entity and identify if it is a sub-recipient,
contractor, or consultant.
2. Service Identify the products or services to be obtained.
a. As part of the justification provide a summary of the scope of work, the
specific tasks to be performed, the necessity of the task for each sub-award
or contract as it relates to the Project Narrative. Include the dates/length for
69
the performance period. NOTE: costs that are outside the period of
performance of the award cannot be charged to the award.
3. Rate provide an itemized line item breakdown.
a. If applicable, include any indirect costs paid under a sub-award and the
indirect cost rate used. Do not incorporate sub-recipient, contract, or
consultant indirect costs under the indirect costs line item for the
grantee/recipient on the SF-424A and Section J of the budget
narrative/justification.
4. Contract Costs Charged to the Award -recipient,
consultant, or contract costs to be charged to the award during the budget
period.
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 Sample Contracts Narrative
Name (1) Service (2) Rate (3) Other Cost (4)
(1) State
$250/individual x 3
Department of Training 5 days $ 750
staff
Human Services
(2) Treatment
1040
Services
$27/client per year $28,080
Clients
*Travel at 3,126 @ .50 per
mile = $1,563
*Training course $175
1FTE @ $27,000 *Supplies @ $47.54 x 12
Treatment
(3) John Smith + Fringe Benefits months or $570
Client $46,168
(Case Manager) of $6,750 =
Services
$33,750
*Telephone @ $60 x 12
months = $720
*Indirect costs = $9,390
(negotiated with
contractor)
70
Name (1) Service (2) Rate (3) Other Cost (4)
$40 per hour x
(4) Jane Smith Evaluator 12 month period $9,000
225 hours
Marketing
Annual salary of
Coordinator
(5) To Be
$30,000 x 10% $3,000
Announced
level of effort
FEDERAL REQUEST (enter in Section B column 1, line 6f of-424A) $86,998
*Represents separate/distinct requested funds by cost category
FEDERAL REQUEST Sample Justification for Contracts
1. Certified trainers are necessary to carry out the purpose of the statewide
Consumer Network by providing recovery and wellness training, preparing
consumer leaders statewide, and educating the public on mental health recovery.
2. Client treatment services to be provided are based on organizational history of
expenses.
3. The Case Manager is vital to providing client services related to the program and
leading to successful outcomes.
4. The Evaluator is an experienced individual (Ph.D. level) with expertise in
substance abuse, research and evaluation, is knowledgeable about the
population of focus, and will be responsible for all data collection and reporting.
5. The Marketing Coordinator will develop a plan for public education and outreach
efforts to engage clients in the community about recipient activities; and provide
presentations at public meetings and community events to stakeholders,
community civic organizations, churches, agencies, family groups and schools.
G. Construction
Construction or major alternation and renovation are not authorized under this
program. Leave this section blank on line 6g of the SF-424A. Such activities are
allowable only when program legislation includes specific authority for construction. If
requesting consideration of minor alteration and renovation, provide those costs under
ost category (line 6h of the SF-424A and Section H of the budget
narrative/justification).
H. Other
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This category addresses any costs not included in of the other cost categories. Costs
Minor alteration and renovation (Minor A & R)
o Minor A & R is defined as work that changes the interior arrangement or
other physical characteristics of an existing facility or installed equipment
so that it can be used more effectively for its currently designed purpose
or adapted to an alternative use to meet a programmatic requirement.
Alteration and renovation may include work referred to as improvements,
conversion, rehabilitation, or remodeling, but is distinguished from new
facility construction, facility expansion, or major alterations and renovation
where the total Federal and non-Federal costs, excluding moveable
equipment (equipment that is not permanently affixed), exceeds $500,000.
o No more than $75,000 in Federal funds over the total period of
performance may be used to support minor A&R activities, and such
requests must be submitted to the GMS for formal prior
approval. SAMHSA grant funds cannot be used to support the
construction, expansion or major alternation and renovation of facilities. If
the proposed project is part of a larger overall project that exceeds
$500,000, it may not be artificially segmented to achieve the cost
threshold.
Rent
Client incentives
Telephone
Travel for training participants, advisory committees, and review panels
Training activities (except costs for consultant and/or contractual).
Provide the following information for the narrative and justification:
1. Item
explain the necessity of each cost for successful implementation and completion
of the project.
