Cooperative Agreements for State Treatment Outcomes and Performance Pilot Studies Enhancement

Published on AidPage by IDILOGIC on Jun 24, 2005

Purpose of this program:

To enable project States to collect information on SAPT Block Grant funded treatment services and monitor common substance abuse treatment effectiveness data measures across various State management information systems (MIS). This program will support evaluation programs to design or enhance State MISs or Outcome Management Systems which examine treatment effectiveness and costs through standardized performance and outcome measures while incorporating these common data measures on an inter-State (i.e., with the States acting mutually together) basis.

Possible uses and use restrictions...

Funds (including direct costs and allowable indirect costs) may be used only for expenses clearly related and necessary to carry out approved activities that will support evaluation programs to design or enhance State management information systems or outcomes monitoring systems which examine treatment effectiveness and costs through standardized performance and outcome measures while incorporating these common data measures on an inter-State basis. Funds may not be used to supplant current funding for existing activities. Funds may not be used to pay for services except for additional costs created by the research and may not be used for the purchase of a facility to house any portion of the proposed project. Any funds proposed for the purpose of renovation expenses must be detailed and linked directly to programmatic activities. Any lease arrangements in association with the proposed project utilizing these funds may not extend beyond the project period or cover non-programmatic activities. Construction costs are not allowed.

Who is eligible to apply...

Project State applicants are Single State Authorities, Technical Assistance Center applicants are domestic private nonprofit (and for-profit) organizations such as community-based organizations, universities, colleges, and hospitals.

Eligible Applicant Categories:
Eligible Functional Categories:
Credentials/Documentation

None.

Note:This is a brief description of the credentials or documentation required prior to, or along with, an application for assistance.

About this section:

This section indicates who can apply to the Federal government for assistance and the criteria the potential applicant must satisfy. For example, individuals may be eligible for research grants, and the criteria to be satisfied may be that they have a professional or scientific degree, 3 years of research experience, and be a citizen of the United States. Universities, medical schools, hospitals, or State and local governments may also be eligible. Where State governments are eligible, the type of State agency will be indicated (State welfare agency or State agency on aging) and the criteria that they must satisfy.

Certain federal programs (e.g., the Pell Grant program which provides grants to students) involve intermediate levels of application processing, i.e., applications are transmitted through colleges or universities that are neither the direct applicant nor the ultimate beneficiary. For these programs, the criteria that the intermediaries must satisfy are also indicated, along with intermediaries who are not eligible.

How to apply...

Application Procedure:

All applicants must use application form PHS 5161-1 (Rev. 7/2000). Application kits containing the necessary forms and instructions may be obtained by contacting: The National Clearinghouse for Alcohol and Drug Information, P.O. Box 2345, Rockville, MD 20857 at telephone: 1 (800) 729-6686. Applications will be objectively reviewed by initial review group(s) composed primarily of nonfederal experts.

Note: Each program will indicate whether applications are to be submitted to the Federal headquarters, regional or local office, or to a State or local government office.

Award Procedure:

Cooperative agreements in support of State applications are recommended for approval by CSAT to the AOD Single State Agency. Cooperative agreements in support of technical assistance center applications are recommended for approval by the initial review groups and awarded by CSAT to domestic private nonprofit (and for- profit) organizations such as community-based organizations, universities, colleges, and hospitals.

Note: Grant payments may be made by a letter of credit, advance by Treasury check, or reimbursement by Treasury check. Awards may be made by the headquarters office directly to the applicant, an agency field office, a regional office, or by an authorized county office. The assistance may pass through the initial applicant for further distribution by intermediate level applicants to groups or individuals in the private sector.

Deadlines and process...

Deadlines

Contact the Headquarters Office listed below for application deadline.

Note: When available, this section indicates the deadlines for applications to the funding agency which will be stated in terms of the date(s) or between what dates the application should be received. When not available, applicants should contact the funding agency for deadline information.

Range of Approval/Disapproval Time

The range is from 120 days to 180 days from receipt date to award date.

Preapplication Coordination

This program is eligible for coverage under E.O. 12372, "Intergovernmental Review of Federal Programs." An applicant should consult the office or official designated as the single point of contact in his or her State for more information on the process the State requires to be followed in applying for assistance, if the State has selected the program for review.

Note: This section indicates whether any prior coordination or approval is required with governmental or nongovernmental units prior to the submission of a formal application to the federal funding agency.

Appeals

None.

Note: In some cases, there are no provisions for appeal. Where applicable, this section discusses appeal procedures or allowable rework time for resubmission of applications to be processed by the funding agency. Appeal procedures vary with individual programs and are either listed in this section or applicants are referred to appeal procedures documented in the relevant Code of Federal Regulations (CFR).

