[Federal Register Volume 68, Number 225 (Friday, November 21, 2003)]
[Notices]
[Pages 65769-65783]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 03-28874]


-----------------------------------------------------------------------

DEPARTMENT OF HEALTH AND HUMAN SERVICES

Substance Abuse and Mental Health Services Administration


Notice of Final Standard Services Grants Announcement

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

ACTION: Notice of final Services Grants announcement.

-----------------------------------------------------------------------

SUMMARY: On August 21, 2003, the Substance Abuse and Mental Health 
Services Administration (SAMHSA) announced plans to change its approach 
to announcing and soliciting applications for its discretionary grant 
programs in Fiscal Year (FY) 2004. These changes involved the 
publication of four standard grant announcements that would provide the 
basic program design and application instructions for four types of 
grants--Services Grants, Infrastructure Grants, Best Practices Planning 
and Implementation Grants, and Service-to-Science Grants. The four 
announcements were made available for public review and comment for 60 
days. The comments received and changes made to the standard grant 
announcements are described in a separate Federal Register notice. This 
notice provides the final text for SAMHSA's standard Services Grants 
announcement.

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


DATES: Use of the standard Services Grants announcement will be 
effective November 21, 2003. The standard Services Grants announcement 
must be used in conjunction with separate Notices of Funding 
Availability (NOFAs) that will provide application due dates and other 
key dates for specific SAMHSA grant funding opportunities.

[[Page 65770]]


ADDRESSES: Questions about SAMHSA's standard Services Grants 
announcement may be directed to Cathy Friedman, M.A., Office of Policy, 
Planning and Budget, 5600 Fishers Lane, Room 12C-26, Rockville, 
Maryland, 20857. Fax: (301-594-6159) E-mail: [email protected].

FOR FURTHER INFORMATION CONTACT: Cathy Friedman, M.A., Office of 
Policy, Planning and Budget, 5600 Fishers Lane, Room 12C-26, Rockville, 
Maryland, 20857. Fax: (301-594-6159) E-mail: [email protected]. 
Phone: (301) 443-1910.

SUPPLEMENTARY INFORMATION: Starting in FY 2004, SAMHSA is changing its 
approach to announcing and soliciting applications for its 
discretionary grants. SAMHSA will publish 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 text for the final standard 
Services Grants announcement is provided below.
    The standard Services Grants announcement will be posted on 
SAMHSA's Web page (www.samhsa.gov) and will be available from SAMHSA's 
clearinghouses on an ongoing basis. 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, HIV/AIDS 
and Substance Abuse Prevention Planning Grants, etc.).

Services Grants--SVC 04 (Initial Announcement)

    Catalogue of Federal Domestic Assistance (CFDA) No.: 93.243 
(unless otherwise specified in a NOFA in the Federal Register and on 
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 
www.grants.gov).

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

Table of Contents

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

I. Funding Opportunity Description

A. Introduction

    The Substance Abuse and Mental Health Services Administration 
(SAMHSA) announces its intent to solicit applications for Services 
Grants. These grants will expand and strengthen effective, culturally 
appropriate substance abuse and mental health services at the State and 
local levels. The services implemented through SAMHSA's Services Grants 
must incorporate the best objective information available regarding 
effectiveness and acceptability. In general, the services implemented 
through SAMHSA's Services Grants will have strong evidence of 
effectiveness. However, because the evidence base is limited in some 
areas, SAMHSA may fund some services for which the evidence base, while 
limited, is sound. SAMHSA expects that the services funded through 
these grants will be sustained by the grantee beyond the term of the 
grant.
    SAMHSA also funds grants under three other standard grant 
announcements:
    [sbull] Infrastructure Grants support identification and 
implementation of systems changes but are not designed to fund 
services.
    [sbull] Best Practices Planning and Implementation Grants help 
communities and providers identify practices to effectively meet local 
needs, develop strategic plans for implementing/adapting those 
practices and pilot-test practices prior to full-scale implementation.
    [sbull] Service to Science Grants document and evaluate innovative 
practices that address critical substance abuse and mental health 
service gaps but that have not yet been formally evaluated.
    This announcement describes the general program design and provides 
application instructions for all SAMHSA Services Grants. The 
availability of funds for specific Services Grants will be announced in 
supplementary Notices of Funding Availability (NOFAs) in the Federal 
Register and at www.grants.gov--the Federal grant announcement Web 
page.
    Typically, funding for Services Grants will be targeted to specific 
populations and/or issue areas, which will be specified in the NOFAs. 
The NOFAs will also:

[[Page 65771]]

    [sbull] Specify total funding available for the first year of the 
grants and the expected size and number of awards;
    [sbull] Provide the application deadline;
    [sbull] Note any specific program requirements for each funding 
opportunity; and
    [sbull] Include any limitations or exceptions to the general 
provisions in this announcement (e.g., eligibility, allowable 
activities).
    It is, therefore, critical that you consult the NOFA as well as 
this announcement in developing your grant application.