2. Rate
NOTE: Rent costs must be submitted with the following information:
The individual cost items that make up the total cost of the building
The methodology used to allocate the costs to the programs or activities
operating in the building
Rent Questions Worksheet
https://www.samhsa.gov/sites/default/files/rentquestionsworksheet.docx
Supporting documentation
3. Costs Charged to the Award provide the costs charged to the award.
FEDERAL REQUEST
72
Item Rate Cost
(1) Rent* $15/sq. ft. x 700 sq. feet $10,500
(2) Telephone $100/mo. x 12 mo. $1,200
(3) Client Incentives $10/client follow-up x 278 clients $2,780
(4) Brochures .89/brochure X 1500 brochures $1,335
FEDERAL REQUEST (enter in Section B column 1, line 6h of SF-424A) $15,815
FEDERAL REQUEST Sample Justification for Other
1. Costs related to office space are typically 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
*If rent is requested (direct or indirect), provide the name of the owner(s) of
the space/facility. Additionally, the lease and floor plan (including common
areas) are 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. The $10 incentive is needed to meet program goals in order to encourage
attendance and follow-up with 278 clients.
Brochures will be used at various community functions, such as health fairs and
exhibits.
I. Total Direct Charges
FEDERAL REQUEST TOTAL DIRECT CHARGES - Section B column 1, line 6i $177,462
of SF-424A
(The Total Direct Charges will sum automatically on the form)
J. Indirect Cost Rate
Indirect costs (also referred to as facilities and administrative costs) are costs that
cannot be specifically identified with a particular project or program or activity but are
necessary to the operations of the organization (i.e., overhead). Facilities operation and
maintenance costs, depreciation, and administrative expenses are examples of costs
that are usually treated as indirect costs. The organization must not include costs
associated with its indirect rate as direct costs.
73
Indirect costs may be charged to the award if:
The applicant has a Federally approved indirect cost rate
The applicant has never received a negotiated indirect cost rate and elects to
charge a de minimis rate of 10 percent of modified total direct costs (MTDC)
which can be used indefinitely for all awards until an indirect cost rate is approved.
If the de minimis rate is proposed the applicant must clearly state in their
justification that they have never received a negotiated IDC rate and are electing
to charge a de minimis rate of 10% of modified total direct costs (MTDC).
The MTDC indirect cost rate may be applied to:
o All direct salaries and wages charged to the award;
o Applicable fringe benefits;
o Materials and supplies;
o Services;
o Travel; and
o Sub-awards (first $25,000 of each sub-award)
The MTDC excludes equipment, capital expenditures, charges for patient
care, rental costs, tuition reimbursement, scholarships and fellowships,
participant support costs, and the portion of each sub-award in excess of
$25,000.
If the FOA is for a training grant or cooperative agreement, the indirect cost rate
is limited to 8 percent. Please refer to 45 CFR §75.414 at
https://www.ecfr.gov/cgi-bin/text-idx?node=pt45.1.75#se45.1.75_12, for more
information about indirect costs and facilities and administrative costs.
Provide the following information for the narrative and justification:
1. Calculation Briefly summarize type of indirect cost rate.
a. Attach a copy of the current fully executed, negotiated agreement indirect
cost rate agreement. The applicable indirect cost rate(s) negotiated by the
organization with the cognizant negotiating agency must be used in
computing indirect costs (F&A) for a proposal (2 CFR §200.414). The amount
for indirect costs should be calculated by applying the current negotiated
indirect cost rate(s) to the approved base(s).
2. Indirect Cost Charged to the Award list the total indirect costs that will be
charged to the award. Costs must be calculated using the correct indirect cost
base award (the categories of costs to which the indirect cost rate is applied).
74
Calculation Indirect Cost
(1) Charged to
the Award
(2)
10% of personnel and fringe - .10 x
$6,841
$68,409)
FEDERAL REQUEST (enter in Section B column 1, line 6j of-SF-424A) $6,841
TOTALS (6k) will sum automatically on the SF-424A
ADDITIONAL INSTRUCTIONS ON COMPLETING THE SF- 424A
In Section A, Use the first row only (Line 1) to report the total federal (e) funds and non-federal (f) funds
requested for the first year of your project only.
In Section B, Use the first column only (Column 1) to report the budget category breakouts (Lines 6a
through 6h) and indirect charges (Line 6j) for the total funding requested for the first year of your
project only. This total amount in 6k should be the same as the Total Federal Request for Year 1
entered on Line 1, Column (e) of Section A.
