[Federal Register Volume 68, Number 162 (Thursday, August 21, 2003)]
[Notices]
[Pages 50593-50606]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 03-21116]


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DEPARTMENT OF HEALTH AND HUMAN SERVICES

Substance Abuse and Mental Health Services Administration


Proposed Changes in Announcement of SAMHSA Discretionary Grant 
Funding Opportunities

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

ACTION: Notice of proposed standard services grant announcement.

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SUMMARY: Beginning in Fiscal Year (FY) 2004, the Substance Abuse and 
Mental Health Services Administration (SAMHSA) plans to change its 
approach to announcing and soliciting applications for its 
discretionary grant programs. The following announcement is a proposed 
standard announcement for SAMHSA's Services Grants. It is not an actual 
grant solicitation.

    Authority: Sections 509, 516, and 520A of the Public Health 
Service Act.

    When published in final, the standard SAMHSA Services Grant 
announcement will be used by applicants in conjunction with specific 
Notices of Funding Availability (NOFAs) to prepare applications for 
certain SAMHSA grants. SAMHSA is providing this draft announcement for 
public review and comment in order to ensure that the field is aware of 
the planned change and has an opportunity to identify areas where the 
announcement is unclear and needs improvement.

DATES: Submit written comments on this proposal by October 20, 2003.

ADDRESSES: Interested persons are invited to submit comments regarding 
SAMHSA's proposed standard Services Grant announcement to: Office of 
Policy, Planning and Budget, SAMHSA, Attn: Jennifer Fiedelholtz by fax 
(301-594-6159) or e-mail ([email protected]). Please 
include a phone number in your e-mail, so that SAMHSA staff may contact 
you if there are questions about your comments.

FOR FURTHER INFORMATION CONTACT: Jennifer Fiedelholtz of the Office of 
Policy, Planning and Budget, SAMHSA, by fax (301-594-6159) or e-mail 
([email protected]). If you would like a SAMHSA staff 
person to call you about your questions, please state this in an e-mail 
or fax request and provide a telephone number where you can be reached 
between 8:30 a.m. and 5 p.m. Eastern Standard Time.

SUPPLEMENTARY INFORMATION: Starting in FY 2004, SAMHSA plans to change 
its approach to announcing and soliciting applications for its 
discretionary grants. SAMHSA plans to issue the following Services 
Grant announcement as one of four standard grant announcements that 
will describe the general program design and provide application 
instructions for four types of grants--Services Grants, Infrastructure 
Grants, Best Practices Planning and Implementation Grants, and Service-
to-Science Grants. The standard announcements will be used in 
conjunction with brief Notices of Funding Availability (NOFAs) that 
will announce the availability of funds for specific grant funding 
opportunities within each of the standard grant programs (e.g., 
Homeless Treatment grants, Statewide Family Network grants, or HIV/AIDS 
and Substance Abuse Prevention Planning Grants).
    A complete description of the proposed process, the other three 
proposed standard announcements and a sample NOFA are contained in 
separate notices in this issue of the Federal Register.
    SAMHSA welcomes public comment on all aspects of the following 
announcement. In particular, SAMHSA welcomes comment on the following 
issues:
    1. Is the difference between the standard announcement and a NOFA 
clear?
    2. Are the programmatic requirements for SAMHSA's Services Grants 
clear?
    3. Are the goals/objectives for SAMHSA's Services Grants clear?
    4. If you are a potential applicant for a SAMHSA Services Grant, do 
you believe you will be able to use the standard Services Grant 
announcement with the NOFA to prepare your application? Will the 
ability to anticipate programmatic requirements through reviewing the 
standard grant announcements ahead of time improve your ability to 
prepare a solid application? Is the additional benefit ``worth'' the 
``cost'' of having to use two different documents to prepare your 
application?

[[Page 50594]]

Text of Proposed Standard Announcement

Department of Health and Human Services

Substance Abuse and Mental Health Services Administration

Services Grants--SVC 04 (Initial Announcement)
    Catalogue of Federal Domestic Assistance (CFDA) No.: 93.243 
(unless otherwise specified in a NOFA in the Federal Register and on 
http://www.grants.gov).

    Authority: Sections 509, 516 and/or 520A of the Public Health 
Service Act, as amended, and subject to the availability of funds 
(unless otherwise specified in a NOFA in the Federal Register and on 
http://www.grants.gov).
Key Dates

------------------------------------------------------------------------
 
------------------------------------------------------------------------
Application Deadline.........  This Program Announcement provides
                                general instructions and guidelines for
                                multiple funding opportunities.
                                Application deadlines for specific
                                funding opportunities will be published
                                in Notices of Funding Availability
                                (NOFAs) in the Federal Register and on
                                http://www.grants.gov.
Intergovernmental Review       Letters from State Single Point of
 (E.O. 12372).                  Contact (SPOC) are due no later than 60
                                days after application deadline.
Public Health System Impact    Applicants must send the PHSIS to
 Statement (PHSIS)/Single       appropriate State and local health
 State Agency Coordination.     agencies by application deadline.
                                Comments from Single State Agency are
                                due no later than 60 days after
                                application deadline.
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Table of Contents

I. Funding Opportunity Description
    A. Introduction
    B. Expectations
II. Award Information
    A. Award Amount
    B. Funding Mechanism
III. Eligibility Information
    A. Eligible Applicants
    B. Cost-Sharing
    C. Other
IV. Application and Submission Information
    A. Address to Request Application Package
    B. Content and Form of Application Submission
    C. Submission Dates and Times
    D. Intergovernmental Review (E.O. 12372) Requirements
    E. Funding Limitations/Restrictions
    F. Other Submission Requirements
V. Application Review Information
    A. Evaluation Criteria
    B. Review and Selection Process
    C. Award Criteria
VI. Award Administration Information
    A. Award Notices
    B. Administrative and National Policy Requirements
    C. Reporting Requirements
VII. Agency Contacts
VIII. Other Information
    A. SAMHSA Confidentiality and Participant Protection 
Requirements and Protection of Human Subjects Regulations
    B. Intergovernmental Review (E.O. 12372) Instructions
    C. Public Health System Impact Statement
Appendix A: SAMHSA Services Indicators
Appendix B: Checklist for Application Formatting Requirements
Appendix C: Glossary
Appendix D: National Registry of Effective Programs
Appendix E: Center for Mental Health Services Evidence-Based 
Practice Toolkits
Appendix F: Effective Substance Abuse Treatment Practices
Appendix G: Statement of Assurance

I. Funding Opportunity Description

A. Introduction

    The Substance Abuse and Mental Health Services Administration 
(SAMHSA) announces its intent to solicit applications for Services 
Grants. These grants will expand and strengthen effective, culturally 
appropriate substance abuse and mental health services at the State and 
local levels. The services implemented through SAMHSA's Services Grants 
must incorporate the best objective information available from 
recognized experts regarding effectiveness and acceptability. In 
general, the services implemented through SAMHSA's Services Grants will 
have strong evidence of effectiveness. However, depending on the 
``state of the science'' in a given area, services may be funded for 
which the evidence base, while sound, is limited. SAMHSA expects that 
the services funded through these grants will be sustained by the 
grantee beyond the term of the grant.
    SAMHSA also funds grants under three other standard grant 
announcements:
    [sbull] Infrastructure Grants support identification and 
implementation of systems changes but are not designed to fund 
services.
    [sbull] Best Practices Planning and Implementation Grants help 
communities and providers identify practices to effectively meet local 
needs, develop strategic plans for implementing/adapting those 
practices and pilot-test practices prior to full-scale implementation.
    [sbull] Service to Science Grants document and evaluate innovative 
practices that address critical substance abuse and mental health 
service gaps but that have not yet been formally evaluated.
    This announcement describes the general program design and provides 
application instructions for all SAMHSA Services Grants. The 
availability of funds for specific Services Grants will be announced in 
supplementary Notices of Funding Availability (NOFAs) in the Federal 
Register and at http://www.grants.gov--the Federal grant announcement 
Web page.
    Typically, funding for Services Grants will be targeted to specific 
populations and/or issue areas, which will be specified in the NOFAs. 
The NOFAs will also:
    [sbull] Specify total funding available for the first year of the 
grants and the expected size and number of awards;
    [sbull] Provide the application deadline;
    [sbull] Note any specific program requirements for each funding 
opportunity; and
    [sbull] Include any limitations or exceptions to the general 
provisions in this announcement (e.g., eligibility, allowable 
activities).
    It is, therefore, critical that you consult the NOFA as well as 
this announcement in developing your grant application.