Renewals

None.

Note: In some instances, renewal procedures may be the same as for the application procedure, e.g., for projects of a non-continuing nature renewals will be treated as new, competing applications; for projects of an ongoing nature, renewals may be given annually.

Who can benefit...

Recipients of State governments.

Beneficiaries
About this section:

This section lists the ultimate beneficiaries of a program, the criteria they must satisfy and who specifically is not eligible. The applicant and beneficiary will generally be the same for programs that provide assistance directly from a Federal agency. However, financial assistance that passes through State or local governments will have different applicants and beneficiaries since the assistance is transmitted to private sector beneficiaries who are not obligated to request or apply for the assistance.

What types of assistance...

Project Grants

The funding, for fixed or known periods, of specific projects. Project grants can include fellowships, scholarships, research grants, training grants, traineeships, experimental and demonstration grants, evaluation grants, planning grants, technical assistance grants, survey grants, and construction grants.

How much financial aid...

Range and Average of Financial Assistance

$300,000 to $500,000; $459,839.

Note: This section lists the representative range (smallest to largest) of the amount of financial assistance available. These figures are based upon funds awarded in the past fiscal year and the current fiscal year to date. Also indicated is an approximate average amount of awards which were made in the past and current fiscal years.

Obligations

(Grants) FY 03 $1,599,920; FY 04 est $1,100,000; and FY 05 est $800,000.

Note: The dollar amounts listed in this section represent obligations for the past fiscal year (PY), estimates for the current fiscal year (CY), and estimates for the budget fiscal year (BY) as reported by the Federal agencies. Obligations for non-financial assistance programs indicate the administrative expenses involved in the operation of a program.

Account Identification

75-1362-0-1-550.

Note: Note: This 11-digit budget account identification code represents the account which funds a particular program. This code should be consistent with the code given for the program area as specified in Appendix III of the Budget of the United States Government.

Examples of funded projects...

Some examples of subject areas funded are: 1) Enhancement of an Outcomes Monitoring System (OMS) that is sustainable, affordable and that allows continual tracking and reporting on the effectiveness of the State's substance abuse treatment providers; (2) development of a standardized approach for systematically measuring the performance of substance abuse treatment providers and the treatment outcomes of clients as they a progress through the State treatment system; and (3) measuring patient status in the Addiction Severity Index's seven domains at both baseline and at a 12-month, post baseline follow-up.

About this section

This section indicates the different types of projects which have been funded in the past. Only projects funded under Project Grants or Direct Payments for Specified Use should be listed here. The examples give potential applicants an idea of the types of projects that may be accepted for funding. The agency should list at least five examples of the most recently funded projects.

Program accomplishments...

Six awards were made in fiscal year 2001. Six awards are anticipated for fiscal year 2002 and fiscal year 2003.

Criteria for selecting proposals...

Project applications will be reviewed, rated and ranked. Criteria for technical merit review of individual projects will include: understanding the proposed project; merit and appropriateness of project plan; appropriateness of project design and analysis of plan; planning and management; reasonableness and appropriateness of budget; and program evaluation. In addition, the award criteria will include availability of Federal funds and geographic distribution throughout the United States.

Assistance considerations...

Length and Time Phasing of Assistance

Applications will be accepted for a 3-year period with 12-month budget periods. Annual awards will be made subject to continued availability of funds and progress achieved.

Formula and Matching Requirements

This program does not require a formula. Matching is not required.

Note:
A formula may be based on population, per capita income, and other statistical factors. Applicants are informed whether there are any matching requirements to be met when participating in the cost of a project. In general, the matching share represents that portion of the project costs not borne by the Federal government. Attachment F of OMB Circular No. A-102 (Office of Management and Budget) sets forth the criteria and procedures for the evaluation of matching share requirements which may be cash or in-kind contributions made by State and local governments or other agencies, institutions, private organizations, or individuals to satisfy matching requirements of Federal grants or loans.

Cash contributions represent the grantees' cash outlay, including the outlay of money contributed to the grantee by other public agencies, institutions, private organizations, or individuals. When authorized by Federal regulation, Federal funds received from other grants may be considered as the grantees' cash contribution.

In-kind contributions represent the value of noncash contributions provided by the grantee, other public agencies and institutions, private organizations or individuals. In-kind contributions may consist of charges for real property and equipment, and value of goods and services directly benefiting and specifically identifiable to the grant program. When authorized by Federal legislation, property purchased with Federal funds may be considered as grantees' in-kind contribution.

Maintenance of effort (MOE) is a requirement contained in certain legislation, regulations, or administrative policies stating that a grantee must maintain a specified level of financial effort in a specific area in order to receive Federal grant funds, and that the Federal grant funds may be used only to supplement, not supplant, the level of grantee funds.

