[Federal Register Volume 69, Number 45 (Monday, March 8, 2004)]
[Notices]
[Pages 10814-10828]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 04-4691]


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DEPARTMENT OF HEALTH AND HUMAN SERVICES

Substance Abuse and Mental Health Services Administration


Notice of Republication of Standard Services Grants Announcement

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

ACTION: Notice of republication of standard services grants 
announcement.

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SUMMARY: On November 21, 2003, the Substance Abuse and Mental Health 
Services Administration published standard grant announcements for 
Services Grants, Infrastructure Grants, Best Practices Planning and 
Implementation Grants, and Service to

[[Page 10815]]

Science Grants. The primary purpose of this republication is to revise 
the criteria used to screen out applications from peer review. 
Motivated by the need to assure equitable opportunity and a ``level 
playing field'' to all applicants, SAMHSA believes the screening 
criteria in these announcements will not best serve the public unless 
revised and republished. This is a republication of the Services Grants 
announcement. This republication makes those criteria more lenient, 
permitting a greater number of applications to be reviewed. The 
revisions to the criteria can be found, in their entirety, in: Section 
IV, Application and Submission Information; and Appendix A, Checklist 
for Formatting Requirements and Screenout Criteria for SAMHSA Grant 
Applications. Additional references to the criteria elsewhere in the 
text have been changed to be consistent with the revised criteria in 
Section IV and Appendix A.

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

    In addition, this republication includes an additional award 
criterion in Section V, updated agency contact information in Section 
VII, and minor technical changes to comply with the formatting 
requirements for announcement of Federal funding opportunities, as 
specified by the Office of Management and Budget.
    This notice provides the republished text for SAMHSA's standard 
Services Grants announcement.

DATES: Use of the republished standard Services Grants announcement 
will be effective March 8, 2004. The standard Services Grants 
announcement must be used in conjunction with separate Notices of 
Funding Availability (NOFAs) that will provide application due dates 
and other key dates for specific SAMHSA grant funding opportunities.

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

FOR FURTHER INFORMATION CONTACT: Cathy Friedman, M.A., Office of 
Policy, Planning and Budget, 5600 Fishers Lane, Room 12C-26, Rockville, 
Maryland 20857. Fax: (301-594-6159) E-mail: [email protected]. Phone: 
(301) 443-6902.

SUPPLEMENTARY INFORMATION: SAMHSA is republishing its standard Services 
Grants announcement to make the criteria used to screen out 
applications from peer review more lenient, permitting a greater number 
of applications to be reviewed. This republication also includes an 
additional award criterion in Section V, updated agency contact 
information in Section VII, and minor technical changes to comply with 
the formatting requirements for announcement of Federal funding 
opportunities, as specified by the Office of Management and Budget. The 
text for the republished standard Services Grants announcement is 
provided below.
    The standard Services Grants announcement will be posted on 
SAMHSA's web page (http://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.).

Department of Health and Human Services

Substance Abuse and Mental Health Services Administration

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

Key Dates

Application Deadline--This Program Announcement provides general 
instructions and guidelines for multiple funding opportunities. 
Application deadlines for specific funding opportunities will be 
published in Notices of Funding Availability (NOFAs) in the Federal 
Register and on http://www.grants.gov.
Intergovernmental Review (E.O. 12372)--Letters from State Single Point 
of Contact (SPOC) are due no later than 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 no later than 60 days after application deadline.

Table of Contents

I. Funding Opportunity Description
    1. Introduction
    2. Expectations
II. Award Information
    1. Award Amount
    2. Funding Mechanism
III. Eligibility Information
    1. Eligible Applicants
    2. Cost Sharing
    3. Other
IV. Application and Submission Information
    1. Address to Request Application Package
    2. Content and Form of Application Submission
    3. Submission Dates and Times
    4. Intergovernmental Review (E.O. 12372) Requirements
    5. Funding Limitations/Restrictions
    6. Other Submission Requirements
V. Application Review Information
    1. Evaluation Criteria
    2. Review and Selection Process
VI. Award Administration Information
    1. Award Notices
    2. Administrative and National Policy Requirements
    3. Reporting Requirements
VII. Agency Contacts
    Appendix A--Checklist for Formatting Requirements and Screenout 
Criteria for SAMHSA Grant Applications
    Appendix B--Glossary
    Appendix C--National Registry of Effective Programs
    Appendix D--Center for Mental Health Services Evidence-Based 
Practice Toolkits
    Appendix E--Effective Substance Abuse Treatment Practices
    Appendix F--Statement Of Assurance
    Appendix G--Logic Model Resources

I. Funding Opportunity Description

1. Introduction

    The Substance Abuse and Mental Health Services Administration 
(SAMHSA) announces its intent to solicit applications for Services 
Grants. These grants will expand and strengthen effective, culturally 
appropriate substance abuse and mental health services at the State and 
local levels. The services implemented through SAMHSA's Services Grants 
must incorporate the best objective information available regarding 
effectiveness and acceptability. In general, the services implemented 
through SAMHSA's Services Grants will have strong evidence of 
effectiveness. However, because the evidence base is limited in some 
areas, SAMHSA may fund some services for which the evidence base, while 
limited, is sound. SAMHSA expects that the services funded through 
these grants will be sustained by the grantee beyond the term of the 
grant.
    SAMHSA also funds grants under three other standard grant 
announcements:

[[Page 10816]]

     Infrastructure Grants support identification and 
implementation of systems changes but are not designed to fund 
services.
     Best Practices Planning and Implementation 
Grants help communities and providers identify practices to effectively 
meet local needs, develop strategic plans for implementing/adapting 
those practices and pilot-test practices prior to full-scale 
implementation.
     Service to Science Grants document and evaluate 
innovative practices that address critical substance abuse and mental 
health service gaps but that have not yet been formally evaluated.
    This announcement describes the general program design and provides 
application instructions for all SAMHSA Services Grants. The 
availability of funds for specific Services Grants will be announced in 
supplementary Notices of Funding Availability (NOFAs) in the Federal 
Register and at http://www.grants.gov--the Federal grant announcement 
web page.
    SAMHSA's Services Grants are authorized under Section 509, 516 and/
or 520A of the Public Health Service Act, unless otherwise specified in 
a NOFA in the Federal Register and on http://www.grants.gov.
    Typically, funding for Services Grants will be targeted to specific 
populations and/or issue areas, which will be specified in the NOFAs. 
The NOFAs will also:
     Specify total funding available for the first 
year of the grants and the expected size and number of awards;
     Provide the application deadline;
     Note any specific program requirements for each 
funding opportunity; and
     Include any limitations or exceptions to the 
general provisions in this announcement (e.g., eligibility, allowable 
activities).
    It is, therefore, critical that you consult the NOFA as well as 
this announcement in developing your grant application.

