[Federal Register Volume 68, Number 225 (Friday, November 21, 2003)]
[Notices]
[Pages 65793-65807]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 03-28876]


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DEPARTMENT OF HEALTH AND HUMAN SERVICES

Substance Abuse and Mental Health Services Administration


Notice of Final Standard Best Practices Planning and 
Implementation Grants Announcement

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

ACTION: Notice of final Best Practices Planning and Implementation 
Grants announcement.

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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 Best Practices 
Planning and Implementation Grants announcement.

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

DATES: Use of the standard Best Practices Planning and Implementation 
Grants announcement will be effective November 21, 2003. The standard 
Best Practices Planning and Implementation 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.

ADDRESSES: Questions about SAMHSA's standard Best Practices Planning 
and Implementation 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 
Best Practices Planning and Implementation Grants announcement is 
provided below.
    The standard Best Practices Planning and Implementation 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.).

Best Practices Planning and Implementation Grants BPPI 04 (Initial 
Announcement)

    Catalogue of Federal Domestic Assistance (CFDA) No.: 93.243 
(unless otherwise specified in a NOFA in the Federal Register and on 
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
                                     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..........  (E.O. 12372) Letters from State
                                     Single Point of Contact (SPOC) are
                                     due 60 days after application
                                     deadline.
Public Health System Impact.......  Statement (PHSIS)/Single State
                                     Agency Coordination Applicants must
                                     send the PHSIS to appropriate State
                                     and local health agencies by
                                     application deadline. Comments from
                                     Single State Agency are due 60 days
                                     after application deadline.
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Table of Contents

I. Funding Opportunity Description
    A. Introduction
    B. Expectations
II. Award Information
    A. Award Amount
    B. Funding Mechanism
III. Eligibility Information
    A. Eligible Applicants
    B. Cost-Sharing
    C. Other
IV. Application and Submission Information
    A. Address to Request Application Package
    B. Content and Form of Application Submission
    C. Submission Dates and Times
    D. Intergovernmental Review (E.O. 12372) Requirements
    E. Funding 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

[[Page 65794]]

    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 Prevention Programs
Appendix D: Center for Mental Health Services Evidence-Based 
Practices Toolkits
Appendix E: Effective Substance Abuse Treatment Practices
Appendix F: 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 Best 
Practices Planning and Implementation (BPPI) grants for substance abuse 
prevention, substance abuse treatment, and mental health services. 
These grants will help communities and providers identify substance 
abuse prevention, substance abuse treatment, and/or mental health 
practices, develop strategic plans for implementing/adapting those 
practices, and pilot-test the practices. The practices proposed by 
applicants for SAMHSA's BPPI grants must incorporate the best objective 
information available regarding effectiveness and acceptability. Often, 
these practices will have strong evidence of effectiveness. However, 
because the evidence base is limited in some areas, SAMHSA may fund 
some practices for which the evidence base, while limited, is sound.
    SAMHSA also funds grants under three other standard grant 
announcements:
    [sbull] Services Grants provide funding to implement substance 
abuse and mental health services.
    [sbull] Infrastructure Grants support identification and 
implementation of systems changes but are not designed to fund 
services.
    [sbull] Service to Science Grants document and evaluate innovative 
practices that address critical substance abuse and mental health 
service gaps but that have not yet been formally evaluated.
    This announcement describes the general program design and provides 
application instructions for all SAMHSA BPPI Grants. The availability 
of funds for specific BPPI Grants will be announced in supplementary 
Notices of Funding Availability (NOFAs) in the Federal Register and at 
www.grants.gov--the Federal grant announcement Web page.
    Typically, funding for BPPI Grants will be targeted to specific 
populations and/or issue areas, which will be specified in the NOFAs. 
The NOFAs will also:
    [sbull] Specify total funding available for the first year of the 
grants and the expected size and number of awards;
    [sbull] Provide the application deadline;
    [sbull] Note any specific program requirements for each funding 
opportunity; and
    [sbull] Include any limitations or exceptions to the general 
provisions in this announcement (e.g., eligibility, award size, 
allowable activities).
    It is, therefore, critical that you consult the NOFA as well as 
this announcement in developing your grant application.

B. Expectations

    SAMHSA's BPPI program promotes the use of practices that 
incorporate the best objective information available regarding 
effectiveness and acceptability. SAMHSA refers to these as ``best 
practices.'' BPPI grants may address needs in the areas of substance 
abuse prevention, substance abuse treatment and/or mental health 
services. SAMHSA understands that the ``best practices'' proposed for 
BPPI grants may need to be adapted to certain populations. Therefore, 
SAMHSA's BPPI grants support adaptation and evaluation of best 
practices in addition to planning and implementation.
1. Documenting the Evidence-Base for Selected Practices
    Applicants must document in their applications that the practices 
they propose to implement are evidence-based practices. In addition, 
applicants must justify use of the proposed 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 practices are solidly evidence-based practices 
and encourages applicants to select practices from the 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 Evidence-Based Substance Abuse Treatment Practices 
(see Appendix E).
    [sbull] Additional practices identified in the NOFA for a specific 
funding opportunity, if applicable.
    Applicants proposing 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 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 practice, 
applicants must show that the evidence presented is the best objective 
information available.
    Justifying Selection of the Practice/Service for the Target 
Population. Regardless of the strength of the evidence-base for the 
practice, all applicants must show that the proposed 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 practice with the target population. This 
justification might involve, for example, a description of adaptations 
to the proposed practice based on other research involving the target 
population.
    Justifying Adaptations/Modifications of the Proposed Practice. 
SAMHSA has found that a high degree of faithfulness or ``fidelity'' 
(see Glossary) to the original model for an evidence-based 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 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.

