[Federal Register Volume 69, Number 45 (Monday, March 8, 2004)]
[Notices]
[Pages 10839-10852]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 04-4693]


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DEPARTMENT OF HEALTH AND HUMAN SERVICES

Substance Abuse and Mental Health Services Administration


Notice of Republication of Standard Best Practices Planning and 
Implementation Grants Announcement

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

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

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

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

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

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

SUPPLEMENTARY INFORMATION: SAMHSA is republishing its standard Best 
Practices Planning and Implementation 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 Best Practices 
Planning and Implementation Grants announcement is provided below.
    The standard Best Practices Planning and Implementation Grants 
announcement will be posted on SAMHSA's web page (www.samhsa.gov) and 
will be available from SAMHSA's clearinghouses on an ongoing basis. The 
standard announcements will be used in conjunction with brief Notices 
of Funding Availability (NOFAs) that will announce the availability of 
funds for specific grant funding opportunities within each of the 
standard grant programs (e.g., Homeless Treatment grants, Statewide 
Family Network grants, HIV/AIDS and Substance Abuse Prevention Planning 
Grants, etc.).

Department of Health and Human Services

Substance Abuse and Mental Health Services Administration

Best Practices Planning and Implementation Grants BPPI 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 
www.grants.gov)

Key Dates

    Application Deadline: This Program Announcement provides 
instructions and guidelines for multiple funding opportunities. 
Application deadlines for specific funding opportunities will be 
published in Notices of Funding Availability (NOFAs) in the Federal 
Register and on www.grants.gov.
    Intergovernmental Review (E.O. 12372): Letters from State Single 
Point of Contact (SPOC) are due 60 days after application deadline.
    Public Health System Impact Statement (PHSIS)/Single State Agency 
Coordination: Applicants must send the PHSIS to appropriate State and 
local health agencies by application deadline.

[[Page 10840]]

Comments from Single State Agency are due 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--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 Best 
Practices Planning and Implementation (BPPI) grants for substance 
abuse prevention, substance abuse treatment, and mental health 
services. These grants will help communities and providers identify 
substance abuse prevention, substance abuse treatment, and/or mental 
health practices, develop strategic plans for implementing/adapting 
those practices, and pilot-test the practices. The practices 
proposed by applicants for SAMHSA's BPPI grants must incorporate the 
best objective information available regarding effectiveness and 
acceptability. Often, these practices will have strong evidence of 
effectiveness. However, because the evidence base is limited in some 
areas, SAMHSA may fund some practices for which the evidence base, 
while limited, is sound.
    SAMHSA also funds grants under three other standard grant 
announcements:
     Services Grants provide funding to implement 
substance abuse and mental health services.
     Infrastructure Grants support identification 
and implementation of systems changes but are not designed to fund 
services.
     Service to Science Grants document and 
evaluate innovative practices that address critical substance abuse 
and mental health service gaps but that have not yet been formally 
evaluated.
    This announcement describes the general program design and 
provides application instructions for all SAMHSA BPPI Grants. The 
availability of funds for specific BPPI Grants will be announced in 
supplementary Notices of Funding Availability (NOFAs) in the Federal 
Register and at www.grants.gov--the Federal grant announcement web 
page.
    SAMHSA's BPPI 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 www.grants.gov.
    Typically, funding for BPPI Grants will be targeted to specific 
populations and/or issue areas, which will be specified in the 
NOFAs. The NOFAs will also:
     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, award 
size, allowable activities).
    It is, therefore, critical that you consult the NOFA as well as 
this announcement in developing your grant application.

2. Expectations

    SAMHSA's BPPI program promotes the use of practices that 
incorporate the best objective information available regarding 
effectiveness and acceptability. SAMHSA refers to these as ``best 
practices.'' BPPI grants may address needs in the areas of substance 
abuse prevention, substance abuse treatment and/or mental health 
services. SAMHSA understands that the ``best practices'' proposed 
for BPPI grants may need to be adapted to certain populations. 
Therefore, SAMHSA's BPPI grants support adaptation and evaluation of 
best practices in addition to planning and implementation.

2.1 Documenting the Evidence Base for Selected Practices

    Applicants must document in their applications that the 
practices they propose to implement are evidence-based practices. In 
addition, applicants must justify use of the proposed practices for 
the target population along with any adaptations or modifications 
necessary to meet the unique needs of the target population or 
otherwise increase the likelihood of achieving positive outcomes. 
Further guidance on each of these requirements is provided below.