2. Expectations

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

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     To address unique characteristics of the local 
community where the service/practice will be implemented
    All applicants must describe and justify any adaptations or 
modifications to the proposed service/practice that will be made.
2.2 Services Delivery
    SAMHSA's Services Grant funds must be used primarily to support 
direct services, including the following types of activities:
     Conducting outreach and pre-service strategies 
to expand access to treatment or prevention services to underserved 
populations. If you propose to provide only outreach and pre-service 
strategies, you must show that your organization is an effective and 
integral part of a network of service providers.
     Purchasing or providing direct treatment 
(including screening, assessment, and care management) or prevention 
services for populations at risk. Treatment must be provided in 
outpatient, day treatment or intensive outpatient, or residential 
programs.
     Purchasing or providing ``wrap-around'' services 
(see Glossary) (e.g., child care, vocational, educational and 
transportation services) designed to improve access and retention.
     Collecting data using specified tools and 
standards to measure and monitor treatment or prevention services and 
costs. (No more than 20% of the total grant award may be used for data 
collection and evaluation.)
2.3 Infrastructure Development (Maximum 15% of Total Grant Award)
    Although SAMHSA expects that its Services Grant funds will be used 
primarily for direct services, SAMHSA recognizes that infrastructure 
changes may be needed to support service delivery expansion in some 
instances. You may use up to 15% of the total Services Grant award for 
the following types of infrastructure development, if necessary to 
support the direct service expansion of the grant project.
     Building partnerships to ensure the success of 
the project and entering into service delivery and other agreements.
     Developing or changing the infrastructure to 
expand treatment or prevention services.
     Training to assist treatment or prevention 
providers and community support systems to identify and address mental 
health or substance abuse issues.
2.4 Data and Performance Measurement
    The Government Performance and Results Act of 1993 (P.L.103-62, or 
``GPRA'') requires all Federal agencies to set program performance 
targets and report annually on the degree to which the previous year's 
targets were met.
    Agencies are expected to evaluate their programs regularly and to 
use results of these evaluations to explain their successes and 
failures and justify requests for funding.
    To meet the GPRA requirements, SAMHSA must collect performance data 
(i.e., ``GPRA data'') from grantees. Grantees are required to report 
these GPRA data to SAMHSA on a timely basis.
    Specifically, grantees will be required to provide data on a set of 
required measures, as specified in the NOFA. The data collection tools 
to be used for reporting the required data will be provided in the 
application kits distributed by SAMHSA's clearinghouses and posted on 
SAMHSA's Web site along with each NOFA. In your application, you must 
demonstrate your ability to collect and report on these measures, and 
you may be required to provide some baseline data.
    The terms and conditions of the grant award also will specify the 
data to be submitted and the schedule for submission. Grantees will be 
required to adhere to these terms and conditions of award.
    Applicants should be aware that SAMHSA is working to develop a set 
of required core performance measures for each of SAMHSA's standard 
grants (i.e., Services Grants, Infrastructure Grants, Best Practices 
Planning and Implementation Grants, and Service-to-Science Grants). As 
this effort proceeds, some of the data collection and reporting 
requirements included in SAMHSA's NOFAs may change. All grantees will 
be expected to comply with any changes in data collection requirements 
that occur during the grantee's project period.
2.5 Grantee Meetings
    You must plan to send a minimum of two people (including the 
Project Director) to at least one joint grantee meeting in each year of 
the grant, and you must include funding for this travel in your budget. 
At these meetings, grantees will present the results of their projects 
and Federal staff will provide technical assistance. Each meeting will 
be 3 days. These meetings will usually be held in the Washington, DC, 
area, and attendance is mandatory.
2.6 Evaluation
    Grantees must evaluate their projects, and you are required to 
describe your evaluation plans in your application. The evaluation 
should be designed to provide regular feedback to the project to 
improve services. The evaluation must include both process and outcome 
components. Process and outcome evaluations must measure change 
relating to project goals and objectives over time compared to baseline 
information. Control or comparison groups are not required. You must 
consider your evaluation plan when preparing the project budget.
    Process components should address issues such as:
     How closely did implementation match the plan?
     What types of deviation from the plan occurred?
     What led to the deviations?
     What effect did the deviations have on the 
planned intervention and evaluation?
     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:
     What was the effect of treatment on 
participants?
     What program/contextual factors were associated 
with outcomes?
     What individual factors were associated with 
outcomes?
     How durable were the effects?
    No more than 20% of the total grant award may be used for 
evaluation and data collection, including GPRA.

II. Award Information

1. Award Amount

    The expected award amount for each funding opportunity will be 
specified in the NOFA. Typically, SAMHSA's Services Grant awards are 
expected to be about $500,000 per year in total costs (direct and 
indirect) for up to 5 years. Awards may range as high as $3.0 million 
per year in total costs (direct and indirect) for up to 5 years. 
Regardless of the award amount specified in the NOFA, the actual award 
amount will depend on the availability of funds.
    Proposed budgets cannot exceed the allowable amount specified in 
the NOFA in any year of the proposed project. 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.

2. Funding Mechanism

    The NOFA will indicate whether awards for each funding opportunity 
will be made as grants or cooperative

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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

1. Eligible Applicants

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

2. Cost Sharing

    Cost sharing (see Glossary) is not required in this program, and 
applications will not be screened out on the basis of cost sharing. 
However, you may include cash or in-kind contributions (see Glossary) 
in your proposal as evidence of commitment to the proposed project.