[[Page 65795]]

    [sbull] To adjust for specific needs of the client population.
    [sbull] To address unique characteristics of the local community 
where the practice will be implemented.
    All applicants must describe and justify any adaptations or 
modifications to the proposed practice that will be made.
2. Program Design
    SAMHSA will fund BPPI grants in two phases. Phase I is a planning 
and consensus-building phase that supports grantees for up to 18 
months. Phase II is a pilot, adaptation, implementation, and evaluation 
phase that supports grantees for up to 3 years.
    Phase I: Planning and Consensus Building. The goals of Phase I are 
to achieve consensus among community stakeholders to adopt a best 
practice and to engage in strategic planning for its implementation. 
Phase I grants may include, but are not limited to, the following types 
of activities:
    [sbull] Build and maintain a coalition of stakeholders to fund, 
oversee, use, and provide a sustainable best practice.
    [sbull] Train and educate key stakeholders about the best practice.
    [sbull] Consult experts about the practice.
    [sbull] Consult leaders from other communities about their 
experiences in implementing the practice.
    [sbull] Reimburse stakeholders for their transportation or child 
care costs.
    [sbull] Engage professionals to help build consensus and plan 
strategy.
    [sbull] Adapt the best practice to community needs without 
sacrificing its effectiveness.
    [sbull] Identify and obtain the commitment of permanent sources to 
fund the best practice.
    [sbull] Design the evaluation of the best practice.
    [sbull] Evaluate the process of consensus building among 
stakeholders (required).
    Phase II: Pilot Test, Adaptation, Implementation, and Evaluation. 
The goals of Phase II grants are to pilot test and evaluate the best 
practices before full implementation, modify strategic/financial plans, 
and prepare for full-scale implementation. Implementation does not 
include service delivery. The following are examples of activities that 
can be funded during Phase II:
    [sbull] Pilot test the practice on a sample of service recipients 
and evaluate the pilot test.
    [sbull] Modify the best practice based on consultation with 
stakeholders and practice experts, other community experiences, and 
pilot test results.
    [sbull] Revise the manual or documentation that describes in detail 
how the best practice was modified.
    [sbull] Maintain the coalition of stakeholders to oversee Phase II 
activities.
    [sbull] Secure consultants to make changes required to implement 
and finance the best practice.
    [sbull] Make organizational changes (e.g., hiring staff) necessary 
to implement the best practice.
    [sbull] Provide necessary education, training, and technical 
assistance for staff.
    Up to 25% of the Phase II grant award may be used to evaluate the 
pilot test of the best practice. During the course of a Phase II award, 
SAMHSA will provide funding for direct services as part of the pilot 
test.
3. Performance Requirements
    All grantees will be required to meet the following evaluation and 
performance requirements. Applicants are not required to receive a 
Phase I award before applying for a Phase II award. However, all Phase 
II applicants must meet the Phase I performance requirements (i.e., 
documentation that consensus has been achieved and that a strategic 
plan is in place) before applying for a Phase II award. Phase II 
applicants need not have been Phase I grantees.
    Phase I: Planning and Consensus Building. By the end of Phase I, 
grantees will be required to provide documentation that consensus has 
been achieved for adopting a best practice. That documentation must 
include:
    [sbull] A report that summarizes the evaluation of the consensus 
building process.
    [sbull] A description of how key stakeholders were included in the 
consensus building.
    [sbull] Letters of support or other demonstration of stakeholders' 
commitment to adopt the practice.
    [sbull] A strategic plan for implementing the best practice that 
includes a financing plan, signed by the funding source(s) that will 
provide the resources necessary to address barriers and implement a 
sustainable best practice.
    [Note: if it is not possible for a grantee to complete a strategic 
plan, grantees will be required to provide an analysis of progress made 
and barriers to completing the strategic plan instead.]
    Phase II: Pilot Test, Adaptation, Implementation, and Evaluation. 
By the end of Phase II, grantees must provide the following 
information:
    [sbull] Pilot test results.
    [sbull] Results from process/outcome evaluation of full Phase II 
project.
    [sbull] In cases where the implementation was judged a success, a 
manual describing the practice in detail for replication of the 
practice. The manual should explain how the project team determined the 
degree of success, referring to qualitative and quantitative data.
    [sbull] In cases where the implementation was judged not to be 
successful, a report detailing the lessons learned, with 
recommendations for other programs interested in implementing the best 
practice. The report should explain how the project team determined the 
degree of success, referring to qualitative and quantitative data.
    [sbull] Documentation that staff are trained in the practice and of 
a mechanism for training new staff.
    [sbull] Process evaluation results that describe how the practice 
was operationalized, including changes in the organizational 
infrastructure, permanent funding sources, and staff consultation and 
training activities.
    [sbull] Outcome evaluation results that describe:

    [sbull] Demographic characteristics of the clients served.
    [sbull] Service utilization.
    [sbull] Practice outcomes.
    [sbull] Client satisfaction.
    [sbull] Fidelity of the modified practice to the best practice.
    [sbull] Plans for fully implementing the best practice after the 
end of the Phase II award.
4. 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.