B. Expectations

    The Services Grant program is designed to address gaps in substance 
abuse and mental health services and/or to increase the ability of 
States, units of local government, Indian tribes, tribal organizations 
and governments, and community- and faith-based organizations to help 
specific populations or geographic areas with serious, emerging mental 
health and substance abuse problems. SAMHSA intends that its Services 
Grants result in

[[Page 50595]]

the delivery of services as soon as possible and no later than 4 months 
after award. SAMHSA's Services Grants may include substance abuse 
prevention, substance abuse treatment and/or mental health services. 
Throughout this announcement, SAMHSA will use the term ``services'' to 
refer to all three types of services. The NOFA will provide guidance on 
the particular type of service to be provided through each funding 
opportunity.
1. Documenting the Evidence-Base for Services To Be Implemented
    The services implemented through SAMHSA's Services Grants must 
incorporate the best objective information available from recognized 
experts regarding effectiveness and acceptability. In general, the 
services implemented through SAMHSA's Services Grants will have strong 
evidence of effectiveness. However, because the evidence base is 
limited in some areas, SAMHSA may fund some services for which the 
evidence of effectiveness is based on formal consensus among recognized 
experts in the field and/or evaluation studies that have not been 
published in the peer reviewed literature.
    Applicants proposing to implement practices included in the 
following sources meet the standard of effectiveness for SAMHSA's 
Services Grants, and will not be required to provide further 
documentation of the practice's effectiveness:
    [sbull] SAMHSA's National Registry of Effective Programs (NREP) 
(see Appendix D),
    [sbull] Center for Mental Health Services (CMHS) Evidence Based 
Practice Tool Kits (see Appendix E),
    [sbull] List of Effective Substance Abuse Treatment Practices (see 
Appendix F),
    [sbull] Additional practices identified in the NOFA for a specific 
funding opportunity.
    Applicants proposing services/practices that have not been 
identified by SAMHSA as meeting the required effectiveness standard 
must show that the services to be implemented through their proposed 
projects incorporate the best objective information available from 
recognized experts regarding effectiveness and acceptability. To do so, 
applicants must provide a narrative justification that describes the 
evidence for the services/practices and summarizes the evidence for 
effectiveness. The evidence may come from various sources, including 
the published research literature, formal consensus among recognized 
experts, and studies that have not been published in the peer-reviewed 
research literature.
2. Services Delivery
    SAMHSA's Services Grant funds must be used primarily to support 
direct services, including the following types of activities:
    [sbull] Conducting outreach and pre-service strategies to expand 
access to treatment or prevention services to underserved populations. 
If you propose to provide only outreach and pre-service strategies, you 
must show that your organization is an effective and integral part of a 
network of service providers.
    [sbull] Purchasing or providing direct treatment or prevention 
services for populations at risk. Treatment must be provided in 
outpatient, day treatment or intensive outpatient, or residential 
programs.
    [sbull] Purchasing or providing ``wrap-around'' services (e.g., 
child care, vocational, educational and transportation services) 
designed to improve access and retention.
    [sbull] Collecting data using specified tools and standards to 
measure and monitor treatment or prevention services and costs. (No 
more than 20% of the total grant award may be used for data collection 
and evaluation.)
3. Infrastructure Development (Maximum 15% of Total Grant Award)
    Although SAMHSA expects that its Services Grant funds will be used 
primarily for direct services, SAMHSA recognizes that infrastructure 
changes may be needed to support service delivery expansion in some 
instances. You may use up to 15% of the total Services Grant award for 
the following types of infrastructure development, if necessary to 
support the direct service expansion of the grant project.
    [sbull] Building partnerships to ensure the success of the project 
and entering into service delivery and other agreements.
    [sbull] Developing or changing the infrastructure to expand 
treatment or prevention services.
    [sbull] Training to assist treatment or prevention providers and 
community support systems to identify and address mental health or 
substance abuse issues.
4. Grantee Meetings
    You must plan to send a minimum of two people (including the 
Project Director) to at least one joint grantee meeting in each year of 
the grant, and you must include funding for this travel in your budget. 
At these meetings, grantees will present the results of their projects 
and Federal staff will provide technical assistance. Each meeting will 
be 3 days. These meetings will usually be held in the Washington, D.C., 
area, and attendance is mandatory.
5. Data and Performance Measurement
    The Government Performance and Results Act of 1993 (Pub. L.103-62, 
or ``GPRA'') requires all Federal agencies to:
    [sbull] Develop strategic plans that specify what they will 
accomplish over a 3 to 5-year period;
    [sbull] Set performance targets annually related to their strategic 
plan; and
    [sbull] Report annually on the degree to which the previous year's 
targets were met.
    The law further requires agencies to link their performance to 
their budgets. Agencies are expected to evaluate their programs 
regularly and to use results of these evaluations to explain their 
successes and failures.
    To meet these requirements, SAMHSA must collect performance data 
(i.e., ``GPRA data'') from grantees. You are required to report these 
GPRA data to SAMHSA on a timely basis so that performance results are 
available to support budgetary decisions.
    In particular, you will be required to provide data on a core set 
of required measures, depending on the SAMHSA Center that is funding 
the grant. In your application, you must demonstrate your ability to 
collect and report on these measures, and you must provide some 
baseline data.
    Appendix A provides the performance indicators for SAMHSA's 
Services grantees. For complete information on the core measures 
relating to these indicators and the methodology for data collection 
and reporting, please consult the following Web sites:
    [sbull] Center for Mental Health Services-funded grants: http://www.samhsa.gov/aps/CMHS/GPRA.
    [sbull] Center for Substance Abuse Prevention-funded grants: http://www.samhsa.gov/aps/CSAP/GPRA.
    [sbull] Center for Substance Abuse Treatment-funded-grants: http://www.samhsa.gov/aps/CSAT/GPRA.
    This information will be provided in the hard copy application kits 
distributed by SAMHSA's Clearinghouses, as well.
    In some instances, you may be required to participate in cross-site 
evaluations and comply with additional data collection requirements. 
The NOFA will state if participation in a cross-site evaluation is 
required and will specify additional data collection requirements. 
Before grant award, a final agreement regarding data collection will be 
reached. The terms and conditions of the grant award will specify the 
data to

[[Page 50596]]

be submitted and the schedule for submission. Grantees will be required 
to adhere to these terms and conditions of award.
6. Evaluation
    Grantees must evaluate their projects, and you are required to 
describe your evaluation plans in your application. The evaluation 
should be designed to provide regular feedback to the project to 
improve services. Therefore, the evaluation must include the required 
performance measures described above. The evaluation must include both 
process and outcome components. Process and outcome evaluations must 
measure change relating to project goals and objectives over time 
compared to baseline information. Control or comparison groups are not 
required. You must consider your evaluation plan when preparing the 
project budget.
    Process components should address issues such as:
    [sbull] How closely did implementation match the plan?
    [sbull] What types of deviation from the plan occurred?
    [sbull] What led to the deviations?
    [sbull] What effect did the deviations have on the planned 
intervention and evaluation?
    [sbull] Who provided (program, staff) what services (modality, 
type, intensity, duration), to whom (individual characteristics), in 
what context (system, community), and at what cost (facilities, 
personnel, dollars)?
    Outcome components should address issues such as:
    [sbull] What was the effect of treatment on participants?
    [sbull] What program/contextual factors were associated with 
outcomes?
    [sbull] What individual factors were associated with outcomes?
    [sbull] How durable were the effects?
    No more than 20% of the total grant award may be used for 
evaluation and data collection.

II. Award Information

A. Award Amount

    The expected award amount for each funding opportunity will be 
specified in the NOFA. Typically, SAMHSA's Services Grant awards are 
expected to be about $500,000 per year for up to 5 years. Awards may 
range as high as $3.0 million per year for up to 5 years. Regardless of 
the award amount specified in the NOFA, the actual award amount will 
depend on the availability of funds.
    Applications with proposed budgets that exceed the allowable amount 
specified in the NOFA in any year of the proposed project will be 
screened out and will not be reviewed. Annual continuation awards will 
depend on the availability of funds, grantee progress in meeting 
project goals and objectives, and timely submission of required data 
and reports.

B. Funding Mechanism

    The NOFA will indicate whether awards for each funding opportunity 
will be made as grants or cooperative agreements (see the Glossary in 
Appendix C for further explanation of these funding mechanisms). For 
cooperative agreements, the NOFA will describe the nature of Federal 
involvement in project performance and specify roles and 
responsibilities of grantees and Federal staff.

III. Eligibility Information

A. Eligible Applicants

    Eligible applicants are domestic public and private nonprofit 
entities. For example, State, local or tribal governments; public or 
private universities and colleges; community- and faith-based 
organizations; and tribal organizations may apply. The statutory 
authority for this program precludes grants to for-profit 
organizations. The NOFA will indicate any limitations on eligibility.

B. Cost-Sharing

    Cost-sharing is not required in this program, and applications will 
not be screened out on the basis of cost-sharing. However, you may 
include cash or in-kind contributions in your proposal as evidence of 
commitment to the proposed project. Reviewers may consider this 
information in evaluating the quality of the application.

C. Other

1. Additional Eligibility Requirements
    SAMHSA applicants must comply with certain program requirements, 
including:
    [sbull] Provisions relating to participant protection and the 
protection of human subjects specified in Section VIII-A of this 
document;
    [sbull] Budgetary limitations as specified in Sections I, II, and 
IV-E of this document;
    [sbull] Documentation of nonprofit status as required in the PHS 
5161-1;
    [sbull] Requirements relating to provider organization experience 
and provider organization certification and licensure, described below.
    You also must comply with any additional program requirements 
specified in the NOFA, such as signature of certain officials on the 
face page of the application and/or required memoranda of understanding 
with certain signatories.
    Applications that do not comply with the specific program 
requirements for the funding opportunity for which the application is 
submitted will be screened out and will not be reviewed.
2. 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. Therefore, in addition to the basic eligibility 
requirements specified in this announcement, applicants must meet three 
additional requirements related to the provision of treatment or 
prevention services.
    The three requirements are:
    [sbull] A provider organization for direct client services (e.g., 
substance abuse treatment, substance abuse prevention, mental health 
services) appropriate to the grant must be involved in each 
application. The provider may be the applicant or another organization 
committed to the project. More than one provider organization may be 
involved;
    [sbull] Each of the direct service provider organization(s) must 
have at least 2 years experience providing services in the area(s) 
covered by the application, as of the due date of the application; and
    [sbull] The direct service provider organization(s) must comply 
with all applicable local (city, county) and State/tribal 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 organization's license.