In Section C, if applicable, enter the funding/resources that your organization will contribute (Applicant)
as well as support you expect to receive from the State or other sources. Other support is defined as
funds or resources, whether federal, non-federal or institutional, in direct support of activities through
fellowships, gifts, prizes, in-kind contributions or non-federal means. \[See Appendix I Standard Funding
Restrictions for information on allowable costs.\]
In Section D Line 13, the funds needed for each quarter should be entered. The amount entered in
k in Section B.
Enter the amount for each quarter. The total in column 1 will sum automatically. Use the first row for
federal funds and the second row for non-federal funds.
In Section E, the funds being requested for Years 2, 3, and 4 should be entered. For example, Year 2
will be entered in column (b), Year 3 in column (c), etc.
A sample of a completed SF-424A is included at the end of this appendix.
Provide the total proposed project period and federal funding as follows:
Proposed Project Period
a. Start Date: 07/30/2020 b. End Date: 07/29/2024
BUDGET SUMMARY (should include future years and projected total)
75
Total
Category Year 1 Year 2* Year 3* Year 4* Year 5* Project
Costs
Personnel $52,765 $54,348 $55,978 $57,658 $59,387 $280,136
Fringe $15,644 $16,114 $17,353 $17,873 $18,409 $85,393
Travel $2,444 $1,140 $2,444 $1,140 $1,375 $8,543
Equipment 0 0 0 0 0 0
Supplies $3,796 $3,796 $3,796 $3,796 $3,796 $18,980
Contractual $86,998 $86,998 $86,998 $86,998 $86,998 $434,990
Other $15,815 $13,752 $11,629 $9,440 $7,187 $57,823
Total Direct
$177,462 $176,148 $178,198 $176,905 $177,152 $885,865
Charges
Indirect
$6,841 $7,046 $7,333 $7,553 $7,780 $36,553
Charges
Total Project
$184,303 $183,194 $185,531 $184,458 $184,932 $922,418
Costs
*FOR REQUESTED FUTURE YEARS:
1. Justify and explain any changes to the budget that differ from the amounts
reported in the Year 1 Budget Summary.
2. If a cost of living adjustment (COLA) is included in future years, provide your
which states that all employees
within the organization will receive a COLA.
In Section IV-3 of the FOA, any funding limitations or restrictions for the project will
be specified. If there are limitations, include a narrative and separate budget for
each year of the grant that shows the percent of the total grant award that will be
used in the area where there is a limitation. For example, most FOAs include funding
limitations for data collection and performance assessment. A sample budget for this
area is shown below.
76
Data Year 1 Year 2 Year 3 Year 4 Year 5 Total Data
Collection & Collection &
Performance Performance
Measurement Measurement
Costs
Personnel $6,700 $6,700 $6,700 $6,700 $6,700 $33,500
Fringe $2,400 $2,400 $2,400 $2,400 $2,400 $12,000
Travel $100 $100 $100 $100 1$100 $500
Equipment 0 0 0 0 0 0
Supplies $750 $750 $750 $750 $750 $3,750
Contractual $24,000 $24,000 $24,000 $24,000 $24,000 $120,000
Other 0 0 0 0 0 0
Total Direct $33,950 $33,950 $33,950 $33,950 $33,950 $169,750
Charges
Indirect $910 $910 $910 $910 $910 $4,550
Charges
Total Data $34,860 $34,860 $34,860 $34,860 $34,860 $174,300
Collection &
Performance
Measurement
Charges
The percentage of the budget that will be spent on data collection and performance
measurement does not exceed 20% for any budget period. Maximum percentage for
any budget period is 18.9% ($34,860/$184,303 Year 1).
A sample budget for funding limitations related to infrastructure development is shown
below.
77
Infrastructure Year 1 Year 2 Year 3 Year 4 Year 5 Total
Development Infra-
structure
Costs
Personnel $2,250 $2,250 $2,250 $2,250 $2,250
$11,250
Fringe $558 $558 $558 $558 $558
$2,790
Travel 0 0 0 0 0
0
Equipment $15,000 0 0 0 0
$15,000
Supplies $1,575 $1,575 $1,575 $1,575 $1,575
$7,875
Contractual $5,000 $5,000 $5,000 $5,000 $5,000
$25,000
Other $1,617 $2,375 $2,375 $2,375 $2,375
$11,117
Total Direct $26,000 $11,758 $11,758 $11,758 $11,758
$73,032
Charges
Indirect Charges $280 $280 $280 $280 $280
$1,400
Total $26,280 $12,038 $12,038 $12,038 $12,038
$74,432
Infrastructure
Costs
The maximum percentage of the budget that will be spent on infrastructure development
for any budget period is 14.2% ($26,280/$184,303 Year 1).