[[Page 65796]]

    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. Evaluation
    Grantees must evaluate their projects, and applicants are required 
to describe their evaluation plans in their applications. The 
evaluation should be designed to provide regular feedback to the 
project to improve implementation of the best practice and, ultimately, 
the outcomes that will result from implementation of the best practice.
    Phase I grantees must conduct a process evaluation. Phase II 
grantees must conduct a process and outcome evaluation of the pilot 
test, as well as a process and outcome evaluation of the full Phase II 
project.
    Process and outcome evaluations must measure change relating to 
project goals and objectives over time compared to baseline 
information. Both Phase I and Phase II grantees must include the 
required performance measures described in the NOFA in their 
evaluations. 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 intervention and 
evaluation?
    [sbull] For pilot test evaluations, 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 the project on the service delivery 
system and/or on participants in the project?
    [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 Phase I grant award and 25% of the 
total Phase II grant award may be used for evaluation and data 
collection.
6. Grantee Meetings
    You must plan to send a minimum of two people (including the 
Project Director) to at least one joint grantee meeting in each year of 
the grant, and you must include funding for this travel in your budget. 
At these meetings, grantees will present the results of their projects 
and Federal staff will provide technical assistance. Each meeting will 
be 3 days. These meetings will usually be held in the Washington, DC, 
area, and attendance is mandatory.

II. Award Information

A. Award Amount

    The NOFA will specify the expected award amount for each funding 
opportunity. Regardless of the amount specified, the actual award 
amount will depend on the availability of funds.
    Awards for SAMHSA's BPPI grants will be made in two phases:
    Phase I--Phase I awards are expected to range from $150,000-
$200,000 in total costs (direct and indirect) for a project period of 
up to 18 months.
    Phase II--Phase II awards will range from $300,000-$500,000 per 
year in total costs (direct and indirect) for a project period of up to 
3 years.
    Applications with proposed budgets that exceed the allowable amount 
as specified in the NOFA in any year of the proposed project will be 
screened out and will not be reviewed. Annual continuation awards will 
depend on the availability of funds, grantee progress in meeting 
project goals and objectives, and timely submission of required data 
and reports.

B. Funding Mechanism

    The NOFA will indicate whether awards for each funding opportunity 
will be made as grants or cooperative agreements (see the Glossary in 
Appendix 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 precludes 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 (see Glossary) contributions 
in your proposal as evidence of commitment to the proposed project.

C. Other

    SAMHSA applicants must comply with certain program requirements, 
including:
    [sbull] Budgetary limitations as specified in Sections I, II, and 
IV-E of this document; and
    [sbull] Documentation of nonprofit status as required in the PHS 
5161-1.
    You also must comply with any additional program requirements 
specified in the NOFA, such as the required signature of certain 
officials on the face page of the application and/or required memoranda 
of understanding with certain signatories.
    Applications that do not comply with the eligibility and specific 
program requirements for the funding opportunity for which the 
application is submitted will be screened out and will not be reviewed.

IV. Application and Submission Information

(To ensure that you have met all submission requirements, a checklist 
is provided for your use in Appendix 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

[[Page 65797]]

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. Applicants must 
use the PHS 5161-1 for their application, unless otherwise specified in 
the NOFA. Applications that are not submitted on the required 
application form (i.e., the PHS 5161-1 in most situations) will be 
screened out and will not be reviewed.
    [sbull] Program Announcement (PA) -- Includes instructions for the 
grant application. This document is the PA.
    [sbull] Notice of Funding Availability (NOFA)--Provides specific 
information about availability of funds, as well as any exceptions or 
limitations to provisions in the PA. The NOFAs will be published in the 
Federal Register as well as on the Federal grants Web site 
(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 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 be no longer than 35 
lines. In the first five lines or less of your abstract, write a 
summary of your project that can be used, if your project is funded, in 
publications, reporting to Congress, or press releases.
    [sbull] Table of Contents--Include page numbers for each of the 
major sections of your application and for each appendix.
    [sbull] Budget Form--Use SF 424A, which is part of the PHS 5161-1. 
Fill out Sections B, C, and E of the SF 424A.
    [sbull] Project Narrative and Supporting Documentation--The Project 
Narrative describes your project. It consists of Sections A through E 
for Phase I and Section A through D for Phase II. Sections A-E (Phase 
I) together may not be longer than 30 pages and Sections A though D 
(Phase II) 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. (Note: Phase II applications will 
not have a Section E.) 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. If you are applying for a Phase II award, show that no more 
than 25% of the total grant award will be used for evaluation of the 
pilot test of the best practice.
    [sbull] Section 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 1--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, 4 and 6. 
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 Support.
    [sbull] Appendix 2: Data Collection Instruments/Interview 
Protocols.
    [sbull] Appendix 3: Sample Consent Forms.
    [sbull] Appendix 4: Letter to the SSA (if applicable; see Section 
VIII-C of this document).
    [sbull] Appendix 5: A copy of the State 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] Appendix 6: Evidence of Intent to Adopt (Phase II only).
    [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 PHS 5161-1. Federal law prohibits the use of appropriated 
funds for publicity or