Documenting the Evidence-Based Practice/Service

    SAMHSA has already determined that certain practices are solidly 
evidence-based practices and encourages applicants to select 
practices from the following sources (though this is not required):
     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 Evidence-Based Substance Abuse 
Treatment Practices (see Appendix E)
     Additional practices identified in the NOFA 
for a specific funding opportunity, if applicable
    Applicants proposing practices that are not included in the 
above-referenced sources must provide a narrative justification that 
summarizes the evidence for effectiveness and acceptability of the 
proposed practice. The preferred evidence of effectiveness and 
acceptability will include the findings from clinical trials, 
efficacy and/or effectiveness studies published in the peer-reviewed 
literature.
    In areas where little or no research has been published in the 
peer-reviewed scientific literature, the applicant may present 
evidence involving studies that have not been published in the peer-
reviewed research literature and/or documents describing formal 
consensus among recognized experts. If consensus documents are 
presented, they must describe consensus among multiple experts whose 
work is recognized and respected by others in the field. Local 
recognition of an individual as a respected or influential person at 
the community level is not considered a ``recognized expert'' for 
this purpose.
    In presenting evidence in support of the proposed practice, 
applicants must show that the evidence presented is the best 
objective information available.

Justifying Selection of the Practice/Service for the Target Population

    Regardless of the strength of the evidence base for the 
practice, all applicants must show that the proposed practice is 
appropriate for the proposed target population. Ideally, this 
evidence will include research findings on effectiveness and 
acceptability specific to the proposed target population. However, 
if such evidence is not available, the applicant should provide a 
justification for using the proposed practice with the target 
population. This justification might involve, for example, a 
description of adaptations to the proposed practice based on other 
research involving the target population.

Justifying Adaptations/Modifications of the Proposed Practice

    SAMHSA has found that a high degree of faithfulness or 
``fidelity'' (see Glossary) to the original model for an evidence-
based practice increases the likelihood that positive outcomes will 
be achieved when the model is used by others. Therefore, SAMHSA 
encourages fidelity to the original evidence-based practice to be 
implemented. However, SAMHSA recognizes that adaptations or 
modifications to the original model may be necessary for a variety 
of reasons:
     To allow implementers to use resources 
efficiently.
     To adjust for specific needs of the client 
population.
     To address unique characteristics of the 
local community where the practice will be implemented.

[[Page 10841]]

    All applicants must describe and justify any adaptations or 
modifications to the proposed practice that will be made.

2.2 Program Design

    SAMHSA will fund BPPI grants in two phases. Phase I is a 
planning and consensus-building phase that supports grantees for up 
to 18 months. Phase II is a pilot, adaptation, implementation, and 
evaluation phase that supports grantees for up to 3 years.

Phase I: Planning and Consensus Building

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

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

    The goals of Phase II grants are to pilot test and evaluate the 
best practices before full implementation, modify strategic/
financial plans, and prepare for full-scale implementation. 
Implementation does not include service delivery. The following are 
examples of activities that can be funded during Phase II:
     Pilot test the practice on a sample of 
service recipients and evaluate the pilot test.
     Modify the best practice based on 
consultation with stakeholders and practice experts, other community 
experiences, and pilot test results.
     Revise the manual or documentation that 
describes in detail how the best practice was modified.
     Maintain the coalition of stakeholders to 
oversee Phase II activities.
     Secure consultants to make changes required 
to implement and finance the best practice.
     Make organizational changes (e.g., hiring 
staff) necessary to implement the best practice.
     Provide necessary education, training, and 
technical assistance for staff.
    Up to 25% of the Phase II grant award may be used to evaluate 
the pilot test of the best practice. During the course of a Phase II 
award, SAMHSA will provide funding for direct services as part of 
the pilot test.

2.3 Performance Requirements

    All grantees will be required to meet the following evaluation 
and performance requirements. Applicants are not required to receive 
a Phase I award before applying for a Phase II award. However, all 
Phase II applicants must meet the Phase I performance requirements 
(i.e., documentation that consensus has been achieved and that a 
strategic plan is in place) before applying for a Phase II award. 
Phase II applicants need not have been Phase I grantees.