    In Appendix 1 of the application, you must: (1) Identify at least 
one experienced, licensed service provider organization; (2) include a 
list of all direct service provider organizations that have agreed to 
participate in the proposed project, including the applicant agency if 
the applicant is a treatment or prevention service provider 
organization; and (3) include the Statement of Assurance (provided in 
Appendix G of this announcement), signed by the authorized 
representative of the applicant organization identified on the face-
page of the application, that all participating service provider 
organizations:
    [sbull] Meet the 2-year experience requirement;

[[Page 50597]]

    [sbull] Are licensed, accredited, and certified; and,
    [sbull] If the application is within the funding range, will 
provide the Government Project Officer (GPO) with the required 
documentation within the specified timeframe.
    If Appendix 1 of the application does not contain these three 
items, the application will be considered ineligible and will not be 
reviewed.
    In addition, if, following application review, an application's 
score is within the fundable range for a grant award, the GPO will call 
the applicant and request that the following documentation be sent by 
overnight mail:
    [sbull] A letter of commitment that specifies the nature of the 
participation and what service(s) will be provided from every service 
provider organization that has agreed to participate in the project;
    [sbull] Official documentation that all participating organizations 
have been providing relevant services for a minimum of 2 years before 
the date of the application in the area(s) in which the services are to 
be provided; and
    [sbull] Official documentation that all participating service 
provider organizations comply with all applicable local (city, county) 
and State/tribal requirements for licensing, accreditation, and 
certification or official documentation from the appropriate agency of 
the applicable State/tribal, county, or other governmental unit that 
licensing, accreditation, and certification requirements do not exist.
    If the GPO does not receive this documentation within the time 
specified, the application will be removed from consideration for an 
award and the funds will be provided to another applicant meeting these 
requirements.

IV. Application and Submission Information

    (To ensure that you have met all submission requirements, a 
checklist is provided for your use in Appendix B of this document.)

A. Address to Request Application Package

    You may request a complete application kit by calling one of 
SAMHSA's national clearinghouses:
    [sbull] For substance abuse prevention or treatment grants, call 
the National Clearinghouse for Alcohol and Drug Information (NCADI) at 
1-800-729-6686.
    [sbull] For mental health grants, call the National Mental Health 
Information Center at 1-800-789-CMHS (2647).
    You also may download the required documents from the SAMHSA Web 
site at http://www.samhsa.gov. Click on ``grant opportunities.''
    Additional materials available on this Web site include:
    [sbull] A technical assistance manual for potential applicants;
    [sbull] Standard terms and conditions for SAMHSA grants;
    [sbull] Guidelines and policies that relate to SAMHSA grants (e.g., 
guidelines on cultural competence, consumer and family participation, 
and evaluation); and
    [sbull] Enhanced instructions for completing the PHS 5161-1 
application.

B. Content and Form of Application Submission

1. Required Documents
    SAMHSA application kits include the following documents:
    [sbull] PHS 5161-1 (revised July 2000)--Includes the face page, 
budget forms, assurances, certification, and checklist. Use the PHS 
5161-1, unless otherwise specified in the NOFA. Applications that are 
not submitted on the required application form will be screened out and 
will not be reviewed.
    [sbull] Program Announcement (PA)--Includes instructions for the 
grant application. This document is the PA.
    [sbull] Notice of Funding Availability (NOFA)--Provides specific 
information about availability of funds, as well as any exceptions or 
limitations to provisions in the PA. The NOFAs will be published in the 
Federal Register, as well as on the Federal grants Web site (http://www.grants.gov).
    You must use all of the above documents in completing your 
application.
2. Order of Sections
    Applications must be complete and contain all information needed 
for review. In order for your application to be complete, it must 
include the following sections in the order listed. Applications that 
do not contain these sections will be screened out and will not be 
reviewed.
    [sbull] Face Page--Use Standard Form (SF) 424, which is part of the 
PHS 5161-1.

    Note:  Beginning October 1, 2003, applicants will need to 
provide a Dun and Bradstreet (DUNS) number to apply for a grant or 
cooperative agreement from the Federal Government. SAMHSA applicants 
will be required to provide their DUNS number on the face page of 
the application. Obtaining a DUNS number is easy and there is no 
charge. To obtain a DUNS number, access the Dun and Bradstreet Web 
site at http://www.dunandbradstreet.com or call 1-866-705-5711. To 
expedite the process, let Dun and Bradstreet know that you are a 
public/private nonprofit organization getting ready to submit a 
Federal grant application.

    [sbull] Abstract--Your total abstract should not be longer than 35 
lines. In the first five lines or less of your abstract, write a 
summary of your project that can be used, if your project is funded, in 
publications, reporting to Congress, or press releases.
    [sbull] Table of Contents--Include page numbers for each of the 
major sections of your application and for each appendix.
    [sbull] Budget Form--Use SF 424A, which is part of the PHS 5161-1. 
Fill out Sections B, C, and E of the SF 424A.
    [sbull] Project Narrative and Supporting Documentation--The Project 
Narrative describes your project. It consists of Sections A through E. 
Section A may not be longer than 3 pages in length. Sections B-E 
together may not be longer than 25 pages. More detailed instructions 
for completing each section of the Project Narrative are provided in 
``Section V--Application Review Information'' of this document.
    [sbull] The Supporting Documentation provides additional 
information necessary for the review of your application. This 
supporting documentation should be provided immediately following your 
Project Narrative in Sections F through H. There are no page limits for 
these sections, except for Section G, the Biographical Sketches/Job 
Descriptions.
    [sbull] Section F--Budget Justification, Existing Resources, Other 
Support. You must provide a narrative justification of the items 
included in your proposed budget, as well as a description of existing 
resources and other support you expect to receive for the proposed 
project. Be sure to show that no more than 15% of the total grant award 
will be used for infrastructure development and that no more than 20% 
of the total grant award will be used for data collection and 
evaluation.
    [sbull] Section G--Biographical Sketches and Job Descriptions.
    [sbull] Include a biographical sketch for the Project Director and 
other key positions. Each sketch should be 2 pages or less. If the 
person has not been hired, include a letter of commitment from the 
individual with a current biographical sketch.
    [sbull] Include job descriptions for key personnel. Job 
descriptions should be no longer than 1 page each.
    [sbull] Sample sketches and job descriptions are listed on page 22, 
Item 6 in the Program Narrative section of the PHS 5161-1.
    [sbull] Section H--Confidentiality and SAMHSA Participant 
Protection/Human

[[Page 50598]]

Subjects. Instructions for completing Section H of your application are 
provided below in Section VIII-A of this document.
    [sbull] Appendices 1 through 5--Use only the appendices listed 
below. Do not use more than 30 pages (excluding data collection 
instruments and interview protocols) for the appendices. Do not use 
appendices to extend or replace any of the sections of the Project 
Narrative unless specifically required in the NOFA. Reviewers will not 
consider them if you do.
    [sbull] Appendix 1: Letters of commitment/support. Identification 
of at least one experienced, licensed service provider organization. A 
list of all direct 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. The 
Statement of Assurance (provided in Appendix G of this announcement) 
signed by the authorized representative of the applicant organization 
identified on the face page of the application, that assures SAMHSA 
that all listed providers meet the 2-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.
    [sbull] Appendix 2: Data Collection Instruments/Interview 
Protocols.
    [sbull] Appendix 3: Sample Consent Forms.
    [sbull] Appendix 4: Letter to the SSA (if applicable; see Section 
VIII-C of this document).
    [sbull] Appendix 5: A copy of the State Strategic Plan, a State 
needs assessment, or a letter from the State indicating that the 
proposed project addresses a State-identified priority.
    [sbull] Assurances--Non-Construction Programs. Use Standard Form 
424B found in PHS 5161-1.
    [sbull] Certifications--Use the ``Certifications'' forms found in 
PHS 5161-1.
    [sbull] Disclosure of Lobbying Activities--Use Standard Form LLL 
found in the PHS 5161-1. Federal law prohibits the use of appropriated 
funds for publicity or propaganda purposes, or for the preparation, 
distribution, or use of the information designed to support or defeat 
legislation pending before the Congress or State legislatures. This 
includes ``grass roots'' lobbying, which consists of appeals to members 
of the public suggesting that they contact their elected 
representatives to indicate their support for or opposition to pending 
legislation or to urge those representatives to vote in a particular 
way.
    [sbull] Checklist--Use the Checklist found in PHS 5161-1. The 
Checklist ensures that you have obtained the proper signatures, 
assurances and certifications and is the last page of your application.
3. Application Formatting Requirements
    Applicants also must comply with the following basic application 
requirements. Applications that do not comply with these requirements 
will be screened out and will not be reviewed.
    [sbull] Text must be legible.
    [sbull] Paper must be white and 8.5'' by 11.0'' in size.
    [sbull] Pages must be typed single-spaced with one column per page.
    [sbull] Page margins must be at least one inch.
    [sbull] Type size in the Project Narrative cannot exceed an average 
of 15 characters per inch when measured with a ruler. (Type size in 
charts, tables, graphs, and footnotes will not be considered in 
determining compliance.)
    [sbull] Photo reduction or condensation of type cannot be closer 
than 15 characters per inch or 6 lines per inch.
    [sbull] The pages cannot have printing on both sides.
    [sbull] Page limitations specified for the Project Narrative and 
Appendices cannot be exceeded.
    [sbull] Information must be sufficient for review.
    To facilitate review of your application, follow these additional 
guidelines:
    [sbull] Applications should be prepared using black ink. This 
improves the quality of the copies of applications that are provided to 
reviewers.
    [sbull] Use white paper only. Do not use colored, heavy, or light-
weight paper or any material that cannot be photocopied using automatic 
photocopying machines. Odd-sized and oversized attachments, such as 
posters, will not be copied or sent to reviewers. Do not send 
videotapes, audiotapes, or CD-ROMs.
    [sbull] Pages should be numbered consecutively from beginning to 
end so that information can be located easily during review of the 
application. For example, the cover page should be labeled ``page 1,'' 
the abstract page should be ``page 2,'' and the table of contents page 
should be ``page 3.'' Appendices should be labeled and separated from 
the Project Narrative and budget section, and the pages should be 
numbered to continue in the sequence.