3. Other

3.1 Additional Eligibility Requirements
    Applications must comply with the following requirements, or they 
will be screened out and will not be reviewed: Use of the PHS 5161-1 
application; application submission requirements in Section IV-3 of 
this document; and formatting requirements provided in Section IV-2.3 
of this document. Applicants should be aware that the NOFA may include 
additional requirements that, if not met, will result in applications 
being screened out and returned without review. These requirements will 
be specified in Section III-3 of the NOFA.
    You also must comply with any additional program requirements 
specified in the NOFA, such as signature of certain officials on the 
face page of the application and/or required memoranda of understanding 
with certain signatories.
3.2 Evidence of Experience and Credentials
    SAMHSA believes that only existing, experienced, and appropriately 
credentialed organizations with demonstrated infrastructure and 
expertise will be able to provide required services quickly and 
effectively. Therefore, in addition to the basic eligibility 
requirements specified in this announcement, applicants must meet three 
additional requirements related to the provision of treatment or 
prevention services.
    The three requirements are:
     A provider organization for direct client 
services (e.g., substance abuse treatment, substance abuse prevention, 
mental health services) appropriate to the grant must be involved in 
each application. The provider may be the applicant or another 
organization committed to the project. More than one provider 
organization may be involved;
     Each direct service provider organization must 
have at least 2 years experience providing services in the geographic 
area(s) covered by the application, as of the due date of the 
application; and
     Each direct service provider organization must 
comply with all applicable local (city, county) and State/tribal 
licensing, accreditation, and certification requirements, as of the due 
date of the application.

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

IV. Application and Submission Information

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

1. Address To Request Application Package

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

[[Page 10819]]

2. Content and Form of Application Submission

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

--Face Page--Use Standard Form (SF) 424, which is part of the PHS 5161-
1. [Note: Beginning October 1, 2003, applicants will need to provide a 
Dun and Bradstreet (DUNS) number to apply for a grant or cooperative 
agreement from the Federal Government. SAMHSA applicants will be 
required to provide their DUNS number on the face page of the 
application. Obtaining a DUNS number is easy and there is no charge. To 
obtain a DUNS number, access the Dun and Bradstreet Web site at http://www.dunandbradstreet.com or call 1-866-705-5711. To expedite the 
process, let Dun and Bradstreet know that you are a public/private 
nonprofit organization getting ready to submit a Federal grant 
application.]
--Abstract--Your total abstract should not be longer than 35 lines. In 
the first five lines or less of your abstract, write a summary of your 
project that can be used, if your project is funded, in publications, 
reporting to Congress, or press releases.
--Table of Contents--Include page numbers for each of the major 
sections of your application and for each appendix.
--Budget Form--Use SF 424A, which is part of the PHS 5161-1. Fill out 
Sections B, C, and E of the SF 424A.
--Project Narrative and Supporting Documentation--The Project Narrative 
describes your project. It consists of Sections A through E. Sections 
A-E together may not be longer than 30 pages. More detailed 
instructions for completing each section of the Project Narrative are 
provided in ``Section V--Application Review Information'' of this 
document.
    The Supporting Documentation provides additional information 
necessary for the review of your application. This supporting 
documentation should be provided immediately following your Project 
Narrative in Sections F through I. There are no page limits for these 
sections, except for Section H, the Biographical Sketches/Job 
Descriptions.
     Section F--Literature Citations. This section 
must contain complete citations, including titles and all authors, for 
any literature you cite in your application.
     Section G--Budget Justification, Existing 
Resources, Other Support. You must provide a narrative justification of 
the items included in your proposed budget, as well as a description of 
existing resources and other support you expect to receive for the 
proposed project. Be sure to show that no more than 15% of the total 
grant award will be used for infrastructure development and that no 
more than 20% of the total grant award will be used for data collection 
and evaluation, including GPRA.
     Section H--Biographical Sketches and Job 
Descriptions.
     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.
     Include job descriptions for key personnel. Job 
descriptions should be no longer than 1 page each.
     Sample sketches and job descriptions are listed 
on page 22, Item 6 in the Program Narrative section of the PHS 5161-1.
     Section I--Confidentiality and SAMHSA 
Participant Protection/Human Subjects. Section IV-2.4 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.
--Appendices 1 through 5--Use only the appendices listed below. Do not 
use more than 30 pages for Appendices 1, 3, and 4. There are no page 
limitations for Appendices 2 and 5. Do not use appendices to extend or 
replace any of the sections of the Project Narrative unless 
specifically required in the NOFA. Reviewers will not consider them if 
you do.
     Appendix 1: Letters of commitment/support. 
Identification of at least one experienced, licensed service provider 
organization. A list of all direct service provider organizations that 
have agreed to participate in the proposed project, including the 
applicant agency, if it is a treatment or prevention service provider 
organization. The Statement of Assurance (provided in Appendix F of 
this announcement) signed by the authorized representative of the 
applicant organization identified on the face page of the application, 
that assures SAMHSA that all listed providers meet the 2-year 
experience requirement, are appropriately licensed, accredited, and 
certified, and that if the application is within the funding range for 
an award, the applicant will send the GPO the required documentation 
within the specified time.
     Appendix 2: Data Collection Instruments/
Interview Protocols
     Appendix 3: Sample Consent Forms
     Appendix 4: Letter to the SSA (if applicable; 
see Section IV-4 of this document)
     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.

--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).
--Certifications--Use the ``Certifications'' forms found in PHS 5161-1.
--Disclosure of Lobbying Activities--Use Standard Form LLL found in the 
PHS 5161-1. Federal law prohibits the use of appropriated funds for

[[Page 10820]]

publicity or propaganda purposes, or for the preparation, distribution, 
or use of the information designed to support or defeat legislation 
pending before the Congress or State legislatures. This includes 
``grass roots'' lobbying, which consists of appeals to members of the 
public suggesting that they contact their elected representatives to 
indicate their support for or opposition to pending legislation or to 
urge those representatives to vote in a particular way.
--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.
2.3 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.