Phase I: Planning and Consensus Building

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

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

    By the end of Phase II, grantees must provide the following 
information:
     Pilot test results.
     Results from process/outcome evaluation of 
full Phase II project.
     In cases where the implementation was judged 
a success, a manual describing the practice in detail for 
replication of the practice. The manual should explain how the 
project team determined the degree of success, referring to 
qualitative and quantitative data.
     In cases where the implementation was judged 
not to be successful, a report detailing the lessons learned, with 
recommendations for other programs interested in implementing the 
best practice. The report should explain how the project team 
determined the degree of success, referring to qualitative and 
quantitative data.
     Documentation that staff are trained in the 
practice and of a mechanism for training new staff.
     Process evaluation results that describe how 
the practice was operationalized, including changes in the 
organizational infrastructure, permanent funding sources, and staff 
consultation and training activities.
     Outcome evaluation results that describe:

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

2.4 Performance Measurement

    The Government Performance and Results Act of 1993 (Pub. L. 103-
62, or ``GPRA'') requires all Federal agencies to set program 
performance targets and report annually on the degree to which the 
previous year's targets were met.
    Agencies are expected to evaluate their programs regularly and 
to use results of these evaluations to explain their successes and 
failures and justify requests for funding.
    To meet the GPRA requirements, SAMHSA must collect performance 
data (i.e., ``GPRA data'') from grantees. Grantees are required to 
report these GPRA data to SAMHSA on a timely basis.
    Specifically, grantees will be required to provide data on a set 
of required measures, as specified in the NOFA. The data collection 
tools to be used for reporting the required data will be provided in 
the application kits distributed by SAMHSA's clearinghouses and 
posted on SAMHSA's website 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 Evaluation

    Grantees must evaluate their projects, and applicants are 
required to describe their evaluation plans in their applications. 
The evaluation should be designed to provide regular feedback to the 
project to improve implementation of the best practice and, 
ultimately, the outcomes that will result from implementation of the 
best practice.
    Phase I grantees must conduct a process evaluation. Phase II 
grantees must conduct a process and outcome evaluation of the pilot 
test, as well as a process and outcome evaluation of the full Phase 
II project.
    Process and outcome evaluations must measure change relating to 
project goals and objectives over time compared to baseline 
information. Both Phase I and Phase II grantees must include the 
require performance measures described in the NOFA in their 
evaluations. Control or comparison groups are not required. You must 
consider your evaluation plan when preparing the project budget.
    Process components should address issues such as:
     How closely did implementation match the 
plan?

[[Page 10842]]

     What types of deviation from the plan 
occurred?
     What led to the deviations?
     What effect did the deviations have on the 
intervention and evaluation?
     For pilot test evaluations, who provided 
(program, staff) what services (modality, type, intensity, 
duration), to whom (individual characteristics), in what context 
(system, community), and at what cost (facilities, personnel, 
dollars)?
    Outcome components should address issues such as:
     What was the effect of the project on the 
service delivery system and/or on participants in the project?
     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 Phase I grant award and 25% of the 
total Phase II grant award may be used for evaluation and data 
collection.

2.6 Grantee Meetings

    You must plan to send a minimum of two people (including the 
Project Director) to at least one joint grantee meeting in each year 
of the grant, and you must include funding for this travel in your 
budget. At these meetings, grantees will present the results of 
their projects and Federal staff will provide technical assistance. 
Each meeting will be 3 days. These meetings will usually be held in 
the Washington, D.C., area, and attendance is mandatory.

II. Award Information

1. Award Amount

    The NOFA will specify the expected award amount for each funding 
opportunity. Regardless of the amount specified, the actual award 
amount will depend on the availability of funds.
    Awards for SAMHSA's BPPI grants will be made in two phases:
    Phase I--Phase I awards are expected to range from $150,000-
$200,000 in total costs (direct and indirect) for a project period 
of up to 18 months.
    Phase II--Phase II awards will range from $300,000-$500,000 per 
year in total costs (direct and indirect) for a project period of up 
to 3 years.
    Proposed budgets cannot exceed the allowable amount as 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 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 precludes 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 (see Glossary) 
contributions in your proposal as evidence of commitment to the 
proposed project.

3. Other

    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 the required signature of certain 
officials on the face page of the application and/or required 
memoranda of understanding with certain signatories.

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 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.