[[Page 65798]]

propaganda purposes, or for the preparation, distribution, or use of 
information designed to support or defeat legislation pending before 
the Congress or State legislatures. This includes ``grass roots'' 
lobbying, which consists of appeals to members of the public suggesting 
that they contact their elected representatives to indicate their 
support for or opposition to pending legislation or to urge those 
representatives to vote in a particular way.
    [sbull] Checklist--Use the Checklist found in PHS 5161-1. The 
Checklist ensures that you have obtained the proper signatures, 
assurances and certifications and is the last page of your application.
3. Application Formatting Requirements
    Applicants also must comply with the following basic application 
requirements. Applications that do not comply with these requirements 
will be screened out and will not be reviewed.
    [sbull] Text must be legible.
    [sbull] Paper must be white and 8.5'' by 11.0'' in size.
    [sbull] Pages must be typed single-spaced with one column per page.
    [sbull] Page margins must be at least one inch.
    [sbull] Type size in the Project Narrative cannot exceed an average 
of 15 characters per inch when measured with a ruler. (Type size in 
charts, tables, graphs, and footnotes will not be considered in 
determining compliance.)
    [sbull] Photo reduction or condensation of type cannot be closer 
than 15 characters per inch or 6 lines per inch.
    [sbull] 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 easily located during review of the 
application. For example, the cover page should be labeled ``page 1,'' 
the abstract page should be ``page 2,'' and the table of contents page 
should be ``page 3.'' Appendices should be labeled and separated from 
the Project Narrative and budget section, and the pages should be 
numbered to continue in the sequence.

C. Submission Dates and Times

    Deadlines for submission of applications for specific funding 
opportunities will be published in 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 BPPI Grant recipients must comply with the 
following funding restrictions:
    [sbull] No more than 25% of Phase II funding may be used to 
evaluate the pilot test.
    BPPI grant funds may not be used to:
    [sbull] Pay for any lease beyond the project period.
    [sbull] Provide services to incarcerated populations (defined as 
those persons in jail, prison, detention facilities, or in custody 
where they are not free to move about in the community).
    [sbull] Pay for the purchase or construction of any building or 
structure to house any part of the program. (Applicants may request no 
more than $75,000 for renovations and alterations of existing 
facilities, if appropriate and necessary to the project.)
    [sbull] Provide residential or outpatient treatment services when 
the facility has not yet been acquired, sited, approved, and met all 
requirements for human habitation and services provision. (Expansion or 
enhancement of existing residential services is permissible.)
    [sbull] Pay for housing other than residential mental health and/or 
substance abuse treatment.
    [sbull] Provide inpatient treatment or hospital-based 
detoxification services. Residential services are not considered to be 
inpatient or hospital-based services.
    [sbull] Pay for incentives to induce clients to enter treatment. 
However, a grantee or treatment provider may provide up to $20 or 
equivalent (coupons, bus tokens, gifts, childcare, and vouchers) to 
clients as incentives to participate in required data collection 
follow-up. This amount may be paid for participation in each required 
interview.
    [sbull] Implement syringe exchange programs, such as the purchase 
and distribution of syringes and/or needles.
    [sbull] Pay for pharmacologies for HIV antiretroviral therapy, 
sexually transmitted diseases (STDs)/sexually transmitted illness 
(STI), TB, and hepatitis B and C, or for psychotropic drugs.

F. Other Submission Requirements

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

[[Page 65799]]

    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 for Phase I applications 
and A-D for Phase II applications). 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 may be no longer than 30 pages.
    [sbull] You must use the sections/headings listed below in 
developing your Project Narrative. Be sure to place the required 
information in the correct section, or it will not be considered. Your 
application will be scored according to how well you address the 
requirements for each section of the Project Narrative.
    [sbull] 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 http://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.
1. Phase I Criteria
Section A: Statement of Need (10 Points)
    [sbull] Describe the environment (organization, community, city, or 
State) where the project will be implemented.
    [sbull] Describe the target population (see Glossary) as well as 
the geographic area to be served, and justify the selection of both. 
Include 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 problem the project will address. 
Documentation of the problem may 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 the 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] Describe the best practice selected and how it will impact 
the problem.
    [sbull] Check the NOFA for any additional requirements.
Section B: Proposed Evidence-Based Practice (30 Points)
    [sbull] Clearly state the purpose, goals and objectives of your 
proposed project. Describe how achievement of goals will address the 
needs identified in Section A. Provide a logic model (see Glossary) 
that links need, key components of the proposed project, and goals/
objectives/outcomes of the proposed project.
    [sbull] Identify the evidenced based practice that you propose to 
implement. Describe the evidence-base for the proposed 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. 
Depending on the evidence you provide, you may follow more than one set 
of instructions:
    1. If you are proposing to implement a 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 practice has been evaluated and the quality of the evaluation 
studies (e.g., whether they are descriptive, quasi-experimental 
studies, or experimental studies)
--The practice has demonstrated positive outcomes and for what 
populations the positive outcomes have been demonstrated
--The 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 services/practice
--The rationale for concluding that further empirical evidence does not 
exist to support the effectiveness of the proposed services/practice