--Information provided must be sufficient for review.
--Text must be legible.
     Type size in the Project Narrative cannot exceed 
an average of 15 characters per inch, as measured on the physical page. 
(Type size in charts, tables, graphs, and footnotes will not be 
considered in determining compliance.)
     Text in the Project Narrative cannot exceed 6 
lines per vertical inch.

--Paper must be white paper and 8.5 inches by 11.0 inches in size.
--To ensure equity among applications, the amount of space allowed for 
the Project Narrative cannot be exceeded.
     Applications would meet this requirement by 
using all margins (left, right, top, bottom) of at least one inch each, 
and adhering to the 30-page limit for the Project Narrative.
     Should an application not conform to these 
margin or page limits, SAMHSA will use the following method to 
determine compliance: The total area of the Project Narrative 
(excluding margins, but including charts, tables, graphs and footnotes) 
cannot exceed 58.5 square inches multiplied by 30. This number 
represents the full page less margins, multiplied by the total number 
of allowed pages.
     Space will be measured on the physical page. 
Space left blank within the Project Narrative (excluding margins) is 
considered part of the Project Narrative, in determining compliance.

--The 30-page limit for Appendices 1, 3 and 4 cannot be exceeded.

    To facilitate review of your application, follow these additional 
guidelines. Failure to adhere to the following guidelines will not, in 
itself, result in your application being screened out and returned 
without review. However, following these guidelines will help reviewers 
to consider your application.

--Pages should be typed single-spaced with one column per page.
--Pages should not have printing on both sides.
--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.
--Send the original application and two copies to the mailing address 
in Section IV-6.1 of this document. Please do not use staples, paper 
clips, and fasteners. Nothing should be attached, stapled, folded, or 
pasted. Do not use heavy or lightweight paper or any material that 
cannot be copied using automatic copying machines. Odd-sized and 
oversized attachments such as posters will not be copied or sent to 
reviewers. Do not include videotapes, audiotapes, or CD-ROMs.
2.4 SAMHSA Confidentiality and Participant Protection Requirements and 
Protection of Human Subjects Regulations
    Applicants must describe procedures relating to Confidentiality, 
Participant Protection and the Protection of Human Subjects Regulations 
in Section I of the application, using the guidelines provided below. 
Problems with confidentiality, participant protection, and protection 
of human subjects identified during peer review of the application may 
result in the delay of funding.

Confidentiality and Participant Protection

    All applicants must describe how they will address requirements for 
each of the following elements relating to confidentiality and 
participant protection.
    1. Protect Clients and Staff from Potential Risks
     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.
     Describe the procedures you will follow to 
minimize or protect participants against potential risks, including 
risks to confidentiality.
     Identify plans to provide guidance and 
assistance in the event there are adverse effects to participants.
     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
     Describe the target population(s) for the 
proposed project. Include age, gender, and racial/ethnic background and 
note if the population includes homeless youth, foster children, 
children of substance abusers, pregnant women, or other targeted 
groups.
     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.
     Explain the reasons for including or excluding 
participants.
     Explain how you will recruit and select 
participants. Identify who will select participants.
    3. Absence of Coercion
     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.
     If you plan to compensate participants, state 
how participants will be awarded incentives (e.g., money, gifts, etc.).
     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
     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.
     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

[[Page 10821]]

material will be monitored to ensure the safety of participants.
     Provide in Appendix 2, ``Data Collection 
Instruments/Interview Protocols,'' copies of all available data 
collection instruments and interview protocols that you plan to use.
    5. Privacy and Confidentiality:
     Explain how you will ensure privacy and 
confidentiality. Include who will collect data and how it will be 
collected.
     Describe:
     How you will use data collection instruments.
     Where data will be stored.
     Who will or will not have access to information.
     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:
     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.
     State:
     Whether or not their participation is voluntary.
     Their right to leave the project at any time 
without problems.
     Possible risks from participation in the 
project.
     Plans to protect clients from these risks.
     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.

     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?
     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.


     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?
     Additionally, if other consents (e.g., consents 
to release information to others or gather information from others) 
will be used in your project, provide a description of the consents. 
Will individuals who do not consent to having individually identifiable 
data collected for evaluation purposes be allowed to participate in the 
project?

    7. Risk/Benefit Discussion:
    Discuss why the risks are reasonable compared to expected benefits 
and importance of the knowledge from the project.

Protection of Human Subjects Regulations

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

3. 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 (http://www.grants.gov).
    Your application must be received by the application deadline. 
Applications received after this date must have a proof-of-mailing date 
from the carrier dated at least 1 week prior to the due date. Private 
metered postmarks are not acceptable as proof of timely mailing.
    You will be notified by postal mail that your application has been 
received.
    Applications not received by the application deadline or not 
postmarked by a week prior to the application deadline will be screened 
out and will not be reviewed.

4. 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. A current listing of State Single Points of Contact (SPOCs) 
is included in the application kit and can be downloaded from the 
Office of Management and Budget (OMB) Web site at http://www.whitehouse.gov/omb/grants/spoc.html.
     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.
     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.
--For proposed projects serving more than one State, you are advised to 
contact the SPOC of each affiliated State.
--The SPOC should send any State review process recommendations to the 
following address within 60 days of the application deadline: Substance

[[Page 10822]]

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].
    In addition, community-based, non-governmental service providers 
who are not transmitting their applications through the State must 
submit a Public Health System Impact Statement (PHSIS) (approved by OMB 
under control no. 0920-0428; see burden statement below) to the head(s) 
of appropriate State or local health agencies in the area(s) to be 
affected no later than the pertinent receipt date for applications. The 
PHSIS 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 these requirements.
    The PHSIS consists of the following information:
     A copy of the face page of the application (SF 
424); and
     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:
     Applicants may request that the SSA send them a 
copy of any State comments.
     The applicant must notify the SSA within 30 days 
of receipt of an award.
    [Public reporting burden for the Public Health System Reporting 
Requirement is estimated to average 10 minutes per response, including 
the time for copying the face page of SF 424 and the abstract and 
preparing the letter for mailing. An agency may not conduct or sponsor, 
and a person is not required to respond to, a collection of information 
unless it displays a currently valid OMB control number. The OMB 
control number for this project is 0920-0428. Send comments regarding 
this burden to CDC Clearance Officer, 1600 Clifton Road, MS D-24, 
Atlanta, GA 30333, Attn: PRA (0920-0428).]