B. Expectations

    The Services Grant program is designed to address gaps in substance 
abuse and mental health services and/or to increase the ability of 
States, units of local government, Indian tribes, tribal organizations 
and governments, and community- and faith-based organizations to help 
specific populations or geographic areas with serious, emerging mental 
health and substance abuse problems. SAMHSA intends that its Services 
Grants result in the delivery of services as soon as possible and no 
later than 4 months after award. SAMHSA's Services Grants may include 
substance abuse prevention, substance abuse treatment and/or mental 
health services. Throughout this announcement, SAMHSA will use the term 
``services'' to refer to all three types of services. The NOFA will 
provide guidance on the particular type of service to be provided 
through each funding opportunity.
1. Documenting the Evidence-Base for Services To Be Implemented
    The services implemented through SAMHSA's Services Grants must 
incorporate the best objective information available regarding the 
effectiveness and acceptability of the services to be implemented. In 
general, the services implemented through SAMHSA's Services Grants will 
have strong evidence of effectiveness. However, because the evidence 
base is limited in some areas, SAMHSA may fund some services for which 
the evidence of effectiveness is based on formal consensus among 
recognized experts in the field and/or evaluation studies that have not 
been published in the peer reviewed literature.
    Applicants must document in their applications that the services/
practices they propose to implement are evidence-based services/
practices. In addition, applicants must justify use of the proposed 
services/practices for the target population along with any adaptations 
or modifications necessary to meet the unique needs of the target 
population or otherwise increase the likelihood of achieving positive 
outcomes. Further guidance on each of these requirements is provided 
below.
    Documenting the Evidence-Based Practice/Service. SAMHSA has already 
determined that certain services/practices are solidly evidence-based 
services/practices and encourages applicants to select services/
practices from following sources (though this is not required):
    [sbull] SAMHSA's National Registry of Effective Programs (NREP) 
(see Appendix C)
    [sbull] Center for Mental Health Services (CMHS) Evidence Based 
Practice Tool Kits (see Appendix D)
    [sbull] List of Effective Substance Abuse Treatment Practices (see 
Appendix E)
    [sbull] Additional practices identified in the NOFA for a specific 
funding opportunity, if applicable
    Applicants proposing services/practices that are not included in 
the above-referenced sources must provide a narrative justification 
that summarizes the evidence for effectiveness and acceptability of the 
proposed service/practice. The preferred evidence of effectiveness and 
acceptability will include the findings from clinical trials, efficacy 
and/or effectiveness studies published in the peer-reviewed literature.
    In areas where little or no research has been published in the 
peer-reviewed scientific literature, the applicant may present evidence 
involving studies that have not been published in the peer-reviewed 
research literature and/or documents describing formal consensus among 
recognized experts. If consensus documents are presented, they must 
describe consensus among multiple experts whose work is recognized and 
respected by others in the field. Local recognition of an individual as 
a respected or influential person at the community level is not 
considered a ``recognized expert'' for this purpose.
    In presenting evidence in support of the proposed service/practice, 
applicants must show that the evidence presented is the best objective 
information available.
    Justifying Selection of the Service/Practice for the Target 
Population. Regardless of the strength of the evidence-base for the 
service/practice, all applicants must show that the proposed service/
practice is appropriate for the proposed target population. Ideally, 
this evidence will include research findings on effectiveness and 
acceptability specific to the proposed target population. However, if 
such evidence is not available, the applicant should provide a 
justification for using the proposed service/practice with the target 
population. This justification might involve, for example, a 
description of adaptations to the proposed service/practice based on 
other research involving the target population.
    Justifying Adaptations/Modifications of the Proposed Service/
Practice. SAMHSA has found that a high degree of faithfulness or 
``fidelity'' (see Glossary) to the original model for an evidence-based 
service/practice increases the likelihood that positive outcomes will 
be achieved when the model is used by others. Therefore, SAMHSA 
encourages fidelity to the original evidence-based service/practice to 
be implemented. However, SAMHSA recognizes that adaptations or 
modifications to the original model may be necessary for a variety of 
reasons:
    [sbull] To allow implementers to use resources efficiently
    [sbull] To adjust for specific needs of the client population
    [sbull] To address unique characteristics of the local community 
where the service/practice will be implemented
    All applicants must describe and justify any adaptations or 
modifications to the proposed service/practice that will be made.
2. Services Delivery
    SAMHSA's Services Grant funds must be used primarily to support 
direct services, including the following types of activities:
    [sbull] Conducting outreach and pre-service strategies to expand 
access to treatment or prevention services to underserved populations. 
If you propose to provide only outreach and pre-service strategies, you 
must show that your organization is an effective and integral part of a 
network of service providers.
    [sbull] Purchasing or providing direct treatment (including 
screening, assessment, and care management) or prevention services for 
populations at risk. Treatment must be provided in outpatient, day 
treatment or intensive outpatient, or residential programs.
    [sbull] Purchasing or providing ``wrap-around'' services (see 
Glossary) (e.g., child care, vocational, educational and transportation 
services) designed to improve access and retention.
    [sbull] Collecting data using specified tools and standards to 
measure and monitor treatment or prevention services and costs. (No 
more than 20% of the total grant award may be used for data collection 
and evaluation.)

[[Page 65772]]

3. Infrastructure Development (maximum 15% of total grant award)
    Although SAMHSA expects that its Services Grant funds will be used 
primarily for direct services, SAMHSA recognizes that infrastructure 
changes may be needed to support service delivery expansion in some 
instances. You may use up to 15% of the total Services Grant award for 
the following types of infrastructure development, if necessary to 
support the direct service expansion of the grant project.
    [sbull] Building partnerships to ensure the success of the project 
and entering into service delivery and other agreements.
    [sbull] Developing or changing the infrastructure to expand 
treatment or prevention services.
    [sbull] Training to assist treatment or prevention providers and 
community support systems to identify and address mental health or 
substance abuse issues.
4. Data and Performance Measurement
    The Government Performance and Results Act of 1993 (Pub. L. 103-62, 
or ``GPRA'') requires all Federal agencies to set program performance 
targets and report annually on the degree to which the previous year's 
targets were met.
    Agencies are expected to evaluate their programs regularly and to 
use results of these evaluations to explain their successes and 
failures and justify requests for funding.
    To meet the GPRA requirements, SAMHSA must collect performance data 
(i.e., ``GPRA data'') from grantees. Grantees are required to report 
these GPRA data to SAMHSA on a timely basis.
    Specifically, grantees will be required to provide data on a set of 
required measures, as specified in the NOFA. The data collection tools 
to be used for reporting the required data will be provided in the 
application kits distributed by SAMHSA's clearinghouses and posted on 
SAMHSA's Web site along with each NOFA. In your application, you must 
demonstrate your ability to collect and report on these measures, and 
you may be required to provide some baseline data.
    The terms and conditions of the grant award also 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.
    Applicants should be aware that SAMHSA is working to develop a set 
of required core performance measures for each of SAMHSA's standard 
grants (i.e., Services Grants, Infrastructure Grants, Best Practices 
Planning and Implementation Grants, and Service-to-Science Grants). As 
this effort proceeds, some of the data collection and reporting 
requirements included in SAMHSA's NOFAs may change. All grantees will 
be expected to comply with any changes in data collection requirements 
that occur during the grantee's project period.
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.
6. Evaluation
    Grantees must evaluate their projects, and you are required to 
describe your evaluation plans in your application. The evaluation 
should be designed to provide regular feedback to the project to 
improve services. The evaluation must include both process and outcome 
components. Process and outcome evaluations must measure change 
relating to project goals and objectives over time compared to baseline 
information. Control or comparison groups are not required. You must 
consider your evaluation plan when preparing the project budget.
    Process components should address issues such as:
    [sbull] How closely did implementation match the plan?
    [sbull] What types of deviation from the plan occurred?
    [sbull] What led to the deviations?
    [sbull] What effect did the deviations have on the planned 
intervention and evaluation?
    [sbull] Who provided (program, staff) what services (modality, 
type, intensity, duration), to whom (individual characteristics), in 
what context (system, community), and at what cost (facilities, 
personnel, dollars)?
    Outcome components should address issues such as:
    [sbull] What was the effect of treatment on participants?
    [sbull] What program/contextual factors were associated with 
outcomes?
    [sbull] What individual factors were associated with outcomes?
    [sbull] How durable were the effects?
    No more than 20% of the total grant award may be used for 
evaluation and data collection, including GPRA.