    [sbull] Justify the use of the proposed practice for the target 
population. Describe the types of modifications/adaptations that may be 
necessary to meet the needs of the target population, and describe how 
you will make a final determination about the adaptations/

[[Page 65800]]

modifications to be made to meet the needs of the population.
    [sbull] Identify any additional adaptations or modifications that 
may be necessary to successfully implement the proposed practice in the 
target community. Describe how you will make a final determination 
about the adaptations/modifications to be made.
    [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] Check the NOFA for any additional requirements.
Section C: Proposed Implementation Approach (25 Points)
    [sbull] Describe how the proposed grant project will be 
implemented. Provide a realistic time line for the project (chart or 
graph) showing key activities, milestones, and responsible staff. 
[Note: The timeline should be part of the Project Narrative. It should 
not be placed in an appendix.]
    [sbull] Describe the strategies or models that will be used to 
build consensus, including a description of how key stakeholders (see 
Glossary) will be educated about the best practice. Describe potential 
barriers to achieving consensus among stakeholders. What resources and 
plans will you use to overcome these barriers?
    [sbull] Describe the process that will be used to develop a 
strategic plan to implement the best practice. Address such issues as 
needs assessment, identification of specific milestones that must be 
achieved in order to implement the best practice, and plans for 
assigning responsibility for achieving milestones among participating 
organizations/stakeholders. Identify potential funding source(s) that 
will help implement the best practice. Describe how the funder(s) will 
join in the consensus building and strategic planning.
    [sbull] Describe the key stakeholders (including representatives of 
the target population), how they were selected for participation in the 
project, and how they represent the community.
    [sbull] Describe the involvement of key stakeholders in the 
proposed project, including roles and responsibilities of each 
stakeholder. Clearly demonstrate each stakeholder's commitment to the 
consensus building and strategic planning processes. Attach letters of 
support and other documents showing stakeholder commitment in Appendix 
1: Letters of Support.
    [sbull] Describe how the project components will be embedded within 
the existing service delivery system, including other SAMHSA-funded 
projects, if applicable.
    [sbull] Check the NOFA for any additional requirements.
Section D: Management Plan and Staffing (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 members who will conduct the 
project, showing the role of each and their level of effort and 
qualifications. Include the Project Director and other key personnel, 
including evaluators and database management personnel.
    [sbull] Provide evidence that the service staff proposed to conduct 
the evidence-based practice have the level of abilities and experience 
necessary to implement the practice with fidelity to the model, once 
they have received any necessary training.
    [sbull] Identify the project staff or contractor(s) who will 
develop the implementation manual, and demonstrate that they have the 
requisite skills and experience.
    [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 or bicultural individuals.
    [sbull] If you plan to have an advisory body, describe its 
composition, roles, and frequency of meetings.
    [sbull] Describe the resources available for the proposed project 
(e.g., facilities, equipment), and provide evidence that services will 
be provided in a location that is adequate, accessible, 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 Design and Analysis (15 Points)
    [sbull] Describe the design for evaluating the consensus building 
and strategic planning processes. Include a detailed discussion of how 
all variables (e.g., community representation and stakeholder support) 
will be defined and measured. Explain how the evaluation plan will 
ensure that the decision to adopt is an accurate reflection of the 
stakeholders' intent.
    [sbull] Document your ability to collect and report on the required 
performance measures as specified in the NOFA, including data required 
by SAMHSA to meet GPRA requirements. Specify and justify any additional 
measures you plan to use for your grant project.
    [sbull] Describe the process for providing regular feedback from 
evaluation activities to the Project Director and participants.
    [sbull] Describe plans for data collection, management, analysis, 
interpretation and reporting. Describe the existing approach to the 
collection of relevant data, along with any necessary modifications.
    [sbull] Discuss the reliability and validity of evaluation methods 
and instruments(s) in terms of the gender/age/ culture of the target 
population.
    [sbull] Check the NOFA for any additional requirements.
2. Phase II Criteria
Section A: Need, Justification of Best Practice, and Readiness (30 
Points)
    If you previously received a Phase I BBPI award and are applying 
for a Phase II award to continue the project, include the following 
information:
    [sbull] Describe briefly the target population (see Glossary), 
setting, need and best practice approved for the Phase I award.
    [sbull] Describe and justify any changes to the target population 
and setting. Discuss the factors that led to a decision change in the 
target population and setting.
    [sbull] Describe any changes in the need for the best practice in 
the target community. 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] Provide an updated projection of the number of individuals 
to be served as well as 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 and justify any additional modifications or 
adaptations to the best practice as compared to the practice approved 
for your Phase I project.