5. Funding Limitations/Restrictions

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

6. Other Submission Requirements

6.1 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.
6.2 How To Send Applications
    Mail an original application and 2 copies (including appendices) to 
the mailing address provided above. The original and copies must not be 
bound. Do not use staples, paper clips, or fasteners. Nothing should be 
attached, stapled, folded, or pasted.
    You must use a recognized commercial or governmental carrier. Hand 
carried applications will not be accepted. Faxed or e-mailed 
applications will not be accepted.

V. Application Review Information

1. Evaluation Criteria

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

     In developing the Project Narrative section of 
your application, use these

[[Page 10823]]

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.
     The Project Narrative (Sections A-E) together 
may be no longer than 30 pages.
     You must use the five sections/headings listed 
below in developing your Project Narrative. Be sure to place the 
required information in the correct section, or it will not be 
considered. Your application will be scored according to how well you 
address the requirements for each section of the Project Narrative.
     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.''
     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.
     The number of points after each heading is the 
maximum number of points a review committee may assign to that section 
of your Project Narrative. Bullet statements in each section do not 
have points assigned to them. They are provided to invite the attention 
of applicants and reviewers to important areas within the criterion.
Section A: Statement of Need (10 points)
     Describe the target population (see Glossary) as 
well as the geographic area to be served, and justify the selection of 
both. Include the numbers to be served and demographic information. 
Discuss the target population's language, beliefs, norms and values, as 
well as socioeconomic factors that must be considered in delivering 
programs to this population.
     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.
     Non-tribal applicants must show that identified 
needs are consistent with priorities of the State or county that has 
primary responsibility for the service delivery system. Include, in 
Appendix 5, a copy of the State or County Strategic Plan, a State or 
county needs assessment, or a letter from the State or county 
indicating that the proposed project addresses a State- or county-
identified priority. Tribal applicants must provide similar 
documentation relating to tribal priorities.
     Check the NOFA for any additional requirements.
Section B: Proposed Evidence-Based Service/Practice (30 points)
     Clearly state the purpose, goals and objectives 
of your proposed project. Describe how achievement of goals will 
produce meaningful and relevant results (e.g., increase access, 
availability, prevention, outreach, pre-services, treatment, and/or 
intervention).
     Identify the evidenced based service/practice 
that you propose to implement. Describe the evidence-base for the 
proposed service/practice and show that it incorporates the best 
objective information available regarding effectiveness and 
acceptability. Follow the instructions provided in 1, 
2 or 3 below, as appropriate:
    1. If you are proposing to implement a service/practice included in 
NREP (see Appendix C), one of the CMHS tool-kits on evidence-based 
practices (see Appendix D), the list of Effective Substance Abuse 
Treatment Practices (see Appendix E), or the NOFA (if applicable), 
simply identify the practice and state the source from which it was 
selected. You do not need to provide further evidence of effectiveness.
    2. If you are providing evidence that includes scientific studies 
published in the peer-reviewed literature or other studies that have 
not been published, describe the extent to which:

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

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

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

     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.
     Identify and justify any additional adaptations 
or modifications to the proposed service/practice.
     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.
     Demonstrate how the proposed service/practice 
will meet your goals and objectives. Provide a logic model (see 
Glossary) that links need, the services or practice to be implemented, 
and outcomes.
     Check the NOFA for any additional requirements.
Section C: Proposed Implementation Approach (25 points)
     Describe how the proposed service or practice 
will be implemented.

[[Page 10824]]

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

2. 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.
    Decisions to fund a grant are based on:
     The strengths and weaknesses of the application 
as identified by peer reviewers and, when applicable, approved by the 
appropriate National Advisory Council;
     Availability of funds;
     Equitable distribution of awards in terms of 
geography (including urban, rural and remote settings) and balance 
among target populations and program size; and
     After applying the aforementioned criteria, the 
following method for breaking ties: When funds are not available to 
fund all applications with identical scores, SAMHSA will make award 
decisions based on the application(s) that received the greatest number 
of points by peer reviewers on the evaluation criterion in Section V-1 
with the highest number of possible points (Proposed Evidence-Based 
Service/Practice--30 points). Should a tie still exist, the evaluation 
criterion with the next highest possible point value will be used, 
continuing sequentially to the evaluation criterion with the lowest 
possible point value, should that be necessary to break all ties. If an 
evaluation criterion to be used for this purpose has the same number of 
possible points as another evaluation criterion, the criterion listed 
first in Section V-1 will be used first.

VI. Award Administration Information

1. 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.

2. Administrative and National Policy Requirements

     You must comply with all terms and conditions of 
the grant award. SAMHSA's standard terms and

[[Page 10825]]

conditions are available on the SAMHSA Web site at http://www.samhsa.gov/grants/2004/useful_info.asp.
     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:
     Actions required to be in compliance with human 
subjects requirements;
     Requirements relating to additional data 
collection and reporting;
     Requirements relating to participation in a 
cross-site evaluation; or
     Requirements to address problems identified in 
review of the application.
     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.
     In an effort to improve access to funding 
opportunities for applicants, SAMHSA is participating in the U.S. 
Department of Health and Human Services ``Survey on Ensuring Equal 
Opportunity for Applicants.'' This survey is included in the 
application kit for SAMHSA grants. Applicants are encouraged to 
complete the survey and return it, using the instructions provided on 
the survey form.

3. Reporting Requirements

3.1 Progress and Financial Reports
     Grantees must provide annual and final progress 
reports. The final report must summarize information from the annual 
reports, describe the accomplishments of the project, and describe next 
steps for implementing plans developed during the grant period.
     Grantees must provide annual and final financial 
status reports. These reports may be included as separate sections of 
annual and final progress reports or can be separate documents. Because 
SAMHSA is extremely interested in ensuring that treatment or prevention 
services can be sustained, your financial reports should explain plans 
to ensure the sustainability (see Glossary) of efforts initiated under 
this grant. Initial plans for sustainability should be described in 
year 01. In each subsequent year, you should describe the status of 
your project, as well as the successes achieved and obstacles 
encountered in that year.
     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.
3.2 Government Performance and Results Act (GPRA)
    The Government Performance and Results Act (GPRA) mandates 
accountability and performance-based management by Federal agencies. To 
meet the GPRA requirements, SAMHSA must collect performance data (i.e., 
``GPRA data'') from grantees. These requirements will be specified in 
the NOFA for each funding opportunity.
3.3 Publications
    If you are funded under this grant program, you are required to 
notify the Government Project Officer (GPO) and SAMHSA's Publications 
Clearance Officer (301-443-8596) of any materials based on the SAMHSA-
funded grant project that are accepted for publication.
    In addition, SAMHSA requests that grantees:
     Provide the GPO and SAMHSA Publications 
Clearance Officer with advance copies of publications.
     Include acknowledgment of the SAMHSA grant 
program as the source of funding for the project.
--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:

    Gwendolyn Simpson (CMHS), Office of Program Services, Division of 
Grants Management, Substance Abuse and Mental Health Services 
Administration, 5600 Fishers Lane, Room 13-103, Rockville, MD 20857, 
(301) 443-4456, [email protected].

    Edna Frazier (CSAP), Office of Program Services, Division of Grants 
Management, Substance Abuse and Mental Health Services Administration, 
5600 Fishers Lane, Rockwall II, Suite 630, Rockville, MD 20857, (301) 
443-6816, [email protected].

    Kathleen Sample (CSAT), Office of Program Services, Division of 
Grants Management, Substance Abuse and Mental Health Services 
Administration, 5600 Fishers Lane, Rockwall II, Suite 630, Rockville, 
MD 20857, (301) 443-9667, [email protected].

Appendix A--Checklist for Formatting Requirements and Screenout 
Criteria for SAMHSA Grant Applications

    SAMHSA's goal is to review all applications submitted for grant 
funding. However, this goal must be balanced against SAMHSA's 
obligation to ensure equitable treatment of applications. For this 
reason, SAMHSA has established certain formatting requirements for 
its applications. If you do not adhere to these requirements, your 
application will be screened out and returned to you without review. 
In addition to these formatting requirements, programmatic 
requirements (e.g., relating to eligibility) may be stated in the 
specific NOFA and in Section III of the standard grant announcement. 
Please check the entire NOFA and Section III of the standard grant 
announcement before preparing your application.

--Use the PHS 5161-1 application.
--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 at least 1 week prior to the application deadline 
will not be reviewed.
--Information provided must be sufficient for review.
--Text must be legible.

     Type size in the Project Narrative cannot 
exceed an average of 15 characters per inch, as measured on the 
physical page. (Type size in charts, tables, graphs, and footnotes 
will not be considered in determining compliance.)
     Text in the Project Narrative cannot exceed 6 
lines per vertical inch.

--Paper must be white paper and 8.5 inches by 11.0 inches in size.
--To ensure equity among applications, the amount of space allowed 
for the Project Narrative cannot be exceeded.

     Applications would meet this requirement by 
using all margins (left, right, top, bottom) of at least one inch 
each, and

[[Page 10826]]

adhering to the page limit for the Project Narrative stated in the 
specific funding announcement.
     Should an application not conform to these 
margin or page limits, SAMHSA will use the following method to 
determine compliance: The total area of the Project Narrative 
(excluding margins, but including charts, tables, graphs and 
footnotes) cannot exceed 58.5 square inches multiplied by the page 
limit. This number represents the full page less margins, multiplied 
by the total number of allowed pages.
     Space will be measured on the physical page. 
Space left blank within the Project Narrative (excluding margins) is 
considered part of the Project Narrative, in determining compliance.

--The page limit for Appendices stated in the specific funding 
announcement cannot be exceeded.

    To facilitate review of your application, follow these 
additional guidelines. Failure to adhere to the following guidelines 
will not, in itself, result in your application being screened out 
and returned without review. However, the information provided in 
your application must be sufficient for review. Following these 
guidelines will help ensure your application is complete, and will 
help reviewers to consider your application.

--The 10 application components required for SAMHSA applications 
should be included. These are:

     Face Page (Standard Form 424, which is in PHS 
5161-1).
     Abstract.
     Table of Contents.
     Budget Form (Standard Form 424A, which is in 
PHS 5161-1).
     Project Narrative and Supporting 
Documentation.
     Appendices.
     Assurances (Standard Form 424B, which is in 
PHS 5161-1).
     Certifications (a form in PHS 5161-1).
     Disclosure of Lobbying Activities (Standard 
Form LLL, which is in PHS 5161-1).
     Checklist (a form in PHS 5161-1).

--Applications should comply with the following requirements:

     Provisions relating to confidentiality, 
participant protection and the protection of human subjects 
specified in Section IV-2.4 of the FY 2004 standard funding 
announcements.
     Budgetary limitations as specified in Section 
I, II, and IV-5 of the FY 2004 standard funding announcements.
     Documentation of nonprofit status as required 
in the PHS 5161-1.

--Pages should be typed single-spaced with one column per page.
--Pages should not have printing on both sides.
--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.
--Send the original application and two copies to the mailing 
address in the funding announcement. Please do not use staples, 
paper clips, and fasteners. Nothing should be attached, stapled, 
folded, or pasted. Do not use heavy or lightweight paper or any 
material that cannot be copied using automatic copying machines. 
Odd-sized and oversized attachments such as posters will not be 
copied or sent to reviewers. Do not include videotapes, audiotapes, 
or CD-ROMs.

Appendix B--Glossary

    Best Practice: Best practices are practices that incorporate the 
best objective information currently available regarding 
effectiveness and acceptability.
    Catchment Area: A catchment area is the geographic area from 
which the target population to be served by a program will be drawn.
    Cooperative Agreement: A cooperative agreement is a form of 
Federal grant. Cooperative agreements are distinguished from other 
grants in that, under a cooperative agreement, substantial 
involvement is anticipated between the awarding office and the 
recipient during performance of the funded activity. This 
involvement may include collaboration, participation, or 
intervention in the activity. HHS awarding offices use grants or 
cooperative agreements (rather than contracts) when the principal 
purpose of the transaction is the transfer of money, property, 
services, or anything of value to accomplish a public purpose of 
support or stimulation authorized by Federal statute. The primary 
beneficiary under a grant or cooperative agreement is the public, as 
opposed to the Federal Government.
    Cost Sharing or Matching: Cost sharing refers to the value of 
allowable non-Federal contributions toward the allowable costs of a 
Federal grant project or program. Such contributions may be cash or 
in-kind contributions. For SAMHSA grants, cost sharing or matching 
is not required, and applications will not be screened out on the 
basis of cost sharing. However, applicants often include cash or in-
kind contributions in their proposals as evidence of commitment to 
the proposed project. This is allowed, and this information may be 
considered by reviewers in evaluating the quality of the 
application.
    Fidelity: Fidelity is the degree to which a specific 
implementation of a program or practice resembles, adheres to, or is 
faithful to the evidence-based model on which it is based. Fidelity 
is formally assessed using rating scales of the major elements of 
the evidence-based model. A toolkit on how to develop and use 
fidelity instruments is available from the SAMHSA-funded Evaluation 
Technical Assistance Center at http://tecathsri.org or by calling 
(617) 876-0426.
    Grant: A grant is the funding mechanism used by the Federal 
Government when the principal purpose of the transaction is the 
transfer of money, property, services, or anything of value to 
accomplish a public purpose of support or stimulation authorized by 
Federal statute. The primary beneficiary under a grant or 
cooperative agreement is the public, as opposed to the Federal 
Government.
    In-Kind Contribution: In-kind contributions toward a grant 
project are non-cash contributions (e.g., facilities, space, 
services) that are derived from non-Federal sources, such as State 
or sub-State non-Federal revenues, foundation grants, or 
contributions from other non-Federal public or private entities.
    Logic Model: A logic model is a diagrammatic representation of a 
theoretical framework. A logic model describes the logical linkages 
among program resources, conditions, strategies, short-term 
outcomes, and long-term impact. More information on how to develop 
logics models and examples can be found through the resources listed 
in Appendix G.
    Practice: A practice is any activity, or collective set of 
activities, intended to improve outcomes for people with or at risk 
for substance abuse and/or mental illness. Such activities may 
include direct service provision, or they may be supportive 
activities, such as efforts to improve access to and retention in 
services, organizational efficiency or effectiveness, community 
readiness, collaboration among stakeholder groups, education, 
awareness, training, or any other activity that is designed to 
improve outcomes for people with or at risk for substance abuse or 
mental illness.
    Practice Support System: This term refers to contextual factors 
that affect practice delivery and effectiveness in the pre-adoption 
phase, delivery phase, and post-delivery phase, such as (a) 
community collaboration and consensus building, (b) training and 
overall readiness of those implementing the practice, and (c) 
sufficient ongoing supervision for those implementing the practice.
    Stakeholder: A stakeholder is an individual, organization, 
constituent group, or other entity that has an interest in and will 
be affected by a proposed grant project.
    Sustainability: Sustainability is the ability to continue a 
program or practice after SAMHSA grant funding has ended.
    Target Population: The target population is the specific 
population of people whom a particular program or practice is 
designed to serve or reach.
    Wraparound Service: Wraparound services are non-clinical 
supportive services--such as child care, vocational, educational, 
and transportation services--that are designed to improve the 
individual's access to and retention in the proposed project.

Appendix C--National Registry of Effective Programs

    To help SAMHSA's constituents learn more about science-based 
programs, SAMHSA's Center for Substance Abuse Prevention (CSAP) 
created a National Registry of Effective Programs (NREP) to review 
and identify effective programs. NREP seeks candidates from the 
practice community and the scientific literature. While the initial 
focus of NREP was substance abuse prevention programming, NREP has 
expanded its scope and now

[[Page 10827]]

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

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

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

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

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

Appendix 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.
     Integrating Substance Abuse Treatment and 
Vocational Services. TIP 38 (2000) NCADI  BKD381
     Substance Abuse Treatment for Persons with 
Child Abuse and Neglect Issues. TIP 36 (2000) NCADI  BKD343
     Substance Abuse Treatment for Persons with 
HIV/AIDS. TIP 37 (2000) NCADI  BKD359
     Brief Interventions and Brief Therapies for 
Substance Abuse. TIP 34 (1999) NCADI  BKD341
     Enhancing Motivation for Change in Substance 
Abuse Treatment. TIP 35 (1999) NCADI  BKD342
     Screening and Assessing Adolescents for 
Substance Use Disorders. TIP 31 (1999) NCADI  BKD306
     Treatment for Stimulant Use Disorders. TIP 33 
(1999) NCADI  BKD289
     Treatment of Adolescents with Substance Use 
Disorders. TIP 32 (1999) NCADI  BKD307
     Comprehensive Case Management for Substance 
Abuse Treatment. TIP 27 (1998) NCADI  BKD251
     Continuity of Offender Treatment for 
Substance Use Disorders From Institution to Community. TIP 30 (1998) 
NCADI  BKD304
     Naltrexone and Alcoholism Treatment. TIP 28 
(1998) NCADI  BKD268
     Substance Abuse Among Older Adults. TIP 26 
(1998) NCADI  BKD250
     Substance Use Disorder Treatment for People 
With Physical and Cognitive Disabilities. TIP 29 (1998) NCADI 
 BKD288
     A Guide to Substance Abuse Services for 
Primary Care Clinicians. TIP 24 (1997) NCADI  BKD234
     Substance Abuse Treatment and Domestic 
Violence. TIP 25 (1997) NCADI  BKD239
     Treatment Drug Courts: Integrating Substance 
Abuse Treatment With Legal Case Processing. TIP 23 (1996) NCADI 
 BKD205
     Alcohol and Other Drug Screening of 
Hospitalized Trauma Patients. TIP 16 (1995) NCADI  BKD164
     Combining Alcohol and Other Drug Abuse 
Treatment With Diversion for Juveniles in the Justice System. TIP 21 
(1995) NCADI  BKD169
     Detoxification From Alcohol and Other Drugs. 
TIP 19 (1995) NCADI  BKD172
     LAAM in the Treatment of Opiate Addiction. 
TIP 22 (1995) NCADI  BKD170
     Matching Treatment to Patient Needs in Opioid 
Substitution Therapy. TIP 20 (1995) NCADI  BKD168
     Planning for Alcohol and Other Drug Abuse 
Treatment for Adults in the Criminal Justice System. TIP 17 (1995) 
NCADI  BKD165
     Assessment and Treatment of Cocaine-Abusing 
Methadone-Maintained Patients. TIP 10 (1994) NCADI  BKD157
     Assessment and Treatment of Patients With 
Coexisting Mental Illness and Alcohol and Other Drug Abuse. TIP 9 
(1994) NCADI  BKD134
     Intensive Outpatient Treatment for Alcohol 
and Other Drug Abuse. TIP 8 (1994) NCADI  BKD139

Other Effective Practice Publications

CSAT Publications--

     Anger Management for Substance Abuse and 
Mental Health Clients: A Cognitive Behavioral Therapy Manual (2002) 
NCADI  BKD444
     Anger Management for Substance Abuse and 
Mental Health Clients: Participant Workbook (2002) NCADI  
BKD445
     Multidimensional Family Therapy for 
Adolescent Cannabis Users. CYT Cannabis Youth Treatment Series Vol. 
5 (2002) NCADI  BKD388
     Navigating the Pathways: Lessons and 
Promising Practices in Linking Alcohol and Drug Services with Child 
Welfare. TAP 27 (2002) NCADI  BKD436
     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
     Family Support Network for Adolescent 
Cannabis Users. CYT Cannabis Youth Treatment Series Vol. 3 (2001) 
NCADI  BKD386

[[Page 10828]]

     Identifying Substance Abuse Among TANF-
Eligible Families. TAP 26 (2001) NCADI  BKD410
     Motivational Enhancement Therapy and 
Cognitive Behavioral Therapy for Adolescent Cannabis Users: 5 
Sessions. CYT Cannabis Youth Treatment Series Vol. 1 (2001) NCADI 
 BKD384
     The Adolescent Community Reinforcement 
Approach for Adolescent Cannabis Users. CYT Cannabis Youth Treatment 
Series Vol. 4 (2001) NCADI  BKD387
     Substance Abuse Treatment for Women 
Offenders: Guide to Promising Practices. TAP 23 (1999) NCADI 
 BKD310
     Addiction Counseling Competencies: The 
Knowledge, Skills, and Attitudes of Professional Practice. TAP 21 
(1998) NCADI  BKD246
     Bringing Excellence to Substance Abuse 
Services in Rural and Frontier America. TAP 20 (1997) NCADI 
 BKD220
     Counselor's Manual for Relapse Prevention 
with Chemically Dependent Criminal Offenders. TAP 19 (1996) NCADI 
 BKD723
     Draft Buprenorphine Curriculum for Physicians 
(Note: the Curriculum is in DRAFT form and is currently being 
updated) http://www.buprenorphine.samhsa.gov
     CSAT Guidelines for the Accreditation of 
Opioid Treatment Programs http://www.samhsa.gov/centers/csat/content/dpt/accreditation.htm
     Model Policy Guidelines for Opioid Addiction 
Treatment in the Medical Office http://www.samhsa.gov/centers/csat/content/dpt/model_policy.htm

NIDA Manuals--Available Through NCADI

     Brief Strategic Family Therapy. Manual 5 
(2003) NCADI  BKD481
     Drug Counseling for Cocaine Addiction: The 
Collaborative Cocaine Treatment Study Model. Manual 4 (2002) NCADI 
 BKD465
     The NIDA Community-Based Outreach Model: A 
Manual to Reduce Risk HIV and Other Blood-Borne Infections in Drug 
Users. (2000) NCADI  BKD366
     An Individual Counseling Approach to Treat 
Cocaine Addiction: The Collaborative Cocaine Treatment Study Model. 
Manual 3 (1999) NCADI  BKD337
     Cognitive-Behavioral Approach: Treating 
Cocaine Addiction. Manual 1 (1998) NCADI  BKD254
     Community Reinforcement Plus Vouchers 
Approach: Treating Cocaine Addiction. Manual 2 (1998) NCADI 
 BKD255

NIAAA Publications--\*\These publications are available in PDF 
format or can be ordered on-line at http://www.niaaa.nih.gov/publications/guides.htm. An order form for the Project MATCH series 
is available on-line at http://www.niaaa.nih.gov/publications/match.htm. All publications listed can be ordered through the NIAAA 
Publications Distribution Center, P.O. Box 10686, Rockville, MD 
20849-0686.

     \*\Alcohol Problems in Intimate 
Relationships: Identification and Intervention. A Guide for Marriage 
and Family Therapists (2003) NIH Pub. No. 03-5284
     \*\Helping Patients with Alcohol Problems: A 
Health Practitioner's Guide. (2003) NIH Pub. No. 03-3769
     Cognitive-Behavioral Coping Skills Therapy 
Manual. Project MATCH Series, Vol. 3 (1995) NIH Pub. No. 94-3724
     Motivational Enhancement Therapy Manual. 
Project MATCH Series, Vol. 2 (1994) NIH Pub. No. 94-3723

Appendix F--Statement of Assurance

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

-----------------------------------------------------------------------
(Signature of Authorized Representative)

-----------------------------------------------------------------------
(Date)

Appendix G--Logic Model Resources

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

    Dated: February 26, 2004.
Daryl Kade,
Director, Office of Policy, Planning and Budget, Substance Abuse and 
Mental Health Services Administration.

[FR Doc. 04-4691 Filed 3-5-04; 8:45 am]
BILLING CODE 4162-20-P