II. Award Information

A. Award Amount

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

B. Funding Mechanism

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

III. Eligibility Information

A. Eligible Applicants

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

B. Cost-Sharing

    Cost-sharing (see Glossary) 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 (see Glossary) 
in your proposal as evidence of commitment to the proposed project.

[[Page 65773]]

C. Other

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

[Note: The above requirements apply to all service provider 
organizations. A license from an individual clinician will not be 
accepted in lieu of a provider organization's license.]

    In Appendix 1 of the application, you must: (1) Identify at least 
one experienced, licensed service provider organization; (2) include a 
list of all direct service provider organizations that have agreed to 
participate in the proposed project, including the applicant agency if 
the applicant is a treatment or prevention service provider 
organization; and (3) include the Statement of Assurance (provided in 
Appendix F of this announcement), signed by the authorized 
representative of the applicant organization identified on the face-
page of the application, that all participating service provider 
organizations:
    [sbull] meet the 2-year experience requirement
    [sbull] meet applicable licensing, accreditation, and certification 
requirements, and,
    [sbull] if the application is within the funding range, will 
provide the Government Project Officer (GPO) with the required 
documentation within the time specified.
    If Appendix 1 of the application does not contain items (1)-(3), 
the application will be considered ineligible and will not be reviewed.
    In addition, if, following application review, an application's 
score is within the fundable range for a grant award, the GPO will call 
the applicant and request that the following documentation be sent by 
overnight mail:
    [sbull] A letter of commitment that specifies the nature of the 
participation and what service(s) will be provided from every service 
provider organization that has agreed to participate in the project;
    [sbull] Official documentation that all participating organizations 
have been providing relevant services for a minimum of 2 years before 
the date of the application in the area(s) in which the services are to 
be provided; and
    [sbull] Official documentation that all participating service 
provider organizations comply with all applicable local (city, county) 
and State/tribal requirements for licensing, accreditation, and 
certification or official documentation from the appropriate agency of 
the applicable State/tribal, county, or other governmental unit that 
licensing, accreditation, and certification requirements do not exist.
    If the GPO does not receive this documentation within the time 
specified, the application will be removed from consideration for an 
award and the funds will be provided to another applicant meeting these 
requirements.

IV. Application and Submission Information

    To ensure that you have met all submission requirements, a 
checklist is provided for your use in Appendix A 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 www.samhsa.gov. Click on ``grant opportunities.''
    Additional materials available on this Web site include:
    [sbull] A technical assistance manual for potential applicants;
    [sbull] Standard terms and conditions for SAMHSA grants;
    [sbull] Guidelines and policies that relate to SAMHSA grants (e.g., 
guidelines on cultural competence, consumer and family participation, 
and evaluation); and
    [sbull] Enhanced instructions for completing the PHS 5161-1 
application.

B. Content and Form of Application Submission

1. Required Documents
    SAMHSA application kits include the following documents:
    [sbull] PHS 5161-1 (revised July 2000)--Includes the face page, 
budget forms, assurances, certification, and checklist. Use the PHS 
5161-1, unless otherwise specified in the NOFA. Applications that are 
not submitted on the required application form will be screened out and 
will not be reviewed.
    [sbull] Program Announcement (PA)--Includes instructions for the 
grant application. This document is the PA.
    [sbull] Notice of Funding Availability (NOFA)--Provides specific 
information about availability of funds, as well as any exceptions or 
limitations to provisions in the PA. The NOFAs will be published in the 
Federal Register, as well as on the Federal grants Web site 
(www.grants.gov).
    You must use all of the above documents in completing your 
application.
2. Required Application Components
    To ensure equitable treatment of all applications, SAMHSA will 
accept only

[[Page 65774]]