78
SAMPLE OF COMPLETED SF-424A
SECTION A BUDGET SUMMARY
Grant Catalog of Estimated New or Revised Budget
Program Federal Unobligated Funds
Function or Domestic
Activity Assistance
Number
Federal Non- Federal Non- Total
Federal Federal
(a)
(c) (e) (g)
(b)
(d) (f)
1. Title of
93.243
FOA
$184,303 $184,303
2.
3.
4.
5. Totals
$184,303 $184,303 this total
must match the total in
Section B (k) and
Section D (line 13)
Standard Form 424A
SECTION B BUDGET CATEGORIES
6. Object Class GRANT PROGRAM FUNCTION OR ACTIVITY Total
Categories
(1) Title of (2) (3) (4)
(5)
FOA
a. Personnel $52,765 $52,765
b. Fringe Benefits $15,644 $15,644
c. Travel $2,444 $2,444
d. Equipment $0 $0
e. Supplies $3,796 $3,796
f. Contractual $86,998 $86,998
79
6. Object Class GRANT PROGRAM FUNCTION OR ACTIVITY Total
Categories
(1) Title of (2) (3) (4)
(5)
FOA
g. Construction
$0 $0
h. Other
$15,815 $15,815
i. Total Direct Charges
$177,462 $177,462
(sum 6a-6h)
j. Indirect Charges
$6,841 $5,6,841
k. TOTALS (sum of 6i $184,303 this total
$184,303
and 6j) must match the total
in Section A (g) and
Line 13 in Section D
7. Program Income
Standard Form 424A
SECTION C NON-FEDERAL RESOURCES
(a) Grant Program (b) (c) (d) (e)
Applicant State Other TOTALS
Sources
8. Title of FOA
9.
10.
11.
12. TOTAL (sum of lines 8-11) $ $ $ $
SECTION D FORECASTED CASH NEEDS
ststndrdth
13. Federal
Totals for 1 Year 1 Quarter 2 Quarter 3 Quarter 4 Quarter
$184,303 this total
must match the total in
$46,075 $46,076 $46.076 $46,076
Section A (g) and
Section B (k)
80
14. Non-
Federal
15.TOTAL $184,303 $46,075 $46,076 $46,076 $46,076
(sum of lines 13
and 14)
SECTION E BUDGET ESTIMATES OF FEDERAL FUNDS NEEDED FOR BALANCE OF THE
PROJECT
(a) Grant Program
FUTURE FUNDING PERIODS
(b) First (c) Second (d) Third (e) Fourth
16. Title of FOA make sure the number of
$184,498 $185,531 $185,762 $186,001
future years aligns with the total years in Line
17 on the SF-424. This example shows a five-
year project (4 out years).
17.
18.
19.
20. TOTAL (Sum of lines 16-19)
$184,498 $185,531 $185,762 $186,001
SECTION F OTHER BUDGET INFORMATION
21. Direct Charges: 22. Indirect Charges:
23. Remarks:
81
AB1421
April 12, 2016
Presentation to the Board of Supervisors
Butte County, Department of Behavioral Health
Assisted Outpatient Treatment
Ћ
Ordered Outpatient Mental
-
Assisted Outpatient Treatment (AOT)
-
Background
following the 2001 killing of Laura Wilcox in Nevada County by an individual suffering from mental illness.In 2002 the State approved AB 1421 Demonstration Project Act of 2002This law
allows for Counties to implement CourtHealth Treatment for certain individuals who have a serious mental disorder
Ќ
)
in
-
opt
5349.5
-
)
5345
Code
criteria
to serve individuals while allowing them to remain living in the
law, but counties must choose to
California Welfare and Institutions eligibility
court proceedings (not criminal
Currently utilized or being implemented in 13 California Counties (degree of implementation varies depending on the CountyIntended communityState Strict Civil
Ѝ
Collaboration
Agency
-
Health
Rights
Requires Inter
Behavioral CourtsCounty CounselPublic Defender / District AttorneyPatientsLaw Enforcement
AOT
Ў
AOT Criteria
County resident 18 years or older suffering from severe mental illnessUnlikely to survive safely in the community without supervisionHistory of lack of participation in needed mental
health treatmentParticipation in AOT would be least restrictive treatment option
Џ
Criteria
2 psychiatric hospitalizations or incarcerations within the last 3 yearsTheir behavior has resulted in acts of violence, or attempts of violence toward self or others within prior 4
years
mental illness:
А
ƩĻğƷƒĻƓƷ
IĻğƩźƓŭ
{ǒƦĻƩźƚƩ /ƚǒƩƷ
tĻƷźƷźƚƓ CźƌźƓŭ ğƓķ
AOT Process
9ǝğƌǒğƷźƚƓ
LƓǝĻƭƷźŭğƷźƚƓ
tĻƷźƷźƚƓ
wĻƨǒĻƭƷ ŅƚƩ
Б
person
)
facility or where
treatment
provider
resides
a Mental Health
Request for Petition
of
treatment
mental health treatment
receiving
, spouse, sibling or child of person (18 or older
with whom person
enforcement, including parole/probation
Adult ParentDirector/designee is/was Licensed Law
В
etermine if he or she meets AOT criteria
d
Investigation/Evaluation
Locate and notify the individual of the filing and their rights, including the option to engage in AOT voluntarily. Evaluate the individual to Within 10 days of assessment, prepare written
petition to Superior Court that includes a clinical assessment, treatment plan recommendation, and justification for participation in AOTIf the Individual refuses evaluation, a Court
may order up to 72 hours of psychiatric hospitalization for the purposes of evaluation.