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. 
Applicants must use the PHS 5161-1 for their application, unless 
otherwise specified in the NOFA. Applications that are not submitted 
on the required application form (i.e., the PHS 5161-1 in most 
situations) will be screened out and will not be reviewed.
     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 (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 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 be no longer than 35 lines. 
In the first five lines or less of your abstract, write a summary of 
your project that can be used, if your project is funded, in 
publications, reporting to Congress, or press releases.
--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 for Phase I and Section A through D for Phase II. Sections A-E 
(Phase I) together may not be longer than 30 pages and Sections A 
though D (Phase II) together may not be longer than 30 pages. More 
detailed instructions for

[[Page 10843]]

completing each section of the Project Narrative are provided in 
``Section V--Application Review Information'' of this document.

    The Supporting Documentation provides additional information 
necessary for the review of your application. This supporting 
documentation should be provided immediately following your Project 
Narrative in Sections F through I. (Note: Phase II applications will 
not have a Section E.) There are no page limits for these sections, 
except for Section H, the Biographical Sketches/Job Descriptions.
     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. If you are applying for a Phase II 
award, show that no more than 25% of the total grant award will be 
used for evaluation of the pilot test of the best practice.
     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 6--Use only the appendices listed below. Do 
not use more than 30 pages for Appendices 1, 3, 4 and 6. There are 
no page limitations for Appendices 2 and 5. Do not use appendices to 
extend or replace any of the sections of the Project Narrative 
unless specifically required in the NOFA. Reviewers will not 
consider them if you do.


     Appendix 1: Letters of Support.
     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.
     Appendix 6: Evidence of Intent to Adopt 
(Phase II only).

--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 
PHS 5161-1. Federal law prohibits the use of appropriated funds for 
publicity or propaganda purposes, or for the preparation, 
distribution, or use of information designed to support or defeat 
legislation pending before the Congress or State legislatures. This 
includes ``grass roots'' lobbying, which consists of appeals to 
members of the public suggesting that they contact their elected 
representatives to indicate their support for or opposition to 
pending legislation or to urge those representatives to vote in a 
particular way.
--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, 4 and 6 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:

[[Page 10844]]

     Describe the target population(s) for the 
proposed project. Include age, gender, and racial/ethnic background 
and note if the population includes homeless youth, foster children, 
children of substance abusers, pregnant women, or other target 
groups.
     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 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

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

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 (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 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 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

[[Page 10845]]

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 
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 BPPI Grant recipients must comply with the 
following funding restrictions:
     No more than 25% of Phase II funding may be 
used to evaluate the pilot test. BPPI grant funds 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 no more than $75,000 for renovations and alterations of 
existing facilities, if appropriate and necessary 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 clients to enter 
treatment. However, a grantee or treatment provider may provide up 
to $20 or equivalent (coupons, bus tokens, gifts, childcare, and 
vouchers) to clients as incentives to participate in required data 
collection follow-up. This amount may be paid for participation in 
each required interview.
     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 (STDs)/sexually transmitted 
illness (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 for Phase I 
applications and A-D for Phase II applications). These sections 
describe what you intend to do with your project.
     In developing the Project Narrative section 
of your application, use these instructions, which have been 
tailored to this program. These are to be used instead of the 
``Program Narrative'' instructions found in the PHS 5161-1.
     The Project Narrative may be no longer than 
30 pages.
     You must use the sections/headings listed 
below in developing your Project Narrative. Be sure to place the 
required information in the correct section, or it will not be 
considered. Your application will be scored according to how well 
you address the requirements for each section of the Project 
Narrative.
     Reviewers will be looking for evidence of 
cultural competence in each section of the Project Narrative. Points 
will be assigned based on how well you address the cultural 
competence aspects of the evaluation criteria. SAMHSA's guidelines 
for cultural competence can be found on the SAMHSA web site at 
www.samhsa.gov. Click on ``Grant Opportunities.''
     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.