complete applications for review. In order for your application to be 
complete, it must include the required ten application components (Face 
Page, Abstract, Table of Contents, Budget Form, Project Narrative and 
Supporting Documentation, Appendices, Assurances, Certifications, 
Disclosure of Lobbying Activities, and Checklist). Applications that do 
not contain the required components 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 
www.dunandbradstreet.com or call 1-866-705-5711. To expedite the 
process, let Dun and Bradstreet know that you are a public/private 
nonprofit organization getting ready to submit a Federal grant 
application.]
    [sbull] Abstract--Your total abstract should not be longer than 35 
lines. In the first five lines or less of your abstract, write a 
summary of your project that can be used, if your project is funded, in 
publications, reporting to Congress, or press releases.
    [sbull] Table of Contents--Include page numbers for each of the 
major sections of your application and for each appendix.
    [sbull] Budget Form--Use SF 424A, which is part of the PHS 5161-1. 
Fill out Sections B, C, and E of the SF 424A.
    [sbull] Project Narrative and Supporting Documentation--The Project 
Narrative describes your project. It consists of Sections A through E. 
Sections A-E together may not be longer than 30 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 I. There are no page limits for these 
sections, except for Section H, the Biographical Sketches/Job 
Descriptions.
    [sbull] Section F--Literature Citations. This section must contain 
complete citations, including titles and all authors, for any 
literature you cite in your application.
    [sbull] Section G--Budget Justification, Existing Resources, Other 
Support. You must provide a narrative justification of the items 
included in your proposed budget, as well as a description of existing 
resources and other support you expect to receive for the proposed 
project. Be sure to show that no more than 15% of the total grant award 
will be used for infrastructure development and that no more than 20% 
of the total grant award will be used for data collection and 
evaluation, including GPRA.
    [sbull] Section H--Biographical Sketches and Job Descriptions.
    [sbull] Include a biographical sketch for the Project Director and 
other key positions. Each sketch should be 2 pages or less. If the 
person has not been hired, include a letter of commitment from the 
individual with a current biographical sketch.
    [sbull] Include job descriptions for key personnel. Job 
descriptions should be no longer than 1 page each.
    [sbull] Sample sketches and job descriptions are listed on page 22, 
Item 6 in the Program Narrative section of the PHS 5161-1.
    [sbull] Section I--Confidentiality and SAMHSA Participant 
Protection/Human Subjects. Section VIII-A of this document describes 
requirements for the protection of the confidentiality, rights and 
safety of participants in SAMHSA-funded activities. This section also 
includes guidelines for completing this part of your application.
    [sbull] Appendices 1 through 5--Use only the appendices listed 
below. Do not use more than 30 pages for Appendices 1, 3 and 4. There 
are no page limitations for Appendices 2 and 5. Do not use appendices 
to extend or replace any of the sections of the Project Narrative 
unless specifically required in the NOFA. Reviewers will not consider 
them if you do.
    [sbull] Appendix 1: Letters of commitment/support. Identification 
of at least one experienced, licensed service provider organization. A 
list of all direct service provider organizations that have agreed to 
participate in the proposed project, including the applicant agency, if 
it is a treatment or prevention service provider organization. The 
Statement of Assurance (provided in Appendix F of this announcement) 
signed by the authorized representative of the applicant organization 
identified on the face page of the application, that assures SAMHSA 
that all listed providers meet the 2-year experience requirement, are 
appropriately licensed, accredited, and certified, and that if the 
application is within the funding range for an award, the applicant 
will send the GPO the required documentation within the specified time.
    [sbull] Appendix 2: Data Collection Instruments/Interview Protocols
    [sbull] Appendix 3: Sample Consent Forms
    [sbull] Appendix 4: Letter to the SSA (if applicable; see Section 
VIII-C of this document)
    [sbull] Appendix 5: A copy of the State or County Strategic Plan, a 
State or county needs assessment, or a letter from the State or county 
indicating that the proposed project addresses a State- or county-
identified priority.
    [sbull] Assurances--Non-Construction Programs. Use Standard Form 
424B found in PHS 5161-1. Some applicants will be required to complete 
the Assurance of Compliance with SAMHSA Charitable Choice Statutes and 
Regulations Form SMA 170. If this assurance applies to a specific 
funding opportunity, it will be posted on SAMHSA's web site with the 
NOFA and provided in the application kits available at SAMHSA's 
clearinghouse (NCADI).
    [sbull] Certifications--Use the ``Certifications'' forms found in 
PHS 5161-1.
    [sbull] Disclosure of Lobbying Activities--Use Standard Form LLL 
found in the PHS 5161-1. Federal law prohibits the use of appropriated 
funds for publicity or propaganda purposes, or for the preparation, 
distribution, or use of the information designed to support or defeat 
legislation pending before the Congress or State legislatures. This 
includes ``grass roots'' lobbying, which consists of appeals to members 
of the public suggesting that they contact their elected 
representatives to indicate their support for or opposition to pending 
legislation or to urge those representatives to vote in a particular 
way.
    [sbull] Checklist--Use the Checklist found in PHS 5161-1. The 
Checklist ensures that you have obtained the proper signatures, 
assurances and certifications and is the last page of your application.
3. Application Formatting Requirements
    Applicants also must comply with the following basic application 
requirements. Applications that do not comply with these requirements 
will be screened out and will not be reviewed.
    [sbull] Text must be legible.
    [sbull] Paper must be white and 8.5'' by 11.0'' in size.
    [sbull] Pages must be typed single-spaced with one column per page.
    [sbull] Page margins must be at least one inch.

[[Page 65775]]

    [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] Pages cannot have printing on both sides.
    [sbull] Page limitations specified for the Project Narrative and 
Appendices cannot be exceeded.
    [sbull] Information provided 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] Do not use heavy or light-weight paper or any material that 
cannot be photocopied using automatic photocopying machines. Odd-sized 
and oversized attachments, such as posters, will not be copied or sent 
to reviewers. Do not send videotapes, audiotapes, or CD-ROMs.
    [sbull] Pages should be numbered consecutively from beginning to 
end so that information can be located easily during review of the 
application. For example, the cover page should be labeled ``page 1,'' 
the abstract page should be ``page 2,'' and the table of contents page 
should be ``page 3.'' Appendices should be labeled and separated from 
the Project Narrative and budget section, and the pages should be 
numbered to continue in the sequence.

C. Submission Dates and Times

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

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

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

E. Funding Limitations/Restrictions

    Cost principles describing allowable and unallowable expenditures 
for Federal grantees, including SAMHSA grantees, are provided in the 
following documents:
    [sbull] Institutions of Higher Education: OMB Circular A-21.
    [sbull] State and Local Governments: OMB Circular A-87.
    [sbull] Nonprofit Organizations: OMB Circular A-122.
    [sbull] Appendix E Hospitals: 45 CFR Part 74.
    In addition, SAMHSA Services Grant recipients must comply with the 
following funding restrictions:
    [sbull] No more than 15% of the total grant award may be used for 
developing the infrastructure necessary for expansion of services.
    [sbull] No more than 20% of the total grant award may be used for 
evaluation and data collection, including GPRA.
    Service Grant funds must be used for purposes supported by the 
program and may not be used to:
    [sbull] Pay for any lease beyond the project period.
    [sbull] Provide services to incarcerated populations (defined as 
those persons in jail, prison, detention facilities, or in custody 
where they are not free to move about in the community).
    [sbull] Pay for the purchase or construction of any building or 
structure to house any part of the program. (Applicants may request up 
to $75,000 for renovations and alterations of existing facilities, if 
necessary and appropriate to the project.)
    [sbull] Provide residential or outpatient treatment services when 
the facility has not yet been acquired, sited, approved, and met all 
requirements for human habitation and services provision. (Expansion or 
enhancement of existing residential services is permissible.)
    [sbull] Pay for housing other than residential mental health and/or 
substance abuse treatment.
    [sbull] Provide inpatient treatment or hospital-based 
detoxification services. Residential services are not considered to be 
inpatient or hospital-based services.
    [sbull] Pay for incentives to induce individuals to enter 
treatment. However, a grantee or treatment provider may provide up to 
$20 or equivalent (coupons, bus tokens, gifts, child care, and 
vouchers) to individuals as incentives to participate in required data 
collection follow-up. This amount may be paid for participation in each 
required interview.
    [sbull] Implement syringe exchange programs, such as the purchase 
and distribution of syringes and/or needles.
    [sbull] Pay for pharmacologies for HIV antiretroviral therapy, 
sexually transmitted diseases (STD)/sexually transmitted illnesses 
(STI), TB, and hepatitis B and C, or for psychotropic drugs.