[[Page 65801]]

    [sbull] Provide evidence that the community of stakeholders (see 
Glossary) achieved a ``decision to adopt'' the practice. Attach a copy 
of the Phase I process evaluation or other evidence including 
contracts, memoranda of agreement, administrative memos, or other 
documents signed by key stakeholders that show their firm commitment to 
support the practice. Attach these supporting documents in Appendix 6: 
Evidence of Intent to Adopt.
    [sbull] Provide and describe the financing plan. Include 
anticipated costs and sources of revenue that will maintain the 
practice. Attach the financing plan, signed by the funding source(s), 
stating their intent to fund in Appendix 6: Evidence of Intent to 
Adopt.
    [sbull] Check the NOFA for any additional requirements.
    If you are applying for a Phase II award but did not previously 
receive a Phase I award, include the following information:
    [sbull] Clearly state the purpose, goals and objectives of your 
proposed project. Describe how achievement of goals will produce 
meaningful and relevant results. Provide a logic model (see Glossary) 
that links need, the services or practice to be implemented, and 
outcomes.
    [sbull] Describe the target population 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. 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] 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 service/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 services/practice
--The rationale for concluding that further empirical evidence does not 
exist to support the effectiveness of the proposed services/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 the community of stakeholders in the project, and 
provide evidence that they have achieved a ``decision to adopt'' the 
practice. Such evidence may include contracts, memoranda of agreement, 
administrative memos, or other documents signed by key stakeholders 
that show their firm commitment to support the practice. Attach these 
supporting documents in Appendix 6: Evidence of Intent to Adopt.
    [sbull] Provide and describe the financing plan. Include 
anticipated costs and sources of revenue that will maintain the 
practice. Attach the financing plan, signed by the funding source(s), 
stating their intent to fund in Appendix 6: Evidence of Intent to 
Adopt.
    [sbull] Check the NOFA for any additional requirements.
Section B: Proposed Approach (25 Points)
    [sbull] Provide a strategic plan, including key action steps, that 
addresses each of the following elements, as appropriate: pilot testing 
the best practice, evaluating the pilot test, modifying the best 
practice based on the pilot test, developing training materials, 
hiring/training staff, and securing funding to sustain services beyond 
the project period.
    [sbull] Describe the involvement of key stakeholders in the 
proposed project, including roles and responsibilities of each 
stakeholder. Demonstrate each stakeholder's commitment to the proposed 
project. Attach letters of support and similar documents showing

[[Page 65802]]

stakeholder commitment in Appendix 1: Letters of Support. Identify any 
cash or in-kind contributions that will be made to the project.
    [sbull] Describe how the proposed project will address issues of 
age, race/ethnicity, culture, language, sexual orientation, disability, 
literacy, and gender in the target population.
    [sbull] Describe potential barriers to the successful conduct of 
the proposed project and how you will overcome them.
    [sbull] Describe oversight or feedback mechanisms to ensure that 
the implemented practice is consistent with the best practice model.
    [sbull] Check the NOFA for any additional requirements.
Section C: Management Plan and Staffing (25 Points)
    [sbull] 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] Discuss the capability and experience of the applicant 
organization and other participating organizations with similar 
projects and populations, including experience in providing culturally 
appropriate/competent services.
    [sbull] Provide a list of staff members who will conduct the 
project, showing the role of each and their level of effort and 
qualifications. Include the Project Director and other key personnel, 
including evaluators and database managers.
    [sbull] Describe the 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, Americans with 
Disabilities Act (ADA) compliant, and is amenable to the target 
population.
    [sbull] Check the NOFA for any additional requirements.
Section D: Evaluation Design and Analysis (20 Points)
    [sbull] Document your ability to collect and report on the required 
performance measures as specified in the NOFA, including data required 
by SAMHSA to meet GPRA requirements. Specify and justify any additional 
measures you plan to use for your grant project.
    [sbull] Provide a logic model (see Glossary) for the evaluation of 
the pilot test of the best practice as well as other implementation 
activities (e.g., training, securing financing).
    [sbull] Provide a plan for evaluating the pilot test of the best 
practice and other implementation activities that includes both process 
and client outcome measures. Describe the recruitment plan and sample 
size for your project. Describe any literature or pilot testing done to 
verify the validity and reliability of the instruments to be used. Also 
discuss the appropriateness of the evaluation methods and instrument(s) 
in terms of the gender/age/culture of the target population. Attach 
instrumentation in Appendix 2: Data Collection Instruments.
    [sbull] Describe how the adaptations of the best practice will be 
documented. Demonstrate its fidelity to the best practice model. If no 
fidelity scale exists for the practice, describe how you will develop 
one.
    [sbull] Describe the process for providing regular feedback from 
evaluation activities to the Project Director and participants.
    [sbull] Describe the database management system that will be 
developed.
    [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 appropriate, 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 (http://www.samhsa.gov).
    [sbull] Depending on the nature of the specific funding opportunity 
and/or the proposed project as identified during review, additional 
terms and conditions may be identified in the NOFA or negotiated with 
the grantee prior to grant award. These may include, for example:
    [sbull] Actions required to be in compliance with human subjects 
requirements;
    [sbull] Requirements relating to additional data collection and 
reporting;
    [sbull] Requirements relating to participation in a cross-site 
evaluation; or
    [sbull] Requirements to address problems identified in review of 
the application.
    [sbull] You will be held accountable for the information provided 
in the application relating to performance targets. SAMHSA program 
officials will consider your progress in meeting goals and objectives, 
as well as your failures and strategies for overcoming them, when 
making an annual recommendation to continue the grant and the amount of 
any continuation award. Failure to meet stated goals and objectives may 
result in suspension or termination of the grant award, or in reduction 
or withholding of continuation awards.
    [sbull] In an effort to improve access to funding opportunities for 
applicants, SAMHSA is participating in the U.S. Department of Health 
and Human Services ``Survey on Ensuring Equal Opportunity for 
Applicants.'' This survey is included in the application kit for SAMHSA 
grants. Applicants are encouraged to complete the survey and