C. Submission Dates and Times

    Deadlines for submission of applications for specific funding 
opportunities will be included in the NOFAs published in the Federal 
Register and posted on the Federal grants Web site (http://www.grants.gov).
    Your application must be received by the application deadline. 
Applications received after this date must have a proof-of-mailing date 
from the carrier dated at least 1 week prior to the due date. Private 
metered postmarks are not acceptable as proof of timely mailing.
    You will be notified by postal mail that your application has been 
received.
    Applications not received by the application deadline or not 
postmarked by a week prior to the application deadline will be screened 
out and will not be reviewed.

D. Intergovernmental Review (E.O. 12372) Requirements

    Executive Order 12372, as implemented through Department of Health 
and Human Services (DHHS) regulation at 45 CFR part 100, sets up a 
system for State and local review of applications for Federal financial 
assistance. Instructions for this review are included in Section VIII-B 
of this document. Section VIII-C provides instructions for the Public 
Health System Impact Statement (PHSIS) and submission of comments from 
the Single State Agency (SSA).

E. Funding Limitations/Restrictions

    Cost principles describing allowable and unallowable expenditures 
for Federal grantees, including SAMHSA grantees, are provided in the 
following documents:
    [sbull] Institutions of Higher Education: OMB Circular A-21.
    [sbull] State and Local Governments: OMB Circular A-87.
    [sbull] Nonprofit Organizations: OMB Circular A-122.
    [sbull] Appendix E Hospitals: 45 CFR Part 74.
    In addition, SAMHSA Services Grant recipients must comply with the 
following funding restrictions:
    [sbull] No more than 15% of the total grant award may be used for 
developing the infrastructure necessary for expansion of services.
    [sbull] No more than 20% of the total grant award may be used for 
evaluation and data collection.
    Service Grant funds must be used for purposes supported by the 
program and may not be used to:
    [sbull] Pay for any lease beyond the project period.
    [sbull] Provide services to incarcerated populations (defined as 
those persons in jail, prison, detention facilities, or in custody 
where they are not free to move about in the community).

[[Page 50599]]

    [sbull] 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.)
    [sbull] 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.)
    [sbull] Pay for housing other than residential mental health and/or 
substance abuse treatment.
    [sbull] Provide inpatient treatment or hospital-based 
detoxification services. Residential services are not considered to be 
inpatient or hospital-based services.
    [sbull] Pay for incentives to induce individuals to enter 
treatment. However, a grantee or treatment provider may provide up to 
$20 or equivalent (coupons, bus tokens, gifts, child care, and 
vouchers) to individuals as incentives to participate in required data 
collection follow-up. This amount may be paid for participation in each 
required interview.
    [sbull] Implement syringe exchange programs, such as the purchase 
and distribution of syringes and/or needles.
    [sbull] Pay for pharmacologies for HIV antiretroviral therapy, 
sexually transmitted diseases (STD)/sexually transmitted illnesses 
(STI), TB, and hepatitis B and C, or for psychotropic drugs.

F. Other Submission Requirements

1. Where To Send Applications
    Send applications to the following address: Substance Abuse and 
Mental Health Services Administration, Office of Program Services, 
Review Branch, 5600 Fishers Lane, Room 17-89, Rockville, Maryland, 
20857.
    Be sure to include the funding announcement number from the NOFA in 
item number 10 on the face page of the application. If you require a 
phone number for delivery, you may use (301) 443-4266.
2. How To Send Applications
    Mail an original application and 2 copies (including appendices) to 
the mailing address provided above. The original and copies must not be 
bound. Do not use staples, paper clips, or fasteners. Nothing should be 
attached, stapled, folded, or pasted.
    You must use a recognized commercial or governmental carrier. Hand 
carried applications will not be accepted. Faxed or e-mailed 
applications will not be accepted.

V. Application Review Information

A. Evaluation Criteria

    Your application will be reviewed and scored against the 
requirements listed below for developing the Project Narrative 
(Sections A-E). These sections describe what you intend to do with your 
project.

    [sbull] In developing the Project Narrative section of your 
application, use these instructions, which have been tailored to this 
program. These are to be used instead of the ``Program Narrative'' 
instructions found in the PHS 5161-1.
    [sbull] Be sure to provide references for any literature cited in 
your application. The reference list will not be counted toward the 
page limit for these sections. The Project Narrative may be no longer 
than 28 pages (3 pages for Section A and 25 pages total for Sections B-
E).
    [sbull] You must use the five sections/headings listed below in 
developing your Project Narrative. Be sure to place the required 
information in the correct section, or it will not be considered. Your 
application will be scored according to how well you address the 
requirements for each section of the Project Narrative.
    [sbull] The Supporting Documentation you provide in Sections F-H, 
Appendices 1-5, and the References list will be considered by reviewers 
in assessing your response, along with the material in the Project 
Narrative.
    [sbull] 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. Bullet statements in each section do not have points 
assigned to them. They are provided to invite the attention of 
applicants and reviewers to important areas within the criterion.

    There will be two levels of review for the SAMHSA Services Grants.

    [sbull] Level One Review will consider how well the applicant 
addresses the requirements in Section A--Evidence of Effectiveness. If 
the service(s) proposed in the application does not meet the required 
standard of effectiveness as described below, the application will not 
move on to Level Two review and will not be considered for funding.
    [sbull] Level Two Review will consider how well the applicant 
addresses the requirements in Section B (Statement of Need), Section C 
(Proposed Approach), Section D (Staff, Management and Relevant 
Experience), and Section E (Evaluation and Data). The applicant's score 
on Sections B-E combined will be used to determine the applicant's 
priority score.
1. Level One Review
Section A: Evidence of Effectiveness
    Put all information to be considered in Level One review in Section 
A: Evidence of Effectiveness. Section A may not be longer than 3 pages. 
During Level One review, reviewers will decide whether the applicant's 
proposed services/practice meet the required standard for 
effectiveness. Reviewers will assess Level One review on a pass/fail 
basis. Applications that do not pass Level One review will not move on 
to Level Two review.
    Applicants proposing to implement services/practices included in 
the following sources are considered by SAMHSA to have met the 
effectiveness standard required for SAMHSA's Services Grants. Such 
applicants are not required to provide further documentation of 
effectiveness of the services/practices. Such applicants must name the 
service/practice and indicate which of the following is the source(s) 
for the proposed service/practice:

    [sbull] SAMHSA's National Registry of Effective Programs (NREP) 
(see Appendix D to this document).
    [sbull] Center for Mental Health Services (CMHS) Evidence Based 
Practice Tool Kits (see Appendix E to this document).
    [sbull] ``Effective Substance Abuse Treatment Practices'' (see 
Appendix F to this document).
    [sbull] The NOFA for a specific funding opportunity (provide the 
name and funding opportunity number from the NOFA).

    Applicants who select services/practices that are not identified in 
any of the sources listed above must provide a narrative justification 
that shows that the proposed services/practice includes the best 
objective information available from recognized experts regarding 
effectiveness and acceptability. The narrative must address the 
following:

    [sbull] Describe the proposed services/practice.
    [sbull] Indicate whether the evidence base for the proposed 
services/practice includes scientific studies published in the peer-
reviewed literature, other studies not published in the peer-reviewed 
literature, and/or from formal consensus processes among recognized 
experts in the field.
    [sbull] If the evidence base includes scientific studies published 
in the peer-reviewed literature or other studies that have not been 
published, describe:

--The extent to which the services/practice have been evaluated and the 
quality of the evaluation studies (e.g.,

[[Page 50600]]

whether they are descriptive, quasi-experimental studies, or 
experimental studies)
--The extent to which evaluation of the services/practice has 
demonstrated positive outcomes, and the extent to which positive 
outcomes have been demonstrated for different populations
--The extent to which evaluation of the services/practice has been 
studied
--The extent to which evaluation of the services/practice has been 
replicated
--The extent to which the services/practice have been documented (e.g., 
through development of guidelines, tool kits, treatment protocols, and/
or manuals)
--The extent to which fidelity measures have been developed (e.g., no 
measures developed, key components identified, or fidelity measures 
developed)

    [sbull] If the evidence-base includes formal consensus processes 
involving recognized experts in the field, describe:

--The experts involved in the consensus development activity related to 
the proposed services/practice (e.g., members of an expert panel 
formally convened by NIH, the Institute of Medicine or other nationally 
recognized organization, or members of an informal group of experts, 
such as faculty at a leading research institution)
--The nature of the consensus that has been reached and the process 
used to reach consensus
--The extent to which the consensus has been documented (e.g., in a 
consensus panel report, meeting minutes, or an accepted standard 
practice in the field)
--Any empirical evidence (whether formally published or not) supporting 
the effectiveness of the proposed services/practice
--Rationale for concluding that further empirical evidence does not 
exist to support the effectiveness of the proposed services/practice, 
if appropriate

    In assessing applicants' narratives for Section A/Level One review, 
reviewers will consider whether the evidence presented in support of 
the proposed services/practice is, in their expert and professional 
opinion, commensurate with the best information available regarding 
effectiveness and acceptability.
    Applicants should be aware that passing Level One review does not 
ensure that the application will be approved for funding, even if the 
proposed project includes a service/practice that is considered by 
SAMHSA to have met the standard of effectiveness.
2. Level Two Review
Section B: Statement of Need (10 Points)
    [sbull] Define the target population (including demographics) and 
the geographic area to be served.
    [sbull] Provide baseline data as required in Appendix A of this 
document.
    [sbull] Describe the nature of the problem and extent of the need 
for the target population based on data. The statement of need should 
include a clearly established baseline for the project. Documentation 
of need may come from a variety of qualitative and quantitative 
sources. The quantitative data could come from local data or trend 
analyses, State data (e.g., from State Needs Assessments), and/or 
national data (e.g., from SAMHSA's National Household Survey on Drug 
Abuse and Health or from National Center for Health Statistics/Centers 
for Disease Control reports). For data sources that are not well known, 
provide sufficient information on how the data were collected so 
reviewers can assess the reliability and validity of the data.
    [sbull] Non-tribal applicants must show that identified needs are 
consistent with priorities of the State. Include, in Appendix 5, a copy 
of the State Strategic Plan, a State needs assessment, or a letter from 
the State indicating that the proposed project addresses a State-
identified priority. Tribal applicants must provide similar 
documentation relating to tribal priorities.
Section C: Proposed Approach (40 Points)
    [sbull] Clearly state the purpose, goals and objectives of your 
proposed project. Describe how achievement of goals will produce 
meaningful and relevant results (e.g., increase access, availability, 
prevention, outreach, pre-services, treatment, and/or intervention).
    [sbull] Demonstrate how the proposed services/practice will meet 
your goals and objectives. Provide a logic model that links need, the 
services or practice to be implemented, and outcomes.
    [sbull] Describe how the services or practice will be implemented.
    [sbull] Clearly state the unduplicated number of individuals you 
propose to serve (annually and over the entire project period) with 
grant funds, including the types and numbers of services to be provided 
and anticipated outcomes. Describe how the target population will be 
identified, recruited, and retained.
    [sbull] Describe how the proposed project will address issues of 
age, race, ethnicity, culture, language, sexual orientation, 
disability, literacy, and gender in the target population, while 
retaining fidelity to the chosen practice.
    [sbull] Describe how members of the target population helped 
prepare the application, and how they will help plan, implement, and 
evaluate the project.
    [sbull] Describe how the project components will be embedded within 
the existing service delivery system, including other SAMHSA-funded 
projects, if applicable. Identify any other organizations that will 
participate in the proposed project. Describe their roles and 
responsibilities and demonstrate their commitment to the project. 
Include letters of commitment from community organizations supporting 
the project in Appendix 1. Identify any cash or in-kind contributions 
that will be made to the project by the applicant or other partnering 
organizations.
    [sbull] Describe the potential barriers to successful conduct of 
the proposed project and how you will overcome them.
Section D: Staff, Management, and Relevant Experience (35 Points)
    [sbull] Provide a time line for the project (chart or graph) 
showing key activities, milestones, and responsible staff. [Note: The 
timeline should be part of the Project Narrative. It should not be 
placed in an appendix.]
    [sbull] Show that the necessary groundwork (e.g., planning, 
consensus development, development of memoranda of agreement, 
identification of potential facilities) has been completed or is near 
completion so that the project can be implemented and service delivery 
can begin as soon as possible and no later than 4 months after grant 
award.
    [sbull] Discuss the capability and experience of the applicant 
organization and other participating organizations with similar 
projects and populations, including experience in providing culturally 
appropriate/competent services.
    [sbull] Provide a list of staff who will participate in the 
project, showing the role of each and their level of effort and 
qualifications. Include the Project Director and other key personnel, 
such as the evaluator and treatment/prevention personnel.
    [sbull] Describe the resources available for the proposed project 
(e.g., facilities, equipment), and provide evidence that services will 
be provided in a location that is adequate, accessible, compliant with 
the Americans with Disabilities Act (ADA), and amenable to the target 
population.

[[Page 50601]]

Section E: Evaluation and Data (15 Points)
    [sbull] Document your ability to collect and report on the required 
performance measures for SAMHSA Services Grants. Specify and justify 
any additional outcome measures you plan to use for your grant project. 
(See Appendix A for required performance indicators.)
    [sbull] Describe plans for data collection, management, analysis, 
interpretation and reporting. Describe the project provider's existing 
approach to the collection of individual, service use, and outcome 
data, along with any necessary modifications. Be sure to include data 
collection instruments/interview protocols in Appendix 2.
    [sbull] Describe the process and outcome evaluation, including 
assessments of implementation and individual outcomes. Show how the 
evaluation will be integrated with requirements for collection and 
reporting of performance data, including data required by SAMHSA to 
meet GPRA requirements.
    [sbull] Describe how the evaluation will be used to ensure the 
fidelity to the practice.
    [sbull] Provide a per-person or unit cost of the project to be 
implemented, based on the applicant's actual costs and projected costs 
over the life of the project.

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

B. Review and Selection Process

    SAMHSA applications are peer-reviewed according to the review 
criteria listed above. For those programs where the individual award is 
over $100,000, applications must also be reviewed by the appropriate 
National Advisory Council.

C. Award Criteria

    Decisions to fund a grant are based on:
    [sbull] The strengths and weaknesses of the application as 
identified by the peer review committee and, when applicable, approved 
by the appropriate National Advisory Council;
    [sbull] Availability of funds; and
    [sbull] Equitable allocation of grants among the principal 
geographic regions of the United States. SAMHSA does not intend to 
award more than 2 grants per State for each funding opportunity.

VI. Award Administration Information

A. Award Notices

    After your application has been reviewed, you will receive a letter 
from SAMHSA through postal mail that describes the general results of 
the review, including the score that your application received.
    If you are approved for funding, you will receive an additional 
notice, the Notice of Grant Award, signed by SAMHSA's Grants Management 
Officer. The Notice of Grant Award is the sole obligating document that 
allows the grantee to receive Federal funding for work on the grant 
project. It is sent by postal mail and is addressed to the contact 
person listed on the face page of the application.
    If you are not funded, you can re-apply if there is another receipt 
date for the program.

B. Administrative and National Policy Requirements

    [sbull] You must comply with all terms and conditions of the grant 
award. SAMHSA's standard terms and conditions are available on the 
SAMHSA Web site (http://www.samhsa.gov).
    [sbull] Depending on the nature of the specific funding opportunity 
and/or the proposed project as identified during review, additional 
terms and conditions may be identified in the NOFA or negotiated with 
the grantee prior to grant award. These may include, for example:
    [sbull] Actions required to be in compliance with human subjects 
requirements;
    [sbull] Requirements relating to additional data collection and 
reporting;
    [sbull] Requirements relating to participation in a cross-site 
evaluation; or
    [sbull] Requirements to address problems identified in review of 
the application.
    [sbull] 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.
    [sbull] In an effort to improve access to funding opportunities for 
applicants, SAMHSA is participating in the U.S. Department of Health 
and Human Services ``Survey on Ensuring Equal Opportunity for 
Applicants.'' This survey is included in the application kit for SAMHSA 
grants. Applicants are encouraged to complete the survey and return it, 
using the instructions provided on the survey form.

C. Reporting Requirements

1. Progress and Financial Reports
    [sbull] Grantees must provide annual and final progress reports. 
The final report must summarize information from the annual reports, 
describe the accomplishments of the project, and describe next steps 
for implementing plans developed during the grant period.
    [sbull] Grantees must provide annual and final financial status 
reports. These reports may be included as separate sections of annual 
and final progress reports or can be separate documents. Because SAMHSA 
is extremely interested in ensuring that treatment or prevention 
services can be sustained, your financial reports should explain plans 
to ensure the sustainability of efforts initiated under this grant. 
Initial plans for sustainability should be described in year 01. In 
each subsequent year, you should describe the status of your project, 
as well as the successes achieved and obstacles encountered in that 
year.
    [sbull] SAMHSA will provide guidelines and requirements for these 
reports to grantees at the time of award and at the initial grantee 
orientation meeting after award. SAMHSA staff will use the information 
contained in the reports to determine the grantee's progress toward 
meeting its goals.
2. Government Performance and Results Act (GPRA)
    The Government Performance and Results Act (GPRA) mandates 
accountability and performance-based management by Federal agencies. 
The performance requirements for SAMHSA's Services Grants are described 
in Section I-B under ``Data and Performance Measurement'' and listed in 
Appendix A of this document.
3. Publications
    If you are funded under this program, you are required to notify 
the Government Project Officer (GPO) and SAMHSA's Publications 
Clearance Officer (301-443-8596) of any materials based on the SAMHSA-
funded grant project that are accepted for publication.
    In addition, SAMHSA requests that grantees:

    [sbull] Provide the GPO and SAMHSA Publications Clearance Officer 
with advance copies of publications.
    [sbull] Include acknowledgment of the SAMHSA grant program as the 
source of funding for the project.
    [sbull] Include a disclaimer stating that the views and opinions 
contained in the

[[Page 50602]]

publication do not necessarily reflect those of SAMHSA or the U.S. 
Department of Health and Human Services, and should not be construed as 
such.

    SAMHSA reserves the right to issue a press release about any 
publication deemed by SAMHSA to contain information of program or 
policy significance to the substance abuse treatment/substance abuse 
prevention/mental health services community.

VII. Agency Contacts

    The NOFAs provide contact information for questions about program 
issues.
    For questions on grants management issues, contact: Stephen Hudak, 
Office of Program Services, Division of Grants Management, Substance 
Abuse and Mental Health Services Administration/OPS, 5600 Fishers Lane, 
Rockwall II 6th Floor, Rockville, MD 20857, (301) 443-9666, 
[email protected].

VIII. Other Information

A. SAMHSA Confidentiality and Participant Protection Requirements and 
Protection of Human Subjects Regulations

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

    Note: If applicable, grantees must agree to maintain the 
confidentiality of alcohol and drug abuse client records according 
to the provisions of Title 42 of the Code of Federal Regulations, 
Part II.

6. Adequate Consent Procedures
    [sbull] List what information will be given to people who 
participate in the project. Include the type and purpose of their 
participation. Identify the data that will be collected, how the data 
will be used and how you will keep the data private.
    [sbull] State:
    [sbull] Whether or not their participation is voluntary.
    [sbull] Their right to leave the project at any time without 
problems.
    [sbull] Possible risks from participation in the project.
    [sbull] Plans to protect clients from these risks.
    [sbull] Explain how you will get consent for youth, the elderly, 
people with limited reading skills, and people who do not use English 
as their first language.

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

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

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

    [sbull] Describe if separate consents will be obtained for 
different stages or parts of the project. For example, will they be 
needed for both participant protection in treatment intervention and 
for the collection and use of data.
    [sbull] Additionally, if other consents (e.g., consents to release 
information to others

[[Page 50603]]

or gather information from others) will be used in your project, 
provide a description of the consents. Will individuals who do not 
consent to having individually identifiable data collected for 
evaluation purposes be allowed to participate in the project?
7. Risk/Benefit Discussion
    Discuss why the risks are reasonable compared to expected benefits 
and importance of the knowledge from the project.
Protection of Human Subjects Regulations
    Depending on the evaluation and data collection requirements of the 
particular funding opportunity for which you are applying or the 
evaluation design you propose in your application, you may have to 
comply with the Protection of Human Subjects Regulations (45 CFR 46). 
The NOFA will indicate whether all applicants for a particular funding 
opportunity must comply with the Protection of Human Subject 
Regulations.
    Applicants must be aware that even if the Protection of Human 
Subjects Regulations do not apply to all projects funded under a given 
funding opportunity, the specific evaluation design proposed by the 
applicant may require compliance with these regulations.
    Applicants whose projects must comply with the Protection of Human 
Subjects Regulations must describe the process for obtaining 
Institutional Review Board (IRB) approval fully in their applications. 
While IRB approval is not required at the time of grant award, these 
applicants will be required, as a condition of award, to provide the 
documentation that an Assurance of Compliance is on file with the 
Office for Human Research Protections (OHRP) and the IRB approval has 
been received prior to enrolling any clients in the proposed project.
    Additional information about Protection of Human Subjects 
Regulations can be obtained on the Web at http://ohrp.osophs.dhhs.gov. 
You may also contact OHRP by e-mail ([email protected]) or by phone 
(301/496-7005).

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

    Executive Order 12372, as implemented through Department of Health 
and Human Services (DHHS) regulation at 45 CFR part 100, sets up a 
system for State and local review of applications for Federal financial 
assistance. A current listing of State Single Points of Contact (SPOCs) 
is included in the application kit and can be downloaded from the 
Office of Management and Budget (OMB) Web site at http://www.whitehouse.gov/omb/grants/spoc.html.
    [sbull] Check the list to determine whether your State participates 
in this program. You do not need to do this if you are a federally 
recognized Indian tribal government.
    [sbull] If your State participates, contact your SPOC as early as 
possible to alert him/her to the prospective application(s) and to 
receive any necessary instructions on the State's review process.
    [sbull] For proposed projects serving more than one State, you are 
advised to contact the SPOC of each affiliated State.
    [sbull] The SPOC should send any State review process 
recommendations to the following address within 60 days of the 
application deadline: Substance Abuse and Mental Health Services 
Administration, Office of Program Services, Review Branch, 5600 Fishers 
Lane, Room 17-89, Rockville, Maryland, 20857, ATTN: SPOC--Funding 
Announcement No. [fill in pertinent funding opportunity number from the 
NOFA].

C. Public Health System Impact Statement (PHSIS)

    The Public Health System Impact Statement or PHSIS (Approved by OMB 
under control no. 0920-0428; see burden statement below) is intended to 
keep State and local health officials informed of proposed health 
services grant applications submitted by community-based, non-
governmental organizations within their jurisdictions. State and local 
governments and Indian tribal government applicants are not subject to 
the following Public Health System Reporting Requirements.
    Community-based, non-governmental service providers who are not 
transmitting their applications through the State must submit a PHSIS 
to the head(s) of the appropriate State and local health agencies in 
the area(s) to be affected no later than the pertinent receipt date for 
applications. This PHSIS consists of the following information:
    [sbull] A copy of the face page of the application (SF 424); and
    [sbull] A summary of the project, no longer than one page in 
length, that provides: (1) A description of the population to be 
served, (2) a summary of the services to be provided, and (3) a 
description of the coordination planned with appropriate State or local 
health agencies.
    For SAMHSA grants, the appropriate State agencies are the Single 
State Agencies (SSAs) for substance abuse and mental health. A listing 
of the SSAs can be found on SAMHSA's Web site at http://www.samhsa.gov. 
If the proposed project falls within the jurisdiction of more than one 
State, you should notify all representative SSAs.
    Applicants who are not the SSA must include a copy of a letter 
transmitting the PHSIS to the SSA in Appendix 4, ``Letter to the SSA.'' 
The letter must notify the State that, if it wishes to comment on the 
proposal, its comments should be sent not later than 60 days after the 
application deadline to:
    Substance Abuse and Mental Health Services Administration, Office 
of Program Services, Review Branch, 5600 Fishers Lane, Room 17-89, 
Rockville, Maryland, 20857, ATTN: SSA--Funding Announcement No. [fill 
in pertinent funding opportunity number from NOFA].
    In addition:
    [sbull] Applicants may request that the SSA send them a copy of any 
State comments.
    [sbull] The applicant must notify the SSA within 30 days of receipt 
of an award.
    [Public reporting burden for the Public Health System Reporting 
Requirement is estimated to average 10 minutes per response, including 
the time for copying the face page of SF 424 and the abstract and 
preparing the letter for mailing. An agency may not conduct or sponsor, 
and a person is not required to respond to, a collection of information 
unless it displays a currently valid OMB control number. The OMB 
control number for this project is 0920-0428. Send comments regarding 
this burden to CDC Clearance Officer, 1600 Clifton Road, MS D-24, 
Atlanta, GA 30333, ATTN: PRA (0920-0428)].

Appendix A--SAMHSA Services Indicators

    The purpose of services programs is to implement a service 
improvement using a proven ``evidence based'' approach. Domains to 
be measured are persons served, cost per person, and other 
individual/system outcomes. This list of indicators and related 
measures will be updated periodically. The Notice of Funding 
Availability (NOFA) will specify which indicators are required for a 
particular funding opportunity. Applicants must provide expected 
baseline data for *asterisked items in the grant application. 
Grantees must collect and report data at the interval (e.g., 
quarterly, annually) specified in the NOFA. Specific instructions 
for data collection will be provided on SAMHSA's web site and in 
application kits. Some NOFAs may specify indicators and measures not 
on this list or may request grantees to

[[Page 50604]]

identify measures appropriate to their specific project.

Accountability

    Percent of grantees reporting valid data.

Capacity

    * Number of persons served (Includes screening and assessment)
    CMHS and CSAT grantees: Percent of providers providing services 
within approved costs (Costs to be proposed in application; to be 
approved by SAMHSA prior to award. A cost measure for substance 
abuse prevention is under development).
    * Number, type, and capacity of services/product available.
    * Percent of persons needing services/product who receive them.

Effectiveness

    Participation of persons served and family members in planning, 
policy and service delivery.
    Number of service/systems improvements implemented; maintained 
post-funding.
    * Percent of programs reporting positive individual and systems 
outcomes.
    CSAP grantees: Difference between 30 day substance use of 
population served by program and comparable local and national 
rates. CSAT grantees: Number of people who show no past month 
substance use 6 months post treatment admission.
    Grantees also will be required to report on several outcomes 
from the following list, as specified in the NOFA:
    Individual outcomes: Participants (adults or children) 
disapproving of substance use; perceiving personal health risks 
associated with substance abuse; increasing age of first use; 
reporting abstinence at discharge; decreasing substance abuse risk 
factors related to spread of HIV/AIDS, including risky sexual 
behavior and sharing needles; improving employment/school 
attendance; having no criminal justice involvement; having stable 
living situation; reporting (consumer/family) improvement in 
behavioral/emotional symptoms.
    System outcomes: Percent of referrals from juvenile/adult 
justice systems to systems of care; decreased days in inpatient/
residential facilities; readmission rates; past 30 day utilization 
of inpatient, outpatient facilities; inpatient, outpatient, or 
emergency room treatment for physical complaint, mental or emotional 
difficulties, or alcohol or substance abuse; seclusion/restraint 
deaths or injuries; number of communities with defined systems/
continuum of care; number of persons contacted through outreach who 
enroll in services; percent of providers, administrators trained who 
report adopting approved service methods; percent of participants in 
sponsored events who have used information to change their 
practices; number of science based programs implemented. Completion 
and documentation of one or more of the following, depending upon 
the scope of the project: Needs assessment; revised financing plan 
for coordinating funding streams; organizational/structural change 
or quality improvements; coordination and network improvements; 
workforce improvements; data infrastructure/performance measurement 
improvements.

Appendix B--Checklist for Application Formatting Requirements

    Your application must adhere to these formatting requirements. 
Failure to do so will result in your application being screened out 
and returned to you without review. In addition to these formatting 
requirements, there may be programmatic requirements specified in 
the NOFA. Please check the NOFA before preparing your application.
    [sbull] Use the PHS 5161-1 application.
    [sbull] Include the 10 application components required for 
SAMHSA applications (i.e., Face Page, Abstract, Table of Contents, 
Budget Form, Project Narrative and Supporting Documentation, 
Appendices, Assurances, Certifications, Disclosure of Lobbying 
Activities, and Checklist.)
    [sbull] Provide legible text.
    [sbull] Use white paper, 8.5'' by 11.0'' in size.
    [sbull] Type single-spaced text with one column per page.
    [sbull] Use margins that are at least 1 inch.
    [sbull] Use type size in the Project Narrative that does not 
exceed an average of 15 characters per inch when measured with a 
ruler. Type size in charts, tables, graphs, and footnotes will not 
be considered in determining compliance.
    [sbull] Do not use photo reduction or condensation of type 
closer than 15 characters per inch or 6 lines per inch.
    [sbull] Print only on one side of the paper only; do not print 
on both sides.
    [sbull] Do not exceed page limitations specified for the Project 
Narrative (3 pages for Section A and 25 pages total for Sections B-
E) and Appendices (30 pages).
    [sbull] Provide sufficient information for review.
    [sbull] Applications must be received by the application 
deadline. Applications received after this date must have a proof of 
mailing date from the carrier dated at least 1 week prior to the due 
date. Private metered postmarks are not acceptable as proof of 
timely mailing. Applications not received by the application 
deadline or postmarked a week prior to the application deadline will 
not be reviewed.
    [sbull] Applications that do not comply with the following 
requirements and any additional program requirements specified in 
the NOFA, or are otherwise unresponsive to PA guidelines will be 
screened out and returned to the applicant without review:
    [sbull] Provisions relating to participant protection and the 
protection of human subjects specified in Section VIII-A of this 
document.
    [sbull] Budgetary limitations as specified in Sections I, II and 
IV-E of this document.
    [sbull] Documentation of nonprofit status as required in the PHS 
5161-1.
    [sbull] Requirements relating to provider organization 
experience and provider organization certification and licensure.
    To facilitate review of your application, follow these 
additional guidelines. Failure to follow these guidelines will not 
result in your application being screened out. However, following 
these guidelines will help reviewers to consider your application.
    [sbull] Please use black ink and number pages consecutively from 
beginning to end so that information can be located easily during 
review of the application. The cover page should be page 1, the 
abstract page should be page 2, and the table of contents page 
should be page 3. Appendices should be labeled and separated from 
the Project Narrative and budget section, and the pages should be 
numbered to continue the sequence.
    [sbull] Send the original application and two copies to the 
mailing address in the PA. Please do not use staples, paper clips, 
and fasteners. Nothing should be attached, stapled, folded, or 
pasted. Do not use any material that cannot be copied using 
automatic copying machines. Odd-sized and oversized attachments such 
as posters will not be copied or sent to reviewers. Do not include 
videotapes, audiotapes, or CD-ROMs.

Appendix C: Glossary

    Best Practice: Best practices are practices that incorporate the 
best objective information currently available from recognized 
experts regarding effectiveness and acceptability.
    Cooperative Agreement: A cooperative agreement is a form of 
Federal grant. Cooperative agreements are distinguished from other 
grants in that, under a cooperative agreement, substantial 
involvement is anticipated between the awarding office and the 
recipient during performance of the funded activity. This 
involvement may include collaboration, participation, or 
intervention in the activity. HHS awarding offices use grants or 
cooperative agreements (rather than contracts) when the principal 
purpose of the transaction is the transfer of money, property, 
services, or anything of value to accomplish a public purpose of 
support or stimulation authorized by Federal statute. The primary 
beneficiary under a grant or cooperative agreement is the public, as 
opposed to the Federal Government.
    Cost-Sharing or Matching: Cost-sharing refers to the value of 
allowable non-Federal contributions toward the allowable costs of a 
Federal grant project or program. Such contributions may be cash or 
in-kind contributions. For SAMHSA grants, cost-sharing or matching 
is not required, and applications will not be screened out on the 
basis of cost-sharing. However, applicants often include cash or in-
kind contributions in their proposals as evidence of commitment to 
the proposed project. This is allowed, and this information may be 
considered by reviewers in evaluating the quality of the 
application.
    Grant: A grant is the funding mechanism used by the Federal 
Government when the principal purpose of the transaction is the 
transfer of money, property, services, or anything of value to 
accomplish a public purpose of support or stimulation authorized by 
Federal statute. The primary beneficiary under a grant or 
cooperative agreement is the public, as opposed to the Federal 
Government.
    In-Kind Contribution: In-kind contributions toward a grant 
project are non-cash contributions (e.g., facilities, space, 
services) that are derived from non-Federal sources,

[[Page 50605]]

such as State or sub-State non-Federal revenues, foundation grants, 
or contributions from other non-Federal public or private entities.
    Practice: A practice is any activity, or collective set of 
activities, intended to improve outcomes for people with or at risk 
for substance abuse and/or mental illness. Such activities may 
include direct service provision, or they may be supportive 
activities, such as efforts to improve access to and retention in 
services, organizational efficiency or effectiveness, community 
readiness, collaboration among stakeholder groups, education, 
awareness, training, or any other activity that is designed to 
improve outcomes for people with or at risk for substance abuse or 
mental illness.
    Practice Support System: This term refers to contextual factors 
that affect practice delivery and effectiveness in the pre-adoption 
phase, delivery phase, and post-delivery phase, such as (a) 
community collaboration and consensus building, (b) training and 
overall readiness of those implementing the practice, and (c) 
sufficient ongoing supervision for those implementing the practice.
    Stakeholder: A stakeholder is an individual, organization, 
constituent group, or other entity that has an interest in and will 
be affected by a proposed grant project.
    Target population catchment area: The target population 
catchment area is the geographic area from which the target 
population to be served by a program will be drawn.
    Wraparound Service: Wraparound services are non-clinical 
supportive services--such as child care, vocational, educational, 
and transportation services--that are designed to improve the 
individual's access to and retention in the proposed project.

Appendix D: National Registry of Effective Programs

    To help SAMHSA's constituents learn more about science-based 
programs, SAMHSA's Center for Substance Abuse Prevention (CSAP) 
created a National Registry of Effective Programs (NREP) to review 
and identify effective programs. NREP seeks candidates from the 
practice community and the scientific literature. While the initial 
focus of NREP was substance abuse prevention programming, NREP has 
expanded its scope and now includes prevention and treatment of 
substance abuse and of co-occurring substance abuse and mental 
disorders, and psychopharmacological programs and workplace 
programs.
    NREP includes three categories of programs: Effective Programs, 
Promising Programs, and Model Programs. Programs defined as 
Effective have the option of becoming Model Programs if their 
developers choose to take part in SAMHSA dissemination efforts. The 
conditions for making that choice, together with definitions of the 
three major criteria, are as follows.
    Promising Programs have been implemented and evaluated 
sufficiently and are scientifically defensible. They have positive 
outcomes in preventing substance abuse and related behaviors. 
However, they have not yet been shown to have sufficient rigor and/
or consistently positive outcomes required for Effective Program 
status. Nonetheless, Promising Programs are eligible to be elevated 
to Effective/Model status after review of additional documentation 
regarding program effectiveness. Originated from a range of settings 
and spanning target populations, Promising Programs can guide 
prevention, treatment, and rehabilitation.
    Effective Programs are well-implemented, well-evaluated programs 
that produce consistently positive pattern of results (across 
domains and/or replications). Developers of Effective Programs have 
yet to help SAMHSA/CSAP disseminate their programs, but may do so 
themselves.
    Model Programs are also well-implemented, well-evaluated 
programs, meaning they have been reviewed by NREP according to 
rigorous standards of research. Their developers have agreed with 
SAMHSA to provide materials, training, and technical assistance for 
nationwide implementation. That helps ensure the program is 
carefully implemented and likely to succeed.
    Programs that have met the NREP standards for each category can 
be identified by accessing the NREP Model Programs Web site at 
http://www.modelprograms.samhsa.gov.

Appendix E: Center for Mental Health Services Evidence-Based Practice 
Toolkits

    SAMHSA's Center for Mental Health Services and the Robert Wood 
Johnson Foundation initiated the Evidence-Based Practices Project 
to: (1) Help more consumers and families access services that are 
effective, (2) help providers of mental health services develop 
effective services, and (3) help administrators support and maintain 
these services. The project is now also funded and endorsed by 
numerous national, State, local, private and public organizations, 
including the Johnson & Johnson Charitable Trust, the MacArthur 
Foundation, and the West Family Foundation.
    The project has been developed through the cooperation of many 
Federal and State mental health organizations, advocacy groups, 
mental health providers, researchers, consumers and family members. 
A Web site (http://www.mentalhealthpractices.org) was created as 
part of Phase I of the project, which included the identification of 
the first cluster of evidence-based practices and the design of 
implementation resource kits to help people understand and use these 
practices successfully.
    Basic information about the first six evidence-based practices 
is available on the Web site. The six practices are:
    1. Illness Management and Recovery.
    2. Family Psychoeducation.
    3. Medication Management Approaches in Psychiatry.
    4. Assertive Community Treatment.
    5. Supported Employment.
    6. Integrated Dual Disorders Treatment.
    Each of the resource kits contains information and materials 
written by and for the following groups:

--Consumers
--Families and Other Supporters
--Practitioners and Clinical Supervisors
--Mental Health Program Leaders
--Public Mental Health Authorities

    Material on the web site can be printed or downloaded with 
Acrobat Reader, and references are provided where additional 
information can be obtained.
    Once published, the full kits will be available from National 
Mental Health Information Center at http://www.health.org or 1-800-
789-CMHS (2647).

Appendix F: Effective Substance Abuse Treatment Practices

    To assist potential applicants, SAMHSA's Center for Substance 
Abuse Treatment (CSAT) has identified the following listing of 
current publications on effective treatment practices for use by 
treatment professionals in treating individuals with substance abuse 
disorders. These publications are available from the National 
Clearinghouse for Alcohol and Drug Information (NCADI); Tele: 1-800-
729-6686 or http://www.health.org and http://www.samhsa.gov/centers/csat2002/publications.html.
    CSAT Treatment Improvement Protocols (TIPs) are consensus-based 
guidelines developed by clinical, research, and administrative 
experts in the field.
    [sbull] Integrating Substance Abuse Treatment and Vocational 
Services. TIP 38 (2000) NCADI  BKD381
    [sbull] Substance Abuse Treatment for Persons with Child Abuse 
and Neglect Issues. TIP 36 (2000) NCADI  BKD343
    [sbull] Substance Abuse Treatment for Persons with HIV/AIDS. TIP 
37 (2000) NCADI  BKD359
    [sbull] Brief Interventions and Brief Therapies for Substance 
Abuse. TIP 34 (1999) NCADI  BKD341
    [sbull] Enhancing Motivation for Change in Substance Abuse 
Treatment. TIP 35 (1999) NCADI  BKD342
    [sbull] Screening and Assessing Adolescents for Substance Use 
Disorders. TIP 31 (1999) NCADI  BKD306
    [sbull] Treatment for Stimulant Use Disorders. TIP 33 (1999) 
NCADI  BKD289
    [sbull] Treatment of Adolescents with Substance Use Disorders. 
TIP 32 (1999) NCADI  BKD307
    [sbull] Comprehensive Case Management for Substance Abuse 
Treatment. TIP 27 (1998) NCADI  BKD251
    [sbull] Continuity of Offender Treatment for Substance Use 
Disorders From Institution to Community. TIP 30 (1998) NCADI 
 BKD304
    [sbull] Naltrexone and Alcoholism Treatment. TIP 28 (1998) NCADI 
 BKD268
    [sbull] Substance Abuse Among Older Adults. TIP 26 (1998) NCADI 
 BKD250
    [sbull] Substance Use Disorder Treatment for People With 
Physical and Cognitive Disabilities. TIP 29 (1998) NCADI  
BKD288
    [sbull] A Guide to Substance Abuse Services for Primary Care 
Clinicians. TIP 24 (1997) NCADI  BKD234
    [sbull] Substance Abuse Treatment and Domestic Violence. TIP 25 
(1997) NCADI  BKD239
    [sbull] Treatment Drug Courts: Integrating Substance Abuse 
Treatment With Legal Case Processing. TIP 23 (1996) NCADI  
BKD205

[[Page 50606]]

    [sbull] Alcohol and Other Drug Screening of Hospitalized Trauma 
Patients. TIP 16 (1995) NCADI  BKD164
    [sbull] Combining Alcohol and Other Drug Abuse Treatment With 
Diversion for Juveniles in the Justice System. TIP 21 (1995) NCADI 
 BKD169
    [sbull] Detoxification From Alcohol and Other Drugs. TIP 19 
(1995) NCADI  BKD172
    [sbull] LAAM in the Treatment of Opiate Addiction. TIP 22 (1995) 
NCADI  BKD170
    [sbull] Matching Treatment to Patient Needs in Opioid 
Substitution Therapy. TIP 20 (1995) NCADI  BKD168
    [sbull] Planning for Alcohol and Other Drug Abuse Treatment for 
Adults in the Criminal Justice System. TIP 17 (1995) NCADI  
BKD165
    [sbull] Assessment and Treatment of Cocaine-Abusing Methadone-
Maintained Patients. TIP 10 (1994) NCADI  BKD157
    [sbull] Assessment and Treatment of Patients With Coexisting 
Mental Illness and Alcohol and Other Drug Abuse. TIP 9 (1994) NCADI 
 BKD134
    [sbull] Intensive Outpatient Treatment for Alcohol and Other 
Drug Abuse. TIP 8 (1994) NCADI  BKD139

Other Effective Practice Publications

CSAT Publications

    [sbull] Anger Management for Substance Abuse and Mental Health 
Clients: A Cognitive Behavioral Therapy Manual (2002) NCADI 
 BKD444
    [sbull] Anger Management for Substance Abuse and Mental Health 
Clients: Participant Workbook (2002) NCADI  BKD445
    [sbull] Multidimensional Family Therapy for Adolescent Cannabis 
Users. CYT Cannabis Youth Treatment Series Vol. 5 (2002) NCADI 
 BKD388
    [sbull] Navigating the Pathways: Lessons and Promising Practices 
in Linking Alcohol and Drug Services with Child Welfare. TAP 27 
(2002) NCADI  BKD436
    [sbull] The Motivational Enhancement Therapy and Cognitive 
Behavioral Therapy Supplement: 7 Sessions of Cognitive Behavioral 
Therapy for Adolescent Cannabis Users. CYT Cannabis Youth Treatment 
Series Vol. 2 (2002) NCADI  BKD385
    [sbull] Family Support Network for Adolescent Cannabis Users. 
CYT Cannabis Youth Treatment Series Vol. 3 (2001) NCADI  
BKD386
    [sbull] Identifying Substance Abuse Among TANF-Eligible 
Families. TAP 26 (2001) NCADI  BKD410
    [sbull] Motivational Enhancement Therapy and Cognitive 
Behavioral Therapy for Adolescent Cannabis Users: 5 Sessions. CYT 
Cannabis Youth Treatment Series Vol. 1 (2001) NCADI  BKD384
    [sbull] The Adolescent Community Reinforcement Approach for 
Adolescent Cannabis Users. CYT Cannabis Youth Treatment Series Vol. 
4 (2001) NCADI  BKD387
    [sbull] Substance Abuse Treatment for Women Offenders: Guide to 
Promising Practices. TAP 23 (1999) NCADI  BKD310
    [sbull] Addiction Counseling Competencies: The Knowledge, 
Skills, and Attitudes of Professional Practice. TAP 21 (1998) NCADI 
 BKD246
    [sbull] Bringing Excellence to Substance Abuse Services in Rural 
and Frontier America. TAP 20 (1997) NCADI  BKD220
    [sbull] Counselor's Manual for Relapse Prevention with 
Chemically Dependent Criminal Offenders. TAP 19 (1996) NCADI 
 BKD723
    [sbull] Draft Buprenorphine Curriculum for Physicians (Note: the 
Curriculum is in DRAFT form and is currently being updated) http://www.buprenorphine.samhsa.gov
    [sbull] CSAT Guidelines for the Accreditation of Opioid 
Treatment Programs http://www.samhsa.gov/centers/csat/content/dpt/accreditation.htm
    [sbull] Model Policy Guidelines for Opioid Addiction Treatment 
in the Medical Office http://www.samhsa.gov/centers/csat/content/dpt/model_policy.htm
    NIDA Manuals--Available through NCADI
    [sbull] Brief Strategic Family Therapy. Manual 5 (2003) NCADI 
 BKD481
    [sbull] Drug Counseling for Cocaine Addiction: The Collaborative 
Cocaine Treatment Study Model. Manual 4 (2002) NCADI  
BKD465
    [sbull] The NIDA Community-Based Outreach Model: A Manual to 
Reduce Risk HIV and Other Blood-Borne Infections in Drug Users. 
(2000) NCADI  BKD366
    [sbull] An Individual Counseling Approach to Treat Cocaine 
Addiction: The Collaborative Cocaine Treatment Study Model. Manual 3 
(1999) NCADI  BKD337
    [sbull] Cognitive-Behavioral Approach: Treating Cocaine 
Addiction. Manual 1 (1998)
    NCADI  BKD254
    [sbull] Community Reinforcement Plus Vouchers Approach: Treating 
Cocaine Addiction. Manual 2 (1998) NCADI  BKD255
    NIAAA Publications--These publications are available in PDF 
format or can be ordered on-line at http://www.niaaa.nih.gov/publications/guides.htm. An order form for the Project MATCH series 
is available on-line at http://www.niaaa.nih.gov/publications/match.htm. All publications listed can be ordered through the NIAAA 
Publications Distribution Center, P.O. Box 10686, Rockville, MD 
20849-0686.
    [sbull] * Alcohol Problems in Intimate Relationships: 
Identification and Intervention. A Guide for Marriage and Family 
Therapists (2003) NIH Pub. No. 03-5284
    [sbull] * Helping Patients with Alcohol Problems: A Health 
Practitioner's Guide. (2003) NIH Pub. No. 03-3769
    [sbull] Cognitive-Behavioral Coping Skills Therapy Manual. 
Project MATCH Series, Vol. 3 (1995) NIH Pub. No. 94-3724
    [sbull] Twelve Step Facilitation Therapy Manual. Project MATCH 
Series, Vol. 1 (1995) NIH Pub. No. 94-3722
    [sbull] Motivational Enhancement Therapy Manual. Project MATCH 
Series, Vol. 2 (1994) NIH Pub. No. 94-3723

Appendix G--Statement of Assurance

    As the authorized representative of the applicant organization, 
I assure SAMHSA that if {insert name of organization{time}  
application is within the funding range for a grant award, the 
organization 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.
    [sbull] A letter of commitment that specifies the nature of the 
participation and what service(s) will be provided from every 
service provider organization, listed in Appendix 1 of the 
application, that has agreed to participate in the project;
    [sbull] Official documentation that all service provider 
organizations participating in the project have been providing 
relevant services for a minimum of 2 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 2 years; and
    [sbull] Official documentation that all participating service 
provider organizations are in compliance with all local (city, 
county) and State/tribal requirements for licensing, accreditation, 
and certification or official documentation from the appropriate 
agency of the applicable State/tribal, county, or other governmental 
unit that licensing, accreditation, and certification requirements 
do not exist. (Official documentation is a copy of each service 
provider organization's license, accreditation, and certification. 
Documentation of accreditation will not be accepted in lieu of an 
organization's license. A statement by, or letter from, the 
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.)
-----------------------------------------------------------------------
Signature of Authorized Representative

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Date

    Dated: August 13, 2003.
Anna Marsh,
Acting Executive Officer.

[FR Doc. 03-21116 Filed 8-20-03; 8:45 am]
BILLING CODE 4162-20-P