F. Other Submission Requirements

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

V. Application Review Information

A. Evaluation Criteria

    Your application will be reviewed and scored according to the 
quality of your response to 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] The Project Narrative (Sections A-E) together may be no 
longer than 30 pages.
    [sbull] You must use the five sections/headings listed below in 
developing your Project Narrative. Be sure to place

[[Page 65776]]

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] Reviewers will be looking for evidence of cultural 
competence in each section of the Project Narrative. Points will be 
assigned based on how well you address the cultural competence aspects 
of the evaluation criteria. SAMHSA's guidelines for cultural competence 
can be found on the SAMHSA Web site at www.samhsa.gov. Click on ``Grant 
Opportunities.''
    [sbull] The Supporting Documentation you provide in Sections F-I 
and Appendices 1-5 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.
Section A: Statement of Need (10 points)
    [sbull] Describe the target population (see Glossary) as well as 
the geographic area to be served, and justify the selection of both. 
Include the numbers to be served and demographic information. Discuss 
the target population's language, beliefs, norms and values, as well as 
socioeconomic factors that must be considered in delivering programs to 
this population.
    [sbull] Describe the nature of the problem and extent of the need 
for the target population based on data. The statement of need should 
include a clearly established baseline for the project. Documentation 
of need may come from a variety of qualitative and quantitative 
sources. The quantitative data could come from local data or trend 
analyses, State data (e.g., from State Needs Assessments), and/or 
national data (e.g., from SAMHSA's National Household Survey on Drug 
Abuse and Health or from National Center for Health Statistics/Centers 
for Disease Control reports). For data sources that are not well known, 
provide sufficient information on how the data were collected so 
reviewers can assess the reliability and validity of the data.
    [sbull] Non-tribal applicants must show that identified needs are 
consistent with priorities of the State or county that has primary 
responsibility for the service delivery system. Include, in Appendix 5, 
a copy of the State or County Strategic Plan, a State or county needs 
assessment, or a letter from the State or county indicating that the 
proposed project addresses a State- or county-identified priority. 
Tribal applicants must provide similar documentation relating to tribal 
priorities.
    [sbull] Check the NOFA for any additional requirements.
Section B: Proposed Evidence-Based Service/Practice (30 points)
    [sbull] Clearly state the purpose, goals and objectives of your 
proposed project. Describe how achievement of goals will produce 
meaningful and relevant results (e.g., increase access, availability, 
prevention, outreach, pre-services, treatment, and/or intervention).
    [sbull] Identify the evidenced based service/practice that you 
propose to implement. Describe the evidence-base for the proposed 
service/practice and show that it incorporates the best objective 
information available regarding effectiveness and acceptability. Follow 
the instructions provided in 1, 2 or 3 
below, as appropriate:
    1. If you are proposing to implement a service/practice included in 
NREP (see Appendix C), one of the CMHS tool-kits on evidence-based 
practices (see Appendix D), the list of Effective Substance Abuse 
Treatment Practices (see Appendix E), or the NOFA (if applicable), 
simply identify the practice and state the source from which it was 
selected. You do not need to provide further evidence of effectiveness.
    2. If you are providing evidence that includes scientific studies 
published in the peer-reviewed literature or other studies that have 
not been published, describe the extent to which:

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

    3. If you are providing evidence based on a formal consensus 
process involving recognized experts in the field, describe:

--the experts involved in developing consensus on the proposed service/
practice (e.g., members of an expert panel formally convened by SAMHSA, 
NIH, the Institute of Medicine or other nationally recognized 
organization). The consensus must have been developed by a group of 
experts whose work is recognized and respected by others in the field. 
Local recognition of an individual as a respected or influential person 
at the community level is not considered a ``recognized expert'' for 
this purpose.
--the nature of the consensus that has been reached and the process 
used to reach consensus
--the extent to which the consensus has been documented (e.g., in a 
consensus panel report, meeting minutes, or an accepted standard 
practice in the field)
--any empirical evidence (whether formally published or not) supporting 
the effectiveness of the proposed service/practice
--the rationale for concluding that further empirical evidence does not 
exist to support the effectiveness of the proposed service/practice

    [sbull] Justify the use of the proposed service/practice for the 
target population. Describe and justify any adaptations necessary to 
meet the needs of the target population as well as evidence that such 
adaptations will be effective for the target population.
    [sbull] Identify and justify any additional adaptations or 
modifications to the proposed service/practice.
    [sbull] Describe how the proposed project will address issues of 
age, race, ethnicity, culture, language, sexual orientation, 
disability, literacy, and gender in the target population, while 
retaining fidelity to the chosen practice.
    [sbull] Demonstrate how the proposed service/practice will meet 
your goals and objectives. Provide a logic model (see Glossary) that 
links need, the services or practice to be implemented, and outcomes.
    [sbull] Check the NOFA for any additional requirements.
Section C: Proposed Implementation Approach (25 points)
    [sbull] Describe how the proposed service or practice will be 
implemented. Provide a realistic time line for the project (chart or 
graph) showing key activities, milestones, and responsible staff. 
[Note: The time line should be part of the Project Narrative. It should 
not be placed in an appendix.]
    [sbull] Clearly state the unduplicated number of individuals you 
propose to serve (annually and over the entire project period) with 
grant funds, including the types and numbers of

[[Page 65777]]

services to be provided and anticipated outcomes. Describe how the 
target population will be identified, recruited, and retained.
    [sbull] Describe how members of the target population helped 
prepare the application, and how they will help plan, implement, and 
evaluate the project.
    [sbull] Describe how the project components will be embedded within 
the existing service delivery system, including other SAMHSA-funded 
projects, if applicable. Identify any other organizations that will 
participate in the proposed project. Describe their roles and 
responsibilities and demonstrate their commitment to the project. 
Include letters of commitment from community organizations supporting 
the project in Appendix 1. Identify any cash or in-kind contributions 
that will be made to the project by the applicant or other partnering 
organizations.
    [sbull] Show that the necessary groundwork (e.g., planning, 
consensus development, development of memoranda of agreement, 
identification of potential facilities) has been completed or is near 
completion so that the project can be implemented and service delivery 
can begin as soon as possible and no later than 4 months after grant 
award.
    [sbull] Describe the potential barriers to successful conduct of 
the proposed project and how you will overcome them.
    [sbull] Provide a plan to secure resources to sustain the proposed 
project when Federal funding ends.
    [sbull] Check the NOFA for any additional requirements.
Section D: Staff and Organizational Experience (20 points)
    [sbull] Discuss the capability and experience of the applicant 
organization and other participating organizations with similar 
projects and populations, including experience in providing culturally 
appropriate/competent services.
    [sbull] Provide a list of staff who will participate in the 
project, showing the role of each and their level of effort and 
qualifications. Include the Project Director and other key personnel, 
such as the evaluator and treatment/prevention personnel.
    [sbull] Describe the racial/ethnic characteristics of key staff and 
indicate if any are members of the target population/community. If the 
target population is multi-linguistic, indicate if the staffing pattern 
includes bilingual and bicultural individuals.
    [sbull] Describe the resources available for the proposed project 
(e.g., facilities, equipment), and provide evidence that services will 
be provided in a location that is adequate, accessible, compliant with 
the Americans with Disabilities Act (ADA), and amenable to the target 
population.
    [sbull] Check the NOFA for any additional requirements.
Section E: Evaluation and Data (15 points)
    [sbull] Document your ability to collect and report on the required 
performance measures as specified in the NOFA. Specify and justify any 
additional measures you plan to use for your grant project.
    [sbull] Describe plans for data collection, management, analysis, 
interpretation and reporting. Describe the existing approach to the 
collection of data, along with any necessary modifications. Be sure to 
include data collection instruments/interview protocols in Appendix 2.
    [sbull] Discuss the reliability and validity of evaluation methods 
and instrument(s) in terms of the gender/age/culture of the target 
population.
    [sbull] Describe the process and outcome evaluation, including 
assessments of implementation and individual outcomes. Show how the 
evaluation will be integrated with requirements for collection and 
reporting of performance data, including data required by SAMHSA to 
meet GPRA requirements.
    [sbull] Describe how the evaluation will be used to ensure the 
fidelity to the practice.
    [sbull] Provide a per-person or unit cost of the project to be 
implemented, based on the applicant's actual costs and projected costs 
over the life of the project.
    [sbull] Check the NOFA for any additional requirements.

    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 peer reviewers and, when applicable, approved by the 
appropriate National Advisory Council;
    [sbull] availability of funds; and
    [sbull] equitable distribution of awards in terms of geography 
(including urban, rural and remote settings) and balance among target 
populations and program size.

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 (www.samhsa.gov).
    [sbull] Depending on the nature of the specific funding opportunity 
and/or the proposed project as identified during review, additional 
terms and conditions may be identified in the NOFA or negotiated with 
the grantee prior to grant award. These may include, for example:
    [sbull] actions required to be in compliance with human subjects 
requirements;
    [sbull] requirements relating to additional data collection and 
reporting;
    [sbull] requirements relating to participation in a cross-site 
evaluation; or
    [sbull] requirements to address problems identified in review of 
the application.
    [sbull] You will be held accountable for the information provided 
in the application relating to performance targets. SAMHSA program 
officials will consider your progress in meeting goals and objectives, 
as well as your failures and strategies for overcoming them, when 
making an annual recommendation to continue the grant and the amount of 
any continuation award. Failure to meet stated goals and

[[Page 65778]]

objectives may result in suspension or termination of the grant award, 
or in reduction or withholding of continuation awards.
    [sbull] In an effort to improve access to funding opportunities for 
applicants, SAMHSA is participating in the U.S. Department of Health 
and Human Services ``Survey on Ensuring Equal Opportunity for 
Applicants.'' This survey is included in the application kit for SAMHSA 
grants. Applicants are encouraged to complete the survey and return it, 
using the instructions provided on the survey form.