[[Page 65803]]

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 progress report must summarize information from the annual 
reports, describe the accomplishments of the project, and describe next 
steps for implementing plans developed during the grant period.
    [sbull] Grantees must provide annual and final financial status 
reports. These reports may be included as separate sections of annual 
and final progress reports or can be separate documents. Because SAMHSA 
is extremely interested in ensuring that its best practices efforts can 
be sustained, your financial reports must explain plans to ensure the 
sustainability (see Glossary) of efforts initiated under this grant. 
Initial plans for sustainability should be described in year 1 of the 
grant. In each subsequent year, you should describe the status of the 
project, successes achieved and obstacles encountered in that year.
    [sbull] SAMHSA will provide guidelines and requirements for these 
reports to grantees at the time of award and at the initial grantee 
orientation meeting after award. SAMHSA staff will use the information 
contained in the reports to determine the grantee's progress toward 
meeting its goals.
2. Government Performance and Results Act
    The Government Performance and Results Act (GPRA) mandates 
accountability and performance-based management by Federal agencies. 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 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 target 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.
    [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.

[[Page 65804]]

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
    All applicants proposing a pilot test of the best practice as part 
of a Phase II project must comply with the Protection of Human Subjects 
Regulations (45 CFR part 46).
    Even if you are not proposing a Phase II pilot test of the best 
practice, the Protection of Human Subjects Regulations could apply 
depending on the evaluation you propose.
    If you are a Phase II applicant proposing a pilot test or your 
project otherwise falls under the Protection of Human Subjects 
Regulations, you must describe the process for obtaining Institutional 
Review Board (IRB) approval in your application. While IRB approval is 
not required at the time of grant award, you will be required, as a 
condition of award, to provide the documentation that an Assurance of 
Compliance is on file with the Office for Human Research Protections 
(OHRP) and the IRB approval has been received before enrolling clients 
in the proposed project.
    Additional information about Protection of Human Subjects 
Regulations can be obtained on the web at http://ohrp.osophs.dhhs.gov. 
You may also contact OHRP by e-mail ([email protected]) or by phone 
(301-496-7005).

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

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

C. Public Health System Impact Statement (PHSIS)

    The Public Health System Impact Statement or PHSIS (Approved by OMB 
under control no. 0920-0428; see burden statement below) is intended to 
keep State and local health officials informed of proposed health 
services grant applications submitted by community-based, non-
governmental organizations within their jurisdictions. State and local 
governments and Indian tribal government applicants are not subject to 
the following Public Health System Reporting Requirements.
    Community-based, non-governmental service providers who are not 
transmitting their applications through the State must submit a PHSIS 
to the head(s) of the appropriate State and local health agencies in 
the area(s) to be affected no later than the pertinent receipt date for 
applications. This PHSIS consists of the following information:

[[Page 65805]]

    [sbull] A copy of the face page of the application (SF 424); and
    [sbull] A summary of the project, no longer than one page in 
length, that provides: (1) A description of the population to be 
served, (2) a summary of the services to be provided, and (3) a 
description of the coordination planned with appropriate State or local 
health agencies.
    For SAMHSA grants, the appropriate State agencies are the Single 
State Agencies (SSAs) for substance abuse and mental health. A listing 
of the SSAs can be found on SAMHSA's Web site at http://www.samhsa.gov. 
If the proposed project falls within the jurisdiction of more than one 
State, you should notify all representative SSAs.
    Applicants who are not the SSA must include a copy of a letter 
transmitting the PHSIS to the SSA in Appendix 4, ``Letter to the SSA.'' 
The letter must notify the State that, if it wishes to comment on the 
proposal, its comments should be sent not later than 60 days after the 
application deadline to: Substance Abuse and Mental Health Services 
Administration, Office of Program Services, Review Branch, 5600 Fishers 
Lane, Room 17-89, Rockville, Maryland, 20857, ATTN: SSA--Funding 
Announcement No. [fill in pertinent funding opportunity number from 
NOFA].
    In addition:
    [sbull] Applicants may request that the SSA send them a copy of any 
State comments.
    [sbull] The applicant must notify the SSA within 30 days of receipt 
of an award.