Once a request to file a petition is made to the County Mental Health Director the following must occur:
ЊЉ
Individual has right to counsel throughout the processIf the petition is upheld the Court may order the individual into AOT AOT is ordered for up to 180 days at a time Mental Health
Director must file affidavit at minimum every 60 days at which time the individual can contest the court order for AOT After 180 days a new petition must be filed if AOT is recommended
to be continued
Petition Filing and Superior Court Hearing
Upon receipt of Petition, the Court must set hearing within 5 days
ЊЊ
treatment
disciplinary treatment
-ratio
Treatment
to engage in
mobile, multi
based,
support
-
call
-
Community24/7 onMaximum of 1 staff to 10 clients Implement the court approved treatment plan agreed to with individualProvide housing that is immediate, transitional, or permanentProvide
incentives required Provide family support and consultation, parenting support, and peer supportTreatment provider may not force medication
ЊЋ
of
hours
Compliance with Treatment
-
Non
Compliance with medication or other court ordered treatment may result in a
-
Nonrequest of the treatment provider to the Court to order up to 72 hospitalization for evaluation Further hospitalization beyond 72 hours would require the individual to meet criteria
under 5150 (danger to self, others, or grave disability). Otherwise, the individual would have to be releasedFailure to comply with an order for AOT alone may not be grounds for involuntary
ЊЌ
Cal reimbursement
-
Medi
Funding
Mental Health Services Act (MHSA), Realignment and may be used for behavioral health treatment, administrative costs, quality management, flexible funds, and housing costsNo other programming
may be reduced or eliminated to fund AOTto the other partner agencies (Courts, Public Defender, County Counsel, etc.)
ЊЍ
$23,000 per client$21,000 per client$23,000 per client$15,000 per client$61K annuallyNo InformationNo Information$72K annually
Cost Research
San Luis Obispo (pop. 280,000)Nevada (pop. 100,00)Yolo (pop. 204,000)Shasta (Pop. 180,000)San Luis ObispoNevadaYoloShasta
Reported Estimated Costs from other Counties for Behavioral Health Services only (excludes housing costs):Estimated County Counsel costs from other Counties:Additional costs/resources:
Public Defender, DA, Law Enforcement and Courts to be determined.
ЊЎ
intensive in area where
-
\[źƒźƷğƷźƚƓƭ
Lacks mechanism for enforcementCannot compel medication compliance except in hospital setting with a separate court orderStaff/Resourcehealth care resources are limitedRequires significant
interagency processes with time sensitive mandatesExtensive reporting at State and local level
.ĻƓĻŅźƷƭ
mergency room visits for
e
Allows family member and others to petition for treatmentImproves engagement and compliance with treatmentProvides housing options to homeless participantsReduce incarceration/hospitalization
for participantsReduce participants
ЊЏ
Final Considerations
There is evidence from participating Counties that AOT has demonstrated a reduction in costs to community in terms of fewer incarcerations, hospital ER visits, and psychiatric hospitalizations
for most individuals participating in the program. AOT law is set to sunset on January 1, 2017. Current, proposed legislation (AB 59) would extend programming to January 1, 2022.The
California Department of Health Care Services has yet to issue its Legislative Report that was due in May, 2015. This report, when complete, should provide statewide, comprehensive
outcome data regarding the success of this program in the Counties where it has been implemented.