C. Reporting Requirements

1. Progress and Financial Reports
    [sbull] Grantees must provide annual and final progress reports. 
The final report must summarize information from the annual reports, 
describe the accomplishments of the project, and describe next steps 
for implementing plans developed during the grant period.
    [sbull] Grantees must provide annual and final financial status 
reports. These reports may be included as separate sections of annual 
and final progress reports or can be separate documents. Because SAMHSA 
is extremely interested in ensuring that treatment or prevention 
services can be sustained, your financial reports should explain plans 
to ensure the sustainability (see Glossary) of efforts initiated under 
this grant. Initial plans for sustainability should be described in 
year 01. In each subsequent year, you should describe the status of 
your project, as well as the successes achieved and obstacles 
encountered in that year.
    [sbull] SAMHSA will provide guidelines and requirements for these 
reports to grantees at the time of award and at the initial grantee 
orientation meeting after award. SAMHSA staff will use the information 
contained in the reports to determine the grantee's progress toward 
meeting its goals.
2. Government Performance and Results Act (GPRA)
    The Government Performance and Results Act (GPRA) mandates 
accountability and performance-based management by Federal agencies. To 
meet the GPRA requirements, SAMHSA must collect performance data (i.e., 
``GPRA data'') from grantees. These requirements will be specified in 
the NOFA for each funding opportunity.
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 grant project that are accepted for publication.
    In addition, SAMHSA requests that grantees:
    [sbull] Provide the GPO and SAMHSA Publications Clearance Officer 
with advance copies of publications.
    [sbull] Include acknowledgment of the SAMHSA grant program as the 
source of funding for the project.
    [sbull] Include a disclaimer stating that the views and opinions 
contained in the 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, 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 I 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 describe how 
you will address these requirements.
1. Protect Clients and Staff from Potential Risks
    [sbull] Identify and describe any foreseeable physical, medical, 
psychological, social and legal risks or potential adverse effects as a 
result of the project itself or any data collection activity.
    [sbull] Describe the procedures you will follow to minimize or 
protect participants against potential risks, including risks to 
confidentiality.
    [sbull] Identify plans to provide guidance and assistance in the 
event 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 targeted groups.
    [sbull] Explain the reasons for including groups of pregnant women, 
children, people with mental disabilities, people in institutions, 
prisoners, and individuals who are likely to be particularly vulnerable 
to HIV/AIDS.
    [sbull] Explain the reasons for including or excluding 
participants.
    [sbull] Explain how you will recruit and select participants. 
Identify who will select participants.
3. Absence of Coercion
    [sbull] Explain if participation in the project is voluntary or 
required. Identify possible reasons why participation is required, for 
example, court orders requiring people to participate in a program.
    [sbull] If you plan to compensate participants, state how 
participants will be awarded incentives (e.g., money, gifts, etc.).
    [sbull] State how volunteer participants will be told that they may 
receive services intervention even if they do not participate in or 
complete the data collection component of 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.

[[Page 65779]]

    [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 obtain written 
informed consent.

    [sbull] Indicate if you will obtain informed consent from 
participants or assent from minors along with consent 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, as appropriate, sample consent forms that provide 
for: (1) Informed consent for participation in service intervention; 
(2) informed consent for participation in the data collection component 
of the project; and (3) informed consent for the exchange (releasing or 
requesting) of confidential information. The sample forms must be 
included in Appendix 3, ``Sample Consent Forms'', of your application. 
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
    Depending on the evaluation and data collection requirements of the 
particular funding opportunity for which you are applying or the 
evaluation design you propose in your application, you may have to 
comply with the Protection of Human Subjects Regulations (45 CFR part 
46). The NOFA will indicate whether all applicants for a particular 
funding opportunity must comply with the Protection of Human Subject 
Regulations.
    Applicants must be aware that even if the Protection of Human 
Subjects Regulations do not apply to all projects funded under a given 
funding opportunity, the specific evaluation design proposed by the 
applicant may require compliance with these regulations.
    Applicants whose projects must comply with the Protection of Human 
Subjects Regulations must describe the process for obtaining 
Institutional Review Board (IRB) approval fully in their applications. 
While IRB approval is not required at the time of grant award, these 
applicants will be required, as a condition of award, to provide the 
documentation that an Assurance of Compliance is on file with the 
Office for Human Research Protections (OHRP) and the IRB approval has 
been received prior to enrolling any clients in the proposed project.
    Additional information about Protection of Human Subjects 
Regulations can be obtained on the Web site at http://ohrp.osophs.dhhs.gov. You may also contact OHRP by e-mail 
([email protected]) or by phone (301/496-7005).

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

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

C. Public Health System Impact Statement (PHSIS)

    The Public Health System Impact Statement or PHSIS (Approved by OMB 
under control no. 0920-0428; see burden statement below) is intended to 
keep State and local health officials

[[Page 65780]]

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 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--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] The 10 application components required for SAMHSA 
applications must be included (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] Text must be legible.
    [sbull] Paper must be white paper and 8.5'' by 11.0'' in size.
    [sbull] Pages must be single-spaced with one column per page.
    [sbull] Margins that are 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] Pages cannot have printing on both sides.
    [sbull] Page limitations specified for the Project Narrative (30 
pages total for Sections A-E) and Appendices 1, 3 and 4 (30 pages) 
cannot be exceeded.
    [sbull] Information provided must be sufficient for review.
    [sbull] Applications must be received by the application 
deadline. Applications received after this date must have a proof of 
mailing date from the carrier dated at least 1 week prior to the due 
date. Private metered postmarks are not acceptable as proof of 
timely mailing. Applications not received by the application 
deadline or postmarked a week prior to the application deadline will 
not be reviewed.
    [sbull] Applications that do not comply with the following 
requirements and any additional program requirements specified in 
the NOFA, or are otherwise unresponsive to PA guidelines, will be 
screened out and returned to the applicant without review:
    [sbull] Provisions relating to confidentiality, participant 
protection and the protection of human subjects specified in Section 
VIII-A of this document.
    [sbull] Budgetary limitations as specified in Sections I, II and 
IV-E of this document.
    [sbull] Documentation of nonprofit status as required in the PHS 
5161-1.
    [sbull] Requirements relating to provider organization 
experience and provider organization certification and licensure.
    To facilitate review of your application, follow these 
additional guidelines. Failure to follow these guidelines will not 
result in your application being screened out. However, following 
these guidelines will help reviewers to consider your application.
    [sbull] Please use black ink and number pages consecutively from 
beginning to end so that information can be located easily during 
review of the application. The cover page should be page 1, the 
abstract page should be page 2, and the table of contents page 
should be page 3. Appendices should be labeled and separated from 
the Project Narrative and budget section, and the pages should be 
numbered to continue the sequence.
    [sbull] Send the original application and two copies to the 
mailing address in the PA. Please do not use staples, paper clips, 
and fasteners. Nothing should be attached, stapled, folded, or 
pasted. Do not use any material that cannot be copied using 
automatic copying machines. Odd-sized and oversized attachments such 
as posters will not be copied or sent to reviewers. Do not include 
videotapes, audiotapes, or CD-ROMs.