    [Public reporting burden for the Public Health System Reporting 
Requirement is estimated to average 10 minutes per response, including 
the time for copying the face page of SF 424 and the abstract and 
preparing the letter for mailing. An agency may not conduct or sponsor, 
and a person is not required to respond to, a collection of information 
unless it displays a currently valid OMB control number. The OMB 
control number for this project is 0920-0428. Send comments regarding 
this burden to CDC Clearance Officer, 1600 Clifton Road, MS D-24, 
Atlanta, GA 30333, ATTN: PRA (0920-28).]

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 and 8.5' by 11.0'' in size.
    [sbull] Pages must be single-spaced with one column per page.
    [sbull] Margins must be at least one inch.
    [sbull] Type size in the Project Narrative cannot exceed an 
average of 15 characters per inch when measured with a ruler. (Type 
size in charts, tables, graphs, and footnotes will not be considered 
in determining compliance.)
    [sbull] Photo reduction or condensation of type cannot be closer 
than 15 characters per inch or 6 lines per inch.
    [sbull] Pages cannot have printing on both sides.
    [sbull] Page limitations specified for the Project Narrative [30 
pages total for Sections A-E (Phase I) and 30 pages total for 
Sections A-D (Phase II)] and Appendices 1, 3, 4 and 6 (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 not postmarked by a week prior to the application 
deadline will not be reviewed.
    [sbull] Applications that do not comply with the following 
program requirements and any additional program requirements 
specified in the NOFA, or are otherwise unresponsive to PA 
guidelines, will be screened out:
    [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;
    To facilitate review of your application, follow these 
additional guidelines. Failure to follow these guidelines will not 
result in your application being screened out. However, following 
these guidelines will help reviewers to consider your application.
    [sbull] Please use black ink and number pages consecutively from 
beginning to end so that information can be located easily during 
review of the application. The cover page should be page 1, the 
abstract page should be page 2, and the table of contents page 
should be page 3. Appendices should be labeled and separated from 
the Project Narrative and budget section, and the pages should be 
numbered to continue the sequence.
    [sbull] Send the original application and two copies to the 
mailing address in the PA. Please do not use staples, paper clips, 
and fasteners. Nothing should be attached, stapled, folded, or 
pasted. Do not use any material that cannot be copied using 
automatic copying machines. Odd-sized and oversized attachments such 
as posters will not be copied or sent to reviewers. Do not include 
videotapes, audiotapes, or CD-ROM.

Appendix 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 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.

[[Page 65806]]

    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 F.
    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. 4

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 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 find effective services, 
(2) help providers of mental health services develop effective 
services, and (3) help administrators support and maintain these 
services. The project is now also funded and endorsed by numerous 
national, State, local, private and public organizations, including 
the Johnson & Johnson Charitable Trust, MacArthur Foundation, and 
the West Family Foundation.
    The project has been developed through the cooperation of many 
Federal and State mental health organizations, advocacy groups, 
mental health providers, researchers, consumers and family members. 
A Web site (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 http://www.health.org and http://www.samhsa.gov/centers/csat2002/publications.html.
    CSAT Treatment Improvement Protocols (TIPs) are consensus-based 
guidelines developed by clinical, research, and administrative 
experts in the field.

[sbull] Integrating Substance Abuse Treatment and Vocational 
Services. TIP 38 (2000) NCADI  BKD381
[sbull] Substance Abuse Treatment for Persons with Child Abuse and 
Neglect Issues. TIP 36 (2000) NCADI  BKD343
[sbull] Substance Abuse Treatment for Persons with HIV/AIDS. TIP 37 
(2000) NCADI  BKD359
[sbull] Brief Interventions and Brief Therapies for Substance Abuse. 
TIP 34 (1999) NCADI  BKD341
[sbull] Enhancing Motivation for Change in Substance Abuse 
Treatment. TIP 35 (1999) NCADI  BKD342
[sbull] Screening and Assessing Adolescents for Substance Use 
Disorders. TIP 31 (1999) NCADI  BKD306
[sbull] Treatment for Stimulant Use Disorders. TIP 33 (1999) NCADI 
 BKD289
[sbull] Treatment of Adolescents with Substance Use Disorders. TIP 
32 (1999) NCADI  BKD307
[sbull] Comprehensive Case Management for Substance Abuse Treatment. 
TIP 27 (1998) NCADI  BKD251
[sbull] Continuity of Offender Treatment for Substance Use Disorders 
From Institution to Community. TIP 30 (1998) NCADI  BKD304
[sbull] Naltrexone and Alcoholism Treatment. TIP 28 (1998) NCADI 
 BKD268
[sbull] Substance Abuse Among Older Adults. TIP 26 (1998) NCADI 
 BKD250
[sbull] Substance Use Disorder Treatment for People With Physical 
and Cognitive Disabilities. TIP 29 (1998) NCADI  BKD288
[sbull] A Guide to Substance Abuse Services for Primary Care 
Clinicians. TIP 24 (1997) NCADI  BKD234

[[Page 65807]]

[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--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. 03-28876 Filed 11-20-03; 8:45 am]
BILLING CODE 4162-20-P