1.1 Phase I Criteria

Section A: Statement of Need (10 Points)

     Describe the environment (organization, 
community, city, or State) where the project will be implemented.
     Describe the target population (see Glossary) 
as well as the geographic area to be served, and justify the 
selection of both. Include numbers to be served and demographic 
information. Discuss the target population's language, beliefs, 
norms and values, as well as socioeconomic factors that must be 
considered in delivering programs to this population.
     Describe the problem the project will 
address. Documentation of the problem may come from local data or 
trend analyses, State data (e.g., from State Needs Assessments), 
and/or national data (e.g., from SAMHSA's National Household Survey 
on Drug Abuse and Health or from National Center for Health 
Statistics/Centers for Disease Control reports). For data sources 
that are not well known, provide sufficient information on

[[Page 10846]]

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 the priorities of the State or 
county that has primary responsibility for the service delivery 
system. Include, in Appendix 5, a copy of the State or County 
Strategic Plan, a State or county needs assessment, or a letter from 
the State or county indicating that the proposed project addresses a 
State- or county-identified priority. Tribal applicants must provide 
similar documentation relating to tribal priorities.
     Describe the best practice selected and how 
it will impact the problem.
     Check the NOFA for any additional 
requirements.

Section B: Proposed Evidence-Based Practice (30 Points)

     Clearly state the purpose, goals and 
objectives of your proposed project. Describe how achievement of 
goals will address the needs identified in Section A. Provide a 
logic model (see Glossary) that links need, key components of the 
proposed project, and goals/objectives/outcomes of the proposed 
project.
     Identify the evidenced based practice that 
you propose to implement. Describe the evidence-base for the 
proposed practice and show that it incorporates the best objective 
information available regarding effectiveness and acceptability. 
Follow the instructions provided in 1, 2 or 
3 below, as appropriate. Depending on the evidence you 
provide, you may follow more than one set of instructions:
    1. If you are proposing to implement a practice included in NREP 
(see Appendix C), one of the CMHS tool-kits on evidence-based 
practices (see Appendix D), the list of Effective Substance Abuse 
Treatment Practices (see Appendix E), or the NOFA (if applicable), 
simply identify the practice and state the source from which it was 
selected. You do not need to provide further evidence of 
effectiveness.
    2. If you are providing evidence that includes scientific 
studies published in the peer-reviewed literature or other studies 
that have not been published, describe the extent to which:

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

    3. If you are providing evidence based on a formal consensus 
process involving recognized experts in the field, describe:
    The experts involved in developing consensus on the proposed 
service/practice (e.g., members of an expert panel formally convened 
by SAMHSA, NIH, the Institute of Medicine or other nationally 
recognized organization). The consensus must have been developed by 
a group of experts whose work is recognized and respected by others 
in the field. Local recognition of an individual as a respected or 
influential person at the community level is not considered a 
``recognized expert'' for this purpose.

--The nature of the consensus that has been reached and the process 
used to reach consensus
--The extent to which the consensus has been documented (e.g., in a 
consensus panel report, meeting minutes, or an accepted standard 
practice in the field)
--Any empirical evidence (whether formally published or not) 
supporting the effectiveness of the proposed services/practice
--The rationale for concluding that further empirical evidence does 
not exist to support the effectiveness of the proposed services/
practice

     Justify the use of the proposed practice for 
the target population. Describe the types of modifications/
adaptations that may be necessary to meet the needs of the target 
population, and describe how you will make a final determination 
about the adaptations/modifications to be made to meet the needs of 
the population.
     Identify any additional adaptations or 
modifications that may be necessary to successfully implement the 
proposed practice in the target community. Describe how you will 
make a final determination about the adaptations/modifications to be 
made.
     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.
     Check the NOFA for any additional 
requirements.

Section C: Proposed Implementation Approach (25 Points)

     Describe how the proposed grant project will 
be implemented. Provide a realistic time line for the project (chart 
or graph) showing key activities, milestones, and responsible staff. 
[Note: The timeline should be part of the Project Narrative. It 
should not be placed in an appendix.]
     Describe the strategies or models that will 
be used to build consensus, including a description of how key 
stakeholders (see Glossary) will be educated about the best 
practice. Describe potential barriers to achieving consensus among 
stakeholders. What resources and plans will you use to overcome 
these barriers?
     Describe the process that will be used to 
develop a strategic plan to implement the best practice. Address 
such issues as needs assessment, identification of specific 
milestones that must be achieved in order to implement the best 
practice, and plans for assigning responsibility for achieving 
milestones among participating organizations/stakeholders. Identify 
potential funding source(s) that will help implement the best 
practice. Describe how the funder(s) will join in the consensus 
building and strategic planning.
     Describe the key stakeholders (including 
representatives of the target population), how they were selected 
for participation in the project, and how they represent the 
community.
     Describe the involvement of key stakeholders 
in the proposed project, including roles and responsibilities of 
each stakeholder. Clearly demonstrate each stakeholder's commitment 
to the consensus building and strategic planning processes. Attach 
letters of support and other documents showing stakeholder 
commitment in Appendix 1: Letters of Support. Identify any cash or 
in-kind contributions that will be made to the project by the 
applicant or other partnering organizations.
     Describe how the project components will be 
embedded within the existing service delivery system, including 
other SAMHSA-funded projects, if applicable.
     Check the NOFA for any additional 
requirements.