Post assistance requirements...

Reports

Interim and final progress reports and financial status reports will be required as specified in the PHS Grants Policy Statement requirements. To permit compliance with the Government Performance and Results Act, grantees will be required to supply necessary data about certain grant processes and/or outcomes in their regularly scheduled program progress reports. Instruction on the data to be supplied will be communicated to grantees by the funding Center shortly after the award is made.

Note: This section indicates whether program reports, expenditure reports, cash reports or performance monitoring are required by the Federal funding agency, and specifies at what time intervals (monthly, annually, etc.) this must be accomplished.

Audits

In accordance with the provisions of OMB Circular No. A- 133 (Revised, June 24, 1997), "Audits of States, Local Governments, and Non-Profit Organizations," nonfederal entities that expend financial assistance of $500,000 or more in Federal awards will have a single or a program-specific audit conducted for that year. Nonfederal entities that expend less than $500,000 a year in Federal awards are exempt from Federal audit requirements for that year, except as noted in Circular No. A-133. In addition, grants and cooperative agreements are subject to inspection and audits by DHHS and other Federal government officials. In addition, 45 CFR 74.26 requires that for-profit recipients and subrecipients have an audit performed in accordance with Government Auditing Standards or Circular No. A-133.

Note: This section discusses audits required by the Federal agency. The procedures and requirements for State and local governments and nonprofit entities are set forth in OMB Circular No. A-133. These requirements pertain to awards made within the respective State's fiscal year - not the Federal fiscal year, as some State and local governments may use the calendar year or other variation of time span designated as the fiscal year period, rather than that commonly known as the Federal fiscal year (from October 1st through September 30th).

Records

There is a 3-year record retention requirement. Records shall be retained beyond the 3-year period if the final audit has not been done or findings resolved.

Note: This section indicates the record retention requirements and the type of records the Federal agency may require. Not included are the normally imposed requirements of the General Accounting Office. For programs falling under the purview of OMB Circular No. A-102, record retention is set forth in Attachment C. For other programs, record retention is governed by the funding agency's requirements.

Regulations...

Authorization

Public Health Service Act, Section 1935(b)(1)(C), as amended, 42 U.S.C 300-35.

Note: This section lists the legal authority upon which a program is based (acts, amendments to acts, Public Law numbers, titles, sections, Statute Codes, citations to the U.S. Code, Executive Orders, Presidential Reorganization Plans, and Memoranda from an agency head).

Regulations, Guidelines, And Literature

45 CFR 96, 74 an 92 and the PHS Grants Policy Statement. Guidelines and instructions are included in the application kits available by request from: The National Clearinghouse for Alcohol an Drug Information, P.O. Box 2345, Rockville, MD 20857. Telephone: (301) 468-2600 or 1 (800) 729-6686.

Contact information...

Web Sites
Regional Or Local Office

Not applicable.

Note: This section lists the agency contact person, address and telephone number of the Federal Regional or Local Office(s) to be contacted for detailed information regarding a program such as: (1) current availability of funds and the likelihood of receiving assistance within a given period; (2) pre-application and application forms required; (3) whether a pre-application conference is recommended; (4) assistance available in preparation of applications; (5) whether funding decisions are made at the headquarters, regional or local level; (6) application renewal procedures (including continuations and supplementals) or appeal procedures for rejected applications; and (7) recently published program guidelines and material. However, for most federal programs, this section will instruct the reader to consult the so-called Appendix IV of the Catalog due to the large volume of Regional and Local Office Contacts for most agencies. This information is provided in Additional Contact Information (see below).

Headquarters Office

Program contact: Dr. Mickey Smith, Division for State and Community Assistance, Center for Substance Abuse Treatment, Rockwall II Building, Room 880, Telephone: (301) 443-8522. Grants Management contact: Kimberly Pendleton, Division of Grants Management, Office of Program Support, Substance Abuse and Mental Health Services Administration, Rockwall II Building, Room 630, Telephone: (301) 443-6133. The mailing address for all individuals listed above is 5600 Fishers Lane, Rockville, MD 20857. Use the same numbers for FTS.

Note: This section lists names and addresses of the office at the headquarters level with direct operational responsibility for managing a program. A telephone number is provided in cases where a Regional or Local Office is not normally able to answer detailed inquiries concerning a program. Also listed are the name(s) and telephone number(s) of the information contact person(s) who can provide additional program information to applicants.

Additional Contact Information (Appendix IV)

Due to the large volume of regional and local office contacts for most agencies, full contact information is also provided separately here in a PDF format: