[Federal Register Volume 68, Number 162 (Thursday, August 21, 2003)]
[Notices]
[Pages 50616-50630]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 03-21118]


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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

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

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

ACTION: Notice of proposed standard best practices planning and 
implementation 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 Best Practices Planning and 
Implementation (BPPI) Grants. It is not an actual grant solicitation.
    When published in final, the standard SAMHSA BPPI 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

[[Page 50617]]

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 BPPI 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 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 BPPI 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 BPPI Grants 
clear?
    3. Are the goals/objectives for SAMHSA's BPPI Grants clear?
    4. If you are a potential applicant for a SAMHSA BPPI Grant, do you 
believe you will be able to use the standard BPPI 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?

Text of Proposed Standard Announcement

Department of Health and Human Services

Substance Abuse and Mental Health Services Administration

Best Practices Planning and Implementation Grants BPPI 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
                                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 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 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 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 Best Practices Planning & Implementation 
Indicators
Appendix B: Checklist for Application Formatting Requirements
Appendix C: Glossary
Appendix D: National Registry of Effective Prevention Programs
Appendix E: Center for Mental Health Services Evidence-Based 
Practices Toolkits
Appendix F: Effective Substance Abuse Treatment Practices

I. Funding Opportunity Description

A. Introduction

    The Substance Abuse and Mental Health Services Administration 
(SAMHSA) announces its intent to solicit applications for Best 
Practices Planning and Implementation (BPPI) grants for substance abuse 
prevention, substance abuse treatment, and mental health services. 
These grants will help communities and providers identify substance 
abuse prevention, substance abuse treatment, and/or mental health 
practices, develop strategic plans for implementing/adapting those 
practices, and pilot-test the practices. The practices proposed by 
applicants for SAMHSA's BPPI grants must incorporate the best objective 
information available from recognized experts regarding effectiveness 
and acceptability. Often, these practices will have strong evidence of 
effectiveness.

[[Page 50618]]

However, because the evidence base is limited in some areas, SAMHSA may 
fund some practices 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.
    SAMHSA also funds grants under three other standard grant 
announcements:
    [sbull] Services Grants provide funding to implement substance 
abuse and mental health services.
    [sbull] Infrastructure Grants support identification and implement 
systems changes but are not designed to fund services.
    [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 BPPI Grants. The availability 
of funds for specific BPPI 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 BPPI 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, award size, 
allowable activities).
    It is, therefore, critical that you consult the NOFA as well as 
this announcement in developing your grant application.

B. Expectations

    SAMHSA's BPPI program promotes the use of practices that 
incorporate the best objective information available from recognized 
experts regarding effectiveness and acceptability. SAMHSA refers to 
these as ``best practices.'' BPPI grants may address needs in the areas 
of substance abuse prevention, substance abuse treatment and/or mental 
health services. SAMHSA understands that the ``best practices'' 
proposed for BPPI grants may need to be adapted to certain populations. 
Therefore, SAMHSA's BPPI grants support adaptation and evaluation of 
best practices in addition to planning and implementation.
1. Documenting the Evidence-Base for Selected Practices
    Applicants must show that their proposed practices meet the 
standard for effectiveness. The practices proposed by applicants for 
SAMHSA's BPPI grants must incorporate the best objective information 
available from recognized experts regarding effectiveness and 
acceptability. Often, these practices will have strong evidence of 
effectiveness. However, applicants may propose practices with a sound, 
but limited, evidence base.
    Applicants proposing to implement practices included in the 
following sources meet the standard of effectiveness for SAMHSA's BPPI 
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 Evidence-Based Substance Abuse Treatment Practices 
(see Appendix F); and
    [sbull] Additional practices identified in the NOFA for a specific 
funding opportunity.
    Applicants for Phase II awards that have already received Phase I 
awards also have met the standard for effectiveness.
    Applicants proposing practices that have not been identified by 
SAMHSA as meeting the required effectiveness standard must show that 
their proposed practice incorporates the best objective information 
available from recognized experts regarding effectiveness and 
acceptability. Such applicants must provide a narrative justification 
that describes the evidence base for the practice and summarizes the 
evidence for effectiveness. The evidence may come from a variety of 
sources, including the published research literature, formal consensus 
among recognized experts, and other studies that have not been 
published in the peer-reviewed research literature.
2. Program Design
    SAMHSA will fund BPPI grants in two phases. Phase I is a planning 
and consensus-building phase that supports grantees for up to 18 
months. Phase II is a pilot, adaptation, implementation, and evaluation 
phase that supports grantees for up to 3 years.

Phase I: Planning and Consensus Building

    The goal of Phase I is to achieve consensus among community 
stakeholders to adopt a best practice and engage in strategic planning 
for its implementation. Phase I grants may include, but are not limited 
to, the following types of activities:
    [sbull] Build and maintain a coalition of stakeholders to fund, 
oversee, use, and provide a sustainable best practice.
    [sbull] Train and educate key stakeholders about the best practice.
    [sbull] Consult experts about the practice.
    [sbull] Consult leaders from other communities about their 
experiences in implementing the practice.
    [sbull] Reimburse stakeholders for their transportation or child 
care costs.
    [sbull] Engage professionals to help build consensus and plan 
strategy.
    [sbull] Adapt the best practice to community needs without 
sacrificing its effectiveness.
    [sbull] Identify and obtain the commitment of permanent sources to 
fund the best practice.
    [sbull] Design the evaluation of the best practice.
    [sbull] Evaluate the process of consensus building among 
stakeholders (required).

Phase II: Pilot Test, Adaptation, Implementation, and Evaluation

    The goals of Phase II grants are to pilot test and evaluate the 
best practices before full implementation, modify strategic/financial 
plans, and prepare for full-scale implementation. The following are 
examples of activities that can be funded during Phase II:
    [sbull] Pilot test the practice on a sample of service recipients 
and evaluate the pilot test.
    [sbull] Modify the best practice based on consultation with 
stakeholders and practice experts, other community experiences, and 
pilot test results.
    [sbull] Revise the manual or documentation that describes in detail 
how the best practice was modified.
    [sbull] Maintain the coalition of stakeholders to oversee Phase II 
activities.
    [sbull] Secure consultants to make changes required to implement 
and finance the best practice.
    [sbull] Make organizational changes (e.g., hiring staff) necessary 
to implement the best practice.
    [sbull] Provide necessary education, training, and technical 
assistance for staff.
    Up to 25% of the Phase II grant award may be used to evaluate the 
pilot test of the best practice. During the course of a Phase II award, 
SAMHSA will provide

[[Page 50619]]

funding for direct services as part of the pilot test.
3. Performance Requirements
    All grantees will be required to meet the following evaluation and 
performance requirements. Applicants are not required to receive a 
Phase I award before applying for a Phase II award. However, all Phase 
II applicants must meet the Phase I performance requirements (i.e., 
documentation that consensus has been achieved and that a strategic 
plan is in place) before applying for a Phase II award.

Phase I: Planning and Consensus Building

    By the end of Phase I, grantees will be required to provide 
documentation that consensus has been achieved for adopting a best 
practice. That documentation must include:
    [sbull] A report that summarizes the evaluation of the consensus 
building process.
    [sbull] A description of how key stakeholders were included in the 
consensus building.
    [sbull] Letters of support or other demonstration of stakeholders' 
commitment to adopt the practice.
    [sbull] A strategic plan for implementing the best practice that 
includes a financing plan, signed by the funding source(s) that will 
provide the resources necessary to address barriers and implement a 
sustainable best practice. [Note: If it is not possible for a grantee 
to complete a strategic plan, grantees will be required to provide an 
analysis of progress made and barriers to completing the strategic plan 
instead.]

Phase II: Pilot Test, Adaptation, Implementation, and Evaluation

    By the end of Phase II, grantees must provide the following 
information:
    [sbull] Pilot test results.
    [sbull] A manual describing the modified practice in detail for 
replication of the practice.
    [sbull] Documentation that staff are trained in the practice and of 
a mechanism for training new staff.
    [sbull] Process evaluation results that describe how the practice 
was operationalized, including changes in the organizational 
infrastructure, permanent funding sources, and staff consultation and 
training activities.
    [sbull] Outcome evaluation results that describe:
    [sbull] Demographic characteristics of the clients served;
    [sbull] Service utilization
    [sbull] Practice outcomes
    [sbull] Client satisfaction
    [sbull] Fidelity of the modified practice with the best practice
    [sbull] Sustainability of the best practice.
4. 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 BPPI 
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, grantees may be required to participate in 
cross-site evaluations and comply with additional data collection 
requirements. The NOFA will indicate whether participation in a cross-
site evaluation is required and will identify any additional data 
collection requirements.
    Applicants may propose to collect additional information (i.e., 
beyond the required performance data) regarding both the nature and 
success of their process and outcomes. If grant funding is requested to 
support the additional data collected, this must be clearly justified 
in the application. Prior to grant award, a final agreement regarding 
data collection will be reached. The terms and conditions of award will 
specify the data to be submitted and the schedule for submission. 
Grantees will be required to adhere to these terms and conditions of 
award.
5. 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, DC, 
area, and attendance is mandatory.

II. Award Information

A. Award Amount

    The NOFA will specify the expected award amount for each funding 
opportunity. Regardless of the amount specified, the actual award 
amount will depend on the availability of funds.
    Awards for SAMHSA's BPPI grants will be made in two phases:
    Phase I--Phase I awards are expected to range from $150,000-
$200,000 in total costs (direct and indirect) for a project period of 
up to 18 months.
    Phase II--Phase II awards will range from $300,000-$500,000 per 
year in total costs (direct and indirect) for a project period of up to 
3 years.
    Applications with proposed budgets that exceed the allowable amount 
as 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.

[[Page 50620]]

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

    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; and
    [sbull] Documentation of nonprofit status as required in the PHS 
5161-1.
    You also must comply with any additional program requirements 
specified in the NOFA, such as the required 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 eligibility and specific 
program requirements for the funding opportunity for which the 
application is submitted will be screened out and will not be reviewed.

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. Applicants must 
use the PHS 5161-1 for their application, unless otherwise specified in 
the NOFA. Applications that are not submitted on the required 
application form (i.e., the PHS 5161-1 in most situations) 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 be no 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.
    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. If you are applying for a Phase II award, show that no more 
than 25% of the total grant award will be used for evaluation of the 
pilot test of the best practice.
    [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.

[[Page 50621]]

    [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 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 instruments) 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 Support.
    [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] Appendix 6: Evidence of Intent to Adopt (Phase II only).
    [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 PHS 5161-1. Federal law prohibits the use of appropriated 
funds for publicity or propaganda purposes, or for the preparation, 
distribution, or use of information designed to support or defeat 
legislation pending before the Congress or State legislatures. This 
includes ``grass roots'' lobbying, which consists of appeals to members 
of the public suggesting that they contact their elected 
representatives to indicate their support for or opposition to pending 
legislation or to urge those representatives to vote in a particular 
way.
    [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 easily located 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 published in NOFAs in the Federal Register and 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 BPPI Grant recipients must comply with the 
following funding restrictions:
    [sbull] No more than 25% of Phase II funding may be used to 
evaluate the pilot test.
    BPPI grant funds 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).
    [sbull] Pay for the purchase or construction of any building or 
structure to house any part of the program. (Applicants may request no 
more than $75,000 for renovations and alterations of existing 
facilities, if appropriate and necessary 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.

[[Page 50622]]

    [sbull] Pay for incentives to induce clients to enter treatment. 
However, a grantee or treatment provider may provide up to $20 or 
equivalent (coupons, bus tokens, gifts, childcare, and vouchers) to 
clients 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 (STDs)/sexually transmitted illness 
(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.
    For both Phase I and Phase II of SAMHSA's BPPI Grants there will be 
two levels of review.
    [sbull] Level One Review will consider how well the applicant 
addresses the requirements in Section A--Evidence of Effectiveness. If 
the practice proposed in the application does not meet the required 
standard for 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. Phase I Criteria
Level One Review
Section A: Evidence of Effectiveness
    Put all information to be considered in Level One 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 practice meets 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 practices included in the 
following sources are considered by SAMHSA to have met the 
effectiveness standard for SAMHSA's BPPI Grants. Such applicants are 
not required to provide further documentation of effectiveness of the 
services/practices. Such applicants must name the practice and indicate 
which of the following is the source(s) for the proposed 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 practices that are not identified in any of 
the sources listed above must provide a narrative justification that 
shows that the proposed practice includes the best objective 
information available from recognized experts regarding effectiveness 
and acceptability. The narrative must address the following:
    [sbull] Describe the proposed practice.
    [sbull] Indicate whether the evidence base for the proposed 
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 involving 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 practice has been evaluated and the quality 
of the studies (e.g., whether they are descriptive, quasi-experimental 
studies, or experimental studies)
--The extent to which evaluation of the 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 practice has been studied
--The extent to which evaluation of the practice has been replicated
--The extent to which the practice has been documented (e.g., through 
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 includes formal consensus involving 
recognized experts, describe:


[[Page 50623]]


--The experts involved in the consensus development on 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 and how it was reached 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, formally published or not, supporting the 
effectiveness of the proposed practice
--Rationale for concluding that further empirical evidence does not 
exist to support the effectiveness of the proposed 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 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.
Level Two Review
    All information to be considered in Level Two review must be placed 
in Sections B through E, as described below. Only applications that 
pass Level One review will undergo Level Two review.
Section B: Need (10 Points)
    [sbull] Describe the environment (organization, community, city, or 
State) where the project will be implemented.
    [sbull] Describe the target population.
    [sbull] Describe the problem the project will address. 
Documentation of the problem may come from local data or trend 
analyses, State data, and/or national data. For data sources that are 
not well known, provide sufficient information on how the data were 
collected so that its reliability and validity can be assessed.
    [sbull] Non-tribal applicants must show that identified needs are 
consistent with the 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.
    [sbull] Describe the best practice selected and how it will impact 
the problem.
Section C: Proposed Approach (40 Points)
    [sbull] Describe the goals of the project, including consensus 
building and strategic planning.
    [sbull] Describe the strategies or models used to build consensus. 
Describe how key stakeholders will be educated about the best practice.
    [sbull] Describe the process for developing a strategic plan to 
implement the best practice.
    [sbull] Describe the key stakeholders and how they represent the 
community.
    [sbull] Describe the involvement of key stakeholders in the 
proposed project, including roles and responsibilities of each 
stakeholder. Clearly demonstrate each stakeholder's commitment to the 
consensus building and strategic planning processes. Attach letters of 
support and other documents showing stakeholder commitment in Appendix 
1: Letters of Support. Identify any cash or in-kind contributions that 
will be made to the project.
    [sbull] Describe the involvement of representatives of the target 
population in the conceptualization and planning of the consensus 
building process.
    [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.
    [sbull] Describe potential barriers to achieving consensus among 
stakeholders. What resources and plans will you use to overcome these 
barriers?
    [sbull] Identify potential funding source(s) that will help 
implement the best practice. Describe how the funder(s) will join in 
the consensus building and strategic planning.
Section D: Management Plan and Staffing (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] Discuss the capability and experience of the applicant 
organization and other participating organizations with similar 
projects and populations, including experience in providing culturally 
competent services.
    [sbull] Provide a list of staff members who will conduct the 
project. Describe the role, effort and qualifications of each. Include 
the Project Director and other key personnel, including evaluators and 
database management personnel.
    [sbull] If you plan to have an advisory body, describe its 
composition, roles, and frequency of meetings.
    [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, Americans with 
Disabilities Act (ADA) compliant, and amenable to the target 
population.
Section E: Evaluation Design and Analysis (15 Points)
    [sbull] Describe the design for evaluating the consensus building 
and strategic planning processes. Include a detailed discussion of how 
all variables (e.g., community representation and stakeholder support) 
will be defined and measured. Explain how the evaluation plan will 
ensure that the decision to adopt is an accurate reflection of the 
stakeholders' intent.
    [sbull] Document your ability to collect and report on the required 
performance measures for SAMHSA's BPPI Grants. Specify and justify any 
additional outcome measures you plan to use for your grant project. 
(See Appendix A for required indicators.)
    [sbull] Describe the process for providing regular feedback from 
evaluation activities to the Project Director and participants.
    [sbull] Describe plans for data collection, management, analysis, 
interpretation and reporting. Describe the current approach to 
collection of relevant data, along with any necessary modifications.
    [sbull] Be sure to include data collection instruments/interview 
protocols in Appendix 2.
2. Phase II Criteria
Level One Review
    Phase II applicants who were not Phase I grantees will go through a 
Level One review to determine if the selected practice meets SAMHSA's 
criteria as a best practice before they are reviewed for technical 
merit. This review process is identical to the Level One Review 
described for Phase I applicants. You must provide all information for 
Level One Review in Section A of the Project Narrative.
    Phase II applicants who were Phase I grantees will undergo Level 
Two review only. If so, you should state in Section A that you were a 
Phase I grantee and provide the grant number.
Level Two Review
    All information to be considered in Level Two review must be placed 
in

[[Page 50624]]

Sections B through E, as described below. Only applications that pass 
Level One review will undergo Level Two review.
Section B: Need and Readiness (30 Points)
    [sbull] Describe the target population and setting. If applicant 
was a Phase I grantee, describe and explain any changes in the target 
population or setting.
    [sbull] Provide baseline data as required in Appendix A of this 
document.
    [sbull] Describe briefly the best practice approved under Level One 
Review.
    [sbull] Provide evidence that the community of stakeholders 
achieved a ``decision to adopt'' the practice. Attach a copy of the 
Phase I process evaluation or other evidence including contracts, 
memoranda of agreement, administrative memos, or other documents signed 
by key stakeholders that show their firm commitment to support the 
practice. Attach these supporting documents in Appendix 6: Evidence of 
Intent to Adopt.
    [sbull] Provide and describe the financing plan. Include 
anticipated costs and sources of revenue that will maintain the 
practice. Attach the financing plan, signed by the funding source(s), 
stating their intent to fund in Appendix 6: Evidence of Intent to 
Adopt.
Section C: Proposed Approach (25 Points)
    [sbull] Provide a strategic plan (including key action steps and a 
timeline) that addresses each of the following elements, as 
appropriate: pilot testing the best practice, evaluating the pilot 
test, modifying the best practice based on the pilot test, developing 
training materials, hiring/training staff, and securing funding to 
sustain services beyond the project period.
    [sbull] Describe the involvement of key stakeholders in the 
proposed project, including roles and responsibilities of each 
stakeholder. Demonstrate each stakeholder's commitment to the proposed 
project. Attach letters of support and similar documents showing 
stakeholder commitment in Appendix 1: Letters of Support. Identify any 
cash or in-kind contributions that will be made to the project.
    [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.
    [sbull] Describe potential barriers to the successful conduct of 
the proposed project. What resources and plans will you use to overcome 
these barriers?
    [sbull] Describe oversight or feedback mechanisms to ensure that 
the implemented practice is consistent with the best practice model.
Section D: Management Plan and Staffing (25 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] 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 members who will conduct the 
project, showing the role of each and their level of effort and 
qualifications. Include the Project Director and other key personnel, 
including evaluators and database managers.
    [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, Americans with 
Disabilities Act (ADA) compliant, and is amenable to the target 
population.
Section E: Evaluation Design and Analysis (20 Points)
    [sbull] Document your ability to collect and report on the required 
performance measures for Phase II Local Best Practices Grants. Specify 
and justify any additional measures you plan to use for your grant 
project. (See Appendix A for required indicators.)
    [sbull] Provide a logic model for the evaluation of the pilot test 
of the best practice as well as other implementation activities (e.g., 
training, securing financing).
    [sbull] Provide a plan for evaluating the pilot test of the best 
practice and other implementation activities that includes both process 
and client outcome measures. Describe the recruitment plan and sample 
size for your project. Describe any literature or pilot testing done to 
verify the validity and reliability of the instruments to be used. 
Attach instrumentation in Appendix 2: Data Collection Instruments.
    [sbull] Describe how the adaptations of the best practice will be 
documented. Demonstrate its fidelity to the best practice model. If no 
fidelity scale exists for the practice, describe how you will develop 
one.
    [sbull] Describe the process for providing regular feedback from 
evaluation activities to the Project Director and participants.
    [sbull] Describe the database management system that will be 
developed.

    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 appropriate, 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

[[Page 50625]]

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

1. Progress and Financial Reports
    [sbull] Grantees must provide annual and final progress reports. 
The final progress 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 its best practices efforts can 
be sustained, your financial reports must explain plans to ensure the 
sustainability of efforts initiated under this grant. Initial plans for 
sustainability should be described in year 1 of the grant. In each 
subsequent year, you should describe the status of the project, 
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
    The Government Performance and Results Act (GPRA) mandates 
accountability and performance-based management by Federal agencies. 
The performance requirements for SAMHSA's BPPI Grants are described in 
Section I-B under ``Performance Measurement'' and listed in Appendix A 
of this document.
3. Publications
    If you are funded under this grant 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 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 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 G 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

[[Page 50626]]

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 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: All applicants proposing 
a pilot test of the best practice as part of a Phase II project must 
comply with the Protection of Human Subjects Regulations (45 CFR part 
46).
    Even if you are not proposing a Phase II pilot test of the best 
practice, the Protection of Human Subjects Regulations could apply 
depending on the evaluation you propose.
    If you are a Phase II applicant proposing a pilot test or your 
project otherwise falls under the Protection of Human Subjects 
Regulations, you must describe the process for obtaining Institutional 
Review Board (IRB) approval in your application. While IRB approval is 
not required at the time of grant award, you 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 before enrolling 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

[[Page 50627]]

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 BPPI Indicators

    The purpose of the Best Practices Planning and Implementation 
grant program is to help communities plan for, adapt, pilot test, 
and evaluate best practices. Domains to be measured are the quality 
of the process and outcome evaluation, and individual/systems 
outcomes pertinent to the service improvement. 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 identify 
measures appropriate to their specific project.

ACCOUNTABILITY

    Percent of grantees reporting valid data. (Phase 1, 2)

CAPACITY

    * Number of persons served (Includes screening and assessment) 
(Phase 1, 2)
    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.) (Phase 1, 2)
    * Number, type, and capacity of services/product available 
(Phase 1, 2)
    * Percent of persons needing services/product who receive them 
(Phase 1, 2)

EFFECTIVENESS

    Participation of persons served and family members in planning, 
policy, and service delivery (Phase 2)
    Number of service/systems improvements implemented; maintained 
post-funding (Phase 2)
    * Percent of programs reporting positive individual and systems 
outcomes (Phase 2)
    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. (Phase 2)
    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. (Phase 2)
    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. (Phase 2)

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

[[Page 50628]]

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 not postmarked by a week prior to the application 
deadline will not be reviewed.
    [sbull] Applications that do not comply with the following 
program requirements, any additional program requirements specified 
in the NOFA, or are otherwise unresponsive to PA guidelines will be 
screened out:
    [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;
    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-ROM.

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, 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 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 find effective services, 
(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

[[Page 50629]]

public organizations, including the Johnson & Johnson Charitable 
Trust, 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 kit 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
    [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/

[[Page 50630]]

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

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

[FR Doc. 03-21118 Filed 8-20-03; 8:45 am]
BILLING CODE 4162-20-P