Section D: Management Plan and Staffing (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 members who will 
conduct the project, showing the role of each and their level of 
effort and qualifications. Include the Project Director and other 
key personnel, including evaluators and database management 
personnel.
     Provide evidence that the service staff 
proposed to conduct the evidence-based practice have the level of 
abilities and experience necessary to implement the practice with 
fidelity to the model, once they have received any necessary 
training.
     Identify the project staff or contractor(s) 
who will develop the implementation manual, and demonstrate that 
they have the requisite skills and experience.
     Describe the racial/ethnic characteristics of 
key staff and indicate if any are members of the target population/
community. If the target population is multi-linguistic, indicate if 
the staffing pattern includes bilingual or bicultural individuals.
     If you plan to have an advisory body, 
describe its composition, roles, and frequency of meetings.
     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 Design and Analysis (15 Points)

     Describe the design for evaluating the 
consensus building and strategic planning processes. Include a 
detailed discussion of how all variables (e.g., community 
representation and stakeholder support) will be defined and 
measured. Explain how the

[[Page 10847]]

evaluation plan will ensure that the decision to adopt is an 
accurate reflection of the stakeholders' intent.
     Document your ability to collect and report 
on the required performance measures as specified in the NOFA, 
including data required by SAMHSA to meet GPRA requirements. Specify 
and justify any additional measures you plan to use for your grant 
project.
     Describe the process for providing regular 
feedback from evaluation activities to the Project Director and 
participants.
     Describe plans for data collection, 
management, analysis, interpretation and reporting. Describe the 
existing approach to the collection of relevant data, along with any 
necessary modifications.
     Discuss the reliability and validity of 
evaluation methods and instruments(s) in terms of the gender/age/
culture of the target population.
     Check the NOFA for any additional 
requirements.

1.2 Phase II Criteria

Section A: Need, Justification of Best Practice, and Readiness (30 
Points)

    If you previously received a Phase I BBPI award and are applying 
for a Phase II award to continue the project, include the following 
information:
     Describe briefly the target population (see 
Glossary), setting, need and best practice approved for the Phase I 
award.
     Describe and justify any changes to the 
target population and setting. Discuss the factors that led to a 
decision change in the target population and setting.
     Describe any changes in the need for the best 
practice in the target community. The statement of need should 
include a clearly established baseline for the project. 
Documentation of need may come from a variety of qualitative and 
quantitative sources. The quantitative data could come from local 
data or trend analyses, State data (e.g., from State Needs 
Assessments), and/or national data (e.g., from SAMHSA's National 
Household Survey on Drug Abuse and Health or from National Center 
for Health Statistics/Centers for Disease Control reports). For data 
sources that are not well known, provide sufficient information on 
how the data were collected so reviewers can assess the reliability 
and validity of the data.
     Provide an updated projection of the number 
of individuals to be served as well as demographic information. 
Discuss the target population's language, beliefs, norms and values, 
as well as socioeconomic factors that must be considered in 
delivering programs to this population.
     Describe and justify any additional 
modifications or adaptations to the best practice as compared to the 
practice approved for your Phase I project.
     Provide evidence that the community of 
stakeholders (see Glossary) achieved a ``decision to adopt'' the 
practice. Attach a copy of the Phase I process evaluation or other 
evidence including contracts, memoranda of agreement, administrative 
memos, or other documents signed by key stakeholders that show their 
firm commitment to support the practice. Attach these supporting 
documents in Appendix 6: Evidence of Intent to Adopt.
     Provide and describe the financing plan. 
Include anticipated costs and sources of revenue that will maintain 
the practice. Attach the financing plan, signed by the funding 
source(s), stating their intent to fund in Appendix 6: Evidence of 
Intent to Adopt.
     Check the NOFA for any additional 
requirements.
    If you are applying for a Phase II award but did not previously 
receive a Phase I award, include the following information:
     Clearly state the purpose, goals and 
objectives of your proposed project. Describe how achievement of 
goals will produce meaningful and relevant results. Provide a logic 
model (see Glossary) that links need, the services or practice to be 
implemented, and outcomes.
     Describe the target population as well as the 
geographic area to be served, and justify the selection of both. 
Include the numbers to be served and demographic information. 
Discuss the target population's language, beliefs, norms and values, 
as well as socioeconomic factors that must be considered in 
delivering programs to this population.
     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. 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.
     Identify the evidenced based service/practice 
that you propose to implement. Describe the evidence-base for the 
proposed service/practice and show that it incorporates the best 
objective information available regarding effectiveness and 
acceptability. Follow the instructions provided in 1, 
2 or 3 below, as appropriate:
    1. If you are proposing to implement a service/practice included 
in NREP (see Appendix C), one of the CMHS tool-kits on evidence-
based practices (see Appendix D), the list of Effective Substance 
Abuse Treatment Practices (see Appendix E), or the NOFA (if 
applicable), simply identify the practice and state the source from 
which it was selected. You do not need to provide further evidence 
of effectiveness.
    2. If you are providing evidence that includes scientific 
studies published in the peer-reviewed literature or other studies 
that have not been published, describe the extent to which:

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

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

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

     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 the community of stakeholders in the 
project, and provide evidence that they have achieved a ``decision 
to adopt'' the practice. Such evidence may include contracts, 
memoranda of agreement, administrative memos, or other documents 
signed by key stakeholders that show their firm commitment to 
support the practice. Attach these supporting documents in Appendix 
6: Evidence of Intent to Adopt.
     Provide and describe the financing plan. 
Include anticipated costs and sources of revenue that will maintain 
the practice. Attach the financing plan, signed by the funding 
source(s), stating their intent to fund in Appendix 6: Evidence of 
Intent to Adopt.

[[Page 10848]]

     Check the NOFA for any additional 
requirements.

Section B: Proposed Approach (25 Points)

     Provide a strategic plan, including key 
action steps, that addresses each of the following elements, as 
appropriate: pilot testing the best practice, evaluating the pilot 
test, modifying the best practice based on the pilot test, 
developing training materials, hiring/training staff, and securing 
funding to sustain services beyond the project period.
     Describe the involvement of key stakeholders 
in the proposed project, including roles and responsibilities of 
each stakeholder. Demonstrate each stakeholder's commitment to the 
proposed project. Attach letters of support and similar documents 
showing stakeholder commitment in Appendix 1: Letters of Support. 
Identify any cash or in-kind contributions that will be made to the 
project.
     Describe how the proposed project will 
address issues of age, race/ethnicity, culture, language, sexual 
orientation, disability, literacy, and gender in the target 
population.
     Describe potential barriers to the successful 
conduct of the proposed project and how you will overcome them.
     Describe oversight or feedback mechanisms to 
ensure that the implemented practice is consistent with the best 
practice model.
     Check the NOFA for any additional 
requirements.

Section C: Management Plan and Staffing (25 Points)

     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.]
     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 members who will 
conduct the project, showing the role of each and their level of 
effort and qualifications. Include the Project Director and other 
key personnel, including evaluators and database managers.
     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, Americans with Disabilities Act (ADA) compliant, and is 
amenable to the target population.
     Check the NOFA for any additional 
requirements.

Section D: Evaluation Design and Analysis (20 Points)

     Document your ability to collect and report 
on the required performance measures as specified in the NOFA, 
including data required by SAMHSA to meet GPRA requirements. Specify 
and justify any additional measures you plan to use for your grant 
project.
     Provide a logic model (see Glossary) for the 
evaluation of the pilot test of the best practice as well as other 
implementation activities (e.g., training, securing financing).
     Provide a plan for evaluating the pilot test 
of the best practice and other implementation activities that 
includes both process and client outcome measures. Describe the 
recruitment plan and sample size for your project. Describe any 
literature or pilot testing done to verify the validity and 
reliability of the instruments to be used. Also discuss the 
appropriateness of the evaluation methods and instrument(s) in terms 
of the gender/age/culture of the target population. Attach 
instrumentation in Appendix 2: Data Collection Instruments.
     Describe how the adaptations of the best 
practice will be documented. Demonstrate its fidelity to the best 
practice model. If no fidelity scale exists for the practice, 
describe how you will develop one.
     Describe the process for providing regular 
feedback from evaluation activities to the Project Director and 
participants.
     Describe the database management system that 
will be developed.
     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 appropriate, 
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 
(for Phase I, Proposed Evidence-Based Practice--30 points; for Phase 
II, Need, Justification of Best Practice, and Readiness--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 conditions are 
available on the SAMHSA web site at 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 progress report must summarize 
information from the annual reports, describe the accomplishments of 
the

[[Page 10849]]

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 
its best practices efforts can be sustained, your financial reports 
must explain plans to ensure the sustainability (see Glossary) of 
efforts initiated under this grant. Initial plans for sustainability 
should be described in year 1 of the grant. In each subsequent year, 
you should describe the status of the project, successes achieved 
and obstacles encountered in that year.
     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

    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 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 12-103, 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 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-

[[Page 10850]]

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 F.
    Practice: A practice is any activity, or collective set of 
activities, intended to improve outcomes for people with or at risk 
for substance abuse and/or mental illness. Such activities may 
include direct service provision, or they may be supportive 
activities, such as efforts to improve access to and retention in 
services, organizational efficiency or effectiveness, community 
readiness, collaboration among stakeholder groups, education, 
awareness, training, or any other activity that is designed to 
improve outcomes for people with or at risk for substance abuse or 
mental illness.
    Practice Support System: This term refers to contextual factors 
that affect practice delivery and effectiveness in the pre-adoption 
phase, delivery phase, and post-delivery phase, such as (a) 
community collaboration and consensus building, (b) training and 
overall readiness of those implementing the practice, and (c) 
sufficient ongoing supervision for those implementing the practice.
    Stakeholder: A stakeholder is an individual, organization, 
constituent group, or other entity that has an interest in and will 
be affected by a proposed grant project.
    Sustainability: Sustainability is the ability to continue a 
program or practice after SAMHSA grant funding has ended.
    Target Population: The target population is the specific 
population of people whom a particular program or practice is 
designed to serve or reach.
    Wraparound Service: Wraparound services are non-clinical 
supportive services--such as child care, vocational, educational, 
and transportation services--that are designed to improve the 
individual's access to and retention in the proposed project.

Appendix C--National Registry of Effective Programs

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

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

    SAMHSA's Center for Mental Health Services and the Robert Wood 
Johnson Foundation initiated the Evidence-Based Practices Project 
to: (1) Help more consumers and families find effective services, 
(2) help providers of mental health services develop effective 
services, and (3) help administrators support and maintain these 
services. The project is now also funded and endorsed by numerous 
national, State, local, private and public organizations, including 
the Johnson & Johnson Charitable Trust, MacArthur Foundation, and 
the West Family Foundation.
    The project has been developed through the cooperation of many 
Federal and State mental health organizations, advocacy groups, 
mental health providers, researchers, consumers and family members. 
A website (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

[[Page 10851]]

6. Integrated Dual Disorders Treatment

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

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

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

Appendix E--Effective Substance Abuse Treatment Practices

    To assist potential applicants, SAMHSA's Center for Substance 
Abuse Treatment (CSAT) has identified the following listing of 
current publications on effective treatment practices for use by 
treatment professionals in treating individuals with substance abuse 
disorders. These publications are available from the National 
Clearinghouse for Alcohol and Drug Information (NCADI); Tele: 1-800-
729-6686 or www.health.org and www.samhsa.gov/centers/csat2002/publications.html.
    CSAT Treatment Improvement Protocols (TIPs) are consensus-based 
guidelines developed by clinical, research, and administrative 
experts in the field.
     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.
     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) www.buprenorphine.samhsa.gov.
     CSAT Guidelines for the Accreditation of 
Opioid Treatment Programs www.samhsa.gov/centers/csat/content/dpt/accreditation.htm.
     Model Policy Guidelines for Opioid Addiction 
Treatment in the Medical Office www.samhsa.gov/centers/csat/content/dpt/model_policy.htm.
    NIDA Manuals--Available through NCADI:
     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 www.niaaa.nih.gov/publications/guides.htm. An order form for the Project MATCH series is available 
on-line at www.niaaa.nih.gov/publications/match.htm. All 
publications listed can be ordered through the NIAAA Publications 
Distribution Center, P.O. Box 10686, Rockville, MD 20849-0686.
     *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--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:

[[Page 10852]]

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. (l997). 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. 04-4693 Filed 3-5-04; 8:45 am]
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