Appendix B--Glossary

    Best Practice: Best practices are practices that incorporate the 
best objective information currently available regarding 
effectiveness and acceptability.
    Catchment Area: A catchment area is the geographic area from 
which the target population to be served by a program will be drawn.
    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.
    Fidelity: Fidelity is the degree to which a specific 
implementation of a program or practice resembles, adheres to, or is 
faithful to the evidence-based model on which it is based. Fidelity 
is formally assessed using rating scales of the major elements of 
the evidence-based model. A toolkit on how to

[[Page 65781]]

develop and use fidelity instruments is available from the SAMHSA-
funded Evaluation Technical Assistance Center at http://tecathsri.org or by calling (617) 876-0426.
    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.
    Logic Model: A logic model is a diagrammatic representation of a 
theoretical framework. A logic model describes the logical linkages 
among program resources, conditions, strategies, short-term 
outcomes, and long-term impact. More information on how to develop 
logics models and examples can be found through the resources listed 
in Appendix G.
    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.
    Sustainability: Sustainability is the ability to continue a 
program or practice after SAMHSA grant funding has ended.
    Target Population: The target population is the specific 
population of people whom a particular program or practice is 
designed to serve or reach.
    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 C--National Registry of Effective Programs

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

Appendix D--Center for Mental Health Services Evidence-Based Practice 
Toolkits

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

1. Illness Management and Recovery
2. Family Psychoeducation
3. Medication Management Approaches in Psychiatry
4. Assertive Community Treatment
5. Supported Employment
6. Integrated Dual Disorders Treatment

    Each of the resource kits contains information and materials 
written by and for the following groups:

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

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

Appendix E--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 www.health.org and 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


[[Page 65782]]


    [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) 
www.buprenorphine.samhsa.gov
    [sbull] CSAT Guidelines for the Accreditation of Opioid 
Treatment Programs www.samhsa.gov/centers/csat/content/dpt/accreditation.htm
    [sbull] Model Policy Guidelines for Opioid Addiction Treatment 
in the Medical Office 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 www.niaaa.nih.gov/publications/guides.htm. An order form for the Project MATCH series is available 
on-line at www.niaaa.nih.gov/publications/match.htm. All 
publications listed can be ordered through the NIAAA Publications 
Distribution Center, P.O. Box 10686, Rockville, MD 20849-0686.
    [sbull] * Alcohol Problems in Intimate Relationships: 
Identification and Intervention. A Guide for Marriage and Family 
Therapists (2003) NIH Pub. No. 03-5284
    [sbull] * Helping Patients with Alcohol Problems: A Health 
Practitioner's Guide. (2003) NIH Pub. No. 03-3769
    [sbull] * Cognitive-Behavioral Coping Skills Therapy Manual. 
Project MATCH Series, Vol. 3 (1995) NIH Pub. No. 94-3724
    [sbull] Motivational Enhancement Therapy Manual. Project MATCH 
Series, Vol. 2 (1994) NIH Pub. No. 94-3723

Appendix F--Statement of Assurance

    As the authorized representative of the applicant organization, 
I assure SAMHSA that if {insert name of organization{time}  
application is within the funding range for a grant award, the 
organization will provide the SAMHSA Government Project Officer 
(GPO) with the following documents. I understand that if this 
documentation is not received by the GPO within the specified 
timeframe, the application will be removed from consideration for an 
award and the funds will be provided to another applicant meeting 
these requirements.
    [sbull] A letter of commitment that specifies the nature of the 
participation and what service(s) will be provided from every 
service provider organization, listed in Appendix 1 of the 
application, that has agreed to participate in the project;
    [sbull] Official documentation that all service provider 
organizations participating in the project have been providing 
relevant services for a minimum of 2 years prior to the date of the 
application in the area(s) in which services are to be provided. 
Official documents must definitively establish that the organization 
has provided relevant services for the last 2 years; and
    [sbull] Official documentation that all participating service 
provider organizations are in compliance with all local (city, 
county) and State/tribal requirements for licensing, accreditation, 
and certification or official documentation from the appropriate 
agency of the applicable State/tribal, county, or other governmental 
unit that licensing, accreditation, and certification requirements 
do not exist. (Official documentation is a copy of each service 
provider organization's license, accreditation, and certification. 
Documentation of accreditation will not be accepted in lieu of an 
organization's license. A statement by, or letter from, the 
applicant organization or from a provider organization attesting to 
compliance with licensing, accreditation and certification or that 
no licensing, accreditation, certification requirements exist does 
not constitute adequate documentation.)
-----------------------------------------------------------------------

Signature of Authorized Representative
-----------------------------------------------------------------------

Date

[[Page 65783]]

Appendix G--Logic Model Resources

    Chen, W.W., Cato, B.M., & Rainford, N. (1998-9). Using a logic 
model to plan and evaluate a community intervention program: A case 
study. International Quarterly of Community Health Education, 18(4), 
449-458.
    Edwards, E.D., Seaman, J.R., Drews, J., & Edwards, M.E. (1995). 
A community approach for Native American drug and alcohol prevention 
programs: A logic model framework. Alcoholism Treatment Quarterly, 
13(2), 43-62.
    Hernandez, M. & Hodges, S. (2003). Crafting Logic Models for 
Systems of Care: Ideas into Action. [Making children's mental health 
services successful series, volume 1]. Tampa, FL: University of 
South Florida, The Louis de la Parte Florida Mental Health 
Institute, Department of Child & Family Studies. http://cfs.fmhi.usf.edu or phone (813) 974-4651
    Hernandez, M. & Hodges, S. (2001). Theory-based accountability. 
In M. Hernandez & S. Hodges (Eds.), Developing Outcome Strategies in 
Children's Mental Health, pp. 21-40. Baltimore: Brookes.
    Julian, D.A. (1997). Utilization of the logic model as a system 
level planning and evaluation device. Evaluation and Planning, 
20(3), 251-257.
    Julian, D.A., Jones, A., & Deyo, D. (1995). Open systems 
evaluation and the logic model: Program planning and evaluation 
tools. Evaluation and Program Planning, 18(4), 333-341.
    Patton, M.Q. (1997). Utilization-Focused Evaluation (3rd Ed.), 
pp. 19, 22, 241. Thousand Oaks, CA: Sage.
    Wholey, J.S., Hatry, H.P., Newcome, K.E. (Eds.) (1994). Handbook 
of Practical Program Evaluation. San Francisco, CA: Jossey-Bass Inc.

    Dated: November 13, 2003.
Daryl Kade,
Director, Office of Policy, Planning and Budget, Substance Abuse and 
Mental Health Services Administration.

[FR Doc. 03-28874 Filed 11-20-03; 8:45 am]
BILLING CODE 4162-20-P